Appendix 5_Operations and Maintenance.pdf

APPENDIX 5: Operations and Maintenance

Request for Proposals

RFP-2026-0911

Washington State

Roadway Toll Systems

Modernization Programs

Offered by

Washington State Department of

Transportation

Roadway Toll Systems Project Appendix 5. Operations and Maintenance

5-i State of Washington Contract No. ___ Department of Transportation

Table of Contents

APPENDIX 5. OPERATIONS AND MAINTENANCE ........................................................................ 5-1

5.1 Introduction ............................................................................................................................. 5-1

5.1.1 DOCUMENT OVERVIEW ................................................................................................................... 5-1

5.1.2 DOCUMENT SCOPE .......................................................................................................................... 5-1

5.1.3 ABBREVIATIONS AND DEFINITIONS ............................................................................................... 5-2

5.2 Operations and Maintenance Project Management ............................................................ 5-2

5.2.1 GENERAL ........................................................................................................................................... 5-2

5.2.2 WEEKLY PROJECT MANAGEMENT MEETINGS ............................................................................. 5-2

5.2.3 MAINTENANCE PLAN ........................................................................................................................ 5-2

5.2.4 OPERATIONS MANUAL ..................................................................................................................... 5-3

5.2.5 MONTHLY MAINTENANCE REPORTS .............................................................................................. 5-4

5.2.6 MONTHLY MAINTENANCE INVOICES .............................................................................................. 5-4

5.2.7 PERFORMANCE AUDIT ..................................................................................................................... 5-5

5.2.8 SOC1 AUDIT ....................................................................................................................................... 5-7

5.2.9 INFORMATION TECHNOLOGY (IT) SECURITY AUDIT .................................................................... 5-8

5.2.10 OPERATIONS AND MAINTENANCE INVOICES ............................................................................... 5-9

5.2.11 OPERATIONS AND MAINTENANCE PROJECT MANAGEMENT SUBMITTALS .............................. 5-9

5.3 Operations and Maintenance .............................................................................................. 5-10

5.3.1 GENERAL ......................................................................................................................................... 5-10

5.3.2 QUALITY OF WORK ......................................................................................................................... 5-11

5.3.3 MAINTENANCE REQUIREMENTS .................................................................................................. 5-11

5.3.4 SPARE PARTS PROCUREMENT .................................................................................................... 5-12

5.3.5 SPARE PARTS INVENTORY MANAGEMENT ................................................................................. 5-12

5.3.6 REPLACEMENT OF FAILED EQUIPMENT ...................................................................................... 5-12

5.3.7 OPERATIONS AND MAINTENANCE OVERSIGHT TRAINING ....................................................... 5-13

5.3.8 NOTIFICATIONS ............................................................................................................................... 5-15

5.3.9 RESPONSE TO NOTIFICATION ...................................................................................................... 5-15

5.3.10 RESPONSE TIME ............................................................................................................................. 5-16

5.3.11 REPAIR TIME ................................................................................................................................... 5-17

5.3.12 REQUIRED SERVICE LEVELS ........................................................................................................ 5-17

5.3.13 CHARGEABLE AND NON-CHARGEABLE FAILURES .................................................................... 5-18

5.3.14 PROJECT DOCUMENTATION ......................................................................................................... 5-19

5.3.15 MAINTENANCE ASIDE FROM THE TOLL SYSTEM ....................................................................... 5-19

5.3.16 ROOT CAUSE ANALYSIS ................................................................................................................ 5-21

5.4 Maintenance of Traffic during Operations ......................................................................... 5-22

5.4.1 GENERAL ......................................................................................................................................... 5-22

5.4.2 MANDATORY STANDARDS ............................................................................................................ 5-22

5.4.3 TRAFFIC MANAGEMENT PLAN FOR OPERATIONS AND MAINTENANCE .................................. 5-23

5.4.4 TRAFFIC INCIDENT MANAGEMENT PLAN FOR OPERATIONS AND MAINTENANCE ................ 5-24

5.4.5 MAINTENANCE OF TRAFFIC DRAWINGS ...................................................................................... 5-25

5.4.6 ALLOWABLE CLOSURES ................................................................................................................ 5-27

5.4.7 MAINTENANCE OF TRAFFIC REQUIREMENTS ............................................................................ 5-32

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Tables

Table 5-1. RTS Priority Level Response and Repair Times ................................................................ 5-15 Table 5-2. RMH Priority Level Response and Repair Times ............................................................... 5-15 Table 5-3. Root Cause Analysis Timeframes ...................................................................................... 5-21 Table 5-4. RTS Priority Level Repair and Request Times .................................................................. 5-27 Table 5-5. Express Toll Lanes Weekday Lane Closure Rental Matrix ................................................ 5-29 Table 5-6. Express Toll Lanes Saturday and Sunday Lane Closure Rental Matrix ............................ 5-30 Table 5-7. Non-Express Toll Lanes Weekday Lane Closure Rental Matrix ........................................ 5-30 Table 5-8. Non-Express Toll Lanes Saturday and Sunday Lane Closure Rental Matrix .................... 5-31

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APPENDIX 5. OPERATIONS AND MAINTENANCE

5.1 Introduction

The following Operations and Maintenance requirements shall apply individually for each System under the Project, unless otherwise specified.

