10-04. Attachment C - UDOT BOS RFP Scope of Work.pdf

Utah Department of Transportation (UDOT)

I-15 Express Lanes

Attachment C - Scope of Work

December 4, 2025

UDOT I-15 Express Lanes Attachment C – Scope of Work i

Table of Contents

1 Scope of Work

1.1 Overview

1.2 Current Tolling Program and Functions

2 System Requirements

2.1 Technical Requirements

2.1.1 Host Environments

2.1.2 System Functionality

2.1.3 Payment Card Industry Data Security Standards and Compliance

2.1.4 Data Retention

2.1.5 Interfaces

2.1.6 Mass Account Action Functionality

2.2 Functional Requirements

2.2.1 Account Management

2.2.2 Transaction Processing

2.2.3 Payment Processing

2.2.4 Case Management

2.2.5 Quality Control and Quality Assurance

2.2.6 Transponder Management

2.2.7 Customer Portals

2.2.8 Call Center

2.2.9 Financial Requirements

2.2.10 Account Searches

2.2.11 Reporting Requirements

3 Operations Requirements

3.1 Operations Plan

3.2 Staffing

3.2.1 System Operations

3.2.2 Customer Service Center

3.2.3 Employee Requirements

3.3 Customer Operations

3.3.1 Hours of Operation

3.3.2 High Call Volume Procedures

Attachment C – Scope of Work ii

3.4 Emergency Plan and Security Incident Handling

3.4.1 Disaster Recovery Plan

3.4.2 Critical Outages

3.4.3 Recovery Time Objectives

3.4.4 Software Incident Response Fix Targets

3.4.5 Hosting Security

3.5 Operations Management

3.5.1 Reporting Requirements

3.5.2 Operations Reporting Requirements

3.5.3 Progress Reports During and Post Implementation

3.5.4 Annual Reports

3.5.5 Monthly Operations Invoice

3.6 Facilities

3.6.1 Disaster Recovery Site

3.6.2 Disaster Recovery Failover Testing

3.6.3 Facility Access Control (if applicable)

3.6.4 Internal Access Controls

3.6.5 Payment Transaction Controls

3.7 Account Management

3.7.1 Opening Accounts

3.7.2 Account Payment Status Reminders

3.7.3 Negative Account Balance Handling

3.7.4 Account Suspension and Closure

3.7.5 Payment Status Notification Timeline

3.7.6 Payment Processing

3.7.7 Transaction Processing

3.8 Transponder Management

3.8.1 Transponder Purchase, Testing, and Storage

3.8.2 Customer Transponder Ordering and Shipments

3.8.3 Transponder Replacement and Warranty

3.8.4 Transponder Deactivation

3.9 Financial Management

3.9.1 Payment Types, Processing, and Reconciliations

3.9.2 Payment Posting

Attachment C – Scope of Work iii

3.9.3 Audits

3.10 Customer Communications

3.10.1 Blast Email Communication Tool

3.11 Account Statements

3.11.1 Statement and Transaction Details

3.11.2 Customer Statement Notification and Delivery

3.11.3 Account Statement Configuration and Function

3.11.4 Web Services

3.12 External Communications

3.12.1 Public Relations, Records and Media Requests

3.12.2 Collateral Materials

4 Business Rules

4.1 Introduction

4.2 Toll Pricing and Fees

4.2.1 Federal and State Policies

4.2.2 Admin Fees

4.2.3 Dynamic Pricing and Rates

4.2.4 Promotional Plan

4.3 Vehicle Eligibility and Exemptions

4.3.1 Types of Vehicles

4.3.2 Out of State Vehicles and Transponders

4.3.3 Toll Exemptions

4.4 Customer Service

4.4.1 Staffing and Hours of Operation

4.4.2 Toll Free Number and Website

4.4.3 Interactive Voice Response

4.4.4 Account Management

4.4.5 Customer Communications

4.4.6 Case Management and Tracking

4.4.7 Participant Agreement and Customer Privacy

4.5 Transaction and Payment Processing

4.5.1 External Interfaces

4.5.2 Trip Building

4.5.3 Posting Transactions

Attachment C – Scope of Work iv

4.5.4 Payment Methods

4.5.5 Payment Processing and Adjustments

4.5.6 Account Replenishment

4.6 Financial Management

4.6.1 Reconciliations and Financial Settlement

4.6.2 Audits

4.6.3 Account Financial Status

4.6.4 Account Closure Procedures

4.7 Transponders

4.7.1 General

4.7.2 Customer Orders and Shipments

4.7.3 Replacement and Warranty

4.8 Violations

4.8.1 Types of Violations

4.8.2 Handling of Violations

4.9 Reporting

4.9.1 General Requirements

4.9.2 Operations Reports

4.9.3 System Performance Reports

4.9.4 Ad-Hoc Reports

4.10 Public Relations

5 Testing Requirements

5.1 General

5.2 Testing Sequence and Logistics

5.2.1 Unit Testing and Factory Acceptance Testing

5.2.2 Integration Acceptance Testing

5.2.3 Onsite Installation and Commissioning Testing

5.2.4 End-to-End Testing

5.2.5 Data Migration, Transition, and User Acceptance Testing

5.2.6 Operational Testing

5.3 Final Acceptance

6 Transition and Migration Plan

6.1 Purpose and Objectives

6.2 Scope of Transition

Attachment C – Scope of Work v

6.2.1 Customer Channels

6.2.2 Customer Data

6.2.3 Payment Processing

6.2.4 Roadside Interface

6.2.5 Finance and Accounting Systems

6.2.6 Artifacts and Records

6.2.7 Knowledge Transfer

6.3 Existing BOS Data Environment Overview

