(EBPP) & Bill Printing and Mailing Services AUGUST 2017

CITY OF CLEVELAND, OHIO DEPARTMENT OF PUBLIC UTILITIES

REQUEST FOR PROPOSAL

Electronic Bill Presentment and Payment Services (EBPP)

Bill Printing and Mailing Services AUGUST 2017

Table of Contents 1 Introduction and Background 2 Current Environments 3 EBPP Scope of Services 4 EBPP Requirements 5 EBPP Service Level Offerings 6 Current Bill Print Environment 7 Bill Print Scope of Services 8 Bill Print, Insert, and Mail Requirements 9 Bill Print Service Level Offerings 10 Project Schedule and Deliverables 11 Submission of Proposal 12 Qualifications for Proposal 13 Proposal Contents 14 Proposal Evaluation; Selection Criteria

Appendix A – EBPP Questions

Appendix B – EBPP Requirements

Appendix C – Bill Print, Insert, and Mail Requirements

Appendix D – Volume Estimates

Appendix E - Current Process Flow for CWD EBPP and Billing Extract

Appendix F – Sample Bill and Letters

Appendix G - CWD File Layout Specifications

Appendix H - CPP File Layout Specifications

Fee Proposal for EBPP Project Management

Fee Proposal for EBPP Operational Costs

Fee Proposal for Bill Print Project Management

Fee Proposal for Bill Print Operational Costs

Reimbursable Expense Policy

Required City Forms

1 INTRODUCTION AND BACKGROUND 1.1 RFP INTRODUCTION

The City of Cleveland (City), Department of Public Utilities (DPU) through its Director of Public Utilities (Director), is soliciting proposals from qualified consultant firms to provide services for providing online credit card, debit card and ACH payments, E-billing, bill presentation, bill printing, and storage services.

DPU seeks to identify a vendor to provide services for providing electronic bill presentment and payment services (EBPP) and bill printing and mailing services for utility bills, delinquent and reminder notices, other letters, bill design and other bill inserts. The purpose of this Request for Proposal (RFP) is to provide qualified Proposers with the information, requirements, and specifications necessary for the preparation of a professional and comprehensive proposal for EBPP services and bill printing and mailing services. 1.2 DEPARTMENT BACKGROUNDS DPU is comprised of the Divisions of Cleveland Water (CWD), Cleveland Water Pollution Control (WPC), Cleveland Public Power (CPP), Utilities Fiscal Control, and Radio Communication. In addition, the department’s General Administration section includes Human Resources, Public Affairs, Information Technology, Security, Safety and Risk Management, and Customer Account Services as well as the City of Cleveland Photography Lab and the City of Cleveland’s local cable access channel, TV20. DPU employs approximately 1,500 and is managed by the Office of the Director of Public Utilities.

CWD provides safe, quality drinking water to 1.4 million people in nearly 80 communities across the Greater Cleveland area. The Cleveland Water System is comprised of 5,300 miles of water mains, four raw water intake cribs and four water treatment plants with primary finished water pump stations, 12 secondary pump stations, 13 elevated tanks, and a number of support facilities. CWD currently has more than 427,000 customer accounts in approximately 67 direct service communities. Additionally, CWD provides water to five master meter water systems and emergency standby services to four water systems in Northeast Ohio. CWD is committed to providing customers with excellent service and superior product available at the turn of every tap.

WPC is the City’s sewer maintenance division and stormwater manager, responsible for the waste water and stormwater collection systems in the city. The sewer system is comprised of 1,435 miles of sewer lines with approximately 43,500 catch basins/storm drains and 12 pump stations. WPC cleans and services catch basins to reduce street and basement flooding and to prevent water pollution. The sewer collection system transfers sanitary sewage and stormwater to three Northeast Ohio Regional Sewer District waste treatment facilities. WPC currently has more than 125,600 customer accounts, of which 96% are residential and 4% commercial. WPC’s mission is to provide superior leadership,

excellent customer service and innovative stormwater and wastewater infrastructure management for a safe and sustainable environment.

CPP’s 300-megawatt system ranks as the largest municipally owned electric utility in Ohio. CPP provides service to nearly 80,000 residential, commercial and industrial customers. The division employs a Supervisory Control and Data Acquisition system (SCADA) allowing CPP to monitor and control various electrical components at its 13.8 substation. CPP’s system is comprised of three 138 kV interconnections, allowing access to available electrical power on the market. The 138 kV circuit feeds 36 substations located throughout the city, which in turn, step-down load to a distribution system of 69 kV, 13.8 kV, 11.5 kV or 2300 volts, depending on the substation. CPP’s mission is to provide reliable and economical electric service to City residents and businesses.

The City reserves the right to reject any or all proposals or portions of them, to waive irregularities, informalities, and technicalities, to re-issue or to proceed to obtain the service(s) desired otherwise, at any time or in any manner considered in the City's best interests. The Director may, at his/her sole discretion, modify or amend any provision of this notice or the RFP. 2 CURRENT EBPP ENVIRONMENT 2.1 CWD

CWD currently accepts online credit card, and pin-less debit card payments online. Billing data is sent to the vendor nightly to their FTP site. The vendor sends back a daily remittance file indicating what payments have been received. The current EBPP vendor stores bill images for display in the customer payment portal. CWD accepts all major credit cards including Discover and American Express. Payments can be made by either setting up an online account which requires a login, or making a quick one-time payment where the customer does not have to log in and key information is not stored. CWD accepts recurring payments through the EBPP. CWD customers also have the option to pay via the IVR system & mobile system.

The one-time payment functionality is also used by CWD Customer Service Representatives (CSR) to take customer payments over the phone. The method for taking a customer payment over the phone is the identical process that a customer uses to make a one-time payment. In addition to this functionality, CWD also uses this vendor to process a daily file from Metavante. CWD currently processes 4000-7000 payments per day via its current EBPP vendor. 2.2 CPP CPP currently accepts online credit card, checking and savings account payments and pin-less debit card payments online and over IVR. Billing data is sent to the vendor to be imaged and stored for online delivery and viewing. A billing history of 12 months is kept. The vendor is responsible for the creation of the bill from the extract file. CPP accepts all major credit cards including Discover and American Express. Payments can

4 be made as a one-time payment or setup as recurring payments. Payments from all online vendors such as Metavante and CheckFree are consolidated and sent through one single vendor.

CPP customers have obtained improved customer service with this online capability and CPP has attained a nearly 20% adoption rate. That is, nearly 20% of all payments made to CPP come through this online channel, making CPP a Tier 2 processor. The option for credit card payments has also provided customers with the added convenience and flexibility that they have come to expect from all service vendors. This has meant increased cash receipts, fewer and shorter power turn offs, and lower processing payment costs.

Both CWD and CPP wish to retain all current functionality while providing our customers with more user experience enhancement and options. 3 EBPP SCOPE OF SERVICES DPU is seeking a professional services contract for providing EBPP services as described in more detail below in the description of services. The scope of this RFP encompasses all tasks associated with the implementation of EBPP services.

The proposer is expected to provide EBPP services thru three separate websites/functional areas that must include integration with the same look and feel of the main websites for:

. CWD (Current EBPP implementation that would include a potential migration off the existing platform) . CPP (Current EBPP implementation that would include a potential migration off the existing platform) . NEORSD (Current EBPP implementation that would include a potential migration off the existing platform)

The following implementation components are to be included by the vendor as part of the RFP and the EBPP implementation:

. Needs Analysis and Joint Definition Sessions . Project Management (i.e., vendor provided resource) . System and Design Engineering . Software Programming and Development . User and Acceptance Testing . Dress Rehearsals and Deployment . Production and Pilot

The proposer shall provide the following services for the EBPP solution as part of the RFP response:

. Data conversion and migration activities as required and necessary to move to a potentially new platform for EBPP for CPP, CWD and NEORSD. . Data receipt and routing of core data extract billing files in a flat file format from the billing systems via FTP communication for data parsing extraction and composition. . Data extraction and parsing that routes identified data field into a relational database for processing . Storage and Hosting . Customer and Application Support . Enrollment Processing for EBPP customer enrollment . Composition and Presentment services (Validation, composition, and dynamic rendition of data files into summary formats for granular presentment, customer self-service, and online account management support . Notification services (e.g., e-bill availability, forgotten passwords, new enrollments) . Customer Care (capture and routing of on-line customer inquiries and issues) . Processing of EBPP enrollment requests and activation acknowledgement responses . Communication and Distribution (i.e., electronic transfer of re-formatted information to the processor (e.g. CheckFree/Metavante) distribution network for presentment of bill summary information and payment transactions) . Presentment of bill detail upon request from the processor (e.g. CheckFree/Metavante) network . Support of processor (e.g. CheckFree/Metavante) required security protocols for composing and distributing billing summary data to the processor distribution network . The capturing and processing of remittance data specific to the processor (e.g. CheckFree/Metavante) network . Real-time payment enrollment and validation for Credit and Debit Cards and ACH payment accounts . Storage of payment accounts, profiles, preferences and payment transactional history . Delivery of payment instruction files to the ACH originator and credit card processors for settlement . The capture and processing of remittance advice from the processors for A/R posting and reconciliation . Storage and display of transactional payment history, forecasting data and payment profile information in the form of reports . Support of non-enrolled one-time payment via the Call Center, IVR and Internet

. The capture and storage of all in-bound payment transactions including remittance data, e-billing and one-time payments and payment concentration and processing services from third party networks (e.g., CheckFree, Metavante, MasterCard RPPS) 3.1 BUSINESS OBJECTIVES OF THE EBPP IMPLEMENTATION

DPU is issuing the EBPP RFP to, at a minimum, provide similar services as outlined in this section and to meet the following objectives:

 Support DPU’s strategy to:

. Move toward a higher percentage of paperless billing . Maintain or increase customer satisfaction . Maintain or increase payment options . Maintain or increase bill presentment options . Move customers to low cost billing and payment channels and payment types . Provide flexible bill designs . Move toward a solution that promotes a more agile approach to bill presentment format changes 4 EBPP REQUIREMENTS The proposer shall indicate if they can meet the listed requirements in the following key areas for EBPP listed under each section for:

. Data Receipt and Communication . Data Parsing and Extraction . Data Repository . Enrollment and Validation . Notification and Messaging . Bill Presentment and Account Management . Payment Enrollment . Payment Scheduling . Payment Processing . Payment Storage . Payment Reporting . One-Time Payments . CheckFree/Metavante Integration

In Appendix B, if the listed requirement or question is something your organization can provide or answer “Yes” to, please check the “yes” column. The proposer is expected to describe how they will meet each requirement that is answered “Yes”. All questions that are answered as “Yes” should indicate if the requirement is met with base functionality or if package customization is required to achieve the requirement(s). If your organization cannot meet the requirement, check the “No”

Column. Proposers are encouraged to provide an alternative solution if they feel it meets the intent of the minimum requirement and should provide supporting information for that specific item in an appendix. The symbol used to identify each appendix (i.e., “A”, or “1”) should be inserted into the “No” column to indicate that an alternative solution has been proposed. The City reserves the right to either reject or accept the alternative solution at the City’s sole discretion. 5 EBPP SERVICE LEVEL OFFERINGS The proposer shall be responsible for the entire operation of the system from acceptance of the data file, processing, technical, and application support through to payment and reconciliation. 5.1 EBPP PENALTY OFFERINGS

As part of the RFP, the proposer shall include any service level agreement (SLA) information and penalty credit information based on SLA timelines in the following key areas:

 Penalty offerings associated to the timelines of presentment and receipt of bill data on the Biller Direct Site (i.e., the processing of bill file received from the biller every business day so they are available to the consumer within 12 hours of receipt of the bill file) – The proposer shall demonstrate that > 99.0% of all files are processed within the specified window and/or state associated penalties.

 Penalty offerings associated to the timelines on a Consolidator/Distributor (Aggregator) site (i.e., the provider shall send summary bills every business day to the applicable consolidator(s) within 12 hours of receipt of the bill file at the vendor) – The proposer shall demonstrate > 99.0% of all files are processed within the specified window and/or state associated penalties.

 Penalty offerings associated to the timelines for sending payment data for a biller-direct site using the Client’s financial Institution for payment processing (i.e., payments requested before the cut-off time, the vendor will create a payment instruction file every banking day and send a payment instruction file to the predefined financial institution for payment processing) – The proposer shall demonstrate that > 99% of all payment files are processed by the proposer within a specified window and/or state associated penalties.

 Penalty offerings associated to e-mail messages – e-mail messages are expected to be made available to customers within four (4) hours of the event that triggers the message. The proposer shall be required to deliver all e-mail content to customers or consumers within four (4) hours of the event that triggered the message and/or state associated penalties.

 Systems availability via the Internet for all e-bill application supported by the proposer – The proposer is expected to maintain a 99% system uptime, except for scheduled maintenance requiring advanced notice. Advanced notice must be posted to customers forty-eight (48) hours in advance via the website and via IVR. If system availability falls below 99%, the vendor is expected to pay penalties.

The proposer shall be required to measure and provide standard monthly performance reports associated with respect to the service levels stated above. 5.2 EBPP SUPPORT As part of the RFP, the proposer shall state and include capabilities related to after hours and on-site support. The proposer shall specifically include as part of the response the process for responding to incident reports and include as part of the process Incident Classifications (i.e., including definitions) and the vendor expected durations for response.

The proposer shall clearly outline as part of their offering their ability to provide post- production/post-deployment life cycle support for modifications or upgrades made to the EBPP system’s software following the system’s initial fielding. The ability to provide flexibility of services and a partnership that is responsive to our customer’s needs and requirements due to potential changes and enhancements in a post-production environment is critical. System modifications and upgrades may include, but are not limited to multi-system changes, preplanned product improvements, repair of deficiencies reported by the user, and other type of system change packages. A specific example of required support includes major functionality changes such as our recent move to monthly billing from quarterly billing. The proposer as part of the response shall include the workflow and approach to change management to accommodate product change. 6 CURRENT BILL PRINT ENVIRONMENT 6.1 CWD CWD produces a number of flat files from its Oracle Customer Care & Billing application each day. File formats vary, and there are files for sewer bills, water bills, and customer letters. These files are transmitted via secure FTP to the print/mail vendor on a daily basis. The print/mail vendor renders the documents and returns PDF images to CWD, along with a control file which is further processed and forwarded to the EBPP vendor for use in the portal. 6.2 CPP CPP produces a number of flat files from its Banner system each day. File formats vary, and there are files for bills and letters. These files are transmitted via secure FTP to the print/mail vendor on a daily basis. The print/mail vendor renders the documents and returns PDF images to Cleveland Water, along with a control file which is further processed and forwarded to the EBPP vendor for use in the portal.

7 BILL PRINT SCOPE OF SERVICES DPU is seeking a professional services contract for providing bill printing and mailing services, as described in more detail below in the description of services. The scope of this RFP encompasses all tasks associated with the implementation of bill printing and mailing services for utility bills, delinquent and reminder notices, other letters, bill design, and other bill inserts.

The following implementation components are to be included by the proposer as part of the RFP and the EBPP implementation:

The proposer shall provide the following services for the Print/Mail solution as part of the RFP response:

. System controls to verify zero defects in the production processes. . Rendering of documents (PDFs returned to us) . Printing of documents (4 color) . Use of 24 lb bond or 60 lb offset paper for documents . Assembly of documents (selective inserting) . Use of 24 lb bond or 60 lb offset paper for remittance and outer envelopes . Mailing of documents (must be manifest mailing capable) . Quality control . Fail early . Zero defect control systems . Always fold on the perf 7.1 BUSINESS OBJECTIVES OF THE PRINT/MAIL IMPLEMENTATION

DPU is issuing the RFP to, at a minimum, to provide similar services as outlined in this section and to meet the following objectives:

 Support DPU’s strategy to:

. Move toward a higher percentage of paperless billing . Maintain or increase customer satisfaction . Move customers to low cost billing and payment channels and payment types . Provide flexible bill designs

Move toward a solution that promotes a more agile approach to bill presentment format changes 8 BILL PRINT REQUIREMENTS 8.1 BUSINESS OBJECTIVES OF BILL RENDER, PRINT, INSERT AND MAIL SERVICES: For Bill Print, Insert, and Mail, DPU’s objectives include:

. Provide error free printing and mailing of utility bills and notices for CWD, CPP, and NEORSD . Provide a stable, redundant environment for the production of utility bills and notices. . Reduce the cost of printing and mailing utility bills and notices . Provide the capability of DPU to manage the printing and mailing services remotely over a secure internet connection . Select a provider with a proven and stable history performing the services outlined in this RFP . Select a provider that performs the functions described in this RFP in a reliable, cost effective and timely manner . Select a provider that enables DPU to maintain and modify the print formats at a reasonable cost and pace as the business needs change . Select the provider that enables best practice business processes, eliminating existing manual procedures and processes . Enable DPU to further enhance its customer services and provide timely accurate and efficient utility bill printing, inserting, and mailing. . Enable users of the system to receive timely, accurate information, and monitor the processes start to finish. . Select a provider that provides compliant Manifest Mail at First Class Automation postal rates, including automatic address corrections and updates.