During Operations and Maintenance, the Vendor shall be responsible for maintaining the entire Roadway

Toll System (RTS), including but is not limited to:

• Troubleshooting and repair of Hardware and Software issues and tracking progress in the

Maintenance Online Management System (MOMS)

• Updating the software/firmware releases

• Updating the spare parts inventory in MOMS

• Conducting annual Performance Audits and completing Performance Audit Reports

• Completing monthly Maintenance Reports

• Submitting monthly invoices

• Managing technician schedules

Requirements related to MOMS are addressed in Appendix 4.

When issues occur, the urgency of the response will be dictated by the impact of the issue on safety and revenue collection. Liquidated Damages, proportionate to the impact, shall be assigned when the Vendor fails to meet the established maintenance requirements. The Vendor shall report monthly performance of devices, systems, and staff effort in the Maintenance Reports, and shall conduct and report more thorough annual evaluations in the Performance Audit Reports. The Vendor shall also be responsible for all costs associated with any damage caused by the Vendor during Operations and Maintenance.

5.1.1 DOCUMENT OVERVIEW

This Appendix is divided into the following sections:

• Section 5.1 provides an introduction and overview of the document.

• Section 5.2 contains the project management requirements.

• Section 5.3 contains the Operations and Maintenance requirements.

• Section 5.4 contains Maintenance of Traffic requirements.

5.1.2 DOCUMENT SCOPE

The requirements set forth herein describe the warranty, maintenance, and operations requirements for the RTS that WSDOT desires to procure. These requirements will be used as a baseline from which the

Vendor will develop more detailed System design documents.

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5.1.3 ABBREVIATIONS AND DEFINITIONS

All capitalized terms and abbreviations used in this Appendix, but not expressly defined herein, have the respective meanings set forth in Appendix 1, Definitions.

5.2 Operations and Maintenance Project Management

5.2.1 GENERAL

The Vendor shall provide project management throughout the term of the Contract. Operations and

Maintenance and project management documents shall be provided by the Vendor. The Vendor shall prepare and deliver, at a minimum, the following Operations and Maintenance project management documents described below.

The Vendor shall maintain open and continuous communications with WSDOT, and the two parties will continually look for opportunities to improve efficiency while at the same time meeting the goals and requirements of the Contract.

5.2.2 WEEKLY PROJECT MANAGEMENT MEETINGS

Once weekly, at a fixed time and day of week, the Vendor shall meet with WSDOT Operations staff to discuss Project status, ongoing issues, future needs, and timely concerns. The Vendor shall maintain an ongoing agenda to track topics of interest and shall provide this updated agenda to WSDOT shortly before or after the meeting. The meeting shall include time for open-ended questions and discussion between the groups, and any follow-up requests for information or action will be acted upon in a timely fashion and in good faith.

5.2.3 MAINTENANCE PLAN

The Vendor shall prepare and provide WSDOT with a proposed written standard Maintenance Plan with which the Vendor and its employees and agents shall strictly comply. Each System’s Maintenance Plan shall include details of how maintenance activities will be performed and plans for preventive maintenance.

The Maintenance Plan shall also include a schedule of operational activities, including preventive maintenance, showing what activities will be performed and when each preventive maintenance check will occur. The schedule and Maintenance Plan shall describe the frequency of activities that can reasonably be performed on a weekly, bi-weekly, monthly, semi-annual, or other frequencies for each preventative maintenance tasks, including a breakdown of activities requiring Maintenance of Traffic

(MOT) for overhead work. The Vendor shall coordinate with WSDOT for preventative maintenance activities requiring MOT to utilize any existing closures by WSDOT to ensure the least amount of disruption to the traveling public.

The Maintenance Plan shall also include a plan for inventory management and control, including all activities required to maintain an adequate supply of materials, supplies, spares, configuration files, settings, parts, and equipment to maintain the System at all times. The Maintenance Plan shall also include security maintenance tasks, such as rotating passwords according to the password rotation policy, reviewing security log files, and applying security patches. The Maintenance Plan shall also

5-3 State of Washington Contract No. ___ Department of Transportation include a list of maintenance event scenarios, categorized by priority as described in Section 5.3.9 herein, and roles and responsibilities for the Vendor and WSDOT personnel by scenario.

The Maintenance Plan shall be submitted to and approved by WSDOT as part of the Operations

Readiness Milestone. Any changes to the Maintenance Plan approved by WSDOT, in its sole discretion, shall be documented by changes to the Maintenance Plan.

The Vendor shall review and provide any revisions to the Maintenance Plan and preventive maintenance schedule upon the anniversary date of System Acceptance for that System, or as requested by WSDOT.

