Utah Department of Transportation (UDOT)

I-15 Express Lanes

Attachment F - Performance Requirements

December 4, 2025

UDOT I-15 Express Lanes Attachment F – Performance Requirements i

Table of Contents

1 Performance Requirements

1.1 Compliance Requirements

1.2 Technical Performance Requirements

1.2.1 Availability of Self-Service Website

1.2.2 Availability of Customer Contact Support System

1.2.3 Availability of Interfaces with Payment Systems

1.3 Functional Performance Requirements

1.3.1 Transmit Transponder Status List to the Lane

1.3.2 Receive and Reconcile Trip Files from the Lane

1.3.3 Post Trips to Customer Accounts

1.3.4 Automatic Account Replenishment

1.3.5 Time to Repair Priority Failures

1.3.6 Time to Repair Other Failures

1.4 Operational Performance Requirements

1.4.1 Daily Bank Reconciliations

1.4.2 Monthly Financial Reconciliations

1.4.3 Speed of Answer During Business Hours

1.4.4 Respond to Customer Messages (Non-Working Hours)

1.4.5 Notifications Issued

1.4.6 Customer Satisfaction

1.4.7 Post Payment Correctly to Customer Account

1.4.8 Deposit Funds to UDOT Bank Account

1.4.9 Protection of Customer Information

1.4.10 Notifications to Customers Impacted by Fraud

1.5 Non-Compliance Adjustment and Escalation

Attachment F – Performance Requirements 1

1 Performance Requirements

1.1 Compliance Requirements

UDOT expects the Contractor to develop and operate the BOS to meet the performance requirements identified in this document. The Contractor’s performance will be monitored by UDOT and shall be rated based on the Contractor’s ability to meet certain technical, functional, and operational requirements. UDOT will utilize a point-based performance scorecard to track the Contractor’s compliance with the defined requirements. If the Contractor fails to meet these performance requirements, UDOT will assess non-compliance points for each substandard performance. Non-compliance points will be added together to determine any reduction to the Contractor’s monthly invoice. No points would be assessed for non-compliance caused by issues outside of the Contractor’s direct control, but these issues must be documented by the Contractor and discussed with UDOT.

The Contractor shall make the best effort to minimize the impact of any failures resulting in lower performance grades. In addition, the Contractor must take corrective action to immediately remedy any failures and provide a plan for UDOT’s approval to prevent the recurrence of the same failure in the future. UDOT will conduct monthly reviews of the Contractor’s performance using the Key Performance Indicators (KPI) listed in the following table and discussed below.

Category Function KPI Performance Requirement

Measurement Frequency

Non- Compliance

Points (1)

Technical System Availability

Availability of all self-service website features and functionalities

Available 99% of time

Monthly

1 base point plus 1 point for every 1% below threshold Availability of customer contact support system, including phone line, IVR, email, & SMS

Available 99% of time

Monthly

1 base point plus 1 point for every 1% below threshold

Availability of interfaces with payment systems

Available 99% of time

Monthly

1 base point plus 1 point for every 1% below threshold

Functional

Data Exchange

Update and transmit transponder list with correct statuses to the roadside units

Transmit daily by agreed time and frequency

Daily 1.0

Receive and reconcile trip files from the lane

Receive and reconcile daily by agreed time

Daily 1.0

Processes Post trips to customer account

Post within 4 hrs. of receiving

Daily 1.0

Attachment F – Performance Requirements 2

Category Function KPI Performance Requirement

Measurement Frequency

Non- Compliance

Points (1)

Automatic account replenishment

Attempt auto replenishment within 1 hour of low balance

Daily 2.0

Maintenance

Time to repair priority failures

Repair within 8 hours

Monthly 5.0

Time to repair other failures

Repair within 72 hours

Monthly 2.0

Operational

Accounting

Daily bank reconciliations

By COB next business day

Daily 1.0

Monthly financial reconciliations

Within 10 business days after month end

Monthly 1.0

Customer Contact

Speed of answer (CSR calls during business hours)

