LACMTA Back Office System Requirements

EXHIBIT A - STATEMENT OF WORK

Los Angeles County Metropolitan Transportation Authority (LACMTA or Metro)

Metro ExpressLanes Back Office System (BOS)

June 21, 2017

Final Draft LACMTA Back Office System Requirements

CONTENTS 1. INTRODUCTION...... 1 1.1. TOLL CORRIDORS AND TRANSACTION PROCESSING ...... 1 1.2. METRO EXPRESSLANES BACK OFFICE SYSTEM (BOS) PROJECT OVERVIEW...... 2 1.3. SYSTEM OVERVIEW ...... 5 1.4. LITIGATION INVOLVING THE EXPRESSLANES...... 6 2. STATEMENT OF WORK AND REQUIREMENTS ...... 8 2.1. BACK OFFICE SYSTEMS STATEMENT OF WORK ...... 8 2.2. GLOBAL SYSTEM REQUIREMENTS ...... 9 2.2.1. Environments...... 10 2.2.2. System Functionality...... 17 2.2.3. Payment Card Industry (PCI) Security Standards and Compliance...... 25 2.2.4. Interfaces...... 27 2.2.5. Performance Management and Monitoring System...... 33 2.3. FUTURE FUNCTIONALITY...... 36 2.4. ACCOUNT MANAGEMENT ...... 37 2.4.1. General Customer Relationship Management (CRM) ...... 38 2.4.2. General Account Management...... 38 2.4.3. Vehicles, License Plates and Transponders...... 46 2.4.4. Discount Plans...... 49 2.4.5. Fees, Penalties and Transactions ...... 52 2.4.6. Registered Account Replenishment...... 54 2.4.7. Adjustments and Reversals...... 56 2.4.8. Account Statuses...... 58 2.4.9. Transponders ...... 60 2.4.10. Declaring the Number of People in the Vehicle Electronically...... 61 2.4.11. Incoming Customer Communication...... 62 2.4.12. Parking...... 64 2.5. IMAGE TRANSFER AND TRANSACTION/TRIP PROCESSING ...... 65 2.5.1. Image Transfer and License Plate Extraction...... 65 2.5.2. Toll Rate DMS Image Transfer...... 66 2.5.3. Transponder Switch Setting Correction Process Support ...... 66 2.5.4. Transaction/Trip Transfer...... 67 2.5.5. Transmission Error Identification...... 70 2.5.6. Interoperability...... 71 2.5.7. Monitoring – Operations and System Performance...... 73 2.5.8. Transaction/Trip Filters...... 73 2.5.9. Customer Validation and Transaction/Trip Posting...... 76 2.6. REGISTERED AND UNREGISTERED ACCOUNT NOTIFICATIONS ...... 83 2.6.1. Outgoing Notifications...... 83 2.6.2. Registered Account Statements Invoices and Violation Notices – General...... 90 2.6.3. Customer Statements – Registered Accounts...... 92 2.6.4. Customer Invoices – Postpaid Accounts...... 92 2.6.5. Violation Notices – Registered Accounts...... 94