5.2.4 OPERATIONS MANUAL

The Vendor shall prepare and provide WSDOT with a proposed written standard Operations Manual that details all procedures necessary for administration and operation of the System (e.g., running reports, accessing the Digital Video Audit System [DVAS], working with user interfaces, etc.). This document shall provide complete and detailed descriptions of the RTS operations necessary for administration of the

System including but not limited to the following:

• Running reports

• Accessing the DVAS

• Working with the user interface

• Navigation of MOMS

• System error message definitions

• System troubleshooting techniques

• Location and availability of support services for all major components

• Security operations

• System tuning and adjustments

• System configurations

• Overview of roadside components and their functions

• Overview of roadside System design

• Overview of typical Toll Point layout

The Operations Manual shall be prepared for WSDOT personnel assigned to the operations oversight of the RTS and shall include a general description, the theory of operation, and all instructions necessary for operation of the System.

The Operations Manual shall be submitted to and approved by WSDOT as part of the Operations

Readiness Milestone. Any changes to the Operations Manual approved by WSDOT, in its sole discretion, shall be documented by changes to the Operations Manual.

The Vendor shall provide training manuals for each major component of the System as part of the

Operations Manual. All manuals shall be kept up to date by the Vendor during upgrades or modifications to the System. The Vendor shall review and provide any revisions to the Operations Manual upon the anniversary date of System Acceptance, or as requested by WSDOT. Manuals shall be provided in hard copy, if requested by WSDOT, and online.

The Vendor shall develop, publish, and maintain a list of contacts for Operations and Maintenance activities as part of the Operations Manual. This list will identify to WSDOT the specific Vendor contact(s)

5-4 State of Washington Contract No. ___ Department of Transportation by subsystem of the RTS. The list will also identify escalation processes and contacts. The list shall be kept up to date by the Vendor and shared with WSDOT at the time of any change.

5.2.5 MONTHLY MAINTENANCE REPORTS

Commencing after the first full month after issuance of System Acceptance, the Vendor shall submit a

Monthly Maintenance Report for WSDOT to review. The Monthly Maintenance Reports shall include but not be limited to the following data:

• Progress for the current period (previous month) for all Project activities

• Response Time and Repair Time data and calculations, including exceptions and justification

• Monthly Performance Measures and any ad hoc verifications performed that month

• Work Orders, including the technician(s) that worked on the issue and associated repair times

• Lane closure information and associated lane rental fees

• Security maintenance tasks performed

• Work plan for following month

• Trend reporting

• Root cause analysis of failures

• Risk registry

• Weekly and monthly checklists for regular maintenance tasks performed

The Monthly Maintenance Report shall be due to WSDOT by the 10th Calendar Day of each month.

WSDOT will review the Monthly Maintenance Report for conformance with the Contract. The Vendor shall correct any deficiencies and resubmit the Monthly Maintenance Reports until WSDOT approves the

Monthly Maintenance Report. WSDOT will withhold monthly maintenance payments for that system from the Vendor until the Monthly Maintenance Report changes have been made to the satisfaction of

WSDOT.

WSDOT reserves the right to review the maintenance records and database files for compliance with

System performance requirements.

5.2.5.1 Draft Monthly Maintenance Report

A Draft Monthly Maintenance Report containing an outline of all required information shall be submitted to and approved by WSDOT as part of the Substantial Completion Milestone. The format and content of the

Draft Monthly Maintenance Report shall be reviewed and formally approved by WSDOT prior to System

Acceptance to ensure readiness for the first Monthly Maintenance Report submitted during Operations and Maintenance. Any subsequent changes to format, structure, or content of the report shall require prior written approval from WSDOT.

5.2.6 MONTHLY MAINTENANCE INVOICES

The Vendor shall invoice WSDOT monthly for maintenance activities for the previous month. Payment requests shall be accompanied by the Monthly Maintenance Report that has been reviewed and approved by WSDOT.

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5.2.7 PERFORMANCE AUDIT

The Vendor shall conduct a Performance Audit of the System annually following each anniversary date of

System Acceptance. The Performance Audit may be combined for multiple facilities, with timing as directed by WSDOT. The Vendor shall notify WSDOT in writing at least seven Calendar Days prior to commencing Performance Audit activities. The intent of the Performance Audit is to validate that the

System has not degraded over time and that the System still meets the required Performance Measures.

The Performance Audit shall be conducted on the installed production System under live operational conditions, including but not limited to actual traffic, maintenance calls, and system interfaces.

The Vendor shall provide the required support personnel and any necessary equipment. The

Performance Audit shall be conducted for no less than 30 consecutive Calendar Days in accordance with the final Master Test Plan and approved Performance Audit Procedures for that year.

WSDOT will be allowed to witness the Performance Audit, and the Vendor shall have the responsibility to perform the audit. The audit shall provide sufficient confidence to WSDOT, in its sole determination, that the Vendor’s installed System continues to meet all WSDOT operational requirements and performance criteria, and has not degraded over time to the extent of becoming non-compliant. The Vendor shall contract with a WSDOT-approved third party to attest to the Vendor’s assertions on compliance with the

RTS Performance Measures in the Contract.

5.2.7.1 Performance Audit Procedures

The Vendor shall prepare detailed Performance Audit Procedures for capturing and analyzing the data related to each applicable Performance Measure. The Performance Audit Procedures shall be based on the Operational Test Procedures and shall include steps that cover setup, data collection, and data analysis, including an indication of the expected and actual results. The Performance Audit Procedures shall include a scheduled target date for completion of the audit.