90% within 60 seconds

Monthly 4.0

After-Hour responses (voice messages & emails)

100% response by COB next business day

Monthly 2.0

Notifications issued Issued within 24 hours

Daily 1.0

Customer satisfaction

Average score:

3 out of 5

Monthly 2.0

Payment processing

Post payment correctly to customer account

Post payment 100% of time within 24 hrs. of transaction date

Daily 1.0

Deposit funds to UDOT bank account

Deposit 100% of funds per agreed schedule

Daily 1.0

Cyber- Security

Protection of customer information

Sensitive information is not exposed

Monthly (per incident)

25.0

Notifications to all impacted customers

Timely customer notifications are made according to state laws

Monthly (per incident)

50.0

(1) Non-compliance points are assessed for each failure to meet a performance requirement.

1.2 Technical Performance Requirements

The technical requirements are intended to define minimum expectations of the BOS hardware and related infrastructure, software, systems, and interfaces that support day-to-day operations. It is the Contractor’s responsibility to determine all the technical requirements necessary to maintain and operate the BOS. In general, the BOS technical components and subsystems are considered unavailable if at least one of the following conditions is applicable:

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a) Failure causing loss of functionality.

b) Failure causing application errors for users or preventing access.

The Contractor shall measure availability for all technical performance KPIs by calculating the percentage of minutes in each calendar month the BOS is not impacted by system downtime relative to the total minutes in each calendar month. This percentage is expressed as follows:

𝑆𝑦𝑠𝑡𝑒𝑚 𝐴𝑣𝑎𝑖𝑙𝑎𝑏𝑖𝑙𝑖𝑡𝑦 = ே௨ ௨௧௦ ௧ ௧ ௧ௗ ௬ ௨௧

ே௨ ௗ ௗ௬௦ ௫ ଶସ ௦ ௫ x 100

The Contractor shall be assessed 1.0 base point if system availability falls below 99% during the month. To measure the magnitude of non-compliance, one additional point is assessed for every 1% increment below the performance requirement. Partial points are allocated proportionately for increments less than 1%. For example, if system availability for a component was calculated to be 97.5% in a particular month, then the Contractor is assessed 2.5 points for failing to meet the performance requirement, as follows: 1.0 base point + [(99.0% - 97.5%) x 1.0 point] = 2.5 points.

All unscheduled or unplanned maintenance events shall be counted as system downtime for system availability calculations.

Corrective maintenance required to fix an issue that does not cause components or subsystems to be unavailable shall not be counted as system downtime.

Any planned maintenance (i.e., preventative) must be approved by UDOT at least 5 business days in advance of the work to be excluded from being counted as system downtime. All preventative maintenance must be conducted between 10:00 pm and 5:00 am Mountain Time, unless otherwise approved by UDOT.

The following sections describe the technical performance requirements in more detail along with their related KPIs, method of computation, and points accessed for non-compliance.

1.2.1 Availability of Self-Service Website

All system components of the self-service website (i.e., customer portal), including hardware, software, and network communications, along with all user interface capabilities shall be properly functioning to serve the customer 99% of the time.

The Contractor shall be assessed 1.0 base point if system availability falls below 99% during the month with an additional 1.0 point assessed for every 1% increment below the performance threshold.

1.2.2 Availability of Customer Contact Support System

The Contractor shall maintain the availability of each customer contact channel at least

99% of the time. This includes the ability to contact customer service through email, toll-free phone line, IVR, SMS, and the website.

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The Contractor shall be assessed 1.0 base point if system availability falls below 99% during the month with an additional 1.0 point assessed for every 1% increment below the performance threshold.

1.2.3 Availability of Interfaces with Payment Systems

The Contractor shall provide an interface between the BOS and the credit/debit card processor owned by UDOT. This interface allows the Contractor to process payments, refunds, or replenishments for the correct customer account, and to resolve credit card disputes.

