RFP Attachment A - Scope of Work 101006 · RFP NUMBER 5000680 ATTACHMENT A I-15 Managed Lanes Toll...

RFP NUMBER 5000680

ATTACHMENT A

I-15 Managed Lanes Toll Collection System

Installation and Implementation Scope of Work

Maintenance Scope of Work

Front Office Operations Scope of Work

(Optional)

RFP ATTACHMENT A – SCOPE OF WORK

October 13, 2006 i

Table of Contents

1.0 DEFINED TERMS.............................................................................................................................................................................1 2.0 FUNCTIONAL REQUIREMENTS...................................................................................................................................................6

2.1 Project Overview....................................................................................................................................................................6 2.2 General Requirements..........................................................................................................................................................7 2.3 Legal Requirements ..............................................................................................................................................................8

2.3.1 Regulatory - Title 21 ............................................................................................................................ 8 2.3.2 Statutory Streets and Highway Codes Sections 27564, 27565 .......................................................... 9 2.3.3 State Assembly Bill 1223 (Codified as California Vehicle Code Sections 4770-4775 and Section

40250 et seq) ...................................................................................................................................... 9 2.3.4 California Vehicle Code Sections 21655.5 (a) through 21655.5 (b) – HOV........................................ 9 2.3.5 FHWA Final Rule on Architecture Standards and Conformity (23 CFR 940 Part 11)......................... 9 2.3.6 FCC License........................................................................................................................................ 9

2.4 Interoperability Requirements.......................................................................................................................................... 10 2.4.1 Toll Collection System Hardware ...................................................................................................... 10

2.4.1.1 General Requirements .................................................................................................... 10 2.4.1.2 Maintainability.................................................................................................................. 10 2.4.1.3 Diagnostics ...................................................................................................................... 11

2.4.2 Customized Hardware....................................................................................................................... 11 2.4.3 Equipment and Computer Enclosures .............................................................................................. 11 2.4.4 Environmental ................................................................................................................................... 12 2.4.5 Assembly........................................................................................................................................... 12 2.4.6 Bill of Materials (BOM) ...................................................................................................................... 13 2.4.7 Spare Parts ....................................................................................................................................... 13 2.4.8 Toll Collection System Software ....................................................................................................... 13 2.4.9 Toll Collection Lane Configurations .................................................................................................. 14

2.5 Toll Collection System Security and Access Control Requirements ....................................................................... 14 2.5.1 Enclosure and Cabinet Access ......................................................................................................... 14 2.5.2 Toll Collection System Lock Requirements....................................................................................... 14 2.5.3 Toll Collection System Software Security ......................................................................................... 14

2.6 Toll Collection In-lane Subsystems................................................................................................................................. 14 2.6.1 Automatic Vehicle Identification (AVI) System.................................................................................. 14 2.6.2 Automatic Vehicle Detection (AVD) System ..................................................................................... 15 2.6.3 Reversible Lane Detectors (RLD) ..................................................................................................... 15 2.6.4 Violation Enforcement System (VES) ............................................................................................... 16 2.6.5 Variable Toll Message Sign (VTMS) ................................................................................................. 16 2.6.6 Transaction Status Indicator (TSI) .................................................................................................... 17 2.6.7 Zone Controller.................................................................................................................................. 18

2.6.7.1 Zone Controller Hardware ............................................................................................... 18 2.6.7.2 Zone Controller Software................................................................................................. 18

2.6.7.2.1 Zone Controller Start-Up ............................................................................ 19 2.6.7.2.2 Lane Operations......................................................................................... 19


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2.6.7.2.3 Transaction Processing.............................................................................. 20 2.6.7.2.4 Configuration Files ..................................................................................... 20 2.6.7.2.5 Interface to AVI System ............................................................................. 20 2.6.7.2.6 Interface to AVDS ...................................................................................... 20 2.6.7.2.7 Interface to VES ......................................................................................... 21 2.6.7.2.8 Interface to VTMS ...................................................................................... 21 2.6.7.2.9 Interface to the RLD ................................................................................... 21 2.6.7.2.10 Interface to the TSI..................................................................................... 21 2.6.7.2.11 Interface to Data Management Server....................................................... 21

2.6.7.2.11.1 Receiving Data .................................................................... 21 2.6.7.2.11.2 Transmitting Data ................................................................ 22

2.6.7.2.12 Monitor All Lane Equipment for Device Status .......................................... 23 2.6.7.2.13 Diagnostics and Equipment Malfunction.................................................... 23 2.6.7.2.14 Stand-alone Mode of Operation................................................................. 23 2.6.7.2.15 Time Synchronization................................................................................. 24 2.6.7.2.16 California Highway Patrol (CHP) Interface................................................. 24

2.6.8 Portable AVI Reader ......................................................................................................................... 24 2.6.9 Video and Data Audit System (VDAS) .............................................................................................. 24

2.7 Central Processing System (CPS)................................................................................................................................... 25 2.7.1 Data Management System................................................................................................................ 25

2.7.1.1 Data Management Server Hardware............................................................................... 26 2.7.1.1.1 Data Management Server Operating System............................................ 27 2.7.1.1.2 Data Management Server Database ......................................................... 27 2.7.1.1.3 Data Backup and Retention ....................................................................... 27 2.7.1.1.4 Workstations............................................................................................... 28 2.7.1.1.5 Printers ....................................................................................................... 28 2.7.1.1.6 Uninterruptible Power Supply (UPS).......................................................... 28 2.7.1.1.7 Communications Equipment ...................................................................... 28 2.7.1.1.8 Equipment Cabinets................................................................................... 28

2.7.1.2 Data Management System Software............................................................................... 29 2.7.1.2.1 Data Communications and Interface Requirements .................................. 29 2.7.1.2.2 Version Tracking Requirements................................................................. 30 2.7.1.2.3 Business Day Assignment and Verification ............................................... 30 2.7.1.2.4 Data Summarization................................................................................... 30 2.7.1.2.5 Diagnostics................................................................................................. 30 2.7.1.2.6 Data Security.............................................................................................. 30 2.7.1.2.7 Trip Determination...................................................................................... 30 2.7.1.2.8 Fare Calculation ......................................................................................... 31 2.7.1.2.9 Dynamic Pricing Algorithm......................................................................... 31

2.7.1.3 Central Processing System (CPS) Application Software ................................................ 32 2.7.1.3.1 Screens and Report Access....................................................................... 32 2.7.1.3.2 Toll Collection System Screens/Reports.................................................... 32 2.7.1.3.3 User Setup and Maintenance Screen ........................................................ 33 2.7.1.3.4 Dynamic Pricing Tables ............................................................................. 33 2.7.1.3.5 VTMS Control............................................................................................. 34 2.7.1.3.6 Real-Time Monitoring................................................................................. 34


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2.7.1.3.7 Managed Lane Operations......................................................................... 34 2.7.1.3.8 Zone Controller Executable Download ...................................................... 34 2.7.1.3.9 System Maintenance Screen ..................................................................... 35 2.7.1.3.10 Time Synchronization................................................................................. 35

2.7.2 Maintenance On-line Management System (MOMS) ....................................................................... 35 2.7.3 Accounts Management System ........................................................................................................ 36

2.7.3.1 Accounts Management Server Hardware ....................................................................... 37 2.7.3.1.1 Accounts Management Server Operating System..................................... 37 2.7.3.1.2 Accounts Management Server Database .................................................. 38 2.7.3.1.3 Workstations............................................................................................... 38 2.7.3.1.4 Scanners .................................................................................................... 38 2.7.3.1.5 Check Scanners......................................................................................... 38 2.7.3.1.6 Accounts Management System Printers.................................................... 38 2.7.3.1.7 Uninterruptible Power Supply (UPS).......................................................... 39 2.7.3.1.8 Transponder Programmer.......................................................................... 39 2.7.3.1.9 Portable AVI Reader .................................................................................. 39 2.7.3.1.10 Communications Equipment ...................................................................... 39 2.7.3.1.11 Equipment Cabinets................................................................................... 39 2.7.3.1.12 Data Backup and Retention ....................................................................... 40

2.7.3.2 Accounts Management System Software ....................................................................... 40 2.7.3.2.1 Screens and Report Access....................................................................... 41 2.7.3.2.2 Toll Collection System Screens/Reports.................................................... 41 2.7.3.2.3 Transaction Processing.............................................................................. 41

2.7.3.2.3.1 Automatic Processing.......................................................... 42 2.7.3.2.4 Transponder Set Up and Inventory............................................................ 43 2.7.3.2.5 Purchase and Receipt of Transponders .................................................... 43 2.7.3.2.6 Programming of Transponders .................................................................. 43 2.7.3.2.7 Assignment of Transponder for Issuance .................................................. 43 2.7.3.2.8 Transponder Failures and Tracking ........................................................... 44 2.7.3.2.9 Transponder Maintenance ......................................................................... 44 2.7.3.2.10 Transponder Audit...................................................................................... 44 2.7.3.2.11 Account Set-Up .......................................................................................... 45 2.7.3.2.12 Revenue Management............................................................................... 46

2.7.3.2.12.1 Credit Card Processing ....................................................... 46 2.7.3.2.12.2 Automated Clearing House (ACH) Processing ................... 47

2.7.3.2.13 Account Maintenance................................................................................. 47 2.7.3.2.13.1 Credit Card Information Update .......................................... 48 2.7.3.2.13.2 Customer Profile Update ..................................................... 48 2.7.3.2.13.3 License Plate Update .......................................................... 48 2.7.3.2.13.4 Customer Notifications ........................................................ 48 2.7.3.2.13.5 Customer Approvals............................................................ 49 2.7.3.2.13.6 Customer and Violations Correspondence ......................... 49

2.7.3.2.14 Account Closing ......................................................................................... 50 2.7.3.2.15 Customer Statements ................................................................................ 50 2.7.3.2.16 Customer Service Representative (CSR) Activities ................................... 51

2.7.3.2.16.1 Toll Adjustments.................................................................. 51


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2.7.3.2.16.2 Customer Complaints/Inquiries ........................................... 51 2.7.3.2.16.3 Transponder Issues............................................................. 51 2.7.3.2.16.4 Violation Notices.................................................................. 51 2.7.3.2.16.5 HOV Account Suspension................................................... 52 2.7.3.2.16.6 Handling Documentation..................................................... 52 2.7.3.2.16.7 Shift Reconciliation.............................................................. 52

2.7.3.2.17 Financial Functions .................................................................................... 52 2.7.3.2.17.1 Write-off and Waivers.......................................................... 52 2.7.3.2.17.2 General Ledger Accounting................................................. 52 2.7.3.2.17.3 Business Day Closure/Bank Out......................................... 53 2.7.3.2.17.4 Business Month Closure ..................................................... 53 2.7.3.2.17.5 Fund Audit ........................................................................... 53

2.7.3.2.18 Mail Room Activities................................................................................... 53 2.7.3.2.18.1 Incoming Correspondences ................................................ 53 2.7.3.2.18.2 Outgoing Correspondences ................................................ 54

2.7.3.2.19 Interactive Voice Response (IVR) System................................................. 54 2.7.3.2.19.1 Voice Data Integration......................................................... 54 2.7.3.2.19.2 Single Data Request ........................................................... 54 2.7.3.2.19.3 Bi-lingual Support ................................................................ 54 2.7.3.2.19.4 Auto-dial .............................................................................. 54 2.7.3.2.19.5 Voice Mail Option ................................................................ 55 2.7.3.2.19.6 Supervisory Monitoring........................................................ 55

2.7.3.2.20 Document Imaging ..................................................................................... 55 2.7.3.2.21 Web Access ............................................................................................... 55 2.7.3.2.22 System Administrative Functions............................................................... 55 2.7.3.2.23 CTOC Interoperability ................................................................................ 55 2.7.3.2.24 Interface to Bank ........................................................................................ 56 2.7.3.2.25 Violation Processing System (VPS)........................................................... 56

2.7.3.2.25.1 Violation Enforcement Policy............................................... 57 2.7.3.2.25.1.1 Initial Filtering............................................................. 57 2.7.3.2.25.1.2 Automatic License Plate Extraction........................... 58 2.7.3.2.25.1.3 Image Review............................................................ 58 2.7.3.2.25.1.4 Customer Validation .................................................. 58 2.7.3.2.25.1.5 Violation Prepayment ................................................ 59 2.7.3.2.25.1.6 Rental Car Information .............................................. 59 2.7.3.2.25.1.7 Address Retrieval ...................................................... 59 2.7.3.2.25.1.8 Account Matching ...................................................... 59 2.7.3.2.25.1.9 Quality Assurance ..................................................... 60 2.7.3.2.25.1.10 Violation Noticing....................................................... 60

2.7.3.2.25.2 Collection, Reconciliation, and Posting ............................... 60 2.7.3.2.25.2.1 Noticing Rejects......................................................... 60 2.7.3.2.25.2.2 Noticing Disputes....................................................... 60 2.7.3.2.25.2.3 Payment Proessing ................................................... 61

2.7.3.2.25.3 Violation Closing and Prosecution ...................................... 62 2.7.3.2.25.3.1 DMV Registration on Hold ......................................... 62 2.7.3.2.25.3.2 Court Processing ....................................................... 62


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2.7.3.2.25.3.3 Collections Processing .............................................. 62 2.7.3.2.25.3.4 Violation Closure ....................................................... 63

2.7.3.2.25.4 Invalid Account .................................................................... 63 2.7.3.2.25.5 Violation Aging and Number of Occurences ....................... 63

2.7.3.2.26 CHP Interface............................................................................................. 63 2.7.3.2.27 Monitoring of CSC and VPC Operations.................................................... 63 2.7.3.2.28 CSC Reports .............................................................................................. 64

2.7.3.2.28.1 Transaction Data Reports ................................................... 64 2.7.3.2.28.2 Business Day Revenue Reconciliation Reports.................. 65 2.7.3.2.28.3 Customer Service and Performance Reports ..................... 65 2.7.3.2.28.4 Transponder Inventory Report ............................................ 65 2.7.3.2.28.5 Daily Transponder Status Report ........................................ 65 2.7.3.2.28.6 At Risk Transponder Report................................................ 65 2.7.3.2.28.7 Transponder Distribution Report ......................................... 66 2.7.3.2.28.8 Account Activity Reports ..................................................... 66 2.7.3.2.28.9 Daily Account Status Report ............................................... 66 2.7.3.2.28.10 Account Maintenance Reports ............................................ 66 2.7.3.2.28.11 Customer Complaints.......................................................... 66 2.7.3.2.28.12 CSR Summary Reports....................................................... 66 2.7.3.2.28.13 CSR Reconciliation Reports................................................ 66 2.7.3.2.28.14 Credit Card Processing Reports ......................................... 66 2.7.3.2.28.15 Customer Violations Summary Report................................ 67 2.7.3.2.28.16 Customer Violation Repeater Report .................................. 67 2.7.3.2.28.17 Rental Car Violation Report................................................. 67 2.7.3.2.28.18 Daily Revenue Summary Reports....................................... 67 2.7.3.2.28.19 Interoperability Revenue Reconciliation.............................. 67 2.7.3.2.28.20 AVI and Violation Payment Reconciliation .......................... 67 2.7.3.2.28.21 CSC Revenue Adjustments Report..................................... 67 2.7.3.2.28.22 Customer Statement Generation ........................................ 68 2.7.3.2.28.23 Customer Notifications ........................................................ 68 2.7.3.2.28.24 Customer Account Maintenance ......................................... 68 2.7.3.2.28.25 Web Activity Reports ........................................................... 68 2.7.3.2.28.26 Interactive Voice Response (IVR) System Reports ............ 68 2.7.3.2.28.27 CSR Performance Reports.................................................. 68 2.7.3.2.28.28 Transponder File Transmission Report............................... 69 2.7.3.2.28.29 General Ledger (GL)/Journal Reports................................. 69

2.7.3.2.28.29.1 Daily Revenue Summary Reports and Reconciliation ............................................................ 69

2.7.3.2.28.29.2 Prepaid Customer Deposits Report........................... 69 2.7.3.2.28.29.3 Transponder Deposits Report ................................... 69 2.7.3.2.28.29.4 Customer Refunds Report......................................... 69

2.7.3.2.28.30 Bank Fund Transfers and Reconciliation ............................ 69 2.7.3.2.28.31 Document Imaging Reports................................................. 70 2.7.3.2.28.32 Violation Reports ................................................................. 70

2.7.3.2.28.32.1 Daily and Monthly Violation Summary....................... 70 2.7.3.2.28.32.2 Daily and Monthly Pre and Post Citation Reports ..... 70


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2.7.3.2.28.32.3 Receivable Aging Reports ......................................... 70 2.7.3.2.28.32.4 Daily VPC Statistic Summary .................................... 70 2.7.3.2.28.32.5 Violation To-date Transaction and Revenue

Summary ................................................................... 71 2.7.3.2.28.32.6 Violation Management Reports ................................. 71

2.7.4 Disaster Recovery ............................................................................................................................. 71

2.8 BRTC Network..................................................................................................................................................................... 71 2.9 Performance Requirements.............................................................................................................................................. 71

2.9.1 Accuracy Requirements .................................................................................................................... 72 2.9.1.1 Transponder Read Accuracy........................................................................................... 72 2.9.1.2 Vehicle Detection Accuracy............................................................................................. 72 2.9.1.3 Transponder Association Accuracy................................................................................. 72 2.9.1.4 Image Capture Reporting Accuracy ................................................................................ 72 2.9.1.5 License Plate Extraction (OCR) Accuracy....................................................................... 72 2.9.1.6 Overall License Plate Extraction Accuracy...................................................................... 72

2.9.2 Transaction Processing Requirements ............................................................................................. 73 2.9.3 False Read Processing ..................................................................................................................... 73 2.9.4 Transaction Posting Requirements ................................................................................................... 73 2.9.5 Vehicle Throughput Requirements.................................................................................................... 73

2.10 Mean Time Between Failure (MTBF) ............................................................................................................................... 73 2.11 Availability............................................................................................................................................................................ 74 2.12 Chargeable and Non-Chargeable Failures..................................................................................................................... 75

2.12.1 Chargeable Failures .......................................................................................................................... 75 2.12.2 Non-Chargeable Failures .................................................................................................................. 75

2.13 Third Party Financial Audit................................................................................................................................................ 76 3.0 SYSTEM SCHEDULE AND TRANSITION ................................................................................................................................ 76

3.1 Transition to I-15 Managed Lanes ................................................................................................................................... 76 3.2 CSC Data Migration ............................................................................................................................................................ 77 3.3 South Segment Tolling Location ..................................................................................................................................... 77 3.4 Stage 1 Middle Segment Phasing.................................................................................................................................... 77 3.5 Stage 2 North Segment Construction and Opening .................................................................................................... 77 3.6 Stage 3 South Segment Expansion and Opening........................................................................................................ 77

4.0 INSTALLATION REQUIREMENTS............................................................................................................................................. 77 4.1 Installation Program........................................................................................................................................................... 78

4.1.1 Installation Plan ................................................................................................................................. 78 4.1.2 Installation and Construction Coordination and Meetings................................................................. 78

4.1.2.1 Weekly Installation Meetings........................................................................................... 78 4.1.2.2 Responsibilities Matrix and Construction Coordination with Caltrans............................. 79

4.2 Installation Scope of Work and Requirements.............................................................................................................. 79


October 13, 2006 vii

4.2.1 Compliance to Standards.................................................................................................................. 79 4.2.2 In-Lane Installation Requirements .................................................................................................... 79 4.2.3 Installation Checklist.......................................................................................................................... 81 4.2.4 Electrical Work .................................................................................................................................. 81 4.2.5 Work Standards and Requirements .................................................................................................. 81 4.2.6 Central Processing and Front Office System Installation.................................................................. 82

4.3 Design and Documentation During Construction and Installation........................................................................... 82 4.3.1 Engineering Design ........................................................................................................................... 82 4.3.2 Installation Design and Drawings...................................................................................................... 83 4.3.3 As-built Drawings/Documents ........................................................................................................... 83

5.0 TESTING REQUIREMENTS AND SYSTEM ACCEPTANCE.................................................................................................. 83 5.1 Overview............................................................................................................................................................................... 83 5.2 General Testing Requirements ........................................................................................................................................ 84 5.3 Factory Acceptance Test (FAT)........................................................................................................................................ 85

5.3.1 Hardware Production Testing............................................................................................................ 85 5.3.2 Functionality Testing ......................................................................................................................... 85

5.3.2.1 In-Lane Systems.............................................................................................................. 85 5.3.2.2 Central Processing System (CPS) .................................................................................. 86

5.4 On-site First Installation Test (OFIT) ............................................................................................................................... 86 5.4.1 Lane Operations and Functional Test ............................................................................................... 87 5.4.2 Central Processing System (CPS) .................................................................................................... 87 5.4.3 CTOC Interoperability........................................................................................................................ 88 5.4.4 Disaster Recovery Test ..................................................................................................................... 88 5.4.5 OCR Tuning ...................................................................................................................................... 88 5.4.6 CSC Data Migration and South Segement Commissioning.............................................................. 88

5.5 Installation and Commissioning Test ............................................................................................................................. 89 5.6 Operational Test.................................................................................................................................................................. 89

5.6.1 Performance Test.............................................................................................................................. 89 5.6.2 System Audit ..................................................................................................................................... 90

5.7 Segment Acceptance Test (Stages 2 and 3).................................................................................................................. 90 5.8 I-15 ML Stage 1-3 Project Acceptance ............................................................................................................................ 90

6.0 PROJECT MANAGEMENT SYSTEM......................................................................................................................................... 90 6.1 Overview............................................................................................................................................................................... 90 6.2 Project Implementation Schedule.................................................................................................................................... 90 6.3 Monthly Progress Meetings and Report......................................................................................................................... 91 6.4 Project Meetings ................................................................................................................................................................. 91

6.4.1 ITS Meetings ..................................................................................................................................... 92

6.5 Program Management Plan .............................................................................................................................................. 92 6.6 Software Design and Development Requirements ...................................................................................................... 93


October 13, 2006 viii

6.6.1 System Requirements Review (SRR) ............................................................................................... 93 6.6.2 System Detailed Design Review (SDDR) ......................................................................................... 93 6.6.3 Software Development and Walkthrough.......................................................................................... 93

6.7 Documentation.................................................................................................................................................................... 93 6.7.1 General.............................................................................................................................................. 93 6.7.2 Software Development Plan.............................................................................................................. 94 6.7.3 System Requirements Document ..................................................................................................... 94 6.7.4 System Detailed Design Document .................................................................................................. 94 6.7.5 Disaster Recovery Plan..................................................................................................................... 95 6.7.6 Transition Plan .................................................................................................................................. 95 6.7.7 Test Documentation: Master Test Plan and Procedures .................................................................. 95

6.8 Manual Requirements........................................................................................................................................................ 95 6.8.1 Overview ........................................................................................................................................... 95 6.8.2 Manual Submissions ......................................................................................................................... 96

6.8.2.1 Manual Quantities............................................................................................................ 96 6.8.2.2 Manuals to be Submitted................................................................................................. 96

6.8.2.2.1 Audit Manual .............................................................................................. 96 6.8.2.2.2 I-15 ML System Operations Plan ............................................................... 97 6.8.2.2.3 CSC/VPC Users Manual ............................................................................ 97 6.8.2.2.4 System Users Manual ................................................................................ 97 6.8.2.2.5 Maintenance Service Manual..................................................................... 97 6.8.2.2.6 System Administrators Manual .................................................................. 98 6.8.2.2.7 Third Party Software Manual Set ............................................................... 98 6.8.2.2.8 Third Party Hardware Manual Set.............................................................. 98

6.9 As-built Documentation..................................................................................................................................................... 99 6.9.1 System Detailed Design Document .................................................................................................. 99 6.9.2 As-built Drawings .............................................................................................................................. 99

6.10 Quality Assurance and Quality Control Program......................................................................................................... 99 6.10.1 Quality Assurance Plan................................................................................................................... 100 6.10.2 Configuration Management System................................................................................................ 100 6.10.3 Change Control Process ................................................................................................................. 100 6.10.4 Records ........................................................................................................................................... 100 6.10.5 Control of Purchase......................................................................................................................... 100 6.10.6 Inspection and Verification .............................................................................................................. 101 6.10.7 Handling, Storage, and Delivery ..................................................................................................... 101 6.10.8 Inspection at Subcontractor-Vendor Facilities................................................................................. 101

6.11 Training............................................................................................................................................................................... 101 6.11.1 Overview of Training Program ........................................................................................................ 101 6.11.2 Training Plan ................................................................................................................................... 101 6.11.3 Training Requirements .................................................................................................................... 102 6.11.4 Training Facilities ............................................................................................................................ 103 6.11.5 Scheduling and Preparation for Training......................................................................................... 103 6.11.6 Training Materials............................................................................................................................ 103

6.11.6.1 Instructor Guides ........................................................................................................... 103


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6.11.6.2 Training Aids.................................................................................................................. 104 6.11.6.3 Student Workbook ......................................................................................................... 104 6.11.6.4 Training Room Set-up and Software Installation........................................................... 104

7.0 MAINTENANCE SCOPE OF WORK......................................................................................................................................... 104 7.1 Transition ........................................................................................................................................................................... 105 7.2 Summary Scope of Work ................................................................................................................................................ 105

7.2.1 In-Lane Toll Collection System and Equipment .............................................................................. 105 7.2.2 Back-Office Systems and Equipment.............................................................................................. 105 7.2.3 Network System .............................................................................................................................. 106 7.2.4 Variable Toll Message Signs (VTMS) ............................................................................................. 106

7.3 Toll Operations Control Center (TOCC)........................................................................................................................ 106 7.4 Maintenance Plan.............................................................................................................................................................. 107 7.5 Maintenance Requirements............................................................................................................................................ 108

7.5.1 Maintenance Coverage and Response Times Toll Collection System ........................................... 108 7.5.2 Back-Office Support Hours for CSC/VPC ....................................................................................... 109 7.5.3 Preventive Maintenance.................................................................................................................. 109 7.5.4 Notifications..................................................................................................................................... 110 7.5.5 Recording of Maintenance Activities ............................................................................................... 110

7.6 Spare Parts......................................................................................................................................................................... 111 7.6.1 Spare Parts Inventory and Tracking................................................................................................ 111 7.6.2 Procurement and Control of Spare Parts ........................................................................................ 112

7.7 Back Office Operations Services................................................................................................................................... 112 7.8 Network Maintenance ...................................................................................................................................................... 114 7.9 Interoperability Requirements........................................................................................................................................ 114 7.10 Audits.................................................................................................................................................................................. 114 7.11 Cooperation with Other Vendors and Providers ........................................................................................................ 114 7.12 Emergency Response Management............................................................................................................................. 115 7.13 Incident & Revenue Loss Reporting ............................................................................................................................. 115 7.14 Maintenance Staffing and Materials and Training ...................................................................................................... 115

7.14.1 Maintenance Staff Requirements.................................................................................................... 115 7.14.2 Tools and Materials ......................................................................................................................... 116 7.14.3 Personnel Training .......................................................................................................................... 116 7.14.4 Training Materials and Ongoing Education..................................................................................... 117 7.14.5 Training Program............................................................................................................................. 117 7.14.6 Training Records ............................................................................................................................. 118

7.15 Safety .................................................................................................................................................................................. 118 7.16 Reporting Requirements ................................................................................................................................................. 118

7.16.1 Field and Shop Maintenance Records ............................................................................................ 119 7.16.2 Maintenance Summary TFR and PMR Reports ............................................................................. 119


October 13, 2006 x

7.16.3 Additional Summary Reports .......................................................................................................... 119

7.17 On Site System Documentation..................................................................................................................................... 120 7.18 Required Maintenance Performance ............................................................................................................................ 120

7.18.1 Performance Reviews ..................................................................................................................... 120 7.18.2 Required Performance and Penalties Summary............................................................................. 121 7.18.3 Detailed Description of Performance Measurements and Penalties .............................................. 122

7.18.3.1 Mean Time to Respond and Repair (MTTRR) .............................................................. 122 7.18.3.2 Mean Time Between Failures (MTBF) .......................................................................... 122 7.18.3.3 Availability...................................................................................................................... 123 7.18.3.4 Reports and Records Keeping ...................................................................................... 123 7.18.3.5 Spare Parts Availability.................................................................................................. 123 7.18.3.6 Preventive Maintenance................................................................................................ 124 7.18.3.7 Back Office System Processing .................................................................................... 124

7.19 Annual System Certification........................................................................................................................................... 124 8.0 FRONT OFFICE (CSC/VPC) OPERATIONS SCOPE OF WORK ......................................................................................... 124

8.1 Summary Scope of Work ................................................................................................................................................ 125 8.2 General Requirements..................................................................................................................................................... 125

8.2.1 Projected Staffing Levels................................................................................................................. 125 8.2.2 Management ................................................................................................................................... 125 8.2.3 Documentation Security and Integrity ............................................................................................. 126

8.2.3.1 Physical Security ........................................................................................................... 126 8.2.4 Customer Privacy ............................................................................................................................ 126 8.2.5 Public Communications................................................................................................................... 126 8.2.6 Ownership of Systems, Documents, and Data ............................................................................... 127 8.2.7 Contractor Cooperation................................................................................................................... 127 8.2.8 Contractor Coordination of Services ............................................................................................... 128 8.2.9 Interoperability Requirements ......................................................................................................... 128 8.2.10 External Audit Cooperation ............................................................................................................. 128 8.2.11 CSC/VPC Facility ............................................................................................................................ 129

8.3 CSC/VPC Functional Requirements.............................................................................................................................. 129 8.3.1 Customer Account Management..................................................................................................... 129 8.3.2 Revenue Management .................................................................................................................... 130 8.3.3 Payment Processing ....................................................................................................................... 131 8.3.4 Transponder Management.............................................................................................................. 131 8.3.5 Violation Enforcement/Processing/Collections................................................................................ 133 8.3.6 Mail Processing ............................................................................................................................... 134 8.3.7 Customer Communications............................................................................................................. 134

8.4 Front Office Performance and Measurement Requirements ................................................................................... 135 8.4.1 Performance Summary ................................................................................................................... 135 8.4.2 Reporting Requirements and Performance Timeframes ................................................................ 137 8.4.3 Front Office Operations, Performance Requirements, and Penalties............................................. 137

8.4.3.1 Correspondence ............................................................................................................ 137 8.4.3.2 Transponders ................................................................................................................ 138


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8.4.3.3 Funds Accounting.......................................................................................................... 139 8.4.3.4 Payment Processing...................................................................................................... 139 8.4.3.5 Customer Complaints .................................................................................................... 139

8.4.4 Violations Processing...................................................................................................................... 140 8.4.4.1 Image Review................................................................................................................ 140 8.4.4.2 Violations Notices and Payments.................................................................................. 140

8.4.5 IVR Operations................................................................................................................................ 141

8.5 Incentive Payments .......................................................................................................................................................... 141 8.6 Program Management ..................................................................................................................................................... 141

8.6.1 Key Personnel ................................................................................................................................. 141 8.6.1.1 Front Office Manager..................................................................................................... 141 8.6.1.2 Customer Service Center (CSC) Supervisor................................................................. 142 8.6.1.3 Violation Processing Center (VPC) Supervisor ............................................................. 142 8.6.1.4 Finance Manager........................................................................................................... 142

8.6.2 CSC/VPC Documentation ............................................................................................................... 143 8.6.2.1 Transition Plan............................................................................................................... 144 8.6.2.2 Operations Plan............................................................................................................. 144 8.6.2.3 FasTrak Business Rules and Policies Document ......................................................... 145 8.6.2.4 Staffing Plan .................................................................................................................. 145 8.6.2.5 Training Plan ................................................................................................................. 145 8.6.2.6 CSC/VPC User Manuals ............................................................................................... 145 8.6.2.7 CSC/VPC Training Manuals .......................................................................................... 146

8.6.3 Document Control ........................................................................................................................... 146 8.6.4 Incident & Revenue Loss Reporting................................................................................................ 146

8.7 Management Operations Reporting.............................................................................................................................. 146 8.8 CSC/VPC Operations ....................................................................................................................................................... 147

8.8.1 Front Office Hours of Operation ...................................................................................................... 147 8.8.2 Staffing ............................................................................................................................................ 147

8.9 Accounting/Financial Reporting Requirements......................................................................................................... 148 8.9.1 Accounting Software ....................................................................................................................... 148 8.9.2 General Ledger ............................................................................................................................... 148 8.9.3 Monthly Reconciliation .................................................................................................................... 149 8.9.4 Fixed Assets.................................................................................................................................... 149 8.9.5 Cash Management .......................................................................................................................... 149 8.9.6 Audits and Financial Reporting ....................................................................................................... 149 8.9.7 Financial Statements and Reports .................................................................................................. 150

8.10 Armored Car Service........................................................................................................................................................ 150 8.11 Marketing Services (Optional – Priced Separately) .................................................................................................. 150

8.11.1 I-15 Managed Lanes (ML) Project Launch...................................................................................... 151 8.11.2 Marketing Plans / Strategies ........................................................................................................... 151 8.11.3 Customer Communications............................................................................................................. 151 8.11.4 Welcome Kit Development.............................................................................................................. 152 8.11.5 Web Site Content Support .............................................................................................................. 153


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8.11.6 Media and Advertising..................................................................................................................... 153 8.11.7 Annual Report Development ........................................................................................................... 154 8.11.8 Market Research/Focus Groups ..................................................................................................... 154 8.11.9 Public Outreach............................................................................................................................... 154 8.11.10 Graphic Design................................................................................................................................ 154 8.11.11 Budget and Timeline ....................................................................................................................... 154 8.11.12 Document Control ........................................................................................................................... 155

8.12 End of Contract Transition.............................................................................................................................................. 155 8.13 Transition From FasTrak™ To Managed Lanes System........................................................................................... 156


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1.0 DEFINED TERMS Acceptance: The approval by SANDAG of a stage of the Project or the full Project as defined in Sections 16.7 and 20.1 and 20.2 of RFP Attachment V SANDAG Standard Agreement.

Acceptance Testing: Includes all testing to verify the requirements of the Agreement as defined in Section 5.0 of RFP Attachment A Scope of Work.

Agreement: The Agreement between the Contractor and SANDAG for the I-15 ML Installation, Implementation, Maintenance, and Front Office Operations Scope of Work.

ATIS: Advanced Traveler Information System.

Automated Clearing House (ACH): A highly reliable and efficient nationwide batch-oriented electronic funds transfer system governed by the NACHA OPERATING RULES which provide for the inter-bank clearing of electronic payments for participating depository financial institutions.

As-Built Drawings: The documents and drawings referred to in Section 4.3.3 and Section 6.9.2 of RFP Attachment A Scope of Work.

Agency: The San Diego Association of Governments (SANDAG).

Agency Designated Representatives: Person or persons authorized by SANDAG to represent SANDAG in all dealings with the Contractor.

Automatic Vehicle Detection System (AVDS): A system for automatic vehicle detection and separation as defined in Section 2.6.2 of RFP Attachment A Scope of Work.

Automatic Vehicle Identification (AVI): A system consisting of an antenna and reader, that meets the California Title 21 requirements, installed in a toll lane and a compatible transponder mounted on a vehicle for automatic identification of the transponder as it passes through the lane as defined in Section 2.6.1 of RFP Attachment A Scope of Work.

BOM: Bill of Materials.

BTM: Barrier Transfer Machine.

Business Day: The 24-hour toll collection day expressed from 00:00 AM to 24:00 AM in military time.

Business Rules: A set of rules proposed by the Contractor and approved by SANDAG that defines how the Managed Lane toll collection system should respond to various situations that occur during the toll collection process based on business case and policy decisions made by SANDAG, as the same may be amended from time to time by written agreement of the Agency and the Contractor.

Caltrans: California Department of Transportation, the state agency responsible for the I-15 ML roadway and infrastructure.

Central Processing System (CPS): The back office central computer systems that process the transactions, post the transactions to customer accounts, and pursue customers that do not make a valid payment as defined in Section 2.7 of RFP Attachment A Scope of Work.

CHP: California Highway Patrol.


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Contractor: The successful proposer selected by SANDAG to install, implement, maintain and operate the I-15 ML toll collection system.

COTS: Commercially Off-the-Shelf hardware and software supplied by the Contractor under this Agreement.

CTOC: The California Toll Operators Committee, an organization of all toll operators in California, that defines the interoperability specifications for the back-office file transfers.

CSC: Customer Service Center.

CSR: Customer Service Representative.

CUFPA: Cooperative User Fee Processing Agreements.

Customized Hardware: The toll collection system hardware provided by the Contractor under this Agreement that is designed and certified by the Contractor.

Design Documentation: System design documentation required under Section 6.7 of RFP Attachment A Scope of Work, including the Software Development Plan, System Requirements Document and System Detailed Design Document.

Electronic Toll Collection (ETC): A system of integrated devices and components that permit the automatic recording of vehicle transactions through electronic media in a toll revenue collection system.

Factory Acceptance Test (FAT): The testing performed by the Contractor in accordance with Section 5.3 of RFP Attachment A Scope of Work.

FasTrak™: Trademark licensed statewide by agencies who are compliant with Title 21, Public Works, of the California Code of Regulations (21 CCR §1700 et seq.) electronic toll collection provisions.

FIFO: First In First Out.

Final Stage Acceptance: SANDAG’ s final acceptance of each or any of Stages 1-3 if it deems that the work on the stage is complete and meets other requirements as defined in Sections 16.7 and 20.2 of RFP Attachment V SANDAG Standard Agreement for that Stage.

Force Majeure: The circumstances as defined in Section 13.4 of RFP Attachment V SANDAG Standard Agreement whereby either party is excused from meeting the performance requirement specified in this Agreement.

Front-Office: The staffing, operation, and support of those responsibilities defined in Attachment A Scope of Work that include performance of Customer Service Center (CSC) and Violation Processing Center (VPC) related activities, including but not limited to, customer account management and maintenance, violation image review, transponder management and distribution, and customer interface.

GL: General Ledger.

Guaranteed Completion Date: The dates that the Contractor must meet as defined in Section 24.4.1 of RFP Attachment V SANDAG Standard Agreement.

GUI: Graphical User Interface.

HOV: High Occupancy Vehicle.


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HOV Status List (HSL): The list that contains the transponders issued to HOV users that is transmitted from the CPS to the zone controllers as defined in Section 2.6.7.2.11.1 of RFP Attachment A Scope of Work.

ICD: Interface Control Document.

IFAS: The Integrated Financial and Administrative Solution, a financial package, that the ML System has to interface with to transmit financial data as defined in Section 2.7.1.2.1 of RFP Attachment A Scope of Work.

IMTMS: The SANDAG Intermodal Transportation Management System that the data management server has to interface with to obtain traffic data as defined in Section 2.7.1.2.1 of RFP Attachment A Scope of Work.

IS: Information Systems.

IVRS: Interactive Voice Response System.

LAN: Local Area Network.

Level of Service (LOS): The concept of LOS is a qualitative measure that characterizes operational conditions within a traffic stream and their perception by motorist and passengers. Levels of service are generally given letter designations with LOS A representing the best operating conditions and LOS F the worst.

Managed Lane (ML): The I-15 Managed Lanes used by qualified HOV users and FasTrak™ customers located inside of the general purpose lanes.

Maximum Amount: The maximum amount, not to exceed, that Contractor shall be paid for work performed under this Agreement, including any potential amendments or task orders as defined in Section 2.3. of the Agreement.

MDT: Manual Display Terminal.

Maintenance On-line Management System (MOMS): A software package provided as part of the data management system application software that support reporting and tracking of alarm messages, and maintain status, location, health, and attributes for I-15 ML field equipment asset (inventory) as defined in Section 2.7.2 of RFP Attachment A Scope of Work.

MTBF: Mean Time Between Failure.

MTTRR: Mean Time to Repair and Respond.

NTP: Network Time Protocol.

OCR: Optical character recognition software provided under this Agreement that is used to automatically extract characters from an image of a license plate.

On-site First Installation Test (OFIT): The testing performed by the Contractor in accordance with Section 5.4 of RFP Attachment A Scope of Work.


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Operational Testing: The testing conducted after the I-15 ML toll collection system for Stage 1, the middle segment, is deployed to ensure and verify system reliability, accuracy, performance and auditablity as described in Section 5.6 of RFP Attachment A Scope of Work.

PCI: Payment Card Industry.

PDA: Personal Digital Assistant.

PDF: Portable Document Format.

Project Acceptance: SANDAG acceptance of the System after the completion of Stages 1-3 of the project as defined in Section 20.2 of the Agreement.

Project Implementation Schedule: The detailed schedule developed and maintained by the Contractor that lists all tasks related to the design, development, testing, installation and deployment of the I-15 ML toll collection system as defined in Section 6.2 of RFP Attachment A Scope of Work.

Program Management Plan: The plan developed by the Contractor under this Agreement in accordance with Section 6.5 of RFP Attachment A Scope of Work and approved by SANDAG, as the same may be amended from time to time by written agreement of SANDAG and Contractor.

Provisional Acceptance: SANDAG’ s conditional acceptance of each or any of Stages 1-3 if it deems that the work on the stage is substantially complete and meets other requirements as defined in Section 20.1 of the Agreement.

QA/QC: Quality Assurance/Quality Control.

Reversible Lane Detectors (RDL): The detectors installed at specific tolling locations that determine the ML configuration as defined in Section 2.6.3 of RFP Attachment A Scope of Work.

SDDD: System Detailed Design Document.

SDP: Software Development Plan.

SDDR: System Detailed Design Review.

SANDAG Designated Representatives: Person or persons authorized by SANDAG to represent SANDAG in all dealings with the Contractor.

Segment Acceptance Test: The testing performed on the Stage 2 North and Stage 3 South Segment, after each segment is commissioned in accordance with Section 5.7 of RFP Attachment A Scope of Work.

SQA: Software Quality Assurance.

SRR: System Requirements Review.

System: The I-15 ML toll collection system that includes the hardware and software required to meet the technical and operational requirements of RFP Attachment A Scope of Work.

Title 21: Caltrans developed open compatibility specifications for a two-way communications protocol for AVI including an initial set of Transaction Record Type codes mandated for statewide electronic toll collection use. This standard was chaptered into the California Code of Regulations in 1992 as Title 21, Chapter 16, Articles 1 through 4, and is commonly referred to as “Title 21”.


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Transaction Status Indicator (TSI): The LED light array installed at specific tolling locations to display the status of a transaction as defined in Section 2.6.6 of RFP Attachment A Scope of Work.

TransCore: The current I-15 reversible lane Contractor.

Transponder Status List (TSL): The list that contains the transponders issued to FasTrak™ customers that is transmitted from the CPS to the zone controllers as defined in Section 2.6.7.2.11.1 of RFP Attachment A Scope of Work.

UPS: Uninterruptible Power Supply.

User Identification List (UIL): The list that contains all the users of the system and their access privileges as set up through the function described in Section 2.7.1.3.3 of RFP Attachment A Scope of Work.

Variable Toll Message Sign (VTMS): The signs installed before all entrances to the ML that display the rate information, travel times and variable text as defined in Section 2.6.5 of RFP Attachment A Scope of Work.

Video and Data Audit System (VDAS): The independent mobile video audit system that provides the capability to monitor an overall image of the tolling location and display detailed events as they occur in real-time as defined in Section 2.6.9 of RFP Attachment A Scope of Work.

Violation Enforcement System (VES): Video based system located at toll lanes used to record license plate images of selected vehicles (to be defined in the Business Rules) in video form, as more particularly described in Section 2.6.4 of RFP Attachment A Scope of Work.

Violation Notice: The notification sent to a violation as determined by the SANDAG Business Rules in accordance with Section 2.7.3.2.25.1.10 of RFP Attachment A Scope of Work.

VPC: Violation Processing Center.

VPS: Violation Processing System.

VTOL: Violation to Toll.

WAN: Wide Area Network.

Work: Includes deliverables, tasks and services described in RFP Attachment A Scope of Work and/or described in a Task Order and any attachment(s) thereto.


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2.0 FUNCTIONAL REQUIREMENTS

2.1 Project Overview

The I-15 Managed Lane (ML) project will expand an existing two-lane reversible express lanes facility, with single entry and exit points at each end of an eight mile segment, to four bi-directional lanes over 20 miles in length and containing multiple intermediate access locations. Toll collection equipment will be installed at various locations through out the I-15 ML and at specific access points to interrogate transponders mounted on vehicles, and/or capture and process license plate images. Toll transaction data is then forwarded to the central toll collection system for processing. The toll charged to the customer will be based upon the total length of the trip using a skewed rate per mile in effect at the time of entry. In order to improve the High Occupancy Vehicle (HOV) violation enforcement on the I-15 ML, HOV users will be required to mount a transponder that will identify them as HOV when passing through the tolling locations. Violation enforcement cameras will be installed at specific tolling locations throughout the I-15 ML to provide the ability to automate the citation process of vehicles not found to be in compliance with the I-15 ML policies. A customer service and violation processing system will be part of the I-15 ML toll collection system. The I-15 ML toll collection system provided for the I-15 ML project shall support all of the functions necessary to: • Detect and process vehicles traveling the I-15 ML in accordance with the SANDAG operational

policies.