The Performance Audit Procedures shall also identify the responsible party for each procedural step.

WSDOT will arrange for any other Vendor under contract with WSDOT identified in the procedures to provide the necessary data and/or effort.

The Performance Audit shall not begin until the final Performance Audit Procedures have been approved by WSDOT. This will allow WSDOT to review the documents in detail prior to the event.

The Performance Audit Procedures shall identify the test vehicles that are to be mixed with real traffic and the results to be obtained from the tests.

The Performance Audit Procedures shall clarify the calculation methods that will be used to evaluate the performance metrics included in the Performance Audit Report.

The Performance Audit Procedures shall also define the operational data to be reviewed and the analysis that will be conducted on that data for presentation in the Performance Audit Report. At a minimum, this shall include:

• Analysis of a random sample of up to 500 transactions per day from a single Toll Zone.

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• Transactions shall be within the same one-hour period, during normal operating hours (5 a.m. –

8 p.m.).

• Vendor shall select a different Toll Zone for each day, rotating through all Toll Zones for that System during the 30-Calendar-Day period, repeating Toll Zones if necessary.

The Performance Audit Procedures shall contain enough detail to enable a third party to reproduce the results.

5.2.7.2 Performance Audit Requirements

The Performance Audit shall follow the same requirements as the Operational Test in Section 3.15 of

Appendix 3.

The Performance Audit shall be conducted to verify that all functional elements of the Project and components provided and installed by the Vendor under this Contract conform with WSDOT’s technical and operational requirements, the System Design as accepted by WSDOT, and all applicable and accepted Interface Control Documents. The Performance Audit shall demonstrate the System’s full operational capabilities in a real-world environment.

The Performance Audit shall include a statistically valid sample size of traffic. The sample size determination shall consider margin of error, confidence rate, population size, and response distribution.

The analysis method and estimated sample size outcome shall be submitted to WSDOT for approval within the Performance Audit Procedures.

The Vendor shall demonstrate the System meets performance requirements without degradation in performance. Over the 30-Calendar-day period, the system and each applicable performance requirement shall be analyzed to determine and quantify the level of performance and to confirm that the performance has not deviated from the minimum System performance requirements. The Vendor shall demonstrate the cause of any observed degradation.

During the 30-day Performance Audit test period, WSDOT and the Vendor shall utilize the weekly operations meeting to discuss progress and any issues identified during the test. The objective of these discussions is to allow WSDOT the opportunity to provide the Vendor with timely feedback if there is any indication that the System is not meeting performance requirements.

The testing shall provide sufficient confidence to WSDOT, in its sole determination, that the System installed by the Vendor meets WSDOT operational requirements, standards, and performance criteria.

This shall include meeting all exit criteria as established in the test procedures.

The Vendor shall provide the required support personnel and any necessary test vehicles and test equipment (e.g., test transponders).

In the event that the Vendor fails to meet the scheduled target date approved by WSDOT in the

Performance Audit Procedures, the monthly maintenance payments for that system will be withheld until such time that the audit is successfully completed. If it is determined that the failure to meet the scheduled target date was due to reasons outside of the Vendor’s control, WSDOT, in its sole discretion, may elect not to withhold monthly maintenance payments for that system.

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5.2.7.3 Performance Audit Report

The Vendor shall submit a Performance Audit Report within 14 Calendar Days of completion of the annual Performance Audit for WSDOT’s review. The purpose of the Performance Audit Report is to document whether the System has degraded over time and if the System still meets the required

Performance Measures. The Performance Audit Report shall include a summary of the audit activities and general conclusions of the audit results. A detailed report of the audit activities and results, including any discrepancies and corrective action taken, shall be included as an attachment to the Performance Audit

Report.

Once WSDOT approves the annual Performance Audit Report, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the Annual Performance Audit. If the Vendor is required to prepare a Performance Audit Action Plan (PAAP) in accordance with Section 5.2.7.4 herein, the Vendor shall submit an invoice for payment once the PAAP is approved by WSDOT.

5.2.7.4 Performance Audit Action Plan

In the event that any Performance Measures are not met during the annual Performance Audit for a system, the Vendor shall prepare and submit a PAAP to WSDOT within 14 Calendar Days from the final

Performance Audit Report issuance date. The PAAP shall describe how the Vendor will bring the System back into compliance. The PAAP shall include a scheduled target date for completion of a re-audit of the

System. Once WSDOT has approved the PAAP, the Vendor shall conduct a re-audit to demonstrate that the system is now in compliance. The re-audit shall provide sufficient confidence to WSDOT, in its sole determination, that the Vendor’s installed System meets WSDOT operational requirements, standards, and performance criteria. This shall include meeting all exit criteria as established in the test procedures and PAAP. In the event of repeated audit failures, Vendor shall conduct formal remediation meetings with

WSDOT to determine the root cause of failures, actions to bring the system back into compliance, and re-audit schedule.

