Attachment C - Deliverables and Performance Measures.pdf
PDF 242 KB Posted
- Attached to
- DMS-2425-199, (SUSORP and SMSOAP)
- Solicitation number
- ITN-12499
- Issued by
- Alachua County, Graceville City, Florida
About this file
Attachment C is a detailed Deliverables and Performance Measures document for the Florida Department of Management Services (DMS), Division of Retirement, related to the State University System Optional Retirement Program (SUSORP) and Senior Management Service Optional Annuity Program (SMSOAP). The document outlines 88 specific performance measures with corresponding financial consequences for noncompliance, covering areas such as implementation plans, member services, website requirements, call center operations, reporting, transition plans, and security measures. Each performance measure specifies a required service level of 100% and includes precise financial penalties ranging from $100 to $25,000 per occurrence or day of non-compliance.
The financial consequences are structured to incentivize strict adherence to contract requirements, with penalties assessed for issues like delayed reporting, insufficient member communication, website technical or security problems, call center performance shortfalls, and failures in areas such as member distributions, account management, and transition planning. The document demonstrates a comprehensive approach to contract management, with detailed metrics that cover operational, technological, administrative, and service-related aspects of the retirement program management. The financial penalties are designed to ensure the contractor maintains high standards of performance across all contracted services, with immediate monetary consequences for any deviation from the specified requirements.
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Text version
ATTACHMENT C – DELIVERABLES AND PERFORMANCE MEASURES
No.
DELIVERABLES
Due Date
FINANCIAL CONSEQUENCE
FOR NONCOMPLIANCE
1. Ongoing support to the Department to meet the following requirements:
Senior Management Service Optional Annuity Program (SMSOAP) in accordance with section 401(a) of the Internal Revenue Code; and
Compliance with the provisions of Chapter 121, Florida Statutes (.F.S.), and the rules promulgated thereunder in Chapters 60U and 60V, Florida Administrative Code (F.A.C.).
Ongoing $10,000, per occurrence, if the
Department is found to be non-compliant by the IRS, or other regulating authorities*, due to the Contractor’s failure to meet requirements identified in Attachment B – Statement of Work.
2. Ongoing support to the Department to meet the following requirements:
Ongoing State University System Optional Retirement Program (SUSORP) in accordance with section 403(b) of the Internal Revenue Code;
and
Compliance with the provisions of Chapter 121, F.S., and the rules promulgated thereunder in Chapters 60U and 60V, F.A.C.
Ongoing $10,000, per occurrence, if the Department is found to be non-compliant by the IRS, or other regulating authorities, due to the Contractor’s failure to meet requirements identified in Attachment B – Statement of Work.
*Regulating authorities may include, but are not limited to, local and state government (e.g., Office of Attorney General, Governor’s Office, etc.), where applicable.
NOTES:
A. The performance measure description is limited in detail in this document. The Service Provider must refer to Attachment B – Statement of Work reference for complete details.
B. The financial consequence for noncompliance shall be paid to the Department with its corresponding report (see, Attachment B – Statement of Work, Section 13, Reporting Requirements).
For example: Where applicable, a financial consequence is assessed by the Calendar Day, Business Day or per occurrence. The applicable performance measure is reported quarterly. The Service Provider shall pay the Department a financial consequence grand total for the applicable performance measure with its quarterly report.
C. Where there’s no applicable reporting requirement for a performance measure, the financial consequence grand total shall be paid quarterly.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
1. 3.2.2.1 Preliminary Implementation Plan 100% $100, per Calendar Day, for each
Calendar Day beyond the 10 th day.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
2. 3.2.3.1 Final Implementation Plan 100% $100, per Calendar Day, for each Calendar Day beyond the 10 th day.
3. 3.2.3.4 Revised Final Implementation Plan
100%
$100, per Calendar Day, for each Calendar Day beyond the 5th Calendar Day.
4. 3.2.4 100% Operational Deadline 100% $5,000, per Calendar Day, until
100% operational.
5.
3.3.2.1
Dedicated Account
Representatives 100%
$100, per Calendar Day, after the 10th Business Day, until the staffing level returns to five.
6.