6.3.1 Overall System Complexity

6.3.2 High-Level Data Structure Indicators

6.3.3 Historical and Audit Architecture

6.3.4 Transactional and Financial Data Volumes

6.3.5 Interfaces and File-Based Data Inputs

6.3.6 Artifacts and Stored Documents

6.3.7 Post-Award Information Provided to the Selected Contractor

6.4 Transition Principles

6.4.1 Customer Continuity First

6.4.2 Alignment with Testing

6.4.3 Early Engagement with Incumbent Vendor

6.4.4 Security and Compliance

6.4.5 Parallel Validation with Operational Testing

6.4.6 Fallback Preparedness

6.4.7 Hypercare Commitment

6.4.8 Transparency and Governance

6.5 Transition Approach and Phasing

6.6 Deliverables

6.6.1 High-Level Deliverables (RFP Response)

6.6.2 Detailed Deliverables (Post Award)

6.6.3 Review and Approval

6.7 Schedule Guidance

6.7.1 Alignment with Testing Phases

6.7.2 Phased Timeline Expectations

6.7.3 Go/No-Go Checkpoints and Dependencies

6.7.4 Schedule Deliverables

Attachment C – Scope of Work vi

6.7.5 UDOT Oversight of Schedule

6.8 Risk Management

6.8.1 Risk Identification in RFP Response

6.8.2 Risk Assessment and Prioritization

6.8.3 Mitigation Strategies

6.8.4 Contingency and Fallback

6.8.5 Post-Award Risk Register

6.8.6 UDOT Oversight Role

6.8.7 Success Criteria for Risk Management

6.9 Customer Communications and Change Management

6.9.1 Guiding Principles for Customer Communications

6.9.2 Customer Communication Deliverables

6.9.3 Internal Change Management

6.9.4 Monitoring and Feedback During Transition

6.9.5 Hypercare Communications Support

6.9.6 Success Criteria for Customer Communications and Change Management

6.10 Governance and Reporting

6.10.1 Governance Framework

6.10.2 Reporting Requirements

6.10.3 Risk and Issue Tracking

6.10.4 Decision-Making and Approvals

6.10.5 Meeting Cadence

6.10.6 Transparency and Accountability

6.10.7 Success Criteria for Governance and Reporting

6.11 Contractor RFP Response Summary

6.11.1 Transition Schedule (Required)

6.11.2 High-Level Transition Plan and Approach (Required)

6.11.3 Staffing and Support Plan (Required)

6.11.4 Assumptions, Dependencies and Needed Support (Required)

6.11.5 Preliminary Risk Assessment (Required)

6.12 Future Transition Readiness and System Portability Requirements

6.12.1 Purpose and Intent

6.12.2 Scope of Transition Readiness Requirements

6.12.3 Data Portability Requirements

Attachment C – Scope of Work vii

6.12.4 Payment Credential Portability

6.12.5 Roadside Interface Data and Transaction Portability

6.12.6 External Interface Documentation Requirements

6.12.7 Artifacts, Correspondence, and Records Portability

6.12.8 Configuration and Rule-Set Documentation (Data Only)

6.12.9 Technical Documentation Requirements

6.12.10 Export Procedures and Testability

6.12.11 Annual Transition Readiness Attestation

6.12.12 Future Transition Package

6.12.13 Success Criteria

7 Concept of Operations

7.1 Introduction

7.1.1 Purpose of the Document

7.1.2 Scope

7.1.3 Overview of the Tolling Program

7.2 Operational Needs

7.2.1 Business Objectives

7.2.2 Key Performance Indicators

7.2.3 System Goals and Objectives

7.2.4 Key Express Lanes Challenges

7.2.5 Regulatory and Policy Considerations

7.3 System Overview

7.3.1 Current Overall System Architecture

7.3.2 Current Back Office System

7.3.3 Critical Interfaces with Other Systems

7.4 System Scenarios

7.5 User Classes and Stakeholder Roles

7.5.1 Stakeholders and Their Roles

7.6 Functional Requirements

7.6.1 Transaction Lifecycle Management

7.6.2 Account Management

7.6.3 Customer Service Operations

7.6.4 Reporting and Analytics

7.6.5 Security and Privacy

Attachment C – Scope of Work viii

7.7 Support Environment

7.7.1 Maintenance and Support Environments

7.7.2 Training and Documentation

7.7.3 Service Level Agreements

List of Figures

Figure 1: Overview of I-15 Express Lanes (By the Zone) Figure 1: Overview of I-15 Express Lanes (By the Zone) Figure 2: VTMS Before the Start of an Access Zone Figure 3: Overhead Signs Marking and Access Zones

Attachment C – Scope of Work 1

1 Scope of Work

1.1 Overview

The Utah Department of Transportation (UDOT) is requesting proposals to acquire a Contractor to design and operate an Express Lanes Back Office System (BOS) along with the related customer service center and support services. Under this procurement, the Contractor shall be responsible for BOS development, transition, testing, delivery, and operational services to support the electronic toll collection account management for Express Pass customers. The Contractor shall perform all work as detailed in the system specifications and requirements described in this Scope of Work (SOW), along with the other remaining attachments included in the RFP.