Within 30 Calendar Days from receipt of the corrective action plan, WSDOT will respond to the Vendor by either accepting the PAAP or identifying modifications Vendor must make to the PAAP. The Vendor shall implement the approved corrective action plan in accordance with the timeframe required therein.

Once WSDOT approves the PAAP, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the Annual Performance Audit.

In the event that the Vendor fails to meet the scheduled target date approved by WSDOT in the PAAP, the monthly maintenance payments for that system will be withheld until such time that the re-audit is successfully completed. If it is determined that the failure to meet the scheduled target date was due to reasons outside of the Vendor’s control, WSDOT, in its sole discretion, may elect not to withhold monthly maintenance payments for that System.

5.2.8 SOC1 AUDIT

The Vendor shall obtain an annual audit for services related to this Contract in accordance with Service

Organization Compliance 1 (SOC1) Type 2. The SOC1 Audit may be combined for multiple facilities, with timing as directed by WSDOT. The Vendor shall notify WSDOT in writing at least seven Calendar Days prior to commencing SOC1 Audit activities. WSDOT shall approve the SOC1 Audit controls and has the authority to approve and select the objectives and test steps for the annual SOC1 Audit.

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WSDOT shall have access to review and copy the audit firm’s working papers and other official documents supporting the SOC1 Audit Report.

5.2.8.1 SOC1 Audit Report

The Vendor shall submit a SOC1 Audit Report for WSDOT’s review within 14 Calendar Days of completion of the annual SOC1 Audit. The SOC1 Audit Report shall include a summary of the audit activities and general conclusions of the audit results. A detailed report of the audit activities and results, including any discrepancies and corrective action taken, shall be included as an attachment to the SOC1

Audit Report.

Once WSDOT approves the annual SOC1 Audit Report, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the annual SOC1 Audit. If the Vendor is required to prepare a

SOC1 Audit Action Plan in accordance with Section 5.2.8.2 herein, Vendor shall submit an invoice for payment once the SOC1 Audit Action Plan is approved by WSDOT.

5.2.8.2 SOC1 Audit Action Plan

In the event that the SOC1 Audit identifies any exceptions, non-compliance, or failures, the Vendor shall prepare a SOC1 Audit Action Plan describing how the Vendor will bring the system back into compliance.

The SOC1 Audit Action Plan shall include a scheduled target date for completion of any required corrective actions. Once WSDOT has approved the SOC1 Audit Action Plan, the Vendor shall complete all corrective actions and demonstrate that the System is now in compliance. In the event of repeated audit failures, the Vendor shall conduct formal remediation meetings with WSDOT to determine the root cause of failures, actions to bring the System back into compliance, and re-audit schedule.

Once WSDOT approves the SOC1 Audit Action Plan, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the annual SOC1 Audit.

In the event that the Vendor fails to meet the scheduled target date approved by WSDOT in the SOC1

Audit Action Plan, the monthly payment for the Roadside Management Host (RMH) will be withheld until such time that the SOC1 Audit Action Plan is approved by WSDOT. If it is determined that the failure to meet the scheduled target date was due to reasons outside of the Vendor’s control, WSDOT, in its sole discretion, may elect not to withhold monthly maintenance payments for the RMH.

5.2.9 INFORMATION TECHNOLOGY (IT) SECURITY AUDIT

The Vendor shall obtain an attestation audit triennially (every three years) using agreed-upon procedure requirements by a WSDOT pre-approved vendor to validate compliance with applicable Washington State

WaTech security requirements as documented in WaTech Policies Chapter 4 and Appendix 9, Information and Security, and any amendments thereto. Applicable WaTech requirements will be established with WSDOT and based on WaTech-approved testing requirements.

5.2.9.1 IT Security Audit Report

The Vendor shall submit an IT Security Audit Report within 14 Calendar Days of completion of the IT

Security Audit for WSDOT’s review. The IT Security Audit Report shall include a summary of the audit activities and general conclusions of the audit results. A detailed report of the audit activities and results, including any discrepancies and corrective action taken, shall be included as an attachment to the

IT Security Audit Report.

https://watech.wa.gov/policies

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Once WSDOT approves the IT Security Audit Report, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the IT Security Audit. If the Vendor is required to prepare an IT

Security Audit Action Plan in accordance with Section 5.2.9.2 herein5.2.8.2, the Vendor shall submit an invoice for payment once the IT Security Audit Action Plan is approved by WSDOT.

5.2.9.2 IT Security Audit Action Plan

In the event that the IT Security Audit identifies any exceptions, non-compliance, or failures, the Vendor shall prepare an IT Security Audit Action Plan describing how the Vendor will bring the system back into compliance. The IT Security Audit Action Plan shall include a scheduled target date for completion of any required corrective actions. Once WSDOT has approved the IT Security Audit Action Plan, the Vendor shall complete all corrective actions and demonstrate that the system is now in compliance. In the event of repeated audit failures, the Vendor shall conduct formal remediation meetings with WSDOT to determine the root cause of failures, actions to bring the system back into compliance, and re-audit schedule.

Once WSDOT approves the IT Security Audit Action Plan, the Vendor shall submit an invoice for payment in the amount set forth in the Contract for the IT Security Audit.