The proposer shall indicate if they can meet the listed requirements in the following key areas for Bill Print/Mail listed under each section for:

. General Company Requirements . Bill Layout / Presentation . Hardware /Software . Security / File Processing . Messages and Inserts . Letters / Notices . Controls / Reporting . Project Management / Client Support

In Appendix C, if the listed requirement or question is something your organization can provide or answer “Yes” to, please check the “yes” column. The proposer is expected

to describe how they will meet each requirement that is answered “Yes”. If your organization cannot meet the requirement, check the “No” Column. Proposers are encouraged to provide an alternative solution if they feel it meets the intent of the minimum requirement and should provide supporting information for that specific item in an appendix. The symbol used to identify each appendix (i.e., “A”, or “1”) should be inserted into the “No” column to indicate that an alternative solution has been proposed. The City reserves the right to either reject or accept the alternative solution at the City’s sole discretion. 9 BILL PRINT SERVICE LEVEL OFFERINGS 9.1 BILL PRINT PENALTY OFFERINGS

As part of the RFP, the proposer shall include any service level agreement (SLA) information and penalty credit information based on SLA timelines in the following key areas:

 Penalty offerings associated with the timelines of rendering and mailing letters and bills (i.e., the processing of bill extract file received from the biller every business day so that mail is presented to the USPS within 24 hours of receipt of the bill file) – The proposer shall demonstrate that > 99.0% of all files are processed within the specified window and/or state associated penalties.

The vendor shall be required to measure and provide standard monthly performance reports associated with respect to the service levels stated above. 9.2 BILL PRINT SUPPORT

As part of the RFP, the proposer shall state and include capabilities related to after hours and on-site support. The proposer shall specifically include as part of the response the process for responding to incident reports and include as part of the process Incident Classifications (i.e., including definitions) and the proposer expected durations for response.

10 PROJECT SCHEDULE AND DELIVERABLES

The vendor implementation can start after the contract has been awarded and the necessary signatures by both parties are obtained. If the proposer can provide bill print and mailing services and EBPP services, the proposer shall provide separate project timelines for each implementation.

The proposer as part of the RFP shall propose a timeline and fee proposal for the six phases listed below plus reimbursables for two separate implementation projects:

1. The EBPP implementation;

2. Bill Print and Mailing Services and spell out:

. The projected hours required for each phase . The deliverables for each phase . The roles for each phase and who will be responsible for each deliverable . The project hours of each role; and . The total cost for each phase

The timeline should provide a high-level overview of the number of hours needed to complete EBPP services separately from Bill Print and Mailing (i.e., if the proposer provides a bill print and mailing solution as part of the offering) for the entire project for the following Phases for separate implementations (i.e., EBPP and Bill Print and Mailing):

1. Planning: The purpose of this phase is to plan for the project and document all project strategies and procedures. A critical deliverable is the project work plan. It is expected that a final output of this phase is a full team kick-off meeting.

2. Analysis & Functional Design: The purpose of this phase is to create the business blueprint, which is a detailed documentation of the results gathered during requirements workshops/meetings. It will allow the implementation project team to clearly define their scope and only focus on the processes needed to run the business. This includes validating/defining all requirements and developing the functional specs/detailed process flows.

3. Configuration & Development: This phase includes technical design, configuration, development, preparing test plans, and unit testing.

4. Testing: This phase includes system testing, integration testing, and other forms of system validation.

5. Transition: The purpose of this phase is to prepare the production environment, conduct end user training, finalize the system configuration and databases, and

conduct final system functional and stress testing. It also includes participation in dress rehearsals and go-live contingency planning.

6. Production Support: This includes post-implementation support of the new system.

7. Reimbursables: Proposer shall provide its best estimate of expenses including, but not limited to, travel and associated expenses.

11 SUBMISSION OF PROPOSAL Each proposer shall submit its proposal(s) in the number, form, and manner, and by the date and time and at the location required in the cover letter.

i. Each Proposer shall provide all information requested in this Request for Proposal. The proposer must organize its proposal package to address each of the elements in this RFP in the order listed in Section 13 Proposal Contents. The proposer should carefully read all instructions and requirements and furnish all information requested. If a Proposal does not comply with all terms, conditions, and requirements for submittal, the City may consider it unacceptable and may reject it without further consideration.

ii. The City wishes to promote the greatest feasible use of recycled and environmentally sustainable products and to minimize waste in its operations. To that end, all proposals should comply with the following guidelines: Unless absolutely necessary, copies should minimize or eliminate use of non-recyclable or non-re-usable materials. Materials should be in a format permitting easy removal and recycling of paper. A proposer should, to the extent possible, use products consisting of or containing recycled content in its proposal including, but not limited to, folders, binders, paper clips, diskettes, envelopes, boxes, etc. Do not submit any or a greater number of samples, attachments or documents not specifically requested.

iii. If you find discrepancies or omissions in this RFP or if the intended meaning of any part of this RFP is unclear or in doubt, send a written request for clarification or interpretation to Simon Mastroianni, 1201 Lakeside Avenue, Cleveland, Ohio 44114 via e-mail to simon [email protected].

A. The City's Rights and Requirements

i. The Director, at his/her sole discretion, may require any Proposer to augment or supplement its proposal or to meet with the City's designated representatives for interview or presentation to further

describe the Proposer's qualifications and capabilities. The requested information, interview, meeting, or presentation shall be submitted or conducted, as appropriate, at a time and place the Director specifies.

ii. The City reserves the right, at its sole discretion, to reject any proposal that is incomplete or unresponsive to the requests or requirements of this RFP. The City reserves the right to reject any or all proposals and to waive and accept any informality or discrepancy in the proposal or the process as may be in the City's best interest.

iii. Proposal as a Public Record.

Under the laws of the State of Ohio, all parts of a proposal, other than trade secret or proprietary information and the fee proposal, may be considered a public record which, if properly requested, the City must make available to the requester for inspection and copying. Therefore, to protect trade secret or proprietary information, the Proposer should clearly mark each page - but only that page - of its proposal that contains that information. The City will notify the proposer if such information in its proposal is requested, but cannot, however, guarantee the confidentiality of any proprietary or otherwise sensitive information in or with the proposal. Blanket marking of the entire proposal as "proprietary" or "trade secret" will not protect an entire proposal and is not acceptable.

iv. CLEVELAND AREA BUSINESS CODE

Requirements. During performance of this Agreement, Contractor shall comply with all applicable requirements of the Cleveland Area Business Code, Chapter 187 of the Codified Ordinances of Cleveland, Ohio, 1976 CC.0."), and any Regulations promulgated under the Code, which Code and Regulations are incorporated into and made part of this RFP by this reference as fully as if rewritten in it or attached. Specifically, compliance under any resulting agreement shall include, but not be limited to, the Contractor's:

. Compliance with its proposal representations regarding CSB, MBE, and/or FBE participation in performance of the Agreement; . Compliance and cooperation with Project Monitors, whether from the Mayor’s Office of Equal Opportunity (the “OEO”) or the contracting department; . Accurate, complete, and on-time submission of all reports, forms, and documents including, but not limited to, employment reports, certified payrolls, monitoring forms, and other information the Director of the OEO may require, whether in printed or electronic form, to ascertain and verify Contractor’s compliance; and

. Attendance at and participation in all required project meetings, including OEO compliance meetings, and progress meetings called by the contracting department director(s) at key intervals during performance of the contract services (e.g. 25% completion, 50% completion, 75% completion).

Failure to Comply. When determining the contractor’s future eligibility for a City contract, the City shall consider a contractor’s failure to comply with the representations of its proposal and the requirements under the Code as a failure to faithfully perform a contract.

a. Under the Cleveland Area Business Code, the City of Cleveland is firmly committed to assisting Minority Business Enterprises (MBEs), Female Business Enterprises (FBEs), and Cleveland- area small businesses (CSBs) by providing and enhancing economic opportunities to participate in City contracts. The successful proposer for a contract will be a firm that shares that commitment. Accordingly, a proposer is strongly encouraged to utilize the services of qualified MBE/FBE/CSB sub-consultants that are certified by the Mayor’s Office of Equal Opportunity (the “OEO”) in its proposal.

b. The standard subcontracting goal for professional services contracts is 10% Cleveland Area Small Business (“CSB”) subcontractor participation. Please review the attached Office of Equal Opportunity documents to ascertain the goal for the proposed contract. Proposers are required to make a good- faith effort to subcontract portions of the work to certified Minority Business Enterprise (“MBE”), Female Business Enterprise (“FBE”), and CSB firms, consistent with the subcontracting goal(s) applicable to this RFP.

c. To document its good-faith effort to utilize certified MBE, FBE and CSB sub-consultants, each proposer must complete Schedules 1 through 4 found in the Cleveland Area Business Code - Notice to Bidders and Schedules. These schedules identify the Proposer’s proposed use of MBE, FBE and CSB subconsultants on the project, which evidences the proposer’s good-faith effort to obtain the participation of certified subconsultants. The Proposer shall submit the completed forms with its proposal and they will be forwarded to the City’s Office of Equal Opportunity for evaluation. Failure to submit complete schedules may result in the rejection of a proposal

Proposers may obtain a listing of firms certified by the OEO as CSBs, MBEs and FBEs by checking the City’s website at http://www.city.cleveland.oh.us. On the home page, select “Office of Equal Opportunity” from the drop-down menu of City departments. On the Office of Equal Opportunity page, you will find a selection in the left- hand column for “CSB/MBE/FBE Registry”.

Proposers are responsible for obtaining the most current list and for contacting potential CSB/MBE/FBE sub-consultants. The City assumes no responsibility for matching prime consultants with qualified, certified MBE, FBE, and/or CSB sub-consultants.

The City Office of Equal Opportunity will monitor participation of MBE, FBE, and/or CSB sub-consultants throughout the duration of the engagement or project. The successful proposer, as contractor, will be responsible for providing the OEO with all information necessary to facilitate this monitoring.

The Cleveland Area Business Code, any Regulations promulgated under the Code, and the OEO Notice to Bidders & Schedules are, by this reference, incorporated in and made part of this solicitation and any resulting contract as fully as if written in it or attached.

d. The successful proposer, as contractor, will be required to comply with all terms, conditions, and requirements imposed on a “contractor” in the following Equal Opportunity Clause, Section 187.22(b) of the Cleveland Codified Ordinances, and shall make the Clause part of every subcontract or agreement entered into for services or goods and binding on all persons and firms with which the proposer may deal, as follows: No Contractor shall discriminate against any employee or applicant for employment because of race, religion, color, sex, sexual orientation, national origin, age, disability, ethnic group or Vietnam-era or disabled veteran status. Contractors shall take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to race, religion, color, sex, sexual orientation, national origin, age, disability, ethnic group or Vietnam-era or disabled veteran status. As used in this chapter, “treated” means and includes without limitation the following: recruited whether by advertising or other means; compensated, whether in the form of rates of pay or other forms of compensation; selected for training, including apprenticeship, promoted, upgraded, demoted, transferred,

laid off and terminated. Contractors shall post in conspicuous places available to employees and applicants for employment, notices to be provided by the hiring representative of contractors setting forth the provisions of this nondiscrimination clause.

e. Within 60 calendar days after entering into a contract, the successful Proposer, as Contractor, shall file a written affirmative action program with the OEO containing standards and procedures and representations assuring that the Contractor affords all qualified employees and applicants for employment equal opportunities in the Contractor’s recruitment, selection, and advancement processes.

v. Term of Proposal’s Effectiveness.

By submission of a proposal, the Proposer agrees that its proposal will remain effective and eligible for acceptance by the City until the earlier of the execution of a final contract or 180 calendar days after the proposal submission deadline (the “Proposal Expiration Date”).

vi. Execution of a Contract.

The Successful Proposer shall, within ten (10) business days after receipt of a contract prepared by the City Director of Law, exclusive of Saturdays, Sundays and holidays, execute and return the contract to the City together with evidence of proper insurance and intent to conform to all requirements of the contract attached hereto or which are a part hereof and all applicable federal, state and local laws and ordinances prior to or at the time of execution of the contract.

vii. “Short-listing”.

The City reserves the right to select a limited number (a “short list”) of Proposers to make an oral presentation of their qualifications, proposed services, and capabilities. The City will notify the Proposers selected for oral presentations in writing.

viii. Proposer’s Familiarity with RFP; Responsibility for Proposal

By submission of a proposal, the Proposer acknowledges that it is aware of and understands all requirements, provisions, and conditions in and of this RFP and that its failure to become familiar with all the requirements, provisions, conditions, and information either in this RFP or disseminated either at a pre-proposal conference or by addendum issued prior to the

proposal submission deadline, and all circumstances and conditions affecting performance of the services to be rendered by the successful proposer will not relieve it from responsibility for all parts of its Proposal and, if selected for contract, its complete performance of the contract in compliance with its terms. Proposer acknowledges that the City has no responsibility for any conclusions or interpretations made by Proposer on the basis of information made available by the City. The City does not guarantee the accuracy of any information provided and Proposer expressly waives any right to a claim against the City arising from or based upon any incorrect, inaccurate, or incomplete information or information not otherwise conforming to represented or actual conditions.

B. Interpretation

The City is not responsible for any explanation, clarification, interpretation, representation or approval made concerning this RFP or a Proposal or given in any manner, except by written addendum. The City will mail, e-mail, or otherwise deliver one copy of each addendum issued, if any, to each individual or firm that requested and received a RFP. Any addendum is a part of and incorporated in this RFP as fully as if originally written herein. 12 QUALIFICATIONS FOR PROPOSAL A. Each Proposer, regardless of the form of its business entity, must meet the following requirements. Failure to meet all requirements may be cause for rejection of a proposal. If Proposer is a partnership or a joint venture, at least one general partner or constituent member must meet the requirements.

Each Proposer must:

i. Provide evidence that it has a minimum of five continuous years of experience within the last five years of providing and implementing online bill payment and presentation services and deliverables described in this RFP. ii. Provide evidence that it has a minimum of five continuous years of experience within the last five years of providing and implementing bill printing and mailing services (i.e., only if proposer is bidding on Bill Printing and Mailing Services). iii. Proposer must be able to verify in writing that it is PCI compliant. Proposer must have certified credentials for PCI compliance verified with each applicable card company and remain compliant at all times. The vendor must submit their certification of compliancy on an annual basis.

iv. Provide a list of three current client references for EBPP and a list of three current client references for Bill Printing and Mailing Services (i.e., if proposer is bidding on Bill Print and Mailing Services) similar in size and scope to the City’s project that can be contacted regarding the proposer’s qualifications and experience. Include contact name(s), address, telephone number and email addresses, as well as a summary of the project, including the date of implementation, for each reference provided. v. Be authorized to conduct business in the State of Ohio, County of Cuyahoga, and the City of Cleveland. vi. Possess or demonstrate it qualifies for all applicable licenses, certificates, permits, or other authorizations required by any governmental authority, including the City, having jurisdiction over the operations of the Successful Proposer and the proposed services. 13 PROPOSAL CONTENTS Proposals shall be prepared simply and succinctly, providing a straightforward, concise description of the vendor's abilities to satisfy the requirements of this request. There is a 75 page limit on the technical proposal. Proposals shall be bound, not in three-ring binders.

Each proposal shall include the following parts in the below order. Please separate and identify each part by tabs for quick reference. Each proposal should be organized so as to facilitate its evaluation.

A. Cover Letter: The cover letter shall identify and introduce the Proposer and provide other general information about Proposer's business organization including, at least, in one or more attachments or in the proposal, Proposer's name, principal address, federal ID number, telephone and facsimile numbers, website address, and e-mail address.

If a corporation, provide the state of incorporation, and the full name, title, and experience of each high level corporate officer. If the Proposer is not an Ohio corporation, please state whether or not the Proposer is qualified to do business in the State of Ohio as a foreign corporation. A foreign corporation must provide evidence, prior to execution of a contract, that is qualified to do business in the State of Ohio or it must register with the Ohio Secretary of State.

If the Proposer is a sole proprietorship, state the name of the proprietor doing business.

If a partnership, state the full name, address and other occupation, if any, of each partner; whether the partner is a general or limited partner, and whether active or passive; state each partner's experience and the proportionate share

of the business owned by each partner.

If a joint venture, state the name of each firm participating in the joint venture and each principal officer of each firm; each officer's experience and the proportionate share of the joint venture owned by each joint venture partner.

B. Executive Summary: The executive summary should provide an overview of the proposed project and scope (EBPP or Bill Print/Mail or both). It should also provide a complete and concise summary of proposer’s experience and ability to meet the requirements of this RFP for similar entities, and briefly state experience and why proposer is the best candidate for the engagement. The summary should be organized so it can serve as a stand-alone summary apart from the remainder of the proposal.

C. Exceptions: Proposer shall itemize any exceptions it has to the RFP. If it has no exceptions to or deviations from any part of this RFP, it shall so state on an "Exceptions" page. If no deviations or exceptions are identified, Proposer understands that if the City accepts the Proposer's proposal, it must comply with and conform to all of the requirements of the RFP.