1.2 Current Tolling Program and Functions

This section offers an overview of the existing system, including system infrastructure and usage. The below outlines the I-15 Express Lanes.

● Extent of Operations: Managing 82 miles of Express Lanes in each direction on I-15 (164 miles total) including the operation of 77 toll plazas along the route.

● User Engagement and Statistics: Over the past year, the I-15 Express Lanes have recorded 1.63 million Express Pass trips and currently serve almost 30,000 active transponders across 20,000 accounts.

● Traffic and Revenue: In FY25 the Express Lanes recorded 1.63 million annual trips, generating $2.75 million in revenue.

● Enforcement: Utah Highway Patrol handles enforcement exclusively. Currently, UHP is enforcing HOT lane violations as part of their standard operations.

● User Requirements: Single-occupancy vehicle (SOV) users are required to register online and obtain a toll pass transponder, whereas HOV2+, bus, and motorcycle users do not require a toll pass and they are exempt from toll fees.

Figure 1: Overview of I-15 Express Lanes (By the Zone)

Attachment C – Scope of Work 2

2 System Requirements

2.1 Technical Requirements

The technical requirements cover the hardware, software, and all systems comprising the BOS or its supporting functions. These requirements include the following:

2.1.1 Host Environments

The BOS shall include environments required to complete the design, integration, testing, delivery, and acceptance of the new system and sustain day-to-day operations. The Contractor is encouraged to provide innovative solutions to meet these requirements. It is the Contractor’s responsibility to provide additional environments shall the ones listed below prove to be insufficient for the Contractor to design and deliver the appropriate solution.

● The Contractor shall provide all computing environments required for a fully functional BOS by the due date, including but not limited to:

o Production environment (cloud-based or on-prem bespoke hosting solution).

o Backup system and data center at a secondary location approved by UDOT within the continental United States to be used for disaster recovery and to support business continuity.

o Replicated database environment to provide UDOT with access to system data for reporting purposes, performance monitoring, and analytics.

o Development and testing environments.

● The customer service center, data center(s), and all data and software applications shall reside in the continental United States.

● The Contractor shall keep all BOS environments current with all major releases of operating systems, databases, software, and firmware.

● The Contractor shall provide redundant configurations for all data center components that support the BOS including secondary power and uninterrupted power supply (UPS).

● The Contractor shall provide network monitoring software to track the BOS and all communications lines. The Contractor shall provide UDOT access to the reports generated by the software indicating the status of system components and any failures.

● The Contractor shall ensure that the BOS is fully operational in accordance with the performance requirements described in Attachment F, for the term of the contract.

2.1.2 System Functionality

This requirement includes a Graphical User Interface (GUI) to the BOS through which customers shall have access to their account. It also includes requirements for establishing and controlling user access, logging, and security controls.

Attachment C – Scope of Work 3

● The Contractor shall provide a secure, browser-based GUI for access to the BOS and its functional components, the desktop self-service website, and the mobile self-service website version.

● The BOS browser application shall be compatible with the current version of Microsoft Edge, Google Chrome, Mozilla Firefox, and Apple Safari, as well as previous versions of these browsers and future version releases.

● The BOS application shall provide web navigation optimized for speed regardless of the web browser and provide an online help feature for each screen and editable field.

● Authorized personnel shall access the system using authenticated, role-based login, provided through an account maintained with the BOS.

● The BOS shall provide chronological recording of system events and user account activities, ensuring every transaction of any type is logged, including all user access and any changes to any record in the BOS.

● The Contractor shall follow Payment Card Industry Data Security Standards (PCI DSS) and standard security practices in the design of the GUI for BOS applications, customer portals, and any external interfaces.

● The Contractor shall ensure no credit card information, and no Personally Identifiable Information (PII) is present in any non-production environment.

2.1.3 Payment Card Industry Data Security Standards and Compliance The PCI Security Standards Council is responsible for the development, management, education, and awareness of the PCI Security Standards, including the DSS, Payment Application Data Security Standard (PA-DSS), and PIN Transaction Security (PTS) Requirements. The PCI Security Standards provide guidance for merchants, vendors, and security consulting companies to mitigate data breaches and prevent payment fraud.

● All credit card processing shall be PCI compliant and processed through a tokenized payment processor approved by UDOT.

● All tokenized credit card data shall be maintained by the Contractor and exchanged with the payment processor without exposing that data to any 3rd parties.

● The Contractor shall never sell or otherwise share user data with 3rd parties.

● The Contractor shall use industry standards to identify and handle fraudulent (i.e., stolen) credit cards.

● Within the first six (6) months after go-live and then every 12 months thereafter for the duration of this contract, the Contractor shall provide certification of PCI compliance by an independent qualified security assessor (QSA). The Contractor shall correct all deficiencies related to the BOS resulting from this certification at no additional cost to

UDOT.