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2.6.6. Violator Notification ...... 95 2.6.7. Notification Tracking, Distribution and Returned Mail Processing...... 104 2.7. PAYMENT PROCESSING...... 106 2.7.1. Payment Processing – General Requirements ...... 107 2.7.2. Payment Methods and Handling ...... 111 2.7.3. Payment Plans...... 114 2.7.4. Lockbox Processing...... 118 2.7.5. Credit Card Processing ...... 119 2.7.6. Check/Money Order Processing...... 120 2.7.7. Cash Processing...... 121 2.7.8. Online Wallet Payment Processing ...... 121 2.7.9. System Access for Collection Agencies...... 122 2.7.10. BOS Bank Interface Requirements...... 123 2.7.11. Refunds and Disbursements...... 123 2.7.12. Shift Management ...... 125 2.7.13. Money Services Provider...... 127 THE CONTRACTOR SHALL PROVIDE A MONEY SERVICES PROVIDER THAT PARTICIPATES AS A TRANSPONDER RETAILER AND MEETS ALL OF THE REQUIREMENTS OF THE PROGRAM...... 127 THE CONTRACTOR SHALL PROVIDE THE CAPABILITY TO RECONCILE ALL PAYMENTS MADE AT THE MONEY SERVICES PROVIDER...... 127 2.8. CASE MANAGEMENT ...... 127 2.8.1. Case Creation...... 128 2.8.2. Case Assignment and Tracking ...... 132 2.8.3. Workflow Management...... 134 2.8.4. Case Escalation ...... 135 2.9. COLLECTIONS AND REGISTRATION HOLD...... 135 2.9.1. Collections...... 136 2.9.2. License Plate Registration Hold and Hold Release ...... 140 2.9.3. Customer-Initiated Reviews...... 143 2.10. QUALITY CONTROL AND QUALITY ASSURANCE...... 145 2.10.1. Quality Review of Notifications and Transaction Processing ...... 145 2.10.2. Customer Satisfaction Survey...... 148 2.11. TRANSPONDERS AND OTHER INVENTORY ITEMS...... 149 2.11.1. Inventory Definition and Tracking...... 149 2.11.2. Transponder Ordering...... 154 2.11.3. Inventory Fulfillment ...... 155 2.11.4. Inventory Sales Tax...... 158 2.11.5. Transponder Inventory Recycling...... 158 2.11.6. Transponder Testing...... 159 2.11.7. Transponder Recall/Replacement Program...... 159 2.11.8. Transponder Warranty Replacement for the Customer...... 160 2.11.9. Inventory Warranty and Returns to Manufacturer...... 161 2.11.10. Inventory Disposal...... 162 2.11.11. Transponder Retail Program...... 162 2.12. CUSTOMER PORTALS...... 163 2.12.1. Self-Service Website...... 163 2.12.2. Self-Service Mobile Website ...... 171

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2.13. TELEPHONY SYSTEMS...... 171 2.13.1. General Telephony Systems Requirements...... 171 2.13.2. Contact Center System...... 172 2.13.3. IVR System...... 176 2.14. MOBILE VAN AND MOBILE CSC SATELLITE SERVICES ...... 179 2.15. FINANCIAL REQUIREMENTS...... 179 2.15.1. General Financial Requirements...... 180 2.15.2. Transaction Recording ...... 181 2.15.3. Customer Transaction Settlement...... 183 2.15.4. Reconciliation and Settlement – General Requirements ...... 187 2.16. SEARCHES...... 190 2.16.1. Search General...... 190 2.16.2. Transaction Search...... 192 2.16.3. Account Search ...... 193 2.16.4. Case Search...... 194 2.16.5. Toll Rate DMS Search ...... 195 2.16.6. Comment Search...... 195 2.16.7. Transponder Search...... 195 2.16.8. License Plate Search...... 195 2.16.9. Notification Search ...... 196 2.17. REPORTING REQUIREMENTS...... 197 2.17.1. General Reporting Requirements...... 198 2.17.2. Informational Reports ...... 203 2.17.3. Financial Management Reports ...... 217 2.17.4. Operations Reports ...... 223 2.17.5. Interface Reconciliation Reports...... 228 2.18. PROJECT REQUIREMENTS ...... 240 2.18.1. BOS Project Management...... 240 2.18.2. BOS Design and Development Requirements...... 248 2.18.3. Documentation ...... 253 2.18.4. Quality Assurance Program ...... 278 2.19. TESTING REQUIREMENTS ...... 280 2.19.1. General...... 280 2.19.2. Testing Sequence and Logistics ...... 282 2.19.3. Phase Acceptance...... 289 2.20. INSTALLATION REQUIREMENTS ...... 289 2.20.1. Installation Program...... 290 2.20.2. Implementation Requirements...... 291 2.21. TRANSITION REQUIREMENTS ...... 292 2.21.1. Schedule and Transition...... 292 2.21.2. Operations Transition to the BOS...... 293 2.21.3. End of Contract Transition ...... 294 2.22. TRAINING REQUIREMENTS ...... 295 2.22.1. Overview of Training Program...... 296 2.22.2. Training Requirements ...... 296 2.22.3. Training Facilities...... 298 2.22.4. Scheduling and Preparation for Training ...... 299