D. Qualifications: In the Qualifications section, each Proposer should state in detail its qualifications, and experience, and how its services and/or products are unique and best suited to meet the requirements and intent of this RFP. Proposer

i. How Proposer meets or exceeds qualifications;

A statement of qualifications describing the Proposer's capabilities and experience, including resumes of all key personnel to be involved in the project and their roles and responsibilities for the proposed project, staff size, and allocation. Provide overall number of employees, distribution by skill or duties, average tenure, percentage of work performed by external contractors. If you are using subconsultants or "partner firms," provide company name and contact information. Estimate the number of employees who would be significantly involved in this project;

ii. Single point of contact for contract for this project. Indicate individual's length of service with your company. List her or his experience and qualifications specifically, as these factors relate to the responsibilities each will be fulfilling on this project;

iii. The total number of such engagements and the clients comparable to the City for which the firm has provided like or similar services within the last five years;

iv. The name, location, and date of all Proposer's agreements for like

services that have been terminated, canceled, or suspended prior to completion of the engagement or expiration of the full term within the past five years, and any judgment terminating, or any pending lawsuits or unresolved claims or disputes for damages or termination of such agreements within the past five years; and

v. A list of no less than three comparable EBPP implementations and/or three comparable Bill Print and Mailing implementations (i.e., if proposer is proposing bill print and mailing services) implemented by Proposer who may be used as references. Provide references of projects that highlight the stated business objectives of EBPP services and bill print and mailing services (if proposer is bidding on bill print and mailing services). Discuss your company's experience with projects of similar magnitude. Highlight your experience in assessment and planning in identifying needs of primary stakeholders and ability to deliver representative EBPP and bill print and mailing services.

E. Proposed Services:

i. A summary work plan describing the Proposer's approach to designing, managing, and coordinating the EBPP project. If the proposer is bidding on bill print and mailing services, a separate summary work plan should be created for the bill print and mailing services. The description should include all primary tasks listed in the scope of work for all phases of the project(s). Refer to the Section Project Schedule and Deliverables for specific content requirements.

ii. An estimated summary timeline for completion of each phase of the project(s). This should be as realistic as possible, since this will be a part of the contractual agreement.

iii. A timeline and fee proposal based on the information presented in this RFP. For each phase described in the Project Schedule and Deliverables section of this RFP, the cost proposal shall spell out projected hours required for each phase, roles for each phase and the person who will be responsible, the projected hours of each role, and the total cost for each phase. The timeline should provide a high-level overview of the number of hours needed to complete the entire project(s). The EBPP timeline, projected hours, roles and cost should be separate from the Bill Print and Mailing Services (i.e., if the proposer is bidding on Bill print and mailing services). This should be part of the fee proposal submittal.

iv. Provide a Technical Approach to how Proposer will fulfill the

requirements of this project. This should include both the Proposer’s project management approach as well as the technical approach to meeting the EBPP requirements and the Bill Print and Mailing requirements (i.e., if proposing). A comprehensive technical approach will be important in understanding the Proposer’s ability to deliver on the outcomes required.

v. Environmental Sustainability: Describe how the proposed services/project/solution incorporate environmental sustainability

F. EBPP Questions and Requirements: The Proposer should submit answers to EBPP questions requirements in accordance with the guidelines set forth in Section 2 and Appendices A and B.

G. Respond to EBPP Penalty Offerings (Section 5.1)

H. Respond to EBPP Support capabilities (Section 5.2) – The proposer shall respond to requirements in Section 5.2 centered on on-site and after- hours support and include response times based on classifications. The vendor is encouraged to provide references as part of the proposal related to strong implementation capabilities and post-production support satisfaction.

I. Bill Print and Mail Services Requirements: If the proposer is responding to the RFP for bill print and mailing services, the proposer should submit answers to Bill Print and Mail Services requirements in accordance with the guidelines set forth in Section 8 and Appendix C.

J. Fee Proposal: Proposer should submit its fee proposals separately for EBPP services and for Bill Print and mailing services, but within the same sealed envelope clearly marked on the outside. The proposer shall also include any other associated fees in the fee tables for EBPP and for Bill Print and Mailing Services that may apply.

The proposer shall itemize the fee by project phases or other divisible unit completed, in dollars and percentage, or by deliverable. Proposer shall provide its best estimate of expenses including, but not limited to, travel and associated expenses. No qualification of the financial offer will be accepted. The fee proposal shall be a firm and final amount including the costs and expenses for all anticipated services.

K. Financial Information: The Proposer shall include the following financial information:

Any financial information required will be requested only from any Proposer that is “short-listed”.

L. Additional Required Documents: Proposer shall complete, execute, and

return with its proposal the following documents, blank copies of which are attached to this RFP:

i. The Office of Equal Opportunity Notice to Bidders and Schedules;

ii. Federal Form W-9 including Taxpayer Identification Number;

iii. Vendor Entry Form;

iv. Affidavit

v. Non-Competitive Bid Contract Statement for Calendar Year 2017; and

vi. Northern Ireland Fair Employment Practices Disclosure. 14 PROPOSAL EVALUATION; SELECTION CRITERIA 14.1 EVALUATION METHODOLOGY The City department/division issuing this RFP will evaluate each proposal submitted. The department will present its recommendations to the City Board of Control ("Board"). The Board may, but shall not be obligated to, entertain formal presentations. The Board may approve one or more contracts to one or more firms. The City will only consider proposals that are received on or before the proposal submission deadline, and which meet all the requirements of this RFP. The City reserves the right to request a "best and final offer" from Proposers meeting the minimum requirements. 14.2 SCORING OF PROPOSALS

The city will score each Proposal in each of the following categories:

1. EBPP Requirements

2. Bill Print and Mailing Service Requirements

3. Program Management Plan (including proposed timeframe)

4. Experience with projects of similar size and scope

5. Technical Approach

6. Meeting CSB participation goal of 10%

Proposals shall be evaluated first on qualifications and technical merit. Once rankings are established, the fee submittals shall be considered.

The criteria for the evaluation of proposals as stated above may be revised before any actual evaluation actually takes place.

The ratings are not intended or to be interpreted as a reflection of a Proposer’s professional abilities. Instead, they reflect the City’s best attempt to quantify each Proposer’s ability to provide the services sought by the City to meet the specific requirements of this RFP, for comparison purposes. 14.3 DISQUALIFICATION OF A PROPOSER/PROPOSAL

The City does not intend by this RFP to prohibit or discourage submission of a proposal that is based upon a Proposer’s trade experience in relation to the nature or scope of work, services, or products(s) described in this RFP or to prescribe the manner in which its services are to be performed or rendered.

The City will not be obligated to accept, however, significant deviations from the work or services sought by this RFP, including terms inconsistent with or substantially varying from the services or the financial and operational requirements of the RFP, as determined solely by the City. The City reserves the right to reject any proposal that does not furnish or is unresponsive to the information required or requested herein. The City reserves the right to reject any proposal or to waive or to accept any deviation from this RFP or in any step of the proposal submission or evaluation process so as to approve the award of the contract considered in the City's best interest, as determined in the City's sole discretion.

Although the City prefers that each Proposer submit only one proposal including all alternatives to the proposal that the Proposer desires the City to consider, it will accept proposals from different business entities or combinations having one or more members in interest in common with another Proposer. The City may reject one or more proposals if it has reason to believe that proposers have colluded to conceal the interest of one or more parties in a proposal, and will not consider a future proposal from a participant in the collusion. In addition, the City will not accept a proposal from or approve a contract to any Proposer that is in default as surety or otherwise upon an obligation to the City or has failed to perform faithfully any previous agreement with the City, or is currently in default under any agreement with the City.

The City reserves the right to reject any or all proposals. Failure by a Proposer to respond thoroughly and completely to all information and document requests in this RFP may result in rejection of its proposal. Further, the City reserves the right to independently investigate the financial status, qualifications, experience, and performance history of a Proposer.

The City reserves the right to cancel the approval or authorization of a contract award, with or without cause, at any time before its execution of a contract and to later enter into a contract that varies from the provisions of this RFP, if agreed to by another Proposer

Appendix A - EBPP Questions To be returned as part of the technical proposal.

1. How many organizations currently employ your EBPP solution?

2. How many years have you offered an EBPP solution to customers?

3. Will invoices have the same look and feel online as they do when received by mail?

4. Provide an overview of what unique capabilities set your company apart from your competitors.

5. Describe the integration between your paper and electronic solution.

6. Tell us about any third party entities you rely upon to deliver your services

7. What pertinent relationships do you have with partners and vendors (e.g., alliances, strategic partnerships) that would be beneficial for DPU?

8. Describe the support you provide to help migrate our customers from paper to electronic delivery channels. Please provide references.

9. What metrics/key performance indicators do you use to demonstrate the value you add and the savings you provide from customer satisfaction. Provide a list of any metrics you may use and provide sample surveys.

10. What controls or cross‐checks do you employ to ensure zero‐defect program execution?

Appendix B - EBPP Requirements To be returned as part of the technical proposal. Proposer shall respond to all columns marked with an “*” at a minimum and is encouraged to respond to all requirements.

If the listed requirement or question is something your organization can provide or answer “Yes” to, please check the “yes” column. The proposer is expected to describe how they will meet each requirement that is answered “Yes”. If your organization cannot meet the requirement, check the “No” Column. Proposers are encouraged to provide an alternative solution if they feel it meets the intent of the minimum requirement and should provide supporting information for that specific item in an appendix. The symbol used to identify each appendix (i.e., “A”, or “1”) should be inserted into the “No” column to indicate that an alternative solution has been proposed. The City of Cleveland reserves the right to either reject or accept the alternative solution at the City’s sole discretion.

Data Receipt and Communication The proposer shall have the capability to design and configure the receipt of core data extract billing files that shall be delivered from Oracle CC&B, Ventyx Banner, or other delivery systems.

Requirement Yes No Description

* 1. Describe capability to design and configure the receipt of core data extract billing files * 2. Describe ability to receive billing or summary files in a flat file formation via a communication vehicle such as Internet FTP * 3. Describe ability to establish a series of data validation, balance reconciliation and quality control applications using secure, automated, redundant and encrypted communication processes

Data Parsing and Extraction The proposer shall be expected to analyze billing data and perform the necessary data file parsing and extraction rules to store the data into encrypted storage for bill presentment.

Requirement Yes No Description

* 1. Describe capability to analyze billing data structures and build/test definition and extraction rules to load a bill presentment database * 2. Describe capability to develop data file parsing and extraction rules and routines from a raw data extract file * 3. Describe ability to establish a series of data validation, balance reconciliation and quality control applications using secure, automated, redundant and encrypted communication processes

Data Repository The proposer shall provide a data repository and configure and design the storage system, infrastructure and components for billing data fields, billing templates, design elements (e.g., graphics, logos), usage data, payment and enrollment history/data within a vendor hosted data center. The proposer shall have the responsibility for the configuration of the hosting parameters for all components related to the entire EBPP application that resides in the data center.

Requirement Yes No Description

* 1. Describe capability to set-up and configure the storage required for the entire EBPP application that includes a redundant and secure data center. Storage within the data center should be for a rolling 24 months. * 2. Describe the ability to archive all data pertaining to the EBPP solution after 24 months. In addition, please explain how the purging of data can be achieved within the hosted environment.

Requirement Yes No Description

* 3. Describe the ability to manage the tracking of all files through configuration management for templates and usage data with the capability to accommodate additional storage as required within a redundant and secure data center * 4. Describe the capability to provide 24*7 system support and maintenance of the Data Center that houses the EBPP solution

Enrollment and Validation The proposer shall provide standard EBPP core functions related to enrollment and validation, account and process management including validation of customer accounts.

Requirement Yes No Description

* 1. Does the solution being presented include the following core enrollment functionality that includes:  Biller branded and rules generated authentication  User ID and Password initiation  Enrollment processing  Information capture  Notification  De-enrollment capabilities

* 2. Describe the capability to customize the enrollment page and validate enrollment information using real-time authentication using account data (i.e., zip code, account number etc.) * 3. Describe the capability to support enrollment for presentment and account management only without payment functionality * 4. Describe the capability to have security questions when creating an account to ensure identify.

Notification and Messaging The proposer shall provide the capability the ability to notify and message customers based on administrative configuration.

Requirement Yes No Description

* 1. Describe the capability to configure, manage and support the setup of templates for enrollment, new documents, and forgotten password e-mail * 2. Describe the capability to enter free form text for messaging content to subscribers * 3. Describe the capability to notify via e-mail based on varying types of transactions. In your answer, specifically address the ability to notify customers of credit card expiration. 4. Describe the ability to provide a frequently asked questions (FAQ) section to assist the customer and provide the proper guidance for the EBPP payment process

BILL PRESENTMENT AND ACCOUNT MANAGEMENT The proposer shall provide the functionality to login via a secure connection for bill presentment and account management activities that includes, but is not limited to, core key functions such as account management, bill detail searching, and presentment of bill data based on search results.

Requirement Yes No Description

* 1. Describe the capability to have a biller branded landing page and a log-on page with a prompt for User ID and Password that is framed within DPU’s existing web site environment and incorporating the branding element and look and feel of the web site design.

* 2. Describe the ability to transmit account and single sign-on data for bill payment and access to bill payment history

Requirement Yes No Description

from designed website to the vendor’s implementation home page for EBPP services. * 3. Describe the capability to authorize access to a user by verifying and supporting varying levels of access and control based on established guidelines * 4. Describe the capability to search for bills based on user defined criteria * 5. Describe the capability to display search results with configurable display results (e.g., account number, amount due, due date, address, and status). * 6. Describe the capability to redirect a user to a third party server for detailed presentment of bill detail based upon user request * 7. Describe the ability to provide password reset and forgot password requests * 8. Describe the ability to provide the functionality to allow the customer to adjust account profile information and self- manage their account by performing the following functions:  View exact replicas of billing statements from previous periods  View previous payments made via the EBPP system  Edit/remove scheduled payments until two hours before payment is processed  Change email address and SMS delivery number  Change bill delivery preferences (paper vs. electronic)  Change password (e.g., e-mail address change) * 9. Describe the capability to support customized pages, framing, navigation, and definable style sheets. The vendor must be able to produce the EBPP service with the same look and feel as the new City of Cleveland’s website to provide a seamless experience for customers. Vendors

Requirement Yes No Description

must have the ability to incorporate multiple City supplied images and cascading style sheets to achieve this requirement.

PAYMENT ENROLLMENT The proposer shall provide the ability to collect payment information and validate such information. In addition, the vendor shall provide capability to send e-mail and /or SMS text reminders related to bills being due or past due.

Requirement Yes No Description

* 1. Describe the capability to collect payment information from the customer to validate and enroll a customer to support future online payment scheduling and processing * 2. Describe the capability to allow the user to select either ACH or Credit Card payment. * 3. Describe the capability to capture an Account ‘nickname’, a routing transit number, a bank account number, and the account type when selecting ACH as the form of payment * 4. Describe the ability to capture the following information for Credit Card payments:  Account nickname  Credit Card Number  Expiration Date  Security Code * 5. Describe the capability to capture the name and address on the Credit Card if processing is setup for credit card payment. The system must ask the user if name and address is different than the customer billing address and name. If the name or address is different, the system must provide the capability to capture the different information for certification.

Requirement Yes No Description

* 6. Describe the ability to provide immediate validation of the ACH information that is entered by the customer * 7. Describe the ability to provide real time validation of the credit card number, expiry date, security code, and address with the Credit Card Processor network. * 8. Describe the ability to provide real time validation of checking account numbers, and payments with a check processing network. * 9. Describe the ability to notify the user immediately via a message if credit card information cannot be validated based on user input. * 10. Describe the capability to have e-mail or text reminders generated and forwarded based on a configurable number of days before the bill is due and a configurable number of days after the bill is due

PAYMENT SCHEDULING The proposer shall provide the ability to schedule payments, provide scheduling options, and to setup a customer account for recurring payment.

Requirement Yes No Description

1. Describe the ability of the system to allow the user to schedule payments up to 364 days in advance of the actual due date of the payment 2. Describe the system capability to display various payment scheduling options after a user indicates they would like to pay:  Optional date or other date option  Schedule payment on due date (auto populates based on due date)

Requirement Yes No Description

 Next day payment (if the customer meets cut-off time) 3. Describe the capability to capture reasons (i.e., reason code and description) via configuration when the payment amount is above or below the total amount due. The information can be included with the payment data. * 4. Describe the capability to setup a customer account for recurring payment configuration * 5. Describe the capability to enroll specific accounts for recurring payment with fixed or variable amounts, multiple thresholds, start and end dates, multiple enrolled credit card/ACH payment account, and frequency configurations * 6. Describe the capability to pay an amount different than the total amount due. The Reason must be included for not paying the full amount. 7. Describe the ability for Accounts for payment to be selected by a user defined ‘nick name’ tagged to the account for easy identification. 8. Describe the ability to notify the user if payment is being made past the due date and the ability to display boilerplate messaging prior to accepting the payment

PAYMENT PROCESSING The proposer shall provide the ability to capture payment instructions and to create a clearing file on a daily basis.

Requirement Yes No Description

* 1. Describe the capability to capture payment instructions and create an electronic payment order that is created and forwarded for clearing at the end of each day.

Requirement Yes No Description

* 2. Describe the capability to capture payment instructions and create an electronic payment order that fits the requirements of the Processor for the credit card. * 3. Describe the process for handling duplicate payments and specifically outline the process to credit the customer account(s). In your answer, please specify the expected turnaround time to complete the process. * 4. Describe the capability to alert the customer when a duplicate payment has been received?

PAYMENT STORAGE The proposer shall provide the capability to display payment history, edit and cancel account information, and to change future payments that have been scheduled.