● UDOT staff shall not have access to customers’ credit card data.

Attachment C – Scope of Work 4

2.1.4 Data Retention

All customer information and back-office data shall only be compiled and used to facilitate the core functions of the Express Lanes program operations.

● Data shall be retained for three (3) years after the end of the contract.

● Retained data includes records used for billing, customer service history, and customer contact information. No credit card information shall be stored unless there’s a legal or business need, in accordance with PCI DSS Standards Requirement 3.1.

2.1.5 Interfaces

Contractor is responsible for working with UDOT and other partners to design, develop, document, test, and implement all required interfaces and portals for the new BOS. The technical specifications for these interfaces are documented in the Interface Control Document (ICD), which includes requirements for data formatting and transmission.

● The Contractor shall establish an interface between the BOS and the roadside infrastructure (i.e., lane controller) to allow for the transfer of:

o Updated Transponder Status files from the BOS to the roadside system.

o Transaction Files from the roadside system to the BOS.

● The BOS shall provide the capability for file transfers multiple times during the day. The actual file transfer schedule and timing shall be agreed upon with UDOT prior to go-live.

● The Contractor shall allow their system to be configurable for future toll zone boundary changes or additional zones.

● The Contractor shall establish a secure interface between the BOS and the customer’s bank for toll payments using Automated Clearing House (ACH).

● The BOS shall connect electronically using an interface to UDOT’s payment processor to request payment authorization and complete the payment transaction.

● The Contractor shall establish an interface between the BOS and UDOT to coordinate and confirm deliveries of transponder shipments, and to notify UDOT when transponder inventory levels drop below a designated threshold.

2.1.6 Mass Account Action Functionality

This requirement allows the BOS to perform actions that are relevant to a large number of accounts based on pre-determined criteria. For example, UDOT may choose to reimburse customers for the toll they pay while sitting in traffic during a major incident in the Express Lanes, or to send service announcements or promotional information impacting a subset of customers. The system shall allow for mass changes to be performed simultaneously, including but not limited to the following:

● The system shall be configured to clear transactions, purge multiple delinquent accounts, or otherwise make changes to a large number of accounts based on certain criteria, including:

o Data and time ranges

Attachment C – Scope of Work 5 o Location(s), including specific or multiple zones and plazas o Transponder serial number ranges

● The system shall be designed to send messages to a large number of account holders based on account status, transponder balance, and account type.

● The blast emails shall be configured to match the standard look and feel associated with the Express Pass program including UDOT logos, color schemes and branding.

2.2 Functional Requirements

These requirements provide the ability of the BOS application and its associated modules to execute the functional tasks required to support the day-to-day operations of the system. These functional tasks shall include, but are not limited to the following:

2.2.1 Account Management

The BOS shall support comprehensive transponder and account management functionality.

Account establishment, maintenance, and closure shall be intuitive and easy to understand for users.

2.2.1.1 Account Establishment

● The BOS shall allow users to open and maintain a prepaid toll account with a minimum threshold balance linked to a credit card or debit card, or ACH.

● Fleet and commercial accounts are not currently required, and may be requested by

UDOT for future implementation.

● The Contractor’s customer service representatives shall be able to create, maintain, and close a prepaid account, update customer information, process and post transactions and payments to the account, issue notices and other communications, fulfill a transponder order, and perform other similar account management services.

● The system shall provide the capability to associate multiple transponders with a single prepaid account.

● The system shall provide the capability for a customer to input a transponder number, name and email address, or a telephone number, and automatically associate it with an existing account.

● The system shall provide the capability for customer service representatives to look up an existing account using a transponder number, name, email address, or telephone number.

● Customers shall be able to update their account information using the project website on their desktop or on their mobile device.

2.2.1.2 Prepaid Account Replenishment

● Prepaid accounts shall be established with a valid replenishment method for balances to be restored as toll transactions deplete the prepaid balance during travel.

● The BOS shall set up replenishment by credit/debit card or ACH to be automatic based on a configurable minimum balance and timing of replenishment.

Attachment C – Scope of Work 6

● The BOS shall provide the capability to use multiple auto-replenishment methods within an account (i.e., multiple valid credit cards or bank accounts).

● Replenishment thresholds shall have the ability to be modified by UDOT or by customer request.

● Modification of replenishment thresholds shall not be allowed below the $10 minimum, and the replenishment amount shall not be below the minimum amount of $20 per account.

● The system shall provide configurable replenishment parameters for each account, including but not limited to the following:

o Low balance threshold o Fixed replenishment amount o Minimum replenishment threshold o Number of replenishment failures before next replenishment method is attempted o Number of replenishment failures before a replenishment method is suspended based on business rules

● The BOS shall provide the capability to make the secondary replenishment method the primary method when the primary method has been suspended, and the secondary replenishment method was successful.

2.2.1.3 Assessing Fees

● The system shall be designed to allow UDOT to charge specific or recurring fees to an account (for example, requesting a statement to be mailed).

● The system shall be designed to allow UDOT to charge a configurable monthly administrative fee that is offset by the tolls paid by the customer.

● The system shall be designed to allow UDOT to charge a credit card convenience fee up to the amount of the merchant fee.