• Dynamically determine the value-based pricing and charge customers the appropriate toll in accordance with the SANDAG Business Rules developed during the design phase.

• Establish and manage customer accounts in accordance with the SANDAG policies.

• Identify, record, and pursue violations in accordance with SANDAG and California legislative policies.

• Audit and reconcile transaction and revenue.

• Generate operational, traffic, audit, financial and performance reports to allow SANDAG to operate and manage the I-15 ML System.

• Be compliant with the appropriate sections of the California Vehicle Code, Caltrans standards and other applicable standards.

The I-15 ML project shall include, but is not limited to, the following: • Development, configuration, customization, procurement, manufacturing, testing and installation of

hardware and software for the new In-lane Systems, and the Central Processing System (CPS) including the Maintenance On-line Management System (MOMS), the Customer Service Center (CSC) System, the Violation Processing Center (VPC) System, and Dynamic Pricing. The System provided shall meet the specifications as detailed in this Scope of Work.


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• I-15 ML Detailed Lane Configuration RFP Attachment E lists the estimated numbers of lane equipment and peripherals that shall be installed under this Agreement. The Contractor is responsible to validate these quantities. The Contractor is responsible for designing, providing, installing and testing all equipment.

• A fiber backbone for the entire I-15 ML System will be installed by Caltrans with the terminations shown in RFP Attachment G I-15 Fiber Optic Communications Network Infrastructure and Performance. The Contractor shall be responsible for provision of required switching equipment on the fiber backbone and for provision of dedicated leased lines from the termination of the fiber system to the CPS primary and CPS redundant facilities. The Contractor shall specify the bandwidth requirements to support the I-15 ML System data transmissions. The Contractor is responsible for purchasing, implementing, terminating, and testing the communication equipment, as specified by SANDAG and identified in this Scope of Work.

• At each tolling location Caltrans will provide a single gantry structure or bridge as shown in the RFP Attachment L I-15 ML ETCS Concept of Operations. All other hardware and supplies required to mount the toll collection equipment to the gantry or bridge required as part of the Contractor toll collection system design shall be designed, supplied and installed by the Contractor.

The physical System shall consist of the following primary subsystems: • Variable Toll Message Sign (VTMS); • Automatic Vehicle Identification (AVI) System; • Automatic Vehicle Detection System (AVDS); • Reversible Lane Detectors (RLD); • Transaction Status Indicator (TSI); • Violation Enforcement System (VES); • Zone Controller; • Central Processing System (CPS); and • Communications Network. Autonomous redundant zone controllers shall interface with the in-lane equipment and communicate in real-time with a CPS comprised of a data management server, an accounts management server, an image server, an Optical Character Recognition (OCR) server and an internet server. RFP Attachment L I-15 ETCS Concept of Operations details the high level functional requirements. 2.2 General Requirements

The requirements described in this Scope of Work include the System concepts, operational requirements, technical requirements, design, development and testing requirements, and installation requirements for the design, development, fabrication, programming, integration, testing, installation, and implementation of the I-15 ML toll collection system, including, without limitation, toll collection, customer service, and violation enforcement for the I-15 ML System.


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The requirements are being specified on a functional level. It is the intent of these requirements to permit the Contractor the flexibility in the design and development of the toll collection system to reflect innovation and state-of-the-art technology for an on-line toll collection system fully capable of meeting the SANDAG operational and contractual requirements. The Contractor shall furnish and mobilize all required facilities, equipment, and resources necessary for initiating and concluding the Agreement and may include such portions of the following as are required at the beginning and end of the Project: • Setting up at the various worksites, storage areas, sanitary and other facilities as required by the

Specifications, by local or state law, or by regulation, and the subsequent demobilization and removal from the site of said equipment, appurtenances and the like upon completion of the work.

• Coordinating all lane closure activities and/or traffic control with Caltrans.

• Obtaining necessary permits and licenses, and payment of fees as required by local, state and federal law.

• Coordinating design and installation activities with Caltrans, SANDAG Contractor, SANDAG, and TransCore during various stages of the I-15 ML project.

• Lighting work area.

• Sampling and testing of materials.

• Providing required insurance and bonds.

The Contractor shall be responsible for purchasing and maintaining all equipment required for development and testing of the toll collection system. The Contractor shall also develop and establish a test site with the same configuration and equipment as the I-15 ML System. SANDAG shall approve the test site and shall have full access to the test site. Equipment installed at the test site shall not be used on the I-15 ML System. 2.3 Legal Requirements

The Contractor is required to be compliant with the regulations and laws that govern a toll collection system in California. 2.3.1 Regulatory - Title 21

The I-15 ML System must be fully compliant with Title 21 of the California Code of Regulations which establishes the technical requirements for AVI readers and transponders used in the State of California. The Contractor shall supply equipment in compliance with this regulation. The intent of the regulation is to establish a technical standard to facilitate interoperability among facilities. To this end, the Contractor must ensure that the toll collection system supplied under this Agreement provides transponder/reader level compatibility with other California Toll Operators (CTOC), for all modes of operation. It is the responsibility of the Contractor to ensure that the transponder/reader components are certified to be Title 21 compliant. A copy of Title 21 is included in RFP Attachment O California Title 21, Chapter 16 – Compatibility Specification for AVI Equipment.


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2.3.2 Statutory Streets and Highway Codes Sections 27564, 27565

The I-15 ML System must be fully compliant with Sections 27564 and 27565 of the California Streets and Highways Code. These requirements state that customers using a transponder for the payment of tolls need to purchase only one transponder, which will function on any California toll collection facility. Sections 27564 and 27565 of the California Streets and Highways Code are included in RFP Attachment M Pertinent Legislation. 2.3.3 State Assembly Bill 1223 (Codified as California Vehicle Code Sections 4770-4775 and

Section 40250 et seq)

The I-15 ML System must be fully compliant with State Assembly Bill 1223. This bill addresses the procedures for the enforcement of toll evasion laws using electronic surveillance, image capture equipment and the California DMV to obtain the name and address of the registered owner of a vehicle that has not paid the required toll. 40250 et seq also provides for the imposition of fees and restriction of registration privileges. A copy of California Vehicle Code Sections 4770-4775 and 40250-40273 is included as RFP Attachment M Pertinent Legislation. 2.3.4 California Vehicle Code Sections 21655.5 (a) through 21655.5 (b) – HOV

These sections address the high-occupancy lane requirements and limitations for using such lanes. 2.3.5 FHWA Final Rule on Architecture Standards and Conformity (23 CFR 940 Part 11)

The I-15 ML System must adhere to the Systems Engineering Guidebook for Intelligent Transportation System (ITS), Version 1.1, as updated on February 14, 2005 (or later current revision). An electronic copy of the Guidebook is available on the Caltrans Web site:

www.dot.ca.gov/research/docs/se_guidebook_ver1-12_14_05.pdf The Contractor shall follow the two-phase, systems engineering process to maximize the quality of the developed I-15 ML System and to ensure that the deployed system adequately meets the needs and objectives envisaged by SANDAG, Caltrans, and FHWA (in accordance with US DOT Final Rule, Park 940-Intelligent Transportation System Architecture and Standards Section 940.11 Project Implement-ation). A copy of the Rule is available at:

www.ops.fhwa.dot.gov/its_arch_imp/policy.htm 2.3.6 FCC License

The AVI system shall comply with all applicable Federal Communications Commission (FCC) regulations. It is the Contractor’s responsibility to apply for and obtain the required FCC licenses for all AVI equipment provided under this Scope of Work and Agreement on behalf of SANDAG. The Contractor shall, as part of this effort, identify and accommodate any site conditions that may potentially degrade the performance of the AVI system. Under all circumstances it is the Contractor’s responsibility to comply with the AVI performance requirements of this Scope of Work and Agreement and no relief in such performance shall be provided.


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2.4 Interoperability Requirements

The California Toll Operators Committee (CTOC) defined the interoperability specifications for back-office file transfers. This file transfer specification allows a FasTrak™ agency to be paid for toll or parking charges incurred by a customer with an account at another interoperable agency. At the time of implementation the I-15 ML System should support the latest CTOC Technical Specifications for Interagency Electronic Data Exchange. The current Technical Specifications Revision G.4 dated April 26, 2004 and Draft Revision G.5 are included in RFP Attachment Q CTOC Interoperability Technical Specification (Revisions G.4 and G.5). 2.4.1 Toll Collection System Hardware

2.4.1.1 General Requirements

All hardware and equipment supplied under this Agreement, excluding consumable material (material that needs continuous replenishment), shall be certified to have a ten-year minimum service life. All equipment, supplies and materials furnished under this Agreement for the I-15 ML toll collection system shall be new, off-the-shelf, field proven and meet applicable ISO, IEEE and ANSI standards. Materials and products that have been previously used for development work, purchased systems or items that have been salvaged or rebuilt shall not be permitted to be used in connection with this Agreement or Project. All equipment provided by the Contractor shall be multi-sourced and readily available to SANDAG. Proof of purchase in the form of dated invoice and shipping bills should be retained and furnished to SANDAG upon request. 2.4.1.2 Maintainability

The toll collection system hardware shall be designed with the following specifications: • Modular replaceable and repairable components to allow for easy and quick maintenance.

• All components that perform the same function shall be interchangeable.

• All zone controllers shall be identical with the exception that pluggable modules are not included if not required by the particular lane, i.e., not all toll locations require the full complement of lane equipment, as identified in RFP Attachment E I-15 ML Detailed Lane Configuration.

• There shall be a second source for manufacture for all parts and it shall be identified in the Bill of Material. All exceptions shall be noted and approved by SANDAG.

• All replacements shall be plug compatible with no changes required. All exceptions shall be noted.

• All electronic components shall be installed in non-corrosive sealed enclosures and meet the requirements specified in Sections 2.4.3 and 2.4.4.

• Enclosures shall have adequate space (20-25% extra) for added boards and components for future expansion.

• Where possible all in-lane equipment shall use network architecture to communicate with the zone controller.


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• ISO standard I/O interface modules shall be used in the design and all serial, discrete and network interface boards shall have at minimum two spare slots to support the addition of components.

• All field wiring shall be terminated on screw lugs or connectors and all connectors shall be keyed or polarized to prevent incorrect connections.

• All wiring and connectors shall be labeled and strain relief shall be provided to protect the conductors.

• Surge suppression shall be provided for all field wiring susceptible to lightning or similar surges.

• All lane equipment shall be fused and protected against over current, over voltage, under voltage and lightning.

• Power supply shall be provided for all required internal DC voltages.

• All equipment shall be properly grounded to ensure the safety of maintenance personnel.

2.4.1.3 Diagnostics

Maintenance personnel shall have easy access to components, and removal, testing and replacement shall not require extensive effort or tools. All test points necessary to diagnose the equipment while in operation shall be easily accessible and LED indicators shall be provided to assist technicians to identify and diagnose problems. Technicians shall have the ability to connect a laptop or terminal and keyboard to troubleshoot the components. 2.4.2 Customized Hardware

If customized components or controllers are used, the Contractor shall provide detailed documentation on the design, production and testing of these units as further detailed in Section 6.0. Documentation shall include the detailed Bill of Material (BOM) listing manufacturers/vendors. 2.4.3 Equipment and Computer Enclosures

All in-lane equipment shall be installed in enclosures located on the inside shoulder of the managed lanes or at other specific locations identified by Caltrans. These locations are called out in the strip chart that is attached as RFP Attachment H I-15 ML Strip Chart. The Contractor shall be responsible for purchasing and installing these equipment enclosures in accordance with the requirements in this section and in Section 4.0. At each site Caltrans will provide power and fiber connections. The Contractor shall supply equipment enclosures that meet the 2006 Caltrans Standard Plans:

http://www.dot.ca.gov/hq/esc/oe/project_plans/highway_plans/stdplans_ US-customary-units_06/viewable_pdf/es-03c.pdf

or approved equal, and must be able to support the toll collection components for a minimum of 10 years. All cable access holes, and other required openings shall be gasketed or otherwise sealed to form a water tight seal. All enclosures shall include heating and cooling units to ensure proper and reliable operations in the I-15 ML toll collection environment. It is the Contractor’s responsibility to provide the cabinet of the correct size that meets the requirements of this Agreement and Scope of Work


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Each tolling location shall have a UPS that supports the critical equipment for up to half an hour. Access to the cabinets shall be recorded automatically and transmitted to the MOMS. 2.4.4 Environmental

All equipment and hardware provided under this Agreement shall at minimum meet the environmental requirements listed below: • The toll collection equipment to be supplied will be installed in areas exposed to the range of climatic

conditions found in the San Diego area. In addition to the climatic conditions, the equipment will also be subjected to harsh environmental factors normally found in the operation of a toll lane, such as, but not limited to, car, truck and bus emissions; industrial exhausts; industrial cleaners; gasoline and car lubricants; Electromagnetic Interference (EMI) and Radio Frequency Interference (RFI); and vibrations. In addition to these interferences and emissions, the I-15 ML will employ a Barrier Transfer Machine (BTM) to change the directional configuration of the managed lanes from 2x2 to 1x3 or 3x1. These conditions shall be taken into account in the design and selection of equipment proposed for use on this Project and the Contractor is responsible for ensuring that the proposed System works accurately and reliably in such an environment including providing the necessary equipment and climate controls to ensure proper functioning.

• The zone controllers, VES controllers and other in-lane components must be able to operate in a sealed and enclosed environment as described in Section 2.4.3 and to support all lane hardware/software specifications of this Scope of Work. The zone controller shall operate with no degradation of performance in ambient air temperature of -20ºC to 50ºC with and without direct sunlight and a relative humidity of 5 to 100 percent.

• All exposed or in-lane equipment, when packaged in its fully assembled configuration, shall not be damaged, nor shall operational performance or lifetime be degraded, after being subjected to vibration of 1 g at 15 Hz, or shocks of 5 g for 10 ±1 millisecond, in each of three mutually perpendicular axes.

• During the design phase the Contractor shall provide thermal calculations that prove the zone controller and other lane electronics enclosures meet the temperature specifications given above. Results of all environmental tests conducted and certification of compliance shall be provided to SANDAG as part of the Factory Acceptance Test (FAT).

2.4.5 Assembly

• All customized hardware shall be assembled and tested in the fabrication shop in accordance with the SANDAG approved test plan before being installed in the lane. All chassis, attachments and hardware shall be fabricated from corrosion and rust resistant materials, or properly plated to achieve corrosion and rust resistance.

• All customized hardware shall be identified and shall undergo a 72-hour burn in test in accordance with the SANDAG approved test plan before they are installed in the lanes.


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• Customized hardware assembly shall facilitate easy replacement (use of standard maintenance tools) of failed components in accordance with Section 2.4.1.2 maintainability requirements.

2.4.6 Bill of Materials (BOM)

The Contractor shall include the BOM in the proposal for all equipment and hardware supplied under this Agreement to meet the specifications of this Scope of Work. Each component shall also include the second source for manufacture. During the design phase the BOM shall be finalized and all changes there after shall be subject to approval of SANDAG. 2.4.7 Spare Parts

The toll collection system provided under this Agreement should allow SANDAG to maintain and replace parts for the next ten (10) years at a minimum. The Contractor shall provide a spare parts list and recommended quantities for all spare parts for all hardware supplied for the I-15 ML toll collection system. The Contractor shall also provide the suppliers and second source for manufacture for all parts and spare equipment with the current price list at the time of proposal and with the time period identified for which this price shall apply. The Contractor shall purchase under this Agreement an initial stock of spare parts as described in Section 7.6 that shall be made available to the maintenance staff upon acceptance of Stage 1, the Middle Segment. 2.4.8 Toll Collection System Software

The operating system, database, and toll collection system software provided by the Contractor shall support real time operations of the lane and shall be field proven. The proposed operating systems should have a future upgrade path and must be supported for up to ten (10) years. The Contractor shall ensure that the risk of obsolescence to the hardware is minimized through the selection of the operating system software and the peripheral hardware. The toll collection system software shall support the implementation of dynamic value based pricing and have the capability to interface with various other systems to obtain or transmit data related to the I-15 ML System. A browser based Graphical User Interface (GUI) design shall be employed for all software that has a user interface. Design of the GUI shall follow accepted industry human engineering design standards for ease of readability, understandability, appropriate use of menu-driven operations, user customization and intuitive operation. The toll collection system software shall be parameter driven and configurable, and provide flexibility to the user to make changes. The toll collection system software shall have debug features that shall assist in the trouble shooting of the System in the event of problems. All toll collection system software provided under this Agreement shall be warranted against software defects and deficiencies for the life of the Project.


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2.4.9 Toll Collection Lane Configurations

The I-15 ML toll collection system provided by the Contractor shall support the I-15 ML toll collection lane configurations detailed in RFP Attachment E I-15 ML Detailed Lane Configuration. 2.5 Toll Collection System Security and Access Control Requirements

2.5.1 Enclosure and Cabinet Access

Access to all toll collection enclosures and cabinets shall be key/lock controlled. All new cabinets and housings installed under this Agreement shall be access controlled using keys/locks. Access to the cabinets shall be recorded automatically and transmitted to the data management server to be reported to the MOMS. 2.5.2 Toll Collection System Lock Requirements

All enclosure and cabinet locks for the toll collection system shall be removable and replaceable cylinder lock types. The Contractor shall supply all locks, establish the keying index system for all toll collection equipment and install these locks on all toll collection equipment before installation. SANDAG shall issue all keys for all toll collection equipment locks. Contractor personnel shall utilize only assigned, individual keys, and shall not share keys with any other individuals, or make copies of any assigned keys. Contractor personnel shall immediately return all assigned keys to SANDAG upon request. 2.5.3 Toll Collection System Software Security

Access to all information on the toll collection system computer network shall be limited to authorized SANDAG, Contractor and I-15 ML toll collection system operator personnel only and shall be password controlled. User access security including sign-on facilities, permission control, and different levels of access shall be provided for the files, directories, and application software. SANDAG and the Contractor shall develop the matrix of access levels during system design. The system should allow for changes to the access levels and additions of personnel in a secure manner. Contractor shall not circumvent the system security as designed and as approved by SANDAG. Specific requirements shall be developed by the Contractor during System design. 2.6 Toll Collection In-lane Subsystems

2.6.1 Automatic Vehicle Identification (AVI) System

The Contractor shall provide an AVI system that is compliant with the current California Title 21 requirements. The AVI system shall support multi-protocol communications whereby it shall be able to read Title 21 compliant transponders and HOV transponders (protocol to be proposed by Contractor and approved by SANDAG) with no degradation of performance or interference. The AVI system shall have the ability to accurately read Title 21 and HOV transponders if both are present in a vehicle. The AVI system shall have the ability to process transponders mounted on vehicles traveling in stop and go (“bumper-to-bumper”) traffic and on vehicles traveling at speeds up to 100 mph, and vehicles that are spaced at two (2) feet apart.


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The AVI system shall have the ability to synchronize its time with the zone controller or through the network to the same source as the zone controller at any time. The AVI system shall be capable of performing diagnostics and reporting its health to the zone controller when polled or at configurable intervals. Loss of communication to any element of the AVI system shall be immediately detected and transmitted to the data management server to be reported to the MOMS. The design of the AVI system shall ensure that the loss a single AVI component does not degrade the performance of the entire tolling location. Setup and configuration of the AVI system shall be achieved remotely and shall not require lane closure except for major lane tuning. 2.6.2 Automatic Vehicle Detection (AVD) System

The Contractor shall be responsible for installing the required sensors and hardware as part of the AVDS that shall accurately detect vehicles traveling in stop and go (“bumper-to-bumper”) traffic and vehicles traveling at speeds up to 100 mph, and accurately separate vehicles spaced as closely as two (2) feet apart. The AVDS provided shall have the ability to detect hitches and ensure that vehicles with a tow are reported as one unit. The Contractor shall analyze the site conditions and propose the sensors that shall perform to these standards on the managed lanes. A single gantry or bridge structure will be provided at each location as shown in RFP Attachment H I-15 ML Strip Chart that will also support the VES and AVI solutions. The AVDS shall provide a vehicle event messages and signals to the zone controller and also trigger the VES cameras. The AVDS shall have the ability to synchronize its time with the zone controller or through the network to the same source as the zone controller at any time. The AVDS shall be capable of performing diagnostics and reporting its health to the zone controller when polled or at configurable intervals. Loss of communication to any element of the AVDS shall be immediately detected and transmitted to the data management server to be reported to the MOMS. The AVDS shall have some redundancy whereby a failure of a single sensor/system does not degrade the performance of the entire tolling location. 2.6.3 Reversible Lane Detectors (RLD)

The I-15 ML facility will be operated in a 2x2, 3x1, or 1x3 lane configuration. The configuration of the lanes will be changed using the BTM that is controlled by guidance loops installed at specific locations along the roadway, as described in RFP Attachment N I-15 ML – Caltrans Moveable Barrier and Barrier Machine Documentation. At each of the ML tolling locations the Contractor shall provide the RLD that identify the configuration of the lane and hence the direction of traffic, however, at locations where AVDS is installed, the AVDS can be used to identify the configuration of the lane in lieu of the RLD. The RLD shall be capable of performing diagnostics and reporting its health to the zone controller when polled or at configurable intervals Loss of communication to any element of the RLD shall be immediately detected and transmitted to the data management server to be reported to the MOMS.


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2.6.4 Violation Enforcement System (VES)

The Contractor shall provide all necessary hardware and software required to support the VES that meets the I-15 ML operational requirements. Only rear images are required by SANDAG at this time. Vehicle license plate images shall be captured and processed in accordance with the Business Rules developed during the design phase. The VES shall capture and process vehicles traveling in stop and go (“bumper-to-bumper”) traffic and vehicles traveling at speeds up to 100 mph, and vehicles with separation of two (2) feet apart. The proposed VES shall also be capable of supporting the two features listed below: • In order to support the manual enforcement of violations, near real-time processing of the image of

the plate region is desired. Images displaying the plate region of all vehicles captured should be made available upon query for immediate review on the PDA/MDT installed in the field officer’s patrol vehicle. This feature shall allow the officers to easily correlate an image to the vehicle and verify enforcement validity in the field.

• In order to pursue vehicles without plates that violate the I-15 ML repeatedly, vehicle matching using vehicle image is desired.

The VES shall be capable of buffering images (retaining an image until its disposition is known) such that no image is lost in order to support multiple vehicles in the lane and the SANDAG Business Rules developed during the design phase. The Contractor is also responsible for providing the OCR software that meets the requirement specified in Section 2.9. The VES shall have the ability to synchronize its time with the zone controller or through the network to the same source as the zone controller. The VES shall be capable of performing diagnostics and reporting its health to the zone controller or the CPS at any time. Loss of communication to any element of the VES shall be immediately detected and transmitted to the data management server to be reported to the MOMS. 2.6.5 Variable Toll Message Sign (VTMS)

The VTMS shall be installed at all tolling locations where customers can enter the I-15 ML. This includes the general-purpose lanes, the BRTC entry locations and the direct access ramps (DARs). The VTMS shall be a hybrid of static sections and variable sections. The variable section shall be full matrix LED supporting dynamic changes to the data as shown in RFP Attachment L ETCS Concept of Operations. The VTMS material and spacing for the static section of the sign shall meet Caltrans’ standards for signage:

http://www.dot.ca.gov/hq/esc/oe/project_plans/HTM/stdplns-US-customary-units-new06.htm or approved equal, and shall be mounted on the standard sign gantry structures provided by Caltrans. The dynamic sections of the VTMS shall meet the ADDCO BRICK standards

(http://www.addco.com/uploadedFiles/Products/Documents_Library/BRICK_052306_pg.pdf) or approved equal.


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VTMS shall be connected to the network and programmed in all of the following ways: • Locally by infra-red wireless keyboard; • Connecting the VTMS directly to the zone controller via Ethernet, serial or USB ports; • Through the WAN/LAN from centralized location; and • Remotely using a secure VPN connected to the Internet. The information to be displayed on the VTMS shall be in accordance with the Signing Specifications that will be finalized during the design process and approved by SANDAG. RFP Attachment L I-15 ML ETCS Concept of Operations gives an overview of the signs. At minimum the VTMS shall display rate per mile, travel time to specified locations, total cost to specified locations and variable message. The message sets displayed on the VTMS shall be controlled by the zone controller that controls the specific entry location or by the data management server in the event of zone controller failure or communications failure. When the data management system determines that a rate change is required or the travel time has changed, or any other parameter displayed on the VTMS has changed, then it shall transmit the information to the zone controller that shall then initiate a change in the variable sign messages within 500 ms of message receipt. An acknowledgement of this change shall confirm the correct message is displayed on the VTMS. Additionally, the VTMS shall be capable of providing self feedback on the message displayed on the sign through means of self polling the message from the LEDs. The VTMS shall support a default rate that goes into effect if it looses communications with the zone controller and the data management server. The VTMS shall also have the ability to blank out or display specific messages under conditions determined by SANDAG or Caltrans. Loss or failure of the VTMS shall be immediately detected by the zone controller and transmitted in real-time to the data management server to be reported to the MOMS. 2.6.6 Transaction Status Indicator (TSI)

At each tolling location on the I-15 ML, the Contractor shall provide the TSI that is installed overhead on the gantry upstream side of the tolling point. The LED light array shall be capable of displaying the following indication: • GREEN light for valid SOV transponder read; • AMBER for HOV transponder read; and • BLUE for invalid transponder read and no transponder read. The TSI serves two purposes: visual notification to an enforcement officer of SOV and HOV status, and deterrence to potential violators. The TSI shall be controlled by the zone controller. Loss or failure of the TSI light arrays shall be detected immediately by the zone controller and transmitted in real-time to the data management server to be reported to the MOMS.


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2.6.7 Zone Controller

2.6.7.1 Zone Controller Hardware

Zone controllers provided at all tolling locations on the I-15 ML shall be designed in a redundant configuration where there is a single primary zone controller with a “hot standby” secondary zone controller operating in parallel and able to take over in the event the primary unit should fail (automatic failover). When the secondary unit detects that the primary is off-line, the secondary shall assume the functions of the primary unit. Alarm messages shall be generated when such an event occurs. The Contractor’s failover design shall ensure that there is no loss of revenue or transactions when one of the zone controllers fails. Only one zone controller at a time shall generate revenue transactions. The switchover from the primary zone controller to the secondary zone controller shall be transparent to the rest of the systems. Proprietary zone controller hardware will be accepted if drawings that enable construction, repair, and modification of the hardware and rights sufficient to use the drawings for these purposes are transferred to SANDAG. The processor speed and memory shall be sufficient to process vehicles in real time to meet the speed and traffic volumes as specified in this Scope of Work. The disks shall be sized to hold 30 days of transaction and event data. 2.6.7.2 Zone Controller Software

The zone controller located at each of the tolling locations processes all of the data obtained from the other subsystems to generate a transaction record for each vehicle passage under the tolling location gantry. The zone controller: • Maintains the transponder status list used to validate the status of a transponder received from the

AVI system.

• Controls the toll rate, travel time, trip cost to specified destinations, and message displayed on the VTMS.

• Obtains the toll rate, travel time, cost to specific destinations, and variable sign messages from the CPS.

• Uses the data obtained from the AVI system and AVDS to assign the transponder read to the correct vehicle.

• Notifies the VES to capture and process vehicle images if no valid transponder read is obtained from a vehicle.

• Controls the light on the TSI based on the status of the vehicle transaction recorded.

• Transmits the transaction record with vehicle detection data, transponder data, toll rate data, and all other pertinent information regarding the vehicle to the CPS.

• Transmits to the CPS all alarm messages relating to the health of each subsystem, including the health of the primary and secondary (redundant) zone controller.


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The zone controller software shall be configurable and able to support the I-15 ML operational needs without requiring changes to software. The configurable parameters shall be further defined during the design process. The zone controllers shall be capable of supporting and controlling additional VTMS if the need arises to install additional trail blazer signs. The Contractor shall propose appropriate protocols and data structures to accomplish the communications required between various components and peripherals. These protocols and data structures shall be fully detailed by the Contractor during the design process and approved by SANDAG prior to System implementation. The lane systems shall support the various lane configurations as listed in RFP Attachment E I-15 ML Detailed Lane Configuration. All messages between the zone controller, VTMS, VES, AVI system, AVDS, and CPS shall utilize a guaranteed transmission protocol. The zone controller application software shall support all lane functions required to meet the I-15 ML operational requirements. Those functions include the following: 2.6.7.2.1 Zone Controller Start-Up

Upon start-up or initialization, the zone controller shall perform a self-diagnostics test to ensure full system operations. Alarm messages shall be reported for all failure conditions and a notification of the diagnostic check completion shall be displayed on the MOMS monitoring screen. The lanes shall always come up in an open mode if critical systems as defined by SANDAG are operational. The failure of a critical system shall result in the toll location operating under degraded operations in accordance with SANDAG Business Rules developed during the design phase. Upon start-up, the zone controller shall verify with the data management server that it has the latest configuration files, application software, transponder status file, current toll rate, current travel time data, current trip costs, VTMS messages, and any other files required to support the lane operations. If the latest files are not present on the zone controller, it shall request the latest data from the data management server. At all times it shall request the most current toll rate, travel time data, and trip costs. The zone controller upon start-up shall also synchronize its time with the data management server and verify that the messages are synchronized. 2.6.7.2.2 Lane Operations

The I-15 ML is always open unless some conditions (critical system failure to be defined during the design phase) force the lanes to operate in a degraded mode. Certain pricing conditions or emergency conditions will force the I-15 ML to be closed at which time it shall be operated in accordance the SANDAG Business Rules developed during the design phase applicable to this condition. The zone controllers at each I-15 ML tolling location shall automatically detect the center two reversible lanes current configuration, ensure the reversible lane I-15 ML System is automatically configured to process vehicles in the correct direction, and report transactions in the correct direction of travel. An event message shall be transmitted when the zone controller makes this lane configuration change.


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2.6.7.2.3 Transaction Processing

In some lane configurations, the zone controller shall be required to detect and frame vehicles, assign the transponder accurately and capture the image of the correct vehicle. The detailed transaction processing rules and the transaction message details shall be defined and finalized during the design phase; however, the following basic rules apply: • All transponder reads that are compliant to the CTOC Technical Specifications shall be processed

and reported as a transaction.

• The System shall have the ability to process multiple transponders in a vehicle and report each transponder.

• All HOV transponder reads shall be processed and reported as a transaction.

• In tolling locations with AVDS, one transaction shall be created for each vehicle that travels through the tolling location and the zone controller shall ensure that the transaction is complete prior to transmitting it.

• In tolling locations with AVDS the zone controller shall be able to handle multiple vehicles in the toll zone and track each one accurately.

• In tolling locations with AVDS the zone controller should be able to automatically synchronize with the various subsystems to ensure the events in the lane correspond to the transaction generated and are associated with the correct vehicle.

2.6.7.2.4 Configuration Files

All parameters and settings required to run the zone controller application shall be maintained in configuration files. Access to configuration files required to support the zone controller operations shall be controlled and access to these files must be limited to authorized personnel. The configuration files can be maintained on the data management server or downloaded along with the zone controller application file; however, authorized personnel shall be able to make changes to the configuration files in the field. All zone controllers shall have default configuration files that shall allow the lane to start-up automatically. Authorized personnel shall be able to make changes to parameters and settings that are defined as configurable elsewhere in this Scope of Work and in the approved design documents. 2.6.7.2.5 Interface to AVI System

The zone controller shall interface with the AVI System and transmit all data received from the AVI System. The zone controller shall report all tag reads; the details of the data format shall be finalized during the design phase. The Contractor shall be responsible for ensuring that all data elements required by the back-office to meet the SANDAG operational and CTOC interoperability requirements are provided in the transaction. 2.6.7.2.6 Interface to AVDS

The zone controller shall interface with the AVDS to obtain vehicle events that shall permit accurate detection, tracking and processing of vehicles.


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2.6.7.2.7 Interface to VES

The zone controller shall interface with the VES to capture and process images of vehicles identified to be violators in accordance with the SANDG Business Rules developed during the design phase. 2.6.7.2.8 Interface to VTMS

The zone controller shall interface with the VTMS in real-time to display toll rate, trip cost, travel data, and variable message to customers. Data to be displayed on the VTMS should be transmitted to the VTMS in real-time and acknowledgement of successful receipt shall be transmitted to the data management server. Failure to transmit messages to the VTMS shall also be transmitted to the data management server to be reported to the MOMS. Each zone controller shall be capable of interfacing with multiple VTMS. 2.6.7.2.9 Interface to the RLD

The zone controller shall interface with the RLD to determine the travel direction for the center two managed lanes and automatically change the lane configuration. Capability shall be provided to manually set or over-ride the configuration. The health of the RLD shall be monitored and failure messages shall be transmitted to the data management server to be reported to the MOMS. 2.6.7.2.10 Interface to the TSI

The zone controller shall interface with the TSI to control the LED lights based upon the status of a vehicle transaction. 2.6.7.2.11 Interface to Data Management Server

All messages generated at the zone controllers shall be transmitted to the data management server in real-time and shall be guaranteed. All messages shall be uniquely identified and validation shall be performed at the data management server to ensure that there are no missing or duplicate messages. The Contractor shall provide an automated means of synchronizing the lane and data management server messages in the event the zone controllers are replaced, if communications are down, or if data on the zone controller is not retrievable due to a catastrophic failure. 2.6.7.2.11.1 Receiving Data

The zone controllers shall be capable of receiving files and tables from the data management server. Receipt of all files and data shall be acknowledged and any failures in the transmission shall be reported to the MOMS. • Transponder Status List (TSL): The zone controller shall be capable of supporting the CTOC TSL

and shall have the capability to support every Agency and its assigned transponder range as described in the interoperability specifications. The zone controller shall also be able to support an HOV Status List (HSL) for validating HOV compliance. The zone controller shall be capable of accepting comprehensive (complete list once a day) and incremental (changes updated on a configurable interval, but not less than on an hourly basis) TSL and HSL and shall activate the lists upon receipt after validation of the files. The Contractor shall use an effective design to transmit the


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files (compress, encode, and transmit), store the files and use the files such that the new list is available at the zone controllers within 10 minutes of the data management server receiving the new list. Transponder validation shall occur in no greater than 50 milliseconds all exceptions to this requirement shall be clearly explained and detailed in the Contractor proposal. The format of the file shall be finalized during the design phase.

• Toll Rates, Travel Time, Trip Cost, and Variable Message: The I-15 ML project shall employ a dynamic value-based pricing that varies the rate per mile based on the value of travel time to a customer and based on adherence to legislative level of service (LOS) standard for the I-15 ML. Data from the I-15 ML and the adjacent general purpose lanes are used to determine these values. The rate per mile is tuned to: (1) offer the maximum value (travel time savings) to the I-15 ML traveler for the highest fare; and (2) to maintain the specified level of service (derived by comparing actual volume of traffic in the I-15 ML to the I-15 ML facility's rated traffic-handling capacity). The data management server calculates the new per mile full rate at a configurable interval, e.g., every six minutes. It also determines the travel times from each entry location to the specified major exit locations on the I-15 ML and the cost to the specified locations from each entry. The rate per mile, the travel times, and the trip cost shall be transmitted to the zone controllers immediately and in real-time, upon determination of these values at the specified times. If the normal operating conditions of the ML change, then a variable message representing the ML operational mode as determined by the data management server shall be transmitted to the zone controllers immediately and in real-time.

A default toll rate, travel time, and trip cost messages shall also be transmitted to the zone controllers to be used in the event of data unavailability, insufficient sample size, or other conditions as determined by SANDAG and finalized during the design phase that would warrant the broadcast of default (fixed) message on the VTMS. Acknowledgement of the VTMS receiving the toll rate, travel time, trip cost, and the actual message displayed on the VTMS shall be transmitted to the data management server.

• Configuration Files: All configuration files and tables needed to support the lane operations shall be maintained at a central location for configuration and version control and downloaded to the zone controllers from the data management server.

• Software Download: All zone controller software shall be downloaded to the zone controllers from the data management server and versions on each zone controller shall be maintained, tracked and recorded.

2.6.7.2.11.2 Transmitting Data

The zone controller shall transmit the data identified below to the data management server. All messages shall be confirmed as received by the data management server before they are flagged for archival. In the event of communication failures the messages shall be stored on the zone controller until successful transmission is complete and verified.


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• All transaction messages generated in the lanes. • All alarm and status messages generated in the lanes. • All lane operational messages and self-health messages. • All events generated in the lanes that are displayed on the real time screen or are required at the data

management server. 2.6.7.2.12 Monitor All Lane Equipment for Device Status

Each zone controller shall monitor itself and associated in-lane equipment devices for status. All systems including VTMS, AVI, AVDS and VES shall be continually polled for status. The health of some digital devices shall be inferred from events. If a device recovers after reporting a failure, then a recovery message shall be generated and the device operational status restored. The data management server shall determine if it has lost communication with the zone controller, and generate an alarm message if communication is unavailable. All alarm, health and recovery messages shall be transmitted to the data management server to be reported to the MOMS and the real time screen. 2.6.7.2.13 Diagnostics and Equipment Malfunction

The zone controller software shall execute periodic diagnostic checks on in-lane equipment. Intelligent peripheral devices shall be interrogated for device status on a regular basis. A device's failure to respond to a status inquiry, after a configurable number of retries shall be regarded by the zone controller software as an equipment failure. In the event of this failure a message shall be sent to the data management server to be reported to the MOMS. Such tests shall take place in all modes of lane operation, and the results shall be placed in each zone controller's event log. Degraded modes of operation shall be supported based on Business Rules developed during the design process. The Contractor shall ensure the proposed I-15 ML toll collection system continues to operate without loss of revenue or visible impact to the customer in accordance with the degraded mode operations agreed to during the design phase in the event that certain designated components of the I-15 ML System fail. 2.6.7.2.14 Stand-alone Mode of Operation

The zone controller shall be capable of operating in a stand-alone mode for a minimum of thirty (30) days if communications to the data management server are down. When operating in this mode, except for the toll rate, travel times, trip cost, and variable message, the last files downloaded from the data management server shall be used while processing vehicles. In this event the toll rate, travel times, trip cost, and variable message shall be transmitted by the data management server directly to the VTMS. Upon re-establishing communications with the data management server all back-logged messages shall be transmitted to the data management server without affecting the real time operations or degrading the lane operations. If any downloads were initiated while the communications were down, then these files shall be re-transmitted to the zone controller to bring it up to-date; however, in case of toll rate, travel times, trip cost, and variable message, only real-time data shall be transmitted.


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2.6.7.2.15 Time Synchronization

All zone controllers shall be synchronized either to the data management server as a primary source or to a common time synchronization source. There shall be a second source for time synchronization if communication to the primary source is down. The software used for time synchronization shall support monotonic changes to time. The zone controller shall synchronize or transmit time synchronization messages with every device capable of maintaining time. 2.6.7.2.16 California Highway Patrol (CHP) Interface

CHP officers will patrol the I-15 corridor to deter violations on the I-15 ML. The officers will be equipped with PDA/MDT that allows them to connect to the toll collection system. The Contractor shall determine the means by which the PDA/MDT shall communicate to the toll collection system; however, the selected means shall provide the connection throughout the corridor. The Contractor shall at minimum provide the interface, hardware and systems necessary to provide the officers the following: • Real-time transaction events regarding any vehicle passing through a tolling location on the I-15 ML.

• Ability to interrogate a vehicle traveling in the ML using a portable AVI reader to verify the presence of a valid HOV/SOV transponder.

• Ability to verify if a license plate belongs to a valid customer through a manual entry of a license plate number into the PDA/MDT or selection of a displayed license plate image.

• Ability to display in real time an image of the license plate area for any vehicle passing through a specified tolling location, indicating their transaction status.

• Ability to store the latest available transponder ID and license plate information for all valid customers. The PDA/MDT device should communicate regularly (at least every hour) at a configurable polling cycle, with the CPS to obtain this information.

• Ability to update the transponder ID and license plates list data as soon as connection to the network is established.

• Ability to store history of violators as downloaded from the CPS based on Business Rules developed during the design process.

Since some level of automation of violation enforcement is necessary, the Contractor shall propose design concepts that shall assist the officers in identifying violators with limited keystrokes. 2.6.8 Portable AVI Reader

The Contractor shall provide a portable AVI reader that reads both, the FasTrak™ and HOV transponders, to fulfill the requirements bullet 2 of Section 2.6.7.2.16. 2.6.9 Video and Data Audit System (VDAS)

The Contractor shall provide two mobile VDAS that shall be used to audit the system and diagnose system problems. The VDAS shall provide the capability to monitor an overall image of the tolling location and display detailed events as they occur in real-time. Upon identification of a systemic problem


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or degradation in the system performance or as requested by SANDAG, the Contractor shall install the IVDAS on a specified tolling location and perform an independent audit to verify system performance. The Contractor shall ensure that the IVDAS can be installed without any hardware or software changes to the operational system. The IVDAS shall have the capability to display video and data in real time and also record up to forty-eight (48) hours of video and data to an electronic media for future review. The VDAS shall include but not be limited to: • Digital Cameras • Data Logger • Digital Video Recorder and Player • Storage Media 2.7 Central Processing System (CPS)

The I-15 ML toll collection process shall be administered and controlled by a CPS comprised at a minimum of the data management server, accounts management server, image server, OCR sever, and internet server. The Contractor shall provide the computer hardware needed to support the software that meets the I-15 ML System requirements. While choosing the central processing hardware and third party software, the Contractor shall consider the staged implementation of the I-15 ML in order to ensure the products are supported by the vendor for the entire duration of the I-15 ML project. All computers provided under this Agreement shall have up-to-date current virus protection, internet security, and other security software and shall automatically obtain virus protection updates according to a recommended (configurable) maintenance schedule. A high level of redundancy shall be built into the system to support high availability requirements. Additionally, disaster recovery requirements shall be addressed by locating the redundant servers at different physical locations. 2.7.1 Data Management System

The data management system shall support the following general functions: • Communicate with all the zone controllers in receiving transaction and alarm messages and

transmitting transponder and plate status lists.

• Communicate with the zone controllers to transmit pricing changes, travel times and message data.

• Perform the trip determination, and calculate the toll charged for the trip and travel time saving.

• Interface with the SANDAG Intermodal Transportation Management System (IMTMS) to obtain traffic and travel time data from the general-purpose lanes and the I-15 ML.

• Compute the levels of service on the I-15 ML and compute dynamically the varying toll rate in accordance with the dynamic pricing algorithm described in Section 2.7.1.2.9 of this Scope of Work.

• Interface with the accounts management server and the image server to make sure license plate data related to an account/violation is obtained to match missing trip data (missed transponder read).


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• Perform maintenance management functions of the system including alarm notification and tracking, equipment inventory, maintenance history and other maintenance related functions to meet the requirements of Section 7.0.

• Provide traffic measurement data to the IMTMS, and in a variety of customized and ad hoc traffic toll reports.

• Provide various management reports that assess the operational performance of the system.

• Be responsible for synchronizing time to a reliable source and ensuring that other subsystems are time synchronized.

This server shall be a fail-safe design or shall incorporate a redundant configuration to minimize downtime. 2.7.1.1 Data Management Server Hardware

The work under this section shall include all labor, materials and support services to complete the design, fabrication, integration, packaging, delivery, testing and acceptance of the data management server hardware in accordance with the requirements of these specifications. The Contractor shall furnish and install a complete data management server configuration including storage, back-up library, and other hardware as needed to support the requirements of this Agreement at the back office location (to be determined prior to the execution of this Agreement). The data management server configuration shall include all cabinets and ancillary equipment, as may be necessary to provide a complete and acceptable data management system that meets the requirements of this Agreement. The data management server configuration shall have full redundancy wherein the second server can be brought on-line within 4 hours of a catastrophic failure. The second server shall be located at the main customer service location (CSC) location, unless that location is the same as the back-office facility, in which case the second redundant data management server shall be placed at a separate site (to be determined prior to the execution of this Agreement). The Contractor shall consider and provide disaster recovery procedures that shall be implemented to ensure data security during a disaster. The data management system shall be capable of performing all functions specified in this Scope of Work. The data management server, including all major hardware elements, shall be of the latest design and shall incorporate standard commercial products currently in production. The Contractor shall use proven server configurations that support future upgrades to processors, memory, storage, operating system, and database, and the Contractor shall plan for ten (10) year growth in traffic volumes in its hardware proposal. It is desirable for the central processing servers and peripheral hardware to be supplied from the same manufacturer. The intent is to increase compatibility and reduce maintainability problems. The CPS servers shall have warranty and maintenance support services for five (5) years after Stage 1 acceptance. Contractor shall use effective data storage techniques for the management of data. Users of the I-15 ML System shall experience no delays in generating reports or accessing the I-15 ML System for data.