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2.22.5. Training Materials...... 299 2.23. GENERAL MAINTENANCE AND SOFTWARE SUPPORT SERVICES REQUIREMENTS...... 301 2.23.1. Overview of Maintenance Responsibilities...... 301 2.23.2. Maintenance Requirements...... 301 2.23.3. Monthly Performance Review Meetings and Reporting...... 302 2.23.4. Monthly BOS and Operations Coordination Meetings ...... 303 2.23.5. Weekly Coordination and Status Meeting with the CSC Operations Contractor and RTCS Contractor...... 304 2.23.6. Change Control Board Meetings...... 304 2.23.7. Upgrades and Enhancements...... 304 2.23.8. Software Deployment...... 305 2.23.9. Maintenance Priorities, Response and Repair Times...... 306 2.23.10. Notifications ...... 306 2.23.11. Internal and External Audits...... 307 2.23.12. Safety...... 307 2.23.13. Security ...... 308 2.24. MAINTENANCE REQUIREMENTS ...... 308 2.24.1. BOS Hardware and Software Maintenance...... 310 2.24.2. BOS Network System Maintenance...... 310 2.24.3. BOS Administration and Software Support Services...... 311 2.24.4. Interoperability Requirements ...... 312 2.24.5. Updates to Maintenance Plan and Other Maintenance Related Documentation ...... 313 2.24.6. Preventive and Corrective Maintenance Requirements ...... 313 2.24.7. Certification of PCI DSS Compliance...... 315 2.24.8. Emergency Response Management...... 316 2.24.9. Disaster Recovery and Business Continuity...... 316 2.24.10. Stress Testing...... 317 2.24.11. Incident and Revenue Loss Reporting...... 317 2.24.12. Performance Requirements ...... 317 3. CONTRACT DELIVERABLES REQUIREMENTS LIST...... 336 4. ATTACHMENTS ...... 337 4.1. DEFINITIONS AND ACRONYMS ...... 337 4.1.1. Definitions...... 337 4.1.2. Acronyms...... 352 4.2. ATTACHMENT 1: INTERFACE CONTROL DOCUMENTS ...... 358 4.3. ATTACHMENT 2: EXPRESSLANES PRIVACY POLICY...... 358 4.4. ATTACHMENT 3: ESTIMATED VOLUMES...... 358 4.5. ATTACHMENT 4: BOS/CSC OPERATIONS/RTCS CONTRACTOR RESPONSIBILITY MATRIX...... 358 4.6. ATTACHMENT 5: CURRENT EXPRESSLANES BUSINESS RULES...... 358 4.7. ATTACHMENT 6: REQUIREMENTS CONFORMANCE MATRIX ...... 358 4.8. ATTACHMENT 7: ANTICIPATED TIMELINE FOR METRO EXPRESSLANES PROCUREMENTS...... 358 4.9. ATTACHMENT 8: LACMTA INFORMATION SECURITY MANUAL...... 358

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1. INTRODUCTION The Los Angeles County Metropolitan Transportation Authority (LACMTA) operates and maintains two ExpressLanes on the I-10 and I -110 Freeways in Los Angeles County. Construction for both ExpressLanes started in 2011. Tolling began on the I-110 on November 10, 2012; 11 miles of existing carpool/High Occupancy Vehicle (HOV) lanes were converted to ExpressLanes between Adams Blvd and Harbor Gateway Transit Center. Tolling began on the I-10 on February 23, 2013; 14 miles of existing HOV lanes were converted to ExpressLanes between Alameda Street and I-605.

1.1. Toll Corridors and Transaction Processing The ExpressLanes are designed to improve congestion and mobility. The I-10 corridor includes 10 toll gantries, six west-bound toward downtown Los Angeles and four eastbound with 11 entry/exit points. The I-110 corridor includes 11 toll gantries, five northbound toward downtown Los Angeles and six southbound with 14 entry/exit points not including the direct access connector with the 105 freeway. The following map outlines the entry/exit and toll point locations.

Features of the ExpressLanes include:  A FasTrak® Flex Transponder is required to use the ExpressLanes and drivers or their passengers are responsible for setting the vehicle occupancy to one (1), two (2) or three (3+) passengers via a Transponder Switch Setting.  Solo drivers always pay a toll to use the ExpressLanes except when the ExpressLanes are in “Open to All” mode or if the vehicle qualifies as a Clean Air Vehicle (CAV).