● The system shall automatically generate and send monthly statements to customers using the email addresses on file, with no associated fee charged to the customer in this case. The system shall also send automatic notifications to customers when their monthly statement is ready to be viewed in their Express Pass account.

2.2.1.4 Adjustments and Reversals

● The system shall provide the capability to make corrections, adjustments, and reversals to transactions while preserving the original transaction information including the date and time of both the original and modified transactions.

● The system shall provide the capability to void or otherwise reverse payments due to fraudulent transactions (i.e., stolen credit cards) or duplicate charges.

● The system shall provide the capability to assign a configurable reason code associated with each full or partial reversal (e.g. first-time courtesy credit for customers who set the toll mode on their transponder incorrectly).

Attachment C – Scope of Work 7

● The system shall provide the capability to show a log of details including all adjustments, reversals, and credits in the customer account.

2.2.1.5 Account Financial Status

● The system shall provide the capability to set up a configurable period of time before an account automatically transitions from one financial status to another. An account shall be assigned one of the following financial statuses:

o Positive Balance: Account with a balance equal to or greater than the minimum threshold.

o Low Balance: Account with a balance less than the minimum threshold.

o Negative Balance: Account with no available funds to pay for tolls.

o Suspended: Account with a negative balance for more than 21 days.

o Closed: Account that is closed after being suspended for at least 60 days, or as requested by the customer.

● The system shall provide notifications to customers regarding updates to the financial status of their account.

● The system shall provide the capability to maintain, update, and show customer service representatives the financial status of an account to help maintain a positive account balance by triggering certain notifications to be sent to the customer.

● The system shall provide the capability to prevent transactions from posting to a closed account.

2.2.1.6 Customer Communications

● The BOS shall provide the Contractor with the capability to track, store, search, and electronically view all customer communications in a customer account.

● The Contractor shall provide a new toll-free customer service phone number.

● The BOS shall offer Interactive Voice Response (IVR) functionality that allows customers to perform basic account maintenance activities without the need for assistance from a customer service representative. This functionality would include call routing, self-service options, speech recognition, pre-recorded messages, multi-language support, and call logging and reporting. The IVR system shall allow customers to push a button or otherwise request to talk to a live representative during business hours.

● The system shall support the use of SMS for customer communication. However, the Contractor shall not send invoices to customers using SMS.

● The system shall support the following account functions by phone and email:

o Account creation and transponder order fulfillment o Customer issues and responses

● The system shall provide the customer service representatives with the capability to generate progressive customer notifications and escalation procedures. For example, the system shall be able to send multiple automated notifications to customers whose account is about to be placed in suspended or closed status due to payment issues.

Attachment C – Scope of Work 8

● The system shall provide customer service representatives with the capability to categorize all incoming communications using configurable drop-down menu options developed in coordination with UDOT. This information shall be available to UDOT at any time for review.

● The Contractor shall optionally have a customer facing ability to display a completed trip on a map, including the route between the first and last detected location, and the trip’s toll amount.

2.2.2 Transaction Processing

The BOS shall receive transaction data directly from the lane system using an established interface. The transmission and exchange of all data and files between the BOS and the roadside shall follow the existing ICD. Any future updates made to the ICD document shall meet the system requirements.

● The system shall receive and process all transactions sent from the roadside tolling system in accordance with the ICD.

● Transactions shall be processed and posted to the correct account in accordance with the system’s functional, operational, and performance requirements described in this

RFP.

● Trips are generated by the roadside system based on a transponder read in SOV or HOV mode, and a record created and provided to the BOS.

● The final determination of a transaction status (e.g., pending, rated, posted, or rejected) shall be made by the BOS based on the account’s financial status, and account balance at the time of posting.

● The system shall be configured to allow the Contractor to acknowledge and reconcile all transactions sent from the lane, and to identify file transmission errors by transmission date and transaction date.

● The system shall apply the appropriate toll rate and post the transaction information to the correct customer account.

2.2.3 Payment Processing

Once the transaction is verified and processed, the Contractor shall collect the toll by debiting the customer’s prepaid account and allocating the revenues to UDOT’s designated bank account.

● The system shall not accept customer payments made in cash or by physical checks.

● The BOS shall process customer payments received through the website or by phone.

● The system shall provide the capability to process all credit/debit card transactions for account enrollment, automatic replenishment, and toll payment.

● The BOS shall provide the capability to send out customer notifications automatically if a payment fails to be processed.

● The Contractor shall not incur costs associated with tracking or finding toll violators.

Attachment C – Scope of Work 9

● The Contractor shall adhere to all requirements set forth by the credit card processor, bank, or other regulators.

● The BOS shall provide the capability to immediately report to UDOT any technical, procedural, or other issues which cause an interruption to credit card transaction processing. The Contractor shall implement the necessary systems, processes, and procedures to continuously monitor and identify any such interruptions and errors.

● The system shall provide the capability to obtain updated expiration dates from the card issuer for cards held for automatic replenishment.

● The Contractor shall put appropriate controls in place to ensure the security of payment transactions. These controls are expected to be PCI compliant with Generally Accepted Accounting Principles (GAAP), and meet the requirements for an SSAE-18, SOC (System and Organization Controls) 1 and 2, for Types I and II audits.