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2.7.1.1.1 Data Management Server Operating System

The operating system for the data management server shall consist of a multi-user, multi-tasking operating system. The operating system shall fully utilize the redundant data management server architecture and shall support all peripherals defined in this Scope of Work. The operating system shall also support the proposed communications architecture, redundant configuration, database software, and Contractor’s application software. The Contractor is responsible for obtaining all licenses as required in the name of SANDAG. All licenses shall be provided to SANDAG for all off-the-shelf operating system software along with original software installation titles and media. The Contractor shall retain authorized copies (backups) for all software media to use for periodic system maintenance, upgrades, or restore, as required. The proposed operating system shall have warranty and maintenance support services for five (5) years after Stage 1 acceptance. The operating system shall be a proven system used widely throughout the United States for intensive database operations and should be compatible with the database and other web-based tools. There shall be no degradation of performance when numerous users access the data management server simultaneously. 2.7.1.1.2 Data Management Server Database

The CPS is a critical system that is directly linked to financial viability of the I-15 ML. SANDAG requires a high level of reliability and security from the database used for the storage of transaction data and all other data, as applicable, for the I-15 ML toll collection system. The Contractor shall use the latest database that is field-proven to operate in a transaction intensive environment. The database software shall be compatible with the operating system and application software, and shall support the redundant architecture. The database used on the data management server and the accounts management server shall be the same. Appropriate licenses shall be provided to SANDAG for all off-the-shelf database software along with original software installation files and media. The proposed database software shall have warranty and maintenance support services for five (5) years after Stage 1 acceptance. The chosen database should have an upgrade path and should support upgrades to operating system, application, memory, disk drives, and processors. Note: Alternative configurations for the CPS are acceptable as long as the alternative solution is clearly identified and explained and the proposed system meets the Agreement requirements identified herein and is approved by SANDAG.

2.7.1.1.3 Data Backup and Retention

Capability shall be provided by the Contractor to backup the I-15 ML toll collection system data on a daily basis without manual intervention using tape/disk libraries. Notification on the status of the backup process shall be transmitted to the data management system to be reported to the MOMS. If there is a catastrophic failure that results in the loss of data, Contractor shall provide a means to retrieve the corrupted data without disruption to the back-office operations. AVI transactions shall be retained for one (1) year on the data management server and then archived to permanent long-term storage disk. Violations that are either paid or considered closed shall be retained for one (1) year and then archived and violations that are considered open shall be retained until they are


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written off and then archived. Summarized data shall be retained on the data management server for at least ten (10) years so that performance reports can be generated for trend analysis. System logs shall be retained on the system for one (1) month after which they are archived. All other data shall be retained on the server for six (6) months after which they are archived. When the disk space utilization reaches 80% capacity, a message shall be transmitted to the MOMS. Any deletion of data shall be automatic, without user intervention, and shall generate a message to be transmitted to the MOMS. The data management servers shall be sized to accommodate the restoration of the archived data, if needed. Users shall be able to generate queries from the restored data. Detailed disk sizing calculations shall be provided during the design phase. 2.7.1.1.4 Workstations

The Contractor is not required to provide any workstation as part of the data management system. Workstations required for the accounts management system are addressed in the accounts management server section. Any SANDAG workstation that is connected to the I-15 ML network shall have access to the toll collection application allowing the user to login and access any menu without having to install the application on the user workstation. 2.7.1.1.5 Printers

The Contractor is not required to provide any printers as part of the data management system. Printers required for the accounts management system are addressed in the accounts management server section. SANDAG users accessing the toll collection application shall have the ability to print to any printer connected to the I-15 ML network. 2.7.1.1.6 Uninterruptible Power Supply (UPS)

All equipment that supports the CPS shall be on UPS, and the Contractor shall furnish and install an electronic interface between the data management server and the UPS to monitor the UPS performance. Software drivers shall be provided to acquire, display, store and report all parameters provided as outputs from the UPS. The UPS shall support the CPS for a minimum of one (1) hour. Prior to total shutdown the UPS shall send a message to the data management server that shall allow for a graceful shutdown of the server. When the System is on the UPS, a notification shall be reported to the MOMS. 2.7.1.1.7 Communications Equipment

The SANDAG Systems will be interconnected by fiber or dedicated lease lines as required. The Contractor shall work with SANDAG in designing the overall network architecture. All LAN and WAN communications equipment used on the I-15 ML toll collection system shall be the state of the art Nortel Network equipment as appropriate to support the CPS and the I-15 ML toll collection system. Network monitoring software shall be provided to monitor the System network status and communications, including the connection to the CSC. All network alarms shall be reported to the MOMS. 2.7.1.1.8 Equipment Cabinets

Cabinets shall be provided with appropriate access doors, closure panels, face panels, stabilizer kit, casters, mounting and installation hardware as may be necessary to provide a complete and operational


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installation. All interconnection and power cabling shall be provided as necessary and shall be installed to provide a professional look. Each cabinet front shall be enclosed with a smoked, tempered glass door and key lock to shield the Systems from dust. The cabinet designs shall consider the allowable space in the locations where the data management servers are to be installed. The cabinet, cabinet panels, and hardware described in this section and the proposed equipment layout shall be submitted to SANDAG for approval during the design process, prior to purchase and installation. The facilities that house the primary and redundant CPS equipment shall be air-conditioned and access doors to the server cabinets shall be security controlled. All access to the server rooms shall be automatically recorded and reported to MOMS. 2.7.1.2 Data Management System Software

SANDAG shall own all property rights, including intellectual property rights, in the software and all associated documentation developed and provided under this Agreement as further specified in this Agreement. The data management system software shall support the functionality listed above and meet requirements of RFP Attachment L I-15 ML ETCS Concept of Operations. Specifically it shall meet the requirements described below. 2.7.1.2.1 Data Communications and Interface Requirements

The data management server shall support the following interfaces: • Interface to the Zone Controllers: The data management server shall receive and store all the

messages from the zone controllers in real-time. It shall transmit all data required by the zone controllers to support its operation. All data sent to and received from each zone controller and the data management servers shall be acknowledged and confirmed.

• Interface to the Accounts Management Server: The data management server shall transmit transactions to the accounts management server for posting to the customer account in accordance with the Business Rules developed during the design phase and approved by SANDAG.

• Interface to the Image Server: The data management server shall interface with the image server to obtain license plate information to match the license plate against valid FasTrak™ customers’ vehicle license plate information.

• Interface to SANDAG Intermodal Transportation Management System (IMTMS): The data management sever shall interface IMTMS to obtain the traffic data from the general-purpose lanes and the I-15 ML in real-time. The interface requirements shall be defined during the design phase. Additionally, the data management server shall transmit trip costs and other travel data pertinent to the I-15 ML System to the IMTMS.

• Interface to SANDAG Financial Package: All financial data required by SANDAG shall be transmitted to the SANDAG’s finance system, the Integrated Financial and Administrative Solution (IFAS) system. Information on the IFAS system is included in RFP Attachment F. The interface requirements shall be defined during the design phase.


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• Interface to Other Peripherals: The data management server shall interface with other devices such as the UPS to monitor status and alarm messages generated from the UPS. Such alarms shall be reported to the MOMS.

2.7.1.2.2 Version Tracking Requirements

The data management server shall maintain records of all versions of the TSL, User Identification List (UIL), dynamic pricing data, VTMS information, lane configuration files and lane executables that it received and/or created and that were successfully downloaded to the lanes. Reports and a graphic user interface shall be made available to verify the versions and the download status. Failure in the transmission of any data to a lane and any other system interface shall result in a failure message been logged and reported to the MOMS. 2.7.1.2.3 Business Day Assignment and Verification

It is critical that all data from the zone controllers are transmitted to the data management server and a verification of this data transmission is performed. The Contractor shall provide the means of providing this validation which, if successful, closes the Business Day. If the validation process fails for any reason, failure messages shall be created and reports shall be made available to authorized personnel. The System shall allow for the manual closure of a Business Day and all such manual closures shall be flagged and reported. Reconciliation of transactions and revenue is performed on a Business Day basis, which for AVI and violation transactions is the transaction date. 2.7.1.2.4 Data Summarization

SANDAG requires numerous traffic and revenue reports, and historic comparative reports. For efficient report generation it is required that data be summarized. 2.7.1.2.5 Diagnostics

The data management server shall provide self-diagnosis functions to detect and report on the status and functioning of the CPS hardware devices, processes, tasks, and software applications as defined during the design phase and approved by SANDAG. 2.7.1.2.6 Data Security

The Contractor shall ensure that master data records, once entered into the System, cannot be deleted or changed without proper security and provisions for a complete audit trail. Only authorized users are allowed access to the System and the data, and all logins and modifications shall be recorded. Encryption shall be used for all confidential data. 2.7.1.2.7 Trip Determination

The data management server shall use the transponder reads and the license plate data received from each tolling location to determine the trip for each customer. Since the actual ingress to and egress from the I-15 ML is not at the tolling location, the entry and exit of the vehicle from the I-15 ML shall be inferred. Trip determination shall be in accordance with the Business Rules developed during the design phase and approved by SANDAG. It is critical that the trip determination process be accurate, reliable


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and configurable. The system shall have the capability to handle exceptions, examples of which are described in RFP Attachment L I-15 ETCS Concept of Operations. 2.7.1.2.8 Fare Calculation

The data management server shall calculate the fare to be charged to the customer’s account based upon the trip length, the rate that was applicable for that trip and any minimum/maximum criteria established by SANDAG. The fare due from a vehicle without a transponder that is determined to be a violator shall be in accordance with the Business Rules established be SANDAG during the design phase, Additionally, the data management server shall confirm that the trip cost determined by it matches the trip cost displayed on the VTMS if the specified trip cost is displayed on the VTMS. In the event of a discrepancy, the trip cost displayed on the VTMS shall be used and such transactions flagged. 2.7.1.2.9 Dynamic Pricing Algorithm

The Contractor shall implement a value-based dynamic pricing algorithm as detailed in RFP Attachment D Dynamic Pricing Algorithm Documentation. The pricing is determined by the value of travel time (VOTT) savings and the LOS on the I-15 ML. All of the criteria used for performing the pricing algorithm shall be configurable, flexible and table driven. The frequency of calculating the pricing shall be configurable and the pricing shall be computed as often as every three (3) minutes or as determined most effective for determining price and managing traffic in the I-15 ML. Data required to calculate the pricing as described in RFP Attachment D Dynamic Pricing Algorithm Documentation shall be reported as often as every one (1) minute but could be less frequent (configurable) as necessary to sufficiently calculate LOS and VOTT for each segment. The data management server shall obtain the traffic data and the travel times for the general purpose lanes from SANDAG’s IMTMS. Travel times for the I-15 ML shall be determined from the transponder read data first when sufficient point-to-point sample size is obtained, and the IMTMS traffic data for the I-15 ML shall be used as a backup for travel time calculation. All parameters that feed the algorithm shall be table driven and screens shall be provided to input and change this data as described in Section 2.7.1.3.4. The Contractor shall also use the traffic data from the zone controllers (speed, count, and other variable as needed) as a backup in the event the IMTMS data is not available. A pricing trend shall be maintained based on the respective time period, direction, days of week, and month, that is available for use in the event of unavailable real-time data. The system shall also have a default rate and default message for every entry to be used when there are failures that do not permit the accurate calculation of the price or the use of trend data. The per mile toll rate, minimum and maximum charges, the travel time to specific locations on the corridor, and the trip cost to specified locations shall be calculated for each entry tolling location. This information, along with the time of pricing calculation, the effective time of the pricing and unique pricing identifier is considered a pricing schedule and shall be saved. This data is transmitted in real-time to each entry zone controller to be used and displayed on the VTMS at each entrance to the I-15 ML at the effective time. In the event the data management server is unable to successfully transmit the pricing schedule to each entry zone controller, then the per mile toll rate, travel times and trip costs shall be transmitted directly to the VTMS. Failure of this data transmission is logged and reported to the MOMS.


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Capability shall be provided to synchronize all or a group of entry locations whereby the same price per mile is used at the selected entries. An authorized user shall be able to over-ride the system generated pricing schedule for a single location, a group of locations, group of locations by direction, or all entry locations at which time the default or the user selected pricing schedule shall be placed in effect. The pricing algorithm shall be designed to handle the transition from the current system and the addition of Segments or portions of Segment as identified in Section 3.0. 2.7.1.3 Central Processing System (CPS) Application Software

SANDAG shall own all property rights, including intellectual property rights, in the software and all associated documentation developed and provided under this Agreement as further specified in this Agreement. The Contractor shall provide one single application software for the I-15 ML System that shall support all user functions for the CPS. This shall include the data management system, the MOMS, the customer service center and violation processing center functions. The GUI application shall be browser based and any workstation connected to the I-15 ML network shall have the ability to access and run the application. Based on the user’s access privileges the appropriate menus shall be made available. All access to the application and changes to the data shall be recorded and tracked, and the system shall provide an audit trail for all data modifications. 2.7.1.3.1 Screens and Report Access

Capability shall be provided to assign privileges and access rights by employee designation/user group to the I-15 ML System application. Based on the access privileges the appropriate menus, screens, tabs, reports and other user interfaces shall be displayed. For some screens, certain users may only be allowed to view the contents and not be allowed to enter any data. Access privileges can be changed at any time by SANDAG authorized personnel, and are based on employee designation/user group and are not at an individual user level. 2.7.1.3.2 Toll Collection System Screens/Reports

All data entered or generated in the System shall be retrievable through reports and screens. Reports and screens shall be made available through the System and on an ad-hoc basis, shall have various selection and sort criteria, and shall be easily configurable. All reports and screens shall have the capability to be printed, saved in PDF format, html format, xml format, csv format, Access, and Excel formats. Selected reports shall be automatically generated and made available to authorized personnel at the start of the Business Day or at other appropriate times as designated or requested by SANDAG. A report generation feature shall be available for configuration and shall permit an individual with permission to request selected reports for auto delivery by email according to a routine or custom-specific interval. The System shall have the ability to drill down all high-level reports to the next level and to the details. Where applicable, data shall also be presented in a graph forms and chart types shall be configurable amongst available graphic styles. Report designs shall be presented and finalized during the design review process. Data may have to be summarized in order to ensure that summary reports are generated


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within seconds of a report generation request. Additionally, after the deployment and implementation of the System, there may arise the need to create additional reports, and the Contractor shall support such additions and/or modifications as part of the Agreement. The following are examples of several high level categories of reports that are required and shall be developed by the Contractor to support the data management system. • Traffic Report: Various traffic related reports based on time interval, hour, day, week, month, year

and YTD (both calendar year and fiscal year). Ability shall be provided to compare specified data for given time intervals, dates, weeks, months, years or YTD. System shall also have the ability to generate Descriptive Statistics reports and various entry/exit reports detailing entry/exit matching data, average rates and the rates per interval.

• Transmission Reconciliation Reports: Daily reports that show AVI and violation transaction transmission reconciliation between the zone controllers, data management system and the accounts management system.

• Transactions Reports: Daily, weekly, monthly, quarterly, and yearly transactions reports based on transaction type (tolls, HOV and violations). Detailed transaction reports shall also be provided. Summarized and detail reports on the trip determination shall also be provided.

2.7.1.3.3 User Setup and Maintenance Screen

User setup and maintenance is a critical task since the employee designations/user group created through the System shall determine what privileges and access rights each employee is granted. Access to data management system, the MOMS, CSC and VPC applications shall be controlled through this user interface. As one of the initial tasks, employee designations/user groups shall be created and the System shall allow the input and editing of employee designations/user groups. Authorized personnel shall have the ability to create new users through the System or through data obtained from the other SANDAG systems such as the Payroll System or the Human Resource System. Through a user setup and maintenance screen, the users shall be designated to one of the employee designations/user groups that was created based on the user roles and responsibilities (job description). The user setup and maintenance screen shall be also used to activate and inactivate employees and also terminate them. The same screen shall also be used to assign User ID and PIN/password for access to the application. As soon as the information is saved, the UIL shall be transmitted to the various systems for user access. 2.7.1.3.4 Dynamic Pricing Tables

All parameters needed to support the value-based dynamic pricing algorithm shall be table driven and user configurable. As shown in RFP Attachment D Dynamic Pricing Algorithm Documentation, multiple parameters constitute a complete set that is needed to calculate the pricing and this set is called a pricing table. Authorized personnel shall have the ability to define at minimum100 different table entries for each selected parameter in the pricing table for each entry location. Selected entry locations or all entry locations can have the same pricing table. Modification of a table entry shall result in the creation of a new pricing table with a unique identifier. Each complete set that constitutes a pricing table shall be


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uniquely identified. The pricing tables shall be able to support exceptional scenarios that force lane closures, opening of the I-15 ML to general purpose traffic and other emergency related scenarios. At all times there shall be a default pricing table with baseline toll rates for each entry tolling location. Authorized users shall have the ability to choose a new pricing table and define the times when this schedule is made active. The pricing scheme utilized on the I-15 ML System is critical to the success of the I-15 ML project, and it is understood that the various parameters shall have to be tuned to obtain the most effective pricing scheme. The system shall have the flexibility to manage the dynamic pricing algorithm, including tools to monitor, maintain and manage the pricing table and it resultant pricing schedule. 2.7.1.3.5 VTMS Control

Authorized personnel shall have the ability to formulate and change the messages that are displayed on the VTMS. Each sign template with each variable line of text shall be defined by the user, and text limitations shall be provided in the input screen. The system shall support at minimum 100 different templates for each entry location and allow the user to assign a template to a single location, a group of locations, group of locations by direction, or all entry sign locations. Each sign template shall be associated with a pricing table. Under normal conditions a standard sign template shall be used for all dynamic pricing tables; however, specific user selected conditions shall require the use of specific sign templates which shall then affect the pricing table to be used. 2.7.1.3.6 Real-Time Monitoring

Ability shall be provided to allow authorized users monitor the real-time activity in the I-15 ML in a pictorial view. Users shall be able to identify problems (traffic or equipment) on the I-15 ML very easily. Data pertinent to traffic monitoring, dynamic pricing and maintenance shall be displayed in real-time. 2.7.1.3.7 Managed Lane Operations

Ability shall be provided to enable an authorized user to temporarily close the I-15 ML System by: Specific tolling location; all tolling locations; all tolling locations in a specific direction of travel. Vehicles detected traveling through a tolling location that is closed shall be identified and handled in accordance with the Business Rules developed during the design phase and approved by SANDAG. Such I-15 ML System closures shall result in the appropriate messages being displayed on the VTMS. Such emergency closures shall result in the creation of alerts that are transmitted to MOMS. Additionally, the system shall provide the ability to support I-15 ML operations whereby I-15 general purpose traffic is diverted to the I-15 ML. The system shall process vehicles in such conditions in accordance with the Business Rules developed during the design phase and approved by SANDAG. 2.7.1.3.8 Zone Controller Executable Download

The System shall have the capability to download zone controller executable files and all other files required by the zone controller for its operations. Successful download of the files shall be verified and alarm messages generated if these files were not successfully downloaded it to specific zone controllers.


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Where possible, all System application updates shall be automated requiring no action by the operations personnel. 2.7.1.3.9 System Maintenance Screen

In order to ensure that all the processes are operational and file transfers are successful, authorized users shall have access to screens that can verify the status of various file transfers including the files transmitted and received from the CSC/VPC, other interoperable agencies, and other interfaces as defined in this Scope of Work. If files have to be transmitted to the zone controllers, this screen shall show if the files were transmitted to all the zone controllers and what version is in use. Screens shall be available that show all of the alarms generated by the various Systems including the operating system and the database. 2.7.1.3.10 Time Synchronization

The data management server shall be synchronized to a certified source approved by SANDAG using standard network time protocol (NTP) at configurable intervals but at a minimum of every five minutes. The software used for time synchronization shall support monotonic changes to time. The zone controllers, the accounts management server, the image server, the OCR server, the internet server and other servers needed to support the requirements of this Agreement shall be synchronized to the data management server. If needed, synchronization messages shall be sent to devices that do not support off-the-shelf time synchronization software. 2.7.2 Maintenance On-line Management System (MOMS)

As part of the data management system application software, the Contractor shall provide the MOMS for reporting and tracking alarm messages and maintaining status, location, health, and attributes for I-15 ML field equipment asset (inventory). The MOMS shall meet the requirements needed to support the maintenance operations specified in Section 7.0 of this Scope of Work. The MOMS shall support real-time paging of maintenance staff and shall be configurable to meet the SANDAG operations requirements. Scheduling of all preventive and predictive maintenance activities shall be performed through the MOMS and automatic work orders shall be generated at the scheduled times. The MOMS shall have the ability to create manual work orders in events where one was not automatically created. The MOMS shall have the ability to determine response times, repair times, and lane down time from the data entered by the maintenance technician. A spare parts inventory of equipment shall be maintained and tracking and purchasing of all toll related equipment shall be done through the MOMS. When spare parts inventory reach a configurable threshold, automatic alerts shall be generated. The MOMS can reside on the data management server or a separate server can be provided. If the separate server is provided, it shall meet the general hardware requirements in Section 2.7.1.1. Authorized personnel shall have the ability to generate various operational, management and performance reports from the MOMS, including:


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• Summarized and Detailed Alarm History;

• Maintenance Paging and Response History;

• Work Order Status;

• Equipment Inventory;

• Equipment Availability;

• Preventive Maintenance;

• Corrective Maintenance;

• Response and Repair Times;

• Tolling Location Operational Status;

• Equipment Use History;

• Equipment Repair History;

• Total System Availability;

• Subsystem availability for Zone Controllers, AVI, AVDS, VES, VTMS, data management servers, accounts management servers and OCR server;

• Equipment versions, software versions, firmware versions and serial numbers for all equipment installed under this Agreement; and

• Incident Logs and Lost Revenue Estimates.

The Contractor shall work with the SANDAG in configuring the MOMS to meet the SANDAG maintenance need as further detailed in Section 7.0 of this Scope of Work. 2.7.3 Accounts Management System

The accounts management system is part of the CPS and shall support the following functions which are further detailed in Section 8.0 of this Scope of Work. All functions described in Section 8.0 of this Scope of Work shall be supported by the System provided by the Contractor. • Provide an interface that allows both CSC staff and customers directly manage the FasTrak™

accounts, including capability to create new accounts, close accounts, replenish account balance, update payment information, prepare and print account statements and reports, and other account maintenance capabilities.

• Provide the functionality required to pursue the violation citation process, including noticing, collections and violation closure.

• Interface with the interoperable agencies for the transfer and reconciliation of interoperable toll transactions similar to the process on the current I-15 Express Lanes.

• Provide various operations, management, audit and reconciliation, and financial reports as necessary to successfully operate and manage a customer service center.


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• Provide the ability to electronically manage customer related correspondence.

• Interface with the internet server and the Interactive Voice Response (IVR) system to assist customers with account maintenance and inquires.

The accounts management system design should ensure that most of the processes and notifications are automated and both staff and customers have easy and understandable access to up-to-date account data. 2.7.3.1 Accounts Management Server Hardware

The work under this section shall include all labor, materials and support services to complete the design, fabrication, integration, packaging, delivery, testing and acceptance of the accounts management server hardware in accordance with the requirements of these specifications. The CPS servers shall have warranty and maintenance support services for five (5) years after Stage 1 Acceptance. The Contractor shall furnish and install a complete accounts management server configuration at the SANDAG CSC facility (location TBD) and shall include all cabinets and ancillary equipment as may be necessary to provide a complete and acceptable server system. The accounts management server configuration shall have full redundancy wherein the redundant server, which may not be co-located with the main server, can be brought into service with no disruption to operations. The Contractor shall provide Disaster Recovery procedures for the accounts management server that shall be implemented to ensure data security during a disaster. The accounts management server shall be capable of performing all functions described in these specifications. The accounts management server, including all major hardware elements, shall be of the latest design and incorporate standard commercial products currently in production and shall be manufactured by the same computer company, except as specified. It is desirable for all servers in the I-15 ML toll collection system and all peripheral hardware to be supplied from the same manufacturer. The intent is to increase compatibility and reduce maintainability problems. The Contractor shall use proven server configurations that support future upgrades to processors, memory, storage, operating system, database, and other system components, and the Contractor shall plan for ten (10) year growth in traffic volumes. The Contractor shall use effective data storage techniques for the management of data. Users of the System shall see no obvious delays while generating reports or accessing the System for data. 2.7.3.1.1 Accounts Management Server Operating System

The operating system for the accounts management server shall consist of a multi-user, multi-tasking operating system. The operating system shall fully utilize the redundant server architecture and shall support all peripherals defined in these specifications. The operating system shall also support the proposed communications topology, redundant configuration, and Contractor’s application software. The Contractor is responsible for obtaining all licenses as required in the name of SANDAG. All licenses shall be provided to SANDAG for all off-the-shelf operating system software. The proposed operating system shall have warranty and maintenance support services for five (5) years after Stage 1 acceptance.


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The accounts management server operating system shall be a proven system used widely throughout the United States for intensive database operations and should be compatible with the database and other web-based tools employed. There shall be no degradation of performance when numerous users access the accounts management server simultaneously. 2.7.3.1.2 Accounts Management Server Database

SANDAG requires a high level of reliability and security from the database used for the storage of customer accounts, and transaction data, violation data, and all other data, as applicable, for the I-15 ML toll collection system. The Contractor shall use the latest database that is field-proven to operate in a transaction intensive environment. The database software shall be compatible with the operating system and application software, and shall support the redundant server architecture. The databases used on the data management server and the accounts management server shall be the same. Appropriate licenses shall be provided to SANDAG for all off-the-shelf database software. The proposed database software shall have warranty and maintenance support services for five (5) years after Stage 1 acceptance. The chosen database should have an upgrade path and should support upgrades to operating system, application, memory, disk drives, and processors Note: Contractor may propose other configurations for the CPS as long as the System meets the requirements of this Agreement. 2.7.3.1.3 Workstations

Various SANDAG administrative staff, customer service staff, violation processing staff, auditors and other support staff require access to the toll collection system which includes the data management system, accounts management system, violation processing system and the MOMS. Workstations equipped with the necessary peripheral equipment needed for the CSC and VPS operations shall be installed in their offices to provide the required access. These workstations shall be the latest technology available and shall have flat panel monitors. The Contractor and SANDAG shall agree on the number of workstations (and type) needed during the design phase. All workstations connected to the ML network shall be able to access the application software and, based on access privileges, the appropriate menus and screens shall be made available to the user. 2.7.3.1.4 Scanners

Barcode scanners shall be provided as part of the CSC equipment to assist CSC staff scan barcodes affixed to transponders, notices and other correspondences. The CSC workstations shall support the interface to these units. 2.7.3.1.5 Check Scanners

Check scanners shall be provided as part of the CSC equipment to assist CSC staff scan checks received by the CSC. The CSC workstations shall support the interface to these units. 2.7.3.1.6 Accounts Management System Printers

Laser printers shall be provided at the CSC offices to allow users to print receipts, reports, customer correspondences, detailed statements and violation notices. The Contractor shall provide two large


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printers that have automatic duplex (double-sided) printing options, supporting four (4) input trays (letter, legal and ledger paper sizes) and can process up to 40 ppm. One high-speed duplex printer supporting four (4) input trays, and capable of processing 100 ppm shall be provided. Optionally, one of the two large (40 ppm) printers shall include color printing capability to support production of basic color graphics and correspondence. The exact number and style of printers to be purchased by the Contractor shall be approved by SANDAG during the design phase. 2.7.3.1.7 Uninterruptible Power Supply (UPS)

All equipment at the CSC shall be connected to the UPS, and the Contractor shall furnish and install an electronic interface between the accounts management server and the UPS to monitor the UPS performance. Software drivers shall be provided to acquire, display, store and report all parameters provided as outputs from the UPS. The UPS shall support the accounts management system equipment for one (1) hour and before total shutdown shall send a message to the server that shall allow for a graceful shutdown of the accounts management server. When the System is on the UPS, a notification shall be reported to the MOMS. All UPS alarms shall be reported to the MOMS. 2.7.3.1.8 Transponder Programmer

If the Contractor is supplying or obtaining transponders that are not programmed at the factory, then a Transponder Programmer shall be provided as part of this Scope of Work that shall allow the CSC staff to program the transponder data and other account related information as deemed necessary by SANDAG in accordance with the Business Rules developed during the design phase. The transponder programmer shall interface with the accounts management server. 2.7.3.1.9 Portable AVI Reader

The Contractor shall provide a portable AVI reader that is separate from the Transponder Programmer that reads both, the FasTrak™ and HOV transponders, at the CSC to assist the CSC staff test transponders. The user interface shall allow the CSC to easily identify failed transponders. SANDAG currently owns an AVI reader that reads Title 21 compliant transponders. The existing AVI test equipment shall be made available to the Contractor. It is the responsibility of the Contractor to ensure that the existing device meets the CSC operational needs. 2.7.3.1.10 Communications Equipment

The SANDAG Systems will be interconnected by fiber optics or dedicated leased communications lines as required. The Contractor shall work with SANDAG during the design phase in finalizing the overall network architecture design. All local area network (LAN) and wide area network (WAN) communications equipment shall be state of the art Nortel Network equipment as appropriate to support the CPS and the I-15 ML toll collection system. Network monitoring software shall be provided to monitor the System network status and communications, including the connection to the SANDAG administrative office. All network alarms shall be reported to the MOMS. 2.7.3.1.11 Equipment Cabinets

Cabinets shall be provided with appropriate access doors, closure panels, face panels, stabilizer kits, casters, mounting and installation hardware as may be necessary to provide a complete and operational


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installation. All interconnection and power cabling shall be provided as necessary and shall be installed to provide a professional look. Each cabinet front shall be enclosed with a smoked, tempered glass door and key lock to shield the Systems from dust. The cabinet designs shall consider the allowable space at the CSC (and redundant server location) where the servers are to be installed. The cabinets, cabinet panels, and hardware described in this section and the proposed equipment layout shall be submitted by the Contractor to SANDAG for approval during the design process prior to purchase and installation. The facilities that house the primary and redundant CPS equipment shall be air-conditioned and access doors to the server cabinets shall be security controlled. All access to the server rooms shall be automatically recorded and reported to MOMS. 2.7.3.1.12 Data Backup and Retention

Capability shall be provided to backup the accounts management server data on a daily basis without manual intervention using tape/disk libraries. Notification on the status of the backup process shall be transmitted to the data management system to be reported to the MOMS. If there is a catastrophic failure that results in the failure of data transmission or loss of data, the Contractor shall provide the means to retrieve the data without disruption to the CSC or back-office operations. The accounts management server shall retain and archive transaction and summarized data, and system logs according to the same data backup and retention procedures described in Section 2.7.1.1.3. Customer account related data and correspondence shall be retained on the system for two (2) years after which it shall be archived. All data related to the violation noticing process shall be retained on the system for five (5) years after which it shall be archived. Voice mails and conversations recorded shall be retained on the system for one (1) month after which it shall be archived. The accounts management server shall be sized to accommodate for the restoration of the archived data, if needed. Users shall be able to generate queries from the restored data. 2.7.3.2 Accounts Management System Software

FasTrak™ and HOV account management, Title 21 reciprocity, and violation processing are some of the key functions for the accounts management system. The accounts management system shall interface with the data management system to receive AVI and violation transactions. It is the Contractor’s responsibility to design the specific interface and specifications to handle the transmission and receipt of data between the data management server and accounts management server keeping in mind the interface between the two systems is critical and the CPS needs to function as a single entity from a customer and SANDAG perspective. This interface and process shall be finalized during the design phase and approved by SANDAG. The accounts management (CSC/VPC) application software shall be a part of the I-15 ML toll collection system application. Users with the appropriate privileges shall have access to the accounts management system screens and menus. The accounts management system shall provide customer service and account management support to the I-15 ML customers, and shall support all operations related to FasTrak™, HOV and violations; including but not limited to, account setup, account maintenance and customer service support. In addition the accounts management system shall provide for all violation notifications and violation collection procedures in accordance with the SANDAG Business Rules


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established during the design process and the State legislation. The efficient operations of the account management and violation processing functions are critical to the success of the I-15 ML project. The proposed processes documented below are meant to streamline the CSC operations process and ensure customer satisfaction. The operational and system requirements are described here to allow the Contractor to understand the proposed I-15 ML System customer service and violation processing operations. The Contractor’s standard COTS software for the toll collection system may be utilized if it provides toll collection system management, audit, reconciliation, customer service, violation processing, and reporting functionality equivalent to what is described in this Scope of Work, subject to the approval of SANDAG. 2.7.3.2.1 Screens and Report Access

The accounts management system shall meet the screens and report access requirement specified in Section 2.7.1.3.1. 2.7.3.2.2 Toll Collection System Screens/Reports

The accounts management system shall meet the screens and report requirement specified in Section 2.7.1.3.2. 2.7.3.2.3 Transaction Processing

FasTrak™ and HOV transactions are transmitted from the data management server to the accounts management server after the toll to be charged for the trip is determined for posting to the customer account. The Contractor shall define this interface and obtain SANDAG approval of the interface during the design phase. The accounts management server shall receive AVI (FasTrak™ and HOV) and violation transactions from the data management server, and post the AVI transaction to the customer account and process the violation. Each transaction generated in the lane can fall into one of the following categories when they are processed at the CSC (Since fees and fines are applied based on the type of transaction, it is critical that the categorization of the transaction be accurate and correct). • Valid AVI Transaction: The FasTrak™ or HOV transaction is created from a valid transponder read

in the lane, and at the time of posting, the account is in good status. The toll charged, if applicable, for the trip, as determined by the data management system, shall be posted to the account.

• Invalid AVI Transaction: The FasTrak™ transaction is created from an invalid transponder read in the lane, but at the time of posting or after a configurable time for retries the account is in good status. The toll charged for the trip, as determined by the data management system, shall be posted to the account.

• Valid AVI Violation: The FasTrak™ transaction is created from a valid transponder read in the lane, but at the time of posting, the account is not in good status. Such a transaction is not posted, but placed on hold and posted after a configurable number of days. If the account is in good standing at the second attempt, then the toll charged for the trip, as determined by the data management system, shall be posted to the account. If the account is still not in good status, then this transaction shall be


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pursued as an Invalid Account violation in accordance with the SANDAG Business Rules and Violation Enforcement Policy and Procedures developed during the design phase.

• Plate Transaction: The FasTrak™ or HOV transaction was considered a violation in the lane, but upon image review, the license plate was found to belong to a valid FasTrak™ or HOV account by the data management server. The toll charged for the trip, if applicable, as determined by the data management system, shall be posted to the account and this transaction shall now be considered a “paid by plate” transaction, (i.e., a violation that was converted into toll transaction).

• HOV Violator: The HOV transaction was considered a violation in the lane (account is suspended), then the vehicle is processed as an HOV violation in accordance with the SANDAG Business Rules and Violation Enforcement Policy and Procedures developed during the design phase.

• Interoperable Transactions: The AVI or plate transaction is found to belong to an interoperable agency with a valid FasTrak™ account. The transaction with the toll charged for the trip, as determined by the data management system, shall be transmitted to the interoperable agency in accordance with the CTOC interoperable specifications for posting to the customer account.

• True Violator: The transaction is considered a violation in accordance with the SANDAG Business Rules (developed during the design phase) and does not belong to any type of account. This category includes an interoperable AVI or plate transaction that does not have a valid status. This transaction is charged the trip toll, as determined by the data management system, and processed as a violation in accordance with the SANDAG Business Rules and Violation Enforcement Policy and Procedures developed during the design phase.

2.7.3.2.3.1 Automatic Processing

The accounts management server shall automatically receive transactions from the data management server. Shortly after receiving transactions the accounts management server shall attempt to post them to a customer account. It is possible that SANDAG may decide not to post HOV transactions to an account, but only identify the transaction as belonging to a HOV account. Prior to posting a FasTrak™ toll or plate transaction to the account the following verifications are performed: • No FasTrak™ transaction or fee should be of $0 amount.

• If there is a valid or invalid AVI transaction that is posted to the account with the same transponder ID and tolling location within configurable period, then the second transaction is considered a duplicate and should be rejected.

• If there is a license plate transaction that is posted to the account with the same tolling location within configurable period, then the second transaction is considered a duplicate and should be rejected.

• If a vehicle has two FasTrak™ transponders, both transactions are posted to the account.

• If a vehicle has a FasTrak™ and a HOV transponder, both transactions are posted to the account.


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2.7.3.2.4 Transponder Set Up and Inventory

The accounts management system shall have the capability to manage and track SANDAG’s transponder inventory. An initial purchase of transponders shall be made before the I-15 ML goes into operations based on anticipated demand; after which point future purchases shall be based on available stock on inventory and replenishment need. The approved SANDAG I-15 ML artwork, including the standard California FasTrak™ logo, shall be emblazoned onto the outer shell or surface of each transponder and may vary between HOV and SOV (FasTrak™) transponders. The model and type of transponder may also vary for HOV and SOV (FasTrak™) transponder, and the System shall track the two transponder types separately. 2.7.3.2.5 Purchase and Receipt of Transponders

Screens shall be provided to allow the CSC staff to place an order directly with the vendor when the need for transponder inventory replenishment arises. The System shall provide the capability to record the received transponders and manage the inventory. The System shall also provide the capability to test and verify each FasTrak™ and HOV transponder and the results of the test shall be automatically recorded in the System. Upon the receipt of a transponder shipment, the CSC staff shall enter each transponder into the System using System screens provided. The System shall allow the entry of transponders into the inventory by range, or by entering the starting number and total number in the shipment, or individually. Transponders must be located in a secured facility with limited access and all access to the facility shall be automatically recorded and transmitted to MOMS. The transfer of the transponders from the secured access location shall be logged into the System. 2.7.3.2.6 Programming of Transponders

Screens shall be provided to allow CSC staff to program transponders if non-programmed transponders are supplied or obtained from the factory. The interface shall allow the CSC staff to enter/select the data that needs to be programmed, and upon successful programming the user shall be notified. The user shall also be alerted of all programming failures and the capability shall be provided to read the transponder and report the programmed data that shall allow the user to verify the data. 2.7.3.2.7 Assignment of Transponder for Issuance

The System shall support the issuance of transponders to customers via a number of distribution channels, including but not limited to those listed below. During the design and development phase the distribution channels will be finalized. All transponders shall be verified by the CSC to be operational prior to being issued or distributed. Distribution of the transponder and the distribution channel shall be tracked to allow SANDAG to control and monitor the transponder distribution and to identify distribution patterns and trends. • Authorized Vendors/Retailers: SANDAG or its authorized representative shall work with

transponder manufacturer(s) to provide transponders that are ready for use (transponder package) that could be provided to “authorized” vendors/retailers (e.g., Wal-Mart, Costco, and other such retailers) for easy distribution to the commuting public. The System shall provide the capability to


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record the delivery of and payment for these transponders, as well as handling of transponder returns for any warranty provisions that are managed and reconciled between the CSC, transponder manufacturer(s) and the “authorized” vendor/retailers.

• Mobile Kiosks: Transponders may be distributed through a mobile kiosk that is set up at busy locations, such as shopping malls, with access to commuting public. Personnel staffing these kiosks shall have access to the accounts management server to set up accounts from the location(s) of the kiosk(s).

• Vending Machines: At SANDAG discretion, transponder vending machines may be installed at select locations such as park and ride lots, where the commuting public would be able to obtain transponders on a self service basis. The vending machines shall communicate with the accounts management server and provide the customer the ability to obtain the transponder and replenish their account.

• Customer Service Center CSR’s: To service walk-in customers and transponder by mail requests, each Customer Service Representative (CSR) shall be assigned a fixed number of transponders for distribution, and the System shall provide the screens to reconcile the inventory and the distributions of all transponders. Customers can come to the CSC to purchase and establish the account or can submit an application/transponder request form by fax, phone, WEB or mail; and the CSC staff shall have the capability to assign the transponder to the account and mail the programmed transponder(s) to the customers mailing file. CSRs may operate from the CSC or from Remote Counters that are set up to service the SANDAG customer.

FasTrak™ and HOV users are required to set up an account after which the transponder is made active. 2.7.3.2.8 Transponder Failures and Tracking

It is possible that transponders will fail while in inventory or after they are issued to the customers. The System shall provide the ability for the CSRs to identify accounts that have transponder problems. It is the responsibility of the CSC staff to obtain the failed transponders, and return them to the vendor for replacement if under warranty, and to record such transactions into the System. The CSC staff shall verify the warranty clause and resolve the issue with the transponder vendor. Procedures established by the Contractor and SANDAG for handling transponders to be returned, verifying and testing the returns, and reconciling the costs for transponder replacement shall be supported by the System. 2.7.3.2.9 Transponder Maintenance

The System shall have the ability to track the transponder return and exchange process between the CSC and the transponder vendor and transponders issued to various distribution sources. Damaged or faulty transponders shall be identified and shown as part of the inventory. 2.7.3.2.10 Transponder Audit

The System shall have the ability to perform a transponder audit upon request or on a monthly request and all transponders shall be accounted for.


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2.7.3.2.11 Account Set-Up

Prior to using the transponder on the I-15 ML or other interoperable toll roads, an account needs to be established for each customer. Until such time as the account is opened, the transponder shall be in an inventory status and usage of an inventory transponder shall be considered a non-payment of toll. The FasTrak™ account shall be established according to the policies as defined in the I-15 ML Business Rules developed during the design phase, and as detailed in the FasTrak™ and Patron Account Application (attached as part of RFP Attachment J I-15 ML Draft Operations Plan). The System shall require the user agreement to be acknowledged prior to account set up. The System shall also require that each customer sign and return an affidavit that acknowledges the customer has read and understands their responsibilities under the FasTrak policies and business rules before establishing an account for each customer. SANDAG may permit use of an electronic affidavit if it can be demonstrated that the System is able to ensure acceptance of the terms by each customer as a pre-requisite to completing an online application form. The System should be flexible in the business rules regarding transponder deposits, payment options, replenishments and other typical CSC and FasTrak™ account options. All parameters that affect the customer account set-up shall be table driven and configurable. The System shall require the customer to provide vehicle information for each transponder in the account. The number of vehicles associated with an account can be more than the number of transponders assigned to the account; however, the number of transponders shall not exceed the number of vehicles listed. HOV users are also required to set up an account and provide contact information and license plate details similar to the FasTrak™ account. The System shall verify the address provided by validating the license plate provided against DMV database. If the address provided does not match DMV in accordance with the business rules established or the data provided is not correct, then the account is suspended and the transponder is considered invalid. Usage of this transponder on the I-15 ML shall result in the capture and processing of the license plate as a violation. The customer shall be sent a warning notice in accordance with the SANDAG business rules developed during the design phase describing the discrepancy. The System shall support setting up of customer accounts in all the methods identified below. Prior to creating an account the System shall verify that the required data is provided and customers/CSRs shall be alerted of incomplete data. Transponders shall either be given directly to the customer or mailed upon the successful processing of their payment method and the System shall record the delivery method. The System shall support payments and replenishments by check, money order, cash or credit card, automatic clearing-house (ACH) or any combination thereof. • Mail-In: Immediately after the application and payment method are processed, the transponder shall

be activated and ready for use.

• Fax-In: Immediately after the application and payment method are processed, the transponder shall be activated and ready for use.


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• Walk-In: Where the account is created in real-time the transponder shall be activated and ready for use immediately after the account is established. In all other scenarios the account first needs to be registered via web site or in person prior to the transponder usage.

• Phone-In: The System shall provide the ability for customers to use the IVR System or call a CSR to establish an account. The System shall require the customer to accept the user agreement, and the payment method shall be verified prior to establishing the account. The transponder shall be mailed to the customer and the transponder can be used immediately upon receipt. If the call is terminated before all of the required fields are completed, the account shall not be established.

• Web Access: The System shall provide the ability for customers to establish an account on-line by completing the application forms through the secure SANDAG website. The System shall require the user agreement to be acknowledged prior to account set up. Once all required fields are validated to be complete, and confirmation that the payment has taken place the account is created immediately online. The System shall present the account information on the screen and request the customer to print the account information. If an email address was provided, the System shall automatically send the customer an email confirming the account creation. An automatic request is then transmitted by the System to the CSC initiating the transponder fulfillment process and the transponder shall be made active and ready for us immediately upon receipt.

• Email: The System shall have the ability to provide a web form option that allows perspective customers to submit the application by email, and the form function shall automatically insert the user agreement acknowledgement in the email message before it can be transmitted to the CSC. Prior to creating an account the System shall verify that the required data is provided and the payment is valid.