Requirement Yes No Description

* 1. Describe the capability to display payment history that includes summary and detailed information on all payments that are scheduled, processed, failed, and cancelled * 2. Describe the capability to add, edit, and cancel payment account information with immediate validation * 3. Describe the capability to change or cancel future payments that have been scheduled 4. Describe the capability to graphically display past and future payments across a calendar view * 5. Describe the ability for customer payment profile being stored and available for editing or customer adjustments 6. Describe the ability to have a customer preference section for configuring e-mail reminders and system defaults

PAYMENT RECONCILIATION The proposer shall have the capability to accept Originating Depository Financial Institution (ODFI) remittance data and settlement file exceptions. Furthermore, the proposer must have the capability to receive ACH and credit card remittance data and format such data to a specification required by DPU for A/R Reconciliation.

Requirement Yes No Description

* 1. Describe the capability to accept from the Originating Depository Financial Institution (ODFI) remittance data and the settlement file (exceptions) * 2. Describe the capability to format the received remittance file for ACH transactions to a file layout specification specified by DPU supplied to the vendor for automated capture and A/R reconciliation * 3. Describe the capability to receive credit card remittance data and a settlement file with exceptions/charge backs from the credit card processor that is formatted per the specification of DPU for A/R reconciliation

PAYMENT REPORTING The proposer shall provide the capability to create transaction, transaction summary, and remittance reports based on user defined filters and criteria.

Requirement Yes No Description

* 1. Describe the capability to create a user or admin report of transactions based on defined criteria and filters * 2. Describe the capability to create a user or admin report for remittance based on defined criteria and filters * 3. Describe the capability to create a transaction summary report based on defined criteria and filers * 4. Describe the ability to allow DPU to reset passwords, unlock users, search for users and view non sensitive data about their accounts

ONE-TIME PAYMENTS The proposer shall provide the capability to create a one-time payment interface that is linked to the newly designed corporate website. One-time payment functionality/capability should be available from the Internet, for IVR, and to the Call Center.

Requirement Yes No Description

* 1. Describe the ability to create a series of biller branded web pages that are linked to a newly redesigned main Cleveland Water corporate website to support one-time non-enrolled payment applications. * 2. Describe the capability to capture, validate, schedule, and track one-time non-enrolled payments within a call center CSR environment. Payments must be captured and processed by a CSR. 3. Describe the capability to setup branded Cleveland Water voice prompts that shall guide the user through the one- time payment process * 4. Describe the ability to validate account number and name, payment account (ACH, credit card) and the amount of payment for one-time payment transactions 5. Describe the capability to deliver the current balance and the date and amount of the last payment via IVR. 6. Describe the capability to allow for payments on accounts that have no bill or A/R yet. 7. Describe the ability to provide IVR payment validate and messaging based on the payment and payment parameters selected (e.g., custom messaging if customer is not paying full amount, or ability to redirect based on not paying full amount) 8. Describe the ability to support an IVR solution that is bi- lingual (e.g., English and Spanish)

CREDIT CARD PROCESSOR INTEGRATION The proposer shall establish integration validation with a credit card processing network for EBPP customer enrollment, integration with credit card processors for bill delivery and integration with current DPU systems for remittance processing.

Requirement Yes No Description

* 1. Describe the ability to establish the required validation and authentication elements to support activation requests from a processor for EBPP enrollment * 2. Describe the ability to setup and test processor specific enrollment validation and processing of business rules for EBPP enrollment * 3. Describe the ability to release and test Cleveland Water data into a database for processor distribution for enrollment * 4. Describe the capability to test and build processor specific bill detail templates and data structures (e.g., account number, due date, account name, and amount due) for summary bill distribution and reporting into a processor specifically for bill delivery * 5. Describe the capability to setup and test security protocols for bill delivery to a network processor * 6. Describe the ability to establish remittance file parameters and data structure for A/R reconciliation * 7. Describe the ability to supply editing and validation routines established with a processor to support the capture and processing of all remittance data from their CSPs sites including customers that do not activate the e- bill relationship * 8. Describe the capability to parse and translate the processor formatted remittance file and transform the data into a DPU A/R specific remittance file structure layout.

MARKETING CONTENT AND IMAGERY The proposer shall have the ability to manage and display images and banners supplied from CWD, CPP, or NEORD based on customer account configuration or defined criteria.

Requirement Yes No Description

* 1. Describe the system ability to capture, upload, place, name, configure and manage images and banners ads supplied from Cleveland Water, CPP or NEORSD * 2. Describe the system capabilities to present images supplied from Cleveland Water based on configuration of accounts and defined criteria.

COMPLIANCE AND COMPATIBILITY The proposer shall be compliant by being PCI complaint, SSAE 16 audited, support mobile devices, and support all major web browsers.

Requirement Yes No Description

* 1. Describe the ability to comply: All operations systems and storage must be PCI Compliant Documentation must be included with response

* 2. Describe the ability to comply: All operations systems and storage must be SSAE 16 Audited Documentation must be included with response

* 3. Describe the ability to comply: The EBPP solution must work in all major browsers, including but not limited to, Internet Explorer, Firefox, Safari, Opera, and Chrome. * 4. Describe the ability to comply: The EBPP solution must be capable of supporting mobile browsing on the major type of mobile devices, including tablets. * 5. Describe the ability to comply: Ability to present a successful SOC 2 audit to show:

Requirement Yes No Description

a. Fairness of the presentation of the service organization’s description of controls placed in operation and the sustainability of the design of the controls to achieve the specified control objectives b. Service auditor’s opinion on whether the specific controls were operating effectively during the review

OTHER CONFIDENTIALITY AND SECURITY Requirement Yes No Description

* 1. Describe the ability to comply: Utility information is considered confidential data. Does the proposer have the capability to secure account information at all times (in transit and data at rest)? Please provide approach to securing customer information with response

* 2. Describe the ability to comply: Unauthorized users must not be able to access utility account data, bank account, and credit card numbers or other account information. Is the proposer able to protect against unauthorized user access to protect customer data? Please provide approach and protect customer information

* 3. Describe the ability to comply: All cardholder data shall be the responsibility of theany proposer, technologies and the utilized proposer to shall retain all liability.

Appendix C - Bill Print, Insert, and Mail Requirements To be returned as part of the technical proposal. Proposer shall respond to all columns marked with an “*” at a minimum and is encouraged to respond to all requirements. If the listed requirement or question is something your organization can provide or answer “Yes” to, please check the “yes” column. The vendor is expected to describe how they will meet each requirement that is answered “Yes”. If your organization cannot meet the requirement, check the “No” Column. Proposers are encouraged to provide an alternative solution if they feel it meets the intent of the minimum requirement and should provide supporting information for that specific item in an appendix. The symbol used to identify each appendix (i.e., “A”, or “1”) should be inserted into the “No” column to indicate that an alternative solution has been proposed. The City of Cleveland reserves the right to either reject or accept the alternative solution at the City’s sole discretion.

General Company Requirements The proposer shall be an established Bill Print vendor with experience in the Water and Electric Utility industry, and must provide a full range of Bill Print and Mailing services. Requirement Yes No Description * 1. Proposer’s main business function is bill/statement printing and mailing

* 2. Proposer has more than 5 years’ experience printing water and electric or sewer bills

* 3. Proposer has experience with 5 or more water and electric utilities

* 4. Do you sub-contract any of the following out to other companies or business partners? (if yes, and they are included as part of your proposal, please include the company in your response) Design services Artwork Programming services Printing services (e.g. bill templates, inserts)

Requirement Yes No Description Storage of forms (if applicable) Bill production Bill stuffing Pre-sorting Bill presentment Bill payment Other (please describe) * 5. Describe the facility that will provide services for DPU

* 6. Are the following functions performed from this facility: a. Design Services b. Artwork c. Programming Services d. Printing Services (e.g. bill templates, inserts) e. Storage of forms f. Bill Production g. Bill Stuffing h. Pre-Sorting i. Other (please specify)

* 7. Does a back-up facility exist? If yes, please describe

* 8. Do you provide climate controlled storage of forms, envelopes, remittance envelopes, and inserts?

Production Requirements The proposer shall have these capabilities to prepare bills.

Requirement Yes No Description * 1. Manifest Mailer – certified by the USPS to mail mixed weight pieces in a single mailing * 2. Selective inserting – must be able to insert flyers or remittance envelopes into a subset of the mail. * 3. Stock requirements – treated paper 24 lb. bond or 60 lb. offset (remittance envelopes must also be 24 lb. paper) * 4. Perf on demand – should be able to perf pages with payment stubs without perforating other pages. * 5. Householding – able to combine multiple documents for the same account into one envelope. * 6. Sample PDFs for review – able to create PDF documents (with bookmarks to describe) that contain a representative sample of the bills for each process run. * 7. Aggregating – able to combine multiple letter and bill extract files into one mailing. (this is not a requirement) * 8. IMb trace reporting

BILL LAYOUT/PRESENTATION The proposer shall be able to support multiple bill layouts, and be flexible enough to make layout changes as business changes. Requirement Yes No Description * 1. Capability to receive multiple files daily (in multiple formats), and print each in a unique bill format.

* 2. Proposer should be ability to closely match the current bill layout for CWD, CPP, and NEORSD.

Requirement Yes No Description * 3. Proposer should have the ability to print 4/4 color at high speed.

* 4. Proposer should have the ability to produce charts, graphs, or other graphics commonly used on Utility bills

* 5. Proposer must be able to exactly meet scan-line requirements on the remittance stub of all bill formats.

* 6. Proposer must be able to print barcode for use by DPU’s cashiering system.

* 7. Proposer shall be able to accommodate bill stub specifications that will be required on certain documents (e.g., regular bill, reminder notices, etc.) This will require some sheets to be perforated and others not perforated. * 8. Proposer must be able to handle bill messaging and marketing content and imagery. Please provide proposer capabilities for requirements in Appendix B (Marketing Content & Imagery) as it related to Bill Layout and presentation. * 9. Describe capability to design and configure the receipt of core data extract billing files * 10. Describe ability to receive billing or summary files in a flat file formation via a communication vehicle such as SFTP * 11. Describe ability to establish a series of data validation, balance reconciliation, and quality control applications using secure, automated, redundant and encrypted communication processes

Requirement Yes No Description * 12. Describe capability to analyze billing data structures and build/test definition and extraction rules to load a bill presentment database * 13. Describe capability to develop data file parsing and extraction rules and routines from a raw data extract file * 14. Describe ability to establish a series of data validation, balance reconciliation and quality control applications using secure, automated, redundant and encrypted communication processes

Hardware/Software The proposer shall possess the necessary hardware and software to meet the printing, inserting, and mailing requirements. The proposer shall have procedures in place for both disaster recovery, and hardware or software replacements or upgrades. Requirement Yes No Description 1. Please list the software products used to currently support the bill print, insert, and mail process. If some components are proprietary custom written, please also indicate development language and version.

2. How long have you been using the software?

3. Have you been through a version update of your software?

* 4. Do you have procedures in place to minimize interruption for maintenance, upgrades, or replacement of your software? If yes, explain.

* 5. Is your software able to meet the requirements of USPS First Class automation mail, including PAVE/CASS/NCOA & presort requirements?

Requirement Yes No Description * 1. Is your process audited under SSAE 16 SOC 2 or 3? If yes, please provide a copy of your most recent certification/audit.

2. The proposer has security procedures in place for processing DPU data. If yes, please explain. * 3. The proposer has security precautions and procedures in place for storing DPU forms (if applicable), and hard copies of DPU bills. * 4. The proposer has quality control procedures in place for processing DPU data, and producing DPU bills, up through delivery to USPS. If yes, please explain,

* 5. The proposer has a secure method of transferring data files between DPU and the vendor. If yes, please explain. As part of your answer please specify how file transfer failure will be addressed and the method of choice for notification.

Messages and Inserts The proposer shall provide functionality for selective inserting of up to 2 inserts, not including remittance envelope and bill, and robust messaging. Requirement Yes No Description * 1. The proposer will support selective inserting (specific customers receive a specific insert based on a value in the print stream data).

Requirement Yes No Description 2. Do you provide tools for DPU to use to design inserts?

3. If previous answer was ‘Yes’, do you provide training on that tool?

4. Do you have a preference for the approach used to develop inserts (vendor designs, DPU uses vendor tool, DPU supplies inserts, eta)

* 5. The proposer will support selective messaging (specific conditions in print data trigger specific bill messages)

6. Are there limits to sizes, weights, or other paper characteristics for inserts? If yes, please describe.

7. What is the lead time required for DPU provided pre- printed inserts

8. Do you provide design service for inserts? Please include description of pricing.

Letters/Notices The proposer shall print and mail DPU letters that serve a variety of purposes and contain customer specific data that requires a local postmark.

Requirement Yes No Description * 1. The proposer shall have the ability to receive multiple letter extract files daily along with bill print extract files

* 2. The proposer must be able to print letters that contain variable data (amount due, address, etc.)

* 3. Letters must be able to be printed either with or without a remittance stub, depending on the letter type.

* 4. Letters must be able to go through the same sort, insert, and mail processing as bills.

Controls /Reporting/Quality Control The proposer shall have processes in place to ensure all bills/letters are accounted for, and reconciliation can be done on a daily basis to prove no data and/or physical documents have been lost along the way. Requirement Yes No Description * 1. The proposer must provide a process such that DPU can review bills and letters prior to printing

* 2. The proposer must provide a process that will support DPU ‘pulling bills’ to prevent printing. If yes, please describe.

* 3. The proposer must have a process for reporting daily production status with DPU. Please explain.

Requirement Yes No Description

* 4. Proposer must provide confirmation of receipt of any files sent by DPU.

* 5. Please describe how production problems are communicated with DPU.

* 6. Proposer must supply a daily control report that can be used to ensure that all records sent by DPU are accounted for. DPU should be able to use this for daily auditing – how many bills (letters) sent to vendor, how many suppressed by vendor, how many suppressed by DPU, how many bills sent to USPS for mailing.

Project Management/Client Support Requirement Yes No Description * 1. Please describe your approach to managing a project such as this

* 2. Please provide a sample implementation plan * 3. Please provide an organization chart describing the project team you supply. Describe roles and responsibilities for each person and identify if the resource will be full or part time. 4. What roles do you recommend on the DPU side of the project

Requirement Yes No Description 5. Does the implementation project team consist of the same individuals that will be supporting DPU post implementation? * 6. What would be the estimated time, after contract signing, to transition to the vendor’s services for Printing, Inserting, and Mailing bills? 7. Please provide a sample of the invoice DPU would receive for project related services 8. Once in Production, will you dedicate staff members to the DPU account? * 9. Do you provide an account manager to the DPU account? * 10. Please provide titles, roles, and responsibilities of your staff that would be supporting DPU post go-live. * 11. What do propose as the issue or problem escalation procedure? Please provide documentation. * 12. What are your business hours for support? * 13. Please discuss how you will provide and which are available on a 24/7 basis:  account management  status reporting  contract management  audits  planning  setting priorities  problem reporting, logging, tracking, and resolution  service requests

Appendix D – Volume Estimates The following data is being provided as rough estimates to better deliver information to understand the system volume for key integration points. Please refer to Appendix E for the CWD process flow.

CWD Estimated Volume Metric Estimated Volume Estimated Volume Count (per day) Count (per Month) Bills produced per day (accounts sent for 40,000 – 50,000 800,000 EBPP and for Bill Print and Mailing) Remittance processed per day (i.e., 7,500 165,000 payments received per day for integration back into CC&B) Reminder Letters (e.g., past due letters) 9,000 produced a day for customer print and mail

CPP Estimated Volume Metric Estimated Volume Estimated Volume Count (per day) Count (per Month) Bills produced per day 5,000 – 8,000 92,000 Remittance processed per day 1,000 22,000 1st disconnect letter (included in bill) 650 2nd disconnect letter (mailed separately) 550

Appendix E – Current Process Flow for CWD EBPP and Billing Extract File Layout VENDOR Process Flow/Technical for CWD v6/9/12

Keybank Remittance Deposit Funds E-Mails Account Number: VENDOR FTP File Batch Process Guaranteed generated XXXXXXXXXXX SITE on FTP by from 7:00AM VENDOR

File Name = CWVND.DAT (dai ly billing file) Format of the CW File as follows: End of Day Reconciliation BILL_ID, ACCOUNT_ID, PREV_BAL, AMOUNT_DUE, CUSTOMER_NAME,CASH_ONLY_IND,CITY, PO STAL, BI LL_DATE,DUE_DATE Elavon Merchant VENDOR Document and Services Oracle CC&B Example Data Storage 00 00 93 08 638 10 1, 00 009300 00, 30 0.10, 36 0.12, JOS EPH S MITH, N, CLE VELAND, 44 124, 04-12-20 11, 05-02-2011 Credit Card Validation Credit Hold CWVND.DA T File Customer Credit VENDOR FTP Card Batch Process SITE

CBVNDWT R.DAT File

Customer CSR Payments File Name = CWVNDWTR.DAT (billing update file) Payments Format of the CW File as follows:

BILL_ID, ACCOUNT_ID, BILL_DATE, DUE_DATE, BILL_AMOUNT,CUSTOMER_NAME,POSTAL Example 00 00 93 08 638 10 1, 0000 93 00 00, 04-12-20 11, 05-02-20 11, 36 0.12, JOS EPH S MITH, 44 12 4 Appendix F – Sample Bills and Letters CWD The following bill sample and letters are being provided as sample correspondence that must be printed and sent to customers (bill and letter samples are subject to change and are being provided to assist with vendor scoping activities):

 CWD Sample Bill  Delinquent Notice  Replacement for obsolete meter  Appointment for water meter install  Final notice for payment  Check deficiency Notice

CPP The following bill sample and letters are being provided as sample correspondence that must be printed and sent to customers (bill and letter samples are subject to change and are being provided to assist with vendor scoping activities:

 Residential Bill  Back of Residential Bill  Disconnect Letter  Commercial Bill  Protective Light Bill City of Cleveland Division of Water Customer Name: 1201 Lakeside Avenue Account Number: Cleveland, OH 44114 Service Address:

Your account is past due. THIS IS A MONTHLY BILL Due Date: May 22, 2017

USAGE COMPARISON Page 1 of 2

Account Summary as of May 01, 2017 Previous Balance 20.88 Your Monthly Usage (in 1,000 cubic foot (MCF) increments) Payments Received 0.00 0.3 Balance Forward 20.88

0.2 Your current Bill has 2 Charges:* ❶Cleveland Water Charges (page 1) 16.13 0.1 ❷Local Charges (page 2) 4.75 Total Amount Due: 41.76 0.0 02/27 03/28 04/27

Meter Number Previous Meter Read Current Meter Read Usage/Consumption Date Read Type Date Read Type 03/28/2017 46.4 ESTIMATE 04/27/2017 46.6 ESTIMATE 0.2 MCF

❶ Cleveland Water Current Charges

? www.clevelandwater.com | Billing Questions: 216.664.3130 | Emergency: 216.664.3060

Save the Date! Get to know your H2O on Saturday, May 13, 2017 at our Know It, Love It Cleveland Water Open House in celebration of Drinking Water Week. Plan now to join us for a tour of a water treatment plant and fun activities for the whole family.

