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10 October 28, 2019 Western Riverside County Programs and ProjectsTime: Date: Location: RIVERSIDE COUNTY TRANSPORTATION COMMISSION M EEll N G AG EN DA We ste m Rive rsid a County Prog ra m s a nd Projects Committee 1:30 p.m. October28, 2019 BOARD RO O M County of Riverside Administration Center 4080 Lemon St, First Floor, Riverside CA 92501 COMM 'TEE M EM BERS Brian Berkson, Chair/Chris Barajas, City of Jurupa Valley Michael Vargas, Vice Chair/Rita Rogers, City of Perris Wes Speake/Jim Steiner, City of Corona Clint Lorimore/Todd Rigby, City of Eastvale Bill Zimmerman/Dean Deines, City of Menifee Victoria Baca/Carla Thornton, City of Moreno Valley STAFF Anne Mayer, Executive Director John Standiford, Deputy Executive Director AREAS OF RESPO N SI BI LJTY Air Quality, Capital Projects, Communications and Outreach Programs, Intermodal Programs, Motorist Services, New Corridors, Regional Agencies/Regional Planning, Regional Transportation Improvement Program (RTIP), Specific Transit Projects, State Transportation Improvement Program (STIP) Scott Vinton/To Be Appointed, City of Murrieta Berwin Hanna/Ted Hoffman, City of Norco Andrew Kotyuk/Russ Utz, City of San Jacinto Ben J. Benoit/Joseph Morabito, City of Wildomar Kevin Jeffries, County of Riverside, District I Jeff Hewitt, County of Riverside, District V Transportation Uniform Mitigation Fee (TUMF) Program, and Provide Policy Direction on Transportation Programs and Projects related to Western Riverside County and other areas as may be prescribed by the Commission. Commentsare welcomed by the Commission. If you wish to provide commentsto the Commission, please complete and submit Speaker Card to the Clerk of the Board. RIVERSIDE COUNTY TRANSPORTATION COMMISSION WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE www.rctc.orq AGENDA * *Actions may be taken on any item listed on the agenda 1:30 p.m. Monday, October 28, 2019 BOARD ROOM County Administrative Center 4080 Lemon Street, First Floor Riverside, California In compliance with the Brown Act and Government Code Section 54957.5, agenda materials distributed 72 hours prior to the meeting, which are public records relating to open session agenda items, will be available for inspection by members of the public prior to the meeting at the Commission office, 4080 Lemon Street, Third Floor, Riverside, CA, and on the Commission's website, www.rctc.orq. In compliance with the Americans with Disabilities Act, Government Code Section 54954.2, and the Federal Transit Administration Title VI, please contact the Clerk of the Board at (951) 787-7141 if special assistance is needed to participate in a Commission meeting, including accessibility and translation services. Assistance is provided free of charge. Notification of at least 48 hours prior to the meeting time will assist staff in assuring reasonable arrangements can be made to provide assistance at the meeting. 1. CALL TO ORDER 2. ROLL CALL 3. PLEDGE OF ALLEGIANCE 4. PUBLIC COMMENTS — Each individual speaker is limited to speak three (3) continuous minutes or less. The Committee may, either at the direction of the Chair or by majority vote of the Committee, waive this three minute time limitation. Depending on the number of items on the Agenda and the number of speakers, the Chair may, at his/her discretion, reduce the time of each speaker to two (2) continuous minutes. Also, the Committee may terminate public comments if such comments become repetitious. In addition, the maximum time for public comment for any individual item or topic is thirty (30) minutes. Speakers may not yield their time to others without the consent of the Chair. Any written documents to be distributed or presented to the Committee shall be submitted to the Clerk of the Board. This policy applies to Public Comments and comments on Agenda Items. Under the Brown Act, the Board should not take action on or discuss matters raised during public comment portion of the agenda which are not listed on the agenda. Board members may refer such matters to staff for factual information or to be placed on the subsequent agenda for consideration. Western Riverside County Programs and Projects Committee October 28, 2019 Page 2 5. ADDITIONS/REVISIONS (The Committee may add an item to the Agenda after making a finding that there is a need to take immediate action on the item and that the item came to the attention of the Committee subsequent to the posting of the agenda. An action adding an item to the agenda requires 2/3 vote of the Committee. If there are less than 2/3 of the Committee members present, adding an item to the agenda requires a unanimous vote. Added items will be placed for discussion at the end of the agenda.) 6. APPROVAL OF MINUTES — SEPTEMBER 23, 2019 7. AGREEMENT FOR BACK OFFICE SYSTEM AND CUSTOMER SERVICE CENTER OPERATIONS FOR THE 91 EXPRESS LANES IN ORANGE AND RIVERSIDE COUNTIES Overview This item is for the Committee to: Page 1 1) Award Agreement No. 19-31-059-00 among the Orange County Transportation Authority (OCTA), Riverside County Transportation Commission (RCTC), and Cofiroute USA, LLC (Cofiroute) to provide back -office system (BOS) and customer service center (CSC) operations services for the 91 Express Lanes (91EL) in Orange and Riverside Counties in an amount of $88,591,344, plus a contingency amount of $4,429,567, for a total amount not to exceed $93,020,911; 2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director or designee to approve the use of the contingency amount as may be required by the project; 4) Authorize the payment of pass -through items in an amount not to exceed $10.5 million; and 5) Forward to the Commission for final action. 8. AGREEMENT FOR EXPRESS LANES CONSULTING SERVICES Overview This item is for the Committee to: Page 115 1) Award Agreement No. 20-31-001-00 to HNTB Corporation for express lanes consulting services for a five-year term, plus two one-year options to extend the agreement, in an amount of $10 million, plus a contingency amount of $500,000, for a total amount not to exceed of $10.5 million; 2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute the agreement, including option years, on behalf of the Commission; 3) Authorize the Executive Director or designee to approve the use of the contingency amount as may be required for these services; and 4) Forward to the Commission for final action. Western Riverside County Programs and Projects Committee October 28, 2019 Page 3 9. FRAMEWORK FOR IMPLEMENTATION OF THE STATE ROUTES 241/91 EXPRESS LANES CONNECTOR Overview This item is for the Committee to: Page 145 1) Approve the State Routes 241/91 Express Lanes Connector term sheet as a framework for future agreements, contingent on all parties agreeing to the term sheet; 2) Direct staff to work with agencies to prepare associated agreements for each respective governing board's consideration, consistent with the terms included in this report; and 3) Forward to the Commission for final action. 10. PACHAPPA UNDERPASS CONSTRUCTION CONTRACT AWARD AND AMENDMENT FOR CONSTRUCTION SUPPORT SERVICES Overview This item is for the Committee to: Page 193 1) Award Agreement No. 19-31-094-00 to SEMA Construction, Inc. (SEMA) to construct the Pachappa Underpass project (Project), in the amount of $8,237,419, plus a contingency amount of $862,581 for potential change orders and supplemental work during construction, for a total not to exceed contract authorization of $9.1 million; 2) Waive informalities and minor irregularities in the SEMA bid; 3) Approve Agreement No. 16-31-051-04, Amendment No. 4 to Agreement No. 16-31-051-00, with Jacobs Project Management Company (Jacobs) to provide construction management (CM), materials testing, and construction surveying services for the Project, for an additional amount of $1,245,509, and a total amount not to exceed $3,245,509; 4) Authorize the Executive Director, or designee, to approve contingency work as may be required for the Project; 5) Authorize the Chair or the Executive Director, pursuant to legal counsel review, to execute the agreements on behalf of the Commission; and 6) Forward to the Commission for final action. Western Riverside County Programs and Projects Committee October 28, 2019 Page 4 11. AGREEMENTS WITH THE CALIFORNIA DEPARTMENT OF TRANSPORTATION FOR STATE FUNDING AND SENATE BILL 1 FUNDING FOR THE OPERATION OF THE FREEWAY SERVICE PATROL PROGRAM IN RIVERSIDE COUNTY Page 212 Overview This item is for the Committee to: 1) Approve Agreement No. 20-45-013-00 with the California Department of Transportation (Caltrans) to provide state funding for FY 2019/20 for the operation of the Riverside County Freeway Service Patrol (FSP) program in an amount not to exceed $1,702,145; 2) Approve Agreement No. 20-45-016-00 with Caltrans to provide Senate Bill (SB) 1 funding for FY 2019/20 for the operation of the Riverside County FSP program in an amount not to exceed $1,464,524; 3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute the agreements on behalf of the Commission; and 4) Forward to the Commission for final action. 12. COMMISSIONERS / STAFF REPORT Overview This item provides the opportunity for the Commissioners and staff to report on attended and upcoming meeting/conferences and issues related to Commission activities. 13. ADJOURNMENT The next Western Riverside County Programs and Projects Committee meeting is scheduled to be held at 1:30 p.m., Monday, November 25, 2019, Board Chambers, First Floor, County Administrative Center, 4080 Lemon Street, Riverside. AGENDA ITEM 6 MINUTES RIVERSIDE COUNTY TRANSPORTATION COMMISSION WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE Monday, September 23, 2019 MINUTES 1. CALL TO ORDER/ ROLL CALL The meeting of the Western Riverside County Programs and Projects Committee was called to order by Chair Brian Berkson at 1:31 p.m., in the Board Room at the County of Riverside Administrative Center, 4080 Lemon Street, First Floor, Riverside, California, 92501. 2. ROLL CALL Members/Alternates Present Members Absent Victoria Baca Ben Benoit Brian Berkson Berwin Hanna Jeff Hewitt Kevin Jeffries Andrew Kotyuk Clint Lorimore* Wes Speake Michael Vargas Scott Vinton *arrived after meeting was called to order Bill Zimmerman 3. PLEDGE OF ALLEGIANCE At this time, Commissioner Jeff Hewitt led the Western Riverside County Programs and Projects Committee in a flag salute. 4. PUBLIC COMMENTS There were no requests to speak. 5. ADDITIONS/REVISIONS There were no additions or revisions at this time. RCTC WRC Programs and Projects Committee Minutes September 23, 2019 Page 2 6. APPROVAL OF MINUTES — AUGUST 26, 2019 M/S/C (Baca/Speake) to approve the minutes as submitted. Abstain: Kotyuk At this time, Commissioner Clint Lorimore arrived. 7. APPROVAL OF UTILITY AGREEMENT AMENDMENT WITH SOUTHERN CALIFORNIA GAS FOR STATE ROUTE 71/STATE ROUTE 91 INTERCHANGE PROJECT Mark Lancaster, Capital Projects Manager, presented the scope of the utility agreement amendment with SCG for the 71/91 Interchange project. M/S/C (Benoit/Vargas) to: 1) Approve Agreement No. 18-31-103-01, Amendment No. 1 to Agreement No. 18-31-103-00, with Southern California Gas (SCG) for construction of utility relocations for the State Route (SR) 71/SR-91 Interchange (71/91 IC) project in the amount of $338,255, plus a contingency amount of $33,825, for an additional amount of $372,080, and a total amount not to exceed $3,552,115; 2) Authorize the Executive Director, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director or designee to approve the use of the contingency amount as may be required for this utility relocation agreement; and 4) Forward to the Commission for final action. Abstain: Speake 8. CITY OF WILDOMAR FUNDING REQUEST FOR CONSTRUCTION OF BUNDY CANYON ROAD WIDENING PROJECT Shirley Medina, Planning and Programming Director, presented the details of the city of Wildomar funding request for construction of the Bundy Canyon Road Widening project. Anne Mayer, Executive Director, complimented Wildomar City Manager Gary Nordquist for putting together a comprehensive plan for this project. M/S/C (Baca/Benoit) to: RCTC WRC Programs and Projects Committee Minutes September 23, 2019 Page 3 1) Approve programming $3,516,000 of Measure A Regional Arterial (MARA) funds for the city of Wildomar's Bundy Canyon Road Widening — Segment 1 project; 2) Approve Agreement No. 20-72-011-00 between the Commission and the city of Wildomar for the programming of $3,516,000 of MARA for the construction phase of the Bundy Canyon Road Widening - Segment 1 project; 3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute the agreement; and 4) Forward to the Commission for final action. 9. NEXT GENERATION RAIL CORRIDORS ANALYSIS REPORT Sheldon Peterson, Rail Manager, introduced JD Douglas from HDR to present the findings of the Next Generation Rail Corridors Analysis report. JD Douglas clarified for Commissioner Hewitt the difference between diesel and electric lines. He also explained that the Corona to Murrieta line is part of the long-term plan because the right of way would be more expensive than the Perris to San Jacinto line. He added the ridership would be lower on the Perris to San Jacinto line. Anne Mayer commented on the surveys regarding rail ridership in these areas. Commissioner Scott Vinton asked if the right of way costs were included and if the right of way size needed for diesel or light rail was the same. JD Douglas confirmed that the right of way costs would be about the same. Both rail types would need a right of way roughly the same size. Chair Berkson commented on the steps Metrolink is taking for when the Olympics come to Los Angeles and stated that maybe if the Commission coordinates new train service with destinations that it could apply for government funding to help fund the startup of these new lines/services if they show they are desirable to tourists during the Olympics. JD Douglas replied to Commissioner Wes Speake's question regarding the Lake Elsinore/Santa Fe line that it will be used as part of the Corona to Murrieta line, noting about 50-60% of the tracks are still viable. Commissioner Andrew Kotyuk asked if the kinds of trains studied were the new models or if they could run on the streets like they do in San Francisco or if they would need their own tracks and right of way. He asked if there is a time frame for the High Speed Rail model in Riverside County. JD Douglas replied that typically the diesel multiple units (DMU) run on their own right of way. The DMU often uses the same rail lines as the freight trains, and Light Rail has been RCTC WRC Programs and Projects Committee Minutes September 23, 2019 Page 4 done both ways. There is no definitive time frame for the High Speed Rail model in Riverside County. Anne Mayer commented on the High Speed rail project and enhancing existing rail programs. Commissioner Lorimore commented on the right of way costs and availability. Ms. Mayer replied to Commissioner Lorimore by stating that the Commission does not acquire right of way without a project being identified. Commissioner Kevin Jeffries expressed his concerns regarding the Corona to Lake Elsinore route because of newly invested funds into the National Parks Butterfield Trail in Lake Elsinore. Commissioner Hewitt commented that a San Bernardino to Las Vegas High Speed Rail train might help increase ridership in Riverside county. Ms. Mayer added there are issues along the 215 right of way that are like those of the 15 through Lake Elsinore. The advances in technology might allow us to provide rail service in the future with a narrower right of way. The Committee accepted the Next Generation Rail Corridors Analysis Report and forwarded to the Commission for final action. 10. COMMISSIONERS / STAFF REPORT Commissioner Benoit thanked the Commission for their support for the Bundy Canyon Road Widening project. 11. ADJOURNMENT There being no further business for consideration by the Western Riverside County Programs and Projects Committee, the meeting was adjourned at 2:10 p.m. Respectfully submitted, Lisa Mobley Clerk of the Board AGENDA ITEM 7 RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: October 28, 2019 TO: Western Riverside County Programs and Project Committee FROM: Jennifer Crosson, Toll Operations Manager THROUGH: Michael Blomquist, Toll Program Director SUBJECT: Agreement for Back Office System and Customer Service Center Operations for the 91 Express Lanes in Orange and Riverside Counties STAFF RECOMMENDATION: This item is for the Committee to: 1) Award Agreement No. 19-31-059-00 among the Orange County Transportation Authority (OCTA), Riverside County Transportation Commission (RCTC), and Cofiroute USA, LLC (Cofiroute) to provide back -office system (BOS) and customer service center (CSC) operations services for the 91 Express Lanes (91EL) in Orange and Riverside Counties in an amount of $88,591,344, plus a contingency amount of $4,429,567, for a total amount not to exceed $93,020,911; 2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director or designee to approve the use of the contingency amount as may be required by the project; 4) Authorize the payment of pass -through items in an amount not to exceed $10.5 million; and 5) Forward to the Commission for final action. BACKGROUND INFORMATION: Discussion RCTC opened the extension of the 91EL into Riverside County in March 2017 and began jointly operating the 91EL with OCTA. The following map of the 91EL shows the Orange and Riverside County segments of the 91EL and the location of two facility buildings used to operate the express lanes. Agenda Item 7 1 �� �i b Legend �� Ottnv, EKpeexI anon Etn.,a 1r ndm,w.ay..icai 41.9411 91 FAO., Fanni9l Pohl 91 [rprya Fares Fae. $gnu 1(upvvlemuaul.1M far left lure! ■ [Pofxd .L"::xdrc fl1pj As a requirement of Senate Bill 1316 (Correa), RCTC and OCTA, collectively referred to as the Agencies, entered into a cooperative agreement that establishes a framework for cooperation and sets forth various responsibilities between the two agencies. The cooperative agreement provides details of the joint operation with the objective of providing customers with a seamless experience when travelling between the Orange and Riverside County segments. The joint operation not only provides benefits to the customers of the 91EL, but also creates economies of scale and cost benefits to both agencies through joint contracting and joint provisions of the 91 EL operations and maintenance. Prior to the establishment of the cooperative agreement, OCTA utilized the services of Cofiroute to provide the BOS, CSC operations and maintenance, in -lane toll systems and traffic operations services. The first step to carrying out the joint operation was the execution of a three -party operating agreement between OCTA, RCTC, and Cofiroute (ORCOA) to add the services required to operate the Riverside County segment. The agreement was executed in May 2013. Since the execution of the agreement, the in -lane services have been removed from the ORCOA for both RCTC and OCTA and contracted to another firm. The May 2013 agreement had an expiration date of July 2021 as determined by OCTA's contract authority. Both RCTC and OCTA have obtained authority for up to six months of additional service to allow for the transition to a new firm should it be needed. The Agencies agreed to release a request for proposals (RFP), with OCTA as the lead agency, to retain services to provide BOS and CSC operations services (Project) for the 91EL for both Orange and Riverside Counties. The Project includes the design, development, implementation of the BOS (Implementation) and the ongoing operations and maintenance activities, including the CSC (O & M). The firm will be responsible for the day-to-day operations of the 91EL, including the following services: • Back -office software system • Hardware and software maintenance Agenda Item 7 2 • Customer service • Violations processing and collections • Customer account management • Payments and mail processing • Revenue collection and transaction processing • Traffic operation and incident management • Emergency services coordination • Transponder inventory management • Telephone system and other customer contact systems It is estimated that it will take the firm 18 months to design, develop, and test the new BOS. In addition, the firm will require time to migrate the existing data from the existing system, hire and train operations and customer service staff, enter into required service agreements, and otherwise prepare to assume the existing operation. The Project schedule indicates that the firm will be able to complete all necessary work prior to the end date of the existing three -party agreement. Procurement Approach This procurement was handled in accordance with RCTC's Procurement Policy Manual and OCTA's Board -approved procedures for professional services. The Agencies determined the competitively negotiated procurement method was most advantageous for this procurement as it allows the Agencies to obtain the best value by using any one or a combination of selection approaches wherein the relative importance of price may vary with non -price factors. The competitively negotiated procurement method considers and evaluates the proposed price and its qualitative technical merits, such as qualifications and experience of the firm, staffing, and Project approach. A contract award is recommended to the firm offering the most comprehensive organization, approach to delivery of the BOS, approach to performing the O & M work, and price. In advance of issuing the joint RFP, an industry forum was held from April 17 through 19, 2018 with the following objectives: • Gauge industry interest in the upcoming procurement; • Gather industry input to potentially incorporate into the procurement; and • Provide potential proposers with information regarding the Agencies' needs and the anticipated procurement process. The forum was well -attended, allowing the Agencies the opportunity to meet one-on-one with sixteen interested firms. The firms and Agencies were able to exchange valuable ideas regarding scope of work, Project schedule, and contract terms and conditions, some of which were incorporated in the RFP process. Agenda Item 7 3 On April 22, 2019, RFP 9-1177/19-31-059-00 was released electronically on CAMM NET, OCTA's bid management system. The project was also advertised on April 22 and 29, 2019, in a newspaper of general circulation, and trade magazines. Twenty-five attendees representing 20 firms attended a pre -proposal conference and toured the 91EL facilities on May 7, 2019. On July 12, 2019, four proposals were received. A responsiveness evaluation was conducted on all proposals, which included a review of any exceptions or deviations proposed by the four firms. One firm refused to retract all the exceptions that were unacceptable to the Agencies, which resulted in the removal of its proposal from further consideration, in accordance with the instructions detailed in the RFP. On August 19, 2019, the evaluation committee comprised of staff from RCTC and OCTA, as well as external representatives from the San Diego Association of Governments and Los Angeles County Metropolitan Transportation Authority, met to review the remaining three proposals: Cofiroute, Conduent Transportation (Conduent), and ETAN Industries. The proposals were evaluated and scored with points assigned based on the following evaluation criteria and weights: Qualifications, Related Experience and References of the Firm 15 percent Staffing and Project Organization 15 percent Implementation Work Plan and Technical Approach to BOS 30 percent CSC Operations Work Plan, Transition and Approach 20 percent Price 20 percent The evaluation criteria and associated weighted values were included in the RFP evaluation and award section. The work described in the RFP is heavily weighted toward technical design and delivery of services. A weighted value was assigned to each criterion based on the importance of the criterion's value to the success of the Project. • Qualifications of the firm, related experience, and references as well as staff and project organization were assigned a weight of 15 percent each to emphasize the equal importance of the experience of the firm in providing a similar system to the proposed BOS and the services required for O & M, as well as, the quality of the provided references. • Implementation work plan and technical approach to the BOS were assigned a weight of 30 percent due to the highly technical requirements of the BOS software, the BOS architecture and the relatively short time allowed to implement the system. • CSC operations work plan, transition and approach were assigned a weight of 20 percent due to the importance of successfully transitioning and carrying out the day-to-day operations of the toll facility and managing customer services. Agenda Item 7 4 • Price was assigned a weight of 20 percent to ensure delivery of a cost-effective BOS and CSC operations over the term of the agreement. After the evaluation committee's review of the three responsive proposals, it determined Cofiroute (Irvine, CA) and Conduent (Germantown, MD) to be most qualified to perform the required services. Subsequently, the two firms were short-listed. On August 27, 2019, the evaluation committee conducted interviews with the two short-listed firms. Each firm had the opportunity to present its approach for accomplishing the requested services and demonstrate the detailed capabilities and various aspects of its BOS solution and approach to CSC operations in supporting the Project's requirements. Each firm presented its key team members and their qualifications and roles on this Project. During the interview, each firm described its understanding of the requirements of the Project in the areas of design, implementation, operation and maintenance of its proposed BOS, data migration and transition, and CSC operations. Based on the technical proposal and interview evaluations and the best and final offer (BAFO) submitted by the short-listed firms, the evaluation committee recommends Cofiroute be selected to provide BOS and CSC operations for the 91EL. The final scores for the short-listed firms are provided in Table 1: Table 1— Proposer scores Proposer Price Score (20 points max) Technical Score (80 points max) Total Proposal Score (100 points max) Cofiroute 15.56 66.83 82.39 Conduent 20.00 54.50 74.50 Cofiroute's proposal included Cofiroute as the prime contractor and Toll Plus as a major subcontractor. Cofiroute is part of the VINCI Group, one of the largest concessions and construction groups in the world, which employs more than 200,000 people in more than 100 countries. Cofiroute is a tolling and express lanes operator specializing in the management, operation, and maintenance of express lanes systems. Cofiroute currently has 202 employees in California and Texas. Toll Plus, founded in 2009, specializes in BOS deployment and customization for electronic toll collection. Cofiroute's proposal demonstrated its thorough understanding of the work and ability to implement the BOS and deliver quality O & M services. Below, in Table 2, is a summary of the key elements from Cofiroute's proposal which support its technical score. Agenda Item 7 5 Table 2 — Summary of key elements Evaluation Criteria Cofiroute Key Elements Qualifications, Related Experiences and References of the Firm • 24 years of experience providing BOS and CSC operations • Operator of the 91EL since 1995 • Positive project references Staffing and Project Organization • Cofiroute and Toll Plus delivered similar services together for over a decade • Key staff experienced • O & M staff to participate in BOS design to facilitate operational efficiencies • Organization chart demonstrates clear understanding of work • Existing 91 EL staff retained • Customer -focused training plan Implementation Work Plan and Technical Approach to BOS • New BOS with updated architecture • Hybrid cloud approach utilizing efficiencies of cloud and existing data center • Complete schedule indicating ability to deliver BOS on -time • Clear understanding of technical requirements • Proposed system requires only 10 percent new development to meet the technical requirements • Detailed quality assurance program Familiar with data in existing system reducing risk of transition to new system CSC Operations Work Plan, Transition and Approach • Committed to customer service and accuracy of revenue processing • Committed to O & M quality assurance • Thorough understanding of the work • Well -versed in 91EL operating policies, security requirements, and California laws and regulations • Established relationships with local Caltrans, CHP, FSP and emergency responders • Provided favorable options to requested service agreements • Proposed a local mail house Agenda Item 7 6 Price Price proposals were evaluated and scored separately from the firm's technical proposal. Proposers submitted detailed pricing for four phases of the work on which they were evaluated: 1) Implementation of the BOS 2) Initial O & M Term (years 1-5) 3) 1st Option O & M Term (years 6-8) 4) 2nd Option O & M Term (years 9-11) The BOS implementation price is a fixed price to be shared equally by the Agencies. Pricing for the three O & M terms are primarily based on a per item and per volume cost. These costs will be invoiced according to the actual number of transactions and violations processed in a given month, as well as the number of initial collection attempts, pieces of outgoing mail, registered owner lookups and active accounts being managed. To allow for a price comparison for each of the O&M terms, the Agencies assigned an estimated number of volumes to each O & M term to arrive at the total contract price as shown in Table 3. The Agencies prepared an independent cost estimate (ICE) for the scope of work provided in the RFP. The ICE estimate is included in Table 3 and 4 for comparison to the proposed prices. The total price of the ICE fell between the two short-listed proposer's prices. Table 3 - Original Price Agencies' Independent Cost Estimate Cofiroute Conduent BOS Implementation $17,000,000 $16,744,757 $9,219,819 Initial O & M Term (years 1 -5) 56,050,000 61,657,024 50,835,303 1st Option (years 6 — 8) 38,650,000 43,247,660 34,124,945 2nd Option (years 9 -11) 45,830,000 48,606,403 38,048,891 Total Price $157,530,000 $170,255,844 $132,228,958 Following the interviews, the Agencies provided the opportunity for the firms to respond with a BAFO. Both short listed firms responded with a reduced price as detailed in Table 4 below. Agenda Item 7 7 Table 4 — BAFO Price Agencies' Independent Cost Estimate Cofiroute Conduent BOS Implementation $17,000,000 $14,249,091 $8,943,370 Initial O & M Term (years 1 -5) 56,050,000 58,733,713 49,311,014 1st Option (years 6 — 8) 38,650,000 43,233,264 33,101,721 2nd Option (years 9 -11) 45,830,000 48,590,674 36,908,009 Total Price $157,530,000 $164,806,742 $128,264,114 Pricing scores were based on a formula, which assigns the maximum score to the firm with the lowest total price and scores the other proposers total price based on their relation to the lowest total price (Lowest Proposal Price / Proposal Price of the Proposal being evaluated x 20 = Price Score). Conduent was awarded the maximum available points, 20, for being the lowest bidder with a final price of $128,264,114. Cofiroute received 15.56 of the possible 20 points according to the formula above with its final price of $164,806,742. RCTC's share of the agreement is provided in Table 5 below. Table 5 — RCTC Price Share of Agreement RCTC Share BOS Implementation $7,124,546 Initial O & M Term (years 1 - 5) 30,437,693 1st Option O & M Term (years 6 -8) 23,662,037 2nd Option O & M Term (years 9-11) 27,367,068 Total Price $88,591,344 The BOS Implementation price is being shared equally by OCTA and RCTC. The O & M cost is based on each agency's estimated transaction volumes. Pass —Through Costs Staff identified various costs that will be incurred during the O & M periods for which there is no competitive pricing advantage and best suited as pass -through costs to the Agencies. Such costs include postage, address location services, welcome kits, transponder shipping supplies, website domains, and other costs. The firm will administer the work related to these pass -through items and request reimbursement from the Commission. The amount of pass -through costs will vary with the number of customers and revenue processed. Staff estimated the cost for pass -through Agenda Item 7 8 items at $10.5 million for the 11-year duration of the operation and maintenance period including base and option years. Staff is seeking authorization to reimburse Cofiroute for such costs. Pass - through items will be paid through the Commission's issuance of a purchase order to Cofiroute. Payment will only be used for the aforementioned items on an as -needed basis. Contingency A 5% contingency is being requested on the value of this contract in the amount of $4,429,567. The contingency will allow staff to readily address any changes to requirements for the BOS. The agreement included 2,474 technical requirements; over the course of the agreement, it is anticipated that changes to those requirements will be needed to address changes in Agency policies. Additionally, the O & M price for this greement is based on projected estimates of the variable components mentioned in the price section above. The contingency will provide for an allowance in the variable pricing component should the volume estimate be lower than actual volumes. Recommendation Based on the established criteria, staff recommends Commission award of Agreement No. 19-31-059-00 among RCTC, OCTA and Cofiroute to provide a BOS and CSC operations services for the 91EL in Orange and Riverside Counties in an amount of $88,591,344, plus a contingency amount of $4,429,567, for a total amount not to exceed $93,020,911. Additionally, staff requests authorization for the Chair or Executive Director to execute the agreement on behalf of the Commission; authorization for the Executive Director, or her designee, to approve contingency work up to the total not to exceed amount; and authorization for payment of pass -through costs up to a total amount of $10.5 million. Financial Information In Fiscal Year Budget: Yes N/A Year: FY 2019/20 FY 2020/21+ Amount: $ 750,000 $102,770,911 Source of Funds: Toll Revenue Budget Adjustment: No N/A GL/Project Accounting No.: 009199 8104100000 0000 591 3181002 Fiscal Procedures Approved: \I-ke/L 4;Aite „ Date: 10/16/2019 Attachments: 1) Agreement 2) Scope of Work (On the Website) 3) Schedule 4) Cost Summary Agenda Item 7 9 ATTACHMENT 1 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 PROPOSED AGREEMENT OCTA NO. C-9-1177 RCTC NO. 19-31-059-00 AMONGST ORANGE COUNTY TRANSPORTATIOTHORITY AND RIVERSIDE COUNTY TRANSP TION CO M SION AND THIS AGREEMENT is effect this f , 20 ("Effective Date"), amongst the Orang- nt ion Auth 50 South Main Street, P.O. Box 14184, Orange, CA 92863-1584, a p entity • ifornia (hereinafter referred to as "AUTHORITY") and th- ' County :tion Commission, 4080 Lemon Street, Riverside, CA, a public enti e Sta California einafter referred to as "COMMISSION"), together collectively rNCIES", and (hereinafter re to as " individually known as "Party" and collectively known as the "Parties". WITNESSETH: uire assistance from CONTRACTOR to design, implement, install, Back Office System (BOS) and to operate a Customer Service Center (CSC) for ith the mutual intent of AGENCIES of jointly operating said CSC and BOS as a Facility from the customer's perspective, as further detailed herein; and AS, the Work necessary to implement the Project cannot be performed by the regular employees of AGENCIES; and WHEREAS, CONTRACTOR has represented that it has the requisite personnel and experience, and is capable of performing the Work; and Page 1 of 76 10 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 WHEREAS, CONTRACTOR wishes to perform the Work; and WHEREAS, AUTHORITY and COMMISSON have entered into a Co • ive Agreement for among other things, joint implementation, operation and maintenance of ' ess Lanes BOS and operation of the 91 Express Lanes CSC; and WHEREAS, in 2003 AUTHORITY purchased from the C. ' is Private Transp. Company its interest in a Franchise Agreement with Caltrans to ope d maintain a toll collecti• em on State Route 91 between State Route 55 and the • County/Ri de County line ("O A 91 Express Lanes") and has been doing so since that tim WHEREAS, the COMMISSON constructed and, r, to a Toll Facility Agreement with Caltrans, as of 2017 operates and mai • I collection syste ate Route 91 between Interstate 15 and County/Orange County line, a Conne► -tween eastbound 91 and southbound 1-15 and between northbound and w- TC 91 Express Lanes"); and WHEREAS, the Express a TC 91 Express Lanes are referred to, collectively, in this AGREEME► .the 91 . -ss Lanes, WHE- ., Procurem- the Work is . •rized under Sections 130238 and 130240 et seq. of the Public Code ement Policy and Procedures; and WHEREA arties intend for this AGREEMENT to be a comprehensive agreement erform all Work, as more particularly described in this AGREEMENT, d AUTHORITY's Board of Directors authorized this AGREEMENT on the 2019; and the COMMISSION's Board of Directors authorized this AGREEMENT on the 2019. NOW, THEREFORE, it is mutually understood and agreed by AGENCIES and CONTRACTOR as follows: Page 2 of 76 11 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 ARTICLE 1. COMPONENTS OF AGREEMENT/INTERPRETATION A. AGREEMENT: This AGREEMENT, as defined in Exhibit A, De ' s and Acronyms, constitutes the complete and exclusive statement of the terms and conditio - agreement between AGENCIES and CONTRACTOR for the Work and supersedes all pri• esen . understandings and communications. The invalidity in whole or in part of any ter ► ondition of this A. ENT shall not affect the validity of other terms or conditions. Ter .italized herein shall, unle -rwise defined herein, have the same meaning as set forth i► •it A. Wher- s Agreement uses a term "including" it shall mean including but not limited to, uifically indicated. B. AGREEMENT Interpretation: This AGREEME -ach of the attached documents are all an essential part of the Parties agr- - •d should be inte in a manner which harmonizes their provisions. However, if an actual c••wing des. g order of precedence shall apply: Party's 1. AG Amendme T; ed hereto, ed in accordance with this AGREEMENT; ed herein by reference osal dated July 12, 2019 which is incorporated herein by reference. flict, and notwithstanding the order of precedence, the most stringent mined ENCIES shall govern, unless otherwise agreed to in writing by lure to insist in any one or more instances upon any other Party's performance of ns of this AGREEMENT shall not be construed as a waiver or relinquishment of that such performance by the defaulting Party or to future performance of such terms or conditions and the defaulting Party's obligation in respect thereto shall continue in full force and effect. This AGREEMENT may be amended or modified only by mutual written agreement of the Parties. Page 3 of 76 12 21 22 23 24 25 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 E. CONTRACTOR shall only commence Work covered by an Amendment a -rthe Amendment is fully executed and notification to proceed has been provided by AGENCIES. F. Where the AGREEMENT uses the term "AGENCIES", it ref- e AUTHORITY and COMMISSION, collectively, unless the context clearly indicates is • to either the AUTHORITY or COMMISSION, individually. Where the AGREE uses the term Y", it refers to either the AUTHORITY or COMMISSION, unless the cclearly indicates that is o both AGENCIES. ARTICLE 2. OPERATION AND ADMINIST' A. The Parties acknowledge that it is the intent an ve of AGENCIES to operate the 91 Express Lanes in both Orange Cou riverside County .t customers will experience a seamless transition between the two fac an• •e 91 Exp : :nes as a single facility. The CONTRACTOR agrees to cooperate in or • facili i ; objective. B. Notwithstan• hint opercribed in paragraph A of this Article 2, this inistered • - AUTHORITY and COMMISSION as further set forth T. five Officer of AUTHORITY, or designee, shall have the authority to act for f AUTHORITY under this AGREEMENT. f the COMMISSION, or his or her designee, shall have the authority ny of the rights of the COMMISSION under this AGREEMENT. of transmittal accompanying CONTRACTOR's Proposal, CONTRACTOR d title] as an officer of CONTRACTOR, who shthorized to sign this AGREEMENT and any Amendments to this AGREEMENT and to act for and make commitments on behalf of CONTRACTOR. Page 4 of 76 13 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 ARTICLE 4. SCOPE OF WORK AND REQUIREMENTS A. CONTRACTOR shall perform the Work in accordance with the att. - xhibits B through D, entitled "Scope of Work and Requirements", in a manner satisfactory to ' IES. B. In performing this AGREEMENT, CONTRACTOR wil espo for developing, operating, and maintaining a BOS that handles the funds of oth: •ocuments and p es financial transactions, and maintains the integrity of customer pers• formation and financial r- With respect to its obligations under this paragraph B, t - TRACTO' .II have a fiduciary •uty to AGENCIES, its customers and to the users of the Th: TRACTOR shall exercise its responsibilities prudently and shall institute all appropriate m- . s for the custody and administration of funds and records. C. CONTRACTOR shall provi• , re . _ - onnel, . ent, Software and supplies necessary to perform the Work. CONTRAS ' shal • in a competent and professional manner, in conforman he highest standards, to the satisfaction of AGENCIES. AGENCIES shall • led to d prompt . -ration by CONTRACTOR in all aspects of the Work. AGENCIES ave the right spect the pe : nce of the Work at any time, and CONTRACTOR shall fully and in the execution of such inspections. D. Exhibit : cope of Work and Requirements, sets forth that joint Work to be provided to of Work and Requirements"), whether jointly or separately funded. Only Scope of Work and Requirements, further sets forth that special NTRACTOR to be provided to the AUTHORITY only ("AUTHORITY Only Scope ents"),and funded solely by the AUTHORITY. No Work shall be included under my Scope of Work and Requirements if such Work will negatively impact CONT' ''s performance of the Joint Scope of Work and Requirements. F Exhibit D, COMMISSION Only Scope of Work and Requirements, further sets forth that special or additional Work of CONTRACTOR to be provided to the COMMISSION only ("COMMISSION Only Scope of Work and Requirements") and to be funded solely by COMMISSION. No Work shall be Page 5 of 76 14 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 included under the COMMISSION Only Scope of Work and Requirements if such ork will negatively impact CONTRACTOR's performance of the Joint Scope of Work and Require ARTICLE 5. CONTRACTOR'S PERSONNEL A. Non -Key Team Personnel: 1. The CONTRACTOR agrees that it will at a -s employ, main d assign a sufficient number of competent and qualified personnel ar .contractors to perform t' k in a timely manner. 2. CONTRACTOR warrants and repre hat i personnel and Subcontractors have the proper skill, training, background, knowledge, - ce, rights, authorizations, integrity, character and licenses necessary to p- - Work in a comp- d professional manner. 3. At the request of AG, IE - - discretio NTRACTOR shall promptly remove from assignment to the performan. Work bcontractor, or any other person performing Work here NCIES' r- remove an employee or Subcontractor from this Project is specific • .Work this AGR: NT and shall have no bearing on CONTRACTORSs decision to re e employee bcontractor , •rk outside of this AGREEMENT. AGENCIES shall bear no respo fora► TRACTOR. B. Kev T OR's Project Manager identified in the Proposal is a "Key Team ary point of contact in all matters on behalf of CONTRACTOR. The ssign other individuals as contacts with regard to specific functional area of the proval of AGENCIES. ontractor shall provide the personnel listed below, which are hereby designated as nder this Agreement: Name Function Page 6 of 76 15 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 3. The Joint Scope of Work and Requirements identify job categ. 'es as Key Team Personnel for the AGREEMENT as shown in the Table above. CONTRACTS ntified Key Team Personnel assigned to this Project in its Proposal shall be Approved as p. - Project Management Plan. CONTRACTOR acknowledges that the award of this AGREEM. • CO TOR was based in significant part on the qualifications of such Key Team onnel and on RACTOR's representation that they will be made available to perform t► +rk to completion, which a ty is a material term of this AGREEMENT. Key Team Pe -I shall be r- red to work in the +osition indicated in the Proposal and in the Approved Project 4. No Key Team Personnel shall be remo -placed by CONTRACTOR or have any change in function or any significon in the level o itment, without the prior written Approval of AGENCIES. Should AGE t the list . Team Personnel does not include personnel essential to the succWork, AGENCIES may require CONTRACTOR to add - g job cate• +ch list. 5. - NCIE ome diss. d with the performance of any person designated as Key Team Po el, AGENCI' .hall notify C• 'ACTOR in writing. Within fourteen (14) Business Days of receip h No ' : I either propose a replacement person for evaluation and A• •royal by or present to AGENCIES a thirty (30) Calendar Day plan for correcting the encies. If AGENCIES reject the replacement person for evaluation, then propos_ her replacement person within fourteen (14) Business Days of such s shall be followed until CONTRACTOR proposes a replacement person S. If AGENCIES reject the plan of correction, or Approve the plan of correction, performance deficiencies are not corrected to AGENCIES' satisfaction within thirty (30) Ca gays of AGENCIES' Approval of the correction plan, then CONTRACTOR shall, propose to AGENCIES a replacement person for evaluation and Approval by AGENCIES within the time and manner set forth above. If CONTRACTOR is unable to provide a suitable replacement for a total period of more than three (3) months from the date of AGENCIES' initial Notice to CONTRACTOR, whatever Page 7 of 76 16 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 the reason, the position shall be considered "Unavailable" and this shall trigger the I'• uidated damages set forth in Article 18 C.2 or Article 18 C.3, depending upon the position. 6. Should the services of any Key Team Personnel be •o longer available to CONTRACTOR, CONTRACTOR shall, within one (1) Business D .m the CONTRACTOR becomes aware that the Key Team Personnel is or will AGENCIES. The resume and qualifications of the pro AGENCIES for Approval as soon as possible, but in no CONTRACTOR becomes aware that the Key Team will respond to CONTRACTOR within seven (7) Business concerning acceptance of the repla CONTRACTOR" means that the Key T otherwise physically unable to perform as a period of more than rendered physicall AGENCIES reasonable A than thirt (30) Calendar As used in thi no -r be available, - Notice to replacement shall be ted to later than f• -en (14) Business D. s after el is not be available. AGENCIES owing receipt of these qualifications raph, "no longer available to by CONTRACTOR or is T for reasons such as health, for the event a Key Team Personnel member was but late ysically able to perform, CONTRACTOR shall notify I to his or her position, subject to the AGENCIES' provide a suitable replacement for a period of more er the reason, shall trigger the liquidated damages for Unavailability set forth ending upon the position. assign y CONTRACTOR of a Key Team Personnel member without the ENCIES will automatically trigger liquidated damages for Unavailability set forth .3, depending upon the position. TERM OF AGREEMENT I Term: This AGREEMENT shall commence upon the Effective Date, and shall continue in full force and effect for a period of up to seven (7) years through ("Initial Term"), unless earlier terminated or extended as provided in this AGREEMENT. The Initial Term is composed of an Implementation Phase, and an Operations and Maintenance Phase, beginning at Go - Page 8 of 76 17 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 Live, of five (5) years. B. Extensions: AGENCIES, at their sole discretion, may elect to exte nitial Term of this AGREEMENT up to an additional thirty-six (36) months (" Option Ter r d thereupon require CONTRACTOR to provide the Work and otherwise perform in accor. with •pe of Work and Requirements at the rates set forth in Exhibit E, entitled "Contrac ' ice Proposal." A. ES, at their sole discretion, may elect to extend the Initial Term, as ext- . by Option Term 1, up to . •itional thirty-six (36) months ("Option Term 2"), and thereup• .uire CONTTOR to continue to •rovide Work and otherwise perform in accordance with the Sf Wo Requirements at the rates set forth in the Contractor Price Proposal. The Initial Term an ensions thereof shall be referred to as "Term" in this AGREEMENT. C. Extensions Not Constituting ver: electio tend the Initial Term under Option Term 1 and/or Option Term 2, sh. •t dim - terminate the AGREEMENT for AGENCIES' convenien TRACTO' as provided elsewhere in this AGREEMENT. The maximum Term of GREE T shall be en (13) years from the Effective Date. ARTI TIME • CHEDULE/► PLETION DATES CTOR's Submittal requirements and Submittal schedule shall be as set out Project Management Plan and CONTRACTOR's Approved Baseline ule, in . Dance with the Scope of Work and Requirements. NCIES' written Approval will be required for Submittals. in fifteen (15) Calendar Days of the Effective Date CONTRACTOR shall submit tation Schedule in a format acceptable to AGENCIES for AGENCIES' review and Approv. preliminary Implementation Schedule, (Exhibit F), shall be the basis for the development of CONTRACTOR's submitted Baseline Implementation Schedule. The Baseline Implementation Schedule shall propose dates by which CONTRACTOR will (a) submit required permits, documents, applications, and design; and (b) develop; deliver; install; test, and implement the required BOS, including Page 9 of 76 18 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 all necessary documents, Submittals, and Deliverables in support thereof. Sufficient ' •formation shall be shown on the Baseline Implementation Schedule to enable proper control an oring of the tasks and subtasks in accordance with the requirements set forth in the Joint Sco. •rk and Requirements. 4. Upon completion of the Baseline Implementation le b RACTOR to the satisfaction of AGENCIES, AGENCIES will Approve such sche• .nd it will therea seemed the Approved Baseline Implementation Schedule and constitu - chedule for the Submitta orth in this Article 7, paragraph A.1 and measured in accord. - ith paragrap •f this Article 7. 5. Progress of Work shall be measurest th- , oved Baseline Implementation Schedule and submitted to AGENCIES monthly in acco . ith the Joint Scope of Work and Requirements, until the Implementatio - has been comp : ubmission of monthly progress updates to such schedule shall not r, se • ONTRA from full responsibility for completing the Work within the time set fo the A. -. Implementation Schedule. 6. CO R shall fur lent resources to ensure the performance of the Work in accorda - h the •ved Base Implementation Schedule. If CONTRACTOR falls behind in the mance of the •rk as indicat: the Approved Baseline Implementation Schedule, cessary to ensure its performance in accordance with plementation Schedule. CONTRACTOR shall manage the risks to the tion Schedule to avoid any potential delays or make every effort to work elays a igate the impact of delay. TRACTOR shall be responsible for all delays in the Approved Baseline e, except delays in Approvals caused by Force Majeure events. However, raph relieves CONTRACTOR of its responsibility to provide complete and accurate Submit . Deliverables that meet the requirements of the Scope of Work and Requirements. Submittals rejected by AGENCIES due to CONTRACTOR's failure to meet the requirements of the Submittal or Deliverable or to address the previous written comments provided by AGENCIES are not Force Majeure events and CONTRACTOR shall be held responsible for all associated delays. Page 10 of 76 19 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 8. If comments forms are established in the Project Management PI resolution of questions and issues on a Submittal, the Submittal shall not be c all written comments are addressed to the satisfaction of AGENCIES. S considered a rejection until the comments are fully resolved. B. Guaranteed Completion Dates: In executing this AGREEMENT CONTRACTOR operational by the Guaranteed Completion Date, AGENCIES in accordance with this AGREEMENT. 1. The 91 Express Lanes shall be fully ope determined by AGENCIES, within five- 2. In addition to all othe fails to meet the Guaranteed Completion pursuant to this AGRE ONTRAC Article 18, Liquida C. D the A• •roved Bas to be used for the ed Approved until of Approval shall be ranteeing that the BOS e fully ions thereof Appr• ed by nd shall have achieved Go -Live, as from Effective Date. ENCIES, if CONTRACTOR mpletion Date may be extended be subject to liquidated damages as specified in !Is to complete any activity by the completion date in ementation Schedule, unless previously excused by AGENCIES in writing, d, within seven (7) Calendar Days of AGENCIES' request, to submit to it plans to return to compliance, including a recovery schedule if NTRACTOR fails or refuses to implement measures sufficient to bring its Work with the Approved Baseline Implementation Schedule, it shall be considered an ult and AGENCIES may exercise all rights provided herein, including permitting CONTRACTOR to proceed under specified conditions required by AGENCIES. 3. No AGENCIES' review or Approval of a schedule submitted by CONTRACTOR shall release or relieve CONTRACTOR from full responsibility for the accurate, complete and timely Page 11 of 76 20 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 performance of the Work, including the accuracy and completeness of the schedule or any other duty, obligation or liability imposed on CONTRACTOR by this AGREEMENT. A S' Approval of a schedule shall not constitute a representation by AGENCIES that CONTR ill be able to proceed or complete the Work in accordance with the dates contained in said ARTICLE 8. START AND PHASES OF WORK A. Implementation Phase: The Implementation Ph- all commence upon Effec -te and shall continue until Final Acceptance. CONTRACTOR of begin pe ing Work until the ' ective Date and shall not be entitled to any compensation for . .rk p: ed or costs incurred prior to the Effective Date. B. Conditions precedent to S executing th- 'EEMENT are CONTRACTOR furnishing the Form G, Performance • ent Bo d applicable certificates of insurance and endorsements thereof as r: ed by T. CONTRACTOR shall furnish said documents within AGENCIES. C. O commence u Term. usiness D notification of award of this AGREEMENT from he Operations and Maintenance Phase shall System and shall continue through the end of the M OBLIGATION nding ovisions of this AGREEMENT to the contrary, AUTHORITY and ly agree that AUTHORITY's maximum cumulative payment obligation (including CTOR's profit) for all Work during the Initial Term shall be Dollars ORITY Maximum Obligation"). This is based on the AUTHORITY's portion of fixed and va ce components and includes, but is not limited to, all amounts payable by AUTHORITY to CONTRACTOR and its subcontracts, leases, pass throughs, materials, and other costs , arising from, or due to termination of, this AGREEMENT and as further set forth in Article 10, Payment, unless agreed to and amended in writing by the AUTHORITY and CONTRACTOR. Page 12 of 76 21 21 22 23 24 2s 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 B. Notwithstanding any provisions of this AGREEMENT to the contrary, CONTRACTOR mutually agree that COMMISSION's maximum cumulative pay obligation for CONTRACTOR's profit) for all Work during the Initial ($ .00) (the " COMMISSION Maximum Obligation"). This is base fixed and variable price components and includes, but COMMISSION to CONTRACTOR and its subcontracts, lea arising from, or due to termination of, this AGREEME unless agreed to and amended in writing by COMMIS ARTICLE 10. PAYMENT A. Payments made for Imple 'hase Work by and percentages provided in Exhibit G, -sto Schedule. Operations and Maintenance Phase by respective AGENCY o the Price Propos liability for pa applicabl ent shall R Te OMMISSION and ligation (including Dollars ION's portion of is n• ited to, all am. sayable by ss throughs, materials, a costs as further orth in Article 10, P:yment, d CCTOR. GENCY shall be in the amounts ble payments made in the Work performed for their own ercentage basis for each AGENCY as identified in the AUTHORITY or COMMISSION have any joint B. Pa, of A •ligation: AUTHORITY shall pay to CONTRACTOR up to its Maximu :tion amount, for CONTRACTOR's full and complete performance of its MENT on a fixed and variable unit price basis in accordance with the forth i :graphs D through I of this Article 10. OMMISSION Maximum Obligation: COMMISSION shall pay to CONTRACTOR ligation amount, for CONTRACTOR's full and complete performance of its s AGREEMENT on a firm fixed and variable unit price basis in accordance with the followin. . ons set forth in paragraphs D through I of this Article 10. D. Payments for Implementation Phase: Payments to CONTRACTOR for the Implementation Phase will be as indicated in the CONTRACTOR Price Proposal, and Exhibit G, Payment Schedule. Payments for BOS design, development, integration and testing, installation and other Deliverables will Page 13 of 76 22 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 be made using fixed prices for completed and Approved Deliverables as provid= • in the Payment Schedule and the CONTRACTOR Price Proposal. E. Payments for Maintenance: Payments for Maintenance will be r a monthly basis, and where applicable, based on fixed monthly prices and variable u es i dance with the CONTRACTOR Price Proposal. Adjustments to these payme► ay be made fo TRACTOR performance which falls below required Performance Meas :s further set forth in the S. Work and Requirements. F. Payments for Operations: Payments for •, •ns w ade on a monthly basis, and where applicable, based on fixed monthly prices, variab prices and pass -through costs, in accordance with the CONTRACTOR P osal. Adjustmen ese payments may be made for CONTRACTOR performance which fall ow '-rformanc- ures as further set forth in the Scope of Work and Requirements. G. Full and Co y• •mpensatio ork performed by CONTRACTOR in meeting the requirements of t - ' EEM hall be pal, der one of the above payment methods, which shall constitute ful sensation for Work, includ ut not limited to: (a) the cost of all insurance and bond premiu e o overhead, and profit relating to CONTRACTOR's performance of the •) the cost of performance of each and every portion of the Work (including all Subcontractor(s) and third party licenses and Software); (c) the cost of ental als; (d) all costs of compliance with and maintenance of such , (e) all risk of inflation, unless otherwise noted, currency risk, interest, and other with the payment schedule for the Work as provided herein; and (f) payment of ermits and other fees and/or royalties imposed with respect to the Work and any Equip erials, or labor included therein. H. Schedule of Fixed Payment: The following schedule shall establish the fixed payment to CONTRACTOR by AGENCIES for the Implementation Phase set forth in the Scope of Work and Requirements. Page 14 of 76 23 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 1 21 22 23 24 25 26 IMPLEMENTATION PHASE PAYMENTS TYPE OF PAYMENT AUTHORITY AMOUNT ($) CO ION AMOUNT ($) Fixed Price $0.00 .00 Total Implementation Phase $0.00 _ I. Schedule of Fixed Payment and variable paym Operations and Mainte hase: ' The following schedule shall establish the basis for p. to CONTTOR by AGENCIE or the Operations and Maintenance (O&M) phase set forth - Scoork and Requirements. The schedule also shows the maximum obligation for each AGthe combined Implementation and Operations and Maintenance Phases 'shed in paragra. and B of Article 9, Maximum Obligation. OPERATONS AND NTEN PAYMENTS TYPE OF PAYM ► AU • MOUNT C. COMMISSION AMOUNT ($) Fixe. $0.00 $0.00 Variable ' Based on es ..00 $0.00 Pass thro . s $0.00 $0.00 To ation Maint a Pha $0.00 $0.00 MAXIMUM OBLIGATION ALL PHASES MAXIMUM OBL TION FOR IMPLEMENT N AND O&M ES $0.00 $0.00 I Requirements: During the Implementation Phase CONTRACTOR shall separately invoice A CIES on a monthly basis for payments corresponding to the Work actually completed by CONTRACTOR and Approved by each of AGENCIES in accordance with the payment methods as set forth in paragraph D of this Article 10, Payment, and in the proportion for each AGENCY established in Exhibit G, Payment Schedule. Page 15 of 76 24 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 K. Following Go -Live (During the Operations and Maintenance Phase) C• TRACTOR shall separately invoice AGENCIES in accordance with the payment methods as set f• paragraphs E and F of this Article 10. Such payments shall be monthly in arrears, beginning oh after Go -Live. Such monthly Operations and Maintenance invoices shall be subject to the ' .val o CY invoiced. L. Deliverables and Work completed and Approved b ENCY shall be ented in a monthly progress report prepared by CONTRACTOR, whic► accompany each invoice ted by CONTRACTOR. At its sole discretion, AGENCY ma a to make •ayment for any De erable until such time as CONTRACTOR has documented to Y's • action, that CONTRACTOR has fully completed all Work required under the invoice. AGENC ent in full for any task or Deliverable completed shall not constitute AGE invoice. I Acceptance o TRACTOR's Work under such M. Retention: As partial security . st CO' ure to satisfactorily fulfill all of its obligations under this NT, AGEN .II retain ten percent (10%) of the amount of each Implementation P voice itted for pa t by CONTRACTOR. CONTRACTOR shall invoice AGENCIES f- -release of etention in it .I invoices following Implementation Phase Final Acceptance in .ance retained funds shall be released by AGENCIES and R within sixty (60) Calendar Days of payment of final Implementation Phase ct to audit CONTRACTOR's records in accordance with Article 44, Audit CIES elect to audit, retained funds shall be paid to CONTRACTOR dar Days of completion of such audit in an amount reflecting any adjustment audit. on of Invoices: Invoices shall be submitted by CONTRACTOR to AGENCIES' Accoun able offices. CONTRACTOR shall submit invoices electronically to AUTHORITY's Accounts Payable at vendorinvoices(a�octa.net. and to COMMISSION's Accounts Payable office at AP(a�RCTC.orq. AGENCY shall remit payment within thirty (30) Calendar Days of the receipt and Approval of a properly prepared invoice. Each invoice shall include the following information: Page 16 of 76 25 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 applicable, 1. AGREEMENT No. (AUTHORITY:C-9-1911; COMMISSION: 19-3-059-00) 2. The specific phase for which payment is being requested; 3. BOS generated reports to validate quantities for t riced items, where 4. AGENCIES' Project Manager's Approval of t -yment request. 5. Identification of the relevant line item the Price Proposal, an• -stone payment, identification of the milestone name, numbe amount in t '.yment Schedule. 6. The time period covered by the invo 7. Total monthly invoice (including Proje - cumulative invoice amount) and retention for the time period covered b •'ce and cumulati tion held; 8. Monthly Progress R: an• • •roved :. a Implementation schedule during Implementation Phase or, Monthly -ration- • • e Operations and Maintenance Phase; payroll fo onnel subject to prevailing wage requirements, if applicable; 1 ertific. - CTOR that a) The invoice is a true, complete and correct statement ursable costs and progress; b) The backup information included with the correct in all material respects; c) All payments due and owing to ppliers been made; d) Timely payments will be made to Subcontractors and eeds of the payments covered by the certification and; e) The invoice does not ch CONTRACTOR intends to withhold or retain from a Subcontractor or Supplier n the invoice; and Any other information as agreed or requested by AUTHORITY and/or COMMISSION to substantiate the validity of an invoice. O. CONTRACTOR agrees to pay each Subcontractor for the satisfactory Work performed under this Agreement, no later than thirty (30) days from the receipt of each payment CONTRACTOR Page 17 of 76 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 8 9 10 11 12 13 14 15 16 17 18 21 22 23 24 2s 26 receives from AGENCIES for such Subcontractor Work. AGENCIES reserve the :ht to request the appropriate documentation from CONTRACTOR showing payment ha n made to the Subcontractors and CONTRACTOR agrees to provide said documentatio► equest. Any delay or postponement of payment from the above referenced time frame occ for good cause following written Approval by AGENCIES. P. The AGENCIES may impose administrative sa . for CONTRACTOR's fail omply with the payment provisions in this Article 10 without th- written App - of AGENCIES or to omply with any lawful or proper direction from AGENCIES con the 'rior to imposing administrative sanctions, the AGENCIES shall provide a written NoticNTRACTOR specifying the non- compliance and that AGENCIES will a -ir administrative •ns within five (5) Business Days of the date of such Notice, unless and , su •mplianc- hieved. The administrative sanctions shall be specified in the Notice a gay inc •. ited to, a penalty of two percent (2%) of the invoice amo •er month fo onth that payment is not made and/or suspending the processing of i- -s or pa t made fo rk performed until compliance is achieved. Q. Tr •ayment pro ns in paragr. O and P must be incorporated in all subcontract agreements is CO► greement. ARTICLE CES and communications regarding the interpretation of the terms of this hall be effected by delivery of said Notices (a) in person or by courier; otices in the U.S. mail, registered or certified mail, returned receipt requested, sent by electronic e-mail; provided that the recipient of the electronic Notice t of such transmission by email. Personal or courier delivery shall be deemed given upon a very to the intended recipient at the designated address. Mailed Notices shall be deemed given upon the date of the actual receipt as evidenced by the return receipt. Electronic e-mail Notice shall be deemed given upon the date the email is acknowledged as received by the recipient; provided that if acknowledgement is received after 5 p.m., delivery shall be deemed received as of 8 a.m. the Page 18 of 76 27 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 following Business Day. Any Notice shall be sent, transmitted or delivered, aspplicable, to the applicable Party or Parties at the following addresses: To: Orange County Transportation Authority To: Riverside County Transportation Commissio o: C CTOR 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 4080 Lemon Street,3rd P.O. Box 1200 Riverside, CA 9 208 ATTENTION: Ms. Reem Hashem Section Manager III ATTENTION: Ms. Anne Executive Dir Phone: (714) 560 - 5446 ne: (951) 787-71 Email: rhashem(c�octa.net ai . ctc.orci ARTICLE 12. INDEPENDENT CCT A. CONTRAC -tionship to • S in the performance of this AGREEMENT is, and shall at all times , n as to NCIES, . golly independent contractor. B. rvices under this AGREEMENT shall at all times be under CO TOR'• _ . control and shall be employees of CONTRACTOR and not employees ORITY. CONTRACTOR shall pay all wages, salaries, and other amounts on with this AGREEMENT and shall be responsible for all reports and the h as social security, income tax withholding, unemployment compensation and similar matters. xpressly provided in this AGREEMENT, CONTRACTOR shall have no power to ation, or liability on behalf of AGENCIES or otherwise act on behalf of AGENCIES as an either AGENCIES nor any of their agents shall have control over the conduct of CONTRACTOR or any of CONTRACTOR's employees. CONTRACTOR shall not, at any time, or in any manner, represent that it or any of its agents or employees are in any manner agents or employees of AGENCIES. Page 19 of 76 28 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 D. CONTRACTOR shall defend, indemnify, and hold harmless AGENCIES , ith respect to any claims, causes of action, suits, judgements, liabilities, or legal or administration eding (collectively, "Claims") which arise out of (i) any assertion, whether by CONTRACTS of its employees or Subcontractors, any public employee retirement system, or any loral agency, that CONTRACTOR or any of its Subcontractors or employees are in ployer-employeonship with AGENCIES and thus, entitled to any compensation or b- provided by AGENCIES -'r own employees, including, but not limited to, benefits pr. by AGEN under applicable orkers' Compensation laws, public employee retirement laws, Me•' eave Act, vacation, sick leave, etc.; (ii) any employment claims related to wages, hours, or . ent terms and conditions raised or brought by any personnel CONTRAC -ngaged to pertrk under this AGREEMENT; or (iii) failure of CONTRACTOR, or any of it ploy . ontractor .ide by applicable state and federal employment laws including, b •t limi o, :ssment and anti -discrimination obligations. In addition - her remedi have, AGENCIES shall have the right to offset against the amou► .ny pa is due to TRACTOR under this AGREEMENT any costs or liabilities AG- Shave inc or will be reably expected to incur, due to CONTRACTOR's failure to defe -mni NCI ES as required in this paragraph. E. CONTagrees to pay all required taxes on amounts paid to CONTRACTOR under nify and hold AGENCIES harmless from any and all taxes, assessments, inst AGENCIES by reason of the independent contractor relationship ENT. In the event that AGENCIES are audited by any Federal or State agency ent contractor status of CONTRACTOR and the audit in any way fails to sustain ly independent contractor relationship between AGENCIES and CONTRACTOR, then CTOR agrees to reimburse AGENCIES for all costs, including accounting and attorney's fees, arising out of such audit and any appeals relating thereto. Page 20 of 76 29 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 ARTICLE 13. BONDS A. All bonds required by this AGREEMENT shall be issued by sureties in the State of California with an A.M Best Rating of A-, Class VII I, or better AGENCIES in their sole discretion, referred to hereinafter as "Eligible provision set forth in this AGREEMENT, performance by a sure any oblig shall not relieve CONTRACTOR of any of its obligations u - s AGREEMENT. B. As partial security against CONTRACT • ailure to s obligations under this AGREEMENT, CONTRACTOR ubmi CONTRACTOR provision of applicable Operations and Mai ctorily fulfill all ed to do business herwise Approved by nding any other ations • TRACTOR and eep in place until Go -Live and e Bond as described in paragraphs C and D of this Article below, a Perfor ' , d and Payment ferred to hereinafter as "Bonds" in the form, respectively, set forth in Fo G a .ttached t. AGREEMENT. The Bonds shall each be in the sum of one -hundred ( o) per xed Price for the Implementation Phase (not including p.- •h costs), a in Sheet 1 of the CONTRACTOR Price Proposal entitled Project C• mma I C5-BOS ementation Cost). If the Total Fixed Price for the Implementati• ase is incre. in connectio h an Amendment, AGENCIES may, in their sole discretion, re • . corre• - amount of the Bonds or new Bonds covering the Amendment. Maintenance Bond referred to hereinafter as "O&M Bond" shall be attached to this AGREEMENT, as a condition of Go -Live. The Bond shall not be released until the O&M Bond for the O&M phase is in place. for the O&M Phase shall be provided at one -hundred (100%) percent of Years 1 is (not including pass -through costs), as shown on CONTRACTOR Price Proposal Sheet , ed Bond Amounts Table (cell C25). D. O&M Bond (not including pass through costs) may be renewed each year at the anniversary date of Go -Live through the end of the Term. For subsequent years after the first year of Operations and Maintenance, the renewed O&M Bond shall be submitted to AGENCIES at least fifteen (15) Business Page 21 of 76 30 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 2s 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 Days prior to the anniversary date of Go -Live. Upon Approval thereof, AGENCIES I release the prior year's Bonds. E. The value of the O&M bond for years 2 through 5 and shall be • ed as follows: 1. Year 2 O&M bond = Estimated total combined c• •& .rs 2 and 3 (not including pass through costs) as shown on 4, Projected Bo counts table (cell C26). 2. Each of Years 3 through 5 O&M bo• stimated co • total combined cost .f O&M for upcoming year only as provide • -et 4 ct Bond Amounts Table for the respective upcoming year (cells C27, C2. • as applicable). F. The estimated value of the ' - is for any given - h regard to bonded amount shall be based on the value presented in th • 'rice Pro • or total O&M costs for the referenced year(s) as provided in parag E of cluding pass -through costs), as adjusted for any Approv- -s orders thected these Price Proposal cells and any updates in the estimated O' .lumes e year(s) • •ed by AGENCIES at their sole determination. G. If -ond previou ovided beco effective, or if the Eligible Surety that provided the Bond no long: -ts th- ents, CONTRACTOR shall provide a replacement Bond in the same ed by an Eligible Surety within five (5) Business Days of CONTRACTOR's CTOR shall provide Notice to AGENCIES promptly following such Bond such Bond's surety is no longer an Eligible Surety, in no case later Days thereafter. the Performance Bond shall meet the following requirements: entify AGENCIES and AGREEMENT Nos. C9-1177 (AUTHORITY) and 19-31-059- 00 (C• N) for which the Performance Bond is provided; 2. Upon written Notice by AGENCIES that CONTRACTOR has defaulted under this AGREEMENT, the Eligible Surety will have ten (10) Business Days to make a determination on the claim and to notify AGENCIES accordingly. Page 22 of 76 31 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 ARTICLE 14. INDEMNIFICATION A. CONTRACTOR shall indemnify, defend and hold harmless AUT Caltrans, and their officers, directors, employees and agents, (hereafter, against any and all claims (including attorneys' fees and reasonable e for any loss or damages, bodily injuries, including death, damag the negligent acts, omissions or willful misconduct by CON agents, Subcontractors or Suppliers in connection AGREEMENT. In addition to any other defense an unity assumed under this AGREEMENT, CONTRACTOR shal Indemnitees from and against any and es, actions, suits, attorneys' fees, which arise out of condemnation or any other unlawful entry or employees. .Any CONTRACTOR h against any and a fees, costs, an charged to, or reco ting to any actu. with Deliver Agreement, er or u ual Property ONT nses in a cause ed may b, ed from any other r loss of use of OR, its officers, directors, , COMMISSION, emnitees") from and n or settlement) caused by yees, or arising . •f the performance of this ions that CONTRACTOR has , indemnify and hold harmless the s, and legal expenses, including tion for trespass, inverse TOR, its Subcontractors, agents any monies due or to become due to ment between CONTRACTOR and AGENCIES. , defend, and hold harmless Indemnitees from and causes of action, suits, legal or administrative proceedings, including any amounts, losses, damages (statutory or actual), reasonable attorneys' al thereto, which may be suffered by, incurred by, accrued against, ble from Indemnitees ("Claim(s)"), by reason of any such Claim arising out of or alleged infringement of any intellectual property rights by any Intellectual Property, tation Project Intellectual Property, alone or as incorporated into the Project, or any rk, Service(s) and/or Software, including Upgrades or Updates, or use thereof. 2. Without limiting any other rights or remedies available to AGENCIES under the in law and/or equity, in the event that any Intellectual Property, Equipment or Software employed to provide Work pursuant to this AGREEMENT, or portion thereof, is held to constitute an Page 23 of 76 32 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 infringement and its use is or may be enjoined, the CONTRACTOR shall have the oigation, at its sole expense, at AGENCIES' option to do one or more of the following: a. Require CONTRACTOR to, at its own exp= pply, temporarily or permanently, replacement the Intellectual Property, Equipment or Sof .f sim .lity and function which is not subject to such an infringement or injunction; b. Require CONTRACTOR to, at i expense, remove all suc ectual Property, Equipment and Software and refund to IES the c► thereof or equitabl adjust compensation; c. Take such steps as is necessa re compliance by AGENCIES with such injunction; d. Modify, or re. th. .ble Sub for or Supplier modify, the alleged infringing Intellectual Property a own t impairing in any respect the functionality or perform. - -of that is n. ; ng; and/or AGEN at CONTRACTOR's expense, the rights provided under this A ENT to us- infringing Int- al Property, Equipment or Software. esponsible for determining and informing AGENCIES whether a prospec her or Subcontractor is a party to any litigation involving Intellectual Property n or any injunction related to thereto, or arising out of any Intellectual are provided hereunder. The CONTRACTOR shall enter into pliers and Subcontractors at its own risk. AGENCIES may reject any Intellectual Software, which it believes to be the subject of any such litigation or injunction, judgment, use thereof does not meet the objectives of Work, restricts or impairs AGENT is in any Intellectual Property, or be unlawful. ARTICLE 15. INSURANCE A. CONTRACTOR shall procure at its own expense and maintain during the Term of this Agreement or longer as provided herein, insurance coverage as specified in this Article 15 or as otherwise Page 24 of 76 33 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 agreed to by the AGENCIES. CONTRACTOR shall provide the following insurance 1. Commercial General Liability at least as broad as Commercial General Liability Coverage (occurrence form CG 0001 or equi $5,000,000.00 per occurrence and $10,000,000.00 general aggregat 2. Automobile Liability at least as broad as I Coverage (form CA 0001, code 1, any auto, or equivalen $5,000,000.00 per occurrence and is acceptable to A S; 3. Workers' Compensation insura req Employer's Liability Insurance. Employer's liabilit $1,000,000 each accident, each empl• •odily injury, and shall be endorsed to waive the insurer's r and their respective officers, directors, em 5. aggregate to inclu Crime; and liabilit for or prep I Crime overage: In e Services Office ith a minimum limit of is ac e to AGENCIES; nce Services Oiness Auto a minimum combined imit of y the State of California and shall be no less than limit for bodily injury. The policy ainst the ORITY and COMMISSION, no less than $5,000,000 per claim and in the honesty, eery & Alteration, Monies & Securities, Computer ns Including Privacy and Network Security- covering ons in rendering computer or information technology services including 1) rogramming 3) data processing 4) systems integration 5) outsourcing ms design, consulting, development and modification 7) training uter Software or Hardware 8) management, repair and maintenance of computer systems 9) marketing, selling, servicing, distributing, installing and maintaining or Software 10) data entry, modification, verification, maintenance, storage, retrieval f data output, and 11) Privacy and Network Security (Cyber Liability) insurance covering liability arising from a) hostile action, or a threat of hostile action ("ransomware"), b) "malware" including computer viruses, Trojan horses, worms and any other type of malicious or damaging code c) dishonest, fraudulent, malicious, or criminal use of a computer system by a person, whether identified or not, and Page 25 of 76 34 21 22 23 24 25 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 whether acting alone or in collusion with other persons, d) denial of service for w^ ch the insured is responsible that results in the degradation of or loss of access to internet or ne .ctivities or normal use of a computer system e) loss of service that results in the inability of a -rty, who is authorized to do so, to access a computer system and conduct normal activitie polic, shall be not less than fifteen million dollars ($15,000,000) per claim and annual a• ;ate. B. Proof of required coverage, in the form of a ce - of insurance, a copy of rance policy and/or an insurance company issued policy enent shall bvided to AGENCIE Proof of insurance coverage and endorsements evidencing uire or additional insureds must be received within ten (10) Business Days after notification of a is AGREEMENT from AGENCIES. Such insurance shall be primary and •utory to any ins or self-insurance maintained by AGENCIES. AGENCIES reserve the ri• re • • - • copies . -lated insurance policies. C. CONTRACTOR shall include • e fac - of Insurance the AGREEMENT Number and OCTA's Cministrator 'eem Hashem, Section Manager III. D. AUTH directors, e Commercial endorsement with shall maintain ap the Indemnitees as effect at all tim onsib' ,COM es and ag I Lia•' ION and t (the "Indem lifornia Department of Transportation, their officers, s") must be named as additional insured on iability Certificates and on the insurance policy performance hereunder. also include in each subcontract the requirement that Subcontractors coverage in the amounts as required by CONTRACTOR and include ional insureds on general and automobile liability policies. Such coverage shall at a Subcontractor is performing Work under the Contract. CONTRACTOR shall enforce Subcontractor compliance with these or similar insurance requirements provideNTRACTOR shall upon AGENCIES' request provide acceptable evidence of insurance for any Subcontractor. The CONTRACTOR shall assume all responsibility for risks or casualties of every description, for any and all damage, loss or injury, to persons or property arising out of the nature of the Services, including but not limited to the negligence or failure of its Subcontractors (as well as Page 26 of 76 35 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 CONTRACTOR's employees) to comply with this AGREEMENT. F. CONTRACTOR shall be required to immediately notify AGENCIE y modifications or cancellation of any required insurance policies. G. CONTRACTOR shall, at all times during the Term of this ' M . intain insurance in such form as is satisfactory to AUTHORITY and shall furnish NCIES with cont -vidence of insurance as provided below. All insurance policies shall be ' : by companies licensed t• siness in the State of California, with an A.M. Best Rating of ass VII, or b , or as otherwise A.•roved by AGENCIES. CONTRACTOR shall, at all times, comthe of such insurance policies, and all requirements of the insurer under any such insurance poll ept as they may conflict with existing California laws or this AGREEMENT. H. CONTRACTOR shall provid: E -rtificates g the required coverage to be in effect and a copy of the insurance , y or e- :encing the requirements for the additional insureds. S cancelled except insurance po I. A thirty nd endorse ITY r covera•e on an a ance . timely CONTRACTO required herein. Th GENCIES. Pe sis shall pro alendar shall be pr he insurance shall not be materially modified or prior written Notice to AGENCIES. Copies of all to AGENCIES upon request. all insurance coverage and amounts of insurance and to require CONTRACTOR to adjust the insurance coverage and based on industry standards for contracts of this size and type. II premiums and deductibles when due for all insurance coverage ove insurance shall not contain a self-insurance retention (SIRs) unless Approved g to the above paragraphs regarding professional liability, technology errors and omissio cyber liability insurance, if coverage is written on a claims made basis, such insurance shall be maintained in force at all times during the Term and for a period of three (3) years thereafter for Work completed during the Term. Additionally, if a sub -limit applies to any elements of coverage, the policy endorsement evidencing the coverage above must specify the coverage section and the amount Page 27 of 76 36 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 of the sub -limit. K. Providing and maintaining adequate insurance coverage describ- rein is a material obligation of CONTRACTOR and is of the essence for this AGREEMENT. its of coverage under each insurance policy maintained by CONTRACTOR shall •e i ed as limiting CONTRACTOR's liability and obligations under the AGREEME L. Subcontractors' Insurance. CONTRACTOR sher require each Subcontra► obtain and maintain Workers' Compensation Insurance, Co- cial Genera -bility, Business Aumobile Liability and Professional Liability coverage similar ose -d above in this section for CONTRACTOR, or any other coverage deemed necesse successful performance of the AGREEMENT or cover Subcontractors • NTRACTOR's p. Such coverage shall be in effect at all times that a Subcontractor is perk) • 1 • e Contra CONTRACTOR shall have responsibility to enforce Subcontractor co ce wi - . nsurance requirements; provided CONTRACTOR shall NCIES' re •vide acceptable evidence of insurance for any Subcontractor. C for any and including but emplo ees) to com each of their ag and consultants fo pt such rights actor CTO R age, loss led to assume a sonability for risks or casualties of every description, ury, to perso r property arising out of the nature of the Work, of its Subcontractors (as well as CONTRACTOR's his AGREEMENT. CIES and CONTRACTOR waive all rights against each other, against and their respective members, directors, officers, employees, agents claims to the extent covered by insurance obtained pursuant to this Article 15, ey may have to the proceeds of such insurance. CONTRACTOR shall require all ovide similar waivers in writing in favor of AGENCIES and their respective officers, officials, ees and volunteers except as otherwise agreed to by AGENCIES. ARTICLE 16. CHANGES A. AGENCIES may, from time to time, amend this AGREEMENT, mutually order Work suspension, add or deduct Work and/or make changes to Joint Scope of Work and Requirements of this Page 28 of 76 37 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 2s 26 AGREEMENT hereinafter collectively referred to as "Joint Changes". In additio COMMISSION may, unilaterally, order additional Work solely required by the amend or order Work suspension to, respectively, the AUTHORITY Requirements or the COMMISSION Only Scope of Work and Change"). B. Any such Joint Changes shall result in the - ce AGENCIES and CONTRACTOR. Any Unilateral Cha Order, order, or a written Amendment to the relevant s by CONTRACTOR and the AGENCY ordering the Unilater Changes shall be compensated, or tim Work suspension issued by AGENCI AGENCY for a Unilateral Change, via a maximum obligation d C. If any in the price promptly noti the AGENCY whic ns therefore per AUTHORITY or ting AGENCY, or cope of Work and ent -after "Unilateral of an Amendment si. •y the II result in t► suance of a written hange ork and Requirements signed No Joint Changes or Unilateral except pursuant to an Approval. e of d Requirements or by an an increase or decrease to the CTOR, wi an Amendment or Change Order. or Unilato hanges ("Changes") cause an increase or decrease or in the tim: .uired for its performance, CONTRACTOR shall (and if Change is a Unilateral Change, with a copy to order the Unilateral Change ) thereof of any possible adjustment to price ) Calendar Days after the Change is ordered. However, nothing in this R from proceeding immediately with the requested Change. No nsated, or time extension provided therefore, except pursuant to an Amendment ining additional compensation to be paid for Change, the Parties shall use the labor, Equip and material costs and rates included in the Price Proposal for in preparing the Amendment, including the Price Proposal's fully loaded labor rates for additional Work. CONTRACTOR is required to use the overhead and profit rate identified in the Price Proposal Sheet 7. For Equipment, and materials costs not covered or anticipated in the Price Proposal, a catalog or market price of a Page 29 of 76 38 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 commercial product sold in substantial quantities shall be used as the basis for prop • a costs. E. If the cost of Change cannot be established on this basis or on tr is of prices set by the AGREEMENT, law or regulation, CONTRACTOR shall submit detaile► Breakdowns, including information on, Equipment, and materials costs and any other direct F. CONTRACTOR agrees that it will accept as full co agreed upon in writing, via an Amendment or Change Ord G. If CONTRACTOR disagrees with the amo the AGENCY in the Amendment or Change Orde CONTRACTOR shall submit a written dispute to AGENCY, does not apply) within fifteen (15) Cale CONTRACTOR's disagreement, CONT AGENCY. The dispute shall state the specification reference above period, pay full compens considered as H. CONT J. ation for Chang- e mutually ompensatiotime extension prop•sed by ay issue a Work Directive. py to AGENCY to which the dispute Work Directive. Notwithstanding ed dilige performance if directed by , if possible, the AGREEMENT . If a written dispute is not submitted within the Work Directive and such payment shall constitute red thereby. An undisputed Work Directive will be der. shall promptly notify AGENCIES in writing when it receives direction, termination from any source other than AGENCIES that may lead to or ENCY, to which the notification applies, shall Approve before said direction, instruction, interpretation or determination. OR may initiate Change requests for Work it believes to be out of scope in agraph A of this Article 16. CONTRACTOR must follow the process identified in or any CONTRACTOR initiated Change requests. For avoidance of doubt, any Notices regarding a Change that is believed by s and cost as set fort ed therein or after the receip CONTRACTOR to be applicable to AGENCIES shall be sent to both AUTHORITY and COMMISSION and any Notices regarding a Change that is believed by CONTRACTOR to be AUTHORITY only or Page 30 of 76 39 21 22 23 24 25 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 COMMISSION only, shall also be sent as a copy to AGENCY to which CONTRA TOR believes the Change does not apply. Any changes to Joint Scope of Work and Requirem: ust be Approved by both AUTHORITY and COMMISSION. ARTICLE 17. DISPUTES A. All claims and other disputes between CONTRACTOd AGENCIES or, !cable, only one of AGENCIES, arising under this AGREEMENT, shall • •Ived in accordance with tle 17, Disputes, except those matters referenced in this Art , paragrap elow. All disputes all be decided in accordance with this AGREEMENT and gen: ncipl: .tate law. Questions of fact and law may be considered in this dispute process; providing ing in this AGREEMENT shall be construed as making the final decisio UTHORITY or SSION official on a question of law. The Parties shall diligently coopera ith • nd with son(s) appointed to resolve the dispute, and shall perform such acts ay • - %btain a prompt and expeditious resolution of the disput B. Upon resolve the d Parties shall dispute resolution i If the AGENCY' the resolution shall uted pursuan encem between A good tion. ct Man solution process, the Parties shall first attempt to er(s) and CONTRACTOR's Project Manager. The ness Days after the date that the written request for and attempt to resolve it. There shall be at least one meeting to attempt ject level negotiation may be continued upon the agreement of all Parties. nd CONTRACTOR's Project Manager are able to resolve the dispute, f the disp Y Project M et forth in writing. If such resolution results in a Change, an Amendment shall be rticle 16, Changes. If the dispute cannot be resolved at the meeting or any , the following shall apply: For a dispute involving AGENCIES the dispute shall be submitted to each AGENCY, using the respective processes identified for AUTHORITY only and COMMISSION only disputes identified in items 2 and 3 of this paragraph B. AGENCIES will provide a joint written decision to CONTRACTOR following completion of this process. A resolution of a dispute involving both AGENCIES Page 31 of 76 40 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 must be Approved by both AGENCIES. 2. For an AUTHORITY only dispute, the dispute shall be sub Director of Contracts Administration and Materials Management (CAMM) of such meeting identified in paragraph B of this Article or continua submit the following written information to the Director of CAM dispute; (b) the Party's position; (c) the dollar amount and/o supporting documents the Party believes will aid the Director of CAMM will issue a written decision within t decision is submitted within that time, or any agreed upon e been deemed to have denied CONTRA •osition. The de the final and conclusive administrative d 3. For a COMMISSION o Executive Director withi or continuance th Director (a) and/or sched Executive Director to reve RITY. to AUTHORITY's (10) Business Days, rties shall each an explanation o .ture of the dule impact of the dispute, d) any or of CAM arriving at a decisi The ays; provided that if no written thereof, the AUTHORITY will have f the Director of CAMM shall be be submitted to COMMISSION's Business ch meeting identified in paragraph B of this Article hall each it the following written information to the Executive ature of the te; (b) the Party's position; (c) the dollar amount supporting documents the Party believes will aid the g at a decision. The Executive Director will issue a written decision within ten at if no written decision is submitted within that time, or any agreed upon COM N will have been deemed to have denied CONTRACTOR's position. cutive Director shall be the final and conclusive administrative decision of the to arises which must be resolved expeditiously in order to prevent serious damage erson or property, or serious interference with Approved Baseline Implementation Schedule, the disputing Parties shall make every effort to resolve such dispute immediately. If such dispute cannot be resolved immediately, AUTHORITY and/or COMMISSION will issue a Work Directive, in accordance with Article 16, Changes, and CONTRACTOR shall expeditiously proceed with the Work Page 32 of 76 41 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 Directive. Once the urgent aspects of the dispute have been resolved, the Parties m. continue with the remaining procedures for dispute resolution, in accordance with this Article 17 essary and to the extent applicable. D. Nothing in this AGREEMENT, however, shall be constru- make -1 the decision of any AUTHORITY or COMMISSION official or representative on -stion of law, whi. -stions shall be settled in accordance with the laws of the State of Calif° E. If all other means of dispute resolution set .bove are n• ccessful, any of the 'arties may commence an action using the following jurisdicti• a ac I take place in Orange County Superior Court for AUTHORITY -only disputes, Riverside Coy OMMISSION-only disputes, and in the sole determination of AGENCIES, ` .nge County or ' .e County Superior Court for an AGENCIES' dispute. In lieu of litigatio - ' •on term -ed to by the Parties, elect mediation or arbitration, binding or othe II as a condition precedent to commencing an action - County Su •urt or Riverside County Superior Court for money or damages file a •ursua e Govern Claims Act, Government Code sections 900 et seq. For purposes - claims filin. irement, the ng of the time period in which a claim must be filed shall be susp- ntil t - . ministrative decision by the Director of CAMM and/or or the COMMISSI • five Director, as applicable. on procedures set forth in this Article shall not apply to the following: the AGREEMENT Documents expressly state are final, binding or solution; claim or dispute that does not arise under the AGREEMENT; sputes regarding compliance with Governmental Rules, liability or indemnification; Any claim for injunctive relief; 5. Any claim against an insurance company, including any Subcontractor dispute that is covered by insurance; 6. Disputes regarding matters under the jurisdiction of Cal -OSHA; Page 33 of 76 42 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 7. Any claim or dispute that is the subject of litigation in a lawsuit fil: • in court to which the procedures established in this Article do not apply, including any effort to int: .d a party into such a lawsuit in order to make the procedures established in this Article applic 8. Any claim for, or dispute based on, remedies expr: reate. atute; 9. Any dispute that is actionable only against a y; and 10. Any claim arising from this AGREEME hich a third party is a ne party and has not agreed to participate in the process; pro hat the Par shall nevertheless . oceed with resolution of disputes in accordance with this Artic . - ma, extent possible. ARTICLE 18. LIQUIDATED DAMAGES A. If CONTRACTOR fails to: ete the Work re. for Go -Live by the Guaranteed Completion Date or any Approved exte the . •rovide K- m Personnel in accordance with the AGREEMENT, or (3) meet the ations - Performance Measures of the AGREEMENT establis - - Scope of Requirements, the actual damage to AGENCIES will be difficult or i ► .able to • ine. The -, the Parties have agreed to stipulate to the amount payable to Aer to fix and limit CONTRACTOR's costs and to avoid later dis. over are proper. The Parties agree that the amount of liquidated damage .sonable in light of the anticipated or actual damage to AGENCIES and do not damages may be assessed at AGENCIES' sole discretion as follows: CONTRACTOR has not completed the Work required for Implementation of the and achieved Go -Live by the Guaranteed Completion Date: $7,500 per Calendar e day following the Guaranteed Completion Date. Team Personnel 1. CONTRACTOR acknowledges that the award of this AGREEMENT by AGENCIES was based in significant part on the qualifications and experience of the Key Team Personnel listed in CONTRACTOR's Proposal and representation that they would be available to perform the Work. Page 34 of 76 43 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2. In the event that CONTRACTOR Project Manager or other Per .nnel identified in Table below becomes Unavailable to perform the Work, subject to the conditiforth in Article 5, CONTRACTOR's Personnel, AGENCIES may assess CONTRACTOR -d damages for each occasion of such Unavailability as follows: Key Team Personnel Liquidated ges POSITION LIQUIDATED AMOUNT, Project Manager — Implementation Phase 0,000 Project Manager - O&M Phase $150,000 Operations Manager $ 50,000 Installation Manager 25,000 3. In addition to the a CONTRACTOR shall pay AGENCIES a f Personnel is Unavail occasion of itions .entified in the above table, ed amof $20,000, if any other Key Team ayable un. his Article 18 for Unavailability apply for each Te. 'ersonnel. rformance _ es res establish a minimum level of service for Operations and Maintenance Measures include compliance with Security Standards identified in the uireme including but not limited to data security, payment card industry (PCI), le Information (PII) standards. eet such Performance Measures shall result in the assessment of liquidated dam. .rm of Adjustments as set forth in the Scope of Work and Requirements. These adjustme hall result in a reduction of the amount of the monthly fee AUTHORITY and COMMISSION would otherwise pay to CONTRACTOR for the Work. Standard reports shall be developed by CONTRACTOR to measure whether the performance standards have been met. The' format and content of such reports shall be Approved during the design and generated by the BOS and shall be run on a Page 35 of 76 44 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 scheduled basis by CONTRACTOR and provided to AUTHORITY and COMMIS ON on a monthly basis, unless another frequency is otherwise specified in the Scope of Wor Requirements or otherwise directed by AGENCIES. F. AGENCIES may deduct liquidated damages from any m. .ue o ay become due to CONTRACTOR under the AGREEMENT. AGENCIES are •ligated, howeve sake such a deduction or to provide notice thereof. If such deducted m. :re insufficient to recover idated damages owing, CONTRACTOR or CONTRACTOR's shall pay to NCIES any deficie y prior to Final Acceptance of Implementation Phase or clos: Op- s and Maintenance Phase, as applicable, or upon termination of this AGREEMENT. G. The failure of AGENCIES t► .ny liquidated da authorized under this Article 18 shall not constitute a waiver of AGENCI : igh ch adjus . or liquidated damages at a future date. Further, failure to imposa uidate► s not constitute a waiver of CONTRACTOR's oblig Requirements. H. L covered unde ARTICLE the affe erform in a e with the AGREEMENT and Scope of Work and separate a mulative and are not in lieu of Actual Damages AL DAMAGES ns and Maintenance Phase, CONTRACTOR shall reimburse AGENCIES AGE identify as having been lost due to the fault of CONTRACTOR. Lost not limited to, such events as processing errors, lost transactions, lost images, s, lost data, revenue lost due to data security breach, and transactions that are ed due to failures or delays in transaction processing. If actual data is available for e period, such data will be considered in the calculation of actual damages as applicable. If AGENCIES do not have actual transactional, financial, or other relevant operational data from the affected period, such actual damages shall be calculated based on a determination of a comparable period made by AGENCIES, and shall consider the day, month, time of day, location, season, whether Page 36 of 76 45 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 statements due to inaccurate reporting of information services to customers. ARTICLE 20. RISK OF LOSS A. CONTRACTOR shall bear for damage and loss caused by the sole CONTRACTOR shall promptly replace the for which it bears all ris B. In the willful miscon or lost portion submit the amoun isk of dam loss that CIES agree was caused by the sole negligence or Force Majeur, • NTRACTOR shall promptly replace the damaged after such cost is pre -Approved by AGENCIES, and expended to AUTHORITY and/or COMMISSION for reimbursement as a on its next invoice to AUTHORITY and/or COMMISSION. If risk of loss ACTOnevertheless promptly replace the damaged or lost portions of the s initial cost; provided that in doing so, CONTRACTOR does not waive any nder this AGREEMENT to later recover such costs. DEFAULT ult of CONTRACTOR: the day is a weekday, weekend or Holiday, and such other factors as are reasonabl- AGENCIES may choose, in their sole discretion, to recover such lost revenue from CONTRAC ' •y deducting such amounts from payments otherwise due and owing from AGENCIES to CO► TOR. B. In additional to other actual damages, CONTRACTOR s resp. - for all additional costs associated with any PII, PCI, data or security breach ass• -d with CONTRA , ''s provision of Work, including but not limited to, special mailings notif stomers of a mistake in Monthly TRACTO' • providing credit m• itoring amage or loss to S, Facilities, and/or Sites except ENCIES or Force Majeure. e BOS at CONTRACTOR's cost 1. A default shall mean a material breach of this AGREEMENT by CONTRACTOR. Without limiting the generality of the foregoing and in addition to those instances referred to elsewhere in this AGREEMENT as a breach, a default shall include the following: Page 37 of 76 46 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 a. CONTRACTOR fails to timely remit or credit AGENCIES pursuant to this AGREEMENT; b. CONTRACTOR fails to timely deliver and/or m AGENCIES, which Deliverables include, but are not limited to, all insu security required by this AGREEMENT or to maintain in force performance security; c. CONTRACTOR fails to pr Date; to diligently perform the Work in accordance with suspends or otherwise ceases to perform the Work (except' by AGENCIES, or due to Force Majeur suspended as directed by AGENCIES; d. CONTRACTO ptly resume pe reven -s due either of liverables to either of er performance ect any such in e, bonds or perform t ork following the ective line Implementation Schedule; from excused suspensions directed ce of any Work which has been ork in accordance with this AGREEMENT, includin• limited to, tof Work and Requirements; supply enough properly skilled workers or proper materials to • the Work r: ed under this ' EEMENT; ake prompt payment to Subcontractors or Suppliers in accordance with EEMENT within 30 Calendar Days from receipt of payment from AGENCIES, CONTRACTOR and its Subcontractors or Suppliers; CTOR fails to make any payment due AGENCIES under this but not limited to, liquidated damages; . CONTRACTOR commences any suit or any suit is commenced against der any bankruptcy, insolvency or similar law to liquidate, reorganize or dissolve CONT'. or which seeks the appointment of a receiver, trustee, custodian or other similar official to attach, execute or such similar process for any substantial part of CONTRACTOR's assets; or CONTRACTOR assigns the proceeds received from this AGREEMENT for the benefit of its creditors, or it has taken advantage of any insolvency statute or debtor/creditor law or if CONTRACTOR's property or Page 38 of 76 47 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 affairs have been put in the hands of a receiver; or any of the foregoing events occurs ith respect to any Surety, which Surety is not promptly replaced by CONTRACTOR; i. CONTRACTOR fails to obtain the Appro ' UTHORITY and/or COMMISSION, as applicable, where required by this AGREEMENT; j. CONTRACTOR fails to provide ad = e assurances ired under paragraph 2. below; k. CONTRACTOR has faile herein; e represen of any warrantie stated I. Any person authorized to act on ► ' CTOR's behalf makes a statement to any person authorized to act on t -•RITY's and/or SSION's behalf, indicating that CONTRACTOR cannot or will not perfo y o • •f its obligunder this AGREEMENT; m. CONTRACTOa pa • ailures to provide the Work and meet the Scope of Wor uirements. necessary for that CONTRAC to AGENCIES, in EEMENT. Un here . CO o. The orm ithin th CTOR fail ension or rev medy Pervasive Defects; or on of any license, permit, or registration R's obligations under this AGREEMENT; the opinion of AGENCIES, reasonable grounds for uncertainty exist with ility to perform the Work or any portion thereof, AGENCIES may request frame set forth in AGENCIES' request, provide adequate assurances g, of CONTRACTOR's ability to perform in accordance with the terms of this ENCIES receive such assurances, AGENCIES may suspend all payments or ONTRACTOR. In the event that CONTRACTOR fails to provide to AGENCIES the reques . .rances within the prescribed time frame, AGENCIES may: a. Treat such failure as an Event of Default; b. Resort to any remedy for breach provided herein or at law or equity, including, but not limited to, taking over the performance of the Work or any part thereof either by itself or through Page 39 of 76 48 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 others; c. Remove all technical documentation deposited e Escrow Agent pursuant to the Escrow Agreement executed in accordance with Article lectual Property, and Article 26, Intellectual Property Escrow with the purpose of competi ' proc y Equipment or Software or providing any Work based on such documentation; d. Terminate CONTRACTOR's pe ce hereunder. 3. The enumeration in this Article or e ere in this A• EMENT of specific ghts or remedies of AGENCIES shall not be deemed to limit hts o -dies which AGENCIES would have in the absence of such enumeration and no exercise . NCIES or failure to exercise of any right or remedy shall operate as a waiv therewith or to stop AGENCIES from ex B. Notice of Default - Chance If, in the dete CONTRACTOR, Notice" spec' as set forth t . AGENCIES shall AGENCIES are cured. Failure to table remedie applic he default r thi Cal- equire vide other of AGENC hts or remedies not inconsistent of AGEN surety b ed, and advi hts or re default has occurred, AGENCIES will notify very of a Notice hereinafter referred to as "Default CONTRACTOR that such default must be cured terminated. Prior to declaring an Event of Default, NTRACTOR to cure the default to AGENCIES' reasonable satisfaction Days, or such shorter time if the default requires it; provided that ue a Default Notice if there is a default which by nature cannot be a Default Notice shall not preclude AGENCIES from exercising other rt of termination. AGENCIES may extend the opportunity to cure beyond the nod if the default is one AGENCIES agree requires additional time to cure, so long as 'ACTOR has commenced curing such default and is effectuating a cure with diligence and continuity during such 15-Calendar Day period, or extension thereof which AGENCIES prescribe. Page 40 of 76 49 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 C. Remedies in the Event of Default ; Notice of Termination for Cause. 1. If CONTRACTOR does not cure the default within the time • ibed or the default is not subject to cure, AGENCIES may declare an Event of Default, all be in writing and provided to CONTRACTOR, and, as appropriate the Surety. I ion ether rights and remedies under this AGREEMENT and/or the bonds, AGENC ' hall, upon decla . •f an Event of Default, have the right to terminate this AGREEMENT ole or in part, pursuant t• - ce of a Notice of Termination for Cause, specifying the effo date thereo /or perform or cau e to be performed the Work or any portion thereof, which Termination for Cause may be provided concurrently wi Default. In exercising such right CONTRACTOR shall deliver, all appli such items as AGENCIES may direct. A CONTRACTOR's Su direct. AGENCIE CONTRACT Equipment, owned or rented b in perf damages a fired �NTRACTOR. The Notice of ritten declaration of an Event of ly take possession of, and a, and facilities that house right to complete the Work with s �R shall assign such subcontracts as AGENCIES to the Work, may take possession of and use, and CIES, any or all of the materials, plants, tools, ery kind, provided, purchased, maintained, leased, RACTOR in performing the Work, including but not limited to all technical e code, and object code placed into Escrow. AGENCIES may make to third parties, along with third party licenses and Software, and/or , plant, tools, Equipment, and supplies for purposes of performing the Work. e CONTRACTOR and CONTRACTOR shall be liable to AGENCIES for the r, materials, plant, tools, Equipment, supplies and property reasonably necessary r completing the Work. 2. If AGENCIES declare an Event of Default, CONTRACTOR shall be liable for those provided herein resulting from the default, including but not limited to: a. Losses as defined in Article 20, Risk of Loss; and CON ight to co o deliver to CIES may im ftware a Page 41 of 76 50 21 22 23 24 2s 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 b. The difference between the actual costs incurred by AG- CIES in completing the Work and the compensation AGENCIES would otherwise hav- . CONTRACTOR under this AGREEMENT for completing such Work; c. Liquidated damages, d. Actual damages. The CONTRACTOR shall remain liable for .ther liabilities and claims CONTRACTOR's default. All damages and costs m. :educted a .id out of any moni- due from AGENCIES to CONTRACTOR. D. If an Event of Default occurs, CONTRACTOR a urety shall be jointly and severally liable to AGENCIES for all losses an• -s incurred by At S. Upon the occurrence of an Event of Default and for so long as it rs, - may wit :II or any portion of further payments to CONTRACTOR until the date AGE 'roject as complete at which time AGENCIES will determi► TRACTOR : to any further payments. AGENCIES will deduct, from any moneys • which : e due C• 'ACTOR or its surety, all costs and charges incurred by AGENCI luding attor ., accountant • expert witness fees and costs. If AGENCIES' losses or dam. -xcee• RACTOR, then CONTRACTOR and its Surety shall be liable and pay ount to AGENCIES within ten (10) Calendar Days of AGENCIES' written its Surety fail to pay such demand within such timeframe, AGENCIES essor of 10% per annum or the maximum rate allowed under State written demand. that it is later determined that the AGREEMENT was terminated upon grounds a termination for Event of Default, such termination shall be deemed a termination for con - pursuant to Article 22, Termination for Convenience. F. Performance by Surety: Upon receipt of a demand from AGENCIES requiring Surety to complete the Work, Surety shall diligently and promptly take charge of the Work and complete this AGREEMENT pursuant to its terms at its own expense, receiving the balance of the funds due Page 42 of 76 51 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 CONTRACTOR, minus any permissible deductions under this AGREEMENT. In tho event AGENCIES undertake to complete the Work with its own forces or by way of contract, all cost ed by AGENCIES shall be deducted from the amounts due or may become due to CON • R. If such expense exceeds the sum payable under this AGREEMENT, then CONTRAC d S all be jointly and severally liable for the amount of the excess expense up to t ount of the Pe ice Bond in existence at the time this AGREEMENT is terminated. ARTICLE 22. TERMINATION FOR CONVE AGENCIES may terminate this AGREEMENT for thei -nien .ny time in whole or in part, by giving CONTRACTOR written Notice thereof. AGE shall terminate by delivering to CONTRACTOR a written Notice of Ter► or Convenience ing the extent of termination and its effective date. Upon termination, CO 'A _ • scontinue rmance of all or that portion of Work, as set forth in such Notice and AG, IES s TOR its allowable costs incurred through the effective d. !nation, a allowable costs determined by AGENCIES to be reasonably neces• o effec h termina Thereafter, CONTRACTOR shall have no further claims again NCIES und: s Agreement ARTI A. BOS A . ENCI •lementation Phase of the Project are set forth in Article 8, Start and Phases of Work. their sole discretion, may grant BOS Acceptance of the if they deem that the Work in the Implementation Phase is substantially wing conditions have been met: . CONTRACTOR has passed Commissioning and On -Site Integration Test, and Go :s been Approved in accordance with the Scope of Work and Requirements; b. CONTRACTOR has substantially passed and has been given conditional Approval of the BOS Acceptance test; and c. CONTRACTOR has committed to completing remaining punch list items Page 43 of 76 52 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 and provided proof to AGENCIES' satisfaction thereof. 3. AGENCIES shall issue a written Notice of BOS Acceptance e Implementation Phase upon satisfaction of the conditions listed above in items 2a througe occurrence of BOS Acceptance shall not relieve CONTRACTOR of any of its continuin. .ation nder. B. Final Acceptance of Implementation Phase Final Acceptance of an Implementation Phase shal -emed to have occurred of the following conditions have been met: 1. CONTRACTOR has provided a Fin. -pta er certification to close out the Implementation Phase. The certification shall include but ited to: total costs associated with the Implementation Phase, date of pletion for the e and any additional required information contained in items 2 throug 2. Any and all punch list shave ily completed and Approved by AGENCIES and final •f the Acce• st, has been granted by AGENCIES; 3. •wed .re has b, delivered to AGENCIES in accordance with the Escrow Agre includin. As -Built and AGENCIES have Approved all Deliverables, tation/Drawings, as defined in the Scope of Work and Requirements; has been delivered to AGENCIES signed by CONTRACTOR, stating nd Subcontractors have been paid and/or settled; ONTRACTOR claims for the Implementation Phase are deemed to be resolved NTRACTOR has submitted a statement that no such requests or disputes will nd all claims under this AGREEMENT are resolved, and that no such claims will 7. All of CONTRACTOR's other obligations, including payment of liquidated damages, under the Implementation Phase shall have been satisfied in full or waived in writing by AGENCIES; 8. AGENCIES shall have delivered to CONTRACTOR a Notice of Final Acceptance Page 44 of 76 53 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 for the phase. C. Closeout of Operations and Maintenance Phase and Contract Closeout of the Operations and Maintenance Phase and AGREEM- .II be deemed to have occurred when all of the following conditions have been met: 1. The CONTRACTOR shall provide a letter c- ation to close o• Operations and Maintenance Phase and the AGREEMENT. The ce► on shall include but not ► ted to total costs associated with the phase, date of • completio d any additional quired information contained in items 2 through 10 below; 2. Delivery by CONTRACTOR and App AGENCIES of all Deliverables, including As -Built Documentation/Dra 3. CONTRACTOR has AGREEMENT and the Scope of Work an 4. All li transferred or ass defined in the •f Work and Requirements; uirements pursuant to this d leases s► ransfer or assignment to AGENCIES have been TRACTOR •n items associated with the phase have been satisfactorily -ted a ES; vit has been delivered to AGENCIES signed by CONTRACTOR, stating rs and Subcontractors have been paid and/or settled; R claims for the phase are deemed to be resolved by AGENCIES, s submitted a statement that no such requests or disputes will be applied for; r this AGREEMENT are resolved, and that no such claims will be made; e CONTRACTOR shall provide AGENCIES with all required materials, fixtures, furnish i . uipment and Software; documentation and manuals, either owned by or licensed to AGENCIES, pursuant to this AGREEMENT. All such materials have been verified by AGENCIES to be in good working order; 9. All of CONTRACTOR's other obligations under the Operations and Maintenance Page 45 of 76 54 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 Phase, including liquidated damages, shall have been satisfied in full AGENCIES; and 10. AGENCIES shall have delivered to CONTRACTOR phase and the Contract. D. AGENCIES' beneficial use of the Deliverables dur closeout shall not constitute Acceptance of any Deliverabl equitable adjustment. ARTICLE 24. INSPECTION A. All Work, Sites, and Facilities shall be subjec AGENCIES at all reasonable times. A and shall not relieve CONTRACTOR of that the Work strictly complies with requir by AGENCIES shall Acceptance have not relieve C Loss, nor in a B. CONT CONT on, test or Appro roviding or w.' ed in writing by of Closeout for the ny phase prior REEMENT shall such use give rise -im for ection, monitoring, and testing by r the sole benefit of AGENCIES control measures to assure No inspection, test or Approval d as co or implying Acceptance unless all criteria for ance with le 23, Acceptance. Inspection, test or Approval shall nsibility for d. ;e to or loss in accordance with Article 20, Risk of GENCIES after Acceptance of the completed Work. shall furnish promptly, without additional charge, all facilities, labor, onably needed for performing inspection and testing in a safe and ired by AGENCIES and as further set forth in the Scope of Work and ections and tests by AGENCIES shall be performed in such manner as to not Work. AGENCIES reserve the right to charge to CONTRACTOR any additional r test when material or workmanship is not ready at the time specified by for inspection or test or when re -inspection or retest is necessitated by prior rejection. Page 46 of 76 55 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 ARTICLE 25. INTELLECTUAL PROPERTY A. Project Intellectual Property. 