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 High-occupancy vehicles can use the ExpressLanes toll-free or at a discount based on the Corridor and time of day.  LACMTA and the California Highway Patrol (CHP) use electronic and visual methods to enforce the ExpressLanes policies and regulations.  Toll pricing adjusts dynamically throughout the day based on traffic speed and volumes in the ExpressLanes.  Frequent transit riders on select routes along the ExpressLanes corridor can earn toll credits by linking their Transit Access Pass (TAP) card to their ExpressLanes Account.

Tolls are set based on the amount of traffic traveling on the ExpressLanes using a dynamic pricing algorithm. The toll amounts are conveyed to the motorist via Dynamic Message Sign (DMS) located upstream of the ingress point. When the amount of traffic increases the toll increases in order to keep the lanes free-flowing. The toll price per mile is locked in at the time of entry into the ExpressLanes and multiplied by the length of travel by the vehicle to determine the toll applied to the trip. The following table provides an overview of the volumes of the Metro ExpressLanes; additional detail may be found in Attachment 3: Estimated Volumes.

Table 1. Overview of Volumes Category Volumes (2016) Trips 110 NB: 12.1M 110SB: 13M 10EB: 7.1M 10WB: 7.3M TOTAL: 39.5M Transactions 110 NB: 35M 110SB: 38.9M 10EB: 20.6M 10WB: 21.7M TOTAL: 116.2M Total Images Reviewed (OCR) 22.1M Total Images Reviewed (Manual) 8.5M

LACMTA is conducting studies to assess the potential for implementing additional ExpressLanes corridors in approximately 5-15 years. As such, all operations, systems, and services will be scalable to accommodate additional ExpressLanes corridors and extensions to existing Express Lanes.

LACMTA is currently contracting with prime contractor Atkinson Construction, who is using Conduent (formerly named Xerox State and Local Solutions) as a subcontractor for all toll related back office, customer service and lane services, operations and maintenance. The original single contract approach of design, build, operate and maintain was used to support the ExpressLanes demonstration project.

1.2. Metro ExpressLanes Back Office System (BOS) Project Overview

Now that the LACMTA ExpressLanes operations have matured, LACMTA is seeking best-in-class and cost effective solutions for all aspects of toll services and operations and is hence separating the

Introduction Page 2 LACMTA Back Office System currently combined services into three separate procurements that address the needs of the program in a modular fashion. It is currently contemplated that the three separate procurements will be released on a staggered schedule, with this RFP for the ExpressLanes Back Office System being released first. While these procurements may or may not result in different vendors, LACMTA expects that these vendors and functions will work in a coordinated manner to make the program as seamless as possible. The three procurements are: 1. Roadway Toll Collection Systems (RTCS) (e.g. Equipment at the Toll Gantries, Vehicle Detection Sensors, CCTV cameras, Dynamic Message Sign (DMS), Maintenance Online Management System (MOMS), Image Review, Trip Building, Transponder Switch Setting, BOS Integration, Implementation and Maintenance Services, etc.) 2. Back Office Systems (BOS) (e.g., Account Management, Transponder Inventory Management, Financial Management, Printing and Mailing System, Image Processing, Violation Processing, Customer Service Interactive Voice Response System (IVR), Customer Contact Systems, Payment Processing, Financial Reconciliation, Reporting, etc.) 3. Customer Service Center (CSC) Operations (e.g. Physical CSC and Customer WICs, Customer Service and Back Office Services., etc.)

While this solicitation does not have an SBE/DVBE participation goal, there will be two other procurements that are part of this overall project that will include SBE/DVBE goals designed to maximize SBE/DVBE participation, and assist Metro in meeting its overall 30% SBE and 3% DVBE agency goals.

The following diagram provides a high-level overview of the responsibilities between LACMTA and the three vendors. This diagram summarizes responsibilities by infrastructre and security, functionality, services, and service providers.

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Figure 1. LACMTA, RTCS, BOS, and CSC Operations Responsibilities Matrix

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LACMTA has established the following tentative timeline for the ExpressLanes projects, also provided as Attachment 7: Metro ExpressLanes Procurement and Implementation Timeline. This list is not intended to include all Project milestones in the Project, but is intended to present planned major milestones and to allow the Proposer to have sufficient detail to develop a meaningful proposed implementation schedule. It is expected that the new operations for all three procurements will Go-Live by November 2019.

