Centralized Customer Service System Requirements Volume 2. August 2013 Version 2.0 DRAFT

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Centralized Customer Service System

Requirements

Volume 2

August 2013

Version 2.0 DRAFT

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1. OPERATIONAL REQUIREMENTS

The Vendor Contractor shall provide the staff and services to operate the CCSS in accordance with the Operations Plan, which must be Approved by the Agencies prior to commencement of operations.

The CCSS is responsible for the Agencies’ transaction processing, invoicing, account management and customer service along with the complete and accurate reporting and accounting of all activities. With the exception of transponders (purchased by the Agencies, but managed by the Contractor) and select banking services, which will be provided by the Agencies, the Contractor shall provide the necessary hardware, software, equipment, facilities, systems, personnel, supplies and furnishings for the day-to-day operation of the CCSS. The Contractor’s operational responsibilities include but are not limited to:

 CCSS Operation Startup including all necessary operations equipment and physical build-out of the CCSS facilities including walk-in centers;

 support and maintenance of all equipment and facilities;

 security of the systems, facilities and funds;

 local and toll-free phone service for customers to contact CCSS;

 transaction processing for both Image-Based and Transponder-Based transactions;

 transaction processing for, and settlement with the Agencies;

 transaction processing for, and settlement with the Interoperable Agencies;

 processing and settlement of "non-toll" transactions, including but not limited to transit and parking transactions;

 registered owner of vehicle identification;

 ability to provide skip tracing services to identify the registered owner and provide an updated mailing address;

 account maintenance, notification and management;

 account closure and refunds;

 discount plan management;

 non-revenue program management;

 Toll-by-Plate invoicing;

 incoming and outgoing mail services, including address correction and update;

 incoming and outgoing document imaging;

 payment processing, including cash management and funds transfers;

 credit card and ACH processing, including authorizations, refunds and settlement;

 lockbox and money services payment processing and reporting;

 collection of the appropriate sales tax on all taxable sales;

 Collection Company(s) coordination including payment processing and reporting;

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 tracking of transactions (possibly with images) from receipt from Agencies until archived or written-off;

 customer interface (including, phone, walk in, Web, mobile application and IVR system support);

 support for an annual audit of CCSS operations including SSAE 16 performed by independent Auditor, and PCI DSS performed by a Qualified Security Assessor (QSA);

 Case management;

 transponder inventory management, including order fulfillment;

 data warehouse management;

 records management;

 help desk and LAN services;

 financial management and reporting;

 all associated reconciliation activities;

 activity and performance monitoring and reporting;

 quality control and quality assurance activities;

 the provision and management of the personnel required to operate the CCSS and meet the requirements for this contract and

 all training for CCSS and Agency personnel.

Image Review – the Agencies’ process for obtaining and reviewing license plate information for Image-Based transactions – is not part of this Scope of Work, but the Contractor shall have the ability in the CCSS to view images, including making changes to (correcting) keyed license plate numbers or rejecting images to support customer inquiry or enforcement activities and for images to be included on invoices and UTCs.

The requirements for the CCSS operations services are contained in the following sections.

1.1. Management

1 The Contractor shall provide all management, supervisory, financial and operations staff, including qualified management, professional and clerical personnel, to professionally operate and administer the CCSS operations and meet all required performance criteria. The Contractor shall determine the organizational structure and headcount required to meet the requirements of this Scope of Work.

2 All services shall be provided and performed in accordance with all applicable laws, rules, regulations, ordinances and in compliance with all of the Agencies’ applicable policies. All plans and procedures prepared by the Contractor shall be Approved by the Agencies. Contractor personnel shall be responsible for meeting all established standards and complying with applicable laws as well as future standards and laws that may become effective after the CCSS goes live.

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1.1.1. Operations Plan

3 The Contractor shall develop and maintain an Operations Plan that details all aspects of the operation of the CCSS. This comprehensive plan shall include all CCSS Business Rules, Agencies’ policies related to the CCSS operations, detailed standard operating procedures (SOPs) required to operate the CCSS and emergency response management procedures in accordance with the requirements of this Scope of Work.

4 The Operations Plan will be a living document and, as such, shall be updated when changes are made to any element of the operations described in the Plan. These updates shall be readily available on-line for immediate reference with the capability to print as needed. They shall be provided to the Agencies monthly for approval, and a full revision of the Operations Plan shall be published annually.

1.1.2. Management Reporting

5 The Contractor shall prepare and submit to the Agencies a Monthly Management Operations Report in an agreed-upon format on an agreed-upon day each month. The report package shall provide the information required for the Agencies to verify the Contractor performance as reported by the Contractor and will include the Project Oversight Report that describes the Contractor’s performance on the Project during the previous month.

6 The Management Report shall detail the Contractor’s performance against the Performance Requirements in tabular and graphical formats. The Contractor shall use the CCSS reports and other data from operations as needed, conduct an analysis of the data and summarize the results.

7 Summary data shall be presented in a graphical and tabular format showing the Contractor’s comparative monthly performance over time.

8 Failures to meet the Performance Requirements shall be identified and details submitted, including the Contractor’s plan to correct such occurrences.

9 Any deficiency the Contractor proposes to have excluded from the Liquidated Damages amount shall be explained in detail and with supporting documentation for the Agencies to make a determination.

10 Failure to meet the performance criteria for each category and the associated Liquidated Damages for such failures shall be summarized and tabulated with the total Liquidated Damages Amount.

11 Areas of the project where the Contractor met the criteria to earn an incentive shall be identified and details submitted.

12 At a minimum, the Contractor’s Monthly Management Operations Report shall include the reports listed below, but the final list of documents to be included shall be developed and approved as a part of the Operations Plan.

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 Project Oversight Report: This report summarizes the Contractor’s Project activities for the reporting period, including major accomplishments, issues and summary reporting. The Project Oversight Report also shall include an updated Action Items List that tracks all open items to be resolved by the Contractor, which will include task description, date created, owner, status, priority, impact/justification, completion due date and notes pertaining to the completion of each task. A list of the deliverables and their status also shall be included in the Report.

 CCSS Operations Reports: This suite of system-generated reports shall provide the requested details to support the Project Oversight Report.