Payment for the IT Security Audit for any System that is not in compliance will be withheld until such time that the re-audit confirms that the system is now in compliance. In the event that Vendor fails to meet the scheduled target date approved by WSDOT in the IT Security Audit Action Plan, the monthly maintenance payment for the Roadside Management Host will be withheld until such time that the IT

Security Audit Action Plan is approved by WSDOT. If it is determined that the failure to meet the scheduled target date was due to reasons outside of the Vendor’s control, WSDOT, in its sole discretion, may elect not to withhold monthly maintenance payments for the RMH.

5.2.10 OPERATIONS AND MAINTENANCE INVOICES

The Vendor shall invoice WSDOT in accordance with the requirements set forth in this Appendix, for

Work completed by the Vendor and approved by WSDOT, but not more than once per month unless approved by WSDOT. Payment requests shall be accompanied by the Monthly Maintenance Report(s), any required Deliverables, backup tabulations, and proof of progress. See the Contract for additional requirements of invoice contents.

5.2.11 OPERATIONS AND MAINTENANCE PROJECT MANAGEMENT SUBMITTALS

5.2.11.1 General

All submittals shall be submitted to WSDOT for review and comment. Comments submitted by WSDOT shall be addressed by the Vendor in accordance Appendix 3.

5.2.11.2 Operations and Maintenance Project Management Documents

The Vendor shall submit, at a minimum, the following documents:

• Maintenance Plan

• Operations Manual

• Monthly Maintenance Reports

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• Monthly Maintenance Invoices

• Performance Audit Procedures

• Performance Audit Reports

• Performance Audit Invoice

• SOC1 Audit Reports

• SOC1 Audit Invoice

• IT Security Audit Reports

• IT Security Audit Invoice

• Operations and Maintenance Invoices, when applicable

5.3 Operations and Maintenance

5.3.1 GENERAL

The Vendor shall be responsible for all labor and expenses, including shipping, travel, meals, and lodging, associated with providing the required Services and shall not be reimbursed for said items.

The Vendor shall be responsible for all required Products and spare parts, repair and replacement of all

Products and spare parts, and related expenses including but not limited to shipping, travel, meals, and lodging associated with providing the required maintenance and warranty Services and will not be reimbursed for said items or any related disposal fees. The Vendor shall coordinate with WSDOT to determine what WSDOT-owned equipment is eligible for surplus through Department of Enterprise

Services prior to disposal.

The Vendor shall coordinate and perform all necessary maintenance, repair, renewal, and replacement of

Products through the term of the Contract.

The Vendor shall perform all audits as specified in Section 5.2.7, Section 5.2.8, and Section 5.2.9 herein for the life of the Contract.

The Vendor shall maintain current and accurate records for all System Maintenance Work.

The records shall be organized and managed by a computerized data and information management system as part of MOMS. MOMS-related requirements are addressed in Appendix 4, Toll Technical

Requirements.

The roadside maintenance demarcation point between WSDOT and Vendor responsibilities shall be the

Roadside Toll Cabinet. The Vendor shall be responsible for all Operations and Maintenance Work, including preventive maintenance of the roadside toll cabinets and all downstream Toll Equipment, except for the roadside toll cabinet communications switch provided by WSDOT, including all conductors, cables, and wiring. In the event that a roadside toll cabinet needs to be completely replaced, WSDOT will be responsible for replacement of the roadside toll cabinet for WSDOT-provided cabinets, and the Vendor shall be responsible for replacement of the roadside toll cabinet for Vendor-provided cabinets. In addition, WSDOT will reconnect the cabinet to permanent electrical and communication infrastructure. In the event of replacement of the roadside toll cabinet, the Vendor shall be responsible for reinstalling, testing, and operating all Toll Equipment, including all conductors, cables, and wiring.

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If the Vendor identifies any errors or anomalies in the communication infrastructure (see Section 3.10 of

Appendix 3), including the roadside toll cabinet communications switch provided by WSDOT, the Vendor shall be responsible for initial troubleshooting and corrective action for items under the Vendor control

(e.g., power, connections to the WSDOT communications switch). The Vendor shall complete the initial troubleshooting and corrective actions checklist before contacting WSDOT. If initial troubleshooting and corrective action do not address the identified errors or anomalies, the Vendor shall contact WSDOT to coordinate additional troubleshooting and corrective actions. The Maintenance Plan (Section 5.2.3 herein) shall include a checklist of initial troubleshooting and corrective actions (including gathering data and other information about the error or anomaly). The Maintenance Plan shall also include a process for issue escalation if the identified errors or anomalies are outside of the Vendor’s control. All other maintenance performance provisions and requirements herein shall remain in full force and effect during any errors or anomalies in the communication infrastructure.

5.3.2 QUALITY OF WORK

All Work and Products re-done, repaired, corrected, or replaced by the Vendor in the performance of its obligation to maintain the System anytime during the Operations and Maintenance Term shall match and follow the original design and installation Work and Products as described in Appendix 3. Where the original design and installation Work and Products cannot be exactly matched or followed, the Vendor shall develop new design and installation plans. Any new plans for Work or Products shall be of equal quality and type to the original Work or Products and shall be submitted to WSDOT for approval.