Our 2016 Water Quality Report provides valuable information about your water quality and is available to view or download at http://clevelandwater.com/2016WQR.pdf or by calling 216-664-2639 to request a paper copy.

Fixed Charge - 03-29-2017 to 04-27-2017 9.00 Water - 0.200 MCF at $35.63 for first 0.200 MCF 7.13 Cleveland Water Total 16.13

*Local and Other Current charges detailed on page 2

Please return this portion with payment made payable to City of Cleveland Division of Water - Do not send cash

Account Due Total Amount City of Cleveland Division of Water Number Date Amount Due Enclosed 1201 Lakeside Avenue 05/22/2017 $41.76 Cleveland, OH 44114

Amount Paid: $

Please make check payable to: City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540 0.-0../-0.00..-0.0.0/.0.//00---0-/-.-0.0./////.-0--00.00/-0.0-/.-

Check here and fill out the back of this slip if your billing address has changed or you are adding or changing your email address. Page 2 of 2 ❷ Local & Other Current Charges ? Questions on these items... please contact your city or municipality For questions about your Protection Service call 888-396-5374. Payment is required to avoid suspension of coverage or termination.

Billing Period 03-29-2017 to 04-28-2017 Protection Service - Water $3.25 per month 3.25 Billing Period 03-29-2017 to 04-28-2017 Protection Service - Preferred Restoration Water $1.50 per month 1.50 Local & Other Current Charges Total 4.75 City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address: Delinquent Balance: $441.85

Dear , DISCONNECTION NOTICE Water service to this property will be terminated as a result of non-payment on this account. To continue your service, a payment for the entire past due amount must be made immediately. Payments can be made online at www.clevelandwater.com, over the phone at (216) 664-3130, or in person at the Carl B. Stokes Department of Public Utilities Building, 1201 Lakeside Avenue in Cleveland. When making a payment online, please ensure to also speak to a Customer Service Representative at (216) 664-3130 so we may note your account that payment has been made. If payment for the entire past due balance is not received, water service will be terminated on or after April 3, 2017. If we disconnect your water service, the entire amount owed will be due, including the current balance, before we can restore your service. To discuss payment options for your account, please call (216) 664-3130 to speak with a Cleveland Water Customer Service Representative. If this is a residential property and you are the property owner, OR you are a resident with an approved Cleveland Water Tenant Agreement, and you dispute the scheduled termination of water service, you may be eligible to request a hearing before the Water Review Board. A written request must be submitted within ten (10) days of the receipt of this notice in person or via mail to Water Review Board, 1201 Lakeside Avenue, Cleveland, Ohio 44114 or by fax at (216) 664-4007. If you are a tenant, you will need to submit proof of residency for the disputed period (such as an electric, gas or cable bill) with your written or faxed request. Hearings cannot be requested by telephone. If you are a resident with a lease for the property and the property owner has failed to make payments, you may sign a Tenant Agreement with Cleveland Water to assume responsibility for payments to future bills in order to avoid disconnection. A deposit may also be required. Only one person can receive a bill for a meter. To request a Tenant Agreement, please speak to a Customer Service Representative at (216) 664-3130. Thank you for your prompt attention to this matter. Sincerely, Cleveland Water Phone: (216) 664-3130

Return this portion with payment. Make check payable to City of Cleveland Division of Water. Do not send cash.

City of Cleveland Division of Water Account Due Amount Amount PO Box 94540 Number Date Due Enclosed Cleveland, OH 44101-4540 PAST DUE $441.85

City of Cleveland Division of Water PO Box 94540

Cleveland,0.-0../-0.00..-0.0.0/.0.//00---0-/-.-0.0./////.-0--00.00/-0.0-/.- OH 44101-4540

Check here and fill out the back of this slip if your billing address has changed or you are adding or changing your email address. 5DISCONNOTIC City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 29, 2017

Account Number: Service Address:

Dear ,

This letter is to remind you of your appointment on April 20, 2017 to change or install a water meter at the above service address. If this appointment is not convenient, please call our office to reschedule. As a reminder, a broken appointment fee will be applied to your account if you do not call to reschedule.

It is necessary for someone over the age of 18 to be at the property during our installation hours between 8:30 AM to 3:30 PM Monday through Friday.

We would appreciate your cooperation in this matter.

Please call (216) 664-3130 if you have questions.

Sincerely,

Customer Service Cleveland Water Phone: (216) 664-3130 Fax: (216) 664-3038

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

APPTREMIND City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address:

PLEASE CALL 216-664-3130 IMMEDIATELY FOR METER INSPECTION AND REPAIR

Dear :

Thank you for upgrading your water meter through Cleveland Water’s Clear Reads program. The system at your property indicates there is a communication issue between your new meter and the endpoint transmitter. In order to diagnose the issue and make any necessary repairs, we need access to the water meter at your property as soon as possible.

Please call Cleveland Water at 216-664-3130 within the next 14 calendar days to allow access for your meter inspection and to schedule an appointment for repairs. No additional notice will be sent regarding this issue.

Failure to schedule an inspection and repair appointment will result in an estimated water bill and the water service to your property may be shut off as early as APRIL 10,2017. In the event your water service is shut off, repairs to the system at your property will be required before water service can be restored.

Again, please call Cleveland Water at 216-664-3130 within the next 14 calendar days to schedule an appointment.

Again, no additional notice will be sent regarding this issue. If you have already had this problem addressed, or scheduled an appointment, you may disregard this notice.

Thank you for helping Cleveland Water work smarter for you.

Sincerely, Cleveland Water 216-664-3130

*Manage your account, view your usage and go paperless - all from any device at www.clevelandwater.com.*

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

CUTCABLELTR2 City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address:

Dear ,

Thank you for returning your application for the Homestead Discount Program. After careful review, your application has been processed and approved.

The Homestead Discount will be applied pursuant to the City of Cleveland’s Codified Ordinances 535.04 and 535.05 to future bills with Cleveland Water and, if applicable, Northeast Ohio Regional Sewer District.

Should you have any questions, please call (216) 664-3130 for more information.

Sincerely,

Customer Account Services Department of Public Utilities Division of Water

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

HOMEAPPRVD City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address:

Dear ,

Thank you for returning your application for the Homestead Discount Program. After careful review, we regret to inform you that you are ineligible to receive discounted rates through the Homestead Discount Program due to one or more of the following reasons:

Ø Total annual income exceeds the limit Ø Property is not owner-occupied Ø Property not owned by applicant Ø Sufficient proof of disability was not provided

Pursuant to the City of Cleveland’s Codified Ordinances 535.04 and 535.05, after the current Homestead Discount Program expires, regular rates will appear on all future bills associated with Cleveland Water and, if applicable, the Northeast Ohio Regional Sewer District.

Should you have any questions, please call (216) 664-3130 for more information.

Sincerely,

Customer Account Services Department of Public Utilities Division of Water

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

HOMEDENY1 City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

April 12, 2017

Account Number: Service Address:

Dear ,

Thank you for returning your application for the Homestead Discount Program. Although you are currently enrolled in Cleveland Water’s Homestead Discount Program, you will need to provide additional information or document(s), as indicated below, to continue receiving the discounted rate.

Ø Date of Birth Ø Income section incomplete and/or supporting documents needed Ø Physician’s Statement section incomplete (if applicable) Ø Proof of Disability (if applicable) Ø Signature(s) missing

Should you have any questions regarding this important program, please call (216) 664-3130 for more information.

Sincerely,

Customer Account Services Department of Public Utilities Division of Water

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

HOMEPEND City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

April 05, 2016

Account Number: Service Address: Meter Number:

Dear Customer:

As a courtesy, we are contacting you because the data transmitted from your Clear Reads automated meter is showing a continuous increase in your water usage. This can often be the sign of a leak on your property. To limit damage to your home or business, to conserve water, and to avoid a high water bill, we encourage you to check your property as soon as possible for:

• Dripping faucets or shower heads • Leaking water in the basement or outside spigots • Leaking or running toilets

These conditions, as well as others, can be responsible for hundreds of gallons of water loss daily. In most cases, these conditions can be easily fixed. However, if not repaired, these conditions can cause excess water consumption and result in higher water bills.

You can visit our website at http://www.clevelandwater.com/hometips to review possible conditions that could be the cause of the increase in your water consumption and how to detect and prevent them.

As part of Cleveland Water’s enhanced customer service initiative, you can also tap into our MyClevelandWater web portal. Register your account at www.clevelandwater.com to sign up for automatic leak detection alerts, view and pay your bills online, make payments with no fees and eliminate paper bills. If you have additional questions or need further assistance, please contact Cleveland Water at 216-664-3130 and ask to speak to a Customer Service Representative.

Sincerely, Cleveland Water

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

LEAKLETTER City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

October 04, 2016

Account Number: Service Address:

Dear ,

This letter is to inform you that the recent meter change completed by Cleveland Water on the above property shows large consumption. Cleveland Water is required to bill your account according to the reading obtained from the basement meter. When you receive your current bill, it will include charges for the consumption on both the old and the new meter.

For your information, I listed the charges related to the reading from the old basement meter:

• Consumption on the old meter • Water charges for above consumption • Sewer charges for the above consumption

You will receive your next bill at the regular quarterly billing cycle. I hope this information is beneficial to you. If you have any questions, feel free to contact our office at (216) 664-3130.

Sincerely,

Customer Service Cleveland Water Phone: (216) 664-3130 Fax: (216) 664-3038

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

MTRCHNGLT Northeast Ohio Regional Sewer District neorsd.org

-Iu+Ue5bvKH/ March 27, 2017 -

Account Number: Service Address: Delinquent Balance: $92.70

If payment for the entire past due balance is not received, water service will be terminated on or after April 3, 2017. If we disconnect your water service, the entire amount owed will be due, including the current balance, before we can restore your service. To discuss payment options for your account, please call (216) 664-3130 to speak with a Customer Service Representative.

If this is a residential property and you are the property owner, OR you are a resident with an approved Cleveland Water Tenant Agreement, and you dispute the scheduled termination of water service, you may be eligible to request a hearing before the Water Review Board. A written request must be submitted within ten (10) days of the receipt of this notice in person or via mail to Water Review Board, 1201 Lakeside Avenue, Cleveland, Ohio 44114 or by fax at (216) 664-4007. If you are a tenant, you will need to submit proof of residency for the disputed period (such as an electric, gas or cable bill) with your written or faxed request. Hearings cannot be requested by telephone.

If you are a resident with a lease for the property and the property owner has failed to make payments, you may sign a Tenant Agreement to assume responsibility for payments to future bills in order to avoid disconnection. A deposit may also be required. Only one person can receive a bill for a meter. To request a Tenant Agreement, please speak to a Customer Service Representative at (216) 664-3130.

In addition to the Water Review Board hearing process, any customer disputing NEORSD sewer charges may request a hearing with the NEORSD Hearing Officer by submitting a written request via email at [email protected] or to NEORSD Hearing Officer, 3900 Euclid Avenue, Cleveland, Ohio 44115 or please call (216) 881-8247 with any questions regarding the NEORSD hearing process. Thank you for your prompt attention to this matter. Sincerely, Northeast Ohio Regional Sewer District Billing Agent Phone: (216) 664-3130 PLEASE FOLD ON PERFORATION BEFORE TEARING - RETURN BOTTOM PORTION WITH YOUR PAYMENT

Northeast Ohio Regional Sewer District Account Due Total Amount PO Box 94970 Date Due Cleveland, OH 44101 PAST DUE $92.70

Amount Paid: $______

1 1 MB 0.423 P:1 T:1 ***

Please make check payable to: - Northeast Ohio Regional Sewer District PO Box 94550 Cleveland, OH 44101-4550

NEORDISCONN City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address:

Dear ,

Our records indicate there is no water meter installed at the above referenced property. An appointment must be scheduled for the installation of a water meter and outside reading device. By having this equipment installed, Cleveland Water will be able to obtain actual readings from your water meter which will assist with providing accurate water bills.

Please contact Customer Service at (216) 664-3130 Monday through Friday between the hours of 7:00 AM to 6:00 PM. It is necessary for an adult to be present at the property during the installation. Appointments are available between the hours of 8:30 AM and 3:30 PM Monday through Saturday.

We hope this information has been helpful to you. Thank you for your prompt attention to this matter.

Sincerely,

Customer Service Cleveland Water Phone: (216) 664-3130 Fax: (216) 664-3038

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

NOMTRLT City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017 )Eq'Aa1^rHD+

Account Number

Service Address

Dear

This letter serves as confirmation of your Payment Plan Terms. The current term bill must be paid as it is due in order to stay on this Payment Plan. This is in addition to the Payment Plan amount. The current bills will have the total owing listed as the amount due. You only need to pay the new Charges. The Payment Plan payments are due monthly.

IF YOU SHOULD FAIL TO PAY THE SCHEDULED PAYMENTS ON OR BEFORE THE DUE DATE, OR ANY CURRENT WATER AND/OR SEWER CHARGES, THEN THE ENTIRE AMOUNT SHALL BECOME DUE. ALSO, ANY TRANSFER OF TITLE TO THIS PROPERTY WILL RENDER THIS PLAN NULL AND VOID AND THE TOTAL BALANCE MUST BE PAID IN FULL, OR AN EQUAL AMOUNT HELD IN ESCROW IN ACCORDANCE WITH CITY OF CLEVELAND ORDINANCES: 535.41 AND 535.42.

Payment Plan Terms

Total Plan Amount: $235.33

Payment Plan Due Date Payment Amount 03/29/2017 $70.60 04/29/2017 $54.91 05/29/2017 $54.91 06/29/2017 $54.91 Thank you City of Cleveland Division of Water

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

000027

)Eq'Aa1^rHD+

City of Cleveland Division of Water PO Box 94540

Cleveland, OH 44101-4540 City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address: Check Amount: $176.96 Check Posting Date: March 08, 2017 Check Number:

Check Deficiency Notice

The above check has been returned to Cleveland Water and your account has been assessed a fee of $34.00 for ACCOUNT CLOSED. To resolve this matter, you must meet with a Collections Department Representative at 1201 Lakeside Avenue at which time you must submit payment for the Returned Item Fee and your amount due for a total balance due of $34.00. This payment must be made in cash, money order or certified check.

If you have any questions regarding this matter, please contact the Cleveland Water Collections Department at (216) 664-2700.

Sincerely,

Collections Department Cleveland Water (216) 664-2700

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

REGRTNITEMLT City of Cleveland Division of Water 1201 Lakeside Avenue Cleveland, OH 44114-1132

March 27, 2017

Account Number: Service Address: Check Amount: $222.22 Check Posting Date: March 23, 2017 Check Number:

Check Deficiency Notice

The above check has been returned to the Division of Water and your account has been assessed a fee of $34.00 for INCORRECT BANK ACCOU. To resolve this matter, you must meet with a Collections Department Representative at 1201 Lakeside Avenue at which time you must submit payment for the returned item fee and your amount due for a total balance due of $188.22. This payment must be made in cash, money order or certified check.

A review of this account over the past 12 months shows that 05 checks have been returned. Due to this payment history, checks will no longer be accepted as a form of payment on your account. All future payments must be made in cash, money order, or certified check.

If you have any questions regarding this matter, please contact the Cleveland Water Collections Department at (216) 664-2700.

Sincerely,

Collections Department Cleveland Water Phone: (216) 664-2700

City of Cleveland Division of Water PO Box 94540 Cleveland, OH 44101-4540

SEVRTNITEMLT

Northeast Ohio Regional Sewer District 3900 Euclid Avenue

Cleveland, OH 44115 -Iu+EDE5bvKH/

April 13, 2017

Account Number: Service Address: Parcel ID: Delinquent Balance: $92.70

Dear , DELINQUENCY NOTICE

Our records indicate a delinquent balance of $92.70 for stormwater service at the above address.