 Contractor Performance Report: The Contractor shall be fully responsible for the CCSS operations meeting or exceeding the level of performance in the Performance Requirements. Failure to do so can result in the assessment of Liquidated Damages as defined in the Performance Requirements. The Contractor must use the Approved tracking and reporting method to prove their operation’s monthly performance against the Performance Requirements.

 Monthly Operations Invoice: Each Monthly Management Operations Report shall be accompanied by the Contractor’s invoice for the same period. The Agencies will not pay Operation invoices that are not accompanied by an acceptable Monthly Management Operations Report.

1.1.3. Meetings with Agencies’ Designated Oversight Committee

13 The Contractor shall conduct monthly, face-to-face operations meetings with the CCSS Oversight Committee over the life of the contract. These meetings shall begin during the design phase of the CCSS. At a minimum, the Operations Manager, Project Manager and Finance Manager will participate in these meetings.

14 Once CCSS Operations have begun, the monthly meeting with the Agencies’ designated CCSS Oversight Committee shall be scheduled to occur no more than one (1) week after the submission of the Monthly Management Operations Report.

15 During the monthly meeting, the Contractor shall review the contents of the Monthly Management Operations Report, project status and coordinate planned work.

16 Additional meetings shall occur more frequently, as needed.

1.2. CCSS Operations Organization

17 The Contractor shall provide all staff and services to operate the CCSS in accordance with the procedures and policies documented in the Operations Plan, including all management, supervisory, financial, information technology and operations’ staff required to professionally operate and administer the CCSS operations and meet all required performance criteria.

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18 The Contractor shall ensure all personnel conduct themselves in a manner that by all appearances can only be construed as polite, humble, friendly, helpful, empathetic, courteous and kind based upon the best practices of customer service. The Contractor’s employee code of conduct expectations shall be included in the Operations Plan.

19 All staff shall understand, write and speak English fluently and be U.S. citizens or otherwise legally permitted to work in the U.S. The Contractor shall provide for bilingual (Spanish) customer service staff to support Spanish-speaking customers who call or visit the CCSS and walk-in centers during all business hours.

20 The Contractor shall provide an organizational approach for staffing designed to meet the Performance Requirements, support its operational management philosophy and meet the Agencies’ requirements. This shall be documented in the Operations Plan and includes, but is not limited to:

 organizational chart with all staff positions, head count and reporting relationships;

 job descriptions for all staff positions by position type and

 identification of functions which have been subcontracted, the name of the subcontractor and subcontractor responsibilities.

21 The Contractor shall include a staffing plan in the Operations Plan, which includes but is not limited to:

 recruitment process;

 pre-employment testing;

 employee training program;

 employee retention program;

 employee monitoring and coaching and

 employee termination process.

1.2.1. Contractor Employee Requirements

The Contractor shall screen candidates for potential employment at the CCSS. Screening, and the subsequent decision to hire, must be based upon fair, equitable and job-related criteria. Background checks shall be conducted, at a minimum, according to Florida Statutes, Title XXXI, Chapters 435.03 and 435.04. All prospective employees for any position requiring access to, or control over, sensitive information shall pass additional screening procedures. Additional screening is required for current staff prior to promotion or transfer to job roles with increased access to sensitive or critical information.

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22 The Contractor shall provide a Background Investigation Plan to the Agencies for Approval prior to implementation. The Plan shall include all of the Contractor’s employees with any access to the Agencies’ data, system and/or operation. All Contractor staff with access to credit card information will need to meet the current requirements for background check in accordance with PCI standards. Staff with access to FDLE data will need to complete Criminal Justice Information System (CJIS) background checks. Staff with any felony or misdemeanor convictions shall not be allowed.

23 All Contractor employees shall undergo and pass a national background investigation, the results of which shall be reviewed prior to the employee having access to the System and the Agencies’ data. There are many types of investigations which can be conducted nationally. These inquiries can be performed in-house or through outsourcing, and in accordance with the Background Investigation Plan. Common background investigation may include but is not limited to the following:

 business/personal references;

 federal and state criminal history (for all states in which the employee has ever resided or worked);

 illegal substance screening;

 Social Security Number trace;

 past employment history;

 education verification;

 financial credit history;

 professional license and certification verification;

 military service verification;

 driving record and

 I-9 immigration status.

24 The Contractor shall comply with the following:

 Americans with Disabilities Act;

 Occupational Safety and Health Act (OSHA);

 Equal Employment Opportunity commission (EEOC);

 Federal Fair Credit Reporting Act (FCRA); FCRA only applies to those investigations conducted by an outsourced company;

 Florida statute regarding protection of Personal Identifying Information (PII) and

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25 The Contractor, when conducting investigations, shall consider and take into account the following:

 name search - married name, previous names, aliases:

 report only information pertaining to the seven (7) year period prior to employee application;

 investigations must be completed and reviewed by the Contractor prior to the employee beginning work for the CCSS and

 confirmation of a current, but inactive government secret clearance, or above, can be used in lieu of other investigations.

26 The Contractor shall maintain backup documentation on site for all background checks. 27 The Contractor shall maintain records of adjudication and hiring decisions on each

candidate interviewed or considered for a position.

1.2.2. Employee Dress Code

28 The Contractor shall provide the Agencies with a dress code policy for review and approval before implementation of the CCSS. The Agencies reserve the right to remove items from the policy that the Agencies consider not suitable as proper office attire. The Contractor’s dress code shall be included in the Operations Plan. All personnel shall present an overall neat, clean and professional appearance including all attire. The Contractor shall provide Approved SunPass polo-type shirts for all personnel who interface with customers in person, for example walk-in center staff. Supervisory personnel that interact with customers in person shall be in business attire.

1.2.3. Annual Employee System Access Review

29 The Contractor shall conduct an annual review of all user access to the System to verify that the user-roles assigned to them are still appropriate and that access and User Accounts for all terminated employees have been properly closed. This includes Agency staff as well as Contractor staff, and any third-party service providers.

1.3. Facilities

1.3.1. Primary CCSS Operations

Currently both OOCEA and FTE operate primary service centers handling customer contact, mail processing, transponder fulfillment and finance tasks required to support programs. These facilities are not available for the Contractor to use.