The interface between these systems shall be available at least 99% of the time.

The Contractor shall be assessed 1.0 base point if system availability falls below 99% during the month with an additional 1.0 point assessed for every 1% increment below the performance threshold.

1.3 Functional Performance Requirements

These performance requirements measure the ability of the BOS and its associated modules to execute the functional tasks that require critical time restrictions for supporting the day-to-day activities of the system. In this case, performance will be measured in terms of the Contractor’s ability to complete the process successfully by the agreed time each day. Performance is monitored and points are assessed either daily or monthly based on the KPI, as follows:

Daily Measures:

Days of non-compliance for KPI = Total number of calendar days in month minus number of calendar days in month that the requirement is met.

Assessed points for KPI in month = Days of non-compliance x non-compliance points per day.

For example, assume the Contractor achieves the minimum performance of a functional requirement that is measured daily, only 25 days in a given month. The requirement has a penalty of 1.0 non-compliance points per day. In this case, the Contractor is assessed 5.0 points for the month for failing to meet this performance requirement, as follows: [(30 days – 25 days) x 1.0 point] = 5.0 points.

Monthly Measures:

Contractor’s Performance level for KPI = Required time minus actual time to complete a function. No points are assessed if work is completed within the required time.

Assessed points for KPI in month = Obtained from the table discussed earlier if the Contractor fails to meet the minimum performance requirement for the specific KPI.

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For example, assume the Contractor fails to answer 90% of customer calls during business hours in one month within 60 seconds. According to the previous table, this performance requirement has a penalty of 4.0 non-compliance points for the month that will be assessed to the Contractor.

The following sections describe the functional performance requirements in more detail along with their related KPIs, method of computation, and points accessed for non-compliance.

1.3.1 Transmit Transponder Status List to the Lane

The Contractor shall update and send the transponder status list file to the Express Lane roadside units by the agreed times each day. If the file does not update in time, the Contractor shall resolve this issue as a priority failure and resend it to the lane within 8 hours (i.e., by the next morning).

The Contractor shall be assessed 1.0 point per day for failing to update and transmit the transponder status file to the Express Lane roadside units by the agreed times. If the Contractor fails to remedy this issue within 8 hours, additional points will be assessed as discussed under Priority Failures.

1.3.2 Receive and Reconcile Trip Files from the Lane

The Contractor shall compare the daily transaction log sent from the lane to the total daily transactions received by the BOS and note any discrepancies. If this reconciliation is missed on a given day, the Contractor shall resolve this issue by generating the missing reconciliation report by the next business day.

The Contractor shall be assessed 1.0 point per day for failing to reconcile lane transactions daily with the ones received by the BOS. If the Contractor fails to remedy this issue by the next business day, additional points will be assessed as discussed under Priority Failures.

1.3.3 Post Trips to Customer Accounts

The Contractor shall post Express Pass transactions and trips to the correct account automatically within 4 hours after receiving them from the lane. A warning mechanism shall be established to notify the appropriate Contractor personnel of any failure.

The Contractor shall be assessed 1.0 point per day for failing to post customer transactions and trips on time.

1.3.4 Automatic Account Replenishment

The BOS shall be configured to automatically attempt to replenish an account that reaches a low balance threshold within one hour. This performance requirement does not assess points to the Contractor if the replenishment attempt fails (i.e., credit card expired), but for the Contractor’s failure to make an auto replenishment attempt within the required time frame.

The Contractor shall be assessed 2.0 points per day for failing to attempt a credit card replenishment within one hour of reaching a low balance.

Attachment F – Performance Requirements 6

1.3.5 Time to Repair Priority Failures

Priority events include any system malfunction that results in the loss of revenue, security breach, availability of interfaces, loss of data impacting customer service operations or any functional limitations to the customer portal and support channels, failure to update the transponder status list or missing the daily reconciliation of transactions and revenues.

The Contractor shall be assessed 5.0 points for the month for failing to repair all priority failures within 8 hours.