1. CONTRACTOR acknowledges and agrees that all In .I Property authored, created, invented under this AGREEMENT and/or for the purpose - Pro . • any medium, is either owned by AGENCIES or specially ordered or commiss' • by AGENCIE ding works made for hire in accordance with Section 101 of the Ct Act of the United Sta 'roject Intellectual Property"). CONTRACTOR hereby irre . y and excl -ly assigns to AG CIES, immediately upon creation, authorship, development . -ntio e Project Intellectual Property and without any restriction or condition precedent, (I) a ., title and interest in and to such Intellectual Property and (ii) physical on and all right and interest in any executable code and all Source Code, programme es, . Document. :nd other relevant Software (collectively, the "IP Materials") To perfe regis tellectual Property rights under this Section, CONTRA • rees to ex- further documents and to do such further acts as may be neces • perfe sister, or e e AGENCIES's ownership of such rights, in whole or in part. If refuses to to any such documents, CONTRACTOR hereby appoints AG as -y-in-fact (this appointment to be irrevocable and a power coupled wit -rest) to act on CONTRACTOR's behalf and to execute such documents. CONTRACTOR a limited, non-exclusive license to use, exploit, , adapt and display AGENCIES Intellectual Property developed IES independently of this AGREEMENT ("AGENCIES Intellectual Property") Property, solely in connection with and limited to: (a) incorporation of relevant into the Project or Work; (b) performance, provision, furnishing and discharge of the Wo (c) licensing to other entities (to the extent required for interoperability). Except as provided in this Article 25, no Intellectual Property rights of AGENCIES, including the AGENCIES' name and other trademarks, are granted to CONTRACTOR and all other rights are reserved to AGENCIES. All rights granted in this Article shall terminate at the expiration of the Term. Page 47 of 76 56 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 s 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 2. CONTRACTOR shall deliver to AGENCIES all AGENCIES Ma -rials, documents, results and related materials created in the development of Project Intellectua •erty as soon as (i) incorporated into Project, or any Deliverable, Work, service(s), and ware, including any Upgrades or Updates, (ii) required by the Agreement or Scope o anrements, or (iii) reasonably practicable, provided that all such IP Materials, sh. - delivered to A S not later than the effective termination date of this AGREEMENT, ' ng expiration date of the B. Contractor Intellectual Property. 1. CONTRACTOR hereby grants to CI irrevocable, perpetual, non- exclusive, transferable (solely to an AGENCIES assignee . -ssor in interest), fully paid -up right and license to use, execute, perform •se, distribute, ree, adapt, display, and prepare derivative works of the Contractor I -ctu. in conn- with the Project, or any Deliverable, Work, service(s), and/or Soft s or Updates. CCONTRACTOR Intellectual Property sh- tellectual authored, created or invented by CONTRACTOR either (a) prior to ective - or (b) inndently of this AGREEMENT. The rights granted herein shall - e the termi► .n, expiration ancellation of this AGREEMENT or any rights related theret CTOR shall identify and disclose all CCONTRACTOR Intellectual rated in or integrated into the Project, or any Deliverable, Work, tware, i g any Upgrades or Updates, including (when reasonably available): tion detailing Intellectual Property claimed, date of authorship, creation and/or ation(s), application number(s) and registering entity(ies), date of registration(s), ) and registering entity(ies), if any, and owner including person or entity name and addres •ct to the Intellectual Property deposit requirements of Article 27, Contractor shall not be required to identify or disclose Contractor Intellectual Property only to the extent that doing so would eliminate or substantially limit the legal protections for such Intellectual Property. C. Third Party Intellectual Property. Page 48 of 76 57 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 1. CONTRACTOR shall secure license(s) in the name of AGENCI to use, execute, perform, sublicense, distribute, reproduce, adapt, display, and prepare derivorks of the Third - Party Intellectual Property in connection with the Project, or any Delivera- k, Service(s), and/or Software, including any Upgrades or Updates, including a represe and ,ty that the Third Party Intellectual Property does not infringe the rights, includ' tellectual Prop- •hts, of any other person or entity. Third Party Intellectual Property s an Intellectual Property o, •y any person or entity unrelated to CONTRACTOR which is ' •orated into Project, Work or se ice(s). AGENCIES shall review and Approve, in their sole • •n, ar nse(s) pursuant to this Article and in no event shall CONTRACTOR incorporate Third-P. ectual Property into the Project, or any Deliverable, Work, service(s), any are, including rades or Updates without first securing such licenses and subject to C - iew and al. 2. CONTRACTOR shall i• fy and • CIES all Third -Party Intellectual Property contained, or ' (i) in the tellectual Property or (ii) in the Project, or any Deliverable, Wor �ice(s), . •r Softwar: luding any Upgrades or Updates, including (when reasonably ecific inform. detailing Intellectual Property claimed; date of authorship, c , ,and/• .plication(s); application number(s) and registering entit ies ; date of ion(s), registration number(s) and registering entity(ies), if any, and owner, e and address. obtain from each owner of the Third -Party Intellectual Property the relevant Third -Party Intellectual Property deposited into an Escrow in 26, Intellectual Property Escrows, or, to the extent the owner of the relevant ual Property has not provided such consent, obtain AGENCIES' prior written Appro aiver of this requirement. 4. CONTRACTOR shall not incorporate Third -Party Intellectual Property into the Project without first obtaining (a) the licenses described in Article 25.C.1 and (b) consent for the delivery or deposit of IP Materials from each owner of the Third -Party Intellectual Property or such Page 49 of 76 58 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 2s 26 requirement is waived by AGENCIES in accordance with Article 25.C.3. The right .ranted in Article 25.C.1 shall survive the termination, expiration or cancellation of this AG related thereto. D. Delivery of IP Materials. Contractor shall deliver Contrac NT or any rights IP Materials into Escrow in accordance with Article 26, Intellectual Property Esc .nd Article 27, Agreement Dates. E. Payments Inclusive. CONTRACTOR ack .ges and ag that the payments • ovided for in Article 10 include all royalties, fees, costs and es . from or related to the Project Intellectual Property, including without limitation any fees pu . Articles 25, 26, and 27. CONTRACTOR acknowledges that A are public agen eject to state laws, including the California Public Records Act (Californi. ver - •6250, e (the "Public Records Act"). Notwithstanding any designation or co icatioTOR that any CONTRACTOR information or materi. •ed under •reement may be confidential or proprietary, CONTRACTOR c� they, or eithe breach of this for disclosure of in oppose any suc e AGENCIE to AGEN e required by ' disclosure of the same if AGENCIES determine that to disclose. Such disclosure shall not constitute a reasonable notice to CONTRACTOR of any request or materials identified by CONTRACTOR as "confidential", "trade secret" or herwis. losure, indemnify AGENCI opposition to s RTIC idered confidential under this Agreement. If CONTRACTOR wishes to RACTOR shall assume the opposition to such disclosure(s) or shall r all costs incurred (including attorneys' fees and court costs) in connection with sclosure. INTELLECTUAL PROPERTY ESCROW TRACTOR acknowledges that AGENCIES must be ensured access to Contractor and Third- Party IP Materials at any time, and must be assured that such IP Materials are delivered to Escrow pursuant to this Article 26 and Article 27. B. CONTRACTOR or an owner of Third -Party Intellectual Property shall deposit the IP Materials Page 50 of 76 59 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 with an Escrow Agent. AGENCIES and CONTRACTOR shall: (a) mutually select (Escrow Agent") engaged in the business of receiving and maintaining escrows and/or other intellectual property; (b) establish an Escrow (with the Escrow substantially similar terms and conditions to the Form of Intellectu. •erty Form F, for the deposit, retention, upkeep, authentication, con AGENCIES pursuant to this AGREEMENT; (c) adhere to t determine a process for releasing from Escrow the IP to this AGREEMENT. Intellectual Property Escrows include deposit of their Intellectual Property. C. CONTRACTOR shall be r the Escrow Agent for the Term. AGEN the maintenance of the Escrow referred to D. The Escrow the reason. E. T circumstance ion and release osit dates set forth in Arti escrow company ware source code terms and conditions AGREEMENT, aterials to d (c) ials to be d= ed to AGENCIES . rsuant e for the fees an sible Affiliates as parties and may of establishing and maintaining s arising in connection with ive expiratiier termination of this AGREEMENT regardless of released delivered to AGENCIES in any of the following EEMENT is terminated for any reason including expiration of the Term; or involuntary bankruptcy or insolvency of CONTRACTOR occurs; is dissolved or liquidated; TRACTOR or any third party, (a) fails or ceases to provide services as necessary of any such Intellectual Property or (b) otherwise ceases to engage in the ordinary ss of manufacturing, supplying, maintaining and servicing the IP Materials pursuant to a lic :ny sublicense thereof. F. Any Contractor Intellectual Property released and delivered to AGENCIES under the terms of this AGREEMENT shall be deemed confidential and not disclosed or distributed to any third party without a non -disclosure agreement to ensure such confidentiality. Without limiting the license grants provided Page 51 of 76 60 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 in this Article and subject to the confidentiality obligations of this Agreement, Contractor Intellectual Property granted to AGENCIES shall include a right to such Contractor Intellectual Property to any AGENCIES assignee or affiliate in its sole discretion. ARTICLE 27. ESCROW AGREEMENT A. Within forty-five (45) Calendar Days from the Escrow Agent, and CONTRACTOR shall enter into a B. AGENCIES may at their sole discretion re IP Materials within sixty (60) Calendar Days of AGREEME C. Additional deposits shall b and within ten (10) Calendar Days of B D. In the event CONTRACTOR deposited or revises, s complete set of s Agent as so revision, sup documents and pa of se is or creat emented, cable, but in employee, a the Escrow wit a and all rights to ense and disclose resentative, vendor, MENT Effective Date, AS, an T as set forth in Arti e 26. osit of the complete Contractor ive Date. (10) Calendar Days of Go -Live ments any of the IP Materials nal information, CONTRACTOR shall deposit a ditional information with the above -named Escrow vent more than thirty (30) Calendar Days of such to with each deposit what information and which been revised, supplemented or added since the last deposit. II make deposits of the complete set of IP Materials current at the time of ally if no deposits provided for in paragraph D have occurred within ix -month period. ARRANTIES CTOR warrants the following: All guarantees and warranties made herein are fully enforceable by AGENCIES acting in their own names. 2. The Equipment and Software CONTRACTOR installs and places into operation will not result in any damage to existing facilities, walls or other parts of adjacent, abutting or overhead Page 52 of 76 61 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 buildings, railroads, bridges, roadway, structures, surfaces, or cause any physical or ►rental injury to any 3. All provided Equipment is new unless otherwise specific roved by AGENCIES. B. BOS Warranty CONTRACTOR shall provide a full BOS warranty on ystem Equipme dware and Software beginning from the date of Go -Live through the e e Operations and Mainte 'hase hereinafter referred to as "BOS Warranty Period", wa g that the f ' •S shall be and pe orm as set forth in the Scope of Work and Requirements. Durin. 'OS ty Period, AGENCIES shall not be charged for any Maintenance or Software Support Servi performed on the BOS, other than Maintenance payments identified in th- ' oposal, or Work ed as excluded in the Scope of Work and Requirements. Such exclude ork • - Work re . o Force Majeure events or Changes requested by AGENCIES, purs o Arti otwithstanding the foregoing, in the period after installat.- • for to the cment of the Operations and Maintenance Phase, all Maintenance a► .aware ' •rt Service •rk shall also be at CONTRACTOR's sole expense. Further, at al during the CONTRAC shall promptly repair or replace, at its own cost or expense, incl e co and transportation, any unit of Equipment, Hardware, or Software, or pa ponent thereof, which proves defective or otherwise fails to comply with the ts. All fees associated with restocking cancelled or returned orders shall f CON OR. rranties warrants that the Software needed to operate the BOS shall be as set forth in and Requirements, and that commencing upon Go -Live, and for the Term, the Softwa . .ch module or component and function thereof shall: 1. Be free from defects in materials and workmanship under normal use; 2. Remain in good working order, be free from viruses; trap doors; disabling devices; Trojan horses; disabling codes; back doors; time bombs; drop -dead devices; worms, and any other type Page 53 of 76 62 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 of malicious or damaging code or other technology or means which has the ability , interfere with the use of the BOS by AGENCIES or its designees, or permit access to AGENC ' omputing systems without its knowledge or contrary to its system connectivity policies or proc 3. Not interfere with toll collection; 4. Operate and function fully, properly and in ormity with the Mies in this AGREEMENT, and 5. Operate fully and correctly in the - . ing environt identified in the ope of Work and Requirements, including by means of the ful •rrec mance of the Software, and all Updates, Enhancements, or new releases of the Software, • connection with the Equipment, any Updates, Enhancements, or new rele connection with any such Equipment; 6. Be fully compatible a including other Softwar Equipment combi and Require Requirements, a s provided d continu ch Equipment, other Software used by or in effectively with the Equipment, IES hereunder, such that the Software and other attain the standards identified in the Scope of Work of the BOS, as required by the Scope of Work and criptions, specifications and documentation set forth therein and herein. ce Work CO TOR shall, at its own cost and expense, provide Maintenance and es Work to keep the Software in good working order and free from defects such rform in accordance with this AGREEMENT, including Scope of Work and CONTRACTOR shall provide technical support and shall, at its own cost and expense, timely remedy any failure, malfunction, defect or non -conformity in Software, in accordance with the Scope of Work and Requirements. 2. CONTRACTOR shall provide AGENCIES the most current release of all Software Page 54 of 76 63 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 available on the date of delivery of the BOS Software to maintain optimum performar a pursuant to this 3. CONTRACTOR shall promptly provide Notice to AGE writing of any defects or malfunctions in the Software, regardless of the source of informati • NT'. R shall promptly correct all defects or malfunctions in the Software or documa on discovered a .II promptly provide AGENCIES with corrected copies of same, witho tional charge. If Software only be corrected in conjunction with additional or revised are, CONCTOR shall prom •- such Hardware to AGENCIES, and the cost of such Hardwa I be • •y CONTRACTOR, and not be reimbursable by AGENCIES. a. No Update -des, or Enhan• its shall adversely affect the performance of the BOS, in whole or i o - failure -t any Requirements of the Scope of Work and Requirements. ACTOR -ure continued satisfactory performance by the current operating - of th- ware in a• Dance with all provisions of this Article. nt that the S. - re does not satisfy the conditions of performance set forth in the •e of i ., CONTRACTOR is obligated to promptly repair or replace such Soft ONTRACTOR's sole cost and expense or, if expressly agreed to in writing ent Equipment or Software, and perform Work required to attain the ditions of performance set forth in the Scope of Work and . In the event of any defect in the media upon which any tangible portions of vided, CONTRACTOR shall provide AGENCIES with a new copy of the Software. e. Without releasing CONTRACTOR from its obligations for warranty (during an applicable warranty period), support or Maintenance of the Software, AGENCIES shall have the right to use and maintain versions of the Software provided by CONTRACTOR which are one or more levels behind the most current version of such Software and to refuse to install any Updates, Page 55 of 76 64 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 Upgrades, or Enhancements if, in AGENCIES' discretion, installation of such Enhancements would interfere with its Operations. CONTRACTOR shall not, or liable for the effect of any error or defect in the version of the Softwar that occurs after CONTRACTOR has both (i) offered, by written correction (by way of Update, Upgrade, Enhancement or oth provided AGENCIES a reasonable opportunity to imple CONTRACTOR establishes that neither the impleme interfere with, adversely affect, or materially alter th BOS. E. Third -Party Warranties CONTRACTOR shall assign to N ENCIES ave the benefit of, any and all Subcontractors' and Suppliers' warran respect to the BOS and Work provided hereunder. Tr 'ACTOR's -nts with Subcontractors, Suppliers and any other third parties shall re that parties nsent to the assignment of such warranties and representation 'GENCIES, agree to the e ement of such warranties and representations by AGENCIES i own • AGENCIES, the warranties set forth herein. The CONTRACTOR s n maintenance agreements for third -party Software. CONTRACTOR shall ements for the same duration and upon the same terms and conditions provisi. tween CONTRACTOR and AGENCIES. At AGENCIES' request, rovide supporting documentation which confirms that these warranties are ES' names. urac ACTOR acknowledges and understands that the data and/or information it collects, processes and/or provides to AGENCIES will be relied upon by AGENCIES and other persons or entities that are now or will in the future be under agreement with AGENCIES in accordance with the Scope of Work and Requirements. Should information derived and provided by CONTRACTOR be inaccurate and e) of such e uch existing correction, nor the us- such correction wo Upd tes, Upgrades, or er, be responsible use by AGENCIES IES, a suitable rror ect and (ii) d that d limit, , functionality or quality of the Page 56 of 76 65 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 cause AGENCIES to incur damages or additional expenses, AGENCIES shall notify •NTRACTOR and CONTRACTOR shall immediately place any applicable insurance carrier on n. a potential claim. This provision shall survive termination of this AGREEMENT, and CONT' ' agrees to waive any applicable limitation periods consistent with enforcement of this provi G. Neither Acceptance of the Implementation Phase of ' OS and Work or . -nt therefor, nor any provision in this AGREEMENT, nor partial or entir of the BOS and Work b CIES shall constitute Approval of Work not performed i .rdance wit AGREEMENT o relieve CONTRACTOR of liability for any express or implied workmanship. H. The obligations set forth in set forth in this AGREEMENT. All pro performed pursuant to an applicable warr expiration, cancellation • ermination ARTICLE A. C equipped, org B. CONT and other mate Suppliers conform dware furnishe esig DITI ACTOR w and fi CONTRA s that it is onsibility for faulty materials or e shall be in ad• • any other warranty obligations , referrin. lating to obligations to be and the Term, shall survive the REEMENT. R WARRANTIES experienced and properly qualified, licensed, Work. warrants that all Work will be provided in accordance with this AGREEMENT. rrants that (1) all Work performed and all Equipment, Software, Hardware is AGREEMENT by CONTRACTOR or any of its Subcontractors or the requirements herein and is free of any defects; and (2) Equipment and CONTRACTOR or any of its Subcontractors or Suppliers at any tier, shall be of od working condition and fit for use of its intended purpose. For any Equipment or Hardwased within twelve (12) months of the end of the Term, such warranty shall continue for a minimum period of one (1) year from the end of the Term, or the manufacturer's standard warranty, whichever is longer. Page 57 of 76 66 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 ARTICLE 30. DEFECTS/FAILURE A. Upon discovery of any defect or failure in the Software, E• -nt or Hardware, CONTRACTOR shall promptly provide AGENCIES Notice thereof and rep •lace same at its sole cost and expense. If expressly agreed to in writing by AGENCIES, Crovide different Software, Equipment or Hardware. In the event of any defect e media upon -ny tangible portions of the Software are provided, CONTRACTOR sha de AGENCIES with a ne of the Software. In addition, CONTRACTOR shall remed . own expe .ny damage to AGCIES owned or controlled real or personal property, when th.. .ge a ' •ut of such defects. B. In the event AGENCIES determine there is a de ailure in the Software, Equipment or Hardware or damage to AGENCIES' p =GENCIES shall ONTRACTOR in writing within a reasonable time after the discovery of sCalendar Days from receipt of Notice from AGENCIES to respond and ify ho ' will remedy the failure, defect, or damage. If AGENCIES .tisfied wit ACTOR'S proposed remedy, CONTRACTOR and AGENCIES shall in thre, ) Busines .ys, meet and mutually agree when and how CONTRACT ► all remedy s iolation. In th .e of an emergency requiring immediate corrective action, CON •R sh- necessary to remedy the defect, failure or damage uired by AG OR fail to remedy any failure, defect or damage within a reasonable time ENCIES, AGENCIES shall have the right with their own forces or replace, repair or otherwise remedy such failure, defect or damage at nse. In addition, CONTRACTOR shall be liable for all damages arising out its medy the defect, failure or damage. TRACTOR agrees to promptly remedy, at no cost to AGENCIES, any defects determined by AGENCIES to be Pervasive, such that if AGENCIES determine that any Equipment, component, sub -component or Software is experiencing continued or repetitive failure that requires constant replacement or repair, CONTRACTOR agrees that a "Pervasive Defect" shall be deemed to be Page 58 of 76 67 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 present in such affected types of Equipment or Software. CONTRACTOR shall pert of the issues and prepare a report that includes a reason for the failure and report and a resolution plan shall be produced by CONTRACTOR and su seven (7) Calendar Days of notification by AGENCIES of the Pervasiv include the investigation results, remediation steps performe complete the Pervasive Defect resolution. Such resolution s and that permanently addresses the problem and an investigation its or resolution. This to AGENCIES within rt and plan shall ate, and a plan .chedule to in a manner satisfactory • CIES cs the defec continue to occur. The status shall be updated and brie Notwithstanding the foregoing, AGENCIES do not waiv paragraphs A through C of this article. E. The obligations set forth in th in this Agreement. The provisions of this Agreement. that such defect • +es not eekl ngs until resolution is complete. their other rights enumerated in ddition to arranty obligations set forth tion or earlier termination of this F. All S actors, nufacturer d Suppliers' warranties, expressed or implied, respecting a .rk, Equipme .oftware or H. .re furnished hereunder, shall, at the direction of benefit of AGENCIES. ENCIES, CONTRACTOR shall require any such warranties to be executed ment, are or software furnished by AGENCIES and accepted by be considered Equipment, Hardware or Software, as defined in Exhibit A, s, and subject to all of CONTRACTOR's obligations as set forth in this obligations and remedies specified in this Article shall not limit AGENCIES' rights and remedies provided elsewhere in this AGREEMENT. Page 59 of 76 68 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 ARTICLE 31. COORDINATION WITH OTHER CONTRACTORS A. During the course of this AGREEMENT, AGENCIES, or either of award other agreements for additional work, including but not limited different contractors. It is critical that close coordination with interfacin Term. CONTRACTOR shall fully cooperate with AGENCIES an and schedule its own Work with said contractors. B. CONTRACTOR shall be required to pe Facility, which is leased by the AUTHORITY. CONTR the terms of such lease and shall coordinate with the la operations at the Facility. The terms reference to this Agreement. C. CONTRACTOR shall also be r Facility and shall execu be subject to and cooperate wi for the Coron D. Should contractors an ork in the may undertake or ate agreements with s throughout the ly integrate THORITY's Anahei CSC ubject to and shall comply with all aspects of its occupancy and se for the Anah. C Facility are incorporated by e COMMISSION's Corona CSC COMMISSION for its use of the Facility and shall e agreement. CONTRACTOR shall be expected to !so occupies this Facility. The terms of the license erence to this Agreement. s in coordination with other contractor(s) occur CONTRACTOR shall make oblems immediately and shall take steps to address the problems and additio sts. OR shall cooperate with other contractors or forces performing construction or e within or adjacent to Sites specified in order to avoid any delay or hindrance to rs or forces. AGENCIES reserve the right to perform other or additional work at or near th- cluding material sources) at any time, by the use of other forces. F. CONTRACTOR shall be responsible to other contractor(s) for all damage to work, to persons or property caused by CONTRACTOR, its Subcontractor(s), or its Suppliers, and losses caused by unnecessary delays or failure to finish the Work within the time specified for completion. Any damage to Page 60 of 76 69 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 Work, persons or property of CONTRACTOR by other contractors shall be the re •onsibility of other contractor(s) and CONTRACTOR shall have no claim against AGENCIES or C G. CONTRACTOR's Responsibility for design. Upon Approval •esign, including any related infrastructure, construction or installation design, CONTRACT' all a responsibility for the design to the extent that if the Work is installed as designed - he BOS or CSC . got meet the Performance Measures of this AGREEMENT, CONTRA shall be responsible for •sts of redesign, rework and additional Equipment costs and her costs a- iated with the sub-s andard performance. ARTICLE 32. CONTRACTOR INSPECTION OF F S CONTRACTOR acknowledge -s investigated a fied itself as to the conditions of the Sites including, but not restricted to Idin. Facilities, tions, size, layout, parking, transportation, disposal, availability of labo :ds, a - sical conditions at the Sites, and the character of Equip ilities nee inary to and during prosecution of the Work. Any failure by CONT' • R to aint itself the available information will not relieve it from responsibility e difficulty • •st of succes performing the Work. AGENCIES assume no responsibility co .ns made by CONTRACTOR on the basis of the information made EMENTS FOR REGISTRATION OF DESIGNERS engine = ork furnished by CONTRACTOR shall be performed by or under the icensed to practice architecture, engineering or surveying (as applicable) in the ersonnel who are careful, skilled, experienced and competent in their respective s, who are professionally qualified to perform the Work in accordance with the nd who shall assume professional responsibility for the accuracy and completeness of the design documents and construction documents prepared or checked by them. ARTICLE 34. SEISMIC SAFETY REQUIREMENTS CONTRACTOR agrees to ensure that all Work performed under this AGREEMENT including Page 61 of 76 70 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 s 6 7 8 9 10 11 12 13 14 15 16 17 18 21 22 23 24 2s 26 work performed by a Subcontractor is in compliance with the standards required by . pplicable seismic safety regulations. ARTICLE 35. ASSIGNMENTS AND SUBCONTRACTS A. Neither this AGREEMENT nor any interest herein nor cleun•: be assigned by CONTRACTOR either voluntarily or by operation of law, nor ma •r any part of this EMENT be subcontracted by CONTRACTOR, without the prior wri onsent of AGENCIES. -nt by AGENCIES shall not be deemed to relieve CONTRAC ' •f its obligati ► to comply fully with . terms and conditions of this AGREEMENT. B. AGENCIES hereby consent to CONTRACTOontracting portions of the Scope of Work and Requirements to the parties ' • below with their tract amounts described below. CONTRACTOR shall include in the s tra - t the stip. that CONTRACTOR, not AGENCIES, is solely responsible for pay o the ' the amounts owing, and that the action, against AGENCIES, its officers, directors, CTOR. Subcontractor shall hav , and shal employees or sur r nonp nt by CO Subcontractor Su ractor Na dresses7 Function Subcontractor Amount $.00 $.00 $.00 C. CONT ntified in paragr B as Subcontractors. The subcontracts between CONTRACTOR and such n Agen► and Merchant Service Provider shall name the AGENCIES as intended third -party bene i. alternatively as parties to the subcontract, as determined by AGENCIES, and shall incorporate requirements for Collection Agency and Merchant Services Provider set forth in the Scope of Work and Requirements. Notwithstanding paragraph B of this Article, payment to the Collections Agency and Merchant Services Provider shall be as set forth in the subcontracts for this Work. OR shall engage the Collection Agency(ies) and Merchant Services Provider Page 62 of 76 71 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 D. AGENCIES shall have the right to Approve all of the terms and conditio Agency and the Merchant Service Provider agreements prior to execution. ARTICLE 36. TRANSITION AND SUCCESSION A. CONTRACTOR acknowledges that the Work and Scope to AGENCIES and must be continued without interruption. Up successor(s) (AGENCIES or a new contractor(s)) may CONTRACTOR agrees to exercise its best efforts transition to a successor(s). B. Upon expiration of the Term or termination o convenience, CONTRACTOR shall ac CONTRACTOR and any Subcontractors on the Work or any other services provid operation t complete trans of the Collection an • ements are vital rmination of the EMENT, a onsible for providing thi The ect an orderly and -fficient REEMENT, whether for cause or the Work being terminated from ithout an , ruption of or adverse impact ntanglement"). CONTRACTOR shall cooperate with AG .nd any su• and otherwise promptly take all steps required to assist AGENCIES ' -cting a , • lete Dise lement. CONTRACTOR shall provide all information regarding the or as oth e needed f• sentanglement, including data conversion, files, interface spec s, tr.' ponsibility, and related professional services, to the successor(s), all in. :s a part of its Price Proposal. CONTRACTOR shall provide for the prompt ork, as AGENCIES may direct, including completion or partial completion in process, and other measures to assure an orderly transition to the elated to Disentanglement as may reasonably be requested by AGENCIES shall e base Work and shall be performed by CONTRACTOR at no additional cost to ACTOR's obligation to provide the Work shall not cease until Disentanglement is satisfa GENCIES, including the performance by CONTRACTOR of all asset -transfers and other obligations of CONTRACTOR provided in this section, has been completed. C. The Disentanglement process shall begin on any of the following dates: (i) the date prior to end of AGREEMENT, which AGENCIES have provided in their Notice that CONTRACTOR should Page 63 of 76 72 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 commence Disentanglement (ii) the date, prior to the end of any initial or extended ter hen AGENCIES provide Notice to CONTRACTOR that AGENCIES elected not to extend pursu. e AGREEMENT, or (ii) the date at which any Termination Notice is delivered, if AGENCIES - terminate any or all of the Work pursuant to this AGREEMENT. D. CONTRACTOR and AGENCIES shall discuss good faith a pl. executing CONTRACTOR's Disentanglement obligations and for the t r of Work in accordance Scope of Work and Requirements, however, CONTRACTO' . igation und: pis AGREEMENT to •rovide all Work necessary for Disentanglement shall not be red in espect. CONTRACTOR shall develop with the new provider or AGENCIES' staff, an End . -ment Transition Plan as set forth in the Scope of Work and Requirements ► : the nature and : of transition Work required. This End of Agreement Transition Plan and •s o • respon s for each division of Work shall be submitted within thirty (30) Calen• gays of - . nder Paragraph B of this Article. Upon completion of S revie sties will meet and resolve any additional requirements/diffe CON TOR sha required to perform its Disentanglement obligations on an exped' .asis, as det: ed by AGE if AGENCIES terminate the AGREEMENT for cause. AGEN E. Specific ons ude the performance of the following specific obligations: orizations: out limiting the obligations of CONTRACTOR pursuant to any other clause herein, subject to the terms of any third -party contracts and licenses provided by cure at no charge to AGENCIES any third -party authorizations necessary to grant use and benefit of any third -party contracts and licenses between CONTRACTOR and third -party contractors used to provide the Work, pending their assignment to AGENCIES. 2. Transfer of Assets CONTRACTOR shall convey to AGENCIES all AGENCIES' assets in Page 64 of 76 73 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 CONTRACTOR's possession and other CONTRACTOR Project assets as AGEN S may select, or dispose of such assets in accordance with the Article 42, Disposition of Equipm 3. Transfer of Leases, Licenses, and Contracts CONTRACTOR, at its expense, shall convey or . to AS such leases, licenses, and other contracts used by CONTRACTOR, AGEN or any other pe connection with the Work, as AGENCIES may select. CONTRACTO' . igation described herein, clude CONTRACTOR's performance of all obligations unde leases, lic- , and other contra s to be performed by it with respect to periods prior to the date o -yan signment and CONTRACTOR shall reimburse AGENCIES for any losses resulting from any at CONTRACTOR did not perform any such obligations. CONTRACTOR • • obtain for AGE he right, upon Disentanglement, to obtain maintenance (including all Enh. e .des) an• •rt with respect to the assets that are the subject of such leases an nses - hich, and for so long as, such maintenance and supp• - - commerci. . ble to other customers of such third parties whose consent is being p -d here . CONTR • R shall transfer intellectual property in accordance with Articles CTOR shall deliver to AGENCIES all documentation and data related to IES' data held by CONTRACTOR. CONTRACTOR shall retain all data with -quirements for record retention and audit established in this g of CONTRACTOR Employees ONTRACTOR shall cooperate with and assist (and shall cause its Subcontractors to coop: and assist) AGENCIES in offering employment, at the sole discretion of AGENCIES, to any or all skilled or specially trained CONTRACTOR employees (and to any or all employees of CONTRACTOR's Subcontractors) that are substantially involved in the provision of Work whether such offers are made at the time of, after, or in anticipation of expiration or termination of the AGREEMENT Page 65 of 76 74 21 22 23 24 25 26 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 6. Maintenance of Assets CONTRACTOR shall maintain all Hardware, So Systems, networks, technologies, and other assets utilized in providing Work to AGENC ' cludi .ed and licensed assets) in good condition and in such locations and configuras to be reads tifiable and transferable to AGENCIES or its designees in accordant- the provisions of this AENT; additionally, CONTRACTOR shall insure such assets ordance wit AGREEMENT. 7. Continued Provision of Staffing CONTRACTOR shall provide sufficient nced personnel in each division of Work during the entire transition perio• e that the Work i stained at the level of proficiency required by the AGREEMENT. F. CONTRACTOR shall remain ated t► :t AGENCIES' request for up to twelve (12) months afte on and App e Disentanglement Work enumerated above, and AGENCIES shall . this W. the rates •rth in the AGREEMENT for additional services. This paragraph G ssly survive Term. ARTI A. CONTagrees to avoid organizational conflicts of interest. An organizational conflict other activities, relationships or contracts, CONTRACTOR is unable, or I assistance or advice to AGENCIES; CONTRACTOR's objectivity in ntified in the Scope of Work and Requirements is or might be otherwise impaired; n unfair competitive advantage, or is engaging in activities that AGENCIES he 91 Express Lanes. CONTRACTOR is obligated to fully disclose to AGENCIES in writi ct of Interest issues with AUTHORITY and/or COMMISSION as soon as they are known to CONTRACTOR. All disclosures must be submitted in writing to AGENCIES pursuant to the Notice provision herein. This disclosure requirement is for the entire Term. B. CONTRACTOR shall disclose any financial interests it may have in the 91 Express Lanes, Page 66 of 76 75 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 2s 26 and any other financial, business, or other relationship with AUTHORITY or COMMIS ON that may have an impact upon this AGREEMENT, or any ensuing AUTHORITY or COMMIS •lanned or current project. CONTRACTOR shall also list current clients who may have a fina - est in the outcome of this AGREEMENT, or any ensuing AUTHORITY or COMMISSION prIlow. C. CONTRACTOR hereby certifies that it and its Sub ctors do not no -, nor shall acquire any financial or business interest that would confl' the performance of Wer this AGREEMENT. ARTICLE 38. PROHIBITION A. The following prohibitions apply to this AGREE 1. The firm, including provided by said subcontractor(s), Authority's Highway Delivery Department, Subcontractor. tractors (at any gardless of the level of service services contract for the reement as CONTRACTOR or a 2. irm, inc g all Subcctors (at any tier), regardless of the level of service provided by subcontract• awarded the .gram management consultant contract for the Authority's 1-4icipate in this AGREEMENT as CONTRACTOR or a Subcontractor. am composition with regards to conflicts of interest will be done on a case - ODE OF CONDUCT agrees to comply with AUTHORITY Code of Conduct as it relates to third- ich is hereby referenced and by this reference is incorporated herein. CONTagrees to include these requirements in all of its subcontracts. ARTICLE 40. HEALTH AND SAFETY REQUIREMENTS CONTRACTOR shall comply with all the requirements set forth in Exhibit I, titled "Level 1 HEALTH, SAFETY and ENVIRONMENTAL SPECIFICATIONS." As used therein, "Consultant" shall Page 67 of 76 76 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 i 21 22 23 24 25 26 mean "CONTRACTOR," and "Sub -consultant" shall mean "Subcontractor." ARTICLE 41. CONTRACTOR PURCHASED EQUIPMENT A. Prior authorization, in writing, by AGENCIES' Project Mana CONTRACTOR enters into any unbudgeted purchase order, or su supplies and/or Equipment. CONTRACTOR shall provide an e of incurring such costs. B. For purchase of any item, service or cons ork not co • in CONTRACTOs Price Proposal and exceeding $5,000.00, three (3) competiti ation• be submitted with the request, or the absence of bidding (sole source) must be adequately C. Any Equipment purchase CONTRACTOR shall maintain an inven defined as having useful life of at least two expiration or terminatio CONTRACTOR t• CONTRACT AGENCIES in . keep the Equipme appraiser at C CONTRACTOR se GENCY. . All mmissi sell such E ich le fair CTO t ult of this AG able pro be required before g $5,000.00 for tion of the nece desirability NT is subject to the following: Nonexpendable property is t of $5,000.00 or more. Upon the CIES may elect to retain the Equipment, require he Equipment at no cost to AGENCIES, or require e obtainable at a public or private sale, and credit GENCIES may also elect to allow CONTRACTOR to case AGENCIES and CONTRACTOR shall come to agreement on a value price. AGENCIES may elect to require CONTRACTOR to hire an t, in order to determine a basis for a fair market value price. If GREEME nd dispos ent at the be e Equipment, the terms and conditions of such sale must be Approved in advance ontracts entered into as a result of this AGREEMENT shall contain all of the provisi• s Article. ARTICLE 42. DISPOSITION OF EQUIPMENT-BOS AS A SERVICE A. AGENCIES shall have the right to assume all required licenses, leases and service agreements to allow uninterrupted use, operation and maintenance of the Equipment and services the Page 68 of 76 77 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 same terms as those provided to CONTRACTOR for such services. B. CONTRACTOR will effect the transfer of title, or assignment of lea and licenses, as applicable, as a part of the Disentanglement Work and A rvice agreements NT closeout. ARTICLE 43. OWNERSHIP AND HANDLING OF REPORT' , CU AND DATA A. The originals of all letters, documents, reports and o •roducts and da uced under this AGREEMENT shall upon request be delivered to, a - be the sole property o CIES. Deliverables shall be deemed works made for hire an. • hts in copy therein shall be retned by AGENCIES. Except as otherwise provided herei es o foregoing may be made for CONTRACTOR's records but shall not be furnished to without written authorization from AGENCIES. B. All ideas, memoranda, manufg, procedures, drawings, descriptions, and all other written infor sub - 'ACTOR in connection with the performance of this AG' " T shall not, prior written Approval of AGENCIES, be used for any purposes oth: the p: ance un• is AGREEMENT, nor be disclosed to an entity not connected w C. C paramount importa Indemn ees that privacy of 91 Express Lanes customers is of ENCIES and its customers. CONTRACTOR shall comply with AGENCIES' le Governmental Rules, and Business Rules pertaining to confidentiality, ention, ing and disclosure, and limiting or restricting collection, use or shall not sell, transfer, disclose or otherwise use such information for any purpose nce of its duties under this AGREEMENT. CONTRACTOR shall indemnify and to any failure to comply with this Article 43 in accordance with Article 14, D. CONTRACTOR may only use AGENCIES Data to perform functions as defined by this Agreement, including the Scope of Work and Requirements. Access to AGENCIES Data shall be restricted only to CONTRACTOR's and its Subcontractor's personnel who need the AGENCIES Data to Page 69 of 76 78 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 perform their duties in the performance of this Agreement, and shall not, at any ti ► -, be disclosed or divulged except as expressly provided herein. E. CONTRACTOR shall inform all of its officers, employees and Subcontractors providing Work of the confidentiality provisions of this Agreement. Crequire that any CONTRACTOR personnel, Subcontractor(s) or other third party hom CONTRAS ill disclose or disseminate AGENCIES Data, in whole or in part, execu . adhere to an agreement •rating the provisions of this Section. Nothing in this Article sh. CONTRA R to disclose or diss minate AGENCIES Data without prior written consent and 'AC hall deliver to AGENCIES all executed agreements with Subcontractors prior to any auth• sclosure and dissemination. F. Subject to Paragraph C in - of PII, CONTR may use such information for Violation processing and collection and 1. AGENCIES, upon req for th- :.. rrying out this AGREEMENT or functions with respect t• press Lan: ; and 2. •rnia D ether stat- Vs, or other third parties Approved in advance by AGENCIES tary to assist lection of debt or payments owing. G. C► CTO' al, electronic and managerial safeguards to prevent unauthorized acce . nd to implement destruction of records containing PI I in accordance with the this AGREEMENT. TOR of use AGENCIES' names, logos, branding, photographs of the blicity pertaining to the Project in any professional publication, magazine, trade inar or other medium without the express written consent of AGENCIES. s, sketches, computer graphics or graphs, including graphic artwork, are to be release. • NTRACTOR to any other person or agency except after prior written Approval by AGENCIES, except as necessary for the performance of Work under this AGREEMENT. All press releases, including graphic display information to be published in newspapers, magazines, etc., are to be handled only by AGENCIES unless otherwise agreed to by CONTRACTOR and AGENCIES. Page 70 of 76 79 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 ARTICLE 44. AUDIT AND INSPECTION OF RECORDS A. CONTRACTOR shall provide AGENCIES, or other agents of CIES access to CONTRACTOR's accounting books, records, payroll documents and necessary. CONTRACTOR shall maintain such books, records, data generally accepted accounting principles and shall clearly identify to such parties during CONTRACTOR's performance here the date of final payment by AGENCIES. CONTRAS shall perm reproduce documents by any means whatsoever or to d transcriptions as reasonably necessary The State of California, State Auditor, AUTHO OMMISSION, their duly authorized representatives or other agents of AU records, payroll documents, facilities accountants (CPA) work papers that are audit, examinations, ex B. AGEN extend to all be included in ARTICLE prohibited from AGENCIES, either result in termi RTIC right to ntractors pe RAC transactio t books an ing Work id fa ► .s AGENCIES deem accordance with make such items accessible and for a period of four (s from of the foregoing p. rties to excer and COMMIS ent to all have access to any books, R and its certified public T and indirect cost rate (ICR) for opies thereof shall be furnished if requested. ords directly related to this AGREEMENT shall also d in this AGREEMENT, and such language must s Subcontractors, resulting from this AGREEMENT. CONTR BITION ON PROVIDING ADVOCACY SERVICES II Subcontractors performing Work under this AGREEMENT, shall be rrently enting or lobbying for any other party competing for a contract with prime contractor or subcontractor. Failure to refrain from such representation n of this AGREEMENT. FEDERAL, STATE AND LOCAL LAWS TRACTOR warrants that in the performance of this AGREEMENT, it shall comply with all applicable federal, state and local laws, statutes and ordinances and all lawful orders, rules and regulations promulgated thereunder. Page 71 of 76 80 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 25 26 ARTICLE 47. PREVAILING WAGE RATES A. California Labor Code Requirements. CONTRACTOR is aware California Labor Code Sections 1720 et seq. and 1770 et seq., as well as requirements of Code of Regulations Title 8, Section 16000, et seq. ("Prevailing Wage Laws), which requi pay prevailing wage rates and the performance of other requirements on certain "pu► orks" and "main e" projects. If the Work, or any portion thereof, is being performed .rt of an applicable "pub ks" or "maintenance" project, as defined by the Prevailing W- .ws, and if t► •tal compensation 1,000 or more, CONTRACTOR agrees to fully comply h Pr' g Wage Laws, if applicable. CONTRACTOR shall defend, indemnify and hold AGENCI elected officials, officers, employees and agents free and harmless from a liabilities, costs, es or interest arising out of any failure or alleged failure to comply wit Pr- . .e Laws. the intent of the parties to effectuate the requirements of sections 1 1774, .5, 1813, and 1815 of the Labor Code within this Agree r CONTRAC : I therefore comply with such Labor Code sections to the fullest ext- -quired aw. It s be mandatory upon the CONTRACTOR and all Subcontracto omply with . alifornia Labo •e provisions, which include but are not limited to prevailing wa• -mplo ours of labor and debarment of contractors and subcontractors. art thereof, is being performed as part of an applicable "public works" or nt to Labor Code Sections 1725.5 and 1771.1, CONTRACTOR and orming such services must be registered with the Department of Industrial OR shall maintain registration during the Term and require the same of any plicable. Project may also be subject to compliance monitoring and enforcement by the Department of Industrial Relations. It shall be CONTRACTOR's sole responsibility to comply with all applicable registration and labor compliance requirements. Any stop orders issued by the Department of Industrial Relations against CONTRACTOR or any Subcontractor that affect CONTRACTOR'S Page 72 of 76 81 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 performance of the Work, including any delay, shall be CONTRACTOR's sole respoibility. Any delay arising out of or resulting from such stop orders shall be considered CONTRA caused delay and shall not be compensable by AGENCIES. CONTRACTOR shall defend, inand hold AGENCIES, their officials, officers, employees and agents free and harmless fro laim . ity arising out of stop orders issued by the Department of Industrial Relatagainst CONT • R or any subcontractor. D. CONTRACTOR agrees to insert or ca be insert-- e preceding claus in all subcontracts, which provide for workers to perform wo nder dless of the subcontractor tier. ARTICLE 48. EQUAL EMPLOYMENT OPPORTU In connection with its perfo nder this AG' • T, CONTRACTOR shall not discriminate against any employee or ap nt • -nt becau .ce, religion, color, sex, age or national origin. CONTRACTOR shall t. ffirma re that applicants are employed, and that employees are ring their e -nt, without regard to their race, religion, color, sex, age or national or Such a s shall inc but not be limited to, the following: employment, upgrading, da .n or transfer ruitment or re ent advertising; layoff or termination; rates of pay or other forms pens. aining, including apprenticeship. ARTICLE - CE OF LABOR DISPUTE OR has acknowledged that any actual or potential labor dispute may under REEMENT, CONTRACTOR shall immediately notify and submit all GENCIES. CONTRACTOR shall insert the substance of this entire clause in der as to which a labor dispute may delay performance under this AGREEMENT. ntractor need give notice and information only to its next higher -tier Subcontractor. 50. CLEANING UP A. CONTRACTOR shall at all times keep the Facilities and Sites, including storage areas used by it, clean and free from accumulations of waste material or rubbish. Upon completion of the Work, CONTRACTOR shall leave the Facilities and Sites in a clean, neat and workmanlike condition satisfactory Page 73 of 76 82 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 21 22 23 24 2s 26 to AGENCIES. B. After completion of all Work on the Project, and before maki .•lication for Final Acceptance of the Work in the Implementation Phase and Project clo the Operations and Maintenance Phase, Project closeout by AGENCIES will be w' unti TRACTOR has satisfactorily complied with the foregoing requirements for final c p of the Project. C. Full compensation for conforming to the provisi• his Article, not otherwise . ed for, shall be considered as included in price of this AGR. T and no tional compensatio will be allowed therefore. ARTICLE 51. PROHIBITED INTERESTS CONTRACTOR covenants th. Term, no dire Member, officer or employee of AGENCIES or COMMISSION during his ten - •r for one .r thereafter, shall have any interest, direct or indirect, in this Agreeme ARTICLE 52. T AGAIN INGENT FEES CONTRA warran t he/she h. t employed or retained any company or person, other than a bona f' ployee wor; for CONTRAS to solicit or secure this AGREEMENT; and that he/she has no •r agr= or person other than a bona fide employee, any fee, commission, perce okerage fee, gift or any other consideration, contingent upon or resulting from GREEMENT. For breach or violation of this warranty, AGENCIES shall EEMENT without liability, or at its discretion; to deduct from the consideration, or otherwise recover the full amount of such fee, commission, fee, gift, or contingent fee. FORCE MAJEURE y shall be excused from performing its obligations under this AGREEMENT during the time and to the extent that it is prevented from performing by an unforeseeable cause that is beyond its control, including but not limited to: any incidence of fire, flood, or other acts of God; labor strikes, commandeering of material, products, plants or facilities by the federal, state or local government; national Page 74 of 76 83 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 fuel shortage; or a material act or omission by another Party; when satisfactory evid: ce of such cause is presented to the other Party; and provided further that such nonperformance i . eseeable, beyond the control and is not due in part or whole, to the fault or negligence of the P •erforming and could not have been avoided or limited in the exercise of due diligence by s . rty. Page 75 of 76 84 OCTA AGREEMENT C-9-1177 RCTC AGREEMENT 19-31-059-00 10 11 12 13 14 15 16 17 18 21 22 23 24 25 26 This AGREEMENT shall be made effective upon execution by all parties. IN WITNESS WHEREOF, the parties hereto have caused this OCTA EMENT No. C-9- 1177 (RCTC AGREEMENT No. 19-31-059-00) to be executed as of the d. - last signature below. ORANGE COUNTY TRANSPORTATION RIVERSIDE COUN NSP ION AGENCIES COMMISSION By: By: Darrell E. Johnson Chief Executive Officer Date: APPROVED AS TO FORM: By: James M. Donich General Counsel Date: Attes By: Its: Date: Ann E Date: APPROVE FORM: Page 76 of 76 85 RFP 9-1177 Exhibit B Exhibit B Scope of 1(< RFP 9-1177 Exhibit B CONTENTS 1. INTRODUCTION 1 1.1. PROJECT TIMING 1 1.2. 91 EXPRESS LANES 2 1.3. BACK OFFICE SYSTEMS AND CSC OPERATIONS STATEMENT OF WORK.... ... 2 1.3.1. Contractor Implementation Phase Responsibilities 4 1.3.2. Contractor Operations and Maintenance Phase Servi s 4 1.4. PHASE II SERVICES ... 6 1.5. FUTURE FUNCTIONALITY 1.6. SERVICES NOT INCLUDED 1.7. PASS THROUGH COSTS 7 FIGURES FIGURE 1-1. 91 EXPRESS LANES TOLLING LAYO 2 Page i of i RFP No. 9-1177 Exhibit B 1. INTRODUCTION The Orange County Transportation Authority ("OCTA") and the Riverside County Transportation Commission ("RCTC"), together "the Agencies," operate Express Lanes on SR 91 whic un through both counties. The Express Lanes Back Office System (BOS) and Customer Servi ter (CSC) Operations Project (Project) is for the implementation, operations and mainten. .f a new BOS and CSC Operations for the 91 Express Lanes. This Scope of Work includes t, .ject's technical requirements to be performed by the toll systems integrator (Contractor). An existing Back Office System (BOS) and Customer Service Center ( Operati. .reement, which ends June 2021, supports the 91 Express Lanes via a single to and operati 6 . roach for both OCTA and RCTC, and is managed by the Existing BOS a. Provider. This pr. ent will replace the existing system, maintenance and operations. ' imize disruption to the . t toll operations, close coordination and transition planning required to limit disruption. Likewise, Kapsch TrafficCom USA is separately cont Traffic Management (ETTM) Systems contractor for bot The ETTM System will provide fully formed Transpon Substantial testing and both technical and operational coordin Term of the Agreement. The Corona CSC building will serve as th staff and CSC Operations, as well as the to centers (WICs). The Anaheim Processing C staff, data center and traffic operations cent which is adjacent to OCTA • - in the City operationally serviced . tor. All definitions an The Require during the Proj database fields. T scope • . e require h• and but serve and e Electronic Toll and on the 91 Express Lanes. e-Based Trips to the BOS. be required throughout the the Contra irect customer service Expre e's customer walk-in Contractor's administrative C is . at the existing OCTA Store, nd will be staffed by OCTA employees, but ope of Wo d Requirements are included as Exhibit XX. ligations and any changes which may occur underlying lists of specific items and required ese "including .. not limited to" lists is to indicate the intent and uring design the naming and number of items and fields will vary; all be addressed by the BOS unless the Contractor is formally relieved the -s. ing nd timing include: and RCTC BOS and CSC Operations Agreement ends in June 2021 and the Operations shall be fully implemented prior to that date. lected Kapsch TrafficCom USA to provide the replacement RCTC 91 ETTM at replacement is anticipated to be completed prior to the release of this RFP. • OCTA has selected Kapsch TrafficCom USA to provide the replacement OCTA 91 ETTM System. That replacement is anticipated to be completed prior to Go -Live of the Contractor's BOS and CSC Operations. Page 1 of 7 RFP No. 9-1177 Exhibit B 1.2. 91 Express Lanes The 91 Express Lanes facility is a four -lane, 18-mile tolled facility built in the median of California's Riverside Freeway (SR-91) between the Costa Mesa Freeway (SR-55) in Anaheim and nterstate 15 (I-15) interchange in Riverside to serve the booming population traveling betwee d Empire and Orange County, see Figure 1. The OCTA 91 Express Lanes were built in 199 e RCTC 91 Express Lanes recently opened in 2017. The 91 Express Lanes use congestion management pricing to adjust to number of vehicles. Motorists pay tolls through the use of a convenien rake automatically deducts the toll amount from a prepaid account. Iiot• fists can us transponder issued by any of the California toll operators or • one by opening through the 91 Express Lanes CSC. Account holders in a vehicle with three or more people travel toll free except during peak times when, carpoo the posted toll. Eligible carpoolers (3+) with a transp dedicated HOV 3+ lane when approaching the toll gantri ased on the nder that Trak® unt ther specia stomer classificati ree or mor: ve a 50% discount on equipicle must drive in the tion of the Express Lanes (Orange County and Riverside County) to receive the discoun Figure 1-1: 91 Express Lanes Concep Layout identi locations for the 91 Express Lanes. Figure 1-1. 91 Untoln Ave entry/exit and Toll Zone Corona LEGEND - Existing OCTA91 Express Lanes Existing RCTC 91 Express Lanes i eCounty Line Entry/Exit Zone ▪ Toll Rate CMS ▪ Information CMS ▪ Toll Collection and Enforcement ▪ Existing Enter Transponder Read Site • Proposed Enter Transponder Read Site 4"." Intermediate Access or Ingress/Egress tQ. 1.3. ffice Systems and CSC Operations Statement of Work In this Request for Proposals (RFP), the Agencies are requesting written technical and Price Proposals from qualified Proposing Contractors ("Offerors") interested in providing BOS and CSC Operations. The Project includes the design, development, testing, installation, operations and Page 2 of 7 RFP No. 9-1177 Exhibit B maintenance of a complete and integrated BOS and CSC Operations that meets the needs of OCTA and RCTC Express Lanes as specified in the Statement of Work and Requirements. The BOS functionality which shall be provided, implemented, operated and main 'fled by the Contractor include but are not limited to the following: • Account management; • Self -Service Website; • Self -Service Mobile Application; • Customer communications and Notifications; • Case management; • Payment processing; • Transponder inventory management; • Financial management, reconciliation and settlemen • Initial CSC -based collections; • Collections Placements; • Printing and mailing; • Violation processing; • Vehicle Registration Hold processing; • Post -contact customer satisfaction urveys; • Searches and reporting; • Data warehouse; • BOS and CSC performance monito • Interfaces to all Third -Party Service iders a tners; and • Interface monitoring and reconciliati BOS Hardware, syste • ces whicbe provided, implemented, operated and maintained by the C • or in ut are no ted to the following: • BOS prod • Multip • Deskt • CSC equi • Customer c • ms; atic Cal ution (ACD), Interactive Voice Response (IVR) and telephony systems; uipm syste toring systems; other 1. ed equipment; (DR) a . Business Continuity systems; and Netw Data cent Disaster Re Training syst eh shall be provided and managed by the Contractor include but are not encies (two (2); • . Owner Identification (ROV) Lookup Service Provider; • Pn . ail House Provider (optional at Contractor's discretion); • Lockbox Service Provider (optional at Contractor's discretion); • Customer Satisfaction Survey Provider Subcontractor; • Payment Card Industry (PCI) Qualified Security Assessor Services (or qualified Internal Security Assessor (ISA)); Page 3 of 7 • Merchant Service Providers (two (2); • Certified Disposal Service Provider; • Armored Car Service Provider and • Off -Site Data Storage Provider. 1.3.1. Contractor Implementation Phase Responsibilities During the BOS and CSC Operations Implementation Phase (from Notice to the BOS and CSC Operations) the Contractor shall be responsible for the f limited to: • Staffing of all BOS support, CSC Operations and TOC person • Operational planning and transition of the existing opera • BOS implementation and testing; • Facilitation and participation in meetings and Systems Contractors and the Existing BOS and new Third -Party Service Providers and Busine • Existing and New Third -Party Service Providers • Contractor required additional build-out/fit-out of t • Provision of all additional Contractor required furnitur • Provision of all required CSC officment; • Development of all plans and do • Development of all CSC standard • Compliance with all Security Stand • Compliance with all Approved plans, • Development of all training material; • Conducting trainntractor a • Learning and , Agencies' relative to • : tions and • Establis : greements • Demo • Numer s Lanes rect proces ion of opera er coor diness; an RFP No. 9-1177 Exhibit B until Go -Live of ding but not co on with the Agencies, the erations Co . ctor and existing a ners; Ines escribed herei res (SOPS ers Transition Services; ovided facilities; rnishing required for the CSCs; ies' staff; esses, procedures, Business Rules and policies cial administration; alifornia and Arizona DMVs; eparation activities. 1.3.2. Contr . erations and Maintenance Phase Services ncies' CSC Operations (the "Operations and Maintenance Phase"), the ilities include but are not limited to: ities rel.. d to the functional use of the BOS: tablishment, maintenance and closures; gement, monitoring and communication; service, including violation -related activities, via phone, mail, email, fax, saging, chat and in -person; ion of customer support for problems with customer interfaces; ent and refund processing; redit Card processing, including authorizations, refunds and reconciliation; Production of all customer Notifications; o Inbound and outbound mail processing; o Return mail processing; o Violation payment processing; o Case creations and management; Page 4 of 7 RFP No. 9-1177 Exhibit B o Document imaging of incoming work (such as, customer communications) and outgoing work (such as, scanning checks before deposit); o Use of skip tracing services to acquire updated mailing addresses; o Transponder inventory management, including customer order Fulfill - •nt support, transponder recall and recycling; o Customer dispute processing; o Coordination and support with resolution of disputed tolls er issues with Interoperable Agencies; o Initial CSC -based collections; o Coordination with Collection Agency pursuing payment is owedividuals or businesses, including payment processing and re tmg; o Coordination with the DMV(s) for registration s releases once tolls, fees, and other charges are o California Franchise Tax Board Tax Interce . ort; o Bankruptcy support and associated acco . dates; o Investigative Review and Hearing supp o Financial management and reporting sepfor t o Reporting for CTOC and the Western Region o All transaction and financial reconciliation acti parately for the Agencies; o All interface reconciliation vities; o Compliance with all Secu - ds; o BOS performance manage o CSC staff and process perfo o Adding/removing/modifyinfying the user -configurable elements of the telephony sy su call q uting and message on -hold selections o Toll adj •mentatio ions and/or holds, ncies; 1 as • Operatio vities not tly related ctional use of the BOS: o .lete BOS 0. ions and Mai ance and monitoring off all processes and o •to ne ity monitoring and resolution of issues; o Co all Security Sta ards; Comp . compliance, monitoring and resolution of issues; ry (DR) and Business Continuity management; are Maintenance and Support; ement . trades to the BOS per the Requirements; ents to • BOS at Agencies' direction; hnical support for Contractor's staff and Agencies' staff; g and optimization of Registered Owner of Vehicle (ROV) identification ng of incoming and outgoing mail services, including address correction and and WIC customer service staffing and operational management; C Work processing and management; CSC and WIC facility maintenance not covered by the Agencies (e.g. plant care, plumbing); o On -going recruitment and management of the personnel required to operate the CSC and meet the Requirements of this Agreement; o On -going training of all Contractor staff and Agencies' staff; Page 5 of 7 RFP No. 9-1177 Exhibit B o Administration of Agency -provided building security and access systems; o Physical security of the operations facilities, funds, personnel, and equipment; o Payment Card Industry Data Security Standards (PCI DSS) compliance o Provision of audit(s) performed by an independent Qualified Security : ssessor (or qualified Internal Security Assessor (ISA); o Compliance with all National Automated Clearing House As on (NACHA) requirements; o Support for the Agencies' audits of BOS and CSC Operations; o Management of Customer Satisfaction Survey informatio o Production and distribution of customer materials; o Distribution of transponders, Velcro; o Distribution of non-BOS generated customer not ' . ns by mail; o Annual SSAE 18 Type II performed by indepe : uditor; o Paper document storage and destruction a • rds management; o Quality Control (QC) and Quality Assura activities he CSC; o Quality review of BOS-generated notifi o Quality review of occupancy processing u o Quality review of image processing using th o Assist with internal/external audits; o Assist with data collections - alysis stemming fr o Assist with insurance/ri ent activities. 1.4. Phase II Services The following services shall Acceptance. Optional it • Self-Servic • data w • data • Collect' cluded in Ph encies dis 1.5 re Fu ality not be assumed for the base Agreement, but should be considered Occupancy Integration Customer in Adherence 1.6. optional) tion ET Work whic o implement. tem-provided tool; m-provided tool; ation and will commence after the BOS tion System (ODS) Integration; oney Service Provider; ng prior to the violation process and tional Interoperability. of Included The servic - ocured under this Agreement does not include: • ETTM Systems; • Trip building; • Image review services for the purpose of trip building (QA/QC reviews are required) and Page 6 of 7 RFP No. 9-1177 Exhibit B • Provision of Retail Transponder Distribution Provider. 1.7. Pass Through Costs The following items and Services shall be provided by the Contractor, with costs through to the Agencies: • Postage; • Skip -Tracing; • Welcome Kits; • Transponder Shipping Supplies; • Domain Names and Uniform Resource Locators (URLs) and • Facilities related incidental and permitting costs as dire; the Agencies. Page 7 of 7 RFP 9-1177 Exhibit B Exhibit B Volume I: Project Ma ent and Gnntrols RFP. 9-1177 Exhibit B CONTENTS 1. PROJECT MANAGEMENT 1 1.1. PROJECT MANAGEMENT AND CONTROL 1 1.2. PROJECT MANAGEMENT PLAN (PMP) 1 1.3. COORDINATION 1.3.1. Coordination with ETTM System Contractors 3 3 1.3.2. Cooperation with Other Contractors and Providers ..,� 4 1.4. PROJECT MEETINGS 1.4.1. Project Reporting and Progress Meetings Duri 1.5. QUALITY ASSURANCE PROGRAM 1.5.1. Control of Purchase 1.5.2. Visits to Contractor's Facilities 1.6. BASELINE IMPLEMENTATION SCHEDULE AND CONTRA ... 4 ementation Phase 7 EQUIREMENTS LIST (CDRL) 2. STAFFING AND KEY TEAM PERSONNE 10 2.1. GENERAL STAFFING REQUIREME 10 2.2. KEY PERSONNEL 10 2.3. OTHER REQUIRED PERSONNEL 17 2.4. STAFF SELECTION REQUIREMENTS 3. SYSTEM DEVELOPME ► ESIGN REQ, S 20 3.1. SYSTEM DE ' NGS AND HOPS 20 3.2. BUSINE S WORKS 20 3.3. SOF WALKTHROU 21 3.4. 1 ESIGN WO' 21 3.5. 22 3.6. SYSTEM D' ESIGN REVIEW MEETINGS AND WORKSHOPS 22 23 24 DEVELO +CUMENTATION REQUIREMENTS 24 25 n 25 27 ents Traceability Matrix 28 Detailed Design Document (SDDD) 28 er Test Plan (MTP) 30 dividual Test Plan and Test Procedures 31 4.2. Implementation Plan and Related Documentation 33 4.2.8. Disaster Recovery Plan 33 4.2.9. Business Continuity Plan 34 4.2.10. Transition Plan 35 4.2.11. End of Agreement Transition Plan 39 evelopment Plan 17 Page i of iii RFP. 9-1177 Exhibit B 4.2.12. Operations Plan 40 4.2.13. Standard Operations Procedures (SOPS) 41 4.2.14. Staffing and Human Resource Management Plan 42 4.2.15. Reporting and Reconciliation Plan 43 4.2.16. Records 44 4.2.17. Management Reporting 45 4.2.18. Training Plan 47 4.2.19. Maintenance Plans 48 4.2.20. Third -Party Documentation 50 4.2.21. Manual Requirements 50 4.2.22. As -Built Documentation 53 4.3. OPERATIONS MOBILIZATION 54 5. TRAINING 5.1. TRAINING COURSES 5.1.1. System Operation Overview Course 57 5.1.2. Customer Service Representative Course... 57 5.1.3. BOS Finance and Financial Controls Course... 58 5.1.4. Operations Management Course 58 5.1.5. BOS Users Course 58 5.2. TRAINING MATERIALS 5.2.1. Instructor Guides 5.2.2. Training Aids 5.2.3. Student Workbook 5.3. SCHEDULING AND PREPARATION FOR T 59 59 59 60 60 6. TRANSITION REQU ' 61 6.1. SCHEDUL RANSIT , 61 6.2. TRAN FROM EXISTI i 1 S AND CSC 1 TIONS CONTRACTOR 61 6.3. A NCE OF OPE' DINESS 61 6.4. END . EMEN 62 7. TESTING REQU 64 RAL 64 and Logistics 65 66 66 tegration Testing (SIT) 67 tance Testing 68 Testing 69 stallation and Commissioning Testing, Data Migration, Transition and Go- 69 ational and Acceptance Testing 70 7.3. CCEPTANCE 71 8. INSTAL TION REQUIREMENTS 72 8.1. INSTALLATION PROGRAM 72 8.2. COMPLIANCE TO STANDARDS 72 8.3. EQUIPMENT INSTALLATION REQUIREMENTS 73 7.2. REQ 7.2.1. 7.2.2. 7.2.3. 7.2.4. 7.2.5. ting Page ii of iii RFP. 9-1177 Exhibit B 8.4. IMPLEMENTATION CHECKLIST REVIEW AND CHECK -OFF 73 9. GENERAL MAINTENANCE AND SOFTWARE SUPPORT SERVICES REQUIREMENTS 74 9.1. OPERATIONS AND MAINTENANCE MEETINGS 74 9.1.1. Monthly Performance Review Meetings and Reporting 74 9.1.2. Monthly BOS and Operations Coordination Meetings 74 9.1.3. Weekly Coordination and Status Meeting with the ETTM Syste actors 75 9.1.4. Change Control Board Meetings 75 9.2. SAFETY 76 10. CONTRACT DELIVERABLES REQUIREMENTS LIST 77 TABLES TABLE 2-1: KEY PERSONNEL 11 Page iii of iii 1. PROJECT MANAGEMENT 1.1. Project Management and Control The Project is divided into two overlapping phases: The Implementation Phas Proceed until BOS Acceptance) and the Operations and Maintenance Phase (aft CSC Operations through the end of the Agreement). RFP. 9-1177 Exhibit B Notice to mencement of 1 The Contractor shall provide all management, supervisory, fi and o ns staff, including qualified management, professional, technica an clerical p 1, to professionally design and implement the BOS and operd administer the es' operations in a manner that meets all required perfor, - criteria. The Contracto put in place the organizational structure and staffin, . red to meet these Requirem 2 The Contractor shall perform and provide all laws, rules, regulations, ordinances and in com. All Plans and procedures prepared by the Contrac . set forth in these Requirements. ces in accor, with all applicable - with a cable Agency policies. 1 . roved by the Agencies, as 1.2. Project Management Pl The Contractor shall develop and emplo Project Management Institute (PMI) Project that is sufficiently detailed to enable the Age necessary management, st. • controls in p The PMP describes staffing, schedul' and other co other third -pa wherever applica e Cont d communi cations betw ities. T r shall del n procedur e Contractor ) in accordance with edge (PMBOK) latest edition an that the Contractor has the et the Agreement Requirements implement and manage the Project, including r controlling all correspondence, Submittals e Agencies, as well as communications with ance with system engineering methodology 3 • - PMP sha e, but is not limited to: • cope Deliverables, tracked using a numbered Contract Deliverables Req. -nts Lis ); • a descri ► of the staff management and organization of the Project; an organization chart; id • cation of Key Team Personnel and their associated responsibilities, and identific. of the resources to be used in fulfilling the Requirements; a des in of Project planning, documenting and reporting methods to be utilized, . o se within the Contractor's staff and externally with the Agencies; • . oach to issue management, including communication, escalation and resolution of 'roject issues with the Agencies; • approach to communication management, including meeting schedules and team meetings; Page 1 of 79 RFP. 9-1177 Exhibit B • the format of the Implementation Phase monthly progress report; • inclusion of the Approved Baseline Implementation Schedule; • a description of the process for reporting and tracking the Appr► Baseline Implementation Schedule and Project performance; • approach to change control management, consistent with Agr- ' equirements, including a description of the process for documenting and su • • e requests, the Approval process and how the change control ma -nt ap• • will be integrated into day-to-day Project management; • process for resolution if a change request scope a - t proposal is rejecte • - Agencies; • approach to document control, including : the Contr. provided Electronic Document Management System (EDMS) accessi • the Project team by username and password (the Agencies shall ha , ap , to download documents using this Software); • approach to risk managemen ding communica calation and resolution of Project risks with the Agenci • approach to Quality Assurance Quail • approach to Subcontractor mana: -nt, i ng • s with Subcontractors will be resolved in . ' -• manner; • approach .cur- managem: hich adheres to the Agencies' policies; • appr, o operatio adiness inc - a Go -Live checklist; • d• ting the • • i oice backup information; verification, and App oce a section , . Approved Project forms; • h to P loseout and • an e cy cont. 4 The Contrac all provide as a part of the PMP and then maintain both a Contractor and Agencies con list. The contact list shall include all Implementation Phase Key Team Personnel a ckups, personnel title and areas of Project participation. The list will be upersede perations and Maintenance Phase documentation and processes. 5 for shall develop and submit the PMP to the Agencies within 10 Business Days o eement's Effective Date for review and Approval. 6 The Contractor shall identify the tools and products used to manage the Project and the internal controls instituted by the Contractor to guarantee successful delivery of the Project. Page 2 of 79 RFP. 9-1177 Exhibit B 7 The Contractor shall develop and submit communications procedures to the Agencies for review and Approval that address the following, including but not limited to: • Correspondence - all correspondence shall be identified as to originator an • • esignated receiver and contain the Agreement name and number; • Document control - tracking of document versions and changes; • Invoices - all invoices shall be submitted with accompanyin • rmation as required by the Agreement and consistent with the Agenc•cess- nvoicing and auditing policies. The Contractor shall work with th. gencies to I the appropriate invoice and back-up materials as a par he PMP develop . The Contractor shall submit multiple invoices, with c d any applicable Liq• Damages divided by Agency based on the Pr' oposal and Agencies dire . Contractor shall address costs that are nett from the C ntactors toll reven b payment to the Agencies, for example cred' fees and co ns fees. • Submittals - all Submittals shall be deliver n ure to the Contractor's submittal letter. Each Submittal letter shall be li single subject or item. The Contractor's letter shall identify the Agreement nu greement name and subject of the Submittal, CDRL name i cable, and the ver mber. 1.3. Coordination 1.3.1. Coordination with ETTM S The Contractor shall wor operations of the BOS Contractors are res operations and o be responsibl System to bot System Contract le for onal staff e timely rep TTM Syst eso ractors in the design, implementation and and operation of the CSC. The ETTM System nitoring of the ETTM System and support of TM System. The Contractor shall nonetheless ailures it has identified related to the ETTM gencies, and for cooperating with the ETTM usly as possible. 8 ntracto eport any observed ETTM System anomalies and errors to the ETTM ntract Cases; the Contractor shall track these issues through to timely resol coordi with the ETTM System Contractors. 9 The Contra hall sele e appropriate priority level or level of urgency when reporting ETTM Syste ors to the ETTM System Contractors based on the levels identified in the Operations P The Contractor shall make best efforts to ensure that critical and high - priority ite quickly and effectively communicated to the ETTM System Contractors within a ti riod agreed -to in the Operations Plan. 10 or shall notify the Agencies of all issues and errors identified in the Operations quiring simultaneous notification to the Agencies. 11 The ontractor shall participate in Coordination and Status meetings with the Agencies and the ETTM System Contractors as further described in Section 1.3.2. Page 3 of 79 RFP. 9-1177 Exhibit B 12 The Contractor shall participate in other meetings with the Agencies and the ETTM System Contractors as further described in Section 1.3.2. 1.3.2. Cooperation with Other Contractors and Providers 13 The Contractor shall cooperate to the fullest extent with other contra a Agencies, and Third -Party Service Providers and Business Partners re the BOS Implementation and Operations and Maintenance Phase activitie ict with or cause any interruption in capability or service or safety iss the t public, customers, the Agencies, or existing operations. 14 The Contractor shall cooperate to the fullest extent with al parties in accorda ' h the terms and conditions of the Agreement, includin of limited to: • employees of the Agencies; • designated representatives of the Agencies; • Agency legal counsel; • other Interoperable agencies, • and parties, as di y the Agencies; • all entities that directly acces • :. • all entities that use or require o L t from t • law enforcement• • auditors . , • All T•arty Servic: •viders and , ess Partners. 15 The c for shall c i and i ediately notify the Agencies (via Agency - provide. 'bubo _ _ . es with or customer complaints related to the BOS or E the Agencies • ress Lanes that come to Contractor's attention ing the co . Implementation, testing or during the Maintenance and Operations Within s of th • • ment's Effective Date, the Contractor shall invite and facilitate the Exist' S and Operations Contractor's participation in the coordination meeting(s) a discussion and resolution of all operational transition items. roject tings The o quired to facilitate (plan, lead, coordinate, and report on) or participate in both regular wed and ad -hoc meetings during the course of the Proiect. 17 ThMrntractor shall set up, facilitate and participate in meetings during the Implementation Phase, including but not limited to: • Project reporting and progress meeting (monthly); Page 4 of 79 RFP. 9-1177 Exhibit B • Change Control Board meetings (as required, but no less than every two weeks or per the Project Management Plan); • installation coordination meetings (weekly during specific Implemen ion Phase timeframe); and • Various workshops, comment review and BOS Design meetings uired. 18 The Contractor shall set up, facilitate and participate in meetings aintenance and Operations Phase, including but not limited to: • Weekly project status meetings; • Ad -hoc meetings (as needed); • Change Control Board meetings (as need • CSC Operations performance review an ational meetings (to include review of performance relative to th fo a Measures, Customer Satisfaction Surveys, training schedule, iden issues and other relevant findings); • BOS performance revie • nal status m (to include review of Performance relative to • er . ' 4 • asures, tr schedule, Upgrades and Enhancements list, bu: . nd gen • dates nd • Maintenance and Operations a :s shal • . uctured and scheduled per the Appro 4 tenance Pla 19 The Contrac ' . 1 pro , nd mainta . chedule for all meetings which it leads. 20 All mee ' . cations shal • esignated b Agencies. 21 No les three (3 eetings which it leads, the Contractor shall provide . ' g . a _ . can comment on and the Contractor shall then update. han th ' Business Days after meetings it leads, the Contractor shall submit dra g min. • r the Agencies' review, which capture the summary of the discussi more , o (2) Business Days after receiving the Agencies' comments to the me minutes, e Contractor shall submit updated meeting minutes for the Agencies' re This process shall continue until the meeting minutes are Approved. Bi-we monitor steps to en eporting and Progress Meetings During Implementation Phase ports and progress meetings shall enable the Agencies and the Contractor to , progress and quality of the Work performed on the Project and to take proactive successful delivery of the Project. 23 The calendar for meeting days shall be scheduled by the Contractor following the Agreement's Effective Date. Page 5 of 79 RFP. 9-1177 Exhibit B 24 With the meeting agenda submission, the Contractor shall submit a progress report to the Agencies. The Agencies may review and comment on the progress report prior to the meeting and the Contractor shall update accordingly. 25 The format of the progress report shall be agreed upon as one of the initi ct tasks upon the Agreement's Effective Date and shall be incorporated by the C or into the PMP. 26 The Contractor shall manage, facilitate and conduct the meeting ce with the agreed to format. 27 The progress report includes but is not limited to: • a summary, outlining progress, status and percen Work performed for eac as compared to planned activities in the Appr aseline Implementation Sched Comments shall be included where appropra summar uld be a dashboard - style report and shall identify status of key ones; • an analysis of all critical path tasks, potentia iated with the tasks and proposed contingency/work around plans to cir t or mitigate delays to the Project; • identification of any Approv: ' • • roved mi dates and Approved Baseline Implementation Sch the de and identifying the Agreement Modification; • a discussion of S . • • ule complian ► • . dated Base me Implementation Schedule showing c • against eline Approved Baseline Implementation Schedule. • a ris at tracks t atus of all o ding risks that need decision/resolution; • an ed actio - k the status of all outstanding Deliverables, activ . d i a n - - . _ resolution; en invo . pplicable; • ppro • pending change requests (Contractor and Agency -initiated) and thei ; • the pre meeting anal minutes and • a six (6) look -ahead schedule. The Cori with the A Contractor to surance Program all establish an effective Quality Assurance (QA) program to ensure compliance ment. This QA program shall detail the process and procedures instituted by the ensure the QA program is in place. Page 6 of 79 RFP. 9-1177 Exhibit B 28 The Contractor shall establish an effective QA program that ensures adequate quality throughout all areas of Agreement performance. 29 All systems and services under this Agreement, whether performed within t tractor's facilities or at any other source, shall be managed by the Contractor at all necessary to ensure conformance to the Requirements of the Agreement. 30 The QA program shall provide for the prevention and early detec ancies and for timely and positive corrective action. 31 The QA program shall include effective Quality Control of . • ased services an ials and subcontracted Work. 32 The Contractor shall make evidence of quality . rmance readily available to Agencies, and the Agencies shall have the ri: - review and ify the Contractor' compliance to the process. For the I . ntation P , evidence includes documentation of adherence to testing procedur• . chi- xpected test results and for the Operations and Maintenance Phase, evide s the Monthly Operations Report, results of quality audits and system reports. 33 The Contactor's Quality Assuran shall lead the teontractor's staff to meet all the Requirements related to i sure the Ag. that the Work of the Contractor is in accordance with t alit ed in se. 4.2.1. 1.5.1. Control of P se 34 The Contrac • onsible • nsuring all systems, supplies, components, developm- tools, blies, s emblies and services procured from Subcon s, Third-P. Service Pro and Business Partners conform to the Requnts and the y1 • . 35 The Cont ha • is r . _ . r the selection of Third -Party Service Providers and Busine in accordance wit the Agreement. The Contractor shall ensure the - • tractor -Party Service Providers and Business Partners control the quality of -s and -s provided. . 6 The Con shall p • all procurement documents to the Agencies upon request. • .2. Visits i ntractor's Facilities The Agenc' • erve the right to both unannounced and scheduled visits to all Contractor's ilities . 1 areas of those facilities where Software development/support and services - e BOS and CSC Operations are performed. Page 7 of 79 RFP. 9-1177 Exhibit B 1.6. Baseline Implementation Schedule and Contract Deliverables Requirements List (CDRL) The Approved Baseline Implementation Schedule is a comprehensive list of Proje milestones, activities and Deliverables, with planned start and finish dates, including a detailed reakdown Structure (WBS) that identifies Project tasks down to the Work package leve e activities required to complete the Work package Deliverables. The Contract Delivera quirement List (CDRL) (Section 10) is used with the schedule to track the Project Delivera 38 The Contractor shall provide and maintain a detailed Imputation roject Schedule in Microsoft Project format (Project 2016 or ve and include and compatibility with earlier versions as required by t ncies) that lists al ct activities, tasks and sub -tasks, and sub -phases includ. not limited to: • staffing; • key intersection points/dependencies wit xisti and CSC Operations Contractor; • key intersection points/dependencies with the ETT m Contractors: • document development; • any required improvements to cente , 4 IC Sites, • fit-out/installation (including c , unic in re installation) of data center, CSC and A acilities (inc ; • training; • migr and transiti • B ‘ operatio • all ong. activities throu: .ut the Implementation Phase, such as scheduled meetings . : it frequency/periodicity. Sche . ►. -11 adhere to the milestone dates shown in Exhibit X. 0 The Proj - edule so include coordination activities with the Agencies and all third partie uding bu not limited to the Existing BOS and CSC Operations Contractor, and Third-P. Service Providers and Business Partners, and shall in addition clearly document all dination tasks. Upon App , of the Project Schedule by the Agencies the schedule shall become the • •rov: .eline Project Schedule. 42 • ct Schedule shall identify all milestones and tasks, starting with the Agreement's Eff- . e Date through the BOS Acceptance. 43 The Project Schedule shall be resource loaded, shall include all draft submissions and review cycles and shall include all tasks required of the Agencies. All Agencies tasks and durations shall be clearly highlighted and differentiated from Contractor tasks. Page 8 of 79 RFP. 9-1177 Exhibit B 44 The Project Schedule shall identify all critical path tasks and shall be used to manage the Project. 45 Once the Baseline Project Schedule is Approved, the Contractor shall upda - progress against the Approved Baseline Schedule on a monthly basis, showing perce plete for all Project tasks and identifying actual start and finish dates against the A -d Baseline Schedule. 46 The Contractor shall use the Approved Baseline Project Schedule e duration of the Project and shall notify the Agencies of any anticipated s ► e cha ong with a plan for mitigating them, if applicable. 47 The Contractor shall obtain Approval from the Agenci all changes to the A. d Baseline Project Schedule. No revisions shall be consApproved or accepted wi this Approval in writing. 48 In parallel and concurrent with the Project Sc the Contr all report and track the status of all Contractor Deliverables via a to C at lists delivery dates (planned and actual), review cycles, workshops (if comment review meetings and Approval dates. Page 9 of 79 RFP. 9-1177 Exhibit B 2. STAFFING AND KEY TEAM PERSONNEL The Contractor is responsible for maintaining and assigning a sufficient number of competent and qualified professionals to meet the Requirements of the Agreement in accordance with e Approved Baseline Implementation Schedule. 2.1. General Staffing Requirements 49 The Contractor shall provide staff at all times sufficient to meet t, .l. irements. 50 The Contractor shall provide all staff and services to prof- io .11y operate C and provide professional customer service in accordance e procedures an• .es documented in the Operations Plan, SOPs, and the ' ements. Staff shall incl management, supervisory, financial, technical, and • ions personnel. 51 The Contractor shall ensure Key Team Perso, :re readily . • 'ble to the Agencies during the Implementation and Operations an• -nance % . 52 The Contractor shall submit replacement requests fr Personnel to the Agencies for review and Approval prior to replacement of an in. .1. Key Team Personnel shall not be replaced without the prior - oval of the Agenci - . the replacement. 53 The Agencies shall have the righ . cement of a tractor personnel in accordance with the terms and co ins o - -nt. 54 The Contractor shall replace Key Te. -rso m- . iith an acting replacement after the position is • •• • . Failure to • place open ' ey Team Personnel positions with a full-time , t shall res enalties as described within the Agreement and/or Perfo e s. 55 The Co • r shall prov . staffing pla the Operations and Maintenance Phase 90 days • • Go -Live. 56 The Co s • - . are trained and conduct themselves in a profession. that is based upon the best practices of customer service. The actor's a ee code of conduct shall be included in the Operations Plan. The for sh. 'de, update and maintain a complete organizational chart during both th menta. ` ase and Operations and Maintenance Phases and provide to the Agenci on requ• hik Key Pers 1 5: he Conti shall provide the following key personnel for this Project, shown Table l- ey ' . nnel, subject to the Approval of the Agencies. The list in Table 2-1 is not an e list of key personnel, but the minimum required Key Team Personnel to be d in the Contractor's organizational structure. 59 The Contractor shall attempt to fill Key Team Personnel positions with the minimum experience provided in Table 2-1: Key Team Personnel. The Agencies will use the experience levels provided in assessing and Approving Key Team Personnel. Page 10 of 79 KEY TEAM PERSONNEL Table 2-1: Key Personnel Respons Implementation Phase erations and intenance Phase Dedication Time On -site RFP. 9-1177 Exhibit B Dedicatio Project Principal - responsible for the oversight of the Project Manager and a point of contact for any escalated Project issues that cannot be resolved by the Project Manager. Should meet or exceed the following: • Full-time employee of the Proposer or its parent company for at least two (2) years at the time of Proposal submissio • Ten (10) years' experience in the toll industry • Five (5) years of senior management responsibility for m toll projects • Senior management responsibility for at least one (1) projec of $25 million or more in value Project Manager (Implementatio Day -to -Day contact person fo responsible for the overall m Should meet or exceed th • Five (5) years' industry or of environment m nt and deli mg: ce as a Project M ed customer ontractor's d shall be he Work. the toll • Project Manager for a olling Back Office System Deployment • at least o ect of $10 million or is desired Page 11 of 79 X s requested by the Agencies For all status meetings, workshops and reviews 1000/0 on -site from the beginning of On -site Installation and Commissioning Testing through BOS Acceptance As Needed from the Agreement's Effective Date 100% from Agreement's Effective Date RFP. 9-1177 Exhibit B KEY TEAM PERSONNEL Responsibili ' Dedica Implementation Phase ns and ance Phase Time On -site Ded Project Manager (Operations and Maintenance Phase) - shall be Contractor's Day -to -Day contact person for all CSC Operations matters and shall be res responsible for the overall management and P g delivery of the CSC -related Work. Should meet or exceed the following: • Five (5) years' experience in the toll industry or other related customer service operations environment • Project Manager for at least one (1) tolling CSC Operat • Project Manager for at least one (1) project of $10 milli more annually X For all status meetings, and orks relaopstive eviews relative to transition 100% on -site from six months prior to co -Live to End of Agreement t00% Deputy Project Manager - supports the Project Manager in delivery of the services and stands -in f'ect Manager as needed. Should meet or exceed the folio • Three (3) years' exp in the toll ind or other related customer se .erations environ • Three (3) years' nce in project ma For all status meetings, workshops and reviews t00% on -site from the beginning of On -site Installation and Commissioning Testing through BOS Acceptance 100%from the Agreement's Effective Date Quality Assurance Ma as onsistent qua throughout the design, deve . g and installation of the BOS e planning a entation of the CSC P g Ope lity Assur. Ensures consistent ns and ce Phase per the Assurance p ees deve . mplementation X For all QA related meetings and workshops and activities. For all formal testing and from co -Live through BOS Acceptance. SO% Page 12 of 79 RFP. 9-1177 Exhibit B EY TEAM PERSONNEL Responsibili ' Dedica Implementation Phase ns and ance Phase Time On -site De and ongoing management of the Quality Assurance Plan and all other quality related documentation. Should meet or exceed the following: • Five (5) years as Quality Assurance Manager on projects of a similar scope to the services on this Project • Three (3) years of experience in toll BOS and CSC operations • Two (2) years of experience in Quality Assurance • Specialized training and/or certification in e management x 100% t00% Software Development Manager - responsible for the Softwa and database design, integration and implementation, on-goin. resolution of Software bugs and development of new functionality. Should meet or exceed the followin, • Experience with technic- gement Software development project of . scope to thi ct • Three (3) years' ex as Software deve nt lead • Eight (8) years' ce in Software de i • • • Served as the So opment (1) project of simila o tprovided on Project. For all software and functionally related meetings and workshops. All formal testing through BOS Acceptance. 100% x For all Software- related functionality, upgrades and enhancements meetings and workshops. For all software performance and bug related meetings. As required Page 13 of 79 RFP. 9-1177 Exhibit B KEY TEAM PERSONNEL Responsibili ' Dedica Implementation Phase ns and ance Phase Time On -site Ded Technology Manager - responsible for management of overall BOS design, security (including PCI and PH), network and BOS Implementation. Im P • Ten (10) years' experience with system design and implementation • Ten (10) years' experience with systems security for systems which include credit card processing x r all BOS design ted meetings nd workshops and comment resolution meetings. From Go -Live through BOS Acceptance. 50"/0 • Direct project experience using the proposed solution • Experience with BOS design and implementation of a si scope to the systems provided on this Project x For all BOS-related functionality, pgrades and hancements meetings and workshops. For all BOS performance related meetings. As required Data Migration Manager - resp, 1 planning, implementation and monito the data tion and transition from the existin : ' i e new BOS. -. Should meet or exceed .wing: • Five (5) years' nce with datab. ,••' and/or design • Has performed similar le. ) data migratlo from an existing BOS to t • S For all data migration related meetings and workshops and comment resolution meetings 100%during data migration testing and through complete data migration and Go - Live until BOS is stable Page 14 of 79 RFP. 9-1177 Exhibit B KEY TEAM PERSONNEL Responsibili ' Dedica Implementation Phase ns and ance Phase Time On -site D On -site Installation Manager - responsible for the physical and all required testing of the on -site BOS, including all systems installed in Agencies' facilities. Should meet or exceed the following: • Five (5) years' experience with technology implementations and installations • Experience with the installation and configuration of sys and networks of a similar scope to the systems provi; this Project x For all BOS stallation •installation eetings and workshops 100%duri installation and through Go -Live until BOS is stable On -site Technology and Support Manager - responsible onsite technical and desktop support of CSC, Agencies and Thir Par Service Providers staff. Responsible for $' P Should meet or exceed the following: • Five (5) years' experience wi ks and end- user support • Experience with propos= olution For all BOS support and administration meetings and workshops. 100% from beginning of on - site BOS installation through Go -Live As required x 100% 100% CSC Operations Manag onstb icipa operations planning and the . rations throughout Operations and Maintenan the 0 P Sho a followin, For all CSC operations related meetings and workshops. 100./0 from a minimum of three (3) months prior to Go -Live As required Page 15 of 79 RFP. 9-1177 Exhibit B EY TEAM PERSONNEL Responsibili ' Dedica Implementation Phase ns and ance Phase Time On -site De • Five (5) years' experience with CSC management of a similar scope to this Project • Three (3) years' experience in toll industry customer service • Three (3) years experience in collections • Experience with multi -channel customer contact center and systems x l00% t00% Finance Manager - ensures the BOS and CSC Operations op in accordance with Generally Accepted Accounting Prin (GAAP )hll bCtid Public At(CPA) - sae a Certified Accountant Should meet or exceed the following: • Bachelor's degree in accounting or related field • Five (5) years of financial and accounting experience, including management or le • •osition (e.g. Accounting Manager, Sr. Ac • ting Lead) overseeing accounting °per. iant, high- volume, transaction/ •rocessing ironment performing revenue ent, process au d similar functions • Experience wit d BOS solution p y • Ability to package a t quanti X For all finance and reconciliation elated meetings d workshops. For all formal testing of transitional and financial reconciliation and reporting. 100"/0 from Go - Live through BOS Acceptance. As required x l00% l00% Page 16 of 79 RFP. 9-1177 Exhibit B 2.3. Other Required Personnel In addition to the Key Personnel list in Section 2.2, the Contractor must provide adequate staff to perform the Requirements. This includes, but is not limited to, the following dedicatedgtaff: • Human Resources Manager; • Training Manager; • Transition Manager; • Desktop Support Personnel; • Data Analyst and • Traffic Operations Center (TOC) staffing. 60 The Contractor shall provide a Human Resources er, with at least five ( experience as a Human Resource Manager on pr of a similar scope to this Pro responsible for all Project personnel and the tr of any exi staff. Responsible r human resources management during the Ope and Mai ce Phase. 61 The Contractor shall provide a Training Manager, ive (5) years experience in customer service, responsible for providing assessm nning, developing, delivering and evaluating employee training. 62 The Contractor shall provide a ;er who sha he Contractor's staff in planning and implementing the ac es r - . he transi 63 The Contractor shall provide on-si sktop ' BOS application technical support to all Contractor personnel a ; e thorize .. rs at all locations from 7 a.m. to 7 p.m. Mond. , Pacific : be on -call and available to come on -site 24x7x365. 64 The Cont shall provi data anal ecialist for the duration of the Agreement to assist : encies in for ng queries a ning analytics reports on their behalf. 65 The Co shall ting of two (2) TOC operators located onsite at the Anahe • Center/CS - ours per day and 365 days per year. e Contractor subsequent decisio screening may be re es with increased I Con the ne Operation a mutually uirements reen a dates for potential employment at the CSC. Screening and the ire sha .e based upon fair, equitable and job -related criteria. Additional d for the Contractor's Operation's staff prior to promotion or transfer to job s to sensitive or critical information. SC Operations Contractor is not selected, the Agencies encourage the new the Existing BOS and CSC Operations Contractor's staff for employment with . The Contractor is encouraged to coordinate with the Existing BOS and CSC actor to ensure that there is not adverse impact on the current operations and that a • eed to plan is put in place for the screening and transition process. The level of background investigation required shall be dependent upon job function (for example, a receptionist who has limited access to customer and financial information shall require a lower level Page 17 of 79 RFP. 9-1177 Exhibit B of investigation than a clerk in the finance department who may have access to customer and financial information). 66 All Contractor employees shall undergo screening, including but is not limited • • business/personal references; • illegal substance screening; • past employment history; • education verification; • financial credit history; • professional license and certification verific ' • military service verification; • criminal records including misdemeanor and fel ions and • I-9 immigration status. 67 The Contractor shall comply wit' .. . ws and reg related to Operating and staffing the CSC, including but imite. • Americans with Disabilities Act ;• • Occupationa ' • Health Ac , • Equal E ment 0 unity Com .on (EEOC); • Fe • air Credit R: ing Act (FC' • • Dri , 'vacy ' • e, Section 2721 (DPPA); • Californ . atute regarding protection of Personal Identifying Information (PII) • • Se tanda 68 The Contr. when co cting background investigations, shall consider and take into account the ing: • name se. married name, previous names, aliases and inves ' • ns must be completed and reviewed by the Contractor prior to the - e beginning work for the CSC. 69 T•ntractor shall maintain hardcopy and electronic, as applicable, backup docu entation on -site for all background checks. 70 The Contractor shall maintain records of adjudication and hiring decisions on each candidate interviewed or considered for a position. Page 18 of 79 RFP. 9-1177 Exhibit B 71 All staff shall understand, read, write and speak English fluently and shall be U.S. citizens or otherwise legally permitted to work in the U.S. 72 The Contractor shall provide for bilingual (Spanish) customer service staff o support Spanish-speaking customers who call or visit during all business hours. Page 19 of 79 RFP. 9-1177 Exhibit B 3. SYSTEM DEVELOPMENT AND DESIGN REQUIREMENTS 3.1. System Development Meetings and Workshops To ensure the design Requirements for the BOS are fully understood by the A: - s and the Contractor, a series of Requirements and design review steps are specified follo sequential design process. The Conformed Statement of Work and Requirements Do • t (CSWRD) is developed in coordination with the Agencies and the Contractor, upon sele► the Contractor. The CSWRD shall be the basis for the Contractor to develop a Require bility Matrix (RTM). The RTM details the Requirements in tabular format with colu . t allo - rification that each of the Requirements in the CSWRD have been addressed i th . esign and .. -nted in the System Detailed Design Document (SDDD) and the Mast st Plan (MTP) a test procedures. The RTM shall be the basis for all design, d ment and testing of d documentation to be developed by the Contractor. The ETTM System Contractors shall attend meetings an shops as red and at the Agencie discretion based on the meeting content. 73 The Contractor shall establish and maintain a So e d development program to ensure compliance with the BOS Requirements. 74 The Contractor shall employ appr - techniques and m logies to develop the BOS Requirements and ensure compl , - : usiness Rule e Project. 75 The Contractor shall, for all Phase d Opti. • icable) ctionality, follow the design, development and test proc: at min •d Implementation Phase Software design, development and to pr► 76 Prior to conduc ' shops, Reents reviews, focus group meetings or design reviews, the actor develop ., - cessary documentation for the Agencies to review a submit t cumentati review no less than 10 Business Days prior to suc ngs. 3.2. Busines T hall co ment erati ss figure the B orkshops series of Business Rules workshops with the Agencies to address the y information required by the Contractor to design, develop and ted documentation and processes. 77 The Contra the Agencie Implementat all man. • e, facilitate and conduct Business Rules review workshops with discuss, update and modify the Business Rules to accommodate the f the BOS and CSC Operations. The Busin ertis les review workshops shall include Contractor and Agencies staff with e current and future business operations. 79 actor shall facilitate and conduct a minimum of three Business Rules workshops. 80 The workshops shall continue until the Business Rules are updated to the satisfaction of both the Contractor and the Agencies. Page 20 of 79 RFP. 9-1177 Exhibit B 3.3. Software Walkthroughs The intent of the Software walkthrough is to provide transparency into the planning process for the Contractor's Software development to ensure the Contractor is on track to deliver t e Project on schedule and to obtain the Agencies' feedback on the direction of the development to the full rollout of the Software. Lastly it allows the Agencies to observe the BOS in operatio e Software detailed design reviews, these walkthroughs shall demonstrate actual transa► /trips in a test environment. As part of the walkthrough process, the Contractor shall valid. ; uirements and ensure Contractor's understanding of the Requirements. 81 The Contractor shall manage, facilitate and conduct the walkthtiis. 82 The Contractor shall conduct a series of Software roughs including t demonstrations and/or planned functionality to soli ' t from the Agencies dun development of the BOS Software. The Contractor gment each meeting by functio area and schedule each walkthrough meeting twith the pa • ants' availability. 83 Prior to the Software walkthrough the Contracto • rovi • ting of the functionality that will be covered, high-level use cases do be demo • identify all Requirements that need clarification and discussion. 84 During the Software walkthrou: • ntractor shall ou . d demonstrate how the BOS Requirements will be met. these meetin, 1 be documented in a revised RTM document. 85 Prior to the Software walkthrough, t. ntrac a : nd submit high-level use cases that shall be demonstrated to t e or review . Approval. 86 To the extent • oduct sha i emonstrated in an environment that allows data to flow ill in tal integrat: • S. 87 The So walkthrou all demonst to the Agencies that the Software design meet • chnical an - ' • : uire s. 88 Comment e- • provide• .. e Software walkthrough shall be documented and resolve • ontractor and the resolution shall be Approved by the Agencies. ctor s • responsible for identifying and correcting any Software issues or defec design duct that impact the Contractor's ability to deliver a BOS that meets th iremen shall apply to issues or defects found during or after Software walkthrou 'n the sub quent testing and implementation. Any such changes to address these issues be Approved by the Agencies in writing. ign Workshops The to - conduct a series of workshops with the Agencies to facilitate the design of the BOS rep red by the Agencies. 90 The ontractor shall manage, facilitate and conduct a minimum of three reports design workshops. Page 21 of 79 RFP. 9-1177 Exhibit B 91 The reports design process shall be iterative, and the Contractor shall conduct multiple workshops with the Agencies' stakeholders sufficient to obtain the Agencies' informed input. The Contractor shall bring its subject matter experts (SMEs) to the workshops, including as example, BOS, operations, maintenance and finance/account' . staff, as appropriate for the report type(s) being reviewed during the meeting. 92 SMEs must provide a means for fully explaining each report, its intende • fields and components and its connection with other reconciling an• • ose, columns, ' g reports. 93 The Contractor shall trace the reports to the Requirements demo Requirements are satisfied. • that all 94 Upon receiving feedback from the Agencies, the Co r shall develop/mob •e reports and submit the updated reports for review. 95 The iterative series of workshops and demons s shall con ' e until the purpose, layout and content of all reports are Approved Agencies. 3.5. Performance Reporting Workshops The Contractor shall conduct a series of Performance Measures reports. 96 Within the first three (3) months Approved by the Agencies, subjec conduct a series of Performance Mea allow the Contrac related data wi commenced Perform Contr Perfo Operati ed on the e BOS and su comments. The Co orkshops with the ign shall meet th hall take plac the Agenci and repor rkshops, t e associat in initial Ap be o s with the Agentfacilitate the design of the e or at another date tice, the Contractor shall wor ith the Agencies. This will rstand how the Performance Measures- e the Operations and Maintenance Phase has ntractors and the Agencies shall discuss the orting. These workshops shall allow the 1 (subject to formal testing) on how the ured and to accurately reported during the esign Review Meetings and Workshops SOPS and Business Rules documents, the Contractor shall design preli design document for the Agencies to review and provide for shal en conduct a series of design meetings, walk-throughs and cies to address the comments and to create the SDDD, defining how the S Requirements. Upon the submittal of an updated SDDD another review 97 e Bus' ules document, Operations Plan, SOPS, and the RTM shall be used to develop design and the SDDD. 98 Th ntractor shall schedule design meetings with the Agencies to review and fully understand the design Requirements. 99 The Contractor shall manage, facilitate and conduct the workshops and meetings. Page 22 of 79 RFP. 9-1177 Exhibit B 100 The Contractor shall demonstrate pre -production working products (such as beta versions) during the design review process, and stakeholders shall be walked through the workflow, utilizing screens and data flow diagrams. 101 The Contractor shall explain how the BOS design meets the RTM, the Busi the Agreement Requirements. ules and 102 The Contractor shall conduct as many meetings, workshops, and sub as deemed necessary by the Agencies to address all design ' satisfaction. review cycles Agencies' 3.7. Use Cases Workshops The Contractor shall conduct a series of use -case worksho the Agencies to develop use c� The outcome of these meetings shall be a series of se documethat shall be used conjunction with the Business Rules and test procedu alidate the rements. 103 The Contractor shall manage, facilitate and c workshops with the Agencies to develop the use cases test procedures to validate that all BOS Requirements h um of three use -case be used in conjunction with n met. 104 The use -cases (and associated t the RTM. be traced aga a Requirements within 105 The iterative series of workshops a case Requirements are satisfied and emonst se c re Ap tinue until the above use - y the Agencies. Page 23 of 79 RFP. 9-1177 Exhibit B 4. DOCUMENTATION The Contractor is required to provide various documents to support the BOS development and ongoing operations and Maintenance. All documentation provided under this Agreem • t shall meet the Requirements described below. An online Contractor -provided Electronic Document Management System (ED ill be provided for the Agencies' use. The EDMS will control the saving, versioning and stor- 'roject-related documents, including the Contractor's Deliverables and other operatio . p • umentation provided by the Contractor that must be available to the Project team. ontrac 11 save all Contractor Deliverables and other support documentation to the E 4.1. Contractor -Developed Documentation 106 The Contractor shall utilize a Contractor-provi• - , S that is . • -ssible to the Proj7r team by username and password, to contra 4'roject-rela •cuments from first submission to Approval. 107 All Project documents submitted under this Agreeme . e available to all authorized Project team members using the EDMS during both the I - ntation and Operations and Maintenance Phases. 108 Each document shall be proper lei, •,ted, numb. •y revision, revision history, and version and shall inco . to sig for au i rship and Approvals. The Contractor shall provide a logic. dexin: •f access for the Agencies' Approval to be used to locate docum- 'n t. S. 109 The Contractor . cceptable ards agreed upon by the Contractor and the Agencies w • . ating . ents and 1 itting revisions. 110 All doc ation submi. .y the Contra under this Agreement shall be accurate and com • Agreemen - " • ts. 111 A table o -nt- a docu that includes multiple pages and/or multiple sections, sh. . mitted by the Contractor to the Agencies for review and comment the s . on of the preliminary draft as part of the Deliverables Expectation The A! will review and provide comment on table of contents Submittals within Busin, s. 112 The Delive s Expec . on Document shall include all subsections and a summary narrative for section describing the assumptions and approach. The Contract all submit preliminary draft and final draft documents to the Agencies for review and ent, followed by 100 percent complete documents that incorporate all the encie ' w comments. 114 cies shall have the right to require additional interim drafts from the Contractor at ditional cost should the documentation submitted not be of adequate quality, have missing or incorrect information or if it does not satisfactorily address the Agencies' review comments. Page 24 of 79 RFP. 9-1177 Exhibit B 115 The Agencies shall review and Approve all documents submitted. For documents containing less than 100 pages, the Agencies will review and provide comment on preliminary draft documents within 15 Business Days. For documents containing at least 100 pages, the Agencies will review and provide comment on preliminary draf • ocuments within 25 Business Days. The Agencies shall review and provide comment • nal draft and final documents within 10 Business Days. When multiple document . ubmitted to the Agencies simultaneously, or within one week of each other, the . er of Business Days required for review shall be doubled. 116 The Contractor shall provide a Customer Review Form ( r with e. bmitted document. The Agencies shall populate the CRF and provi• • th- Contractor itten comments on all submitted documents. The Contract° • respond in writ all comments through the CRF. The Contractor may sche► d conduct meetings to . and resolve any remaining questions and issues co • ng the comments and respo provided. The Contractor shall then prepare a rev' ersion of th - • cument for Approva by the Agencies. 117 The Contractor shall submit two (2) hard copies an. • e► c version of all Contractor developed documentation for Agency review and A 8 . less otherwise directed by the Agencies. Acceptable electronic formats are Mi Word 2016 (or higher), unsecured and indexed Portab • .8 ent Format (PD el (as appropriate) and professional CAD applications fo ` - - ared docu on. 118 The Contractor shall update docu r thro . : the Implementation Phase and the Operations and Mai - P .hall be submitted to the Agencies for Approval. The Contractal tain a 88 ent Submittals list on the EDMS identifyin: • s of docu • date submitted, the nature of changes and identify what _ within th - mentation. 119 All docu 8 ion submi . y the Contr. under this Agreement shall be the property of the cies and shof be marke8 h "Proprietary" unless agreed to by the Agen 4. • he Quality Plan program, how to ad ror occurs (continu The Contract program i ents Plan clude s about how the Contractor will plan and implement the QA errors (quality -related events) and how to make improvements before an quality improvement). The Quality Plan will address all phases and Work. all develop a CSC Operations Quality Plan that details the Contractor's QA cise manner customized to this Project. 121 Ian shall include the Contractor's QA approach related to overall project ent and controls, including but not limited to: • quality management and organizational structure; • project management; Page 25 of 79 RFP. 9-1177 Exhibit B • project controls; • project documentation and updates and • project scheduling. 