30 The Contractor shall identify, lease, configure and staff an appropriate primary CCSS facility in Florida.

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31 The Primary CCSS facility shall comply with the Americans with Disabilities Act of 1990 (ADA) and be of appropriate size to contain all the staff, furniture, equipment and supplies necessary to conduct all operations described in this Scope of Work for the duration of the Contract. The Agencies must approve the proposed location and facility.

32 The Primary CCSS facility shall include dedicated office space for a staff member from each Agency.

33 Any build-out required for the CCSS facility shall be the responsibility of the Contractor.

34 The Contractor shall be responsible for network communication connectivity to the CCSS data center and Disaster Recovery data center.

35 The Contractor shall pay all charges including but not limited to rent, taxes, maintenance, utilities and janitorial services.

36 The Contractor shall maintain appropriate premise/property and liability insurance.

1.3.2. Walk-in Centers

The Agencies currently operate seven (7) Walk-In Customer Service Centers. The locations are listed below.

OOCEA current walk-in centers:

Westside Service Center - located in the Good Homes Shopping Center 8919 W. Colonial Drive

Ocoee, FL 34761

Eastside Service Center – located in the Pinar Plaza 762 S. Goldenrod Road

Orlando, FL 32822

FTE current walk-in centers: 7941 Glades Road Boca Raton, FL 33434 Snapper Creek Service Plaza 11900 SW 114th Street Miami, FL 33186

Toll Bridge current walk-in centers (currently operated by FTE): Bayway Toll Plaza

4501 54th Avenue South St. Petersburg, FL 33711 Mid-Bay Bridge

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Niceville, FL 32578 Garcon Point Bridge 555 Avalon Boulevard Milton, FL 32583

37 The Contractor shall identify, lease, outfit and staff a minimum of three (3) walk-in center facilities located in the geographical areas of the existing toll roads, one (1) each in the Tampa metropolitan area, the Miami metropolitan area and the Orlando metropolitan area. In addition the walk-in centers on the three (3) bridges will continue to operate with the Contractor equipping and staffing them.

38 Each walk-in center facility shall comply with the Americans with Disabilities Act of 1990 (ADA) and be of appropriate size to contain all the staff, furniture, equipment and supplies necessary to conduct all operations described in this Scope of Work for the duration of the Contract. The Agencies must approve the proposed locations and facilities.

39 The Tampa, Miami and Orlando metropolitan area walk-in center facilities shall each include a dedicated office space for a single Agency representative.

40 Any build-out required for the walk-in center facilities shall be the responsibility of the Contractor.

41 The Contractor shall pay all charges, including but not limited to rent, taxes, maintenance, utilities and janitorial services.

1.3.3. Transponder Storage

Currently, FTE has a warehouse for storage of the transponders that are not needed in the short term. This 2,973 square foot, air-conditioned facility is available for the Contractor to use at a current monthly rent of $2,856.56. The location is as follows:

4801 Johnson Road Coconut Creek, FL 33073

Cross Streets: NW 51st Terrace & Lyons Road

1.3.4. Data Center

Currently, both OOCEA and FTE operate data centers where the equipment (servers, network equipment, etc.) necessary to operate their service center systems are housed and maintained. These facilities are not available for the Contractor to use.

43 The Contractor shall identify, lease, outfit and staff an appropriate data center. This data center must be in Florida.

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44 Each of the data center facilities shall comply with the Americans with Disabilities Act of 1990 (ADA) and be of appropriate size to contain all the staff, furniture, equipment and supplies necessary to support all operations described in this Scope of Work for the duration of the Contract. The Agencies must approve the proposed locations and facilities. 45 Any build-out required for the data center shall be the responsibility of the Contractor.

46 The Contractor shall be responsible for network communication connectivity to the CCSS data center.

47 The Contractor shall pay all charges including rent, taxes, maintenance, utilities and janitorial services.

1.3.5. Disaster Recovery Site

Currently, FTE operates a disaster recovery site where the equipment (servers, network equipment, etc.) necessary to support their service center systems and operations are housed and maintained. This facility is not available for the Contractor to use.

49 The Contractor shall identify, lease, outfit and staff an appropriate disaster recovery site. This disaster recovery site must be in the United States.

50 The disaster recovery site shall comply with the Americans with Disabilities Act of 1990 (ADA) and be of appropriate size for its use in the event of a disaster at the primary data center. The Agencies must approve the proposed locations and facilities.

51 In the event of a disaster at the primary CCSS facility, the Contractor is responsible for providing an alternate location for CCSS staff to work in order to meet their performance measures and continue serving the Agencies and their customers.

52 Any build-out required for the disaster recovery site shall be the responsibility of the Contractor.

53 The Contractor shall be responsible for network communication connectivity to the Disaster Recovery data center.

54 The Contractor shall pay all charges including rent, taxes, maintenance, utilities and janitorial services.

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1.3.6. Facility Access Control

56 The Contractor shall be responsible for security at all facility locations. The Contractor shall use all necessary security measures and devices, such as facility access controls, safes, surveillance cameras and internal controls to safeguard the CCSS operation. For example, cameras must be installed in the mail room, walk-in centers and any other areas where cash or checks might be handled.

57 The Contractor shall ensure the CCSS is accessed only by authorized personnel with the appropriate privileges, and the Contractor shall ensure security is not breached. The Contractor will be responsible for establishing procedures and policies and carrying out these procedures and policies for all visitors accessing the CCSS. The policies and procedures shall be approved by the Agencies.

58 The Contractor shall ensure access is limited to those functions required for the employees to perform their jobs while providing an appropriate segregation of duties. 59 The Contractor shall provide and maintain an access matrix that lists all CCSS personnel

with access privileges to the CCSS premises, their position and the functions or activities and associated information to which they have access.

60 The Contractor shall conduct audits of the access matrix against the actual access for all employees in accordance with all applicable standards, including but not limited to PCI and GAAP. The Agencies shall witness this audit.

61 The Contractor shall ensure all facilities used by the Contractor to perform any work in support of the contract shall be established and maintained in compliance with all applicable standards, including but not limited to PCI DSS, NACHA, Florida Statutes for PII and GAAP.