2.2.4 Case Management

A case is initiated at any time a customer request cannot immediately be fulfilled. Cases can be initiated by a customer using any communication channel, by the CSR based on criteria and business rules, or by a CSR Manager. Once a case is opened, it is assigned to the appropriate staff, and its progress is tracked by the system and reported through completion.

2.2.4.1 Case Creation

● The BOS shall provide the capability to create, manage, and support certain activities as cases. Types of cases shall include but not be limited to resolving customer disputes and initiating, tracking, and fulfilling transponder orders.

● The system shall allow the capability to track the case attributes, including but not limited to case type, case number, priority, status, and outcome when completed.

● The system shall automatically send correspondence to the customer informing them of case creation, case number, and other configurable information.

2.2.4.2 Case Assignment and Tracking

● The system shall provide the capability to assign the case to the appropriate queue and staff.

● The system shall provide the capability for the case-type queues to automatically display highest priority cases first for immediate action.

● The system shall provide the capability for a CSR or Manager to view cases based on required follow-up action.

● The system shall provide the capability to manually change the status of a case based on progress made toward its resolution.

● The system shall provide the capability to automatically escalate any cases (including ones that are overdue) based on configurable rules.

Attachment C – Scope of Work 10

2.2.4.3 Workflow Management

● The system shall provide the capability to assign cases in configurable ways, including but not limited to manual assignment, automatic assignment by account criteria, and automatic assignment by case type, status, or priority.

● The system shall provide the ability to manually re-assign any case to a new workflow at any point.

2.2.5 Quality Control and Quality Assurance

The system operations need to have visibility in the quality control and quality assurance functions to allow UDOT awareness into all areas of customer management, transaction and payment processing, and customer interactions and notifications.

● The Contractor shall support a process for UDOT to review BOS operations and systems to verify compliance with standards and performance quality.

● The Contractor shall give UDOT the opportunity to review and approve customer-facing material before being sent to the customer, including but not limited to notifications, refunds and adjustments that exceed a configurable threshold, and account status changes.

● Performance measurement, reporting, internal audit, and security and privacy protection shall be enabled and monitored to determine the effectiveness and accuracy of processes and operations.

2.2.6 Transponder Management

The system shall facilitate the management of transponders throughout the contract period.

This includes receipt of shipments from UDOT or UDOT-selected vendors, maintaining inventory, testing and issuing transponders, and processing sales and shipments. UDOT shall be responsible for placing transponder orders.

2.2.6.1 Inventory

● The system shall provide the capability to create, track, and monitor transponder inventory by type of transponder (including multiple 6C versions and the legacy UDOT protocol). Inventory item attributes to be recorded include, but are not limited to, manufacturer, ID number and bar code, date received, and date first used.

● The Contractor shall monitor transponder inventory levels monthly and notify UDOT once a configurable threshold level of inventory by transponder type is reached so that UDOT can order additional transponders.

● The system shall allow the customer service representative to generate reports regarding transponder inventory levels and the number of defective transponders.

2.2.6.2 Transponder Fulfillment

● The system shall track all transponder requests, establish a queue of requests, and create a record of the request date and fulfillment date.

Attachment C – Scope of Work 11

● The system shall have the ability to charge the user a configurable transponder purchase fee plus the applicable sales tax (to be recorded separately).

● The system shall allow a customer to order more than one transponder at a time.

2.2.6.3 Testing and Shipment

● The system shall provide the capability to test transponders using an approved transponder reader/tester, and to mark a transponder defective if it does not pass the test requirements.

● The Contractor shall return all failed transponders to the transponder manufacturer for credit to UDOT. The Contractor shall provide UDOT with shipment and tracking information for all failed transponders sent back to the manufacturer.

2.2.6.4 Warranty and Replacement

● The system shall provide the capability for customers to make transponder warranty claims.

● The system shall provide the capability for customers to receive a full refund of the purchase price (including tax) if the transponder is defective and still within the manufacturer’s warranty period.

● Customers who close their accounts are not required to return their transponders. The Contractor shall provide the customer with a notification with instructions on how to dispose of their transponders.

2.2.7 Customer Portals

Customers can access real-time account information using the self-service website or the mobile application (optional). In addition, customers can obtain access to their account using the IVR system.

2.2.7.1 Self-Service Website

● The Contractor shall develop, host, and maintain an interactive self-service website to support the Express Pass program using the existing website domain owned by UDOT.

This website shall be accessible through a link to the main Express Lanes website.

● The self-service website shall be developed, hosted, and maintained by the Contractor.

● The self-service website shall provide customers with the full range of account management capabilities, including but not limited to, opening and closing an account, changing an address or phone number, viewing transaction information and statements, updating or removing a credit card, making a payment, or sending an email to customer service.

● The system shall provide a web analytics tool to collect, analyze, and report customer usage for the purpose of optimizing the website's features.

● The Contractor shall update the self-service website to support compatibility with new versions of desktop browsers and operating systems. The cost of these updates shall be included as part of the Contractor’s base price.

Attachment C – Scope of Work 12

2.2.7.2 Mobile Application (Optional)

● As an optional feature, the Contractor may provide a mobile application designed to operate with smart phones and tablets and provide commonly used functionality for customer account management.