3.3.2.2
List of On-Site Representatives 100% $500, per occurrence, for failure to provide in its Final Implementation Plan.
$100, per Business Day, until received by the Department.
7.
3.3.2.2
Updated List of On-Site
Representatives 100% $100, per Business Day, after the
2nd Business Day, until received.
8.
3.3.2.6 Account Representative Training
100% $10,000, if training does not occur as scheduled or as rescheduled.
9. 3.3.4.2 Licensure Written Certif ication 100% $100, per Business Day, until received by the Department.
10. 3.3.4.4, a. Vacant Positions 100%
$100, per Calendar Day, for each Calendar Day beyond the 10th day, until f illed.
11. 3.3.4.4, b.
Vacant Positions
Notif ication 100%
$100, per occurrence, for failure to report vacancy within 24 hours.
12. 3.4.1.1
Member Services
SUSORP
On-site Requirements
100%
$100, per Calendar Day, after the
20th Calendar Day, until received by the Contractor.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
13. 3.4.1.2
Member Services
SUSORP
On-site Requirements
100%
$100, per Calendar Day, after the
3rd Calendar Day received by the Service Provider, until received by the Department.
14. 3.4.1.3
Member Services
SUSORP
On-site Requirements
100% $500 per occurrence, of reported non-compliance at a university.
15. 3.4.1.4
Member Services
SUSORP Meetings/On-site Visits
100% $500, per occurrence, for each non-attendance or non-scheduled visit.
16.
3.4.2.3, a. Member Services
SUSORP and SMSOAP
Authorized Product and Performance Fees Member Notification
100% $100, per Member, for failure to provide the Member its notification.
17.
3.4.2.3, c. Member Services
SUSORP and SMSOAP
Authorized Product and Performance Fees Member Notification Method
100% $500, per occurrence, for non-notif ication to the Department of notif ication delivery method.
18.
3.4.2.4
Member Services
SUSORP and SMSOAP
Quarterly Member Statement
100% $100, per occurrence, for each Member that did not have a quarterly statement available within time specified.
19.
3.5.6.2 Communications
Revisions to Draft Communications
100% $100, per Calendar Day, after the 5th Calendar Day, until received by the Department.
20.
3.5.7 Communications
Annual Marketing Plan
100% $100, per Business Day, each day after January 31st, until received by the Department.
21.
3.6.4, a.
Member Satisfaction Survey
Survey Results Due Date
100% $500, per Business Day, each day after December 31st, until received by the Department.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
22.
3.6.4, c.
Annual Member Satisfaction Survey
≥ 90%
$25,000, per annual occurrence, if less than 90% satisfaction rating.
23.
3.7.4., b.
Website
Technical Requirements
≥ 99% of the time.
$250 per quarter, if less than 99%.
24. 3.7.5 Website
Security Requirements 100%
$1,000, per occurrence, for each identif ied non-compliance.
25. 3.7.6 Website
Website Updates 100%
$100, per Business Day, for each Business Day, advance notification was missed.
26. 3.8.2.1
Toll-Free Number
Interactive Voice Response (IVR) System
100%
$100, per Business Day, after the 5th Business Day, until received by the Department.
27. 3.8.3.3 Toll-Free Number
Hours and Days of Operations 100%
$100, per Calendar Day, for each Calendar Day, advance notification was missed.
28. 3.9.1 Call Center
Location 100%
$5,000, per occurrence, of reported non-compliance.
29.
3.9.2
Call Center
Availability
≥ 99% of the time.
$6,500, per quarter, if less than
99%.
30.
3.9.5
Call Center
Resolve Member Issues 100%
$250, per occurrence, for failure to resolve Member issues within five
(5) Business Days.
31.
3.9.7 Call Center
Incoming Calls 80%
$250, per quarter, for failure to answer calls within thirty (30) seconds.
32.
3.9.7 Call Center
Incoming Calls 100%
$250, per quarter, for calls on hold or in queue for more than sixty (60) seconds.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
33.
3.9.11 Call Center
Investment Transfers 100%
$500, per Member, for failure to process investment transfers received by 4:00pm, EST before the next Business Day.
34.
3.9.13 Call Center Employees Training
100% $1,000, per each staff member, who missed the annual training.