2.7.3.2.12 Revenue Management

The accounts management system shall be responsible for the revenue management processes, including credit card processing, automated clearing house and reciprocal agency revenue payments. Screens shall be provided to allow CSC staff to log check or money order payment into the System. 2.7.3.2.12.1 Credit Card Processing

The I-15 ML System shall be in compliance with the Payment Card Industry (PCI) Data Security Standard, version 1.0 of which was published in December 2004, or latest version available at the time of the design phase. The Contractor shall certify that the System meets these requirements and shall provide a report detailing the compliance, including identifying the version with which the System complies. All batch processing of credit card accounts shall be automated in the accounts management system. The System shall also support real-time credit card processing. If the customer selects automatic replenishment on their account setup, the System shall check the available account balance on a daily basis. For each credit card account balance that is under the pre-established low balance threshold (configurable) or defined by SANDAG business rules (developed during the design phase), a transaction containing the customer’s account, credit card number, transfer amount, and authorization is created. The amount of each replenishment shall be based on the customer’s selected preference for credit card or


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ACH replenishment as allowable in SANDAG business rules (developed during the design phase) and at a minimum includes a fixed transfer balance, or dynamic balance that is based on the customer’s historic usage rates. The resultant list of credit card replenishment transactions shall be sent automatically in electronic format, by the System to the credit card clearinghouse through the SANDAG eFunds server. The eFunds uses the Oasis software from eFunds that is ISO 8583 standard to process the credit card transactions and the accounts management system shall be compatible with Oasis software. Upon completion of a batch credit card transaction process, the results shall be returned back to the accounts management system from the credit card clearinghouse and each customer account shall be updated appropriately. Audit trails and exception reporting shall be provided by both accounts management system and the credit card clearinghouse. Reports shall be made available on the System that display summarized and detail data on the processing status including a description of any failure. Any failures in the process that interface with the credit card clearing-house or with the communications to the credit card clearing-house shall result in an alarm that is reported to the MOMS. If a batch process (e.g., clearinghouse communications or data transfers) does not complete successfully, the problem shall be investigated by the CSC system administration personnel and the System shall support the process to be repeated as necessary until verification of a successful transaction is confirmed. Note: Credit cards may be declined during the batch process for several reasons, including, but not limited to: • Incorrect expiration date; • Lost or stolen credit card; • Exceeded credit limit; and • Expired or closed credit card account. Declined credit cards that fail the batch process shall be handled by the CSC manually. 2.7.3.2.12.2 Automated Clearing House (ACH) Processing

The ACH process shall follow the same procedures as the credit card process described in Section 2.7.3.2.12.1 2.7.3.2.13 Account Maintenance

The System shall provide the ability for customer account information to be updated through the IVR, via the web, via email, walk-in, or by calling in, faxing or mailing the request. All updates to the account shall be recorded to provide an audit trail of the changes. Account maintenance activities shall include but not be limited to:


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2.7.3.2.13.1 Credit Card Information Update

The System shall allow the customer’s credit cards or credit card expiration date, or credit card billing information to be changed. 2.7.3.2.13.2 Customer Profile Update

The System shall provide the capability for customers to update their address, user ID, passwords, and contact information via the web or a request can be made via the IVR system, email, walk-in, or by calling in, faxing or mailing the request. The customer can also change correspondence delivery methods at any time using the web or by contacting the CSC. 2.7.3.2.13.3 License Plate Update

The System shall allow customers to update or add the vehicle license plate information associated with their account. 2.7.3.2.13.4 Customer Notifications

The System shall provide the ability to query, monitor, and flag customer accounts to ensure that required updates are made to the account and customer is notified of account problems. The System shall have the capability to notify the customer of various changes including but not limited to: • Account non-activity;

• Transponder battery life at risk;

• High number of plate transactions;

• Expired credit card;

• Changes to replenishment amounts;

• Account below low balance threshold;

• Changes to minimum and/or maximum toll rates and toll schedules;

• Addition of new interoperable Toll Roads, and/or additional segments opening on the I-15 ML; and

• Other marketing materials as deemed necessary by SANDAG.

The System shall support the automatic detection and generation of notifications and these shall be identified during the design phase. Most SANDAG I-15 ML customers’ communication shall be made via email. The System shall generate acknowledgement receipts whenever customer communication is sent electronically such as by e-mail. Customer shall also have the option of downloading such information from the SANDAG web site as appropriate. Customer communications shall also be posted to the customer account as a new message and the customer shall be alerted when the account is accessed either via the web or through the IVR. Critical notification shall require customer review verification. If after one (1) week, the customer review is not confirmed, a printed letter shall be automatically generated and sent via first class mail to the customer’s address on file.


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2.7.3.2.13.5 Customer Approvals

Certain activates on the customer’s account shall require the customer’s permission and such communications shall be automated. The System shall have the capability to process such requests, including, but not be limited to: • Addition of a plate to their account.

• Posting of a toll to the account due to address match.

• Accrual of tolls with a negative balance on the account.

• Insufficient Fee charged by the bank and by the CSC due to a bounced check.

2.7.3.2.13.6 Customer and Violations Correspondence

The System shall have the capability to generate form letters for all correspondence to the customer and these shall include but not be limited to: • Customer Correspondence

New Account Creation and Transponder Issuance; Customer Statement; Change in Replenishment Threshold – Credit Card; Change in Replenishment Threshold – Check; Addition of Plate to the Account; Posting of Plate Toll Due to Account Match; Battery at Risk; High Plate Transaction on Account; Inactive Account; Low Balance – Check; Negative Balance - Credit Card; Negative Balance - Check; Returned Check; Request for Check Payment; Credit Card Due to Expire or Expired; Credit Card Declined; Account Suspended – Check; Account Closed – Credit Card; and Account Closed – Check.

• Violation Correspondence

1st Notice; 2nd Notice; HOV Suspend Account Warning; Refund of Violation Overpayment; Returned Violation Payment – Incomplete Information; Violation Dispute (Accept and Reject);


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Dismiss Violation; Administrative Review Letter (Accept And Reject); Transfer to Collections Letter; and Transfer to Court Letter.

2.7.3.2.14 Account Closing

The System shall require the customer to return their transponder before a refund of their balance is made. If the customer does not return the transponder, after 30 days of the request for account closure, the System shall deduct the cost of the transponder (deposit) from the account balance and the remaining amount is refunded. The System shall support refunds made by check or as a credit to the credit card that was on file. 2.7.3.2.15 Customer Statements

The System shall support the generation of monthly, quarterly and annual account statements based on the customer selection. The System shall have the option to generate statements generated on a specified date (configurable) or on the anniversary date. Each type of statement shall be configured to be free or require a fee, based on the delivery option and repeat request. Customers shall have the option to request a statement in hard copy, email or decline the receipt of a statement. The System shall provide an option to change this selection at any time. Customer account statements shall be available either as a .pdf, delivered electronically; in .html format, delivered in an email; or in paper format delivered by first class mail. • Web Access: Statements for the previous twelve (12) months shall be available online and can be

accessed at any time. Statements shall be formatted with an option provided to print, or for saving to portable document format (.PDF).

• Mail Out: The System shall automatically generate printed customer statements for those customers that requested a hard copy in a batch mode at a configurable time. Applicable fees shall be charged the account.

• Email: When this option is activated, the System shall automatically generate and email the (.PDF) electronic statement at the requested interval. Email statements shall be sent to the customer’s email address on file.

The statement format shall be presented to SANDAG and approved during the design phase. Data on the customer statements shall include but not be limited to: • Transponder ID; • Plate Number; • Entry Location; • Exit Location; • Time of Entry; • Time of Exit;


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• Toll Charged for the Trip; • Travel Time Saving; • Account Balance; • Summary Data; • Financial Transactions; • Adjustments; and • Any Relevant Account Information 2.7.3.2.16 Customer Service Representative (CSR) Activities

The customer may contact the CSC for a number of reasons regarding their account or their experience with the I-15 ML. The CSR shall be responsible for documenting and responding to the issue. Other issues may require the CSR to refer the problem to the appropriate personnel. The System shall provide all the functionality required to support the customer service activities. 2.7.3.2.16.1 Toll Adjustments

Since the toll charged to the account is based on entry and exit data, it is possible that either the entry or the exit could be missing and the System inferred the entry and/or exit. If a customer disputes the entry or the exit, CSRs shall have the ability to adjust the transaction record based on SANDAG Business Rules developed during the design phase. This System shall retain the original data and use the adjusted data to recalculate the trip and hence the toll charged for the trip. The adjustment shall be handled as two transactions by the System; a credit to the customer account for the original toll, and then a debit from the account for the correct toll. 2.7.3.2.16.2 Customer Complaints/Inquiries

The System shall provide the capability to record complaints submitted by the customer on-line, via IVR, call in, or written. CSC staff shall be automatically alerted of complaints and shall track the response or action required and by whom. 2.7.3.2.16.3 Transponder Issues

The System shall provide the capability to identify transponder issues either from the information received from the transponder or account activity (high number of plate toll postings). An automatic alert shall be generated when transponder problems are detected. The System shall also provide the capability for customers to record transponder problems on-line. 2.7.3.2.16.4 Violation Notices

The System shall provide the capability for a CSR or customer to post a violation to the customer’s account as a plate toll and dismiss the violation. The System shall prompt for the entry of the vehicle license plate data.


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2.7.3.2.16.5 HOV Account Suspension

HOV customers shall receive a warning notice if their account is suspended. The System shall allow the customer to correct the problem on-line or in-person. 2.7.3.2.16.6 Handling Documentation

Certain customer information input and stored in the System is considered confidential and must be treated as such. Confidential data, correspondences and forms, including but not limited to account application, credit card authorization, and checks and receipts from the customer shall be scanned and electronic copies (normally .pdf formatted) shall be linked to the customer account. Recording the dates of receipts and transmittals of all pieces of correspondence is also very important and the System shall provide the capability to record such data. 2.7.3.2.16.7 Shift Reconciliation

Each CSR that works at the CSC shall be required to log into the System every day and this shall initiate the start of a CSR Shift. At this time a CSR session shall start and all activities performed by the CSR shall be recorded to this session. The System shall allow the CSR to open and close many sessions during the day. At the end of the day, before logging out, the CSR shall be required to verify the cash drawer and reconcile the monies against the payments. Before logging out, the CSR shall also be required to close all open sessions. The cash drawer shall be reconciled against the accounts opened, payments received (money order, cash, check or credit card) and the transponders issued. The System shall require the supervisor to approve the Shift closure at which time the CSR shift is considered closed. Once a CSR Shift is closed no other changes shall be allowed to the Shift. CSR Shift reports shall be made available to authorized personnel. 2.7.3.2.17 Financial Functions

The System shall provide the functionality required by the CSC Finance Manager or authorized personnel to perform various financial activities including but not limited to: 2.7.3.2.17.1 Write-off and Waivers

The System shall provide the ability for authorized staff to write-off account receivables, and waive fees and fines as deemed necessary. Such situations include, but are not limited to; monthly statement fees, account inactivity fees, violation fees and fines, account that are deemed uncollectible, and NSF fees. 2.7.3.2.17.2 General Ledger Accounting

During the design phase, the Contractor, with the assistance of SANDAG Finance Manager, shall design the appropriate General Ledger (GL) account structure for assets, liabilities, revenue, and expenses in the I-15 toll collection software that needs to be posted against SANDAG’s general ledger account in its IFAS system. Each monetary or financial transaction shall be clearly defined to post to a specific GL account.


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The System shall maintain transactions codes for each financial transaction category and shall post them to the general journal where double entry recording is done. The System shall also provide the ability for authorized personnel to make necessary adjustments to the GL accounts and to transfer such adjustments to the IFAS system. The Contractor can provide either a customized financial package or a third party financial package as long as it meets the requirements of this Scope of Work and is fully integrated with the I-15 ML toll collection system. 2.7.3.2.17.3 Business Day Closure/Bank Out

The System shall provide the ability for authorized personnel to reconcile the CSC Business Day collections (by clerk, by location, and in the aggregate; by payment type as cash, check, or credit card), make adjustments, close the Business Day, and bank out. 2.7.3.2.17.4 Business Month Closure

Similar to a Business Day closure, the System shall provide the ability for authorized personnel to reconcile the Business Month, make adjustments, and close the Business Month. 2.7.3.2.17.5 Fund Audit

The System shall provide the ability for authorized personnel to audit the CSC funds. Reports and screens shall be made available that allow the auditor to make adjustments and enter comments. 2.7.3.2.18 Mail Room Activities

The System shall support all activities that are associated with the mail room including, but not limited to: 2.7.3.2.18.1 Incoming Correspondences

The System shall provide the ability to record and track all in-coming mail, categorize and assign them to specific staff or staff position. The System shall allow CSC staff to update the status of the correspondence assigned to them. If a correspondence results in another action, then that correspondence is considered complete only after the second action is complete; for example, a customer account application shall result in a transponder fulfillment and only after the transponder is shipped out is the incoming correspondence considered closed. Categories of in-coming mail include but are not limited to the following: • Check Replenishments; • Applications; • Returned Transponders; • Customer Complaints/Inquires; and • Customer Comments and All Other Correspondence.


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2.7.3.2.18.2 Outgoing Correspondences

The System shall provide the ability to record and track all out-going correspondences that are logged into the System prior to transmittal. Categories of out-going mail include but are not limited to the following: • Transponder Shipments; • Customer Correspondence; and • Violation Letters. Transponders are sent by certified mail and all other correspondences are sent by first class mail. 2.7.3.2.19 Interactive Voice Response (IVR) System

SANDAG has procured separately and will furnish a fully interactive voice response (IVR) system with which the I-15 ML IVR System shall interface. The SANDAG IVR system will include menu options to FasTrak™ and to the Advanced Traveler Information System (ATIS) 511 program. The I-15 ML IVR System shall include an interface to the SANDAG IVR system to coordinate and respond to incoming calls related to FasTrak™ and the I-15 ML operations. The Contractor shall draft and submit to SANDAG an IVR script for approval during the design phase. The IVR System script shall allow I-15 ML FasTrak™ customers to access account and violation related information stored on the accounts management server. The customer will access the I-15 ML IVR System through the SANDAG IVR system. The I-15 ML IVR system shall include an option for a customer to request to speak to a live person (CSR) at the CSC. The System shall support additional functionality related to the integration of the IVR System including but not limited to: 2.7.3.2.19.1 Voice Data Integration

The IVR System shall support speech recognition and the Contractor shall provide the interface that supports voice and data integration. 2.7.3.2.19.2 Single Data Request

If the customer initially provides data, such as the account number, then this information should be retained and made available to the CSR who takes the call. The customer is not expected to provide the same data again. 2.7.3.2.19.3 Bi-lingual Support

The IVR shall support bi-lingual interaction and the Contractor shall provide the interface that supports bi-lingual options for customer interaction. 2.7.3.2.19.4 Auto-dial

The CSC shall use the IVR to auto-dial all customers, deliver a message, play the spoken name, and ask the caller for a confirmation. This function shall be used when the CSC needs to convey a message to all customers.


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2.7.3.2.19.5 Voice Mail Option

The IVR System shall have the ability to allow customers to leave a voice mail that can later be retrieved by customer service staff. 2.7.3.2.19.6 Supervisory Monitoring

The IVR System shall allow a supervisor to monitor in real time the phone conversations between the CSR and the customer and also view CSR screen navigations. Additionally, the IVR System shall have an option to record all conversations and allow the replay of selected conversations. 2.7.3.2.20 Document Imaging

The Contractor shall provide the capability to interface the existing document imaging system, the Fujistu Scanner with the 250 GB portable hard drive (Firewire/USB2), Iomega Model Number 32835 to the accounts management server. The document imaging system shall allow correspondence associated with a customer’s account to be linked to the account maintenance screen by no more than two (user defined parameter) mouse clicks or menu/command prompts. Similarly, the System shall provide the capability to link all correspondences received from violators to the violator account. All System generated correspondence to the customer/violator shall be archived automatically by the System. It is the Contractor’s responsibility to ensure that the existing scanner/hard drive meets the requirements of this Scope of Work. If the existing scanner does not meet the requirements of this Scope of Work, then the Contractor shall provide a new scanner that complies with the requirements under this Scope of Work. 2.7.3.2.21 Web Access

The CSC System shall provide web access that shall allow authorized CSC staff and customers to obtain most information online and enable them to perform most account-related activities via the web. The website shall support the all the functionality described in this Scope of Work. The customer will access the CSC website through the local 511 website. The Contractor shall support all modifications to the website to ensure it is current. The Contractor shall ensure that stringent security measures are instituted to prevent unauthorized access to the accounts management server and that confidential data entered by customer’s remains secure subject to applicable federal, state and local laws or applicable policies, including payment card industry (PCI) security standards described in Section 2.7.3.2.12.1 of this Scope of Work. 2.7.3.2.22 System Administrative Functions

Failure of all processes, programs and schedule tasks shall be forwarded to a system administration screen that is accessible to authorized staff. All such failures shall also be reported to the MOMS. Various events and error logs shall be provided for each program that shall assist the system administrator to investigate problems. 2.7.3.2.23 CTOC Interoperability

The I-15 ML toll collection system shall be interoperable with California Toll Operations Committee (CTOC) agencies, including but not limited to, the agencies listed below. Other agencies may join CTOC


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or may meet the CTOC interoperability requirements and the System shall be capable of supporting additional interoperable agencies. • Transportation Corridor Agencies (TCA); • Golden Gate Bridge Highway and Transportation District (GGBHTD); • Caltrans; • Orange County Transportation Authority (OCTA); • California Transportation Ventures (CTV)/ South Bay Expressway (SBE); and • Bay Area Toll Authority (BATA). SANDAG has executed Cooperative User Fee Processing Agreements (CUFPA) with each of the above agencies. A sample of the CUFPA agreements is included as RFP Attachment P Sample FasTrak™ Cooperative User Fee Processing Agreement (CUFPA). The I-15 ML System shall be compliant with the latest CTOC Technical Specifications for Interagency Electronic Data Exchange Revision G.4 dated April 26, 2004 and Draft Revision G.5 copies of which are included in Attachment Q CTOC Interoperability Technical Specification – Revisions G.4 and G.5. The System design shall be flexible so that minor changes to file format and enhancements are possible without major development. The accounts management server shall automatically batch and submit reciprocal transactions to the appropriate reciprocal agency for processing. Upon receipt of the reconciliation file from each interoperable agency, the System shall update the status of the transaction. Reports, including but not limited to the ones described in Section 2.7.3.2.28 shall be provided to allow for transaction and revenue reconciliation, revenue disbursement as well as reconciliation of funds. 2.7.3.2.24 Interface to Bank

The Contractor shall provide an electronic interface to Bank of America (Merchant Account) for the transfer and reconciliation of revenue and funds. Reports shall be provided that shows the funds deposited to the bank every Business Day and these reports shall reconcile back to the bank statement and credit card company statements. Revenue shall be categorized by prepaid tolls, transponder deposits, fees, violations payments and other CSC related payments, and they shall reconcile against the actual deposit and the General Ledger reports. 2.7.3.2.25 Violation Processing System (VPS)

The Contractor shall provide a Violation Processing System (VPS) that is a part of the accounts management system, and it shall support all violation processing functionality including but not limited to: • Initial filtering; • Automatic extraction of the license plate using OCR; • Manual review of the license plate data; • Trip determination;


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• Customer validation; • Retrieval of name and address; • Customer filtering; • Noticing; • Payments; • Collections; and • Vehicle matching. The VPS provided shall be compliant with the legislation and laws of the Sate of California. The System provided shall be flexible whereby SANDAG Business Policies can be implemented without requiring major changes to the design. Parameters that drive the violation process shall be configurable and screens shall be provided for authorized staff to make changes. 2.7.3.2.25.1 Violation Enforcement Policy

The Contractor shall develop and implement the violation processing policies that meet SANDAG Business Rules developed during the design phase and that are in compliance with the California State Law. The System shall have the capability to by-pass any of the specific stages identified below if it is deemed unnecessary by SANDAG after the System is operational. During the design phase the violation processing flows shall be developed in coordination with SANDAG identifying the various types of violations and their processing. Violation notices shall be developed by the Contractor and approved by SANDAG during the design phase. 2.7.3.2.25.1.1 Initial Filtering

If a customer uses the I-15 ML without a valid transponder (funded FasTrak™ or HOV), then the System captures and saves an image of the vehicle and creates a violation transaction. This transaction then goes through multiple processes before a letter is actually sent on the incident. The System shall have the ability to automatically filter violations that are deemed as non-collectible for various reasons including but not limited to: • Violation transactions that occur when there are documented equipment failures. • Violation transactions where an image was not saved. • If a Violation transaction is a result of invalid account balance, it is passed through the “Invalid

Account” process described in Section 2.7.3.2.25.4. In addition to this automatic filter of violations, the System shall also provide the capability to manually filter violations based on selected criteria including but not limited to; specific tolling location, specific date and/or time of day, specific condition in the I-15 ML and specific direction of travel.


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2.7.3.2.25.1.2 Automatic License Plate Extraction

The Contractor shall provide OCR software that meets the requirements specified in Section 2.9 of this Scope of Work. It is desirable that the System have the ability to match vehicles using the vehicle image in cases where the license plate data cannot be extracted accurately. It is also desirable that the OCR product have the ability to automatically extract the state information. The System shall also provide a documented confidence level on the accuracy of the extracted data that will allow SANDAG to automate the license plate review process. 2.7.3.2.25.1.3 Image Review

The CPS application shall allow authorized CSC staff to verify and manually input the license plate image and state through an image review process and screens shall be provided to support this process. Violation transactions that are considered pursuable in accordance with the SANDAG Business Rules developed during the design phase shall be automatically forwarded to the image review process where each image is reviewed and validated by a reviewer. If the OCR process is able to extract a license plate number, the reviewer only needs to verify that it is correct. If the OCR process was unable to extract a license plate number, the reviewer shall enter the information manually and the System shall provide the capability to enhance the vehicle and plate image. Image enhancements shall include but not be limited to; zoom, brighten, darken, and invert color. The System shall provide screens and a navigation method that optimizes efficiency. The System shall default the state to CA and shall allow the user to change the state. If it is determined that the OCR extracted the correct license number with high confidence, then the manual image review for such images may be bypassed and the System shall be configurable to support this business decision. The System shall allow an image to be flagged for supervisor review and such images shall be presented to the supervisor when the menu is accessed. The supervisor shall be required to correct the data entered, accept the data or reject the image. If the images are not readable, the reviewer shall have the ability to enter reject codes as defined by SANDAG Business Rules developed during the design phase. The System shall also have the ability to match the rejected images to existing images so as to allow SANDAG to pursue these violations manually or if plate information for this vehicle is available from a different image, it will allow SANDAG to use this data. Screens shall be made available that shall allow a supervisor to view such images and enter license plate data. 2.7.3.2.25.1.4 Customer Validation

After the image review is complete the license plate number shall be used by the data management server to perform the entry/exit matching for trip determination. Based on the trip length the toll charged is calculated. Trips that have only license plate data shall be validated against the I-15 ML (FasTrak™ and HOV) and interoperable customer plate file. The System shall automatically post the matched license plate to the appropriate account with a flag that the transaction was posted via a plate image. Such plate posting shall be considered “paid-by-plate” transactions. If the plate does not belong to a


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customer account, the System determines that the transaction is a violation and the transaction shall be pursued through the violation process. 2.7.3.2.25.1.5 Violation Prepayment

As soon as the image is reviewed, a System check is performed against the plate to ensure that a customer did not make a payment against this plate. If an unposted toll payment is found for the plate, the toll is posted to the plate and the violation is considered paid and closed. 2.7.3.2.25.1.6 Rental Car Information

The System shall provide the ability to obtain rental car information electronically from rental car companies identified by SANDAG. License plate data shall be compared against this database prior to DMV look-up. If a match is obtained the System shall transmit the license plate and transaction time to the rental car company to obtain the name and address of the person who rented the car. 2.7.3.2.25.1.7 Address Retrieval

The address retrieval rules shall handle these conditions: • If the plate is not a customer, then it is forwarded to the address retrieval process where the name

and address on the plate is obtained. The plate can be checked against a CSC name and address warehouse that is updated regularly or a request can be sent to the DMV for name and address.

• If the plate belongs to an out-of-state license plate, then it is sent to the DMV of that state if a relationship has been established previously. It is the Contractor’s responsibility to establish the required interface (electronic or manual).

• If multiple responses for a plate from the DMV are returned, then the details are reviewed, and both names and addresses are checked against the customer database. If none are account holders, then the only the latest name and address is used as the registered owner.

The Contractor can also retrieve the name and address from a certified thirty party if it is approved by SANDAG. Violations that have no registration information are flagged and dropped from further processing. 2.7.3.2.25.1.8 Account Matching

Once the name and address are obtained, the information shall be passed through an account matching process where the name and address are matched against the I-15 ML customer account. Prefect and near matches shall be presented to the reviewer to ensure that the account and plate belong to the I-15 ML customer. If SANDAG requires, the customer shall be notified prior to posting the violation to the customer account. Also, the System shall have the ability to add the plate to the customer file pending customer approval. Transactions that are closed in this manner shall be considered paid and no further action is required. Such account match postings shall also be considered “paid-by-plate” toll.


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2.7.3.2.25.1.9 Quality Assurance

Once all the non-pursuable transactions have been filtered, the System shall provide the capability to perform a final quality assurance check to ensure that the violations are valid and are pursuable. User interface shall be provided to verify the image and the DMV vehicle type, the toll amount, and the image quality. Violation transactions that do not meet the quality standards set up by SANDAG shall be rejected, and the transaction shall be considered closed by the System. 2.7.3.2.25.1.10 Violation Noticing

If the violation is considered pursuable as defined by the SANDAG Business Rules developed during the design phase, then the violator shall be sent a Violation Notice with an invoice for all the outstanding violation tolls and administrative fees due on that account up to the time of the notice. The System shall be capable of associating numerous violations that occurred within a configurable timeline into one notice while still meeting the legislative requirements for violation processing. The Violation Notice shall detail the consequences of violating the I-15 ML, the options for making payments, and the dispute options. The System shall support a different noticing process for HOV customers whose account has been suspended. The System shall provide the ability to view a notice on the screen prior to printing and also provide the ability to reject a Violation Notice. Return payment stubs shall contain barcodes that shall allow the slip to be scanned by a bar-code scanner. 2.7.3.2.25.2 Collection, Reconciliation, and Posting

Once a correspondence is sent to the customer, then the responses shall fall into the categories described below and the System shall provide the ability to handle each of the responses. 2.7.3.2.25.2.1 Noticing Rejects

If the correspondence is returned undelivered from the Post Office the System shall provide the ability to obtain the forwarding address through skip-tracing; however, if obtaining the forwarding address is not successful, the violation shall be closed and considered a reject. 2.7.3.2.25.2.2 Noticing Disputes

Upon receiving the violation correspondence the customer can dispute the violations by completing dispute form. The System shall handle disputes by mail, fax, walk-in, or via the web. The valid bases for dispute include but are not limited to the following conditions and the System shall handle all disputes in accordance with the violation legislation. Screens shall be provided to allow the CSC staff to handle all disputes. • Vehicle was Rented, Leased or Transferred: In this case, the person who received the

correspondence must complete the dispute form and provide details about the person to whom the vehicle was rented, leased, or transferred. Until this form is submitted, the original violator shall be considered liable for the tolls and associated fees and fines.


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• Vehicle was Stolen: In this case, the person who received the correspondence must complete the dispute form and send a copy of the report registered with the police relating to the stolen vehicle. Until such details are provided, the original violator shall be considered liable for the tolls and associated fees and fines.

• Violator is a Valid Customer: In this case, the violator must complete the forms provided within the correspondence and provide the account details. Upon the receipt of this information, the account information is verified, and if valid, the System shall post the violation to the account. The System shall also provide the ability to add the license plate details to the customer account, pending customer approval. If the customer requires another transponder, it shall be mailed to the customer. If the violator is a customer at another agency, then the transponder and account details for that agency are obtained and the System shall transmit the transaction to that agency for posting. All violations posted to customer’s account shall be considered “paid-by-plate” toll;

• Other Valid Disputes: The System shall provide the ability to enter other forms of disputes to the associated violation and shall have the ability to note specific disputes for supervisory review and record purposes.

If a customer’s dispute is rejected, the System shall generate the correspondence detailing the outcome and the next course of action. The Contractor shall ensure that the violation dispute processing is in compliance with the legislation. 2.7.3.2.25.2.3 Payment Proessing

Violation payments shall be processed at the CSC and the System shall provide the capability to process payments made on-line, mail-in, walk-in and fax. Payments can be made via check, money order, debit card (without PIN), or credit card. Walk-in cash payments shall also be accepted. The System shall provide the ability to scan the barcodes on the return stub allowing the automatic matching of payment to violation accounts. The System shall provide numerous violation reports needed to reconcile the bank payments. Payments received will fall into many categories and the System shall support the handling of various payment scenarios including but not limited to: • Full Payment With Payment Stub: In this case, the payment is applied against the account and all

violations shall be considered collected and closed.

• Full Payment Without Payment Stub: If only a check is received without explanation or a copy of the Notice, then all the details shall be entered into the System and an attempt shall be made to match the check to a receivable account using the name and/or address entered from the check. If a match is possible, the amount shall be applied against the account and all violations shall be considered collected and closed. If there is no match, the System shall notify the CSC Staff and the check is voided and returned to the sender asking for additional information.

• Overpayment With Payment Stub: If the check is for an amount greater than what was due, the System shall post the amount against the account and all violations shall be considered collected and closed. If additional violations occurred under the account and violator was not noticed, then the


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System shall allow the overpayment to be applied against the un-noticed violation toll due. The System shall notify the CSC staff of the overpayment and the balance amount shall be refunded to the customer. The System shall require all refunds to be approved by authorized CSC staff.

• Partial Payments Above Threshold: If only partial payments are received and the total amount paid is above the threshold established by SANDAG, then the System shall first apply the payments against the tolls, and then to the administrative fee on a First In First Out (FIFO) basis. All other remaining amounts are written off and the account is flagged.

• Partial Payments Below Threshold: If only partial payments are received and the total amount paid is below the threshold established by SANDAG, then the System shall apply the paid amount against the tolls, and then to the administrative fee FIFO. The System shall consider the remaining amount as receivable and ability shall be provided to invoice the violator for the remaining amount. Ability shall be provided to add on any additional service charge if required. The account is kept open and if no additional payments are received, then it is passed on to the next phase of the violation process.

2.7.3.2.25.3 Violation Closing and Prosecution

If the violator has not responded to the violation notices issued by SANDAG in accordance with the violation legislation, then the violator can be pursued further in accordance with the violation legislation. Ultimately all violations that are pursued shall be closed either as collected or as a write-off. The Contractor shall provide the capability to pursue a violator that exceeds SANDAG established threshold through the processes that are allowed under the violation legislation. These include, but are not limited to the following and the process need not necessarily be in the listed order: 2.7.3.2.25.3.1 DMV Registration on Hold

If the violator meets the conditions established as defined in the legislation, a registration hold shall be placed on the vehicle. The System shall have the ability to interface with the DMV to perform this hold automatically, and to automatically release a vehicle registration hold to the DMV based upon system parameters. The DMV hold and release parameters shall be configurable and SANDAG shall have the ability to determine and change these parameters. Screens shall provide the ability to review the DMV hold and release status, terminate a hold process for selected violations, and if within the legislative criteria initiate a hold process for selected violations. In addition to the California DMV, the Contractor shall be required to establish similar electronic interfaces to other state departments of motor vehicles as deemed necessary by SANDAG. 2.7.3.2.25.3.2 Court Processing

SANDAG may choose to pursuer a violator through the courts in accordance with the violation legislation. The System shall provide the functionality to support the court interface. 2.7.3.2.25.3.3 Payment Processing

The Contractor shall provide the functionality to interface with a collections agency if SANDAG choose to pursue the collections process.


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2.7.3.2.25.3.4 Violation Closure

If the collection process is not successful, after a pre-determined period (configurable) of trying to collect, all un-collectable violations are written off and considered closed. The System shall require the approval of authorized personnel for the final write-off. 2.7.3.2.25.4 Invalid Account

When the customer account reaches the insufficient fund threshold, the System shall generate a notice to the customer notifying them of the account status. If the account is not replenished within a configurable timeframe, the System shall charge the account a negative balance fee (configurable) and a letter is send to the customer invoicing them for the amount owed. If there is no response, the account is closed and the System shall deduct the amount owed from the transponder deposit if available. The System shall now consider the customer a violator and further violations in the I-15 ML shall result in the customer being pursued through the violation processing policy. 2.7.3.2.25.5 Violation Aging and Number of Occurences

The Contractor shall establish a violation aging and number occurrence decision tree in accordance with the SANDAG Business Policies and the California violation legislation that shall be used to determine the course of action for each type of violation. 2.7.3.2.26 CHP Interface

Due the nature of the I-15 ML operations CHP officers will be patrolling the I-15 corridor to deter HOV violations. Vehicles not complying with the HOV requirements will be cited by the CHP officer. The Contractor shall provide an interface to the CHP PDA whereby the data relating to the citation is uploaded into the CPS. Vehicles that were issued a citation shall not be noticed by the CSC. The System shall also allow the CHP officer to input data regarding the citation into the System. When a CHP PDA connection is made to the CPS either through a direction connection or via the zone controller, the latest transponder and license plate data shall be updated on the PDA. Various summarized and detailed reports shall be available to SANDAG to assess the effectiveness of the manual enforcement. 2.7.3.2.27 Monitoring of CSC and VPC Operations

The accounts management system shall have the ability to allow authorized personnel to monitor the CSC and VPC Operations status. The work flow queues shall be displayed at minimum for the following functional areas: • Incoming correspondence; • IVR System call handling; and • Violation processing. The work flow queues for each functional area shall be presented and finalized during the design review process.


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2.7.3.2.28 CSC Reports

Various operational, performance, reconcilation, financial and audit reports shall be provided as part of the CSC System to allow SANDAG to monitor CSC operational performance, and reconcile the I-15 ML System revenue. Report formats shall be developed during the design phase. 2.7.3.2.28.1 Transaction Data Reports

The accounts management server shall acknowledge the receipt of each transaction and post the transaction to the customer account. If a transaction belongs to another interoperable agency, then it shall be forwarded on to the other agency. Every transaction transmitted to the accounts management server for posting shall be reconciled by the System. Reports shall be made available to authorized personnel to review their status and audit the System. At minimum the following reports shall be made available. • Transmission Reconciliation Report: The accounts management server shall generate on a daily

basis a transmission reconciliation report that is reviewed by CSC staff to confirm that all of the transactions reported for the Business Day have been transmitted to the accounts management server and that all transactions have been acknowledged by the System as received. The System shall detect and generate automatic alerts if transaction acknowledgements fail.

• Daily Interoperability File Transfer Verification: The Daily Interoperability File Transfer Verification reports shall list the status of file transfers from the CSC to each of the possible interoperable agencies. The status data shall include the number of transactions transmitted to each agency and the number reconciled back from that agency. As transactions are processed by the interoperable agency reconciliation data is sent back to the CSC. This report shall reflect the reconciliation status for each Business Day. This report shall also list the status of the files from other agencies processed by the I-15 ML CSC. If any file failed to process, the system administrator shall be notified automatically through an alert or email.

• AVI Transaction and Revenue Reconciliation Report: The AVI Transaction and Revenue Reconciliation report generated for a selected Business Day is used to reconcile the FasTrak™ and HOV transactions and AVI revenue posted to customer accounts. The report shall include the posting status and provide the ability to identify discrepancies. Transactions that are sent to interoperable agencies may not be reconciled for one or more days and shall be considered pending until reconciliation is received. This report is considered final when all of the AVI transactions are reconciled with a posting status. Any variances in the count and revenue shall be flagged for are investigation by the CSC.

• Various selection criteria are available and can be generated for range of days, by month and by a range of months.

• Plate Transaction and Revenue Reconciliation: Violations that are converted to tolls (plate posting) shall be posted to the customer account and shall be considered FasTrak™ toll revenue. Such transactions are also reconciled back within a configurable timeframe and are reconciled at the transaction level and posted the Business Day of the violation transaction. Plate transactions posted after the time frame shall be reconciled at the transaction level and posted the Business Day of the


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date the toll was posted to the account. Invalid AVI transactions that post to an account at a later date shall also be classified and reported as plate transactions. Plate Transaction and Revenue Reconciliation reports shall be provided that summarize the plate transitions posting status. Detailed AVI and plate transaction information that include the posting status, reject reasons and error reasons shall be made available to assist the CSC staff with the investigation.

• Violation Reconciliation Reports: Various violation reports shall be made available that summarize the status of the violation as it moves through various stages of the violation process. The reports shall provide the ability to reconcile the violation transactions and payments.

2.7.3.2.28.2 Business Day Revenue Reconciliation Reports

The System shall provide various CSC Business Day Revenue Reports that are used to verify CSR activities and credit card processing activities as correct. Any discrepancies, variances, and exceptions shall be flagged for investigation by the CSC staff. 2.7.3.2.28.3 Customer Service and Performance Reports

The System shall provide various customer service reports that detail the performance of the accounts management system and CSC personnel. The reports shall help identify problems and also help in comparing activity and status on a daily basis (time frame is configurable) and averages, thus identifying variances. 2.7.3.2.28.4 Transponder Inventory Report

The Transponder Inventory Report shall track the transponder inventory and ensure there are sufficient transponders in stock. This report shall show the status of all transponders at all stages of the transponder purchase and fulfillment, and recovery/disposition cycle, including transponders in warranty return material authorization process; on order but not shipped; received but not assigned, and other operational status. The transponder inventory report shall be available for a range of user specific dates, for an “as of now” basis and for a daily, weekly, monthly, quarterly and annual basis. 2.7.3.2.28.5 Daily Transponder Status Report

The Daily Transponder Status Report shall track the issuance of transponders, its inventory status, and the status of damaged and failed transponders. This report shall show a summary of transponder distribution activity for each CSR. 2.7.3.2.28.6 At Risk Transponder Report

The At Risk Transponder Report shall identify all transponders that are deemed to be at risk for failure based on a query of tag status, tag activity, tag age, and paid-by-plate transactions for the vehicle(s) to which the “at-risk” transponders are assigned. This report shall provide the required information to allow CSC staff to initiate the transponder recall process.


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2.7.3.2.28.7 Transponder Distribution Report

The Transponder Distribution Report shall track the number and frequency of FasTrak™ and HOV transponders distributed according to the particular type of distribution method to identify the most frequently used distribution channels. 2.7.3.2.28.8 Account Activity Reports

The Account Activity Reports shall display summary account activity for a selected range of dates, including summary statistics on the performance of the CSC staff, such as call handling, call time, wait time, and other performance criteria. This report shall detail how many accounts and what types of accounts have been opened, closed, and various activity of the account. 2.7.3.2.28.9 Daily Account Status Report

The Daily Account Status report shall display the status of a customer’s account as of the time the report is generated. This report shall also show a list of accounts that have had a negative balance (insufficient funds) for greater than 30, 60 and 90 days. Accounts that have no activity for more than 30 days also shall be flagged. 2.7.3.2.28.10 Account Maintenance Reports

The Account Maintenance report shall show the activity summary on the accounts for the day of the report or an as-of-now basis. Again, major differences from the average shall be flagged for investigation. 2.7.3.2.28.11 Customer Complaints

The System shall provide reports with statistics indicating the total number of complaints and the top five (configurable) most common customer complaints. 2.7.3.2.28.12 CSR Summary Reports

The CSR Summary report shall identify the transactions processed and summarize the activity for each CSR for a Business Day. This report shall include totals for number of accounts opened and closed, number of transponders assigned, amount of payments received for transponder deposits, account replenishment, any adjustments made, customer violations posted, and other CSR activity. 2.7.3.2.28.13 CSR Reconciliation Reports

The CSR Reconciliation reports summarize the CSC activities performed for a selected shift and shall provide information to audit the shift. This report shall also verify the amount of revenue expected for a CSR against the amount of revenue deposited and note any variation.

2.7.3.2.28.14 Credit Card Processing Reports

The Credit Card Processing reports shall provide revenue information and posting status for credit card processing for a Business Day and for other configurable time period. A summary report shall include the totals for all credit cards successfully processed identifying debits (charges) or credits (refunds. Another report shall identify which credit cards have been denied and the number of times the System attempted


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to process each card. All credit cards failing for the third time shall be identified and CSR follow up to the customer shall be initiated. 2.7.3.2.28.15 Customer Violations Summary Report

The Customer Violations Summary reports shall provide a summary of the number of transactions that either utilized the I-15 ML System with an invalid tag or were violations (no tag read) but had their license plate in the CSC database. This report shall identify the number of customer violations and provide statistical information that may provide an indication of potential System malfunctions (lane equipment or transponder failures). 2.7.3.2.28.16 Customer Violation Repeater Report

The Customer Violations Repeater report shall help identify customers that have plate transaction postings that exceed the System user defined threshold for repeat customer violations. 2.7.3.2.28.17 Rental Car Violation Report

The Rental Car Violation report shall help identify rental car customers who are violators on the I-15 ML. 2.7.3.2.28.18 Daily Revenue Summary Reports

The Daily Revenue Summary reports shall contain all the revenue generated by the System for a Business Day, including totals for all transactions received by the System, all transactions posted by the System, all transactions transmitted to the interoperable agencies that were posted, and revenue received by the CSC for transponder distribution, account replenishment, account fees, and violation payments (tolls and fees). 2.7.3.2.28.19 Interoperability Revenue Reconciliation

These reports shall include the totals for all interoperable agency transactions and revenue expected and received for each day. As reconciled data (received, posted, rejected) is reported by each agency, this report shall summarize the activity for each day by agency. These reports shall be generated by Calendar Day, Business Day and Posted Date. 2.7.3.2.28.20 AVI and Violation Payment Reconciliation

These reports shall allow SANDAG to reconcile posted revenue to the payments received for both SANDAG and interoperable posted transactions. 2.7.3.2.28.21 CSC Revenue Adjustments Report

After the AVI or plate transaction is posted to an account it is possible that a dispute may result in the adjustment of the original toll. Manual adjustments to revenue transactions are considered adjustments for financial reporting purposes and shall be recorded on the date the adjustment was made. Reports shall be provided that show these adjustments and reconcile to the GL and the revenue reconciliation reports.


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2.7.3.2.28.22 Customer Statement Generation

The Customer Statement Generation reports shall indicate how many statements were generated in a month by day and method by which they were provided to the customer. 2.7.3.2.28.23 Customer Notifications

The Customer Notifications reports shall provide data categorizing the various notifications sent to the customers. 2.7.3.2.28.24 Customer Account Maintenance

The Customer Account Maintenance reports shall provide data showing the various maintenance activities on the customers’ accounts and the mode used to make these updates. 2.7.3.2.28.25 Web Activity Reports

The Web Activity reports shall provide a record of all activity associated with the I-15 ML and CSC web site that is supported by the accounts management server. Activities reported shall include but not be limited to; number of accounts set-up via the web; account statements accessed; account maintenance activities; violation payments; toll disputes; violation disputes; violation inquires; as well as other general information. 2.7.3.2.28.26 Interactive Voice Response (IVR) System Reports

The Interactive Voice Response (IVR) system reports shall provide a record of activity associated with the I-15 ML IVR system to determine how the IVR is functioning and its effectiveness including, but not limited to, the number of new accounts set up via IVR; account maintenance activities; payments processed; transaction history accessed; requested customer support; and obtained general information. The System shall also provide other performance reports used to monitor the following: • Total number of calls taken by the I-15 ML IVR System. • Total number of call taken by the CSR. • The number of and average length of calls handled for each line. • The average and maximum wait time for each line. • The time taken for a CSR to answer a call once that option is selected. • The number of times a given menu is repeated consecutively during a given call. • The places in the menu structure where callers hang up without selecting an action. 2.7.3.2.28.27 CSR Performance Reports

Various CSC Performance reports shall be made available through the System that shall give the supervisors the ability to monitor CSR performance and evaluate each CSR’s performance for efficiency, productivity, accuracy and quality of service provided. The reports shall allow the supervisor to compare CSR performance.


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The CSC Performance reports shall provide the ability to monitor the proficiency of the CSRs with respect to tasks performed including but not limited to, phone attendance, phone response, customer handling, processing efficiency, attendance, and received complaints. Exact definition of the CSC performance reports shall be approved by SANDAG during the design phase. 2.7.3.2.28.28 Transponder File Transmission Report

The Transponder File Transmission reports shall shows the status of the Transponder Status File transmission to the data management system and to other interoperable agencies. The report shall also include the acknowledgement information received from the interoperable agencies. 2.7.3.2.28.29 General Ledger (GL)/Journal Reports

GL reports shall be available for each Business Day or for other selected interval including weekly, monthly, quarterly, annually or user specified range of details. Reports shall also be provided that assist the auditor identify entry errors. GL and journal reports shall include but not be limited to the following: • Trial Balance; • GL Balance Sheet; and • Profit and Loss (Income) Statement.

2.7.3.2.28.29.1 Daily Revenue Summary Reports and Reconciliation

These reports shall provide Finance with the data it requires to post expected revenue for each day. The report shall contain the expected revenue based on all transactions. It shall contain data from transactions (FasTrak™, HOV and VTOL), transponder distributions, other transaction payments, and violations. It shall differentiate the I-15 ML data from CTOC Agency transactions. 2.7.3.2.28.29.2 Prepaid Customer Deposits Report

These reports shall provide a listing of all customers showing the customer account, name and balance. The sum of the detail records must agree with total prepaid deposits. This report must reconcile to the general ledger’s deferred revenue account. 2.7.3.2.28.29.3 Transponder Deposits Report

These reports shall provide a listing of all customers showing customer account, name and deposit. This report must reconcile to the general ledger’s transponder deposits payable account. 2.7.3.2.28.29.4 Customer Refunds Report

These reports shall provide a listing of all customers issued refunds showing customer account, name and refund due. This report must reconcile to the general ledger. 2.7.3.2.28.30 Bank Fund Transfers and Reconciliation

The Bank Fund Transfers and Reconciliation reports shall reconcile bank fund transfers to and from SANDAG and track reciprocal transfers to and from other interoperable FasTrak™ agencies so that


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SANDAG is able to determine what is expected or owed to, and due from each Interoperable Agency. In addition this report shall also show the actual funds wired to each bank using the electronic bank interface. 2.7.3.2.28.31 Document Imaging Reports

Reports shall be made available that summarize the scanned documents each day. 2.7.3.2.28.32 Violation Reports

Various violation reports shall be made available through the System by Business Day and by calendar day that help reconcile violations transactions and revenue and also assist in evaluating the performance of the System and the CSC operations. At a minimum the System report requirements shall include the following reports: 2.7.3.2.28.32.1 Daily and Monthly Violation Summary

Daily and Monthly Transaction and Revenue Summary reports shall be provided that show at a high level the daily breakdown of the violation processing status. Since a violation moves through various stages, these reports shall change on a daily basis but the total for the Business Day shall not change. The breakdown shall be by tolling location and it shall provide details showing locations where there are high violation rates, high image reject rates, and ‘paid-by-plate’ postings. These reports shall provide the capability to identify System issues and operational issues. 2.7.3.2.28.32.2 Daily and Monthly Pre and Post Citation Reports

Daily and Monthly Pre and Post Citation Reports shall be provided that help track violation receivables and the payments. These reports provide a breakdown of how a Citation is closed, such as paid, customer, collection, court, waived, or un-collectable. 2.7.3.2.28.32.3 Receivable Aging Reports

Violation and Account Aging Reports shall be provided that show the outstanding receivables and the associated time periods outstanding. 2.7.3.2.28.32.4 Daily VPC Statistic Summary

VPC Statistical Reports shall include but not be limited to: • Image Review Process Report: The Image Review Process reports shall show how many images

were reviewed that day and the numbers reviewed by each review clerk. It also shows how many images were rejected and for what reasons. Such reports shall help in improving the VPS performance.