122 The Quality Plan shall include the Contractor's QA approach related design and development, operation, Software maintenance and BOS administra luding but not limited to: • overall design; • Software development, initial and on -going; • Software development standards and documen , • testing; • adherence to Security Standards; • data migration; • installation; • quality management of all BO . - • . • munica and Notifications; • adherence to Performance Meas , • configuration - • ent; • change • :ement; • mo ► g and admi ation and • op - al trans' 123 The Quali include the Contractor's QA approach related to CSC Operations, • 'ng but 'ted to: • q ► 'o anage • f every CSC Operations function; • quali . gemen stomer service during the operational transition; • ongoing 1 • mer Satisfaction Surveying and how the tool and information will be used; custo - -rvice quality improvements; . ce to Security Standards; • . . ality management and organizational structure; • quality management of customer service during the operational transition; • quality management documentation; Page 26 of 79 RFP. 9-1177 Exhibit B • Contractor's quarterly audit; • quality review and verification; • adherence to Performance Measures and CSC initial and on -going staffing. Al• 4.2.2. Software Development Plan 124 The Contractor shall develop and submit a Software Devel► -nt Plan (SDP) th des but is not limited to: • documentation of the Software development • ach to the application struct behavior, architecture, business processes . a structure • Software development organizational chart, •mg r= es and responsibilities, such as Software developers (by area of • . , system engineers, test engineers, Quality Assurance and Quality . personnel, configuration management administrator, de entation specialis anagement staff; • Software development langu. • -nt platforms . . ndards; • Software development meth gy, su cases, modeling and other development tools; • management - of of Softwa . rung and major releases; • descriptthe So , - develop ife-cycle and maintenance; • loc. . nd approac r . egregation o elopment and testing environments; • de ent pro - t tracking; • code re • • al testi hodology; regr: testin_, • Softwar: elopmen language strategy related to both development and Software maintena • develop , and integration approach for the major functional Modules; det. . oftware Quality Control processes; • i are documentation, standardization, review and usability; • samples of detailed Software documentation for both external and in -line documentation; • Software configuration and change management approach and standards and Page 27 of 79 RFP. 9-1177 Exhibit B • Software deployment approach, release notes and validation. 4.2.3. Requirements Traceability Matrix The RTM provides traceability between Requirements and BOS functionality in a format. The RTM shall be the basis for all design, development and testing efforts and entation to be developed by the Contractor. 125 Upon completion of the BOS Requirements review process thiacto deliver a RTM that details all the technical and functional Requirements BOS. 126 The Contractor shall develop and submit an RTM tha dies each Require d where it is addressed in the design documents, use c d test cases, including b limited to: • listing and multiple levels of categorizatio unctional, ces, Modules, etc.) of all Requirements; • identification of the source of all Requirements; • identification of the design s - - the SDDD that a the Requirement; • identification of the test proc- -s the Requi• • Identification of the test meth, valid. - 4 ent (e.g., via inspection, demonstration, analysis, test) an, • identificati • ' ess Rules . ted with each Requirement. 127 The RTM s, ild on th ecification mented in the CSWRD and shall capture all user ne- -ntified duri e Requirem, eview process. 128 Durin: esign an • . - , d S, the Contractor shall update the RTM to reflect a , ng: e - - • . and Requirements tracing that have been Approved b cies through the Project's change control management process. esign . • ting, the RTM shall be used to verify the compliance to the Req ts, use . - nd test cases. 130 Upon App of the , it shall be the basis for functional verification of design, developmen testing. Syst etailed Design Document (SDDD) 131 Co or shall develop and submit an SDDD that describes the design specifications ware and Software provided as part of the BOS to meet the Approved Agreement Re • • ments. The SDDD shall demonstrate that the Contractor understands the functional, technical and Performance Measures of the BOS and has the processes, system and Software design in place to provide a high -quality and reliable product that meets the Requirements. Page 28 of 79 RFP. 9-1177 Exhibit B 132 The SDDD shall be written in accordance with the QP. 133 The SDDD shall comply with data retention Requirements set forth in the Security Standards and Section 4.2.18 Records. 134 The SDDD shall include the use of diagrams, figures and tables, and it pply to all required environments, Contractor -provided systems, existing system oftware to be used by the Contractor, all Interfaces and all Third -Parry Service P and Business Partners. 135 The Contractor shall work with the Agencies' marketing dep rt t in develo e Self - Service website navigation and look and feel. 136 The SDDD shall include but not be limited to: • logical BOS diagrams for all environments entify all s stems, component , connections and Interfaces; • physical BOS architecture diagrams for all s that identify all sites, equipment and network layout diagrams; • telephony, IVR and ACD syst• • iagrams, includi outing options; • high system availability desi: • - •• •onents, g servers, storage, network, database and applica • detailed data center(s) power an • tal spe ions and the impact of the BOS on the A!: ' • rovided dat. f applicable); • detailed • enter k layouts . sage; • det. ' esktop com ► Hardware, are and peripheral configurations; • ac entity s • networ 7 • design details inc uding IP scheme; • ete bi , aterials, including Hardware, Software and support/maintenance _ • nts; • specifi. sheets 1 equipment including space and power requirements; • Disaster very and Business Continuity design, including network impacts; • detailed abase design, schema and entity relationship modeling, including trans. , and file sizing and processing calculations; • database data dictionary; • . ailed data management design and processes, including summarizations, archiving and purging; Page 29 of 79 RFP. 9-1177 Exhibit B • all documentation required under PCI and PII and to document conformance with the Security Standards; • Interface Control Documents (ICDs) for all external Interfaces and le upload functionality documenting both sides of the Interface; • detailed Software architecture, internal software component i es, logic and process flows; • detailed transactional and Violation processing logic and fl • detailed financial processing logic and flow, includin erface and map the Agencies' financial applications; • Self -Service Mobile Application flow diagram cable); • Self -Service Website site map; • application performance monitoring design; • all GUIs (including reports and screen formats); • format of all correspondenc els; • account management design a coun 4.2.5. Master Test The Contractor shall d test phases, the Con .r's testi Master Test Pla ) outlines compliance to equiremen Interoperable es, comp (M TP) mit a co ncepts an scope and uding integr ds nsive testing plan that describes the different roach and the administration of each test. The g concepts to be used to validate the BOS to the ETTM System, external entities and migration and transition of the BOS. 137 The Cont ovide an the Agencies' Approval that details the testing methodolog by the Contractor to demonstrate the BOS satisfies all Requirements. all co spects of the BOS testing and shall describe all test phases, scope and p . es to the BOS compliance to the Requirements, including but not limited to. • overall a k ach to testing, including tools and automation; • approac i sing use cases and test cases to validate all Requirements; appr• o entry and exit criteria; . ach/methodology to pass/fail criteria; • a s proach to the severity and priority descriptions and levels for each test; • approach to defect tracking; reported; resolution, and regression testing, including tools used to document defects; Page 30 of 79 RFP. 9-1177 Exhibit B • approach for each test phase including purpose, scope, system environment, duration location, and resources; • methodology for testing the Requirements and sample size for each phase testing; • approach for how data sets for each test are created including data ne o simulate logical days and cycles; • approach to validating BOS Requirements through the testing ; • approach to validating Performance Measures; • approach to validating all reporting Requirements; • approach to end -to -end testing, validation and filiation; • approach to validating BOS monitoring, lo: . ccess, Perf• ce Management and Monitoring System (PMMS) Requirements; • approach to data migration testing, compliance t. d s, correction of defects and Software release; • end -to -end testing to ensur, transactions , d their interaction are tested through their final sta: • Interface testing to ETTM Sys Interop- - and Third -Party Service Providers and Business Partners, • Security Sta , • financi, ity and ciliation; • re, . ncy/failover - cts; • DR • • cross-cha tmg to ensure testing is not only performed for each Interface (such elf-Ser , • ebsite, Self -Service Mobile Application, if applicable, and IVR) ally, b . • that testing is performed across each Interface to ensure con resen . . nd processing; .6. Indivi ntractor shal th actor's these e testing Test Plan and Test Procedures lop and submit individual test plans that describe the required test phases, concepts and approach for the administration of each test defined later in he individual test plans will provide detailed documentation of the individual ocedures. 139 Thee) ntractor shall provide a separate detailed test plan for the Agencies' Approval for each testing phase outlined in the Requirements and MTP, including: • Unit Testing Plan; Page 31 of 79 RFP. 9-1177 Exhibit B • System Integration Test Plan; • User Acceptance Test Plan ; • On -site Installation and Commissioning Test Plan and • Operational and Acceptance Test Plan . 140 All test plans shall take into consideration the separate ETTM Sy aces for the OCTA and RCTC 91 Express Lanes and expect some variatio dat missions, trips/transactions and images, processing, and some potential ions in B Rules. 141 The Contractor shall provide a detailed test plan, includi not limited to: • test agenda including location, dates, meetings, , observers and attendees; • test scripts for manual and automated test • detailed use cases and test cases mapped to th for ting; • test entry and exit criteria; • test preparation; • data to be migrated to suppor ing; • description of process for ensure uality ► i : mentation; • test data crea ' -ss and • descript' e en , ent used oftware versioning. 142 The Co • • r shall prov se cases an k cases for the Agencies' Approval for each testi a outlined i ' " cludin. not limited to: • use c- t c .; e case/t - description; • Requi . and Business Rules; • assum• • test data 'ables and their values); • steps to ecuted; exp esults; • fail criteria; • space to document actual results and • space for comments. Page 32 of 79 RFP. 9-1177 Exhibit B 4.2.7. Implementation Plan and Related Documentation The Contractor shall develop and submit an Implementation Plan and related documentation that identifies its approach that covers the major elements of the implementation, including coordination with the Agencies' ETTM System Contractors, Third -Party Service Providers and Bu Partners and others. 143 The Contractor shall develop and submit the Implementation Pla documents all implementation related activities for the Project for Agencies' revrdance with the Approved Baseline Project Schedule. 144 The Implementation Plan shall define all elements of imp a ation, inclu t not limited to: • the detailed implementation schedule, detailin: 'vibes for the implementati the BOS, including coordination with ETTM ' Contracto Third -Party Servi Providers and Business Partners and of required. ► he implementation schedule is Approved by the Agencies, the actor . bmit to the Agencies updates during the implementation p - tifying any proposed implementation schedule changes and Work p m the form of percentage completions; • resource allocation Require .1 s lementation . , s); • procurement and installation o comm • -twork; • Quality Control, Quality Assuran pe = nd tes ocesses; • special or u F ' 's entation ' ents and • an org. on chart contact in . tion, roles and responsibilities and includes ETT tem Contra ., Third -Par vice Providers and Business Partners and o . s required . • Go -Li kl. 145 Contract I develop and submit to the Agencies a full size (24" by 36") set of with i on notes, providing sufficient and accurate detail of all systems and net uts at . ' ities that have BOS equipment. 4.2.8. Disastecovery Plan isaster Recover, during and fac f the B n (DRP) is a comprehensive, documented statement of actions to be taken disaster to protect and recover the information technology data, assets and 146 actor shall develop, test, and submit a Disaster Recovery Plan (DRP) and su ent Disaster Recovery procedures that describe the approach, as well as procedures to take place in the event of a disaster for the BOS. 147 The DRP shall document the Contractor's approach to and planning for recovering from a disaster, including but not limited to: Page 33 of 79 RFP. 9-1177 Exhibit B • define what constitutes disaster, associated risks and severity levels and timeframes to address (e.g., earthquake, flood, electrical outage, general loss of access to building, etc.) • mitigation of disaster risks; • preparations in the event of a disaster; • organization chart illustrating Disaster Recovery team roles and responsibilities; • notification contact list, including contact information; • notification protocol; • sites and equipment for Disaster Recovery, pr d in a diagr m format; • Disaster Recovery process initiation and c on check ' • coordination with the ETTMS System Contracto d-Party Service Providers and Business Partners; • Software, system and data r: processes; • detailed logistical processes fo ivat . er Recov and systems; • detailed technical processes for . . tion . .. s site and systems; • detailed oper I ctions for . of Disaster Recovery site and • detaile • ical pr .es for re. tion of primary site (or moving to a new prime if the orig primary sit--stroyed) for systems and coordination with A. • ' operations 148 The DR clud- ation, including but not be limited to: • Recover Objective (RPO): maximum acceptable amount of data loss for all ' al BO -s after an unplanned data -loss incident; • Re Time b e (RTO): maximum acceptable amount of time for restoring a critic service egaining access to data after an unplanned disruption; • Level of ice (LOS): the combination of throughput and functionality required to sustain B usiness operations and • detaile cription of how site and BOS security shall be maintained to ensure conti ompliance with the Security Standards. 149 all be tested and updated by the Contractor annually. 4.2.9. Business Continuity Plan The Business Continuity Plan (BCP) is a comprehensive, documented statement of strategy, as well as the planning, actions and processes that allows the Agencies to continue BOS and CSC Operations Page 34 of 79 RFP. 9-1177 Exhibit B after experiencing a disruptive event. For BCP Plan development purposes, the Corona CSC and the Anaheim Processing Center/CSC will serve as backup facilities to each other. 150 The Contractor shall develop, test, and submit a Business Continuity Plan (BCP) that details the Contractor's approach to accommodating the staffing capabilities ishings, equipment, systems, network, applications and data components requir nsure the continuity and resumption and continuity of critical BOS processes. 151 The Contractor shall be responsible for providing a plan for usin CSC and the Anaheim Processing Center/CSC as backup facilities to each oth rde tinue CSC Operations in the event of a disaster at either facility. 152 The Contractor shall be responsible for providing a • •vel plan for resto C Operations in the event that both facilities become un- . 'le; however, the plan sh result in any costs to the Agencies for pre -staging • ment and personnel. 153 Changes to the operations BCP shall be refle r • the BCP w0 Calendar Days of Approval. The Contractor shall distribute, train a cate t ations staff on the BCP. 4.2.10. Transition Plan The BOS Transition and Data Migration Transition Plan that the Contractor will d BOS and CSC Operations Contractor's syste 4.2.10.1. BOS Trans' The Agencies require Contractor shall p Transition Plan migration too other data to t a comp include all edule and all for Go- ' Shutdown and dec Co e Age 'de Data M'gra and the tr. nsive Tra ects related 'ties required erations Tra Plan together form the ccessfully ion from the Existing new. ion from the existing BOS to the new BOS. The n Plan that fully describes the process. The ata migration including details of all data nsition of transaction/trip information and mg is to be performed by the Existing BOS and CSC Operations The Agencies may decide to have the existing BOS remain in limited ng and processing of some existing Violations. r54 The Con. shall nate with the Agencies, Existing BOS and CSC Operations Contractor, -xistingection agency, and ETTM System Contractors to develop and provide a de , • BOS Transition Plan and data migration strategy, subject to Approval by the Agencies identifies all aspects of migrating data and transition of all activities and systems ass • ed with the implementation of the BOS in accordance with the Security tandards. 155 : P . nsition Plan shall incorporate all aspects of the BOS transition, including but • d to: • data migration approach; • CSC Operations transition aspects; Page 35 of 79 RFP. 9-1177 Exhibit B • approach to data cleansing; • approach to the iterative and repetitive testing regiment and • approach to BOS Go -Live and roll -back process. 156 The BOS Transition Plan shall provide technical and operational detail ding but not limited to: • schedule including all anticipated downtime; • communication procedures; • mapping of all activities to be transitioned; • transactional and financial reconciliation an ting durin ansition; • approach for migration of debt from exist ection a to the new Collection Agencies; • reconciliation of the prepaid account balance in nd the individual customer account level from existing B P • new BOS; • management of any paymen • • s, pending nder orders or other financial transactions in proc: t the • 'tion; • management of all time sensit, •roce nc s . not limited to Violation escalations, acc • • t statements, . ► . nce notifica ions; • manage I • s in proce • coo on and In ce cutover ities required with Existing BOS and CSC 0 ons Contrac . TTM System , actors and Third -Party Service Providers a iness Par • trans' : in names and 1 . mig and transition team organizational structure, roles and • ibiliti • data tion tes . is and • other ac l es required for the Go -Live from an operations standpoint. The BOS Tra , • n Plan shall include detailed steps and relative timing in a phased cutover of the exis ' OS to the new BOS. 158 Njir gration process shall follow the standards and timeframes in accordance with ty Standards and include, but not be limited to the following: • all current and historical account information, including notes, contact history, statements, correspondence, scanned documents and past addresses; Page 36 of 79 RFP. 9-1177 Exhibit B • historical Violation trip data, all violations in collections, and all violations in progress; • all current and historical vehicle information; • all current and historical transponder information including statu • all Financial Transactions that affect the balance o nt including trips/transactions, all fees paid, all credits and all others; • all transponder inventory information; • all Collections Placement information; • tolls file - detailed information regardi toll transaction/trip inclu transaction/trip date, time, plaza, lane, • ., entry tra • tion/trip date, tim , plaza, lane, entry speed posted or rejec . tus, class a ► -s of vehicle, full fare amount, collected amount, discount amo ► ' • latio and a Flag to indicate if the transaction/trip is reconciled back to h • • archived data - data extr. ction for data that archived system including customer corresponden .ction/trip imag- h server files including CTOC, DMV, etc. 159 The data migration plan shall incl, an asse at wi •e migrated from the existing BOS data archive. 160 The data migratio • • all include • the protection and encryption of sensitive data, such as P 'ng the mi: of data. 161 The Contrhall provi sk and con cy planning that is broken into manageable option that the pro . can be eval at critical phases. 162 The da ation p - - s ut not be limited to: • compre alysis and mapping of existing toll system data between the existing '.Sand n- ,• • i • . . tion o 'onality and data to be migrated and any functionality and data that , it be mil • identific. of any existing data deficiencies, including proposed solutions; • identific• of any cleansing, transformation and pre-processing that needs to be perfor the data prior to its migration; ide - . tion of any cleansing, transformation and post -processing that needs to be ed on the data after its migration; • • . to validation and verification processes for the migrated data at critical phases of the migration and Page 37 of 79 RFP. 9-1177 Exhibit B • detailed data migration and transition checklists, responsible person and decision process for Go -Live. 163 The data migration strategy also shall include all of the trial migrations to b where the migration and validation process is exercised. A minimum of two migrations shall be conducted. conducted ccessful 164 The Contractor shall verify and demonstrate the ability of the BOS the Agencies' data is successfully migrated) to meet the Security Standards. 4.2.10.2. Operations Transition Plan The Operations Transition Plan shall be developed by the Con of how the Contractor will manage the transition of the e CSC Operations managed by the Contractor. �r and shall include an expl OS and CSC Operations to the 165 The Contractor shall coordinate with the Agencie e Ex' : OS and CSC Operations Contractor to develop and develop a detailed Opera on Plan that identifies the implementation and transition of all activities, • • d Agency -owned materials associated with the implementatio • of the CSC from the . : BOS and CSC Operations Contractor to the Contractor. 166 The Operations Transition Plan sh. clu ontractor age new operations for Go -Live while the existing Cont perfor 167 The Operations and Transition Plan s . d ow an • - re the Contractor will train the new and exis ' ithout disr rrent operations. 168 The Operati d Tran Plan shal ress what equipment owned by the Agencies the Contr ntends to r •, what exis ontractor equipment the Contractor intends to pur or assume a • for, changes e current offices the Contractor intends to make ervice antr., or intends to assume from the existing contract. 169 e Operatio ition Plan shall incorporate all aspects of the CSC Transition, including 'mited . • cus ervice 'n progress; • transpo inventor, • Violation k in progress; • all pri stomer collateral; documentation; • copy information owned by the Agencies; • transition of CSC facilities from Existing BOS and CSC Operations Contractor to the Contractor; Page 38 of 79 RFP. 9-1177 Exhibit B • post office boxes; • Postage meters; • Web domains and URLs; • Website static content (from existing to new website); • phone numbers; • Licenses; • staffing; • Service contracts; • training and • Go -Live. 170 The Operations Transition Plan also shall include c tion with the Agencies and Existing BOS and CSC Operatio Contractor regar e orderly shutdown and decommissioning of the legacy the Agencies e Existing BOS and CSC Operations Contractor after BOS 171 The Operations Transition Plan 1 inclu on s edule, detailing any operations' down time required and -xpec ra outages. 172 The Operations lan shall r ted for Approval by the Agencies as a part of the Operati rdance wi e Approved Baseline Project Schedule. 4.2.11. The End of Agre and the Contractor the Asr�ent. Agreeme tion Pia how the Contractor will support the Agencies to facilitate a sea less transition upon termination or expiration of rThe or sha op a detailed End of Agreement Transition Plan that identifies the trans if all ac and Agencies -owned materials and data associated with the Operation I CSC at t end of the Agreement. 4 The End of ement Transition Plan shall incorporate all aspects of the transition, including bu I limited to: cust. .ervice work in progress; . onder inventory; • a printed customer collateral; • all supplies and consumables on hand; Page 39 of 79 RFP. 9-1177 Exhibit B • hardcopy documentation; • softcopy information owned by the Agencies; • CSCs; • staffing; • training and • Contractor orderly shutdown of non-transitioned items, fa s and se 175 The End of Agreement Transition Plan shall be submitte pproval by the A a part of the Operations Plan in accordance with the A d Baseline Project Sch as 176 The End of Agreement Transition Plan shall be u and submit d for Approval by t Agencies every two (2) years over the term of eement. 4.2.12. Operations Plan The Operations Plan is a comprehensive of information ab w the CSC will be managed and operated. 177 The Contractor shall develop an• 'nt. •hensive 0. •ns Plan that details all aspects of the Operation of the ► 'ncludin • _ ' "'ted to. • A description of each department cti • ea and • mg sufficient detail for the Agencies to u - • the functi • sponsibilities of each department and how it will be s • and ope • all the cies' Busi Rules and p, -s related to the CSC Operations; • a t Terms and • detai . 's • ed to ope _ SC; stomer • ivacy policy; • physi rity including periodic access audit and reporting; • huma urces an. . ffing policies and procedures; • backgro heck processes; • employ de of conduct; Age Holidays and hours of operation, including the CSC and other CSC facilities, if le; • tailed scripts for common customer interactions; Page 40 of 79 RFP. 9-1177 Exhibit B • copies of each form, spreadsheet, manual tracking sheet, report, letter, email copy, and text copy (BOS and non-BOS generated) which the Contractor will utilize in the operation of the CSC; • Quality Control and verification procedures to ensure operati • eet the Performance Measures; • operations monitoring to ensure compliance with Requirement • a description of how the Contractor will communicate wit genci: aining to day-to-day operations and general issues and problems in. . ding but n b ed to: Case management, correspondence management, a ion procedures, . , ent control, and Submittals procedures; • a description of how the Contractor will unicate with the Agencies a Interoperable Agencies in handling cust disputes, d' als, payments an • reconciliation; • detailed structure and schedule for monthly and operations meetings with the ETTM System contractor and the Agencie ate meetings or combined at Agencies' discretion); • emergency response manage • including a d description of how the Contractor will communic. d re •• ergency tions and • processes and procedures instit . o en g satisfaction including the details of the Cu • mer Satisfacti • r ovider an • • rogram that will be used to monitor cus action wit 178 The Contr. , all prov pdates an • ges to the Agencies no less than annually for Approv. incorporatito the Plan. Operations Plan shall be a living Document and a • , shall be up • . and reviewe • • roved by the Agencies whenever changes are m. . ny ele - • , ered in the Plan. 179 The Contr.. blish a full revise • of the Operations Plan no less than annually. - ations hall be submitted for Approval by the Agencies in accordance with t e - d Bas - ' oject Schedule. 4.2.13. Stan • Operati • ns Procedures (SOPS) :1 The Contra • . hall develop and maintain the SOPS. The SOPS shall use detailed narratives and proce• •w diagrams in providing step-by-step procedures for every task the Contract • rforms. The SOPS shall detail both manual and BOS-aided steps and oce• 182 ed, new policies, procedures and changes to existing policies and procedures shall b - • dated in the SOPS quarterly. The Contractor shall distribute, train and educate the operations staff and the Agencies in accordance with the SOPS. 183 The SOPS shall be submitted for Approval by the Agencies as a part of the Operations Plan. Page 41 of 79 RFP. 9-1177 Exhibit B 4.2.14. Staffing and Human Resource Management Plan The Staffing and Human Resources Plan defines the required human resources needed to meet all of the Requirements for the CSC. It details the selection and assignment of an operations team. It describes how the staff will be recruited, vetted, trained, compensated, evaluated, •' •lined, and terminated. The Staffing and Human Resources Management Plan shall identify th - opriate skill sets and labor to manage the Work and to perform the tasks that produce the s i Deliverables, customer service and performance. It also shall provide for any additional n • resources such as tools, equipment, or processes used by the operations team. 184 The Contractor shall develop a Staffing and Human Res • urIrManageme that includes details of the Contractor's staffing program. 185 The Staffing and Human Resources Management P .11 include a hiring/assign schedule for anticipated resource Requirements f• duration of he Project. 186 The Staffing and Human Resources Managem - shall in . detailed description of the approach for retaining existing staff inclu • ly c • ation with staff, focused recruiting and incentive programs. 187 The Contractor shall develop and ovide an organizati. •proach for staffing in the Staffing and Human Resources Plan designed the Requirements. This includes but is not limited to: • organizational chart with all sta sitions i ► contr. ctors), head count and reporting relationships; • job descripti • ,taffpositio .sitiontype; • identifi of fu ns which ve been subcontracted, the name and resp • ities of th bcontracto d name(s) and contact information for S , ractor's key ► •nnel; • des of t ining the appropriate staffing levels for each positio edule • •ing the daily and weekly staff shifts and a description of how the for wi staffing to accommodate seasonal and dynamic changes in work vol • recruit rocess; • backgrou vestigation approach; • pre-e ent testing; , testing and re-training policies and procedures including refresher and dial training for both remote and local staff; • employee retention and career development program; • employee monitoring, performance evaluation and coaching; Page 42 of 79 RFP. 9-1177 Exhibit B • employee disciplinary process and; • employee termination process. 188 The Staffing and Human Resources Management Plan shall also include the personnel required to meet Project Requirements (on -site or remote Contractor's approach to providing on -site training and support for re on of all ell as the aff. 189 This Staffing Plan shall be submitted for Approval by the Ag Operations Plan in accordance with the Approved Baseline Pro' edu art of the 4.2.15. Reporting and Reconciliation Plan The Reporting and Reconciliation Plan shall include a com sive, detailed description of ac to be taken and information to be provided to the Agenci : : ted to all asof the CSC Operation related to reporting and reconciliation for OCTA and R. his docu gill identify each report and its associated delivery schedule and provide an expla of t . rt and its underlying data and how it is used. 190 The Contractor shall develop an • • • it to the Agencie proval, a Reporting and Reconciliation Plan that details t • 's reporting an ciliation process. 191 The Reporting and Reconciliation iden • cedures t the Contractor will use to perform, manage and rec, e all a SC. This includes both transactional and financial reconcili. in g alloc. •f all Contractor's cost and Third -Party Servi • - 'der and B i - . rtner associated revenue and/or costs, including sepa for the 91 ss Lanes. 192 Each reco • ion shall a separate on which identifies the reports used for the reconci ' , whether o the report is • rated from the BOS, received from a Third - Party e Provider ► • • ' . rtner , banks, Collection Agency, Lockbox Service Provid • or de ontractor. 193 The Plan sh. •e each provided report or report set and the schedule for providing • with a - of each report set. This includes but is not limited to: • d. • ncilia • ort; • month • nciliati • eport; • Quarterl • nciliation report; • annual ciliation report; des, • n of financial and cash/check handling controls for the CSCs; and, • operations and financial reports as needed to fully reconcile and meet the • • erations Requirements. Page 43 of 79 RFP. 9-1177 Exhibit B 4.2.16. Records 194 The Contractor shall meet all data retention Requirements, including durations for retention, as set forth in the Security Standards. The Contractor shall make every effort, within practical business and cost constraints, to purge the personal accou • rmation of an account that is closed or terminated. In no case shall the Contractor n personal information more than four years and six months after the date an . , is closed or terminated. The Contractor shall periodically audit the BOS tthat it is in conformance with the retention policy. 195 If specific documents or data retention Requirements are n s overed in • curity Standards, or the retention Requirement is greater in of plicable Require the Contractor shall maintain records, for the duration of t ement period, in co with the longer retention period Requirement. Othe cable Requirements inclu• are not limited to: • GAAP; • record retention policies for the Agencies; • IRS Requirements; • The California State Archives Schedule; • all applicable federal, state, loc. other • • ulator atters and • Security Standards. 196 Standards for r: ;ement antion may change during the Operations and Maintenance -. The I cies will e any updates to their internal policies and procedur- may im; the CSC a ropriate; however, it is the Contractor's respon ' to ensure it are of any c • s to all non -Agency standards, as described in the quirements - - • s orate e changes, as appropriate, subject where applica► he A• svisions of the Agreement. 197 The Contrac e e responsible for data retention and purging of all paper records, in nce wi Agencies' retention policy and all of the Requirements related to - ention. • event of a conflict between Requirements, the Contractor shall imme • otify t cies. 198 The Contra► hall mai . in records and data essential to providing objective evidence of quality, and • records shall be made available to the Agencies upon request. Quality-relat • cords and data shall include but not be limited to: insp - and test results; • s of Subcontractor Quality programs; • c ange request documentation; • Customer Satisfaction Survey results; Page 44 of 79 RFP. 9-1177 Exhibit B • operational reviews and walk-throughs and • results of internal and Contractor audits. 200 The Contractor shall maintain records in a manner that allows easy access a lysis. ll- 4.2.17. Management Reporting 201 The Contractor shall prepare and submit to the Agencies a so perations Report in an Approved format, on an agreed -upon day eac nth. Thi rt shall provide the information required for the Agencies to verify ntractor per ce as reported by the Contractor, including but not limited to: • Project Oversight Report; • Contractor Performance Report (includi formance t the Performance Measures); • monthly operations invoices for the correspondi • three-month and one-year lo' orward for budge ffing based on estimated volumes; • other agreed -to CSC Operation • orts; • updates to documents and plans h ha urr- . • revious month and • updated acti • and Appro mg minutes from the previous month. 202 The Monthl ations rt package detail the Contractor's performance against the Perf• ce Measur: ontractor •rmance Report) in tabular and graphical forma - Contractor use reports a her data from operations as Approved, to cond - nalysis o .. is ar - the results. The basis for the data must be the BOS an . ed against the appropriate BOS report(s). 203 data sha esented in a graphical and tabular format showing the Contractor's • ive mo • erformance over time. 4 4 The pr• . ion of ormation shall be clear, concise, and professionally organized and forma . 05 Any failures eet the Performance Measures shall be identified and details submitted, including the ractor's plan to correct such occurrences. The associated non-compliance performanc: stment for such failures shall be summarized and tabulated with the total on-com • - performance adjustment provided. 206 , m, the Contractor's Monthly Operations Report shall include the reports listed b - owever, the final list of documents to be included shall be developed and Approved as a . art of the Operations Plan. Page 45 of 79 RFP. 9-1177 Exhibit B • Project Oversight Report: This report summarizes the Contractor's Project activities for the reporting period, including major accomplishments, issues and summary reporting. The Project Oversight Report also shall include an updated action items list that tracks all open items to be resolved by the Contractor. The list shall include tas -scription, date created, owner, status, priority, impact/justification, completio date and notes pertaining to the completion of each task. A status of operation. ges shall be included in the Report. The Contractor shall provide status on all • . g and new BOS issues that affect operations. The Contractor also shall mak• • dations for innovations, processes and BOS improvements and other su: • ch. hich will improve customer service or increase operational efficienc, • Operations Reports: This suite of reports shall prow details required t• •rt the Project Oversight Report, including but not d to: customer contact , handling and Notification response; Case hand ' ansponder Fulfillment; paym- processed; customer disbursements proc: , the Agen ' and Interoperabl- Agency settlements processed; returned p. • is process & . rgebacks processed; inventory item Fulfillment and balancing, -con ' . . Reports related to ongoing Customer Satisfaction Surveys and QA . • translation services shall also be provided. • Refund Account reconciliat- • uest for reple -nt: The Agencies have different Business Rules rela -ssing of ref ome refunds may be issued by the Contractor; othe '11 be • e Agenc , , ever, the Contractor shall enter these refund chec o the A • ial accounting systems for issuance by the Agencies. The Co for s ► ovi • . t reconciliation reporting to the Agencies . - < st monthly a ance with t e Operations Plan. • Contracto , • r ' eport: Th. tractor shall be fully responsible for the CSC Operat' eeting o eeding req . • performance. Failure to do so may result in the . .ment of no pliance per ance adjustments as set forth in Volume IV P= ance Measu • Contractor use the Approved tracking and reporting me . o prov • • e against the Performance Measures. • Monthl s Invoices: The Agencies shall receive a Contractor's invoice for the - - iod cor • ding to the Monthly Operations Report. The invoice shall detail the c amo e from the Agencies. Contractor shall address costs that are netted o the Co s toll revenue payment to the Agencies, for example credit card fees . lection Any associated Liquidated Damages shall be allocated to the Agenci • • arately. e Agencies will not pay operation invoices that are not accompa by the complete and accurate Approved Monthly Operations Report package. Any perfo e deficiency the Contractor proposes to have excluded from the non- plia , • rformance adjustment calculation shall be documented on the Approved - m and explained in detail, with supporting documentation sufficient for the to make a determination as to the acceptability of the exclusion. If the Agencies nee • . dditional information to make a determination the Contractor shall provide such information expeditiously. Adjustments will not be considered until full required documentation is provided by the Contractor. Page 46 of 79 RFP. 9-1177 Exhibit B 208 The Waiver Form must be submitted within 30 calendar days of the affected invoice in order to be considered by the Agencies. 4.2.18. Training Plan The Contractor shall provide a training program to educate Contractor staff, the on the BOS and operations, as described in Section 5. The Contractor is resp Training Plan that describes the approach to training activities. es and others for providing a 209 The Contractor shall develop and maintain a Training Plan, grt to A by the Agencies, in accordance with the Approved Baseline Sched 210 The Training Plan shall describe the plan for trainin perations staff and - designated individuals and shall outline the requir erational/maintenance and knowledge for each position to be gained from ining. For h BOS position/us type, the plan shall include a training instructo e, training and other materials to be used in training. 211 The Training Plan shall include a schedule for regula ing, follow-up training and continuing education for staff. 212 The Training Plan shall descri • . ch to training istrators, end users at different levels, maintenance and o - - including t limited to: • overall description of the traini ogram; • training techni • - • training d= •; • how g will occu h staff wor• n live operation; • r - : training • e Ag ent; • names - ons of each . g class; ose o aining class; • w Id atte class; • qualifi Require nts for trainer; • minimu lifications for personnel attending the class; • duratio e class; tra. aterials, including syllabus, schedule, training goals, manuals, guides, other t materials and techniques to be used; • to preparation, such as test accounts and test transactions/trips; • required equipment and Page 47 of 79 RFP. 9-1177 Exhibit B • facility Requirements. 4.2.19. Maintenance Plans The Contractor shall develop and submit the Maintenance Plans listed below tha Contractor plans to perform the Maintenance of the BOS and all Hardware, So the BOS facilities and CSC throughout the Operations and Maintenance Ph. have appropriate BOS documentation available to all maintenance and S • ' e as required to perform their respective duties. 4.2.19.1. System Maintenance Plan ibe how the and systems at ontractor shall t personnel, 213 The Contractor shall develop and submit the Sy aintenance Plan that defines approach to services, staffing and resource lfill the B stem Maintenance Requirements. The Contractor shall identify th actor's ance responsibilities and shall include but not be limited to: • organizational structure, organizational chart and j riptions and responsibilities; • staffing plan; • approach to training; • detailed BOS monitoring Require • staff schedu • • ns; • third-p stem su ► t agreeme erview; • to of offsite da .rage; • sche► of nance activities, including anticipated Upgra• . -ment releases; . tion • stem Maintenance related communication methods; • mai ce pro • , communication protocols and Approval processes for BOS Upgra Softwar: . eployments, scheduled maintenance activities, change manage and scheduled downtime; • mainten procedures and communications protocols for unscheduled downtime; com tion Protocol for coordination with Interoperable Agencies and Third -Party e roviders and Business Partners and WICs; • munication protocol for coordination with the Agencies' other toll system vendors; • trouble reporting processes, notification protocols for issues and failures, and maintenance reporting processes; Page 48 of 79 RFP. 9-1177 Exhibit B • prioritization, response, escalation, and repair processes; • spares levels, equipment and third -party Software warranty tracking and return material processes; • monitoring maintenance performance for compliance with Performa asures; • sample maintenance reports and reporting processes; • processes for supporting internal and external audits; • Security Standards compliance monitoring, Upgrades feguards; • system intrusion monitoring and safeguards; • equipment replacement/refresh schedule; • Upgrades to third -party Software and tools a • processes in place to meet Performance Measures. 4.2.19.2. Software Maintenance P 214 The Contractor shall develop and it a So nancYPlan that defines the approach to services, staffing a sour o Software Maintenance Requirements and w. ranty provisio s in the Ag ement, including but not be limited to the fo , ents: • organ' .1 stru organiz al chart with job descriptions and resp , ities; • st. lan; • approa g and training; • ach to ng and prioritizing Software defects (bugs); • rep • catego I, prioritization and disposition of Software defects; • coverag: personnel locations; • all Softw. aintenance related communication methods; Maint- e procedures, communication protocols and Approval processes for Sof Upgrades, scheduled maintenance activities, change management and d ed downtime; • • • cumented change control procedures; • maintenance procedures and communications protocols for unscheduled downtime; Page 49 of 79 RFP. 9-1177 Exhibit B • trouble reporting processes; • escalation processes; • sample maintenance reports; • Software updates to comply with Interoperable Agencies' specifi Third -Party Service Providers and Business Partners Interface c changes and • Software updates to be compliant with Security Standards • processes in place to meet Performance Measures. . 4.2.20. Third -Party Documentation Third -Party documentation includes standard comme Hardware, Software, services and materials. cumentar third -party provided 215 The Contractor shall provide and maintain standa documentation for third -party p vided Hardware, provided under this Agreement f third -party do upon request. ercially available, updated e, services and materials tation shall be available 216 An electronic copy of all third-p Software installation and user manu Comme ith u -Shelf OTS) Hardware and vided to the Agencies. 4.2.21. Manu Various manuals Agencies to u be provid nd the oper educate a ide BOS administration staff and allow the of the BOS. 217 Whene , sible, . n 8-1/2" x 11" sheets; foldouts shall be 11" x 17". 2 nual sude, but not be limited to: • a et; • revisio ory; • Table of nts; • list of it tions (if applicable); list rence drawings and exhibits (if applicable) and • is list (if applicable). 219 All manuals shall have a consistent look and feel and shall be professionally written and presented in clear and organized fashion. Page 50 of 79 RFP. 9-1177 Exhibit B 220 All manuals prepared for the Agencies under this Agreement shall be produced, or editable, using Microsoft Office 2010 Suite (or higher). In addition, electronic copies of manuals shall be provided in unsecured Portable Document Format (PDF), if requested by the Agencies. 221 Any special Software required to produce scalable typefaces or other g shall be provided by the Contractor as part of the documentation for the manuals. 222 All manuals shall be submitted and Approved as a condition of Go -Li 4.2.21.1. Manual Submissions and Quantities 223 The Contractor shall submit two (2) hard copies of eac manuals listed belo 224 The Contractor shall submit electronic copies of a als listed b low. 225 All manuals shall be maintained in electronic f the Co r-provided EDMS. 226 The Contractor shall be responsible for producing a quantity of the manuals for the Contractor's use, sufficient to fulfill the Contractor rements. 227 The Contractor shall submit the 'nal manuals de below for the Agencies' review and comment, in accorda oved Baseli ementation Schedule. All final versions of manuals shall ovi ved be stem Go -Live. 4.2.21.2. 4.2.21.2.1. Manuals to mitted BOS Us 228 The Cont shall deve l : nd submit . User Manuals to be used by CSC Operations staff to . to the BOS . • r training pu -s. 229 The Co •r shall - y to cover job categories and functions. The manuals • e of the p • s, procedures and policies developed by the Contractor t equired to fulfill the Requirements for each of these categories and • . An e . of a functional area is finance, which should include all basic financial re .. 'ties an. ions, including the entire reconciliation process. 30 Each BO anual nclude but not be limited to: • screen i, -s detailing the step-by-step activities needed to fulfill a specific functiona • flowch. • provide the CSC Operations staff a clear understanding of the workflow; ns, reports and data fields, clearly explained using sample formats applicable BOS and • samples of all reports, included in the manual or as an attachment to the manual, with any specific instructions that may apply to a given report. Page 51 of 79 RFP. 9-1177 Exhibit B 4.2.21.2.2. BOS Finance and Financial Controls Manual 231 The Contractor shall develop and submit the BOS Finance and Financial Controls Manual, which shall include but not be limited to: • detailed descriptions of all procedures to balance and reconcile the BO • detailed descriptions of Financial Account Posting, reporting and r liation to each of the Agencies' Bank Accounts; • detailed descriptions of reconciliation of transactions/trips evenue the B 0 S with each of the Interoperable Agencies and for paym s ade to the A and Interoperable Agencies; • processes and reports used to reconcile third- ayments processed and m deposited in the Agencies' banks; • detailed descriptions of reconciliation of ections ty and all exceptions processing; • detailed descriptions of the screens, reports and fu that allow Contractor or the Agencies' finance personnel • • • • endent auditors ss, understand and work with all financial aspects of t • complete descriptions of all re , 'bath) - and a echnical description of the screens, reports and func • illustrations a • •' torial diagr. •monstrate t e step-by-step operations required fo the balanc: econciliation functions and • includ- an attach t to the m. , samples of all relevant reports, with any spe ' structions tr ay be appli to a given report. 232 Repor ded in t n. cial Controls Manual shall have correct and accurate . 233 • - :OS Fin. d Financial Controls Manual shall be used to train the CSC finance - and tq cies' finance personnel. 4.2.21.2.3. BI Iinistrat. #nual 234 The Contract hall provide a BOS Administrator Manual that serves as a guide to the overall mana; ent and administration of the BOS, and it shall include but not be limited to: det. ' ardware maintenance activities and schedule; • ed database maintenance activities and schedule; • detailed Software monitoring activities and schedule; • detailed monitoring procedures for file transfers and exception handling; Page 52 of 79 RFP. 9-1177 Exhibit B • detailed procedures and processes for all maintenance activities; • detailed procedures for backup, archiving and purging data; • detailed procedures for testing and executing Disaster Recovery usiness Continuity; • detailed schedule for all preventative maintenance activities; • scheduled time and maximum run time for all BOS jobs and ces • technical contact lists for all third -party technical cont. • technical contact lists for Hardware, Software , i ers and third -party s agreements; • details and copies of all third -party syste • rt agreeme , • general information, such as maintenance s ' 4 de . nduct and other human resource aspects and • details of the security access configuration, us: -ss privileges and controls and user tracking processe sure system N and to maintain data integrity. 4.2.22. As -Built Documentation Prior to the Agencies' shall be provided th 4.2.22.1. eptance o inal BOS iplementation Phase, as -built documentation and Implementation. ed Design anent are changes ma rior to the Agencies' Final BOS Acceptance shall submit the As -Built SDDD that includes uring the system development, implementation for shit two (2) hard copies in addition to an electronic version of the . Acceelectronic formats are unsecured Portable Document Format Office . Suite or higher and professional CAD applications. rawings shall provide the Agencies with a complete set of As -Built Drawings, which ered as two (2) hard copies of the complete sets of drawings. The same shall ed in electronic format for all equipment, network and Hardware installed and fu - d as part of the BOS. As material changes are made to the system by the Contractor shall update the As -Built Drawings to reflect the current status. The As -Built Drawing sets shall include but not be limited to: Page 53 of 79 RFP. 9-1177 Exhibit B 238 • all schematics; • logic diagrams; • Hardware layouts; • wiring diagrams; • interconnection diagrams; • installation diagrams; • cable schedule; • Interface details; • facility build -out details and • network diagrams. 239 The Contractor shall update the lat•st drawings with re s changes are incorporated during the installation process. - 18 letion of the i ion, the Contractor shall gather all red line drawings. 240 The red line drawings shall be v• d and 1 • into a nal As -Built Drawing package. This final as -built package 1 incl I _ tallation drawings, shop drawings and sketches, plans and oth, a I es that ,, a used to install the BOS. 4.3. Operatio The operations accordance provided CSC and training, orde the entire operation. C nlicab essary to establish and operate the CSC in any required modifications to the Agencies - Anaheim Processing Center, staff recruitment s, establishm- all necessary services and developing all SOPS for ntractor shall coordinate with the Existing BOS and CSC Operations ns of the Approved Baseline Schedule. 1 The CS -tionsr and the Transition Manager shall lead the Contractor's staff in plannin: implem g the activities required for operation of the CSC. These tasks include but . et limited to: • obtain a I ugh understanding of the functions and capabilities of the BOS; prod required plans and documentation; • CSC staff; • .ordinate with Third Party Service Providers and Business Partners; Page 54 of 79 RFP. 9-1177 Exhibit B • make any required Approved modifications to the facilities (see Attachment A: OCTA/RCTC Building Layout for design layout of existing facilities and Anaheim Processing Center; • plan and conduct training; • Assist with the selection and implementation of survey sol , IVR, system recordings, Self -Service Website, and Self -Service Mobile Applic. , ase II) and • meet regularly and coordinate with the Agencies, the Exist' • an • . erations Contractor to perform the Work. 242 The Contractor shall develop and conduct an Operatio -adiness Demonstra d conduct walk-throughs for each facility with the Age 243 As an outcome of the Operational Readiness D • . ration and k-throughs, a punc' list shall be developed and resolution of each i • ( roved by • encies. 244 The Contractor shall track, status and resolve . - on punch list items (as designated and Approved by the Agencies) prior to tr. and track, status and resolve all post -transition punch list items as designated and i ed by the Agencies) during the Operations and Maintenanc til resolved, the of post -transition punch list items shall be provided in all rmance rep • i meetings. Page 55 of 79 RFP. 9-1177 Exhibit B 5. TRAINING The Contractor shall provide comprehensive training for all aspects of the BOS and CSC Operations including training, operational procedures, policies and guidelines, and rules of cond t, including customer Interface. Training shall be delivered to the Agencies' personnel a ntractor's personnel. Training shall be ongoing throughout the Implementation an rations and Maintenance Phases. 245 The Contractor shall be solely responsible for supplying the B0991K11 mate cessary to complete the delivery of the training program. 246 The Contractor's program shall include but not be limi computer instruction, t aids and manuals as required. 247 Contractor's training shall be hands on and ctual BOS are in the training environment. 248 The Contractor shall produce all training materials, nd manuals in hard copies. 249 When changes or new functional'. s rovided in the BO ontractor shall update the training materials and train staf' !es/new func 250 All Agencies training shall includ. evie •tion o of the appropriate Agencies' processes and procedure • actual :• 251 The Agencies shall ha e the right to a .ining sessi I s. 252 The Contract• • compreh, a training related to all aspects of the BOS administra ' :OS funct ly and CS ations. 253 The Cs or shall em : training man. o lead all training courses and subsequent ongoi ' ing activ' 254 The Cont . train Agencie staff to view all real-time aspects of BOS • •cesses/qu. d CSC Operations statistics/queues, as well as research and report on s of th - . The Co •r shal train staff from other areas of operations or management for peak per' s , ergenc mporary assignments to provide for staff redundancy. 56 The Contact: training manager shall identify the training needs, plan, design, and develop all th : ining curriculum and materials for the implementation and management of the CSC's • sing training program. The types of training include, but are not limited to: cus ' service and integrity skills ("soft skills") training; • cies' FasTrak, Violation and payment processing Business Rules and facility . ecific information ("content training"); • different operational and facility characteristics of each facility; Page 56 of 79 RFP. 9-1177 Exhibit B • use of the BOS, including all customer contact systems and any other applicable systems; • CSC Operations SOPs and • PII, PCI, data and physical security. 257 The Contractor's training program shall include training at different td for different reasons during the course of the Operations and Maintenance P ing but not limited to: • new hire - this training provides the new employe horough, in-dep . ing covering all of the skills and information required to nderstand and perfo . r job; • refresher - this training provides addition ing focuse topics on which th attendees have been previously trained hich the g manager or other Agency management staff identify as requ dditi raining for a group of employees; • remedial - this training is indiv' • ually focused on the of a particular employee(s) based on customer satisfa , • • back, managem servation or employee request; • new job/promotion - this train require I. • • •loy e changes jobs or gains additional responsibilities and • new content - this train • uired when the Agencies introduce a new program • ' scant cha • the SOPS or the BOS. 258 Contract• ning shall -r all funct areas depending on the specifics of each indivi • er role and ' i nctions. 5.1. Training em 0 on Overview Course 9 The Co personne Operations. r shall requir e a system operation overview training course for the Agencies eneral understanding of all aspects of the BOS and CSC The Contract sufficient to hall ensure class sizes and the number of training hours provided are ide a general understanding of all aspects of the operation. 5.1.2. omer Service Representative Course This course for customer service personnel who need to understand all aspects of the direct customer service. Page 57 of 79 RFP. 9-1177 Exhibit B 261 The Contractor shall provide a customer service course for staff that need to understand all aspects of the direct customer service functionality, with focus on contact management, account management, Violations processes, payments, Business Rules, Express Lanes facilities characteristics, external facing website, etc. 262 The Contractor shall provide an appropriate number of training sessions e customer service course, ensuring class sizes and the number of training hours pr are sufficient to provide an understanding of all aspects of the operation related t r service. 5.1.3. BOS Finance and Financial Controls Course This course is for financial management and auditing personnel of the Operation, particularly those related to financial management. eed to understand . ting, reconciliation, au cts 263 The Contractor shall provide a BOS finance audit trainourse for financi7 management and auditing staff that need to u . nd all as ► I f the operation, with focus on financial accounting, reconciliation, audi ,• an. ' t. 264 The Contractor shall provide an appropriate numb • aining sessions for the BOS finance and financial controls cour ensuring class sizes . , e number of training hours provided are sufficient to provi tanding of all a- of the operation related to financial accounting, reconcilia anagement. 5.1.4. Operations Management C This course is for CSC performance reporti call statistics, ima quantity of all N exchan_es), i ew queu tions pendi center and r shal ersonnel perationa c.); all BO d sent, tran uration. ng hands-on training on the BOS including ormance monitoring (for example, call queues, itoring (for example, mail queues, status and der Fulfillments, status of Interfaces and file Management Course for all personnel who rstanding o .OS reporting and monitoring. This course also of the telephony system. ctor shwide an appropriate number of training sessions for the Operations Cours •, ing class sizes and the number of training hours provided are ovide a ed understanding of the operations of the BOS and how to n and re orts from the BOS. Course 267 - Co r shall provide a BOS Authorized Users training course for all personnel who detailed understanding of the operations of the System and how to access in ion and reports from the BOS on items such as status, alarms, performance, tran actions and revenue. Page 58 of 79 RFP. 9-1177 Exhibit B 268 The Contractor shall provide an appropriate number of training sessions for the BOS Authorized Users course, ensuring class sizes and the number of training hours provided are sufficient to provide a detailed understanding of the operations of the BOS and how to access information and reports from the System. 5.2. Training Materials 269 All training materials should comply with applicable PCI and PII s 270 Draft copies of all training materials shall be submitted by t e for review, comment and Approval prior to final printing o tractor to ncies tities required fo ng. 271 The Agencies shall have the right to require the Co r to provide additional in drafts at no additional cost should draft training als submitted not be of adequ quality or have missing or incorrect informatio 272 Contractor shall provide regular updates to train teri to the BOS or operational processes. corporate any changes 273 For each training course, the Contr ctor shall provide th sections. rials listed in the following 5.2.1. Instructor Guides 274 The Contractor shall provide an instr or each tr�g course, including but not limited to: • course . . a; • co jective; • proc- for _ _ . on; resource acilities required, including Desktop Environments, power and . unica' -quirements; • det.. - sson p . • a descriof training aids and items to aid in on-the-job performance (such as where applicabl, I cket guides or reference sheets); • tests to ► i ministered to assure satisfactory completion and ins . ns for using any audio-visual support equipment or materials. 5.2.2. "Training Aids 275 The Contractor shall provide all training aids necessary to successfully complete the course agenda and meet the course objective. Page 59 of 79 RFP. 9-1177 Exhibit B 276 The Contractor shall provide a way for all trained personnel to access training documents, aids and tips in an online, electronic format for ongoing reference. 5.2.3. Student Workbook 277 For each course, the Contractor shall provide a student workbook, incl ut not limited to: • course agenda; • course objectives; • schedule of sessions; • copies of all overheads and visuals and • lesson outlines and summaries. 278 The Contractor shall supplement the material pro additional material (as necessary), such as operations a used, appropriate cross-referen be included in th the complete set of training mat o the studen . a student workbook with manuals. If such material is nt workbook to identify 5.3. Scheduling and PreparatioTng' 279 The Contractor with the Age • participan • ontracto , e a minim 1 g for each .11 notify to 2) weeks notice to the Agencies and work mg session. The Agencies will identify a list of dule their participation in the training. 280 The C • for shall per all schedulin Page 60 of 79 RFP. 9-1177 Exhibit B 6. TRANSITION REQUIREMENTS The transition of the BOS and CSC Operations is a major undertaking that will require careful preparation, planning and coordination in multiple functional areas and on many leve to ensure a smooth transition. The Contractor is responsible for the execution of transition from 'sting BOS to the new BOS and the existing operations to the new CSC Operations in ace ce with the Transition Plan. Close coordination will be required between the ETTM Sy ontractors, the Existing BOS and CSC Operations Contractor, the Agencies and the Contract 6.1. Schedule and Transition 281 282 The Contractor shall transition existing systems and o . ns to the BOS in acc. e with the BOS Transition Plan and Data Migration Project Schedule. The Contractor's schedule shall be sufficientl changes, such as early completions or delays in normally be expected in a multi -phase schedule. 6.2. Transition from Existin CSC Operations transition includes all act CSC Operations from the Existing BOS an existing operation which will need to be t impact on the Agencies and their customers. transition in accordance ansition Pl Operations Contracto transition gy and the Approved Ba to acco ate modifications or n of phases that would d CSC Oper. Contractor assume r• .bility for the ongoing ctor. ere are aspects of the in order to minimize the ctor's ition Manager shall lead the st coordinate with the Existing BOS and CSC the Approved Baseline Project Schedule. 283 The Co r shall ma and conduc transition in conformance with Transition Plan proved Bas ro.ect Schedu 284 The tran Operations siness cti a d with the Agencies, the Existing BOS and CSC , the ETTM System ontractors and all Third -Party Service Providers s and Approved by the Agencies. The the exis or sha 'de the capability to transition open Collections Placements from lection as well as new Collections Placements after Go -Live. 286 The Contra the Transitio impacts duri hall prepare internal and external communication procedures, as part of n, to effectively and professionally manage communications of potential e BOS transition. 6.3. e e of Operational Readiness Prior to the Contractor shall demonstrate to the Agencies that the successful transition is complete, a that the Contractor is ready to commence complete operation of the CSC and performance of all of the Work. Page 61 of 79 RFP. 9-1177 Exhibit B 287 The Contractor shall demonstrate that the CSC Operation has achieved Operational Readiness in accordance with the Approved Baseline Project Schedule. 288 Procedures for demonstrating for the Operational Readiness Demonstrati • shall be provided by the Contractor to the Agencies for review and Approval at hree (3) months prior to the scheduled demonstration date. 289 The Contractor shall have completed all of the predecessor tasks . -stones in the schedule in order to achieve Acceptance of Operational Readiness, ' . not limited to: • selection, build -out and equipping of all Contractor op d facilities; • development and Approval of all required docum n; , • recruitment, hiring and training of all staff i dance with Operations Plan an• sub -plans; • Implementation of all applicable aspects of Plan and all operations mobilization activities and • Completion of Operational s Demonstratio the BOS, facilities and Contractor staff. 6.4. End of Agreement Transitio The Contractor acknow the successful opera expiration or ter providing thes an orderly an As part of the E requiring the trans the n of the A ces. The Co 'ent transit' vices it pr d said se ent by an or agrees to or. ran under the terms of the Agreement are vital to shall be continued without interruption. Upon e parties, a successor may be responsible for ise its best efforts and cooperation to affect encies may wish to operate and maintain BOS, ment, leases and license from the Contractor to the Agencies. ractor ooperate with any future transition of the BOS to a future BOS Con s req the Agencies. 291 The Cont describing t Requiremen contractor. shall d with the successor, an End of Agreement Transition Plan ture and extent of transition services required as well as the operational cessary for the migration of operation from the Contractor to the new 2 he Contr th shall update the End of Agreement Transition Plan no more than six (6) to the transition date. 293 ractor shall provide sufficient experienced personnel in each division/element of Wo during the entire transition period to ensure the quality of services is maintained at the levels required. Page 62 of 79 RFP. 9-1177 Exhibit B 294 The Contractor shall provide sufficient staff to help the successor maintain the continuity and consistency of the services required. 295 The Contractor shall provide the necessary Software and BOS support services • assist the successor in setting up the systems, transferring of appropriate licenses a , rd-party Software and transitioning all BOS data required to sustain uninterrupte• ce in areas in which the Contractor is responsible for the Work. 296 The Contractor shall support the Agencies during the procureme - - pdating all system documentation and providing new documentation a , ired . -tails the current system. 297 Within the End of Agreement Transition Plan, the Cont shall provide descri.. •f the equipment, leases and licenses that are availa purchase and transfer t• Agencies as part of the End of Agreement Transiti 298 The Contractor shall not prevent the successor onductin ' iews with Contractor employees outside of normal business hours in ner ill not disrupt current operations. 299 The Contractor shall not preven employees from ch their employment to the successor if the employees wish 300 The Contractor shall provide f e o ition of cilities, equipment, materials, documents, inventory an rk in pr succe or. Page 63 of 79 7. TESTING REQUIREMENTS 7.1. General The Contractor shall provide the full range of test planning, testing design and servic ensure the BOS adheres to the Requirements. The BOS testing regimen shall take implementation period identified in the Approved Baseline Project Schedule Master Test Plan and Individual Test Plan. RFP. 9-1177 Exhibit B uired to during the all follow the The Agencies require that configuration changes be treated as equivalen w. elopment changes within the testing process. Wherever possible, the Agencies re that t tractor implement testing processes which are automated and efficient. The Requirements described in this section detail the labor, m , facility and support s necessary to test the BOS for functionality and performa s integration to all Third - Service Provider and Business Partners. 301 The Contractor shall prepare and conduct the tests in c ance with the Master Test Plan and applicable individual test plans. 302 The Contractor shall prepare and conduct the va sts (outlined for reference immediately below and with detai - • Requirements in s nt sections), including but not limited to: • Unit Testing; • System Integration Testing; • User Accepta• 4_; • On -site ation a . mmissiom esting and • Op • al and Acce ce Testing. 303 The C • or sha or Agencies approval and use specialized automate. . ' are, whe - , ible, to, including but not limited to: ate test ; • c e case • re -defined input and output; • contro utomat• sting; • exercise nditions, configurations and scenarios; • conduct rmance testing; con curity and PCI testing; • ct regression testing; • compare actual test outcomes to expected outcomes; • test reporting; Page 64 of 79 RFP. 9-1177 Exhibit B • conduct load testing; • conduct user Interface testing; • conduct sustained operational testing and • conduct data migration testing. 304 The Contractor shall make the BOS available for use by the Agencie e readiness of the CSC Operations staff during operating hours and as ne d e testing period. 305 The Contractor shall provide all necessary resources an ies to conduct all t 306 During the Implementation Phase, the Contracto provide an "online comme Software" defect tracking system, accessible by t ncies via br er-based Internet, t document and track all defects identified as pa OS testing subsequent actions taken to correct those defects. 307 The Agencies' Approval of any aspect of testing sh elieve the Contractor of its responsibility to meet all Requirements. 308 The defect tracking system shall the following, ' g but not limited to: • rating (severity) defects; • categorizing defects; • prioritizing . • loggin • ate/time I efect was ted; • th= who report • • defect; • the - us : , • the detai to reproduce the defect; eloper orked on the defect; • life-c cking . • reportin Tes'equence and Logistics 309 for shall obtain Approval from the Agencies and shall have met the entry s prior to start of each test, including but not limited to: • Approval of all predecessor tests; • Approved test procedures for each individual test; Page 65 of 79 RFP. 9-1177 Exhibit B • Approved test schedule; • Approved inventory of test cases and scripts; • successful closeout of all outstanding pre -test issues; • successful dry run testing with results provided to the Agencies; • test data set is created and loaded into test environment; • submittal of the latest Approved version of the RTM showi validat 'nst the Requirements and • site and BOS is ready to test. 310 After the completion of each test, the Contractor bmit for t Agencies' review a Approval a test report that documents the res he test. 311 The test report shall include the results of the t a es and issues identified; comments provided by the Agencies; the test data a ective action/resolution of each item, and the results of any re -tests necessary to sfully complete each testing phase. 312 The Contractor shall facilitate an n in the testing and witness each test. The Contractors , . rovi. es with ccess to the test data and results of the test. 313 Testing shall not b idered comp • Agencies un it all anomalies and "punch - list" items are c the final . ort is Approved by the Agencies. 7.2. Req 7.2.1. Unit Testing is defi opute are testing met od by which individual units of source code, sets of am Modules together with associated control data, usage procedures, LCUU1- LCSLCU LU UCLC11111i1C WilCL11C1- L11Cy cue 11L 101- USC. ti U1111 LUU1U UC dil e Modu , is mor only an individual function or procedure. Unit Testing is the first vel of testing a erform to System Integration Testing. 314 The Contrac all conduct Unit Testing, including but not limited to: • testing f functional elements of the BOS for conformance with the Requirements, Appro sign and Business Rules; e f 100% of all BOS components and negative testing for controlled systems es • testing using actual data generated by the existing ETTM System and simulated data as needed; Page 66 of 79 RFP. 9-1177 Exhibit B • testing with Third Party Service Provider and Business Partners and Interoperable Agencies test environment; testing each Module of the BOS application Software for compliance to codi standards related to screen validations, Web navigation, configuration changes, P ncluding all errors, exceptions and failures, backend programs and processes g simulated data); • testing the desktop computer Interfaces and all peripherals; • testing of user roles and security elements • all necessary Hardware and Software for the test; • all necessary personnel for the test and • updated RTM, SDDD, Operations Plan a mess Rul unctionality can be reconciled to the documentation. 7.2.2. System Integration Test' SIT) System Integration Testing (SIT), or end seeks to validate the Interfaces between i meets its Requirements. The Contractor sh process escalation and transaction/trip and depending on defects found and their severi testing as part of the SIT is defined as . is and the of Software testing that .letely integrated BOS loge al days to accommodate mg cycles may be executed o conduct load/performance 315 The Contra all be r: sible for • 1 igrated from the Agencies' existing systems as an en eria for the . It is antic' • that significant data will be migrated and the ac . to to be mi: , : will be defin • the test plan. 316 The Co qr sh. . all include end -to -end Integration Testing, Interface t- ty testing, per • ance/load testing. 3 ent Th' $ Service Providers and Business Partners and Interoperable Agency ment q s are not available, the Contractor shall test using simulated Interfa data t• •te the data exchange. 318 The Contra hall use a most newly provided, developed or updated ICDs for all Interfaces an rtals. The Contrac all conduct SIT, including but not limited to: testi unctional elements of the BOS using the procedures for Software integration including the end -to -end testing from receipt of transactions/trips through g to the accounts and Violation processing; • validation of migrated data, reports testing using migrated, simulated and keyed -in data; Page 67 of 79 RFP. 9-1177 Exhibit B • verification and validation that the various BOS environments are operating per the Requirements; • load/performance testing of the entire BOS in terms of user access, inclu g internal and external users on all channels (for example, Self -Service Websi -Service Mobile Application, IVR); • load/performance testing of the entire BOS in terms of transacti rocessing; • full Disaster Recovery failover testing; • full Disaster Recovery failover recovery (back to prim OS) testing; • validation of all Performance Measures; • adherence to the Security Standards; • archiving and purging process testing; • comprehensive PMMS testing; • testing using actual data, . • , • .ted real-time (a a real, live production environment) by the existin.- ; • all Interface test scripts and do entati. • to confi at the Interfaces are operating properly; • testing, as direc • • 8 the Agenci • g to test en ironment systems provided by the A: - ' d-Party ' Providers and Business Partners and Interope • gen available) • exce testing; • to e deskto • . d all peripherals and • sustain: - s test. ser Acceptance to validate the oper esting (UAT)1 ned as the testing phase where actual BOS users test the system of the B0 in, according to Requirement, designs, and specifications. shall provide all needed support for UAT to include providing ovisioning/aging system, running batch jobs, and developing test scripts 321 Co or shall provide a UAT environment that is production like and separate from environments. 322 Ten 0) Business Days prior to the commencement of UAT, the Contractor shall train staff from the Agencies and the CSC Operations test team selected to perform UAT. 323 The Contractor shall provide all UAT testers with access to BOS test scripts. Page 68 of 79 RFP. 9-1177 Exhibit B 324 The Contractor shall provide test data for UAT that is an extraction and sub -set of production data. 325 During UAT, the Contractor shall develop and retest necessary revisions identif d by users during the testing process. 326 The Contractor shall provide technical personnel to support UAT. 7.2.4. Regression Testing Regression Testing is defined as is a type of Software testing tha ies that Softwar- •usly developed and tested still performs correctly even after it w ged or Interfaced w er Software. The purpose of Regression Testing is to ensure tha es have not introduced ne and to determine whether a change in one part of the So ffects othe marts of the Softwar 327 The Contractor shall develop a plan for utiliz procedures that shall execute specified test scripts any regressions to the Agencies. omate anual regression test cific intervals and report 328 The Contractor shall conduct regr testing in a Contr prior to each Software release. ovided test environment 7.2.5. On -site Installation and C Transition and Go -Live Onsite Installation and equipment installatio ing Testin OS opera to Migration, ned as a series of checks and tests to verify nd inter -systems operation. 329 The Co • or shall con • . nsite Install and Commissioning Testing using the BOS prod environme A - - • • t not h d to: • testin: d- trates t - . , completely installed and operational in the products. •nment and the Disaster Recovery location; re an • - to is loaded; • PCI tion v b • ility testing, certification of elements not available/tested during 'ous testi -, • all necess ardware and Software for the test; • testing configuration and setup; tes ' user roles; • ng of internet connectivity and speed; • testing the speed of the BOS while performing various functions; • testing of cutover to generator in the event of power failure; Page 69 of 79 RFP. 9-1177 Exhibit B • testing of phone system including IVR; • testing of Self -Service Website and Self -Service Mobile Application; • all necessary personnel for the test and • updated RTM, SDDD and Business Rules so functionality can be ciled to the documentation. 330 The Contractor shall provide evidence of readiness to conduct ig ransition and Go -Live at the BOS production environment, including but united to. • evidence to confirm that the technical performance • • ata migration proc or the existing BOS is adequate; • testing of the exact procedures and tools th• be used fhe migration of dat from the existing BOS to the new BOS; • evidence that data from the Agencies has b-. -a :nd transformed for BOS compatibility in accordance with the BOS Require • The Contractor shall utilize t• ecurity Standar• • cil's Prioritized Approach method to indicate how eac - • ent is being a • - d. This approach shall be submitted to the Agenci: one • tantiating ce for review and Approval • the transfer of certain historical • o t• that . main in the BOS and • a data mig -nsition chto verify the data migration and transition processe• ompl- accordan ith the Transition Plan; 331 Upon A. al of the Ons' stallation a , mmissioning Testing including evidence of readi i e Contracto A • • • n Data M ion and Transition. 332 Upon ve n . . • rova • : migration the Contractor shall Go -Live. perational and supported, and/or tion Acceptance Testing tance is defined as a test focused on the readiness of the BOS to be ome pa f the production environment. Following Go BOS produc of limite , the Contractor shall conduct Operational and Acceptance Testing on the nvironment in live operations that provides the following, including but ion that the BOS is in conformance with the Requirements for a period of 60 ecutive days, onsite in the BOS production environment; successful access of images from the ETTM System and receipt of the trip/transactions; Page 70 of 79 RFP. 9-1177 Exhibit B • reconciliation of all BOS data, transactional and Financial Transactions for a period of 60 consecutive days to verify all data and accounts are being properly processed, reported on and reconciled; • reconciliation of all transaction/trip and image workflows and filter erify all transactions/trips and images are being properly processed through S; • reconciliation of all electronic Interfaces and portals, includi Party Service Providers and Business Partners and Interoperable Agencies; • reconciliation of all account Postings, Financial Transa do , events, et . count history entries; • reconciliation of all Financial Accounts in the BOS o (2) monthly financial pe • archiving and purging process testing; • disaster recovery testing; • verification of PMMS operations; • adherence to required financ• 't and reconciliatio irements and • adherence to required BOS P- es and rep 334 The Contractor shall identify all an• 'es and -verity and priority, and all anomalies shall be addressed to the acti• e A• 335 If anomalies ar- that are a erity and high priority during the testing period, the 0 • • na ceptance g for those functions and any other impacted functions • areas sh. - restarted hall continue for 60 consecutive days from the day st was resta . 336 The 0► •nal and continue until all the Requirements have been ver • d e • in . . ith the MTP and detailed test procedures are completed . ed by the Agencies. 7.3. BOS Acc nce 7 Upon the suc the closure o required fo e Acce ful completion and Approval of the Operational and Acceptance Testing, unch-list items and completion and submission and Approval of all items se closeout, as set forth in in the Agreement, the Contractor shall be given for the BOS Implementation Phase. • Page 71 of 79 RFP. 9-1177 Exhibit B 8. INSTALLATION REQUIREMENTS This section details the Requirements for the installation or enablement of the BOS at the primary and Disaster Recovery/Business Continuity sites as Approved by the Agencies. 8.1. Installation Program The Contractor shall develop and provide an installation program or prow • ocumentation that addresses all aspects of the installation or use of the BOS, inclu 1 i ion design, submissions and coordination for a COTS based solution or service ements d-based approaches. 338 The Contractor shall be responsible for the design, , rement; installation; c configuration; checklist walk-through, and testing ► ardware, Software, equip Interfaces and communications provided as part r :OS, if req ' -d. 339 The Contractor shall install or enable the BOS a. primary d CSC locations which meets the specifications outlined in the Requirem- 340 The Contractor shall install or provide the Disaster Re . :OS and Business Continuity at a location which meets the spe ' ions outlined in th- rements. 341 The Contractor shall provide, ins r . ecure all co , 'cation lines required for the primary BOS facility, the i er Re - : usines tinuity facilities and Agencies' CSC locations. 342 The Contractor shall vide, install o .. d secure co ection points to the BOS as required to acc ccess and nication with Interoperable Agencies and Third -Party S ro and Busin ' artners. 8.2. Co ce to St 343 The Cont ere to a ntation standards, applicable laws, ordinances and codes as , including but not limited to: urity ds; • thos the on uipment manufacturer; • the Nati lectric Code (NEC); • the Instit f Electrical and Electronics Engineers (IEEE); the 0 ional Safety and Health Administration (OSHA); and city codes, as applicable and • e State of California, for areas including but not limited to electrical codes, seismic considerations, calibration, configuration and environmental. Page 72 of 79 RFP. 9-1177 Exhibit B 8.3. Equipment Installation Requirements The Contractor shall be responsible for installation of the BOS, including at the CSC and WICs, as described in these Requirements. 344 The equipment installation design and Implementation for the BOS and perations shall include but not be limited to: • provision of uninterruptible power supply (UPS) at the CS to support Contractor provided systems; • Interface with and electronically monitor via the PM a y Agency o actor provided emergency power generation at the CSC an ; • furnishing, installing and testing the Interfaces . nectivity to the ETTM Syste • validating the connectivity to all Inter • e Agencie sescribed in these Requirements and • validating the connectivity to all external Inter . rd-Party Service Providers and Business Partners as described in these Requir- 8.4. Implementation Checkli The Contractor shall complete all implem Requirements prior to the Go -Live date esta Ch�D rov d Contract Deliverables 345 The Contractor s . • op a chec racks the progress and completion of all implementatiI the BOS, erations and Disaster Recovery. 346 The chec , all detail t items requ to complete the implementation process for all Har► -, Software, e ,ment, Interfa d communications provided as part of the BOS, . g termin. • - tion 347 The check -1 ed to identi . screpancies and exceptions, and the Contractor shall be resp • or all corrections. .st sha • d to document all changes identified, and all such changes shall be Appro the Ag- 349 A represen (s) fro e Agencies shall have the right to observe and Approve the implementa The Agencie 11 have the right to perform independent inspections, and the Contractor shall be res ble for the correction of all discrepancies and deficiencies identified during insp . 351 f the checklist, signed and Approved by the Contractor, attesting to the co teness of the implementation, shall be provided to the Agencies upon the completion of the implementation activities. Page 73 of 79 RFP. 9-1177 Exhibit B 9. GENERAL MAINTENANCE AND SOFTWARE SUPPORT SERVICES REQUIREMENTS 9.1. Operations and Maintenance Meetings 9.1.1. Monthly Performance Review Meetings and Reporting The Contractor shall conduct Monthly BOS Performance Review Meeting -ncies. These meetings shall provide the Agencies with a detailed understanding a ew o ntractor's and the BOS's performance for purposes of receiving guidance fromhe :encies, Age -rsight, work planning and invoicing. 352 The Contractor shall manage, facilitate and cond •nthly BOS Performance Re Meetings with the Agencies throughout the 0. ns and Ma' enance Phase. At � minimum, the Project Manager (Implementati .se), Projec :ger (Operations and Maintenance Phase), Software Development M. and a ' actor's CSC Operations Manager (in -person) shall attend these meetings. 353 The Contractor shall schedule and conduct the Monthly . ' •rformance Review Meeting with the Agencies to occur no mone (1) week a submission of a Monthly BOS Report package by the Cont '. 354 Performance reviews, including the vision - d per • ance reporting, shall be provided by the Contractor to th encies ) month after Go -Live for the previous month. Any Monthly to Fee a I ents associated with non- performance sh. - assessed fourth month following Go -Live, for the previous (thirformance; ever, this does not relieve the Contractor of required p • ance pr the thir th and shall not constitute a waiver of any Agency r' r remedies er the Agre : t in this regard. 355 The for shall are . • ressed and resolved or are placed on the action 356 In addition tvoicing and payment Requirements, the Contractor shall provide the month ormance reports to the Agencies, including all required information e ng actformance relative to the Requirements, before an invoice shall be conside paym e monthly performance reports structure shall be identified in the Maint Plan. .2. Month OS and Operations Coordination Meetings the Operati nd Maintenance Phase, the Contractor shall conduct bi-weekly meetings to coo • the g operation of the CSC. The Contractor shall be responsible for scheduling these opics for the meeting shall come from the Contractor; the Agencies may provide addition. The Agencies may attend these meetings at their discretion. Page 74 of 79 RFP. 9-1177 Exhibit B 357 The Contractor shall manage, facilitate and conduct the Monthly BOS and Operations Coordination Meetings with the Agencies during the Operations and Maintenance Phase in order to understand and prepare for supporting the resolution of BOS-related and Toll Facility related issues and other activities which will affect the CSC Operation 358 During the Monthly BOS and Operations Coordination Meetings, the ' address BOS and operational topics for which input is needed from the but not limited to reviewing the Contractor's defect tracking repor coordinating Upgrades and Enhancements Approved by the Cha , • n reviewing Security Standards and compliance; coordination o duled : resolving issues related to personnel and reviewing the Co ctv is CSC and actor shall ies, including •ritizing fixes; • and (CCB); ntime; , • • ort. 359 The Contractor shall identify all known BOS and operat sues and required dis • topics and provide them to the Agencies in advance meeting and update the ag- again just prior to the meeting. _ 9.1.3. Weekly Coordination and Status Meet Contractors During the Operations and Maintenance P the Contractor and the ETTM System Co through possible solutions. The Contra these meetings and topics for the meet Contractors and the Agencies. 360 361 362 se, there will be a s • rovide details onsible for hall the Con The Contractor shall manage, facilita Meeting with th= tem Contr coordination • e ngoing is meetings. Durin accur changes of t Contract. discus . g an 9.1.4. Chan A ring the Operation actor shall be r develope tion and Stat TM System working meetings between and open issues and work nating and scheduling r, the ETTM System ct the - ly Coordination and Status hese meetings shall be for the purpose of The Agencies shall be invited to attend these eetings, the Contractors shall review the ie any discrepancies, and to coordinate any s, bug fixes, Upgrades and Enhancement). identify all known BOS, ETTM System and operational issues and ics and provide them to all attendees and the Agencies in advance • the agenda again just prior to the meeting. ntrol B and Meetings d Maintenance Phase, the Contractor shall conduct the CCB Meetings. The sible for conducting and scheduling these meetings in accordance with the ge control process. Page 75 of 79 RFP. 9-1177 Exhibit B 363 The Contractor shall manage, facilitate and conduct CCB Meetings with the Agencies (meeting may be combined with the ETTM System Contractors CCB meeting at the Agencies' discretion) on an as -needed basis. These meetings shall be for the purpose of providing status, reviewing, Approving and prioritizing BOS changes (such Software enhancements, Software Upgrades, Hardware Upgrades, major bug fixes) erations changes (such as, policies, Business Rules, operational procedures, p scripts, and staffing). 364 The Contractor shall solicit and identify all known statuses and ' regarding the CCB and provide them to all attendees and the cies in meeting and in accordance with the Agencies' change contrgr ess. e Agencies a of the 9.2. Safety 365 The Contractor shall adhere to all applicable s. " tandards a on or around energized equipment, including b ► invited t• 'delines for working ollowing: • The Agencies' safety procedures and guidelines; • local code; • State of California, code, stan 1 , • cedures an • , nes; • Occupational Safety and Health inistrat . • National Electrical Manufacturer •ci. NEMA) . • National El- NEC). Page 76 of 79 RFP. 9-1177 Exhibit B 10. CONTRACT DELIVERABLES REQUIREMENTS LIST The following table identifies the Deliverables/Submittals which shall be required for this Project. This table is provided for convenience only; it is the Contractor's responsibility meet all Requirements. CDRL ID 1. CDRL Name Baseline Project Management Plan (including Baseline Project Sch 2. Quality Plan 3. Software Development Plan 4. Requirements Traceability Matrix 5. System Detailed Design Documents 6. Implementation Plan and Related Documentation 7. Disaster Recovery Plan 8. Business Continuity Plan 9. Transition Plan (including BOS tion . to Migrate ategy and Operations Transition Plan) 10. End of Agreement Transition Plan 11. Operations Pla 12. Standard 0 ng Proce . (including CSC Operations and TOC procedures) 13. Staffi uman Reso Management , 14. Rep • d Recon 15. Training 16 ' • enance ' cluding System Maintenance Plan and Software Maintenance Plan) T Docu •n 18. Manuals 19. As -Built Do ntation Master Test and Test Procedures Unit Tes ' • cumentation 22. t- egration Testing Documentation 23. ► cceptance Testing Documentation 24. Regression Testing Documentation 25. Full Software Integration Testing Documentation (includes Approval of all associated updated documents: SDDD, Requirements Traceability Matrix and Business Rules documents) Page 77 of 79 26. Onsite Installation and Commissioning Testing Documentation RFP. 9-1177 Exhibit B 27. 28. 29. Operational and Acceptance Testing Documentation Training Materials and Manuals Training Report Page 78 of 79 RFP. 9-1177 Exhibit B Page 79 of 79 RFP 9-1177 Exhibit B Exhibit Volume II: 305 Tech RFP 9-1177 Exhibit B CONTENTS 1. STATEMENT OF WORK AND REQUIREMENTS 1 1.1. GLOBAL SYSTEM REQUIREMENTS 1 1.1.1. Environments 1 1.1.2. BOS Functionality 11 1.1.3. Interfaces 22 1.1.4. Performance Management and Monitoring System 31 1.2. BOS MAINTENANCE AND SUPPORT REQUIREMENTS 1.2.1. BOS Hardware Maintenance 1.2.2. BOS Network System Maintenance 1.2.3. BOS Administration and Software Suppor 1.2.4. Payment Card Industry (PCI) Security S ds and Co 1.2.5. Interoperability Requirements 1.2.6. Preventive and Corrective Maintenance Re 1.2.7. Certification of PCI DSS Compliance es 1.2.8. Emergency Response Management 1.2.9. Disaster Recovery and Bu- ontinuity 1.2.10. Incident and Revenue Lo 1.3. FUTURE FUNCTIONALITY 35 8 e 41 42 43 46 46 47 47 48 1.4. ACCOUNT MANAGEMENT 49 1.4.1. General Account Managemen 50 1.4.2. Vehicles, Li - 'lates and Tr. s 56 1.4.3. Accoun 59 1.4.4. Fees, ' ies an. nsactions. 63 1.4.5. Re ed Accoun lenishmen , 65 1.4.6. tments and ' rsals 66 1.4.7. punt Status- 68 1.4.8. t Fla • 70 1.4.9. Tra ► 72 O. Incom .tomer Communication 73 TRANSACTION/TRIP PROCESSING 75 ransfer 75 entification 77 ability 78 g - Operations and System Performance 80 n/Trip Processing Lists 81 Validation and Transaction/Trip Posting 82 ND UNREGISTERED ACCOUNT NOTIFICATIONS 89 mg Notifications 89 istered Account Statements, Postpaid Invoices and Violation Notices - Genera199 1.. ustomer Statements - Registered Accounts 101 1.6.4. Customer Invoices - Postpaid Accounts 102 1.6.5. Violations Notification 103 1.7. PAYMENT PROCESSING 111 1.7.1. Payment Processing - General Requirements 111 1.5.1. 1.5.2. 1.5.3. 1.5.4. 1.5.5. 1.5.6. Page i of iii RFP 9-1177 Exhibit B 1.7.2. Payment Methods and Handling 117 1.7.3. Merchant Service Provider (MSP) 120 1.7.4. Payment Processing and Lockbox (optional) 121 1.7.5. Credit Card Processing 122 1.7.6. ACH Processing 123 124 125 1.7.9. Online Wallet Payment Processing 126 1.7.10. BOS Bank Interface Requirements 126 1.7.11. Refunds and Disbursements 127 1.7.12. Bankruptcy ....129 1.7.13. Shift Management 30 1.8. CASE MANAGEMENT 1.8.1. Case Creation 1.8.2. Case Assignment and Tracking 13T 1.8.3. Case Escalation 139 1.7.7. Check/Money Order Processing 1.7.8. Cash Processing 1.10. CUSTOMER SATISFACTION SURVEY 1.9. COLLECTIONS AND REGISTRATION HOLD 1.9.1. Collection Agencies 139 140 1.9.2. Collection Placement and Management 141 1.9.3. Collection Agency System Phase II) 144 1.9.4. License Plate Registratio • Release 145 1.9.5. Customer -Initiated Revie 148 1.9.6. System -Generated Evidenc- age 150 150 1.11. TRANSPONDER I ' ' • :Y 152 1.11.1. Invent° . nd Tracki 152 1.11.2. Tran . er Or : 156 1.11.3. In y Fulfil1m: 157 1.11.4. ponder Inve y Recycling 160 1.11.5 sponder T: 160 1.11.6. onde or the Customer 160 1.11.7. Inv: . my and Retur Manufacturer 161 .8. Inven ,posal 162 ER PO 162 ervice e 162 vice Mplication (Phase II and Optional) 172 173 Systems Requirements 173 178 181 181 182 182 183 1.14.1. General Financial Requirements 184 1.14.2. Transaction Recording 184 1.14.3. Customer Transaction Settlement 186 1.14.4. Reconciliation and Settlement - General Requirements 191 1.12. . 1.12.2. S 1.13. CUSTOM 1.13.1. Telep 1.13.2. IVR S 1.13.3. Erna' .13.4. Fa .5. TACT SYS MS t 1.14. NCIAL REQUIREMENTS Page ii of iii RFP 9-1177 Exhibit B 1.15. SEARCHES 194 1.15.1. Search General 195 1.15.2. Transaction/Trip Search 197 1.15.3. Account Search 198 1.15.4. Case Search 198 1.15.5. Comment Search 200 1.15.6. Transponder Search 200 1.15.7. License Plate Search 200 1.15.8. Notification Search 200 1.15.9. Operating and Computing Environments - Data Wareh 1.16. REPORTING REQUIREMENTS 1.16.1. General Reporting Requirements 202 202 �203 1.16.2. Informational Reports 1.16.3. Financial Management Reports 1.16.4. Operations Reports 2 1.16.5. Interface Reconciliation Reports 237 1.16.6. Data Analytics (Business Intelligence) (Ph. nd al) 248 FIGURES FIGURE 1-3 CUSTOMER TRANSACTION SETTLE TABLES TABLE 1-1: REGISTERED TRANSPONDER -BASED (FA, NT TYPES 49 TABLE 1-2: REGISTERED ' CCOUNT 49 TABLE 1-3: UNREGIS ICENSE -BASED ACC► TYPES 50 187 Page iii of iii RFP 9-1177 Exhibit B 1. STATEMENT OF WORK AND REQUIREMENTS The following subsections describe the Statement of Work and the Requirements for the Back Office System (BOS). These Requirements are numbered to track obligations per the Agree • ent and any changes which may occur during the Project. Many of the Requirements contain u specific items and required database fields. The intent of these "including but no to indicate to the proposer the intent and scope of the Requirement. During d number of items and fields will vary; however, all items and fields shall b unless the Contractor is formally relieved of the Requirement by the Age 1.1. Global System Requirements The global System Requirements define the overarching Re and system comprising the production and non-producti The Contractor is encouraged to provide innovative solu the implementation of Upgrades and Enhancements. The and/or premise -based solutions. The entire technical solutio and all Third -Party Service Providers and : usiness Partners m within the continental United States. The Agencies process more than one millio 2 Merchant by the Payment Card Industr Requirements also include Requirements fo Agencies' privacy policy and ► . ional Institute general information sec Connecting the BO' . oth the A: ies' Electro Interoperable es inside a utside Califo Business Par eauires a w' ' - • f extern require the Co develop new/mo • r rfaces at t m and enviro appropna are provide Perfo BOS the Co nce an nts 'ng lists of d to" lists is he naming and es by the BOS ents for the Hardware, So ironments • the BOS. at sim r amtenance, security and rmitted to use cloud -based ons with access to the system 'de and perform the services tions per s and Techn lassifying it as a Level Co ncil. The global System ith California statutes, the logy (NIST) best practices for oll and Traffic Management (ETTM) Systems, and to Third -Party Service Providers and terfaces. Providing for these Interfaces will ntrol Documents (ICD) when applicable and es' direction. Management and Monitoring System (PMMS) shall monitor the vide incident and work order management capabilities and data is Operations and Maintenance Phase performance as further are Support Services section of these Requirements. ultiple environments as required to complete the design, development, ery and Acceptance of the BOS and properly operate during the Operations e. It is the Contractor's responsibility to provide additional Agencies -Approved ld the ones listed herein be insufficient for the Contractor to deliver the ton. The layouts of Corona CSC, WIC and Anaheim Processing Center/data center m Attachment A: OCTA/RCTC Building Layouts and Attachment B: BOS Network and Server Room Layouts. 1 The operating environment of the BOS shall include, but not be limited to: Page 1 of 248 RFP 9-1177 Exhibit B • the primary BOS; • a secondary instance of the BOS to be used for Disaster Recovery (DR) and to support Business Continuity; • telephony system; • the Interactive Voice Response (IVR); • Automatic Call Distribution (ACD); • systems for all servicing all channels of customer munication; • Desktop Environments installed at the CSC a facilities; • network and communications elements 'led in Attac ent B: BOS Netwo and Server Room Layout; • network and communications elements le tachment C: Equipment Lists (for any Equipment that the Contracto o reuse); • all required Interfaces an , • a data warehouse (optio 2 The primary BOS server environ shall be one o a combination of the following locations: • the data :0 North Ri Irive, Suite 200 Anaheim CA 92808; • hos a Tier 3 , center faci. • • d on a well-: 4 lished cloud • e provider. 3 The pri ' OS se .ve a dedicated infrastructure such that: • if ins -premise at an Agencies facility the entire Contractor -provided BOS nd inf . ure shall be dedicated to the Agencies BOS implementation. • ted at . 3 data center facility or by a well -established cloud service p r, the -s dedicated BOS application shall run on dedicated virtual mac and/or ontainers such that only upgrades to the data center/cloud infra ture and the Agencies BOS application would potentially affect the uptime of th S and there is no possibility of functional or infrastructure upgrades req ' to service other toll customer's applications would cause any downtime or of e BOS in any way. 4 ctor shall be responsible for all modifications to the data center, CSC and WIC fa to accommodate the BOS and the Contractor's preferred operational approach, incl ing but not limited to: (Note: The Existing BOS and CSC Provider's BOS will remain collocated in the data center for a period of time beyond Go -Live and the transition to the new BOS and CSC Operations.) Page 2 of 248 RFP 9-1177 Exhibit B • data center (see data enter section below for additional detail; • Network equipment (see network section below for more detail); • CSC offices, cubicles and space layouts; • CSC power and wiring; • security system modifications and • CSC Surveillance CCTV system modifications. 5 The operating environment of the BOS shall include • s provided, sup nd maintained on -site including Desktop Environments, a . ed telephony elements required office equipment (for example, copiers an • : ge machines) and installed a following locations (refer to Attachment A: OCTe C Building outs for detail abo the CSC and WIC layouts and Attachment B: B t ork and S: ' oom Layout): • Corona CSC/WIC (primary CSC)- 301 Corp • ' er ircle, Corona, CA 92879; • Anaheim Processing Center/CSC- 180 North RI Drive, Suite 200 Anaheim CA 92808; • OCTA Store (WIC at OCTA ' Main Stree • _e CA 92868; and • Data Center - 180 North Riv: •w Drive eim CA 92808. 6 The Contractor sh. ensure the : i operation. in accordance with the Performance M: cribed in , equirements, for the Implementation and Operations a• to 'hases. 7 The Con .r shall prov .11 computin vironments required to sustain the day-to- day o ► ons of the BOthe Go -Live da • cluding but not limited to: • . ucti • • _ ithin the continental United States; • a D' ment at a secondary location within the continental United States in . differ- , e zone, or cloud -based equivalent; • ing en , ent located at the Corona CSC location; • a t • , vironme and • a de • ment environment. The Contrhall not allow access to PII to any individuals or entities outside of the U.S. • ivid d entities outside of the U.S. shall only have access to the development t with no PII. 9 Th- :encies shall have logon access to all BOS environments. Page 3 of 248 RFP 9-1177 Exhibit B 10 The Contractor shall keep all BOS environments current with all major releases of operating systems, databases, Software and firmware. Releases shall not be more than one release behind the manufacturer's latest major release unless Approved by the Agencies. The Contractor shall also make the necessary Software changes required o ensure compatibility with the evolving IT environment. 11 With the exception of the development and test environment, which testing and development cycles, the Contractor shall keep operati Software and firmware consistent across all environments, inc configuration and patch level. nge as part of s, databases, limited to 12 The test environment shall be sufficiently sized to succes test Software ch nd their effect on the production environment, including 1 d stress testing. 1.1.1.1. Operating and Computing Environments uction The Contractor is expected to provide a BOS solution thedicat: ted and/or cloud -based system and as such should provide for the following computing environment Requirements for production. 13 The BOS production environ use new Hard d Equipment for any equipment installed on -premise . e es or at a ho cility. Any Equipment listed in Attachment C: Equipment that he Cont is exempt from this requirement. 14 The BOS production environment high avai ility fault -tolerant design configuration of • age, datab. i backup systems and connected using high- speed inter- s .nd netw• fabric, including any ancillary equipment necessary .vide a co to product' stem which meets the Requirements. 15 In the of a comple ure of one or • of the components or sub -systems in the BOS p on env' .nents or sub -systems shall fail over to the seconda . t t r i e. • - : nd availability Requirements for the individual component ystems of the BOS shall not be affected. • and entation of the BOS production environment shall ensure no single- poin re exi . hin the configuration and the BOS shall continue to operate without . ss in tht any single component of the configuration fails. 17 The operati tem usefor all servers shall be a multi-user and multi -tasking operating system from anufacturer that is widely recognized and used in the United States for complex, hig ume database operations. 1: ' he opersystem shall be compatible with all Hardware, Software and other BOS o or the duration of the Operations and Maintenance Phase, including but not the Relational Database Management System (RDBMS); • the Contractor's application Software; Page 4 of 248 RFP 9-1177 Exhibit B • the Contractor's proposed network and communications topology and • all Desktop Environments and peripherals defined in these Requirements. 19 The operating system shall fully utilize the high availability BOS server archi e. 20 The operating system shall be the latest stable version at the time ementation (unless otherwise Approved by the Agencies), field -proven and have documented Upgrade path and be supported by the manufacturer. 21 The Contractor shall provide a highly reliable and secure RDB the stor mages, user accounts, transaction/trip data, Violation data and all , -r data. 22 The RDBMS shall be the latest version at the time o ementation (unless oth Approved by the Agencies) and field -proven t. ate in a complex, high-vol transaction environment. 23 The RDBMS shall be certified with the operatin: appr, e application Software and shall fully utilize the high availability BOS serv: q i • 24 The RDBMS shall support Upgrades to the operati , em, applications, memory, processors and other component 25 The RDBMS shall have a clearl c rade path •e supported by the manufacturer. 1.1.1.2. Operating anQ,�puting Envir�e�Disaster Recovery (DR) 26 For DR purpo for shall p e a DR computing environment of equivalent size and c. , ies to timary BO secondary location within the continental United S . nd in a diff: t time zone the primary BOS. 27 The . vironmen — hal ontinuously mimic the BOS production environ . ter _ . data and shall be capable of performing all functions o tion environme , at the same performance and availability levels - • ibed in t -quirements for the primary BOS. n ' - to pro. o , the bandwidth provided to the DR site shall provide for the same perfor . nd re.. of latency as the production BOS for both customers and CSC Operation . 9 The DR envir ent at the DR site shall be capable of being brought on-line and made fully operational i t ordance with the Performance Measures. n the eve • : catastrophic failure of the primary BOS, the secondary BOS at the DR site -11 be • e of sustaining BOS operations indefinitely, or until such time as the primary . e brought back on-line or a new primary site is identified and made fully o. anal. 31 The Contractor shall provide validation that the DR procedures and environment is capable of providing Business Continuity in the event of a catastrophic failure of the primary BOS. Page 5 of 248 RFP 9-1177 Exhibit B 32 The DR server environment shall be located at one or a combination of the following locations: • a Tier 2 data center facility and • a well -established cloud service provider. Al 1.1.1.3. Operating and Computing Environments - Data Warehouse The data warehouse provides for the running of data analytics (Business also allows the Authorities to either directly or upon request to the C • or, qu reports without having to compete for production reporting r ou es. The da environment stores all required data (to be defined during the I ntation Phase) fro production BOS, as well as historical and summary data impor m the existing BOS dir P� and Optional) eporting. It a and run house ew 33 The Contractor shall provide, as part of the • tion enviro• •nt, a separate dalr warehouse environment for business intellige r analytics ing. 34 The data warehouse shall be dedicated, and the req • • e • eporting shall not depend on the data warehouse in any way. 35 The Contractor shall be responsihe design and ex- • of the extract, transform and load (ETL) process from BOS during igration during the Implementation Phase and from t •w . • :OS after t . 36 The Contractor shall provide valida, that all • • to the data warehouse is complete and accurate. 37 The data ware - ent shall • ated from production in near -real time. 38 The data use envi 1 ent shall ► , •able of being updated via an ETL process from the . uction Syst: a a one-way 'cation. 39 Becau- data w. - , ctionality, if the option is executed, the Contract• ex • is • om the existing BOS, that is not being imported into the ne • n BOS, as part of the data migration process. However, the design of a ware • atabase schema, ETL process and the data analytics application shall . post k • Phase II task. 1.1.1.4. Oper• • nd Com + ting Environments - Training 1 The Contract I all provide a non -production training environment, independent from the producti ► d DR environments, to support the initial and ongoing training of the CSC Operation Agencies personnel. 41 tr workstation environments shall be located at the Corona CSC site unless the •r can submit and gain Agencies' Approval of an alternative location. 42 The training desktop environment shall replicate the production Desktop Environments, including all peripherals as dictated by the position being trained. Page 6 of 248 RFP 9-1177 Exhibit B 43 The number of training stations shall be determined by the Contractor to meet the training needs in accordance with the Transition Plan and on -going remedial and new training of personnel. 44 The Contractor shall provide the capability to restore training environment ses and to periodically refresh the training environment data from the productio , using data cleansing procedures Approved by the Agencies. 1.1.1.5. Operating and Computing Environments - Test 45 The Contractor shall maintain a BOS test environment th environment configuration for the purpose of testing an and Upgrades prior to being put into production. atches the BOS tion ing software Enhan is 46 At the Agencies request, the Contractor shall p access to t independent testing and verification to soft nhanceme being put into production. est environment fo Upgrades prior to 47 To the extent possible, the test environment shall int Providers and Business Partners and Interoperable systems. ectly to Third -Party Service test and/or production 1.1.1.6. Email, Chat, Fax and Text Mewing 48 The Contractor shall provide the ca ity f nua , ed and system triggered outbound/inboun• • -• .1 (including achments) and texting that meets the outbound/inbo ,ndence Re ents. 49 The Contr. shall pro the capab for outbound/inbound fax that meets the outbou • ound corre dence Requi nts. 50 The C • or shall . f chat sessions that meets the Requirements. 51 The Controvide the capa • y for multiple outbound domain name emails to • spam b . 4 may provide an alternative solution. Pr for sh. ide the capability for Authorized Users to view system -generated status i - tion fo onic messages (such as, email, texting or fax) that are sent from within th- , applic. . For example, an Authorized User (e.g., customer service representati erifies that email messages have been successfully sent from the BOS. Hardw Software and Other Equipment 53 e Co • • r shall assume maintenance, administration and Upgrade of the CSC - CCTV and security access systems as detailed Attachment C: Equipment List. ractor shall be responsible for replacing and Upgrading these systems as required ove e term of the Agreement to meet the Contractor's operational and security approach, the Requirements and the Security Standards. These replacement or Upgrade of these systems shall be accounted for in the Contractor's proposal pricing and will not be separately paid for by the Agencies over the term of the Agreement. Page 7 of 248 RFP 9-1177 Exhibit B 54 The Contractor shall provide completely new Desktop Environments for all CSC Operations personnel. 55 Immediately after Go -Live and upon Agencies' Approval, the Contr for shall decommission and securely box, package, label and provide to the Agencies position the existing Desktop Environments and other CSC equipment not reused ontractor. 56 The Contractor shall integrate with the BOS all Agencies' provided o ed 6c and T21 transponder readers/programmers for use in the CSC. 57 The Contractor, with the Approval and assistance of the A ies, shall e any additional 6c and T21 readers/programmers required for CSC on a cost pa ugh basis. 58 All Hardware and Software shall be new, comm available products currentl production, of the latest design/version at e of purc (unless otherwise Approved by the Agencies) and field -proven' olume re operations, including but not limited to: • Hardware; • Software; • firmware and • other supplies, equipment • pone► 59 All Hardware and • e shall be o , �. rom multiple sources readily available to the Agencies, u • e Approv: e Agencies. An exception to this may be the Contractor's -dev: d Softwar- 60 The Co• or shall pry e a dated i e for all materials procured under this Agree . Shipping bi t• • - etained a opies furnished to the Agencies along with the inv► which 61 All commer . re provided as part of the BOS shall be enterprise class. Enterprise - • plicati • - designed to be robust and scalable across a large organization and izable - t the specific needs of the BOS. Note: Do not construe this to require enterel soft , enses. It is the Contractor's responsibility to provide the proper level of s • e licens 62 The solution , ished and installed shall be appropriately sized for capacity, as required to support gr, in traffic volumes at the Agencies' Toll Facilities. It also shall be scalable, allowing for , ional transactions/trips, images and Toll Facilities to be added for all BOS unctions continuing to meet the Performance Measures. 63 C► for shall use field -proven Hardware, Software and equipment configurations t . ort future Upgrades to processors, memory, storage, operating system, database an • er system components. 64 Licenses and Software media (or online access for downloading media) shall be provided to the Agencies for all Hardware, third -party Software and firmware procured, furnished and installed as part of the BOS. Page 8 of 248 RFP 9-1177 Exhibit B 65 The Contractor shall retain authorized copies (backups) for all Software media as required for use in periodic BOS maintenance, Upgrades or system restores for a minimum of one year. 66 All Hardware and equipment provided to support BOS and CSC Opera ' networked and fully integrated with the functional BOS (including PMMS Environments. shall be e Desktop 67 The standard Point of Sale devices shall support Europay, Master (EMV) chip integrated circuit card and contactless Near Field Commun(NF 'ces. The Contractor shall ensure compliance with EMV chip guideline for ip card tran s and International Standards Organization (ISO)/Internatio ctrotechnical Co on (IEC) 18092 specifications for contactless NFC transac ' 68 Check scanners (for remote deposit capture) shall ' e, but not b limited to: • high accuracy Magnetic Ink Character ition (MI e; • compliance with "The Check Clearing Act ntury" (Check 21); • check defacement features and • alphanumeric Optical C ition (OCR) nt recognition. 