The Contractor shall coordinate with UDOT to prepare a complete list of priority failures prior to contract execution.

1.3.6 Time to Repair Other Failures

Non-priority events include any action that has the potential to result in a malfunction or cause degradation of system performance without losing full customer support capability. This may include events such as a lack of system maintenance, understaffing of customer service representatives during peak hours of operation, delayed notifications, or inaccurate reporting.

The Contractor shall be assessed 2.0 points for the month for failing to repair all other failures within 72 hours.

1.4 Operational Performance Requirements

These performance requirements measure the ability of the Contractor’s personnel to execute key business processes and operating procedures related to customer interactions and the handling of their Express Pass accounts. The Contractor shall meet all operational performance requirements outlined and discussed in this section.

The requirements include time needed for a customer service representative to answer the phone, resolve customer inquiry, post payment to the correct account, deposit toll revenues in UDOT’s bank account, uphold account security, and perform daily and monthly financial reconciliations. Performance is monitored by UDOT, and points are assessed either daily or monthly based on the KPI, as follows:

Daily Measures:

Days of non-compliance for KPI = Total number of calendar days in month minus number of calendar days in month that the requirement is met.

Assessed points for KPI in month = Days of non-compliance x non-compliance points per day.

Monthly Measures:

Contractor’s Performance level for KPI = Compare the target performance level against actual performance for the

Attachment F – Performance Requirements 7 month. No points are assessed to the Contractor if performance meets the target.

Assessed points for KPI in month = Obtained from the table discussed earlier if the Contractor fails to meet the minimum performance requirement for the specific KPI.

The following sections describe the operational performance requirements in more detail along with their related KPIs, method of computation, and points accessed for non-compliance.

1.4.1 Daily Bank Reconciliations

The Contractor shall reconcile bank deposits daily to provide accurate and timely accounting of toll payments.

The Contractor shall be assessed 1.0 point per day for failing to perform the daily reconciliations by close of business the following business day.

1.4.2 Monthly Financial Reconciliations

The Contractor shall perform monthly reconciliations to investigate and close any financial discrepancies within the required timeframe.

The Contractor shall be assessed 1.0 point per month for failing to perform the monthly reconciliations within 10 business days after month end.

1.4.3 Speed of Answer During Business Hours

The Contractor shall provide customer service staff to answer phone calls, and if necessary, shall provide additional resources during peak hours to meet this performance requirement.

The Contractor shall be assessed 4.0 points per month for failing to answer 90% of customer calls within 60 seconds.

1.4.4 Respond to Customer Messages (Non-Working Hours)

The Contractor shall return all customer voicemail routed through the IVR or respond to email messages by the close of next business day.

The Contractor shall be assessed 2.0 points per month for failing to return 100% of voicemails or respond to all email messages from customers by close of next business day.

1.4.5 Notifications Issued

The Contractor shall issue accurate and timely notifications to customers when certain events occur including, but not limited to, invoice availability, low balance notification, credit card expiration, and insufficient funds.

The Contractor shall be assessed 1.0 point per day for failing to issue a notification within 24 hours from the time a customer notice is due.

Attachment F – Performance Requirements 8

1.4.6 Customer Satisfaction

The customer satisfaction surveys will be prepared and analyzed by UDOT. The

Contractor is responsible for distributing an SMS link of the survey to customers.

The Contractor shall be assessed 2.0 points per month when the average survey score for the month falls below 3.0 out of 5.0, using a 5-point scale.

1.4.7 Post Payment Correctly to Customer Account

The Contractor shall post payment to the correct account within the required timeframe.

The Contractor shall be assessed 1.0 point per day for failing to post 100% of payments to the correct accounts within 24 hours of the transaction date.

1.4.8 Deposit Funds to UDOT Bank Account

The Contractor shall deposit the tolls collected from customers in the designated bank account for UDOT based on the agreed schedule.

The Contractor shall be assessed 1.0 point per day for failing to deposit 100% of the collected funds in UDOT’s bank account per schedule.