1.4. Potential Third-Party Service Providers

The CCSS operations will involve a number of services that are traditionally outsourced to a third party. These services fall into three categories. In all cases, the Agencies may direct the CCSS Contractor to replace any service provider.

1.4.1. Service Provider Selected and Paid for by the Agencies

The Agencies will select and pay directly for the required services. The Contractor must coordinate and support these vendors in the performance of their duties. This includes:

 transponder manufacturer(s);

 transponder packager;

 transponder retailers;

 collection agencies, and

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1.4.2. Use Existing Service Provider or Propose an Alternative

The Contractor may utilize the Agencies’ existing service provider and may also propose an alternate service provider. The Agencies will pay for these services. The Agencies will consider cost benefit, among other factors, in the evaluation of whether or not the Contractor’s proposal for alternate service providers will be approved. The Contractor must coordinate and support these vendors in the performance of their duties. This includes:

 Banking Services;

 Merchant Service Provider and

 Money Services Retailer.

1.4.3. Service Provider Selected and Paid for by the Contractor

The Contractor will select and pay directly for the required services. The Contractor may self-perform these services (if they meet the qualifications required for those services) or utilize a third party. This includes:

 Third-party ROV Lookup service provider;

 skip trace service provider;

 print/mail service provider;

 lockbox service provider;

 customer satisfaction survey company;

 address standardization service provider, and

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2. OPERATIONAL FUNCTIONS

The CCSS operations shall cover all functional areas as summarized below, including any required manual interactions or data entry that may be required of CCSS staff. The Contractor shall use the CCSS and other Contractor-provided systems to perform all CCSS Work.

2.1. Account Management

The Contractor shall provide the following services in an efficient and effective manner that allows customers to open, maintain and monitor their accounts:

62 All account opening activities not performed by the customer through self-service and/or retail channels shall be processed by the CCSS staff, including processing the customer application, customer acceptance of terms and conditions, payment processing and transponder fulfillment. The Contractor shall be responsible for the fulfillment of any and all transponder types specified by the Agencies at the time of fulfillment. Various discount plans, incentives and rebates can be offered, as approved by the Agencies, and the Contractor shall support the assigning and management of such plans, including non-revenue.

63 In case of incorrect or incomplete application, the Contractor shall contact the customer to facilitate successful account creation.

64 The Contractor shall support all activities related to account closing. The Contractor shall ensure the customer’s transponder(s) is changed to invalid-terminated status in the System and all outstanding balances are paid prior to closing the account.

65 Prior to any automated account closing, the Contractor shall notify the customer of the reasons for such action.

66 After a pre-established timeline has expired, the Contractor shall issue refunds using the same channel the customer used to pay the money, in accordance with the CCSS Business Rules. In the case of check refunds, the Contractor shall use ‘Positive Pay’ to deter check fraud. The Contractor also shall ensure credit card refunds were successfully processed. 67 The Contractor shall support the following types of account activities, which require

customer notification, interaction or other CCSS proactive response. These include, but are not limited to:

 account having a negative balance;

 automatic replenishment failure;

 account balance reaches the low-balance threshold;

 replenishment amount change;

 credit card expiration;

 excessive IToll transactions for a license plate with a transponder assigned to it;

 inactivity;

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 assigning transponders;

 changes to security related fields, such as PIN;

 System issues and

 transponders reported lost or stolen.

68 The Contractor shall provide reconciliation reporting that demonstrates proper application of all fees or fines.

69 The Contractor shall support handling of payments processed by CCSS staff, customers and Collections Company staff. All payments shall be reconciled to Customer Accounts and money deposited in the bank. All exceptions shall be investigated and resolved by the Contractor.

2.2. Discount Plans and Non-revenue

70 In accordance with the CCSS Business Rules, the Contractor shall provide support of the Agencies’ discount plans, including but not limited to:

 Bay Harbor Pass

 Bayway Commuter Annual Pass

 Bayway Island Resident Annual Pass

 Garcon Point Bridge Discount Plan

 MDX Discount Plan

 Orlando-Orange County Expressway Authority Discount Plan

 Osceola County Authority Discount Plan

 Rickenbacker Pass

 Sunshine Skyway Discount Plan

 Venetian Causeway Pass

71 Non-revenue plans are considered a 100 percent discount, and the Contractor shall obtain Approval for the current and future issuance of all non-revenue plans.

72 Prior to applying a non-revenue plan to a transponder, the Contractor shall obtain written approval from the appropriate Agency(s).

73 The Contractor shall maintain documentation of authorization for each non-revenue plan that has been assigned to a transponder, and this documentation shall be available for audit by the Agencies at all times.

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2.2.1. Commission for Toll Disadvantaged (CTD) Plan

The Florida Disabled Toll Permit Program was created because some disabled drivers expressed concern with their inability to toss coins into the toll baskets on Florida's toll roads. The legislature passed s. 338.155, Florida Statutes with the intent to eliminate these barriers for disabled drivers. In order to qualify, the individual must have severe and permanent upper limb mobility or dexterity impairments that substantially impair him/her from tossing coins into the baskets; a valid driver's license; and drive a specially equipped vehicle.

74 Prior to applying a CTD non-revenue plan to a transponder, the Contractor shall verify that the individual requesting a non-revenue transponder is a member of the CTD Program and has provided a copy of their current Florida Toll Permit including the permit number and expiration date.

75 The expiration date shall be tracked and the customer notified when their permit is nearing expiration.

76 The Contractor shall maintain documentation of authorization for each non-revenue plan that has been assigned to a transponder, and this documentation shall be available for audit by the Agencies at all times.

2.3. Customer Privacy

77 The Contractor shall develop a CCSS Privacy Policy that strictly protects the privacy of all customer information. The CCSS Privacy Policy shall be available online for customer review. The Contractor shall protect all Personally Identifiable Information (PII) in accordance with the Approved CCSS Privacy Policy and all state and federal laws.

78 The Contractor shall not release customer information to anyone other than:

 the Agencies’ approved staff, their designees or as directed by the Agencies;

 Customers seeking information concerning their own accounts and

 collection companies operating under or in coordination with the CCSS activities (in compliance with the CCSS Business Rules).

79 The Contractor shall refer any and all other requests, inquiries, subpoenas and official information requests regarding customer information to the Agencies, in accordance with the Operations Plan.