• Customer Violations Report: The Customer Violation reports shall show how many images were actually customers (plate toll). The breakdown shall include the stage where it was converted to a plate toll; specifically at filtering, plate match, address match, and dispute.


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• Noticing Process Report: The Noticing Process reports shall show how many notices were sent out for a selected day and how many responses were received and their categorization.

• Payment and Collections Process Report: The Payment and Collections Process reports shall show the payment for the selected day and the payment modes that were used to make the payment. It shall also provide a breakdown of the tolls and fees.

• Disputes Process Report: The Dispute Process reports shall show the disputes that were received for the selected day and the disputes processed for the day. The report shall have a breakdown of how the dispute was made and the resolution of the disputes.

2.7.3.2.28.32.5 Violation To-date Transaction and Revenue Summary

Various other transaction and revenue reports shall be available that show the status of the violations at the VPC as of the report date. The report shall show how many violations came into the VPC and how they were closed. The report shall also show a running balance of the status of the violations in the VPC process. 2.7.3.2.28.32.6 Violation Management Reports

Various summary reports shall be provided that report on the VPC process results and shall be utilized by SANDAG management to ascertain the System performance as well as violation revenue. These reports shall provide a snapshot of the VPC performance of transactions and revenue and can be produced on a daily, monthly and annual basis. Reports shall be available that allow for comparison of specific periods, including but not limited to; year to year, year-to-date, monthly, and specific month across years. 2.7.4 Disaster Recovery

The Contractor shall develop a Disaster Recovery Plan for SANDAG review and approval. The I-15 ML System shall be designed and operated such that the System can quickly and efficiently recover from a disaster. 2.8 BRTC Network

SANDAG has designed the BRTC Network as showing in RFP Attachment G I-15 Fiber Optic Communications Network Infrastructure and Performance. The physical fiber, both primary and secondary, required to connect all locations identified in the drawing will be installed by Caltrans. Communications cabinets will be provided and installed by Caltrans. The Contractor is responsible for purchasing the switches identified in the drawing, installing the equipment, terminating the fibers (primary and secondary) and testing the communications that meet the performance standards described in RFP Attachment G I-15 Fiber Optic Communications Network Infrastructure and Performance. The I-15 ML tolling locations will connect to a specific switch depending on its location. The Contractor is responsible for testing and verifying communications for the entire fiber network. 2.9 Performance Requirements

The Contractor shall provide a toll collection system that is designed to meet the accuracy, performance and throughput requirements listed below. The testing logistics required to prove these requirements


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shall be detailed in the Master Test Plan and the test procedures as documented in Section 5.0 shall describe the test details. 2.9.1 Accuracy Requirements

2.9.1.1 Transponder Read Accuracy

A transponder mounted in accordance with the manufacturer mounting instructions shall be read by the AVI system and reported to the zone controller (including buffered reads) under all conditions with an accuracy of 99.99%. This requirement applies to all tolling locations types based upon the transponder mix collected during the testing period for the given sample size. The Contractor shall perform a test in live operations with the appropriate sample size and document the above accuracy in an operating environment. 2.9.1.2 Vehicle Detection Accuracy

The zone controller shall detect and report all vehicles traveling through the tolling location with an accuracy of 99.99% under all conditions. This requirement applies to only lanes with AVDS. 2.9.1.3 Transponder Association Accuracy

Every transponder that is reported to the zone controller shall be assigned to the correct vehicle with an accuracy of 99.95% under all conditions. This requirement applies to only lanes with AVDS. 2.9.1.4 Image Capture Reporting Accuracy

The System shall capture, report and correctly associate an image to the correct vehicle as defined in the Business Rules developed during the design phase with an accuracy of 99.9%. This requirement applies to only lanes with AVDS. 2.9.1.5 License Plate Extraction (OCR) Accuracy

The System shall perform OCR on 90% of the captured plates that are legally mounted and unobstructed, as defined in Section 2.9.1.6,* with an accuracy of 99%. 2.9.1.6 Overall License Plate Extraction Accuracy

The System shall have an overall license plate read accuracy of 99% on plates that are legally mounted and unobstructed*. Image enhancement tools provided as part of the System can be used to enhance the image quality to allow for manual review. * A plate shall be considered obstructed when: • The vehicle has no plate. • The plate is covered by dirt, a trailer hitch, tailgate or some other material. • The plate is damaged so that numbers/letters are unreadable. • The image is blocked by something in the lane.


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2.9.2 Transaction Processing Requirements

All transactions generated by the zone controllers in accordance with the above accuracy requirements shall be reported to the CPS with an accuracy of 100%. 2.9.3 False Read Processing

The System shall ensure that vehicles traveling on the general-purpose lanes are not read on the I-15 ML tolling location or BRTC/DAR exit locations and posted incorrently to an account. This false read procesing shall be less than 0.001% of I-15 ML FasTrak™ transactions. 2.9.4 Transaction Posting Requirements

• The transponder ID that is programmed in the transponder and read by the I-15 ML System shall be correctly associated with a SANDAG customer account with an accuracy of 100%.

• License plates that are deemed to be valid customers by the System and are posted to customer accounts shall be 100% accurate in the validation and posting with the exception of any manual entry errors.

2.9.5 Vehicle Throughput Requirements

The I-15 ML System shall be capable of processing 3000 vehicle per hour per lane with a violation rate of 20% at speeds 0 to 100 mph and meet all of the performance requirements of Section 2.9. 2.10 Mean Time Between Failure (MTBF)

The I-15 ML System shall be required to meet specific minimum mean time between failures (MTBF) requirements for the System components and subsystems. The MTBF is the arithmetic mean of the time between failures, calculated for all of the deployed components or subsystems, as defined in the table below. MTBF for components of the I-15 ML System must meet or exceed one year or 8760 hours as specified below:

Component or Subsystem MTBF (hours)

Zone Controller 8760

Automatic Vehicle Identification (AVI) System 8760

Automatic Vehicle Detection System (AVDS) 8760

Violation Enforcement System (VES) 8760

Variable Toll Message Sign (VTMS) 8760

Data Management Server 8760

Accounts Management Server 8760

OCR Server 8760

The MTBF for each of the above systems shall be calculated as follows:


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Numbers of hours (days multiplied by 24) in time period multiplied by the number of deployed units of that subsystem, divided by the Number of Failures in the same time period for that subsystem. Expressed mathematically: [(number of days x 24) x number of deployed units]/Number of Chargeable Failures Chargeable and non-chargeable failures for purposes of calculating MTBF are defined in Section 2.12. The Contractor shall provide MTBF documentation for all third party equipment to be used in the System. 2.11 Availability

The Contractor shall meet availability requirements for the following elements of the I-15 ML System:

Availability Requirements

System or Subsystem Availability Requirement (%)

Lane 99.5

System 99.5

IVR System 99.8

Web Site 99.5

These availability requirements shall be separately calculated and applied as follows: 1. An available lane is defined as a lane with all of its subsystems properly functioning and available to

collect revenue and send required transactions, including associated transaction data, such as violation images, to the back office. A failure of the system, as defined below, will not be included in the lane availability calculation.

2. An available system is defined as the overall system, including the data management server, accounts management server, and OCR server, that are properly functioning and available to collect revenue, receive data transmitted from the lanes, properly process the data, and provide customer service. A failure of the lane, IVR System or web site will not be included in the system availability calculation.

3. An available IVR System is defined as an operating integrated phone system that is properly functioning and available for use by front office staff to properly receive and respond to telephone calls.

4. An available web site is defined as an operating and properly functioning web site that is available for use and access by the public.

Availability for each of the above systems shall be calculated as follows: Availability = 100% - [Total number of hours of downtime in time period X/ Total hours in time period X]


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Chargeable and non-chargeable failures for purposes of calculating Availability are defined in Section 2.12. 2.12 Chargeable and Non-Chargeable Failures

For purposes of calculating MTBF and Availability performance requirements for testing, as detailed in Section 5, and for maintenance performance, as detailed in Section 7.0, chargeable and non-chargeable failures are defined as follows: 2.12.1 Chargeable Failures

Chargeable failures include any failures that are not specifically identified as non-chargeable in Section 2.12.2, including but not limited to: 1. A malfunction which prevents the toll collection system component (hardware or software) from

performing its designated function, when used and operated under its intended operational and environmental conditions as detailed in this Scope of Work.

2. A malfunction that poses a threat to the safety of the toll collection system components, toll collection system customers, employees or others.

3. An occurrence where data is not successfully transmitted between the lanes and the CPS unless such failure is already accounted for as a separate performance failure (e.g., if the lane is not functioning and does not transmit data to the CPS, the lane would be charged for the failure but the System would not).

4. A failure of equipment or software that allows revenue loss to occur on the toll collection system that is not already accounted for as a separate performance failure.

5. Software anomalies and bugs that affect the performance and operation of the toll collection system.

6. Shutdown or unavailability of the toll collection system unless specifically directed by SANDAG.

7. Failure to properly register or report a transaction.

8. Failure to properly reconcile the toll collection system.

9. Failure to electronically send or receive transaction and payment information.

10. Failure to send and receive required CTOC interoperability transactions.

11. Failure to generate the reports required to reconcile and audit the system.

2.12.2 Non-Chargeable Failures

Non chargeable failures shall include: 1. Force majeure, as defined in the Agreement.

2. Vandalism.

3. Failure of a test facility or test instrumentation.


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4. System component failures caused by externally applied stress conditions outside of the requirements of this Scope of Work.

5. System component failures caused by environmental or operating conditions outside of the requirements of this Scope of Work.

6. Normal operating adjustments as allowed in the Test Procedure or Maintenance Plan, as applicable.

7. Failures of expendable and consumable items in operation beyond their intended useful life in testing. (However, under the Maintenance requirements of this Scope of Work, as Contractor shall be responsible for preventive maintenance and shall be responsible for the regular replacement of consumables, such failures shall be considered chargeable if they affect system operation or performance).

8. Failures that are patron or user induced.

2.13 Third Party Financial Audit

Prior to Stage 1 System Acceptance, and, after the System in placed in revenue service; the Contractor shall have a certified third party approved by SANDAG conduct a financial audit of the System. The Contractor prior to Stage I System Acceptance shall correct all anomalies, exceptions, and discrepancies identified by this audit. 3.0 SYSTEM SCHEDULE AND TRANSITION

The Project Implementation Schedule, submitted in accordance with the requirements of Section 6.0, outlines the major elements of the I-15 ML toll collection system implementation. The Contractor must be able to accommodate the staging and phases identified in the Project Implementation Schedule and as outlined in this Section 3.0. The Contractor schedule and price should be flexible enough to accommodate modifications or changes to the schedule such as early completions or delays in segments of the schedule that would normally be expected in a multi-phase construction schedule. All proposals shall include a detailed implementation plan, including the overall schedule, with a transition plan that identifies the plan for transition from the current Reversible Express Lanes to the new I-15 ML. Requirements for these submissions are further detailed in Section 6.0. 3.1 Transition to I-15 Managed Lanes

The single toll collection point in the current Reversible Express Lanes is equipped with TransCore lane equipment and SIRIT AVI equipment. The current CSC uses the TransCore CSC software, and is operated by TransCore. TransCore currently is under contract to perform maintenance for the in-lane and back-office systems on the Reversible Express Lanes. The current tolling point falls within Stage 3 of the I-15 ML project, but the location of the new tolling point shall be different. The Contractor shall install the equipment needed to support the current tolling requirements at the location of the current system since construction of gantries at the final tolling location will not be completed.


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During the transition from the old system to the new I-15 ML toll collection system, it is critical that the current customers are not impacted. In order to ensure a seamless transition the following activities must take place prior to opening the middle segment (Stage 1) to traffic. 3.2 CSC Data Migration

After the approval of the I-15 ML project on-site first installation test, and at the end of a selected month to be specified, the data from the current system shall be migrated to the new system. The Contractor shall be responsible for working with TransCore to prepare a CSC Data Migration Document that details all the tables and files that need to be migrated to the new CSC System. This document shall be approved by SANDAG and shall be used for the migration process. It shall also detail the process used to verify the accuracy of the converted data and system operations. 3.3 South Segment Tolling Location

After the CSC data migration is complete and approved by SANDAG, the south segment tolling location shall be converted to the new I-15 ML System. It is possible that the middle segment will also open to traffic at the same time; however, that may not necessarily be the case. The dynamic pricing algorithm shall be able to accommodate the south segment tolling location operating independently or in tandem with the middle segment. The Contractor shall develop a Transition Plan that details this process, including documenting the changes and systems needed to support these interim operations. 3.4 Stage 1 Middle Segment Phasing

Since the construction of each segment is performed in multiple units, it is possible that sections (units) of the middle segment may open to traffic sooner than others. The Contractor shall allow for this possibility in their implementation plan. 3.5 Stage 2 North Segment Construction and Opening

The north segment is currently under design and shall be constructed while the Middle Segment is opened to traffic. Upon the completion of construction, the north segment shall be open to traffic whereby there will be four managed lanes from the middle to the north segment. The Contractor needs to consider this transition in their implementation plan. 3.6 Stage 3 South Segment Expansion and Opening

The expansion of the south segment includes moving from two lanes to four lanes with intermediate access, consistent with the other segments under design. Upon the completion of this expansion there will be four managed lanes from the south to the north. The Contractor shall consider this transition in their implementation plan. 4.0 INSTALLATION REQUIREMENTS

The installation requirements for the I-15 ML System Integration and Installation are defined in this Section 4.0. The Contractor shall submit an installation plan that identifies the approach to installation and covers the major elements of the installation as detailed below.


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4.1 Installation Program

The Contractor is responsible for the installation of all I-15 ML toll collection system equipment provided under this Agreement. The Contractor shall submit to the SANDAG for review and approval the following: 4.1.1 Installation Plan

The Contractor shall develop an installation plan that shall be the master document from which the elements of the System shall be installed. The installation plan shall include and define, at a minimum, the following items: • The proposed installation schedule, detailing phases and/or installation segments. Once the baseline

schedule is approved by SANDAG, monthly updates identifying all schedule changes and work progress in the form of percentage completions shall be submitted to SANDAG and Caltrans.

• The minimum resource allocation requirement for any installation phase or segment.

• How the Contractor will manage delivery and staging of the I-15 ML toll collection system equipment to be installed.

• The order that equipment items are to be installed with estimated durations.

• Any special or unique installation requirements.

• Equipment to be used to perform installation.

• Requirements for lane closures or other maintenance of traffic requirements.

• A detailed component list and how each item version number and serial number shall be recorded for each installation configuration.

• Organization chart defining key personnel. This chart shall be approved by SANDAG or its designated representative. Any changes to the staff identified on the chart or responsibilities shall be submitted to SANDAG in writing for SANDAG approval.

4.1.2 Installation and Construction Coordination and Meetings

4.1.2.1 Weekly Installation Meetings

The Contractor shall schedule and attend weekly installation meetings during the installation phases of the project. The Contractor and any sub-contractors shall ensure that the appropriate personnel are present at these meetings, who can represent the Contractor’s interest and provide the required status and information. The Contractor shall prepare and distribute a meeting agenda at least 48 hours prior to the scheduled meeting. The meeting agenda shall consist of those items pertaining to the installation and schedule for the previous and current week’s installation efforts. All issues recorded during the installation activity for the week shall be discussed and resolved. An open items actions list shall also be maintained for any outstanding work items related to the weekly meeting. At this meeting, the Contractor should also be prepared to address any issues or questions by SANDAG or their representative.


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4.1.2.2 Responsibilities Matrix and Construction Coordination with Caltrans

Caltrans is responsible for the design and construction of the I-15 ML and the Contractor shall be responsible for coordinating closely with Caltrans. The Contractor shall review the Caltrans drawings and ensure the I-15 ML toll collection needs are met. The RFP Attachment I I-15 ML Toll Collection System Installation Project Responsibility Matrix defines the areas of responsibility for the parties involved in the project construction. During the project development period and installation, there shall be a series of meetings, among the Contractor, Caltrans and SANDAG, to clearly define and develop the installation requirements, methodology, timetables, test plans, roles and contingency plans. In addition, the Contractor shall attend regular Caltrans progress meetings during the construction period for all of the stages included in this Scope of Work to ensure that proper coordination is taking place and to report on progress of the I-15 ML System installation. The Contractor shall identify and communicate any issues regarding I-15 ML System construction and installation on a timely basis to the Caltrans and SANDAG designated project managers. 4.2 Installation Scope of Work and Requirements

The Contractor is responsible for procurement, installation, terminating and testing all equipment provided by the Contractor as part of the Toll Collection System as detailed in this Scope of Work. 4.2.1 Compliance to Standards

The Contractor shall adhere to all installation standards, applicable laws, ordinances and codes as required by the NEC, SANDAG, CALTRANS, IEEE and OSHA) including but not limited to electrical, seismic, and environmental. All installations shall meet such requirements. The Contractor shall be responsible for all costs associated with any permits, plan reviews and inspections. It shall also be the Contractor’s responsibility to procure all documentation required to install and adhere to the proper installation standard, law, ordinance or codes. 4.2.2 In-Lane Installation Requirements

The Contractor shall supply all personnel, tools, materials and equipment required to perform installation of the I-15 ML toll collection system. This requirement extends to all materials and supplies required for complete installation of the System. It also includes all equipment and vehicles required for overhead installation work on gantries and overpass structures; specialty equipment for preparation and saw-cutting of loops as required, and the provision of test vehicles to adequately test the installed system in accordance with the approved test plan. Where the Contractor is providing subsystem components manufactured by a third party vendor, Contractor shall ensure that all such components are installed in accordance with manufacturer’s installation guidelines. In addition, Contractor shall provide such subsystem manufacturer on-site and remote support as is necessary to ensure the proper operation of its equipment at no additional cost to SANDAG.


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The Installation Scope of Work includes but is not limited to:

• Furnish and install all connecting conduit from wireways and/or stub conduits to the equipment.

• Furnish and install all junction boxes, pull boxes, conduits, and other such items as required by the installation standards and requirements. See Section 4.2.4 for more detail on electrical work requirements.

• Furnish and install all wiring for all in-lane equipment and connections to the enclosures. This includes the proper termination of all power, communication, and RF cables and/or wiring (copper or fiber optic) required to connect the individual components into a fully operational System.

• Furnish and install all cabinets and enclosures required for the in-lane electronics, including environmental control devices and UPS, as required.

• Furnish and install all equipment brackets to support structures.

• Furnish and install any variable toll message sign (VTMS) roadside cabinets.

• Furnish and install VTMS control equipment in the VTMS cabinets.

• Furnish and install all zone controller computers (hardware and software) into the cabinets.

• Furnish and install all electronics and other devices in their respective cabinets as required to provide a fully operational System.

• Furnish and install the automatic vehicle detection system (AVDS) equipment, including in-road equipment (loops) or overhead mounted equipment as specified. Includes all materials, equipment and supplies required for saw-cutting, wiring and sealing of loops in the roadway.

• Furnish and install the automatic vehicle identification (AVI) equipment, including antennas, readers, related equipment, cables, and any support brackets required.

• Furnish and install the violation enforcement system (VES) equipment, including cameras, VES illumination, and any video controller equipment, image computers, sensors or specialty equipment associated with the VES.

• Furnish and install VTMS equipment, including any controller equipment and cables.

• Validate all cable and wire terminations via a test process to ensure that the cable is connected to the correct location on each end and that the cable/wire is properly terminated.

• Furnish and install LAN/WAN switching equipment identified in Section 2.

• Test the full communications network identified in Section 2.

• Power up and provide a field check out/installation acceptance test of all Systems, to be witnessed and approved by SANDAG or its designated representative. Provide the completed installation checklist as described in Section 4.2.3.

• Tuning and testing of the AVI System, as further described in full accordance with manufacturer’s guidelines.

• Calibration and testing of VES system in full accordance with manufacturer’s guidelines.

• Calibration and testing of AVDS system in full accordance with manufacturer’s guidelines.


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• All other items, materials, and equipment to complete installation in accordance with this Scope of Work.

4.2.3 Installation Checklist

The Contractor shall develop an installation checklist. This checklist shall become a part of all work processes during the installation of the I-15 ML System. The checklist shall be a document detailing those items required for the installation crew to complete the installation process for each Segment. An attested copy of the checklist shall be provided to SANDAG after the completion of the installation activity for each lane at each tolling location. The Contractor is also responsible for conducting an inspection of all installations and certifying the installation work. 4.2.4 Electrical Work

Electrical work to be performed shall include, but not be limited to, the following general items of work: 1. Install junction boxes and terminate new cable and conduit attachment devices, where applicable. A

new grounding system shall be provided for all equipment provided by the Contractor. Conduits, manhole frames, metallic junction boxes and other conductive items shall be bonded to the grounding system in conformance with SANDAG and Caltrans Standard Specifications and the NEC.

2. All electrical work shall be performed in accordance with the applicable regulations. Appropriate NEC compliance shall be adhered to with all electrical articles for installation pertaining to wiring, enclosures, and other electrical equipment in hazardous locations.

3. UL labels shall be provided for all electrical panel boards, enclosures, and accessories.

4. All electrical equipment must be inspected prior to installation for defects that could damage the equipment or harm personnel. Any equipment found to have defects shall not be installed and shall be replaced with an acceptable replacement.

5. All electrical equipment shall be properly grounded for safety. Most equipment shall be furnished with grounding pads or grounding lugs. All ground connections shall be cleaned immediately prior to connection. The Contractor shall provide all grounding material required but not furnished with the equipment. Ground connections made to metallic cold water piping system at such locations will be readily available for inspection. Where cold water piping is not available, use other available or made electrodes as described in NEC Sections 250-81 or 250-83. No grounding conductor shall be smaller in size than 12 AWG unless it is a part of an acceptable cable assembly.

4.2.5 Work Standards and Requirements

In-lane I-15 ML toll collection system equipment installation shall be scheduled so as not to disrupt or delay traffic during the installation process. The Contractor shall make every effort to schedule his work around peak traffic movement times. In the event that extended lane closures will be required, closures may have to be accomplished during night hours. Installation work and traffic control shall be in accordance with Caltrans plans and standards and shall be coordinated with Caltrans. The I-15 ML toll collection system equipment installation shall be performed to an approved set of plans, which has previously been submitted and approved by SANDAG or their representative.


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The Contractor shall provide project management and oversight of all work performed. At all times when installation work is taking place, the Contractor shall have an individual designated in the Organization Chart, as Site Manager on site to supervise the installation. The Contractor shall install the equipment to the highest standards, using experienced and knowledgeable personnel. For example, journeyman electricians shall terminate all cables, wiring, or fiber optic cables. All tools such as crimpers, fiber optic termination tools, and test equipment shall be properly calibrated. The Contractor shall provide a safe environment for the installation process, including but not limited to the following procedures: • Safety harnesses shall be included and employed on all lifts, and the personnel trained on their use.

• Hard hats and safety vest shall be worn in all construction areas.

• Safety toe shoes shall be worn in construction areas and around active roadways while performing installation processes.

4.2.6 Central Processing and Front Office System Installation

All computers shall be installed in the designated location within the building or structures as prescribed in the drawings submitted by the Contractor and approved by SANDAG or their representative. The Contractor shall take into consideration the environmental state required in order to maintain all elements of the CPS. The Contractor is responsible for installation of all items associated with the CPS and front office identified in this Scope of Work, including but not limited to: • Installation of the equipment cabinets, central processing servers, storage arrays, communications

equipment and other peripheral equipment needed to support the I-15 ML toll collection system.

• Installation of the equipment cabinets, redundant central processing servers, workstations, document scanners, IVR System, mailing systems, printers, security systems, communication equipment and other peripheral as needed to support the CSC and VPS operations at the CPS and CSC sites, as determined by SANDAG.

• Testing of the installed equipment for proper installation, connections and terminations and communications.

• All other items, materials, and equipment to complete installation in accordance with this Scope of Work.

4.3 Design and Documentation During Construction and Installation

4.3.1 Engineering Design

The Contractor shall secure the services of a fully qualified engineering design firm(s) for the purpose of performing all infrastructure related engineering design (civil, structural, electrical, mechanical, and architectural) and the preparation of related plans and documentation under this Project. If the Engineering Design effort is performed by the Contractor, the Contractor shall submit documentation


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showing that the Contractor has met the required qualifications described in this section. All design work shall be performed under the direct supervision of a Licensed Engineer of the appropriate discipline or a Licensed Architect. All licenses must be in the State of California. 4.3.2 Installation Design and Drawings

• The Contractor shall submit shop drawings detailing the installation design that shall be used on-site for installation work. Detailed drawings shall be provided for each lane configuration and if measurements differ from site to site, these variations shall be noted. All documentation regarding the equipment installation shall be maintained by the Contractor and made accessible by SANDAG for review. All documents should have updated and visible version and revision numbers, titles and other information as outlined in Section 6.0. Examples of documentation to be provided are: Sketches, both hand drawn and computer generated;

• Memos denoting changes or modification requirements; and

• All red line drawings.

At the completion of the installation, when all changes and modifications have been incorporated and accepted, this documentation shall be supplied to SANDAG as part of the as-built package as further identified in Section 6.0. For the central processing equipment, including servers and for the front office room installation, detailed equipment cabinet layout and location drawings shall be provided. If break out boxes are required such details shall be included. 4.3.3 As-built Drawings/Documents

The Contractor and any sub-contractors shall update the latest drawings with red lines as changes are incorporated during the installation process. At the completion of the installation of the I-15 ML project, the Contractor shall gather all red line drawings. The red line drawings shall be verified and then incorporated into a final as-built drawing package. This final as-built package shall include installation drawings, shop drawings and sketches, and other drawing types that may have been used to install the I-15 ML System and shall be provided in accordance with the requirements of Section 6.9 of this Scope of Work. All other documentation used regarding the installation shall be also be finalized and submitted as part of the as-built submittal. 5.0 TESTING REQUIREMENTS AND SYSTEM ACCEPTANCE

5.1 Overview

The requirements described in this section detail the labor, materials, facility, and support services necessary to test the I-15 ML toll collection system. The testing shall be conducted in various phases and stages as detailed below to validate the toll collection system integrity, reliability, functionality and compliance to the requirements of this Scope of Work. The objective of the SANDAG testing plan is to ensure that the I-15 ML toll collection system is systematically and thoroughly tested for compliance with the requirements of this Scope of Work and the


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I-15 ML System operates reliably in accordance with the SANDAG Business Rules and policies. The Contractor shall make best efforts to test the System simulating normal traffic conditions for all controlled testing identified in this section. The I-15 ML toll collection system provided by the Contractor shall be tested and certified to be interoperable with all CTOC agencies, and the entire I-15 ML System shall be tested prior to transitioning the customer to the new system and opening the I-15 ML to revenue collection. The Contractor is responsible for all test logistics (coordinating lane closures with Caltrans, test vehicles, drivers, and providing other testing services) and coordination activities. The Contractor is also responsible for providing the test facility(ies) that meets the requirements of the testing program. SANDAG and its representatives shall only witness and approve the testing, and the Contractor shall be responsible for all aspects of the testing. Approval of any aspect of testing shall not relieve the Contractor’s responsibility in meeting the full requirements of this Scope of Work. 5.2 General Testing Requirements

The Contractor shall provide to SANDAG, for review, comment and final approval, a Master Test Plan that outlines the scope and testing concepts to be used to validate the Toll Collection System from initial development through installation and Project Acceptance. As described in Section 3.0, the I-15 ML will be opened to revenue service in different Segments. It is anticipated that the Factory Acceptance Test (FAT) and the On-site First Installation Test (OFIT) shall be conducted once each to test the full System functionality. The data migration verification shall be conducted once prior to the commissioning of Stage 1, the Middle Segment. Each Segment shall have its Commissioning and Operational Test, and upon the implementation of all Segments, there shall be a Project Acceptance Test. This Master Test Plan shall cover the factory, onsite, commissioning, operations, and acceptance testing. Once the Master Test Plan is approved in writing by SANDAG, it shall then be used to compose the detailed test procedures, which shall be submitted to SANDAG for review and approval. It is essential that the Contractor provide sufficient time for the submission and review of the Master Test Plan and the detailed test procedures. After the completion of each test, the Contractor shall submit to SANDAG for review and approval the Test Report that documents the results of the test. The Test Report shall include the results of the test, any anomalies identified, and the corrective action and any re-tests necessary to successfully complete each testing phase. The Contractor shall be responsible for completing all corrective actions identified on a timely basis. SANDAG reserves the right to withhold approval of the test, pending completion of the required corrective actions. During the development of the System software, the Contractor shall conduct tests, walk-throughs, or demonstrations as reasonably requested by SANDAG to ensure that the Toll Collection System meets the functional specifications set forth in this Scope of Work. SANDAG also reserves the right to witness the Contractor’s integration and functional testing.


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5.3 Factory Acceptance Test (FAT)

The Factory Acceptance Test (FAT) shall be conducted to verify that all functional elements of the Toll Collection System and components provided by the Contractor are in conformance with SANDAG technical and operational requirements specified in this Agreement, and the final System design as approved by SANDAG. The FAT shall be conducted either at the Contractor’s facility in actual lanes or at a facility designated by SANDAG in accordance with the approved Master Test Plan and test procedures. SANDAG shall witness the FAT, and the Contractor shall have the responsibility to perform the FAT. FAT shall provide sufficient confidence to SANDAG in its sole determination that the Contractor’s System meets the SANDAG operational requirements and is ready to be installed on-site. The Contractor shall provide the required support personnel, test vehicles, test equipment and test environment, and testing shall be conducted in accordance with the Project Implementation Schedule and approved test procedures. Upon completion of the FAT, the Contractor shall submit a test report that details the results of the test. Upon the approval of the FAT by SANDAG, the Contractor shall be given the authorization to move forward to the On-site First Installation Test. 5.3.1 Hardware Production Testing

All hardware provided by the Contractor under Section 2.0 shall be unit tested to ensure it complies with the requirements set forth in Section 2.0. The Contractor shall verify that each component meets the approved design specifications. The Contractor shall also provide certification that the hardware provided under this Agreement meet the requirements for the environmental conditions identified in Section 2.0. Development machines can be used to test the CPS (data management system, the MOMS, accounts management system and violation processing system). 5.3.2 Functionality Testing

As part of the FAT, the Contractor shall demonstrate that the Toll Collection System provided by the Contractor is in compliance with the requirements of Section 2.0 and its functionality complies with the operational requirements and the approved design documents. The lane subsystems, data management system, maintenance on-line management system, accounts management system, violation processing system, IVR System and all aspects of the CSC/VPC shall be tested for functionality and interface to various other devices and systems. The transfer of files and data between various Systems including the CTOC agencies shall be tested. The Contractor shall work with the CTOC agencies to coordinate the interoperability interface testing. 5.3.2.1 In-Lane Systems

During the FAT, the Contractor shall demonstrate the lane operations in all lane configurations as described in Section 2.0. Transactions shall be created and processed using simulated and real vehicles and sensors emulating I-15 traffic flow. The intention of these simulations and tests is to give SANDAG a full understanding of the lane logic and vehicular processing.


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Real vehicles shall be used to validate accurate assignment and proper framing of each vehicle through the appropriate lane types. The accurate capture of images and association of transponders to the correct vehicles shall also be verified using real vehicles. The Contractor, with input from SANDAG, shall detail various test scenarios that emulate conditions such as rush-hour traffic (including bumper to bumper), vehicle straddling, various entry/exit combinations, degraded system, and other operational scenarios. Real vehicles shall be used for this testing. The objective of this testing shall be to understand how the Toll Collection System behaves and processes transactions in such scenarios and to ensure that the results are acceptable to SANDAG. As part of FAT, simulated data shall be used to run the I-15 ML toll collection system continuously over a two (2) day period to ensure the data files are correctly created and the data is transferred and processed accurately through each zone controller, the data management server, the accounts management server and the violation processing system. As part of this test, every output device shall be exercised including the VES. During this time, TSL downloads shall be simulated 5.3.2.2 Central Processing System (CPS)

The functionality of the data management server, the accounts management server and the violation processing system shall be tested as part of the FAT using the data generated from the lane functionality tests. The system’s ability to set up accounts, issue transponders, process and post AVI transactions, and process and notice violations shall be tested. All other CSC and VPS customer and CSR functionality including screens and reports shall be demonstrated. The data management functionality, specifically the dynamic pricing algorithm and VTMS displays shall be tested. All screens and reports shall be tested. The MOMS functionality shall be verified and the system’s ability to page technicians shall be tested. The CPS’s interface to various other entities shall be tested. 5.4 On-site First Installation Test (OFIT)

The objective of the On-site First Installation Test (OFIT) is to verify the full functionality of the Toll Collection System and its compliance with the requirements of Section 2.0 and approved design specifications in a controlled, on-site environment on all lane configurations. All equipment provided under this Agreement by the Contractor shall be part of this test including the communications network. The CPS hardware shall be installed in their final location and all interfaces to other entities shall be tested and ready prior to the start of the OFIT. The Contractor shall detail in the Master Test Plan the logistics of the testing. The Contractor and SANDAG shall agree on a test location(s) and the Contractor shall work with Caltrans and SANDAG in setting up the lane and installing all equipment in the lane. All equipment and software that is required under the Agreement shall be in place, and prior to the start of the test, the Contractor shall formally notify SANDAG that the Toll Collection System is “ready” for testing. The test shall be conducted by the Contractor and witnessed by SANDAG. The test shall be conducted in accordance to approved test procedures and test schedule, all in accordance with the requirements of this Agreement.


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As part of this test, the Contractor shall update the Compliance Matrix that was reviewed and approved by SANDAG identifying each requirement of the Agreement and the tests conducted that prove compliance to the Agreement. It is the Contractor’s responsibility to ensure that each requirement is certified and/or tested for compliance. This phase of testing is very critical to the success of the Project, as such, all anomalies shall be documented in the Test Report. The Contractor and SANDAG shall determine the corrective action required. Depending on the severity of the anomaly, SANDAG will determine the status of the Project and whether additional installation shall be allowed. Depending on the corrective actions required to be made to the Toll Collection System, SANDAG reserves the right to require a re-test of the entire OFIT or part of the OFIT. The objective of this measure is to ensure that changes to one part of the Toll Collection System do not have an unintended impact on the rest of the System. Upon the successful completion and approval of the on-site testing, any further changes to the software shall be fully documented and made only with the approval of SANDAG. Depending on the changes made to the Toll Collection System, SANDAG reserves the right to require a re-test of the entire OFIT or part of the OFIT. The following describes the OFIT in more detail: 5.4.1 Lane Operations and Functional Test

As part of OFIT, the various configurations of the lane shall be tested. Traffic and travel conditions in the I-15 ML shall be simulated and live data from the general-purpose lanes shall be used to test the dynamic pricing algorithm during various periods through out the day. All transactions needed to test the CPS business rules shall be created in the lanes. During the OFIT, the Contractor shall test the vehicle throughput and speed requirements and generate sufficient transactions to prove the system can process transactions accurately. During this test, the operations of the various in-lane equipment and their ability to report failures and create alerts and alarms shall be verified. 5.4.2 Central Processing System (CPS)

As the I-15 ML functionality is tested, the results shall be validated at the CPS. All screens shall be tested for correctness, error conditions, ease of use and functionality and adherence to requirements. Reports shall be generated to verify the data entered and to reconcile the transactions conducted in the lanes. The interface to various entities and the transfer and receipt of data shall be verified for accuracy. The accurate transfer of test data from test zone controller to the data management server and on to the CSC/VPC and CTOC agencies shall be verified to be in compliance with the design documents. Full CSC and VPS functionality shall be tested including noticing, aging, payment and collections. Reconciliation of transactions and revenue shall be verified through reports including the interface to the SANDAG financial package. Violation payments shall be processed and revenue owed to SANDAG shall be processed through the SANDAG banks and reconciled at the CPS. New employee additions, dynamic pricing changes, VTMS message changes/over-rides, new account setup, and transponder status changes shall be performed to verify that the data is transferred


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successfully to the zone controllers and the changes shall be verified by conducting transactions in the lanes. The CPS’s web interface and I-15 ML IVR System shall be fully exercised and confirmed to be ready for the conversion process. Various CPS level failure conditions shall be generated to test the MOMS alarm and maintenance requirements. The data management server and accounts management server redundancy capability shall be tested and its ability to backup, archive and restore data shall be demonstrated. The Contractor shall set up the complete MOMS for SANDAG prior to the OFIT. During the test, the Contractor shall verify the System’s compliance to the design documents and the requirements of this Agreement. Failures shall be simulated on all equipment capable of reporting the status and the alarm messages and their tracking shall be verified through the MOMS 5.4.3 CTOC Interoperability

The Contractor shall set up test account with CTOC agencies and conduct tests in the lanes using these transponders. CTOC transactions shall be processed through each CTOC agency and reconciliation of transactions and revenue shall be verified. 5.4.4 Disaster Recovery Test

The Contractor shall demonstrate the Disaster Recovery Plan in accordance with the Disaster Recovery procedures approved by SANDAG. 5.4.5 OCR Tuning

The Contractor shall collect the appropriate image sample size and prove that the OCR meets the accuracy requirements specified in Section 2.0. This tuning/test shall ensure that VES is tuned and ready for live traffic operations. This test does not relieve the Contractor of proving the OCR accuracy as part of the Operational Test. 5.4.6 CSC Data Migration and South Segement Commissioning

Upon the successful completion of the OFIT, SANDAG will authorize the Contractor to start the testing of the CSC data conversion in accordance with the approved CSC Data Migration Document. At the same time SANDAG will authorize the installation of the tolling equipment on the single current tolling location on the South Segment. The Contractor shall notify SANDAG when the new system is ready for the conversion (in accordance with the approved Transition Plan). SANDAG shall witness the entire data migration and verification process and approve the data conversion. At the same time the single tolling location on the South Segment shall be commissioned and opened to revenue collection replacing the existing TransCore toll collection system.


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5.5 Installation and Commissioning Test

Upon the successful completion and approval of the OFIT and installation of balance of Stage 1 the Middle Segment, the Contractor shall be given the authorization to commission the Toll Collection System on the Stage 1. A Commissioning Test shall be conducted on all tolling locations in Stage 1 to validate the functionality and operational status of the lanes. Every piece of in-lane equipment and its interface to the zone controller shall be verified to be fully operational. During this test the zone controller, it interface to the data management system, and the CSC/VPS interface shall be validated to ensure that the communication system is in place and the I-15 ML toll collection system to ready for revenue collection. The installation of all equipment and software, and their operations shall be verified end to end. Upon the successful completion of the commissioning test, at a date determined by SANDAG, Stage 1, the Middle Segment, will be opened to traffic. Upon approval to proceed with each of the other Stages, the Contractor shall conduct a Commissioning Test for each of the Stage and each Stage will then be opened to traffic. 5.6 Operational Test

Immediately after opening Stage 1 to traffic, the System shall be observed in live operations by the Contractor and SANDAG for a minimum of sixty (60) consecutive days or two months, whichever is required to cover at least two monthly audit cycles. During this period System accuracy, performance, reliability and auditablity shall be verified. The dynamic pricing algorithm shall also be verified to be performing accurately. The alarms displayed on the MOMS shall be analyzed. Anomalies identified shall be categorized by criticality, and resolution of all anomalies shall be agreed to by SANDAG and the Contractor. The Contractor shall correct the anomalies and SANDAG shall verify the corrections. These tests shall be repeated until the System has met system test requirements for thirty (30) consecutive days and SANDAG is satisfied that the toll collection system meets the requirements as defined in the design documents and this Scope of Work. Upon the successful completion of the Operational Test as solely determined by SANDAG, the Contractor will be given a Provisional Acceptance for Stage 1. The objective of the Operational Test is to ensure that the I-15 ML toll collection system software and hardware functions over a period of sixty (60) consecutive days with intended and required availability and performance. It shall also confirm that all tolling locations on Stage 1, the South Segment tolling location and the CPS and network are sized and configured correctly and data is processed without interruption. The following requirements shall be validated during the Operational Test. 5.6.1 Performance Test

The Contractor shall verify in a live environment and under the appropriate lane configurations as applicable that the toll collection system meets the performance and accuracy requirements specified in Section 2.0. The sample size and data collection methodology shall be detailed in the test procedures document.


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5.6.2 System Audit

An entire twenty-four (24) hour period of data for each lane configuration shall be monitored in selected lanes, and the data collected from such lanes, the data management server and the CSC/VPS shall be thoroughly analyzed to ensure that SANDAG can conduct an audit on the toll collection system that reconciles the expected revenue to the actual revenue. Accurate determination of trip, correct calculation of toll charged, correct posting of AVI transactions to customer accounts, and accurate processing of violations shall be verified. Video recordings shall be used to help analyze the data. The test procedures shall detail the data collection and analysis methodology. All anomalies and performance deficiencies identified during the toll collection system Operational Test shall be analyzed and explained by the Contractor. SANDAG and the Contractor shall determine the corrective action to be taken. These audits shall be repeated until SANDAG is satisfied that the toll collection system meets SANDAG functional, operational and audit requirements. 5.7 Segment Acceptance Test (Stages 2 and 3)

Immediately after the successful commissioning and opening of Stage 2, the North Segment, and Stage 3, the South Segment, to traffic, a thirty (30) day Segment Acceptance Test shall be conducted on each of the Segments. The test shall be equivalent to the Stage 1 Operational Test. Upon the successful completion of the Segment Acceptance Test the Contractor will be given a Provisional Acceptance for the Stage successfully tested. 5.8 I-15 ML Stage 1-3 Project Acceptance

Upon the successful completion of all system tests, closure of all punch-list items, completion and submission of all required documents and meeting of other conditions as specified in Section 2.0 of the Agreement, the Contractor shall be given the Project Acceptance for Stages 1-3. 6.0 PROJECT MANAGEMENT SYSTEM

6.1 Overview

The Contractor shall employ a Project Management System that is sufficiently detailed to enable SANDAG to review and ascertain that the Contractor has the necessary management, staff and controls in place to meet the specifications of this Scope of Work. This System shall enable SANDAG to continuously monitor the progress and quality of the work performed on the Project. 6.2 Project Implementation Schedule

The Contractor shall develop a detailed Project Implementation Schedule that lists all tasks related to the design, development, testing, installation and deployment of the I-15 ML toll collection system in Microsoft Project format (Office 2003 or above). The Project Implementation Schedule should identify all milestones and events starting with the Notice to Proceed through the date of Final Project Acceptance. This Project Implementation Schedule shall form the basis for all subsequent schedules and updates throughout the duration of the Project. The Project Implementation Schedule shall be baselined upon


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approval and the Contractor is required to update the Project Implementation Schedule on a monthly basis and submit it as a part of the monthly progress report. 6.3 Monthly Progress Meetings and Report

At a minimum, monthly progress meetings shall be held on or about the 20th of each month at a location designated by SANDAG. The monthly progress meetings shall follow the format outlined in Section 6.4. Three working days prior to the meeting, the Contractor shall submit a monthly progress report to SANDAG. The reports shall include the following documents: • A written report outlining the labor, materials and the percentage of work completed for each task in

the Project Implementation Schedule. Comments shall be included, where appropriate.

• The written report shall include an analysis of all critical path tasks, potential risks associated with the tasks and any contingency plan to mitigate any potential delays.

• An updated Project Implementation Schedule showing proposed changes from the approved Project Implementation Schedule, if any and showing progress from the previous month. If no Project Implementation Schedule change has occurred, the Contractor shall so state.

• A progress payment request, if applicable. Progress payment requests received at times other than the submission of the monthly report will be held until the following month’s submission.

• If applicable, all change order requests or monetary change requests to the Agreement shall be submitted with the monthly progress report in accordance with the terms of the Agreement.

• A summary of the time devoted to the Project by each Key Staff for the immediately preceding month.

• A six week look ahead for all planned work.