Figure 2. Anticipated Timeline for Metro Express Lane Procurements

The Implementation Phase will include the following sub-phases, which could be concurrent:  Design and Development;  Testing;  Installation and Commissioning;  Data Migration and Transition;  Go-Live; and  Post Go-Live Operational Acceptance Testing.

The Operations and Maintenance Phase commences upon the Go-Live Date and includes the following Maintenance Services:  System Maintenance; and  Software Maintenance and Warranty.

1.3. System Overview Managing multiple toll road corridors requires a complex network of systems which Interface data across multiple platforms and agencies to coordinate information. This requires not only physical infrastructure (e.g., toll gantries for installing toll lane equipment) and Back Office systems (e.g., systems which manage Accounts and send Notices to customers), but also software and hardware (e.g., corridor Servers and dynamic pricing algorithms).

The physical System shall consist of the following primary subsystems:  RTCS In-lanes Systems at each Toll Gantry;  RTCS Dynamic Message Sign (DMS);  RTCS Vehicle Detection Systems;  RTCS Occupancy Detection System (ODS);  RTCS Closed Circuit Television (CCTV) Cameras;

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 RTCS ExpressLanes Roadway Support Systems;  ExpressLanes Back Office System (BOS) and  CSC and WIC locations supported by the BOS Contractor.

These systems Interface in batches and real-time to provide up-to-date information about the health of the corridors. To understand how these systems Interface with each other, the following diagram summarizes the types of Interfaces and files which may be sent between the systems.

Figure 3. System Interfaces

1.4. Litigation Involving the ExpressLanes Proposers are notified that the current ExpressLanes system is in the subject of a patent infringement suit that is currently stayed. Transport Technologies LLC filed a patent infringement lawsuit against LACMTA in August 2015 alleging the ExpressLanes infringe U.S. Patent No. 6.980,101 (“the '101 patent”). The lawsuit, styled Transport Technologies, LLC v. Los Angeles County Metropolitan Transit Agency, Civil Action No. 15-6423, has been stayed in the Central District of California (“the Litigation”) pending resolution by the Patent Trial and Appeal Board (the "PTAB") of the United States Patent and Trademark Office of two inter partes review (“IPR”) proceedings of the '101 patent.

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On November 22, 2016, following briefings by the parties and the patent owner, the PTAB instituted an IPR proceeding of the '101 patent, Case IPR2016-01077, at the request of Petitioner, LACMTA, and real party in interest, Atkinson Contractors. The basis for the institution decision is that claims 1, 3, 5, 6, 8 and 10 of the '101 patent may be found unpatentable. The IPR proceeding has commenced, and oral arguments, if requested, are set to occur on June 8, 2017.

Additionally, on February 22, 2017, following separate briefings by the parties and the patent owner, the PTAB instituted a second IPR proceeding of the '101 patent, Case IPR2016-01633. The basis for the institution decision is that claims 1, 3, 5, 6, 8 and 10 of the '101 patent may be found unpatentable. The IPR proceeding has commenced, and oral arguments, if requested, are set to occur on October 27, 2017.

The Litigation will remain stayed pending the outcome of the inter partes review. LACMTA denies the allegations raised in the Litigation.

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2. STATEMENT OF WORK AND REQUIREMENTS The following subsections describe the Statement of Work and the Requirements for the BOS. These Requirements are numbered to track Contractual obligations and any changes which may occur during the Project. Many of the requirements contain underlying lists of specific items and required database fields. The intent of these “including but not limited to” lists is to indicate to the proposer the intent and scope of the requirement. During design the naming and number of items and fields will vary; however, all items and fields shall be addresses by the System unless the Contractor is formally relieved of the requirement by LACMTA.

2.1. Back Office Systems Statement of Work In this Request for Proposals (RFP), LACMTA is requesting written Technical and Price Proposals from qualified Proposing Contractors (“Proposers”) interested in providing Back Office services. The Project includes the design, development, testing, and installation of a complete and integrated back office system that meets the requirements of the Metro ExpressLanes as specified in the Statement of Work and Requirements. The Contractor shall be responsible for performing all back office operations required to support the Metro ExpressLanes toll collection system Servers and systems defined in this Statement of Work.