1.4.9 Protection of Customer Information

The Contractor shall protect all personal data and cardholder information in accordance with Payment Card Industry Data Security Standard (PCI DSS) and shall be liable for any negligence caused by actions within the Contractor’s control.

The Contractor shall be assessed 25.0 points for the month per data breach for failing to protect customer privacy and shall pay to offer a 2-year credit monitoring service at no cost to the impacted customers.

1.4.10 Notifications to Customers Impacted by Fraud

The Contractor shall notify customers impacted after a data breach, according to state laws. In addition, the Contractor shall pay for the cost of sending these notifications using all methods deemed necessary by state authorities, and for the cost of the credit monitoring service offered to impacted customers.

The Contractor shall be assessed 50.0 points for the month per data breach for failing to meet this performance requirement.

1.5 Non-Compliance Adjustment and Escalation

The Contractor shall be assessed non-compliance points during the monthly review for every KPI that falls below the required performance. In addition, the Contractor shall take corrective action to fix the issue that resulted in non-compliance. For example, if the Contractor fails to update and transmit the Transponder Status file to the roadside units within the agreed times during the day, the Contractor shall be assessed non-compliance points and shall identify the cause of the failure and provide a plan to prevent future occurrences. In this case, the Contractor shall successfully resubmit the file within 8 hours.

Attachment F – Performance Requirements 9

The Contractor’s performance score will be determined each month by adding the points assessed for non-compliance in each performance category. A performance adjustment, reflected in the reduction of the Contractor’s monthly invoice will be made in each calendar month when the Contractor exceeds the acceptable number of non-compliance points listed in the table below.

Performance Level Non-Compliance Points Monthly Invoice

Reduction (Percent) Level 1 (Acceptable) 0 – 15 0% Level 2 16 – 25 5% Level 3 26 – 35 10% Level 4 36 – 45 20% Level 5 46 or above 35%

The Contractor will not be assessed non-compliance points during the first two billing periods after Go-Live. This allows the Contractor time to remedy any outstanding issues and resolve new problems as they arise. A maximum monthly adjustment of 35% can be made to the Contractor’s monthly invoice.

Non-compliance points will continue to accrue throughout the reporting period (i.e., each month) for failure to meet a performance requirement, until the performance requirement is met. Subsequent failures to meet the same performance requirement shall be assessed additional non-compliance points, as follows (this escalation process does not apply during the first two billing periods):

The first month when a specific performance requirement is not met will result in an assessment of the initial value of the non-compliance points.

If the same performance requirement is not met again for the second consecutive month, the non-compliance points for that month shall be 1.5 times the points assessed for this month.

If the same performance requirement is not met again for the third consecutive month and for subsequent consecutive months thereafter, the non-compliance points for that month shall be 2.0 times the points assessed for this month.

The following two tables show an example of computing non-compliance point escalation when the Contractor fails to meet the same performance requirement for several consecutive months.

Attachment F – Performance Requirements 10

Performance Measure: Availability of Self-Service Website (Measured Monthly)

Month System

Availability

Performance Requirement for KPI

Scale of Under-performance

Base Non- Compliance

Points Assessed

Non- Compliance Escalation

Factor

Total Points Assessed

During Month

1 97.9% 99.0% -1.1% 1.0 1.0 2.1 2 92.0% 99.0% -7.0% 1.0 1.5 11.5 3 88.0% 99.0% -11.0% 1.0 2.0 23.0 4 95.0% 99.0% -4.0% 1.0 2.0 9.0

Performance Measure: Update and Transmit Transponder Status File (Measured Daily)

Month

Number of Days Required Performance

Below Threshold

Non- Compliance

Points Assessed Per

Day for KPI

Non- Compliance Escalation

Factor

Total Points Assessed

During Month

1 3 1.0 1.0 3.0 2 5 1.0 1.5 7.5 3 1 1.0 2.0 2.0 4 2 1.0 2.0 4.0