1.1.1.8. Agencies Provided Data Cente The Contractor shall propose the best solu Contractor's BOS soluti the instal center, the following ly. delivery the BOS application. If the equipment in the Agencies' provided data 69 The Co• or shall be r ,nsible for d ining and paying for any and all required data , furnishings , .. - • -s, inclu but not limited to: • c• -r r wiring . ring management/distribution; • ' ies; • po d pow- tribution; • unint ptible power supply (UPS); • gene ;• • y; mmunications and • network. Page 9 of 248 RFP 9-1177 Exhibit B 70 The Contractor shall procure, design, furnish and install an electronic Interface to monitor the performance of all data center power management, fire suppression, UPS, generator and environmental controls components. When redundant/standby systems are activated, or when conditions exceed/are outside of the range of the operating R irements, Notifications and Alerts shall be generated and reported to the PMMS. T all be no loss of data in such conditions and the integrity of the BOS shall be main 71 The Contractor shall provide or take over the maintenance of dat detailed in Attachment C: Equipment List. quipment as 1.1.1.9. Network, Communications and Telephony 72 The Contractor shall provide all required network e9 -nt and communications connect the CSC and BOS to all required systems ies, Contractor personnel, Ag Authorized Users and customers, including: 73 • ETTM Systems network communicate. descri • Attachment B: BOS Network and Server Room Layout; • Agencies' staff locations; • CSC and WIC sites as d- :ttachment B::. ork and Server Room Layout; • all agencies designated Thi rty Servi ► . nd : usiness Partners; • all Contractor designated Thi r ice Prow• - s and Business Partners; • all Co •d BOS en ents; • c ers accessi e BOS or C telephony, IVR and all other channels and • omers acce- '' is the -rnet. 74 The Cont . h. . ide the to - . systems for all CSC Operations personnel at the Corona CSC . the Anaheim Processing Center/CSC. Note: The telephony system at i Store .t OCTA building) will continue to be provided by OCTA. The . or sha .de new or assume maintenance of all network equipment as detailed i chmen ipment List. 76 As part of th; .lementation Phase, the Contractor shall replace any network equipment and commun i ons to increase throughput as required to meet the Requirements. The Contra, ay assume maintenance, administration and Upgrade of the designated ' I S net and equipment throughout the Operations and Maintenance Phase, as 1: ttachment C: Equipment List. 78 Thwork connection to the ETTM Systems shall be of sufficient bandwidth to support the transfer of images, transactions/trips, Transponder Status Lists and other required files. Page 10 of 248 RFP 9-1177 Exhibit B 79 The Contractor shall increase throughput and bandwidth as needed to eliminate system latency and meet the Requirements. 80 The Contractor shall provide network monitoring Software to track the BOS n twork and all communications lines. All network notifications and alarms shall be r d to the PMMS. 81 The Contractor shall provide the capability for time synchroniz one or more certified time server(s). The Contractor shall provide for redund ' e sources should the primary source be unavailable. 82 The Contractor shall ensure proper synchronization with TM System's ti ces. 83 The Contractor shall provide secure remote access ull capabilities of the B Agency Authorized Users working remotely. 84 The Contractor shall be responsible for ring that OS networks and communications are compliant with the Securit rds. 1.1.2. BOS Functionality The BOS functionality Requirements b • • design of a G 1 e BOS. Through the GUI, Authorized Users (from within the CS (coming t a website or mobile application) will access a user account a her i , ithin thS. This section of the global Requirements also includes Require ntrolling user access to the BOS, logging and security controls and main . g e data rough regular purging and archiving of stale records i ance with t Standards. The GUI design understandin operation. The to modify. (GUI) computer i of menu-driv try design standards for ease of readability, erations, user customization and intuitive SR or customer minimizing screens and clicks 85 The Contrac provide a secure, browser -based GUI for the BOS application, Self- - Websit 11 external Interfaces. The . or sha ide for secure communications with the BOS application, all custome is and rnal Interfaces, such as Hypertext Transfer Protocol Secure (HTTPS) or ar. The GUI shall ere to accepted development standards and specifications, including but not limited , orld Wide Web Consortium (W3C) and HyperText Markup Language (HTML) V- 5 or current standard. 88 or shall follow Payment Card Industry Data Security Standard (PCI DSS) and security practices in the design of the GUI for the BOS application, all customer po and all external Interfaces. 89 The GUI design and development shall incorporate human factors and usability engineering and be optimized for speed, as well as provide the following controls, including but not limited to: Page 11 of 248 RFP 9-1177 Exhibit B • menus (such as pull down, popup, cascading, leveling, etc.); • allowing for multiple windows within the application, such as to navigate back without having to re-enter a user account; • informational messages; • positive feedback; • exception handling and error dialogs, including loggin ror PMMS); • control icons, links and action buttons; • data entry fields, combo boxes, check boxes; • display (read-only) fields and • general and context -specific help men 90 Data entry screens shall have Configurable mandat at require data entry prior to continuing through the process. 91 The Contractor shall provide fi lidation and fo rification upon existing data fields applicable to pre-defi 'o • ndards, inc ut not limited to: • alpha -numeric; • date; • time; • s• character• ah; • •1. ber .a _ . ividual issuing Jurisdiction rules) fields; trans • numbers; • • hone • r; • e • dress; • ZIP • Istal codes and • che, git, checksum, Modulus-10 or other verification algorithms for fields such a • s it Card number. 92 ‘4r . ctor shall provide field -level "tooltips" or other interactive help, Configurable by t' , -m administrator, that provide specific guidance on any field presented, including but •t limited to: • alpha -numeric fields; Page 12 of 248 RFP 9-1177 Exhibit B • date fields; • time fields; • special characters; • username and password; • length restrictions; • license plate number (based on individual issuing Juri on rules • transponder fields; • telephone number fields; • email address fields; • ZIP or postal code fields and • Credit Card number fields. 93 The Contractor shall provide th for Authorize to maintain drop -down lists, including but not limited to: • add items; • deactivate items; • set eff: - and deact Imes; • items; • n gle item vis . ; , • • • ff; • dis . • er; • char': •'splay order; the de . -1ue and • c the de . .lue. 2.2. BOSAp tion Requirements The Contr shall provide navigation optimized for speed and with identical screen esent nd user experience, regardless of the browser used. The BOS application and advise if the browser being used is out-of-date or not supported, as well as i here updates can be obtained. 95 Help menu/dialogue box shall be provided for each screen, each editable field and each selectable option within each screen. Page 13 of 248 RFP 9-1177 Exhibit B 96 The Contractor shall provide workflow and application help menus that integrate seamlessly into the user interface. 97 The Contractor shall provide help menus that provide clear descriptions and w procedures for all standard tasks. k-through 1.1.2.3. User Accounts, User -Roles, User -Role Management and Contro User account management and role management is an important compo o t all security of the solution. Authorized Users are Approved users that have role-b• redenti. -ccess the BOS as an employee of the Contractor, employee of the Agencies, r• 'arty Service er, or contractor of the Agencies. 98 Authorized Users shall access the BOS using an , Mated, role -based login anag. uniquely identified and authenticated using a st .assword po ' 99 The Contractor shall provide the capability for • ivileg: ounts to use tools with administrative capabilities conforming to the conce. vilege. 100 Allow for full integration with Microsoft Active Direct 1) or similar access system Approved by the Agencies so use required to ente . to passwords for system access (the BOS shall prompt ' credentials . $t allow pass -through authentication), and that all rulr p. • urity (fo ple, characters or rotations) are enforced and passed een the - • the a. plication. 101 The Contractor shall provide the cap. e (Con i:. . •le) BOS user accounts. 102 The Contractor • the capab • create a new user account having the same role/rights . xisting account. 103 The Co • or shall pro the capabilit .11ow first name, middle name and/or last nam - hanged wi i• • • o create • w user account, such as to correct an error or mak• ge be •rce. 104 The Contra provide the capability to search for Authorized Users using • rable c . The . or sh. ide the capability to track user accounts created dates and disabled . inform. ince user accounts may be enabled and disabled repeatedly over a pen • time (be se of leaves of absence, etc.). 6 The Contracts all provide the capability to search and view all information about a user account on a icular date and time. 1 ' e Con shall provide the capability to control all access rights within the BOS • u : assignment of user -roles. 108 Th. shall prevent the direct assignment of rights to an Authorized User, and all rights must flow from a user -role. 109 The Contractor shall provide the following user -role capabilities, including but not be limited to: Page 14 of 248 RFP 9-1177 Exhibit B • allow Authorized Users to belong to multiple user -roles; • allow the deactivation of a user -role, provided no active Authorized Users are assigned to that role; • ensure modifications to roles are immediately propagated throu • :OS and to all Authorized Users currently assigned to the role; I • prevent BOS access to users who are not assigned to a us: • provide a built-in "read-only" capability that can b. ded to a •r-role, allowing user accounts assigned to that role to vie ormation on the and print reports (but not make changes). 110 The Contractor shall provide the capability for an ized User to view the summar permissions of a user created with multiple user . 111 The Contractor shall provide the capability fo rized to manage user -roles, including but not limited to: • create new user -roles; • change access rights; • assign and un-assign user s to us • assign and un-assign user a its trole , • adjust . • d • de- :te user-r 112 The Cs or shall pro he capability uthorized Users to manage multiple levels of acc trol base • • udi : but not limited to: • b . al level, for exa . e, user -role X is denied access to the user account man. , t functionality; ailed '. al level, for example, user -role Y is allowed access to the user nt ma •nt functionality but denied access to close user accounts f and • field el, for example, user -role Z is allowed access to the user account man ent functionality but denied access to the tax-exempt checkbox. 1 he Contr shall provide the capability for Authorized Users to deny/allow access or w r y access, based on user -roles, including but not be limited to: specific menus; • specific items on a drop -down list; • specific individual screens; Page 15 of 248 RFP 9-1177 Exhibit B • specific functions on a screen; • specific fields within a specific screen; • specific types of transactions/trips; • specific processes; • specific reports; • specific activities based on account status; • specific search capabilities; • specific transaction/trip approval privilege • specific workstation location access; • specific workstation time restrictions an • specific time restrictions. 114 The Contractor shall provide t, •'lity to configur as part of a user role definition, so they can be viewed oles. 115 The Contractor shall provide the ► ility to to the MMS for logging and notification based on the assignmen, oval • - ole (Configurable as new user -roles are created . 116 The Contracto he capabi search for all Authorized Users with a specific role and all : ccounts 1 a specific , s right. 117 The C•, or shall pr► - the capabi o search and report on user -roles for a parti gate, distin_ - • •n an a, ie user account (able to access information accordi , . s role • . nt (temporarily unable to access information because osword or expi rom lack of use) and a disabled user account (a -r accoun . ger able to access information because of the intervention of an '• -d Use : The B 0 keep . • istory of all user -role details with effective dates so the exact rights for . icular u .le can be viewed by Authorized Users at any point in time. Loggin hanisms echanisms ide chronological recording of system events and user account activities. Th docum- a sequence of activities that have been affected at any time during a specific opera or event. 119 TheWntractor shall provide comprehensive, system -wide logging capabilities ensuring every change to a BOS record of any type is logged with a date/time stamp, including the Authorized User (and IP address) that made the change. 120 The Contractor shall ensure that system clocks are synchronized. Page 16 of 248 RFP 9-1177 Exhibit B 121 The Contractor shall provide the capability to log all changes to user accounts. 122 The Contractor shall provide the capability to log all changes to the Processing Exception List. 123 The Contractor shall provide BOS reports, including but not limited to: • reports of logged activity by activity type and • reports of logged activity by user accounts. 124 The Contractor shall create a log when a user -role is assign c nged or rem om a user account. 125 The Contractor shall provide screens so Authorized can view all log files. 126 The Contractor shall provide the capability t nd track al activities and user accounts viewed by specific user account with ' e stam workstation location. 127 The Contractor shall provide Configurable Alerts to or all functions of the BOS which are logged. 128 The Contractor shall provide log. ' • cludes actions t 'thin a user account with date and time stamp. 129 The Contractor shall provide loggi, f all cha .dd, d ete, modify) to Credit Card information. 130 The Contractor s . • e logging o ogin attempts, including but not limited to: • use . •;• • _ nating Inter 'rotocol (IP) . •ss; • • tim. ccess . 1 The Co r shal ' • e logging of all customer login attempts, including but not limited to: • Unif Resource Locator (URL); • use ount; • ser/platform including version number; originating IP address; • date; • time and Page 17 of 248 RFP 9-1177 Exhibit B • success/failure. 132 The Contractor shall provide audit logging capabilities that provides the ability for view access by CSR and/or by account to have the review of users that have accessed a account or Case even if no changes have been logged. 133 The Contractor shall create a log of all changes to system configurati • settings and record the user name, date, time and IP address from which the cha ade. 134 The Contractor shall be in compliance with all PCI DSS log req •ts while preventing any logging of Credit Card numbers or card verifi . •n value d. luding debugging and error logs. 135 The Contractor shall be in compliance with all PII to equirements while prey• . any logging of PII data, including in debugging and ogs. 136 The Contractor shall provide the capability nerate an o the PMMS when debugging logs are turned on within the product iron 137 The Contractor shall prevent tampering with log file 138 The Contractor shall provide t bility to log an changes to applications, databases and operating system 1.1.2.5. BOS Security Standards, PII a The Contractor shall provide security and acc These Security Standard e as standa the term of the contra n accorda with the Security Standards. practices and California statutes evolve over 139 The Co the 1. to: d is approac : OS and use rity shall continually provide adherence to le ecifications . ons, police d standards, including but not be limited • co _ ,ith PCI DSS; rotecti • confidentiality of PII in accordance with the Agencies' privacy . cy; • p ing the c. : entiality of PII in accordance with Section 31490 of the Streets an ways Code and other applicable California statutes; • prot g the confidentiality of PII in accordance with the recommendations in pu ion 800-122 from the National Institute of Standards and Technology or subsequent versions; cryption of data in accordance with NIST SP 800-111 Guide to Storage Encryption Technologies for End User Devices; • protecting the confidentiality of PII in accordance with the California Civil Code Section 1747.08.; Page 18 of 248 RFP 9-1177 Exhibit B • account for information security management risk as described by NIST Cybersecurity Framework special publication 800-39; • conformance to applicable best practices for information security ma ement as described by the ISO/IEC 27000 standards; • the security Requirements and • all California and out-of-state DMV security requirement ds. 140 The Contractor shall establish and maintain a formal, documen andate , d CSC Operations information security policy that shall be com • 'cated to all Con and Subcontractors personnel in a relevant, accessible, an rstandable form an e regularly reviewed and evaluated to ensure its opereffectiveness, compliance all Security Standards, applicable laws and regul. ., and to address new threats a risks. 141 The information security policy shall address all .ble except in the context of Contractor's routine back-ups or as otherwise se •proved by the Agencies, Contractor shall institute strict physical and logical se ontrols to prevent transfer of BOS data via removable media. 142 The Contractor shall provide st 4 encryption , ensitive information, including PCI and PII) stored with taba or being itted (in -motion). 143 The Contractor shall use strong enc 'on m: S FIPS-179 (128 bits and higher) or RSA (2048 bits and higher : n , alent if Ap . oved by the Agencies. 144 The Contracto -ncryption . that are considered sensitive information and stored on a r iately s . - d servers. 145 The Co or shall pre any unauth • 1 user, system or database administrator from g encrypte . • . ' n une pted form, while providing the capability for Aut' . User mation in unencrypted form to perform tasks based on a - 1 4 tractor - nsure that no cardholder data, such as Credit Card numbers or card + - - value ► in any BOS environments. 47 The Con shall - - that no PII data is in the BOS environments other than production, nd test. 8 The Contract all provide comprehensive user credential controls that are compliant with PCI sta I s, including but not limited to: • - t the creation of 'generic' user accounts - all user accounts shall be . ociated to a specific person. For example, use the unique employee ID as a equired field for each user account. Duplicate IDs would be rejected and • prevent a user (role -based) from logging in at two different machines at the same time, while allowing a single user on a single machine to have multiple sessions open at the same time. Page 19 of 248 RFP 9-1177 Exhibit B 149 The Contractor shall provide the capability to configure different user credential controls for different types of users, including but not limited to: • Authorized Users who will access the BOS; • Third -Party Service Providers and Business Partners that acc e BOS via external Interfaces and • customers who will access the BOS via the Self-Servi Self -Service Mobile Application and the IVR. 150 All Hardware shall be integrated with the PMMS and confi • d to provide PM is in relations to out-of-date security software and patch ver ' 151 All Hardware shall be integrated with the PMMS a • igured to provide PMMS alert relations to all attempted intrusions, virus attac. somware a s, spamming, denia of service and attempted/successful unauthor' cess. 152 For any Hardware removed from the BOS, the . all provide a notarized statement, detailing the removal or destruction met . , the data sets involved, the date of destruction, and the comp . ny or individual wh • • rmed the destruction. The statement shall be sent to the A: • 'thin fifteen (15) . r Days of removal of the Hardware. The destruction or er. 1 • information . • t to this Section shall be in compliance with industry B: racti T SP 801 uidelines for Media Sanitization) 153 The Contractor shall •rovide a repo al ity inci• • . The agencies or its third - party designee • of obligate • • rm audits, security tests and intrusion tests of BOS enviro• y also inc •ut are not limited to, interviews of relevant personnel, - , of docu tation, and echnical inspection of systems. 154 The C• or shall pro for Agencies' •w any original security reports related to secur -ssments • . ha dertaken to assess BOS and shall notify the Agencie ecu ' . - - hival Agencies information c Requirements for a etention schedule t viding the Agenci he Cont nti e Control Mechanisms ore, are subject to the law governing the retention and disposition red as record. The Requirements for archiving and purging include ting the activities in a way that maintains compliance with the Contractor provided as part of the Contractor's Maintenance documentation, while ethod to Approve the disposition of records before they are deleted. s archival and purge processes shall be in compliance with the data uirements set forth in the Security Standards and Volume I, Section 4.2.18 156 The ontractor shall provide the capability for fully automated and Configurable storage of historical data (archival) and the permanent deletion of inactive or obsolete data (purging). Page 20 of 248 RFP 9-1177 Exhibit B 157 The Contractor shall provide the capability to store 100 percent of the BOS electronic information in accordance with the data retention Requirements set forth in the Security Standards and Volume I, Section 4.2.18 Records. 158 The Contractor shall provide the capability to store 100 percent of the : ' ectronic historical information indefinitely if they have enduring significance to the ' ies activity (i.e., permanent, evidentiary, and/or historical value) in accordance the retention schedule. 159 Archival and purge routines shall be Configurable for eac• •acte• element, including but not limited to: • transactional data; • all formats of customer PII data; • Images (Violations -related and I -Toll- ); • documents; • Notifications; • BOS logs and • third -party provided files. 160 The Contractor shall provide the cap. y to . I e . . . onthly interval. 161 The Contractor s - • - the capab • urge archived data on a periodic basis. 162 Authorized . shall ha e capabilit \ equest retrieval of archived data through the Contract• cketing syst ncluded in MS. 163 All a data shal - • • erm. nt, long-term storage media and shall be maintai . sec _ ird-party commercial data storage facility. 164 Servers shal ansaction/trip and summarized data, all images and BOS logs online • cified r. • f time and then archive that data. Data s *urges rdance with the data retention schedule. 166 The Contra, hall pro - the capability to notify the BOS maintenance personnel via the PMMS a Con . ble number of days in advance and require Authorized User approval for when archiv. d purging jobs are to be executed, including but not limited to data elements im , • d, date range applied and data size impact. 16 er su 1 archival of data and confirmation via the PMMS, the deletion of online data tomatic, without user intervention and shall generate a message to be t ed according to the PMMS rules. Absolutely no transactions/trips shall be deleted unl- . confirmed to be successfully archived. 168 The BOS servers shall be sized to accommodate for the restoration of selected archived data (one -year minimum). Page 21 of 248 RFP 9-1177 Exhibit B 169 Authorized Users shall be able to generate queries from the restored data. 1.1.3. Interfaces The Contractor is responsible for working with the Agencies, Interoperable Agenci Operators Committee (CTOC) and Third -party Service Providers and Business P developing, documenting, testing and implementing all required Interfaces a als. 1.1.3.1. General Requirements for External Interfaces Electronic Interfaces are required to provide BOS connectivity. The ch cal specificar these Interfaces are documented in ICDs that have either already been ped by the Agen hall be developed by the Contractor. The ICDs include Requireme data format and trans criteria for acknowledgement and validation of transmitte and procedures for recordin reconciliation as appropriate for each Interface. Ifornia Toll in designing, 170 The Contractor shall develop new or comply wit ' g el c Interfaces. 171 The Contractor shall provide for guaranteed trans data for all Interfaces and portals. 172 The Contractor shall provide for • conciliation o nsmitted and received data and files. 173 The Contractor shall provide the c. lity for s to access and view the contents of files, including compress, e ed files, are received by the BOS and transmitted b - 4 in a reada • Authorized Users shall have the capability to save the co r les. 174 The Contr shall prov he capabili r sending real-time Alerts to the PMMS for Interfa . data trans • n failures, in, g but not limited to: • ime da d monitoring Interfaces; • wo r Interface for managing and monitoring steps within each Interface; atus a • ry of executions; • ehensi, -duling of file transmissions; • too viewing data and/or contents of files received via Interfaces and portals (co sed or encrypted); • co ensive reporting for transmitted and received t data and files; • integration with the PMMS and notification of failed transmissions and capability to manually execute a failed transmission. 175 When using File Transmission Protocol (FTP), the Contractor shall utilize Secure File Transmission Protocols (SFTP) for the transfer of data and/or files via Interfaces and portals. Page 22 of 248 RFP 9-1177 Exhibit B 176 The Contractor shall provide the capability to transmit and receive multiple files during each scheduled batch. 177 The Contractor shall provide the capability to transmit and receive multi a full and incremental files in a day. 178 The Contractor shall utilize file naming conventions that prevent the rite of data and/or files. For example, include the date and time of transmission. 179 The Contractor shall provide file handling and processing th ide for a complete log of the data and/or file transfer process. 180 The Contractor shall provide validate records and id errors in the recei to and/or files, including but not limited to: • mandatory fields; • data formats; • data validity (for example, user account nu and in the BOS); • duplicate records; • unexpected response; • checksum/record count ve . tion an •► • incorrect status. 181 The Contracto the capabi . correct and re -transmit data and/or files. 182 The Contr shall provi e capabilit process re -transmitted data and/or files. 183 The ctor shall pr • .. ability t . nsmit the error details to the transmitting entity, . as rec • 184 The Contra • rovide the ability to identify missing records/transactions/images - • uest th - mission of such missing records/transactions/images. . The . or sha - cile the transmitted records to the records received and accepted by the re. : entit . 186 The Contrac, hall provide the means to identify Interface issues by validating the file transmission ess, including but not limited to: • cre and transmission of data and/or a file at the scheduled time, even if there . . records to transmit; -termination if the data and/or a file was transmitted or received at the scheduled time; • creation of Alerts to the PMMS if data and/or a file was not created or received at the scheduled time; Page 23 of 248 RFP 9-1177 Exhibit B • creation of Alerts to the PMMS if received data and/or a file was not acknowledged; • creation of Alerts to the PMMS if records in the received data and/or file had errors when processed; • provide details in real-time to the PMMS of each failed record an. • creation of Alerts to the PMMS when a response has n • • received for individual records within the expected duration. 187 The Contractor shall provide data and/or file transmission a • conciliati. , orts as described in these Requirements. 188 All responses received from third -party Interfaces a actions required of the . party to a file transmitted by the BOS shall be as ed with the original transact . including but not limited to: • Violation data and images; • images of check copies for a payment; • Notifications to custome - • smitted by the Co Agency; • comments and dispositi r a ' , the respon nd • emails received from the tomer r- •eci is transaction/trip or Violation. 189 The Contractor , e the capa , Authorized Users to obtain the history of updates to a io 190 The Con . r shall pro a dashboa . t tracks the progress of data and/or file trans - . ns through stage and the knowledgements by the receiving entity, inclu 11 not limi • tr. A rips eligible for tr. nsmission; Ile an e a created with file name; • d/or • .-nsmitted; • file or data ceived; • file a sr data accepted; • fil• /or data rejected; • and/or data re -transmitted; number of records in the file and/or data set; • number of unique user accounts and • number of failed records. Page 24 of 248 RFP 9-1177 Exhibit B 191 The Contractor shall provide the capability for Authorized Users to configure the relevant parameters related to file and/or data transmission for each Interface. For example, scheduling the time -of -day that a specific file is transmitted. 192 The Contractor shall monitor the disk capacity where files and/or data are ited and send an Alert to the PMMS and third -party entities (if applicable) if folders ar capacity (Configurable) or full. 193 The Contractor shall provide the capability to automatically archiv processed data and/or files after a number of days (Configurable). 194 The Contractor shall provide the data to reconcile file tran- ions. 195 The Contractor shall conform to any existing ICDs, i g any updates required time of design and develop all new ICDs that a . uired to be developed. It is Contractor's responsibility to ensure all ICDs (in► g existing) a curate, updated an meet the Requirements of the BOS before d: • ng the In •s. Standards -based Interfaces shall be used when available and all Int • shal . proved by the Agencies. 196 The Contractor shall implement required updates t. aces at the direction of the Agencies at no additional cost to t Agencies. 1.1.3.2. Interface to the Agencies'E This Interface connects the BOS with bot transactions/trips, images, toll rate informat to the BOS for processing a transmitting M Systems for transmitting er fi • se plate files and other data to back to the ETTM Systems. 197 The Contra all com ith the exi ETTM Systems ICDs. 198 If the :' plementati• quires an up to either or both ETTM Systems ICDs, the Cont shall devel• - - D and c inate all design, development and testing with th. Syst- 199 The ETTM es may include many data fields, including but not limited to: ip tran ID; • 1; • tim p for when the trip started; • amo of time that was being allotted for travel from the pricing sign to the toll zo• • . pancy setting applied for the overall trip; Clean Air Vehicle identifier for overall trip; • motorcycle identifier for overall trip; • image -based or a tag -based trip identifier; Page 25 of 248 RFP 9-1177 Exhibit B • total fare assigned for the trip; • total fare that was in effect at the time of the trip; • primary transponder ID for the overall trip; • license plate number for the overall trip; • Jurisdiction of the license plate for the overall trip; • license plate type for the overall trip; • segment identifier; • lane identifier; • lane mode identifier; • Straddle - This is a yes/no type identifi het e vehicle was straddling the lane line when it went through the toll • timestamp for when the t -- • saction occurred; • transponder items belo a erated for e nsponder read at the toll zone, with all of the s ction - • for eac sponder; • transponder ID; • timesta ► e transpo read; • tra • der sta • sponder typ • sonde • pn sponder identifier; • • uffere • • onder read identifier; • us tra , er read identifier; • lic - • late num • er selected for the transaction based on confidence values; • jun on of the license plate selected for the transaction based on confidence val • se plate type selected for the transaction based on confidence values; OCR confidence; • occupancy detection system occupancy assigned (if applicable); • occupancy assigned; Page 26 of 248 RFP 9-1177 Exhibit B • Clean Air Vehicle identifier; • motorcycle identifier; • Image items below shall be enumerated for each image captured a oll zone, with all of the subsections being listed for each image; • file name for the image; • camera that took the image; • timestamp for when the image was captured; • license plate number reported by the OCR/i view system for the ind image; • jurisdiction of the license plate repor the OCR/i view system for the individual image; • license plate type reported by the OCR/im system for the individual image; • OCR confidence value • e plate assign he OCR/image review system for the individua g- . • payment type identifies her the saction registered as an Image -Based or a Transpon , : as sacti. 200 The Contractor . ce to OC xpress Lanes ETTM System to obtain and acknowledg- •erc• all transak s/trips, associated transaction and Violation images in i ance wit ICDs to be •loped during Project design. 201 The : ctor shall In ce to RCTC's • press Lanes ETTM System to obtain and ackno , - 100 pe - - . • I /trips, associated transaction and Violation images i a r the eveloped during Project design. 202 TTM Sy terface shall be capable of the following Configurable functionality, • but no • d to: • g the . • hensive and incremental Agencies Tag Status Files and License P . tatus Fi : or both the CTOC Agencies' and Interoperable Agencies') in rea e and at scheduled intervals (e.g., every 10 minutes). The BOS shall sup 1 sending the Tag Status File and Plate Status File as single file or as sep. • files; • - g Interoperable Agency transponder statuses periodically (incremental and prehensive) multiple times per day (e.g., every 10 minutes); sending rental car files (incremental and comprehensive) multiple times per day (e.g., every 10 minutes); • sending Plate Correction List from customer disputes and audit checks no less than every hour; Page 27 of 248 RFP 9-1177 Exhibit B • sending Processing Exception List maintained at the BOS no less than every hour; • receiving Transponder -Based Transactions/Trips; • receiving Image -Based Transactions/Trips (including license p number, Jurisdiction, and type, if required), and • receiving other files (such as toll rate schedules and variabl • . information). 203 The Contractor shall provide the capability to positively ac , dge message receipt, negatively acknowledge or reject a message ( and r- - data transmissions from each individual ETTM System. 204 The Contractor shall receive and store color and and white images fo transaction that comprises the trip, separately f oth the OCTA and RCTC E Systems including: • ROI image(s); • full rear image(s); • full rear straddle image • overview image(s). 1.1.3.3. Interface to the Interoperable cies _ This Interface connects t the Inter Agencies for data exchange. 205 The Contr. shall pro the Interf WRTO/CTOC Interoperable Agencies and Region. ational Hu ► A r the functio described within these Requirements and in ac ce with late re WRTO C ICDs. 206 The Con sh. ,!lee __ to obtain and acknowledge 100 percent of all transaction • images from Interoperable Agencies. actor ovide the capability to transmit 100 percent of all Interoperable Agen 01 mer t . . ons/trips and images to their respective Interoperable Agencies. 208 The Contrhall pr• the capability (Configurable) to transmit the Agencies' plaza update (incl, _ addition of new plaza facilities) information to Interoperable Agencies. ' • The Contrac , shall provide the capability (Configurable) to receive Interoperable Agencies' pl , pdate (including addition of new plaza facilities) information. 210 - Co , or shall provide the capability (Configurable) to transmit the Agencies' - . er Status Lists (TSLs) to Interoperable Agencies. 211 The i ntractor shall provide the capability (Configurable) to receive Interoperable Agency TSLs from Interoperable Agencies. Page 28 of 248 RFP 9-1177 Exhibit B 212 The Contractor shall provide the capability (Configurable) to transmit BOS customer license plate numbers to Interoperable Agencies. 213 The Contractor shall provide the capability (Configurable) to receive license pl a numbers from Interoperable Agencies. 1.1.3.4. Interface to California and Arizona DMV This Interface connects to the California and Arizona DMV to obtain i address, vehicle make/model, CAV designation, VIN) about vehicles toll amount. ail to p h as name, pay the 214 The Contractor shall provide and administer a dire Interfaces for the purp obtaining registered owner information for vehicle lling in the Express Lanes Faci and the placement and release of vehicle Regist olds, inclu • California DMV; • California Temporary License Plate DMV data • Arizona DMV. 215 Whenever available, the Contrac a -line DM ce allowing for real time look ups and updates. If mu •DMV e avail to provide the same information, during the Implement. Phase _ 1 direct the Contractor as to which Interface to implement. 216 The Contractor • proval fr • alifornia and Arizona DMV to be a processor for both RCT OCTA. 217 The Co •r shall main all security irements required by both California and Ariz V. 'al Car Service Providers ntal Car Service Providers to exchange transactions/trips, vehicle, ents and payment information with the BOS, for rental cars that ities. hall provide the capability to transmit and receive vehicle information companies using a Rental Car Service Providers. shall provide the Interfaces to Rental Car Service Providers for the escribed within these Requirements and in accordance with ICDs to be ring Project design. tractor shall provide the capability to schedule and automatically send periodic (Con igurable) detailed rental car account toll transaction/trip files to Rental Car Service Providers. Page 29 of 248 RFP 9-1177 Exhibit B 1.1.3.6. Interface to Tranporation Corridor Agencies (TCA) for the Dispostion of Rental Car Trips The Transportation Corridor Agencies (TCA) intends to host rental car plates and transponders and collect tolls on behalf of other CTOC agencies. 221 The Contractor shall provide the capability to transmit and receive from TCA in a separate TSL and License Plate Status File IOP file . information 222 The Contractor shall provide the capability to provide TCA wi amo plates and transponders in the rental file and process payment m TCA. e for the 1.1.3.7. Interface to the Agencies' BOS Bank This Interface is to the Agency -provided bank to retrieve ired bankirjg information. 223 The Contractor shall provide an Interface to the Bank ieve, process and store all information required to support the all-electro b conciliation process. 224 The interface shall support the use of Positive Pay to de ck fraud. 1.1.3.8. Interface to California Fran This Interface is to the California FTB Tax intercept information. 225 1.1.3.9. FTB) Tax It Program • ide an receive all required tax The Contractor s • • an Interfa, California FTB to retrieve, process and store all informatio - . re . port the tercept process. ces to Ag co ing Systems 226 The Cont • ur. ose of is ovide an In to OCTA's financial accounting system for the and checks and other accounts payable checks. - . ctor s ovide an Interface to RCTC's financial accounting system for the purpo . ocessi cy issued payments. 228 The Contra purpose of r. hall pro de an Interface to OCTA's financial accounting system for the I ing financial activity to the general ledger. The Contrac , urpose of hall provide an Interface to RCTC's financial accounting system for the ding financial activity to the general ledger. 1.1.3.1 / face/Connectivity to Contractor -Provided Services The Contra or shall provide connectivity to service providers for which the Contractor is responsible. The Requirements are not prescriptive as to the Interface type or method. Page 30 of 248 RFP 9-1177 Exhibit B 230 The Contractor shall provide connectivity to Contractor selected Third -party Service Providers and Business Partners as required to meet the Requirements, including but not limited to: • Collection Agency 1 (Direct Access to BOS is Phase II Functionali • Collection Agency 2 (Direct Access to BOS is Phase II Functio , • Customer Satisfaction Survey Provider Subcontractor; • Lockbox Service Provider (optional); • Merchant Service Provider 1; • Merchant Service Provider 2; • 3rd Party ROV Lookup for all 50 stat cluding California and Arizo District of Columbia, U.S. Governmen • Print/Mail House Provider (optiona 1.1.4. Performance Management and Monitorin The Performance Management and Requirements for all Hardware, Softwar equipment, jobs and Interfaces in real-ti before they impact end users. The PMMS can be tracked to resolution. System (PM ports BOS maintenance components nitoring BOS processes, ations in mance or availability actio able trouble tickets that 231 The Contractor • a PMMS t• orts BOS maintenance Requirements for all Hardware, So • an BOS com i ts, in accordance with these Requirements. 232 The Con real-t. shall prow. PMMS that tors, Alerts and generates trouble tickets in . r all BOS pro s, e • uipment, j , nd Interfaces, including but not limited to: • nic. I - , • elect 4wer issues; perat es; • are issu. • Soft issues or failures; • dat issues; • lies to the system design; sues with customer portals (Self -Service Website and Self -Service Mobile Application); • file systems and file system issues; • issues with jobs, processes or data flows; Page 31 of 248 RFP 9-1177 Exhibit B • BOS health - overall and by component; • BOS and application performance; • BOS utilization - disk space, disk IOs, CPU, memory, throughput igurable thresholds); • security events; • logs and • access controls. 233 The PMMS shall provide comprehensive recording cap s, including but not lim • log aggregation (from disparate systems dules); • event correlation (cause and effect ass ); • log shipping and • log management function 234 The PMMS shall have the ability _ ess or failure ation regarding data management activities, including 6 of h • backup; • DR data d synchro atus; • dat. val an • • restores. 235 The Co • r shall r •. • itors, alerts and tracks, in real-time, unusual or potent . u • activity _ _ • y users and systems, including but not limited to: ,• ultiple e replenishments coupled with closing of customer accounts; • ed ope • d closing of customer accounts; • ref over a do lar amount (Configurable) and • mul deposits and refunds on the same customer account. 2 he PMM 1 monitor that all BOS components have current and up-to-date virus, •wal Spam protection and other security Software that prevent single point of ty from external threats, virus attacks, ransomware, spam protection and u • rized access. 237 The Contractor shall provide a PMMS that monitors, alerts and tracks, in real-time, unusual or potentially fraudulent activity, including but not limited to: Page 32 of 248 RFP 9-1177 Exhibit B • attempted network or system intrusions; • attempted malicious attacks and • Unexpected changes to security settings on firewalls and other securstems. 238 The PMMS shall include, but not be limited to the following capabilities: • receiving and monitoring status messages for all BOS Har oftware; • grouping, sorting and filtering by message type, time, ment, s m, etc.; • local trouble ticket manual entry or email entry s; • automatic work order generation; • storing data in a relational database t for data r ry and flexibility in reporting the raw data (including dash and ad- porting); • generating (automatically) monthly perfor ts; • tracking service requests; • assigning priorities and . - ; • notifying (automatically) enance .. . repo s, text and email; • assigning trouble tickets to en. • ersonn • , • reassi, ly) trouble s to other maintenance personnel; • e ng (auto .11y) troubl: ets to other maintenance personnel; • cording time y $ • ledgemen maintenance personnel; • 'ng • ac nt by all subsequently assigned maintenance pe cordi • of repair; • ing ti go uipment recovery; • rec g completion of service calls; • atta nt of common document type, such as Microsoft Word, Portable Do nt Format (PDF), email and screen capture images; • ding automatic Alerts for trouble tickets not closed in a specified time; aintaining and tracking repair maintenance activity; • calculating response times, repair times and down time from the data entered by the maintenance staff and automatically generated by the BOS; Page 33 of 248 RFP 9-1177 Exhibit B • accepting and updating trouble tickets from mobile hand-held devices and smart phone entries; • role -based security; • automatic system exception reporting for all processes that are , ning; • automatic system workflow exception reporting for all that are not processing correctly or are hung up in the BOS and • providing hard copy reports on issues, failures and tro , resolutio s. 239 The PMMS shall record all configuration data in a con ' ion management • . e, which shall be updated after each system component :e, including application patches. 240 The PMMS shall provide system maintenanc . onnel with ns, dashboards and reports within the PMMS that allows for the ve • n an • oring of all processes, programs and scheduled tasks. Failures shall be i , MS screen accessible to maintenance personnel. Event and error logs shall Tided to assist maintenance personnel with investigating probl • s. 241 All PMMS screens, dashboards a be available • orized Users from the Agencies. 242 The PMMS shall provide Authorized s with • gement and performance reports from the PMMS that include • e ited to: • summ. ailed alar . Ty; • ance page nd respons tory; • • rk order sta • acking; • - • en ory • • racking; • equi . vailability; ventiv- predictive maintenance; • c ive mai ce; • resp and repair times for each of the priorities; • equ' nt use history; • ment repair history; otal System availability; • sub -System availability for components of the BOS, IVR System, Self -Service Website and Self -Service Mobile Application; Page 34 of 248 RFP 9-1177 Exhibit B • equipment versions, Software versions, firmware versions and serial numbers for all equipment installed under these Requirements; • incident logs and lost revenue estimates; • performance reports detailing compliance to the Performance M: s; • a detailed list of parts replaced as a result of maintenance ac r • status of removed parts and equipment with an aging s • r pa • er repair or replacement (serial numbers, being repaired in m. enance s' . rchase replacement part); • performance reports; • an exceptions report summarizing all or signific occurrences durin_• the period and • trend analysis for repetitive failure. 243 The PMMS shall support the management of preventive tive maintenance schedules. 244 The PMMS shall provide the o automatical rate work orders for preventive/predictive maintenan s 245 The Contractor shall provide a PM at supp r - I agement, including but not limited to: • trackin I Hardware . ware items; • tr. _ all Syste , : rdware an ware locations; • ing all Syst- ardware and are versions; • ' g all - agreements; • mai _ a list of vendors from which products were procured; ociati • riginal purchase order number to the individual item; • ting th al vendor to the individual item; • ass 'ng all warranty information to the individual item and • pro g an Alert prior to warranty, license, and certification expiration. 1.2. enance and Support Requirements The Req is described in this section detail the Contractor's responsibility for providing Maintenanc and Software Support Services for the BOS, and associated communications and support to operations, including but not limited to: • Hardware maintenance (servers, storage, network switches, firewalls, routers, etc.) if required; Page 35 of 248 • network administration; • system administration; • administration of Agencies -provided CSC facilities access systems; • administration of CSC Surveillance CCTV systems at CSC facilities; • database administration; • Maintenance and Software Support Services; • monitoring services; • on -site desktop and application support services within t and WICs; • application support for the Agencies staff and • BOS security. In delivering the Maintenance and Software Support S the following services, including but not limited to: • well documented maintenance schedules and process • change and configuration manager • on -site support of the BOS; • complete around -the -clock mainte of the . • significant participation with the Age sta •t • ample spare parts �y and supp • ents. RFP 9-1177 Exhibit B the Cont is expected to provide ocesses and 246 The Contr shall be r onsible for •rming all maintenance activities and fully suppor .nd maintai , the BOS f Go -Live throughout the Operations and Main. e Phase. 247 The Cont s ovide ma e, including but not limited to all equipment, Hardware, , cloud -based systems, and systems provided under this Agreement, i : maine associated with the compliance with the terms of the Software ,. , 48 The Cont shall p , aintenance and Software Support Services, including but not limited to: oring; p entive; predictive; corrective, and emergency Maintenance and Software Su 1 t Services, as well as any required and planned Upgrades and Enhancemen I be performed on any and all BOS elements. To ensure performance is optimized, all system administrative functions, if not erwi omated, shall be performed at regular, scheduled intervals as part of the - Maintenance and Software Support Services in accordance with the . nce Plan. Page 36 of 248 RFP 9-1177 Exhibit B 250 The Contractor shall provide on -site Desktop Environment and BOS application technical support to all Contractor personnel and Agency Authorized Users at all locations from 7 a.m. to 7 p.m. Monday - Friday, Pacific Time and be on -call and available to come on -site 24x7x365. 251 Continuous monitoring of BOS operations shall be performed to veri functional, processes are being executed as scheduled and that the BOS is operati Performance Measures. Continuous monitoring shall include but not be limited t • verifying system alarms and Alerts; • verifying processes/programs/job have successf mpleted as sche • evaluating sample transactions data and ag data trends for exception • confirming trip/transaction and image ission to rom Express Lanes ETTM Systems; • performing routine diagnostics; • reviewing comparative reports to identify pote stem degradation; • confirming successful d. ch as the TSL; • confirming data transmis o an . .1 Inter ; • correcting identified perfor , e iss • confir . and DR sy . e synchronized; • m • ng back • abase admin. ion and mom ‘ _; • - .1 Sys . • eva ►. , orage Requirements and iewin_ logs and Alerts. 52 The Cont shall v. that all BOS components obtain virus protection and security updates as as they a available. ' 3 The Contract hall provide advance notice and obtain Approval when purge jobs that permanently -te data from the system are to be executed, including but not limited to: data eleme, pacted, date range applied and data size impact. 254 or shall re-establish or re -install system files, programs and parameters, as , following a failure or damage to the system and return the BOS to a fully - op - onal condition. 255 The Contractor shall maintain and test up-to-date Software backups (all system Software and data) in accordance with the Maintenance Plan that is secure and protects the integrity of the data. Page 37 of 248 RFP 9-1177 Exhibit B 256 The Contractor shall provide backups performed on physically separate Hardware and Software from the data being backed up. 257 The Contractor shall maintain accurate equipment inventory status and upda4status. 1.2.1. BOS Hardware Maintenance 258 During the Operations and Maintenance Phase, the Contractor regularly Upgrade all BOS environments to maintain a high-level of p ance, 'lity and provide for the implementation of the manufacturer's ur t system urity firmware/software. These Upgrades shall be accounte• ' the Contractor's sal pricing and will not be separately paid for by the Agen ' , er the term of the Agre 259 During the Operations and Maintenance Phase, t tractor shal Upgrade the Deskt Environments and office equipment no less th. three (3) to maintain a high- level of performance and reliability. These - des sha accounted for in the Contractor's proposal pricing and will not be sep. •a•y the Agencies over the term of the Agreement. 260 BOS Hardware maintenance shall ' de but are not limi • BOS servers, storage de •vices and k equipment at the primary BOS site, includin: •ro• . •n-prod .n BOS environments as required; • BOS servers •rage devices, ices and ne ork equipment at the BOS DR site; • all . ctor-pro • desktop ' are and peripherals; • ardware any ipherals that ract with the BOS to the extent that the actor -in . • • ations are negatively affecting the operation o •rip , • all CS equipment. For example, copiers; ' ACD a • • hony systems and • se. access . C Surveillance CCTV systems. .Z. BOS N : • rk System Maintenance The Contr. shall be responsible for assuming full administration and maintenance • pons ‘ s for the networks and network equipment identified in Attachment B: BOS • d Server Room Layout and Attachment C: Equipment List. The Contractor shall • . e if any of the network equipment requires replacement for the BOS to meet the sec y and Performance Measures. Any replacement costs shall be included in the Contractor's proposal pricing and will not be separately paid for by the Agencies over the term of the Agreement. Page 38 of 248 RFP 9-1177 Exhibit B 262 During the Operations and Maintenance Phase, the Contractor shall plan to regularly Upgrade the network hardware to maintain a high-level of BOS reliability and provide for the implementation of the manufacturer's current system and security firmware/software. These Upgrades shall be included in the Contractor's proposal pricing and ill not be separately paid for by the Agencies over the term of the Agreement. 263 The Contractor shall maintain and monitor the BOS network, includi ection of the primary and DR BOS locations. 264 The Contractor shall proactively monitor the WAN networ conn and its components to respond to any fault or problem. 265 The Contractor shall monitor all communications with i ing systems and Thi Service Providers and Business Partners. 266 The Contractor shall monitor all network Aler alarms, as as detect intrusio attempts and prevent intrusions. 267 The Contractor shall perform the necessary suppor ired of the Interoperable Agencies in order to keep day to day operations and s current, such as operating system Upgrades. 268 The Contractor shall Upgrade a etwork secur provide the required software and monitoring tools to e t ays in co ce with the Security Standards. 1.2.3. BOS Admand Soffpport Services 269 Software mo, ions ed to mai and support the BOS as a part of the normal course of ess shall • e conside pgrades or Enhancements paid for by the Agenci:•se modifica . include but t limited to: 270 Update port new mobile devices, mobile browsers, desktop b • eratmg s obile and desktop customer experience trends, mobile pay nds in mobile device and desktop navigation techniques, as well as look a for the Self -Service Website and Self -Service Mobile Application; • n cha . • con tion or 9 ameter changes; • all ch s to CTOC ICDs and related reports; • all es to ICDs and Interfaces to Contractor -selected Third -Party Service P rs and Business Partners; nor changes to reports;, software or code; • Software modifications required to ensure BOS is compliant to existing Security Standards and Page 39 of 248 RFP 9-1177 Exhibit B • changes for the Contractor's benefit that improve the Contractor's ability to maintain and support the BOS and to meet the Performance Measures. 271 The Contractor shall provide Maintenance and Software Support Services for elements of the BOS, including but not limited to: • operating systems; • databases; • BOS application Software; • third -party Software; • Software change management; • Software configuration management a • Software version control. 272 The Contractor shall maintain all secure website certi or all websites, including the website serving the Agencies' ma • • content, if require 273 The Contractor shall provide M. - _ • Software Su ervices that include monitoring, preventive, predictiv• cor ' • • to ensu S performance is in accordance with Requirements. Thi 11 includ = . •• ited to: • any daily, w-ekly or perio• ance requi •d to maintain the BOS at require • q ce levels ( ndexing and tuning databases and archiving and ► : , • party Softw •r firmware es, updates and Upgrades, as required and •e compliant Security Stan, , including but not limited to: performing rity Soft - • , Upgrades and operating system Upgrades; • Ap . ustments and up • ates to the BOS data based on a criteria and condi . A • proved by the Agencies to correct failures and issues; itorin: or logs and system logs; • ance o -ups and backup Software; • mai nce of all BOS environments; • inst on of new Software and confirmation of successful installation; • data replication to DR site is occurring as configured and replication is not fling beyond an acceptable threshold; verify time synchronization is occurring as configured, and system clocks are not drifting or otherwise incorrect; • modifications to IVR call flow needed to correct routing and call flow problems identified during normal operations; Page 40 of 248 RFP 9-1177 Exhibit B • creation of ad -hoc reports requested by the Agencies; • generation of queries as requested by the Agencies; • analysis of data as requested by the Agencies and • modifications to the Self -Service Website and Self -Service Mo ' r plication to keep up-to-date with the Agencies' policies and general info q . 274 Software support services shall include monitoring and corre ctio • sure BOS performance is in accordance with Requirements, to include . = •ase ma •nt and operation. This shall include but is not limited to: • investigation and analysis of errors and exc s and taking corrective . including correcting the problem and repr ng the data; • monitoring notifications and initiatin ctive actio plication programs to meet Requirements; • updates to the BOS to support Upgrades to or third -party Software and • updates to the BOS to su ► .11 changes to Busi les and BOS Configurable parameters and deploy , . _ • duction. 275 The Contractor shall monitor, Up: and ' 1 S is al s in compliance with the Security Standards. 276 The Contractor sh ure mainten. of conflict with or cause interruption in service or caus service to :encies or their customers. 1.2.4. The PCI Secunt awareness of the Stan • -DSS). s e Contractor I date. The Contract outlined in the Main 4 Standards and Compliance the development, management, education and tandards, inc g the PCI DSS, Payment Application Data Security Security Standards provide guidance for merchants, vendors and o mitigate data breaches and prevent payment cardholder data fraud. nsible uring that PCI compliance is fully achieved prior to the Go -Live further ired to ensure that the BOS continues to be PCI compliant as ce and Operations Phase Requirements. The Contrac or the app he ti d the BOS shall be in compliance with the PCI DSS for a Level merchant to merchant level as defined by the PCI Security Standards Council in place OS Go -Live. 278 actor shall ensure that the BOS is in compliance with any individual additions to the Security Standards since the last major version (version 3.2 published in April 2016) or the current version published by the PCI Security Standards Council and all future versions. Page 41 of 248 RFP 9-1177 Exhibit B 279 The Contractor shall utilize the PCI Security Standards Council's Prioritized Approach method to indicate how each PCI Requirement is being addressed prior to Go -Live. The Prioritized Approach shall be submitted to the Agencies along with substantiating evidence for review and Approval. 280 The Contractor shall ensure the BOS is in compliance with PCI-DSS for an ercial Off - the -Shelf (COTS) Software that will be used in payment applications. 281 The Contractor shall provide, prior to the BOS Go -Live: • PCI Attestation of compliance by either a qualified ISA n indepe SA, or as required by PCI DSS; • vulnerability scan by an Approved scanning and • internal and external penetration testin ts. 282 No more than three (3) months after Go -Live th actor s ovide a complete ROC, including details about the BOS environment and e methodology, as well as documentation regarding the BOS's compliance statu PCI DSS Requirement. The ROC shall be provided which outli es a clear plan and s (in writing) to achieve full PCI compliance no more than si s after Go -Live. 283 The Contractor shall be responsib p C prior to cceptance. 1.2.5. Interoperability Requirem The Agencies currently anticipated that re Requirements app Interoperabili payment, co Interoperable A the Agencies' custo Inter • - • e Agenci iles id e Agencie CTOC Agency in The BOS and Interop compliance with t ated transactio agreement n 1 existing udes excha s, vehicl . Th The transac ion, th erability a nal Inter future Int and proces is with CTOC Agencies and, in the future, it is ble agreements will be established. These rability. transactions/trips, customer, transponder, econciliations between the BOS and the sactions/trips from Interoperable Agencies for ve used Interope . ble Agency roads, as well as transactions/trips for omers on the Agencies' roads. The Interface supports the transmission in the respective ICDs. actor shall support direct connection and/or connection through diary to ally (non-CTOC) Interoperable Agencies. le Agencies perform validation checks to confirm the transactions/trips are nteroperable Agency ICD and reject any transactions/trips that are not. ips shall be Posted to a user account in accordance with the Interoperable epared to work with other ICDs to send and receive transactions/trips and d other data files. 284 ThMrontractor shall support all Interoperable Agency activities as required by the Agencies, including but not limited to: • attend technical meetings; Page 42 of 248 RFP 9-1177 Exhibit B • review and provide comments on documents; • support Interoperable Agency testing as requested; • support modifications to Interoperable specifications and • be compliant with the latest published Interoperable specificat. 285 The Contractor shall support the addition of Regional and Nation directly or through a CTOC designated intermediary. 40 bility either 1.2.6. Preventive and Corrective Maintenance Reents 1.2.6.1. Preventive Maintenance 286 The Contractor shall provide preventive mai ce on the Hardware, servers communications network and Software as req 287 The Contractor shall in accordance with the Appra maintenance schedule, periodically inspect all equipment, both major compo d support components (such as fans, cabinets, environmental co trol units, filters, sto its) that constitute the BOS and shall make repairs, clean tments and rep • nts of components as necessary to maintain the equip • erating con. 288 Servers and storage devices shall b: iodicall erify at storage space is not reaching maximum thresholds; dis •not e aged; Software is of the latest version per the configuration m. a atabase, a data is being processed and transferred in ate manner. checks should be performed automatically whenever po • u e checke ually if the task cannot be automated. 289 The BOS e monitor: ensure per ance is optimal and meets the Performance Meas cluding but mited to: • gene • BOS .. es; statis' • S - vice W • . : ccess times and • Self-ce Mobile Application access times. ` All equipme d systems shall be included as part of preventive maintenance, in accordance the original equipment manufacturer's guidelines. Any variations or ceptio : 1 be noted by the Contractor and Approved in advance by the Agencies. 291 maintenance shall be communicated to the Agencies a minimum of seven (7) Ca . . r Days in advance for approval by the Agencies and shall be scheduled for times when the CSC is not operating. Page 43 of 248 RFP 9-1177 Exhibit B 292 Preventive maintenance shall be scheduled to be performed by BOS administration staff between 12 AM and 4 AM PST. Any preventive maintenance tasks that need to be performed during normal BOS operating hours that is not part of the Approved Preventive Maintenance Schedule shall be Approved in advance by the Agencies. 293 The diagnostic aids, tools and equipment required to perform preven ' aintenance equipment analysis shall be provided by the Contractor to the Agen ' necessary to meet the Agencies' maintenance responsibilities. 294 When preventive maintenance requires a BOS Service to b e una customer, a Notice shall be Posted 24 hours in advance of e tage on the Website, Self -Service Mobile Application and through the customers are a impending outage. e to the rvice the 1.2.6.2. Corrective Maintenance 295 All Work performed by the Contractor to correc nts, s and failures to meet the Requirements shall be considered corrective m uch problems include but are not limited to: • failure of BOS functions. • failure of processes and • • report failures and issues; • applicatio • es; • data •ven •nciliation res; • es in trans g and recei les from the various third -party Interfaces; • • rs and e. - • e • , ng data received from the ETTM Systems, • er. : • nci • . .arty entities; • netw. 4 ures and issues; ` or co • t performance issues; • • . s or ina. .'bility and • non orming availability levels. When a BOS 'ice becomes unavailable to the customer due to an unplanned outage or emergent otice shall be Posted on the Self -Service Website, Self -Service Mobile lica ' d IVR as soon as possible so customers are aware of the outage. 1.2.6.3. 4X7 Maintenance Coverage 297 The Contractor shall provide continuous (24x7) coverage for all monitoring, system administration services and maintenance -related activities sufficient to meet the Performance Measures. Page 44 of 248 RFP 9-1177 Exhibit B 1.2.6.4. Recording of Maintenance Activities 298 The Contractor shall be responsible for logging all reported maintenance activities. The Contractor also shall be responsible for documenting in detail all informatid issues related to a failure condition, providing a corrective action report wo weeks including all actions taken to complete the correction and a root cause 1.2.6.5. Maintenance Priorities, Response and Repair Times 299 Response and repair time is defined as the time from failur: o rTpair/correct ' h the BOS being returned to normal operations. The Contracto • respond to calls a it times noted in the Performance Measures according t• •llowing priority levels: • Priority 1: Any malfunction or fault that imp. ' - BOS and C Operations ability serve customers (for example, Self-Servi 4•site functi• • unavailable or not operating properly; BOS functionality unay. or nor :trig properly for CSRs servicing customers; phone system not tak 1 of taking all calls; IVR unavailable or not operating properly; notificati • • stomer communication not being sent immediately when eligible through all • els), results in the loss of revenue, compromises sec es a hazard to . • nel, causes the loss or potential loss of any BOS dat. edundancy he BOS components. • Priority 2: Any malfunction or that de: - ance •ut not the BOS or CSC Operation's ability to serve c ers. • • les such as inaccurate reporting, inabilit to reconcile re e • f BOS fun onality that does not impact customer ac • a or serve or loss of functionality that impacts the Agencies' • o iency. • Prior' Any malfun or fault th. the potential to result in a degrading of the B i ' CSC Opera ' performance has not yet and is not anticipated to i tely imp . - 300 Any down' . part of schedu e • . nd approved preventive maintenance, including • -duled ne+ • are releases not associated with a maintenance event shall not affect •rmanc- ures calculation. However, in this event the Contractor does not ma - i S avai . • d/or fully restore CSC Operations within the approved schedule window, result' . wntime shall be included in the Performance Measure calculation 01 Response an. air times for every BOS maintenance event shall be recorded and reported by the Contr. , and such reports shall be provided to the Agencies. 3 t o incide • :11 be closed by a technician before the equipment or Software service has •ed •very. For example, if a service is degraded because of a loss of a redundant t, the incident cannot be closed until the redundant component has been re • • and service has returned to normal. Page 45 of 248 RFP 9-1177 Exhibit B 1.2.7. Certification of PCI DSS Compliance The Contractor is responsible for providing certification of PCI DSS Compliance. 303 The Contractor shall complete a PCI DSS assessment by either a qualified Int Security Assessor (ISA) or an independent Qualified Security Assessor (QSA), or a red by PCI DSS, at the interval required for PCI DSS compliance, including a to ROC. The Contractor shall be responsible for providing the ISA or QSA at no al cost to the Agencies. The Contractor shall fully cooperate with the Agencies o e Agencies in responding to the assessor's requests and implement r es if ues are identified. 304 The Contractor shall complete a full penetration vulner and exploitation tes results of which shall be provided to the Agencies • interval required for PC compliance throughout the Implementation and 1 ons and Ma' tenance Phases. 305 The Contractor shall be responsible for provi • ' OC on a .1 basis, no later than the original date thereafter. 306 The Contractor shall provide all documentation req. ender PCI, including but not limited to network diagrams an ► detailed policies a • cedures, available to the Agencies. 307 To evaluate the security risk t► e tify pot- vulnerabilities, the Contractor shall perform penetra and vu • is i accordance with PCI requirements. 308 The Contractor ment and :tely report to the Agencies any PCI DSS issues/vulner. i uring mo t penetration and vulnerability tests or upon new Softw. ease. 309 The C I or is respo • for correcti deficiencies at the Contractor's cost and ensu e BOS is -• • iant , d ensuring security risks are handled appropr. 310 e Contract. urnish copies of all PCI assessment, testing, scanning and compliance tation g the ROC to the Agencies, upon completion of quarterly and annual ass activioughout the Implementation and Operations and Maintenance Phases. .2.8. Emerg Response Management ontractor shall sponsible for emergency response management throughout the Operations 'ntenance P 311 : ctor shall immediately respond to any emergency situation that has already i the BOS or could potentially damage the BOS. The Contractor shall be prepared to p forth all necessary resources to divert or correct an emergency condition. Page 46 of 248 RFP 9-1177 Exhibit B 312 Such emergency conditions shall be handled in accordance with policies and procedures developed by the Contractor and Approved by the Agencies in the Disaster Recovery Plan. The following are a few examples of emergency conditions: • weather related; • safety related; • conditions that invoke the Disaster Recovery Plan; • BOS outages; • third -party power outage or communication fai d • security breaches. 1.2.9. Disaster Recovery and Business Co The Contractor shall be responsible for Disaster Recovery Implementation and Operations and Maintenance Phases. and testing throughout the 313 The Contractor shall perform ' • overy proced accordance with the Disaster Recovery Plan (DRP) i • Raster an the BOS to a fully operational condition. 314 The Contractor shall test the Disaste cove • Bu ontinuity procedures on a annual basis to vah • • • at they are f • _ per the design. The Agencies shall witness the test and the hall prow -port outlining the test, test results and any anomalies e ered • Agencies ew and approval. 315 The BO meet the ' ery Point 0 ► ve (RPO), Recovery Time Objective (RTO) and 1: service (LO • ovided in Performance Measures. 316 The Consh. . ess . countered from the annual Disaster Recovery and Busine y testing. actor • • arately support the Agencies' ETTM System Contractors' Disaster Reco • Busi • ntinuity annual testing. 1.2.10. Incid • nd Revenue Loss Reporting The Contract hall work with the Agencies to develop a communications protocol for incident an enue loss reporting (e.g., communications procedures based on incident nd prior' el). 319 . ctor shall immediately notify the Agencies of any incident or event where the to venue or data or security breach has occurred or potentially has occurred or could occ . The Contractor shall take immediate action to rectify the condition and return the BOS to normal operations. Page 47 of 248 RFP 9-1177 Exhibit B 320 In the event of a loss or potential loss of revenue or data or security breach, an incident report shall be provided to the Agencies within five (5) Business Days of the incident. The report shall identify the issue and provide a detailed account of the incident; its cause; duration; resolution or planned resolution, and a quantification of actual or p -ntial lost revenue or data or security breach. Regular updates shall be provided un been fully resolved and closed. The incident and its impacts shall also be the subsequent monthly report. The Contractor shall be held res revenue and data and customer impacts, including remediation, terms of the Agreement. 1.3. Future Functionality The BOS shall be designed to anticipate certain future functi of future functionality, of the type noted in this section, s to the Software or System architecture or significant the accommodations made by the Contractor in anticipa not negatively impact the development of the BOS or incre ssue has detailed in le for all lost ce with the and Interfaces. The intro anticipated , nd not require chan to the dat this pot structure. However, uture functionally shall s Cost Proposal. 321 The introduction of future functio ality shall not requi es to the Software or BOS architecture, or significant cha • • database struc cluding the capability to easily add fields and report on th • cting the dat chema. 322 The accommodations made by the , actor i • of po tial future functionally shall not negatively impact the de ment - crease the Offeror's Post Proposal. 323 The Contractor • the capab nterface with entities providing for national Interoperabi ' accce with I , to be designated by the Agencies and/or developed g Project gn. The Co for shall accommodate new Interfaces (via either a .nal hub, reg. hubs or lar1 eer-to-peer exchanges) without significant chant the Softwar• ,4: - • - e structu 324 The Cont sh. . iie - to Interface to future Agencies Toll Facilities without sig . nges to the Software or database structure. actor s •vide the capability to Interface to new CTOC agencies and national inter ' ity wi ':nificant changes to the Software or database structure. 326 The Contr hall inc (but not enhance, configure or develop) all existing base BOS functionalit upport the future integration with a Money Service Provider. Throughout the Operatio d Maintenance Phase, the Agencies may direct the Contractor to integrate with a Mone vices Provider for the purpose of providing enhanced access and services for cash pa ustomers including, obtaining transponders and making payment towards olatio es and account balances. 327 actor shall include (but not enhance, configure or develop) all existing base BOS fu ality to support the future integration with an Occupancy Detection System (ODS) that would be integrated into the ETTM Systems. Throughout the Operations and Maintenance Phase, the Agencies may direct the Contractor to integrate with and accept images from an ODS for the purpose of reducing occupancy -based Violations. Page 48 of 248 RFP 9-1177 Exhibit B 328 The Contractor shall include (but not enhance, configure or develop) all existing base BOS functionality to support the potential introduction of customer invoicing prior to the Violation process described herein. During the Operations and Maintenance Phase, the Agencies may direct the Contractor to implement customer invoicing. 1.4. Account Management There are two account types Registered and Unregistered. Registered a i •lished when customer opens a pre -paid account with the 91 Express Lanes. regist • ccount is established by the BOS using the DMV, a ROV Lookup Provider 'davit of No ity for Violation transactions/trips. Establishment and management o nts shall be per per Business Rules. Customers can establish new Registered accounts or cony account. To establish a Registered account, customer including name, address, telephone number and email license plate number, type and Jurisdiction and vehicle ma prepaid and as such customers also must establish a replenis prepaid tolls when the account reach • the Insufficient replenishment is strongly encourag customers can replenishment. The Agencies may elect accounts monthly invoice for tolls due. The types of accounts are provided in the fol Table 1-1• Transpo nreg provide s and ister • . ccount to a Registe c r contact information e information including olor. Most accounts will be ethod to be used to replenish e Threshold. Credit Card select cash or check ostpaid and receive a sed (FasTrak) Account Types Account Type D1 iption Private (pre , i count establi n an individual name. Business (pr • ed in a business name. Non -revenue (n/a An account established at the Agencies' direction for vehicles entitled to toll -free travel. e , . : n account established to allow the customer to receive an invoice 'odically (Configurable) for toll usage. The customer may elect to de Credit Card or ACH information to be charged automatically to pay the invoice. ble 1-2: Registered License Plate Account Types ii nt Type Description Ren . ITir epaid or An account established for Rental Car Service Providers to allow their postpai• vehicles to be checked separately in the transaction/trip Posting sequence and to allow for bulk updates to these very large accounts. Private Registered Video An account for individuals who do not want or cannot use (prepaid) transponders. Page 49 of 248 RFP 9-1177 Exhibit B Business Registered Video An account for companies and businesses that do not want or cannot (prepaid) use transponders. Table 1-3: Unregistered License Plate -Based Account Types Unregistered/Violator An account created using the information pro (postpaid) Registered Owner Lookup Provider. May inclu the ROV information is an exact match. The violator accounts. Unregistered accounts are established by the BOS for Violatio Registered Owner Lookup Provider. Unregistered accounts based on fulfilling all of the required Business Rules for e 1.4.1. General Account Management The Agencies' customers have many options for account obtain transponders, in the manner they prefer. actions/trips using th converted to Registered ac ing these amounts. t and maintenance and to 329 The Contractor shall provide an . 'e nput fields ect the information necessary to open a FasTrak ac , t. Th • a Id re I . e little "clicking' or advancement through multiple pa: o redu- a ed to input the account establishment data. 330 Support compr- • unt manag that allows for the setup and maintenance of all Account n acco e with Bu . Rules. 331 The Co r shall prow. e capability tablish accounts via methods, including but not li to: • S• ic: ite; Self -Se '1 obile Application; •• • to e; • fax • wal • atically using information provided by rental car companies and tomatically using information provided by the ROV Lookup. 332 The Contractor shall provide the capability to maintain accounts via methods, including but not limited to: • Self -Service Website; Page 50 of 248 RFP 9-1177 Exhibit B • Self -Service Mobile Application; • IVR; • mail; • telephone; • email; • chat; • text; • fax and • walk-in. 333 The Contractor shall provide the capability for tr der requested via methods including but not limited to: • Self -Service Website; • Self -Service Mobile Appli • mail; • telephone; • IVR; • fa 1 334 The Con. . ow. - ity for the maintenance of Account types designated . g but not limited to: 'rivate • .d) - an account established in an individual name; • ess (pr - an account established in a business name; • No enue (no payment) - an account established at the Agencies' direction for vehi , entitled to toll -free travel; • Inv, (postpaid) - an account established to allow the customer to receive an i • - periodically (Configurable) for toll usage. The customer may elect to side Credit Card or ACH information to be charged automatically to pay the voice; Rental car (prepaid) - for Rental Car Service Providers; • Private Registered Video (prepaid) - an account for individuals who do not want or cannot use transponders and Page 51 of 248 RFP 9-1177 Exhibit B • Business Registered Video (prepaid) - an account for companies and business that do not want or cannot use transponders. • Unregistered/Violator (postpaid) - an account created using the ' formation provided by the DMV or Registered Owner Lookup Provider. Ma de more than one vehicle if the ROV Lookup information is an exact matc se may also be referred to as violator accounts. 335 The Contractor shall provide the capability to apply Busi d account Requirements for each valid account type, including but not li o: • whether prepayment is required; • payment options; • whether a transponder is required; • transponder sale price (by transponder • replenishment amounts; • contact method (mail, e • • . t, etc.); • Insufficient Balance Thr • ' Card or cas payments) and • account balance. 336 The Contractor shall • ovide a Regist, t creation p ocess that logically leads an Authorized Use • necessar o create an account. 337 The Contrshall pr• the capa► to convert an Unregistered account to a Register: ount while taining the • account number and all account history. 338 The . for shall p •' it hange from one account type and Account Plan to a wh' _ . ccount number and all account history. 339 • e Contrac . provide on -screen guidance during the account creation process ' • ; missi ' properly formatted information. The Authorized User shall not be a. - _ • to th • tep until the required information is provided in the appropriate format. 340 The Contra all prove • e the capability, when opening a new account, to automatically identify othe ount(s) associated with that account name, address or vehicle. The Contrac- all provide the capability to require the account agreement and privacy •olicy be . .wledged and a record of that acknowledgment saved in the BOS prior to . bli : Registered account or when converting to a Registered account. 342 ractor shall provide the capability for the auto -creation of an Unregistered account (shr d one not already exist for that license plate number) based on an Image -Based Transaction/Trip being eligible for Violation processing and information provided by ROV Lookup. Page 52 of 248 RFP 9-1177 Exhibit B 343 The Contractor shall provide the capability to merge and unmerge accounts. This process shall logically lead the Authorized User through all necessary steps to merge one account into another. 344 The Contractor shall provide the capability for customers to have multiple . J dresses, email addresses, phone numbers and authorized contact information on ount. 345 The Contractor shall provide the capability to identify the source of t ,• ation for both unregistered and registered accounts. 346 The Contractor shall provide address adjustment logic to al . resses in • those received from DMVs and ROV Look -up Service Providers, race Service Pro and customers that includes but is not limited to: • the capability, when adding contact infor , to assist the Authorized User requiring zip code be entered first, the ding a pre- ated city and state; • verification, to ensure the address exist • standardization, to normalize US addresses, rive" becomes "Dr." and • selection from all potent • ess results. 347 The Contractor shall provide the b • •t or reject ommended changes provided during address validatio , orma 348 The Contractor shall provide for a rea e a • - . stan • . ion options when entering addresses, includi • of limited t• • addr • ente a a custo • ortal (Self -Service Website and Self -Service . pplicatio nd • • resses ente an Authorize, • r. 349 The Con sha • - * r multiple active addresses and apply them to their desig cluding all prior addresses for all account types, including but not d to: ' ping a • b 50 The Contract all provide the capability to store address history and make all addresses accessible in ccount. The Contr shall provide the capability to acquire and store multiple addresses, udi rior addresses for all account types, including but not limited to: ustomer provided via the Affidavit of Non -Liability • ROV Lookup provided; • Skip Tracing; Page 53 of 248 RFP 9-1177 Exhibit B • National Change of Address (NCOA) and • Collection Agency provided. 352 The Contractor shall provide the capability to add international addresses. 353 The Contractor shall provide the capability to automatically populate (• fide multiple options for selection) the city and state upon entry of the ZIP code ' g Canada and Mexico). 354 The Contractor shall provide periodic updates, at least quarterl , he ZIP c • i /state list, at a minimum, as additional information becomes avai 355 The Contractor shall provide the capability to prey account holder's nam- being changed unless Approved by an Authorized 356 The Contractor shall provide the capability for address co ion by the customer by comparing a re -keyed email address. The a of un d entries shall not be allowed. 357 The Contractor shall provide the capability when emai ses are added to an account (both Registered and Unregister: • • erform the ema ess confirmation process prior to finalizing the entry on or example, it is sent to the email address provided with a link by t• can confir have control of the email account. A message shall be • .yed in •mail a ess will not be added until the confirmation process is co e. 358 The Contractor sh. 'de the capa• ter and categorize comments on accounts. 359 The Contrac , pro he capabi • insert BOS-generated comments on actions initiated b :OS. 360 The ctor shall pr• • • a • ability t ce Authorized Users to enter comments or have t' autom. ' •n actions processed on an account, including but not li o: dispu issals; • tr transa s/trips to another account; • pay of Violation Notices through the account; • rev s of payments and dismissals; • ers; corrections and • adjustments. 361 The Contractor shall provide the capability to set the default PIN as the last 4 digits of the primary phone number, which can be updated in the BOS and IVR. Page 54 of 248 RFP 9-1177 Exhibit B 362 The Contractor shall provide the capability to validate a PIN used for identifying an authorized contact. The PIN shall be masked (not visible to CSRs) such that the CSR will ask the customer for the PIN and the customer will provide the PIN and the CSR will enter that number into the system and the system will validate the PIN. This way the CS nnot give the customer any hints. 363 The Contractor shall provide the capability to securely email the PIN alid primary email address or text message on the account and require that th ubsequently changed. 364 The Contractor shall provide the capability to establish an co gure secure tions and validate customer response prior to the release of the the customer. Th ity questions related to the PIN shall be the same as thos y the customer via t - Service Website or CSR assisted password reset 365 The Contractor shall provide the capability 1 account to have multiple communication channels, including but not lim• • Phone (day/night); • cell phone; • additional phone numb • email; • additional email addresses; • fax; • t- ssaging a • il. 366 The Con ha . s e - . o select a preferred communication channel for specific cus unications. actor • rovide the capability to capture opt-in/opt-out preferences and reco tore th- • mer's election for certain items, including but not limited to: • e- • text ages; • sta is and • eting / newsletters. 368 actor shall provide an account summary (an account overview including name, ad s, vehicles, license plates, email, phone, payment method, etc.) in a printer -friendly format to be used for, including but not limited to: • handing to walk-in customers; Page 55 of 248 RFP 9-1177 Exhibit B • inserting with mail transponder Fulfillment; • mailing to customers and • sending to customers via secure email. 369 The Contractor shall provide the capability to log all account chang provide the capability to view details, including but not limited to: • prior value; • the new value; • user ID; • date/time and • user information, such as BOS, Authors er or cus -originated. 1.4.2. Vehicles, License Plates and Transponder The BOS shall support comprehensiv e plate, vehicle ation and transponder management functionality. 370 The Contractor shall provide the ca • ty to ma , • owniist of vehicle attributes, including but not limited to: • vehicle •- er; • ve . ake; • cle model; • e year • veh ; can At number (not a drop -down) and • • onder - on specifying that the make and model requires an externally m • d transp ► 9 er or special mounting locations for windshield transponders. ' 1 The Contract l all provide the capability to add multiple license plates and associated vehicle infor r on to an account. 3 - ' he Con shall update and maintain the BOS's list of vehicle manufacturers and • el cessary to keep the list current. 373 Ttractor shall provide the capability to track the time period that a license plate is activ- on an account. This includes the start date and time and the end date and time. This is called the "Active Period". In most circumstances the customer would add the vehicle to their account with no end date but if it was a rental car it would have an end date/time. Page 56 of 248 RFP 9-1177 Exhibit B 374 The Contractor shall provide the capability to add a license plate number to an account with a back dated start date and time. The allowable back date period shall be configurable. 375 The Contractor shall provide the capability when adding a new license plate n ber to an account to automatically identify other account(s) associated with that lice • te. 376 The Contractor shall provide the capability to identify that the vehicle(s • e only on the account temporarily based on information provided by the custome . mple, a rental car, loaner from the car dealer or an out of town guest, and to pi-, • to enter a start date and time and an end date and time. 377 The Contractor shall provide the capability for vehicles ide d as temporary t. , ded to the account even if the license plate number is alrea rental car account. 378 The Contractor shall provide the capability to ass information with a license pl. including but not limited to: • license plate type; • license plate Jurisdiction; • vehicle is a clean air veil' ' : V); • clean air vehicle decal n r; • vehicle is a pure -zero emis vehicle; • vehicle has . i abled Person • ► ate; • vehi Veterans 1, .e plate' • e make; • , icle mode • - • v• vehicl • ponde • tr nder typ. • tran der friendly name (chosen by the customer); • RO • address; ROV Lookup date and • indication the license plate is a temporary license plate. Page 57 of 248 RFP 9-1177 Exhibit B 379 The Contractor shall provide the capability to require or not require a one-to-one relationship between sticker transponders and vehicle in accordance with Business Rules. 380 The Contractor shall provide the ability to make the one-to-one correlation tween the sticker transponder and vehicle after a configurable number of transactions with the same transponder and vehicle. 381 The Contractor shall provide the capability, if the one-to-one relation equired, allow for Authorized Users to override the Requirement as necessa le when a transponder is replaced. 382 The Contractor shall provide the capability for a ma -one relationshi een transponder and vehicle based on transponder type, a type and in accorda Business Rules. 383 The Contractor shall provide the capability t rd the hist of ROV informatio associated with each license plate. 384 The Contractor shall provide the capability to sear late history and effective date ranges across multiple accounts. 385 The Contractor shall provide the • ity to transfer v and associated license plate(s) between accounts wh • • the associa icle transaction/trip history on the original account. 386 The Contractor shall provide the ca • 'ty to a • rom all 50 states, DC, U.S. Government, Canada and Mexico. 387 The Contractor the capabi , record transponder delivery method, such as in person vi. IC or ► : il. 388 The Co rr shall prow. he capabilit •cord transponder issue date and time. 389 The C • or shall 4 record and associate a payment for every transpon.. d. 390 ontracto ' • rovide the capability to track customer transponder requests. The for sh. ide the capability to age Fulfillment requests and automatically send an hen a ent request has exceeded a Configurable amount of time. 392 The Contra hall provide the capability for the Authorized User to override the BOS selected tran der mount type, such as windshield or head lamp. The Contra shall provide the capability for the Authorized User to override the ustomer ed transponder mount type, such as windshield or head lamp. 394 ctor shall provide the capability to read a transponder number (using a barcode r nd automatically associate it to an account instead of requiring the transponder num er to be typed in. 395 The Contractor shall provide the capability for Authorized Users to enter multiple vehicles in a tabular format. Page 58 of 248 RFP 9-1177 Exhibit B 396 The Contractor shall provide the capability to upload a file with vehicle information for the entry of a large number of vehicles. 397 The Contractor shall provide the capability for transferring transponders betwe while maintaining the associated transponder transaction/trip history o account. accounts original 398 The Contractor shall provide the capability to monitor for excessiv -based tolls at the account level and at the vehicle or license plate level. 1.4.3. Account Plans The Agencies offer Account Plans which offer benefits to custo ho meet the qualifying These plans may be assigned at the individual transponder, ount level and each may hav one Account Plan assigned to it. These Account Plans ar igured in t :OS and the BOS sh have the flexibility to apply the relevant Account Plan( ed on the B Rules. The Agencies also allow for non -revenue passage for functionality shall be used to support this program by applyi specific transactions/trips on specific facili 'es in accordance wi The Account Plans currently offered by t that plans may be added, deleted or mod Phase. isted below. of the • Convenience Plan - • •-time lifetim: gurable); • Standard Pla and disco after a Configurable # of transactions/trips and up to a Co . ble max per mont icles. The Account Plan figurable percent discount to usiness Rules. ntractor should expect ons and Maintenance • 91 Ex (Con • Special vehicle, mo d pers customers)- ides discounted tolls after required amount timeframe; ovine _ counted toll rates for three or more riders per ure Zero -Emission Vehicles (PZEV), vehicles with disabled veteran or se plate, and No e Plan provides a Configurable discount (up to 100 percent) one or more of the A s' facili 99 The Contract all provide the capability to assign Account Plans at the account level. The Contrac all provide the capability to assign Account Plans at the transponder level. 40 e Con shall provide the capability to assign Account Plans at the license plate level. 402 actor shall provide the capability to restrict Account Plans for new customers. Fo mple, the 91 Express Club plan should only be available to current 91 Express Club plan olders. 403 Prevent the transfer of Account Plans when the transponder or the license plate is moved to another account in accordance with the Business Rules. Page 59 of 248 RFP 9-1177 Exhibit B 404 The Contractor shall provide the capability to enroll customers in Account Plans. 405 The Contractor shall provide the capability for configuring and offering various Account Plans with a combination of features, including but not limited to: • percentage discount; • dollar amount discount or transaction count discount with a um amount; • time duration, such as an Account Plan may only be av ' or d time or may require renewal every year; • specific locations and Toll Facilities, such as tol actions/trips on on of the Agencies' facilities are discounted; • method of calculating the discount, su transactio evel discount whe members get a 50 percent discount o qualifying nsaction or a rebate credit on following month based on the ncy of ithin a period of time; • monthly maximum discount based on t r amount or number of transactions/trips; • use of Posting Date or • -te to qualify tr 'ons/trips for a rebate; • specific criteria for qualifi. n; • a cost to join the Account Pl., d • proof o uch as a egistration as proof of registration criteria with or . er to upli •lectronically. 406 The Con .r shall pro the capabili track toll transactions/trips in frequency transr-based disc• .. 407 The Con sh. .. - to apply rebates or toll credits as lump -sum account le 4 • " ractor ovide the capability to apply and reverse discounts to a range of toll tra trips . . ccount. 409 The Cont . shall pr., the capability to clearly indicate which discount was applied to any given saction/t ip. ' 0 The Contract all provide the capability to configure a non -revenue plan (up to 100 percent disc to a transponder or license plate on all or specific tolling locations for a • ecific T • ility. 411 for shall provide the capability to associate discount eligibility documentation , a utility bill as proof of residence) to a transponder or vehicle. Page 60 of 248 RFP 9-1177 Exhibit B 1.4.3.1. Special Access Plans 412 The Contractor shall provide multiple Special Access Plans providing free or discounted toll rates, including but not limited to: • three or more riders per vehicle; • motorcycles; • PZEVs; • vehicles with disabled veteran license plate, and • vehicles with disabled person license plate, 413 With the exception of the three or more riders per e which is validated by the ET System and reflected in the discounted toll ra . gned to th • ‘ saction/trip by the ETTM System, the Contractor shall provide the •ility to v. ' all vehicles to ensure they meet the requirements for a Special Access ' 4 is v. on shall include: • attach documentation provided by the cu as proof of meeting the requirements for a Special ess Plan and queue nual verification; • manually review the i . _ged vehicl- • se plate noting the transponder used in the s 4 acce • assign the respective code t► tran . er _ • the respective discount (clean air vehicle, motorcycle, • • upon - .tching th ensponder to the license plate, charge the app, .te disco o all tran Ins/trips by that transponder including the f p; • e transac ' -• • th.. icense plate does not have an associated .nde .te will be charged but the customer will be con ctify the transpon 4 er situation and r plate ransponders that are successfully matched include the appropriate in the . 'le. .4.3.2. Promo p elig refun by one A OS shall be a manage promotions, promotion codes and credits. Balances related to ons are trindividually by promotion and separately from the account balance. Only nsac ' an be deducted from promotional balances. Promotional balances are not ly be applied to tolls on the Agencies' Toll Facilities. A promotion may be offered r use only on that Agency' Toll Facility. 414 The Contractor shall provide the capability to offer a Configurable number of weeks -worth of free travel on one or both Agencies' toll facility for new accounts. Page 61 of 248 RFP 9-1177 Exhibit B 415 The Contractor shall provide the capability to account and track promotions balances individually (for example, by promotion code) separately from the account balance. 416 The Contractor shall provide the capability to display the promotion b..nces and associated expiration date of the promotion balances so that the CSRs and ers can see the various promotion balances separately from the account's cash b. 417 The Contractor shall provide the capability (Configurable) to s ► hat types of transactions/trips are eligible to be deducted from promotional b 418 The Contractor shall provide the capability to track multiple • r • .ions with • ccount and correctly determine which account or promotion bala • . hould be deplete. (for example, by type of promotion, by the earliest issue o ation end date or m. discount yielded). 419 The Contractor shall provide the capability to • t promotio• •alances from bein: refunded to customers in the event of account • • or specif omer request. 420 The Contractor shall provide the capability to cre• • is back to the promotion balance if toll transactions/trips are reversed or adjus . 421 The Contractor shall provide the • % to set an expira to for promotions. 422 The Contractor shall provide the , bi • romotion . ency or Toll Facility with a combination of features an • : meter , • ut not rted to: • assignment of a promotion c o a - . any or • Config • of time (p on start date and duration or end date); • A. offering t °motion; • Facility(ies ere the prom • can be used, for example the RCTC Toll . ity only; • di •ntage per transac ion/trip; • iscou nt per transaction/trip; • •ility (nounts, existing accounts or both; existing accounts opened for an an a . t of time (Configurable)); • sou . elf -Service Website or with a CSR); • sou , dvertising channel ("where did you hear about it?"); • into a raffle/sweepstakes and redit to the account. 423 The Contractor shall provide the capability to setup "refer -a -friend" promotion codes where both the referred (new) customer and the customer who referred the new customer enjoy the benefits of the promotion. Page 62 of 248 RFP 9-1177 Exhibit B 424 The Contractor shall provide the capability to apply rebates to accounts sponsored by a third party (such as a shopping mall). 425 The Contractor shall provide the capability to periodically (monthly) invoice the sponsor for all rebates submitted and applied to accounts. ird-party 426 The Contractor shall provide the capability to expense promotional cr s used to the Agency where the credit was applied reducing that Agency's toll rev 1.4.4. Fees, Penalties and Transactions Penalties and fees are types of Financial Transactions that are or toll charge or in relation the customer's account manage at the account level, Notification level or transaction lev fee or a Credit Card decline fee might be assessed in t customer's bank or a Credit Card payment was dec statement fee might be assessed when a statement is maile penalties are assessed when a transaction/trip is not paid penalties should be associated with the owest possible ley transactions/trips should be associated Notification should be associated with t associated with the account as a whole. No such as a fee or a penalty assessed and asso adjustments and reversals, fees and penaltie be capable of reversing fees enalties auto and penalties, even w with a s transaction d in addition to the tol t enalties and fees can be ass e account 1- • 1, a returned paym urned unpaid by the cation level, a monthly er. At the transaction level, ecomes a Violation. Fees and se fees related to specific s and penalties related to nd penalties should be on a cumulative basis, charged fee or penalty. Like evenue Day. The BOS shall r manually, individually or in batches. Fees ansaction, should not change the amount of a check t the transactions/tri nd all othe d be ass 427 The Co • man or shall pro he capabili ply fees and penalties (automatically and I accounts. 428 The Contr. .vide the ca • .. to apply fees and penalties (currently penalty is assessed to t ion only), including but not limited to: the ac •vel; • transpo -vel; • at t ense plate level; • at t tification level and • ransaction level. 429 p ctor shall provide the capability to define and charge account -related fees and s based on a set of Configurable parameters, including but not limited to: • hub processing fee (the Agencies acting as a hub for other entities); • roaming fee (the Agencies acting as a hub for other entities); Page 63 of 248 RFP 9-1177 Exhibit B • account fee; • administrative fee; • Interoperable customer transaction fee; • returned payment fee - Insufficient Funds; • Credit Card decline fee; • ACH decline fee; • transponder purchase fee; • Excessive I -Toll (Image -Based Toll) fee; • invoicing fee; • statement fee, depending on method of ; • late fee; • delinquent account fee; • account re -activation fee; • Violation penalty; • delinque on penalty; • coll: ee; • nt deactiva fee; • unt Pla • Re old fee and • alance Insufficient Balance Threshold fee. 0 The Co •r sha 'de the capability to maintain the parameters (Configurable) related to nd pena 431 The Contract all provide the capability to create new fees and penalties. The Contrac all provide the capability to manually apply custom fees and penalties to . ccounts. 433 for shall provide the capability for the assessment of fees based on account a. ., for all accounts or specific account type(s). 434 The Contractor shall provide the capability to notify the customer via the channel(s) defined within the Business Rules, Operations Plan and SOPS when a fee or penalty is assessed. Page 64 of 248 RFP 9-1177 Exhibit B 435 The Contractor shall provide the capability to schedule a start and end date/time when a fee or penalty change will go into effect/conclude. For example, the statement fee is $2.00 until July 31, 2018, after which it will increase to $3.00. 436 Provide the capability to record revenue to each respective Agency based on and lane identifier at the transaction level or split account level revenue 50/50. 1.4.5. Registered Account Replenishment Registered accounts are established with a valid replenishment meth restored as toll and fee transactions deplete the prepaid balance. A Credit Card, cash, check, ACH and money order. Replenishmen automatic (auto -replenishment). For auto -replenishment, t timing and minimum amount based on parameters (Conf. ACH or money order requires the customer to replenis visiting a WIC. Customers without an auto-repleni payment by Credit Card or ACH. count man method prepai nt replenishmen edit Card can be s determines the replem e). Replenishment by cash, c by mailing a check ay make a one-time ces to be ns are be t 437 The Contractor shall provide the capability for one or uto-replenishment methods within an account for all electroni , - ent methods. 438 The Contractor shall provide see t- ent param Configurable) for all account types, including but not li . to: • fixed replenishment amoun , • repleni -shold base, -rcentage of the replenishment amount; • re i ment t olds based e number of transponders on the account; • enishment a t based on t ber of transponders on the account; • ishm: • based on average use for a period ( of time or a • amount, whichever is greater. For example, averover the prior (3) month period as compared to $30); ber r-nishment failures before next method is attempted and • r of d- before a replenishment method is suspended based on ap iate reje reasons. 9 The Contract hall provide the capability for Authorized Users to identify individual accounts tha not subjected to auto -replenishment recalculation. 44 e Con shall provide the capability for account replenishment options based on f alance Thresholds. 441 Th tractor shall provide the capability for automatic account replenishments via Credit Card and ACH. Page 65 of 248 RFP 9-1177 Exhibit B 442 The Contractor shall provide the capability for a hierarchical usage sequence for auto - replenishment methods for an account, such as primary method ACH and secondary method Visa Credit Card #1. 443 The Contractor shall provide for a stepped approach to failed auto-replenis , s where an attempt is made to collect from the primary replenishment method a .er of times (Configurable), followed by the secondary method and continuing unti pts have been made to replenish from all replenishment methods. 444 The Contractor shall provide the capability for automati uspen. .n auto - replenishment method because of a number of declines (Co fig ► . ble) and d • eason code. For example, if the reason for a decline is a close unt, the number . ies would be zero. 445 The Contractor shall provide the capability for a ically remo ing the suspension an auto -replenishment method when there ' pdate to t edit Card number, expiration date or any other related informatio 446 The Contractor shall provide the ability to automatic redit card expiration dates through the Merchant Service Provider. 447 The Contractor shall provide the ' • to check if the and or ACH information is associated with another acco ' — up an auto- 'shment method. The Contractor shall provide an Alert ondition options to cancel or continue. 448 The Contractor shall •rovide the cap., Alert to • • ent to the PMMS of a failed auto -replenish - , ecause of : terface errors. 449 The Contr. • all pry the capa, for the manual replenishing of accounts, regardle . ayment me on both a e •me and ongoing basis. 450 The . ctor shall . r abil to check account balances each time a transac' ' oste • . _ automatically submit an auto -replenishment attempt us . ry valid replem ent method when replenishment criteria is met. tmenReversals a be t entry reversals transaction. djustments an Financial Transact esult in a change in reversal of the tol ssed for single ent is reve for sals ar ely processed in the BOS and are applied to any type of toll or xamples such adjustments include correcting a toll rate, which would ccepting a customer dispute for an incorrect charge, which would result in waiving or reducing a Violation penalty. Adjustments and reversals can be sactions, such as in the examples above, or in bulk. An example of a bulk all charges for a specific Toll Facility during a specific time period, as would dent in the general-purpose lanes. Every adjustment and reversal requires the ode identifying the reason for the adjustment or reversal. Adjustments and e associated with the original transaction, but must not change the original e original transaction must be preserved in the BOS once the transaction has been Posted to the account. Any adjustments to that transaction would be Posted to the current Revenue Day. The BOS shall have the capability to report on both the unadjusted transaction amount and the adjusted transaction amount by Agency based on transaction plaza and lane, hence the reason adjustments to transactions/trips shall be tied to but not change the original transaction. Page 66 of 248 RFP 9-1177 Exhibit B 451 The Contractor shall provide the capability to make corrections, adjustments and reversals to transactions/trips while preserving the original transaction, including the original Transaction Date and amount. Any corrections, adjustments or reversals sh. •e tied to, but not change, the original transaction/trip. 452 The Contractor shall provide the capability to properly disposition tr. , ons/trips that are adjusted and/or reversed and are already in a Violation Notice s • 453 All corrections, adjustments and reversals shall be Posted to tp ent ' . - Date so as not to affect prior closed Revenue Dates. 454 The Contractor shall provide the capability for full rever • any type of transact . a reason code (Configurable), preserving complete h. • . 455 The Contractor shall provide the capability for • reversals o type of transaction with a reason code (Configurable), preserving . •te history 456 The Contractor shall provide the capability to req. , . ason code be entered for every adjustment and reversal. 457 The Contractor shall provide th- -ity for multiple c. 'ons, adjustments and/or reversals to be made on a sin, • • trip while • ting the sum of such corrections, adjustments and/o, ver eed the nt of the original transaction/trip. 458 The Contractor shall provide the .bi ' o estab Courtesy Credit amounts (Configurable) b ' Credit typ: Agency. Courtesy Credits shall be used for toll charges o ies' Toll es and are not refundable and are charged to the applica • _ ency as . pense whe ued to customers 459 The C• or shall pr• • the capabili , apply Courtesy Credits to accounts and requi entry of co • . son a gnment from allowable reason. The reason selecte • eter . „ charged (transaction level or account level (50/50). 4. ' • tractor • rovide the capability to Authorized Users to configure all relevant pa relate. tablishing role -based dollar amount thresholds for transactions that of - •ncies' -, including but not limited to: • adl , ents, • debi i • cr - and Sersals. 461 Th: .ntractor shall provide the capability for Authorized Users to Post adjustments, credits and reversals up to their role -based threshold amount (Configurable). Page 67 of 248 RFP 9-1177 Exhibit B 462 The Contractor shall provide the capability to establish a Case when Authorized Users are unable to process a transaction as a result of reaching their role -based adjustment, credit or reversal limits (Configurable) or not authorized for the particular action. 463 The Contractor shall provide the capability to establish a Case for a higher -le pproval when Authorized Users are unable to process a transaction as a result of re their role - based adjustment, credit or reversal limits (Configurable). The A ed User who Approved the transaction shall be recorded and associated with the 'on. 464 The Contractor shall provide detailed tracking of individual ents, and/or reversals and categorize each separately. 465 The Contractor shall provide a trip and/or transactio h and adjustment s where Authorized Users can enter the selection crite ' ieve the transactions/trip make bulk adjustments or reversals. This capabil' 1 allow the selection of groups transactions/trips to which the correction will nd adjustm mments entered for the affected transactions/trips. The Authorize shall b ed to select/deselect specific transactions/trips within the group. ex , RCTC may want all trips/transactions that include a certain toll point on cility between 2 a.m. and 5 a.m. on a specific date to be fully reversed or all transac that toll point to be charged $1.00. 466 The Contractor shall provide the .1 • s adjustme reversals that affect Interoperable Agency customer acco 4 the a cable Interoperable specifications and include these tra ions/tr. iation reporting based on adjustment Posting Date (not origina nsa► Iate ). 467 The Contractor - the capabi , ransfer transactions/trips (financial or tolls) to another ac , . or e le, a check ed incorrectly to an account gets reversed and re -Posted r appropri. ccount. 468 The ctor shall i - he capabil o adjust the eligibility for discounts and promo hen tr. • • . djusted or reversed. 469 The Contra. provide the capa • ility to adjust discounts and promotions when - ctions a ted, corrected or reversed. Statu me how ii'ansactions/trips are processed and associated to accounts. all provide account statuses, including but not limited to: accounts in good standing); balance (account below replenishment threshold - credit card has declined or cash account below threshold) • delinquent (Registered accounts only - accounts that fall below the Insufficient Balance Threshold); Page 68 of 248 RFP 9-1177 Exhibit B • collection (account information has been sent to the Collection Agencies) • pending close (Registered accounts only - accounts scheduled to close remain in this status for a Configurable number of days to allow for final trans ions/trips to clear) and • closed (closed accounts). 471 The Contractor shall provide the capability to automatically, acco ness Rules, transition between account statuses. 472 The Contractor shall provide the capability to set a differe ► • hod of time (Co ble) before accounts automatically transition from pending closed based on th n the account is to be closed. 473 The Contractor shall provide capability for cust• ' otification ' figurable) when th account status changes. 474 The Contractor shall provide the capability to u • , 's status in determining whether or not to Post a transaction/trip to th• t. For example, only Post transactions to an account in active or pending close sta . 475 The Contractor shall provide the . automatically account to delinquent status once the account balance he • Insufficie nce Threshold or a Configurable number of days from , ow bala on. 476 The Contractor shall provide the cap. y t• •matica accounts to pending close status upon a re• lose the ac . take automatic actions, including but not limited to: • • • gate plates vehicles on -ccount; • activate tra , • • • the acc k and • • ' g • aid • is • . 477 ontracto ' • rovide the capability to automatically age an account from pending osed s . ter a period of time (Configurable) and to take automatic actions, inclu not li o: • re g paym: methods on the account; • asse the appropriate fees; • ex ' promotion credits; • essing the refund amount bringing the balance to zero and processing the refund automatically based on criteria or approval. 478 The Contractor shall provide the capability for capturing multiple levels of reason codes for an account closing at "pending close" time. Page 69 of 248 RFP 9-1177 Exhibit B 479 The Contractor shall provide the capability for the reactivation (back to an active status) of an account in the pending close and closed statuses. 480 The Contractor shall provide the capability to prevent transactions from Posti accounts. to closed 481 The Contractor shall provide the capability for Authorized Users to add nts to closed accounts. 1.4.8. Account Flags Account Flags are used to identify meaningful conditions and ation about the a. its transactions/trips, vehicles, transponders and payment m • which are used to t a Notification or other actions and for reporting. During desi: Contractor shall describe the in which these types of information shall be identified to . stomers anuthorized Users. 482 The Contractor shall provide the capability to s am ags (Configurable) that can be displayed on accounts for issues relate ount, a license plate, or transponder on the account. 