5.3.3 MAINTENANCE REQUIREMENTS

The requirements within this Section are applicable from System Acceptance to the end of the Contract.

The Vendor shall provide support to WSDOT in completing all agency head responsibilities contained within the Washington State WaTech security requirements as documented in WaTech Policies Chapter 4 and Appendix 9, Information and Security.

The Vendor shall provide all tools and equipment required for RTS maintenance and repairs. The Vendor shall provide passwords to WSDOT to allow system access and monitoring.

The Vendor shall track the management of materials in MOMS, including configuration updates, and make the information available for WSDOT to query.

The Vendor shall deploy software and configuration updates incrementally to avoid large-scale outages due to unexpected consequences of the deployment. Deployments shall start at a single Toll Zone, continue to multiple Toll Zones in the same direction of traffic, then all Toll Zones in the same direction of traffic, and lastly to all Toll Zones in the corridor.

The Vendor shall provide all lane closures in accordance with applicable requirements of the Contract during Operations and Maintenance. MOT during operations requirements are described in Section 5.4 herein.

The Vendor shall perform all preventive maintenance through the term of the Contract.

Preventive maintenance and RTS Priority 3 maintenance shall be performed during the nighttime, in accordance with the allowable closures described in Section 5.4 herein. For non-overhead solutions or access to cabinets located on the shoulder, preventive maintenance and RTS Priority 3 maintenance may

5-12 State of Washington Contract No. ___ Department of Transportation be performed during the day with WSDOT approval and in accordance with the allowable closures described in Section 5.4 herein. RTS Priority 1 and 2 maintenance shall be performed during the night to the extent practicable; however, it may also be performed during the day in accordance with the lane

Rental provisions described in Section 5.4 herein.

The Vendor shall coordinate and perform all necessary renewal and replacement of Products through the term of the Contract. The Vendor shall track the installation date and expected end of life of the

Uninterruptible Power Supply (UPS) batteries. The Vendor shall replace the UPS batteries no less than every four years from the respective installation date. Additionally, the Vendor shall track all testing and maintenance relating to generators.

The Vendor shall provide a portable, wireless communications solution that provides a backup to roadside fiber and communication network(s) in the event that fiber and/or communication network(s) are impacted by outages. The portable backup, wireless communications solution will be temporary but shall have enough bandwidth to prevent a backlog of transactions and images not transmitted.

During Operations and Maintenance, the Vendor shall follow the Environmental Compliance Plan prepared in accordance with Section 3.14 of Appendix 3. The Vendor shall also follow the Spill

Prevention, Control, and Countermeasures Plan prepared in accordance with Section 3.14 of Appendix 3.

5.3.4 SPARE PARTS PROCUREMENT

Thirty Calendar Days prior to the expected Toll Commencement date, the Vendor shall have purchased and have on hand the requisite inventory of spare parts in an office maintained by the Vendor. The

Vendor shall maintain a 10% spare parts inventory, rounded up. For Vendor-provided cabinets, the

Vendor shall maintain one spare cabinet per model.

All spare parts and consumables shall be maintained by the Vendor at a location or locations agreed upon by WSDOT and the Vendor. Spare parts shall be asset tagged and assigned to specific roadway facilities. All spares shall be new unless otherwise approved by WSDOT. Any spare parts that are not new will not count towards the required 10% spare parts inventory.

WSDOT has the right to inspect the spare parts and consumables inventory upon request at any time during the Contract.

5.3.5 SPARE PARTS INVENTORY MANAGEMENT

The Vendor shall provide spare parts inventory control functionality as part of MOMS, including separation of spare parts by facility. MOMS shall contain up to date information related to spare parts inventory management. WSDOT will have the right to query and review the spare parts inventory at any time. Refer to Appendix 4 for related requirements.

5.3.6 REPLACEMENT OF FAILED EQUIPMENT

When a subsystem, as defined in Appendix 4, is unavailable, the event shall be documented in the

Monthly Maintenance Report. The documentation shall identify the faulty equipment. If the same equipment is identified two or more times, that equipment shall be monitored weekly until no longer identified in the Monthly Maintenance Report and shall be considered a candidate for replacement if unavailability continues.

5-13 State of Washington Contract No. ___ Department of Transportation

All Vendor-provided equipment that fails shall be replaced by the Vendor at the Vendor’s expense, and the associated spare part shall be replenished if used.

5.3.6.1 Repairs

The Vendor shall be responsible for all required repairs. However, certain unforeseen repair needs may arise that are beyond Vendor’s control including the following:

• System part failures caused by externally applied stress conditions outside of the control of Vendor and the requirements of the Operations and Maintenance phase of Work

• System part failures caused by environmental or operating conditions outside of the control of Vendor and the requirements of the Contract.

WSDOT will provide additional compensation for the above unforeseen repairs per the terms of ORT RTS

Contract Exhibit I and Side-Fire RTS Contract Exhibit D.