This is an attempt to collect a past due balance on your account. Failure to bring your account current will result in further collection actions which may include, but are not limited to, the levying of a Special Assessment against the above referenced Service Address.

Please remit your payment in full today to NEORSD, PO Box 94550, Cleveland, OH 44101.

If you are experiencing financial hardship, please contact NEORSD Customer Service at (216) 881-8247 to make satisfactory payment arrangements. If you have any other questions regarding your stormwater charge also contact District Customer Service at the above number.

Please disregard this notice if payment in full has been made.

Thank you for your prompt attention to this matter.

Northeast Ohio Regional Sewer District Phone: (216) 881-8247

PLEASE FOLD ON PERFORATION BEFORE TEARING - RETURN BOTTOM PORTION WITH YOUR PAYMENT

Northeast Ohio Regional Sewer District Account Due Total Amount 3900 Euclid Ave Date Due Cleveland, OH 44115 PAST DUE $92.70

Amount Paid: $______

8 1 MB 0.423 P:1 T:1

Please make check payable to: Northeast Ohio Regional Sewer District PO Box 94550 Cleveland, OH 44101-4550

SWODELINQ Northeast Ohio Regional Sewer District 3900 Euclid Avenue

Cleveland, OH 44115 -Iu+Ee5bvKH/

March 29, 2017

Account Number: Service Address: Parcel ID: Delinquent Balance: $231.75

Dear , POTENTIAL LIEN NOTICE

Our records indicate a delinquent balance of $231.75 for stormwater service at the above address. These charges have been incurred over a period of time and may not include current bills or recent payments.

Pursuant to Section 6119.06(W) of the Ohio Revised Code, delinquent stormwater charges may be certified and a lien may be placed on your tax duplicate for collection. If payment in full or satisfactory payment arrangements on the above referenced account has not been received by January 06, 1900, the entire delinquent amount will be certified and will be collected in the same manner as other taxes.

If you have any questions or desire additional information, please contact NEORSD Customer Service at (216)-881-8247.

Thank you.

Northeast Ohio Regional Sewer District

PLEASE FOLD ON PERFORATION BEFORE TEARING - RETURN BOTTOM PORTION WITH YOUR PAYMENT

Northeast Ohio Regional Sewer District Account Due Total Amount 3900 Euclid Ave Date Due Cleveland, OH 44115 PAST DUE $231.75

Amount Paid: $______

107 1 SP 0.460 P:0 T:1

-Iu+Ee5bvKH/ Please make check payable to: Northeast Ohio Regional Sewer District PO Box 94550 Cleveland, OH 44101-4550

SWOLIEN

Appendix E – CWD File Layout Specifications BILL PRINT EXTRACT LAYOUT Printer Keys (Record Types) The following table defines each printer key (i.e., record type) on the bill print flat file.

Record Type Description Notes 10 Global extract information Required. 1 per flat file. 100 Bill record Required. 1 per bill. 300 Current charge record 1 per current charge. 600 Payment record 1 per payment. 900 Premise record 1 per premise. 1100 Service agreement record 1 per SA linked to the premise. 1300 Bill segment record 1 per bill segment linked to the SA. 1500 Bill calculation header 1 per bill calculation header linked to the bill segment. 1700 Bill calc line 1 per bill calculation line linked to the bill calculation header 1900 End of record type 1500 1 for each bill calculation header 2100 Read detail 1 for each meter read detail linked to the bill segment 2400 Service quantity detail 1 for each service quantity detail linked to the bill segment 2700 Item detail 1 for each item detail linked to the bill segment 2840 Bill segment messages 1 for each message detail linked to the bill segment 2900 End of record type 1300 1 for each bill segment 3100 Consumption history (for graph) 1 for each historical consumption period that appears on the graph 3400 Adjustment detail 1 for each adjustment 3600 End of record type 1100 1 for each service agreement Record Type Description Notes 3700 End of record type 0900 1 for each premise 3900 Bill message detail 1 for each message 9999 End of record type 0100 1 for each bill

Sort Key The following table defines the structure of the sort key that appears on each bill print record. Please note that different components are filled in for each printer key.

Field Name Format Source/Value/Description Bill Print Intercept A8 This is the user ID, if any, who reviews the bill (as specified on the account record) Bill ID A12 Sequence Number N2 The sequence number of the account / person information associated with this bill routing information. Copy Number N1 The number of copies desired by the account / person associated with this bill routing information. Bill record group A2 10 Bill 20 Payment 30 Current charge 40 Message 50 Non-Premise 55 Non-Premise end 60 Premise 70 Bill end Filler A2 Premise State A6 Only applicable for Premise based records. Premise City A30 Only applicable for Premise based records. Premise Address 1 A64 Only applicable for Premise based records. Premise Id A10 Only applicable for Premise based records. Premise record group A2 10 Premise record 20 SA level record 30 Premise end record SA Print Priority A2 SA Id A10 SA Group A2 For Premise based records: 10 SA 20 Histogram 30 Current charge 40 Adjustment 50 SA end record For Non-Premise based records: 10 SA 20 Current Charge 30 Adjustment 40 SA end record Bill Segment End Date A10 If the record is related to an adjustment, this is the adjustment creation date. If the record is for histogram detail, this contains the histogram detail number. Bill Segment Id A12 If the record is related to an adjustment, this is the adjustment ID. Bill Segment Group A2 10 Bill segment 20 Bill segment calculation group 30 Bill segment read detail 40 Bill segment SQ detail 50 Bill segment item detail 55 Bill segment message 60 Bill segment end Bill Calc Header Sequence N2 For records related to read detail, SQ detail, item detail or bill message detail, this field contains the related sequence number for that record. Bill Calc Header Group A2 10 Bill calculation header 20 Bill calculation line 30 Bill calculation end Line Seq N3 Defines order of rows for similar record types Filler 65 Only applicable for non-premise based records. (This makes up for the premise address related fields that are not applicable above).

Mailing Key The following table defines the structure of the mailing key that appears on each bill print record.

Field Name Format Source/Value/Description Postal code A12 This is the postal code on the bill routing record.

Bill Information The topics in this section describe the information that appears on each on each bill print record. Contents

Global Extract Information Record (0010)

Bill Record (0100)

Current Charge Record (0300)

Payment Record (0600)

Premise Record (0900)

Service Agreement Record (1100)

Bill Segment Record (1300) Bill Calc Header Record (1500)

Bill Calc line Record (1700)

End Bill Calc Header Record (1900)

Bill Segment Read Record (2100)

Bill Segment SQ Record (2400)

Bill Segment Item Record (2700)

Bill Segment Message Record (2840)

End Bill Segment Record (2900)

Histogram Record (3100)

Adjustment Record (3400)

End Service Agreement Record (3600)

End Premise Record (3700)

Message Record (3900)

End Bill Record (9999)

Address Sub-record Global Extract Information Record (0010) This is a “header” record that contains information about the extract run as a whole. Note. Please be aware that if you do not sort your extract file by CIS Sort Key after it is produced, this record will physically be the last record on the extract file.

Field Name Format Source/Value/Description BATCH_CD A8 Batch Control Code of the extract process. BATCH_NBR N10 Batch Number of the extract process BATCH_RERUN_NBR N10 Batch Rerun number of the extract process. BILL_CNT N10 Count of bills on this extract. Multiple copies of a bill are counted multiple as well. EXTRACT_DTTM A26 System time of extraction. Also updated in bill routing table. BILL_ID_START A12 This is only used when a bill is produced as a result of an online request (from Bill – Main). It contains the Bill Id to extract. BILL_ID_END A12 This is only used when a bill is produced as a result of an online request (from Bill – Main). It contains the Bill Id to extract. THREAD_NBR N10 This field is only used if bills are extracted in batch. It contains the thread number in which the bill was extracted. THREAD_CNT N10 This field is only used if bills are extracted in batch. It contains the total number of threads that were extracted.

Bill Record (0100) Field Name Format Source/Value/Description BILL_ID A12 CI_BILL ACCT_ID A10 CI_BILL BILL_DT D CI_BILL DUE_DT D CI_BILL COPY_NBR N1 NBR_BILL_COPIES N1 CI_BILL_RTG BILL_PRT_INTERCEPT A8 CI_BILL_RTG

BILL_FORMAT_FLG A2 CI_BILL_RTG REPRINT_SW A1 CI_BILL_RTG CASH_ONLY_SW A1 CUR_BAL S13.2 CI_BILL_SA CUR_CHG_AMT S13.2 CI_FT CUR_CORR_AMT S13.2 CI_FT CUR_ADJ_AMT S13.2 CI_FT CUR_PAY_AMT S13.2 CI_FT CUR_PREV_BAL S13.2 CI_FT TOT_BAL S13.2 CI_BILL_SA TOT_CHG_AMT S13.2 CI_FT TOT_CORR_AMT S13.2 CI_FT TOT_ADJ_AMT S13.2 CI_FT TOT_PAY_AMT S13.2 CI_FT TOT_PREV_BAL S13.2 Computed during extract. CURRENCY_CD A3 CI_BILL_SA DELINQUENT_AMT S13.2 Computed during extract. CUST_PO_ID A20 CI_BILL_RTG ACCT_ENTITY_NAME A64 CI_PER_NAME. Account Entity Name. Might include prefix/suffix from Account/Person if available. ENTITY_NAME A64 CI_BILL_RTG. Mailing Entity Name. ADDRESS_SBR A361 CI_BILL_RTG. Refer to its components in a later section. FINAL_BILL_SW A1 Computed during extract. Contains a value of Y if this bill is considered to be a “final” bill. SCHED_EXTRACT_DT D CI_APAY_CLR_STG. This is the date that the automatic payment will be downloaded. ENTITY_NAME1 A64 CI_BILL_RTG. Mailing Entity Name1. ENTITY_NAME2 A64 CI_BILL_RTG. Mailing Entity Name2. ENTITY_NAME3 A64 CI_BILL_RTG. Mailing Entity Name3. ACCT-CUR-SYMBOL A4 Currency symbol for the account’s currency code.

Current Charge Record (0300) Field Name Format Source/Value/Description DEBT-CLASS-CD A4 Debt Class of SA Type DEBT-CLASS-DESCR A30 Debt Class Description CUR-CHARGE-AMT S13.2 Derived from CI_FT (Only the current charge bill segments.) TOT-CHARGE-AMT S13.2 Derived from CI_FT (Only the current charge bill segments.)

Payment Record (0600) Field Name Format Source/Value/Description FT TYPE A2 From CI_SA or CI_BSEG PAY-DT D Derived from CI_FT CAN_RSN_CD A4 Derived from CI_PAY, Only for cancellation CAN-RSN-DESCR A30 Derived form CI_PAY_CAN_RSN CUR-PAY-AMT S13.2 Derived from CI_FT. TOT-PAY-AMT S13.2 Derived from CI_FT.

Premise Record (0900) Field Name Format Source/Value/Description NON_PREM_SW A1 Y/N switch to indicate (Y) special (non- premise) premise record. This is for non- premise service agreements such as charity or payment arrangement. PREM_ID A10 From CI_SA or CI_BSEG ADDRESS_SBR A361 Service Address (Address of Char Premise) from CI_PREM. Refer to its components in a later section.

Service Agreement Record (1100) Field Name Format Source/Value/Description SA_ID A10 CI_SA OLD_ACCT_ID A15 CI_SA CUST_READ_FLG A2 CI_SA SIC_CD A4 CI_SA SIC_DESCR A30 CI_SIC BUSINESS_UNIT A10 CI_SA SA_TYPE_CD A8 CI_SA SA_TYPE_DESCR A30 CI_SA_TYPE SA_TYPE_DFLT_DESCR A80 CI_SA_TYPE

SVC_TYPE_CD A2 CI_SA_TYPE SVC_TYPE_DESCR A30 CI_SVC_TYPE REV_CL_CD A8 CI_SA_TYPE CHAR_PREM_ID A10 CI_SA SA_REL_ID A10 CI_SA_REL SA_REL_TYPE_CD A8 CI_SA_REL SA_REL_TYPE_DESCR A30 CI_SA_REL_TYPE

SPR_CD A12 CI_SA_REL SPR_DESCR A50 CI_SPR SPR_ENTITY_NAME A64 CI_PER_NAME (this is the service provider’s person’s name)

Bill Segment Record (1300) Field Name Format Source/Value/Description START_DT D CI_BSEG END_DT D CI_BSEG CLOSING_BSEG_SW A1 CI_BSEG EST_SW A1 CI_BSEG BILL_CYC_CD A4 CI_BSEG SQ_OVERRIDE_SW A1 CI_BSEG ITEM_OVERRIDE_SW A1 CI_BSEG BSEG_STAT_FLG A2 CI_BSEG CAN_RSN_CD A4 CI_BSEG CAN_RSN_DESCR A30 CI_BILL_CAN_RSN CUR_AMT S13.2 CI_FT TOT_AMT S13.2 CI_FT

Bill Calc Header Record (1500) Field Name Format Source/Value/Description START_DT D CI_BSEG_CALC END_DT D CI_BSEG_CALC SETID A10 CI_BSEG_CALC RS_CD A8 CI_BSEG_CALC CALC_AMT S13.2 CI_BSEG_CALC DESCR_ON_BILL A80 CI_BSEG_CALC Bill Calc line Record (1700) Field Name Format Source/Value/Description APP_IN_SUMM_SW A1 CI_BSEG_CALC_LN CALC_AMT S13.2 CI_BSEG_CALC_LN EXEMPT_AMT S13.2 CI_BSEG_CALC_LN UOM_CD A4 CI_BSEG_CALC_LN TOU_CD A8 CI_BSEG_CALC_LN SQI_CD A8 CI_BSEG_CALC_LN BILL_SQ S12.6 CI_BSEG_CALC_LN DESCR_ON_BILL A80 CI_BSEG_CALC_LN

End Bill Calc Header Record (1900) Field Name Format Source/Value/Description Dummy field

Bill Segment Read Record (2100) Field Name Format Source/Value/Description SP_ID A10 CI_BSEG_READ BADGE_NBR A16 CI_MTR UOM_CD A4 CI_BSEG_READ TOU_CD A8 CI_BSEG_READ RDG_DEC_POS N1 CI_REG. Decimal positions of the reads. START_REG_READING S9.6 CI_BSEG_READ

START_READ_DTTM T CI_BSEG_READ START_ESTIMATE_SW A1 CI_REG_READ

END_REG_READING S9.6 CI_BSEG_READ END_READ_DTTM T CI_BSEG_READ END_ESTIMATE_SW A1 CI_REG_READ MSR_QTY S12.6 CI_BSEG_READ USAGE_FLG A2 CI_BSEG_READ USE_PCT N3 CI_BSEG_READ HOW_TO_USE_FLG A2 CI_BSEG_READ CONSUM_SUB_FLG A2 CI_REG MSR_PEAK_QTY_SW A1 CI_BSEG_READ REGISTER_CONST S6.6 CI_BSEG_READ QTY_DEC_POS N1 CI_UOM. Decimal positions of the final quantity. FINAL_UOM A4 CI_BSEG_READ FINAL_TOU A8 CI_BSEG_READ FINAL_REG_QTY S12.6 CI_BSEG_READ SQI_CD A8 CI_BSEG_READ FINAL_SQI_CD A8 CI_BSEG_READ

Bill Segment SQ Record (2400) Field Name Format Source/Value/Description UOM_CD A4 CI_BSEG_SQ TOU_CD A8 CI_BSEG_SQ SQI_CD A8 CI_BSEG_SQ SQ_DEC_POS N1 CI_BSEG_SQ BILL_SQ S12.6 CI_BSEG_SQ

Bill Segment Item Record (2700) Field Name Format Source/Value/Description START_DT D CI_BSEG_ITEM END_DT D CI_BSEG_ITEM ITEM_CNT S9.2 CI_BSEG_ITEM ITEM_DESCR A30 CI_ITEM_TYPE

Bill Segment Message Record (2840) Field Name Format Source/Value/Description BILL_MSG_CD A4 CI_BSEG_MSG MSG_ON_BILL A254 CI_BILL_MSG_L

End Bill Segment Record (2900) Field Name Format Source/Value/Description Dummy field

Histogram Record (3100) Field Name Format Source/Value/Description UOM_CD A4 CI_SA_TYPE TOU_CD A8 SQI_CD A8 SQ_DEC_POS N1 CI_UOM. Decimal positions of SQ. SQ_CNT N2 Count of SQ (maximum of 13.) MAX_BILL_SQ S12.6 Maximum Bill SQ from list. This is derived from CI_BSEG_READ. SQ_DT (1:13) D Date (for label of the SQ). This is derived from CI_BSEG. BILL_SQ (1:13) S12.6 (1:13) 13 occurrences of QTY, one for each period ending on the SQ_DT. This is derived from CI_BSEG_READ.