483 The Contractor shall provide th- II, to automatical ags on account based on conditions and events, including ` . - o: • bad address; • bad email address/no email . • bad p for both c. texts); • a closed in •ctions; • count was no • - el opene • . t h. w I -off; • acco debt which was written -off in collections; unt h. • vestigative review in process; • a t has an , refund request; • no a vehicles; • no transponder (applicable only to FasTrak accounts); • onder in certain status, for example, lost or stolen (not applicable to egistered accounts); excessive toll at license plate level (not applicable to Unregistered accounts); • temporary license plate; • account is in pending to close status not applicable to Unregistered accounts); Page 70 of 248 RFP 9-1177 Exhibit B • account has an open Case; • customer participates in a non -revenue Account Plan (not applicable to Unregistered accounts); • customer enrolled in Account Plan (s) (not applicable to Unregis ccounts); • Special Access Plan on the account or on a vehicle on the a not applicable to Unregistered accounts); • unresolved returned check; • unresolved Credit Card decline on the account; • at least one Credit Card marked by the BO d (not applicable to Unregist accounts); • at least one Credit Card is expired or is withi ber (Configurable) of days (not applicable to Unregistered acco • account has at least one suspended auto-reple t method (not applicable to Unregistered accounts; • account has unpaid Viola . ble to Unre d accounts); • account has debt in collecti • one or mor • • sides on the a . • een place • on Registration Hold; • at le. I ate on the unt has an unpaid Violation(s); • inistrativ: iew has be • eduled for the account; • •ast one V. - • wi e account has a Civil Judgement and • a ITV • •jectto Esc e. -nt. 4: 4 _ • • tract° • rovide the capability for Authorized Users to manually set account ding b mited to: iority . nt; • bad e number (for both calls and texts); • bad ess; • • accept checks for payment; active account; account needs to be referred to a supervisor; • account holder is deceased and Page 71 of 248 RFP 9-1177 Exhibit B • CSC has been informed of account holder bankruptcy. 485 The Contractor shall provide the capability to display all active Flags on an account upon accessing the account information. 486 The Contractor shall provide the capability to automatically clear Flags ba criteria. 487 The Contractor shall provide the capability for Authorized Users to m clear Flags no longer applicable to an account. 1.4.9. Transponders There are different types of transponders, with each having a the types of transponders described below. t purpose. The Agen • Transponders which have only one positi• d defaul (discontinued 2019). • Interior sticker transponders (non-switchable) - a vehicle's windshield. These transponders cannot be m • Breakable interior sticker transp s (non-switchable inside of a vehicle's windshield • onders cann because they are designed to brea e they have • Three -position hard -case transpo vehicle's windshield with mounting occupancy declarati odes. • Exterior headli affixed to th t gle occupant mode y affixed on the inside of a ween vehicles. ermanently affixed on the oved between vehicles lied to a surface. mou ted on the inside of a r to switch between three rs (non-s . • le) - are clear stickers which are permanently rcycle' ehicle's he. ht. 488 The ctor shall p nsponIrstatuses (Configurable), including but not limited • ina lid an • •. 489 The Contrac . all provide the capability to manually change transponder statuses, such as when a cu• er calls to report a transponder has been stolen. The Contra .hall provide the capability to automatically change transponder statuses. or exa ► when a transponder that is in inventory with an inactive status is e • added to an account, the status changes to active. 491 Ttractor shall provide the capability to track a transponder's current status and status h44istory. Page 72 of 248 RFP 9-1177 Exhibit B 492 The Contractor shall provide the capability to automatically change the transponder status from valid to invalid for all transponders on an account when the account balance is equal to or below a balance (Configurable). 493 The Contractor shall provide the capability to automatically change the tran from invalid to valid for all transponders on an account when the accoun a balance (Configurable). er status ce is above 494 The Contractor shall notify the customer when the transponder c 1.4.10 Incoming Customer Communication 495 The Contractor shall provide the capability to trac e and electronically vi incoming customer contact- related information o ount types. 496 The Contractor shall provide the capability to to incomin er communication with the account for all communication channels rdanc he Security Standards, including but not limited to: • phone; • email (including attach • Self -Service Website; • Self -Service Mobile Applicat • chat; • to .saging; • , • -nd • in-p . , tact. ctor s'vide the capability to track and account for all incoming customer comm n. 498 The Contra hall pro e the capability for a CSR to upload a file and have it associated with an acco 'ncluding but not limited to: • an a file from a recorded conversation; • file, such as, an outbound email or mail piece and image file, such as, a scanned document emailed by a customer. 499 The ontractor shall provide the capability to view data files or play audio files associated with accounts. Page 73 of 248 RFP 9-1177 Exhibit B 500 The Contractor shall provide the capability to scan incoming print communications and save the resulting image in the BOS. The Contractor's solution shall be robust, enterprise - level and integrated with the BOS and with capabilities including but not limited to: • bulk scanning; • indexing, sorting, collating; • bulk demographic data entry and • automatic assignment to accounts. 501 The Contractor shall provide the capability to categoriz drop -down menu options (Configurable), including b coming communic imited to: is • application; • account close request; • account information change; • administrative review re t • affidavit of non -liability; • bankruptcy document; • clean air vehicle proof; • comp • c , notice; . th certifica •• divor cc; cial h. •; • g corresp. . ence/inquiry; • leas eement; • ma e license; • miscellaneous; ayment; • police report; • proof that the vehicle was rental or leased vehicle; Page 74 of 248 RFP 9-1177 Exhibit B • proof that the vehicle was sold/stolen; • rental car agreement; • returned mail - with forwarding address; • returned mail - without forwarding address; • sale documentation; • transponder request and • vehicle registration. 502 The Contractor shall provide the capability to searc incoming communication. 503 The Contractor shall provide the capabilit create a C or each incoming communication piece scanned into the BOS. Eac ed com tions piece will either initiate a new Case or be associated with an exist a mined by an Authorized User. 504 Create a customer contact record .11 automated custo ntacts. For example, if the customer provides a new addre - - number, the B 1 automatically create a contact record that says custom: n . :OS via Sel e Website to update address and cell phone number. 505 The Contractor shall provide the ca . .ty to co . ed on channel or contact reasons. 506 The Contract• p • he capabil , set and maintain customer contact attributes, including limited • : nnels; • dtir • acti r tact r- • nts an • • com t category. mage T ► . fer and Transaction/Trip Processing 1.5.1. saction/Trip Transfer The Agenc s' ETTM Systems capture transactions and images for Transponder -Based Transactions/Trips and Image -Based Transactions/Trips and handles automatic and manual image review. The transaction/trip is created by the ETTM System. The ETTM System send the full formed trip, associated transactions, image(s) and license plate data (if needed) to the BOS. Page 75 of 248 RFP 9-1177 Exhibit B 507 The Contractor shall provide the capability to accept and store images related to Violations, I -Tolls from the ETTM System in accordance with ICD. 508 The Contractor shall provide the capability for customers and Authorized Users o retrieve, view and print images related to Violations and I -Tolls. 509 The Contractor shall provide the capability to associate images the related transaction/trip in the BOS based on information provided by the ET " ems. 510 Ability to support more than one ETTM System Contractors at . Di • roviders for each agency 511 The Contractor shall provide the capability to transmstatus of image ac. •n errors to the ETTM System Contractors and the PMM 512 The Contractor shall provide the capability to cat e failed ima into error codes an. exception codes for reporting purposes. 513 Reconcile and report transaction file discrepancie , ects by reason. 514 The Contractor shall provide the capability to send an a all data and files between the ETTM Systems and the BOS i • •• • Hance with the stem Contractors' ICDs, and any updates made to them • Requirements tatement of Work and Requirements. 515 The Contractor shall provide the ca ity to s TTM Systems with which the BOS shall Interface to receive Tr. on • . sed a . e-Based Transactions. All received transacti • • • s shall be ve nst the list of ETTM Systems. 516 The Contrac • pr• the capab o receive and maintain a listing of each Toll Facility's t• _ points an es (includi. •signation of direction) from which the BOS shall re ransactions , s. All transac /trips received shall be verified against the Toll d lane (incl • - ' • • ation o ction) listing for each Toll Facility. 517 The Cont h. ide t e .. _ o receive and process Transponder -Based and Image -Base • ions/Trips from each ETTM System. ractor provide the capability to validate the Transponder -Based Tran Trips Image -Based Transactions/Trips transmitted by the ETTM Systems he Req • • nts of the ICD. 519 The Contra hall provide the capability to validate the transactions/trips to ensure compliance t • - rface Requirements and established parameters for each Toll Facility and identify erro f d exceptions. 5 . ' e Cont- shall provide the capability to accept, but not Post to Accounts or process e sponder-Based and Image -Based Transactions/Trips that have failed the •ns and cannot be processed further as submitted for collecting tolls at the BOS. Su •jected transactions/trips include but are not limited to: • transactions/trips are older than the established parameters; • transactions/trips do not belong to Toll Facilities on the Toll Facilities list; Page 76 of 248 RFP 9-1177 Exhibit B • transactions/trips do not belong to a Toll Zone on the Toll Facility list; • internal transponder identification number is not valid; • transaction/trip is a duplicate of a Posted Transponder -Based Tr ion/Trip on the account; • transaction/trip is a duplicate of a Posted I -Toll Transaction the account; • transaction/trip is a duplicate of a Violation transactio on t unt; • transaction/trip was rejected by the Interoperabl 0 Agency and • transaction/trip is not in compliance with th 521 The Contractor shall provide the capability entify dup ' ate transaction/tr verification (Configurable) for each Toll Facili d on variou ia, including but not limited to: • Toll Facility; • Toll Zone; • direction of travel; • lane; • transaction/trip time differe • trans. • t type; •nse plate n - • • t ,n. ber. 52 ntracto • rovide the capability to reconcile transmitted transaction/trip counts by da'. to the BOS and Transaction/Trip Date and Time. 3 The Con shall p the capability to categorize failed transactions/trips into error codes and tion cod- or reporting purposes. L24 The Contra shall provide the capability to accept and process corrected transactions s that have been previously rejected. 1.5.Tission Error Identification 525 ractor shall provide the capability to send status of transaction/trip transmission and r verification errors to the PMMS. Page 77 of 248 RFP 9-1177 Exhibit B 526 The Contractor shall provide the capability to identify when the actual number of Transponder -Based Transactions/Trips and Image -Based Transactions/Trips received from an ETTM System is a percentage (Configurable) below the expected number for each Toll Zone and lane based on historical volumes and send an Operational Alert •tification to the PMMS. 527 The Contractor shall provide the capability to identify when percenta• .nfigurable) of trips sent as image -based has increased compared to historic . nd send an Operational Alert Notification to the PMMS. 528 The Contractor shall provide the capability to identify whe th actual numb. ' ages acquired is a percentage (Configurable) below the expect ount for each Tol .. nd lane and send an Operational Alert Notification to the P 529 The Contractor shall provide the capability to cre nsmission ailure Alerts based • parameters, including but not limited to missi as and del ransactions by Toll Facility and transaction/trip type. 530 The Contractor shall provide the capability to iden re missing images from a specific Toll Zone (Configurable number over a Confi period of time) and send an Operational Alert Notification to t • ' MS. 531 The Contractor shall provide the • urable) to re acquisition of images for transactions/trips initially ide , d as • ages. 532 The Contractor shall provide the .bili acquired image with its transaction/trip. 533 The Contracto the capabi • identify transactions/trips for which images were expec t are mi and gener. n Operational Alert Notification to the PMMS if images issing for han a num • transactions/trips (Configurable) and after an am, ime for a sp- Toll Facility (k :urable). 534 The Co sh. , to transmit the status of image acquisition errors to A. ers. 5 ractor ovide the capability to categorize failed images into error codes and ex des fo ting purposes. 1.5.3. Inter ability e Agencies are al y Interoperable with the other toll agencies in California. During the ementation Pha • d Operations and Maintenance Phase, it is likely that Interoperability will to include .S. states and regions. The Agencies intend to participate in regional and nat . • terop : ty. The BOS current ICD Interoperable/CTOC Agencies shall exchange files in accordance with the most Page 78 of 248 RFP 9-1177 Exhibit B 536 Provide the capability to create/transmit and receive/process all Interoperable/CTOC files in accordance with the latest CTOC ICD. See Attachment D: CTOC Technical Specifications for Interagency Data Exchange for current ICD. 537 Provide the capability to create/transmit and receive/process all Interopera OC files in accordance with the Agencies Business Rules. 1.5.3.1. OCTA/RCTC Customers on Interoperable Agency Facilities Customers who have Active OCTA/RCTC Registered accounts ma the ilities of Interoperable/CTOC Agencies. Transactions/trips generated on t - t• operable fac ill be transmitted to the BOS for processing and Posting to accounts. •perable/CTOC Ag• will receive disposition for each submitted transaction/trip ordance with their in Interoperable/CTOC Agency ICD. Images will not be proviInteroperable Agencies. The shall meet the following Requirements related to Transp • : aced Tran ons/Trips and Ima Based Transactions/Trips submitted by Interoperable Agencies. 538 The Contractor shall provide the capability to crea and exchange all data and files between the BOS and Interoperable/CTOC Agen ompliance with the existing ICDs and any updates made to the , • meet the Require f the Statement of Work. 539 The Contractor shall provide th. .. eceive and Transponder -Based Transactions/Trips and Image-B. Tran ' ' •s from nteroperable/CTOC Agencies. 540 The Contractor shall •rovide the i ' • validate at the Transponder -Based Transactions an. ed Transa ips transmitted by the Interoperable/CTOC Agencies me • . rte qualificati, cluding but not limited to: • ponder-Bas ransaction • s and Image -Based Transactions/Trips nsmitted by teroperable/ ► Agencies are Posted when the associated punt and .. , • Tr. : aced Transact ° s/Trips and Image -Based Transactions/Trips meet . • • uirements of the ICD and e-Ba , .. nsactions/Trips have a license plate number, Jurisdiction and type 'cable), and the transaction occurred when the associated a and pla f ere active. 41 The Contract all provide transaction/trip disposition to Interoperable/CTOC Agencies for each mitted Transponder -Based Transaction/Trip and Image -Based Transactio •. 1.5.3.2. perable/CTOC Customers on Agency Toll Facilities Interopera CTOC Agency customers who have accounts at other Interoperable/CTOC Agencies may use the Agencies' Toll Facilities. These customers may create Transponder -Based Transactions/Trips and Image -Based Transactions/Trips. The BOS identifies such transactions as Interoperable/CTOC Transactions/Trips, validates such transactions/trips are in compliance with Interoperable/CTOC ICDs and transmits them to the Interoperable/CTOC Agency for processing and Page 79 of 248 RFP 9-1177 Exhibit B Posting to the appropriate accounts. The Agencies may assess a Configurable `roaming/hub processing fee' based on the transaction/trip type. Interoperable/CTOC Agencies will transmit the disposition for each submitted transaction/trip to the BOS in accordance with their individual Interoperable/CTOC ICD. The BOS shall meet the following Requirements related to Interoperable/CTOC onder-Based Transactions/Trips and Image -Based Transactions/Trips. 542 The Contractor shall provide the capability to receive and va ' ra er-Based Transactions/Trips and Image -Based Transactions/Trips from ETTM S 543 The Contractor shall provide the capability to valid at the Transpon ed Transactions/Trips and Image -Based Transactions/ are in compliance wi Interoperable/CTOC ICDs. 544 The Contractor shall provide the capability configure ss the appropriate 'roaming/hub processing fee' based on the tran trip t 545 The Contractor shall provide the capability to identi vehicles for discounts from Interoperable/CTOC Agencies. 546 The Contractor shall prow, . •ability to t 't Transponder -Based Transactions/Trips and Ima: . s _ . ctions/Tri the appropriate Interoperable/CTOC Agency. 547 The Contractor shall provide the capto e tra /trip disposition from the Interoperable/CTO ncies for eac ed Transponder -Based Transaction/Trip and Image-Bas /Trip. 548 The Contr shall pro the capabi o invoice IOP, make payments to IOP and receive ayments fro P, retain an g of IOP receivables 1.5.4. M The A 0 d pr • encies requir ency, . ca ation oblems o ely ba . • . em Performance ring tools to effectively track and manage operations with the goals of ance and customer service. The Agencies require clear visual and orkflow statuses and the provision of Alerts to identify backlogs 549 The BOS sh operations a stages of inb ovide pictorial representations (dashboard) by Toll Facility of the BOS erformance, and Authorized Users performance and productivity at all customer contact points and operations process flow. e BOS b • provide Authorized Users the ability to customize and personalize their display data elements selected by the user. 551 T shall provide user interface in real-time to review and be alerted to problems, exce•tions, issues and variance from Performance Measures by means of conditional formatting. Page 80 of 248 RFP 9-1177 Exhibit B 552 The BOS shall provide users with the capability to drill to the individual details and back- up information of any transaction/trip state, status or problem. 553 The BOS shall provide user interface to establish various thresholds (Conf. • urable) to monitor and assess BOS and operations performance in areas such as inbou • , emails, chat, cases, transponder requests, etc. 554 The BOS shall generate automated notifications to the PMMS when ed deviations from established thresholds are detected within a user • • , d of time (Configurable) and provide such notifications on the dashboar• 1.5.5. Transaction/Trip Processing Lists 1.5.5.1. Processing Exception List The Processing Exception List is a list of license and trans rs used to identi Transponder -Based Transactions/Trips and Image-Ba ansactio . s that require manual review and disposition prior to final processing due to k ustervice and/or processing issues. 555 The Contractor shall provide the capability to maintain a to Processing Exception List of license plates and transponder• - . ch Toll Facility. 556 The Contractor shall provide the c. i • • rized User delete and maintain the Processing Exception List of lic plates . • • nders. 557 All changes to the Processing Excepts ist s quir- . . CTA or RCTC Approval. 558 The Contractor - the capab i uthorized Users to enter effective start and end dates for • cen es and tra nder. 559 The Con shall provi e capabili ' ransponder-Based Transactions/Trips and Imag• d Transactio ips that are a• on the Processing Exception List to not be proce the BOS - A • . and dispositioned. 560 The Contra. ovide the capabi via a processing exception screen to review each • action a ;e and either reintroduce the Transponder -Based Transactions/Trips • e-Base. sactions/Trips for normal BOS processing or have them remain unpr• ,. 561 The Contr. shall p . e the capability via a processing exception screen to review Transponde, ed Transactions/Trips and Image -Based Transactions/Trips multiple times before roducing them for BOS processing. The Contr. shall provide the capability for reintroduced Transponder -Based ' ransacti, rips and Image -Based Transactions/Trips to follow all of the applicable es les. For example, if the time process time threshold has been exceeded the positioning process would occur. 563 All ansponder-Based Transactions/Trips and Image -Based Transactions/Trips subject to the processing exceptions shall be included in all applicable transactional and financial reporting. Page 81 of 248 RFP 9-1177 Exhibit B 1.5.5.2. Plate Correction List The Plate Correction List contains license plate numbers identified by the CSC Operations as being problematic based on customer disputes or QA processes and requiring analysis and correction by the ETTM System Contractors to prevent recurring issues. 564 The Contractor shall provide the capability to provide a separate Plate ction List for each Toll Facility. 565 The Contractor shall provide the capability for Authorized Users , del the Plate Correction List of license plates with all available plat ormation. maintain 566 The Contractor shall provide the capability for Authoriz rs to electronically Plate Correction List to the ETTM System Contractors e 567 The Contractor shall provide the capability to se r, retrieve a correct plates adde to the Plate Correction List to avoid the same from occu or transactions that are in process. 1.5.6. Customer Validation and Transaction/Trip Upon the completion of the initial verif transactions/trips to accounts. The seq design. 1.5.6.1. Transaction/Trip Posting - G Generally, the toll rate as facilities, the toll rate the ability to indic set the switch. motorcycle e lanes is t umbers o cupants in odes and tr e. processing, th e Posting hall attempt to Post the is determined during at the customer is charged. On Express Lane upants in the vehicle. Some transponders have vehicle depending on where the customer has nder codes such as the Clean air vehicle or 568 The Cont 'vide the ... to set and maintain rules (Configurable) that define the o equence in which transactions/trips are processed for Posting to the accoun • The $ r sha , e Agencies' Business Rules and existing hierarchy in developing the rules , sting tr 570 The Contrac all provide the capability to set and maintain rules (Configurable) that define the or • i which the transactions/trips shall be processed and their final outcome, including bu , limited to: • • f the transaction/trip (Transponder -Based or Image -Based); e submitting Entity (Toll Facility, Agency or Interoperable/CTOC Agency); • the presence of a transponder in the transaction/trip; • account type; Page 82 of 248 RFP 9-1177 Exhibit B • account status; • the status of the transponder at the time of the transaction/trip and • the availability of an image. 571 The Contractor shall provide the capability to store multiple onders per transaction/trip and charge the transponder according to the rules. 572 The Contractor shall provide the capability to transmit Interop ra er-Based Transactions/Trips to Interoperable/CTOC Agencies to Post e Intero CTOC Agency accounts. 573 The Contractor shall provide the capability alidate Transponder- Transactions/Trips and account type and support ocessing order (Configurable transactions/trips with transponders, per Busin es. 574 The Contractor shall process the transactio n Im sed Transaction if a Transponder -Based Transaction/Trip cannot be o count, but it contains the license plate data, then depending on the reject rea example, if a Transponder - Based Transaction/Trip was reject-d by an Interoperab C Agency due to insufficient funds on the account, then th- ion/trip can be sed as an Image -Based Transaction/Trip if an image is a . 575 The Contractor shall provide the . bility trans ions as Image -Based Transactions/Trips if Transponde ed Tr. cannot be Posted to an account and are re.ected by the �, cordance iith the processing order (Configurable) b- - reject rea 576 The Contra all pro the capabi o validate the transaction/trip and account type and • rt the proc g order (C ► urable) of Image -Based Transactions/Trips per B Rules. 577 The Co shal • insert pauses, of durations (Configurable), in transactio - ithin the tra . ion/trip processing sequence to allow for other eractions , ple, a grace period to allow customer to provide payment before a on is P • • a rental car account or an Unregistered account). The Co l r shall . • e the capability to configure whether payments are guaranteed for both yonder- :. Transactions/Trips and Image -Based Transactions/Trips for each Intero • , le/CTOC ' gency. ' • The Contract all provide the capability to Post a Transponder -Based Transaction/Trip that is guar ed for Interoperable/CTOC Agencies to the account, regardless of the .. ccount b. 580 ctor shall provide the capability to Post an Image -Based Transaction/Trip that i teed for Interoperable/CTOC Agencies to the account, regardless of the account bala e. Page 83 of 248 RFP 9-1177 Exhibit B 581 The Contractor shall provide the capability to process Transponder -Based Transactions/Trips and Image -Based Transactions/Trips to an account based on date and time the transaction/trip was received by the BOS in First in First Out (FIFO) order. 582 The Contractor shall provide the capability to attempt to Post a toll tr- (OCTA/RCTC or Interoperable/CTOC) that did not Post to the acc- Configurable intervals for a Configurable amount of time. ion/trip initially at 583 The Contractor shall provide the capability to Post tolls/trips base • location. For example, if the transponder has a non-revenu• for a Facility, then transactions/trips for that transpond charged transactions/trips on that Toll Facility. ular tolling lar Toll 1 for 1.5.6.2. I -Toll Transaction/Trip Posting Transponders sometimes fail to read when the custo es the T capture and processing of the customer license plate i the Transaction/Trip along with the license plate image(s) an for processing. OCTA/RCTC accounts with a number of I -Tolls those customers may be charged a fee. The BOS identifies the license plate as b verifies that the Image -Based Transactio transaction/trip. For an OCTA/RCTC accou Rules. For an Interoperable/CTOC account, processing only if the licens_ for I -Toll transactions/t to is on the va retained b oll es. This results in the ystem. An Image -Based ately submitted to the BOS excessive may be notified and ency or Int• .ble/CTOC account and Posting account as an I -Toll in a cordance with Business e Interoperable Agency for ate file for e Transaction Date. Image(s) 584 The Co Agen not lima or shall pro the capabili identify and Post I -Tolls belonging to an nteroperab nt bas on a combination of factors, including but • the tatus at the time of the transaction/trip; • rrent status; t open • effe date and time range for the license plate on the account; • Acc Plans associated with the account, transponder or license plate; • 1' plate number; ense plate Jurisdiction; license plate type; • license plate status; • license plate image; Page 84 of 248 RFP 9-1177 Exhibit B • whether the license plate was on the account at the time of the transaction/trip and • the account balance. 585 The Contractor shall store the image(s) associated with I -Toll transaction . 586 The Contractor shall provide the capability to check each time a lice • , e is added to a Registered account and when a license plate start date/time is cha . • ry day after until resolved to see if any Violations match that license pl. i Po plicable Violations to the account in accordance with Business Rules. 587 The Contractor shall provide the capability to setup the eters (Configurabl- . h trigger an Excessive I -Toll Notification. 588 The Contractor shall provide the capability to se a paramete Configurable), whic trigger the application of the Excessive I -Toll f uding a gr iod after a customer is notified. 589 The Contractor shall provide the capability to apply sive I -Toll fee in the future only when a percentage (Configura le) of monthly trans are processed by plate. 1.5.6.3. Toll and Discount Posted The transactions/trips submitted by the E contain multiple fares based on the Toll Fac and the transaction/trip ty sted below). applicable discounts an ccount th operable/CTOC Agencies will Agency, the type of facility e Business ' ules, the BOS shall apply the t fare. 590 The Contr shall provi e capabilit pply applicable discounts for Account Plans associ. ith the acco ransponder ense plate to the Transponder -Based and Imag. • d Transacti 591 The Cont . .vide the ... to Post the appropriate toll and discounts to Transponde ransactions/Trips and the Image -Based Transactions/Trips based on conditi. • nfigurable), including but not limited to: • of tra /trip received from the Agencies' ETTM Systems, for example venue; • typ ansaction/trip received from the Interoperable/CTOC Agencies; • typ oll Facility, for example Express Lanes; • t balance; pe of transaction/trip at the time of Posting (FasTrak, I -Toll or Violation); account type; • Flags on the account, for example Excessive I -Toll and Page 85 of 248 RFP 9-1177 Exhibit B • transponder and plate designators (CAV). 1.5.6.4. Owner Identification For those Image -Based Transactions/Trips that do not Post to an existing OCTA/, Interoperable/CTOC account, the registered owner name and address inform (based on the license plate) needs to be obtained from Registered Owner of th sources. account or r the vehicle (ROV) Lookup 592 The Contractor shall establish a direct interface with the Calif Departm Motor Vehicles (DMV) to perform an ROV look up for each tr ion with Califor nse plates. 593 The Contractor shall establish a direct interface e Arizona Department of Mo Vehicles (DMV) to perform an ROV look up for a nsaction wi izona license plates. 594 The Contractor shall provide a ROV Lookup Sery vider sed to perform an ROV Lookup for each transaction with license plates er States, the District of Columbia and the U.S. Government. 595 The Contractor shall provide the - • to identify Calif mporary plates based on numbering sequence and other i '' • ided by the 596 The Contractor shall provide the cility to - •orary ense plates issued by the California DMV utilizing a separ. .tabas: - ates. 597 The Contractor s• •vide the ca► • obtain and store Vehicle Identification Number (VIN) ry license and using the VIN, associate the temporary license plat• rmane to to ensur, a single Unregistered account is created for the vehic . that Califo DMV hold i • ed on the permanent plate, if applicable. 598 The C for shall pry - - •.bility t, . nage addresses associated with Protected Plates a; , whi _ urned from the DMV or ROV Lookup Provider for licens • stomers of i i. ith federal, state or local agencies allowed to Feld addre uding but not limited to: ,w Aut, Users to input, delete and update the addresses associated with ted Pla. -ncies; • elec . tally the against the Protected Plate data when a Protected Plate agency nam- -turned from the DMV or ROV Lookup Provider; • auto , ally produce the Violation Notice with the Protected Plate agency ad, .; . the option for an Authorized User to review, edit and approve the Violation 1 otice prior to sending and • if there is no match for a Protected Plate agency, hold the Violation for a Configurable period of time and allow an Authorized User to manually enter an address when obtained and send. Page 86 of 248 RFP 9-1177 Exhibit B 599 The Contractor shall provide the capability to establish separate, ROV Lookup parameters (Configurable) to obtain the ROV, based on various criteria including but not limited to: • whether the license plate is issue by a state which there is a direct onnection (California and Arizona) or through an ROV Lookup Service Provide • whether the license plate is a temporary plate (California only • • Flags on the account, for example if the account has a ba g or ROV is stale, then ROV Lookup is performed at intervals urab it a new address is obtained and • cost of ROV Lookup, for example if ROV Loo re at no cost then n lookup every time (possibly daily) when a on Notice is about to be i for the license plate. 600 The Contractor shall provide the capability to i and man lations which do not meet the criteria for a Violation Notice to be iss caus iolation date is greater than the Configurable number of days old. 601 The Contractor shall provide the ca. ability to identify an ge Violations which do not meet the criteria for a Violation ► - . e issued based o ' ess Rules. 602 The Contractor shall provide the . bi i 11 and man 'olations which have no match after ROV Lookup and a for a • - umbe of days to attempt to obtain the ROV through other metho 603 The Contractor s e the capa► ew the transaction/trip and its associated image (s) and s - t license p egistration information in the event there are multiple RO ches ret, • by the Re , okup Service Provider for a particular license plate. 604 The c for shall - • abilit . review the results and take appropriate action o '.1 RO d confirm the account that matches the ROV name and . 61 . tractor ovide the capability to automatically create an Unregistered account r I se pla " : the ROV results if there is no match to an existing Registered or Unregi . ccoun 606 The Contra, hall pro, de the capability to identify potential match to a Registered account bas : name and address and notify the customer and add the plate and transactions. .. The Contr. shall provide the capability to review the transactions/trips where the • istra ' formation is not available. The BOS shall retrieve all images associated with tions/trips and make them available to the Authorized User for review. The A. ed User can take the following action on the transactions/trips, including but not limi d to: • manually enter the ROV data and Page 87 of 248 RFP 9-1177 Exhibit B • correct the license plate data. 608 The Contractor shall provide the capability to re -submit license plates for ROV Lookup a number of times (Configurable) and after a period of time (Configurable) if the 1. ense plate is returned from the ROV Lookup Service Provider with no match or or. The configuration shall be based on the type of error and the status of the co • cations. 609 The Contractor shall provide the capability, if there is no response fo Lookup after the number of retries (Configurable), and license plate registrati • cannot be obtained, to automatically set the transaction/trip to "Unknow► ' statu 610 The Contractor shall provide the capability, if the ROV info on cannot be obt• ' ost the transaction to a Registered account if the tr on/trip also contai RCTC/OCTA transponder read. 611 The Contractor shall provide the capability to tically reco et and maintain the ROV Lookup source based on license plate Juri 612 The Contractor shall provide the capability to se of time (Configurable by Jurisdiction) before ROV information needs to be ed before the license plate registration information is conside • d stale and must be d again. 613 The Contractor shall provide the •t the length (Configurable) before ROV information for temporary li • p a . • be reche dividually to obtain the associated permanent license p umber. 614 The Contractor shall provide the capa t• n all hist• .1 ROV Lookup information, including but not • so . icense • ROV data, • data change • • . to the - 1.5.. ransfe onsibility 0 the person r will need to recor le Cod .ble for amed r .des for the registered owner of a vehicle to name another individual asion notices. In order to comply with this requirement the BOS sible person and process applicable NTEV accordingly. 615 The Contrac all provide the capability to transfer the responsibility to another party, including but limited to: • upl g supporting documentation; • mg for Authorized Users to enter the responsible party's name and address ormation for one or many Violation Notices; • dismissing the Violation Notices (including applicable tolls and fees) for the original ROV; • establishing an unregistered Account for the new ROV; Page 88 of 248 RFP 9-1177 Exhibit B • issuing Violation Notice(s) as applicable to the new ROV, and • maintain history of the responsibility transfer activities. 1.6. Registered and Unregistered Account Notifications 1.6.1. Outgoing Notifications The creation and sending of outgoing Notifications includes multiple dis o electronic transmission (email, text), print and mail, and outbou management shall provide several methods of delivery and a w or configuri Notification item shall be delivered. All Notifications related to that account and Case, if applicable, in the BOS. one ca ount shall be asso els, such as tification each ith Alerts are normally Notifications that customers opt -in that they ce notified (usually text or email) when their account needs attention or , . ctivities o their account. Alerts can also be Notifications based on account events of whi. gen ' •uld like customers to be informed. Notifications are sent using distribution c - nels, such as emai Postal Service (USPS) mail. There are unique Notification items, for e balance letter or an email Notification that t Each Notification item has criteria, the account qu Credit Card Expirin qualifies for a Vio catio otice afte a which trig ecific Not month be ROV infor hone call and United States lation, an insufficient een replenished. eration. When an account meets specified item. For example, an account qualifies for a he Credit Card expiration date and an account n has been obtained. 616 The for shall p NIications with a standard look and feel and submit of gencies for Approval, prior to distribution to customers. 6 I tracto provide a Notification management process regardless of the l o , item o 'stribution channel used to send the Notification. 618 The Cont . shall de a communication matrix for configuring the Notifications and their allowa. istributio channel. This matrix shall be configurable and will change over the life of the tract. The Contrac , all provide a process to automatically issue each Notification when the riteria in , siness Rules is met. 620 for shall produce and deliver Print Notifications to the USPS Monday - Friday. 621 Th- intractor or its Print/Mail House Service Provider (optional) shall produce and deliver the Notifications to the USPS within two (2) Business Days of the Notification meeting the Business Rules for generation. Page 89 of 248 RFP 9-1177 Exhibit B 622 The Contractor shall produce and deliver all electronic or phone Notifications to the customer within one (1) Business Day of the Notification meeting the Business Rules for generation. 623 The Contractor is responsible for the quality and accuracy of the all Notific nd shall review Notifications produced in-house or by its Print/Mail House e Provider (optional), as the Contractor deems necessary to ensure accuracy of ifications for complete addresses, correct information and Notification template and accurate dates. 624 The Contractor shall provide the capability to automatal associate a ound Notifications with the appropriate account and Case, if ap , :le. 625 The Contractor shall provide the capability for custo , • opt -in for Alerts and sele conditions that will result in the creation of Alerts. ' er shall have a choice of select' the method in which they receive the Alert; a to -mail. 626 The Contractor shall provide the capability t• • at1, vitiate customer Alert Notification based on account events, including but o: • an I -Toll was Posted to th • . ccount; • Violation on license platustomer's a• • in file; • transponder order placed; • transponder shipped; • Credit o' • ate within onfigurable) of expiry; • a balance a ount abov: ufficient Balance Threshold (Configurable); • ly account b. e• • tP oa •. • retu eck; ount a •lenishment (Credit Card) failure declined Credit Card; • a , transa s rejected, and • acco hanges (Configurable), such as the addition of a vehicle to the account or chan f password. • . The Cont, shall provide the capability to automatically initiate customer mu r • ns and Notifications based on account events including but not limited to the account creation welcome letter/account profile; • Excessive I -Toll threshold is exceeded; • account auto -replenishment (Credit Card) failure declined Credit Card; Page 90 of 248 RFP 9-1177 Exhibit B • an ACH transaction is rejected; • Credit Card update successful (from the Credit Card update service ); • Credit Card update failure (from the Credit Card update service ); • Credit Card is within a number of days (Configurable) from its ion; • Credit Card has expired; • partial payment; • temporary license plate expired; • auto -replenishment suspended; • auto -replenishment recalculation; • returned check; • account suspended; • delinquent account sec - • Warning of Registration ( • o only se d on the amount of time since the delinquent 'cation); • statement available; • postp. • of Toll Eva Violation : . ted; Mice of Delin • s • vasion ion generated; • • fl n fl • • accep - . , Viola flute rejected by reason; mplet . vit of Non -Liability; • c er-initi.. eview-related Notification; • Ad rative Hearing scheduled; • acc alance level is below the Insufficient Balance Threshold; • nt is flagged with a bankruptcy; ndeliverable mail; • undeliverable email; • bad phone (for both calls and text)/fax situation; Page 91 of 248 RFP 9-1177 Exhibit B • forgotten password, PIN or username; • account status changes (Configurable). 628 Distribute Notifications through distribution channels, including but not lim' . • mail; • email; • text messaging; • Self -Service Mobile Application push Notificatio • fax; • outbound CSR call by developing a list s to be mad • automated outbound call. 629 The Contractor shall provide the capability for elect tifications to be sent as the body of an email in a format (Confi • rable), including bu ited to text and HTML. 630 The Contractor shall provide the . , •lectronic No ns to be sent as a link to the Self -Service Website in the : of a 631 The Contractor shall provide the ca L ity (Co ine Notification type and size, for example, postcard or letter. 632 The Contracto e settings igurable) for distribution channel for each Notification ' ncludi t not limit: • • cy required ibution chan ); • Amer pr- • pre : ress type for mailing, for example, home, business or ROV Lookup provi • The or sha 'de the capability for a Notification item to be distributed using multiple 'bution , els. For example, send the Notification to the customer's preferred 'bution , nel, which is email and by mail, based on the Agencies' preference. The Contrac hall provide the capability to identify multiple Notifications that are generated f ustomer and combine their mailing. 635 C for shall provide the capability to check the NCOA database before a n is mailed and use the NCOA address if it is the latest. 636 The ontractor shall provide the capability to validate the existing email address anytime a new email address is provided. Page 92 of 248 RFP 9-1177 Exhibit B 637 The Contractor shall provide the capability to send manually -generated, bulk email Notifications. 638 The Contractor shall provide the capability to send scheduled and ad-ho bulk text Notifications. 639 The Contractor shall provide the capability to send scheduled and c, bulk mail Notifications. 640 The Contractor shall provide the capability to read, capture, and the telligent Mail Barcode on incoming and outbound mail. 641 The Contractor shall provide the capability for Notifico include images, . s, and lists (for example, lists of license plates and/or trders) as well as text. 642 The Contractor shall provide standard templates ' : ch Notificat. item. 643 The Contractor shall provide the capability to a. .rcode, • ne or Quick Response Code to each outgoing Notification piece (excludin: body copy Notifications) so the returned Notification can be scanned and aut1 associated with the proper account and, if applicable, Case. The barcode shall be • in the top of the envelope window so as not to interfere wSPS but to be avto scan as returned mail without having to open the enve 644 The Contractor shall provide the c. lity to .. digit barcodes on Notices and other correspondence that will y retu ockbox Service Provider (optional) or Collection Agency. Barc • - a • all be a . support such checksum on barcodes and the ' validate it. 645 The Contrac all prr the capab to ensure historical Notifications associated with acc do not ch. (maintain inal form and content) regardless of any chang • are subsequ made to the late for that Notification item. 646 The Co �r shall �� create and assign version numbers/dates to Notificati 64 tracto rovide the capability to manage/configure Notifications and their ccordi : usiness Rules, including but not limited to: • w Noti s; • dea to Notifications; • vie select for activation past versions of Notifications; • ; quency; escalation path; • whether based on actual account balance or balance due (calculated); Page 93 of 248 RFP 9-1177 Exhibit B • whether to send for third -party address look up; • a variable due date based on the number of days (Configurable) until payment is due; • a fixed date due (for example, monthly customer Anniversary Da • number of days until action must be taken; • the number of days between the due date and escalati he tification level; • number of days between the creation date and ' ate; • a fixed issue date (for example, monthly c r Anniversary Day); • the number of Business Days betwe due date alation to the next Notification level; • number of Business Days between the create d issue date; • number of times to resen , • number of days before t , esent; • whether or not to resend o sue if a received; • whether to escalate but not p if - ss is mark• . 'bad'; • allow. ,n channel • • ' . ution chan scalation; ber of day• ,• ••.'ling of . dispute reject letter to extend the Violation .pay, • • elig . ess type, for example, Notice of Toll Evasion Violation must be mailed to the . ddress as provided by the ROV Lookup source; ess so ority, for example, mail to the ROV Lookup address and if that • return. h a forwarding address then use forwarding address; • Noti ion response address, for example, some Notifications may require that pay I go to the Lockbox Service Provider (optional) while others require res p - be sent to the BOS; • cation return address, for example, some Notifications may use the return i ress of the Collection Agency while others will use the mail house address; Notification quality review sample size and • whether Notification quality review and approval is required. Page 94 of 248 RFP 9-1177 Exhibit B 648 The Contractor shall provide the capability for Notification to have a mailing date match the actual mail date of the USPS on the Notification. For example, if quality review activities and printing take two days, then the issue date would be two (2) days later than the date that the Notification was created. 649 The Contractor shall provide the capability for Authorized Users to view a ons of each Notification item (including those items that have been modified), incl ut not limited to: • date modified; • version number; • Authorized User who made the modification • samples of the Notification as it looked ' . revious ver ' s. 650 The Contractor shall provide the capability to a Not' a target audience, for either pre -developed or ad -hoc Notification, using ng but not limited to: • use of a particular Toll Facility (overall or by di . ; • use of a particular Toll . or by direction • use of a particular Toll Fa• or To 4 ; a spec • period of time; • use of a particular payment od; • transac ' •ytime pe • tr. ons/trip. ZIP code; • sactions/tri Vehicle Type • ction • tran . /trips by Account Plan; nsacti. • s by transponder type; • nts of • f Toll Evasion Violation issued for selectable Toll Facility use; • reci s of Notice of Toll Evasion Violation issued for selectable time periods and • reci To ility _s of Notice of Toll Evasion Violation issued for a combination of selectable use and selectable time period. 651 C or shall provide the capability to view and Approve Notifications prior to n to the customer. Page 95 of 248 RFP 9-1177 Exhibit B 652 The Contractor shall provide the capability to email, send to the Print/Mail Service Provider (optional) for printing and mailing or reprint at a local printer any Notification directly from the account, Case or Notification search screens. For example, the customer called about a Case and requests that the CSR resend the letter by email to the customer. The P • is in the Case and clicks to resend the letter to the provided email address. 653 The Contractor shall design the Notifications to meet all criteria for r. ng the lowest postage rate. 654 The Contractor shall employ bulk mail rates and other mailin , omie , • ing, the capacity for pre-sorting mail by zip code and USPS Intellige t . 1 Barcode . e the most cost-effective postage rates are obtained. 655 The Contractor shall provide all postage meters and ish all post office boxes ne. for customer communications. 656 Outgoing mailed Notification materials shall u ollowing ls: • all mailed Notifications - 241b paper; • all mailed Notifications up to 3 pages - #10 win velope; • all mailed Notifications 4 • - 6"x 9" envelop • all mailed Notifications 1 i • "x 12"; • the non -Agencies provided - a sing • • ece o paper and • all return envelopes - #9 win • env s. 657 All Notification •lor shall u . colors. 1.6.1.1. Pr" The use of a t shall be at no a der (option .ce Pr'lder is at the discretion of the Contractor and ded, the following Requirements apply. 658 • - Contrac cts to use a third party Print/Mail House Service Provider (optional), -d thir Print/Mail House Service Provider shall be located in and mailing the i • ' Notifi from the State of California. 659 The Contr. the Print/M. dates as appl i hall pr the capability to resend any files rejected or not received by .use Service Provider and update the Notifications with new mail and due e. The Contra inting . do • . all provide the capability to transmit fully created Notification items for stribution to the Print/Mail House Service Provider, if utilized, for example, or XML format. 661 Ttractor shall provide the capability to transmit Notification items as a data file for prin' ng and distribution to the Print/Mail House Service Provider, if utilized. Page 96 of 248 RFP 9-1177 Exhibit B 1.6.1.2. Notification Tracking, Distribution and Returned Mail Processing 662 The Contractor shall provide the capability to track the USPS Intelligent Mail Barcode Notification delivery response for each individual Notification. 663 The Contractor shall provide the capability to send an Operational Alert N • on to the PMMS if reconciliation from the Print/Mail House Service Provider (opt - as not been received in a specified amount of time (Configurable). 664 The Contractor shall provide the capability to assign a status to e. • WI • • tification, including but not limited to: • qualified; • in quality review; • sent to Print/Mail House Provider (op • acknowledged by the Print/Mail House • distributed; • undeliverable and • reissued. 665 The Contractor shall provide the : bility ication record for each Notification generated, including but 'm' •: • distri •. • d- e account fied to hay: Notification generated; • to the Notifi . . . enerate • • • e N on e Print/Mail House Provider (optional); • due • . applicable); • the . ion was printed; • • . e Notifi . was mailed; • date Notification was identified as undeliverable and • (Tat; Notification was reissued, for example, if a Notification is returned with a f• ding address, a new Notification is sent to the new address. 666 'Tr : ctor shall provide the capability to check the NCOA database before a on is mailed and use the NCOA address if it is the latest based on the address sele. on hierarchy (Configurable) for the Notification item. Page 97 of 248 RFP 9-1177 Exhibit B 667 The Contractor shall provide the capability to automatically associate and store a copy of the Notification with the account upon successful mailing of the Notification as verified and provided by the BOS or Print/Mail House Provider (optional). 668 The Contractor shall provide the capability to process returned mail an r a new address, if notified by the Print/Mail House Provider (optional) or the US 669 The Contractor shall provide the capability to process returned mail k the address as undeliverable if notified by the Print/Mail House Provider (opt' • SPS. 670 The Contractor shall provide the capability to process returne e : it in bulk . .. rk the address as undeliverable if notified by the Print/Mail Hous vider (optional) e SPS without having to access each account and individual N ion in BOS. For exa • scanning the Notification barcode into a BOS form fo tire batch of returned mai . 671 The Contractor shall provide the capability to Fl rned mail deliverable and Fla_• the address as bad. 672 The Contractor shall provide the capability to pre ons from being escalated and sent to addresses marked as undeliverable or to c o escalate and generate such Notifications but not print them (C • figurable). 673 The Contractor shall provide the Authorized initiate a manual Skip Tracing process on an individual d. 674 The Contractor shall provide the ca► ity, w - ess is found to be bad, to automatically perform Skip Tracing a d quired g address or other contact information to the and identi ce of the address as Skip Tracing. 675 The Contra all, if . address provided, automatically mark the returned Notificati• returned . generate a Notification with new dates as applicable. Escala ' .tes, if appli , in the BOS ee updated based on the new Notification dates. 676 The Cont . ovide the ca 9 . • to manually select Notifications to be re -sent, for example, , ew address has been provided and manually entered. ' ctor s•vide the capability to send a Notification to a customer regarding an un • . , ble ma • tion by using a different distribution channel(Configurable). 678 The Contrahall pro , . e periodic checks for bad (bounced) emails and mark them as undeliverabl. -r a number of failed delivery attempts (Configurable). The Contrac all provide the capability to send a Notification to a customer regarding an undeliv: - email situation by using a different distribution channel (Configurable). 680 or shall provide the capability to mark phone (for both calls and text) and fax . s bad after a number of failed contact attempts (Configurable). 681 The ontractor shall provide the capability to send a Notification to a customer regarding a bad phone (for both calls and text)/fax number situation by using a different distribution channel (Configurable). Page 98 of 248 1.6.2. General RFP 9-1177 Exhibit B Registered Account Statements, Postpaid Invoices and Violation Notices - Statements - statements are generated for customers with Registered accounts, which customers can choose to receive by mail or email, or they can access statements online or via a mob' vice. Postpaid Invoices - if the Agencies elect to offer postpaid accounts, those cust invoice on their Anniversary Day listing each transaction/trip for the bill' account has no new transactions or other financial activity for a billing c receive an invoice. Non-payment of the first invoice shall result in th with additional fees. Non-payment of the late invoice shall result delinquent. The postpaid account shall continue to re transactions/trips and delinquent debt may be placed in co transaction/trip identified by the users will be considered a a Notice of Toll Evasion Violation with each unpaid trans Violation Notices - issued in accordance with the Califo rules. ill receive an If a postpaid mer will not ation ate invoice taccount be ged as invoices for uent ns. At such time eac' d on and the customer shall r icle C and agency business 682 The Contractor shall provide the . • ability to determi account Anniversary Day, based on account type, including ited to: • account type; • account creation date; • date of first transaction and • date of ' 683 The Contra all prove e capabili _enerate the statements on the Anniversary Day eve account has ransactions and other financial activity for the current state cle (Configu 684 The Con shall - generate the invoices on the Anniversary Day only if the . . transactions or other financial activity on the account that • - • not appe. an invoice (Configurable). - ctor s' . 'vide the capability to automatically change the Anniversary Day when . voice -d in place of an old invoice that is canceled. For example, if an invoice is , on 1/ . en returned by the USPS on 1/10, then Rreissued 1/15, reset the Anniver Iay from /5 to 1/15 to give the customer enough time to pay the 1/15 invoice befor: , ding the next one. The Contrac , shall provide the capability to generate the appropriate type of correspond- (statement, invoice), based on the account type, and account balance on - Anni y Day or during the billing cycle. 687 : ctor shall provide the capability (Configurable) to set and maintain statement, in . . nd Violation Notice generation parameters, including but not limited to: • type of correspondence based on account type, such as a Registered account receives a statement and Unregistered (violator) account a receives Violation Notice; Page 99 of 248 RFP 9-1177 Exhibit B • whether to include multiple Violations on a single notice by number of days since first transaction or number of transactions (Violations from each Agency are separate); • date when statement is generated, such as fixed end of the month for accounts, any fixed date within a month or Anniversary Day; • type of statement, invoice, such as monthly, quarterly, annual; • delivery channel, such as electronic or mail; • acceptable payment methods; • acceptable payment channels; • invoice fee assessed each time an invoice is m nd • document fee amount, such as a fee paper stat ment and electron statements are no cost. 688 The Contractor shall provide the capability to gen ach statement, invoice and Violation Notice based on, including but not limited • rolling Anniversary Day; • fixed day; • number of days from tran 'on • ; • customer specified day of t nth; • dollar amo • • reshold; • numb: s/trips; • fi e period; • :nsaction Dat- • ' atio _ 4ns/trips and fixed time period; • com . • f dollar amount threshold and fixed time period and •mbina. number of transactions/trips and dollar amount threshold. .89 The Co ,r shal •e the capability for distributing statements, suppressing the delivery o •ments a essing statement fees (if applicable) based on the following, including bu limited to • acco i pe; • Fla = he account. For example, accounts with USPS Coding Accuracy Support S (CASST') lookup failure or bad address shall not be mailed a statement; every channel and delivery status. For example, if a statement fails CASST' for address lookup, the fee shall not be charged. 690 The Contractor shall provide the capability (Configurable) to utilize various addresses on the account for mailing statements, invoices and Violation Notices. Page 100 of 248 RFP 9-1177 Exhibit B 691 The Contractor shall provide the capability to generate statements, invoices and Violation Notices manually, such as when specifically requested by the customer, in any format available for BOS-generated Notifications. Applicable fee(s) shall be charged for those statements. 692 The Contractor shall provide the capability to balance the generation invoices and Violation Notices over a period of time, based on volume. tements, 693 The Contractor shall provide a numbering methodology for invoi and accounts for the purposes of proper lifecycle documentatio rti and customer service. ion Notices ' dication 1.6.3. Customer Statements — Registered Accou Account statements for Registered accounts are generat� thly/quarterly as selected b customer and as allowed by the Business Rules on the dfigured in OS. 694 The Contractor shall provide the capability to gen egis ccount statements that detail all account activity, including but not limited t • prior balances on the acco t; • toll transaction/trip acti ount (posting try/exit location, date, and time, toll amount); • payments on the account ( ishmen • • • ayments); • adjustments and credits; • discou •s; • of ancial ac on the acc • • ion of trans ► . ers and purc' • f inventory items; • nt stat • cus . sage and global message; ees ass: •n the account and • nt bala • the account. 695 Registered nt state s shall list individual transactions that Posted to the account, including bu limited to: • Tran der -Based Transactions/Trips that Posted to the account by transponder and • ransactions/trips that Posted to the account by license plate. 696 actor shall provide the capability to include customer communication inserts al ith customer statements based on user selected criteria, for example zip code and account type. Page 101 of 248 RFP 9-1177 Exhibit B 1.6.4. Customer Invoices — Postpaid Accounts Most Agency customers are required to maintain a prepaid account balance in order to avoid Violations. In the future, the Agencies may enter into postpaid agreements with customers which will permit the use of the Agencies' Toll Facilities without a prepaid balance. Under this cir tance, the BOS shall periodically bill customers for usage in accordance with the following R ents. 697 The Contractor shall provide the capability to support account -based ' on postpaid accounts, where the monthly invoice reflects the license plate and t ansactions that Posted to the account during the billing cycle. 698 The Contractor shall provide the capability to generate ate invoice whi ude applicable fees if the first invoice is not paid in full by the ent due date. 699 The Contractor shall provide the capability to Flag t paid account as delinquent generate an Operational Alert Notification if th invoice is t paid in full by th payment due date. 700 The Contractor shall provide Authorized Users abi ' suspend a delinquent postpaid account at which time. all subsequent t trips on the account are considered Violations. 701 The Contractor shall provide th - t to initiate the uency process once the account is suspended on the unpa trips which' generation of Notice of Delinquent Toll Evasion Violatio es a delinqu ance on the account to collections. 702 The Contractor shall provide the capa► to ate pos . nvoices that fully detail all activity, including ► mited to: • prior ce; • t charges; • ments; • .. yen • detai g of all transponder transactions/trips on the account; • ailed • f I -Toll transactions/trips on the account and • -d listin; license plate transactions/trips on the account. 703 The Contra hall pro de the capability (Configurable) to set and maintain invoice generation an : nsaction aging parameters, including but not limited to: • invoeneration and aging timeline, for example, generate the monthly invoice th. ays from the Anniversary Day, and amount owed is considered past due igible for delinquency process if not paid within five -days of the due date; count suspension parameters, for example, if account is not suspended by a user within number of days (Configurable) of it being delinquent then BOS shall suspend the account; • number of invoices to issue before account is considered delinquent; Page 102 of 248 RFP 9-1177 Exhibit B • grace period for aging unpaid invoices on an account, for example, a five-day grace period is applied before a late invoice is generated for an unpaid invoice; • eligibility criteria, for example, if customer has at least one (Configurable) un- invoiced toll transaction/trip or other Financial Transaction with' billing cycle then generate a monthly invoice; • aging thresholds and values, for example, if the past due amo the account is more than $5.00 and is more than thirty days past due the assessed; • payment thresholds based on underpayment amount stat orkflow stage, for example, if invoice is underpaid by less tha $0. , then the a wed on the invoice is considered closed and • fee structure, for example, the fees to be ass and whether the fees are assessed at the invoice level or transactio 704 The Contractor shall provide the capability at e tus or wor tage to perform the following actions, including but not limited to: • identify the transactions/trips that are eligib cing; • add applicable fees; • add applicable advisory • generate next invoice for t e fra • ed and • transmit the invoice to the c L er. 705 The Contractor sh 'de the capa, ter a forwarding address obtained from returned mail via inter om an external vendor or manually input, which will re the re- of the mo invoice and its associated transactions/trips into the tr ion aging ess. The re- • d invoice shall have a new issue date and a new d 1.6.5. Vio Viol weallo asion ce where otice. Each Not Agency as well as a Code. The Agencies cation oll Evasion Violation when their Violations are eligible for Notification. n referred to as Violation Notice may have multiple Violations on the ions/trip is assessed penalties or may only have one Violation per Toll Eviolation will contain transaction(s)/trip(s) from only a single ount, a . alty and other information as required by the California Vehicle ave different Violation notices and processes. calation is divided into the following stages: s stage violators are notified of their Violation(s) when the unpaid trips escalate to Violations. The Notice of Toll Evasion Violation will list the s) that occurred during the time period with each Violation showing the toll amp , the fee amount and the penalty due. Failure to pay the Notice of Toll Evasion Violation within the timeline will result in the escalation of the Violation(s) and the generation of Notice of Delinquent Toll Evasion Violation. Each Violation may be assessed additional fees/penalties. Page 103 of 248 RFP 9-1177 Exhibit B • Registration Hold - If the Violation(s) on the Notice of Delinquent Toll Evasion Violation remains unpaid past the payment due date, the Violation(s) are eligible for a Registration Hold. Currently Registration Holds are only placed for vehicles registered in California. • Tax Intercept -Unpaid Violations may be sent to the California Franchise Boar • collection through the Tax Intercept Program. • Collections - Unpaid Violations may be sent to a third -party Collection AThe Contractor may be required to send a pre -collection letter using update • ion from the Collections Agency. 1.6.5.1. Violator Notifications 706 The Contractor shall, based on the Violation Noti• :ability criteria, per the Busir Rules, provide the capability to perform Violati • ice, includi ut not limited to: • first level Notice or the Notice of Toll • Violati • • escalate to second level Notice or Notice of D. oll Evasion Violation, and • Registration Hold warn , • 'ce, if eligible. 707 The Contractor shall provide th. • a • 4 ess Image Transactions/Trips through the Violation process, pe Busin • - luding ► not limited to: • verify that the Configurable fr. - . mak' , yment has passed; • conve - -Based tr. ons/trips to a Violation by assessing the ap a fees . enalties; • fy that no In al Review, A• strative Hearing or Superior Court Appeal s been req • e is no acco d (occurs when there is a Case that requires the CS' stigate the violator Account and all Violation workflow events are suspe • n the Violations; • that no account hold on the Notice; • ve at there is no account hold on the Account; • ver' at license plate is not on an account that has account balance above the I ient Balance Threshold; ify that the required number of Violations are open; verify that the Notice is open; • verify that the payment due date has passed; Page 104 of 248 RFP 9-1177 Exhibit B • verify that the Configurable payment mailing/processing grace period has passed; • verify that the Violations are eligible for escalation to a Notice; • verify that the Notice is eligible for the next level of noticing; • escalate the Notice to the next level; • add applicable penalties and • notify the violator of the escalated Notice. 708 The Contractor shall provide the capability for a CS anage all Notices on the acco including but not limited to: • list all open Notices on the account; • view all open Notices on the account; • re -print any Notice; • view all open Notices b \ )4000,, • view selected Notices; • view all otices; • vi- osees by esca n level; • • cess Notice ents; �cess Vir • di •pen Notice; • ismis • d/or penalty on a Violation but never the toll amount without the • royal 6 uthorized User with the authority to dismiss tolls; • I s Violati b s within an open Notice; • pr 8 . Violations for Posting to a customer's transponder or Registered Li• - Plate account; • ess Violations for Posting to an Interoperable/CTOC Agency account if cense plate is on the Interoperable/CTOC Agency plate list and • process other Flagged Violations on the license plate for Posting to an Interoperable/CTOC Agency account if license plate is on the Interoperable/CTOC agency plate list. Page 105 of 248 RFP 9-1177 Exhibit B 709 The Contractor shall provide the capability to establish a "sinner to saint" program where part or full amount of the fee and/or penalty is credited to the account as a toll credit. The "sinner to saint" program is offered to violator that meet certain criteria including but not limited to: • first time violator and • less than a Configurable number of Violations. 710 The Contractor shall provide the capability to offer violator early • ecial" a Configurable percent reduction in fee and penalty amounts . e ade if the vio . • akes an early payment. The "early bird special" program shal . de available to all • n payments or the first time the violator gets a Violati ce (Configurable). 711 The Contractor shall provide the capability to C • . e the BOS t► upport Notice -base• Violation escalation, for example if first leve a is not res- within the timeline established, then the first level Notice is escala he sec► el Notice that reflects only the outstanding balance on the first level Not I nal penalties per unpaid Violation, even though the account may have additi . tions. 712 The Contractor shall provide t , •'lity to dismiss se : ' dividual Violations on a Notice and prevent their escal. owing the re Violations/Notice to escalate. 713 The Contractor shall provide the cility t• account hold and enter the account hold reason at any es 'o . When a ccount hold is placed, the Violation agin: - suspended. 714 The Contr. all pro the capabi , place selected individual Violations on hold at any • • ion level, i I ing Violatio , at are not on a Notice. 715 The actor sha - . • abi to prevent the aging and escalation of Violati. No ' . . count hold. 716 he Contra .11 provide the capability to continue processing the Violations and a Con _ e number of Calendar Days after an account hold is released. 7 The for sh. wide the capability to restart the Violation aging timeline a Configu numb• . Calendar Days after the issuance of the dispute rejected N ation. The Contr shall provide the Configurable capability to automatically initiate multiple e ions on a Notice at the same time based on the type of license plate, for exampl to a vehicle Registration Hold and escalate the Notice to Collections if the en a was issued in a Jurisdiction that permits concurrent Registration Hold and ns. 719 Th Contractor shall provide the capability to process Violations for the rental car license plate transactions/trips with the same license plate number and within the same renter's rental period, per the Configurable Business Rules. Page 106 of 248 RFP 9-1177 Exhibit B 720 The Contractor shall provide the capability to identify Unregistered Accounts that qualify as "repeat violators" on a Configurable basis based on Business Rules including but not limited to: • number of open Violations on the account; • no ROV information obtained; • outstanding balance on the account and • total number of Violations on the account for a giv: q ti a period. 721 The Contractor shall provide the capability - . ess additional pena Violations/Notices on Unregistered accounts that • : gged as repeat violator. 722 The Contractor shall provide the capability , smit the lic- •late data of repeat violator to the ETTMs at Configurable interva • port m• • nforcement of repeat violators. 723 The Contractor shall provide the capability for Author ers to force selected Notices from one escalation level to ano - d by-pass the ell: riteria. 724 The Contractor shall pro t' ty to c. a and maintain Violation Notice parameters for e • scala • luding of limited to: • the minimum number of Vi► •ns : Con 1:. e period of time to initiate a Violatio . ' e; • the : tim• for escal. of Notices, for example the timeline for • ing from a level Noti : second level Notice if the Notice is not paid . ismissed; • mage-Based Transaction/Trip; • the , al Notice level penalties; q aximu -lty that can be assessed on individual Image -Based sactio and account; • the ice unde . ayment percentage thresholds to prevent escalation; • the 1 ce underpayment amount thresholds to prevent escalation; • t• :ximum Notice amount to be paid to by-pass an escalation level; e maximum number of Violations on the Notice to halt escalation; the maximum amount due on a Notice to halt escalation; • allowable "sinner to saint" offers for Violators who establish Registered accounts and Page 107 of 248 RFP 9-1177 Exhibit B • allowable "early bird special" offers. 725 The Contractor shall provide the capability to automatically advance to the proper Notice processing screen when the Notice barcode is read via the barcode reader. 726 The Contractor shall provide the capability to escalate or place on , e Notices Flagged as 'bad address' as defined by the Business Rules. 727 The Contractor shall provide the Configurable capability to p , if a good address is subsequently found for a Notice or account that i ,:ed as . ddress' based on the escalation level, including but not limited to: • retain the new address; • reissue the Notice to the new address, mple if it i second level Notic. then the second level Notice is reiss a new ad ith a new due date and • reintroduce the Notice and its associated to the Violation workflow at the appropriate place, per the Business Rule 728 The Contractor shall pro • . bility to pr Violation against a home account or Interoperable C • _ he Busine s, including but not limited to: • Post the Violation transacts - rip • Post t, , /trips at t . ropriate toll rate; • • • s part of t es or the w' ee amount; miss part o a► - - • or the •le penalty amount; • • • f: - pay t' - lties. 9 The ctor s'. -vide the capability to identify and retrieve Violation related records search . grid, including but not limited to: • Vio ID number; • No number; • on of Violation; icense plate number; • license plate type; • license plate Jurisdiction; Page 108 of 248 RFP 9-1177 Exhibit B • customer name; • customer address; • transaction/trip date range; • user ID; • phone numbers; • email addresses; • Violation escalation status; • account Flags (for example Notice on ho • address type; • bad address; • Violation disposition rea - • Violation disposition sta e paid); • payment receipt number; • comments . a • • Aler 730 The Co or shall pr• • the capabi • drill down from the final open or closed esc. otice to the ed •revious N► s. 731 The Co r s • i • • to drill down from the current Notice that is open to th. iolations and images. tracto provide the capability to generate an on -demand Violation No activi , ent based on various, Configurable selection criteria that shows the his Violati ► luding but not limited to: • all d Notice ID number(s); • all i idual Violations; • ents made; djustments made; • related disputes and results; • Violation dismissals; Page 109 of 248 RFP 9-1177 Exhibit B • settlements that closed Violations; • history of holds placed on Notice; • current status of Notice and • current status for each Violation. 733 The Contractor shall provide the capability to generate an on-d y violator account statement based on various, Configurable selecti eria t ws the history of the account, including but not limited to: • number of Notices on the account by escalati • all related Notice ID number(s) and curr tus; • all individual Violations and current s • payments made; • adjustments made; • related disputes and res • Violation dismissals and r: • Notice dis ii• ' . is and reason • sett s t ed Violati • • pry of holds r -d on Notice • ent stat - • • cu , s for each Violation. tracto provide the capability to generate a detailed violator account sta eased . ious selection criteria that shows the history of the account, include not lim • list f all Notices on the account and their escalation status; • listf all disputes on the account that were accepted and rejected; • ents made against the Notices; fisting of all Violations closed due to dismissals; • listing of all Violations closed due to settlements and • listing of all account holds or Flags on the account. Page 110 of 248 RFP 9-1177 Exhibit B 735 The Contractor shall provide the capability to attach the generated Statement to the account and make it automatically available through the account history. 1,6,5.2. Registered Account Violators When a prepaid Registered account's balance reaches an Insufficien ce old and all replenishment attempts have failed or when a postpaid, Registered a. nt's invoiast due, future transactions are Violation transactions/trips and Unregi d accounts are 'shed. Registered account holders usually resolve any account issues g the account balan to good standing so an approach that easily resolves Violatio ch situations must be pr along with a method to inform customer of outstanding Vi s for plates on their account. 736 The Contractor shall provide the capability to . to the stered account(s) and Violations created for vehicles on a Registered acc i account holders (both Registered and Unregistered). taining the privacy of all 737 The Contractor shall provide t ability to inform ered account holders of outstanding Violation on vehicle their account of all account holders (both Regis a red). aintaining the privacy 1.7. Payment Processing 1.7.1. Payme ce - Generauirements 738 The Con shall utili, e Agencies Accounts in accordance with the flow of funds ed in Figure ustomer Tran 'on Settlement, in Section 1.14.3. 739 The Co sh. ornia Civil Code Section 1747.08 related to personal iaws. 74 ' ' shall i redit Card payments with the Merchant Service Provider(s) that will pr i • electrments and deposit funds in the Bank Accounts provided by the Agenci- cordanthe flow of funds depicted in Figure 1-1 Customer Transaction Settlemen -ction 1. . 41 The Contrac, .hall comply with PCI and all applicable merchant card association agreements . )ther applicable regulations for the exchange of Credit Card payments. The BOS accept payments through all commercially -available payment methods, udi not limited to: cash, check, money order, certified check, cashier's check, ACH ard. 743 Cer . payment methods, such as cash, EMV chip integrated circuit card and mobile contactless NFC shall be accepted only at WICs. Page 111 of 248 RFP 9-1177 Exhibit B 744 The BOS shall accept payments through its agreements with Lockbox Service Provider (optional) and Collection Agency. 745 The Contractor shall implement appropriate controls to ensure the securi of payment transactions, including controls over cash, checks and customer Credit C. ormation. These controls shall be PCI and GAAP compliant and meet the requireme • a Statement on Standards for Attestation Engagements (SSAE)-18 Type II Audit. 746 Credit Card and ACH information shall be tokenized and the infor • , e stored by a certified 3rd party processor. The 3rd party processor(s) may als - e Con -provided Merchant Services Provider and/or another Contractor -pro 'de. ertified 3rd 747 The Contractor shall process, deposit and record all mer payments the , ay received from the customer, using the most efficient st-effective methods avai . the industry (for example, by utilizing remote /Check 21 as opposed to sen • physical checks to the bank). 748 The BOS shall provide the capability to proces me cepted and apply them toward, including but not limited to: • prepaid balance, • specific toll transactions, • specific account fees, • purchase of inventory items . ers), • invoice • V. • Notice p. • nts and • ount Plans. 749 The BOS an ..y - including but not limited to: • partia ents, aym - • re aymen , • char ks, • error applying payments, • r s and ersals. 750 All successful payments made via Credit Card shall have a viewable, searchable authorization code for the transaction which shall be included on applicable reports. Page 112 of 248 RFP 9-1177 Exhibit B 751 The Contractor shall provide the capability to process transactions, including but not limited to: • sales; • chargebacks, chargeback reversals and representments; • returned payments (for example, returned checks); • payment plan payments; • adjustments; • reversals; • voids and • refunds (except for cash). 752 The Contractor shall provide for the proces payments and account replenishments, including but not limited to: • account prepaid balanc • tolls; • fees; • penalties• • inv• • ces; • toll tra • tra ales (full price, warranty sale, no sale, promos and coupons); ccoun and • tory pu - , including transponders. 753 The Contra hall prov de real-time, fully automated payment clearing and processing for all electro ayment methods. The Contrac all interface with one or more Merchant Service Providers (no more than hree) for rpose of settling Credit Card transactions. 755 ctor shall send replenishment requests to, and capture the results returned f Merchant Service Provider and update accounts accordingly. Page 113 of 248 RFP 9-1177 Exhibit B 756 The Contractor shall provide the capability to process a payment for multiple, unrelated charges (bulk payments) and accommodate the reversal of such payment. For example, pay an invoice or Violation Notice (for one or multiple Violations) in one account and fund another account's prepaid balance or Post batch payments from rental pr ssors for individual transactions/Violation Notices. 757 The Contractor shall provide a proven and reliable method of com ting with the Merchant Service Provider(s). 758 The Contractor shall provide the capability to identify and proc rpay cluding but not limited to: • re -assign to an alternate account; • apply to unpaid transactions/trips; • refund overpaid amounts and • apply overpaid amounts to account balan 759 The Contractor shall provide the capability to notify tomer about all partial and overpayments. 760 The Contractor shall provide traco .. . nsactions ding but not limited to: • Transaction Date; • Postin : ' • p. channel. 761 The C • for shall pro he capability , ply multiple payment methods for a single paym- exampl: -• • . n . ue, allow payment of $20.00 from a Credit Card ass 6 wi . c • • - i cash. 762 reversal • ayment shall result in the items paid being marked as unpaid, having effect hose items had never been paid (for example, when a Violation pay return. alation resumes at the point where it left off as opposed to restarti the be, , : of the escalation process). 763 The Contrac all provide the capability to use the available account balance as payment for all inven items (for example, transponders) and show the detailed changes in account bala in the user Interface, to customers on the Self -Service Website and on customer s ents. 764 C or shall engineer the payment process to prevent double -payments, for revent an Authorized User or customer from making two identical payments by ch the payment button twice. 765 The Contractor shall engineer the payment process to prevent an Authorized User or customer from making payments in excess of a certain amount (Configurable). Page 114 of 248 RFP 9-1177 Exhibit B 766 The Contractor shall display a confirmation page that includes payment method details (Credit Card numbers obscured) and amount to be paid prior to the Authorized User or customer being allowed to submit a payment. 767 The Contractor shall provide audit trail and exception reporting that econcile discrepancies between the BOS and the Merchant Service Provider. 768 The Contractor shall provide summary and detail data by payment t he processing status of all transactions, including a description of all failures. 769 The Contractor shall provide Authorized Users the detaile asons fo 't Card declines, including but not limited to: • invalid card number; • name mismatch; • card Security Code mismatch; • contact Credit Card company and • address mismatch. 770 The Contractor shall create an . i Operation Notification via the PMMS regarding failures in the pr • es th. , ith the . 771 The Contractor shall create an and : it an • Op • . Alert Notification via the PMMS regarding fail • in the proces •rface with te Merchant Service Provider or with the com ► to the Mer . ervice Provider. 772 The Contra, all prov he capabili, notify customers of failures in the processes that int• with the M ant Service ider (for example, when there is a loss of com : tion betwee : OS and the . nt Service Provider). 773 The Con. sh. ... - y to notify customers about various auto- replenishm. es. For example, replenishment was successful with secondary - a. ent met' replenishment failed. T e . for shide detailed tracking and reconciliation of payments. 75 The Cont shall p - the capability to accept payments to a Registered account resulting m payment of all unpaid Violation Notices and Violations on the linked Unregistered l unts plus fees and/or penalty based upon escalation stage (Configurable). The Contra hall provide the capability to set a payment hierarchy for Registered .. ccounts igurable) that determines the order in which payments are applied, udi F not limited to: in FIFO order; • by Transaction Date; • by Posting Date; Page 115 of 248 RFP 9-1177 Exhibit B • by payment item type (for example, tolls then fees) and • by combination of date and transaction/trip type. 777 The Contractor shall provide the capability to set a payment hierarchy Co able for Unregistered accounts that determines the order in which payments are a , including but not limited to: • in FIFO order; • by Transaction Date; • by Posting Date; • by payment item type (for example, Violati , , ices, penalties then fees) an • by combination of date and transactio , . type. 778 The Contractor shall provide the capability to p, s for specific items as requested by the customer (and allowed under the :. • es). 779 The Contractor shall produce recefor all payments in eal-time (on demand) and automatic (for auto replenishm • 780 The Contractor shall transmit ' • is • s on cu • r request via any Notification channel. 781 The Contractor shall allow for repri o pts for a ..yments in a PCI-compliant format. Reprinte, hall be exat of the original receipt and shall include the duplicative n. ment an• ude the date of the reprint (for example, the reprinted r- shall be ed "COPY" ndicate the date of the copy with the original receipt • so reflected he documen 782 The C • or shall t, race each payment to the transactions paid and each ctio . • r • . _ , a payment, including but not limited to: • invoi. lation ; • t • pre olls; • fees • ies. 783 actor shall provide the capability to accept payments for transactions/trips as ed with a license plate that has not yet been associated with an account. Page 116 of 248 RFP 9-1177 Exhibit B 784 All receipts shall contain a payment reference number that is traceable through the entire payment clearing process. For example, a Credit Card payment's reference number as printed on the receipt will also appear on the customer's Credit Card statement and is a searchable field in the database, enabling a CSR to identify a payment applied t n account from only the details available on a customer's Credit Card statement. 785 The Contractor shall provide the capability to convert an unregis account to a registered account, taking one payment for the outstanding Viol unts and the amount required to open a registered account. 786 The Contractor shall provide the capability to search for . p ent by d ment source, credit card # or bank account information. 787 The Contractor shall provide the capability for Autho . 1 sers to conduct research o allocated funds, including viewing images i ' ginal pay ent items (check correspondence, and data entered into the BOS time the ch: as Posted. 788 The Contractor shall provide the capability for Au • d Us ' ost payments from un- allocated funds to accounts while preserving the p. it trail (for example, once applied to the account, Authorized Users shall have . qlity to determine when the payment was Posted to un-applie activity that occ b hile it was in that status, and when it was Posted from un e account). 789 The Contractor shall provide the ility lied pa , ts, to report on such payments and to generate Alerts w n-applie ve exceeded a specified age (Configurable). 1.7.2. Paymennd Hand 790 The Contra all pro he capabi accept payments, including but not limited to: erson at • o with a CS , over t e via the IVR; • matic ts; • vi elf-Ser ebsite; • via t If -Service Mobile Application; • via and • e Lockbox Service Provider (optional). 791 acco ractor shall provide the capability to calculate the required payment during t creation based on, but not limited to: • the prepayment Requirements; • cost of inventory items (for example, transponders) and Page 117 of 248 RFP 9-1177 Exhibit B • any Account Plan fees. 792 The Contractor shall provide the capability to store Credit Card information for one-time payments (for example, permit customers to enter Credit Card information on and then use that stored Credit Card to make one-time payments on their account ut being required to rekey the Credit Card information). 793 The Contractor shall provide the capability to accept payments, inc ut not limited to: • one-time payments; • recurring fixed amount payments; • recurring varying amount payments; • a combination of fixed and varying a (payment ; nthly payment plus recurring auto replenishment); • recurring maximum replenishment amount . ent method on the account (for example, if the replenishment amount is $1 b • ut maximum replenishment allowed for that Credit 000 there shoul• $1,000 replenishments); • recurring payments on a • - . th; • recurring payments everymber o ” •le, every 28 days); • recurring • •. • nts for Pos , , nts as, fixes number of days after the invoic • • nfigurable • r • - g payme iggered by unt balance. 794 The ' ctor shall pr► . the capabilit ccept and Post in the BOS payments and adjust ransmit - .1 gency. 795 The Contra. !I ovide the capabi i y to process payments directly in the BOS for all - . nts in a s with any balance. T e . for shide the capability to accept the following types of payments made in-pers e mail . • proved locations, including but not limited to: • cas m-perso locations only); • chec • c. s check; S ified check; money order; • e-check (not available by mail); • Credit Card; Page 118 of 248 RFP 9-1177 Exhibit B • ACH; • EMV chip integrated circuit card (at in -person locations only) and • mobile contactless NFC (at in -person locations only). 797 The Contractor shall provide the capability to accept Credit Card pay ade via the IVR, via the Self -Service Website and via the Self -Service Mobile App ' 798 The Contractor shall provide the capability to accept all major C ar ding: • Visa; • MasterCard; • American Express and • Discover Card. 799 The Contractor shall provide the capability for ac it Card, EMV and mobile contactless NFC payments via POS devices for paymen in -person. 800 The Contractor shall provide the or accepting Cr d payments by manually entering Credit Card information `'• . '4 . de in-perso 801 The Contractor shall provide the c. 'lity to ' . - trans tion(s) to the account when payment related actions occur, udin: o • successf ' t processin; • uns ful pa t processin example recording a failed attempt. 802 The Co . or shall prov he capabilit efund checks that have been Posted to the BOS 6 not be mat 11 to a count. 803 The Cont h. . ide the ... _ o flag that an account has had returned checks. 80, - Intracto rovide the capability to flag that an account has had declined Credit • es. .15 The Con. shall - the capability for an Authorized User to correct or reverse payments . -d in er , including but not limited to payments applied to multiple transactions counts, via Cases. The Contract all provide the capability to require approvals for payment corrections via Cases. 807 - C • or shall provide the capability to prevent corrections to or reversals of hat have already been refunded, for example, payments that have been reversed en , cannot be reversed again or refunded. 808 The Contractor shall ensure all adjustments to payments are shown on the account and are reconciled. Page 119 of 248 RFP 9-1177 Exhibit B 809 The Contractor shall provide the capability to process multiple chargebacks on a payment if the previous chargebacks are reversed or represented. 810 The Contractor shall provide detailed tracking of payments by payment cat-:ories, for example, payments, declines, reversals, returned payments, chargeback gebacks reversals, chargeback representments, refunds, voided refunds and reple ► ent. 811 The Contractor shall provide detailed tracking of payments by • methods, for example, cash; check; Credit Card; ACH and mobile contactless NF P 812 The Contractor shall provide detailed tracking of payments by . ent type, ample, Visa; MasterCard; American Express and Discover Card. 813 The Contractor shall provide detailed tracking of pay ► •y payment items, for exa invoices; Violation Notices; fees; penalties; tolls an. . aid tolls. 814 The Contractor shall provide detailed tracki •ayments • ment locations, for example, Self -Service Website, Self -Service Mob •licati• box Service Provider (optional) and Collection Agency. 1.7.3. Merchant Service Provi The MSPs shall process all Credit Card, De ervices design these Requirements. 815 The Contractor shall contract with t ) separ ocessing of BOS payments. The Contractor shall work with the ncie eter e volumes and types of processing assigne• h MSP, whi ult in shared processing or all processing being assigned e MSPs. 816 The Contr. , : nd MSPs 1 provide 't Card and Debit authorization for the BOS (card no . ent / intern - d card pres r the walk-in center) utilizing one or more merc entification ► •ers. 817 The Con and . . learing for the BOS. 818 The Contrac . SPs shall provide complete, flexible and timely online reporting inclu• ailed transactions on chargebacks, card transactions, deposit totals a • _ •tals a • ary information per merchant and for the Agencies overall. .19 The Cont and M 11 provide all reporting online. 820 The Contrac, nd MSPs shall provide a monthly analysis statement showing detailed charges for a count services for each merchant ID, including a combined statement analysis. 8 he Agen ' all be assigned dedicated MSP account representatives that can be act- ough a toll -free number and email. 822 shall provide customer support during business hours Monday through Friday 7:0 1 .m. until 6:00 p.m. PST. 823 The MSPs shall provide seven (7) days per week technical support utilizing a customer service phone number. Page 120 of 248 RFP 9-1177 Exhibit B 824 The Contractor and MSPs shall cooperate with the Agencies on assignment of accounts. The Agencies will assign all bank accounts for the Agencies' settlements and merchant activity. No merchant numbers or identifications shall be assigned to the Agencies without written notice from the MSPs and Approved by the Agencies. 825 The Contractor and MSPs shall provide payment, settlement, and refundin ces. 826 The Contractor and MSPs shall provide daily settlement of merchant ts. 827 The Contractor and MSPs shall make next day deposits after sett in OCTA/RCTC-specified bank accounts. 828 The Contractor and MSPs shall provide immediate online . . to outstanding r 1 requests and chargebacks. 829 The Contractor and MSPs shall provide a fully elect , • nline chargeback system that will accept electronic signatures and support fil • . tisfy outsta ► 1: retrieval requests and chargebacks. 830 The Contractor and MSPs shall provide the ability . oc reports with extracted information based on user -defined parame . 1.7.4. Payment Processing a The use of a Lockbox Service Provider i additional cost to the Agencies. If provided, optional) f the Co r and shall be at no 831 The Contractor sh. • Kess, Post to .priate accounts, and reconcile payments transmitted by Service Pr, if the Contractor elects to utilize a Lockbox Service Prod _ 832 The Co r shall cren audit trai , an Operational Alert Notification via the PMM rding failure rocesses thterface with the Lockbox Service Provider. 833 The Con ha e - . i associate images of checks and stubs received at the Locki Provider to the proper account. actor ovide the capability to receive and process Lockbox Exceptions and ens 'I ents a opriately accounted for, including but not limited to: • c s . ondenc s and customer comments associated with payments; • pay s the Lockbox Service Provider is unable to associate to an account and • pay s that the BOS is unable to Post to an account. 83 , e Con . r shall provide the capability for Authorized Users to research and determine ion of Lockbox Exceptions, including but not limited to: Posting payment to the account; • refund payment to customer or • hold as un-allocated funds. Page 121 of 248 RFP 9-1177 Exhibit B 836 The Contractor shall provide the capability to automatically create Cases for Lockbox Exceptions. For example, if a check was received without a payment coupon, it cannot be associated with an account and research must occur. 837 The Contractor shall provide the capability to identify criteria which t ' specific Lockbox Exceptions (Configurable) which are flagged for further review, ' mg but not limited to: • discrepancy above a threshold between amount on chec due; • payment made to accounts in particular statuses; • check dollar amount and • multiple payments for the same amount o ame account in the same batc processing day. 838 The Contractor shall provide the capabilit ectro receive and process correspondence received at the Lockbox Service P mple changes of address. 839 The Contractor shall provide the ca ability for Authoriz s to view un-allocated funds (funds which have been Posted t S but which have n Posted to an account). 840 The Lockbox Service Provider p ss shall take within the State of California. 1.7.5. Credit Card The most common p intuitive Interface of accepting Cre The Contracto Credit Card stora Credit Card numb Come ssing in the B ervice Pr 11 be emplo so u the BOS database redit Card. The BOS shall have a simple and r. The most efficient and cost-effective means the BOS by the Contractor. yment Tokenization and Hosted Third Party ethod is designed to eliminate the need to store therefore reducing risks and efforts for PCI pr The Co • r shal ct with an Agency approved Merchant Service Provider. 842 The Contra. hall use ayment Gateway or a Direct Connection between the BOS and the Merchan k vice Provider. The Contract all process all Credit Card payment transactions via the Merchant Service Provider. 844 C • or shall provide for Payment Tokenization and Hosted Third Party Credit Card • r equivalent solution) such that the Credit Card information is not stored in the BO 845 The Contractor shall provide an automated credit card update service. 846 The Contractor shall provide the capability to issue refunds to Credit Cards. Page 122 of 248 RFP 9-1177 Exhibit B 847 The Contractor shall provide the capability to track data related to Credit Card inquiries, for example, capture date of inquiry, disposition date and disposition results when inquiries about Credit Card charges are received. 848 The Contractor shall provide the capability for Credit Card chargebac • permit investigation of the details as Cases. 849 The Contractor shall provide the capability for Authorized Users t► e Credit Card chargebacks and to allow for a number of chargeback representm- able) 850 The Contractor shall provide the capability to credit acco. immedi. on a successful Credit Card payment authorization. 851 The Contractor shall provide an Operational Alert N ion to the PMMS if a Me . Service Provider response for a transaction is not ed within a Configurable amo of time. 852 The Contractor shall provide an Operational Ale .ficatio e PMMS if a Merchant Service Provider response for an account contain indicate the need for the Agencies to contact the Credit Card company, for exa eferral code". 853 The Contractor shall provide th• ty to update acc ith the results from the Merchant Service Provider, for : • • it Card trans failed to authorize or settle due to a mismatched addre or. 854 The Contractor shall provide the c. ility to ' • 1 fraudulent Credit Card transactions and send an Operationa rt cation to PMMS, for example, when there are multipl • thorization gle card. 855 The Contrac .11 pro or validati , rposes, fields to capture and store within the BOS Cred i informati ncluding bu limited to: en; • a . ration • a -, name . • card; code a • bi . ddress . . ciated with the card. 56 The Contract, all provide the capability to submit disputes to chargebacks. The Contrac all provide the capability to receive updates to individual customer credit and expir dates from the MSPs. 1.7.6. Processing The cost of processing ACH transactions is generally lower than the cost of processing a Credit Card transaction, which is one of the primary reasons for including Requirements for this payment method. Many commercial customers also prefer ACH to Credit Card replenishment. ACH carries its own set of risks and challenges, which the Contractor will need to address. For example, the Page 123 of 248 RFP 9-1177 Exhibit B Contractor will need to address the timing of crediting an account after an ACH transaction is initiated and how ACH rejections will be processed. Like the Credit Card process, the Contractor's solution shall provide Credit Card paym t tokenization and hosted third -party routing and account number storage (or equivablution). 858 The BOS and CSC Operations shall remain current with indu tandards and advancements in technology and security related to credit card an ents. 859 The Contractor shall provide an Interface to the Merchant Servi vider o for ACH payment. 860 The Contractor shall provide for ACH tokenization an. d third -party ACH sto equivalent solution) such that ACH information is n. ed in the BOS. 861 Process all ACH payment transactions via the t ' . rty hosted es. 862 Provide capability to process both ACH debits an. red' the Merchant Service Provider or bank. 863 Provide a selection for "Checking" . • d "Savings" account • ation when ACH is selected for replenishment and : • • smission to the .. rries such information. 864 Provide the capability to verify the to ount info n and availability of funds with the Merchant Service P er prior ,n AC' debit. 865 Credit customer's account immediate o . : Mg an A . . ebit. 866 Provide the ca p • rse an AC ' ent if declined by the bank. 867 Provide a to the P f an ACH r • i se for a transaction is not received from the bank w . Configurab ount of time 868 Prow • . . ient pro • ' • PMMS) to prevent multiple (duplicate) ACH pay or . e ban. . _ umber within a Configurable period. • ck/M rder Processing ecks receive. custo all be processed in the most efficient and cost-effective manner available in the pa t proce dustry. • 69 The Contrac i .hall provide the capability to accept checks (personal, cashier's or certified) as . of payment. 8 he Contr shall provide the capability to accept money orders as a form of payment. 871 . ctor shall use Check 21 to electronically deposit checks and convert checks into A. sactions. 872 The Contractor shall Post to customer accounts and deposit into the agency bank account within one business day of receipt. Page 124 of 248 RFP 9-1177 Exhibit B 873 The Contractor shall provide scanning capability at the initial check or money order receiving and processing point. The resulting image shall be stored in the BOS, be available to Authorized Users and electronically transmitted to the bank for deposit. 874 The Contractor shall provide the capability to mask Bank Account informa ' ncluding the MICR line, for stored check images. 875 The Contractor shall provide check scanning tools such that the r image can be optimized via image enhancing tools, including options for savi enhanced images. 876 The Contractor shall provide the capability, when ac ' g check or mo der payments, to automatically populate the check or mo der number field vi scanner. 877 The Contractor shall provide the capability to c ccounts im 'ately upon check o money order payment. 878 The Contractor shall provide the capability to ass and stubs received at the BOS to the proper account. 879 The Contractor shall provide the o receive batch p s from rental agencies to be applied to individual transact 880 The Contractor shall provide the ca 'lity to check scanning a payment coupon and check, automatically paym_ accounts, automatically associate images with customer acco . n fide exce • processing. 881 The Contractor • the capa• • reverse all forms of check or money order payment if • • d or re. -d by the b. ncluding the assessment of applicable fees. 882 The Co • r shall prow' 11 armored s • • s required for the physical transfer of cash or pa instrument 883 The Cont h. ide we _ fication at the WIC. 884 ontracto ' provide all reconciliations of funds received to BOS Posting and the nk acc • 1.7.8. Cas' essin :85 The Contract all provide the capability to accept cash as a form of payment. The Contra hall provide a cash change fund and cash change fund management unctionalcluding but not limited to: :inning balance; ending balance and • reconciliation. Page 125 of 248 RFP 9-1177 Exhibit B 887 The Contractor shall provide the capability to credit the account immediately upon receipt of cash payment. 888 The Contractor shall provide the capability to process cash payment reversals. 889 The Contractor shall provide the capability to set threshold amounts and for cash payment reversals (Configurable.) sed limits 890 The Contractor shall provide the capability to require approval for using Cases. nt reversals 1.7.9. Online Wallet Payment Processing The BOS shall accept payments made via Online Wallet on all ne customer portals (Self- Website and Self -Service Mobile Application). The specifi e Wallet services (up to five) wi defined during the Implementation Phase. 891 The Contractor shall provide the capability to a a s by Online Wallet. The Agencies will elect to implement up to five of the mo ent Online Wallet payments available in the market at the time of the Implementatio 892 Online Wallet payments shall g: ' or the Credit nctionality in terms of payments, return payments, refu e• chargeback 'lities. 893 The Contractor shall provide detail: . cking o •• ade b Online Wallet. 894 The Contractor shall provide the capa , to ' efun • Online Wallet. If the Online Wallet provider do - pport auto . ds (many Online Wallet providers require a manual proce • , or the un ng Credit Card associated with Online Wallet has been clo expire BOS shall 6 sable of allowing Authorized Users to reverse the paym: the BOS an .ue refunds , eck. 895 The C • ctor shall pr . - a • ability : ck data related to Online Wallet inquiries, for exa . pture ' ' . n date and disposition results when inquiries about On 1 • ges are re - 896 Contract. .11 provide the capability to credit accounts immediately upon a Onlin • •t payment authorization. The Co r shal • e an Operational Alert Notification to the PMMS if a response from an 0 Wallet p er for an account is not received within a specified amount of time (Confi le). O. BOS B Interface Requirements Th actor s anage the Bank Account and the Interface from the BOS to the bank. 898 actor shall provide the interface for Check 21. 899 The Contractor shall provide the capability to upload checks issued to customers (refunds/disbursements) to the bank for the purpose of Positive Pay. The file shall include, but not be limited to: Page 126 of 248 RFP 9-1177 Exhibit B • BOS Bank Account number; • check number; • check date; • check amount and • payee name (may be truncated based on bank's requirem 900 The Contractor shall provide automated reconciliation with th cies Ba 1.7.11. Refunds and Disbursements Refunds and disbursements will be made for account clos erpayment and Violation disp The Contractor will process and issue all refunds to cus s as determ. by the Agencies. The Agencies' refund processes, from those accounts that a le for re o the approval process, and finally to the refund issuance, may differ by Agency. 901 The Contractor shall provide processes for refunds ba the original transaction and ensure such refunds are shown o • count history an conciled. 902 The Contractor shall have the ca 1 t the meth fund to the original method of payment. 903 The Contractor shall provide an auto ed . - fal p er Agency approval for all refunds over a conf • - *le amount 904 The Contract• p the capae to configure parameters related to refunds, which may ferent fo h Agency,' e ing but not limited to: • �. e of paymen : t are not eligi i r refund; • .teri. . . _ ethods (Credit Card, ACH, check, cash, money or. he hole ,d for Credit Card refunds and check refunds; • um ( , ed) allowable refund payment by Payment Type. For example, a d of mo . n $250 might require manager approval; • mini 1 (role -based) allowable refund payment by Payment Type. For example, the ' cies may elect not to issue a check refund for less than $1.00 unless re e • d by the customer and • al review of eligible refunds before processing the refunds. 905 ractor shall provide the capability to determine eligibility and issue refunds auto atically to customers based on various activities on the account, which may be different for each Agency, including but not limited to: • closure of an account; Page 127 of 248 RFP 9-1177 Exhibit B • unapplied checks/money order and • overpayment of an invoice or Violation Notice where no outstanding invoices, Violation Notices or unbilled tolls exist. 906 The Contractor shall provide the capability to review and process all eli:' •funds and initiate the refund process. 907 The Contractor shall provide the capability to route a refund ap • _h Cases, to require multiple approvals of refunds and to accommodate ent , approval processes for each Agency. 908 The Contractor shall provide the capability to issue refu ng the same metho • e payment was received. For example, a check paymen e refunded by check and Card to the same Credit Card. 909 The Contractor shall provide the capability to efunds by after approval by an Authorized User when the Credit Card which was r the al payment method has been deactivated or based on a customer request. 910 The Contractor shall provide the ca • ability for the aut processing of refunds (for example, for a successful acc • • ure) and autom create a Case for an Authorized User to issue the r: .. + . ency may h ' ferent thresholds for automatic processing of refunds. 911 The Contractor shall provide the c. ility tregarding check refunds issued which shall be viewable by i • ri . sers on account, including but not limited to: • che- ber; • amount; • che. i etails; • e date . -ck cleared the bank; • • the ence number and • reas f ; r issuing the check. 9 he Contrshall provide the capability to void a refund or disbursement check, which -11 re• e payable balance. 913 ractor shall provide the capability to void and reissue a refund or disbursement che . Page 128 of 248 RFP 9-1177 Exhibit B 914 The Contractor shall provide the capability for Authorized Users to manually override the refund payee information, for example, when a refund is due to a deceased customer's estate. 915 The Contractor shall provide the capability for Authorized Users to initiat• ds from unapplied payments (for example when a payment that was made to t , . in error is deposited but is not applied to an account and needs to be refunded). 916 The Contractor shall provide the capability to record refund chec e Agencies in the BOS. For example, certain refund checks may be issued e Ag• ' financial accounting systems; these checks shall then be recorded in a :. against th. • mer's account and reported in financial reports as a check issue he Agency. 917 The Contractor shall provide for a different refund c suance process for each ag For example, the Contractor may interface to OCT ancial acco nting system to iss OCTA refund checks, while RCTC refund chec d be issue a Contractor using the Contractor's software. 1.7.12. Bankruptcy Generally, the bankruptcy process begi . n official notice ruptcy being issued by a court. This notice generally requires c " any escal hile the bankruptcy is processed through the courts. When t an nalized, urt sends an official notification which will indicate any reducti 918 The Contractor shal • ovide the cap anage ac irts for customers who have filed for bankru• 919 The Contra ► all prov e capabili ecord the effective date of a bankruptcy and bankrup e, which a atically flag ccount for bankruptcy, holds all activity on outst. : debt which red i rior to t ng date and issues a letter to the debtor or attorn .le. 920 The Contra ovide the capabi 1 to enter the 'as of (stay) date of bankruptcy and Busines to transactions occurring after that date (new tolls incurred after the date . able). 1 The Con shall I - the capability to record when a bankruptcy has been granted which wi e off a . standing penalties and generate a letter to the customer requesting p ent of the tolls. The Contrac hall provide the capability to cease escalation of any transactions that occurred o efore the "stay" date (typically the bankruptcy filing date). 923 Co r shall provide the capability to continue processing transactions subsequent and time of bankruptcy notification. 924 The ontractor shall provide the ability to record a dismissed bankruptcy and restart the escalation and collection process. Page 129 of 248 RFP 9-1177 Exhibit B 925 The Contractor shall provide the ability to record and store all bankruptcy filings required by the courts. 1.7.13. Shift Management The Contractor shall reconcile the financial and asset activity of every person t s in the BOS at the end of each shift. 926 The Contractor shall provide the capability for the BOS to autor�cally open for an Authorized User at the time of first applicable transaction upon user role. 927 The Contractor shall provide the capability to promp eginning balance or Autho User bank (including option to list denominations 928 The Contractor shall provide the capability to to openin alance and assign a unique Authorized User ID, including location, trans s processed during the shift. 929 The Contractor shall provide the car ability to automatica pt to close a shift at logout time if an open shift exists. 930 The Contractor shall provide the .bi and rec 11 transactions and activity in a shift. 931 The Contractor shall provide the . Dili separa .nsactions that affect the Authorized User' . for examp eck, ACH, Credit Card or other payment, from transacti • he BOS ba , for example, waiving a fee for a customer. 932 The Contr shall pro the capabil .r reconciliation of transponders and other invents ms issued a ,yments. 933 The Co • • reate an Alert to the supervisor when a CSR's bank goe old (Con • . For example, if CSR's bank goes above $200 the supervis. ant the CSR to do a "bank drop." • . ctor s•vide feedback to Authorized User if the shift does not balance. 5 The Con shall • - the capability for an Authorized User to attempt to balance the shift a er of tim. Configurable). • 36 The Contract all provide the capability to escalate the shift to an Authorized User for research an. sing after a number of unsuccessful attempts (Configurable) has been reached. 937 lir or shall provide settings to either display or not display the shift variance • unt to the Authorized User during shift closing (Configurable). 938 The ontractor shall provide settings to either display or not display the shift inventory (transponders and other inventory items) variance amount to the Authorized User during shift closing (Configurable). Page 130 of 248 RFP 9-1177 Exhibit B 939 The Contractor shall provide the capability to configure all relevant parameters related to closing a shift, with a default value that can be overridden based on unique user ID, including but not limited to: • the number of times the Authorized User can attempt to balance th , • the amount of allowed variance by dollars and • the amount of allowed variance by percentage. 940 The Contractor shall provide the capability to close a shift once alance . 941 The Contractor shall provide the capability to record •alancing discrepa or example overages and shortages. 942 The Contractor shall provide the capability to fo . se an unbal, ced shift based upo user roles; the BOS shall record unbalanced var - in a separa : ncial Account which shall be included on financial reports. 943 The Contractor shall provide the capability to escalat: . t remain open at the end of the Business Day to the Authorized User based upon us - 944 The Contractor shall provide Au s with an acco ►. . of all shift activity with detailed and summarized financi o 945 The Contractor shall provide Autho Users all open shifts. 1.8. Case Mana The BOS shall prov Authorized User of Cases wher general publi and its progress will be defined dun Crea o create, a and manage requests made by customers or me Cases. anagement is the creation and management ctivity or acts • quired to satisfy the Agencies, customer or pened it is assigned to the appropriate staff, pletion by the BOS. The initial set of Case types ementation Phase. Certain Case types will escalate automatically. 1r6 The Co r shalIV the capability to initiate a Case any time a request cannot immediate complet 47 The Contract all provide the capability to create, manage and support certain activities as Cases. Typ Cases shall include but not be limited to: • i ng, tracking and resolving Registered account disputes; tiating, tracking and resolving Violation disputes (image(s) must be associated with the Case); • initiating, tracking and resolving I -Toll disputes (image(s) must be associated with the Case); Page 131 of 248 RFP 9-1177 Exhibit B • initiating, tracking and resolving toll rate disputes; • initiating, tracking and resolving requests for Administrative Hearings; • initiating, tracking and resolving requests for investigative reviews. • initiating, tracking and resolving Civil Judgements; • initiating and tracking payment plans; • initiating, tracking and resolving customer and non-c er issue quests via phone and in person, that cannot be resolved i ediately; • initiating, tracking and resolving customer is nd requests received t all communication channels; • initiating, tracking and resolving rese ases create e Collection Agency; • initiating, tracking and researching unde e e ail; • initiating, tracking and researching undelive dresses that have not been found using Skip Tracin: ' 'ce Provider; • initiating, tracking and a requests stomer transactions, images, and maintenance ds r cement, • initiating, tracking and reso issu: • re . m the Agencies; • initiati .ng issues t t only one of the Toll Facilities, for example an E s ted issue; • mg, tracki d managin; nsponder Return Materials Authorization A) shipme d • ng, t- _ . sposal shipments. 