80 The Agencies may request the Contractor compile data for subpoenas or other reasons. The Contractor shall respond to all Agency requests in a timely manner and in accordance with the agreed upon practices with the Agencies. The response time should be appropriate to the data requested. For example, a request for subpoena data shall be considered a high priority request with responses usually within one business day.

81 The Contractor shall establish reasonable methods to verify the identity of customers prior to the release of any Customer Account information, and such methods shall be documented in the Operations Plan and SOPs.

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2.4. Customer Contact and Cases

2.4.1. Incoming Customer Communication

On a daily basis, the CCSS receives different types of communication (including but not limited to phone calls, faxes, texts, emails and mail) from customers.

82 The Contractor shall ensure incoming correspondence (paper or electronic) shall be scanned and/or saved and associated with the customer’s account and any applicable Case(s). Non-customer correspondence also shall be scanned and catalogued for easy access and long-term storage. Paper copies shall be shredded, in accordance with policies agreed upon by the agencies and documented in the Operations Plan.

83 All incoming mail shall be processed by the Contractor, in accordance with applicable standards, including but not limited to PCI, DSS and GAAP. Such requirements include but are not limited to all incoming mail shall be processed by segregation of duties and mail shall be date stamped, recorded into the CCSS, categorized, scanned and/or saved into the System as Cases and assigned to the appropriate CCSS staff for processing.

84 The Contractor shall develop a workflow process that clearly documents the handling process for incoming mail (including faxes and email), ensuring that all incoming correspondence is recorded, reviewed and properly routed (such as, operational correspondence, financial, contractual, etc.). This shall be documented in the Operations Plan.

85 The Contractor shall ensure all handling processes are documented and adhered to. 86 The Agencies shall approve the handling process and any changes to the handling process. 87 With the exception of customer requests regarding their own accounts, the Contractor

shall only answer general inquiries as they relate to general information about the tolling facilities serviced and services provided by the CCSS. All other inquires and communications shall be escalated to the Agencies’ designated Public Information Officers (PIOs) as a Case as set forth in the CCSS Business Rules and the Operation Plan, unless the Contractor is otherwise directed in writing by the Agencies. This includes inquiries from or communications with the media, government agents, Public Records Act requests and individuals representing organizations for purposes other than directly related to their own CCSS account.

88 The Contractor shall keep a record of all information requests, inform the designated PIO immediately of inquiries from these entities and direct such inquiries to the PIO.

89 Customers may contact the Contractor regarding issues the Contractor does not control, including but not limited to: debris on the roadway, toll collector conduct, cash toll payment issues or general tolling questions. The Contractor shall collect the required information and handle the issue in accordance with the Operations Plan. The Contractor shall create a case and track the issue until it is resolved or handed off to the appropriate responsible party for resolution according to the Operations Plan.

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2.4.2. Outgoing Customer Notification

On a daily basis, the CCSS distributes notifications using various distribution channels for numerous reasons.

90 The Contractor shall contact the customer, based on the customer’s preference and the most efficient method possible (email, mail, phone) for various account related issues, customer approvals, changes to Business Rules and policies and approved marketing materials. In addition, the System will indicate the type and date of notification on the customer’s account, along with a copy of the actual notification sent. If the customer has not responded to a system-generated or Contractor-initiated email/text, the Contractor shall contact the customer by another available means, for example by phone.

91 The Contractor shall be responsible for the mailing or emailing of statements or invoices about account status and activity on the specified periodic basis, as identified in the Business Rules.

92 The Contractor shall provide the services of an outgoing print/mail house. The Contractor shall establish procedures to provide secure, timely, careful and efficient handling of all outgoing mail. The actual mail date for each notification, especially Toll-by-Plate invoices, shall be recorded in the System. Successful/failed delivery, when available also shall be recorded.

93 The Contractor shall provide a QA/QC review of invoices, statements and notices in accordance with the process established in the SOPs and Operations Plan.

94 The Contractor shall institute manual and electronic Quality Control (QC) procedures to review all invoices, statements and notices before they are printed. The proposed QC process shall be approved by the Agencies. The QC results shall be made available to the agencies.

95 If the QC procedures involve sampling, and more than a five percent (5%) of the sample contains errors, then a larger sample must be taken, up to a full review of the entire batch. 96 The Contractor shall review one hundred percent (100%) of the first batch of invoices,

statements and notices each time a new version of those notifications is released.

97 In the event notifications must be regenerated, the Contractor shall support this process and the notification as needed.

98 Pending approval of the Agencies or their delegate, the Contractor shall 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 Agencies’ toll facilities.

99 The Contractor shall be responsible for printing and distributing all collateral material, as designated by the Agencies. The Agencies shall provide print-ready electronic files of the collateral material for the Contractor’s use.

100 The Contractor shall establish a good will fund to be used for adjustments that need to be made in a customer’s account which cannot be related to a specific transaction, as a good will gesture when a customer has suffered due to an error or other action by the Contractor.

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101 As requested by the Agencies, the Contractor shall be responsible for the distribution of one-time or recurring marketing materials supplied by the Agencies.

2.4.3. Toll-by-Plate Invoicing

102 The Contractor shall ensure the Toll-by-Plate processing and noticing timelines and procedures meet the requirements of the applicable laws, legislation and statutes, the CCSS Business Rules and Operations Plan.

103 The Contractor shall use an agreed-upon ROV source(s) for license plate lookups provided by the Agencies to obtain address information of the registered vehicle owner (ROV) for both in-state and out-of-state license plates.

104 The Contractor shall provide an alternate ROV source(s) for license plate lookups to obtain address information of the registered vehicle owner (ROV) for both in-state and out-of-state license plates.

105 The Contractor shall follow the Toll-by-Plate SOPs in the Operations Plan and comply with CCSS Business Rules. The Contractor shall ensure invoices are generated and mailed in accordance with the stipulated timeline.

106 The Contractor shall attempt to obtain a current address for mail returned undeliverable by the USPS. If a current address is obtained, the Contractor shall update the address and re-mail the correspondence.

107 The Contractor shall utilize skip tracing services to find a customer. If a current address is provided, the Contractor shall update the address and re-mail the correspondence. If a new address cannot be retrieved the customer shall be forwarded to collections, if applicable.