● The mobile application may allow the use of push notifications if activated by the customer.

2.2.8 Call Center

The Contractor shall operate a call center in the continental United States to respond to customer inquiries and provide service to Express Pass customers. The call center shall offer a dedicated toll-free telephone line along with an IVR system that is fully integrated with the customer service center. The Contractor shall provide all the systems and equipment necessary to operate the call center efficiently.

2.2.8.1 Phone System Requirements

● The Contractor shall provide a new toll-free customer service phone number.

● The phone system shall be able to handle all concurrent incoming and outgoing calls, and process calls during high-volume periods without degrading system performance.

● The phone system shall provide the capability to record calls and allow for remote call monitoring.

● The phone system shall provide an IVR system that interfaces with the customer account management module.

● The phone system shall provide the capability to notify callers of the estimated waiting time before a customer service representative becomes available.

2.2.8.2 IVR System

● The IVR system shall be customized for UDOT’s operational needs.

● The IVR system shall be available to serve customers during business hours and non-business hours, every day.

● The IVR system shall support bi-lingual interaction (in English and Spanish), and the

Contractor shall provide the interface that supports bi-lingual options for customer interaction. UDOT shall review and approve all IVR scripts.

● The IVR system shall provide basic recorded information such as hours of operation, eligibility to use the Express Lanes, and special announcements. If it is an existing option in the contractor provided the IVR system, it shall allow UDOT to be able to add and remove announcements to and from the IVR system without assistance from the Contractor.

● The IVR system shall allow customers to review and update account information, review account balances and transactions, update credit card numbers and expiration dates, and make secured payments.

● During call center hours, the IVR system shall provide callers with the option to skip IVR menus and enter the queue to speak with a customer service representative at any time during the recorded script.

Attachment C – Scope of Work 13

● When the call center experiences high volumes during business hours, the IVR system shall provide callers with the option to leave their phone number to be called back.

Hours of high call volumes are defined as times during the day when customer calls are 50% more than the normal average hourly calls for business hours in the current month.

● The IVR system shall support daily, weekly, and monthly reporting of call volumes by hour and call type.

2.2.9 Financial Requirements

The financial requirements described in this RFP illustrate the system's functionality that shall be present in the BOS for UDOT to record financial activity in their General Ledger System. They include general requirements and other requirements necessary for the reconciliation and financial settlement with UDOT.

2.2.9.1 General Requirements

● The Contractor shall develop and utilize a financial accounting system with double entry recording of all financial transactions that includes a multi-account general ledger and fulfills all GAAP requirements.

● The system shall provide general ledger account mapping for all transactions having a financial impact.

● The Contractor shall provide GAAP-compliant financial statements to the State.

● The Contractor shall establish internal control procedures for business operations subject to periodic reviews by UDOT and/or the State Comptroller’s Office.

● The Contractor shall establish a secure interface with UDOT’s designated payment processor for electronic payments.

● The Contractor shall produce a trial balance, financial statements, and journal entries to be posted to the State’s financial accounting system.

● The Contractor shall provide reports for financial audit and revenue reconciliation.

2.2.9.2 Reconciliation and Financial Settlement with UDOT

● The BOS shall provide the capability to reconcile all financial activity, including but not limited to deposits, credits, disbursements, and chargebacks.

● The system shall provide the capability to reconcile bank deposits daily using an electronic interface.

● The Contractor shall investigate and correct all exceptions and discrepancies identified during the reconciliation process.

● The system shall provide the capability to track payables and receivables between the

BOS and UDOT. These include, but are not limited to, customer toll payments (less payment reversal), transponder sales, and Contractor invoices to UDOT for monthly operating and maintenance expenses.

● The system shall provide the capability to track payables and receivables between the BOS and UDOT based on the BOS remittances to UDOT. For example, when a settlement payment is made to UDOT, the UDOT payable financial account is debited and the

Attachment C – Scope of Work 14 financial account corresponding to the bank account from which the payment is made is credited.

● The system shall provide the capability to send electronic notifications to UDOT when daily reconciliation and settlement are completed.

2.2.10 Account Searches

Customers routinely contact the call center by phone and through the website without knowing their account number or transponder number. The customer service representative shall have the ability to search for a customer account using multiple ways.

● The BOS shall provide the capability to quickly search for a customer using certain data entry fields available on the account including name, address, telephone number, transponder number, or account number.

● The system shall provide the capability to search and view all information related to a specific account, including account history since inception with the ability to filter and sort by type of information. This information includes, but is not limited to, toll transaction date, date of notifications, cases opened and closed, replenishment failures, transponder activity, and account status changes.

● The system shall provide the capability to search and view all stored information regarding cases and their status.

● The system shall provide the capability to identify and retrieve comment records by category and time.

● The system shall provide the capability to search and view all stored information regarding notifications.

2.2.11 Reporting Requirements

The Contractor is expected to deliver accurate and user-friendly reports in a usable format. At a minimum, all reports shall be available in Portable Document Format (PDF) and Microsoft Excel format with the ability to export raw data for further analysis. In addition, the Contractor shall perform up to five (5) ad hoc system queries each month at UDOT’s request. The Contractor shall also provide UDOT remote access to the reporting system. While the next few sections provide an overview of the different types of reports requested by UDOT, the Contractor is encouraged to propose additional reports for consideration. The detailed requirements for each report shall be identified during workshops to be held between UDOT and the winning Contractor.