948 e Contrac . provide the capability to track the Case attributes by one or more s, inclut not limited to: • unica . nnel; • Ca e; • date time of Case creation; • re e due date; • tity of Authorized User (or BOS, if BOS-generated) initiating the Case; Case number; • customer name; • customer contact information; Page 132 of 248 RFP 9-1177 Exhibit B • account number, if applicable; • license plate and Jurisdiction, if applicable; • Notification number, if applicable; • priority; • notes; • Case status; • outcome of Case when completed; • if Case is Agency -specific • if Case is Toll Facility -specific; • follow-up activities that took place; • identity of Authorized User(s) who performe ow -up activities; • description (free -form) - • action and • customer satisfaction fee , k. 949 The Contractor shall provide the ability � -r to upload supporting documentation to a new or existing C. is f-Servic- • site or Self -Service Mobile Application. 950 The Contrac .11 pro he capabil create Cases manually by Authorized Users. 951 The Co • • r shall prod he capabilit eate Cases automatically via the BOS. 952 The C • r shall ► , create Cases because of a customer request, for exam • st• eques . der or disputes a Violation Notice via the Self - Service We: f-Service Mobile Application. actor s 'vide the capability to initiate a Case from within an account. 4 The Con shall • . - the capability for Authorized Users to associate a Case with an account a Case h.. -en created. 55 The Contract all provide Case templates for each type of Case. The Contra hall provide the capability for Authorized Users to create new types of aces and iated workflows (Configurable). 957 ctor shall provide the capability to set attributes by Case type related to Case ent, including but not limited to: • required fields; • assignment rules; Page 133 of 248 RFP 9-1177 Exhibit B • Case flow logic; • Case queue display order, for example, by date opened or priority; • drop -down lists; • all relevant parameters related to Case escalation (Configur or example, number of dormant days before escalation and number of d Case creation to escalation; • due date and • Case templates (create and modify). 958 The Contractor shall provide the capability to acce . se through Case managemen through the associated account or Violation Noti 959 The Contractor shall provide the capability to a . ically • , -nt action(s) taken ito resolve a Case in the Case. 960 The Contractor shall provide the capability to ate all related customer communication with a single C addition to asso, . it with the appropriate account), including but not limit • call records; • recorded calls; • emails• • f. crosoft Offic: ,1. •• - • ts, image PDF files; • text -s and • ,nedit- 961 The Contrhall pro • e the capability, when creating Cases, to automatically insert information , the Case source into the Case creation screen to expedite Case creation, for example, ) orting the name, address and contact information from the account, Violation No , invoice or Notification with which the Case is associated. 96 e Co .r shall create a case for all incoming correspondence by scanning the - -nce. The Case management system should recognize barcodes, dence attributes, key words and categorize and assign cases automatically. 963 The Contractor shall provide the capability to automatically record date and time of Case creation. Page 134 of 248 RFP 9-1177 Exhibit B 964 The Contractor shall provide the capability to automatically record identity of Authorized User or BOS (if the Case is created automatically by the BOS) initiating the Case. 965 The Contractor shall provide the capability to automatically assign a uniqu individual identification code (Case number). 966 The Contractor shall provide drop -down lists (Configurable) containi tiple options for indicating type of Case. 967 The Contractor shall provide the capability that the Case type h abili changed by Authorized Users. 968 The Contractor shall provide drop -down lists (Configu containing multipl s for indicating follow-up activities within the workflo 969 The Contractor shall provide the capability to a Case on d pending a speci i occurrence, or to enter a date when the Case s presented o be worked. 970 Require Authorized Users to insert a minimum a of epending on the type of Case (Configurable) into a pre -defined number of fie a Case can be closed. Each type of Case may have different minimum data require 971 Require Authorized Users to in amount of ending on the type of Case into a pre -defined number o • s • e before a n be placed on hold. Each type of Case may have differe .nimu -ments. 972 The Contractor shall provide the cap. fo- s (fre- arrative) to be provided at key points in the eation pro ng the Authorized User to elaborate on important poi 973 Automatic itiate and corresp • ce to the customer informing them of the creatio • e Case, the C umber and • information depending on the type of Case (Con le). 974 The Con s . ovi o e . . ted correspondence capability whereby the customer c. informed of Case progress/status, from opening through closure, - . mg on • • e of Case. Such capability shall be Configurable such that certain Case _ tatus c would not generate a customer communication. • 75 The Con shall p - the capability for multiple Authorized Users to access Cases at the same with on - thorized User having the ability to modify the Case and others having read ► access. The identity of the individual working the Case shall be presented to the Author Users with read-only access. The Contr. • hall associate the completion of the activities required to resolve the Case the C. • that BOS can automatically close the Case once the required activities have -ted. For example, if a customer disputes a Violation Notice because the vehicle n, the Case would require a document (police report) and once the document was ver d and the disputed accepted by the CSR, the BOS would record the successful dispute, close the Violation Notice with the appropriate transaction disposition codes and issue a Notification to the customer all based on the CSR's determination that the dispute was accepted. Page 135 of 248 RFP 9-1177 Exhibit B 977 The Contractor shall provide the capability to automatically provide written responses (Notifications) to the customer based on the disposition code for each Case type. 1.8.2. Case Assignment and Tracking Depending on the Case type, the BOS shall assign the Case to the appropriate he BOS shall use the default priority for the Case type and any user input that prioritizes t 978 Place open Cases in the appropriate Case type queue such that Aged y access their assigned queue, review and take action on each Case. 979 The Contractor shall provide the capability for the C pe queues to auto display oldest Cases first for action. 980 The Contractor shall provide the capability fo ase type es to automaticall display highest priority Cases first for action. 981 The Contractor shall provide the capability for m criteria for the Case type queues, for example sort first by oldest Cases and the priority. 982 The Contractor shall provide the t for closed Case e-opened when required. 983 The Contractor shall provide the 1 • e to be wor the same Authorized User who opened the Case or by a r Aut . 984 The Contractor shall provide the ca, 'lity oma . .ssign Cases to Case work queues accessed b • - - - tments or w, 985 The Contract. prhe capabi . manually re -assign open Cases. 986 The Con shall provi e capabilit tomatically re -assign open Cases if the Case was a d to a specifi. orized User a , at Authorized User is deactivated from the BOS. 987 The Contr.. . rovide the capa: ty to automatically temporarily re -assign open • if the .. <s assigned to a specific Authorized User and that Authorized User is 'ly not ► mg work (for example, the Authorized User is on vacation). :8 Ensure . 'me th.. tive Case does not remain in a queue with no Authorized User assigned t. queue. • 89 The Contract ' all provide the capability for Authorized Users to see all pending Cases with prioriti . he Contr shall provide Configurable Case assignment rules, for example a Case . ted . ncial issues would be assigned to the finance department. 991 ractor shall provide the capability to include a snapshot of any customer info ation in the primary screen so Authorized Users need not navigate to other screens s to find key information. The primary screen shall contain a link to the associated account should the Authorized User want to access the account. Page 136 of 248 RFP 9-1177 Exhibit B 992 The Contractor shall provide the capability to merge Cases when two or more Cases cover the same customer need. 993 The Contractor shall provide the capability to track historical action -type da (out of a predefined range), about each action taken to work the Case, including but ited to: • creation; • closure; • reopening; • hand-off (from department or individual); • placed on hold (establish a "work again da • awaiting action from an Agency; • awaiting customer action and • customer satisfaction. 994 The Contractor shall provide th • to trigger custo isfaction processes. 995 The Contractor shall provide the Dili • track an ed number of Cases to a single account. 996 The Contractor shall provide the ca . i k and k Cases to/from accounts regardless of Cas • 997 The Contrac all pro e capabili associate a Case to one or multiple accounts. 998 The Co, or shall pro the capabili. view Cases based on required follow-up actio 999 The Cont . h. , ide t e .. _ o track, record and review follow-up activity. 1001 - ontracto ' provide the capability for Authorized Users to review the workload . nd de . the Cases assigned) of an individual Authorized User. 101 The Con shall 11 • the capability for an Authorized User to review the workload of an entir • , or gro Authorized Users. 002 The Contract all provide the capability to manually change the status of a Case based on progress • m servicing the Case. 1 b he Contr shall provide the capability to automatically change the status of a Case ed • ,gress made in servicing the Case. 1004 ractor shall provide the capability for Authorized Users to edit data within a Case, Con :urable by Case type. 1005 The Contractor shall provide the capability to temporarily group Cases and perform the same action(s) on the group of Cases. Page 137 of 248 RFP 9-1177 Exhibit B 1006 Prevent the creation of duplicate Cases when created automatically by the BOS. 1007 The Contractor shall provide the capability to notify Authorized Users when the number of assigned Cases for a particular resource is reached (Configurable). 1008 The Contractor shall provide the capability to stop a transaction or grou nsactions from progressing further in the status or workflow stages, for example dispute Case is being reviewed. 1009 The Contractor shall provide a logical Case workflow via multi e sc hick are presented to Authorized Users based on their skill sets and BO es. 1010 The Contractor shall provide Case workflow and routin igurable). 1011 The Contractor shall provide the capability to assig in multiple ways (Configura including but not limited to: • manual assignment of a Case to a parti thoriz r; • automatic assignment by customer or accou , • automatic assignment by ' • type; • automatic assignment b • automatic assignment by s, .ty level; • automatic assignment based a ability; • auto _ t by role a • s . atabase fo horized Us: 1012 The - ctor shall p - • • abilit suggest best Authorized User for a Case accord' taff s . 1013 The Contrac • rovide the capability to send an Operational Alert Notification when - as met . .. ssignment threshold (Configurable). 4 The or sha .de the capability to send an Operational Alert Notification when an Autho ser ha e specified number of open Cases (Configurable). 1015 The Contrac all provide the ability to manually re -assign any Case to a new workflow, at any point n that workflow, as new details emerge. When chan workflow are made, provide the ability to individually select, or select in lk, wh: current workflow transactions should follow the previous version of the the new version of the workflow. Page 138 of 248 1.8.3. Case Escalation RFP 9-1177 Exhibit B 1017 The Contractor shall provide the capability to send an Operational Alert Notification regarding specific Cases that meet criteria (Configurable), for example, Case in "open" status that have not been worked on in a specified number of days (Configur 1018 The Contractor shall provide the capability to automatically escalate ov Cases based on rules (Configurable). 1019 The Contractor shall provide the capability to define sets of a s o dures for specified Case types. 1020 The Contractor shall provide the capability for threshold defined based on at initiate events when exceeded. 1021 The Contractor shall provide the capability to atically esc ate Cases defined representing repeated complaints. 1022 The Contractor shall provide the capability to de ivi ' at require authorization from supervisors. 1023 The Contractor shall provide the ility to notify app operations staff on Cases manually or automatically base • Configurable). 1.9. Collections and Registrati Non-payment of the Notice of Delinquent Violations escalating to c Registered accounts t have the CSC attem nd/or Reg t may als ollect pr the Violat Violation ay result in the delinquent Hold. Unpaid transactions/trips and fees on late to collections. The Agencies may choose to scalating to collections. 1024 The ctor shall pr the capabilit the CSC to attempt collection prior to a Collec aceme support this activity by, including but not limited t • elect provide Skip Tracing information that is automatically linked to the 'olatio e by the CSR; • e init ections letter(s) that are automatically populated with the VI n infor and Skip Trace address(s); • allo the CSR to review and approve letters before sending; • prov' apability for the CSR to add notes about the collection process; • if collected after a Configurable period of time, automatically and onically attach all Skip Trace and collections notes information to the sequent Collections Placement and separately account for CSC collections (as compared to Collections Placements) within the BOS in all applicable accounting, financial and operations reports and searches. Page 139 of 248 RFP 9-1177 Exhibit B 1025 The Contractor shall provide, per the Business Rules, the capability to perform registered account or Violation escalation, including but not limited to: • warning of Registration Hold Notification; • escalate to Tax Intercept; • Pre - Collection Notification; • escalate to Registration Hold and • escalate to collections. 1026 The Contractor shall provide capability to configure and am escalation p rs for each escalation level, including but not limited to: • the minimum number of delinquent Viol Configurable) over a perio time to initiate collections activities (Co able); • prevent escalation to collections tration when a certain (configurable) percentage of the Violatio ee • prevent escalation to collections/Regis Hold when a certain (configurable) amount of • • Violation has been • the account balance thr: • ent escalation, • Number of days payment ayme • 'nquent • Number of days from issua f Inve iv• . Administrative Review Letter. - 1.9.1. Colle This process co Violations to separate, quail shall be performm No assurance or gua pl amou f past due a is on delinquent accounts, and delinquent ection A ies. The Contractor shall provide two (2) collection services. These Collection Agencies on services . it judgement processing on a non-exclusive basis. made to the selected Contractors regarding the number of Accounts hose Accounts, or the percentage of Accounts placed. pr27 The Con . shall t with two (2) separate Collection Agencies. 1028 The Contra elected llection Agencies shall have previous experience collecting toll debt. ' The Contrac , all transition existing Collections Placements from the Agencies' current ollection ‘ ider to the Contractor -selected Collections Agencies. 1030 NI" . ctor shall work with the Agencies in determining the volumes and types of . . s Placements assigned to each Collection Agency, which may result in shared plac. ents or all placements being assigned to one (1) of the Collection Agencies. 1031 The Contractor shall select Collection Agencies whose compensation is based on a percentage of the amount collected. Page 140 of 248 RFP 9-1177 Exhibit B 1032 The Contractor -selected Collection Agencies shall not dismiss the Agencies' debt unless explicit approval has been provided by the Agencies. 1033 The Contractor -selected Collection Agencies shall allow the Agencies to recal debt at no cost to the Agencies. 1034 The Contractor -selected Collection Agencies shall not charge any fe allowing the Agencies' debtors to pay using any payment method. 1035 For uncollected debt, the Contractor -selected Collection A sh ess civil judgments on behalf of the Agencies. The processing of civil ju ents shal with all California statutes and legal processes and the Collecti• ' gencies' attorne 1 be properly licensed. The processing of civil judgements • ollections Agencies e at the discretion of each individual Agency (OCTA a , C) and each Agency may different criteria and processes, or the one or b_encies may choose not to use t Collections Agencies for processing of civil jud: • s. 1036 The Contractor -selected Collection Agencies sha , it t • orting for approval by the Agencies. 1.9.2. Collection Placement a The process of assigning unpaid tolls, f Collections Placement. e Colle on Agency is called a 1037 The Contractor .de a Colle ency for Agency(ies) approval and place eligible trans. • ions base usiness Rules. 1038 The Cont, shall provi he capabilit .dentify Accounts and delinquent Violations that ar _ .le for the c • ion process b upon criteria (Configurable), including but not li o: • a:. • ccount level o . ividual transaction level; Flags o ccount; • status, . mple, disputed; • op ses relat- . debt; • grac iod; • to ount owed; • er of delinquent Violation Notices or transactions/trips; amount owed; • whether customer is in -state or out-of-state; • account type and Page 141 of 248 RFP 9-1177 Exhibit B • account status. 1039 The Contractor shall provide the capability to create a Collections Placement for accounts and delinquent Violations eligible for Collections. 1040 The Contractor shall provide the capability to place a flag on an account as met the criteria for Collection Placement but has not been placed and an accoun d with one of the Collection Agencies. 1041 The Contractor shall provide the capability to assess a collecti (fo le, add a fee to the balance due) for each Collections Placement eligible ollections. 1042 The Contractor shall provide the capability to transmi ollections Placeme le Collection Agencies for those accounts and delinquen ion Notice that are eligib Approved for collection. 1043 The Contractor shall provide the capability to multiple ons Agencies and to place eligible transactions in collections based Tura eria, including but not limited to: • percentages based on both volume and dollar a for example, 60 percent to Collection Agency 1 and -nt to Collection ; • past due amount on the ollection; • participating agency; • prior plac- • (by custom- ccount number, License Plate number and jurisd' , • a type; • ecified frequ: • A .ea� • ROV tion. 'ro , - capab automatically assign new transactions that reach the collections status o , flow s . the same Collection Agency that any previous transactions on that Acco ve been gned (for example, all transactions for a given Account will always be a -d to the same Collection Agency). 5 The ContracI .hall provide auditable functionality through the two-way electronic Interface fo ollection Agencies to transmit data to the BOS and for the BOS to transmit ata to the - ction Agencies for accounts and Violation Notices assigned to the Collection - cuding but not limited to: updates to demographic information, such as address updates obtained through Skip Tracing; • payments received by the BOS and each Collection Agency (full and partial) and adjustments and reversals of those payments; Page 142 of 248 RFP 9-1177 Exhibit B • reversals and adjustments made on the Collections Placement; • fees on the Collections Placement such as returned payment fee; • suspension of collections activities due to dispute or Administrative w; • various status changes due to civil judgments; • suspension of collections activities or cancellation of th Placement due to bankruptcy; • resolution of the Collections Placement at the tran ion level; • cancellation of the Collections Placement due 11 by the Agencies or ex the collection period for that Collections P nt and • Write offs and reason codes. 1046 The Contractor shall provide the capability to r Co s Placement/individual Violation Notices/transactions based on Business Ru uest. 1047 The Contractor shall provide the - • ability to automat isplay a Flag on account screens with the appropriate Co • • cy ID and date lections Placement was sent to the Collection Agency a. e ag when a unt is no longer in collection. 1048 The Contractor shall provide th . pab' o with the account all correspondence tr. • •• ' ted to the cu . ator from the Collection Agency. 1049 The Contract• p the capabi, o update the address source on accounts and Violation s when n, : ddress in . tion is received from one of the Collection Agencie- 1050 The for sha ..b y to automatically reassign delinquent Violation ac ' o cs time a payment used to pay delinquent Violations s in collections is reversed in the BOS or by one of the Collection - ' es (for - -, when a customer makes a payment and that payment is returned by he rec- he payment reversal in the BOS shall automatically reassign those delin • . olatio sactions to the applicable Collection Agency). 1051 The Contr. shall pr. • e the capability to obtain status of all activities and venues pursued by - • f the Collection Agencies to collect on the Agencies' debt. The Contracr .hall provide the capability to receive payment reconciliation files at intervals ► gurable) from the Collection Agencies for all Collections Placement .yment- ng the period. The reconciliation file shall provide detailed data that e payments and the collections fee, if applicable. 1053 Th. tractor shall provide the capability to receive Collections Placement balance files, at intervals (Configurable), in order for the BOS to compare to Account and Violation Notice balances for auditing purposes. Page 143 of 248 RFP 9-1177 Exhibit B 1054 The Contractor shall provide the capability to generate an Operational Alert Notification when a Collections Placement balance file is received and the results of the processing of the balance file (for example, the file is in balance or it is out of balance). 1055 The Contractor shall provide the capability to compare the balances fro h of the Collection Agencies to the balances in the BOS and display the accounts an, ansactions that do not balance. 1056 The Contractor shall provide an aging of all files on Collection Pla 1057 The Contractor shall provide a report showing the histon. records . ection Placement including but not limited to: • number of files sent for Collection Placement ically); • details of accounts written off and the re • details of amounts collected, stage collec amo eductions if any; • details of accounts actively in Collection Place he current collection stage; • details of accounts on pay - •lan; • details of accounts with c • details of amounts collect: d collec'd or due to the Collection Agencies, and • the abov .nformatio individual Collection Agency. 1058 The Contra all pro the capab to receive Skip Tracing from the Collection Agencies e Contract mail a pre- tion notice. 1.9.3. C Phase II) In addition to the e terface between the BOS and the Collection Agencies, the Contractor sh e Colle encies with role -based, secure access to the BOS to access information as bee d in collections allowing them to research customer issues. The BOS entrie made such as managing a Case (initiating, updating or closing it) er con . ents such as phone calls and emails sent or received. 1 allow for r updating with 59 The Contract access the B I all provide a secure role -based access for the Collection Agencies to research customer issues as described within these Requirements. 1 e Con ec • shall provide unique sign -on credentials for each Authorized User gency Staff) and only allow them to access debts which have been placed with ction Agency. 1061 The ontractor shall provide auditable functionality that allows each Authorized User (Collection Agency Staff) to view, enter and edit data in the BOS for accounts and Violations with debt placed with their Collection Agency, including but not limited to: • viewing the account Page 144 of 248 RFP 9-1177 Exhibit B • Viewing associated images; • initiating a Case; • reviewing the status of a Case; • updating a Case; • closing a Case (based on permissions) and • updating customer contact history. 1.9.4. License Plate Registration Hold and Hold R When delinquent Violation Notices are past due, a Registr plate if it meets the conditions for Registration Hold. threshold or amount (Configurable) (for example, Violations are reversed), the Registration Hold may be electronic Interface for initiating Registration Holds and agreements are entered into with other Jurisdictions or resp the Registration Hold/Registration Hold re ease process with th old can be placed on the li e past due ount is brought t he balance ' d or the delinquent ed. Th- ornia DMV supports an old releases. In the event ntities, the BOS shall support onsible entities. 1062 The Contractor shall provide the - . -rface with t ' dictions that support license plate Registration Hold _istreleases ehicle registration suspension. 1063 The Contractor shall • rovide the cap 't I ply and r • eive authorization from the DMV to act as bo ' • OCTA's p of record. 1064 The Contra all pro he capabil • set and maintain the eligibility parameters for the li late Regist / n Hold proc, ased upon criteria (Configurable), including but n • ed to any co ation of: • uris ' . . . • acco. -; s on • unt; • ion sta . • pas toll amount; • pas fee amount; • ue penalty amount; ays past due; vehicle registration renewal date; • an open Investigative Review or Administrative Hearing; Page 145 of 248 RFP 9-1177 Exhibit B • payment plan status; • length of time since the last escalation was done (Configurable); • number of pre-existing vehicle Registration Holds on a license plate. • Plate type (temporary plate, permanent plate) and • Vehicle Identification Number. 1065 The Contractor shall provide the capability to automatically r a Regis Hold if the eligibility criteria (Configurable) are met, for exa • •, f license pla one delinquent Violation that is past due. 1066 The Contractor shall provide the capability to chec , f ehicle registration renewal and update the existing ROV information in the B' 1067 The Contractor shall provide the capability to ► ' egistra ' • lds a number of days (Configurable) before or after the license plate .1 - he BOS shall place the maximum number of Registration Holds per license p icense plate has delinquent Violations. 1068 The Contractor shall provide the round down t.tion amount owed to a whole dollar being sent to the DM e. . • • for which . tration Hold is being placed. 1069 The Contractor shall provide the abil. . auto . ly create and exchange Registration Hold . • •ase files wit, - •nsible entities. 1070 The Contract • pro , e capabili the event of a failure to re -try the Registration Hold and r • • request • on the ty • error. 1071 The C• ctor shall pr• the capability tomatically release the Registration Hold if reso d/or pa. 1072 The Contra. • rovide the capa • 1 ay to automatically re -request the Registration - • 'f a pay • at was received resulted in the release of Registration Hold and then -nt is s ently reversed (for example, if a check is returned or if a chargeback is rec- 1073 The Contr. shall pr. . e the capability to accept and process payments records for Violations fr, e DMV and waive partial amounts remaining on the Violation Notice(s). 4 The Contract hall provide the capability to delay the Registration Hold release by a number of • • ast the payment date (Configurable) by payment type. For example, if the . yment ade by check the BOS should delay the Release by seven days. 1075 "IF • ctor shall provide the capability for Authorized Users to manually initiate the re of a Registration Hold without resolution of past due amounts. 1076 The Contractor shall provide the capability to display Registration Hold and release status on the account including the date of request and status. Page 146 of 248 RFP 9-1177 Exhibit B 1077 The Contractor shall provide the capability for Registration Hold statuses (statuses that Registration Holds go through), including but not limited to: • Registration Hold pending; • Registration Hold sent to DMV; • Registration Hold Approved by DMV; • Registration Hold rejected by DMV; • Registration Hold not placed due to error; • Registration Hold release pending; • Registration Hold released by DMV; • Registration Hold released by BOS an • Registration Hold not released due to error. 1078 The Contractor shall provide the ability to automat' 'splay Flags on all account screens based upon current Reg' - old status. 1079 The Contractor shall provide cap.. e Regis Hold history, to accommodate multiple dates and ct reaso '@le de'nquent amounts and potentially multiple plate numbers. 1080 The Contractor s - 'de the cap., , Authorized Users to manually place and release Regis end autom ly update the BOS with the proper status obtained fr. e DMV. 1081 The C• for shall pr• the capabili add a DMV hold fee to each transaction succe • laced on 1082 The Contr. 'vide the cap.. to create a payable to DMV for the fee owed to e DMV unt' is paid through the reduction of the DMV payment file. - -ctor s' . 'vide the capability to establish a link between a temporary plate and th- 'natin: . nent plate to allow for hold to be placed on the temporary plate after the' ce of th • anent plate 1084 The Contract hall provide the capability to perform a review of all accounts prior to sending the DMV hold. The Contr. , . hall provide the capability to reconcile Violations marked as on hold in the 4 S wit P 0 MV report. 1086 actor shall provide the capability to prepare a written DMV abstract of hold rel- • for the customer. 1087 The Contractor shall provide the capability to Post the monthly DMV payment to the respective Violations -writing off any remaining cents, recording the source of payment as the DMV, and relieving the DMV Payable for the hold fee Page 147 of 248 RFP 9-1177 Exhibit B 1088 The Contractor shall provide the capability to analyze DMV hold rejects and work with the DMV to resolve any issues to maximize the hold success rate. 1.9.5. Customer -Initiated Reviews Customers may contest a Violation(s) by initiating an Investigative Review of olation(s). If customer disagrees with the decision, the customer may seek an Administrati iew Hearing and ultimately appeal to Superior Court. 1089 The Contractor shall provide the capability to receive I veirtive Rev' uests, including documents uploaded from the self-service webs' 1090 The Contractor shall provide the capability track 'gative Reviews through completion 1091 The Contractor shall provide agreed upon I ative Revi uction or dismissal codes that are applied to each Violation containe revi n efficient manner. 1092 The Contractor shall provide the capability for the sele reduction or dismissal code that has a corresponding financia action, if applicabl , ate the appropriate letter stating the results of the review , • any refunds that due (for example, if it is determined the license plate was • • Violation wa d to the wrong person, the CSR shall select a code "ima: ror , utomati o the following: 1) dismiss the Violation assigned the on who . • rev' w 2) send the images back for image processing 3) genera. etter • c smissing the Violation 4) refund any payment •• . de) 1093 The Contract► e the capy to provide a written response to every Investigati iew wh ncludes th. : soning behind the resulting decision. The respons : • rs shall be d to the Vi k • n dismissal codes so they automatically gener en dismissa on is taken 1094 The Con. sh. . • • - to receive Administrative Review Hearing requests b e, in -person or on me. If by phone, the account shall be marked for • - - istrativ: -w Hearing and a means for providing a written statement from the . row • - i 95 The Con . shall • - the capability to determine, receive and process the required amount du. 1 r for an inistrative Review Hearing as well as, calculating eligibility for financial ha • exceptions and reduced amounts. ' 6 The Contract i all provide the capability to schedule the Administrative Review Hearings with the cu -r and Administrative Hearing Officer within the required timeframes and cordin a Business Rules. 1097 actor shall provide an Administrative Hearing Officer who meets the re. ents in the California Vehicle Code and the Agencies approval or the Adm nistrative Hearing Officer may be provided separately at the discretion of each Agency. Page 148 of 248 RFP 9-1177 Exhibit B 1098 The Contractor shall provide a second review of all Violations for which an Administrative Review Hearing is requested to ensure the Investigative Review was performed accurately and correct any errors or work with the customer to resolve any extenuating circumstances. 1099 The Contractor shall provide a summary of each Case where and Admi • ' ive Review Hearing is requested for Agency review within a week of the Ad , ative Review Hearing request. The Contractor will work the Agency to resolve Ca • ed. 1100 The Contractor shall provide the Configurable capability to defi • • ata s - toes into the Evidence Package, including but not limited to: • summary sheet; • BOS and manual notes recorded on the ac , • Cases created for the account; • transponder status change history; • each Violation Notice and other Notifications; • customer corresponden • customer contacts; • DMV or ROV source records eme • lane he. -port from , System at the time of the transaction; • Re , ed accou formation • licable; • ory of non-p • nt; • •s and • Rec • • f phone calls or scripts of recorded phone calls. - ctor sh. vide the capability to create the Evidence Package a number of days (Conti: • befo • ate of the Administrative Review Hearing and print or upload the packa; he loca . J ecified. 1102 The Contrac all provide the capability to track information related to the outcomes of Investigative i ews and Administrative Review Hearings The Contr. , hall provide the capability to offer, establish and manage payment plans cust•, ho cannot pay the balance due in full. 1104 actor shall provide the capability to provide Investigative Reviews by phone and ch. first contact resolution. 1105 The Contractor shall provide the capability to provide historical data by specified time period for Investigative Reviews and Administrative Review Hearings including but not limited to: Page 149 of 248 RFP 9-1177 Exhibit B • # requested • # closed • Resolution by type • # outstanding • Age of outstanding • Scheduled hearings by date 1.9.6. System -Generated Evidence Package 1106 The Contractor shall provide the capability to cr Evidence ackage containing information related to the applicable account, vr and Violat' tices, including but not limited to: • detailed toll transaction data associated wi otices; • all Violation Notices and • 'fications sent to vio • all correspondence recei - •r• • images related to Violatio • all notes related to account, or or Violat . i otices and • any of registere • . nt activity. 1.10. Custo Satisfact Survey The Contracto se survey customer necessary informati Su. - o enab Contracto rovider Subcon email, through a ph rovided which will a erent survey tem lect a. • • satisfaction Survey Provider Subcontractor to di r expe the OCTA/RCTC CSC. The BOS will provide the ng all customer contacts to the Customer Satisfaction Survey Provider to survey customers using automated survey tools. ers through the Services of the Customer Satisfaction Survey Cust• urveys shall be performed through electronic means such as urvey, to , via the website or a combination thereof. A survey tool shall be for the creation and maintenance of a variety of different survey templates. s may be selected based on contact channel, individual CSR or account type. 1 ' he Con shall provide the capability to perform customer surveys through the ic: e Customer Satisfaction Survey Provider Subcontractor. 1108 T' tractor shall offer the Survey opportunity to every customer each time they contact the CTA/RCTC CSC or as requested by the Agency. 1109 The Contractor shall provide information to the Customer Satisfaction Service Provider Subcontractor, which includes but is not limited to: Page 150 of 248 RFP 9-1177 Exhibit B • customer name; • contact channel (such as email, phone or walk-in); • customer email address and • CSR name, in the case of customers calling in or chat. clarify fo interactions with CSRs (or other staff). 1110 The Contractor shall provide the capability to track customer c by channel, including but not limited to: • phone (IVR only, e.g., the customer resolves the' with the IVR); • phone (IVR then CSR, e.g., customer cont ich started in the IVR and a attempting action, the customer asked t with a CS • phone (CSR only, e.g., the customer im ly req o speak to a CSR); • chat (CSR only); • email; • text; • Self -Service Website; • Self -Service Mobile Applicati 1 d • walk-' 1111 The Cont, shall, on survey, a the customer would like to be contacted regard' yunresolvecerns. 1112 The Co r shall • capabilities with a combination of features, including . to: real-ti • orting of survey results to the Agencies; • time . able Alerts to the Agencies on certain parameters, such as a low score - mple, send an Alert each time a customer provides a rating of tw elow on . y individual question or the survey as a whole) or key word (for exa each time a customer uses certain profane or threatening words); • real dashboard -style feedback for Authorized Users (such as a Web interface fo s to view survey results for their own calls and scoring, in comparison with eers) and urvey scoring. 1113 The Contractor shall provide reporting functionality for customer contact data to be provided to the Customer Satisfaction Survey Provider Subcontractor, including but not limited to: Page 151 of 248 RFP 9-1177 Exhibit B • date; • account type; • CSR and • contact channel. 1.11. Transponder Inventory The BOS shall have a transponder inventory and management transponder inventory, manages the sale and return of transpo, manages the transponder recall program, and tracks and man levels are required to be monitored regularly by the Contr to ensure no disruption in transponder availability. 1.11.1. Inventory Definition and Tracking The BOS shall keep track of transponders from initial or manufacturer. sy hat tracks a to customers, ide ansponder warranty. In nd communicated to the Age final disposal or return to 1114 The Contractor shall provide th • alidate trans • serial numbers when they are entered into inventory, a; t t • .. t already . o ensure that there are no duplicates. This validation • include ' ued . cility Code IDs or any corresponding ranges in the future s . s ISO .0-.. ational Interoperability. 1115 The Contractor s • . • e the capa 6 . earch the history of a specific transponder entered in t ovide the ory of the transponder including account assignmen ransacti 1116 The C • for shall su t the perfor e of a quarterly physical inventory and mont onciliatio 1117 The Cont provide t e . _ .bility for an Authorized User to program ansponder ample, reprogram a 2-axle vehicle transponder to a motorcycle • • der). 8 The Co • r shal ' • e the capability to manage any number of transponder types, including . • t limit- . • har•. e transponders; • stic; ansponders; • 1 switchable transponders (two switches and three switches); .c switchable transponders; • headlight -mount transponder and • bumper -mount transponders. Page 152 of 248 RFP 9-1177 Exhibit B 1119 The Contractor shall provide the capability to enter global transponder inventory item attributes, including but not limited to: • transponder description; • transponder type; • model number; • manufacturer; • lot, case and tray information; • version of transponder chip technology; • transponder communication protocol or multi) a • transponder style. 1120 The Contractor shall provide the capability to enter in attributes, including but not limite► transponder inventory item • model number; • procurement cost; • sales price (Configurable); • purch- igurable); • . cture date to received; • t • inven. mber; 'ration, • igned ► ased; • date used; • loc assigned to customer from; • OS assigned by; ecall date; • replacement; • warranty start date; Page 153 of 248 RFP 9-1177 Exhibit B • warranty period; • swap out date; • end of life date; • purchase order number/statement or invoice number; • agency/facility code; • state code; • transponder ID number; • external barcode number; • transponder manufacturer's number; • transponder class; • ID number; • activation code; • status and • inventory location. 1121 The Contractor s • ide the cap nter new transponders into the BOS via several metho $ t not limi • y; • upload and • . . : scanner. 11 ntracto provide the capability to manually upload a file (manifest) with r inv• information using an intuitive and user-friendly process with suppo ultiple • rmats. Functionality shall include but not be limited to: • a 'ng tool , ch shall enable inventory fields to be mapped to a file; • a br button to locate the file; • va ' on of the file prior to import (invalid files shall not be imported and an essage shall be presented); lidation of file contents including the transponder ID based on valid CTOC issued facility codes and • feedback of successful processing by indicating the number of records updated and unsuccessful updates with reason codes. Page 154 of 248 RFP 9-1177 Exhibit B 1123 The Contractor shall provide the capability to enter transponders in bulk by entering the starting and ending numbers in a range, for example upload inventory by scanning the first transponder's barcode and the last transponder's barcode. 1124 The Contractor shall provide the capability to track multiple manufactur rranties based on manufacturer, transponder type or purchase date. 1125 The Contractor shall provide the capability to track customer ies based on transponder type or purchase date. 1126 The Contractor shall provide the capability to identify transp rs to be s their sale price. 1127 The Contractor shall provide the capability to track i al transponders by locat end of day, including but not limited to: • warehouse; • at one of two WICs; • in transit between customer service locations; • at one of multiple indiv. • assigned to an account; • shipping/receiving location • returne • cturer and • dis• .. 1128 Ensur-'dual transp rs are only in gle location at any one time. 1129 The Co r shall : restrict transitions among various inventory item locat . r • le, transpo • n the "assigned to CSR" location cannot go to the "return to rer" location; it can only go to "inventory" location or "account" 0 The Co r shal • e the capability to assign an inventory status to each individual transpon cluding . I limited to: • on o ; • rec ;• • and ready for issuance; ctive; • inactive; • deactivated; Page 155 of 248 RFP 9-1177 Exhibit B • lost; • stolen; • returned; • awaiting cleaning and testing for reissue; • disposal; • damaged; • defective and • end -of -life. 1131 The Contractor shall provide the capability ange the for an individual transponder either manually or automatically. 1132 The Contractor shall provide the capability to s threshold for inventory locations, including but not limited to: • CSC; • WIC #1 • WIC #2. 1133 The Contractor s 'de the capa et and maintain the transponder reorder thresholds an• relevant eters related to transponder quantity levels and lead-ti ireme r replenis t by manufacturer. 1134 The Co • or shall pro the capabili end an Operational Alert Notifications(s) befor: ansponder ,4 • • • the m acturer) thresholds are reached. The Alert level c. a per number (Configurable) above the re -order threshold. 113 ntracto provide the capability to audit the physical inventory at intervals ble) an. d the results of the audit. 36 The Con shall • the capability to test transponders to ensure they are correctly programm d that external barcode is correctly correlated to the internal programmin Trans der Ordering Th- ies wi e transponder orders directly with the transponder manufacturer or request that t' r, • lace the order directly. Regardless of the method, the creation of the order shall happen e BOS which allows the purchase order to be recorded, and the order to be tracked, received an. • aded into inventory in a manner which reduces manual entry and potential errors. A hard copy document shall be generated and shall be part of an order receiving package to verify receipt and close out the purchase order that was generated by a separate system that is not part of this procurement. Page 156 of 248 RFP 9-1177 Exhibit B 1137 The Contractor shall provide the capability to create transponder orders within the BOS, both for orders placed directly by the Contractor and orders placed directly by the Agencies. 1138 The Contractor shall provide the capability to change the status of the order a • • track the order once the associated purchase order has been placed. 1139 The Contractor shall provide the capability to receive the inventory into .OS. 1140 The Contractor shall provide the capability to enter infor • -n receiving transponders, including but not limited to: • verification of delivery of each line item; • verification of quantities for each line item; • actual quantity received if it does not m antity orde ; • name of person receiving inventory; • location received; • date received and • comments. 1141 The Contractor shall provide the ca 'lity to ge . I spon r receiving document, including but not limited to: • items or • • ite , wed; • tities order: • ma or supplier information; • ceive • e; • 8 n rece I d • dat: rived. kliL The Contract, all provide the capability to make adjustments if the shipment received does not m. e original order and track backorders and partial shipments. 1.11. tory Fulfillment Transpon re assigned to customers via inventory Fulfillment. Orders can be fulfilled at the same time the order is placed in a WIC. When inventory is ordered online or by phone, the order is fulfilled in the order received. Page 157 of 248 RFP 9-1177 Exhibit B 1143 The Contractor shall provide the capability to create transponder orders either at the time of account creation or when individual requests are initiated subsequent to account creation. 1144 The Contractor shall provide the capability to fulfill transponder orders. 1145 The Contractor shall provide the capability to present transponder Fulfill equests for Fulfillment in the order received. 1146 The Contractor shall provide the capability to create a transpond ction when inventory order is fulfilled including but not limited to: • full price sale; • warranty sale; • sale at no cost (replacement) and • discount sale (promos and coupons). 1147 The Contractor shall provide the capability to ass ltip s of transponders to an account and associate the transponder numbers to t 1148 The Contractor shall provide the ca • . bility to reassign in items from one account to another. 1149 The Contractor shall provide the c. i 1 • an existin 'dual transponder on an account with a different transpo . 1150 The Contractor shall provide the cap 'ty to ' ins , ansponders to customers via mail and at WIC 1151 The Contract° - the capab o distinguish orders for first time customers separate fr• sting cu ers in cas= •itional literature is to be included with the order for • r existing J mers only ( as a welcome package). 1152 The c ctor shall • • • • • . •abilit .r transponders delivered by USPS to be activate. • urs a 1153 The Contra ' . ovide the capability to automatically recognize vehicles with metal windshi: use of a list the Contractor maintains and automatically issue an at ti count opening, vehicle addition or transponder request. 54 The Con shall license pla exterior tra request. • - the capability to automatically recognize motorcycles by their figurat . .r information provided by the customer and issue them an uder at t e time of Account opening, vehicle addition or transponder The Contrac ccount u he 's, s rental all issue a sticker tag (interior or exterior) for every plate listed on the customer identifies that the vehicle will only be used on a short-term cars. 1156 actor shall provide the capability to track customer transponder orders as a single or egardless of the number of items requested. For example, if a customer wants one bumper -mount transponder and two switchable transponders, that order shall be a single customer transponder order. Page 158 of 248 RFP 9-1177 Exhibit B 1157 The Contractor shall provide the capability for transponder orders to be searched, for order(s) that meet specified criteria, which can then be viewed, immediately fulfilled, modified or canceled. 1158 The Contractor shall provide the capability to make modifications to the . sponder orders prior to fulfilling them. For example, a CSR may need to change the t • nder type because the customer's vehicle requires an externally mounted tra • i er (bumper mount),or add another transponder to the order based on a custome t. 1159 The Contractor shall provide a single customer Fulfillment re, •e'. the entire order. This receipt shall show the vehicle license plate number•pe, Juris. I, make, model, color, transponder(s) or other inventory item(s) quties, backordere • ties, sale or lease amounts, payment amount and any associ. - count Plan(s), if a.. e, for each transponder included in that order. 1160 The Contractor shall provide the capability to ge a mailing la•el or print directly • the mailing envelope when fulfilling inventory • by mail. 1161 The Contractor shall provide the capability to b. _ nsp • • istribution to improve the efficiency of the order Fulfillment process, inclu • imited to: • identify open transponder orders and assig • ponders to the accounts automatically; • create batches by tran . • - . • order t . -w, replacement or additional); • transmit data to the mailing ices - era : labels by batch; • print tra • - eceipts; • trac. ailin: ansponde customers and • •y zip code he purpose• eceiving bulk mailing discounts. 1162 The C for shall p • .. bility . erform a quality check of the transponder mailing . es be e customers. 1163 The Contra . rovide the capability for transponder receipts to be provided to the •• er whe lfillment takes place in person. The or sha .de the capability to notify the customer that a transponder(s) has been pia. the ma 1165 The Contra all prove . e the capability to activate transponders when they are assigned to the accoun with a configurable delay in days when mailed. . The Contract, all provide the capability to return transponders to stock and update the order, if ap • • le while preserving full traceability. For example, if a transponder comes • ck in r- -d mail, the BOS shall retain the history of the account that the transponder • o and that the transponder came back undeliverable. 1167 Th. tractor shall provide the capability to issue more than one transponder type per vehic e. 1168 The Contractor shall provide the capability to ask the customer if they will need a switchable transponder for carpooling. Page 159 of 248 RFP 9-1177 Exhibit B 1169 The Contractor shall provide the capability to provide the amount due for transponders and allow the customer to override the transponder order. 1170 The Contractor shall provide the capability to guide the customer through the transponder type and quantity: sticker for every car, external for problem vehicles and orcycles, switchable for carpoolers. 1171 The Contractor shall provide the capability to flag a sticker transpo a PZEV after configurable # of reads in the vehicle with the authorized PZEV pla • 1172 The Contractor shall provide the capability to flag a sticker tra • • er in . , led plate vehicle after a number of Configurable reads in the vehicle Wth • authorize, 1173 The Contractor shall provide the capability to provid acement transpon • • d calculate the amount due, if any, and restart the ve tag association for PZ disabled plate vehicles according to the Business R 1.11.4. Transponder Inventory Recycling The Contractor will test returned transponders and return entory those that meet the Business Rules. 1174 The Contractor shall provide the • BOS for reissue when the transpon. a • . the end of its useful life. • rocess returne ponders back into the - 'n good con nd has not reached 1175 The Contractor shall receive and re according to the Busi Rules. to i ry • the customer a credit 1176 The Contractor being re-issu a box he capabi cking and . assign returned transponders identified as ue purposes. 1.11.5. Transponders s tes • the lifecycle because transponders that are defective or not fun 'ably cause problems for the customers and the Agencies and increase cost i • ment - d for testing of transponder will be provided by the Agencies. e the capability to test transponders using the transponder er Warranty Replacement for the Customer ired to support customer warranty returns and replacements. 117: Co or shall develop transponder replacement Business Rules based on the er type, account type and age of the transponder. 1179 The ntractor shall provide the capability for a customer to request a replacement ransponder by all communication channels and at the WIC. 1180 The Contractor shall provide the capability to create a Case for each replacement request initiated by the customer. Page 160 of 248 RFP 9-1177 Exhibit B 1181 The Contractor shall provide the capability for customers to return their old transponder to a WIC and receive a replacement transponder or credit to their account immediately according to Business Rules. 1182 The Contractor shall provide the capability for customers to return transp Agencies and receive a refund of the purchase price if the transponde unused within a Configurable time period. s to the fective or 1183 The Contractor shall provide the capability to send the customer envelope to send the old transponder(s) back if the customer ct communications channels to return a transponder(s). essed return OS via all 1184 The Contractor shall provide the capability to send a r ement transpon the customer upon the receipt of a replacement request. 1185 The Contractor shall provide the capability to trac eturn of the old transponder update the account upon the successful receipt d transpo 1186 The Contractor shall provide the capability to ge Alerts' count has more than a number (Configurable) of replacement claims. 1.11.7. Inventory Warranty and,�rns to Manufa 1187 The Contractor shall provide t' .. • enter, mop • delete transponder manufacturer information, includi t no • • name; • contact per • • • full a • , • p r umbers; • es for return • um n __ _ • er return shipment. 1188 The Contra . provide the capability to create a Return to Manufacturer (RMA) and as • d packing list by manufacturer for each RMA shipment. The or sha ide the capability for the opening, tracking and closing of RMA shipmen MA nu 1190 The Contra hall prov i e the capability to add or remove specific items from an RMA shipment. The Contrac hall provide the capability to track warranty payment or replacement transpond e from the manufacturer for returns under warranty. 119 Co or shall provide the capability to pro -rate the warranty period of the returned er based on the warranty left on the transponder identified for warranty return. 1193 The ontractor shall provide the capability to accept a spreadsheet that maps old transponders to the new transponders in order to identify the remaining warranty. Page 161 of 248 RFP 9-1177 Exhibit B 1.11.8. Inventory Disposal The Contractor shall contract with a destruction company that is authorized to dispose of batteries and provides destruction of secure materials. The Title 21 transponders contain lithium batteries and the Contractor will be responsible for returning any remaining transponders in c,�ation. 1194 The Contractor shall provide the capability to create a disposed transpo ' ipment and assign a disposal number and associated packing lists for each dispo • ent. 1195 The Contractor shall provide the capability to view individual t .n• - • tified for disposal. 1196 The Contractor shall provide the capability for the openin king and closing o • sal shipments. 1197 The Contractor shall provide the capability to add ove specific transponders fro disposal shipment. 1198 The Contractor shall provide an authorized lithi tery co r. 1.12. Customer Portals Agencies will be responsible for the Self - which is the responsibility of the Contract Customers can obtain access to their accou Website and the Self-Servic account data. The Sel accounts and manag: .tions. 1.12.1. S = rvice Web le Applicati site allo ith exceptio "my account" section, r po ich include the Self -Service stomer portals provide access to real-time omers to establish accounts, manage their 1199 The Co .r shall ► .1 resources and/or partners with significant, demonst . • if-' e We lls - . . ment expertise in using the latest frameworks, tools, naviga. ook and feel to optimize the customer experience. 120' • -Servic ,ite shall have a sophisticated, standards -driven, front-end framework . _ ' e and . •r agnostic, and is completely responsive to all mobile devices. 11 The Co •r's sol• all facilitate the use of single code bases that can be delivered across plas and • - . and streamline the primary and Regression Testing required when deplo , oftware r pdates and Enhancements. 202 The Contract' all be responsible for the "my account" portion of the Self -Service Website only. The C f . ctor shall be responsible for hosting the entire Self -Service Website including A; es controlled content. 121 - Con , shall provide the capability for the Agencies' designated users to access and ncy provided content to static pages in accordance with Approved change m• ent procedures. 1204 The Contractor shall use the header/footer provided by the Agencies and the Contractor shall be responsible for formatting header/footer in accordance to the Agencies portion of the website, including all further updates, Upgrades and Enhancements to the application. Page 162 of 248 RFP 9-1177 Exhibit B 1205 The Contractor shall provide a secure Self -Service Website in English and Spanish and all external Interface portals, that shall be compatible with the versions most utilized by the public and future version releases of the following browsers, including but not limited to: • Microsoft Internet Explorer; • Microsoft Edge Browser; • Mozilla Firefox; • Google Chrome; • Apple Safari; • any other browser reaching five percent mark etration, as Approve e Agencies and • smartphone/tablet/mobile browsers. 1206 The Contractor shall provide the capability fo mers t rm all actions or get information they might ask of a CSR on the Self- W , with certain exceptions based on following a process requiring a specific use action with a CSR or due to security concerns. 1207 The Contractor shall provide t for customers w, export and print all statements 1208 The Contractor shall provide capab or a cu • . rch th ebsite for key words or key phrases. 1209 The Contractor sh. 'de quick lin requently used pages 1210 The Contracto . Web navi3 optimized for speed regardless of the Web browser us - the secu If -Service te. 1211 The Co. or shall prow' e capability port the expiration of cookies. 1212 Detect dvise u ' • ebsite if the browser used is old or not supporte • 1213 ■ • Contract• is rovide a Self -Service Website accessible on a range of mobile devices, 've of • , ces in presentation capabilities and access mechanisms, including but . ed to s q ones and tablet computers. 214 The Cont . hall pr. a Self -Service Website that paginates content in various ways correspond , differen -s in viewing device characteristics. The navigation structure of the site, and i chnical realization shall vary according to the device class being served. The Contrac all provide a Self -Service Website that supports the latest versions of mobile ope , : systems, including but not limited to: • e i0S; ndroid Web operating system; • Windows Phone operating system and • any other browser reaching five percent market penetration, as Approved by the Agencies. Page 163 of 248 RFP 9-1177 Exhibit B 1216 The Contractor shall provide a Self -Service Website that supports the latest versions of mobile browsers, including but not limited to: • Safari; • Google Chrome and • any other browser reaching five percent market penetration, . •roved by the Agencies. 1217 The Contractor shall provide Self -Service Website and Self-S: Mo. •placation analytics tools that supports all required browsers for the meas ent, colle • alysis and reporting of internet data for purposes of understandi d monitoring pe - nce, optimizing website usage, business and market resear to assess and imp . e effectiveness of the Self -Service Website. The Web a s tools shall track all usa the Self -Service Website including but not limited • number of individual hits by screen; • number of specific activities performed; • number of page views; • number of repeat visitor new visitors; • bounce rate; • abandonment rate; • usage reports, for example and . ion reports that monitor efficiency • ation; • cont , om . of total ti load the website; • al monito of website p oad times; tinual mon. , • • . • ividual • ent load times; • al mg • . _ : • ility and • cont • nitoring of overall application availability. ervice to and Self -Service Mobile Application analytics tools shall be mtegr .th the ' or notification of performance issues. 1219 The Self-S Websit: Self -Service Mobile Application shall provide Configurable real-time re g for all services monitored and data collected. 0 The Contract all provide a Self -Service Website that supports the addition of sponsored advertiseme pproved by the Agencies. 1.12.1• tAccess and Security 1221 Th ractor shall provide the capability to control the features and capabilities available to cu tomers based on the account type. 1222 The Contractor shall provide the capability for a customer to select a PIN upon account establishment. Page 164 of 248 RFP 9-1177 Exhibit B 1223 The Contractor shall provide the capability for a customer to create a username and password upon account establishment. • The web server shall support username and password strength requirements as determined during the Implementation Phase and documented in usiness Rules and • the web server shall support two -factor authentication provide user configurability to enable or disable. 1224 The Contractor shall provide the capability for a user account se ime o a period of inactivity (Configurable). 1225 The Contractor shall provide the capability for an AuthUser to set, based - role, the length of inactivity time before a session tim: 1226 Prevent customers from accessing the BOS a number of . iled login attemp (Configurable) within an amount of time (Con ' ale) and se lert message to the PMMS. 1227 The Contractor shall provide the capability for automatically reset the customers' access to the BOS after a Configurable amou e has elapsed since the last unsuccessful login attempt. 1228 The Contractor shall provide th • . _ uthorized • reset the customer's access to the BOS after the custo locked • . unsuccessful log on attempts. 1229 The Contractor shall provide the secu ithou orized User interaction, for customers to gain , • cess to thei _ account(s) when they have forgotten their username and Iata neces o gain online access shall differ depending on account typ : 1230 The Co •r shall pro the capabili, upon the first logon require the user to comp to five (5) .. lenge q ons and answers for use in future account access. 1231 The Contra w ovide the capabi 1 y to reset the PIN. 1 tractor . rovide the capability to reset the password with requirements for p rength •use of previous password restrictions. 33 The Cont shall p the capability to change username. 1234 The Contra shall provide the capability to manage (add/delete/modify) security questions. 1. Acco tablishment and Maintenance 1235 or shall provide an account creation process that logically leads a customer via rvice Website through all of the necessary steps to create an account including, but limited to: • Account type; • Account plan; Page 165 of 248 RFP 9-1177 Exhibit B • Name (primary and secondary); • Contact information (billing and shipping); • Email address; • Vehicle information; • Transponder requests; • Payment information; • Statement and correspondence method of delivery; • Opt -in for various communications (texts, e-blast• ements. marketing • Opt -in for customer survey. 1236 The Contractor shall provide the capability for a , er with an egistered account t open a registered account without having to en • name, ad • - vehicle information including the vehicle effective date equal to the •latio sactions. The customer shall be able to make a single payment for the • unt due and the account establishment amount. 1237 The Contractor shall provide o • • • guidance to the , er via the Self -Service Website during the account crea •:arding miss improperly formatted information. The customer shall e a • • to the ne • until the required information is provided in the app iate for •rope action shall be clearly identified. 1238 The Contractor sh. 'de the capaopening a new account to automatically identify other . ' • ciated wi , account name or address and create a Case to allow a CS' . etermi ether or n e account is a duplicate. 1239 The Con .r shall prod he capabilit the selection of account type and account prefe during the : i hment of an unt based on anticipated usage and other requir - 1240 The Contr.. ovide the capa • i y, when adding contact information, to assist the mer by . i g zip code be entered first, then providing a pre -populated city and entr reet address, the BOS should populate options for selection in the USP dized . s format. 241 Require t Agenci. ms and conditions and privacy policy are acknowledged and a record of t cknowle • gment saved in the BOS prior to establishing an account. 42 The Contract hall provide the capability for customers to set and modify preferred communicati annels. 1 e Cont shall provide the capability for the customer to update all information on • a . 1244 ractor shall provide the capability to require a customer to accept revised account ter and conditions and privacy policy upon log in if a change is made to the account terms and conditions or privacy policy. 1245 The Contractor shall provide the capability for electronic email address confirmation during the account creation process. For example, an email is sent to the email address Page 166 of 248 RFP 9-1177 Exhibit B provided with a link by which the customer can confirm they have control of the account. Upon validation, the BOS shall allow for the account creation process to be completed. 1246 The Contractor shall provide the capability for any subsequent additional email addresses added, to perform the email address validation process prior to finalizing the y on the account. A message shall be displayed indicating the email address shall n i i ded until the validation process is complete. 1247 The Contractor shall provide the capability for sending an account e rofile to the customer upon a successful account creation process. The acco ofile shall also be provided in a printer -friendly format. 1248 The Contractor shall provide the capability for custome specify "how di. , ear about us?" during the account creation process. 1249 The Contractor shall provide the capability for cust to be asked a series of market questions (Configurable). 1250 The Contractor shall provide customers with a r amou details and summary) as they proceed through the account set-up proces i not limited to: • account fee at time of account establishment; • prepaid balance amount; • transponder cost amount . • Violation amounts. 1251 The Contractor shall provide the cak % custom- close his/her Registered account. Allii 1.12.1.3. Pay To provide a oriented cust setup and mana at is intuitivc .cient and meets the needs of a self-service ed and logical customer self-service payment 125 sntracto rovide the capability to determine the payment methods available -ble) ba account type. 53 The Co ,r shal . e the capability for the manual replenishment (via existing payment • s on th unt) of Registered accounts. 254 The Contrachall provide the capability for the customer to set up an automated recurring rep .hment via: credit card and ACH. • cre i d and • 1255 actor shall provide the capability for violators to view the images (in compliance wit' I requirements) associated with the Notice of Toll Evasion Violation and Notice of Delinquent Toll Evasion Violation and make payments or initiate a dispute by entering the pertinent dispute information. Page 167 of 248 RFP 9-1177 Exhibit B 1256 The Contractor shall provide the capability to automatically create a Case and populate it with all pertinent information when a violator disputes a Notice of Toll Evasion Violation and Notice of Delinquent Toll Evasion Violation. 1257 The Contractor shall provide the capability for the violator to upload file(s) s ting the dispute and automatically associate those files to the Case. 1258 The Contractor shall provide the capability for violators to make a t and have it applied towards a specific item on the account or the entire bal for example Violation Notices, penalties and fees. 1259 The Contractor shall provide the capability to Configure w et or not to artial payments for Violation -related activity. 1260 The Contractor shall provide the capability to allow payment of Violations a account replenishment with one payment. 1261 The Contractor shall provide the capability for omer to int and efficiently add the violating license plate/vehicle to an account, • ich the ogin access, and have the BOS verify to the customer that the lic • la been added and the transactions/trips have Posted. Provide the capabili fy the customer of any fees and assess those fees to the account in accordance the Business Rules. If the transactions/trips cannot post tunt or the licens cannot be added, in real time the BOS shall notify the custe and ask the . er to contact the CSC. 1262 The Contractor shall provide the . ility, i e with : usiness Rules, for a customer to intuitively and efficien' tablish , "sinner to saint" process offered to violators that meet certain • ia. S sha that the account has been created, the licen - vehicle ha • . ded and transactions/trips have Posted. Provide the ca the custo any fees and assess those fees to the account in accordan the B .s Rules. I ransactions/trips cannot Post to the account or the lic- ate/vehicl: not be add: real time the BOS shall notify the customer of the i • . nd ask the c er to contac SC. 1263 The C r shal that once a Violation transaction/trip is transferre. , all othe _ iolations automatically transfer to the account in Accordan a Business Rules. actor s ovide the capability during the Violation payment process to notify Inter. •/CTO. icy customers of the process and time constraints for updating their acc► • allow Posting of the transactions/trips to their account through the Interopera: TOC Age . 265 The Contract' all provide the capability to allow for a primary and secondary credit card and provide . i cessing sequence for when to process each or let the customer select via the website ' one-time payment. 12.. - Co .r shall provide the capability for Violation transaction/trip payments using plate number, type and Jurisdiction and another piece of information ( able) for authentication. 1267 The Contractor shall provide the capability to prevent customers from making payments in excess of a Configurable amount based on account type. Page 168 of 248 RFP 9-1177 Exhibit B 1268 The Contractor shall provide the capability to configure whether or not customers are allowed to make payments to their accounts for amounts in collections. 1269 The Contractor shall provide the capability to display a confirmation page that includes payment method details (Credit Card numbers obscured) and amount to be prior to customer being allowed to submit a payment. 1270 The Contractor shall provide a clear summary of charges to be pr and require customer confirmation prior to processing payment. 1.12.1.4. Vehicles, License Plates and Transponders 1271 The Contractor shall provide the capability for customer quest and pay (sale w transponders. 1272 The Contractor shall provide the capability for stomer to •quest a replaceme transponder indicating which transponder mg replac• the BOS should automatically determine the age of the transponetermere is a charge for the replacement according to the business rules. 1273 The Contractor shall provide the recommended numb ansponders: one sticker for each vehicle not requiring a head 1, - • version, head lam •rs or switchable. 1274 The Contractor shall provide the ' . entify vehicle require and external transponder and flag them for an • na . nsponde 1275 The Contractor shall provide the ca • 'ty for c tivate a transponder. 1276 The Contractor shall provide the cap. •w for the • -activation of a transponder and reactivation nder. 1277 The Contra all pro the capab for customers to add, delete and update a beginnin • nd date/ti r a specific le and license plate at the account level. For examp stomer may to add a veil' the account for a limited amount of time. 1278 The Co r shall ► dentify temporary dealer plates and include the expira t• e in rem' _ customer to provide the permanent plate. 1279 - - ontracto rovide the capability for customers to add a license plate number to . t with . dated start date and time. The allowable back date period shall be con':. Upon ating provide the customer with the amount due allowing for a one-time ent for ount due or payment from the prepaid balance. 1280 The Contra .hall provide the capability for customers to add, delete and manage vehicles. The Contract all provide drop down lists of vehicle makes and models. 1 . e Cont shall provide the capability to inform the customer at the time of addition if • i : to is active on another account and have them confirm that they want to ith the addition. 1283 The ontractor shall provide the capability to identify motorcycle vehicle plates using the DMV plate configuration and flag them for an external headlamp transponder. Page 169 of 248 RFP 9-1177 Exhibit B 1284 The Contractor shall provide the capability to allow the customer to indicate a disabled plate or disabled veteran plate and upload the required supporting documentation and flagging the account for approval by a CSR. 1285 The Contractor shall provide the capability to identify qualified clean air ve ' through the DMV file or customer provided documentation through a document up d flag for clean air vehicle validation. 1286 The Contractor shall provide the capability (Configurable) for cus upload a file with vehicles and associated information, using an intuitive and ie ocess that supports multiple data formats, for example delimiter- ated d Excel. Functionality shall include but not be limited to: • a browse button to locate the file; • validation of the file prior to import (invali shall not be imported and an er message shall be presented); • on -screen feedback of successful proce indic e number of vehicles imported and • send email Notification of successful import. 1287 The Contractor shall provide • • - • able sample v ile and data definition document with instructions for e • _ • rmat. 1288 The Contractor shall provide detai structi ' • ; the p ess to upload vehicle information. 1289 The Contractor shal • •vide the capa► omatically i• entify account(s) associated with a license p • ed to an ak including but not limited to: • vio . ccount unresolve • ations; • nts in bad s , ing; • nts clos • ac • ebt in collect ° , accoun . . nkruptcy and unts e license plate is active on another account. 1290 The Cont shall , de the capability to either (determined during design) automatical tiate a Ca e and direct the customer to call the CSC or get a warning and allow the cus r to proceed when the license plate they are attempting to add to their account is act n another account, other than a rental car account. 1291 actor shall provide the capability for customers to log in, view and print the No tions associated with their account. 1292 The Contractor shall provide the capability for customers to view and print past account statements or invoices, or to generate an on -demand account statement or invoice (in both PDF or CSV formats), based on selection criteria for all account types. Page 170 of 248 RFP 9-1177 Exhibit B 1293 The Contractor shall provide the capability for violators to view and print Violation Notices including all associated Violation images. 1294 The Contractor shall provide the capability to access Violation Notices, citations and/or collection letters associated with Unregistered accounts and make pay , . These documents can be accessed by the violator using the vehicle license pl. . mber and Jurisdiction and the violator account number (or other information to be . d during the Implementation Phase). 1295 The Contractor shall provide the capability upon logging into co . ovide the customer with customized special messages regarding their . . t such . • it card expired, payment declined, temp plate expired, pay by plate curr'ng on a spe • icle. 1296 The Contractor shall provide the capability to di otifications (Config including but not limited to: • allowable Flags related to the account; • transponder in certain status, for exam or sto • dispute status; • payments and • other information whic • want present e customers and other website visitors. 1.12.1.6. Website - Other Functionality 1297 The Contractor s► •de the cap view transactions history and associated vehicle image • e-Based action/Trip. The Contractor shall properly address PII , fiance d . design. 1298 The Co rr shall prow' e capability 'date disputes. 1299 The C r • r shall p o a customer to upload a file, including pdf, all Microso ` an • I es, types of image files and csv files, and have it associated t. nt and Case, if app'cable. Such uploads shall be structured within a ' ' proces e a category can be assigned and a Case opened for an Authorized User _ . r exa itional evidence for a dispute, or police report for a stolen vehicle. 00 The Con. shall • the capability to limit the types of transactions, screens and activities ers ca cess via the Self -Service Website based on account type, including bu, limited to: • acco lags; • ac balance; IF. nt status; eased on Security Standards and PII and • based on Business Rules. 1301 The Contractor shall provide the capability to automatically create a contact record in the account history for contacts made via the Self -Service Website. Page 171 of 248 RFP 9-1177 Exhibit B 1302 The Contractor shall provide the capability for customers to enroll in various Account Plans. 1303 The Contractor shall provide the capability for customers to enter promotion codes on their accounts. 1304 The Contractor shall provide the capability for customers to set `opt in" opt out" options for certain Notification types, including but not limited to: • statements; • account -related Notifications; • texts; • marketing/newsletters and • customer surveys. 1305 The Contractor shall provide the capability for mers to en quests or customer feedback and add a feedback category via drop- enu op ' 1306 The Contractor shall provide the capability to open 1307 The Contractor shall provide the capability to create Ca customer requests including but not limited to: • requests for new accoun • toll charges to their accou • general customer requests v • • invento • • dis . nd • •st for call b. 1308 The C or shall p -' ' tew Case(s) associated with the account. 1309 The Contr. .vide secur • . pabilities where account holders can exchange messages wi orized User. ctor s ovide page(s) for information on hours of operation and locations for 1311 The Cont shall p - page(s) for information on hours of operation and phone numbers fo SC. kk2 The Contract all provide page(s) for general information about tolls and toll collection. 1. The Co 1313 Sel ice Mobile Application (Phase II and Optional) 1 provide a Self -Service Mobile Application. Thontractor shall provide a Self -Service Mobile Application specifically designed to operate with smartphones and tablets. Page 172 of 248 RFP 9-1177 Exhibit B 1314 The Contractor shall provide the capability to access the native functionality of the mobile device to provide enhanced account management and payment functionality. For example, access to the camera or to mobile payment options. 1315 The Self -Service Mobile Application shall provide the same func ' and informational pages as the Self -Service Website, including but not limi • all account update functions; • all account transaction, payment and other history; • all payment functionality; • all notification functionality; • all transponder management functionality; • informational pages and • other functionality determined during the Imp hase. 1316 The Contractor shall provide nati a mobile applicatio ilities on the Self -Service Mobile Application, including b ' ed to: • push Notifications and • location -based Services. 1317 The Self -Service • plication s . e access to the top five (5) United States mobile payme , as Appr • , the Agencies, that require access to device specific fu s. 1318 The C• for shall pr• the capabili, processing of all potential payments as well . • unt reple • • m • 1 • • nted mobile payment applications. 1319 _iiii The Cont ovide a Se - - Mobile Application that supports the addition f s onsore • proved by the Agencies. 3. Custo 1.13.1. Tele e Contractor is req ions (with the e ont�tems Syste Requirements to provide, operate and maintain the telephony system at all CSC and WIC ion of the OCTA Store WIC). 13 e Con shall provide a telephony system including an automated call distributor is fully integrated with the BOS for capable of simultaneously handling i outbound customer calls, all CSC Operations calls and on -site BOS personnel inte calls. The telephony system shall be capable of meeting all current and future capacity Requirements. 1321 The telephony system shall meet all current and future capacity requirements. Page 173 of 248 RFP 9-1177 Exhibit B 1322 The Contractor shall provide a telephony system meeting the following, including but not limited to: • fully integrated with the functional BOS; • fully integrated into the Desktop Environment; • fully integrated into all CSC Operations facilities and • supports all related functional Requirements contained her 1323 The Contractor shall provide a telephony system which ' signe eet the Performance Measures and availability Requirements. 1324 The Contractor shall transition and use the existin: es number throug customers can contact the CSC. 1325 The Contractor shall provide sufficient Session I , on Protocol IP), or equivalent, t support 200 percent of the current peak call v• Attachme timated Volumes. 1326 The Contractor shall provide a real-time telephon 4 oar- allows the Agencies and CSC management to monitor the call handling perfor 1327 The Contractor shall provide full i egration between t' .hony system and the BOS, including but not limited to: • association of all custom- o d calls wi'-ccount; • association of detail regard e custo 'th the account, for example, wrap codes and ad -hoc Auth • d U ere @ ation and • the avai ' the BOS a, .n account screens, of all customer contact recor► 1328 The Cont shall pro the capabior the telephony system to be trained to identi ords/phras d notify an A ized Users in real-time or upon request. 1329 The Co • r shall ► - • . ' quality review functionality such that the reviewer . to e ca , , . ecorded screen movements and score the call against the . • criteria. 1 actor s 'vide the capability for CSRs to select and enter the reason(s) for the cal . 331 The Cont shall p • the capability for Authorized Users to add/delete/modify survey ques for an a' -r-call survey. 32 The Contract all provide the capability for the telephony system to provide a survey for the customer er the call. 1 he Contr shall provide the capability for Authorized Users to obtain the results of the -c ey. 1334 actor shall provide the capability to allow a supervisor to monitor or participate in r time the phone conversations between the CSR and the customer and view CSR screen navigations, including but not limited to: • just listen; Page 174 of 248 RFP 9-1177 Exhibit B • listen and talk only to CSR (coach) and • participate in a three-way call with the customer. 1335 The Contractor shall provide the capability for the Agencies to remotely and no ' trusively monitor live calls. 1336 The Contractor shall provide the capability for the Agencies to remotely all recorded calls randomly of specifically categorized by, including but not limite • CSR; • call subject; • specific customer account; • call date/time; • escalation and • customer behavior. 1337 The Contractor shall provide the capability for Englis ish language options. 1338 The Contractor shall provide aut• .ted call routing ba customer selections. For example, if the customer select h language opt d then wishes to pay a Violation Notice, the call is sen' a •eaking CSR the ability to accept payments. 1339 The Contractor shall provide autom. call d' ng conditional routing to qualified Authorized Users. 1340 The Contractor for call ro . ased on conditions, including but not limited to: • •f day; • of week; • s e; plann. . ge; 't time 'gurable) and • umes ► rable). 1341 The Contrac all provide the capability for Authorized Users to configure the relevant parameters r d to call handling, including but not limited to: • sery vels; • vels; guage selection; phone number and hours of operation for contact center; • locations of WICs; • remote/other call handling locations; Page 175 of 248 RFP 9-1177 Exhibit B • conditional escalations; • prioritization of queues; • call routing rules; • call recording rules; • call wait -time rules; • music on hold selections and • message on hold selections. 1342 The Contractor shall provide the capability to specify an ge service levels. 1343 The Contractor shall provide the capability to noti orized Users regarding se level performance. 1344 The Contractor shall provide the capability to a tically mov acts between service groups to meet service levels and key performan ator 1345 The Contractor shall provide the capability to prioriti s. 1346 The Contractor shall provide the c. . bility to reprioritiz is in queue. 1347 The Contractor shall provide thalling to only specific users. 1348 The Contractor shall provide the ca ty to m. e-recorded calls. 1349 The Contractor shall •rovide the capa. t► age outbo call campaigns. 1350 The Contractor the capab . manually initiate automated outbound calls to accounts eet sp criteria xample, initial collections activities based on informativided by t es). 1351 The C► for shall pro the capability uthorized Users to be designated for both outbo inboun► 1352 The Contraovide the capa to record and activate new initial messages to • - I eard by a s, for example maintenance messages that the IVR is down or that the • ing ea 3 The Co q r shal e the capability for virtual queuing, which allows customers to hang up ill keep -ir place in the queue and receive a call a back when it is their turn rather waiting o hold. 54 The Contract • all provide the capability to notify callers of the estimated wait time either on hold or fo 1 :II back. 1 ' he Contr shall provide expected wait time messages during the time the customer is •oli 1356 actor shall provide recorded audio while customers are on hold. 1357 The ontractor shall provide the capability to record messages to be played to on -hold customers. Page 176 of 248 RFP 9-1177 Exhibit B 1358 The Contractor shall provide for the interspersing of music for pre-recorded on -hold messages. 1359 The Contractor shall provide computer telephony integration to the BOS to display the user account, including but not limited to: • screen pop based on inbound caller ID; • screen pop based on caller -entered information and • screen pop notifying CSR that customer has successfull nti 1360 The Contractor shall provide the capability for all inbou►d d outboun to be recorded. 1361 The Contractor shall provide the capability to prevent i ing of Credit Card inform for example, for the purpose of tokenization, transf- warm call to the Merchant Sery Provider for payment and once payment is com. transfer ba CSR. 1362 The Contractor shall provide workforce manage . ols, in ► g but not limited to: • forecasting contact volume based upon histI . s; • managing key performanc• .ndicators; • dashboard monitoring o •• . nce indicator • real-time reports for mon g ke • e indica and • call recording on demand o • mati 1363 The Contractor sh. .de supervis . . _ement tools, including but not limited to: • man. e : profile b horized User; • c, ectronicall h Authoriz• ers; • • ntly monito r • • at ., . , • rem • • uthorized User from the call; cess re. - agent performance statistics and • real-ti iup performance statistics. 1364 The Contra all prov e the capability for Authorized Users (for example Agency staff) to remotely s real-time and historical performance information, including but not limited to: • ov ustomer call queue information; • ait time and call handling times; pecific call queue information, for example, information about only the Spanish queue or the dispute queue; • chat queue information; • key performance indicators and Page 177 of 248 RFP 9-1177 Exhibit B • active Authorized Users. 1.13.2. IVR System The IVR System allows allow customers to perform all actions that they might ask exception of certain functions that are specific to the role of an Authorized User, certain Account Plans or changing the name on an account. The IVR mus functions in both English and Spanish. with the mple adding de all required 1365 The Contractor shall provide sufficient IVR processing capacitTupport cent of the current call volumes provided in Attachment E: Estima Vo umes. 1366 The Contractor shall provide the capability to configur R System, including limited to: • allowable number of failed authorizati mpts; • allowable number of invalid responses • allowable idle time. 1367 The Contractor shall provide the a. ability to view a figure the phone tree in graphical manner. 1368 The Contractor shall allow for c, yes to be i ately recorded and inserted as needed and requested. 1369 The Contractor shall provide the cap . y fo ar _ es to be rotated in the IVR as needed or reque • - 1370 The Contracto • e capabili an Authorized User to have role -based access to the syste • ake all of commo ' changes. 1371 The Co r shall prow' irected dialo ral language speech recognition for all IVR servi -cognizing voice identity verification, option selections, navigate. cus ion such as account information, Violation number, p . •• -tc., and for cu . er accessing of account and all other information • evidedbyt _ . .-lingua 'sh and Spanish) interaction, and the Contractor shall provide the Inter a. suppo 'ngual options for customer interaction. 1373 Support va modes • . . eration, including but not limited to: • CSC i hours when the IVR and CSR options are available to service the cust• ; • CS f ours when only the IVR is available to service the customer and • . itions where the BOS is not functional, CSC is not open for operations, but the R System is operational. 1374 The .. •ntractor shall provide the capability to verify customer identity and authorization prior to transferring the customer to a CSR. The verification authorization process shall be automated to minimize any delays for the customer. Page 178 of 248 RFP 9-1177 Exhibit B 1375 The Contractor shall provide the capability to pop-up the customer account or Violation information on the BOS screen so the CSR has all the pertinent information available prior to the call being received by the CSR. 1376 The Contractor shall provide for the retention of account number, Violation N- - number or other entered information (excluding any Credit Card information) to b= - available to the CSR who takes the call should the customer exit the IVR and wish - ak to a CSR. 1377 The Contractor shall provide the capability for the caller to execute •' • tions within the same call, for example return to previous menu and repeat p op 1378 The Contractor shall provide English and Spanish speaking c to rs the abili pond to the IVR by pressing designated keypad buttons on their a or saying a res • 1379 The Contractor shall provide a single IVR recording vo' nt per supported langua: have consistency in voice volume and intona ' roughout the Operations . Maintenance Phases. 1380 The Contractor shall provide the capability to tegrate e Merchant Services Provider Credit Card information while maintainin li ith tokenization and PCI DSS Requirements. 1381 The Contractor shall provide the c. •ility for customers age their account. 1382 The Contractor shall provide the ustomers to the account using the PIN and one other piece of inform. • of limite • caller ID (ANI); • account nu • • - • licens: • tr .ndernum :nd • . ation Notice ber. 1383 The Con. shall • limit the types of transactions and activities customers . a the IVR base • . account types, including but not limited to: accou ,• • unt ba • a ► t status; • Acc • Plan; • acco ype and • B s Rules. 1384 or shall provide the capability for customers to add, edit and remove Credit • ciated with the account. 1385 The ontractor shall provide the capability for customers to make a one-time payment to the account. 1386 The Contractor shall provide the capability for customers to enroll in auto replenishment and configure replenishment information. Page 179 of 248 RFP 9-1177 Exhibit B 1387 The Contractor shall provide the capability for customers to make a payment using an existing payment method on the account without having to re-enter the payment method information. 1388 The Contractor shall provide the capability to accept Credit Card payments kenized method. 1389 The Contractor shall provide the capability to prevent customers from g payments in excess of an amount based on account type (Configurable). 1390 The IVR shall not store any of the Credit Card information s inp uding in recordings and logs. 1391 The Contractor shall provide detailed tracking of payme • • cessed via the IVR. 1392 The Contractor shall provide an audio summary - customer, including pay method details (last specific number of digits on -dit Card) a • amount, and reque confirmation prior to allowing the customer to • t a paymen 1393 The Contractor shall provide the capability for c •rs to. • a payment and have it applied toward the account balance or a specific ite ount. 1394 The Contractor shall provide the capability for violato • ake a payment and have it applied toward a specific item o unt. 1395 The Contractor shall provide the b omers to o • e last "x" number of toll transactions (Configurable). 1396 The Contractor shall provide the ca ty for m . m the last "x" number of Financial Transaction Configurable). 1397 The Contracto - the capaor customers to obtain the balance on the account. 1398 The Co he capabili customers to request statements with the optio d. 1399 The Con r customers to add, edit and remove vehicles and license . the account. 1 A ° • tracto rovide the capability for customers to order transponders and • . rips. 401 The Co •r sha ide the capability for customers to report lost/stolen rtransponde 402 The Contract• i all provide the capability for customers to update the PIN. • The Contrac all provide the capability for customers to hear Notifications that have • een sent. 1404 C or shall provide the capability for customers to receive an confirmation by • channel when account updates or payments are made via the IVR. 1405 The ontractor shall provide the capability to automatically create a contact record in the account history for contacts made via the IVR. 1406 The Contractor shall provide IVR System reports that help determine how the IVR is functioning and its effectiveness, including but not limited to: Page 180 of 248 RFP 9-1177 Exhibit B • the number of calls routed to the IVR; • abandon rate; • account maintenance activities performed; • payments processed; • transaction history accessed; • customer support requests; • general information obtained and • the number of calls transferred to a CSR from th i# 1.13.3. Email 1407 The Contractor shall provide the capability to an age inbound/outbound customer emails. 1408 The Contractor shall assume all current email domains y the new BOS; 1409 The Contractor shall provide the • CSRs to select ter the reason(s) for the email. 1410 The Contractor shall provide the •ility to usto er inquiries with pre - completed (canned) responses that • 'de va • in • . 1411 The Contractor sh. 'de the capa• . imate and/or program the response time to a customer's 1412 The Contr. all prove e capabilisend e-blast emails to all customers with an email a • . . 1413 The or shall p 't f• nglish and Spanish language options. 1414 The Contr. ide auto ail distribution, including conditional routing to qualified Au' sers. . ctor s •vide the capability to prevent recording or accepting of Credit Card infor n ema unication. 1416 The Cont . shall p full integration between the email system and the BOS in association the acco nt such that emails are able to be viewed from the customer account in B 1 The Contrac all provide automated reporting of all email correspondence by subjects wrap cod- d response times. 1418 The Contractor shall provide the capability to service and manage inbound/outbound customer faxes. Page 181 of 248 RFP 9-1177 Exhibit B 1419 The Contractor shall provide the capability for CSRs to select and enter the reason(s) for the fax. 1420 The Contractor shall provide full integration between the fax system and the BOS in association with the account such that faxes are able to be viewed from ustomer account in BOS. 1421 The Contractor shall provide automated reporting of all fax corresp ce by subjects (wrap codes) and response times. 1.13.5. Chat 1422 The Contractor shall provide the capability to servi manage inbound customer sessions. 1423 The Contractor shall provide the capability for , select an • the reason(s) for the chat. 1424 The Contractor shall provide the capability to resp • • stomer inquiries with pre - completed (canned) responses that . rovide variable inp 1425 The Contractor shall provide the • estimate and . •,ram the response time to a customer's chat request. 1426 The Contractor shall provide the ca, lity to co► bility o respond to multiple chat sessions concurrently. 1427 The Contractor s - . e the capa ovide a survey for the customers after the chat. 1428 The Contr. all provi e capabilit English and Spanish language options. 1429 The C or shall pro the capabili the customer to have a full record of the entire •ssion em, 1430 The Contr. .vide the ca .. to record the full chat session. 143 ontracto ' provide automated chat request distribution, including conditional qualifi orized Users. 2 The Co shall • the capability to prevent recording or accepting of Credit Card informatio at sess 1433 The Contrac hall provide full integration between the chat system and the BOS in association the account such that chats are able to be viewed from the customer account in B 1.13. 1434 The ontractor shall provide the capability to service and manage inbound customer text sessions. Page 182 of 248 RFP 9-1177 Exhibit B 1435 The Contractor shall provide the capability for CSRs to select and enter the reason(s) for the text. 1436 The Contractor shall provide the capability to respond to customer inquiries with pre - completed (canned) responses that provide variable inputs. 1437 The Contractor shall provide the capability to estimate and/or program ponse time to a customer's text request. 1438 The Contractor shall provide the capability to provide a survey fo rs after the text. 1439 The Contractor shall provide the capability for English and nis language op 1440 The Contractor shall provide the capability to record t responses. 1441 The Contractor shall provide automated text distri , including conditional routin qualified Authorized Users. 1442 The Contractor shall provide the capability to pr ecordi cepting of Credit Card information in text communication. 1443 The Contractor shall provide full integration betwee text system and the BOS in association with the account su at text message a to be viewed from the customer account in BOS. 1.14. Financial Requirements These financial Requirements describe the Agencies to service custo v o record system. The Agencies us accordance w It is important th example, fees and det. • rical co odified acc AP and GAS ations occ Prepaid tolls shall n the account cause urring tolls on an cility; accoun g a refu rtant ersus t re that mu present in the BOS for the fi , tivity related to the BOS in its general ledger method of g a June 30 Fi unting and prepare financial statements in ear end. is e • e presented separately from other revenues (for separated by Agency and Toll Facility. The Agencies utilize reports to analyze and estimate future revenues from Violations. For this e reporting enable the Agencies to analyze the period in which .od in which those Violations were paid. osited to . Bank Account held by the Agencies until such time as an action funds to be depleted. Such actions include but are not limited to: customer /RCTC Toll Facility; customer incurring tolls on an Interoperable Agency rring a fee; returned check being processed on the user account; customer customer requesting account closure. The B duit between the Agencies and customers; Interoperable Agencies, and Third - Party Ser oviders and Business Partners. The Contractor shall reconcile all transactional and financial interactions between the BOS and customers; Interoperable Agencies and Third -Party Service Providers, and Business Partners. The Contractor also shall also reconcile all transactional and financial interactions between the BOS and the Agencies. Page 183 of 248 RFP 9-1177 Exhibit B 1.14.1. General Financial Requirements Financial reports shall not change once the Revenue Day is closed. The Revenue Day is typically closed by a semi -automated process once a series of reconciliations is performed to ensure all transactions have been appropriately received and processed. While immaterial . nces and discrepancies (for example, if a handful of transactions were not processed) may ► ected after the Revenue Day has been closed, material discrepancies (for example, an unprocessed payment or transaction file) must be corrected before the Revenue Day is cl ce the Revenue Day is closed, any adjustments or corrections to transactions that occurre ue Day must be made in the current Revenue Day. The Agencies do not intend to use the BOS as its general ledger sy or do the Agenci d to feed data from the BOS automatically to its general ledger. Th cies intend to use ex • . d reports from the BOS to record the financial entries into t ncies' financial system. Th must utilize GAAP-compliant methods to record financial between e Toll Facilities and BOS and between the BOS and customers; Interoperab cies and Th. rty Service Providers and Business Partners. 1444 The Contractor shall provide an integrated, Confi AAP-compliant accounting Module for all transactions. 1445 The Contractor shall provide for recording of a cial Transactions. 1446 Separate financial data shall be ma ' e . • • cy, Toll , each CTOC Agency, each Interoperable Agency, each Co ion Agen. • hird arty Business Partner and Service Provider. 1447 The Contractor s . • . to automa entries for recording and tracking all transactions a -nts. 1448 The Contr. shall dev: a journal template for every BOS transaction that impacts ue, liability nces (for ex. •, Registered or Unregistered accounts) or asset ces (for exa t is recei ) to be Approved by the Agencies. 1449 The Con sh. .. - , for each transaction, which shall reflect the source of e. ion, all adjustmen s to the transaction and the current status of the • . ction an. + e final disposition of the transaction. - ent th. lted in a receivable being marked paid shall be traceable to the receiva. 't paid. 1451 Every paid able sha • e traceable to one or more payments that were allocated to its payment. The BOS shal iw for different Business Rules for each Agency to be applied to Financial Transaction example, the BOS shall allow for different write-off Business Rules by ency w ' ay allow one Agency to automatically write-off certain of its balances while e cy may require manual approval for all write-offs of its balances. Other - nclude DMV Hold, Violation escalation, penalties and dismissal policies. 1.14.2. Transaction Recording Toll transactions are initiated by an originating OCTA/RCTC Toll Facility through transmission of a transaction/trip from the ETTM System to the BOS and Posted to user accounts. The Agencies are Page 184 of 248 RFP 9-1177 Exhibit B currently Interoperable with all California toll agencies through their participation in CTOC. The Agencies intend to become Interoperable with other Interoperable Agencies outside of CTOC during the term of this Agreement. These transactions also are Posted against the Financial Accounts. These include transactions such as a toll or a fee and the transaction activities that affect em, such as billing a transaction or sending it to collections. All transactions and transacti vities are recorded against Financial Accounts. 1453 Record all BOS activities, including but not limited to: • when a new transaction/trip is received from the ETT em; • when an amendment is made to a transaction/trip the BOS; • when an amendment is made to a transaction a Collection Agency; • when a new or amended transaction is re from a CTOC Agency; • when a new or amended transaction i ved from a operable Agency; • when a fee, penalty or any transaction is d b OS; • when a fee, penalty or any transaction is colle • when a fee, penalty or a • . ction is waived, r otherwise reversed; • when a fee, penalty or an n _ • 'usted and • when there is a change in t tus or w . - of a e or penalty or another transaction. 1454 All entries to the Bo consider pa eceivable balances between, including but not limited to: • th- omer and :OS; • :OS and the ' cies; • 'Sand' • the OC Agencies; he BO •teroperable Agencies and • ' OS an • • -Party Service Providers and Business Partners. 1455 The BOS s • rovide capability of recording a payable to or receivable from the Agencies, a ction Agency, a CTOC Agency, an Interoperable Agency, a Third -Party Service Provi or Business Partner simultaneously with the recording of a customer payment aga. transaction. 1 reate all ial entries as individual records, which may be used in combination with -r f .1 entries to make a net effect, but do not allow the original entry to be 1457 Ens ► - each debit entry to a Financial Account has a corresponding and equal credit amount and each credit entry to a Financial Account has a corresponding and equal debit amount so the Financial Accounts balance at all times. Page 185 of 248 RFP 9-1177 Exhibit B 1458 The Contractor shall provide reports in summary and in detail on the Financial Accounts. BOS reports shall be provided that reconcile to the Financial Accounts. 1.14.2.1. Fee and Penalty Transaction Recording Fees and penalties are charged to customers at a variety of different escalations in or workflow stage, including but not limited to: • when a Notice of Toll Evasion Violation is generated; • when a Notice of Delinquent Toll Evasion Violation is generate • when transactions/trips are accepted for Registration Hol • when transactions/trips are sent to collections and • when a FasTrak account is sent to collections. Fees may also be charged when certain transactions/tri limited to returned checks, chargebacks, failed FasTrak acc for accounts below the Insufficient Balance Threshold. Fees and penalties can be incurred at th penalties for shared facilities, the Toll accordance with the Approved design. 1.14.3. Customer Transaction Set Customer transaction se Customer transaction osted t► count, including but not ent, Excessive I -Tolls and el or at the acco el. In the case of fees and share in the d penalty revenue in is the pay olls, fees and penalties by the customer. includes . :yment reversals, chargebacks and refunds. Funds collected customers Interoperacilities are deposited into Bank Account(s) established by gencies. Pays s are issued f hese accounts(s) including: 1. er R:' . customers. 2. Pay made to Interoperable facilities. nds a sited and held in a Master Custodial Account until refunded to mers, Interoperable Agencies or distributed to the Agencies. Page 186 of 248 Merchant Accounts (net of credit card refunds and chargebacks) Customer Refund Account — Checks 1 alk-In Checl Payments (Remote Deposit) J Figure 1-1 Cust 1.14.3.1. Customer Walk -In Cash Payments (Armored Car) Master Custodial Account Interoperabl Agency Payments Trans ment Interoperable Agencies Payments to OCTA and RCTC RFP 9-1177 Exhibit B Money Services Providers Payments and oth- eipts sh. e process: the BOS in accordance with the following Requirements: 1459 Paym e collect yment sources. The number and names of payment s s on nclude but are not limited to: • mer counts; V; • ions; • Lo (optiona ; • chec ments; • cas ments (processed at WICs); • perable Agencies and ranchise Tax Board. 1460 The ontractor shall provide the capability to establish deposit accounts within the BOS and map those deposit accounts to BOS Modules, including but not limited to Financial Account, deposit reports and bank reconciliation. For example, deposits to the Lockbox Bank Account Page 187 of 248 RFP 9-1177 Exhibit B (if the Contractor elects to use one) are recorded in the Financial Account associated with the Lockbox Bank Account. 1461 The Contractor shall provide the capability to map deposits by payment source to default Bank Accounts. For example, deposits received from the Merchant Service ider are mapped in the BOS as received from the Merchant Service Provider and be' posited to the Bank Account to which the Merchant Service Provider makes its de 1462 The Contractor shall provide the capability to capture the bank de nd associate it with the payment transaction. 1463 Funds shall be disbursed from the following payment sour es. e number es of payment sources shall be Configurable and include but ar imited to: • customer Refund Account; • Interoperable Agency and • Agency remittance account. 1464 The Contractor shall provide the capability to esta ent accounts within the BOS and map those disbursement accounts to BOS ncluding but not limited to Financial Account, disbursement resorts and bank recon n. 1465 The Contractor shall provide the . map disburse disbursement type to default disbursement accounts. 1466 Payments shall be applied to acco valances v able asis (default order is automatically assigned by the BOS). 1467 The default Posti an be manu. Aden by Authorized Users. 1.14.3.2. Disb Disbursement Agencies, CT Partners. omers for ov ments and refunds and also made to the Third -Party Service Providers and Business 146: ' i S shall t the processing of disbursements, including but not limited to: tomer ; • s . I ent wi gencies; • sett nt with CTOC Agencies; • settl: t with Interoperable Agencies, and • se ent with Third -Party Service Providers and Business Partners. 146 • Co ► or shall provide the Configurable capability to automatically identify accounts gible for refund processing and present those refunds for review and approval ba 9 n various activities on the account (require review before a refund would be processed), including but not limited to: • closing of an account; Page 188 of 248 RFP 9-1177 Exhibit B • unapplied payments (for example, a payment that has been received and deposited but cannot be Posted to an account and needs to be refunded); • overpayment on an account and there are no outstanding Violations or unbilled tolls that need to be paid and • overpayment of a Violation and there are no other outstandin: .ions or toll transactions/trips that need to be paid. 1470 The Contractor shall provide the capability for an optimized and minimized number of steps) process for refunds based on the original tr. ion an. rm such refunds are reflected on the user account history. For exam e, . on receipt o omer request to close an account and after the appropriate ng period has el. an Authorized User shall have the capability to Approve a . without the need to re and indicate refund method and, in the case of Cred' . refunds, select or input the number; the BOS shall have the capability to auto , , y allocate ' . • roved refunds to th. correct refund type and card number. 1471 The Contractor shall provide the capability to is nd e payment method that was used to create the credit balance. 1472 The Contractor shall provide the . @ ability to issue el • . ' refunds (for example, by Credit Card) to the Credit Card u • • , e the payment, in. ; but not limited to those Credit Card that are not stored , ount. For ex. the BOS can utilize a payment reference number to trac: k to .. 4I ethod wi the need for the BOS to retain the card information. 1473 The Contractor shall provide the capa , to ' refunds . eck if the account does not provide for an ele •• ethod or if onic method is invalid (for example, if the Credit Card is : . 1474 If require • der to co with the l ant agreement or any other agreements or regulati , e Contracto .11 provide t @ ability to issue a single refund using more than c ment met • • - a .le, a si refund amount may be issued to multiple Credit d/or • 1475 The Contra ovide the capability to issue refunds by check for overpayments on, a 'rig but 'ted to: •@aid to • '•ns; • fees • pena . The Contra, .hall provide the capability to prevent refunds of greater than the amount the or' transaction amount or the prepaid balance, adjusted for overpayments and unds. 1477 Th: tractor shall provide the capability for automated processing of Approved refunds after a Configurable hold period. 1478 The Contractor shall provide the capability to send an Operational Alert Notification to the PMMS when eligible refunds are due. Page 189 of 248 RFP 9-1177 Exhibit B 1479 The Contractor shall provide the capability to expedite a refund if the customer requests to have a refund issued before the Configurable hold period has elapsed, for example when a customer is due a refund because a check was cashed for the wrong amount due to CSR error. 1480 The Contractor shall provide the capability to require authorized approval ' unds. For example, refunds in excess of a Configurable amount or refunds for : ► 1 credits for which there is no associated payment are routed for approval throu: , 1481 The Contractor shall provide the capability to track and associate un. a original payment on the account. 1482 The Contractor shall provide the capability to display ed Credit Card . ent activity for refunds by payment method. 1483 The Contractor shall provide the capability to prey e automatic issuance of refun • the account has an outstanding balance due; efunds req the approval of an Authorized User through Cases. 1484 The Contractor shall provide the capability to se of otification electronically and/or by mail to all customers who are issued a refu 1.14.3.3. Escheatment (unclaimed The BOS shall allow for comments to be e Flag shall be available to indicate when an at are elir Escheatment and a schea ent procedures. 1485 The Contractor shall 8 ovide the cap Flags to indicat• •unt was su y ter comn7eTrs and update statuses and to Escheatment procedures. 1486 The Contra, all prov he capabili for the :tment proc- Agency. identify any unclaimed funds as candidates 1487 The C r r shall p ' ' the Esche. p . sy Age . t entify any unclaimed funds as subjected to -Off o e BOS shall accommodate bot write-offs will inclu d individual trans ner. The BOS sh nsactions/de "d Balances capa i processing Write -Offs at the Agencies' discretion. The BOS must matic a . nual Write -Off of unpaid balances and Toll Transactions. These lk Write -Offs of a group of transactions which meet Configurable criteria s/debts. This process shall be conducted in an efficient and streamlined ovide reporting detailing balances subject to Write -Off and the details of ritten-off. 1488 Co or shall provide the functionality to accept payment on transactions/trips that written -off, for example reverse the Write -Off in the amount of the payment and ap e payment. 1489 The Contractor shall provide for Write -Off codes which shall provide the selection of a Write -Off reason for each transaction. Page 190 of 248 RFP 9-1177 Exhibit B 1490 The Contractor shall provide for the Write -Off of individual transactions by Authorized Users. 1491 The Contractor shall provide for the bulk Write -Off of transactions by Authorized Users. 1492 The Contractor shall provide the capability for the BOS to automati rite -Off transactions/debts based on Business Rules, for example, write-off es after X Configurable days if no action. 1493 The Contractor shall provide for the cessation of status or work collection effort following Write -Off. 1494 The Contractor shall provide the capability to require a son for each for example, debt reduction negotiation or debt older than ". 1495 The Contractor shall provide the capability for the : ' the applicable Authorized to select the appropriate Write -Off reason. 1496 The Contractor shall provide the capability to for type - it and Write -Off the selected group of debts. Types of debts include b ,t lim•. • fees; • penalties and • tolls. 1.14.4. Reconciliation and Settle Balancing and reconciliatio integrated within the B The Contractor sh on spreadsheet of accepting deposits within reports are genera the ban s and from a integral to t nts ration. Therefore, these processes shall be reconciliations within the BOS, as opposed to e BOS. For example, the BOS shall be capable vice Provider(s) to reconcile Credit Card d as Cases within the BOS and reconciliation . The BOS s require that data be exported from the BOS, from chant Service Provider(s) to be combined, compared and reconciled in able of han anisms outs erchan pr97 The BO track oncile 100 percent of the transactions it receives from each individual . I System. 