Adjustment Record (3400) Field Name Format Source/Value/Description ADJ_DT D CI_FT FT_TYPE_FLG A2 CI_FT CUR_AMT S13.2 CI_FT TOT_AMT S13.2 CI_FT ADJ_TYPE_CD A8 CI_ADJ ADJ_TYPE_DESCR A30 CI_ADJ_TYPE DESCR_ON_BILL A80 CI_ADJ_TYPE CAN_RSN_CD A4 CI_ADJ CAN_RSN_DESCR A30 CI_ADJ_CAN_RSN

End Service Agreement Record (3600) Field Name Format Source/Value/Description Dummy field

End Premise Record (3700) Field Name Format Source/Value/Description Dummy field

Message Record (3900) Field Name Format Source/Value/Description BILL_MSG_CD A4 CI_BILL_MSGS MSG_PRIORITY_FLG A2 CI_BILL_MSG INSERT_CD A8 CI_BILL_MSG MSG_ON_BILL A254 CI_BILL_MSG

End Bill Record (9999) Field Name Format Source/Value/Description Dummy field Address Sub-record The address sub-record that appears in both the bill record (0100) and the premise record (0900) is composed of the following: Field Name Format Description COUNTRY A3 ADDRESS1 A64 Refer to The Source Of Bill Routing Information for a description of conditions when this field will contain a fax number or an Email address rather than the first line of a postal address (this only occurs for a bill

record (0100)). ADDRESS2 A64 ADDRESS3 A64 ADDRESS4 A64 CITY A30 NUM1 A6 NUM2 A4 HOUSE_TYPE A2 COUNTY A30 STATE A6 POSTAL A12 GEO_CODE A11 IN_CITY_LIMIT A1

The bill print layout extracts are subject to change and are being provided to assist with vendor scoping activities. CWD PAYMENT FILE LAYOUT . Record Type 1: File Header Record

Character Field Field Name Format Source Length Position (Chars)

1 '1'  File Header Record 01-01 Record Code Constant Type

Constant Constant 'CWD PAYMENT FILE' 02-22 21

1 Filler Space 23-23

Date File Creation Date 24-31 8 YYYYMMDD 32-35 4 Time HHMM File Creation Time 36-65 30 Character Bank Name Default to: NCB Note: This is the External Source Id defined on the Tender Source in CC&B.

15 Filler Spaces 66-80

Sample Layout of a File Header Record – 1CWD PAYMENT FILE 200810011602BANK NAME

. Record Type 5: Batch Header Record

Character Field Field Name Format Source Length Position (Chars)

1 '5'  Batch Header 01-01 Record Type Constant Record Type

System generated batch

number which starts Batch Number Number 02-05 4 with '0001' and increments by 1 and is unique for a Batch.

Constant/Filler Number '0000000001' 06-15 10

8 Extract Date Extraction Date 16-23 YYYYMMDD 24-80 57 Filler Spaces

Sample Layout of a Batch Header Record – 50101000000000120081001

. Record Type 6: Payment Detail Record

Field Character Length Field Name Format Source Position (Chars)

'6'  Payment Detail 1 01-01 Record Type Constant Record Type System generated batch 02-05 4 Batch Number Number number.

System generated Transaction Number, Transaction 6 Number which starts with 06-11 Sequence Number '000001' for every batch and increments by 1 and is unique for each Batch.

10 Amount 12-21 PIC 9(8)V99 Total Payment Amount

CC&B Customer Account 12 Account Number Number 22-33 Number Payment Type will be one of the following values:

4 Payment Type Character 34-37 1. CASH or 2. CHEC or 3. CC (Credit Card)

Field Character Length Field Name Format Source Position (Chars)

If no value, default to CHEC.

38-80 43 Filler Spaces

Sample Layout of a Payments Detail Record – 6010100000100000024130000733303001

. Record Type 7: Payment Detail Addenda Record (Optional for CC&B)

Sample Layout of a Payment Detail Addenda Record-

Character Field Field Name Format Source Length Position (Chars)

1 '7'  Payment Detail 01-01 Record Type Constant Addenda Record Type Customer Name from the 02-41 40 Customer Name Character 820 CTX file, if provided. Check Number from the 820 42-51 10 Number Check Number CTX file, if provided. MICR ID from the 820 CTX 52-71 20 MICR ID Character file, if provided. 72-80 9 Filler Spaces

7CUSTOMER NAME0504123456789

. Record Type 8: Batch Trailer Record

Character Field Field Name Format Source Length Position (Chars)

1 '8'  Batch Trailer Record 01-01 Record Code Constant Type System generated batch number which starts with Batch Number '0001' and increments by 1 02-05 4 Number and is unique for each Batch. 06-15 10 Constant Number '0000000010'

8 Trailer Date Extraction Date 16-23 YYYYMMDD Total Number of Total Number of Checks in 24-27 4 Number Checks the Batch. Total Amount of Dollars for Total Batch the Batch. Should be equal 28-39 12 PIC 9(10)V99 Amount to the sum of all the payments for that batch. Total Number of 40-45 6 Total Batch Docs Number Documents in the Batch. Validation - Should be equal

Character Field Field Name Format Source Length Position (Chars)

to total number of Payments for the Batch. 46-80 35 Filler Spaces

Sample Layout of a Batch Trailer Record – 801010000000010200810010348000015904460348

. Record Type 9: File Trailer Record

Character Field Field Name Format Source Length Position (Chars)

1 '9'  File Trailer Record 01-01 Record Type Constant Type

Filler Constant 02-14 13 '9999999999999'

8 File Date 15-22 YYYYMMDD Total Number of Documents in the File.

Validation - Should be equal Number 23-28 6 Total Documents to total number of Payments of all the Batches processed (SUM (Total Batch Docs)).

Total Amount of Dollars for the File. 12 Total Amount 29-40 PIC 9(10)V99 Validation – Should be equal to the sum of all the payments. (SUM (Total Batch Amount)).

Character Field Field Name Format Source Length Position (Chars)

40 Filler Spaces 41-80

Sample Layout of a File Trailer Record – 99999999999999200810010348000000165149

The payment file layout extract is subject to change and are being provided to assist with vendor scoping activities.

Appendix H – CPP File Layout Specifications CPP BILL FILE LAYOUTS The following bill file layouts (subject to change) are being provided to the proposer to assist in project scoping:

 Residential Bill

 Commercial Bill

 Protective Lighting

 Pole

CPP REMITTANCE FILE SPECIFICATION Position Field Name Length Description

1-13 Acct-Number 13 7 digit customer – 6 premise

14-20 Scan Amount 7

21-24 Transaction number 4

25-27 Sub-Tran-number 3 Sequence number within batch

29-29 TX-ID 1 S,M,L single, multi, or last

30-39 Check-Amt 9 Accepted amount to post

40-48 Transaction Amt 9 In multi – will be zero until last item

49-56 Collection date 8 Date of transaction

57-80 Filler 23 Spaces-important!

The remittance file layout extract is subject to change and is being provided to assist with vendor scoping activities.

VENDOR ACCOUNT BALANCE AND PAYMENT RULES The following file is sent daily to the EBPP vendor for balance and a record of the form of payment by customer account.

Field Description

Account The customer Account number

Balance The customer account balance

CC Credit card payment accepted – Y or N

ACH ACH payment accepted – Y or N

The vendor account balance and payment rules file specification is subject to change and is being provided to assist with vendor scoping activities.

City of Cleveland Professional Services Contracts Reimbursables Policy 01/01/2017

The following constitutes the City of Cleveland’s Reimbursables policies to be used in the City’s Professional Services Contracts.

1. Direct Labor vs. Reimbursables All expenditures in Professional Service Contracts shall fall into one of two categories: Direct Labor, and Reimbursables. Direct Labor shall mean the hourly work (billed by the appropriate hourly rates and multipliers) of the Prime Consultant and all identified Professional Subconsultants. Any expenditure that is not the Direct Labor of the Prime Consultant nor the Subconsultants shall be considered a Reimbursable expenditure.

2. Labor Multipliers In order to be considered responsive, the Prime Consultant and each Subconsultant shall submit with its proposal the labor multipliers to be used on this project. Each Prime Consultant and Subconsultant shall acknowledge that the following items are included in their multipliers: 2.1 Direct Labor 100.00%

2.2 Fringe Benefits: Vacation Holiday Sick Time Career Development Incentive Compensation Cap Contribution Social Security Taxes State Unemployment Federal Unemployment Health & Dental Insurance Worker’s Compensation Retirement

2.3 Overhead Salaries Admin. & Office General Committees & Societies Bids & Proposals Technical Research Marketing Strategic Programs

2.4 Overhead Expenses Admin & Office General Travel Committees and Societies Bid & Proposal Costs Technical Research Marketing Strategic Programs * Rent Expense * Telephone & Telegraph * Engineering & Office Supplies * Engineering & Office Printing Depreciation * Furniture & Equipment Rental Subscriptions Dues to Professional Societies Repairs * Postage Library * Lease Car Temporary Help Recruiting * Computer Expense Audit & General Legal Consulting Fees General Insurance Professional Liability Insurance Misc. & Other Legal Expenses Home Office Allocations Real Estate/Property Tax Fringe Benefits on Overhead Salaries Profit

The portions of the items designated by an asterisk (*) above that are not dedicated to this project shall be included in the Consultant's multipliers. The Project portion of the asterisked items (*) shall be subject to the other conditions enumerated in this policy. The Consultant shall ensure that all portions of all other items listed above are included in its multipliers, and not include portions in the reimbursables submittal. The Consultant shall also ensure that all of the following indirect labor is included in the multiplier and not in the direct labor fees: executives; business development staff; accountants; overtime, except where required by law; and time devoted to contract preparation. 3. Reimbursables List The Consultant shall submit with its Proposal an extensive and detailed list of all expected reimbursable items, with estimated cost. This list shall be finalized, in a format approved by the City, during contract negotiation. No other reimbursable expenses will be allowed on the project, unless pre-authorized by the City in writing.

Each quarter, the Consultant shall submit, for the City’s review and approval, an updated projection of the reimbursables list. This projection shall indicate each item in the reimbursables list, and for each item, the original budget amount, the most recently approved budget amount, the amount spent to date, the estimated amount still needing to be expended, and the new, requested budget amount, if needed. The Consultant will be allowed to recommend moving funds between items, but the City must grant such approval in writing. The Consultant shall not be allowed to expend funds on any line item in excess of the approved budget amount for that line item, until the City approves a modification to the budget amounts that would allow for such expenditures.

4. Invoicing The Consultant shall submit monthly a separate invoice for reimbursable expenditures. Each invoice shall be delivered to the City in less than 30 calendar days after the end of the month being billed for, and normally with the monthly labor invoice. Such reimbursable invoices shall be in a format approved by the City, and shall include all necessary supporting documentation as called for elsewhere in this policy. Such supporting documents shall be properly dated, legible and reproducible.

5. General Qualifications for Reimbursables In general, items procured that are not Direct Labor must be devoted at least 50% of the time to the project during the duration of the project in order to be considered for direct cost reimbursement. Expenses on items (including Class 2 travel) devoted more than 50% but less than 100% to this project shall be pro- rated, with only that portion devoted to the project being billed for. Items devoted less than 50% to this project shall be included in the Consultant’s multiplier. Use of items previously owned or leased by the Consultant (such as computer or CAD workstations), regardless of how much devoted to this project, shall be included in the multiplier and not be billed as a direct cost reimbursable. Assets purchased as a reimbursable for this project shall be turned over to the City when the Consultant no longer has need for them on this project. All reimbursables shall be paid on actual costs, supported by actual receipts, unless otherwise indicated. Direct cost reimbursable items shall have no markup or multiplier applied to them. No expenditures for individual reimbursable items over $10,000 shall be made without prior written approval of the City. The City reserves the right to direct the Consultant to terminate making reimbursable expenditures on any and all categories and expenses.

6. Office Expenses In some cases the City will allow and even expects the Consultant to establish a Project Office dedicated solely to a project and from which no other business shall be conducted. In such cases, the Consultant can include the following expenses generated by the Project Office either in the multipliers, or in the reimbursables provided actual invoices are submitted: • Equipment maintenance

• Recurring communication expenses (including leased lines, cellular phones, pagers, telephones)

• Office Supplies

• External reproduction/binding

• Film developing

• Postage

• Office rent

It must be clear in the Consultant’s proposal whether all such and similar expenses are accounted for in the reimbursables or in the multipliers.

For a Consultant with a dedicated Project Office, those office expenses generated by other offices (the Prime’s other offices, Subconsultants’ offices) can be paid as a direct cost reimbursable only if the item is 100% devoted to this project (e.g. postage and long distance phone calls made on behalf of this project), and only if backed up by actual invoices. Otherwise, all non-Project Office expenses (e.g. rent for other offices) must be included in the Consultant’s or Subconsultants’ multipliers.

For projects in which there is no dedicated Project Office, the Consultant can include as reimbursables only those office expenses devoted 100% to this project (like postage and long distance calls made on behalf of this project,) and only when supported by actual invoices. Office expenses less than 100% devoted to this project (like rent, utilities, use of Consultant's computer workstations) must be included in the Consultant’s multiplier. Smaller items, such as office supplies and hand calculators, even if 100% dedicated to the project, shall be included in the Consultant’s multiplier. It is anticipated that any necessary trailer space for the Consultant at the project/construction site will be provided by the construction contractor.

7. Equipment Equipment to be purchased or leased that will be at least 50% dedicated to this project, and meeting the other qualifications above, including computer hardware and software, fax machines, copying equipment, plotters, printers, communication equipment, cameras/camcorders, overhead projectors, and walky talkies, can be included with the direct cost reimbursables for this project. It is expected that virtually all equipment needing to be acquired, especially computer hardware, shall be leased as opposed to purchased. Only in special cases (such as specialty software like Primavera) and only with the prior approval of the City, shall a Consultant be allowed to purchase equipment for this project. The Consultant shall provide copies of the lease agreements and shall include with its invoices copies of its invoices from the supplying vendor.

8. Vehicles and Local Travel In some cases the City will allow the Consultant to obtain Project Vehicles, dedicated solely to this project. Project Vehicles shall be leased only, not purchased. Copies of the leasing agreement and vendor invoices must be submitted for direct cost reimbursement. Related Project Vehicle costs, such as fuel, parking, maintenance, and insurance shall be included in direct cost reimbursables, and shall be paid on actual costs, supported by actual invoices.

For the use of personal (i.e. non-Project) vehicles, the Consultant shall be paid at the per mile rate ($0.575 per mile as of January 1, 2015) that the City pays internally to its staff for mileage. For such vehicle use, the Consultant shall be paid out of direct cost reimbursables, but only if the travel is work related, outside of the Division of Water's Service area, and non-routine. Only that portion of the trip that is outside of the Division of Water's Service Area shall be eligible for reimbursement. The Consultant shall submit to the City an approved mileage log with its monthly invoices. Expenses related to all other use of personal vehicles (travel within the Division of Water's Service Area, parking, tolls, etc.) shall be included in the Consultant’s multipliers.

9. Markup on Subconsultants Indirect costs related to the Subconsultants, like the liability/risk of hiring Subconsultants, Subconsultant oversight, cost of negotiations/business procurement, and interest on cash flow, shall be included in the Consultant’s multipliers. Any other actual direct cost shall be billed as a reimbursable expense supported by actual invoices. Effort expended on managing Subconsultants shall be billed as a direct labor charge. The Consultant shall not include in the direct cost reimbursables any indirect costs or markups on Subconsultants’ labor or reimbursables.

10. Special Services Special Services, used solely for the benefit of this project and not performed by the Prime Consultant or by the Subconsultants, such as electrical testing, hazardous material testing, training, deliveries, diving services, office and field office setups and maintenance, and telephone and network installations and maintenance, shall be included in the direct cost reimbursables. All such services must receive prior written permission from the City. No markups or other indirect handling costs on these Special Services shall be included in the direct cost reimbursables. The Consultant shall include any such indirect costs or markups in its multipliers. Any direct labor involvement by the Prime Consultant or Subconsultants in managing these services shall be billed in the labor charges.

11. Personal Allowances Reimbursement on all items in this category shall be from the direct cost reimbursables, supported by actual receipts and invoices, except as noted. All regulations in this category shall apply to the Prime Consultant, all Subconsultants, and Special Services staff. Consultant’s staff shall be classified into four classes:

Class 1. Staff Already Living in the Greater Cleveland Area.

Class 2. Infrequent Travelers to Cleveland. Those staff coming to Cleveland for less than a two week stay. Staff hired by the Consultant after the Notice To Proceed has been issued and assigned to this project can only be classified as Class 1 or Class 2.

Class 3. Staff with Extended Stays in Cleveland. Out of towners who will work in Cleveland for stretches longer than two weeks, but less than one year.

Class 4. Relocated Staff. Key, full time project staff (e.g. project manager) who relocate from out of town to work full time for the duration of the project, and for a minimum of one year’s time. • 11.1 Class 1: Such staff qualify for no reimbursement expenses (travel, lodging, meal, per diem, etc...) whatsoever.

• 11.2 Class 2: Travel: Actually incurred expenses (air, bus, rail, car rental, taxi, etc…) shall be paid for Class 2 staff. However, the charges shall not exceed Federal guidelines (as the guidelines were at the time the expenditure was made; regular economy class fares for air travel.) Class 2 travel shall require prior City approval. Rental car optional insurance is not reimbursable.

• 11.3 Class 2: Per Diem Expenses: Class 2 daily expenses for meals, telephone, etc. shall be paid out of direct cost reimbursables, based on actual costs, with actual receipts submitted with invoices. Reimbursement shall not be made for alcohol, private phone calls, nor for meals for guests or associates of Class 2 staff. Gratuities of up to 15% on meals shall be allowed, but no other gratuity of any type shall be allowed. If a weekend or other non-workday occurs in the middle (but not at either end) of a Class 2 person’s stay, that person shall be entitled to per diem and lodging expenses for those non-work days. For days worked in the Cleveland office, Class 2 daily expenses for meals, telephone, etc. shall not exceed $40.00/day to cover all travel and living expenses other than airfare (actual receipts are required); actual expenses for airfare will be reimbursed when travel takes place and must be submitted with supporting receipts, with travel to/and from the airport in Cleveland covered at actual cost, with receipts required. Travel to the airport from home, and travel from the airport back home is not a reimbursable expense.