2.2.11.1 Informational Reports

● The system shall provide the capability to generate monthly reports that include statistics related to Express Pass account volumes, types, and trends. These reports include but are not limited to the following:

o Number of new and closed accounts by month and fiscal year to date o Number of transactions by account o Number of accounts by financial status by month and fiscal year to date

Attachment C – Scope of Work 15 o Number of accounts that fail replenishment attempts by month and fiscal year to date o Number of inactive accounts (i.e., accounts making no transactions per month), by month and fiscal year to date o Number of closed accounts by month and fiscal year to date o Number of generated, mailed and emailed invoices o Number of accounts charged the monthly administrative fee (if chosen to be assessed by UDOT) o Number of cases opened, closed, or escalated by month and fiscal year to date

● The system shall provide the capability to generate reports that summarize the payment processing activities made using the different service areas including but not limited to the website, call center, and IVR.

● The system shall provide the capability to generate reports that track credit/debit card payments and ACH payments that are processed.

● The system shall provide the capability to generate reports that summarize transponder inventory data, sales, and activations.

2.2.11.2 Financial Management Reports

● The system shall provide the capability to generate financial journal and ledger reports that list all accounts receivable by revenue type (e.g., transponder sale, adjustments, reversals, etc.).

● The system shall provide the capability to generate revenue reports for a predefined period such as month-to-date.

● The system shall provide the capability to generate a payments report that reflects all payments received by month or fiscal year to date.

● The system shall provide the capability to generate write-off reports by listing accounts with uncollected tolls and their balances.

2.2.11.3 Operations Reports

● The system shall provide the capability to generate monthly (and fiscal year to date) reports regarding website performance and volumes including, but are not limited to, the total number of pages viewed, number of unique (and repeat) visits, most visited sections of the website and frequency, average session duration, time to load a page, and error rates.

● The system shall provide the capability to generate monthly reports regarding call center performance, including average wait time, average talk time, call abandonment rates, and other standard phone center metrics.

● The system shall provide the capability to generate monthly reports regarding the IVR system's performance.

● The system shall provide the capability to generate monthly reports regarding customer SMS texting performance including, but are not limited to, the success rate of message delivery, percentage of customers who reply or act, percentage who unsubscribe to the SMS service, and percentage of failed messages due to invalid numbers or carrier issues.

Attachment C – Scope of Work 16

● The system shall provide the capability to generate reports of system performance to compare the Contractor’s performance against the defined performance requirements (see Appendix F for a complete list of performance requirements). UDOT shall use information contained in this report to determine if non-compliance points shall be assessed to the Contractor during the month.

● The system shall provide the capability to generate monthly operations management reports that provide insight into the review and management of system operations.

Examples of the type of information to be included in the monthly operations report include transaction volumes by transponder and time, total revenue collected and uncollected, refunds and adjustments, outstanding balances and aging, and call center statistics.

2.2.11.4 Interface Reconciliation Reports

● The BOS shall provide the capability to report on the data exchanged with the lane system, including the transponder status update list and transactions received from the lane system.

● The system shall provide the capability to report on the data exchanged between UDOT’s credit card processor and the BOS, and any issues encountered.

● The system shall provide the capability to report and track the transmission of the credit card expiration update request files between the Contractor, Chase Paymentech, and the customer, including but not limited to the number of records in the file, status of update, errors, and re-attempts.

Attachment C – Scope of Work 17

3 Operations Requirements

3.1 Operations Plan

The Contractor shall develop, maintain, and execute a comprehensive Operations Plan within 14 days of the Notice to Proceed (NTP), obtain UDOT approval, and keep it current throughout the contract term.

The Operations Plan shall cross-reference all requirements in this Operational Requirements document.

3.2 Staffing

The Contractor shall adhere to the staffing requirements outlined below.

3.2.1 System Operations

The Contractor shall provide all the personnel needed to provide the services specified in this RFP. The Contractor shall provide qualified personnel with sufficient skills and expertise to perform the work required for the project.

The Contractor shall monitor and provide staffing based on actual volumes and level of service requirements.

The Contractor shall be responsible for all wages, benefits, and payroll expenses associated with the BOS staffing.

The Contractor shall define performance objectives for each work position and shall develop and implement a corrective action for dealing with any unsatisfactory performance, including corrective action or removing the staff member if determined appropriate.

3.2.2 Customer Service Center

The Contractor shall provide a Staffing Plan that addresses the organizational structure, staffing levels, staff positions, job descriptions, staff qualifications, lead and supervisory roles, scheduling, and coverage for vacations and spikes in call volume.

The Contractor shall provide the personnel required to operate the Call Center to manage customer inquiries during business hours to meet established performance requirements.

The Staffing Plan shall identify all required positions, both temporary and permanent, on an annual basis or when requested by UDOT.

The Contractor shall support UDOT Express Pass enrollment promotional programs. Promotional programs leveraging physical print and postage for materials may involve pass-through costs invoiced by the Contractor to UDOT at a pre-negotiated cost…