498 All BOS tr. tion reconciliation shall be based on Revenue Day which, for transactions/ ., is the Revenue Date transmitted in the transactions/trips; for operations a . yments activities, it is the day the event occurred. 14• Co .r shall provide the capability to close a Revenue Day upon the final i ' . n of the transactions and revenue. The completion of the Revenue Day closure p nalizes the counts and revenue for the Revenue Day. Upon the closure of the Rev. e Day the data on Revenue Day reports shall not change. 1500 The Contractor shall provide the capability to close a Revenue Month similar to the Revenue Day closure process. Page 191 of 248 RFP 9-1177 Exhibit B 1501 The last Revenue Day of a Revenue Month shall remain open for adjustments until both the Revenue Day and the Revenue Month have been closed. 1502 The Contractor shall provide the capability to close a Revenue Year similar to the Revenue Month closure process. 1503 The last Revenue Day of a Revenue Year shall remain open for adju s until the Revenue Day, Revenue Month and Revenue Year have been closed. 1504 The Contractor shall provide the capability to investigate and c ptions and discrepancies identified during the process. For example, if th of th deposits does not equal the total of bank deposits per the BOS, then eta reports r to the deposits in question must be available. Corrections s made and Ap by Authorized Users. 1505 All reports shall indicate the status of the reconcil' . or example, when a user run report containing data for a Revenue Day whic of yet bee ed, the report sha contain some indication the data in the report inary or t to change. 1506 The Contractor shall provide the capability to reco n S, for example merchant fees and bank fees. 1.14.4.1. Banking Reconciliation an 1507 The Contractor shall provide the 9 e all finan. tivity, including but not limited to: • deposits; • credits. • dis ► ents; • ned items a • ebacks. 1508 The Contr. ! ovide for the • . : alancing of activity at the transaction level by ment Typ ctor s' . 'vide for the identification of exceptions by transaction. 10 The Con shall • the capability to allow Authorized Users to make adjustments to exceptio d repro he automated reconciliation. k11 The Contract all provide the capability to open a Case for reconciliation exceptions. The directl Transact' monthly base Bank ' sit Reconciliation and Settlement ds collected by mail and in the WICs. These funds are deposited by the BOS ank Accounts in accordance with the flow of funds depicted in Figure 1-1 Customer ement. These deposits must be balanced and reconciled on a daily basis and 1512 The Contractor shall provide an automated Interface to reconcile bank deposits. Page 192 of 248 RFP 9-1177 Exhibit B 1.14.4.3. Reconciliation and Settlement with Merchant Service Provider The BOS initiates Credit Card transactions with one or more Merchant Service Providers. Funds collected through the merchant accounts by the Merchant Service Provider are deposited directly into BOS Bank Accounts in accordance with the flow of funds depicted in Figure Customer Transaction Settlement. 1513 The Contractor shall provide an automated Interface to reconcile tran initiated with the Merchant Service Provider(s). 1.14.4.4. Reconciliation and Settlement with Lockbox (option The BOS utilizes a Lockbox Service Provider to process custom: ck payments. Paymen . to the Lockbox will be processed by the Lockbox Service Provid . deposited directly into BO Accounts in accordance with the flow of funds depic Figure 1- Customer Transac Settlement. 1514 The Contractor shall provide an automated Interfa -co ockbox Service Provider deposits. 1.14.4.5. Reconciliation and Settle The daily reconciliations between the E payments. The transactional reconciliations shall be ha transaction/trip to thech the B Posting/billing proce The reconciliati Agencies. Th remitted to the ess transactions and e BOS. Th- TTM System will transmit a acknowledge and thereafter begin the payments being made by the BOS to the g collected from customers, processed and 1515 The Contrac rovide the capability to track payables and receivables between the • . the A based on customer payments, payment reversals and Posting of .. , • trans trips. 16 The Con shall the capability to track payables to and receivables from the Agencies b. on BOS ittances to these entities. For example, when a settlement payment is to the Agencies, the Agencies' payable Financial Account is debited and the Financial ) unt corresponding to the Bank Account from which the payment is made is credited. 1 ' e Cont shall provide electronic Notification of daily reconciliation and monthly e . the Agencies. For example, Authorized Users at the Agencies receive an Alert Id be an email including the completed reconciliation as an attachment or link) wh. e daily reconciliation is completed and Revenue Day closed. 1518 The Contractor shall provide for reconciliation of daily activity and transactions with the Toll Facilities. Page 193 of 248 RFP 9-1177 Exhibit B 1.14.4.6. Reconciliation and Settlement with CTOC Agencies and Interoperable Agencies The BOS shall remit funds collected from customers to the CTOC Agencies and Interoperable Agencies in accordance with the following Requirements: 1519 The Contractor shall provide the capability to track payables and receivab ween the BOS and the CTOC Agencies and Interoperable Agencies based on c -r payments, payment reversals and Posting of payments to transactions/trips. 1520 The Contractor shall provide the capability for the credit memo ! tI e disputes and credits initiated by customers of CTOC Agencies. 1521 The Contractor shall provide the capability to track paya► o and receivable the CTOC Agencies and Interoperable Agencies based on BO' ttances to the CTOC A: and Interoperable Agencies. For example, when . •ment payment is made t• Interoperable Agency, the Interoperable Agency e Financial ; ccount is debited a the Financial Account corresponding to the Ba ount from w • he payment is made is credited. 1522 The Contractor shall provide electronic Notification onciliation and settlement of CTOC Agencies and Interoperable Agencies to the 4 es. For example, Authorized Users at the Agencies receive an i • t (which could be a .1 including the completed reconciliation as an attachment s en the daily re• ation is completed and Revenue Day closed. 1523 The Contractor shall provide for re liation o and ansactions/trips with the CTOC Agencies and Interope Age r i ce with the applicable Interoperability agreement(s). 1524 The Contracto s e capabi . generate periodic invoice for CTOC and Interoperab • cy to ges. The i e shall be based on reconciled files for each month ev- e reconci in files wer, eived in the following month. Any manual adjust , during the i ► e period sha ncluded in the invoice with the necessary Credi . Memo a• • he 1 4C User Fee Agreement. Payments from Interope CTO s against the invoice. 1525 The Contra provide capability to enter invoices from CTOC Agencies and erable -s to match that with the files in the BOS including any Credit/Debits thori he Interoperable/CTOC Agency. Payments to the CTOC Agency or Inter° Agenc , • e made after the reconciliation of the invoice with the BOS. 1.14.4.7. Recon "on and Settlement with Third -Party Service Providers and Business Partne 1 e Contr shall provide for reconciliation of daily activity and transactions with Third- S Providers and Business Partners. 1.15. Searches Customers routinely contact the CSC by phone, through the IVR and through the Self -Service Website without knowing their account number, PIN or vehicle license plate numbers. The BOS is expected to Page 194 of 248 RFP 9-1177 Exhibit B provide quick, yet secure access to an account when a customer can positively identify him/herself as the account holder. 1.15.1. Search General 1527 The Contractor shall provide comprehensive on -screen, drill -down c ties from summary levels down through the most detailed transaction level, i ng images if available. 1528 The Contractor shall provide the capability to initiate a search fr y s . the BOS and return to the original location after completing the search. 1529 The Contractor shall provide the capability to select a re 'n the results gri .ew the details and then return to the previous results gr. ew additional items having to re-enter the search criteria or re -run the s 1530 The Contractor shall provide the capability to se cord(s) to u actions, for example obtaining detailed record information from th results 1531 The Contractor shall provide the capability to ma e eld in grid results for all searches, including but not limited to: • drag and drop fields and ns to shift the ord appear; • sort by any fields shown • sort alphanumerically by a .elds s • — rid; • sort by multiple fields (for e le, s • ast • then first name and then address so • .11 results wit ame "Smith" shall be sorted by first name and all 'th the na Smith" shall be sorted by address); • ad • d to the = and •eve a field fr• e grid. 1532 The Co •r shall capabilities where fields can be picked from a drop-d • t . . • ed to , e criteria to be applied toward the search or report. Dro. . s shall dynamically narrow down the available selection list as the .zed Us- ••ing. The or sha . 'de the capability to use single and multiple character "wildcards" along w I er co used search methods in all applicable fields of the search screens. A and is a . acter used as part of the search criteria to represent one or more unspe. , characters. The BOS shall not require the use of wildcards in lieu of leaving the fi: lank. Searches sh ave an optimized data fetching algorithm so BOS performance is not pacted , ge result sets. 1535 or shall provide the capability to specify a date range for any date in the search. 1536 Th: tractor shall provide the capability to specify a number range for any number in the searc , for example, account numbers 1055 - 2000. 1537 The Contractor shall provide the capability to search by any field, combination of fields and field ranges. Page 195 of 248 RFP 9-1177 Exhibit B 1538 The Contractor shall provide comprehensive multi -field search criteria on all reports and screen searches. Search criteria shall include all fields and related attributes found in the search results grid. 1539 The Contractor shall provide the capability to search, by full or partial value usildcards and view all stored information regarding transactions, images, state - , Violation Notices, account activity and Notifications for user selected criteria, ' mg but not limited to the following fields. Some search criteria may be availabl • n conjunction with other search criteria (for example, paid transactions ena► an account number is specified): • transaction ID; • transaction type; • location of transaction (Toll Facility, plaz /lane); • transaction number; • transaction Date; • transaction Date range; • transaction Posting Date• • transponder type; • transponder number; • license plate number; • license . • lice • ate Juri on; • nt number; • , mer na r s ix); • c •ss (street, ci ,, e, ZIP) and type of address; Autho ser ID; ement, on Notice or invoice number; • a t Flags; • add ype; • bad ess; • Vi n number; • saction disposition status for example, paid); payment type; • payment receipt number; • payment method; Page 196 of 248 RFP 9-1177 Exhibit B • check, money order or cashier's check number; • Payment Token and Credit Card expiration date; • transaction amount and • comments. 1.15.2. Transaction/Trip Search 1540 The Contractor shall provide the capability to search for and dull tra s/trips which meet the search criteria regardless of in the status thrall r the status of the account to which the transaction/trip is assi 1541 The Contractor shall provide the capability to search nsactions/trips which me search criteria with the result delivering multiple ctions, if ap licable. • transaction/trip ID; • transaction/trip type; • location of transaction/trip (Toll Facility, Toll ane); • transaction/trip numbe • transaction/trip Date; • transaction/trip Date rang • transaction/trip Posting Dat • transac • son code; • tra , der type • ponder nu , • e plate • lic: ipe; licens • urisdiction; unt nu • A 'zed Use • stat t, Violation Notice or invoice number; • Viol number; • tr tion disposition status for example, paid, unknown at DMV or written -off); • ent Type; payment receipt number; • payment method and • transaction/trip amount. Page 197 of 248 RFP 9-1177 Exhibit B 1.15.3. Account Search 1542 The Contractor shall provide the capability to search for accounts which meet the search criteria with the result delivering multiple accounts. 1543 The Contractor shall provide the capability to search by key fields and id • • otential duplicate accounts. 1544 The Contractor shall provide the capability for Authorized Users t, • and view all information related to a specific account. This shall include the c. ed account history since account inception and capability of filtering and so . type • rmation, including but not limited to: • toll transaction/trip; • Financial Transaction; • Notifications (includes letters and Viol otices); • Registration Holds placed and released; • Collections Placements; • Evidence Packages; • Cases opened and close • • all payment related event udin: •• ent failu , • account statuses changes; • complete - istory; • com• al ‘ss history, • ete vehicle • ry (what pl. ere active on the account and when); plete chan • • hat da as changed, when and by whom); • ou s ey and via channel; • date . e of last toll transaction; to and last Financial Transaction; • onder . es and statuses and • acc maintena ce activities. L45 The Contract hall provide the capability to display the account running balance in Posting Date nological order. 1.1 earch 1546 T rega ractor shall provide the capability to search and view all stored information ing Cases, including but not limited to: • summary information; • Toll Facility, if applicable; Page 198 of 248 RFP 9-1177 Exhibit B • Case number (uniquely identifies the Case record); • priority (out of a predefined range); • source of Case; • status; • number of days since creation; • number of days since last Authorized User access/action. • due date and time; • total time spent working on the Case; • total time spent by a specific Authorized Us ecific department; • related accounts and/or records; • description/free-form notes on the acc • date of action; • time of action; • Authorized User who to, • time required for action a • action description (free -for to or n 1547 The Contractor sha - .de the capach and view Case management, including but not limited • to ber of o, ases; • number of • Cases, per de, ent; • number • rized User; • to . .f open Cases by ; total n of overdue Cases; • numb ocessed Cases; • to mber os processed per unit of time; • tota ber of Cases processed per department; • total ber of Cases processed per Authorized User; • r se time statistics - overall; onse time statistics, per department and response time statistics, per Authorized User. Page 199 of 248 RFP 9-1177 Exhibit B 1.15.5. Comment Search 1548 , The Contractor shall provide the capability to identify and retrieve comment records into a search results grid, including but not limited to: • individually by category; • summarized by category; X • individually by time period and • summarized by time period. 1.15.6. Transponder Search 1549 The Contractor shall provide the capability when ing by transponder numb display all accounts the transponder has ever associated ' h including accoun number, account type, the date and time the tr. , der was a• o and removed from the account and the current status of the transp. on ea . ount. For example, this search might yield two accounts with the transpo i ' •d as being Active on one account and lost on the other. 1550 The Contractor shall provide the - inky when search transponder number to display all Notifications issued 'articular tr. , der. For example, this search might yield an "Excessive I II d a "trans . r recall Notification" for a particular transponder. 1551 The Contractor shall provide the ca ' ity display all statuse transponde transponder en us. sear , transponder number to in along with the date and time the 1552 The Contr. - all pro the capabi display . •ntory locat. which the t time t - . nsponder w. , ced in each loc. hen searching by transponder number to 9onder has been in along with the date and 1.15.7. Lice tractor -11 acco issued five Viola The Contract combination ever been as ight yiel olls a tices fo arch ovide the capability when searching by license plate and Jurisdiction e license plate has ever been associated with and all Notifications e plate. For example, this search might yield two accounts and rticular license plate. all provide the capability when searching by license plate and Jurisdiction splay all transactions that license plate and Jurisdiction combination has ted with regardless of the transaction status. For example, this search ransactions in Paid status, one in collections, three Posted to an account as e awaiting inclusion on a Violation Notice for a particular license plate and combination. 1.15.8. Notification Search 1555 The Contractor shall provide the capability to search by and view all stored information regarding Notifications, including but not limited to: Page 200 of 248 RFP 9-1177 Exhibit B • first name; • last name; • mailing address; • Notification Type, for example, statement, Credit Card expiration ion Notice or account establishment Notification; • distribution channel; • creation date; • quality review date; • print date; • mail date; • date that action on the Notification is • date(s) of any change in Notification piece • name of the Authorized User(s) who perform uality review and Approved the Notification for maili • return mail (if applicabl • account number; • transponder number; • license • • er and Jun • doll. e ass • d with the .fication and • - amount as ted with the .fication. 1556 The . for shall p - - . ility uthorized Users to scan the barcode, scan line or ► ' espo , returned Notifications and automatically be taken to th e processing sc • - , including but not limited to: the ac . at the Notification belongs to; pprop iolation Notice processing screen and • t e the No . ion belongs to. 1557 The Contract all provide the capability for Authorized Users to scan and process BOS- issued return otifications in bulk where possible (for example, provide the capability to scan multipl es of return mail where no forwarding address was provided into the BOS or proces ' ithout the need to access each account one -by -one). 1558 C or shall provide the capability to allow Authorized Users to select and print n pieces directly from the Notification search screen. 1559 The ontractor shall provide the capability to allow Authorized Users to select and print Notification pieces directly from the account. 1560 The Contractor shall provide the capability to allow Authorized Users to email a PDF version of the Notification piece directly from the account. Page 201 of 248 RFP 9-1177 Exhibit B 1561 The Contractor shall provide the capability to allow Authorized Users to download a PDF version of the Notification piece directly from the Notification search screen. 1562 The Contractor shall provide the capability to allow Authorized Users to download a PDF version of the Notification piece directly from the account. 1.15.9. Operating and Computing Environments — Data Wareh The data warehouse allows the Authorities to query data and run reports : to compete for production resources. The data warehouse environment stores all ed da e defined during the Implementation Phase) from the production database. T e a warehou base is developed for reporting rather than for transaction processing. T a warehouse is d • d for use by the Authorities only. 1563 The Contractor shall provide, as part of the pr- on environment, a separate dal. warehouse environment for Authority perso ' query the • , nd run ad -hoc and scheduled reporting. 1564 The data warehouse shall be dedicated fo •y t• production System and the required reporting s ' . in any way. horities only and the nd on the data warehouse 1565 The data warehouse shall b• - • ':ned; Configured; monitored and optimized to e uthorities' data . •rented, and continuously and reporting needs. 1566 The Contractor shall provide a and all dat. ferred between the production database(s) and th • : ware • • lete an.. curate. 1567 The data warehouse environme .11 be u ► • - ction in near -real time. 1568 The data ware nvironment .pable of being updated with all data from the produ ' 'a a one-w. cation and then transforming that data into the data ouse ized datab.. 1.16. Repo Because report and user-friendly. va artments m analyzed. Other re the report data for a rmats. Require tegral ted to g ctionality must be streamlined, quick, intuitive accurate reports in a usable format. The format of reports is different rou • use the reports for different purposes. For example, the finance ire so orts in an Excel format so the data can be manipulated and may be . - desirable in a PDF format to better guarantee the integrity of urposes. The BOS is expected to deliver all reports in a variety of selectable ports are flexible enough to allow users to make changes to reports "on the fly . -xample • ort may include all the data elements required by a user for analyzing past due r •1- the exception of a single data field. The Authorized User must have the ability to add teld to the report without the need for custom report generation or programming by the Con' or. Some reports are best displayed as of a point in time (for example, receivable balances) while other reports are best displayed for activity over a range of time (for example, cash collected for a specific period of time). Users often have a need to generate reports that include historical balances as of the Page 202 of 248 RFP 9-1177 Exhibit B end of a particular Revenue Day. It is expected that the BOS track, calculate and maintain such Revenue Day -end balances such that retrieval of historical information is easily accomplished. Users also often have the need to generate reports that include information regarding historical transaction activity over a range of time both in summary and in detail. It is expected that the BO r rovide the functionality to quickly and accurately deliver such reports to the user in a usable fo Standardized reporting shall be achieved via canned and ad -hoc reporting int production database for real-time reporting and reports server/database real-time and/or data intensive reports. using both the complex, non - Reporting is a critical element of any business organization and is r- ir•d by the Age • provide for transaction and revenue reconciliation and ' igate discrepancies; • monitor BOS and operational performance; • monitor human performance and business pro ficiency; • ensure compliance to Performance Measures; • reconcile toll transactions/trips to individual Toll Fac • Agencies; • reconcile third -party financial and sactional interacti • assess the impact of policies and • identify ways to improve the qualit ervic- . • custom • comply with reciprocity reporting R • evaluate the succe - toll collecti Reports are broken • Informa cycle. • Financia in its gener gency . • • Operati the Contra necessary t operational r activities and nterface also 1.16.1. • egories: e informatio ut transactions moving through the revenue ormation which enables each Agency to record tem the financia activity related to the CSC. These reports also enable orm analyses on transactions submitted to the BOS for processing, to analyzing billing. collection trends and Account Plan utilization. orts - . e the data necessary for the Contractor and the Agencies evaluate perfor against the Performance Measures and provide the reporting pare ansupport the Contractor's monthly bill to the Agencies. These is also provide the Agencies with the data necessary to monitor operational operations staff. iliation Reports - provide the reports necessary to reconcile all Interfaces onstrate successful completion of the reconciliations by the Contractor. neral Reporting Requirements 1569 The Contractor shall provide a BOS data fetching algorithm that is optimized for performance including bringing data into BOS screens and reports. Page 203 of 248 RFP 9-1177 Exhibit B 1570 The Contractor shall provide BOS reports optimized for performance. Data shall be organized and summarized in a manner to allow for report generation within no more than five seconds of a report generation request for daily summary reports and no more than twenty seconds of a report generation request for monthly summary and ann summary reports. Reports batched or pre -generated shall be presented to the u hin two seconds. 1571 After the deployment and Implementation of the BOS, if there is a ne ate additional reports and modify implemented reports, the Contractor shall additions and/or modifications. 1572 The Contractor shall provide ad -hoc reporting tool capabilit' to uthorized Us llow the creation and execution of custom reports from the r server/database, i g but not limited to: • drag -and -drop field functionality; • drill down functionality; • filtering; • parameter prompting; • formula support; • grouping; • sorting and • stored procedure and functio 1573 The ad -hoc rep , .11 be COT are and be the latest version at the time of Acceptance : and , roven to o to in a transaction intensive environment. 1574 The Con .r shall prov eporting o in various formats (both compressed and unco ► ed), includi not limited to • le . • plai at (TXT); 'ch text t (RTF); • soft Ex. i 10 version and latest); • de r-separa i values; • HT d • ext e markup language (XML). 15 e Con shall provide the capability for Authorized Users to retrieve full table the reports server/database. 1576 Th ractor shall provide the capability for Authorized Users to schedule the automatic exec tion and delivery of reports using various delivery methods, including but not be limited to: • email addresses; Page 204 of 248 RFP 9-1177 Exhibit B • direct to printer; • uniform naming convention (UNC) paths; • shared drives and • SFTP sites. 1577 The Contractor shall provide the capability for Authorized Users to sc the automatic execution and delivery of reports for a variety of time periods, incl t limited to: • as of a specific time each day; • as of a specific day and time each week; • as of a specific day and time each month; • as of a specific date and time each month. • for a Revenue Day; • for a Business Day; • for a Calendar Day and • for a specific period of t' ing more than o (for example 2:OO:OOam to 1:59:59am the follow' . 1578 The Contractor shall provide a das' d app ding b of limited to: • fully Configurable, role-dr' bro as • . • n that allows users to customize t• -' own dashboa, • real . ' , ata and p es and • d ' .wn capab s from hig el graphical display to the lowest level of . orting data. 1579 The C • • r shall • • data dictionary that defines the structure of BOS data. 'n t ► • . uc i • • nt and the reports server/database. The data dictionary s . e but not be limite • to: hat d. ored; • •, desc and characteristics of each data element; • ty • relation • s between data elements and • acce • • hts. 4 The Contract all provide a consistent user interface for all reports. 1 . ' e Contr shall provide for summary and detailed reports for all account activity on e • nts, including but not limited to: as of the current moment in time; • as of an historical moment in time; • for a range of Revenue Days (for example from 1/1/2016 to 1/3/2016, which shall deliver results for the Revenue Days 1/1/2016, 1/2/2016 and 1/3/2016) and Page 205 of 248 RFP 9-1177 Exhibit B • for a range of time (for example from 3:OOam 1/1/2016 to 3:OOam 1/3/2016). 1582 The Contractor shall provide for reports of balances as of the end of any current or historical Revenue Day, in summary and in detail, for any or all user accounts. 1583 The Contractor shall provide for summary and detailed reports for all acctivity on all Financial Accounts, including but not limited to: • as of the current moment in time; • as of an historical moment in time; • for a range of Revenue Days (for example from 1/1/ 01: 01/3/201., • shall deliver results for the Revenue Days 1/1/2016, i 16 and 1/3/201. • for a range of time (for example from 3:OOa 016 to 3:OOam 1/3/201. 1584 The Contractor shall provide for reports of balanc - . f the end of . current or historic - Revenue Day, in summary and in detail, for an Financial ' s. 1585 The reports shall meet the general objectives, incl •ut ► ited to: • data elements shall be consistent through all . its of a similar nature; • numbers and amounts s • • oncile with other that report on the same activity; • numbers and amounts sh- corm - report report on the same time period; • report generation shall allo , selection . d sort criteria that allows Authori • obtain rel. •rmation through a single report; • all r• criteri. 1 be availa► ,r selection using Boolean logic strings and • . orts shall a for the inpu y identified criteria to be selected by range r example, ,i • is .. nd to, ac ► t number from and to, Transaction Dates and to, - ection. 1586 Reports sh. r eader informatio which shall indicate parameters selected in the - • t genera •r example, time periods selected, as -of date selected, account number • d/or .late number and Jurisdiction selected). . : 7 The Co •r shal e the capability for the automatic generation and delivery of reports ba Config. e conditions, including but not limited to: • rep 8 lection criteria (for example, date range); • date time for report generation (for example, daily at 7:00 a.m.); • r- . elivery method (for example, by email); • . ort format (for example, PDF) and report generation frequency (for example, weekly). 1588 The Contractor shall provide the capability for reports generated automatically to have BOS -generated unique, intuitive naming and report numbering reflecting the name, number and date of the report. Page 206 of 248 RFP 9-1177 Exhibit B 1589 The Contractor shall provide the capability for the user to manipulate the report data easily to perform comparative analysis and statistical calculations. 1590 The Contractor shall provide the capability to deliver scheduled reports to the configured destination. 1591 The Contractor shall provide the capability for the user to specify the for the report. For example, PDF, Excel and comma separated. 1592 The Contractor shall provide the capability to manually select repo tion in real time. 1593 The Contractor shall provide a Web -based ad -hoc reportin: • ution that allows ized Users to design and generate professional and accurate • rmat reports. Ad-h rt templates created by Authorized Users shall be made • ble to all Authorized Us addition to the reports menu. 1594 All reports shall display last activity date, trans. ' osting stat - other relevant data dependencies on the specific report related to . ctivity dicate completion of activity and items, including but not limited to: • all transactions/trips have been obtained fro I TM System; • all images have been ob • the ETTM Syst: • the transactions/trips th. :v• _ • mitted to •erable Agencies and reconciliation files that ha v • en rec • nowle • _ - d; • all correction files that have rec i an • . ledged; • all shifts een close • • all t .. rty r - liation an • ent data that has been imported or has been e • into the : : nd • : t all activitie e been comple , nd are ready to be reconciled. 1595 The Con shal . •ility on all fields on all high-level reports to the lowest . s, including t - • ols to view the available images associated to a - • saction o 4 t and account details. - ctor s wide drill -down capability on all fields on all high-level reports to the to , el of • - ncluding the tools to view the available images associated to a transacts • . iolatio e and details. 1597 The Contrac all provide the user interface to choose the following selection criteria, including but limited to: • Age Agencies; • •perable Agencies; oll Facility; plaza; • lane; • direction of travel; Page 207 of 248 RFP 9-1177 Exhibit B • identification type (transponder or license plate); • Account Plan type; • Payment Type; • customer service location; • BOS user; • customer service staff; • BOS processes; • third -party interfaces and • Third -Party Service Providers and Business ers. 1598 The Contractor shall provide the user interface g the follo selection criteria t generate the same report, including but not li • by day; • day(s) within a specified range; • date range; • weekly; • monthly; • yearly; • compa In selectio • ye. i ate. 1599 The Co, inclue or shall pro for the gene of a single report by various date types, t not limit• • ti • vario. i smit dates; sfer • . • Date; • Vio Notice e ate; • due • pa t date; • ng date; rocess date; • Posted date; • business date; • review date; Page 208 of 248 RFP 9-1177 Exhibit B • statement date; • mail date; • print date; • acknowledgement date and • reconciled date. 1600 The Contractor shall provide the capability to: • include sub -totals, totals and grand totals as selected b e user; • sort the data elements in the report within each ng of data and • present data in graphs and chart types base esentation form selected b user from a variety of graphic styles. _ 1.16.2. Informational Reports 1.16.2.1. Transaction Processing Reports The Contractor is expected to provide Tr fiction workflow stage for transactions/trips s time. For example, a report shall exist th Toll Facility in January and shall detail the June 30, the current date. Processing ' . which reflect the status or the Toll Facili the BOS over a period of ber of tran /trips submitted by a e of tho ansactions/trips as of 1601 The Contractor sh. . e transacti iation reports that reconcile to operations and financial r- 'lay Imag d Transaction/Trip and Transponder -Based Transaction tatisti luding bu imited to: • ng the diffe stages of the sactions/trips; • ing the I •w s e; Violation Notice number; date issued; t o • . an account; amount paid; amount I -Tolled; am. ed, past due amou t and amount due on all Violation Notices issued; total p. s received by status or workflow stage; • I -Toll • tus or workflow stage; • to count P . ansactions/trips by individual Account Plan; • tran ons/trips aged to collections by the Toll Facility; amount collected, recal dismissed; • lic lates placed on hold, released, amounts on hold per plate; • tions issued, paid, dismissed, transmitted to court; iolations scheduled for adjudication, disposition, payments; • Transaction trends; Page 209 of 248 RFP 9-1177 Exhibit B • Transaction receivables detailing all outstanding accounts receivable for all accounts with unpaid transactions/trips by account number and total balance due as of the selected date; • Transaction collections trends; • Transaction I -Toll trends; • Account Plan trends; • Transaction dismissals and disputes; • Transaction by Jurisdiction and • Transaction aging. 1602 The Contractor shall provide transaction/trips repo t reconcile the transactions/t to ETTM System reports as they move through v processing es, including but no limited to: • transactions/trips in various queues and • Violation Notice timeouts; • potential transactions/t ' • rental car license plates; • ROV Lookup "no matches"; • disputes; • dismis • pa s; • action statu orkflow sta • s and • of on statuses. 16 tractor , rovide invoicing summary reports by transaction status or workflow track rn Notice generation to final termination of Violation Notices, include of lim , counts and amounts for: • Vi n Notice nerated; • pay s; • dis Is; • or workflow stage and -issued. 1604 The ontractor shall provide transaction activity reports that track activity on transactions/trips for each status or workflow stage, including but not limited to: • number of invoices and Violation Notices issued; Page 210 of 248 RFP 9-1177 Exhibit B • tolls, fees and penalties assessed; • amounts dismissed; • amounts voided; • amount collected; • amount collected in I -Tolls and • unbilled tolls collected, if prepayment is allowed. 1605 The Contractor shall provide reports that list the account numbe d overpay ount on all transaction accounts that are overpaid as of a date. 1606 The Contractor shall design and implement reports t 'plicate the format and c of the current reports for both OCTA and RCTC a bined in Attachment F: Sa OCTA/RCTC Reports. 1607 The Contractor shall provide monthly and qua .tatus re. at mimic the format provided in Attachment F: Sample OCTA/R. ' ep • : nd includes additional information requested by the Agencies during the Im. on Phase. 1.16.2.2. Customer and Account Ma Account management reports detail the reports that detail account openings and cl example, an Unregistered account becomin that give the Agencies information about acco These reports shall prov' - 'cation of t may provide some in ' e potentia experience or oper. perfor - of the BO ccounts. tractor shall provide one ac nt type to another (for its also shall be provided elow t - sufficient Balance Threshold. success of the current Business Rules an d nges could be made to enhance the customer 1608 The . ctor shall p , 4 e a compreh e report that displays current account statist . transact' - • - y the following criteria, including but not limited to. • tran otals and charges by Agency; nsacti • • s and charges by Toll Facility; • ction t'p d charges by account types; • tra 'on totals and charges by Account Plan; • tran n totals and charges by status or workflow stage; • tra ion totals and charges by payment option; • action totals and charges by account identification method and ansaction totals and charges by account statuses. 1609 The ontractor shall provide a comprehensive report that displays all account creation and account closing information for a selected period by contact method (for example, detailing accounts open and closed via the Self -Service Website, by phone, by walk-in and by mail). Page 211 of 248 RFP 9-1177 Exhibit B 1610 The Contractor shall provide reports that detail all prepaid tolls and outstanding balances due for every account. This report should allow Authorized Users to specify only certain accounts based on criteria which includes, but is not limited to: • account status; • account type; • account number and • dollar amount. 1611 The Contractor shall provide a comprehensive report tha is ays all acco d/or transponders that have Account Plans. 1612 The Contractor shall provide reports that display a nces, activity and statist' accounts by account type, broken down by Agenc oll Facili when applicable example in the case of Write -Offs and disputes) ' ing but not ' d to: • accounts created; • transponders fulfilled; • accounts closed; • Account Plan utilization, • invoices and Violation No on ac . • past due by status or workfl, tage; • Violation • n hold; • Writ: , • . is with de • collections; ounts with ' • • olds pl. ; • . s ' we Iv •. • pay d refunds processed and requested and 1 trans. disputes processed and in progress. 13 The Con shall • - a single report that provides the complete detailed account history for le acco his report shall include a chronological listing of all activities for each act type for a specified range of time between account inception and the current date, ding but not limited to: • toll sactions/trips - transaction time (entry and exit), location, Posting me, Tolling Location, expected toll, Posted toll and discounts (for example, unt Plans); inancial Transactions - payment date, payment item, Payment Type, payment method, payment number (for example, check number), payment detail (for example, breakdown of tolls and fees paid) receipt number, amount due, paid amount; Page 212 of 248 RFP 9-1177 Exhibit B • reversal activity on Posted transactions (toll, non -toll, penalties, fees, financial) - reversal date, original transaction, reason; • Notifications - date, type, communications channel, Notification number, if applicable (invoice number, Violation Notice number), amount due ' h status or workflow stage, due date; • account comments; • account statuses - date of change, from status, to status, ger; • Account Plan(s) and activity; • Cases - date Case was established, Case status, C- position; • transponder activities and statuses - date of - _e, from status, to status, us trigger; • dispute activity - date, transaction; i Violation /statement number, amount owed, reason, results; dismissal . • ismi ount; • Violation activity - date, amount, payment, • . ged to court or collections; • court activity (obtained f -• the Collection Age date, transaction, amount owed, disposition; • collection activity - date, aci ation, am. +laced, amount paid, dated recalled/canceled; • • Registration Hold and relea tivi .ate, lic• •late number, Notification, amount o Its of moto epartment, date of hold/release and acco . mte activities. 1614 The Cont shall provi • ports that h customers' financial activity on the account, includ' . t not limited • t nu • na . ress records; 11 note sr Cases related to the account or transactions; • ning b., • cr nd debi . transaction type; • refu • reve ,• • nts; missals; adjustments and • ending balance. Page 213 of 248 RFP 9-1177 Exhibit B 1615 The Contractor shall provide reports that list all customers' financial activity on the account and reconcile to the Financial Accounts. 1616 The Contractor shall provide reports listing accounts that have no transaction or payment activity since a specified date (Configurable) or for a period of time ( ':urable), including their history and current status. 1617 The Contractor shall provide reports that identify the processed tran s, reconcile to operations reports and summarize the operations activity. Such r• 1 summarize the operational activities performed in different customer servi • . rt . nd areas, broken down by Agency and Toll Facility when applicable, incl ut not • to: • totals for number of accounts opened and closed e; • number of transponders assigned by type of onder; • account replenishment; • invoices generated; • Violation Notices generated; • Violations filed with the court; • Account Plan -related tr • Cases opened; • Cases closed; • Cases escalated; • licens • nsponder ctions/trips in the Processing Exception List; • N on hold; • +utes proces tatus; • ce Pa • pla -ction; ligible istration Hold; • ssful ' . tion Hold; • eh for Regi ion Hold release; • succ 'Registration Hold release; • acco tatus; • lustments made; tomer I -Toll transactions/trips Posted and other CSR activity. 1618 The Contractor shall provide reports that display all customer and non -customer feedback by account type, contact method and users, including but not limited to: Page 214 of 248 RFP 9-1177 Exhibit B • Cases by category; • suggestions by category; • Cases by time period and • suggestions by time period. 1619 The Contractor shall provide reports that list accounts that require a , including but not limited to: • accounts that have Flags on the account indicating an i onfig y Flag); • replenishment failure; • Credit Card expiration; • Excessive I -Tolls; • disputed Violation Notices; • debt at collections; • Registration Hold; • overpayment; • refund requests; • open Case(s); • Violation Notices on hold; • bankr • ne, alance; • ivity; • 'cations - • • • ac equire follow up . tion by CSR or customer. 16 tractor . s rovide reports that list the status of transactions/trips (count and . ocess • . e BOS, identifying the exact position in all open workflow points for unp. •nsacti .th home (the Agencies') and Interoperable, that Posted to the accounts, that we ected due to various reasons and those that are in any other terminal sta .. The re 8 orts shall reconcile to the financial reports and interoperable reports. ' The Contrac all provide reports that account for all shift activity with detailed and ummariz - . ncial information, including but not limited to: • . ayment transactions processed for each payment item; all payment transactions processed by payment method; • all payment transactions processed by Payment Type; • all payment transactions processed by payment channel; Page 215 of 248 RFP 9-1177 Exhibit B • all Financial Transactions dismissed; • all voided Financial Transactions; • all Financial Transactions reversed; • all Financial Transactions adjusted; • all Financial Transactions unapplied and re -applied; • all Financial Transactions waived and • all Financial Transactions waived by user. 1622 The Contractor shall provide reports that list all financia ty of all CSRs that .le to individual CSR activity reports. 1623 The Contractor shall provide reports that list all fi activity of 11 CSRs that reconc to financial reconciliation reports. 1624 The Contractor shall provide reports that summ a op al activities performed in different customer service departments and area ut not limited to: • WIC(s); • Self -Service Website; • Self -Service Mobile Appli. • IVR; • contact cen - • • mailr • • C . . nagemen l artment; • rd-Party Ser 'roviders and ess Partners and • tion 1625 The Contra • rovide reports that summarize the payment processing activities ed in • i t customer service departments and areas, including but not limited • dividu. • • Sel •ce Web te; • Self- •ce Mobile Application; • IV • ct center; tomated BOS replenishments; Lockbox (optional); • electronic deposit; • mailroom; Page 216 of 248 RFP 9-1177 Exhibit B • Case management department; • Third -Party Service Providers and Business Partners; • Collection Agency and • courts. 1.16.2,3. Payment Processing Reports 1626 The Contractor shall provide reports that track the Credit Card, money order payments that are processed, including but not limite ogrieck, • number and dollar value of payments; • refunds; • reversals; • adjustments; • voids; • payment date; • activity date; • settlements; • payment item; • payment • Pay , ype, : mple the H, money order, cash; • ent method; • dit Card ty • • c. ai • proc • ounts; q lation number paid; • . i t debit - • acc• credited. 7 1628 The (for A gency) q by allows Contract all provide the capability to produce payment reports by payment source example , Self -Service Website, Self -Service Mobile Application, IVR and Collection a ► ; Payment Type (for example, Credit Card, ACH, check, cash and money er). actor shall provide reports that balance and reconcile the Credit Card processed : OS to the Credit Card Posting status provided by the Merchant Service Provider and operations to investigate discrepancies, including but not limited to: • failed Credit Card transactions; Page 217 of 248 RFP 9-1177 Exhibit B • account number; • date and time; • successful Credit Card transactions that did not Post to an account; • Credit Cards that were processed by the BOS but not the Credit C cessor; • duplicate Credit Card processing; • duplicate Credit Card Posting; • total amount successfully processed; • total amount Posted to accounts; • total amounts identified as processed by th t Card processor; • variances and • chargebacks. 1629 The Contractor shall provide reports that balanc cile the ACH transactions processed by the BOS to the ACH Posting status d by the Merchant Service Provider/ACH processor and allo erations to invests screpancies, including but not limited to: • failed ACH transactions; • account number; • date and ti • - • succe . ctions th not Post to an account; • A . nsactions were proc by the BOS but not the ACH processor; • •licate ACH sin_; • . to A • tota successfully processed; Ital am. 'osted to accounts; • . moun 'fled as processed by the ACH processor; • Va • s, and • retu ejects. The Contrac, .hall provide reports that detail returned checks processed during any imeframe en down by type of original payment (toll, fee and penalty). 1.16.2. ntory Management Reports Inventory . nagement reports shall assist the Agencies and the Contractor in review and management of inventory items. Page 218 of 248 RFP 9-1177 Exhibit B 1631 The Contractor shall provide transponder inventory reports that 1) track the transponder inventory by type of transponder and distributor; 2) ensure there are sufficient transponders in stock; 3) show the status of all transponders at all stages of transponder purchase, fulfillment and recovery/disposition cycle, including but not limited • transponders issued to customers; • transponders by status; • transponders in warranty; • transponders in the return material authorization pro , • transponders on order but not shipped; • transponders sold and • other operational statuses. 1632 The Contractor shall provide transponder s eports ack the issuance of inventory items, including but not limited to: • sold by item type; • by type of distribution or example, by m IC #1 and WIC #2; • number and frequency o l istributed; • the inventory status; • the status of damaged trans • the stat ansponde 1633 The Contra all pro .nventory is that show beginning balance and end of month b y invento cation. 1.16.2.5. R► up Re This series of rep • r es information a out the outcomes of the Agencies' ROV Lookup rThe r sha . e DMV Lookup reports that track the ROV Lookup requests and the respo om th s DMVs/ROV Lookup Service Provider(s). 1635 The Contrac all provide DMV Lookup reconciliation reports that track the quantity of ROV Lookup ests by different attributes, including but not limited to: • juri on; • se (unknown at DMV, ROV provided); V Lookup Service Provider; Address status (forwarded to updated address, no forwarding address, good); • by date requested; • by date response was received and Page 219 of 248 RFP 9-1177 Exhibit B • address database used (temporary license plates, trucking, manual lookup). 1636 The Contractor shall provide ROV Lookup reports that reconcile the number of ROV Lookup requests to the invoices from the ROV Lookup Service Providers. 1637 The Contractor shall provide ROV Lookup reconciliation reports sha ncile to appropriate financial and operations reports. 1.16.2,6. Notifications Reports 1638 The Contractor shall provide Notification reconciliation repoat trac 'fferent stages in the Notification process, including but not limto: qualificatio tion, quality review, printing, and mailing. 1639 The Contractor shall provide Notification reconcili ports that track the quanti Notification pieces by different attributes, includi not limited : • qualified; • created; • quality reviewed; • printed; • distributed by Notificatio , • • • Notification distribution ch. • by date qualified; • by dat= • by quality re was perfo ; • ate the Noti ' on was printe k • to distr. • Jur which the license plate is registered; urisdi ich the Notification was mailed to; • tch (f• •• de, quantity of Notification pieces processed in a certain batch s); • by cation item and • by N ation status (for example, bad address or paid). The Contr shall provide Notification reconciliation reports that reconcile the tificat' eces as they move through various stages of the Notification process (for piece of Notification qualified two weeks ago, where is that piece now?). 1641 Th tractor shall provide Notification tracking reports that show trends by Notification type and channel. 1642 The Contractor shall provide Notification reconciliation reports shall reconcile to appropriate financial and operations reports. Page 220 of 248 RFP 9-1177 Exhibit B 1.16.2.7. Collections Reports The Collection Agencies will transmit payment information to the BOS via the collections interface. For example, when the Collection Agency # 1 accepts a payment over the phone from a omer with transactions/trips in collections, the Collection Agency will transmit that payment i ation which shall be Posted into the BOS. The BOS shall have the capability to determine the source of the payment if the payment was accepted from a BOS CSR or from Collection Agenc for tracking and reporting purposes. to determine hat source 1643 Provide reports that track the status of the collectio orts by individual Co Agency, by Agency and by Toll Facility, including but ited to: • accounts, Notices and transactions/trip lections; • toll, fee and penalty amounts placed in ons; • toll, fee and penalty collections to date; • source of toll, fee and penalty payment, for exa ollection Agency staff, BOS staff, Lockbox Service (optional), Sel e Website, Self -Service Mobile Application, IVR; • outstanding toll, fee and p = amou • adjustments and correction • any cone, tes, holds 1 on on the account; • ope• s asso , with colt- s; • . nt received e Collection cy for each transaction in collections and • long the . • - • in co lions. 1644 Provide c. 'n . is that ections activity and reconcile to financial and Operations . cluding but not limited to by individual Collection Agency, by Agency oll Fac Prov its tha the collections cost and show collections trends and success rates by indivi ollectio cy, by Agency and by Toll Facility for Violation debt. 1646 Provide rep at track e collections cost and show collections trends and success rates by individual ction Agency, by Agency and by Toll Facility for negative Account balance debt. 1.1Re,tion Hold Reports 1647 ctor shall provide Registration Hold reports, including but not limited to: current number and dollar value of transactions/trips associated with Registration Hold requests; • date of hold; Page 221 of 248 RFP 9-1177 Exhibit B • number of hold requests; • average number of days delinquent for Registration Hold; • current number and dollar value of accepted and denied Registration Id; • current number and dollar value of Registration Hold terminates •gh quality review process; • current number and dollar value of payment on Registrati • • current number and dollar value of aging of transactio • s in Re: on Hold queue; • Registration Hold Notification and • current number and dollar value of Registr old in various Registration . statuses. 1648 The Contractor shall provide Registration Hold that lis nts and license plates where Registration Hold needs to be initiated, incl u ited to: • account number; • license plate number an • • ' tion; • the date the license plate • r Registrati d; • the status of the Registrati • • Id; • the days in Registration Hol• us . • all tran ' s demons e validity of the Registration Hold. 1649 The Contra all pro he capabi • reconcile Registration Holds. For example, reconcile hich comp . the BOS' re, of current Registration Holds to the DMV's recor•• 1.16.2.9. Reg: elease Rep 1650 "- • ntracto rovide Registration Hold release reports that list accounts and license -re the ation Hold needs to be released, including but not limited to: • t num • lice • late num er and Jurisdiction; • the d he license plate became eligible for registration release; • the l s of the registration release; • . er and dollar value of registration release requests; e days in registration release status and all transaction details demonstrating the validity of the registration release. Page 222 of 248 RFP 9-1177 Exhibit B 1.16.2.10. Violations Reports 1651 The Contractor shall provide Violations reports, by Agency and Toll Facility, broken down by tolls, fees and penalties, including but not limited to: • number and dollar value of Violations; • average number of days delinquent for Violations; • number and dollar value of Violations terminated through iew process (for example, Violations determined to be ineligible f er tion after review at any status or workflow stage); • number and dollar value of payment on Violatio • number and dollar value of aging of transact' ips in Violations queue; • Violation Notices and • number and dollar value of Violations i us Viola ' atuses. 1652 The Contractor shall provide Violation reports th is and license plate and Jurisdiction where the Violation needs to be initiated, cy and Toll Facility, including but not limited to: • account number; • license plate number and dictio , • the date the license plate be , • eligi v . • the status • olations; • the i Rio . .tatus and • . saction de demonstra e validity of the Violation. 1653 The C for shall pr• ' • - 'on repo at show payment trends and success rates for Vio . y Age 1654 The Contra `r ide a Violation report that shows the aging of all violations with the ction co ► • associated value and the current collection stage. for sh. wide a Violation report that shows the escalation stage in which iolatio resolv- 'd, reduced or dismissed) with the transaction count, amount paid, amo misses, . nt reduced and amount remaining. 6.2.11. Case M ement Reports The Contra hall provide reports that list Case summary information or details if lected) ding but not limited to: mber of Cases by type; number of Cases by Agency and Toll Facility; • Case established by, such as established by BOS, customer, CSR or Agency; • Cases opened; Page 223 of 248 RFP 9-1177 Exhibit B • Cases closed; • Cases escalated; • number of Cases that failed to meet the Agencies' Performance Meas ; • average Case handling time by priority; • longest Case handling time by priority and • number of affected accounts. 1657 The Contractor shall provide reports that list the detailed Case rmation b cy and by all Agencies combined, including but not limited to: • Case ID (i.e., uniquely identifies the Case reco • Case type; • account number, if applicable; • severity level or priority; • source of Case status; • created date; • resolved date; • number of days since creat • number of days since last ag- • due da • to e spent .ng on the • time spent ► pecific user; • time sp: ent; • ac each hand-off; Case lu • ed acc 6 nd • C. -scriptio . e-form notes on the account. 1658 The Contrac k hall provide dispute (Case Type = Dispute) reconciliation reports by Agency and b Agencies combined, including but not limited to: • Tr. ender -Based Transaction/Trip disputes; • :e-Based Transaction/Trip (I -Tolls and Violations) disputes; • ayment for accepted and partially accepted disputes; • dismissed Transponder -Based Transactions/Trips; • dismissed Image -Based Transactions/Trips; • reassigned Transponder -Based Transactions/Trips and Page 224 of 248 RFP 9-1177 Exhibit B • reassigned Image -Based Transactions/Trips. 1659 The Contractor shall provide dispute reconciliation reports by Toll Facility, Agency and combined shall reconcile the Image -Based Transactions/Trips as the Image -Based Transactions/Trips move through various stages of the dispute process, incl but not limited to: • accepted disputes; • accepted, partially accepted and denied disputes; • dismissals and • reassignments. 1660 The Contractor shall provide dispute reconciliation r by Toll Facility and by a Facilities combined shall be provided, including b imited to: • dispute reasons; • dismissal reasons by type of dispute; • status of the toll when disputed; • disputes created by user • resolution time; • number of open disputes; • number of closed disputes; • dispute received • dis otificati ent. 1661 The Co r shall prov ispute reco tion reports by Toll Facility and by all Toll Facili mbined sh Self -Se Website, Self -Service Mobile Application and IV ctions 1. inanci'd agement Reports :OS s . apabl nerating financial journals, trial balances, financial ledgers and . nsaction rep • . e BOS capable of providing separate financial reports for each Agency, and shall meet the ing Re ments. .62 The Contrac I shall provide for the selectable separation of reports by Agency, Interoperabl: •ncies, Third -Party Service Providers and Business Partners and/or Toll Facility, inc g but not limited to: • s); elf -Service Website; • Self -Service Mobile Application; • IVR; • courts; Page 225 of 248 RFP 9-1177 Exhibit B • contact center; • mailroom; • Lockbox (optional); • transponder and • Collection Agency. 1663 The Contractor shall provide financial journal and ledger reports, gency and combined, that list all accounts receivables by revenue ty Toll and in summary, including but not limited to: • Transponder -Based Transaction/Trip; • Transponder -Based Transaction/Trip by a type; • Image -Based Transaction/Trip; • Notice by transaction status or workflo • adjustments; • reversals; • refunds and their dispos • fees. 1664 The Contractor shall provide transac and e r- on reports, separated by Agency and combine • • at track a tra i ► oughout the evenue cycle (from its entry into the BOS a e) and hel. ify the final resolution of each transaction, including but ite • ected num and revenu • .11 transactions/trips; ting status; • • st c u•i : location(s)); • term reasons; lecte • revenue; • • tage c • • and • var s. The Contract • all provide an annual report that provides the analysis of credit card and ACH fees be n TCA and the Agencies for the purpose of netting these fees out the 'nteragenc revenue payments. 1666 Co or shall provide the capability to generate all reports by Agency or combined. 1.16.3.1. rial Balance and Financial Account Reports The Agencies will utilize reports (journal entry file exports) from the BOS to import into the Agencies' financial accounting systems for the purpose of recording financial active related to the BOS. While Page 226 of 248 RFP 9-1177 Exhibit B there is no automated interface, the Agencies intend will use these journal entry file exports to record financial activities into their respective general ledgers on a daily or weekly basis. RCTC is currently in the process of converting its financial accounting system from E. -n to Munis. OCTA uses IFIS. Each Agency requires its own file format for import into its al ledger. Furthermore, each Agency has its own Business Rules and revenue recognition es which the Contractor shall consider when developing the financial processes in the syst• -se details shall be identified during the Implementation Phase. 1667 The Contractor shall provide file export report of all BOS Financount a or each Agency to be used to record revenues in the Agencies' own . ncial systems. 1668 The Contractor shall provide the capability for the i es to receive informa sufficient detail to record revenues at different ste a revenue cycle. (For exa before a Violation Notice is mailed, a transaction i- e "billable" age and in a "billab Financial Account and when that transaction i - . ded on a V' , n Notice, it is in the "billed" stage and in a "billed" Financial Account ding b ' mited to: • when transaction/trip is submitted to the : . • when billable (deemed bill -ble but not yet billet • when billed; • when paid (payment rece from . nd • when payment remitted to L gencie 1669 The Contractor sh. cture the Fi ounts so revenues of one entity are not comingled with of another . or example, Image -Based Transaction/Trip toll revenue e enti :11 be sepa • in the Financial Account from Image -Based TransactiI p toll •nue of her entity, from Transponder -Based Transa rip toll rev • and from fee nue. Entities include the Agencies and also inclu c are not limi • - - al CTO gencies and the Collection Agency. 1670 The Cont h. ure Accounts in such a way that all revenues and expenses o y and one Toll Facility are easily discernible from the revenues and • es of an. -ntity and/or other Toll Facilities. For example, all Financial Accounts cy an • Facility can have the same prefix or suffix as an indicator for that Agenc , 1 Facile h Agency may have one or more Toll Facilities; the BOS shall be capable o g up a to both the Toll Facility and the Agency level, as well as the BOS as who .71 The Contract. all provide trial balance reports that reconcile all Financial Accounts and confirm the . it and debit balance and show general ledger codes grouped and summarize. : sset and liability. 167 - Co •r shall provide Financial Account reports that reconcile to other transaction al reports. 1673 The . ntractor shall provide reports summarizing like Financial Accounts (for example, all toll revenue Financial Accounts for a particular Toll Facility), including but not limited to the following timeframes: • month; Page 227 of 248 RFP 9-1177 Exhibit B • month -to -date; • quarter; • quarter -to -date; • year; • year-to-date; • from and to date; • from and to month and • from and to year. . 1.16.3.2. Revenue Reports 1674 The Contractor shall provide a revenue repor eflects all e, including but not limited to: • Transponder -Based Transactions/Trips toll • Image -Based Transaction i • s toll revenue; • all fees and • penalties. 1675 The Contractor shall provide a rep workflow stage, as 1 as reasons • transactions/tri . possess a • p • • st revenue by status or ial loss, su as a report listing those : tile balance and have been placed on hold. 1.16.3.3. Paeports 1676 The C for shall pr • . • - •• ents replrhat reflects all payments, including but not limited . • Tr. : aced Transactions/Trips toll revenue; mage- . ransactions/Trips toll revenue; • ymen • al nd • pen Payment rep hall reconcile to reports provided by the various interfaces, including but not limited • it Card processor; ollections; • Interoperable Agencies; • bank deposits, and • Lockbox payments, if utilized. Page 228 of 248 RFP 9-1177 Exhibit B 1678 The Contractor shall provide an unallocated payments report that lists all payments that could not be associated with a transaction with sufficient detail for payment research, such as the ability to back -out and re -apply against outstanding receivable. 1.16.3.4. Registered Account Reports 1679 The Contractor shall provide a report that reflects the prepaid balance ' account as of a point in time. 1680 The Contractor shall provide a report that reflects all rep ent gistered accounts over a period of time. 1681 The Contractor shall provide a report that reflects all us prepaid funds over ' d of time. 1682 The Contractor shall provide a report that reflects ustments to ccounts over a peri of time (for example, adjustments would incl y transacti affects an account balance that is not included on a replenishment or a us ort). 1683 The Contractor shall provide a report that compa lated prepaid balance by account to the prepaid balance per the BOS at any poin e (for example, the calculated prepaid balance is the sum of th ount balance as o st day of the month plus replenishments less usage and adjustments cur during the month, compared to the BOS balance as onth). Var shall be identified at the account level. 1.16.3.5. Receivable R 1684 The Contractor . ged acco ceivable reports that lists all receivables (toll transactions and pe • s) for ea tus or workflow stage, by Agency and Toll Facility a • bined, inc g but not li to: • • rocess (not !i - • • 0 to acco • to II . •iced or included on a Violation Notice); • Not' Evasion Violation; tice o uent Toll Evasion Violation; • tion A • . • Re tion Hol • . nd • cour The Contrac all provide aged accounts receivable reports that lists all receivables (toll ansactio es, penalties) by number of days past due, by Agency and Toll Facility and bi luding but not limited to: n process (not yet Posted to an account); • Posted to an account (but not yet invoiced or sent a Violation Notice); • current due (invoiced or sent a Violation Notice but not yet past due); • past due 1-30 days; Page 229 of 248 RFP 9-1177 Exhibit B • past due 31-60 days; • past due 61-90 days; • past due 91-120 days; • past due 121-180 days; • past due 181 days -12 months; • past due 12-24 months; • past due 24-36 months; • past due 36-48 months; • past due 48-60 months and • past due > 60 months. 1686 The Contractor shall provide invoicing summ. • • orts b detailing the composition of transactions/trips ap. ; • and Toll Facility. ncy and Toll Facility, . ation Notices by Agency 1687 The Contractor shall provide invoi ' summary reports stage that track Violation Not. •n to final ter transactions, including but not li • • amounts . action status or workflow 'on of Violation Notice • Violation Notices generate • payments; • dismiss • sta workflo ge and • sued. 1.16.3.6. CoAg epo 1688 e Contrac provide reports that track the status of collections activities, by 1 Colle ency, Agency and by Toll Facility, including but not limited to: • er an value of Collections Placements in collections; • n and do alue of transactions/trips in collections; • num nd dollar value of Collections Placements successfully collected; • nu nd dollar value of transactions/trips successfully collected; • o ding amounts (total and separated by fees, penalties and tolls); ounts collected (total and separated by fees, penalties and tolls) by payment source (BOS, Collection Agency #1 or Collection Agency #2); • length of time in collections; • accounts recalled from collections (total and separated by fees, penalties and tolls); Page 230 of 248 RFP 9-1177 Exhibit B • transactions/trips recalled from collections (total and separated by fees, penalties and tolls); • accounts returned uncollectible; • transactions/trips returned uncollectible and • success rate. 1689 The Contractor shall provide collections inventory reports that collections monthly inventory by Collection Agency, and provide status o do uding but not limited to: • number and dollar value of outstanding account lections at the be of the month; • number and dollar value of transactions/ collections at the beginning of t month; • number and dollar value of accounts ad ing t th; • number and dollar value of transactions/tri uring the month; • number and dollar value counts returned at of the month, by type; • number and dollar value � • trips return e end of the month, by type; • number and dollar value o tandin lections at the end of the month; • number alue of tra . s/trips in collections at the end of the month and • ding amo collection e end of the month. 1.16.3.7. Repo 1690 The Contra rovide a listing o all eligible and processed Write -Offs and their ition (s ent to the Agencies approval, Approved by the Agencies, processed), cility a ummary, broken down by toll, fee and penalty including but not limite accou and transaction -level Write -Offs and prior year Write -Offs paid in curren with a own by selectable period for each year. 16.3.8. CTOCR The Contrac all provide all Interoperable Agency and Toll Facility Reports described n Attach : CTOC Technical Specifications for Interagency Data Exchange. The rop reports provided in the BOS shall be updated and modified to be in with the Interoperable Agency Interface specifications. 1692 The ntractor shall provide reports on the status of Interoperable reports and file ransmissions to all Toll Facilities, such as files expected but not received, issues with file ransmissions/data, etc. 1693 The Contractor shall provide the following reports: Page 231 of 248 RFP 9-1177 Exhibit B • summary report; • Interoperable Agency discrepancy; • adjustments report (Interoperable Agency) and • Toll Facility discrepancy report. 1.16.4. Operations Reports 1.16.4.1. Operations Management Reports Operations management reports shall provide insight into the revi d management o . tions and assess performance. 1694 The Contractor shall provide real-time operations s. 1695 The BOS shall provide the capability to drill-d the details elected transaction, including the image associated with the license p pplic 1696 The Contractor shall provide BOS performance repo ck the performance of CSC Operations, including but not limited to: • customer contacts, mail d Violation Not n response; • Case handling; • first contact resolution; • transponder Fulfillment; • paym.• • c • -r disburs, 1 is process • roperable A settlements ► • sled; • ed pa • cha •rocessed; ayme initiated and • Icing a 4 nciliation. 1697 The Contr. shall p . d e staff performance reports that track the performance of individual A ized Users over a period of time (for example, daily weekly and monthly) including but limited to: • cus r contacts, mail handling and Notification response; • " andling; st contact resolution; transponder Fulfillment; • payments processed; • customer disbursements processed; Page 232 of 248 RFP 9-1177 Exhibit B • Interoperable Agency settlements processed; • returned payments processed; • chargebacks processed; • payment plans initiated and • balancing and reconciliation. 1.16.4.2. Self -Service Website Reports 1698 The Contractor shall provide Self -Service Website activeports that list 'vity associated with the Self -Service Website, and enable o ns to assess the Sel e Website's effectiveness, including but not limited to: • number of accounts setup via the Self-S ebsite; • account statements accessed; • account maintenance activities; • payments; • disputes; • Cases opened; • Violation Notice inquires a • other gener. ' • formation. 1699 The Contracto eporting Self -Service Website usage, including but not limited to: • er of indivi its by scree • ber of pa • n� - at visitors ver • ew visitors; bounc ber o • s made to accounts and • n of fun processes, for example Violation Notice payments. 6.4.3. Self -Se Mobile Application Reports The Contra hall provide Self -Service Mobile Application activity reports that list all tivity a ed with the Self -Service Mobile Application, and enable operations to assess el ce Mobile Application's effectiveness, including but not limited to: umber of accounts setup via the Self -Service Mobile Website; • account statements accessed; • account maintenance activities; • payments; Page 233 of 248 RFP 9-1177 Exhibit B • disputes; • Cases opened; • Notice inquires and • other general information. 1701 The Contractor shall provide reporting on the Self -Service Mobile We sage, including but not limited to: • number of individual hits by screen; • number of page views; • number of repeat visitors versus new visitors. • bounce rate; • number of updates made to accounts • number of functional processes, for exam enishments. 1.16.4.4. Contact Center Reports 1702 The Contractor shall provide co • • orts that hel • me how the Contact center is functioning and its effect t not lieu . • quality score rating for CSR • average tal • • e; • numb: -d to CSRs, • n of calls a .red by CSR • ber of calls . doned; • etim- • ser, what percentage of the calls are answered within the agreed -upon timefr. ch as what percentage of calls are answered within 60 seconds); age sp . . nswer; • a n rate; • CSR ability; • acco aintenance activities; • p is processed; • saction history accessed; requested customer support and • obtained general information. 1703 The Contractor shall provide other performance reports to monitor, including but not limited to: Page 234 of 248 RFP 9-1177 Exhibit B • total number of calls taken by the IVR System; • total number of calls taken using virtual queuing; • total number of calls taken by the CSR (separate by Spanish and Engh • the number of and average length of calls handled for each line; • the average and maximum wait time for each line; • the time taken for a CSR to answer a call once that optio • the number of times a given menu is repeated consecu y during a call. 1704 The Contractor shall provide other performance report nitor emails, incl ut not limited to: • number of emails received CSRs; • number of emails answered by group 'vidual CS • number of emails unanswered; • average speed of answer by time period, daily, , monthly; • CSR availability and • email purpose. 1705 The Contractor shall provide other • rmance r - • itor chats, including but not limited to: • number • - fered to CS' • nu , chats ered by C ` • , er of chats . doned; • age speed e pe i, daily, weekly, monthly; • -i1. .nd • chat • e. ctor sh. wide other performance reports to monitor texting, including but not lim • nu of texts . -red to CSRs; • num f texts answered by CSRs; • nu of texts unanswered; • e speed of answer by time period, daily, weekly, monthly; availability and Text purpose. Page 235 of 248 1.16.4.5. Print/Mail Reports RFP 9-1177 Exhibit B 1707 The Contractor shall provide reports that allow operations to monitor the Print/Mail House Provider (optional) and/or Contractor performance against agreed to Performance Measures and manage USPS mailing activities, including but not limited to: • quantity of Notification per type; • mailing time since receipt of files; • Notifications rejected and not mailed with reasons and • Exceptions. 1708 The Contractor shall provide reports that show tren ey relate to USPS operations workflow performance (volumes and am printed and mailed), incl but not limited to: • Notification for each page limit (for ex one -page, ge, etc.); • additional inserts; • printing and mailing exceptions; • returned mail, with and forwarding addr • bad address and • performance against the a: upon ' - Meas es as a percentage by type of Notification. 1709 The Contractor sh 'de reports t used to reconcile/verify invoices from the Print/Mail Ho tional). 1.16.4.6. BO agement 1710 The BOS, inc for shall p at aTfr for transaction/trip reconciliation of the ut • tran trips exchanged with the ETTM System; ansact ips Posted to accounts and • ctions xchanged with Interoperable Agencies. .16.4.7. Contra tractor Performa ement, and a ed and erformance Requirements Reports easures reports shall assist the Agencies and the Contractor in tracking, ing of the Contractor against the Performance Measures. The reports shall 'ved during the Reports Design Workshop. 1711 tractor shall provide BOS-generated reports that allow Authorized Users to m or performance to date against each of the Performance Measures. For example, the month to date and year to date performance against any individual Performance Measure. 1712 To the extent possible the reports shall automatically calculate the actual performance against the required Performance Measure(s). Page 236 of 248 RFP 9-1177 Exhibit B 1713 The Contractor shall provide the capability to select a random sample of the work for review and audit including but not limited to: • provide hyperlinked report reflecting a random sample of a certain number of Cases over a certain period of time (for example, 100 Cases which w pened or closed between June 1 and June 30) which shall allow the Agenc' click on the hyperlink to open and audit each Case and • provide hyperlinked report reflecting a random sample n number of adjusted or reversed transactions/trips over a certain of ti example, 100 transactions/trips that were dismissed between e 1 and Ju which shall allow the Agencies to click on the hyperlinkn and audit each sal. 1.16.4.8. ETTM Contractor Performance Measures Re ETTM System Contractors Performance Measures rep and the ETTM System Contractors in tracking, mana: Contractors against a subset of their Performance Measu responsibility to provide for the majority of their Performan be designed and Approved during the Reports Design Worksho all assist t, and as eE the ncies, the Contract of the ETTM System stem Contractors has the s Reporting. The report shall 1714 The Contractor shall provide r• System Contractors performan • . Requirements Performance Meas • ow Authorize to monitor the ETTM • t a subs the ETTM System 1715 The Contractor shall provide report • . Contractor. ea es specific ETTM System 1716 The Contracts ETTM Sys the perfor •, of the Systems, i ontractors performance reports which track • ing but not limited to: • ange of data files betwee ETTM Systems and the BOS and • is of all ` • ' a . ge pro - _ • Contractor QA activities (for example, (trip • racy). .5.1. The BOS interface Partners, as such, re ments of the BOS. I uccessful creati le, the ack ceipt file, receip be provi reconcile to rface ciliation Reports Regal for Interface Reconciliation Reports vario er systems and Third -Party Service Providers and Business liation of the data transfer process and exception identification are critical erfaces where the BOS initiates the file transfer process, the BOS shall track r the file as required by the schedule (Configurable), the successful transfer dgement by the third -party of the successful receipt and processing of the reconciliation or response file from the third -party and the BOS's successful nd acknowledgment of the response file. A similar tracking and reporting shall n the BOS is the recipient of the transfer process. Reconciliation reports shall er BOS and financial reports and shall meet the following Requirements. These reconciliation reports shall be provided in addition to, and not in lieu of, automated reconciliation processes as described in the Requirements. Page 237 of 248 RFP 9-1177 Exhibit B 1.16.5.2. Reconciliation with ETTM System Transactions, Reconciliation Files and Images Reports These reports shall allow the balancing and reconciliation of transactions/trips and images throughout the revenue cycle, identify variances and errors and assist in investigatin problems, thus minimizing lost revenue. Such reports shall help identify trends in the flow of tions, their final termination and reconciliation to the ETTM Systems. The transmission Transponder Status List files received from the Interoperable Agencies and the home Tra er Status List to the ETTM Systems also shall be tracked. 1717 The Contractor shall provide transaction and image reconcile. tiooi ports that entify issues, including but not limited to: transmission error to validity error ing images, missing transactions, traffic and transaction tr • d exceptions. 1718 The Contractor shall provide transaction transmreconciliation reports that h validate that all transactions/trips transmitted b TM Syste q ade it to the BOS an are correctly processed. These reports also sh. • ate that al transmissions made by the ETTM Systems were successfully receive. a Bthat all transmissions made by the BOS are successfully received by the E . 1719 The Contractor shall provide daily transaction transmis • conciliation reports that list all the transactions/trips transm' e BOS, the numb, ansactions/trips and the time these transactions/trips we • ed by the BO . • reports also shall list the transactions/trips transmitte the ere reje e status of the re- transmission and records that wer- tified as . the eceiving entity. 1720 The Contractor shall provide trans. /tr' .nsmis econciliation reports that summarize the tr- '.ns/trips (q :mount, Posting status and Posted/paid amounts) by P. at can be ed against existing ETTM Systems reports. 1721 The Contr. - all prov mage tran ion reconciliation reports that help validate that all ' , and associ transaction . s transmitted by the ETTM Systems were succe received e :OS. The r. is shall list all the transaction images transm the B • - and data set in each file, as well as the time these file .c. edged .y 1722 • • Contract. i 1 provide image transmission reconciliation reports that list the •ns/tri. •smitted to the BOS that were rejected and the status of the re- ran and i •dentified as exceptions by the BOS. 723 The Contrhall pr. transaction and revenue reconciliation reports that reconcile with the Fin. l Accoun reports and ETTM Systems reports. 24 The Contractall provide transaction and revenue reconciliation reports that reconcile with account eivable and revenue reports for all transactions. 1 e Contr shall provide reports that track the receipt of the TSL to the ETTM Systems. 1.16.5.3. onciliation with Interoperable Agencies Reports Interoperabi ity reports are provided to assist in reconciling transaction/trips and financial settlement with Interoperable agencies. Page 238 of 248 RFP 9-1177 Exhibit B 1726 The Contractor shall provide all CTOC reports based on the most recent ICD at the time of Go -Live. The current CTOC ICD is in Attachment D: CTOC Technical Specifications for Interagency Data Exchange. 1727 The Contractor shall provide all CTOC type reports for all interoperable and related transactions/trips processed by TCA. service 1.16.5.4. Reconciliation with ROV Lookup Source(s) Reports The BOS shall Interface directly with one or more ROV Lookup sources ' ng the rnia DMV, the Arizona DMV and a third -party ROV Lookup Provider to obtain vehiregistratio mation. The California DMV interface shall also be used for the placement moval of Registr. , olds. The exchange of information and status shall be tracked and re . Reports provided b shall match the transactional data provided to the applicabl ookup Service Provider. S 1728 The Contractor shall provide reports that track nsmission o vehicle registration lookup request, acknowledgment and respons eh re ata shall include the processing status of each record, including re -trans ponse code for each ROV Lookup Service Provider (initially California DMV, DMV and the Contractor - selected ROV Lookup Provider). 1729 The Contractor shall provide r • • elp identify lic ates, including but not limited to: • by Jurisdiction; • by license plate type includi p • lates; • license , • ich no reg data is provided; • re. • at no re: .tion data •vided; • se plates th, ve no regist data after an established period of time nfigurable) • • • at' se p a - • exce • at need to be investigated (Cases). ctor sh.. ide reports that provide ROV Lookup request and response trends by RO p Sery wider, Jurisdiction, date and license plate type. 1731 The Contr shall p de reports that reconcile Registration Hold requests with applicable D ) initially California, including but not limited to: • num f Registration Hold requests; • n of Registration Holds placed; • er of Registration Hold requests rejected; eason that the Registration Hold request was rejected; • exceptions that need to be investigated (Cases). • number of payments received at DMV; Page 239 of 248 RFP 9-1177 Exhibit B • dollar amount of payments received at DMV; • payments amount received from DMV and • number of Registration Holds released; 1732 The Contractor shall provide reports that track Registration Hold s discrepancies between the status per the BOS and the status per the DMV. and any out-of-state 1.16.5.5. Reconciliation with Rental Car Companies Reports The BOS utilizes the rental car company file exchange proces companies can perform on the Self -Service Website Portal) t uploads also shall be used to obtain/update vehicle license addition to what tain the vehicle datab car 1733 The Contractor shall provide the same reports + tal cars pry I through TCA. 1734 The Contractor shall provide reports that trac vehi, ense plate information provided by the rental car company, including but n • • • files transmitted or loaded. • license plates added; • license plates identified a •ptio • effective beginning and end s/tim • . tes; • updates • he license p ation and • the p of the lice , lates. 1735 The Cont shall pro reports tha ck the rental information provided by the rental pany, inclu, but not limit• • ransmi • Im. ransactions/Trip against license plate and/or renter/operator for renta • ; standi . unts; • status ration Hold); • Not nd Alerts; • statu workflow stage and • ex ns. 173 Co or shall provide reports that reconcile to Image -Based Transaction/Trip d financial reports. 1737 The ntractor shall provide reports that show Image -Based Transaction/Trip trends and activity on rental car company license plates. 1738 The Contractor shall provide reports that show Image -Based Transaction/Trip trends and activity by license plate. Page 240 of 248 RFP 9-1177 Exhibit B 1.16.5.6. Merchant Account Reconciliation with Merchant Service Provider Reports The BOS shall Interface with the Merchant Service Provider for processing Credit Card payments and refunds. 1739 The BOS shall balance and reconcile every record processed, including limited to: • payments (sales); • voids; • refunds; • exceptions and • chargebacks, chargeback reversals and re ment. 1740 The BOS shall load and process the Merchant S rovider re tion files in support of the detailed reconciliation. 1741 The Contractor shall provide reports that track th rd files transmitted to the Merchant Service Provider in batch mode and/or transmitted in real-time, including but not limited to: • number of payments; • chargebacks, chargeback r: als an. ••nts; • refunds; • reversal • adj ts; • s; • � orization • s. paym rce; ditCa• • ed am • pro tatus (for example accepted, declined); • coun nd amounts reported by the Merchant Service Provider for each tra on type; • s and amounts reported by the Merchant Service Provider for each card type; riances; declined reasons; • date and time of transmission; • Credit Card account number in PCI-compliant format; Page 241 of 248 RFP 9-1177 Exhibit B • account number; • number of attempts and • processing fees. 1742 The Contractor shall provide reports that track the transmission of edit Card expiration update request files, including but not limited to: • records in the file; • response received; • errors; • no response; • retries; • old expiration date; • new expiration date; • Credit Card account number in PCI-compliant • account number; • current account balance - • aid); • status of update; • exceptions and • accoun 1743 The Contr. ' hall prr reports t rack the transmission of the Credit Card informat • date reque • • s, includin _ of limited to: rds in the . • r. .e ••; • erro respo • , • old mation; • new mation; • Cr and account number in PCI-compliant format; • nt number; urrent account balance (receivable or prepaid); • status of update; • exceptions and • account Alerts. Page 242 of 248 RFP 9-1177 Exhibit B 1744 The Contractor shall provide reports that display Credit Card payment processing fees, including but not limited to: • card type; • transaction type; • quantity processed; • amount processed; • per -transaction fees and • percentage fees. 1745 The Contractor shall provide reports that display Cre d payment processing including but not limited to: • card type; • amount processed; • amount declined; • quantity; • number of errors; • transaction type (for exam 4 ent, r sal, refund); • fees and • percenta� 1746 The Contract• prop eports tha, :nce to financial reports. 1747 The Cont• shall provi -ports that • ce to settlement reports. 1748 The C for shall pr. - - • that ba e to account reports. 1749 The Cont ha e r • • . ance to operations (CSR, Website, IVR) reports. 1750 The Contract. • rovide reports that validate compliance to the Performance Measures Allirairthe ex , s. .16.5.7. Rection wit Card Update Service Provider Reports 1751 The Contrac all provide reports that reflect successful or unsuccessful transmission of update files. The Contrac all provide reports that reflect the number of updates requested from the redit Car ate service provider. 1753 or shall provide reports that reflect the number of updated Credit Card files r rom the Credit Card update service provider. 1754 The ontractor shall provide reports that track the transmission of the Credit Card expiration update request files, including but not limited to: • records in the file; Page 243 of 248 RFP 9-1177 Exhibit B • response received; • errors; • no response; • retries; • old expiration date; • new expiration date; • Credit Card account number in PCI-compliant format; • account number; • current account balance (receivable or prep • status of update; • exceptions and • account Alerts. 1755 The Contractor shall provide rep o its that track the information update request files ' — but not limited ission of the Credit Card • records in the file; • response received; • errors; • no res • re • • nformation; • .nforma . • Cr- ount number in • I -compliant format; accoun oer; • nt acc. .lance (receivable or prepaid); • st f updat- • exce s and • acco lerts. 1.1 iation with the Agencies Bank Reports All pay funds received by the BOS are deposited in the Agencies' Bank Accounts. The Agencies rere the capture of all deposit data in the BOS. Fees for services provided also must be reflected separately in the reporting. Page 244 of 248 RFP 9-1177 Exhibit B 1756 The Contractor shall provide completed reconciliation and supporting BOS reports that reconcile files received from and sent to the banks have been processed. 1757 The Contractor shall provide reports that support and identify source of errors, variances and exceptions. 1758 The Contractor shall provide completed reconciliation and supporting eports that reconcile expected revenue to the actual revenue for each account est d by the BOS. 1759 The Contractor shall provide reconciliations and supporting BOS econcile to the financial reports. 1760 The Contractor shall provide reconciliations and supporti - :0 reports that 'le to payments received by the BOS from various entities, suc eroperable Agenci it Card processor and Lockbox Service Provider (option, 1761 The Contractor shall provide completed reconcil' and suppo ting BOS reports th reconcile to payments made by the BOS to vari► :encies. 1762 The Contractor shall provide completed reconci an. , orting BOS reports that reconcile to payments made by the BOS to various e as Interoperable Agencies and customer refunds. 1763 The Contractor shall provide co •- • econciliations a • orting BOS reports that reconcile to the bank statements • • bank, inclu • not limited to: • beginning balance; • activities for the month (suc • , a • 1 • and checks cleared); • deposits ' • outs g che. • iling items ing balanc• 1.16.5.9. Recon all uti lance ith Collections Reports ection services to pursue Image -Based Transactions/Trips and other 1764 Reports pr d by thlirshall track: • the t mission of files; • Coll ns Placements in collections by Collection Agency; • c ons aging and formance of each Collection Agency. 1765 Th tractor shall provide reports that track the transmission of the collection files and collections responses including but not limited to: • number and dollar value of accounts by account type in the collections file; • outstanding amounts (fees, penalties and Tolls); Page 245 of 248 RFP 9-1177 Exhibit B • number and dollar value of Collections Placements; • number and dollar value of transactions/trips; • number of responses received and • number of errors. 1.16.5.10. Reconciliation with California FTB Tax Intercept Program R The Contractor shall utilize the California FTB to pursue Image -Based ctions and other unpaid receivable balances. 1766 Reports provided by the BOS shall track: • the transmission of files; • debts placed with FTB; • debt at FTB aging and • performance of FTB. 1767 The Contractor shall provide rep • track the transmi including but not limited to: f files and FTB responses, • number and dollar value o • pe in t B file; • outstanding amounts (fees, . s , • number . . - value of F ents; • num ► i • o lue of tran ons/trips; • • -r of respon eceived an. ber of err • 1.16.5.11. Reconith Lockbox Reports (optional) Al d funded by the Lockbox Service Provider if elected l are deposited in the es ntractor pro ounts. encies require the capture of all deposit data in the BOS. If the Lockb .ce Provider, the following applies: 1768 The Contra hall provide reports that track Lockbox Service Provider payments (summary an tail), including but not limited to: • acc umber; • nt Type; mber of payments; payment amounts; • payment dates; • document type; Page 246 of 248 RFP 9-1177 Exhibit B • document number; • amount exceptions; • account exceptions and • other exceptions. 1769 The Contractor shall provide reports that balance to financial reports. 1770 The Contractor shall provide reports that balance to settlement r 1771 The Contractor shall provide reports that balance to account re s. 1772 The Contractor shall provide reports that display paymeds. 1.16.5.12. Reconciliation with Print/Mail House Prow orts (optional) The Contractor may utilize the services of third - Notifications to customers. The reconciliation of the House Provider(s) and tracking of mailing date is critical to rint/Mail tions Provider(s) to mail itted to the Print/Mail perations. 1773 The Contractor shall provide repo s that track the No n files and the Print/Mail House Provider responses, inclu► • •t limited to: • number of records trans d; • number of responses recei • number of bad addresses an • • numb - ' s made. 1774 The Contr. ' all pro reports th. : ck the Notification files transmitted to the Print/M.. se Provide luding but n 1 ited to: • 'fication t - • otal . ar value; • n. o . ion Tran . rips and fees and penalties in each Notice; • date ' 'tted; onse ► Notification; • sing sta. -ach Notification; • dat rinting; • date ailing; • nu of pages; • ications that were not mailed; ailing exceptions (such as duplicate mailing or Notification missing elements); • cancelled requests; • re -prints and • re -transmissions. Page 247 of 248 RFP 9-1177 Exhibit B 1.16.6. Data Analytics (Business Intelligence) (Phase II and Optional) The commercial off -the -shelf (COTS) data analytics Software will be used in conjunction with the data ware house to provide data analvtics (business intelligencel. 1775 The Contractor shall provide a COTS data analytics solution that works in ► ction with the data warehouse. 1776 The Contractor shall provide the capability for the analysis of mul ' al data sets, arrays and data cubes using an online analytical processing (0 . .ol. 1777 The Contractor shall provide 10 pre -defined analytics rep (to be determin • ng a post -Go -Live Phase II period). 1778 The Contractor shall provide the capability for Auth sers to display, print and ex • to reports and presentations the results of anal multiple fo ts, including but no limited to: • all standard forms of tabular reporting; • all standard forms of graphs; • all standard forms of cha • maps by ZIP code, city, cou tate a 1779 The Contractor shall provide custo , gr. : , re.. emplates for the display, printing and export • . ormation int • o d presentati • ns, including but not limited to: • gr. - displays esenting t tire 91 Express Lanes and • • ical display I resenting OC d RCTC 91 Express Lanes separately. 1780 The Consha for Authorized Users to do self-service data queries an. 1 tractor • rovide the capability to produce analytical reporting so activity on e 91 E • anes or only the OCTA and RCTC potions can be analyzed by any combin f the • , : parameters in both report and data query format, including but not li o: • acco e; • acco tatus; • er account demographic information; C operational customer service data; • customer Notifications information; • payments type; Page 248 of 248 RFP 9-1177 Exhibit B • vehicle type; • Interoperable or home customers; • revenue type; • Transponder -Based Transactions/Trips; • Image -Based Transactions/Trips; • plate type; • Violations; • I -Tolls; • time period (for example, day, week, m ear) • time of day and • day of week of the transaction. Page 249 of 248 RFP 9-1177 Exhibit B Exhibit B Volume III: CustomeCenter (CSC)_ Operat RFP 9-1177 Exhibit B CONTENTS 1. SCOPE OF WORK AND REQUIREMENTS 1 1.1. OPERATIONAL REQUIREMENTS 1 1.1.1. General Requirements 1 1.1.2. Facilities 1 8 1.2.1. Account Management 8 1.2.2. Privacy 11 1.2.3. Rental Cars 1 1.2.4. Search Warrants, Subpoenas, Litigation and P ' ecords Requests 1.2.5. Image Review Support 1.2.6. Owner Identification 14 1.2.7. Customer Communications 15 1.2.8. Transponder Management 22 1.2.9. Registration Hold 25 1.2.10. Collections 25 1.2.11. Bankruptcy 26 1.2.12. Violation Investigative R• , Administra -view and Hearing Support 27 1.2.13. Banking and Lockbox Servi 28 1.2.14. Closing Procedures 29 1.2.15. Escheatment unclaimed prop 29 1.2.16. Write -Of 30 1.2.17. Recon ... 30 1.2.18. Fin. ' eportin 31 1.2.19. e Manage 35 1.2.20 er Document ' . • e 36 1.2.21. erabili 37 1.2. OPERATIONAL FUNCTIONS Page i of i RFP 9-1177 Exhibit B 1. SCOPE OF WORK AND REQUIREMENTS The following subsections describe the Scope of Work and the Requirements for the CSC Operations. These Requirements are numbered to track obligations per the Agreement and any cnges which may occur during the Project. Many of the Requirements contain underlying lists ific items and work functions. The intent of these "including but not limited to" lists is icate to the proposer the intent and scope of the Requirement. 1.1. Operational Requirements 1.1.1. General Requirements This section lists the high-level operations Requirements. 1 The Contractor shall provide all management, sy and CSC Operations staff, including qualifie personnel, to professionally operate and adm manner that meets all required Performance Mea aintenance supervisory, finanl. agement, sional and clerical the Ag CSC Operations in a 2 The Contractor shall put in place the organizational s meet these Requirements. e and headcount required to 1.1.2. Facilities The Agencies currently utilize three facilitie traffic management operations. These includ Anaheim Processing Ce provided facilities as the facilities, with needed to accom The Contract furnishings. Ho improvements sha suff all the aluate the A tractor Contract° sections e OCTA S back office operations and SC an. , the OCTA Store WIC and the red to continue to operate these Agency - The Contractor will have unlimited access to and may use expanded operational hours as the use of Agency -provided facilities and nsible for any required improvements, and all ed by the Agencies. The Agencies anticipate that these facilities are d back office functions to be performed within these facilities. The ilities for use in performing the Work. Based upon the staffing and may desire to use some limited workspace within the areas See Attachment A: OCTA/RCTC Building Layouts for facility all coordinate and facilitate tours of CSC Operations facilities and guide r shall facilitate and coordinate all BOS and CSC Operations facility related her as landlord covered no -cost repairs, Agencies pay landlord directly for or Agencies request that the Contractor pay and process as a pass-thru). The Contractor shall provide the coordination and facilitation of various Agency directed meetings in the CSC Operations conference rooms as requested by the Agencies, including but not limited to: Page 1 of 37 RFP 9-1177 Exhibit B • ensuring conference room is clean and all furniture and Equipment is in working order; • providing meals for meetings (pass-thru) and • attending meeting. 6 The Contractor shall provide and install all internal workspace signa ame plates. 7 The Contractor shall provide all office supplies required for CSC do taff. 8 The Contractor shall provide all Equipment supplies, for example toner, paper, 1,1,2,1, OCTA Store The OCTA Store is a WIC located in the same building TA's office d is staffed by OC employees. These OCTA employees will be trained b ntractor . e Contractor shall also provide escalation and operations support. There is no or o► anal activities other than walk-in customer service at this site. Location Name OCTA Store Address 600 S. Main Stree ng Square Footage N/A Functionality WIC 1.1.2.1.1. Hours of 0 lidays 9 The Cont shall trai provide e tion and operations support for the OCTA emplo d customer ions staff. 10 The 0 e WIC Monday - Friday, Pacific Time. 11 The OCTA all observe the following Holidays: ear's • Me ay; • Indepen e Day; • Labor Da Than g Day; fter Thanksgiving Day and • istmas Day. 12 For any listed Holiday occurring on Saturday or Sunday, the OCTA WIC shall observe the Holiday on the same day as OCTA's other staff. Page 2 of 37 RFP 9-1177 Exhibit B 13 OCTA may close the OCTA Store WIC (for example, for emergency or weather conditions). 1.1.2.2. Corona CSC and Walk-in Center The Corona site will house the CSC/customer contact center and WIC. The Contrac, performing back office production work such as transponder fulfillment and processing in the Corona CSC. The Corona WIC will serve as a joint WIC betw the RCTC staff serving the future I-15 express lanes. From a customer pe should be seamless regardless of the entity responsible for resolution of, y propose ent and mail Contractor and e experience Location Name Corona CSC Address 301 Corporate Terrace Circle, Corona CA 9 Square Footage 5009 Functionality WIC and customer contact center, po ack offi ations The Corona facility shall meet the requirements below. 14 The Contractor shall staff and o. • Corona CSC. 15 The Contractor shall provide mai ance a ' ' and e re that the facility is professional in appearance and clea. 16 The Contractor sh. - cise due car: - . -, maintenance and storage of the Agency - provided facili d assets. 17 The Contr. all com ith all req , ents of the property lease and facility license agreem: 18 The . for shall - • . rity systems to safely monitor and secure employe - o a, u , _ , equipment and assets. 19 • • Contract. I promptly notify the Agencies of any weakness in the security at the cility. i The Co .r shal • cameras in accordance with PCl/PII requirements and the Contracto •ferred . .tional and security approach. The Agencies shall have access to view and the camera footage upon request. The Contrac hall be responsible for design, permitting, and all costs associated with Contractor-, ed improvements, including any Contractor -desired security prove , , to the Corona locations. Improvements shall be Approved by the Agencies. 22 . ctor shall make all Agencies -directed and Approved improvements to the Corona fa. f any, as a combination of additional Work and a pass -through cost. 23 The Contractor shall provide a minimum of one Spanish-speaking CSR in the Corona facility during all the hours of operation. Page 3 of 37 RFP 9-1177 Exhibit B 24 The Contractor shall equip the customer contact center in Corona such that customers shall not hear cross talk when contacting the CSC by phone (crosstalk is any phenomenon by which a signal transmitted on one circuit or channel of a transmission system creates an undesired effect in another circuit or channel). 25 The Contractor must coordinate with the Existing BOS and CSC Operati ntractor for an orderly hand-off of the Corona facility. 1.1.2.2.1. Hours of Operation and Holidays The Agencies require a high-level of customer service availability. T hours which the various elements of the Corona CSC Operation o rs below are staffed and opera imum 26 At a minimum, the CSC Operations functions shall b ided from 7 a.m. to 7 p.m. Mon - Friday, Pacific Time. 27 The CSC contact center shall be open and calls is an from 8 a.m. to 5 p.m. Monday - Friday, Pacific Time. 28 The Corona WIC shall be open 8 am- 6 pm Monday - Fri cific Time. 29 The CSC shall observe the follow. • New Year's Day; • Memorial Day; • Independen • Labor • T riving Day; • Fri • . - Tha • Christma ed Ho curring on Saturday or Sunday, the CSC shall observe the Holiday on the ay as -s' staff. 31 The Contra shall do the CSC upon Approval from the Agencies (for example, for emergency o ather conditions). The proces administr an overflow cessing Center/CSC ses the back -office production work such as image review support, payment al management, Violation and collections processing, system and database data server room and the Traffic Operations Center. This facility can also be used as cility for inbound/outbound call/contact handling and other CSC activities. Page 4 of 37 RFP 9-1177 Exhibit B Location Name Anaheim Processing Center/CSC Address 180 North Riverview Drive, Suite 200 Anaheim CA 92808 Square Footage 11,985 Functionally Back -Office Processing, TOC, CSC/customer contact center o The Anaheim facility shall meet the requirements below. 32 The Contractor shall staff and operate the Anaheim CSC facility- 33 The Contractor shall ensure that the facility is profess. n appearance and clean. 34 The Contractor shall exercise due care in th maintenanc storage of Agency - provided facilities, property and assets. 35 The Contractor shall comply with all requirements ty lease and facility license agreements. 36 The Contractor shall provide . ecurity systems ely monitor and secure employees, customers, data, fun • .. • ment and a fe. 37 The Contractor shall promptly not e Agen eakne s in the security at the Anaheim CSC facility. 38 The Contractor - e cameras dance with PCl/PII requirements and the Contractor's • ' tional and ity approach. The Agencies shall have access to view an • the cam: • otage up uest. 39 The C• for shall be ,onsible for d: ,, permitting, and all costs associated with Cont . esired inc . mg any Contractor -desired security improv- . to . . , ns. Improvements shall be Approved by the Agencies. 40 • I tracto make all Agencies -directed and Approved improvements to the i n. ility, i - a combination of additional Work and a pass -through cost. 41 The Cont shall • e a minimum of one Spanish-speaking CSR in the Anaheim Processing , -r Facilit during all the hours of operation. The Contract ust coordinate with the Existing BOS and CSC Operations Contractor for an orderly h off of the Anaheim Processing Center/CSC Facility. 1.1.2.3. Operation and Holidays The Agen uire a high-level of operational availability. The hours below are the minimum hours which the va ious elements of the Anaheim CSC Operation must be staffed and operated. 43 At a minimum, the CSC Operations functions shall be provided from 7 a.m. to 7 p.m. Monday - Friday, Pacific Time. Page 5 of 37 RFP 9-1177 Exhibit B 44 In the event that the Anaheim Facility is used as an overflow call center, the CSC contact center shall be open and calls/contacts answered from 8 a.m. to 5 p.m. Monday - Friday, Pacific Time. 45 The CSC shall observe the following Holidays: • New Year's Day; • Memorial Day; • Independence Day; • Labor Day; • Thanksgiving Day; • Friday after Thanksgiving Day and • Christmas Day. 46 For any listed Holiday occurring on Saturday or Sunda aheim CSC shall observe the Holiday on the same day as Agenc ' taff. 47 The Contractor shall close the An proval fro gencies (for example, for emergency or weather conditi 1.1.2.4. Traffic Operations Center (TOC) The Contractor will pro the Anaheim Process be responsible for i C mainte CSC SurveilIan system. 24 hours he TOC sy e agreeme and 365 days per year, at the TOC located at is provided by others and the Contractor is not Upgrades and Enhancements, other than the 48 The Con . and provide staff in accordance with the TOC SOPS to be . .y the Contractor . ring the Implementation Phase, including but not . •• . ed to: itorin: • 91 Express Lanes; • coation o Express Lanes roadway activities and incidents with the Age CHP, C. trans, customer assistance patrol/freeway service patrol, the ETT .tem Contractors, and the BOS administrators and CSC staff as required; • dev- ent of incident reports; • r . pment of traffic and revenue cost estimates related to roadway incidents as . uested by the Agencies; monitoring of the CSC Operations; • notification and coordination with CSC Operations management as required; • monitoring and control of changeable message signs; Page 6 of 37 RFP 9-1177 Exhibit B • notification and coordination of TOC system issues and repairs with the TOC contractor; • notification and coordination of ETTM System issues and repairs wi Contractor and the ETTM • management and retrieval of CCTV video. 1.1.2.5. Serving Customers with Special Needs All facilities shall meet the Americans with Disabilities Act of 1990 IA standards fo ibility for both staff and customers and be of appropriate size to contai aff, furniture, equiand supplies necessary to conduct operations described in this S • f Work for the duratio Agreement. 49 The Contractor shall report any facility-rela A compli sues to the Agencies immediately. 50 The Contractor shall identify and contract with a r translation service to serve customers whose language is othe than English and S and whose language is not spoken by an available Contra • erson. The sery o be provided on an as - needed basis and be available du • • service hou 51 The Contractor shall track the use 1 accountability that identifies whic . service. e trans . • and s 1 provide tracking and ount . c. -lated to each use of the 52 The Contracto and utilize • ment to serve hearing -impaired customers in accordance custom vice best , ices and applicable federal and state statute and req nts. 1.1.2.6. Sec d Fa 53 At the Cor IC and the Anaheim Processing Center, the Contractor shall be • sible fo istering the building access/badge and camera surveillance systems. 4 The Con. ,r shal 'de and/or coordinate all security badges, parking, and administra eeds to a ess the building office space and for Agency staff or third -party vendors to rom all CSC locations, as needed. The Contrac, hall ensure the CSC facilities are accessed only by authorized personnel with the a. .hate privileges, and the Contractor shall ensure security is not breached. e Co .r shall be responsible for establishing procedures and policies and carrying . .rocedures and policies for all visitors accessing the CSC facilities. The policies a edures shall be Approved by the Agencies. 56 The Contractor shall ensure access is limited to those functions required for the employees to perform their jobs while providing an appropriate segregation of access, based on employee responsibilities. Page 7 of 37 RFP 9-1177 Exhibit B 57 The Contractor shall maintain and provide to the Agencies as requested an access matrix that lists all personnel with access privileges to the CSC facilities. The matrix shall identify each employee's position, job functions, facility access rights, and access rights. Visitors and guests who are not directly working on the Project must be approved by the , encies in advance. 58 The Contractor shall conduct reviews of the access matrix against the access for all employees in accordance with all security Requirements. Such revi: be conducted no less than quarterly or anytime at the request of the Agenci: e es shall be invited to witness this review. The schedule for these revie .11 be i • in the Operations Plan. 59 The Contractor shall ensure all facilities used by the ctor to perform any support of the Agreement shall be established an tained in compliance with Security Standards throughout the term of the A nt. _ 1.2. Operational Functions CSC Operations shall cover all functional areas as summarized interactions or data entry that may be regyd of Contractor sta 1.2.1. Account Management The Contractor shall provide the following customers to establish, manage and monitor ncluding any required manual d effel we manner that allows 60 The Contractor all accoun 1 g activities, not otherwise performed by the customer, us' ding but n ited to processing the customer application, customer , ance of t• and condi, Account Plan enrollment and qualification verifica ' . ayment pro ng, and tran • • er Fulfillment. 61 Using S, the • . onsible for the Fulfillment of any and all transpon.. •es ed •y _ . 62 • ontracto 4 support the assigning, qualification verification and management of ' ans, in. : non -revenue plans in the BOS, as Approved by the Agencies, In case 8 , correc omplete application, the Contractor shall contact the customer to facilitat- essful a t creation. .4 The Contract, all support all activities related to account closing. In the event of closing the Contract .hall ensure that the customer's transponder(s) is changed to the appropriat- s in the BOS and that all outstanding balances are paid or handled in cordan • the Business Rules, Operations Plan and SOPS prior to closing the account. 65 actor shall update customer account information based on Notification from en . including but not limited to: • customer or Authorized Designee; • Registered Owner of Vehicle (ROV) Lookup Service Provider; Page 8 of 37 RFP 9-1177 Exhibit B • United States Post Office; • Skip Tracing Service Provider; • Banks (for replenishment); • Collection Agencies; • Print/Mail House Provider; • Lockbox Service Provider (if used by Contractor); • Credit Card Update Service Provider and • Merchant Services Providers (MSPs). 1.2.1.1. Payments, Fees and Refunds Contractor will process payments at the CSC facilities and o any payments where the Lockbox Service Provider (if used by correct account. as well as resolve and post or) was unable to identify the 66 The Contractor shall process al •'ved from c$ •rs either directly or through the services of a Lockbox ' 'ce Pr. 67 The Contractor shall resolve and pro, Locks ce► Lockbox Service Provider is utilized. These e e c tions are pa ch cannot op e readily associated with a customer accou • ractor sha . $ onsible for conducting timely research on these payme a an be pos $ a customer account as quickly as possible. If all researc, nues hav, en exhaus nd documented and the payment remains unassoc, the payme all be trac .s an unidentified funds Case for future resol 68 The Cont ha 'oft p . $ ayments by Agency staff, customers, Franchise Tax Board, ► +perable Partners and Collection Agencies and reconcile all payments omer ac. and money deposited in the bank. The for shany fees which require manual application using the BOS in accorda h Busi les, Operations Plan and SOPS. 70 The Contrac all research, respond to and process chargebacks. After the pr ablished time period determined by the Agencies has expired, the Contractor issue refunds using the same channel the customer used, if possible, to ake the ent, in accordance with the applicable Agency Business Rules, Operations a s. 72 In se of check refunds, the Contractor shall use Positive Pay to deter check fraud. 73 The Contractor also shall ensure that Credit Card refunds are successfully processed. Page 9 of 37 RFP 9-1177 Exhibit B 74 The Agencies have different Business Rules related to the processing of refunds. Some refunds may be issued by the Contractor; others will be issued by the Agency; however, the Contractor shall enter these refund checks into the Agencies' financial accounting systems for issuance by the Agencies. 1.2.1.2. Account Plans The Agencies have several Account Plans. These plans may be assigned at t - transponder, or account level and each may have only one Account Plan assigned to it The Contractor shall be responsible for managing the various enrollment in the program, eligibility verification, program questions from customers regarding how the programs transactions/trips under the programs. In addition to th Contractor should expect that plans may be added, Operations and Maintenance Phase. nt Plan progra ding, rship renewal, an 'ng and questions about unt Plans listed in this section, or modifie er the course of the 75 In accordance with Business Rules, Operations Plan the Contractor shall provide support for all the Account Plans, including new and m lans. 76 For the Account Plans that req scan and attach the qualification account. .tion, the Contr hall verify qualification, or to addin an(s) to the customer 77 For Account Plans requiring qualifica notify the custome • •'r eligibility acto move the Account Plan and is are no longer met. 78 For Account P is e and req prior to re • g the pla he custom: • newal, the Contractor shall verify qualification ount. 79 For A Plans requir. , ayment, the C • ctor shall collect appropriate payment from the cu as requi - - • 6. ocess for the specific Account Plan. 1.2.1. on-Reve sage may gencies' facilitie account with a non - he issuance of any n A prog ontractor sha ' Approv or for n gram n ed a Contr nue passage for qualified users on specific facilities. Non -revenue dividual transponder, or account level for some or all of the all maintain strict control when a transponder is issued to an ue plan . d the reason for issuing it. The Agencies must ALWAYS Approve venue transponder. responsible for managing enrollment in the program after obtaining the dying eligibility, handling questions from customers in regard to how the uestions about specific transactions/trips under the programs. 80 In‘rdance with the Business Rules, Operations Plan and SOPS, the Contractor shall provide support for all of the Agencies' non -revenue programs. 81 Prior to applying a non -revenue plan to a transponder, plate or an account, the Contractor shall obtain Approval from the Agencies. Page 10 of 37 RFP 9-1177 Exhibit B 82 The Contractor shall maintain documentation of authorization for each non -revenue plan that has been assigned to a transponder or an account, and this documentation shall be available for review by the Agencies at all times. 