• 11.4 Class 2 Lodgings and Related Services: Direct cost reimbursement shall be made, based on actual expenses, for apartments or hotels. The charges shall not exceed Federal guidelines (as the guidelines were at the time the expenditure was made), and shall be supported by actual receipts. The City shall also reimburse for any City/County Hotel Taxes over and above the Federal guideline.

• 11.5 Class 2 Commute Time: Class 2 travelers shall be allowed to bill their time commuting between Cleveland and home as a labor expense, if such travel occurs during normal working hours. No other Class shall be allowed to bill any commute time as a labor expense.

• 11.6 Class 3 Travel: Class 3 staff shall be allowed intermittent travel back home. Consultant shall remain within the initial contract budget for this item. Additionally, the City will only pay actual invoiced amounts, and in no case more than a cap of $800.00 per month for such travel for each Class 3 staff member. Only Class 3 staff shall qualify for this allowance. Travel expenses for Class 3 staff’s initial trip to and final trip from Cleveland shall be paid on an actual basis, and shall not apply against any month's cap. These expenses shall be included in the direct cost reimbursables.

• 11.7 Class 3 Per Diem Expenses: Class 3 staff shall be given an allowance for each full calendar day (including non-working days) spent in the Cleveland area, to be included in the direct cost reimbursables. The Consultant shall submit with its monthly invoices a log for each Class 3 person, indicating the date in town and the allowance being requested. In no case shall the allowance exceed $40.00/day per individual in the Cleveland area. This allowance shall cover daily meals, telephone, television, laundry, local travel, etc. Actual receipts for this particular item are required. Travel to/and from the airport in Cleveland is covered at actual cost, with receipts required.

• 11.8 Class 3 Lodgings: Class 3 staff are expected to secure apartments in the Cleveland area. Direct cost reimbursements shall be made for actual rental costs, supported by actual receipts. Rental for weekend and other non-working days shall be reimbursable. In no case shall rent exceed a cap of $1,000/month per person.

• 11.9 Class 3 Inflation: Inflation shall be measured by the Consumer Price Index for Urban Wage Earners and Clerical Workers for the Midwest Region, as tracked by the Federal Bureau of Labor Statistics. The amount of inflation shall be determined each year, beginning one year after Notice to Proceed, and shall be re-determined on each anniversary of Notice to Proceed. The $800 per month cap for Class 3 Travel, and the $1000 per month cap for Class 3 Lodgings, will be allowed to increase annually by the amount of inflation so determined.

• 11.10 Class 4 Relocation Expenses: Reasonable relocation to Cleveland expenses (including transportation of household items and two cars, incidentals, temporary lodging and meals for family [not to exceed one month in duration], and one, 3-day spousal trip to Cleveland) shall be allowed based on actual expenditure, with an upper limit of $20,000 per individual. Only Class 4 staff qualify for relocation expenses. Class 4 staff qualify for relocation expenses, but for no other Personal Allowance expenses.

• 11.11 Travel to a Work Site Other than Cleveland: Travel to a site outside of Cuyahoga County and outside of the Division of Water's Service Area that is for a project related purpose (such as witnessing a pump test) shall be allowed. Consultants shall propose such travel in their project proposal. Each specific trip must be approved in advance by the City. Class 2 regulations as listed above shall govern this type of travel. The time spent traveling, and the time spent at the alternate site, are billable as a labor expense, provided such time occurs during normal business hours.

12. Taxes Purchases for this project are exempt from state and local sales taxes. The Consultant shall use the City’s tax exempt number (available as necessary) for such purposes.

MAYOR’S OFFICE OF EQUAL OPPORTUNITY

SUBCONTRACTOR PARTICIPATION GOAL

PROFESSIONAL SERVICES CONTRACT

The Subcontractor Participation (Utilization) Goal for this contract is:

10% CSB Participation

A searchable database of all CSB firms eligible to fulfill the subcontractor participation goal can be found on the City of Cleveland Office of Equal Opportunity Website:

http://cleveland.diversitycompliance.com

On the website, click on CSB/MBE/FBE Registry.

City of Cleveland Frank G. Jackson, Mayor

VENDOR ENTRY FORM

qAdd Vendor qChange Vendor Info qDelete Vendor

Business Name: 1099 INFORMATION

Incorporated? qYES qNO Federal Tax ID: -

If “NO” Check One: qSOLE PROPRIETORSHIP qPARTNERSHIP qOTHER: If “NO” Enter your Social Security Number: - - IRS Reporting Name*: *If this is not the name listed on contracts with the city, please attach a detailed explanation.

Address:

City: State: Zip:

Phone: ( ) Ext. Fax: ( )

Website Address:

Email Address: ORDERING ADDRESS INFORMATION

Check each that applies*:

Address:

City: State: Zip:

Phone: ( ) Ext. Fax: ( )

Contact: Title:

Email Address: *Please attach additional pages if you have more than one ordering/other location.

C of C 81-245 REMITTING ADDRESS INFORMATION

Address:

City: State: Zip:

Phone: ( ) Ext. Fax: ( )

Contact:

Payment Name*: *If payment name is different from business name, please attach a detailed explanation. BANK INFORMATION IF YOU ARE CURRENTLY RECEIVING PAYMENTS VIA EFT, PLEASE COMPLETE THIS SECTION TO VERIFY OUR INFORMATION Bank Name: Account #:

Bank Contact: ABA/Routining #:

Phone: ( )

Other questions or issues concerning this form may be addressed to:

TO BE COMPLETED BY THE CITY OF CLEVELAND PLEASE DO NOT WRITE IN THIS SECTION Female Business Enterprise Minority Business Enterprise Business Classification: qYES qNO qYES qNO City of Cleveland Certification Number: FOB Point: Payment Terms:

Discount Payment Terms: Order Minimum: Are Price Breaks Available? Line Minimum: Standard Lead Time: Standard Shipping Method: Price Catalogue on disk/CD:

Approved by Commissioner of Accounts Date

C of C 81-245 1

NOTE: Section 181.23 and Section 185.04 of The Codified Ordinances of Cleveland, Ohio 1976 require that this affidavit, properly executed and containing all required information, accompany your bid. IF YOU FAIL TO COMPLY, YOUR BID WILL NOT BE CONSIDERED.

STATE OF ______SS AFFIDAVIT COUNTY OF______

______being first duly sworn deposes and says:

Individual only: That he/she is an individual doing business under the name of______, at ______, State of ______.

Partnership only: That he/she is the duly authorized representative of a partnership doing business under the name of ______, in the City of ______, State of______.

Corporation only: That he/she is the duly authorized, qualified and acting ______of ______, a corporation organized and existing under the laws of the State of ______And that he/she said partnership or said corporation is filling herewith a bid to the City of Cleveland in conformity with the foregoing specifications;

Individual only: Affiant further says that the following is a complete and accurate list of the names and addresses of all persons interested in said proposed contract ______Affiant further says that he/she is represented by the following attorneys: ______and is also represented by the following resident agents in the City of Cleveland: ______.

Partnership only: Affiant further says that the following is a complete and accurate list of the names and addresses of the members of said partnership: ______Affiant further says that said partnership is represented by the following attorneys:______and is also represent by the following resident agents in the City of Cleveland:______

Rev. 4/3/2012 Mm/dps 2

Corporation only: Affiant further says that the following is a complete and accurate list of the officers, directors and attorneys of said corporation: President: Directors: Vice President: Secretary: Treasurer: Cleveland Manager or Agent Attorneys: And that the following officers are duly authorized to execute contracts on behalf of said corporation: ______

Affiant further says that the bid filed herewith is not made in the interest of or on behalf of any undisclosed person, partnership, company, association, organization or corporation; that such bid is genuine and not collusive or sham; that said bidder has not, directly or indirectly, induced or solicited any other bidder to put in a false or sham bid, and has not, directly or indirectly, colluded, conspired, connived or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that said bidder has not in any manner, directly or indirectly, sought by agreement, communication or conference with anyone to fix the bid price or that of any other bidder, or to secure any advantage against the City of Cleveland or anyone interested in the proposed contract; that all statements contained in such bid are true; that aid bidder has not, directly or indirectly, submitted his bid price or any break-down thereof or the contents thereof, or divulged information or data relative thereto, or paid or agreed to pay, directly or indirectly, any money, or other valuable consideration for assistance or aid rendered or to be rendered in procuring or attempting to procure the contract above referred to, to any corporation, partnership, company, association, organization, or to any member or agent thereof, or to any other individual, except to such person or persons as hereinabove disclosed to have a partnership or other financial interest with said bidder in his general business; and further that said bidder will not pay or agree to pay, directly or indirectly, any money or other valuable consideration to any corporation, partnership, company, association, organization or to any member or agent thereof, or to any other individual, for aid or assistance in securing contract above referred to in the event the same is awarded to

______(name of individual, partnership or corporation)

Further affiant saith not. (Sign Here) ______

Sworn to before me and subscribed in my presence this ______day of ______, 20_____.

______Notary Public

Rev. 4/3/2012 Mm/dps Requested By:______(Department/Office)

NON-COMPETITIVE BID CONTRACT STATEMENT FOR CALENDAR YEAR 2017 (ALL DEPARTMENTS/OFFICES)

This statement, properly executed and containing all required information must be completed. IF YOU FAIL TO COMPLY, YOUR PROPOSAL WILL NOT BE CONSIDERED.

Entity Name:

Entity’s Mailing Address:

COMPLETE SECTION I, II, OR III BELOW, WHICHEVER IS APPROPRIATE, AND SECTION IV.

NOTE: For purposes of this Statement, the “Mayor” and “Mayor’s Committee” means Frank G. Jackson and the Frank G. Jackson For A Better Cleveland Committee, respectively.

TO BE COMPLETED BY NON-PROFIT CORPORATIONS AND GOVERNMENTAL SECTION I. ENTITIES.

If you are recognized by the IRS as a non-profit corporation or are a governmental entity, mark the appropriate designation below and proceed to the indicated section(s).

_____ NON-PROFIT CORPORATION GO TO SECTIONS III and IV.

_____ GOVERNMENTAL ENTITY GO TO SECTION IV.

TO BE COMPLETED BY INDIVIDUALS, SOLE PROPRIETORSHIPS, PARTNERSHIPS, SECTION II. INCORPORATED PROFESSIONAL ASSOCIATIONS, UNINCORPORATED ASSOCIATIONS, ESTATES AND TRUSTS.

The above-named entity is a (Please mark appropriate designation):

_____ SOLE PROPRIETORSHIP _____ TRUST

INCORPORATED PROFESSIONAL _____ ASSOCIATION _____ ESTATE

_____ UNINCORPORATED ASSOCIATION _____ PARTNERSHIP

_____ LIMITED LIABILITY COMPANY _____ JOINT VENTURE

For purposes of Section II, a “principal” means an individual, an owner, a partner, a shareholder, a member, an administrator, an executor or trustee connected with the above-named entity, or the spouse of any of them.

PLEASE READ PARAGRAPHS ( A ) and ( B ) and mark the appropriate paragraph. If paragraph ( B ) is checked, the City of Cleveland is prohibited by Section 3517.13 of the Revised Code from awarding a non- competitively bid contract over $500.00 to the entity during calendar year 2017 unless Council makes a direct award.

_____ ( A ) NO ONE PRINCIPAL of the above named entity made one or more contributions to the Mayor or the Mayor’s Committee between January 1, 2015 and December 31, 2016 that totaled in excess of $1,000.00 per individual. (This paragraph also applies if no principal of the above-named entity made any contributions to the Mayor or the Mayor’s Committee).

_____ ( B ) ONE OR MORE PRINCIPALS of the above named entity made, as individual(s), one or more contributions to the Mayor or the Mayor’s Committee between January 1, 2015 and December 31, 2016 that totaled in excess of $1,000.00. TO BE COMPLETED BY NON- PROFIT AND FOR-PROFIT CORPORATIONS AND BUSINESS SECTION III. TRUSTS.

_____ NON-PROFIT CORPORATION _____ FOR-PROFIT CORPORATION

_____ BUSINESS TRUST (OTHER THAN INCORPORATED PROFESSIONAL ASSOCIATIONS)

For purposes of Section III, a “principal” means an individual or an entity owning more than 20% of the corporation or business trust or the spouse of any such individual.

PLEASE READ PARAGRAPHS ( A ) ( B ) ( C ) and ( D ) and mark the appropriate paragraph. If paragraph ( C ) is checked, the City of Cleveland is prohibited by Section 3517.13 of the Revised Code from awarding a non- competitively bid contract over $500.00 to the entity during calendar year 2017 unless Council makes a direct award. If paragraph ( D ) is checked, the City of Cleveland is prohibited by Section 3599.03 from awarding a contract to the non-profit corporation.

_____ ( A ) NO INDIVIDUAL or entity owned more than 20% of the corporation or business trust between January 1, 2015 and December 31, 2016.

_____ ( B ) NO PRINCIPAL of the above named entity made, as an individual, one or more contributions to the Mayor or the Mayor’s Committee between January 1, 2015 and December 31, 2016 that totaled in excess of $1,000.00. (This paragraph also applies if no principal of the above-named entity made any contributions to the Mayor or the Mayor’s Committee).

_____ ( C ) ONE OR MORE PRINCIPALS of the above named entity made one or more contributions to the Mayor or the Mayor’s Committee between January 1, 2015 and December 31, 2016 that totaled in excess of $1,000.00 individual.

_____ ( D ) FUNDS OF THE NON-PROFIT CORPORATION were contributed to the Mayor or the Mayor’s Committee at any time.

GO TO SECTION IV.

SECTION IV. TO BE COMPLETED BY ALL ENTITIES.

I do hereby state that I have legal authority to complete this statement on behalf of the above-named entity and to the best of my knowledge and belief the answers herein are true and complete.

Print Name Print Title

Signature Date

Telephone No. (Area Code)

STATE OF ) ) SS: COUNTY OF )

Before me, a Notary Public in and for said County and State, personally appeared the above-named ______, who acknowledged that (he/she) did sign the foregoing statement and that the same is (his/her) free act deed, personally and as duly authorized representative of ______, and the free act and deed of the entity on whose behalf (he/she) signed. Notary Public Date

FOR MAYOR’S OFFICE USE ONLY

_____ ELIGIBLE ______

_____ INELIGIBLE ______

DATE ______SUPPLEMENTAL NOTICE TO BIDDERS

Subject: Submission of NORTHERN IRELAND FAIR EMPLOYMENT PRACTICES DISCLOSURE

Each bidder and/or appropriate parties should complete the DISCLOSURE and submit it with the bid, if possible. If not submitted with the bid, it must be completed and submitted to the Commissioner of Purchases and Supplies prior to any contract being awarded by the City. If a bidder or appropriate parties fail to complete and submit it, they shall not be eligible for a contract award.

NORTHERN IRELAND FAIR EMPLOYMENT PRACTICES DISCLOSURE

INSTRUCTIONS: Pursuant to Codified Ordinance Sec. 181.36, the information requested on this page must be supplied by all contractors and any subcontractors having more than a fifty percent (50%) interest in the proposed contract prior to any contract being awarded by the City of Cleveland. Any contractor or subcontractor who is deemed to have made a false statement shall be declared to have acted in default of its contract and shall be subject to the remedies for default contained in its contract. For failure to cure such a default, the contractor or subcontractor shall be automatically excluded from bidding for the supply of any goods or services for use by the City for a period of two years.

CHECK WHICHEVER IS APPLICABLE:

A. ( ) The undersigned or any controlling shareholder,* subsidiary, or parent corporation of the undersigned is NOT ENGAGED IN ANY BUSINESS OR TRADING FOR PROFIT IN NORTHERN IRELAND. (If paragraph A. is checked, proceed to the signature line.)

B. ( ) The undersigned or any controlling shareholder,* subsidiary, or parent corporation IS ENGAGED IN ANY BUSINESS OR TRADING FOR PROFIT IN NORTHERN IRELAND. (If paragraph B. is checked, please either check the stipulation contained in paragraph C. or attach documentation that shows that the undersigned has complied with the stipulation contained in paragraph C.

C. ( ) The undersigned and all enterprises identified in paragraph B. are TAKING LAWFUL AND GOOD FAITH STEPS TO ENGAGE IN FAIR EMPLOYMENT PRACTICES WHICH ARE RELEVANT TO THE STANDARDS EMBODIED IN THE “MacBRIDE PRINCIPALS FOR FAIR EMPLOYMENT IN NORTHERN IRELAND.” A copy of the MacBride Principles can be obtained from the Office of the Commissioner of Purchases and Supplies. In lieu of checking this paragraph, the undersigned must attach documentation which the undersigned believes shows compliance with the stipulation contained in this paragraph C.

______Name of Contractor or Subcontractor

By: ______

Title:______

*"Controlling shareholder” means any shareholder owning more than fifty percent (50%) of the stock in the corporation or more than twenty-five percent (25%) of the stock in the corporation if no other shareholder owns a larger share of stock in the corporation.