• An updated action items list from the previous month’s meeting.

• Approved minutes of the previous month’s meeting.

6.4 Project Meetings

In addition to the monthly progress meeting, regularly scheduled project meetings shall be held as required during the course of the project. It is anticipated that in addition to regular overall project status update reporting, specific project sub-committees will have reporting requirements on a more frequent basis as needed, for example during the installation period as detailed in Section 4. These activities will likely require separate meetings or conference calls, and minutes reporting on technical or other specific aspects of the project. The Contractor shall perform the following tasks related to all meetings: • Distribute notices of project meeting and post on project web site.

• Prepare the agenda in coordination with the SANDAG Project Manager.

• Attend the meeting with all required staff in attendance.


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• Prepare draft minutes of the meeting and forward them to the SANDAG Project Manager within three working days after the day of the meeting.

6.4.1 ITS Meetings

The contractor shall collaborate and coordinate with SANDAG and its strategic planning consultant to incorporate the I-15 ML System into the region’s ITS Architecture. The Contractor shall participate in scheduled meetings, whether in person or via teleconference, to provide information, feedback and/or requests for information to adequately support this effort. SANDAG anticipates that its strategic consultant will be engaged in this effort in correspondence to the Contractor’s design deliverables for Stage I. 6.5 Program Management Plan

The Contractor shall submit a Program Management Plan to SANDAG for review and approval. The Program Management Plan shall describe the Contractor plans to manage the project including staffing, scheduling, communication procedures for controlling all correspondence, submittals and other communications between the Contractor and SANDAG. The Project Management Plan shall include but not be limited to: • An Organization Chart that identifies the Contractor’s employees dedicated to this Project including,

the Key Staff. The Organization chart shall identify Key Staff responsibilities and identification of the resources to be used in fulfilling the requirements of this Agreement. It shall be the Contractor's responsibility to maintain and assign a sufficient number of competent and qualified professionals, and other technical personnel to provide the requirements specified in this Scope of Work.

• A description of the planning, communications and reporting methods to be utilized, both for internal communications with the Contractor’s staff and externally to SANDAG. This description shall include the protocol and procedures for communications with SANDAG, day-to-day operations, and reporting general issues, and problems.

• Methodology for Project Implementation Schedule and performance reporting and tracking;

Document and Project Controls, including: • Correspondence: Correspondence shall be identified as to originator and designated receiver.

• Document Control: The Contractor shall manage the project correspondence through Document Control software to which SANDAG shall be a user and have access.

• Submittals: All submittals shall be submitted as an enclosure to the Contractor's submittal letter. Each submittal letter shall be limited to a single subject or item. The Contractor's letter shall identify the letter itself, Agreement number, Project name, and subject of the submittal.

• Agreement Number and Agreement Name: All items of correspondence, submittals and documentation shall contain the Agreement Number and the words "I-15 ML Toll Collection System.”


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• Information: No party shall be entitled to rely on any information unless it is in writing and received from the other party’s Designated Representative.

• Change Orders: Any change orders procedures in accordance with the Agreement.

• Status: SANDAG or SANDAG’s Designated Representative may inquire of the Contractor as to the status of the Project and shall be provided regular updates.

• Access to Contractor Key Staff: SANDAG or SANDAG’s authorized representative who is knowledgeable in the field of work, shall have unlimited access to the Key Staff during the Contractor’s performance of this Agreement.

6.6 Software Design and Development Requirements

To ensure that the design requirements for the I-15 ML toll collection system are fully understood by SANDAG and the Contractor, a series of requirements and design review steps are specified herein. The Contractor shall establish and maintain an effective software design and development program to ensure compliance with the specifications of this Scope of Work. The following provides the requirements for the software development elements: 6.6.1 System Requirements Review (SRR)

The Contractor shall conduct a system requirements review and develop a System Requirement Document that details all the technical, business and operational requirements on the I-15 ML toll collection system. Upon approval this document shall be the basis for design, development and testing. 6.6.2 System Detailed Design Review (SDDR)

The Contractor shall conduct a design review that shall give SANDAG the opportunity to understand and comment upon the detailed design for the I-15 ML toll collection system. This review shall be conducted after the delivery of the draft system detailed design document as detailed in Section 6.7.4 and in accordance with the approved Project Implementation Schedule. A final detailed system design review document shall be developed by the Contractor following the detailed design review. 6.6.3 Software Development and Walkthrough

The Contractor shall conduct a series of software walkthroughs to serve as progress reviews and to solicit and obtain inputs from SANDAG during the development of the I-15 ML toll collection system. The intent of these walkthroughs is to help ensure that the final product shall meet SANDAG technical and operational requirements specified in this Scope of Work. This approach shall also ensure SANDAG is familiar with the product thus expediting the testing process. 6.7 Documentation

6.7.1 General

The Contractor is required to provide various design, user, installation, and training documentation. All documentation provided shall meet the requirements described below.


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Draft copies of all documentation shall be submitted to SANDAG for review, comment and approval, prior to final printing in quantities specified below. SANDAG shall have the right to require additional interim drafts at no additional cost should draft documentation submitted not be of adequate quality or have missing or incorrect information. Unless otherwise directed in this section, the Contractor shall supply a minimum of three (3) hard copies of final documentation for each deliverable in this section, with two copies on approved electronic media and in approved software. 6.7.2 Software Development Plan

The Contractor shall submit a Software Development Plan (SDP) to SANDAG that establishes the framework used for the software development of the I-15 ML toll collection system. The SDP shall describe the software life-cycle approach that emphasizes the necessary interfaces between various system development disciplines, i.e., software developers, system engineers, test engineers, Software Quality Assurance (SQA) personnel, configuration management administrator, documentation specialists, project management staff, and software maintenance personnel. The SDP shall also include detailed information on the technical approach, problem reporting and tracking process, software configuration and change management, and other items pertinent to a complete plan for software development for the Project. 6.7.3 System Requirements Document

The completion of the system requirements review shall result in the submission of the System Requirements Document that document all the requirement of the I-15 ML toll collection system. 6.7.4 System Detailed Design Document

The Contractor shall submit a System Detailed Design Document (SDDD) that describes the design specifications of all hardware and software provided to meet the requirements on the I-15 ML System. Hardware design shall describe all hardware specifications. Software design shall be described to the module and/or process level. The SDDD shall be submitted in draft form. The submission will be followed by an initial review and comment period, after which the design reviews shall take place. Upon completion of the design reviews, the SDDD shall be revised and submitted to SANDAG for review and final approval. The SDDD shall include but not be limited to: • The specification sheets for all equipment; • The requirements for all peripheral device interfaces and control; • All user interfaces; • Lane layouts and logic, and timing details; • Module level descriptions and interaction among various modules; • All operational and business rules; • Interface Control Documents (ICDs) for all interfaces;


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• Database design and entity relationship modeling; • Coordination with Caltrans infrastructure design and construction; • Report and screen format; and • Computer sizing and design details. The SDDD shall demonstrate that the Contractor understands the functional and operational requirements of the Project and has the design processes and policies in place to provide a high quality and reliable product that meets the requirements of the Agreement. After the completion of the Stage 1 Segment Acceptance Test, the Contractor shall submit the As-Built SDDD that includes all changes made during the software development, installation and testing phase. 6.7.5 Disaster Recovery Plan

The Contractor shall provide a Disaster Recovery Plan and subsequent Disaster Recovery Procedures for the I-15 ML toll collection system to be reviewed and approved by SANDAG. As part of the On-site First Installation Test, the Contractor shall implement its Disaster Recovery solution and shall test the System accordingly. 6.7.6 Transition Plan

The Contractor shall submit a Transition Plan for approval that clearly shows the Contractor understands the scope of the transition effort that is defined in Section 3.0. The Transition Plan shall include a detailed Transition Schedule that shows all activities that are required and all activities that must be completed prior to and during transition to the I-15 ML System. The Transition Plan shall describe all installation, system, maintenance, and operational activities required to transition the current Express Reversible Lane system to the new I-15 ML system. The Transition Plan shall include a discussion of the transition requirements and issues identified in Section 3.0. 6.7.7 Test Documentation: Master Test Plan and Procedures

As detailed in Section 5.0, the Contractor shall submit a Master Test Plan and the appropriate test procedures for each test identified in Section 5.0 to SANDAG for approval. Test procedures shall detail the step by step process for validating the requirements of the Agreement. 6.8 Manual Requirements

6.8.1 Overview

Manuals shall be provided as described below to allow SANDAG to fully understand and operate the I-15 ML toll collection system. All text and data in the quantities requested shall be printed on 8-1/2” x 11” sheets. Foldouts should not exceed 11” x 17”. Paper used in manuals shall be of a heavy weight, sufficient to withstand the rigors of a maintenance and operating environment. Manuals shall be housed in durable, three ring binders with sufficient excess capacity for revisions and additions.


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Each manual shall contain a title sheet, table of contents, list of illustrations, list of reference drawings (if applicable) and a parts list (if applicable). All manuals with over twenty five pages shall have an index. All manuals shall be produced in an approved Microsoft software product or approved equivalent. Acceptable softcopy formats are Microsoft Office 2003 Suite or higher, and AutoCad 14 or higher for prepared documentation as listed below. Soft copies of manuals may be provided in unsecured Portable Document Format (.pdf). Any special software required to produce scaleable typefaces or other graphs shall be approved in advance by SANDAG and provided by the Contractor as part of the documentation for the manuals. 6.8.2 Manual Submissions

6.8.2.1 Manual Quantities

Hard Copies of manuals shall be provided to SANDAG in the quantities listed in the Table below. The Contractor shall also submit 10 CD-ROM or DVD-ROM diskettes containing soft copies of all of the manuals listed below. Each CD-ROM or DVD-ROM shall be clearly labeled and contain an indexed booklet listing the contents of the disk. The Contractor shall be responsible for producing an additional quantity of the manuals for the Contractor’s use sufficient to fulfill the Contractor’s requirements under this Scope of Work.

Required Manual Quantities

Manual Name Section Number Quantity

Audit Manual 6.8.2.2.1 2

Operating Plan 6.8.2.2.2 5

Front Office Users Manual 6.8.2.2.3 10

System Users Manual 6.8.2.2.4 5

Maintenance Service Manual 6.8.2.2.5 2

System Administration Manual 6.8.2.2.6 2

Third Party Software Manuals 6.8.2.2.7 1

Thirty Party Hardware Manuals 6.8.2.2.8 1

6.8.2.2 Manuals to be Submitted

6.8.2.2.1 Audit Manual

The Contractor shall provide an Audit Manual. The purpose of the Audit Manual is to train auditors who will be performing regular and periodic auditing of the I-15 ML System. The manual shall detail all procedures used to audit all aspects of the System. It shall also include a description of the reconciliation of transactions and revenue within the System as well as with the CTOC agencies. A detailed description of the screens, reports, and functions shall be provided that will allow a qualified auditor to access, understand and work with the all financial aspects of the System software. The manual shall contain all


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relevant screens, illustrations and pictorial diagrams to demonstrate the step-by-step operations required for performing the audit functions. 6.8.2.2.2 I-15 ML System Operations Plan

The Contractor shall provide the I-15 ML System Operations Plan that documents all aspects of the operations of the I-15 ML CSC/VPC front office and back office and overall System. The Plan shall include all the business rules, policies, and procedures required to operate the I-15 ML CSC/VPC and back office. RFP Attachment J I-15 ML Draft Operations Plan is intended to outline the areas of operation and shall require further development and definition by the Contractor. 6.8.2.2.3 CSC/VPC Users Manual

The Contractor shall provide the CSC and VPS Users Manual that shall be used by the front office CSC/VPS staff to operate the CSC/VPS. There shall be an introductory section or volume that describes the overall functions and operations requirements. Separate additional sections or volumes of the manual shall be developed for each functional job category, documenting all of the processes, procedures and polices required to fulfill the specific job description. The manual shall include screen images detailing the step by step activities that need to be completed in order to perform each specific job and function. Flowcharts shall be included to provide the CSC staff a good understanding of the work flow. 6.8.2.2.4 System Users Manual

The Contractor shall provide a Systems Users Manual. This manual shall detail the use of the System application software for all elements that serve the data management system, including the MOMS, OCR, IVR, web site and data management server functions as identified in this Scope of Work. Separate volumes shall be produced for each of the separate applications and functions (e.g., MOMS, OCR). The manual shall describe how to use the system, including all available reports, and menus. The manual shall contain screen images, illustrations and pictorial diagrams to demonstrate the step-by-step operations required for performing functions and navigating the screens. The manual shall clearly explain all system reports and the data fields. 6.8.2.2.5 Maintenance Service Manual

The Contractor shall provide a Maintenance Service Manual for use by technical personnel assigned to the maintenance of the hardware and software within the I-15 ML toll collection system. Separate volumes shall be provided for in-land and CPS equipment. This manual shall include but not be limited to the following sections: General description and system overview; theory of operation; operator instructions; mechanical functions; installation; test and troubleshooting procedures; preventive and corrective maintenance procedures and schedules; diagrams; schematics; layouts, and parts lists required to service each piece of hardware supplied under this Agreement. A list of all error codes with description of meaning and a step by step guide to troubleshooting shall be included in the troubleshooting section. Standard service manuals for commercial products used for the equipment will be acceptable if they contain sufficient information to service the equipment. Large-size logic diagrams and mechanical assembly diagrams do not have to be reduced or incorporated into the manuals if these drawings are


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provided with the manuals. Actual equipment maintenance images with call-outs needs to be provided where there is no other maintenance documentation. The Maintenance Service Manual shall also include sections of the MOMS that will be used by the service and operations staff to monitor problems and close work orders. 6.8.2.2.6 System Administrators Manual

The Contractor shall provide a System Administration Manual. This manual shall serve as a guide to the overall management and administration of the I-15 ML System and shall include a trouble shooting guide for the system administrator. The manual shall include detail descriptions of all of the programs and processes that require monitoring to ensure the system is operational and properly functioning. It shall allow the administrator to confirm the completion of scheduled jobs, and investigate and identify problems. A listing of all the error codes and their purpose and potential problems shall be included in the manual with a step by step guide to troubleshooting and correcting the problem. All database maintenance activities required to keep the System operational shall be clearly documented, including the scheduling of such activities. 6.8.2.2.7 Third Party Software Manual Set

The Contractor shall provide one (1) complete set of third party software manuals for each third party software system supplied under this Scope of Work. This set shall include user's manuals, programmer's reference manuals, installation manual, and maintenance manuals, and shall contain all required information on items including the operating system, utilities, programming languages, application software, and communications software. The package shall also include all required electronic media to install, operate and maintain the system being supplied. The Third Party Software Manual shall be provided by Contractor in a standard and organized format, with appropriate labels, tabs and cross references to allow SANDAG to easily access and reference information on each software component on the System. All patches and updates made to the system software (third party and Contractor) after Stage 1 Acceptance shall also be provided to SANDAG in electronic media. 6.8.2.2.8 Third Party Hardware Manual Set

Contractor shall supply one (1) complete set of manuals for all third party hardware supplied. The documentation shall include, but not be limited to, all technical manuals, operator's guides, installation guides, hardware reference manuals, available options and versions, catalogs, components, and illustrated parts lists. The third party hardware manual shall be provided by Contractor in a standard and organized format, with appropriate labels, tabs and cross references to allow SANDAG to easily access and reference hardware information on each equipment component. Additionally, Contractor shall include with each third-party hardware manual sufficient documentation to describe the configuration of the hardware as it was set by Contractor for the I-15 ML System.


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6.9 As-built Documentation

Prior to SANDAG acceptance of each Stage of the Project, the relevant as-built documentation shall be provided to fully document the final I-15 ML System design and implementation. 6.9.1 System Detailed Design Document

After the completion of the Stage 1 Operational Test, and prior to SANDAG acceptance of Stage 1 of the Project, the Contractor shall submit the As-Built System Detailed Design Document that includes all software and hardware changes made during the system development and testing phase. Prior to Project Acceptance, the Contractor shall submit change pages (submit complete sections) to any section of the As-built System Detailed Design Document that changed since the acceptance of Stage 1. 6.9.2 As-built Drawings

The Contractor shall provide to SANDAG a complete set of as-built drawings, which shall be delivered as two (2) full-size and four (4) half-size complete sets of prints, and shall deliver the same in electronic format, for all equipment furnished under this Agreement. The sets shall include, but not be limited to, all schematics, logic diagrams, layouts, wiring diagrams, assembly drawings, installation diagrams, cable schedule, parts detail drawings for all mechanical parts designed or modified under this Agreement and interface details so as to provide a complete record of the as-built status of the equipment. Drawings contained in standard catalogs and manuals for commercial products do not have to be reproduced as part of the as-built drawing sets if provided under a separate Scope of Work requirement. All drawings for revisions to standard commercial assemblies or components for the equipment shall be included in the as-built drawing set. The as-built drawing set for the I-15 ML toll collection system architecture shall be provided. All As-Built drawings shall contain a table of contents that shall include a listing of all drawings with headings for drawing number, drawing title, revisions number and date, and the type of material list, wiring diagram, wire list, specification control drawing or similar categories 6.10 Quality Assurance and Quality Control Program

The Contractor shall establish and maintain an effective Quality Assurance/Quality Control (QA/QC) Program to ensure compliance with the requirements of this Agreement. The QA/QC Program shall ensure adequate quality throughout all areas of the performance of this Scope of Work, including, design, development, fabrication, processing, assembly, inspection, test, maintenance, packaging, shipping, storage, site preparation and installation. This Quality Assurance Plan identified below shall detail the process and procedures instituted by the Contractor to ensure the OA/QC program is in place. All supplies and services under this Agreement, whether manufactured or performed within the Contractor's plant or at any other source, shall be controlled at all points necessary to ensure conformance to the specifications of this Agreement. The QA/QC Program shall provide for the prevention and ready detection of discrepancies and for timely and positive corrective action. The Contractor shall make objective evidence of quality conformance readily available to SANDAG.


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The QA/QC Program shall include effective control of purchased materials and subcontracted work. Manufacturing, fabrication and assembly work conducted within the Contractor’s plant shall be controlled completely by the Contractor. 6.10.1 Quality Assurance Plan

The Quality Assurance Plan that details the Contractor’s QA/QC Program shall be submitted to SANDAG for review and approval ten (10) working days after the Notice to Proceed. The Plan shall include the Contractor’s QA/QC Program through design, production, purchasing and testing of all hardware and software provided under this Agreement. The QA/QC Program shall also include, at a minimum, problem logging and tracking, follow-up tracking, and final disposition tracking during the testing and implementation. The quality control process shall ensure accurate problem description and recording, assignment of personnel, tracking of progress for corrections/revisions, and disposition of the problem throughout the design, development, testing and implementation phases of the Project. 6.10.2 Configuration Management System

The QA/QC Plan shall detail the Contractor’s Configuration Management System that shall be utilized for the I-15 ML project. 6.10.3 Change Control Process

The QA/QC Plan shall detail the Contractor’s Change Control Process that shall be instituted for the I-15 ML project. 6.10.4 Records

The Contractor shall maintain records or data essential to providing objective evidence of quality until the expiration of the guarantee/warranty period and they shall be made available to SANDAG upon request. Examples of quality-related data include: inspection and test results, records of sub-contractor QA/QC Programs, cost records pertinent to acceptance of nonconforming material, change odder back-up, design reviews and walkthroughs, and the results of internal and vendor audits. Records shall be maintained in a manner that will allow for easy access and analysis of the status of the overall OA/QC Program. 6.10.5 Control of Purchase

The Contractor shall be responsible for ensuring that all supplies, components, developmental tools, assemblies, subassemblies and services procured from sub-contractors and vendors conform to the specifications of this Scope of Work. The Contractor’s responsibility includes the establishment of procedures for the selection of qualified suppliers. In selecting qualified suppliers, the Contractor shall ensure that the sub-contractors and vendors control the quality of the supplies and services provided.


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6.10.6 Inspection and Verification

The Contractor’s QA/QC Program shall include requirements for inspection and verification for in-process, final assembly, unit tests and system testing of the Contractor supplied Systems. 6.10.7 Handling, Storage, and Delivery

The Contractor’s QA/QC Program shall provide for adequate, documented handling, storage, preservation, packaging, and shipping instructions to protect the quality of products required by this Scope of Work. Any unique or special requirements applicable to procured items shall be delineated in the procurement documents. All procurement documents shall be made available to SANDAG upon request. 6.10.8 Inspection at Subcontractor-Vendor Facilities

SANDAG reserves the right to inspect, at the source, supplies or services not manufactured or performed within the Contractor’s facility. SANDAG inspection shall not constitute acceptance, nor shall it in any way replace the Contractor’s inspection activity or relieve the Contractor of the responsibility to furnish an acceptable end product. 6.11 Training

6.11.1 Overview of Training Program

The Contractor shall provide a comprehensive training program to educate, train and teach personnel in all details of the maintenance and operation of the I-15 ML toll collection system. The Contractor’s program shall include formal and informal instruction, models, manuals diagrams and component manuals and catalogs as required. Where practical and useful, training should be hands on and should use actual system software and screens on a work station or work stations and actual equipment. All training materials and manuals shall be produced in hard copies sufficient to provide one copy for each person being trained and one (1) reproducible set of documentation on compact disc that may be used for future training sessions. Unless otherwise noted in this Section 6.11, Contractor shall be solely responsible for supplying all of the items necessary to complete the delivery of the training program. 6.11.2 Training Plan

The Contractor shall submit a Training Plan for approval by SANDAG no later than 60 days prior to the start of any training classes. The Training Plan shall detail the following: • Overall description of the training program; • Proposed training delivery schedule; • Names and descriptions of each training class; • Purpose of each training class; • Who should attend class;


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• Qualifications requirements for trainer; • Minimum qualifications for personnel attending class; • Duration of the class (hours/days); • Training materials, including manuals, guides and other supporting items, and techniques to be used; • Required equipment; and • Facility requirements. The Contractor shall assume that SANDAG staff do not have any specific knowledge of the I-15 ML System; however the Contractor can assume that staff are generally qualified for the function for which they are being trained in (e.g., a SANDAG auditor has all required auditing training). Courses shall be limited to a maximum of eight (8) hours per day. 6.11.3 Training Requirements

Contractor shall provide the following training courses to SANDAG personnel. Training manuals (including Contractor provided manuals or relevant portions thereof), guides, training aids, and student and instructor work books shall accompany the courses listed below. 1. System Operation Overview: To be attended by management personnel who require a general

understanding of all aspects of the operation of the I-15 ML System, including personnel from senior management, CHP, procurement, information technology and marketing and public information staff. Training includes an overview of all aspects of the system including lanes, systems maintenance, back office systems, and front office.

Requirement: Two sessions of course with a class size per session of up to 20 people and a minimum of sixteen (16) hours training per class.

2. System Audit: To be attended by financial management and auditing staff to understand all aspects of the operation, particularly those related to financial accounting, reconciliation and management.

Requirement: One session of course required with a class size of up to five people and a minimum of forty (40) hours per training class.

3. System Users: To be attended by all personnel who require a detailed understanding of the operations of the system and how to access information and reports from the system on items such as status, alarms, performance, transactions and revenue, including SANDAG project management and information technology personnel.

Requirement: One session of course required with a class size of up to 10 people and a minimum of forty (40) hours per training class.

4. System Administration: To be attended by all personnel who require a detailed understanding of the management, troubleshooting and administration of the software, database, applications, configurations and architecture of the I-15 toll collection system, including the staff who will oversee the Contractor in the monitoring and management of the I-15 front and back office operations.


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Requirement: One session of course required with a class size of up to five people and a minimum of eighty (80) hours per training class.

5. Front Office (CSC/VPC) Operations: To be attended by SANDAG staff responsible for the supervision and oversight of front office functions and operations. The class shall include a review and description of each of the front office operations’ processes and procedures relating to CSC and VPC activities, with at least two functioning work stations with actual I-15 ML toll collection system software. Training on the IVR System shall be hands-on emulating actual calling scenarios. Should SANDAG not exercise the Front Office Operations option with the Contractor, this class shall be used as a train-the-trainer session to train SANDAG in all required functionality to assume front office operations and associated training.

Requirement: One (1) session of course required with a class size of up to 20 people with a minimum of forty (40) hours per training class.

6.11.4 Training Facilities

SANDAG will furnish classroom facilities or meeting space for all trainings, unless otherwise notified. Following SANDAG’s review of Contractor’s Training Plan, SANDAG will confirm that it has the requisite space to accommodate the level of effort and physical requirements for each training. If SANDAG is unable to accommodate any training class at its offices, Contractor shall identify a local facility to host the training and shall make all arrangements for the lease of that training facility. 6.11.5 Scheduling and Preparation for Training

It shall be the Contractor’s responsibility to provide sufficient notice to the types of training it will provide and the timing for each training. SANDAG will identify a list of participants that Contractor shall notify to schedule their participation in the training. Contractor shall perform all scheduling activities and shall make every attempt necessary to accommodate the maximum number of persons for each training given scheduling conflicts. Contractor shall provide sufficient notice to allow participants a reasonable lead time so that missed training is not a problem. Contractor shall notify SANDAG of the dates or range of dates it would like to hold a training at the SANDAG offices and shall coordinate with SANDAG’s Information Systems (IS) office and Administrative Services staff to arrange the proper classroom setting and computer hardware and software are installed and the space configured for each training. 6.11.6 Training Materials

Draft copies of all training materials shall be submitted to SANDAG for review, comment and approval, prior to final printing of quantities required for training. SANDAG shall have the right to require additional interim drafts at no additional cost should draft training materials submitted not be of adequate quality or have missing or incorrect information. For each course described in the section above, Contractor shall provide the materials listed below. 6.11.6.1 Instructor Guides

The Contractor shall provide an instructor guide for each training course. The guide shall include: • Course agenda;


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• Course objective; • Procedures for managing training session; • Resource and facilities required, including work stations, power and communications requirements; • Detailed lesson plans; • A description of training aids and items to aid in on the job performance (e.g., where applicable,

pocket guides or reference sheets); • Test to be administered to assure satisfactory completion; and • Instructions for using any audio-visual support equipment or materials. 6.11.6.2 Training Aids

The Contractor shall provide training aids such as mock-ups, scale models, overhead transparencies, video taped demonstrations, and simulations as are necessary to successfully complete the course agenda and meet the course objective. 6.11.6.3 Student Workbook

The Contractor shall provide for each course a student workbook which shall include but not be limited to course agenda, course objectives, schedule of sessions, copies of all overheads and visuals and lesson outlines and summaries. Materials such as operations and user manuals may be used to supplement the material provided in the student workbook. If such material is used appropriate cross-references shall be included in the Student Workbook so as to identify the complete set of training materials provided to the student. 6.11.6.4 Training Room Set-up and Software Installation

Contractor shall provide to SANDAG any special software that needs to be loaded on the classroom computers. All such software shall be provided to SANDAG no later than two weeks prior to the training. It is the Contractor’s responsibility to ensure that the software is operating as expected on each of the classroom computers. It is also the Contractor‘s responsibility to ensure that appropriate communications are in place. 7.0 MAINTENANCE SCOPE OF WORK

The Contractor shall be responsible for maintenance of all portions of the toll collection system that have been installed, integrated, tested, and are in active revenue collection service. This includes any phased or partial implementation where portions or stages of the system are open for revenue collection, while other portions remain planned or under construction. In addition to the lane and network toll collection equipment, the Contractor shall all be responsible for hardware and software maintenance of the CPS (back office operations). The Contractor shall be responsible for performing all back office operations required to support the I-15 ML toll collection system servers and systems defined in this Scope of Work, and for maintenance of the I-15 ML network as further defined below. The back office must be on-line and operational when Stage 1, or portions thereof, are opened for revenue collection. Therefore, maintenance support for the in-lane systems, the CPS, and the network must be operational at that time.


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7.1 Transition

The Contractor shall be prepared to commence the training and transition services for the Maintenance functions, including back office operations at least 90-days prior to the implementation of Stage 1 of the I-15 ML toll collection system. Transition services shall include any coordination with SANDAG and the existing operations Contractor to ensure a seamless transition and continued back office operations. A transition plan must be submitted to SANDAG and approved prior to the commencement of the transition tasks in accordance with the terms of Section 6.7.6 of this Scope of Work. 7.2 Summary Scope of Work

The Contractor’s maintenance Scope of Work shall include monitoring, preventive, predictive, corrective, and emergency maintenance of all portions of three stages of the in-lane systems in active revenue collection service. The Contractor shall be responsible for all toll equipment maintenance as each stage of the I-15 ML is opened and accepted by SANDAG. The Contractor is also responsible for the operational cost associated with the dedicated leased lines connecting the I-15 ML fiber network to the CPS primary and CPS redundant facilities. The Contractor shall also provide maintenance on all CPS hardware and software (back office systems), LAN and WAN networking equipment, and VTMS that are required to support the toll collection system, including the items described below: 7.2.1 In-Lane Toll Collection System and Equipment

In-lane toll collection system and equipment shall include but not be limited to all hardware and software associated with: • Zone Controllers; • AVI Systems; • AVDS; • RLD; • TSI; • VES; • All electronics in the roadside equipment cabinets; • UPS equipment; • Networking cables and equipment; • CHP Mobile Reader Equipment; • Roadside equipment cabinets; and • Equipment mounting and brackets.

7.2.2 Back-Office Systems and Equipment

Back-office systems and equipment shall include but not be limited to all hardware and software associated with:


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• Servers including operating system, data bases, disks, hard drives, and backup systems; • All central process systems including data management system, accounts management system,

MOMS and violation processing systems; • IVR System and web site; • System monitoring; • All CSC and VPC equipment provided under this Agreement; and • UPS. 7.2.3 Network System

Network Systems shall include but not be limited to: • All elements of the I-15 ML toll collection system LAN, including cables and equipment providing the

data flow path through the system; • Elements of the I-15 WAN, including all network switches installed by the Contractor; • Dedicated leased lines connecting the I-15 ML fiber network to the CPS primary and CPS redundant

facilities; and • Network monitoring. 7.2.4 Variable Toll Message Signs (VTMS)

VTMS shall include but not be limited to: • All components and operations of the signs; • All communications and interfaces required to support operation of the signs; • All cables and terminations; • Equipment support brackets and mounting hardware; and • All sign enclosures. 7.3 Toll Operations Control Center (TOCC)

The Contractor shall set up a local Toll Operations Control Center (TOCC). The purpose of the TOCC is to ensure proper management and control of all maintenance operations including, ensuring work orders have been properly processed and completed, monitoring system functions remotely to capture potential problems before they affect revenue collection, and ensuring preventative maintenance is scheduled and carried out. The TOCC will be responsible for duties including but not limited to the following: • Receipt and processing of all the MOMS messages and alerts; • Dispatch of technicians for all maintenance events and activities; • Emergency response management; • Real time monitoring of all lane discrete components’ functioning and status; • Monitoring of LAN and WAN availability;


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• Monitoring of the back office and front office systems. • Scheduling of preventative and predictive maintenance activities; • Maintaining records of all maintenance events and activities; and • Contact with SANDAG regarding system issues, performance and maintenance scheduling. The TOC shall be staffed during normal business hours of 6:00 AM and 7:00 PM Monday to Friday except state and federal holidays observed by SANDAG. The TOC shall be staffed by qualified supervisory personnel. The TOC shall be connected to the SANDAG network system in order to allow the maintenance personnel to have full access to the I-15 ML System. 7.4 Maintenance Plan

The Contractor shall develop a detailed Maintenance Plan that covers all aspects of the maintenance operations and services to be provided. The Maintenance Plan shall be submitted to SANDAG for review and approval not less than ninety (90) days prior to assuming maintenance responsibilities coincident with the opening of Stage 1. SANDAG shall provide comments on the draft Maintenance Plan to the Contractor within thirty (30) days of receipt of the Maintenance Plan. It is understood that the Maintenance Plan will undergo more than one iteration before the final document is approved. However, the Contractor shall ensure that a final and approved Maintenance Plan is in place a minimum of twenty (20) days prior to assuming maintenance responsibilities on Stage 1. Any delay caused by the Contractor in providing a final and approved Maintenance Plan shall result in withholding of a portion of the monthly maintenance fees in accordance with the Agreement until such time as the Maintenance Plan is delivered and approved. The Maintenance Plan shall include but not be limited to the following elements: • A Maintenance Organization Chart with all titles, positions and staff identified for the maintenance of

in-lane, network, and back office systems and equipment;

• Descriptions of all positions, including responsibilities and authority;

• Policy and procedures for all maintenance operations, including but not limited to, notification, repair, and inventory management;

• A listing of all maintenance contact numbers and email addresses with direction as to protocol for contacting and response in the event of problems and emergencies;

• Identification of hours of maintenance operation and level of coverage for TOC, in-lane systems, network and back office;

• Means and methods of monitoring all systems and equipment on an ongoing basis for in-lane, network and back-office;

• Human resource management policies and procedures;

• Performance criteria identified in this section of the Scope of Work, to be measured with an identification of the associated report generated;


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• Quality Control Plan;

• Document Control Plan;

• Plan for maintaining interoperability;

• Security Plan;

• Safety Plan;

• Training Plan (initial and continuous education) (as described in Section 6.11.2);

• Disaster Recovery Plan;

• A schedule of preventive maintenance of all components and systems, including frequency of maintenance and work to be performed;

• Samples of all required maintenance reports and forms with identification of frequency of reports and distribution;

• A list of spare parts in inventory with procedures identified for control, warranty and post-warranty replacement and anticipated location (i.e., vehicle, shop, or warehouse);

• A list of maintenance vehicles including inspection, operation, and maintenance procedures to be followed;

• Priority level descriptions for response calls; and

• SANDAG lane closure restrictions/procedures for staff reference.

The Maintenance Plan shall be updated periodically to reflect any changes in the policies or procedures for maintenance and is subject to approval by SANDAG. No changes to maintenance policies or procedures shall be permitted without the prior written consent of SANDAG and a subsequent updating of the Maintenance Plan. 7.5 Maintenance Requirements

7.5.1 Maintenance Coverage and Response Times Toll Collection System

The Contractor shall provide 24/7 coverage for all maintenance related activities. The Contractor’s maintenance technicians shall be on-site Monday through Friday between the hours of 6:00 AM and 10:00 PM, except state and federal holidays observed by SANDAG. The Contractor’s maintenance technicians shall be on-site Saturday and Sunday between the hours of 8:00 AM and 8:00 PM, except state and federal holidays observed by SANDAG. All other hours shall be covered by on-call services. Response to calls shall be determined by priority as described below. Regardless of the coverage, on-site or on- call, the response times shall not exceed those prescribed below; • Priority 1: Defined as any malfunction or fault that will result in the immediate loss of revenue;

closure of a lane; loss of audit data; loss of redundancy in any redundant system components, or hazard to personnel or driving public. This priority shall have a one (1) hour response time and two (2) hours to repair.


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• Priority 2: Defined as any malfunction or fault that will degrade the system performance, but not the operational ability of the system. This priority shall have a six (6) hour response time and two (2) hours to repair.

• Priority 3: Defined as any action or event that has potential of resulting in a malfunction or degrading of the system performance. This priority shall have a twelve (12) hour response time and twenty four (24) hours to correct.

Response is defined as the period of time beginning when the Contractor receives notification of the maintenance event and ending when the Contractor’s maintenance technician arrives at the site of the problem. Repair time is defined as the period of time after the Contractor’s technician arrives on site of the problem and ending when the fault condition is corrected and returned to normal operations. Response and repair times for every maintenance event shall be recorded and reported and such reports shall be provided to SANDAG in accordance with the reporting requirements of this Scope of Work. The Contractor shall be accountable for the response and repair times. Contractor failure to meet the response and repair time criteria described above shall result in a penalty as specified in the Performance Measurement Section 7.18. 7.5.2 Back-Office Support Hours for CSC/VPC

The Contractor shall provide on-site back-office support during the normal CSC/VPC facility hours from 8:00 AM to 5:00 PM Monday through Friday except state and federal holidays observed by SANDAG. 7.5.3 Preventive Maintenance

The Contractor shall periodically inspect all of the equipment and systems that constitute the I-15 ML System, and make such repairs, adjustments, tuning, and replacements of components as may be necessary to maintain the equipment and system in normal operating condition. The Contractor shall provide a preventive maintenance schedule as a part of the Maintenance Plan described above. The schedule shall detail the preventive maintenance to be performed on each equipment item and system, both on an in-field and where applicable, workshop basis. The schedule shall provide a description of the work to be performed, expected duration, and the frequency. The schedule should be revised and resubmitted to SANDAG for approval in the event that any changes are to be made in the required frequency or type of preventive maintenance. All equipment and systems must be provided preventive maintenance in accordance with the original equipment manufacturer’s guidelines. Any variations or exceptions must be noted by the Contractor and approved in advance by SANDAG. Failure to perform required preventive maintenance in accordance with the approved schedule shall result in a penalty, as specified below in the Performance Measurement Section 7.18.


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7.5.4 Notifications

For purposes of measurement of performance and for the development of maintenance policy and procedures, notification of system malfunctions, problems, and discrepancies can be provided in three different methods, summarized below. These methods include verbal notification from a SANDAG employee or a member of the public reporting a problem or hazardous condition, with time and date recorded by the person receiving the call; written notification from an authorized SANDAG employee or representative, and notification, verbal or written, from the front office staff and Caltrans staff. In all cases, notification will be directed to the TOCC, where all maintenance activities shall be handled by the Contractor. • Verbal Notification: Defined as an in-person, telephone, pager call and subsequent return call by

the Contractor. In all cases, the first conversation with or page of the Contractor shall signify the start of the response time for purposes of measuring the Contractor’s response time.

• Written Notification: Defined as a written description of a problem or condition, typically provided by SANDAG or their representative. Written notification will be faxed or emailed to the TOCC. The receipt of fax or receipt of email time shall signify the start of the response time for purposes of measuring the Contractor’s response time.

• MOMS Notification: Defined as an automatic notification, consisting of the MOMS software identifying a problem within the toll collection system and sending out an automatic alert message, paging a Contractor’s technician to respond to the failure. In addition to the Contractor’s page, the alert will be posted on the MOMS server and a hard copy of every alert will be available to be printed. The presence of a MOMS notification on the system workstation or via page shall constitute the start of the response time for purposes of measuring the Contractor’s response time.

The Contractor shall interface with and support any activity with Caltrans CHP. 7.5.5 Recording of Maintenance Activities

In all cases, it shall be the Contractor’s responsibility to log all reported maintenance activities. The Contractor shall also be responsible for documenting all information and issues related to the fault condition. The Contractor shall develop a report entered on the MOMS that can be identified by its unique tracking number. The document shall be identified as a Trouble Failure Report (TFR) or other suitable name. Any individual TFR shall be accessed through entry of any variable associated with the report or searched by keyword. For example, the report shall be accessed via query of aspects such as location, component or corrective action or report number. The TFR shall be the mechanism by which an individual problem is tracked to completion. The TFR shall contain as much information as possible in order for any person to reasonably determine the fault, when it was worked on, the corrective action, and any other pertinent information on the individual maintenance event. Items to be contained on the TFR include but are not limited to: • Applicable date/time blocks (received, response, repair, closed out); • Location of fault (CPS, lane, in-lane subsystem, communications) with specific location identification; • Failure component;


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• All codes and alerts associated with the failure; • Detailed description of corrective action; • Technician (s) who worked on the fault condition and their identification number; • Serial number of failed component and any replacement components; • Disposition of component (e.g., returned to manufacturer); • Any other blocks or fields deemed necessary to adequately track and describe the maintenance

event; and • Identification of additional actions to be taken. Standard definitions and terminology shall be established to encourage consistency and limit discrepancies between reports. Specifically, if pull-down menus or similar selections are made available to the technician for input of items such as corrective action, each option should be clearly defined and its intended use must be defined in the technician training materials. The goal of this standard is to establish a consistent and traceable reporting of activities. It is the Contractor’s responsibility to ensure that the Contractor’s maintenance staff has real time access to the MOMS via PDA or similar remote device and that all the required connections are established and ongoing. 7.6 Spare Parts

The Contractor shall purchase and maintain the spare parts and consumables inventory as agreed to and approved by SANDAG in accordance with the Agreement. The Spare Parts List shall be included in the Maintenance Plan as described in Section 7.4. 7.6.1 Spare Parts Inventory and Tracking

The Contractor shall be responsible for monitoring the inventory quantity and ensuring that the inventory is maintained to the required levels. The Contractor’s performance of Maintenance Services is predicated on there being an adequate spare parts inventory available. The Contractor shall periodically update the recommended spare parts quantity to be maintained in order to support system functionality and operational readiness and shall submit the updated list to SANDAG for approval. The Contractor shall hold SANDAG harmless in the event spare parts or consumables are not available as a consequence of the Contractor’s failure to purchase the spare parts or consumables ordered by SANDAG on a timely basis. The Contractor shall keep accurate records of all parts entering and leaving inventory through the use of a MOMS Inventory and Repair database. This information shall be included and available on the MOMS. Required information includes parts entering inventory, including OEM serial number, SANDAG specific serial number, and time and date part was dispensed, and where the part was dispatched to and used. Tracking of all warranty replacement is required. If the replaced part is under warranty, the part shall be immediately replaced with a new part. If the replaced part is out of warranty, Contractor shall make every effort to repair the replaced item to a usable status and place the part back into spares inventory. If the


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part is unable to be repaired, a new part shall be purchased and placed into spares inventory. The details of the repair efforts, including problem, status and repair disposition shall be included in the MOMS inventory and repair database. 7.6.2 Procurement and Control of Spare Parts

Thirty (30) days prior to the date toll collection system is expected to begin collecting revenue, the Contractor shall have purchased and have on hand the approved inventory of spare parts. The spare parts shall be purchased on behalf of SANDAG and shall be owned by SANDAG in a manner to ensure that SANDAG receives the maximum benefit from any warranties associated with the spare parts. The cost of the spare parts shall not include any mark up and shall be in accordance with the approved spare parts price schedule. The Contractor shall cooperate with and assist SANDAG as is reasonably necessary to ensure that all spare parts, equipment, and other SANDAG owned property stored or otherwise located on the Contractor’s property shall not be subject to any risk of being confiscated, claimed, attached, withheld by the a landlord, creditor, or similar risk All spare parts and consumables shall be maintained by the Contractor free and clear of all liens and encumbrances of any kind whatsoever at a storage location or locations agreed upon by SANDAG and the Contractor. All spare parts shall be labeled as the property of SANDAG. Spare parts shall also have a SANDAG specific serial or control number using a bar code or other SANDAG approved inventory management control system. The Contractor shall maintain a storage facility or facilities that shall be subject to the approval of SANDAG. The Contractor shall be responsible for the physical security of the storage facility or facilities and all property within the facilities. SANDAG shall have the right to inspect the spares and consumables inventory. Removal of all parts and components from inventory shall be recorded in the inventory tracking system. Removal of any parts or components from inventory for use at another Contractor maintained facility shall be prohibited unless approved by SANDAG in advance. The Contractor shall be responsible for providing all miscellaneous repair items and consumable materials that cost no more than $25.00 per item, at the Contractor’s expense. These types of items shall include but not be limited to fuses, screws, touch-up paint, wire, connectors, labels, electrical tape, and any consumables required to comply with all requirements or specifications provided by the equipment vendors. The Contractor shall also provide normal shop consumables, including but not limited to items such as solder, lubricants, cleaning rags, and batteries at no additional cost to SANDAG. 7.7 Back Office Operations Services

The Contractor shall be responsible for all back office maintenance and operations including but not limited to:


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a. Operate, support and maintain the following I-15 ML System servers: Data Management Server; Accounts Management Server; Internet Server; Image Server; OCR Server; and Server related work station equipment.

b. Support and maintain the following I-15 ML systems: CSC system/equipment/workstations; VPC system/equipment/workstations; OCR/image review system/equipment/workstations; Mailing system; Phone/IVR system; and Document imaging system.

c. Monitor account status changes. d. Monitor the clearinghouse transaction process. Verify process and transactions, and resolve issues. e. Monitor credit card processing. f. Monitor interoperability file transfer and processing. g. Reconcile interoperability payments. h. System administration of all servers/systems. i. System database management/queries/maintenance. j. Information technology – network configuration and support. k. System back-ups. l. Coordinate network and server hardware support. m. System disaster recovery. n. Ad-hoc reporting. o. Assistance with SANDAG requested queries and reports. In addition to maintaining the hardware, the Contractor is also responsible for software maintenance. Software maintenance shall consist of all aspects of the CPS including but not limited to the following: • Operating systems; • Databases; • Application Software; • Data Management System Software; • Accounts Management System Software; • Third Party Software; • Software configuration; and • Software version control.


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The Contractor shall detail all aspects of the hardware and software maintenance and support in the Maintenance Plan. 7.8 Network Maintenance

The Contractor shall be responsible for the ongoing maintenance of both the LAN and WAN for the toll collection system. Responsibilities shall include but not be limited to: • Monitor the BRT fiber network and ensure there is communications between the switches in the

primary and secondary directions.

• Monitor the I-15 ML network and ensure all the zone controllers are communicating with the data management server.

• Monitor the connection to the CSC facility, the CPS primary and redundant facilities, and communications with the interoperable ftp server.