2.4.4. Uniform Traffic Citations

108 Based upon the CCSS Business Rules, the Contractor shall issue UTCs for transactions that meet the threshold requirements for unpaid transactions for a license plate. The Contractor shall track all UTCs issued and any updates, partial payments or credits and debits associated with a UTC, including but not limited to UTCs that are:

109  filed with the Court in the jurisdiction where the transaction took place; 110  fully paid;

111  closed administratively; 112  successfully disputed, and 113  resolved by the Court.

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2.4.5. Cases

114 Any customer issue or request that cannot be completely addressed at the time of request shall be entered into the System as a case for management, tracking and reporting. CCSS staff shall work open cases through to final resolution as described in the Operations Plan. 115 The Contractor shall resolve and respond by the customer’s preferred method of contact if

available or by letter, email, mail, phone or text. The escalation procedures for customer disputes, both internal to the walk-in centers and when escalated to the Agencies, shall be defined in the Operations Plan and SOPs.

116 Customer Cases shall be responded to according to the CCSS Business Rules and the Operations Plan. The CCSS Operations Manager shall review the list of open Cases on a daily basis and shall make sure they are promptly addressed. The Agencies shall be notified immediately if there are any critical comments or issues that need immediate attention.

117 The Contractor shall be responsible for the resolution of all customer disputes, which are managed as Cases, in accordance with the Agencies’ policies, CCSS Business Rules and the Operations Plan. Chargebacks initiated by the bank, adjustments to vehicle class, dismissals, reassigning of Toll-by-Plate transactions and other resolutions shall be processed by the Contractor. Specific types of disputes shall require supervisor/manager review and approval, and all waivers and dismissals shall be in accordance with the Operations Plan. If required supporting documentation is not received, the customer shall be contacted within the stipulated timeline.

2.4.6. Customer Satisfaction Surveys

The Contractor shall provide the data necessary for a third-party survey company to survey customers regarding their experience with the CCSS. The data provided will include the necessary information for the survey company to electronically survey customers.

The Contractor shall utilize the survey tool as a training and feedback tool for CSRs and as a measurement for overall customer satisfaction. The Contractor shall report overall survey results as well as low scores to the Agencies on a monthly basis.

118 The Contractor shall make the data necessary to send surveys available to the survey company on a daily basis (for example, the Contractor shall create a file containing the required data for deposit on an SFTP server).

119 The Contractor shall monitor survey results daily.

120 The Contractor shall, on each survey, ask if the customer would like to be contacted regarding any unresolved concerns.

121 The Contractor shall contact each customer who asks to be contacted regarding any unresolved concerns within two (2) business days of the customer submitting the survey.

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122 The Contractor shall make contact with each customer who rates their experience with an with an overall score below an agreed upon threshold as noted in the Operations Plan, within two (2) business days of the customer submitting the survey.

123 The Contractor shall provide training on the survey tool to CSRs, including the purpose of the survey and the use of the survey tool.

124 The Contractor shall review survey results with CSRs during periodic meetings regarding individual CSR performance.

2.5. Collections and Registration Stop

125 The Contractor shall support a minimum of two (2) collection companies, contracted by the Contractor separately from the CCSS, for the CCSS operation.

126 The CCSS shall automatically refer Customer Accounts, transactions, invoices and amounts due, which meet the criteria for collections processing to the appropriate Collections Company and ensure once an account is assigned to a Collections Company, the account remains assigned to the same company for all future collections so long as the Collection Company remains active.

127 Payments for transactions in collections may be received by either the CCSS or the Collection Company.

128 The Contractor shall be responsible for the research of disputes when customers contact the Collections Company and shall coordinate the resolution with the Collections Company. 129 The Contractor shall reconcile all payments for amounts in collections to ensure the

appropriate payments are made to the Agencies.

130 In accordance with the existing ICD, a Registration Stop may be placed on a vehicle registration for non-payment of invoices. The Contractor shall coordinate with the DHSMV in support of the registration stop process.

131 A Registration Stop will be released once a customer has paid their past due debt in full. The Contractor shall coordinate with the DHSMV in support of the registration release process. Additional circumstances may be defined by the Agencies, which would result in Registration Stops being removed.

132 The Contractor shall support real-time requests from customers who are at the registration renewal locations and wish to pay their debt in order to renew the vehicle’s registration. Once payment is made, the Contractor shall fax or email a release form to the appropriate registration renewal location.

2.6. Hearings and Court

The Agencies may be required to participate in court hearings to resolve CCSS issued UTCs based on the CCSS Business Rules and Florida law.

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133 The Contractor shall support the court hearing process by preparing the evidence package for the Customer Accounts which the Agencies wish to pursue.

134 The Contractor shall provide Toll Enforcement Officer(s) (TEO) to attend Court Hearings on behalf of the Agencies.

135 For those unpaid toll transactions and fees dismissed by the court, the Contractor shall provide the Agencies with the information needed for the uncollectible amount.

2.7. Transponder Management

136 The Contractor shall be responsible for the stock on hand at all locations except at Retailers.

137 The Contractor shall ensure an adequate supply of transponders (all types) and shielded bags (purchased by the Contractor) is available at all times. When the inventory reaches a pre-determined level, the Contractor shall initiate order requests with the Agencies, based upon existing inventory and forecasted requirements. Purchase orders shall be created by the Agencies, which will order and pay for the transponders. With the exception of inventory for retail distribution, the Contractor shall take custody of the transponders directly from the transponder manufacturer/provider, in accordance with specifications and applicable policy/laws.

138 The Agencies issue multiple types of transponders, and as such the Contractor shall be required to manage multiple types of transponders, possibly from multiple manufacturers/providers.

139 The Contractor shall receive shipments of transponders and will reconcile shipment contents with electronic manifests provided by the transponder manufacturer. The Contractor also shall receive into inventory, assign and issue, track, recall and dispose of transponders in accordance with industry standards, applicable policies and laws. The waybill shall be reconciled against the original purchase order and scanned into the System for tracking and reconciliation purposes. The Contractor shall securely store the transponders until they are issued.