35.
3.10.1 thru
3.10.9
Notifications 100%
$5,000, per occurrence, of non-notif ication.
36. 3.11.3 Authorized Products 100% $1,000, per occurrence, for each non-Authorized Product offered.
37. 3.11.4.1 Authorized Products
Replacement 100%
$100, per Business Day, after the
20th Business Day, until paid in full.
38. 3.11.4.2 Authorized Products
Deletion 100%
$100, per Business Day, after the 20th Business Day, until paid in full.
39. 3.11.4.3 Authorized Products
Evaluation 100%
$100, per Business Day, after the 20th Business Day, until paid in full.
40. 3.11.4.4 Authorized Products
Change Implementation 100%
$100, per Business Day, after the 10th Business Day, until submitted to the Department.
41. 3.11.9 Authorized Products
Department Product Review 100%
$100, per Business Day, after the 90th Business Day, until submitted to affected Members.
42.
3.12.2.1 In Good Order Policy 100% $500, per occurrence, for failure to submit within 30 Calendar Days.
43.
3.12.2.2 In Good Order Policy
Revised
100% $100, per Business Day, after the 15th Business Day, until submitted to the Department.
44.
3.12.3.1
Contributions
Credits 100%
$2,500 per occurrence, and an individual Member is made whole, as though the transaction occurred timely.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
45. 3.12.3.2 Contributions
Outreach
100% $100, per Member, not contacted by the Contractor.
46. 3.12.4.2 Suspense Account
Corrections 100%
$100, per Business Day, after the 10th Business Day, until correction is made.
47. 3.12.4.3 Suspense Account
Return Funds 100%
$100, per Business Day, after the date identif ied in the Final End of Service Transition Plan, until funds are transferred or returned to the Department.
48. 3.12.5.2 Rollover Notif ication 100%
$1,000, per Business Day, after the 90th Calendar Day, until received by the Department.
49. 3.12.5.5
Member Distributions
Failure to obtain Department approval.
100% $1,000, per occurrence.
50. 3.12.5.8 Member Distributions
Process Time 100%
$100, per Business Day, after the 5th Business Day, until processed accurately and completely.
51. 3.12.6.2
Member Overpayments
(Unauthorized Distributions)
Notif ication
100%
$100, per Business Day, after the 10th Business Day, until notif ication is sent.
52. 3.12.6.4
Member Overpayments
(Unauthorized Distributions)
Correspondence
100%
$100, per Business Day, after the 10th Business Day, until the Department receives the correspondence.
53. 3.12.6.6
Member Overpayments
(Unauthorized Distributions)
Recapture
100%
Service Provider shall pay the gross amount of each distribution not retrieved by the 90th Calendar Day, from the date of notif ication by the Department.
54. 3.12.6.8
Member Overpayments
(Unauthorized Distributions)
Recapture Tax Information
100%
$100, per Business Day, after the 10th Business Day, until received by the Department.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
55. 3.12.7.2 Member Social Security Number
Discrepancy 100%
$100, per Business Day, after the
10th Business Day, until correction is made.
56. 3.12.8.2 Member Contract Exchanges
Processing Time
100% $100, per Business Day, after the 5th Business Day, until processed.
57. 3.12.8.4
Member Contract Exchanges
Restrict Contract Exchanges Authorized Products within the Plan.
100% $100, per Business Day, until correction is made.
58. 3.12.8.5 Member Contract Exchanges
Fund-to-Fund Transfers
100% $2,500, per occurrence, and Member is made whole, as though the transaction occurred timely.
59. 3.12.9.1 Member Termination Violation
Stop Payment
100% Service Provider shall pay the gross amount of each unauthorized distribution it failed to stop.
60. 3.12.10.1 Member Forfeiture
Hold/Stop Payment
100% Service Provider shall pay the gross amount of each unauthorized distribution it failed to stop.
61. 3.12.10.2 Member Forfeiture 100% $100, per Business Day, after the
10th Business Day, until benefits are placed in in Suspense Account.
62. 3.12.11.2 Rollovers
Notification
100% $1,000, per occurrence, of non-notif ication.