• Maintain the network switches provided by the Contractor and monitor the primary and secondary fiber communication lines to ensure operations meet performance standards.

• Monitor the internet connection to the system and ensure there is connectivity at all times.

• Trouble-shoot all network communication problems and identify area of responsibility.

• Notify responsible party (e.g., Contractor, Caltrans, SANDAG, or Service Provider) and coordinate correction of problem as needed.

• Ensure connection to the IMTMS, the IFAS system and the Credit Card Server is operational at all times and alert SANDAG of problems.

7.9 Interoperability Requirements

The I-15 ML back office operations shall support the latest CTOC Technical Specifications for Interagency Electronic Data Exchange. Revision G.4 dated April 26, 2004 and Draft Revision G.5 are included in the RFP Attachment Q CTOC Technical Specification for Electronic Data Exchange (Revision G.4 and Draft Revision G.5). 7.10 Audits

SANDAG may require various audits for financial and performance data regarding the I-15 ML System. These audits may be scheduled or unannounced. These audits may address such items as, but not limited to, internal procedures, revenue and reporting, facility inspections and system processing and performance. The Contractor shall support SANDAG in any required audit relating to the I-15 ML System. 7.11 Cooperation with Other Vendors and Providers

The Contractor shall coordinate and cooperate with other parties to provide for effective maintenance. These parties may be designated and/or contracted by SANDAG. Other parties include, but are not limited to, a separate I-15 front office operator, credit card and payment clearinghouse, other Title 21 agency system integrators and various contractors, Caltrans, CHP, and suppliers.


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7.12 Emergency Response Management

During major traffic incidents, such as accidents, Caltrans and CHP may divert traffic from the I-15 general purpose lanes into the I-15 ML. This will primarily be coordinated through Caltrans staff at the Traffic Management Center (TMC) but shall require the Contractor’s full cooperation and participation. In addition, SANDAG or Caltrans may direct Contractor to shut down the I-15 ML toll collection system or portions of the system under emergency or other circumstances. 7.13 Incident & Revenue Loss Reporting

The Contractor shall be responsible for the timely reporting to SANDAG of any incident, discrepancy or unusual circumstance involving loss of revenue or adverse system performance within the Contractor’s area of responsibility. The Contractor shall provide a report to SANDAG identify the situation and actions taken to minimize any negative affect. The discrepancy reports shall include estimates of revenue lost due to such occurrences as well as a mitigation plan for possible future occurrences. 7.14 Maintenance Staffing and Materials and Training

7.14.1 Maintenance Staff Requirements

As each stage become available and begins revenue collection and is accepted by SANDAG, the Contractor shall have a sufficient quantity of trained, full time, qualified personnel situated in San Diego to perform the required maintenance activities on the SANDAG toll collection system. As part of the Maintenance Plan, the Contractor shall identify the job categories and number of personnel that will be available on site as each Segment becomes available for revenue collection and is accepted by SANDAG. The Contractor shall also be required to maintain on site management and administrative staff to administer all aspects of the Contractor’s business along with directing the daily efforts of the technicians. Maintenance staffing shall accommodate the various staging of the I-15 ML System and a full compliment of staff is not required at Stage 1; however, it is the Contractor’s sole responsibility to provide adequate quantity and quality of staff to ensure that maintenance requirements are fulfilled. The following is a list of areas of responsibilities to be covered by the Contractor at appropriate staffing levels: • Maintenance Manager: Contractor’s designated representative for all on site management business

dealings with SANDAG. The Maintenance Manager shall be the single point of contact for all work related issues including system problems, material issues, or Contractor personnel issues.

• Field Supervisor: The Field Supervisor shall be responsible for the day to day operations of the technicians, ensuring that all required work is accomplished properly and efficiently.

• Back Office Supervisor: The Back Office Supervisor shall be responsible for the day to day operations of the back office staff and shall ensure that systems are properly monitored, and that maintenance and repair work are properly performed.

• Repair Shop Technician: Responsible for shop repairs of equipment and for shop level preventive maintenance.

• Maintenance Technician: Responsible for responding to maintenance activities and alerts and for field level preventive maintenance. Maintenance technicians shall be qualified to troubleshoot maintenance problems and identify the source of the problem.


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• Network Engineer: Responsible for configuration and maintenance of the network systems in accordance with Section 7.8.

• Data Base Administrator (DBA): Responsible for managing the CPS servers and data bases. The database administrator shall be responsible for all aspects of the I-15 ML System database. The DBA shall administer the database and ensure the database is optimized for peak performance. The DBA shall be responsible for the configuration and operation of the I-15 ML System database and shall generate and run database queries as requested by SANDAG and other support personnel.

• Systems Engineer: Responsible for all server operations and configurations and shall monitor all system processing and verify that all operations and processes are occurring as scheduled. All MOMS alarms relating to process failures shall be resolved by the system engineer. Systems engineer shall also be responsible for ensuring the proper configuration of all servers and coordinate all server maintenance. System engineer shall also be responsible for identifying issues, and communicating with the system software personnel and coordinating resolution of the problem. All user related problems (application software) shall be handled by the system engineer.

• A+ Level Rated Technician: Responsible for maintenance and support to the back office servers and computer hardware.

• Administrative Staff: The Contractor must provide required administrative staff adequate to provide support for the performance of maintenance functions and to provide adequate phone and administrative support at the TOCC.

7.14.2 Tools and Materials

The Contractor shall provide all vehicles, test equipment, tools, PDAs, pagers, computers, and any other items required for the maintenance staff to perform their maintenance activities. All required test equipment and tools shall be on site and in adequate supply, with all required personnel trained on their use. All test equipment shall be standard units that are capable of achieving the measurement they are intended to make. 7.14.3 Personnel Training

The Contractor shall provide trained qualified staff to support the SANDAG maintenance activities described in this Scope of Work. It is the Contractor’s sole responsibility to develop training necessary to successfully perform each of the maintenance functions and operations identified in Section 7.0. Not withstanding this requirement, prior to performing any maintenance activity on production equipment, all field technicians must have completed a minimum of two (2) weeks of documented training specific to the SANDAG toll collection system, including one week classroom and one week of on-the-job-training. All back office personnel shall have a level of training on the back office systems sufficient to satisfactorily monitor, maintain and repair or direct repair of any back office systems or equipment. This shall include training in third party system hardware and software as required. All required training must be completed prior to performing maintenance activities associated with a revenue collection environment. Whenever a new lane configuration, new equipment or software is to be


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installed, supplemental training of all relevant maintenance staff training must take place and be successfully completed in advance of the actual in-service date of the new equipment, configuration or software. The Contractor shall be responsible to provide training offered by vendors and original equipment manufacturers for components (such as VES equipment, AVI equipment and AVDS) where available and required, to properly operate, maintain and repair such equipment. 7.14.4 Training Materials and Ongoing Education

Training material shall consist of maintenance manuals, vendor manuals, and any other documentation required to provide maintenance staff adequate understanding of the systems and equipment. The Contractor shall also have regular meetings with all staff including technicians and engineers to discuss status and issues associated with the maintenance of the I-15 ML System. 7.14.5 Training Program

The Contractor shall provide a Maintenance Training Plan and submit as a part of the Maintenance Plan. Training programs provided by the Contractor for maintenance personnel shall include, but not be limited to: • Use of maintenance documentation such as maintenance manuals, drawings, vendor manuals, and

parts list; • Use of the MOMS. A thorough understanding and operating knowledge of the MOMS is required of

all maintenance personnel; • Systems overview; • Scheduling, work assignments, transportation requirements and communications; • Documentation training in order to properly complete maintenance documentation; • Preventative maintenance of all systems and sub-systems; • Troubleshooting, diagnostics, repair, testing, and maintenance follow up; • Spare parts and equipment provisioning and inventory control; • Use of special maintenance tools; • Forms and reports; • Safety procedures; and • Quality control and assurance procedures. All relevant Contractor maintenance staff shall attend the training sessions. SANDAG staff shall also be permitted to attend all training sessions. The Contractor shall provide all training procedures and materials for maintenance personnel for SANDAG approval not less than sixty (60) days prior to the training start date.


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7.14.6 Training Records

The Contractor shall keep accurate training records on all maintenance personnel. SANDAG shall be permitted to audit maintenance personnel qualifications and training records at any time. Evidence of completion of training by Contractor personnel shall be provided to SANDAG upon request. 7.15 Safety

The Contractor shall adhere to all applicable safety standards and guidelines for working on and in proximity to energized equipment, active roadways and a maintenance environment, including but not limited to:

• SANDAG safety procedures and guidelines;

• Caltrans safety procedures and guidelines;

• OSHA;

• NEMA; and

• Any other local, State or Federal procedures or guidelines that provides for a safe operation and working environment.

7.16 Reporting Requirements

SANDAG and/or its representative shall have access to all maintenance and service records at all times for review and audit. Contractor is responsible to prepare and submit a Monthly Progress Report that includes the Project Oversight Report and the System Maintenance Reports package to SANDAG that summarize Contractor’s performance on the Project during the previous month. Each Progress Report shall be accompanied by Contractor’s invoice for the same period. SANDAG will not pay monthly fixed fee invoices that are not accompanied by an acceptable Progress Report. The Project Oversight Report summarizes the Contractor’s project activities for the reporting period, including major accomplishments, high-level numbers, labor distribution reports, meetings and/or conference calls attended by Contractor, and invoices submitted to SANDAG during the period. The Project Oversight Report shall include copies of Contractor’s financial statements that summarize actual labor hours charged to the Project by position for front office operations. The Project Oversight Report shall also include an updated Action Items List that tracks all “open items” to be resolved by Contractor in conjunction or per the direction of SANDAG; which shall include task, owner, status, date due/completed, and notes pertaining to the completion of each task. The System Maintenance Reports package to be submitted on a weekly and/or monthly basis shall be determined during project implementation, but shall contain at minimum the reports identified in Section 7.16.2 and 7.16.3:


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7.16.1 Field and Shop Maintenance Records

The Contractor shall maintain current, complete, and accurate records for all field and shop maintenance activities. The Contractor shall prepare a TFR report, as described in Section 7.16.2, every time a maintenance action is performed. All preventative and predictive maintenance activities shall be reported in the same manner as corrective or emergency maintenance activities; however preventive maintenance activities shall be separately reported and identified as a Preventive Maintenance Report (PMR) or similar name. This information shall be entered and maintained on the MOMS database. 7.16.2 Maintenance Summary TFR and PMR Reports

The MOMS shall generate summary TFR and PMR reports related to all maintenance activities over a user- specified time period. The TFR summary shall include, but not be limited to summaries of the following categories: • Type of notification; • System failure (Tolling Location, CPS); • Tolling location ID; • Lane #, if applicable; • Equipment/process failure and description; • Work or service performed; • Parts replaced, including serial numbers and other descriptions; • Dates and times the action started and completed; and • Software updates required.

For preventive maintenance activities, the PMR shall be provided by the Contractor with a corresponding level of detail to that of the TFR summary. The TFR and PMR summary reports shall be generated automatically on a weekly and monthly basis and distributed to SANDAG. 7.16.3 Additional Summary Reports

The Contractor shall provide SANDAG either on a weekly or monthly basis or both, as approved by SANDAG, all reports on required system performance, including but not limited to: • MTBF for the preceding maintenance period and cumulative; • Average time to respond and time to repair events for each of the three critical levels identified above; • Total down time of lanes in hours; • Lane availability percentage; • System availability percentage; • Web site availability percentage; • IVR system availability percentage;


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• Performance reports detailing compliance to the performance requirements; • Detailed list of parts replaced as a result of maintenance actions, with an identification of warranty

versus non-warranty replacement; • Status of removed parts and equipment with an aging status for parts under repair or replacement

(serial numbers, being repaired in maintenance shop, purchase replacement part); • Back office performance reports, including Summary Operating Report; • An exceptions report summarizing all unusual or significant occurrences during the period; • Trend analysis for repetitive failure; • Status of spare parts inventory; and • Staffing report detailing positions and staff hours worked.

7.17 On Site System Documentation

The Contractor shall maintain at their TOCC and back office facility one full and updated set of all applicable maintenance documentation. This documentation shall include, but not be limited to, current configuration drawings; a master set of up-to-date as built drawings for all installed equipment; toll equipment service manuals; computer and server manuals; software documentation; third party manuals, and the current inventory list of spare parts and consumables. In addition, the Contractor shall supply one full set of documentation to be maintained at SANDAG offices and shall update them accordingly. The Contractor shall furnish all maintenance staff with the appropriate documentation that is required to perform their respective assignments. As documentation is updated, a document control/configuration management system shall be in place to ensure that all personnel are working from the same and most current revision. The Contractor shall maintain the configuration management system and immediately submit revised documentation to all relevant parties, including SANDAG. All documentation released to field personnel shall be serial numbered and this information recorded at the Contractor’s facility. The documentation provided and assembled shall be considered highly confidential and shall be used only for its intended purpose. Neither the Contractor nor his employees shall reproduce any of the documentation except as specifically authorized. Neither the Contractor nor his employees shall discuss the contents of the documentation or other maintenance information with any unauthorized personnel. 7.18 Required Maintenance Performance

7.18.1 Performance Reviews

SANDAG will conduct a review of the Contractor’s performance on a monthly basis, utilizing all required system reports provided by the Contractor. Performance reviews for the previous month of operation for each stage (or portions of stages) shall take place beginning one month after Stage 1 Acceptance; however, penalties shall not begin to be assessed until the fifth month following acceptance, for the previous (fourth) month’s performance.


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7.18.2 Required Performance and Penalties Summary

Performance measures and associated penalties for not meeting performance requirements are outlined in the following table and detailed further in Section 7.18.3 below.

Summary Table - Maintenance Performance Requirements and Parameters

Performance Parameter Sub-function Performance

Standard Penalty

Priority 1 Repair and Response Time

One hour average response time Two hour average repair time

≤ 10% Below = 5% off Monthly Fee; >10% but <25% Below = 10% off Monthly Fee; ≥25% Below= 25% off Monthly Fee


Six hour average response time Two hour average repair time


1. Mean Time to Respond and Repair (MTTRR)


Twenty-four hour average response time Twenty-four hour average repair time


2. Mean Time Between Failures

Time Between Failures for each Deployed Subsystems as Defined in Section 2.10

8,760 hours for each defined subsystem

$500 for each subsystem not meeting requirement

Deployed Lanes Availability 99.5% Availability $500 for every .5% below requirement

System Availability 99.5% Availability $500 for every .5% below requirement

IVR System Availability 99.5% Availability $500 for every .5% below requirement 3. Availability

Web Site Availability Available 99.8% of the time $500 for every .5% below requirement.

4. Reports and Record Keeping

Provision of Reports Submit report on time, complete and accurate

$50 per occurrence

5. Spare Parts Availability

Required Spare Parts Maintain required inventory of spare parts

$500 per month per occurrence

6. Preventive Maintenance

Required Preventive Maintenance Schedule

Perform PM according to approved schedule

$50 per occurrence


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Performance Parameter Sub-function Performance

Standard Penalty

Transaction Processing All transactions posted to the database within two business days of transaction occurrence

$50 per day delayed per 1,000 transactions

Obtaining and Processing Data from the IMTMS

As defined during the design phase

$50 per occurrence

Providing data to the IFAS system

Processed within one business day of Business Day Closure

$50 per occurrence

Other Agency Incoming Transaction Data

Processed within one business day of receipt

$50 per occurrence

Other Agency Outgoing files Within one business day of file creation

$50 per occurrence

Other Agency Transponder Status File Processing

Processed and distributed to all zone controllers within four hours of receipt

$50 per occurrence

SANDAG Transponder Validation List (Comprehensive and Incremental)

Processed and distributed to all lanes within two hours of file creation

$50 per occurrence

Account Auto Replenishments One day within reaching threshold

$50 per occurrence

System Replenishment Process

Replenishment process occurs on a daily basis

$50 per occurrence

7. Back office System Processing

Interface with Department of Motor Vehicles (DMV)

Process and obtain response within five business days of initial request

$50 per occurrence

7.18.3 Detailed Description of Performance Measurements and Penalties

7.18.3.1 Mean Time to Respond and Repair (MTTRR)

Contractor shall meet the required mean time to respond and repair (MTTRR). This requirement shall be measured for all deployed subsystems and systems, including the back office equipment and systems, in the time period being reviewed and shall be averaged to determine if the Contractor has met the performance. If the mean response or repair time for any priority category described in Section 7.5.1 in any one month period exceeds the required response or repair time by: a. Less than or equal to 10%, SANDAG may reduce the next Monthly Fee payable by 5 % of such

Monthly Fee; b. More than 10% but less than 25%, SANDAG may reduce the next Monthly Fee payable by 15% of

such Monthly Fee, or c. 25% or more, SANDAG may reduce the next Monthly Fee payable by 25% of such Monthly Fee.

7.18.3.2 Mean Time Between Failures (MTBF)

Contractor shall meet the required mean time between failures (MTBF). This reliability requirement shall be measured for each deployed subsystem identified in Section 2.10. The measurement shall start upon commencement of the maintenance task order and shall be taken for each month being reviewed;


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however, for purposes of the penalty assessment, performance shall be measured based on a cumulative and rolling average, including all previous months to determine the overall MTBF. MTBF shall be measured as follows: Numbers of hours (days multiplied by 24) in time period multiplied by the number of deployed units of that subsystem, divided by the Number of Failures in the same time period for that subsystem. Expressed mathematically:

[(number of days x 24) x number of deployed units]/Number of Chargeable Failures For every month that the Contractor does not meet the cumulative MTBF requirement, Contractor shall be subject to a penalty of $500 per subsystem not meeting the MTBF. 7.18.3.3 Availability

Contractor shall demonstrate that both the lanes and the system are operational and available to collect revenue as defined in Section 2.11, 99.5% of the time. Contractor shall also demonstrate that the web site is available and operational 99.8% of the time and that the IVR System is available 99.5% of the time. For every month in which the system, deployed lanes, web site or IVR System are available less than the minimum requirement for the item stated above, Contractor shall be subject to a penalty of $500 for each .5% and any additional portion thereof by which availability is below the requirement. For example, if system availability (99.5% requirement) were 98.9%, the assessed would equal $1,000: $500 for the .5% portion between 99.5% and 99% not met and an additional $500 for the .1 % portion between 99% and 98.9% not met. 7.18.3.4 Reports and Records Keeping

• The Contractor shall provide adequate monitoring reports and data weekly and/or monthly as appropriate and agreed to by SANDAG. The Contractor shall maintain accurate reports and data materials and shall supply back-up materials upon request by SANDAG.

• The Contractor shall provide all weekly reports by Monday noon of the following week and all monthly reports within 5 business days of the end of the month.

For failure to provide required reports within the agreed-to timeframe or if reports are not accurate or complete, the Contractor shall be subject to a penalty of $50 per incident. 7.18.3.5 Spare Parts Availability

The Contractor shall maintain the required physical inventory of useable spare parts as defined in Section 2.4.7 and Section 7.6. For failure to maintain spare parts inventory at adequate levels for the month, the Contractor shall be subject to a penalty of $500 per month for each failure to maintain spare parts inventory.


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7.18.3.6 Preventive Maintenance

The Contractor shall perform preventive maintenance in accordance with the approved preventive maintenance schedule. For failure to perform preventive maintenance at adequate levels in accordance with the approved preventive maintenance schedule, the Contractor shall be subject to a penalty of $100 per occurrence of failure to maintain each item of equipment. 7.18.3.7 Back Office System Processing

• All transactions shall be processed and posted to the database within two business days of transaction occurrence.

• The obtaining and processing of data from the IMTMS shall take place in a time period to be defined during the design phase.

• All required financial data shall be transferred to the IFAS system within one business day of Business Day closure as defined in Section 2.7.1.2.3.

• All other agency incoming transaction data shall be processed within one business day of receipt.

• All other agency outgoing files shall be processed within one day of file creation.

• All other agency transponder status files shall be processed and distributed to all I-15 ML zone controllers within four hours of receipt.

• SANDAG Transponder Validation List (Comprehensive and Incremental) shall be processed and distributed to all I-15 ML zone controllers within two hours of file creation.

• The Contractor shall ensure that replenishments take place for all auto replenishment accounts within one day of reaching the auto replenishment threshold.

• The Contractor shall process and obtain a response from DMV within five days of initial request.

For failure to perform each of the back office system processing requirements identified above, the Contractor shall be subject to a penalty of $50 per occurrence. 7.19 Annual System Certification

Every year, after Stage 1 System Acceptance, the Contractor shall perform a system wide certification that shall include tuning of the lanes, maintenance of the servers and database, and general system check-out. Data for a twenty-four hour period shall be collected and accuracy requirements verified. Discrepancies under the control of the Contractor shall be corrected. The annual certification process shall continue five years after Project Acceptance. 8.0 FRONT OFFICE (CSC/VPC) OPERATIONS SCOPE OF WORK

In conjunction with the procurement of the new I-15 ML toll collection system, SANDAG will require front office operations for the I-15 ML project. SANDAG, at its sole discretion, may choose to out-source the front office operation services described below to the selected Contractor for the I-15 ML toll collection


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system integration, installation and maintenance. SANDAG therefore requires that all Proposers provide a proposal response for the I-15 ML front office operations described below. 8.1 Summary Scope of Work

SANDAG requires front-end operational services for the staffing and performance of Customer Service Center (CSC) and Violation Processing Center (VPC) services. It is planned that qualified HOV users will be required to obtain a transponder and set up an account, as such, customer accounts will comprise of FasTrak™ accounts and HOV accounts. The CSC/VPC operations responsibilities include revenue management, customer account management and account maintenance, transponder management, customer interface (including IVR System support), and interaction with interoperable CTOC agencies. VPC operations include the performance of tasks related to the support and management of all violation processing activities, including image review, violation noticing, processing violation payments, and pursuing violations until closure. The main objective of the I-15 ML front office operations is to provide the services to meet all SANDAG functional requirements relating to customers in an efficient and effective manner. All services must be provided with customer satisfaction in mind. In addition, the front office operations must provide sound financial reporting and accounting of all I-15 ML revenues. 8.2 General Requirements

The Contractor shall be responsible for performing all front office operations required to support the CSC and VPC. The general requirements for the front office operations services are contained in the following sections. RFP Attachment J I-15 ML Draft Operations Plan provides an overview of the current operational procedures; however, the Contractor shall develop an Operations Plan documenting the new I-15 ML CSC/VPC services. The Contractor shall provide the staff and services needed to support all the CSC/VPC functions in accordance with the procedures and policies documented in the Contractor’s approved Operations Plan. 8.2.1 Projected Staffing Levels

The Contractor shall be required to process all transactions and violation plate images. If the number of license plate reviews significantly exceeds or is below the estimate, adjustments in the quantity of review staff may be required. The need for staff adjustments and any resulting monthly fee adjustment shall be directly related to the volume of transactions processed, and shall be monitored and reported on a quarterly basis by the Contractor and shall be subject to the approval of SANDAG. 8.2.2 Management

The Contractor shall provide all management and operations staff, including qualified management, technical, professional and clerical personnel, to professionally operate and administer the front office operations and meet all required performance criteria. The Contractor shall be responsible for the administration, management and maintenance of all CSC/VPC services. All services shall be provided and performed in accordance with all applicable laws, rules, regulations, ordinances, and in compliance with all SANDAG’s policies and guidelines for such contracted labor. All


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plans and procedures prepared by the Contractor shall be approved by SANDAG. Contractor personnel shall be responsible for performing to all established standards. 8.2.3 Documentation Security and Integrity

The Contractor shall ensure all customer/account documentation that requires a paper application or form, including payment forms, is archived by scanning the original documents and storing the scanned files on electronic media using a consistent storage method and cataloguing system. Original documentation shall be shredded and disposed of after electronic backups are confirmed to be complete. The Contractor shall ensure that the CSC/VPC System is accessed only by authorized personnel with the appropriate privileges and the Contractor shall ensure that this security is not breached. The Contractor shall provide and maintain an access matrix that lists all CSC/VPC personnel that have access privileges to the System, their position, and the functionality or activities and associated information to which they have access. 8.2.3.1 Physical Security

The Contractor shall be responsible for the physical security of the CSC/VPC facilities and all property within the facilities. A security access control system shall be installed that will monitor and record all access to secure locations including, but not limited to, site access, transponder storage room, safe and vault access, and computer room access. Computer rooms shall have the environmental controls in place to ensure the temperature and operating requirements of the computer equipment are met. Access to computer rooms shall be restricted and only authorized personnel shall be allowed to enter the computer rooms. In addition, the Contractor shall provide for adequate security practices associated with the receipt, storage, and transfer of money. 8.2.4 Customer Privacy

The protection of customer privacy shall be the responsibility of the Contractor. The Contractor shall not release customer information to anyone other than SANDAG, and shall refer any requests, inquiries, subpoenas, and other official information requests to SANDAG. SANDAG may also request the Contractor to compile data for subpoenas or other data as requested. The Contractor shall establish reasonable methods to verify the identity of customers prior to release of information. Customer Service Representatives (CSR's) must have all customer account information immediately accessible to discuss such issues as violations, disputed tolls, account information inquires and related issues. Using the system functions, the CSC/VPC will maintain a log of all customer inquiries, complaints, and related account management activity for each account. SANDAG shall own and have full access to all data and information collected by or produced during the operation of the CSC/VPC. 8.2.5 Public Communications

The Contractor shall answer only general inquiries as they relate to general information related to the I-15 ML facility. All other inquires and communications will be the responsibility of SANDAG unless Contractor is specifically directed by the SANDAG Project Manager. This includes inquires from or communications


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with the media, government agents, and individuals that are representing organizations for purposes other than directly related to using the I-15 ML. The Contractor shall keep a record of and inform SANDAG of inquires from these entities and direct any inquires from them to the designated SANDAG Project Manager. The CSC/VPC may occasionally be required to communicate information to customers or others on behalf of and as directed by SANDAG. This communication may be via direct mailing, emails, statement inserts, statement messages or IVR System. The Contractor will be required, at its own expense, to communicate to customers or the general public any information related to issues or problems caused by the Contractor that affect users of the I-15 ML. All promotions and announcements made by the Contractor shall be subject to advance approval of SANDAG. 8.2.6 Ownership of Systems, Documents, and Data

All policies and procedures as well as all CSC/VPC operations forms, utility programs, documents, correspondence and Standard Operating Procedures (SOP) developed by the Contractor for this Agreement are considered Work Products and as such, shall be delivered to and become the property of SANDAG. All materials, licenses, rights and software purchased by the Contractor shall be done so in the name of SANDAG. Upon termination of the Front Office Operations Task Order, all documents pertaining to the I-15 ML shall be turned over to SANDAG. SANDAG shall own all data (e.g. customer information, transactions, violation data, etc.) acquired during the operation of the CSC/VPC. This data is to be provided to SANDAG upon request and within five business days, in a format and on a media, stipulated by SANDAG. In addition, SANDAG shall be provided with full access to any function of the CSC/VPC operations at all times. Contractor shall provide various operational equipment, hardware and software to be used for CSC/VPC operations including, but not limited to the products described in this Scope of Work, throughout the term of this Agreement. All equipment purchased under this Agreement shall remain the property of SANDAG and revert to SANDAG at the termination of the Front Office Operations Task Order. The Contractor is responsible for proper use of the equipment and shall have full liability for all CSC/VPC equipment. The Contractor is obligated to meet all of the provisions of this Agreement including the performance measurement requirements, while using this equipment. The Contractor may recommend upgrades or replacement of equipment for the CSC/VPC operations, with the purchase subject to the approval by SANDAG. 8.2.7 Contractor Cooperation

The Contractor shall interface with external parties as designated by SANDAG to support any activity related to the CSC/VPC services, including but not limited to, coordination with the California Department of Transportation (Caltrans), the Department of the California Highway Patrol (CHP), the California Department of Motor Vehicles (DMV), SANDAG’s Collections Firm, and interoperable agencies of the CTOC.


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During major traffic incidents, such as accidents, Caltrans and CHP may divert traffic from the I-15 general purpose lanes into the I-15 ML. This will mostly be coordinated through Caltrans staff at the Traffic Management Center (TMC). Contractor shall be capable of manually shutting off the I-15 ML toll collection system in response to Caltrans or the CHP’s request. SANDAG may direct Contractor to shut off the I-15 ML toll collection system under other circumstances. Contractor shall be flexible and responsive to accommodate SANDAG’s requests. The Contractor shall provide an emergency contact list to SANDAG for the purpose of handling off-hours emergencies. The emergency contact list shall name Contractor’s preferred points of contact, in order of precedence, and shall include, at minimum, Contractor’s primary Contractor Project Manager, its CSC/VPC Manager, other CSC/VPC support staff, and at least one technical liaison from Contractor’s back-office and/or maintenance technical team(s). The purpose of the emergency contact list is to ensure Contractor can be reached outside of normal CSC hours. 8.2.8 Contractor Coordination of Services

Since the Contractor shall provide System Integration, Installation, and Maintenance Services under the terms of the Agreement, it shall be the responsibility of the Contractor to efficiently coordinate the provision of all services to the benefit of SANDAG and the I-15 ML customers. For example, information shall be provided by the Maintenance Project Manager or other designated employee to the CSC/VPC Manager on a timely and official basis for items including scheduled maintenance of equipment and problems with lane equipment that could affect the general public, customer travel experience or system revenue. Similarly, the CSC/VPC Manager or a designated representative shall communicate information on a timely and official basis for customer complaints and other problems identified by front office employees or operations to the Maintenance Project Manager for resolution. 8.2.9 Interoperability Requirements

The CTOC, an informal organization of all FasTrak™ toll and parking facility operators in California, define the interoperability specifications for back-office file transfers. This file transfer specification allows a FasTrak™ agency to be paid for toll or parking charges incurred by a customer with an account at another interoperable agency. Changes to the interoperability requirements or file specifications will result in CSC/VPC system upgrades and revisions that may affect CSC/VPC operations. The Contractor shall modify operations and procedures, as necessary, to accommodate these system changes. 8.2.10 External Audit Cooperation

SANDAG may require various periodic or special audits for financial and operational data regarding the CSC/VPC operations. These audits may be either scheduled or unannounced. The audits may address items including, but not limited to, internal procedures, revenue and reporting, facility inspections and customer service. The Contractor shall support SANDAG’s auditors or management in any required audit relating to the I-15 ML front office operations. If the auditor recommends procedural or operational changes, then at the direction of SANDAG, the Contractor shall institute such changes on a timely basis.


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8.2.11 CSC/VPC Facility

The Contractor shall acquire and maintain adequate office space for CSC/VPC operations. The design of or tenant improvements for such space shall be reviewed and approved by SANDAG. The office space selected shall be in a location suitable for convenient access by the public. The CSC/VPC shall be established in a location, as approved by SANDAG, convenient to the I-15 ML and shall have adequate customer parking. The current CSC approved by SANDAG is located at 9353 Clairemont Mesa Blvd, Suite M, San Diego, CA 92123. All costs associated with the operation and support of the CSC/VPC, including but not limited to, rent, utilities, facility maintenance, operational cost associated with the dedicated leased lines, and communications shall be the responsibility of the Contractor. Contractor shall provide any and all required furnishings and office supplies needed to conduct operations at the CSC/VPC. These items shall include but not be limited to typical office necessities such as telephone service, telephones, fax, copiers, mailing equipment, chairs and desks, as well as expendable items such as all forms, toner, stationery, pencils, and data storage disks. Additionally, Contractor agrees that SANDAG may occasionally assign staff or consultants to work at the CSC and Contractor shall be prepared to accommodate the additional workspace requirements, provided space exists and adequate notice is provided by SANDAG. All system and computer equipment needed to operate the CSC/VPC systems, including, but not limited to, the accounts management server hardware, workstations, printers, IVR server hardware, OCR server, check scanners and barcode readers, shall be included in this Scope of Work. The CSC/VPC telephone system and IVR System shall interface to SANDAG’s 511 IVR system which will be supplied by SANDAG through a separate contract. The items listed in this paragraph are not included in the Front Office Operations Scope of Work and should not be included in the Front Office Operations price proposals. 8.3 CSC/VPC Functional Requirements

The CSC/VPC operations shall cover the following functional areas which are summarized below. These areas are further detailed in RFP Attachment J CSC/VPC Operations Plan. The final approved Operations Plans shall include a full description of the operational procedures and requirements. 8.3.1 Customer Account Management

The Contractor shall provide the following services to allow customers to open, maintain, and monitor their accounts: 1. Account Opening/Closing Processing: The Contractor shall support the opening and closing of

accounts via telephone, fax, mail, internet, or in person at the CSC. All account opening and closing transactions shall be processed by the CSC staff.

2. Account Status Changes: The Contractor shall allow for changes to account status such as payment type, account suspensions, and other factors outlined in the Operations Plan.

3. Account Activity: Periodically, the status of a customer’s account will have activity due various reasons some of which are listed; account has negative balance, failure of automatic replenishments,


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account balance reaches minimum balance for check/cash customers, transponders are reported lost or stolen. Contractor shall notify the customers and update their account including charging of applicable fees in accordance with the SANDAG Business Rules.

4. Account Filing/Records: The Contractor shall ensure that all CSR entries and activities are properly documented within the system and available for the periods defined within the approved Operating Plan to provide account history.

5. Account Activity Statements: The Contractor shall mail statements on their account status and activity on a monthly or quarterly basis as chosen by the customer.

6. Customer Notification: Contact the customer for various account related issues.

7. Customer Disputes: The CSC staff shall resolve all customer disputes submitted via telephone, fax, mail, internet, or in person at the CSC.

8.3.2 Revenue Management

1. Money Handling, Counting and Storage: The Contractor shall account for all monies collected and ensure the accuracy and reconciliation of all money drawers on a daily basis. All monies collected shall be stored in a secure area until collected or deposited by the bank.

2. Deposit Reconciliation: The Contractor shall reconcile and report to SANDAG all bank deposits on a daily basis.

3. Customer Payments: The Contractor shall accept customer payments and ensure that all payments are accounted for and credited to the customer account in accordance with the performance requirements.

4. Escrow Bank Account: The Contractor shall establish and maintain an escrow account for all payments received. Payments to SANDAG shall be accomplished utilizing this account.

5. Revenue Transfer: The Contractor shall report all money transfers to SANDAG on a daily basis.

6. Revenue Accounting and Auditing: The Contractor shall provide SANDAG with revenue accounting and auditing reports on a pre-established report schedule or upon demand. A daily revenue reconciliation (receipts and disbursements) statement related to toll collection and violation activities shall be prepared and submitted to SANDAG.

7. Interoperability Revenue Reconciliation: The Contractor shall reconcile toll payments owed to interoperable agencies on a monthly basis and make the necessary payments. The Contractor shall also reconcile toll payments due to SANDAG form interoperable agencies, and make sure payments are made by interoperable agencies. The Contractor is responsible for investigating and resolving all discrepancies.

8. Account Payable: The Contractor shall receive all vendor invoices and make the necessary payments in accordance with the vendor terms and SANDAG policies.


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8.3.3 Payment Processing

1. Checks: The Contractor shall accept checks as a form of customer payment either in person or by mail. Checks shall be accounted for and deposited in the Escrow account. Deposited checks shall be posted or credited to the account once it has been cleared by the bank.

2. Money Orders: The Contractor shall accept money orders as a form of customer payment either in person or by mail. Money Orders shall be accounted for and deposited in the Escrow account and shall be posted or credited to the account in accordance with the performance requirements.

3. Cash: The Contractor shall accept cash as a form of payment for walk in customers. Cash shall be accounted for and deposited to the Escrow account. Cash payments shall be posted or credited to accounts immediately.

4. Credit Card: The Contractor shall accept credit cards as a form of payment. Credit payments shall include but not limited to:

Replenishing Customer Accounts; Violation Payments; Decline Procedures; Charge-backs; and Debit Card.

5. Automated Clearinghouse: The Contractor shall accept payment by automated clearinghouse (ACH). The Contractor shall establish the process and procedures required to assist customers setting up ACH payment for account payments and replenishments. The appropriate authorizations shall be obtained from the customer and the Contractor shall interface with an ACH payment processor to ensure payments are established.

8.3.4 Transponder Management

Contractor shall procure transponders on behalf of SANDAG and in SANDAG’s name, in accordance with Title 21 specifications and applicable policy or laws. Contractor shall also receive, test, assign and issue, track, recall, and dispose of tags in accordance with industry standards, applicable policies and laws. The Contractor shall track transponder warranty status and manage and resolve all warranty issues with the transponder vendor. 1. Transponder Ordering: The Contractor shall ensure that an appropriate supply of transponders is

available at all times. When the transponder inventory reaches a pre-determined level orders for transponder shall be placed with the vendor. The Contractor shall initiate transponder order requests with SANDAG based upon existing inventory and forecasted requirements. The Contractor shall be responsible for ordering and paying for the transponders subject to approval by SANDAG.

2. Receipt, Identification and Inventory: The Contractor shall receive shipments of transponders from the manufacturer and inspect contents to verify an order has been fulfilled, prior to accepting a shipment. Upon receipt of the transponders, each transponder shall be entered into the system and tested to verify that the correct information has been programmed at the manufacturer. The Contractor shall securely store the tags until they are issued.


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3. Transponder Distribution: Contractors shall distribute assigned tags by any of the approved methods described in this Scope of Work. Transponders issued to all of the distribution sources shall be recorded, and shown as part of the transponder inventory.

4. Transponder Fulfillment: Upon customer account setup, activated transponders shall be provided to walk-in customers, or mailed to customers who established the account using web, email, fax, IVR, or call-in options. The Contractor shall record the transponder information into the system prior to providing/shipping the transponder to the customer. The Contractor shall also send Velcro strips to the customers as requested.

5. Transponder Status Monitoring: The Contractor shall have the capability at all times of determining a transponder’s status and most recent transaction. Contractor shall track the status of transponders in its inventory, including transponders in circulation, transponders returned or out of service, and transponders in repair.

6. Transponder Recalls: The Contractor shall develop an effective transponder recall program that shall be described in the Operations Plan and shall proactively manage the transponder recall process. Transponders that are “at-risk” for failure, e.g., due to expired battery life or other problem, shall be promptly recalled and replaced with a valid transponder. The Contractor can use a variety of methods to identify transponders which are at-risk and such methods shall be documented in the Operations Plan. For transponders that are subject to recall, the Contractor shall promptly mail the affected customer, to whose account said tag is assigned, a replacement tag and postage-paid envelope along with a letter requesting the customer return the original tag within 30 days from receipt. Follow-up letters shall be sent approximately 30- and 60-days from the date of the initial mailing, until the customer’s original tag has been returned. This tag recall procedure is necessary to minimize risks associated with tags that have reached the end of their useful life.

7. Transponder Returns: Whenever a customer closes their account, or if a request for account closure is received at the CSC/VPC, the Contractor shall obtain the transponder(s) back, process any refund amount due, and close the account. The Contractor shall test and inspect all transponders that are returned from the customers to determine status, e.g., distribution, warranty, or disposition.

8. Transponder Security: The Contractor shall be responsible for the overall security of the transponders. The Contractor shall provide and maintain accurate inventory controls and current records of the transponders.

9. Transponder Warranty Management: The Contractor shall be responsible for ensuring that all transponders that are found to be defective or damaged and are still under the manufacturer’s warranty are to be returned promptly to the manufacturer according to the manufacturer’s specified return material authorization (RMA) process. The Contractor shall track transponder warranty status and manage and resolve all warranty issues with the vendor. For those transponders that are defective or damaged but are not within the warranty period, the Contractor shall be responsible for sending the transponders to be properly disposed.

10. Transponder Disposition: The Contractor shall dispose of any tag that is obtained through a scheduled recall or that is returned to the CSC by any other means whenever the said tag is deemed damaged, or defective, provided the tag has also exceeded its warranty period. Tags shall be disposed of in accordance with applicable laws, including environmental laws that govern the disposal of hazardous materials (if classified as hazardous material).


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8.3.5 Violation Enforcement/Processing/Collections

The Contractor shall support the violation enforcement, processing and collections process in accordance with the SANDAG Business Rules and in accordance with the California State laws and legislation. 1. Toll Evasion Legislation Compliance: The CSC/VPC shall ensure that the violation processing

noticing timelines shall meet the requirements of the legislation and SADNAG Business Rules.

2. Image Processing, Manual and OCR: The CSC/VPC shall manually verify the license plate number and State extracted by the OCR software. Where OCR extraction was not successful the image review clerk shall enter the data manually. If supervisory review is required, the supervisor shall review the image.

3. Department of Motor Vehicles Lookup: If the DMV interface to a specific State is not automated, the CSC/VPC staff shall ensure the data is obtained manually.

4. Address Match: If the System detected a near or partial match of DMV data to a customer account, the CSC/VPC staff shall verify the data, contact the customer and post the violation as plate toll.

5. Violation Notice Processing: The CSC/VPC shall institute QA procedures to spot check violation notices before they are mailed. Violation notices shall be mailed out within the timeline established under the performance section.

6. Invalid Account Processing: The CSC/VPC shall sent an Invalid Account notification letter and account delinquent letter customers whose account has been identified as having reached the negative balance threshold.

7. HOV Suspend Account Processing: If a HOV account is considered suspended, the CSC/VPC shall send the customer an Account Suspended letter.

8. Administrative Reviews: If a violator requested an administrative review, the CSC/VPC shall schedule the review and respond to the violator.

9. Payment Processing: The CSC/VPC shall process all violation payments submitted to the CSC.

10. Collections and DMV Registration Hold: If a violation is not collectible through the violation noticing process, it shall be processed for collections or DMV hold in accordance with the SANDAG Business Rules. The Contractor shall be responsible for placing a registration hold, or DMV Hold, with the Department of Motor Vehicles. For those cases that are sent to SANDAG’s collections agency, the Contractor shall coordinate the collection efforts with the collections agency. There are instances in which gross violators are referred to the collection’s attorney.

11. Collection through Court: If SANDAG decides to pursue a violation through court, the Contractor shall provide the witness and the necessary document to prosecute the case. The Contractor shall also coordinate the civil judgment efforts with the attorney, or as directed by SANDAG. Legal fees incurred in the prosecution of toll violators shall be paid by SANDAG. Examples of coordination efforts include; verification of liability, preparation of summary of research findings, create case folder on all violators whose liability has been verified.

12. Violator Disputes and Resolution: All violator disputes shall be resolved by the Contractor in accordance with the SANDAG violation polices and the results of the dispute review shall be


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transmitted to the violator. If a violator was confirmed to be a valid FasTrak™ or Interoperable customer, the violation shall be converted to a plate toll.

13. Uncollectible Violations: For those cases that are deemed uncollectible after all reasonable efforts are expended to achieve collection, the Contractor shall provide SANDAG with the information needed as to the amount of write-off which are in accordance with SANDAG’s policies and procedures.

14. Vehicle Matching: For image where there are no license plates that can be manually or automatically extracted, the System will perform a vehicle match. The CSC/VPC shall review such vehicles and forward the information to CHP if they are found to repeatedly violate the I-15 ML.

15. Interaction with CHP: Citations issued by the CHP on-site needs to be entered into the system and the Contractor shall work with the CHP officers in ensuring the data is entered into the system. Monthly reports showing the daily citations shall be provided to SANDAG.

8.3.6 Mail Processing

1. Incoming Mail: On a daily basis, the CSC/VPC receives different types of mail (including faxes) from customer, as well as violators. All incoming mail shall date stamped, recorded into the system, categorized and assigned to the appropriate CSC/VPC staff for processing.

2. Scanning: All in-coming customer and violation correspondences shall be scanned and associated with the customer/violation account. After confirmation for the scanned image, the correspondence shall be shredded.

3. Workflow Process: The Contractor shall develop a workflow process that clearly documents the handling of in-coming mail and the CSC/VPC Project Manager shall ensure that checks are instituted to ensure all in-coming correspondence is reviewed and addressed.

4. Outgoing Mail: The Contractor can choose to process outgoing mail in-house or contract out these services. The Contractor shall establish procedures to provide timely, careful and efficient handling of all outgoing mail. The date and time of mailing correspondences, especially violation notices shall be recorded into the System.

8.3.7 Customer Communications

1. Customer Walk-ins: The Contractor shall ensure that there is sufficient staff at walk-in counters to assist customers. All of the customer needs shall be handled efficiently and with courtesy.

2. Call Center and Voice Response System: Voice mails left by customer on the IVR System shall be accessed on a daily basis and concerns/issues addressed. All such actions shall be entered into the customer account as account notes.

3. Customer Contacts/Notifications: The CSC/VPC shall ensure that customer accounts are monitored on the regular basis and customer notified electronically or through mail of account related issues.

4. Customer Electronic Communications: All comments and concerns submitted electronically (email or webs) shall be addressed expeditiously.


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5. Customer Complaints Resolution: Customer complaints shall be responded to in writing regardless of their mode of submission. The CSC/VPC Project Manager shall review the list of complaints on a daily basis and make sure they are addressed. SANDAG shall be notified immediately if there are any critical comments that need immediate attention.

6. Marketing and Outreach, Including Optional Services: The Contractor shall conduct marketing and outreach programs to ensure the I-15 ML customer are kept to date on the program activities. Customer feedback shall be solicited at regular intervals as specified in this Agreement to ensure customers are satisfied with their experience on the I-15 ML. Suggestions for improvements shall be addressed and brought to SANDAG’s attention.