5.3.7 OPERATIONS AND MAINTENANCE OVERSIGHT TRAINING

The Vendor shall provide relevant information, procedures, and instructions to WSDOT personnel and their agents on the proper Operations and Maintenance of the RTS to support WSDOT oversight and management of the RTS. Training shall consist of both classroom training and field training.

WSDOT and the Vendor shall coordinate the method, duration, time, and location of the training. The

Operations and Maintenance oversight training shall be completed prior to Toll Commencement.

Training shall be conducted by engineers or technicians knowledgeable in the Operations and

Maintenance of the equipment. The Vendor shall provide training offered by integrators and original equipment manufacturers for specific system components where available and required to properly maintain and operate such equipment. All costs associated with travel for the trainer shall be the responsibility of the Vendor.

5.3.7.1 Classroom Training

The Vendor shall submit a draft of the classroom training agenda to WSDOT for review along with the draft Operations Manual. The Vendor shall submit a final classroom training agenda to WSDOT for approval along with the final Operations Manual.

The Vendor shall provide classroom training in a WSDOT-provided facility in each of the following categories:

• System Administration, two hours minimum

• Office Engineering (servers/Software), two hours minimum

• Toll Program Oversight, two hours minimum

• Field Maintenance Responsibilities and Procedures, four hours minimum

Classroom training shall reference both the Maintenance Plan and Operations Manual, where applicable.

Classroom training shall address, at a minimum, usage and maintenance of the following:

5-14 State of Washington Contract No. ___ Department of Transportation

• Lane – Vehicle Detection and Classification System

• Lane – Video Processing/Photo Toll System

• Lane – Express Toll Lane

• System interfaces

• Monitoring, troubleshooting techniques, reconciliation, audit, and reports

Classroom training shall be completed no later than 30 Calendar Days prior to Toll Commencement and no earlier than when the final Operations Manual has been submitted.

In addition to classroom training, training for field personnel shall consist of printed and electronic materials accompanied by verbal instructions and hands-on training or job shadowing with the applicable

Product and operating environment for the System, described in Section 5.3.7.2 herein.

All user accounts shall be established before the training program begins, although a guest account may be used for training purposes.

All WSDOT user accounts required during Vendor maintenance shall be verified by each user during training.

All training materials (e.g., manuals, media, source documents, white papers, etc.) shall be provided by the Vendor and shall be submitted to WSDOT 30 Calendar Days prior to the date the training is scheduled to take place.

The Vendor shall grant WSDOT permission to reproduce the training materials at WSDOT's discretion.

The training shall incorporate a final production version (or up to date test environment) of all user interfaces and Products.

The Vendor shall supply four training terminals with simulation Software to simulate real conditions.

Simulated or actual data shall be populated into the System so that users may experience all aspects of

System operation, including but not limited to live or simulated Transaction monitoring, image monitoring, DVAS monitoring, MOMS monitoring and notification, performance measure calculations, and reporting functions.

The Vendor shall provide one refresher retraining, if requested by WSDOT, within 60 Calendar Days following the Toll Commencement Milestone, up to eight hours of training. The Vendor shall provide additional refresher trainings periodically through the operations period at the request of WSDOT, up to two times per year.

The Vendor shall provide a draft agenda, including the topics and skills to be refreshed as well as all training materials, 30 Calendar Days before refresher retraining commences.

5.3.7.2 Field Training

Upon WSDOT request, the Vendor shall provide up to 10 hours of hands-on field training per year, for up to six persons in a group. This training shall focus on equipment, systems, and procedures of interest to

WSDOT personnel working near the Vendor/WSDOT demarcation at the toll cabinet. Likely topics of

5-15 State of Washington Contract No. ___ Department of Transportation interest include network switches, landscaping and graffiti removal, power distribution, and cabinet keying. WSDOT may specify other timely topics to be covered in this training.

5.3.8 NOTIFICATIONS

Maintenance notifications may be provided to the Vendor through various means. The start of the maintenance Response Time, for purposes of measuring the Vendor’s Response Time, shall be as described in Sections 5.3.9.1 through 5.3.9.5 herein.

5.3.8.1 Verbal Notification

WSDOT’s first conversation with, or voicemail to, the Vendor’s answering/routing service shall constitute the start of Response Time.

The Vendor shall document verbal notification in the Work Order.

5.3.8.2 Written Notification

Written notification may be emailed to the Vendor 24 hours a day, seven days a week. The time stamp in the sent email from WSDOT shall constitute the start of Response Time.

5.3.8.3 Automatic Notification

Automatic alarm and alert messages shall be sent out by MOMS; this action notifies the technicians of an alert or failure. The time stamp of the notification within MOMS shall constitute the start of Response

Time. MOMS-related requirements are addressed in Appendix 4, Toll Technical Requirements.

5.3.9 RESPONSE TO NOTIFICATION

Response to notifications shall be determined by severity as specified herein with the exception of issues that could cause harm to the public or that could involve infrastructure failure (emergencies).

The corresponding response repair times shall not exceed the times, per event, prescribed in Table 5-1 for the RTS and Table 5-2 for the RMH.

Table 5-1. RTS Priority Level Response and Repair Times

RTS Maintenance Event Priority Response Time Repair Time Priority…