140 Transponders designated for retail sales are shipped from the manufacturer, directly to the Transponder Packaging vendor. The Contractor shall manage and track the retail sales program activities, which include but are not limited to:

 tracking shipments to the Transponder Packaging vendor;

 tracking retail orders from the packaging vendor to the retailer;

 applying discounts and promotional credits as determined by each individual retailer arrangement;

 retail invoicing and receivables tracking;

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 supporting customers.

141 The Contractor shall distribute transponders by the accepted methods documented in the Operations Plan, including but not limited to: transponder retailers, mobile kiosks, vending machines and walk-in centers. The Contractor shall be required to cooperate with Authorized third parties in fulfillment of these tasks. Transponders issued by the Contractor to all distribution sources shall be recorded and tracked as part of the transponder inventory. Mounting instructions and other materials, as may be determined by the Agencies, shall be included with the distribution of each transponder.

142 Upon Customer Account setup or customer request for additional or replacement transponder(s), the Contractor shall mail activated transponder(s) in shielded bags to customers. Walk-in customers shall be given an active transponder upon confirmation of account creation.

143 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.

144 The Contractor shall conduct a monthly physical audit of the transponders under their control, comparing the physical counts with the System counts. These audit reports must be included in the Monthly Management Operations Report.

145 The Contractor shall support the Agencies in their annual transponder audit.

146 If requested by the Agencies, the Contractor shall implement a transponder recall program that shall be described in the Operations Plan and shall proactively manage the transponder recall process.

147 The Contractor shall be responsible for ensuring all transponders found to be defective or damaged and still under the manufacturer’s warranty are 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.

148 For those transponders that are in control of the Contractor and that are defective or damaged but are not within the warranty period, the Contractor shall be responsible for proper disposal.

2.8. Financial Management

The Contractor is responsible for all financial operations, reconciliations and reporting requirements as defined in the Operations Plan. The Contractor is responsible for ensuring financial data is properly recorded in the CCSS, and will be required to periodically confirm the accuracy of financial reports. The Contractor shall perform functions, including but not limited to: 149 Develop and implement Approved financial reconciliation procedures to be instituted in

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150 Develop and implement Approved financial reporting procedures, including the Contractor’s periodic confirmation of financial reports by an officer of the Contractor, to be instituted in the operation of the CCSS.

151 Develop and implement Approved internal control policies and procedures, which shall meet or exceed SSAE-16 compliance requirements, to be instituted in the operation of the CCSS.

152 Ensure the CCSS operations procedures, internal controls and money handling, are GAAP-compliant.

153 The Contractor shall comply with GAAP in terms of segregating Contractor staff duties, including but not limited to:

 employees opening the mail shall not be the same employees that post payments to the System;

 employees that post payments to the System shall not be the same employees that prepare the deposits or reconcile the Bank or Merchant accounts;

 employees requesting credits, adjustments or refunds shall not be the same employees that approve credits, adjustments or refunds;

 employees issuing refunds shall not be the same employees that disposition positive pay exceptions with the bank or reconcile bank accounts;

 employees issuing disbursements (for example, issuing refund checks or initiating wire transfers to the Agencies) shall not be the same employees that sign checks or approve wire transfers, and

 employees having physical access to inventory items shall not be the same employees that perform physical inventory counts.

154 Participate in meetings with the Agencies, as required to review the financial reconciliations and reports.

155 Provide information to the Agencies or their designee(s), including their consultants and auditors, on an ad-hoc basis upon request.

156 Provide information to auditors on a timely basis, in accordance with the audit schedules. 157 Provide reports, periodically and upon request, on CCSS activity for the Agencies, in the

format requested by the Agencies.

2.8.1. Banking Services

The banking and merchant services for the CCSS are comprised of the following:

 Merchant Services – Currently under a state contract with Bank of America, merchant services are comprised of the payment processor and acquiring bank.

 Banking Services – May or may not be the same financial institution as the Merchant Services vendor; currently Wells Fargo. Banking services are comprised of the depository

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accounts into which merchant and other deposits are made and also debit accounts from which customer refunds, agency and interoperability settlements, and other payments are made.

 Special Purpose Investment Account (SPIA) – State-held interest-bearing account used for prepaid dollars. The establishment and maintenance of this account was designed to ensure the security and safety of prepaid dollars while providing a better-than-market interest rate on the investment.

158 The Contractor shall establish accounts with a Bank(s) and Merchant Service Provider(s) in order to process payments in the CCSS.

159 The Contractor shall utilize FTE’s existing contracts with Bank(s) and Merchant Service Provider(s) or propose alternative agreements to fulfill the requirement(s) of the Bank and Merchant Service Provider(s). The Agencies will make the final determination whether or not to accept the Contractor’s proposal.

160 The System shall interface with the Bank(s) and Merchant Service Provider(s) as detailed in these requirements.

2.8.2. Sales Tax

161 Collect, record and remit sales tax, including but not limited to:

 collect sales tax from customers on all taxable sales;

 properly record the assessment and collection of sales tax on all taxable sales;

 properly document and handle tax exemptions for taxable sales;

 remit collected sales tax to FTE and

 by the fifth day of the following month, provide FTE with the data, including reports, necessary for FTE to prepare and file tax returns and remit sales tax collected to the appropriate tax authorities.

2.8.3. Closing Procedures

162 Perform closing procedures in an accurate and timely manner in accordance with the Performance Requirements, including but not limited to:

 perform Revenue Day close to finalize counts and revenue for the Revenue Day;

 perform month-end close on the last Revenue Day of the calendar month and

 perform year-end close on the last Revenue Day of the Fiscal Year.

2.8.4. Reconciliations

The Contractor is responsible for the management of the financial operations of the CCSS, including the balancing and reconciliation of all financial transactions.

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163 Provide the capability to allocate and distribute revenues and expenses originated by the CCSS and/or not directly attributable to an Agency (for example, collected account fees and write offs related to negative prepaid account balances), including but not limited to:

 perform daily balancing and close-out of all customer service shifts;

 perform daily balancing and close-out of all walk-in shifts;

 perform daily balancing of all mailed-in payments;

 perform daily and monthly reconciliation of all bank accounts;

 perform daily and monthly reconciliation of all merchant account activity, including but not limited to credit cards, debit cards and ACH activity and

 perform daily and monthly reconciliation of all lockbox activity.