The systems and services which shall be provided and/or maintained by the vendor include but are not limited to the following:  Account Management System  Customer Notifications System  Case Management System  Image Processing Quality Assurance/Quality Control System  Searches and Reporting Systems  Self-Service Systems (e.g., Interactive Voice Response (IVR), website, etc.)  Payment Processing System  Transponder Inventory Management System  Reconciliation and Settlement Systems  Collections Management System  Financial Management System  Registered Owner Identification System  Printing and Mailing Systems  Violation Processing System  Vehicle Registration Hold System  BOS Implementation  Training  BOS Maintenance  Existing Lane Transition Services  Support RTCS Implementation and Testing  Payment Card Industry (PCI) Qualified Security Assessor Services  Network Implementation and Monitoring  CSC and Customer Contact Systems to Support the CSC Operations Contactor  Desktop Customer Service Systems to Support the CSC Operations Contactor  On-Site Maintenance and Operational Support for the CSC Operations Contactor

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In addition to providing, operating, and maintaining the systems and services listed above, the vendor shall also Interface with the following entities/systems as part of the scope of this Contract:  Roadside Toll Collection Systems  Customer Satisfaction Survey System  Merchant Service Provider  Collections  Money Services Provider  Interoperable Agencies  Print and Mail House  Registered Owner Lookup and Registration Hold (CA Department of Motor Vehicles)  Registered Owner Lookup (out-of-state)  Metro ExpressLanes API for mobile apps  Transit Access Pass (TAP)

The services procured under this Contract do not include:  RTCS or CSC Operations. The required RTCS and CSC Operations shall be provided under separate contracts; however, the vendor is expected to Interface to the RTCS and CSC Operations CSC and WICs, provide systems and on-site support directly to the CSC Operations Contractor, and provide the necessary coordination with the RTCS and CSC vendors sufficient to properly integrate, test and operate the overall system.

2.2. Global System Requirements The global System Requirements define the overarching Requirements for the Hardware, Software and System comprising the production and non-production environments of the Back Office System (BOS).

This section of the BOS requirements document details overall BOS functionality including but not limited to: the Graphical User Interface (GUI), the primary means by which Authorized Users and LACMTA customers shall access information stored in BOS databases, how access shall be tracked and logged to ensure auditability in accordance with good accounting practices and how the BOS databases shall be maintained to ensure efficient operation while complying with California and other applicable statutes for archiving and data retention.

The overall technical solution must reside in the continental United States. The portions of the BOS that directly support Customer Service Center (CSC) Operations are required to be situated within Los Angeles County and the WICs are required to be at CSC Operations Contractor selected site(s) in Los Angeles County.

LACMTA processes more than one million Credit Card transactions per year, classifying it as a Level 2 Merchant by the Payment Card Industry (PCI) Standards Security Council. Because PCI standards focus primarily on the security of card holder information, the global System Requirements also include requirements for securing PII in accordance with LACMTA’s privacy policy and overall best practices for information security.

Connecting the BOS to the Roadside Toll Collection System (RTCS), Interoperable Agencies inside and outside California and to Third-Party Service Providers and Business Partners requires a wide variety of external Interfaces. Providing for these Interfaces will require the Contractor to utilize

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A BOS-provided Performance Management and Monitoring System (PMMS) shall monitor the performance of the BOS and provide incident and work order management capabilities and data points for measuring the Contractor’s Maintenance approach performance as further detailed in the Maintenance and Software Support Services section of these Requirements.

2.2.1. Environments The BOS shall include multiple environments with the capability for operating under different Hardware, Software and operating system configurations, as required to complete the Design, development, integration, testing, delivery and Acceptance of the BOS and to sustain day-to-day operations. The Contractor is encouraged to provide innovative solutions including the use of virtualization technologies and cloud services for meeting these Requirements. It is the Contractor’s responsibility to provide additional LACMTA-Approved environments should the ones listed herein be insufficient for the Contractor to deliver the appropriate solution. 1 The operating environment of the BOS shall include, but not be limited to:  the primary BOS;  a secondary instance of the BOS to be used for Disaster Recovery (DR) and to support Business Continuity.  included as part of the BOS, IVR, Automatic Call Distribution (ACD), the customer contact system, desktop environments, and associated telephony elements installed at the CSC and WICs  included as part of the BOS, desktop environments (seats) and peripherals to support the CSC Operations Contractor at a CSC and two WICs locations in Los Angeles County that are to be determined;  Interfaces to the RTCS;  Interfaces to the CSC and WICs;  Interfaces to Interoperable Agencies and  Interfaces to Third-Party Service Providers and Business Partners. 2 The Contractor shall ensure the BOS is fully operational in accordance with the Performance Requirements described in these Requirements, for the Contract Term. 3 The Contractor shall provide all computing environments required to sustain the day-to- day operations of the BOS by the Go-Live date, including but not limited to:  a production environment located within the continental United States;  a DR environment at a secondary location within the continental United States in a different time zone;  a training environment located at the CSC Operations Contractor selected CSC site in Los Angeles County;  a test environment and  a development environment. 4 The Contractor shall not allow access to PII to any individuals or entities outside of the U.S. Individuals and entities outside of the U.S. shall only have access to the development environment with no PII.