8.4 Front Office Performance and Measurement Requirements

Contractor performance shall be rated based on measured customer satisfaction and on operational, processing and financial performance. Measurement and reporting of the performance requirements shall be developed and implemented by the Contractor and shall be approved by SANDAG. The Contractor shall facilitate performance monitoring by reporting performance in clearly measurable terms and, wherever possible, using automated means. SANDAG will monitor actual Contractor’s performance for compliance with the quantitative performance standards as described herein. The Contractor shall be required to meet all of the functional and operational performance requirements detailed in this Scope of Work. The Contractor shall report any deviation from performance standards to SANDAG. Standard reports or audits shall be used to measure whether the performance standard has been met. Where reports are used to measure performance, standard reports shall be generated by the Contractor and provided to SANDAG on a weekly basis, or as otherwise directed by SANDAG. The data and reports shall be automated and integrated into the CSC/VPC System unless otherwise approved by SANDAG. The reports shall be in a format approved by SANDAG. The types of reports, their frequency and formats shall be submitted by the Contractor to SANDAG as a part of the CSC/VPC Operation Plan. 8.4.1 Performance Summary

The Contractor shall meet the operational performance standards identified in Table 4.0.

Table 4.0 - Performance Standards

Performance Parameter Sub-function Performance Standard Penalty

Front Office Plans and Manuals Submit Update w/in 30 days of change

$50 per incident

Documentation Monitoring Reports Submit periodically, as defined for each type of monitoring report. Shall be measured monthly on 6-month rolling average.

$250 per month per failure


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Customer-related Correspondence Respond within 2 Business Days. 6-month rolling average.


Front Office Operations - Correspondence

Accounting of Correspondence Response Data

Monthly and Annual $250 per month per failure

Ship all Transponders Within 2 Business Days $10 per incident per week

Send Recall Letter Within 15 Business Days of “at-risk” transponder identification.

$10 per transponder per week delay

Transponder Supply and Full Inventory Accounting

Minimum Two Month Supply and Maintain Inventory

$50 per incident

Front Office Operations - Transponders

Maintain Accurate Inventory $50 per transponder

Payments Deposited and Recorded

Within One Business Day of Receipt

$500 per incident + lost revenue

End of Day Procedures and Deposit Proofs

Complete Daily $500 per incident + lost revenue

Front Office Operations - Funds Accounting

Financial Discrepancies Resolved and Month Closed

Within 15 Days of Month-end $500 per occurrence per day delay.

Post all Check Payments Within Two Business Days of Receipt

$100 per payment per failure

Accounting of the Payments Monthly and Annual $100 for each month

Investigate of all Payment Failures Within Three Business Days of Notification

$100 per incident

Mail all Credit Card Expiration Notices

30-days Prior to Expiration $50 per incident

Front office Operations - Payment Processing

Mail all Account Balance Low Notifications

Within Two Business Days $50 per incident

Valid Customer Complaints One per 5,000 Accounts per Month

$100 per valid complaint above threshold Front office Operations -

Customer Complaints Report major customer complaints Within 24 Hours of Receipt $500 per incident per

failure

Manually Review 85% of all Violation Images

Within Two Business Days $500 per day for each excess day

Manually Review 100% of all Violation Images

Within Five Business Days $500 per day for each excess day

Violations Processing - Image Review

Accuracy of License Plate Data 99.9% $100 per incorrect data


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Mailing of Violation Notices In Accordance with Current California Vehicle Code

$50 per incident

Post all Violation Payments Within Two Business Day of Receipt

$50 per incident

Notice Correct Owner $100 per incorrect noticing

Violations Processing - Violations Notices and Payments

Process Violation Disputes Within Two Business Days $50 per day for each day of delay

Average Abandon Rate Not more than 5% per Month $500 per month per failure

Average Wait Time for a CSR Not to Exceed Two Minutes Per month


Maximum telephone Wait Time for a CSR

Not to Exceed Ten Minutes $50 per incident

Monitoring of IVR Calls and Submit Performance Report

1% $250 per failure

IVR Operations

8.4.2 Reporting Requirements and Performance Timeframes

• The Contractor shall update and maintain all front office plans and manuals within 30 days of a change in operations.

• For failure to provide updates to all front office plans and manuals within 30 days of the change, the Contractor shall be subject to a penalty of $50 per incident.

• The Contractor shall submit adequate monitoring reports and supporting data periodically, as defined for each type of monitoring report. Submission shall be measured monthly on 6-month rolling average.

• The Contractor shall provide all weekly reports, covering Sunday to Sunday, by 12:00 PM on Monday of the following week for which the report is current and all monthly reports within 5 business days of the end of the month.

For failure to provide the weekly and monthly monitoring reports as specified, the Contractor shall be subject to a penalty of $250 per month per failure. 8.4.3 Front Office Operations, Performance Requirements, and Penalties

8.4.3.1 Correspondence

• The Contractor shall respond to all customer and customer-related correspondence within two (2) business days of the receipt date. This includes all mail, email and faxes. This response time includes the updating the customer’s account information in the system. Contractor’s response to all customer and customer-related correspondence shall be based on a 6-month rolling average.


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For Contractor’s failure to respond to all customer and customer-related correspondence within two (2) business days of the date of the receipt date, the Contractor shall be subject to a penalty of $250 per month per failure.

• The Contractor shall maintain monthly and annual accounting of correspondence response data.

For Contractor’s failure to maintain a monthly and annual accounting of correspondence response data, the Contractor shall be subject to a penalty of $250 per month per failure.

8.4.3.2 Transponders

• The Contractor shall ship all transponders and new account information within two business days from receipt of a customer request. Requests may be generated from the IVR System, mail, email, web, fax and walk-in applications. The date and time of receipt of all materials shall be clearly identified by the Contractor in supporting documentation or in the case of mail, a stamped receipt date.

For the Contractor’s failure to ship transponders and establish a new account within two business days from receipt of customer request, the Contractor shall be subject to a penalty in the amount of $10 per failure incident per week delay from the receipt of original request date.

• The Contractor shall manage the transponder recall process as described in Section 8.3.4 of this Scope of Work to ensure that all “at-risk” transponders are promptly recalled and removed from circulation. The Contractor shall generate ‘At-Risk Transponders Report’ and initiate the transponder recall process by notifying the customer of the “at-risk” transponder within 15 business days following the date that said transponder first appeared on the ‘At Risk Transponders Report’.

For the Contractor’s failure to notify any account with an assigned transponder that is listed on the At-Risk Transponders Report, the Contractor shall be subject to a penalty in the amount of $10 per transponder per week delay from the date occurring 15 business days following the date that said transponder first appeared on the ‘At Risk Transponders Report’.

• After the start-up of CSC/VPC, and the opening of Stage 1 on the I-15 ML, the Contractor shall maintain a minimum of two-month supply of transponders based on the weekly account set up rate. The number of months of transponders on-hand shall be adjusted based on the actual lead time for transponders.

For the Contractor’s failure to maintain appropriate transponders on-hand, the Contractor shall be subject to a penalty in the amount of $50 per incident.

• The Contractor shall also accurately account for, and maintain an accurate inventory of all transponders at all times. The adequate level of transponders shall be established in the Operations Plan and approved by SANDAG.

For the Contractor’s failure to accurately account for, and maintain an accurate inventory of all transponders at all time, the Contractor shall be subject to a penalty in the amount of $50 per transponder not accounted for or properly inventoried.


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8.4.3.3 Funds Accounting

• The Contractor shall ensure all cash, money order, and check payments are deposited and corresponding system entries recorded within one business day of receipt.

• The Contractor shall ensure all CSR end of day procedures and deposit proofs are completed daily.

• The Contractor shall provide for accurate and full accounting of all funds in its reporting for every Business Day.

For the Contractor’s failure to accurately account for all funds the Contractor shall be subject to a penalty in the amount of $500 per incident, in addition to the payment to SANDAG of any lost revenues associated with the incident.

• The Contractor shall ensure that all financial discrepancies are investigated and resolved and each month is closed within 15 days of month-end.

For the Contractor’s failure to close each month within 15 days of month-end, the Contractor shall be subject to a penalty in the amount of $500 per occurrence for each day delayed past the 15th of each month.

8.4.3.4 Payment Processing

• The Contractor shall post all check payments to customer accounts within two business days of receipt of such payments.

For Contractor’s failure to post payments to customer accounts within two business days of the date of the receipt, the Contractor shall be subject to a penalty of $100 per payment not posted to an account within two business days.

• The Contractor shall complete all investigations of all credit card charge-backs and returned checks within three business days of notification of a charge back or return check.

For Contractor’s failure to complete such investigation within the three business days, the Contractor shall be subject to a penalty of $100 per incident.

• The Contractor shall mail all credit card expiration notices no later than 30-days prior to expiration.

• The Contractor shall mail all account balance low notifications to customers within two business days of the account reaching low balance threshold.

For Contractor’s failure to mail expiration notices and account balance low notifications within the 30 day requirement, the Contractor shall be subject to a penalty of $50 per incident.

8.4.3.5 Customer Complaints

• Customer complaints regarding the level or quality of customer service provided by the Contractor and determined to be valid and substantiated shall not exceed one per 5,000 accounts per month.

For each valid complaint that exceeds the one in 5,000 threshold, the Contractor shall be subject to a penalty of $100.


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• The Contractor shall be responsible for reporting all major customer complaints, as defined in the Operations Plan, to SANDAG within 24 hours of receipt of the complaint. The report shall include a detailed description of the complaint, how the complaint was handled, and any required remedial actions taken to prevent reoccurrence of the complaint.

The Contractor shall be subject to a penalty of $500 per incident for failure to report a major customer complaint within the 24 hour timeframe.

8.4.4 Violations Processing

8.4.4.1 Image Review

• The Contractor shall ensure that 85% of all violation images are manually reviewed within two business days of receipt by the image server and that 100% of all violations are manually reviewed within five business days of receipt by the image server.

For the Contractor’s failure to image reviews within the above stated periods, the Contractor shall be subject to a penalty in the amount of $500 per day for each day the review requirement is not met.

• The Contractor shall ensure 99.9% accuracy for all license plate data entered into the system after the image review process.

For Contractor’s failure to maintain the accuracy level at the 99.9% criteria, the Contractor shall be subject to a penalty of $100 per incorrect license plate number or state. 8.4.4.2 Violations Notices and Payments

• The Contractor shall ensure that all violators that are deemed pursuable by the System in accordance with SANDAG Business Rules shall be mailed a violation notice in accordance with the requirements of the current California Vehicle Code.

• The Contractor shall post all violation payments to a violation account within two (2) business day of receipt of payment.

For the Contractor’s failure to process and mail violation notices and to post payments within the required timeframes, the Contractor shall be subject to a penalty of $50 per incident.

• The Contractor shall ensure that a violation notice is sent to the correct registered owner of the vehicle that violated the I-15 ML.

For the Contractor’s failure to notice the correct registered owner of the vehicle, due solely to Contractor actions, that violated the I-15 ML, the Contractor shall be subject to a penalty in the amount of $100 per incorrect noticing.

• The Contractor shall process violation disputes within two (2) business days of receipt of notice of a dispute.

For the Contractor’s failure to process the disputes within the timeframe specified, the Contractor shall be subject to a penalty in the amount of $50 per day for each day of delay.


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8.4.5 IVR Operations

• The average abandon rate of monthly incoming calls transferred by the IVR System to a CSR shall not exceed five percent (5%).

For instances where the monthly average abandon rate exceeds five percent, the Contractor shall be subject to a penalty of $500 per month.

• The Contractor shall ensure that the average wait time for a CSR shall not exceed a monthly average of two minutes.

For instances where the monthly average wait time exceeds two minutes, the Contractor shall be subject to a penalty of $500 per month.

• The Contractor shall ensure that the maximum telephone wait time for a CSR shall not exceed ten minutes.

The Contractor shall be subject to a penalty of $50 per incident for each time the wait time exceeds ten minutes.

• A minimum of one percent of IVR calls shall be monitored by a supervisor or manager to determine CSR accuracy, efficiency, professionalism and courteousness. All CSRs shall be regularly monitored for performance and performance reports shall be provided to SANDAG.

Failure to submit supporting documentation shall subject the Contractor to a penalty described in Section 8.4.2.

8.5 Incentive Payments

The Contractor shall be eligible for an incentive payment in the event that the performance standards described in Section 8.4 are met for six (6) consecutive months. In such event, the Contractor shall be eligible for an incentive payment of 10% of the fixed-portion monthly fee, subject to SANDAG approval. Although the incentive payment is not guaranteed, the incentive payment would not be unreasonably withheld by SANDAG. Performance will be reviewed semi-annually in January and July of each year. A maximum of two (2) incentive payments per year will be considered. 8.6 Program Management

8.6.1 Key Personnel

The Contractor shall provide the management personnel for the administration and day to day management of the I-15 ML front office operations. All management personnel shall be approved by SANDAG. The Contractor shall identify backup personnel in the absence of the key staff. The Contractor shall provide the following key personnel: 8.6.1.1 Front Office Manager

The primary responsibilities of the Manager are the administration, management and of the I-15 ML CSC and VPC operations and interface with SANDAG management.


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The CSC/VPC Manager shall maintain a close liaison with and provide rapid response to the I-15 ML SANDAG staff and/or Management for all day-to-day project operational matters and on matters including policy, administration, accounting, quality control, marketing and customer service. The CSC/VPC Manager shall be responsible for all contract-related fiscal matters, and shall ensure the timely delivery of all reports required by SANDAG Management and this Agreement. The CSC/VPC Manager shall also be responsible for the hiring of all personnel for the front office operations of the I-15 ML System. The CSC/VPC Manager shall be responsible for the supervision of the CSC and VPC supervisors and ensure the daily financial reconciliation of all CSC and VPC funds. Examples of the Manager’s daily operations activities include, but are not limited to, customer contact and account setup assistance; correspondence management; public relations assistance; management of the marketing program, and oversight of the following activities: account management and violations processing functions; account adjustments, collection of revenues; dispute resolution; auditing; reconciliation, and preparation of status reports. 8.6.1.2 Customer Service Center (CSC) Supervisor

The CSC Supervisor shall be the first line manager responsible for all front office related operations, including but not limited to, all aspects of customer interface, customer account management and support, account maintenance, transponder management, mail, phone system response and operation, and shift reconciliation. The CSC Supervisor shall ensure all walk-in facilities are staffed properly and shall interface with customers regarding complaints. The supervisor shall supervise and train all CSRs and shall be responsible for ongoing oversight of CSR performance and quality control. 8.6.1.3 Violation Processing Center (VPC) Supervisor

The VPC Supervisor shall be the first line manager responsible for the daily supervision of all VPC operations. The VPC Supervisor shall monitor the violation image review process and ensure that violation image reviews are up to date. The VPC Supervisor shall also monitor the violation notice processing, violation payments and violation dispute resolution. The Supervisor shall supervise and train all VPC clerks and shall be responsible for ongoing oversight of VPC clerk performance and quality control. The VPC supervisor shall ensure that there are sufficient image review clerks and there is no image review backlog. This position requires a full understanding of the violation processing function and technology, the California Vehicle Code and related legislation as they apply to the handling of toll violations. A good understanding of the SANDAG HOV policies is also required. 8.6.1.4 Finance Manager

The Finance Manager’s primary duty is to manage all financial operations of the front office and to supervise functions including the audit and confirmation of financial data recorded in the Contractor’s toll collection system and to support the financial requirements of the front office operations. This includes, but is not limited to, the following management responsibilities: • Establish financial audit and control policies and procedures that shall be instituted in the operations

of the CSC/VPC.


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• Ensure that the CSC/VPC operations and money handling procedures are in accordance with Generally Accepted Accounting Principles (GAAP).

• Ensure that checks and balances are instituted to minimize errors and omissions.

• Design the appropriate GL account structure for assets, liabilities, revenue, and expense in the I-15 toll collection software that needs to be posted against SANDAG’s general ledger account in its IFAS system.

• Record all financial activity in the general ledger.

• On a daily basis generate the trial balance and ensure that the accounts balance.

• Perform monthly reconciliations of all general ledger accounts.

• Perform monthly bank reconciliations.

• Provide monthly general ledger activity for SANDAG in a downloadable format compatible with SANDAG’s IFAS system.

• Meet with SANDAG as required to review the financial reconciliation of revenue and funds.

• Manage the I-15 FasTrak Enterprise fund and sign checks mailed to customers and vendors.

• Manage and control check issuance, redemptions/cancellations, stop payments, voids, reissues and stale date of checks.

• Receive process and pay vendor invoices related to the I-15 ML front office operation.

• Generate billings related to interoperability agreements.

• Prepare monthly the I-15 FasTrak Enterprise fund financial statements including a Statement of Net Assets, Statement of Revenues, Expenses, and Changes in Fund Net Assets and Statement of Cash Flows Accompanying note disclosures shall be included as needed for fair presentation of the fund’s finances in accordance with GAAP.

• Maintain internal controls at a level acceptable to SANDAG’s auditor(s) and management.

• Be responsible for waivers and write-off that need supervisor approval as defined in the SANDAG Business Rules developed during the design phase.

• Track, report and depreciate fixed assets.

• Provide ad hoc information to SANDAG Management upon request.

• Provide all information requested by SANDAG’s auditor(s) and Management in accordance with the audit schedule.

8.6.2 CSC/VPC Documentation

It shall be the Contractor’s responsibility to ensure that all CSC/VPC documents provided under this Scope of Work are updated on a regular basis and remain current.


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8.6.2.1 Transition Plan

The Contractor shall be prepared to commence the training and transition services for the front office operations at least 90-days prior to the opening of Stage 1 of I-15 ML toll collection system, the Middle Segment to traffic. Transition services shall include any coordination with SANDAG and the existing operations Contractor to ensure a seamless transition and continued front office operations. A CSC/VPC transition plan that meets the requirements of Section 3.0 shall be submitted to SANDAG 90 days prior to the commencement of the CSC/VPC transition and must be approved prior to the commencement of the transition tasks. The transition plan should also address accommodation of the planned stages to be added to the I-15 ML System as described in this Scope of Work. In the event that SANDAG terminates its agreement with the current CSC/VPC operator upon the expiration date of the current contract, July 1, 2007, the Contractor shall assume responsibilities for the operation of the current FasTrak™ system (Maintenance, back-office operations and front office operations) until such time as the new I-15 ML toll collection system (lane and back-office) is installed and operational on the existing eight mile segment and the Middle Segment. The Contractor shall provide a plan for takeover of this service prior to the implementation of the new I-15 ML toll collection system as described in this Scope of Work. 8.6.2.2 Operations Plan

In accordance with Section 6.8.2.2.2, the Contractor shall develop, maintain and update CSC/VPC Operations Plan. A preliminary CSC/VPC Operations Plan outlining front office operational requirements is included as RFP Attachment J Draft I-15 ML CSC/VPC Operations Plan. The CSC/VPC Operations Plan shall be submitted to SANDAG no later than 90 days prior to the commencement of the I-15 ML operations. The approved CSC/VPC Operations Plan shall be the basis and guide for front office operations. Revisions to operations policies and procedures shall be incorporated into the CSC/VPC Operations Plan by the Contractor and submitted to SANDAG for approval. The CSC/VPC Operation Plan shall meet the Manual Requirements of this Agreement described in Section 6.8 of this Scope of Work. The Operations Plan shall describe all aspects of the front office operations. At a minimum the plan shall include, but not be limited to: • Organizational Chart; • Personnel Listing and Information; • Job Descriptions; • Hours of Operation; • Performance Criteria and Measurement Standards; • Identification of Reports with Format and Frequencies; • Human Resource Management Policies and Procedures; • Policies and Procedures for Every CSC/VPC Function; • Customer Record Control; • All Forms and Letters;


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• Quality Control; • Document Control; • Interoperability; • Security Plan; and • Disaster Recovery Plan.

8.6.2.3 FasTrak Business Rules and Policies Document

The Contractor shall create and maintain a concise summary of FasTrak Business Rules and Policies that affect any customer doing business with SANDAG’s FasTrak office. The document shall explain clearly each policy or business rule and what the responsibilities of the customer are as they relate to the policies and business rules. Contractor shall be responsible for recommending revisions to the FasTrak Business Rules and Policies Document that are necessitated by an operational change to the FasTrak program or for other valid reason. 8.6.2.4 Staffing Plan

The Staffing Plan shall identify all required positions, both temporary and permanent and shall be approved by SANDAG. The Staffing Plan shall be periodically updated, and a listing of all staffing personnel shall be submittal to SANDAG. 8.6.2.5 Training Plan

The Contractor shall develop and maintain a Training Plan. This plan shall be submitted no later than 90 days prior to the commencement of Front Office Operations. Each time the Training Plan is revised it shall be submitted to and approved by SANDAG. The plan shall be submitted and maintained in both hard and electronic copy versions. The Training Plan shall describe the plan for training new personnel and outline required operational and system knowledge for each position to be gained from the training. For each front office position the plan shall include a training instructor guide, training manual and other materials to be used in training. Training on the IVR System shall be hands-on emulating actual calling scenarios. The plan shall also include a schedule for follow up training and continuing education for existing staff. The Training Plan shall also provide a plan for cross training staff from other areas of operations or management for peak period, emergency or temporary assignments to provide for staff redundancy. For example, CSRs should also be trained to perform violation review and processing and violation clerks should be trained to perform customer service activities. Selected, qualified personnel should also be trained to perform appropriate supervisory and manager tasks as well. The Training Plan shall also include the Training Schedule for regular staff training. 8.6.2.6 CSC/VPC User Manuals

In accordance with Section 6.8.2.2.3, the Contractor shall provide the CSC/VPC User Manuals. The CSC/VPC User Manuals shall be updated on a regular basis to reflect the CSC/VPC operational and system changes.


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8.6.2.7 CSC/VPC Training Manuals

In accordance with Section 6.11, the Contractor shall provide the CSC/VPC Training Manuals. Each CSC/VPC staff is required to be trained at regular intervals in accordance with the process established in the Training Plan as approved by SANDAG and the completion of each training session shall be documented. The CSC/VPC Training Manuals shall be updated on a regular basis to reflect the CSC/VPC operational and system changes. 8.6.3 Document Control

The Contractor shall control and keep current all manuals and documents related to those areas of CSC/VPC operations under the Contractor’s control and all revisions shall be tracked. The updated softcopy and hardcopy versions of these manuals shall be sent to SANDAG for approval when revisions are made. All documentation, electronic and otherwise, developed by the Contractor, including that developed to support training and the marketing function shall be the property of SANDAG. 8.6.4 Incident & Revenue Loss Reporting

The Contractor shall be responsible for the immediate reporting to SANDAG of any incident, discrepancy or unusual circumstance involving loss of revenue or system performance within the Contractor’s area of responsibility. The Contractor shall provide a report to SANDAG identifying the situation and actions taken to minimize any negative affect. The discrepancy reports shall include estimates of revenue lost due to such occurrences as well as a mitigation plan for possible future occurrences. 8.7 Management Operations Reporting

Contractor is responsible to prepare and submit a Monthly Management Operations Report that includes the Project Oversight Report and the Front Office Operations Reports package to SANDAG that summarize Contractor’s performance on the Project during the previous month. The report shall contain, at a minimum, the Contractor staffing and issues, performance compliance, operational statistics, summary of customer complaints (including resolution)/comments, financial reconciliation and auditing, and other front office related information. The report shall allow SANDAG to ascertain the Contractor and system performance. A final list of these documents will be developed mutually by SANDAG and the Contractor during the implementation of Stage 1 of the Project. Each Monthly Report shall be accompanied by Contractor’s invoice for the same period. SANDAG will not pay monthly fixed fee invoices that are not accompanied by an acceptable Progress Report. Each Progress Report shall contain several sections, as follows: 1. Project Oversight Report: Summarizes Contractor project activities for the reporting period,

including major accomplishments, high-level numbers, labor distribution reports, meetings and/or conference calls attended by Contractor, and invoices submitted to SANDAG during the period. The Project Oversight Report shall include copies of Contractor’s financial statements that summarize actual labor hours charged to the Project by position for front office operations. The Project Oversight Report shall also include an updated Action Items List that tracks all “open items” to be resolved by Contractor in conjunction or per the direction of SANDAG; which shall include task, owner, status, date due/completed, and notes pertaining to the completion of each task.


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2. Front Office Operations Reports: Various reports as described in this Scope of Work for the System that summarize account and front office operations activity during the reporting period. During project implementation SANDAG and the Contractor will agree to the exact reporting requirements for the front office operations. The Front Office Operations Reports shall include but not be limited to:

CSR, customer account and violations activity summaries which document trends such as call handling.

CSR performance. The summary of number of accounts opened and closed for the month by day. The number of comments/complaints, violations processed, status of accounts, status of

transponders. The hours the CSC was operational, including recognition of holidays. Fulfillment methods (e.g., telephone/facsimile, email, Web, walk-in), and related items. Customer complaints and questions/comments received at the CSC (by phone, fax, email, Web,

or in person) during the previous month from customers and from members of the general public that require further consideration by SANDAG or one of its partner agencies; which shall include a transcript of each comment/complaint, the date/time received, customer submitting (if applicable) and CSR who received the comment/complaint, and assignment of the complaint to a Comment/Complaint category.

8.8 CSC/VPC Operations

8.8.1 Front Office Hours of Operation

The following hours of operation shall be adhered to by the Contractor: • Phone: 8 A.M. to 6 P.M., Monday through Friday. At all other times a voice messaging system will

be activated to inform customers of hour of operation and emergency contact numbers. • Walk–in Facility: 8 A.M. to 6 P.M., Monday through Friday, with the exception of the following

holidays: Memorial Day; Independence Day; Labor Day; Thanksgiving Day; Christmas Day; and New Year’s Day.

8.8.2 Staffing

The Contractor shall be responsible for the adequate staffing for the full operation of the CSC and VPC operations. All staff members must understand the English language, and be a U.S. citizen or possess an Alien Registration Card. The number of personnel shall be established in the approved Staffing Plan and shall under all circumstances be adequate to meet all of the performance requirements of this Scope of Work. The staffing levels shall be adequate to process each day’s applications, transactions, violation images (as required), customer calls, in-coming/out-going mail, account replenishment, customer on-line


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correspondence, and other daily requirements within the time periods specified as requirements in this Scope of Work. The following staff positions are provided as a sample of typical CSC and VPC operations. Proposers shall provide proposed staffing levels and prices in the rate schedule RPF Attachment B.5.B Sample for Stage 1: Cost Proposal (Cost Estimate by Hours and Task). 1. Customer Service Representative

Performs all customer account management and support; Interfaces with customer for all inquiries; Perform transponder management and distribution; and Respond to all center and IVR System inquiries.

2. Violation Review Clerk

Review images to verify OCR processing or input numbers manually. 3. Violation Processing Clerk

Ensure violation notices are distributed; Review violation notices prior to notice to ensure accuracy of data; and Process violation payments.

8.9 Accounting/Financial Reporting Requirements

The Contractor shall be responsible for all financial operations, audits and reporting requirements as defined in the Operations Plan. All reports shall be made available to SANDAG in a timely manner. SANDAG uses a fiscal year ending June 30 for accounting and financial reporting purposes. As a public sector entity, the basic financial statements must be presented in compliance with statements issued by Governmental Accounting Standards Board (GASB) and in conformity with Generally Accepted Accounting Principles (GAAP). 8.9.1 Accounting Software

Contractor’s toll collection system software will be the primary system used to capture detailed financial transactions related to the operation of the I-15 ML toll collection system. A separate ledger containing the detail for all customers relative to FasTrak usage, prepaid account balances, customer receivables, transponder deposits, violation revenues, payment transactions and other revenues shall be established. All payments made and received shall be entered into the accounting software and financial statements shall be generated using this data. 8.9.2 General Ledger

Using electronic interfaces or electronic files, Contractor shall prepare all general ledger activity in a format satisfactory to SANDAG. General ledger activity includes, but is not limited to, recording of the month’s revenues, expenses, reconciliation adjustments, and other miscellaneous financial transactions. It is the Contractor’s responsibility to ensure that the recording of all financial transactions are adequately documented and supported in accordance with GAAP, GASB Statements, and SANDAG policies and


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procedures. All formats of interfaces and files must be pre-approved by SANDAG to ensure compatibility with the IFAS system. 8.9.3 Monthly Reconciliation

The Contractor shall perform the following reconciliations: • Reconcile the SANDAG FasTrakTM bank account on a monthly basis and prepare adjusting entries

for posting. The Contractor shall specifically identify, investigate and resolve all reconciling items within 15 days of month-end.

• Reconcile all general ledger accounts to applicable subsidiary ledgers or independent source documents on a monthly basis. Contractor shall identify, investigate and resolve all reconciling items within 15 days of month-end.

• Update subsidiary ledger as necessary to reflect any adjustments. It is Contractor’s responsibility to ensure that all ledger balances are supported by appropriate source documents.

• Prepare monthly revenue and expenditure accruals/reversals for soft month-end closes in compliance with SANDAG policies and procedures.

8.9.4 Fixed Assets

It is SANDAG’s policy to capitalize assets with a value greater or equal to $5,000 and a useful life in excess of one year. The fixed assets are depreciated using the straight line depreciation method. It shall be Contractor’s responsibility to track, update, report and depreciate fixed assets in compliance with GASB, GAAP, and SANDAG policies and procedures. Furthermore, SANDAG requires that an annual fixed asset inventory be conducted in accordance with the annual audit schedule. Contractor shall coordinate the annual inventory process with SANDAG’s auditors and management. A listing of all fixed assets associated with SANDAG’s existing I-15 reversible lanes FasTrak toll collection system is included as RFP Attachment Y SANDAG I-15 FasTrak™ Major Asset Listing for Existing Reversible Lanes. 8.9.5 Cash Management

Adequate cash should be maintained in the SANDAG bank account in order to make immediate disbursements. Excess balances should be transferred to a SANDAG investment account to maximize interest earnings. 8.9.6 Audits and Financial Reporting

SANDAG or a designated third party shall annually perform an audit of the front office operations. As accountant for the I-15 ML front end operations, Contractor shall supply SANDAG’s auditor(s) and management with information and schedules as requested and provide unlimited access to SANDAG’s auditor(s) and management in order for them to conduct audits in accordance with Governmental Auditing Standards. The Contractor shall support SANDAG by executing reports and making all documentation available for review. The auditor reports will be provided to SANDAG management and to the Contractor.


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If the auditor recommends procedural or operational changes, then at the direction of SANDAG, the Contractor shall institute such changes on a timely basis. 8.9.7 Financial Statements and Reports

The Financial Statements and Reports consist of various reports as described in this Scope of Work that summarize the financial and operational performance of the I-15 ML System. During the implementation of the system, the exact reports and the reporting requirements for these reports shall be finalized and included in the Operations Plan. Contractor personnel shall run the reports as further described in the Operations Plan and provide them to SANDAG as specified. The Contractor shall also need to respond to SANDAG requests for additional reports on a periodic basis. 8.10 Armored Car Service

During the implementation of I-15 ML front office operations, if it is decided that armored car services are required, then the Contractor shall contract with an armored car service to transfer money to the bank. 8.11 Marketing Services (Optional – Priced Separately)

A separate bid to assume responsibility for the following Marketing Services option is requested. The Contractor shall provide support of the I-15 ML and SANDAG marketing activities. These services are to be available for use by I-15 on an as-needed, optional basis. SANDAG understands that the scope of services described below is open-ended in terms of the quantity, frequency and specific level of services to be provided. Therefore, in its proposal Contractor shall identify the level of service provided for each marketing element, including where applicable, quantity, frequency and a detailed description of product being provided. The objectives of the I-15 ML FasTrak Marketing Services option are to develop marketing and advertising efforts to increase public awareness and usage of the I-15 ML, as well as to promote a positive image among the general public and target markets of SANDAG and the I-15 ML. The Contractor shall coordinate efforts with SANDAG-designated vendors in the development of all collateral materials, marketing communication tools, and mail and fulfillment services for the I-15 ML. This includes, but is not limited to: • Project launch and branding; • Marketing plan and strategies; • Customer communications; • Public relations and advertising; • Annual report development; • Market research and focus groups; and • Other public outreach. As part of the Marketing services option, Contractor shall also: • Develop and submit a DRAFT annual budget for marketing services to SANDAG.


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• Implement and administer the annual project budget that is approved by SANDAG. • Administer and coordinate sub-consultant vendor contracts. • Prepare reports and presentations for SANDAG management. The following sections detail the services to be provided by the Contractor. 8.11.1 I-15 Managed Lanes (ML) Project Launch

The Contractor shall develop an overall marketing strategy tied to the opening of the first stage of the I-15 ML between State Route 56/Ted Williams Parkway and Lake Hodges, which shall include an assortment of marketing and promotional efforts including, but not limited to: press releases, print and/or broadcast advertising, promotional materials, branding, promotional efforts and incentive offers. Contractor shall launch the project in an effective manner that maximizes the public’s measurable awareness of the I-15 ML project and increases the public’s likelihood to use the I-15 ML. The launch shall have a defined schedule for each marketing/advertising component. The first task is to participate in the creation of a new brand for SANDAG’s FasTrak Program and I-15 ML that will be incorporated into all future messaging. Contractor shall submit brand concepts to SANDAG for review, and shall facilitate one or more workshops with SANDAG management and key stakeholders to test the brand concepts and obtain consensus for a preferred brand. The FasTrak branding will be a subset of the overall I-15 ML corridor branding and should be seamlessly integrated with the I-15 Bus Rapid Transit (BRT) system branding as well as the region’s affiliated trademarks such as SANDAG’s COMPASS transit fare collection smart card. The initial launch will culminate in the opening of the first stage, but the Project will include smaller launches for each subsequent stage of the I-15 ML project (Stage 2 - North Segment – estimated opening 2011; Stage 3 – South Segment – estimated opening 2012). 8.11.2 Marketing Plans / Strategies

The Contractor shall develop a five-year Marketing Plan that includes annual marketing strategies to promote public awareness and usage of the I-15 ML. Upon approval by SANDAG, the Contractor shall implement the Marketing Plan and advertising efforts. The Contractor shall develop partnerships/sponsorships, advertising, and other marketing efforts, as directed by SANDAG. The Contractor shall provide to SANDAG, on a regular basis and upon request, the updated status of the tasks and action items related to the marketing plan. Specifically, the Marketing Plan shall address: • Key messages; • Target audience; • Marketing objectives; and • A resource plan. 8.11.3 Customer Communications

The Contractor shall be responsible for the development of the following recurrent marketing materials, all of which require prior approval by SANDAG:


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• Customer newsletters – electronic and printed format; • Brochures and fact sheets; • Welcome kit materials; • Flyers for special events or announcements; • Banners for promotional events; • Advertisements; and • Other marketing collateral. 8.11.4 Welcome Kit Development

The Contractor shall develop a Welcome Kit for all new or prospective I-15 ML FasTrak customers that provides sufficient information to assist the patron in establishing an account with SANDAG, in setting up said account, in providing orientation on the policies and procedures that affect all FasTrak customers, and in explaining how the lanes operate and how customer shall be permitted to use said lanes. Where existing versions of the Welcome Kit contents exist, SANDAG will forward a copy to the Contractor upon notice to proceed and Contractor shall update the documents to ensure consistency with the I-15 ML toll collection system and Business Rules. The Welcome Kit shall be available in electronic and print formats and made accessible at the CSC/VPC, for walk-in traffic, and on SANDAG’s FasTrak Web site. The Welcome Kit(s) shall consist of, but not be limited to, the following items: 1. Welcome Letter (Welcome Kit Cover Letter): Describes basic information on the I-15 ML, such as

the hours of operation, basis for pricing (e.g., per-mile, dynamic) and access options (e.g., HOV, SOV/FasTrak); and serves to introduce the other elements of the Welcome Kit and to advise where a patron can find additional information and how to contact the CSC/VPC.

2. Account Application Form: Print version should enable fields be completed by hand and returned by facsimile, in person, or by first-class mail. Electronic versions should include:

Web form fields that are dynamically filled in and submitted in real-time. Adobe Acrobat (.pdf) document that is write-protected and allows only certain fields to be filled in

electronically. The .pdf Application shall permit the user to save and print the document. 3. FasTrak License Agreement: Contractor shall be responsible for recommending revisions to the

FasTrak License Agreement that are necessitated by an operational change to the FasTrak program or for other valid reason.

4. Transponder Mounting Instructions: Brochure maintained by Contractor with approval from SANDAG that describes the correct procedure(s) for installing and mounting a transponder (may have more than one set of instructions for HOV and SOV transponders). The Contractor shall be responsible for making revisions to the Transponder Mounting Instructions that are necessitated by an operational change to the FasTrak program.

5. I-15 ML Pricing Fact Sheet and Simplified Toll Schedules: The Contractor shall create and maintain a Fact Sheet that explains the unique method of pricing that is employed by SANDAG on the I-15 ML. The Pricing Fact Sheet shall include a description of the approved pricing method, currently skewed, per-mile, dynamic pricing; as well as a high-level description of the conditions that affect pricing, e.g., level of service and value of time. The Pricing Fact Sheet shall also include one or more


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easy-to-interpret diagrams that summarize the range of tolls that can be expected for any trip pair (i.e., for each entry and exit location pair) and refer the reader to SANDAG’s Web page where a specific trip cost estimate can be requested.

6. Schedule of Fees: The Contractor shall create and maintain a Schedule of Fees that describes all of the types of fees that Contractor could charge to a customer that is in compliance or out of compliance with SANDAG’s established Business Rules and Policies for the I-15 ML FasTrak system. The Schedule of Fees shall designate for each fee type the amount of the fee and the justification for when said fee may be levied. The Schedule of Fees should include, but not be limited to, the following types of fees: Account Inactivity Fee, Account Statement Fee (mail), Declined Credit Card Fee, Returned Check (NSF) Fee, Account Negative Balance Fee, Collections Agency Fee, Damaged/Lost or Stolen Transponder Fee. The Contractor shall be responsible for recommending revisions to the Schedule of Fees that are necessitated by an operational change to the FasTrak program or for other valid reason, subject to SANDAG approval. Contractor shall ensure that all fees collected are done so in accordance with the approved revision to the Schedule of Fees.

7. Customer Orientation Video: The Contractor shall produce, with SANDAG’s prior authorization, a 3-5 minute video clip that is designed to first introduce the I-15 ML and SANDAG’s FasTrak system to the viewer, and second, to more specifically to provide orientation on how to use the system. Contractor shall obtain approval from SANDAG at each step in the development of the Customer Orientation Video to ensure the message and content is consistent with SANDAG’s objective for this video. An outline of the expected phases of the video’s development, between which SANDAG approval to proceed will be required, follows:

Storyboard development; Script development (includes video narration, on-screen interviews, and background audio); Casting; Production; Post-Production; and Transfer: The Customer Orientation Video shall be post-edited for dissemination in multiple

formats, including DVD-ROM, DV-R, Mini-DV, and shall be made available in common Web-accessible video formats for download from SANDAG’s FasTrak Web site.

8.11.5 Web Site Content Support

The Contractor shall be responsible for providing timely notifications for web site content updates that are necessitated by an operational change to the FasTrak program. The Contractor shall draft and propose content as appropriate and coordinate with the SANDAG’s Web master, or any designee of SANDAG, to ensure timely update to the information on SANDAG’s FasTrak/I-15 ML web pages. 8.11.6 Media and Advertising

The Contractor shall regularly communicate with the media and provide project-related data with approval from SANDAG. The contractor will direct inquiries from the media and interview requests to SANDAG staff. Contractor shall develop an advertising strategy as part of its overall marketing plan and coordinate periodic print/web/radio/or television advertising spots. Contractor shall represent SANDAG at meetings and other events as requested by SANDAG to promote the I-15 ML project, including tours and presentations for visiting officials, scholars, or other entities interested in the I-15 ML.


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8.11.7 Annual Report Development

The Contractor shall be responsible for the conceptualization and development of an Annual Report for the I-15 ML, including summary of FasTrak and HOV lane developments during the reporting period (SANDAG’s fiscal year). The Annual Report shall include operational, performance, revenue, violations/enforcement, and customer satisfaction highlights in addition to the Project’s audited annual financial statements. Preparation of the Annual Report will involve coordination with SANDAG’s Finance Department, as well as other SANDAG departments. 8.11.8 Market Research/Focus Groups

The Contractor shall be responsible in coordinating efforts with SANDAG’s Service Bureau Division and/or an external market research firm to conduct periodic satisfaction surveys of the general public and SANDAG’s FasTrak customers. These surveys should measure existing awareness and customer satisfaction of the I-15 ML project. Contractor shall analyze, interpret, and integrate qualitative and quantitative research methodologies for these surveys and focus groups and summarize the findings and recommendations in its periodic marketing status reports to SANDAG. The Contractor may be requested to present results from the market research and focus groups before SANDAG’s Board of Directors or any of its Policy Committees, as well as to SANDAG management. Estimated frequencies for periodic market research and focus groups include: 1. Customer Roundtables (Focus Groups): Quarterly, but not less than on a semi-annual basis; and

2. Customer Satisfaction Surveys: Annually.

8.11.9 Public Outreach

The Contractor shall develop, organize and manage public outreach related to the Project. Contractor shall coordinate and participate in the promotion of special, informational, and educational events and target market outreach. Contractor shall plan such events to attract both public and media attention. During such events, Contractor shall poll customers for level of awareness and satisfaction of service and prepare analyses with conclusions and recommendations. 8.11.10 Graphic Design

The Contractor shall also be responsible for all graphic design services associated with the Marketing services optional Scope of Work as described in Section 8.11. 8.11.11 Budget and Timeline

The Contractor shall prepare a detailed marketing budget plan to ensure effective and timely implementation of all phases. A detailed work timeline shall accompany the plan and shall be prepared using MS Project software. Contractor shall be responsible, with SANDAG approval, for establishing schedules, determining costs, monitoring expenditures, and preparing reports. In no case will work be conducted without specific prior SANDAG approval. Such work will be considered outside the scope of this project and subject to non-payment.


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8.11.12 Document Control

All documentation developed by Contractor to support the marketing function, or for any other portion of the Program prepared by the Contractor or its subcontractors under this Agreement, shall be the sole property of SANDAG. Contractor shall maintain an inventory of any such documentation it or its subcontractors should develop. This documentation includes, but is not limited to, the final versions of: • Proofs; • Copy; • Press releases; • Art and art files (both electronic and hard copy); • Surveys; • Videotape or other recordings; • Scripts; • Publications; • Drawings; • Reports and other documents; • Budgets; • Databases; • Source codes; • Data sets; and • Analyses. All graphics shall be submitted for draft review as proofs in both electronic format, as Adobe Acrobat (.pdf) files, and as printed color imaging. Final graphics shall be submitted in electronic format as both .pdf files and as Adobe Illustrator (PC format) or Adobe InDesign (PC format) files, on a CD-ROM or other appropriate storage media as determined by SANDAG. Final graphics shall also be delivered in the final production or printing format in the quantities determined by SANDAG. All documents as described above are the sole property of SANDAG, whether the work for which they are prepared is incomplete or complete. In the event this Agreement is terminated, by either party, all documentation shall be prepared and delivered to SANDAG in the prescribed format within ten (10) business days from the date of termination. 8.12 End of Contract Transition

The Contractor acknowledges that the services it provides under the terms of the Agreement are vital to the successful operation of the I-15 ML and that said services must be continued without interruption. Upon expiration of the Agreement, a successor (SANDAG or a new Contractor) may be responsible for providing these services. The Contractor agrees to exercise its best efforts and cooperation to affect an orderly and efficient transition to a successor.


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Upon SANDAG’s written notice, the Contractor shall furnish transition services during the last 90 days of the term of this Agreement. The Contractor shall develop with the Successor Contractor or SANDAG staff, a Contract Transition Plan describing the nature and extent of transition services required. This Contract Transition Plan and dates for transferring responsibilities for each division of work shall be submitted within 30 days of such Notice. Upon completion of SANDAG review, both parties will meet and resolve any additional requirements/differences. The Contractor shall provide sufficient I-15 ML front office experienced personnel in each division of work during the entire transition period to ensure that the services are maintained at the level of proficiency required by the Agreement. The Contractor shall provide sufficient staff to help the successor maintain the continuity and consistency of the services required by this Scope of Work. The Contractor shall allow the successor to conduct on-site interviews with the employees. 8.13 Transition From FasTrak™ To Managed Lanes System

In the event that the Contractor is required by SANDAG to take over operations of the existing I-15 FasTrak™ lanes upon termination of the contract with the current system operator on June 30 2007, Contractor shall assume responsibility for all aspects of FasTrak™ lane operation, including Front Office operations, equipment maintenance and all functions related to the operation and maintenance of the I-15 ML System hardware and software. Details on the I-15 FasTrak™ Operations is included as Attachment K Reversible Lanes Toll Collection System Documentation.

RFP Attachment A - Scope of Work 101006 · RFP NUMBER 5000680 ATTACHMENT A I-15 Managed Lanes Toll...

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Transcript of RFP Attachment A - Scope of Work 101006 · RFP NUMBER 5000680 ATTACHMENT A I-15 Managed Lanes Toll...