164 The Contractor shall develop a process for identifying and handling end of shift balancing discrepancies, including but not limited to cash overages and shortages, which shall be included in the Operations Plan.

165 Perform other payment-related reconciliations in an accurate and timely manner, to be provided to the Agencies for review, in accordance with the Performance Standards, including but not limited to:

 perform daily and monthly reconciliation of all Agency payments;

 perform daily and monthly reconciliation of all Interoperable Agency payments;

 perform daily and monthly reconciliation of all Collection Company payments;

 perform daily and monthly reconciliation of all Retailer payments and

 perform daily and monthly reconciliation of all Third-Party Service Provider and Business Partner payments.

166 Perform monthly reconciliations of all financial accounts, including roll-forward schedules from prior periods, which will be provided to the Agencies for review.

167 Perform reconciliations, including but not limited to:

 detailed reconciliation of transactions and revenue;

 prepaid account balances;

 aged accounts receivable;

 fees revenue;

 fines;

 payment transactions and

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2.8.5. Financial Reporting

The Agencies report on a fiscal year beginning July 1 and ending June 30. As public sector entities, their basic financial statements are presented in compliance with pronouncements in accordance with the Governmental Accounting Standards Board (GASB) and in conformity with GAAP.

While most financial transactions are captured automatically through the CCSS, some level of manual entry may be required. Reports, including electronic reports and data exports, are the primary means by which the Agencies will capture financial information related to the operation of the CCSS. The financial reports consist of various reports, as described herein, which summarize the financial and operational performance of the CCSS. While most reports are automated, the Contractor is expected to provide manual reports as requested by the Agencies.

168 Provide all reports to the Agencies in a timely manner, but no later than the date(s) prescribed in the Performance Requirements.

169 Provide all data to the Agencies in compliance with pronouncements issued by GASB and in conformity with GAAP.

170 Perform a periodic review of reports at a frequency sufficient to guarantee all reports are always self-balancing and reconcile to related reports.

171 Identify manual entries into the System on reports in which those entries appear and in a detailed standalone report to be provided to the Agencies.

172 Describe the provided reports and the schedule for providing them in the Operations Plan along with a sample of each report.

173 Prepare the reports as described in the Operations Plan and provide them to the Agencies as specified.

174 Respond to the Agencies’ requests to run additional reports on a periodic basis. 175 Provide for the Agencies’ reporting requirements, including but not limited to:

 daily receipts report (by payment type including disbursements);

 monthly receipts report (by payment type including disbursements);

 sales tax collections;

 bank reconciliations;

 negative balance prepaid customer report;

 transaction aging report;

 customer aging report for Toll-by-Plate, fees, etc.;

 monthly adjustment report as required by the Agencies and

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2.8.6. Audits

The Agencies will engage, at the Agencies’ expense, an independent Auditor to perform an SSAE-16 Type II audit to cover the operations of the CCSS and provide the resulting report to the Agencies. The Auditors have a fiduciary duty to the Agencies (as the parties engaging the Auditor), however, the coordination of the Audit, including managing the Audit and related requests, managing interviews with staff, and the preparation of any supporting documentation or schedules will be the responsibility of the Contractor.

The Audit shall cover the period of April 1 to March 31 annually, with the first year covering the contract start date through March 31 and the last year covering April 1 through the end of the contract term. The final Audit report shall be provided to the Agencies no later than June 30 each year. The Contractor’s responsibilities with regards to the SSAE-16 Type II Audit are:

176 The Contractor shall participate in planning for the Audit with the Auditors.

177 The Contractor and Auditor shall mutually agree on an audit plan, including regularly scheduled meetings, which shall result in the delivery of an audit report to the Agencies by June 30 each year. The Auditor shall submit the Audit plan to the Agencies prior to the commencement of material work on the Audit.

178 The Contractor shall participate in regular meetings with the Auditors throughout the Audit, including any interim work performed, in accordance with the Audit plan.

179 The Contractor shall promptly notify the Agencies of any concerns raised by the Auditors, including but not limited to:

 any asserted weaknesses;

 limitations on Audit scope;

 the Auditors’ inability to carry out the Audit;

 the Contractor’s inability to carry out the Audit;

 any projected cost overruns, and

 time delays.

180 The Contractor shall deliver all items requested by the Auditors; all items shall be:

 complete;

 accurate;

 delivered promptly;

 prepared in the format requested by the Auditors (for example, including roll forward schedules when requested), and

 delivered in the format requested by the Auditors (for example, in hard copy and/or in PDF or Excel).

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181 The Contractor shall promptly make its employees, consultants and related parties available to the Auditors as requested.

182 The Contractor shall institute any procedural and operational changes as detailed in the SSAE-16 report, and as requested and approved by the Agencies by the close of the following fiscal year.

Additionally, the CCSS is subject to audit by the Agencies and/or their designee(s). Results of these audits, including any prepared audit reports, will be shared with the Contractor, as applicable.

183 As the accountant for the CCSS operations, supply the Agencies’ auditor(s) and management with information and schedules as requested.

184 Provide the Agencies and their designee(s) access to the CCSS for the purpose of conducting their audit(s).

185 Support the Agencies by executing reports and making all requested documentation available for review.

186 Institute any procedural and operational changes as requested and approved by the Agencies as a result of these audits, by the close of the following fiscal year.

2.8.7. Revenue Management

187 The following forms of payment will be accepted in the CCSS. Payments shall be accounted for, credited to the customers’ accounts and deposited into the appropriate bank account(s) in accordance with the Performance Requirements:

 Checks (including personal, business, certified and cashier’s checks);

 Electronic checks;

 ACH;

 Money Orders;

 Cash (at walk-in locations only);

 Credit Card;

 Debit Card (at walk-in locations only) and

 Stored Value Card (Gift Card).

188 Accept payments from customers that use any unlimited mixture of the above payment methods. For example, customers can choose to pay a portion of their balance using a check and another portion using a credit card, or using two or more different credit cards. 189 Accept payments from customers with balances in any Aging Stage, except those UTCs

Centralized Customer Service System Requirements Volume 2. August 2013 Version 2.0 DRAFT