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5 LACMTA and the CSC Operations Contractor, shall have logon access to the training and test environments as-needed. 6 The Contractor shall keep all BOS environments current with all major releases of operating systems, databases, Software and firmware. Releases shall not be more than one (1) release behind the manufacturer’s latest major release unless Approved by LACMTA. The Contractor shall also make the necessary Software changes required to ensure compatibility with the evolving IT environment. 7 With the exception of the development and test environment, which may change as part of testing and development cycles, the Contractor shall keep operating systems, databases, software and firmware consistent across all environments, including, but not limited to configuration and patch level. 8 The test environment shall be sufficiently sized to successfully test software changes and their effect on the production environment, including load and stress testing.

2.2.1.1. Operating and Computing Environments – Production The Contractor is expected to provide a BOS solution that is a dedicated, hosted and/or cloud-based system and as such should provide for the following operating and computing environment requirements for production.

9 The BOS production environment shall be a fully redundant, fault-tolerant configuration of Servers, storage, databases and backup systems and connected using high-speed inter- system storage and networking fabric, including any ancillary equipment necessary to provide a complete production system which meets the requirements. 10 In the event of a complete failure of one or more of the components or sub-systems in the BOS production environment, affected components or sub-systems shall fail over to the secondary BOS at the DR site. Performance and availability requirements for the individual components and sub-systems of the BOS shall not be affected. 11 The Design and Implementation of the BOS production environment shall ensure no single- point-of-failure exists within the configuration and the BOS shall continue to operate without data loss in the event any single component of the configuration fails. 12 The operating system used for all Servers shall be a multi-user and multi-tasking operating system from a manufacturer that is widely recognized and used in the United States for complex, high-volume database operations. 13 The operating system shall be compatible with all hardware, software and other BOS components, including but not limited to:  the Relational Database Management System (RDBMS);  the Contractor’s application software;  the Contractor’s proposed network and communications topology; and,  all desktop environments and peripherals defined in these Requirements. 14 The operating system shall fully utilize the redundant BOS Server architecture. 15 The operating system shall have warranties as set forth in the Contract. 16 The operating system shall be the latest version at the time of implementation (unless otherwise Approved by LACMTA), field-proven and have a clearly documented Upgrade path and be supported by the manufacturer.

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17 All changes to the operating system are subject to Approval by LACMTA. 18 The Contractor shall provide a highly reliable and secure RDBMS for the storage of images, User Accounts, transaction data, Violation data and all other data, as applicable, for the retention period specified in these requirements. 19 The RDBMS shall be the latest version at the time of Implementation (unless otherwise Approved by LACMTA) and field-proven to operate in a complex, high-volume transaction environment. 20 The RDBMS shall be certified with the operating system, appropriate application software and shall fully utilize the redundant BOS Server architecture. 21 The RDBMS shall support Upgrades to the operating system, applications, memory, processors and other components. 22 The RDBMS shall have warranties as set forth in the Contract. 23 The RDBMS shall have a clearly documented Upgrade path and be supported by the manufacturer.