83 The Contractor shall manage non -revenue account participants certifi that the transactions/trips on a non -revenue account are according to the agree 84 The Contractor shall perform random checks to confirm the transp being used on an authorized plate 85 The Contractor will administer non -revenue accounts that do n ve transp issued when directed by the Agencies. 1.2.2. Privacy Privacy is of utmost concern to the Agencies. The Co Requirements set forth below and in the Security Stan r shall adh d curre privacy and security and regulations. 86 The Contractor shall develop and comply with all A Security Standards. Security Standards shall be updated to refle t changes in industr ements, partner agreements and to address detected security • es. 87 The Contractor shall not release i The Contractor shall develop an SO a d appro . e unless 'zed by the Agencies. r the ease of information. 88 The Contractor shall establish reason to the release of a er account in the Operati Ps. me . to veil , identity of customers prior on, and such methods shall be documented 89 The Contr shall valid e identity I • customer prior to release of any image. This may in equiring a p ID at a WIC. 1.2.3. Rental The s' custo tilize rental vehicles on OCTA/RCTC Toll Facilities which create • o ., o a- ce Prov . • d/or o signated entities for processing the rental car trips. ' 90 The Contrahall wor irectly with customers, the Rental Car Service Provider and/or other designentity to accurately process all rental car trips and resolve rental -related requests. . The Contrshall enter into agreements with a Rental Car Service Provider for the rpose oviding a seamless and cost-effective solution for customers. The Agencies e right to review and approve all Rental Car Service Provider Agreements. 92 Th- . tractor shall provide the capability for a rental customer to post -pay a toll based on the Agencies Business Rules 93 The Contractor shall process affidavits of non -liability for rental/lease vehicles and pursue the named party. Page 11 of 37 RFP 9-1177 Exhibit B 94 The Contractor shall resolve charges by rental agencies for accountholders who incur a charge by rental agencies. 1.2.4. Search Warrants, Subpoenas, Litigation and Public Records Requ The Agencies receive requests for information and assistance from the law en communities as well as public records requests. These requests are hig required sensitive and skilled handling. ent and legal e-sensitive and 95 The Contractor shall refer all requests, inquiries, subpoenas, ea/warrants, ecords requests and official information requests to the Agenc. accordance wit " ess Rules, Operations Plan and SOPS. 96 In accordance with the Business Rules, Operations " . nd SOPS for handling and trac of such requests, the Contractor shall gather an► side the info "on requested by th search warrant or subpoena upon receiving A • . from the ' ies to do so. 97 The Agencies may request that the Contractor comp bpoenas, search warrants, litigation matters, or other reasons. The Contractor s 0 and to all requests from the Agencies in a timely manner and in cordance with the B ►. Rules, Operations Plan and SOPS. 98 If the research will take longer th. o ays, the . ctor must advise the Agencies. 99 The Contractor shall provide qualifieo suppo igation, including providing testimony as an ess upon r: om the Agencies. 1.2.5. Image R Image collec processing an equipment for al associated with tha ca 1 as Region urisdiction and automatically Post t ased on the license Image iew. asTra est im Support nd processi on enfo c eration of the Agencies' transaction/trip license plate images are captured by roadside rips. I a . sTrak transponder is not identified, the images ion/trip are reviewed by the ETTM System Contractors in a process ages and results of the review will be used to determine if a plate is t or is a Violation. These will include rear license plate images as he ETTM System Contractors will identify the plate number, and ndament pe, if . able, and provide this information to the BOS. The BOS will nsaction trips to the customer accounts, IOP or generate Violation Notices information received from the ETTM System Contractors. Quality Assurance The . . cy of age review process is critical to the successful identification of the ROV. As part o ssurance (QA) process, the Contractor will conduct an accuracy review and audit process o anual and automated image review results. Using the ETTM System Contactors' - provided q ity review tool, the Contractor will perform quality reviews on the results from each ETTM System Contractor to ensure that each ETTM System Contractor is accurately identifying a high percentage of license plates. Page 12 of 37 RFP 9-1177 Exhibit B 100 The Contractor shall provide for an adequate number of trained and qualified image review staff to handle the quality review volumes of the Agencies. 101 The Contractor shall perform manual image review on a sample of at least 1% • all Image - Based Transactions/Trips per month that were provided by each Agencies ' System Contractor to determine accuracy of state, plate type, plate number an • confidence level. 102 The Contractor shall provide a report to the Agencies of the audit - 103 The Contractor shall correctly determine for each image set , her the ' ystem Contractor accurately processed the image and if not enter orrect plate info • or reject code and provide the findings to the ETTM Syste , ractor. 104 The Contractor shall work with the Agencies an • i System Contractors to take necessary steps to correct identified errors fro • tomated re process so that the do not continue to occur. For example, an ETT • m may be ing the letter "E" for the letter "F" for the state of California so the Co wo municate the problem to the specific ETTM System Contractor and provide the issue. 1.2.5.2. DMV No Registered Owner I Periodically image transactions/trips wi owner information. This can be a resul incorrectly. Part of the Contractor's respon registered owner information were not cause Return Quality m the DM with no registered cludin license plate entered transactions/trips with no ect lice . ate. 105 The Contracto, :11 image t ctions/trips that are returned from the DMV source wit -gistere• er inform to ensure license plate entry was accurate. 106 The Co' or shall acc ly enter infor n related to the vehicle identified in each imag • cluding b • pl.. elate ty. • •plicable and • , iction. 107 The Contr necessary st: do not contin the letter "F" to the spec' shall wo ith the Agencies and ETTM System Contractors to take the • correct identified errors from the automated review process so that they • occur. For example, an ETTM System may be mistaking the letter "E" for he state of California so the Contractor would communicate the problem TM System Contractor and provide examples of the issue. 1.2.5.3. er Inquiry Image Error Quality revie s are required to verify customer -disputed transactions/trips. Customers may contact the CSCs regarding a notification they received that incorrectly identifies them as a user of a toll facility. This can be a result from several factors including a license plate entered incorrectly. Part of the Contractors responsibility will be to ensure the transactions/trips with no registered owner information were not caused by an incorrect license plate. Page 13 of 37 RFP 9-1177 Exhibit B 108 The Contractor shall also research and review images related to customer disputes and correct and reprocess. 109 The Contractor shall accurately enter information related to the vehicle ide in each image set, including but not limited to: • plate number; • plate type, if applicable and • Jurisdiction. 110 The Contractor shall work with the Agencies and E necessary steps to correct identified errors from th do not continue to occur. For example, an ETTM the letter "F" for the state of California so the to the specific ETTM System Contractor and pro stem Contractors to to ated review process so that t may be m. mg the letter "E" fo for would unicate the problem mpl a issue. 1.2.6. Owner Identification Successful acquisition of accurate ROV i enforcement program. The Contracto maintaining both technical and operati Providers. The Contractor must ensure th current and accurate ROV matches. critical to the s of the Agencies' Violation tely respo for establishing and the R: tered Owner Lookup the optimum number of 111 The Contractor .sh and m p-to-date agreements with each Registered Owner Look .ce ers. 112 The Con • shall provi e capabili ack and follow the renewal Requirements for each ' red Owner L • p Service Pro For example, a state may require that a DMV data . applicatio — . ed a pproved annually. 113 The Con sh. • in - he California and Arizona DMV and other DMVs as they be : •le to manually loo up individual license plates at the request of the ies or in to resolve customer disputes. ctor s •vide the following ROV-related activities, including but not limited to: • Estab nd mai a relationship with each Registered Owner Lookup Service Provid • Manage ent contracts and service level agreements with each Registered Owner Looku ice Provider; M and evaluate the number of successful matches by jurisdiction; • itor and evaluate the number of successful matches by Registered Owner Lookup ervice Provider; • Monitor and evaluate the number of successful matches by type of license plate; Page 14 of 37 RFP 9-1177 Exhibit B • Identify issues with manual license plate identification and provide information to allow the ETTM System Contractors to correct the issue, including examples and training material; • Identify issues with automatic license plate identification and provide ' ado to allow the ETTM System Contractors to fix the issue, and • Identify areas where the ROV match is lower than the averag ate potential solutions and provide recommendations to the Agencies. 115 The Contractor shall coordinate with the ETTM System Cont a regarding dates required due to any changes in ROV Requirements. 116 The Contractor shall monitor the success of ROV Loo • uests each month and change is made by the ETTM System Contractors r: g on the number of request which an ROV was obtained (successful lookup) . , number for ich a request was n obtained (unsuccessful lookup) by Jurisdiction 117 The Contractor shall identify Jurisdictions in w' • per _e of successful requests decreases by more than five percent (5%) from th and shall work with the appropriate ROV Lookup Service Provider to identify 4 nd solutions in collaboration with the ETTM System Contractor ensure images are p • d correctly. 118 The Contractor shall develop sol , • ase the ROV L. success. 119 120 The Contractor shall research and 'nput . • e BOS •tected Plate data that associates an address with the ag• names • •d from the DMV or ROV Lookup Provider for license plates re; rep ustom• iated with federal, state or local agency that i to shield a 1 The Contrac 1 fac the Prote, Plate process of entering the correct agency address a ending the lation Noti 1.2.7. Custom lions 1.2.7 / utgoing . er Notification r all necessary customer communication in accordance with the The Contrac of communic account and all make contact with customers, by using the Agencies' required method about account management, general information, marketing, changes to cy policy. shall be responsible for printing, pdf creation, storing and associating with elopes, mailing and postage for all communications. ractor shall be responsible for providing and assembling all materials necessary for t e mailing of transponders including, welcome kit, envelopes, sealing wafers, special inserts, mounting activation stickers and mounting strips. Page 15 of 37 RFP 9-1177 Exhibit B 124 The Contractor shall utilize the USPS/NCOA database services to validate a customer address prior to mailing correspondence. 125 The Contractor shall provide all postage meters and be responsible for pay ent of any postage meter fees. 126 The Contractor shall be required, at its own expense, to communicate omers or the general public, including resending corrected notifications, any i on related to issues or problems caused by the Contractor that affect custome set forth in the Agreement. 127 The Contractor shall be responsible for printing, pack and distributi ' ted information, developed by the Agencies. 128 The Contractor shall manage the sending of e-blast ing of an email simultaneousl a group of people), developed by the Agencie elected gro of customers or a customers using BOS functionality. 1.2.7.2. Outgoing Communications (Future) The Agencies may elect during the term e Agreement to 0 accounts (mailed invoices) as the first s , lations proces video tolling transactions would be group vals, such mailing invoices to customers. 129 If directed by the Agencies, the Con subsequent custo to and Viol 1,2,7,3, Inc Incoming cus Violation payme example, bankruptc tra • - hese c s, text Customer C acilities and pr customer commum ssociated to the app The Contra e existi mmu sto unication eo tolling for unregistered gencies anticipates that y or monthly, prior to anage ailing of invoices and the ocess. er applications; replenishment payments; omp a es; general public inquiries; legal notices (for a etc.); requests for account closures, account information updates and ications will be received through all channels including but not limited essions, emails, Agency contacts, and mail. es are ed to provide careful and efficient handling of all incoming , include g the BOS providing for tracking of customer requests as Cases ate account(s). hall assume the responsibility for the two existing post office boxes from tractor and establish any additional post office boxes it needs. ctor is responsible for all mail pickup and transfer between facilities as required. 132 The Contractor shall receive mail from the post office boxes for incoming mail. Page 16 of 37 RFP 9-1177 Exhibit B 133 All customer contacts handled directly through the Contractor staff shall be noted in the customer account in the BOS to maintain an accurate history of the customer's interaction with the CSC and Agencies. 134 The Contractor shall provide a response for all correspondence received fro ustomer regardless of which channel the customer uses to communicate, includi of limited to, correspondence received by: • email; • fax; • text; • chat; • communication from the website's "Conta eature and • delivered (USPS or by other means) correspon 135 The Contractor shall monitor and respond to custome sts received by phone, chat and text in real time when receiv• .ng regular busine s. 136 The Contractor shall strive to p • - ct resolutio track the number of contacts resolved on first contact. 137 The Contractor shall encourage use es . ties receiving a Violation Notice to open a Fas - , account whe act the CSC. 138 The Contracts - coming c• •ondence (paper or electronic) is scanned (in the case of correspnce), saves associated with the customer's account and any app Case(s). No stomer corr: dence shall also be scanned and catalogued for e. • ess. Paper c• shall be shred in accordance with security requirements, and p • . . greed adherence with the Security Standards and documen he ' Mons ' . . 139 • ontracto ' use the same channel used by the customer or customers preferred • respo e customer correspondence unless the Business Rules, Operations Plan • spec' , -rent channel or if the nature of the customer issue necessitates the use o erent c 140 The Contra .hall monitor the communications channels used and frequency of all customer co i ondence and recommend for consideration BOS configuration changes that improv a use of customer -friendly, efficient and cost- effective customer communic. methods. 141 lir er contact may involve questions about Image -Based Transactions/Trips. The . .r shall utilize the BOS to view images related to the transaction/trip in question an • . ppropriate work with the ETTM System Contractors to correct issues. Page 17 of 37 RFP 9-1177 Exhibit B 142 All incoming mail shall be processed by the Contractor, in accordance with the SOPS and applicable standards, including but not limited to the Security Standards. Such requirements include but are not limited to: segregation of duties; date stamping the mail, categorization, scanning and/or saving into the BOS as Cases, and then ass' • • 'ng to the appropriate Contractor staff for processing. 143 The Contractor shall develop a workflow process that clearly docu • . the handling process for all incoming correspondence and communication - all channels, ensuring all incoming correspondence and communications ar- .. iewed and properly routed (such as, operational correspondence, finan ontrac' . c.). This shall be documented in the Operations Plan and SOPS. 144 The Contractor shall ensure all correspondence ha► processes and contr. - documented and adhered to by operations sta ' e Agencies shall Approve correspondence handling process and any Chang_ e handling ► ocess. 145 With the exception of customer requests regar. • it own a► s, the Contractor shall only answer general inquiries as they relate t. al ' ation about the tolling facilities serviced and services provided by the CSC. quires and communications shall be escalated to the Agencies as a Case as set fort • Operations Plan and SOPS, unless the Contractor is otherw• ' ected in writing • Agencies. This includes inquiries from or communicatio - • dia, governm • • ts, Public Records Act requests and individuals repres. g _ • s for pur, other than directly related to their own customer acco 146 The Contractor shall keep a record of . for • reque a Case, inform the Agencies immediately of i • rom these . nd direct such inquiries to the Agencies, according to t ' lan. 147 Customer contact th; tractor re: g issues the Contractor does not control, for exampl is on the ro ay, or gener. mg questions. The Contractor shall collect the r: informati ,% - - • • the iss accordance with the Operations Plan. The Contra .11 cressue until it is accurately resolved or handed off to the . .arty respons . .r resolution in accordance with the Operations aniii Returned mail sha status of the Notific stomer if a forwar 149 Th 150 ail P eturnee USPS and the Contractor shall update the BOS to reflect the and attempt to obtain a different address to mail the Notification to the ddress was not provided. shall scan each returned envelope and Notification and attach the scan to tomer account. Any physical pieces of returned mail received will follow the isposal process after scanning. ntractor shall enter a forwarding address, if provided. For addresses without a forwarding address, the Contractor shall mark the address as bad. Page 18 of 37 RFP 9-1177 Exhibit B 151 For bad addresses on FasTrak account correspondence, the Contractor shall attempt to determine a new address using the USPS/NCOA database and Skip Trace services. 152 For bad addresses on Violation Notices, the Contractor shall attempt to deter ►,ine a new address using the USPS/NCOA database and Skip Trace services. 153 The Contractor shall utilize the USPS/NCOA database and Skip Tracin, customer address. ces to find a 154 If a different, current address is provided, the Contractor shall e th BOS and take the necessary steps for the BOS to re -issue the co .. ondence. • ss in the 1.2.7.5. Collateral Materials for Customers , The Agencies will provide the art work for all custom ateral, excluding system gener notices. 155 The Contractor shall print, deliver to and inventor la print specifications provided by the Agencies. aterials according to the 156 The Contractor shall work with t • ensure compliance with the US' staff handling effort for each mail ' S to obtain appro • 4 is and to dete • t . rinted material design to he lowest postage and 157 The Contractor shall modify/upda collateral material when changes to t revision. - direct- for conta • ies and print the generic the material necessitate a 1.2.7.6. Custo The BOS prow Authorized become Cases. an activity or actio quest Ma e capabilit ich cann nag omer i etely olved nt. Any custome time of req reporting. nner ment create, assig satisfy the Agenc manage requests made by customers or d at the time of the request. These requests management of Cases where a Case represents es, customer or general public need or inquiry. r requests (such as, changing a customer's contact information), at the time of the customer request. If the issue or request is the initial contact, the Contractor shall notate it in the ue or request that cannot be completely and accurately resolved at the hall be entered into the BOS as a Case, for management, tracking and actor's staff shall work open Cases through to final resolution in a timely quired in the Operations Plan and in accordance with the Performance Page 19 of 37 RFP 9-1177 Exhibit B 160 The Contractor shall accurately resolve and respond to customer issues and requests by the customer's preferred method of contact (email and mail) if available and according to the Business Rules, or by letter, email, mail, phone or text depending on the circumstances of the issue/request. The escalation procedures for customer issues and requ: shall be described in the Operations Plan. 161 The Contractor shall respond to customer Cases according to t► .siness Rules, Operations Plan and SOPS. The CSC Manager responsible for Case m. , t shall review the list of open Cases on a daily basis and shall make sure they • u esolved in accordance with and within the timeliness set forth in th t rations . nd the Performance Measures. The Agencies shall be notified imm 'at• y if there are itical comments or issues that need immediate attention. 162 The Contractor shall be responsible for the resoluti 11 customer disputes, whic' managed as Cases, in accordance with the Agenci cies, the Bus' ess Rules, Operatio Plan and SOPS. 163 The Contractor shall select the proper case type a re n. 164 The Contractor shall utilize pre -approved auto es for case resolution as appropriate. 165 The Contractor shall process dis, •stigative Re volving adjustments to vehicle class, transaction/trip a tmen • als, real g of Violations, and other resolutions. Specific types of , utes shal► - - visor/manager review and approval, and all waivers, adjustm: and sals - in accordance with the Operations Plan an • A ' . 166 The Contract. p . • dispute. • sactions/trips and Violation Notices on hold and releas • old in tha . in accord. with Operations Plan and Business Rules. 167 The C • for shall ens :II supporting , mentation from the customer to resolve a dispu as requ' . n • • Ian and Business Rules, is obtained. If the custome of . - • .. . ocumentation, the Contractor shall contact the customer m e with the timeframes defined in the Business Rules and Operations . .7.7. Ong The Contractor sha hat provides custo es themselves. stome action Surveys k with t it Customer Satisfaction Survey Provider to establish a program eedback regarding the services the Contractor provides and the Express 1 169 he Contr CS shall offer the survey opportunity to every customer each time they contact T' ractor shall contract with a third -party Customer Satisfaction Survey Provider. 170 The Contractor shall create a customer survey program to measure the quality of the services they provide. Page 20 of 37 RFP 9-1177 Exhibit B 171 The Contractor shall modify the program as needed or as directed by the Agencies. 172 The Contractor shall make contact with each customer who rates their experience with an overall score below an agreed upon threshold, as noted in the Operations Plan ithin five (5) Business Days of the customer submitting the survey. 173 The Contractor shall monitor the customer surveys and provide a rep► he Agencies monthly. 174 The Contractor shall provide training on the survey tool to ' : nd • • • plicable personnel, including the purpose of the survey and the use of t' • rvey tool. 175 The Contractor shall review survey results with CSR other applicable p - • el during periodic meetings regarding individual's perfo e. 176 The Contractor shall provide the Agencies cony , electronic ess to the up to dat= and historic survey results. 177 The Contractor shall include the customer survey i ng trending, in as part of the Monthly Operations Report. 1.2.7.8. Customer Service Quality M The Contractor interacts with the Agenc including, but not limited to, in person at t email and responses to the Cases. The qual customer is of utmost impor Agencies expect the Con and to train its staff t ce to the Agen velop and are in eac y different channels hone m writing via chat, text, the service provided to its ton to Cus mer Satisfaction Surveys, the ality programs for all aspects of its operation raction and in serving the Agencies' customers. 178 The Co • or shall ens :11 CSC staff i .ned in a manner which ensures excellent cust I -rvice in eve , . - -- - teracti s measured by the Performance Measures. 179 The Cont h, ord the - . for each contact (via all contact channels) by using Appro rap -up codes, entering account notes or other tracking approach to • -nt the . or the contact and memorialize the resolution or required next steps. • The . or sha • itor and score both live and recorded CSR calls for accuracy, efficienc essiona d courteousness in accordance with the Approved Quality Plan. :1 The Contract, all monitor and score Corona WIC CSR interaction, resolution activities and outcom- accuracy, efficiency, professionalism and courteousness in accordance with the A ed Quality Plan. 182 C , for shall review and score all customer interaction channels, resolution and outcomes for accuracy, efficiency, professionalism and courteousness in acc. . nce with the Approved Quality Plan. 183 The Contractor shall review and score Case resolution activities and outcomes for accuracy, efficiency, professionalism and courteousness in accordance with the Approved Quality Plan. Page 21 of 37 RFP 9-1177 Exhibit B 184 The Contractor shall periodically monitor CSR screen navigations by remotely viewing the CSR's screen. 185 The Contractor shall track monitoring results and submit a monthly sum . ry to the Agencies as part of the Monthly Operations Report. 186 The Contractor shall track all escalated issues and resolutions and • • e a monthly report to the Agencies as part of the Monthly Operations Report. 187 The Contractor shall review information provided by the Age • pon eview of customer interaction and make any changes to improve custom. . ervice. 188 The Contractor shall provide the capability for the Agen , at the Agencies' di •n and without prior notification to the Contractor, mon' live and recorded calls a other types of correspondence. 189 The Contractor shall provide for review by th cies all doc ation related to the Contractor's quality program. 190 The Contractor shall conduct monthly quality mo alibration meetings for all Contractor staff who monitor customer interaction. The 'es shall be invited to attend these meetings. 1.2.8. Transponder Management The Agencies will purchase transponders an transponders. m all other work related to 191 The Contrac , ma 11 aspects transponder lifecycle. This includes but is not limited to• • r: g into inve , • testin_ p• . uponr• •nor to issuing; ogram . nsponders as necessary, for example programming a standard 6c onder cate that the vehicle is a motorcycle; • assi nd iss ustomers; • tracking sponders through their life; • recycling luating, cleaning and testing) for reissue; mana ' ansponder recalls; y return and replacement and • posal of transponders. 192 Upon customer request, the Contractor shall assign, and mail transponder(s) to customers. 193 The Contractor shall support the distribution of transponders by the Contractor and US mail. Page 22 of 37 RFP 9-1177 Exhibit B 194 The Contractor shall include user guide and mounting instructions, mounting strips and other materials, as may be determined by the Agencies to be required with the distribution of each transponder. The camera-ready copy of any transponder kit materials will be provided by the Agencies and the Contractor shall be responsible for pro cing these materials. 1,2.8.1. Transponder Inventory Management The BOS shall have a transponder inventory and management syste tra maintains transponder inventory, identifies and supports the transponder : 1 progra tracks transponder warranty. 195 The Contractor shall be responsible for ordering (if ted by the Agency), tracki transporting the transponders at all CSC facilities - e Agency of -site storage locatio 196 The Contractor shall ensure that an adequate s , f transpo s available at all times. When the inventory reaches a pre -determined - enti ' the Operations Plan the Contractor shall initiate order requests with the A: . ed upon existing inventory and forecasted requirements. 197 The Contractor shall ensure tha .te supply of tra • er mounting strips, user guides and mounting instruction • '. • • velopes for nders are available at all times to accommodate the tran • ders . - CSC an • s. 198 CSC issues multiple types of transpo s, an • • c' , _ actor shall be required to manage multiple ty • e of transponde s • rom multip - manufacturers/providers. 199 The Contract• - shipmen transponders and shall reconcile shipment contents w- ctronic ests prow• ,y the transponder manufacturer. The waybill shall be r • sled against original pur , - order and scanned into the BOS for tracking and r• iation purpo 200 Monthl , • ntr. . cal audit of the transponders that are under its physical co • ing for the vano • s transponder types and statuses and quantities. • - audit sh. i • are the physical counts with the BOS counts by transponder type, • nd sta . , completely reconcile any discrepancies. Transponder audit reports sha . ded in ,nthly Operations Report. 201 The Contr. hall su • the Agencies in their periodic transponder audits that will be no more fre • than quarterly unless discrepancies are found. The Contracts all distribute new and recycled transponders, if applicable, using the FIFO inventory d. 203 - Co • r shall manage, coordinate and perform the transponder case, electronics, and . • osal process and provide the Agencies with evidence of disposal. 204 The ntractor shall subcontract with a Certified Disposal Service Provider. 205 The Contractor shall securely store transponders and batteries scheduled for disposal and prepare and ship the transponders and batteries as required for disposal. Page 23 of 37 RFP 9-1177 Exhibit B 206 The Contractor shall coordinate with the Certified Disposal Service Provider for the shipment of the transponders identified for disposal. 207 The Contractor shall track transponders provided to the Certified Disposal Ser 'ce Provider for disposal and shall reconcile with the BOS provided balance of disposed onders in accordance with the Reporting and Reconciliation Plan. 1.2.8.2. Transponder Testing Transponders shall be tested at multiple times in the lifecycle be transp that are defective or not functioning reliably cause problems for the custom an the Agencie crease costs. The Agencies will provide equipment for the testing and pr e ming of transpon 208 The Contractor shall test one hundred (100) perce e switchable transponders an � (10) percent of each roll of sticker tags in each s ' t when the ponders are receive from the manufacturer. This testing shall incl not be li ' o • verifying that the transponders function and ar coded; • reading the transponder serial umber and verifying and internal coding are cons' e transponder label, barcode • ensuring the transponders ca ea ng functio on the road. 209 The Contractor shall return the tra accordance with the Operations Plan. ders ng to the manufacturer in 1.2.8.3. Transpo eturn nufactur When transpond - e determin: be defectiv have not have exceeded their manufacturer's warranty, the eturned to t : nufacturer fo acement under warranty. 210 The Con .c tr. . _ arranty status and manage and resolve all warranty is e transponder manufacturer. actor s • responsible for ensuring all transponders found to be defective and still , e man er's warranty are returned to the manufacturer, according to the manufac speci i. rn material authorization (RMA) process. 212 The Contrac , all be responsible for storage of transponders subject to return until such time that the sponder manufacturer accepts the returned transponders. The Contra .hall be responsible for shipment of the transponders identified for return • the m. , urer. 214 ' . ctor shall track the warranty returns and confirm that the Agencies receives the p . credit for the transponders returned under warranty in accordance with the Agencies' agreements with the manufacturer. Page 24 of 37 RFP 9-1177 Exhibit B 1.2.9. Registration Hold California law allows toll agencies to place a hold on DMV vehicle registrations due to unpaid toll Violations. Based on the Business Rules, Operations Plan and SOPS, a Registration Hold may be utilized to enforce payment of a Violation(s). 215 The Contractor shall place and release Registration Holds using BOS onality and in accordance with the Business Rules, Operations Plan and SOPS. 216 The Contractor shall coordinate with the applicable DM responsible for placing Registration Holds on the vehicle re:is requests that the entity may have. hir Provider ions and to any 217 The Contractor shall respond to requests from custo • elated to Registration Ho the process for releasing the Registration Hold(s). 218 The Contractor shall initiate a release of the R: tion Hold who have satisfactorily resolved the conditions 4 caus - -al-time for customers Registration Hold(s). 219 The Contractor shall reconcile and account for all pay e DMV for Registration Hold placement and for any payments collected by the DMV e Agencies' customers. 220 The Contractor shall support a ' ation Holds o allowed by interstate interoperab en . reements. - enforcement methods 1.2.10. Collections This collections process and delinquent Violat Notice of Delinque collections. Unp escalate to co Because Violation and tracked with a ele debt 1 Evasio ansactions/ ns. e process o called Collections Rules, each Collectio e Collections Place or one o a Collectio re-coll an ing un ment, a ssignment tion Agen lation ma and fees o ue amounts on delinquent FasTrak accounts, rovided by the Contractor. Non-payment of the It in the delinquent Violations escalating to Trak accounts that are delinquent may also ued by t - ve Agency, delinquent violation debts are placed Agencies by Agency. It is also possible that one of the Agencies may ollection Agency while the other Agency does not. ansactions/trips, Violations, fees and penalties to collections is an automated BOS process. However, based on the Business acement ay require a quality review and/or the Agencies' approval before file is submitted to the applicable Collection Agency. ement, the Agencies may require the Contractor to perform outgoing calls letter to alert an individual of an impending Collections Placement and allow ake a payment. The Collec Agencies will provide regular collection activity updates to the BOS by electronic interface. Payments for transactions/trips in collections can be made to the Collections Agency or to the CSC. The Contractor will manage, monitor and reconcile the transfer of Collections Placement files and revenue collected by the Collection Agencies and the CSC. Page 25 of 37 RFP 9-1177 Exhibit B 221 The Contractor shall provide the Collection Agencies. 222 The Contractor shall support outbound collections calls and letters prior to Collections Placements. 223 The Contractor shall verify that the BOS is performing Collections Place --ccording to the Business Rules, Operations Plan and SOPS. 224 While it is expected that the Collection Agencies will be the primar , rocessors for debts in collections, the Contractor shall accept payments for a • m c. • ns. 225 The Contractor shall verify that the Collection Agencies are urately updating . i S and shall work directly with the Collection Agencies to co and accurately re ny issues in a timely manner, including identification esolution of any discre • . between what the BOS identifies is in collections hat Collection Agencies say collections. 226 Using the BOS and other data sources as ry, t tractor shall perform reconciliations including but not limited to: • reconcile files received from the Collection Agenc the BOS to ensure the files received from the Collection • • are correctly Po the BOS; • reconcile outstanding collec b.. • the BOS standing collections balances per the Collection A: 'es on •.sis, a research and resolve discrepancies and • reconcile amo ected by the ation to Collections Placements sent to the Collection , -re should • duplicated revenue collections on the same Collecti • . cemen 227 The Co • or shall revi - d verify invo ubmitted by Collection Agencies, along with requi • ckup docu - • • • rovid , eedback to the Agencies. 228 The Cont h- •vide a in, conciliation between the BOS and the Collection Agencies for . customer account at the Agencies' request. ctor s•vide assistance to the Collection Agencies regarding the research of dispu custo ontact the Collection Agencies and shall coordinate the resolution with the ion Ag- 230 The Contrac all update the BOS when notified by a Collection Agencies that a customer has been allo to establish a settlement arrangement to pay a lesser amount or to make periodic pay s. 1.2. uptcy The Contr all receive and process Notification of bankruptcies related to amounts owed to the Agencies by stomers. The laws related to bankruptcy are very specific and must be followed closely from initial Notification though final resolution and potentially transaction Write -Off. 231 The Contractor shall comply with bankruptcy laws. Page 26 of 37 RFP 9-1177 Exhibit B 232 The Contractor shall document receipt of Notification of bankruptcy within the BOS and place applicable transactions on hold pending the outcome of the bankruptcy process. 233 The Contractor shall remove DMV Holds for trips subject to bankruptcy proce- • ings. 234 The Contractor shall communicate with the Collection Agencies, as nece elated to a bankruptcy Notification. 235 The Contractor shall discontinue collection efforts with the Fra : oard for trip subject to bankruptcy proceedings. 236 The Contractor shall update the status of the bankruptcy the BOS upon nb 'on of changes or the resolution and perform the necessary ste ► nsure that the BOS . ely reflects the outcome including but not limited to dis ' : amounts due, processin: - offs and reinstating Violations. 237 The Contractor shall send copies of bankruptc fications to • encies. 238 The Agencies will notify the Contractor of any u • . roceedings for which the Agencies receive Notifications. The Contractor shall e status of the bankruptcy in the BOS accordingly and notify the applicable Collectio . 239 The Contractor shall follow up 'nformation a - and to requests from all parties including but not limite u rneys, the uptcy courts and the Agencies related to a customer ba fey pr 1.2.12. Violation I Hearing Sup When a violator re as Cases in the respect to dis a Violati he Contrac and Adminis ative Revi otice, they all follow eviews. tes), Administrative Review and contest (dispute) it. Disputes shall be tracked nia Vehicle Code Section 40250 et seq. with 240 The Contr age dispu equent resolutions, and support Administrative Reviews. . ctor s eive, research, document and resolve all customer disputes. 42 The Con shall in to all customer disputes to determine if the contesting person (ROV) is re .ible for Violation. • 43 The Contract, all mail the results of the investigation to the person who contested the Violation. 2, hen th - In contesting a Violation is not satisfied with the results of the Contractor's -st', , they may request an Administrative Review Hearing. The Contractor shall .11 Administrative Review Hearings and collect payment from the customer in ac . nce with California Vehicle Code and Agencies' Business Rules and SOPS. 245 The person contesting a Violation can request a waiver of deposit due to financial hardship. The Contractor shall verify that the person is eligible for financial hardship via verification of their W-9 or other Agency Approved process. Page 27 of 37 RFP 9-1177 Exhibit B 246 The Contractor shall adhere to the California Vehicle Code Violation dispute process and Agencies policies. 247 Once an Administrative Review Hearing is requested, the Contractor shall agai eview the dispute and organize all related information, using primarily the Evidence P. , ° reports from the BOS, and provide the Agencies with all relevant doc Mon in a comprehensive Evidence Report Package. 248 The Contractor shall be readily available in -person to the He. 6 during the Administrative Review Hearing. For Administrative Review gs co •d by an Agency -hired third party, the Contractor shall be available a re• . ested by th 249 The Contractor shall provide a Spanish-speaking int r to attend and sup . • 1 applicable Administrative Review Hearing. 250 The Contractor shall implement all required s resultin the Agencies' a Administrative Review Hearing process. 251 The Contractor shall offer and process reduced Vio es in accordance with the Business Rules, Operations Plan and SOPS. 252 The Administrative Review Hear esult in either the .on(s) being dismissed or violator being required to make Contractor s ke adjustments to the balance due and/or collect payme om 1.2.13. Banking and Lockbox Servi The banking and merch • Banking Service into which me with a Ban • Merchan processor a • Refund Acco Ac • t s) is par e Con ailed The Agencies will necessary access to erchant Service Pro in t and oth rvices provi ices - Con iring 254 The Contr appli or the CSC ces are co posits are prised of the following: ed of the Agency -provided depository accounts . The Agencies have selected and contracted nt services are comprised of the payment Account(s which customer refunds are made. The Refund gencies' Banking Services. may elect to provide and use a Lockbox Service Provider to receive is related to customer accounts and Violations. owner of the Bank Accounts and will provide the Contractor with the nd transact on behalf of the Agencies. The Contractor will provide the r; the Agencies will be the merchant of record for all Merchant Services. . hall reconcile the BOS reports to the bank, all customer payments, Lockbox and merchant accounts on a daily basis. ractor shall utilize the Agencies' Bank(s) and Contractor's MSPs to fulfill the reqment(s) of the Bank and MSPs. 255 The Contractor shall utilize and manage the Agencies refund process and associated refund account(s) to disburse customer refunds which require the issuance of a check. The Contractor shall reconcile and report on the refund activities. Page 28 of 37 RFP 9-1177 Exhibit B 256 The Contractor shall provide armored services with daily pickup at both WICs and Anaheim facility. All funds collected by armored services shall be deposited by next business day. 257 The Contractor shall manage a refund account from which they will issue the of the Agencies. s for each 258 The Contractor shall issue all refunds, including checks. 259 The Contractor shall process any lockbox exceptions transmitted Provider within the same day the payment was received from t ome box Service 1.2.14. Closing Procedures 260 The Contractor shall perform closing procedures ' accurate and timely manne accordance with the Performance Measures, incl ut not limi to: • perform Posting Day close to finalize count venue f evenue Day, • perform month -end close on the last Posting Da dar month and • perform year-end close on the Posting Day of the Year. 1.2.15 Escheatment (unclaimepe 261 The Agencies follow statutory requ ents w' _ . shed checks issued as a form of refund to customers and othe , ds ed uncla i by the Agencies. 262 The Contractor 'th the Age o follow the Escheatment process. 263 The Contrshall main a register • uncashed checks. The register shall indicate the na r i ress, check ount of che• eck issue date, customer account number, and r for check is 264 The Cont s 'vide t • _ with lists by Agency of the uncashed checks which are in. ree (3) years old. actor . rovide information and conduct research as requested by the Agen ted to . , ed checks and unclaimed funds. 266 The Contr hall reis checks at the Agencies' direction. 67 The Contract all identify the funds as Escheated in the BOS as directed by the Agencies. As of Go-Liv Contractor will assume responsibility for existing unclaimed property. 26 for to atment, the Contractor will advertise a Notice of Publication of Unclaimed ill run once a week for two weeks. 270 o inquiries are received, the checks will revert back to the general fund. The Agencies will provide the Contractor with a list of funds to either reissue a check for or to revert back to the general fund. Page 29 of 37 RFP 9-1177 Exhibit B 1.2.16. Write -Offs The BOS will provide the capability for the Contractor to monitor, conduct, and report on Write -Offs of unpaid balances or aged amounts. 271 The Contractor shall develop a write-off procedure that complies with le ' Agencies' policies. • n and the 272 Contractor shall configure BOS to perform automatic Write -Offs - Rules for unpaid balances which meet the Approved criteria. the Business 273 Contractor shall monitor the automatic Write -Offs perform d . - the BOS a these to the Agencies on a monthly basis. •rt on 1.2.17. Reconciliations The Contractor shall be responsible for the manage of the finan including the balancing and reconciliation of all Financiaction erations of the CSC, 274 The Contractor's balancing and reconciliation activi ch shall be provided to the Agencies on a weekly and monthly • . sis, shall include bu of limited to: • perform daily balancing and , `- hifts; • perform daily balancing of all -in pa • perform daily and monthly recon , io : ank A . ts; • perform d.' ly recon of all merchant account activity and fees, includin, of lim o Credit C. : nd Debit Cards and • per aily and mo reconciliati 1 all Lockbox activity. 275 The C. or shall ► • ,. entifying, reporting and resolving all errors and discr. 'es, s a • • n the Operations Plan. 276 the ontract. 1 perform other financial and transactional reconciliations in an nd tim. - ner, to be provided to the Agencies for review, in accordance with nce M - , including but not limited to: • perfor , mont' . nd annual reconciliation of all OCTA/RCTC transactions; • perform y, monthly and annual reconciliation of all Interoperable Agency transacti perfo ily, monthly and annual reconciliation of all transactions placed at a Co Agency, and • orm daily, monthly and annual reconciliation of all Third -Party Service Provider a d Business Partner payments. Page 30 of 37 RFP 9-1177 Exhibit B 277 The Contractor shall perform monthly reconciliations of all Financial Accounts, including roll -forward schedules from prior periods, which will be provided to the Agencies for review. 278 The Contractor shall reconcile all payments received from all payment cha day of posting to the system. This shall include the identification an . reconciliation discrepancies. , ithin one • ution of all 279 The Contractor shall perform reconciliations, including but not lim' • detailed reconciliation of transactions/trips and revenue, = cility a type; • saction • Bank Accounts; • refunds by refund type; • prepaid account balances; • transponder deposits; • aged accounts receivable; • fees revenue; • penalties; • Write -Offs; • payment tr d • other ems and r ues. 1.2.18. The Agencies repo the A 'es' basic a , the While most Financ entry may be requir imary means by w SC. The financia ncial and is ex Co by the 280 ial Rep Year beginni y 1 and ending June 30. As a public -sector entity, statements are presented in compliance with pronouncements in ental Accounting Standards Board (GASB) and in conformity with nsactio e captured automatically through the BOS, some level of manual eports, including electronic reports and data exports from the BOS, are the the Agencies will capture financial information related to the operation of orts consist primarily of various BOS-generated reports which summarize tional performance of the CSC. While most reports are automated, the to provide manual reports for information that is not automated as requested The ontractor shall utilize BOS-generated reports Approved by the Agencies to fulfill reporting needs as described in the Reporting and Reconciliation Plan. Page 31 of 37 RFP 9-1177 Exhibit B 281 The Contractor shall provide all financial reconciliation and reports to the Agencies in a timely manner, but no later than the date(s) prescribed in the Performance Measures. 282 The Contractor shall provide all data to the Agencies in compliance with pron ncements issued by GASB and in conformity with GAAP. 283 The Contractor shall perform ongoing review of reports at a fre sufficient to guarantee all reports balance and reconcile to related reports. 284 The Contractor shall balance, reconcile and verify the content o epor ding but not limited to: • daily receipts report (by payment method, paym nnel and transact' e, including disbursements); • monthly receipts report (by payment metho ment chan nd transaction type, including disbursements); • bank reconciliations; • prepaid toll balance; • refunds; • payments to DMVs and of ' OV ice Pr rs for lookup and Registration Hold fees; • negative balanc- • - •aid custome • transacti• r-. • cust • . ging repor iolation N • , fees, etc.; • m. adjustme • ' ed • e Agencies, and • transp. ory reconciha • . 2: •ntracto 1 enter journal entries, check payments and other Financial . • s into • encies' general ledger systems on a daily, weekly and monthly basis. 286 The Contra. hall, at t - request of the Agencies, provide new vendor setup, including soliciting auk oviding W9 of the new vendor and setting up vendor information in Agencies (OC nd RCTC) accounting systems. 1,2. Audi 1.2.18. 8 Type II Audit The Contra shall engage an independent auditor to perform an SSAE-18 Type II audit to cover the operations of the CSC and provide the resulting report to the Agencies. The auditors have a fiduciary duty to the Agencies; however, the coordination of the audit, including managing the audit and related requests, managing interviews with staff, and the preparation of any supporting documentation or schedules shall be the responsibility of the Contractor. Page 32 of 37 RFP 9-1177 Exhibit B 287 The Contractor shall engage an independent auditor, which has been Approved by the Agencies to perform the SSAE-18 Type II audit. 288 The selected independent auditor shall be experienced and widely recognized i • the United States for performing these types of audits. (i.e., the selected audit firm s ► . rform a minimum of ten (10) such similar audits each year). 289 The Contractor and auditor shall mutually agree on an audit plan, w ► 11 be provided to the Agencies for Approval, including regularly scheduled meeti • 290 The audit shall cover the period of April to March 31 annuall , • plement • . bridge letter covering the period of April 1 through June 30 ann with the first ye. ing the Agreement start date through March 31 and the las covering April 1 thro . e end of the Agreement term. The Audit periods are d tely set to include an offse a bridge letter so that the Agencies' auditors will h e SSAE-18 T pe II report in time . start their audit work. 291 The final audit report shall be provided to the Ag o la n June 30 each year. 292 The Contractor shall comply with all changes to requi under SSAE-18; in the event SSAE-18 is replaced by a new Stan• .rd, the new standa apply and in the event the SOC1 is replaced by a new repo - •q the Contractor bmit the new reporting form. 293 The Contractor shall promptly com . ith all a . 294 The Contractor shall promptly notify g: of any • -rns raised by the auditors, including but not . • any asse, eakne • Hill. s on audit s • ,• • the • rs' ina • . + t; • the Con ability to carry out the audit; ojecte• •verruns and • tim in sch. • audit completion. .2.18.1.2. Quality ontractor shall uct daily quality audits. These audits shall encompass all aspects of the CSC 'on as descr n the Quality Plan. The Contractor must develop an audit report and provide it to encie • thly. 295 tractor shall conduct daily quality audits in accordance with the Contractor's Qua y Plan. All deficiencies identified through the audit process shall be successfully corrected by the Contractor. The findings in the audits will result in a monthly report to the Agencies. Page 33 of 37 RFP 9-1177 Exhibit B 296 The Contractor shall institute any corrective measures and procedural or operational changes as requested and Approved by the Agencies as a result of audits at no additional cost to the Agencies. Items identified by the Agencies as critical shall be corrected immediately. Other items identified by the Agencies as non -critical shall be ► rected as soon as practicable in accordance with an Approved schedule. 1.2.18.1.3. Other Audits Other aspects of the CSC are subject to audit by the Agencies and/or •arwell as the Contractor. Results of audits conducted by the Agencies and/or third p. , includin; • repared audit reports, will be shared with the Contractor, as applicable. 297 The Contractor shall support the Agencies in any au ity relating to the Agencie collection, BOS, and CSC Operations. 298 The Contractor shall conduct audits in accord 'th the Qu an. These audits may include but are not limited to: • internal control procedures; • revenue/transaction reporti • physical inventory audit; • security audits; • financial audit. • facility i • ons a • OCT ' C processi d performa 299 As th- ntant fo - • s he Contractor shall supply the Agencies' auditor( a -n on and schedules as requested and respond to requests fr • cies or its auditors in a timely manner. ' actor ovide the Agencies and their designee(s) access to the CSC for the purp► nduc' -iraudit(s). 301 The Contr. shall su. the Agencies by running reports and making all requested documentat vailable for review. The Contract all support the Agencies by making Contractor employees, consultants and other i -d subcontractors and parties available for interview by auditors. 303 - Co ► or shall successfully correct all deficiencies identified through the audit Page 34 of 37 RFP 9-1177 Exhibit B 304 The Contractor shall institute all corrective measures and procedural or operational changes as requested and Approved by the Agencies as a result of audits at no additional cost to the Agencies. Items identified by the Agencies as critical shall be corrected immediately. Other items identified by the Agencies as non -critical shall be erected as soon as practicable in accordance with an Approved schedule. 1.2.19. Revenue Management 305 The following forms of payment will be accepted by CSC. The C for s ount for, credit to the customers' accounts and deposit into the ap ro to Bank (s) all payments in accordance with the Performance Measures: • checks (including personal, business, e-check, cer and cashier's checks); • money orders; • cash (United States currency); • Credit Card, including mobile payments and E egrated circuit card (at in - person locations only) and • Debit Card (PIN -less debit o 306 Using the BOS, the Contractor s accep from c mers who use any combination of the above payment ods. Fo •mers can choose to pay a portion of their balance using a check ano • ortion • _ a Credit Card, or using two (2) or more differ • • 't Cards. 307 The Contrac 1 deg Ind post to omer accounts all payments received from all payment •ls within ame day th, ment was received from the customer. 308 The C * or shall de any checks r ed by the CSC electronically using Bank- speci • ck scann • . • erfa k ith the bank software. 309 The Contr. .11 manually r- . check information in the event of a check scan . 'lure. - .. ctor s . nually apply in the BOS any fees which are not automatically applie * • h the : accordance with the Business Rules, Operations Plan and SOPS. . Examples -se fee are a returned check fee or a one-time paper statement fee, which must •lected b the user. 1 The Contract all post all customer payments received by operations into the BOS. The Contrhall develop a full -cycle chain of custody process (such as, how payments . nsfer he mail room to an Agency employee for Posting to the bank for deposit) for s and cash balances which shall be included in the Operations Plan. 313 Th- •ntractor shall develop and implement money handling, counting and storage procedures that cover items including but not limited to: • responsibility for all funds until custody of the funds has passed to the Agencies; Page 35 of 37 RFP 9-1177 Exhibit B • all monies (checks and cash) collected shall be stored in a safe in a secure area until collected or deposited by the bank; • all money handling, counting and storage shall be performed in a secure are and under dual control at all times and • cash shall not be transported through public areas without approp ' curity. 314 The Contractor shall deposit all monies received into the Agenciesnts. 315 On a daily basis, the Contractor shall reconcile, balance and rep o the Age 11 bank deposits of funds received. 316 The Contractor shall develop and implement custom- nd procedures in acco with the Business Rules to be included in the Oper. ' lan. 317 The Contractor shall remit monies to and colle 4 ies from var' . arties in accordance with the Performance Measures and Operation Such r• .nces may be made by check, wire transfer, or book transfer, and may b- • , er the Contractor or the Agencies, in accordance with the Operations Plan an. clude but are not limited to payments to and from: • customers; • the Agencies; • Interoperable Agencies; • Lockbox Ser ; • DMV; • C n Agencies, • Thir Ser ess Partners. CSC recei ocuments are s Cases on a timely b nt Storage ener er documents over the course of daily business. These hard copy into th for easy retrieval and association with applicable accounts and nd pape ocuments are shredded. all provide and Approved approach for the handling, storage, scanning all paper documentation in accordance with the Security Standards. 31• Co •r shall provide for secure physical storage, not at the Agencies' facilities, of cuments in accordance with the Security Standards and SOPS. 320 The ontractor shall scan all paper documentation into the BOS associating each appropriately with applicable account(s) and Case(s). Page 36 of 37 RFP 9-1177 Exhibit B 321 The Contractor shall redact information in accordance with the Security Standards, Business Rules, Operations Plan and SOPS on the document prior to scanning the paper documentation in to the BOS. 322 The Contractor shall shred and dispose of all paper documentation aft as been successfully scanned in accordance with the Security Standards. 1.2.21. Interoperability The Agencies are already interoperable with the other toll agencies in Agreement, it is likely that interoperability will expand to includ Agencies will participate in regional and national interoperabilit nia. Ov .S. states and .fe of this s. The The Contractor will work in cooperation with all Intero e Agencies and CSC facilities, support the Agencies with efforts to provide for efficien uccessful of ion. 323 Working with the Interoperable Agencies, the Co r s ilitate the resolution of interface related issues or errors. 324 The Contractor shall provide fina .,1 and transactional 'baton with Interoperable Agencies. 325 The Contractor shall participate - interoperability and other interope erences eetings related to . 326 The Contractor shall provide a poi interoperable tr. • trips and c for res ion of issues arising with service including dispute resolution. 327 The Contra all mo , and mana_= required. e electronic file transfers within the BOS as 328 The C ncile i operable receivables and payables. Page 37 of 37 Exhibit B Volume IV: Perfor RFP 9-1177 Exhibit B asures RFP 9-1177 Exhibit B CONTENTS 1 INTRODUCTION 1 1.1 BOS PERFORMANCE MEASURES 1 1.2 CSC OPERATIONS PERFORMANCE MEASUREMENT 5 1.3 NON-COMPLIANCE PERFORMANCE ADJUSTMENTS .... 8 1.4 ESCALATION 8 1.5 CORRECTIVE ACTIONS 1.6 NON -CHARGEABLE AND CHARGEABLE FAILURES 1.6.1 Non -Chargeable Failures 1.6.2 Chargeable Failures 1.7 PERFORMANCE REPORTING TABLES 8 10 TABLE 1: BC'SPERFORMANCE MEASURES AND A. MENTS... ' ' OR! BOOKMARK NOT DEFINED. TABLE2 CSC OPERATIONS PERFORMANCE MEAS NI-COMPLIA 'OINTS 6 TABLE 3: NON -COMPLIANT S 8 Page i of i RFP 9-1177 Exhibit B 1 INTRODUCTION The following describes the Performance Measures for the BOS and CSC Operations. The Agencies require the Contractor to continuously operate the BOS and CSC in accordance with th tandards of performance identified in Requirements and these Performance Measures. The Contractor's performance will be both self -monitored and monitored b rated based on the Contractor's ability to meet these Performance Mea minimum performance expected of the Contractor to provide timely and well as the minimum level of customer service. 1.1 BOS Performance Measures BOS performance will be measured in categories that alig The specific method of measuring the Contractor's individual Performance Measure, but will gener calendar/Business Day or on a monthly basis. If a Perfo assessed an Adjustment to the monthly fee, based on the ca categories, the amount by which the Performance Measure i well the BOS is performing, therefore the on -compliance fees Performance Measure increases. Table 1, below, provides the BOS Performa for the Contractor. The Contractor's mo amounts shown. Attachment G: Sample KPI the monthly KPI Adjustment m M gencies and is ich reflect the cessing and he primary functions of th ance will ry depending on easur her by event, per easu of met, the Contractor is ibed in the table. For some matters in determining how se as the deviation from the ement c. ions and Adjustments sted .y the percentages and le scenarios for calculating Page 1 of 12 RFP 9-1177 Exhibit B Table 1: BOS Performance Measurers and Adju # BOS Performance Measure Measurement Calculation and Frequen ents� Adjustments 1 BOS availability - Priority 1 Calculates BOS Availability if a Priority 1 event has ing the period. Monthly Measurement of 99.80% uptime target. Availability shall be calculated as follows: Availability = (1- [Total number of hours of Priority 1 downtime pe I hours in the month]) * 100 Adjustments to the monthly tenance fee for availability etween 99.50% and 99.80%; A 5% Adjustments to the monthly maintenance fee for availability between 99% and 99.49% and A 10"/o Adjustments to the monthly maintenance fee for availability below 99%. 2 BOS availability-Priority2 Calculates BOS Availabil �' • tarred during the period. Monthly Measurement of • .time tar_• - Availability shall be calculate• ws: Availability = (1- [Total numbe of Priority a per s in the month]) * 100 A 1.0% Adjustments to the monthly maintenance fee for availability tween 99.50%and 99.80%; .5% Adjustments to the monthly aintenance fee for availability between 99"/o and 99.49%and A 3%Adjustments to the monthly maintenance fee for availability below 99%. 3 Interface data and file exchanges .I data or file exchange . , has incomplete data, is not .liant with the ICD, th ovided in the required time frame, per • reed to operating pr. Applies to all Interfaces other than Contrac . d Third -party Servicrs and Business Partners. $250 4 Interface acknowledgements Per individ t of a scheduled data o. . ange that is not acknowledged in the typical or r time frame, per the ICD :reed to operating procedures. $250 5 Interface exception handling Per indi ' a or file exchange where an 'on information is not provided to the source • d the designate contact is no in the required or typical time frame - .. to operating . . ures. Exceptions are inaccurate in • . or . anomaly that prevents data, files and $250 6 Trip Posting .ur or partial hour in whit -. of accurately posted within two (2) hours of lift. $3000 7 Job Process Per discrete event where a BOS Software job and/or process does not correctly run and . mplete within the expected time. Expected time = scheduled time+ maximum run time. $250 per event and up to 60 minutes of delay. $100 for each partial additional hour of delay. 8 t replenishments day in which all eligible Accounts with a valid payment mechanism are not re. ' hin one (1) hour of reaching the low -balance threshold. $2,500 Escalates by $2,500 each subsequent Calendar Day up to a maximum of $10,000 per Calendar Day Page 2 of 12 # BOS Performance Measure Measurement Calculation and Frequency of Adjustments 9 Sending of customer -initiated, non -batched email or text Per calendar day for each type of automated Notification orrectly sent within 15 minutes of eligibility. 0 10 Mailing of USPS Notifications Per subsequent calendar day in which eligible custo ions are not sent wi three (3) Calendar Days. 500 11 Reporting Per calendar day for each report that is not generated by the d e available with accurate data per the reporting schedule.. $100 12 Monthly system maintenance reports Per subsequent Business Day that the monthly report is not generate equired time frame. $500 13 Respond to agency requested information Per subsequent Busine • or does not provide acknowledge status of requested info a iness Days. $$00 14 Following the Approved change management process Per event of Contractor n. 'ng Ap . • r ment process and req testing before making a cha a BOS Har. 0 15 Log, track and report all BOS failures or reported System issues. Per event of Contractor not fo • pproved process . t within the PMMS. $250 16 Acknowledgement of BOS failure and degradation notifications by Contractor Per event without intentional hu .owled _•• .rded within th- .y the Contractors maintenance person ivi. . 'on of a BOS failure or `•n from the BOS, other Co , customers, the Agencies, Third- 'roviders and Busines• other contractor as follows: e (1) hour of notific. 'riority 1 event; • r (4) hours of notific.. . Priority 2 event; and • ty-Four (24) hours o on for a Priority 3 event. Priority 1- $1,000 Priority 2 - $500 Priority 3 - $250 17 Repair of Priority 1 failure or degra. Per Priori a that is not repaired w (4) hours. $ 2,500 per event and $200 for each subsequent hour of delay. 18 Repair of Priority 2 failure o • .n Per Pr' • - not repaired withi -four (24) hours. $1,000 per event and $100 for each subsequent hour of delay. 19 Repair of Priority 3 failure or degra. 3 failure .. n three (3) Calendar Days. $500 per event and $500 for each subsequent Calendar Day of delay. 20 Protect sensitive customer information from to others Per event of exposure of PII or PCI data to unauthorized persons. $25,000 per event and per subsequent day of exposure and all costs of direct damages, Notification and remediation. 21 cted custom reach. t of customer Notifications not being sent within two (2) calendar days of security $5,000 per event and $2,500 for each subsequent Calendar Day of delay. Page 3 of 12 RFP 9-1177 Exhibit B RFP 9-1177 Exhibit B BOX Performance Measure Measurement Calculation and Frequency of Adjustments 22 Remediate all PCI or PIl related deficiencies Per calendar day if deficiency remains after one (1) month tial date when any PCI or PII vulnerability is identified during PCI complia ormal network and BOS monitoring, testing or vulnerability scans. This inclu ng the Approved chang per Calendar Day management process, complete testing and success t into production of fi required to achieve compliance. 23 Recovery Point Objective (RPO) In case of primary BOS failure and transfer of production , where t $5,000 per event and $1,000 for more than ten (10) minutes. each subsequent ten (10) minutes of extended RPO. 24 Recovery Time Objective (RTO) In case of primary BOS failure and transfer of production to the D TO is $5,000 per event and $250 per each more than twenty-four (24) hours. subsequent hour of extended RPO. Page 4 of 12 RFP 9-1177 Exhibit B 1.2 CSC Operations Performance Measurement The CSC Operations Performance Measures are tracked and reported to measure the ability of the Contractor to execute the key business processes and SOPS required. The Performance easures are intended to align with the primary functions of the CSC Operations. Some Performance Measures will be used to measure performance of processes ecute multiple times per day, for example, serving customers at the CSC or via the telephr Performance Measures assess the Contractor's performance on the completion of a sp: a example the completion of accurate monthly reconciliation and submittal of the rec- •tion tation to the Agencies. The specific method of measuring the Contractor's perfor Performance Measure, but will generally be measured on compliance with the Performance Measures will result which are used to calculate the monthly Adjustment section. Regardless of how a Requirement is measu reporting for all Performance Measures. 1.2.1.1 Performance Scorecard For CSC Operations performance measu non-compliance point value. The value severity of the failure and its potential imp The Contractor shall develop Performance Scorecard. Failure to co h the Perf compliance points b • .. the Co accumulated non-ceach a sp month will be ad' . by a perce e of the tota Table 2, belo , for the Contrac amounts shown. s process is e Con will vary dependin tem, daily or monthly basis. signment o on -compliance poi ibed in the following shall provide monthly Performance e is assigned a weighted ance poin fined depends on the ness. rts, inc . g the Monthly Performance easure will result in the associated non - or's Monthly Performance Scorecard. If the d threshold, the Contractor's invoice for the ice value, as shown in Table 3. , measurement calculations and Adjustments oice will be adjusted by the percentages and stments provides sample scenarios for calculating the monthly KPI Page 5 of 12 Table 2: CSC Operations Performance Measures and Non- e Points OPS# 1 CSC Operational Performance Measures Reporting of all Operations Failures to the Agencies- The Contractor shall notify the Agencies of all obse failures identifying the failure utilizing the Approved notification process defined in the Operations Plan, SOPS and Busin. Measurement nd Frequency Non- Complianc Points* Per f. •ort observed operational fa" pproved notification process mutes 3 2 Monthly Reconciliations - The Contractor shall ensure all reconciliations are completed per the Requirements and th. are investigated,resolved, reconciled and closed and that the monthly roll -up of daily reconciliations, summarizing the da for the entire month is provided. •nth in which monthly roll -up is not "ded within three (3) Business Days of onth end 30 3 Quality Assurance - The Contractor shall ensure that all approved Quality Assurance (QA) processes, per the Quality Plan are completed monthly. month in which 100%of approved QA . ses are not followed 40 4 Customer Satisfaction - The Contractor shall use a Customer Satisfaction S tomer satisfaction with how contacts are handled. The post -contact survey questions will gauge the customers'sa - e received when contacting the CSC. n which Contractor does not rage of 4.5 (at a minimum) out of 30 5 Speed of Answer - Call Center request to speak with a CSR - The Contractor s. er incomin- cts to speak with a CSR. Per Busi which 80% of calls are not answered 60 seconds 3 6 Abandon Rate - The Contractor shall ensure incoming calls do not abandon prior to with a CSR. • ness Day in which 4% of calls or more ar doned 3 Speed ofAnswer - Chat -The Contractor shall answer incoming chat requests when a c. lect i aCSR :usiness Day in which 80%of chats are not answered within 60 seconds 3 8 Speed ofAnswer - Text -The Contract• _texts when a custome I eCSC. Per Business Day in which 80%oftext are not answered within 60 seconds 3 9 Speed ofAnswer- Email - They mail requests when a c. ects to email the CSC. Per Business Day in which 90%ofemails are not responded to within 1 Business Day 3 10 First Contact Resolution actor shall resolve custo sts on the first contact w . Customers will be provided a question on t was resolved on the first c Per Business Day in which Contractor does not resolve 85% of calls (per survey results) 5 11 CSC WIC Custom _times for customers to interact ' at the CSCs remain within acceptab Per Business Day in which 80%of wait times exceed five (5) minutes 3 12 Timeliness of Custo tomer requests, including resolving customer com • n of a cus • - etely resolving the issue, complaint or inquiry, such • fol customer, the Contractor o • _s is required. Per Business Day in which 90%of cases are not resolved within one (1) Business Day 3 Per Business Day in which 98%of cases are not resolved within five (5) Business Days 3 13 er Request Res ontractor shall completely and accurately resolve the customer requests. request means olving the issue, complaint or inquiry, such that no further follow up by the the Agencies is Per month that 99% accuracy is not met 30 Reason Code Acc tractor shall se ttransaction reason code. The BOS shall select a random sample set of one -hundred (100) tr ich required a r- • ch month which will be reviewed for accuracy as part of the Contractor's Quality Ass s. Both the pros •al outcome will be evaluated and the transactions which are determined to be adjusted or the wrong rea roprlately adjusted or reversed will be identified. Per month that 99%accuracy is not met 30 Page 6 of 12 RFP 9-1177 Exhibit B RFP 9-1177 Exhibit B OPS# 15 CSC 0 OCTA/RCTC Identified High Priority Issues Acknowledged and Assigned - The Contractor shall acknowle • • n to per High ' . e that is not appropriate staff all high priority customer issues. The Agencies will designate specific issues as"high prlo• .eissues are ackno. .assigned within two (2) provided to the Contractor. These issues are entered into the Case process for tracking to final resolution wmunicated bus' to the A• encies and the customer. tl 3 16 OCTA/RCTC Identified High Priority Issues Accurately and Completely Resolved- The Contractor shall accura• •letely , ' riority Issue that is not accurately resolve all high priority customer issues. Resolution means completely resolving the issue for the inquiry, such that th- -s pletely resolved within one no further follow u• b the customer, the Contractor or the Agencies. ness Da 3 17 �' er Business Day in which 90% of the sample of returned mail is not processed within 3 Processing ofRetumed Mail- The Contractor shall process all returned mail. Tstomer account must be updated with any n- 3 Business Da s information and further research tasks shall be undertaken in accordance wi Rules to attempt to obtain an address for customers with only an undeliverable address. ss Day in which 100% of the sample d mail is not processed within s Da s 3 16 Per Bu Processing of Transponder Requests - The Contractor shall package and trans nsponder req r0%of transpon•. �sis are not processed are not within two .usst ess Da 3 19 - ness Day in which 100% of payments Payment Processing - The Contractor shall ensure all payments are posted to the c • �• rocessed within two 2 Business Da 5 20 Research and Resolve Unidentified Payments - The Contractor shall ensure 100% o check payments which are ineligible for immediate posting to a c - - count (for example, paymen .rmation to identify the Per Business Day in which 100Vo of all posting account) are completely and accu . . mple, posted to an accou customer or documented s all avenues exhausted). These includ: a readily associated wit count The Contractor shall be responsible for conducting timely • hat the payments can b •a customer account as quickly as • ossible or, if all research aven. •sted and d.. racked as unidentified . se of future customer contact unidentified payments are not completely and accurately resolved within five (5) Business Days 3 21 Process Issue Refund 100 ligible to Per Business Day in which 100% of all refunds and . actor shall ensure refunds are comp . ccurately mailed customer or entered into • ystem as directed by the are not completely and accurately issued within five 5 Business Da s 3 22 Staff Turnover/A a Contractor shall ensure the staff turnover/attrition rate • ceed 5%of the total workforce each , Contractor is expected to im .lo ee n� agement tools, trainin_ er development •rocesses to ensu ce remains consistent per month in which voluntary turnover/attrition exceeds 5°h 10 23 TOC-Adherence to rating Proceor the TOC, which will describe duties such as notifying r: es (Ca1T .r2i$SRn.,.._- ck providers, performing pricing si:na:e wdates, dail chec' -tc. per Business Day which there is an event of non-compliance with the SOPS 3 For month! measures the Contractor shal ceb com •ari I the tan et •er ormance level de ned in these Per ormance Measures a• ainst their actual •e ormance or the month as a• &able. Page 7 of 12 RFP 9-1177 Exhibit B 1.3 Non -Compliance Performance Adjustments The Contractor's performance score will be determined each month by adding the points assessed for non-compliance as described above. A performance Adjustments will be made in eac month that the Contractor exceeds the allowable number of non-compliance points up to a ma ' monthly Adjustment. Table 3: Non -Compliance Adjustments Performance Level Non -Compliance Points Range Monthly Ilir Adjust Percent Level 1 0-30 0% Level 31-50 1° Level 51-150 Level 151-250 5 Level 251-400 12% Level 40 25% 1.4 Escalation Non-compliance points will accrue as follow • The first month that a specific Perfor of the initial valu • ociated no • If a specific P compliance • If a spe subse failure 1.5 Corrective plete the ilure condition, taken to prevent re CAP). For example,' uests within the t still be comple re, the e s assesse erformance consecutive tripled t Con order t mus asure is n that failur sure is not the thereafte re is not _ will result in the assessment nce points assigned in Table 3. et for a second consecutive month, the non - be doubled for that month. for a third consecutive month and for all non-compliance points assessed for that Measure does not relieve the Contractor of the Requirement to ith the Performance Measure. The Contractor shall identify the medion to remedy the condition and ensure that corrective action is d failure the future. This will be documented in a Corrective Action Plan Contractor fails to completely and accurately resolve 100% of the customer required by the Performance Measure, the unresolved customer requests nd accurately resolved and the Contractor must identify the root cause of of the problem and provide a plan to prevent future occurrences. The lete activities in a first -in, first -out order (FIFO). Skipping prior day's work in ith a Performance Measure will not be allowed. 1 The ontractor shall identify the failure condition, take immediate action to remedy the condition and ensure that corrective action is taken to prevent repeated failures. Page 8 of 10 RFP 9-1177 Exhibit B 2 Failure to meet a Performance Measure shall not relieve the Contractor of the Requirement to complete the activity associated with the Performance Measure. Any failure to meet a Performance Measure that requires the completion of a specific action(s), for example completing daily reconciliations or completing image review correctly, q ich is not completed in accordance with the Requirement, shall not relieve the C , for of the responsibility to perform in accordance with the Operations Plan and the • irements. 3 If a Performance Measure involving completing work in certain perio- A a is missed, the work shall be completed in order, such that the oldest work is com , e starting any newer work. The Contractor shall not skip any prior work and P s ne to avoid a subsequent Performance Measure Adjustment. 4 The Contractor shall develop a Corrective Action Plan ) for each failure - et a Performance Measure identifying the root cause(s), th t of the problem and p ' I g a plan to rectify the current situation and prevent occurrences. For example, Contractor fails to completely and accurately r customer r uests within the ti required by the Performance Measure, the unr customer is shall be completely and accurately resolved and the Contractor mu tify th cause of the failure, the extent of the problem and provide a plan to preven a ences. 5 The Contractor shall submit the CAP to the Agencies fo and Approval. 6 The CAP provided by the Contrac 11 be in a format A d by the Agencies as part of the Operations Plan. 1.6 Non -Chargeable and Charg For purposes of calculating Performance defined as follows: • Non -chargeable fa be assessed for • Chargeable f be assesse geable non -chargeable failures are ailures ed in the following section. Adjustments will not res. not specifi 'dentified as non -chargeable. Adjustments will 7 ► • • -chargeab es are limited to: •ajeure, 'ned in the Agreement; • BOS . Contrac . cause vironmental or operating conditions outside of those that the gntrols a tablished in the Requirements; • Preventiv, intenance as allowed in the Maintenance Plan and • failures t and Bu ' e the responsibility of other contractors and Third -Party Service Provider . Partners as determined by the Agencies. 1.6.2 e Failures 8 Cha , able failures shall include any failures not specifically identified as non -chargeable. Page 9 of 10 RFP 9-1177 Exhibit B 1.7 Performance Reporting The Contractor is required to provide the Agencies a Monthly Operations Report that includes the Contractor's Performance Reports and Performance Scorecard. The Contractor's erformance Report will include a series of reports detailing the Contractor's performanc inst each Performance Measure and details related to the failure events that resulted in th compliance. The Contractor's Performance Report shall contain all information necessar e Agencies to verify the Contractor performance as reported by the Contractor. 9 The Contractor shall prepare and submit to the Agencies th • ' er rmance Rep art of the Contractor's Monthly Operations Report on an agree• . day each month 'ned in these Requirements. 10 The Performance Report shall include: 1) a Perf• ce Scorecard calculating the compliance points assessed that month, if appli ) a series o - orts that is compris of one (1) report per Performance Measure, d: the Cont s performance against the Requirement that month supporting the Sco for • •rformance Measure, and 3) a historical report detailing the Contractor's per - :amst each Requirement for the most recent 13 months. Copies of all CAPS relate. 'lures for that month must be included. 11 The Contractor shall provide the thly Operation - t to the Agencies before an invoice will be considered for en . Page 10 of 10 RFP 9-1177 Exhibit B Attachment A Attachment A: OCTCT uilding Layou Page 1 of 4 RFP 9-1177 Exhibit B Attachment A Corona - Move Plan Draft 2/25/19 Legend iii Copier 3 Hi Lat File metal shelves Page 2 of 4 132 A 6 9 A 133 131 A B B A 128 6 A 122 y v F m o U 126 a s 121 134 B A f 0 127 102 Ana OFFICE/CUBICL 02.09.2017 Layout - Nor amen rep office/cubicle numberin 101 Storage E9 only. RFP 9-1177 Exhibit B Attachment A Page 3 of 4 B� t -7 ii Pr, 138 iai 136 a A 1 RFP 9-1177 Exhibit B Attachment A Anaheim y MBERING exact representation. cubicle numbering reference only. Page 4 of 4 RFP 9-1177 Exhibit B Attachment B Attachment 6: B et k and Server Room t Page 1 of 4 91 Express Lanes Network Diagram Legend pNETWORK c=a SERVER C:=? USER c= DATABASE Card Data Service Network VLAN MS DB Cluster Card Data Applicatton Network VLAN Active Node Passive Node l:WWW411004111111=7 MEN !MENA 1 Ill 'ore, NNE .111111117111111111-1 I I I l I I I I I I i I I I Ca d Da a Database Network VLAN cz=:. e diagra teroperability 2. ETTM System C tractor's respons tions of the ro i.cagc Area iv -crack Skews!! DMZ ULAN a a Rei Manaanmrn! Anaheim ions Confidential Orange county lane System VLAN 11110 Router Switch Riverside County ill lane System 1 VLA Siteao.Site lPsec VPN Tunnel RFP 9-1177 Exhibit B Attachment B side CCTV Cameras ULAN a2 Switch CORONA VLAN Irvine O DMV Sid llch Booth t network layout. Changes in ETTM System Contractors and/or in the future. ctor has a separate ISP and security hardware that would not be the , but need to be considered in determining power, heating, access, and Figu 9 ess Lanes Network Diagram Page 2 of 4 Mini Split A/C Unit Figure B-2: Se oom Layo Battery 36" min. 70" AFF f� 48" min. Racks 7 6" min. RFP 9-1177 Exhibit B Attachment B Card reader Lrols installed on backboard Page 3 of 4 Existing NAG Existing NA5 t misting #Ad Existing ftA3 Existing 1142 Existing i!A 1 Figure B-3: ADC r Mw Rac ifr6 RFP 9-1177 Exhibit B Attachment B Page 4 of 4 RFP 9-1177 Exhibit B Attachment C Attachment C: Eq meists Page 1 of 17 REP 9-1177 Exhibit B Attachment C Table C-1: Network Equipment Item MILEquip Name # Description ' Comments = Vendor Serial # Ship Date Wan Exp. illietions Anaheim Switch ana-svr- sw01 Catalyst 4948 48 Port Cisco 948-S FOX1347H6 2/16/2010 8/20/2016 Vendor disc on to maintain or replace Anaheim Switch ana-sw06 Catalyst 3750 24 Port Cisco C3750G- FOC11 6/27/2007 1/10/2014 Vendor discretion to maintain or replace Anaheim Switch 91 EL- CORE-02 Catalyst 4507R+E Chassis Cisco +E S EV 2/11/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Switch 91 EL- CORE-01 Catalyst 4507R+E Chassis Cisco WS- 46QOKJ 2/11/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Firewall 91 EL-ASA- 02 ASA5545 Firewall Cisco ASA55 K9 X2007109D 2/11/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Firewall 91 EL-ASA- 01 ASA5545 Firewall Cisco ASA5545-F K9 0710ES 2/11/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis 'sco 1 PWS-X4748- RJ45-E= OX 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis 1 PWS-X4748- RJ45V+E= SCA 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis Cis. Cisco + S-X4748- - SCAT200 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis AT2004L5 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis Cisco .-E 5S1 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Line card Line Card for Catalyst 4507R+E Chassis isco S-X4748- •J45V+E= • 005L2KY 6/30/2016 7/26/2020 Vendor discretion to maintain or replace Anaheim Switch Catalyst 3650 1 witch for CMS Signs WS-C3850-125- S SFCW2049COJQ 5/2/2017 6/11/2022 Vendor discretion to maintain or replace Anaheim Web Filter Web Sec .. s BYF810A33 BAR-YF-926397 6/5/2017 12/21/2020 Vendor discretion to maintain or replace Anaheim Switch Ca - 4 Port da WSG 810 to both 5 WS-C3650- 24TSS SFDO2143V1MX 3/15/2018 3/13/2021 Vendor discretion to maintain or replace Anaheim Switch •024 Port TS ETTM • WS-C3560G- 24TSS FOC1417Y20O 6/1/2010 Vendor discretion to maintain or replace Anaheim Network Time Server .us LX CDMA E Te 3014-0001-000 08040018 4/24/2008 4/24/2011 Vendor discretion to maintain or replace Anaheim Switch pub- - talyst 365024 Port` Cisco WS-C3650- 24TD-S FDO1936EOP4 2/4/2016 2/1/2020 Vendor discretion to maintain or replace Anaheim Switch pub-sw01 3650 24 Port WS-C3650- 24TD-S FDO1936EONS 2/4/2016 2/1/2020 Vendor discretion to maintain or replace Anaheim Router ana2cscRTR N sco ISR4331/K9 FDO1846A057 2/11/2015 2/12/2020 Vendor discretion to maintain or replace Anaheim Router MISCAL01 196 .ed Intem- Property of AT&T Asset#: T1807890 Cisco XDC1921Y FTX1901807J 4/16/2015 Vendor discretion to maintain or replace Anaheim US Roboti Property of AT&T Asset #: T1807890 4/16/2015 Vendor discretion to maintain or replace Anaheim S atalyst 49484: Cisco WS-C4948-S FOX1347G638 2/16/2010 8/20/2016 Vendor discretion to maintain or replace Anaheim t 385048 Po iSCSI switch for Nimble SAN Lync) Cisco WS-C3850-48T- E FOC1917U01U 6/22/2015 6/21/2020 Vendor discretion to maintain or replace Ana itch :50 48 Port SI switch for Nimble SAN Cisco WS-C3850-48T- E FCW 1917C01 F 6/22/2015 6/21/2020 Vendor discretion to maintain or replace Page 2 of 14 RFP 9-1177 Exhibit B Attachment C ■pcation Item . Equip Name Description Catalyst 3650 24 Port 3.1. Comments RCTC - ETTM Vendor Cisco Mod W Serial # j111 Ship Date Warr Exp. ations I Anaheim Switch ETTM FDOC1946E2E9 Vendo maintain e Corona Switch Catalyst 3560X 48 Port Cisco FDO1708P1 6/18/2013 6/21/2020 Vendor disc n to maintain or replace Corona Switch Catalyst 3560X 48 Port Cisco C3560X- FDO17 6/18/2013 6/21/2020 Vendor discretion to maintain or replace Corona Router csc2anaRTR 4300 Router ANA to CSC Cisco • F 2/11/2015 2/12/2019 Vendor discretion to maintain or replace Corona Switch Catalyst 3650 48 Port Cisco 1 48 .13Q095 10/10/2016 10/9/2019 Vendor discretion to maintain or replace Corona Enviroment Monitoring temp/hum AVTECH Room Ale 2-FABD41 2/15/2018 2/15/2019 Vendor discretion to maintain or replace Anaheim Switch Catalyst 385048 Port iSCSI switch for Nimble SAN (RAMS) Cisco WS-C3850- E •rO1UOXB 2/23/2016 2/23/2021 Vendor discretion to maintain or replace Anaheim Switch Catalyst 385048 Port 'SCSI switch fo - (RAMS) isco WS-C3850-48T- E 11C 2/23/2016 2/23/2021 Vendor discretion to maintain or replace Anaheim Catalyst 385048 Port iSCSI switch (UTIL) WS-C3850-48T- E SFO• 3/29/2018 4/2/2021 Vendor discretion to maintain or replace Anaheim Catalyst 385048 Port iSCSI switch fo (UTIL) Cis -C3850-48T- SFCW21 3/29/2018 4/2/2021 Vendor discretion to maintain or replace Anaheim Switch Catalyst 385048 Port Parsons camera switch Cisco - - CW2013C09L 6/6/2016 8/31/2020 Vendor discretion to maintain or replace Anaheim Switch Catalyst 3850 48 Port Parsons camera ne switch Cisco 09U 6/6/2016 8/31/2020 Vendor discretion to maintain or replace Anaheim Enviroment Monitoring temp/hum MS-1001 r. 9:00:67:CB 10/29/2014 10/29/2017 Vendor discretion to maintain or replace Corona Switch Catalyst 3560X WS-C3560X- 48FS-S FDO2106E2PE 2/23/2017 2/22/2020 Vendor discretion to maintain or replace TOC Switch Catalyst 3 1 PWS-C3650- 48TS-S SFDO2008E156 7/27/2016 7/26/2019 Vendor discretion to maintain or replace TOC Switch Ca Port TS 1 PWS-C3650- 48FS-S SFDO2022QOKK 7/27/2016 7/26/2019 Vendor discretion to maintain or replace TOC Switch 5048 Port SS 1 PWS-C3650- 48FS-S SFDO1953EOA7 6/21/2016 6/20/2019 Vendor discretion to maintain or replace TOC Switch t 3650 48 Port TS Cis 1 PWS-C3650- 48TSS SFDO2007E2U7 6/21/2016 6/20/2019 Vendor discretion to maintain or replace Page 3 of 14 RFP 9-1177 Exhibit B Attachment C Table C-2: Air Conditioners Manufacturer ID Model Sena! Liebert Blower #1 MMO60E-DOOLO 0640N136544 AF1-Cold Isle 2 ADC Server ' 199 discretion to maintain Or replace 5 TON Liebert Unit # 1 PFH067A-YL3 0640N136579 Roof of building ADC Se , ite 200 discretion to maintain or replace Liebert Blower#2 MMO60EDOOLO 0640N136537 AF2-Cold Isle 1 Above Kerry's ndor discretion to maintain or replace 5 TON Liebert Unit # 2 PFH067A-YL3 0640N136443 Roof of building ADC Server Roo Vendor discretion to maintain or replace Liebert CRV-20 Condenser Unit # 1 CR020RA1A7 N10JBM0014 Anaheim ADC ADC Row B - Rack Ty. Vendor discretion to maintain or replace Liebert CRV-20 5 T Minimate blower #1 CRV-20 N10JBM0014 Anaheim ADC ADC Row B - Rack Type Vendor discretion to maintain Or replace Liebert CRV-20 Condenser Unit # 2 CRV-20 N10JBM0013 Anaheim ADC ADC Row A - Rack Type Vendor discretion to maintain or replace Liebert CRV-20 5 T Minimate blower#2 N10JBM0013 Anaheim ADC ADC Row A - Rack Type Vendor discretion to maintain or replace ICP International Comfort Products N4H460GKG101 E164405664 Anaheim TOC & TO TOC closet - ndor discretion to maintain or replace ICP International Comfort Products FEM4X600BL A171885453 Roof of building set • r discretion to maintain or replace NA NA NA Corona Server Room New Un • r discretion to maintain or replace Page 4 of 14 RFP 9-1177 Exhibit B Attachment C Table C-3: UPS and Generator location di Item Description Vendor Model Serial # roup Ship Date Warr xp. Recommendations mments Anaheim Anaheim Generator Anaheim Generator Olympian Caterpillar 95A02612-5 2020969 NA Vendor discretion to maintain xpected to be or replace replaced Anaheim Uninterruplible Power Supply Anaheim A Power UPS Ferrups FEI8KVA BJ512FN012 ADC A Vendor discretion to maintain or replace Anaheim 18KVA Unintenuptible Power Supply Anaheim B Power UPS Powerware Powerware Model 9170 18KVA 173T011 / Ka103O023 closet NA Vendor discretion to maintain or replace Corona CSC Uninterruplible Power Supply UPS GE UPS LP33 UBS302LP2242100 19 3/2021 Vendor discretion to maintain or replace Installed 3/2019 Corona CSC Generator Corona Generator NA NA NA NA NA Vendor discretion to maintain or replace TBD ity and Fire Systems Descri tion 11111111ii \` ` Serial # Ship Date Recommendations Comments Anaheim/TOC Closet DPSI Fire Suppression System Fire Suppression System DPSI 10014421 NA Vendor discretion to maintain or replace 1 Inergen Tank Anaheim ADC DPSI Fire Suppression System Fire Suppression System A Vendor discretion to maintain or replace 6 Inergen Tanks Anaheim Badge System Badge System A NA Vendor discretion to maintain or replace Anaheim Alarm System Panel Honeywell Typ NA NA NA Vendor discretion to maintain or replace Installed 10/2012 Anaheim CCTV System NA NA NA Vendor discretion to maintain or replace Cameras and Software Corona CSC Badge System , - System antech Kante, r NA NA NA Vendor discretion to maintain or replace Installed 3/2019 Corona CSC Alamr System I NA NA NA Vendor discretion to maintain or replace Installed 3/2019 Corona CSC CCTV System NA NA NA Vendor discretion to maintain or replace Installed 3/2019 Corona CSC Vela Desktop RFID 6C Transponder Desktop Reader tar clarems NA NA NA Vendor discretion to maintain or replace us Equipment location Item Descdp .or Model Serial# � LocGroup Ship Dale Wart Exp. Recommendations Comments Corona CSC Vela Desktop RFID 6C Transpo Desktop Reade yslems NA NA Vendor discretion to maintain or replace 7 Corona CSC Identitiy 5200 ID52000023,28, Vendor discretion to maintain or replace 3 Units Page 5 of 14 AC CRAC-2 Cold Isle 2 Liebert - CRV F/B A6 XFMR (transformer to the SMART UPS RT 42 F 3000) 41 F F/B A5 44 43 B Eaton PDU 40 F SMART UPS RT 3000 39 F 38 F 37 36 F Pulizzi 35 F Pulizzi US Robotics - sittin on router Cisco 1900 - AT&T Router Host: 42 B Eaton PDU 41 B Cord Holder 40 B 39 B Shelf holding svrVMS modem 38 al over Table C-6: Anaheim Server Room Rack - AD F/B A4 FDU Connector Housing for 72 44 1 connectors Corning Patch 43 2 Panel(PCH-04U) Six 12 Port SC FDU Panels 42 3 CH-CP12-59) w Instock CTA 39 Firew 37 F IPS-K9) Firewall- IPS-K9) B) Pulizzi / Patch 1-12 41 F Patch 25-48 32 1 Cisco 4507r+e 31 2 Chassis (1) 30 3 93EL-CORE-01 Page 6 of 14 36 F Patch 73-96 4 F 33 F Patch 97-120 32 31 ANA-SW06 -POE 30 F 3750G A2 Pulizzi (B) Pulizzi (F) AMP 43 B/F NetConnec AMP Net Connect 42 F (starts on RU 43) 184-1 Patch Panel 184-2 Patch Panel 9 F Cable Managemen 38 F 264-1 Patch Panel 37 F 284-2 Patch Panel 36 F Cable Management 35 F 183-1 Patch Panel 34 F 163-2 Patch Panel 33 F Cable Managemen 32 F 283-1 Patch Panel 31 F 2B3-2 Patch Panel 30 F Cable Management RFP 9-1177 Exhibit B Attachment C Flexlight 2000 Panel 44 F Splice 43 F 42 F 41 F 40 F 39 F 38 F 37 F 36 F 35 F 34 F 33 F 32 F 31 F 30 F 29 F PUB -SWOT 28 F PUB-SW02 27 26 25 F Eaton PDU 24 23 F End Run Time Server 22 F Eaton PDU 21 20 F Keyboard / Monitor 19 F 18 29 28 OCTA CMS Switch Cisco 3850-NM- 27 F Blank 26 25 24 23 22 Keyboard / 21 F Monitor 29 4 28 5 27 6 26 7 25 24 23 22 15 7 14 1 Cisco 4507r+e 13 2 Chassis (2) 19 F MG1000 7 F 16 F 15 F 14 F Netpath Teltronics 29 F 1B2-1 Patch Panel RFP 9-1177 Exhibit B Attachment C 29 F 182-2 Patch Panel 28 F Cable Management 26 282-1 Patch Panel 25 2B2-2 Patch Panel (B) Pulizzi (F) Cable F Managemen (B) Pulizzi / (F) B1-1 Patch Panel 22 F B1-2 Patch Panel 21 F Cable Management 20 F Panel 19 F Cable Management 18 F Panel (B) Shelf w/ (F) Cable 17 B/F Management (B) 3 CPTC Loop (F) 1C2-1 / 1C2-2 16 B/F Patch Panel Page 7 of 14 13 15 F Cable Managemen 1C3-1 / 1C3-2 Patch 14 F Panel 13 F Cable Management 27 F 26 F 25 F 24 F 23 F 22 F 21 F 20 F 19 F 18 F 17 F 16 F 15 14 13 12 F 11 F svrTapeBackup 10 F 9 F Quantum Scalar i3 8 F 7 F 6 5 4 3 2 12 F Ms 10 9 F Powervault 8 F 5 B OCFA ETTM - Cisco Catalyst 3560 24 Port 1 4 12 3 91EL-CORE-02 11 4 10 5 9 6 8 7 7 6 5 10 11 Page 8 of 14 2 1C4-1 / 1C4-2 Patch 12 F Panel Cable Management 106-1 / 106-2 Patch 8 F Panel 3 2 1 Cable Managemen RFP 9-1177 Exhibit B Attachment C 11 10 9 8 7 6 5 4 11/1113311.. 2 Data Link DL50 I Phone Freestanding - UDS F/B Bl 42 B AMP Net Connect 41 B (Fiber patch from A to s) 40 B B1-1 Patch Panel 39 B 81-2 Patch Panel 36 B ANA-SVR-SW02 30 F svrwww01(omu 29 F svrwww02 Kno F svrSQL01 Edge Server (Lyoe Proien) 26 F svrLYED01 Reverse Proxy Server (Lyne Project) svrLYRP01 SOPHOS Email Gateway ES5000 Table C- 7: Anaheim Server Room Rack- AD 42 B 182-1 Patch Panel 41 8 182-2 Patch Panel 40 39 38 37 36 35 34 33 san-swi 26 B san-swi 25 F sra sramsvml 282-1 Patch Panel 20 -2 Patch Panel 42 B 163-1 P 41 B 183- RFP 9-1177 Exhibit B Attachment C F/B 84 F/B B5 42 8 -tch Panel 42 B 1135-1 Pa ch Panel(1-24) 41 8 atch Panel 41 8 1135-2 Patch Panel(25-48) 40 B Eaton PDU (A Power) 39 3• 39 B Eaton PDU (B Power) edia Server 27 B Yi3MD01(Lyn< Prole de Mediant Project) vrADC03 (Physical Domain Controller) 21 B 263-1 Patch Panel 20 B 263-2 Patch Panel Exchange Server oviic 18 F sr- 18 F Project) svrmail01 Page 9 of 14 . e Management B N: a Point 29 B 28 B GE INTERLOGIX KALATEL KTS-250-16 (MON OUTPUTS 1-16) GE INTERLOGIX KALATEL KTS-250-16 (MON OUTPUTS 17- 32) GE INTERLOGIX 27 B KALATEL KTS-250-16 (MON OUTPUTS 33- 26 B 48) OCTA CMS Theia Server 37 8 Superlogics Shelf CYCUION FIB1- 31 B 10/100w/sc60bf 29 B AVOCENT ESP-16 MI (3X) ( CAMS1-16 / CAMS17-32 / 28 B CAMS33-48 ) 27 B 26 B 25 23 B Axis P7216CH-01 22 21 B 284-1 Patch Panel 18 B 284-2 Patch Panel 23 B Eaton PDU (A Power) 22 B Eaton PDU (B Power) 21 IFS CARD CAGE PS-R3 20 B (POWER SUPPLY)/ (7x) VR4930WDM (CAMS1- 19 B 7) 18 B 17 10 F AVUSM 8 B FORTIWEB 1 17 F sramzc2 17 F svmhostl (Lync v 17 B NETAPP - DS14M K4 - Disk 16 F Enclosure 15 F 14 F NETAPP - DS14MK4 - Disk 13 F Enclosure 12 F 11 F NETAPP - DS14M K4 10 F Enclosure NETAPP - D514M K4 - Disk 7 F Enclosure AS2050-SAN k Enclosure 16 F svmhost 16 B 15 F svm 14 14 switch - cisc 13 B 48t-e (Lync Prol switch - cisco - ws 12 B 48t-e (Lync Project) 11 NETAPP - SD14M K4 - isk Enclosure NETAPP- Disk Encl imble5torage - C5300- 24T-1200F Page 10 of 14 RFP 9-1177 Exhibit B Attachment C GE PS-R3 Axis Q7920 Chassis 17 B (Y)/ (7x) • DM (CAMS8- 16 B 14) bermation System Floor AXIS 291 15 B 14 B 13 B 12 B IFS CARD CAGE PS-R3 (POWER SUPPLY)/ (7x) VR4930WDM (CAMS15-21) COMAIR ROTROM MB100- 11 B 320 (BAY1) IFS CARD CAGE PS-R3 10 B (POWER SUPPLY)/ (7x) VR4930WDM 9 B (CAMS22-28) 8 B 7 B 6 B 5 B IFS CARD CAGE PS-R3 (POWER SUPPLY)/ (7x) VR4930WDM (CAMS29-35) IFS CARD CAGE PS-R3 4 B (POWER SUPPLY)/ (5x) VR4930WDM / VT7450 3 B (VMS 91 WB/VMS 55 NB / VMS91 EB)(D12 4- 2 B CHANNEL) RFP 9-1177 Exhibit El Attachment C Table C-8: Anaheim Server Room Rack - AD F/B C1 (511C - Toll System Rack) F/B C2 (511C - RAMs 4 Infrastructure) F/B C3 (511C - Communications Rack) F. - CCTV F/: C5 (511C - CCTV) OCTA- KAPSCH F/B CCTV) KAPSCH 42 B 1C1-1 Patch Panel 42 B 1C2-1 Patch Panel 42 B 1C3-1 Patch Panel . 4-1 Patch Panel 105-1 Patch Panel 42 B 106-1 Patch Panel 41 B Cable Management 41 B Cable Management 41 B Cable Management 41 B 4-2 Patch 105-2 Patch Panel 41 B 106-2 Patch Panel 40 40 40 40 r 40 39 39 39 39 roc) 39 B Robotics 39 38 38 38 38 38 37 37 37 37 F ATMS-01 37 36 36 36 Firewall 36 35 35 35 34 33 F F 1 (OCTA) 35 35 34 34 34 34 33 33 32 F F RAMSNASOI 33 33 32 32 F IMAGE REVIEW/OCR SERVER 1 32 F IMAGE REVIEW/OCR SERVER 1 31 31 30 F F ANANASr 30 31 O F F F NVR-02 (RCTC) 31 31 30 30 F REVIE SERVER 2 IMAGE REVIEW/OCR SERVER 2 29 29 29 29 29 28 28 27 - mhost4 F 28 F 27 F APP1 28 27 F F APP1 27 26 26 25 F F S 26 26 26 25 25 25 B Catalyst 3850 48 RC -CC V-SWOT 25 F �� DATABASE 1 25 24 F F DATABASE 1 24 F svmhos . 24 24 B Catalyst 3850 48 RC-CCN-SW02 23 F 23 23 23 23 22 2 22 B 24 port FDU 22 F 21 F APP2 22 21 F F APP2 21 -2 Patch Panel 21 B atch Panel 1C3-2 Patch Panel 21 Page 11 of 14 RFP 9-1177 Exhibit B Attachment C 20 B Cable Management 20 B Cable Management 20 B Cable Management 20 F eo 20 20 19 19 18 F F SRAMSDB2 19 19 ilit F DATABASE 2 21 20 F F I 18 18 ristie (Video Wall Ctrl) 17 B Pulizzi Power Controller 17 16 F F SRAMSAPP2 17 17 19 16 16 F svmhost 7 (Util VM) 16 F Vid 18 5 F F TAPE BACKUP 18 15 14 13 F F F F TAPE BACKUP 15 B Cisco Catalyst 3650 24 port switch 15 14 F F SRAMZCS1 15 15 14 14 F sv 14 F Christie (Vi Wall Ctrl) 13 12 F F TZC1 13 12 F F SRAMZCS2 13 12 F 5vmhos . ristie (Video 12 12 11 30 F F TZC Spare 11 11 11 F F F F DAS1 11 10 9 8 F F F F DAS1 10 B Cisco 3850 30 B Cisco 3850 (. Chn Wall Ctrl) 10 9 F MOMS 9 B Cisco 3850 B Cisco 3850 (U 9 8 8 7 F F SAN - Dell Equallogic PS4210 8 8 F Christie (Video Wall Ctrl) 7 6 5 F F Ni Nimble CS1000 (Ut 7 7 DAS2 7 6 F Dell Powervault TL1000 (Tape Backup) F Christie (Video Wall Ctrl) 6 5 4 3 F F F F 6 5 4 3 F F F F DAS2 5 4 4 4 F Christie (Video Wall Ctrl) 3 3 3 2 2 2 2 2 2 1 1 1 1 1 1 Page 12 of 14 RFP 9-1177 Exhibit B Attachment C Table C-9. Anaheim ETTM Closet F/B TOC 1 42 F 1U FDU 41 F/B (F) 1U FDU / (B) PDU 40 B PDU 39 38 37 F 5ensephone lMS 1000 36 35 F 1-24 Patch Panel 34 F 25-48 Patch Panel 33 F 1- 48 New TOC Patch Panel 32 F 49- 96 New TOC Patch Panel 31 F New TOC Patch Panel 30 F Catalyst 365048 Port POE Switch 29 F Catalyst 3650 48 Port Switch 28 F Catalyst 365048 Port POE Switch 27 F Catalyst 365048 Port Switch 26 25 24 23 22 21 20 19 18 10 9 8 7 Page 13 of 14 Attachment 9-1177 Exhibit B Attachment C Table C-10: Corona CSC Relocation Rack F/B CSC 1 F/B CSC 42 42 41 41 40 1 U 24 Port Patch Panel (01- 24) [1A-24A] 40 39 1 U Cable Management 39 Catalyst 3560X 48 Port 38 37 1 U Cable Management 37 36 1 U 24 Port Patch Panel (25 - 48) [25A-48A] 36 AVTECH • , • sensor 35 1 U Cable Management 35 c4 1 U 24 Port Patch Panel (49 - 72) [49A-72A] 34 Synology 18TB N EIMEMEMEME 33 1 U Cable Manageme Catalyst '.Port 32 File& Print Server(svres 31 1 U Cable Management 1 U Cable Management 1 U 24 Port Patch Panel (73-96) h11-81A; 5-9,5-u, • 16) ontroller (vsvradccsc) 29 1 U Cable Management 29 - ent 28 1 U 24 Port Patch Panel (97 -120) [1B-248] 28 27 1 U Cable Management , 27 _ 26 26 25 1 U Cable Management 25 124 1 U 24 PortPa - 144) [25B-48B] Keyboard / Monitor (KVM) 23 1 U Cable 22 1 U 2 9B-728] 21 1 y' -: IAS Edge (svrLYi3MD02111F13 20 .iib'.✓<I31• 1 U Cable Management 19 .le Management IAS Application Server (svrLYi302) - SFB 18 . 24 Port Patch Panel (169 36-81B; ...] 1 U Cable Management U Cable Management 1 Corp Info Audio Codes (svrLYSW02) -SFB 1 U 24 Port Patch Panel l 16 1 U Cable Management Cable Manageme• 5 Corp Info MP-124 VOIP Gateway-SFB 14 1 U Cable Management 13 13 Catalyst 3750 48 Port PS 12 12 1 U Cable Management 11 11 Cisco 4300 Router (csc-4331-router) 10 10 9 8 DVR DS-7700 7 6 Page 14 of 14 RFP 9-1177 Exhibit B Attachment D Attachment D: CT Te nical Specifications for In g y Data Exchange Note: The CTOC Technical Specs are currently being modified for the merger of the Western Region. The Contractor should comply with the version provided by the Agencies during design. Page 1 of 56 RFP 9-1177 Exhibit B Attachment D CALIFORNIA TOLL OPERATORS COMMIT TOC") Technical Specific Interagency El for G.5.8 Mar 13, 2018 Page 2 of 56 RFP 9-1177 Exhibit B Attachment D Table of Contents 1 LIST OF REVISIONS 5 2 DOCUMENT CONTROL 12 3 GOAL 13 4 BUSINESS RULES 14 5 TECHNICAL SPECIFICATIONS .15 5.1 File Exchange Methodology 15 5.2 Process Flow Diagram (Example) 16 6 FILE NAMING CONVENTIONS 17 7 CALIFORNIA'S DEFINITION FOR -BIT TRANSPO D NUMBER FIELD 19 7.1 Tag Type 19 7.2 Facility Code 19 7.3 Internal Tag ID 20 7.4 Title 21 Agenc' -Of-State.. 21 8 GENER FORMAT S 21 8.1 Toll Charges sing 22 8.1.1 rative 22 23 ader Re ormat 23 24 24 24 8.2.5 Rules 25 8.3 Reconciled Toll Charges File 26 8.3.1 Reconciled Toll Charges Header Record Format 26 8.3.2 Reconciled Toll Charges Detail Record Format 26 it Record Format iler Record Format 8.2.E oll C ample File Page 3 of 56 RFP 9-1177 Exhibit B Attachment D 8.3.3 Reconciled Toll Charges Trailer Record Format 26 8.3.4 Reconciled Toll Charges Sample File 27 8.4 Tag Status File 8.4.1 Tag Status Header Record Format 8.4.2 Tag Status Detail Record Format 8.4.3 Tag Status Trailer Record Format 8.4.4 Tag Status Sample File 8.5 Pay by Plate Processing 8.5.1 Narrative 8.6 Pay By Plate File 8.6.1 Pay by Plate Header Record Format 8.6.2 Pay by Plate Detail Record Forma 8.6.3 Pay by Plate Trailer Record Format. 8.6.4 Pay by Plate Sample File 8.6.5 Business Rules.. 8.7 License Plate S 27 28 30 30 30 30 30 31 31 8.7.1 Plate ' Header Reco - rmat 31 8.7.2 Plate St , tail ' 31 8.7.3 . to Status ecord Format 31 32 32 to Charges File 33 y-Plate Header Record Format 33 8.8. ' econc' y-By-Plate Detail Record Format 34 8.8.3 ed Pay -By -Plate Trailer Record Format 34 8.8.4 Reconciled Pay -By -Plate Sample File 34 8.9 Correction File Processing 34 8.9.1 Narrative 34 Page 4 of 56 RFP 9-1177 Exhibit B Attachment D 8.10 Correction File 35 8.10.1 Correction File Header Record Format 35 8.10.2 Toll Charges Correction Detail Record Format 35 8.10.3 Correction File Trailer Record Format 37 8.10.4 Correction Sample File 37 8.11 Reconciled Correction File 38 8.11.1 Reconciled Correction Header Record Format 38 8.11.2 Reconciled Correction Record Format . 38 8.11.3 Reconciled Correction Trailer Record Format 41 8.11.4 Reconciled Correction Sample File 41 APPENDIX A: PLAZA/LANE DESCRIPTIONS APPENDIX B: TITLE 21 DEFINITION APPENDIX C: SUB TYPE DEFINITIONS FO C.1 Subtype - A C.2 Subtype - B C.3 Subtype - 42 51 52 52 52 52 APPENDIX D: SE PLATE D; OGIC 53 APPENDIX E: VI N E ► E READS 54 APPEN CALIFO ELECTRONIC TOLL COLLECTION STANDARD 55 Page 5 of 56 RFP 9-1177 Exhibit B Attachment D 1 LIST OF REVISIONS Rev. A Initial Release Rev. B Adds Good Tags File Layout Rev. C Adds Toll Violations File Layout Rev. D Adds Statement Descriptions in Appendix E Document Reformatted Rev. E Revise Good Tags File to Tag Status File Changed Processing Times Rev. F Modifies Violations File Format Adds License Plate Exchange File La Adds Document Distribution List Adds Additional Plaza/Lane Designations f Rev. G Modified Tag Status Fil Added new Appendix F Rename old Appendix F Re -organize document to Add Title 21 • - 'nition as Ap Add Titl- ed mess dditional to File ation fields t• Appendix I des as Appendix L Rev. G (1-7- Combin: ommentesions of document into current version for comm Rev. G (2- revisions to document. Rev. G (FINAL) Final comment - teleconfere orrections: DIF ag status file header. file fo tatus. Proce ing Narrative correction. ay -By -Plate Charges File — fixed Reconcile codes. orrections: General File Format Rule #15 regarding transaction uniqueness. eral File Format Rule #16 regarding sequence numbering. Rev. INAL) Corrections: 1) Remove "optional" from 3 subtypes on Tag Status File. Subtypes must be sent. 2) Remove the San Diego CALTRANS Bridge (Coronado). Rev. G.4 (April 26, 2004) Corrections: 1) Corrected Title 21 tag range assignments to reflect current approved assigned Page 6 of 56 RFP 9-1177 Exhibit B Attachment D ranges. 2) Corrected Definition of License Plate field (in License Plate Status File) to read "Alphanumeric" instead of "Alpha". 3) Added the following "Format conforming to DMV Parking Manual" the description of the License Plate Field. 4) Added "Daily Violation Sweep" Flowchart to Appendix D. 5) Updated "Pay by Certificate" Flowchart in Appendix E. Rev. G.4.1.a. (December 13, 2010) Corrections: 1) Corrected Table of Contents to include page 11, "Fil- : ming C. ons" 2) Updated the "Document Control" to remove Harr . nsen, Jr. and . ce Hill as the Document Control contact. 3) Updated the California's Definition for Title 2-BIT Transponder ID n Field to include the current Facility Code- criptions f• Tag Type and Ti Out-of-state Agencies (February 16, 4) Record Appendixes as listed in Rev. G. a) Appendix A: Plaza/Lane Descriptio b) Appendix B: Title 21 Definition c) Appendix C: Subtyp: Definitions for Tag d File d) Appendix D: Licen • .te Logic e) Appendix E: Violati• n . via 5) Appendix A: Added lane any •scrip (Win. , 'idge SB/NB Lane 13, November 3,2009) 6) Appendix A: Added lane and • rip ' . for1-6 • press lanes 7) Appendix A• ' -d lane any •tions for SANGAG Rev. G.4.1.b. 1) App 1 2) Up 3) Upda Field to of-sta rrection and desc n for TCA (Tomato Springs SB/NB Lane ency Codes, to add "BATA." rnia's e or Title 21's 32-BIT Transponder ID number he current Facility Codes, descriptions for Tag Type and Title 21 cies (January 13, 2011) 21, Corrections: : Dele : . nes and description for TCA (Portola Parkway North Off 03, 2248-04 and Portola Parkway North On Lanes 2249-03, 2249- ated California's Definition for Title 21's 32-Bit Transponder Id Number Id, Section 7.1 Transponder Tag Type ID for HOV Switchable Tags. (March 24, 2011) ) Includes Example Tag pdated General File Format Rules for switchable tag mode. (February 14, 2011) a) Section 8.2.2 Field: Tag ID; Notes section b) Section 8.3.2 Field: Tag ID; Notes section c) Section 8.4.2 Field: Tag ID Rev. G.4.3. (November 16, 2011) Changes: Page 7 of 56 RFP 9-1177 Exhibit B Attachment D 1) Added LA Metro to the Agency Codes; Section 6.0, Table 2. 2) Updated California's Definition for Title 21's 32-BitTransponder Id Number Field, Section 7.0. (Version 17, October 7, 2011) 3) Added lanes and descriptions for LA Metro to Appendix A: Plaza/ Descriptions Rev. G.4.4. (December 21, 2011) Changes: 1) Added lanes and descriptions for 237 Express Lanes to A: Plaza/Lane Descriptions Rev. G.4.5. (November 20, 2012) Changes: 1) Updated California's Definition for Title 21's 3ransponder Id Nu ield, Section 7.0. (Version 19, September 25, 20 2) Added lane and changed descriptions for AG 1-15 to Appendix A: Plaza/Lane Descriptions Rev. G.4.6. (March 22, 2013) Changes: 1) Updated California's Definition for Title 21's Section 7.0. (Version 21, March 21, 2013) a) Note: Version 20: - signed Facility b) Version 21: Newly ity Codes Rev. G.4.7 (April 03, 2013) Chang 1) Added/updated plazas for LA ro t. .en• .za/Lane Descriptions ansponder Id Number Field, for TCA; Table 1 & 2. 91; Table 2 Rev. G.4.8 (Nove 1) Update Secti Rev. G. 1) Up • . alifo e 21's 32-Bit Transponder Id Number Field, Sectio ion 23, Nov- . - r 21, 2013) le 21's 32-Bit Transponder Id Number Field, 2013) 014) Update: ' Definition for Title 21's 32-Bit Transponder Id Number Field, (Ve 4, April 3, 2014) ber 23, 2014) Changes: as for TCA to Appendix A: Plaza/Lane Descriptions d: 61 lanes ed: 4 lane me Changes: 6 lanes Rev. c (November 10, 2014) Update: 1) pdated California's Definition for Title 21's 32-Bit Transponder Id Number Field, Section 7.0. (Version 25, November 6, 2014) Rev. G.4.9.d (November 13, 2014) Update: 1) Updated California's Definition for Title 21's 32-Bit Transponder Id Number Field, Section 7.0. (Version 26, November 13, 2014) Page 8 of 56 RFP 9-1177 Exhibit B Attachment D Rev. G.4.9.e (May 21, 2015) Update: 1) Updated California's Definition for Title 21's 32-Bit Transponder Id Number Field, Section 7.0. (Version 27, November 13, 2014) 2) Change: a) Deleted TCA's CLOSED lanes from the APPENDIX A: ' ./Lane Descriptions b) 2.0 Document Control: Removed Joyce Hill, adde- .rrier 3) Add: a) APPENDIX A: Plaza/Lane Descriptions b) 4001-4009 Reserved for OCTA c) 4020-4040 Reserved for RCTC Rev. G.4.9.f (June 08, 2015) Update: 1) Updated California's Definition for Titl Section 7.2, Table 1, (Version 28, Jun 2) Deleted "(Pilot Project)" from Section 7.2, Rev. G.4.9.g (June 15, 2015) Update: 1) Added "(Multiprotocol Ta 2) Updated California's Defi Section 7.2, Table 2, (Vers Rev. G.5 Draft VO (April 21, 2006) Mo 1) Changed "Am • Charged" t Reconcilees and R field to t and "Plat tion) in the 2) Add "Ac 3) Add " 4) Eli 5) A 6) BA assign Fran ev. G. 1) Adde non -re 2) Added "REVG. 3) Update Upd !den nt Identi e "D" (Dele larifying ed AS (Caltrans). irport added to list of Agency Codes. 32-Bit Tra 15) ction 7.2, Tab 1's 32-Bit he 15) der Id Number Field, onder Id Number Field, Posted" in RAN AMOUNT field in ed Pay -by -Plate Charges files ntifier" fields to plate file File (which should always be INIT only) aily Violation Database Sweep des used in filename. BATA will use the code (No -r21, 2013) Modifications: ote to plates. ION to all header files. This field will contain the Version Number, ht justified. This will allow for backward compatibility in the future. pendix A, adding new I-15 plazas and lanes. ppendix F with new ranges from CALTRANS. ntry/Exit Times and Axle Count to toll and Pay -By -Plate transaction files. II Charges Processing narrative to standardize exclusion of Rev G graft V2 (April 16, 2014) Modifications: 1) Modified Section 4.0 - Item 3 - Added more clarity to Guarantee of payments for valid plates. 2) Modified Section 8.1.1 - Narrative (2nd Paragraph) - clarified note. 3) Modified Section 8.2.2 a) Removed DST Field Page 9 of 56 RFP 9-1177 Exhibit B Attachment D b) Modified AXLE Count Notes c) Added OCCUPANCY Field 4) Modified Section 8.2.4 — a) Modified Toll Charges Sample File to include how different ip Types are included. 5) Added new section 8.2.5 - Business Rules to describe how - xit Information is included in the Toll Charges File. 6) Modified Section 8.3.2 - a) Changed Notes for the first 13 Fields to reflect original Toll Charges File. b) Removed DST Field c) Removed INFERRED TAG READ Fiel d) Added Occupancy Field 7) Modified Section 8.5.1 - a) Pay by Plate Narrative - Modifi b) Removed GENERAL GUIDELIN 8) Modified Section 8.6.2 - Remove DST Fla 9) Added New Section 8.6.5 — Business Rules e Status Files. 10)Modified Section 8.7.2 - PI. - tatus Detail Rec. •rmat a) Removed PlatelD b) Changed Definition c) Added PLATE TYP Accounts. 11)Added New Section 8.7.5 — B -s- es for ' . - Status Files. 12)Modified S-- - Recony-by-Plate Detail Record Format a) Mor field 1 13 to reflect that it will be same as the PBP File Rev G.5 1) Sectio ded update • ..cess flow ection 'econciled Toll Charge File - Added POST AMT Field n 8. codified Business Rules section based on comments from the viously m ction e same as the Paragraph 4. -Revenue Plate 8.2 - ' . iled PBP Charge File - Added POST AMT Field. ecember 2, 2014) ument to include changes made in Rev. G.4.9.a, Rev. G.4.9.b, Rev. Rev. G.4.9.d. dated California's Definition for Tile 21's 32-Bit Transponder Id Number ield, Section 7.0 Updated plazas for TCA to Appendix A: Plaza/Lane Description 2) ' -vision of the document based on comments 3) Section 5.2 — Included updated process flow Rev G.5 Draft V5 (January 22, 2015) 1) Section 8.5.2 — Removed bullet in C - Exception of Distance based toll. Page 10 of 56 RFP 9-1177 Exhibit B Attachment D Rev G.5 Draft V6 (May 1, 2015) 1) Updated 8.2.2 Toll Charges Detail Record Format to add 6C Tag compatibility. 2) Updated 8.3.2 Reconciled Toll Charges Detail Record Format to add 6C Tag compatibility 3) Updated 8.4.2 Tag Status Record Format to add 6C Tag comp 4) Added Appendix F — 6C Toll Operators Coalition AVI Transp. Programming Standard (Version 2.0 November 20,2014) Rev G.5 Draft V7 (June 1, 2015) 1) Updated document to include changes made in R-v...4.9.e (Ma •015) a) Changed 2.0 Document Control: Remov- ce Hill, added arrier b) Updated California's Definition for Titl: . 32-Bit Transponder ber Field, Section 7.0. (Version 27, No -r 13, 2014) c) Deleted TCA's CLOSED lanes fr- e APPEN A: Plaza/Lane Descriptions d) Added notes to APPENDIX A: PI.. a ptions i. 4001-4009 Reserved for OC ii. 4020-4040 Reserved for RCTC 2) Updated Section 8.2.2 a) Changed Notes fo ield 3) Updated document to inclu ha - - in Rev. f (June 08, 2015) a) Updated California's ition o ' 32-Bi Transponder Id Number Field, Section 7.2, Ta. (Ve 2:, , 2015) b) Delete • "''lot Project)' ion 7.2, Table 1 Rev G.5 Draft 1) Upd 15) clude cha able Transp pro 0 2015) Update: s Definition for Title 21's 32-Bit Transponder Id Number Field, 30, October 7, 2015) pendi .0 Programming Standard, Version 2.1 made in Rev. G.4.9.g (June 15, 2015) r Tags Facility Codes, Section 7.2, Table 2 21 CA Transponder ID Ver. 29 to Section 7.2, Table 1 y 19, 2016) Update: ed plazas for 1-580 Express Lanes to Appendix A: Plaza/Lane 5, 2016) Update: ed California's Definition for Title 21's 32-Bit Transponder Id Number Field, ction 7.0. (Version 31, April 20, 2016) 2) Updated Appendix F, 6C Programming Standard, Version 3, rev. 3 Rev G.5.4 (August 17, 2016) Update: 1) Added/updated plazas for 91 Express Lanes to Appendix A: Plaza/Lane Descriptions Page 11 of 56 RFP 9-1177 Exhibit B Attachment D Rev G.5.5 (December 27, 2016) Update: 1) Added field justification clarification for the ACCOUNT ID field in the Tag Status Detail Record table (section 8.4.2) and the Plate Status Detail Record table (section 8.7.2) 2) Updated the sample file examples in sections 8.2.4, 8.3.4, 8.4.4 8.8.4. 3) Added ATI information section 9 to separate ATI files from ' files 4) Updated I-580 lanes in Appendix A: Plaza/Lane Descrip Rev G.5.5.a (Mar 9, 2017) Update: 1) Updated SANDAG Express Lanes in Appendix .za/Lane Desc Rev G.5.6 (Oct 13, 2017) Update: 1) Section 3 — Changed the reference to Se Code 2) Updated California's Definition for Titl Section 7.0. (Version 32, September 26, 3) Section 8.2.2 - Added Vehicle Type to the , 8.7.4, and ill 1523 t. Streets and High 2-Bit . •onder Id Number Field, ges Detail Record 4) Modified section 8.4.2 - Ta• Status Detail Rec a. Removed "D — de b. Added clean air ve •e B 5) Section 8.6.2 — Added Veh 6) Section 8.7.2 — Added a Su Record 7) Deleted Sec 8) Updated I 9) Update 10)D Rev G.5.7 ( 1 Rev G.5.8 1) Sectio 2) Section the Rec 3) Section proce TI Proces Lanes i NDIX A: rved for R S" "B", and pda e. ile extensions in table 1 os throughout section 8 tail Record s to the Plate Status Detail endix A: Plaza/Lane Descriptions /Lane Descriptions rom APPENDIX C: Sub Type Definitions date: rrection File and Reconciled Correction File to table 1 dded TRAN FEE and TRAN FEE TYPE to the Toll Charges file, and ed Toll Charges file. Added sections for Correction File and Reconciled Correction File Page 12 of 56 RFP 9-1177 Exhibit B Attachment D 2 DOCUMENT CONTROL All suggested additions, changes, and deletions should be submitted to: Rick Carrier c/o Transportation Corridor Agencies 125 Pacifica Irvine, CA 92618 Phone: (949) 754-3471 Fax: (949) 754-3464 Email: rcarrier@thetollroads.com Archival of this document will be at: Transportation Corridor Agencies 125 Pacifica Irvine, CA 92618 Any requests for changes, modifications, corrections, e forwarded (through CALTRANS) to TOC members into this Specification. No additions s or deletio unless and until the same have bee CTOC be logged, and then ment before incorporation I be valid and effective rs. Page 13 of 56 RFP 9-1177 Exhibit B Attachment D 3 GOAL The members of the California Toll Operators Committee acknowledge tha goals is to offer interoperability to their customers including the ability t account statement to each customer setting forth their transactio participating facilities. In addition, and in accordance with Ca Highways Code, Section 27565, the CTOC agencies will ensure t collection, the vehicle owner shall not be required to purchase transponder device to use on all participating toll facilities. stall e of their a single ities on all Streets and oses of toll than one Acquiring Agency The owner/operator of the facilities ich a transaction occurred. AVI Automatic Vehicle Identificati. • CHP California Highway Patrol — - law enfor► -nt agency charged with enforcing the • nia Ver. ode. Facility Code A number within a range of nu .. ed by CALTRANS to the Issuing Agency, which is p ed into the transponder for . tomatic identifica rposes. Issuing Agenc