63. 3.12.12 Non-Member Account Resolution
100% $1,000 per Business Day, after the 90th Calendar Day.
64. 3.13.1 Reporting Requirements
Weekly Distribution Report
100% $250, per Business Day, starting Tuesday (Business Day), until received by the Department.
65.
3.13.3
Reporting Requirements
Quarterly Suspense Account Report
100% $250, per Business Day, after the 10th Business Day, until received by the Department.
66.
3.13.4
Reporting Requirements
Quarterly Assets Under Management Report
100% $250, per Business Day, after the 10th Business Day, until received by
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
67.
3.13.5 Reporting Requirements
Quarterly Authorized Product Performance and Fee Report
100% $250, per Business Day, after the 10th Business Day, until received by the Department.
68.
3.13.6 Reporting Requirements
Quarterly Performance Measures and Deliverables Report
100% $250, per Business Day, after the 10th Business Day, until received by the Department.
69.
3.13.7 Reporting Requirements
Quarterly Reconciliation Report
100% $250, per Business Day, after the 10th Business Day, until received by the Department.
70.
3.13.8 Reporting Requirements
Quarterly Per Member Fee Assessment Report
100% $250, per Business Day, after the 10th Business Day, until received by the Department.
71.
3.13.9 Reporting Requirements
Annual SUSORP and SMSOAP Report
100% $500, per Business Day, after the 10th Business Day, until received by the Department.
72.
3.13.11 Ad-hoc Report 100% $100, per Business Day, after the
required date identif ied by the Department, until received by the Department.
73.
3.14 Annual Administrative Review 100% $15,000, per occurrence, for no annual review.
74.
4.1.1 Transition Plans
Proposed End of Contract Transition Plan
100% $1,000, per Business Day, after the 90th Calendar Day, until received by the Department.
75.
4.1.2 Transition Plans
Revised End of Contract Transition Plan
100% $5,000, per occurrence, if not timely submitted.
76.
4.1.3 Transition Plans
Final End of Service Transition Plan
100% $1,000, per Business Day, after the 45th Calendar Day, until received by
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
77.
5.3.2 Deliverables
Non-acceptance/Cure
100% $1,000, per Business Day, after the 10th Business Day, until received by the Department.
78.
6.4 Performance Measures 100% $250, per Business Day, if not timely submitted by the close of business the following Business Day after the request.
79.
11.4
Notif ication of Breach of Security 100% $1,000, per Business Day, for each Business Day, beyond the event date, until notice is received by the Department.
80.
11.5 Remedial Measures 100% $1,000, per Business Day, for each Business Day, beyond the event date, until received by the Department.
81.
11.6 Indemnification
(Breach of Warranty Security)
100% $1,000, per Business Day, for each Business Day, beyond the event date, until list of individuals affected or potentially affected is received by the Department.
82.
11.6 Indemnification
(Breach of Warranty Security)
100% $1,000, per Business Day, for each Business Day, beyond the annual date, until list of individuals affected is received by the Department annually.
83.
11.7 Annual Certif ication 100% $1,000, per Business Day, for each Business Day, beyond December 31st, until received by the Department.
84.
Contract
Document
Background
Screening, Record Retention, and
Warranty of Security
Section 15.3
Refresh Screening 100% $500, per occurrence, if not timely submitted.
85.
Contract
Document Initial Warrant of Security 100% $500, per occurrence, if not timely submitted.
SCOPE OF
WORK
REFERENCE
PERFORMANCE MEASURE
REQUIRED
SERVICE
LEVEL
FINANCIAL CONSEQUENCE FOR
NONCOMPLIANCE
Background
Screening, Record Retention, and
Warranty of Security
Section 15.4.5
86.
Contract Document
Background Screening, Record
Retention, and Warranty of
Security
Section 15.4.6
Annual Warrant of Security 100% $500, per occurrence, if not timely submitted.
87.
Contract Document
Background
Screening, Record Retention, and
Warranty of Security
Section 15.4.7
Supplemental Warrant of Security
100% $500, per occurrence, if not timely submitted.
88.
Contract
Document
Section 23.3
Corrective Action Plan
100% $1,000 per occurrence.
$250 per Business Day, if not received after requested date, until received by the Department.
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