2.2.1.2. Operating and Computing Environments – Disaster Recovery (DR) 24 For DR purposes the Contractor shall provide a secondary BOS production computing environment of equivalent size and capabilities to the primary BOS, at a secondary location within the continental United States in a different time zone. 25 The DR environment shall be kept up-to-date/current and shall be capable of performing all functions of the production environment, at the same performance and availability levels described in these requirements for the primary BOS. 26 The secondary BOS computing environment at the DR site shall be capable of being brought on-line and made fully operational in accordance with the Performance Requirements described in these requirements for the primary BOS. 27 In the event of a catastrophic failure of the primary BOS, the secondary BOS at the DR site shall be capable of sustaining BOS operations indefinitely, or until such time as the primary BOS can be brought back on-line or a new primary site is identified and made fully operational. 28 The Contractor shall provide validation that the DR procedures and environment is capable of providing Business Continuity in the event of a catastrophic failure of the primary BOS. 29 The Contractor shall provide redundant, fault tolerant configurations for all DR data center components that support the BOS in accordance with the Performance Requirements, including but not limited to:  Secondary (standby) power, including appropriate electrical switching Equipment to switch between the primary electrical power and generator power.  the UPS shall be configured for surge suppression and clean, conditioned power to the power distribution paths within the DR data center.  the Computer Room Air Conditioning (CRAC) units and appropriate environmental controls to ensure the temperature, humidity and other operating requirements of the computer equipment are maintained as recommended by the by the Contractor and Approved by LACMTA. The CRAC units also shall be powered by the standby generator in the event of a sustained power outage.

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 dual power distribution paths to all Servers, storage, network and ancillary equipment and  all network components necessary to provide connectivity and to operate the BOS via the DR site.

2.2.1.3. Operating and Computing Environments – Training The training environment is a subset of the production database cleansed of any and all Credit Card and other PCI and PII related data elements. The training environment workstations, telephony equipment and peripherals shall be located at the CSC Operations Contractor selected CSC site in Los Angeles County and allows the Contractor to train the CSC Operations Contractor and LACMTA personnel and for the CSC Operation Contractor to conduct ongoing training. 30 The Contractor shall provide a non-production training environment, independent and separate from the production and DR environments, to support the initial and ongoing training needs of the BOS, including but not limited to:  new hire – this training provides the new employee a thorough, in-depth training covering all of the skills and information required to fully understand and perform their job;  refresher – this training provides additional training focused on topics on which the attendees have been previously trained but which the Training Manager or other CSC management staff identify as requiring additional training for a group of employees;  remedial – this training is individually focused on the needs of a particular employee(s) based on customer satisfaction feedback, management observation or employee request;  new job/promotion – this training is required when an employee changes jobs or gains additional responsibilities and  new content/program – this training is required when LACMTA introduces a new program or makes a significant change to the SOPs or the BOS.  15 training workstation set-ups including all peripherals capable of being configured for each seat type 31 The training environment shall support the setup of cleansed partial production data (a representative subset of User Accounts and transactions) to be used for hiring and training. 32 The Contractor shall provide the capability to restore training environment databases and to periodically refresh the training environment data from the production System, using data cleansing procedures Approved by LACMTA.

2.2.1.4. Operating and Computing Environments – Test 33 The Contractor shall provide a test environment for LACMTA’s use that is independent and separate from the production and DR environments to support testing, including new releases.

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2.2.1.5. Email and Messaging 34 The Contractor shall provide the capability for outbound/inbound email (including email attachments) and text messaging that meets the outbound/inbound correspondence requirements. 35 The Contractor shall provide the capability for outbound/inbound fax that meets the outbound/inbound correspondence requirements. 36 The Contractor shall provide the capability for multiple outbound domain name emails to avoid spam blocks. The Contractor may provide alternate solutions for avoiding spam blocks. 37 The Contractor shall provide the capability for Authorized Users to view system-generated status information for electronic messages (such as, email, text messaging or facsimile) that are sent from within the BOS application. For example, an Authorized User (e.g., customer service representative) verifies that email messages have been successfully sent from the BOS.

2.2.1.6. Hardware, Software and Other Equipment Although options are offered for the hosting and location of the BOS, phone systems, IVR, Automatic Call Distribution (ACD), Desktop Environments, printers and other peripherals shall be located at the CSC Operations Contractor selected CSC and WIC sites in Los Angeles County and work at home locations. The Contractor shall provide a secure Virtual Desktop Infrastructure to support the CSC Contractor’s Work-From-Home CSRs, and at LACMTA’s discretion the Contractor shall provide the full Work-From-Home desktop environments. Additional information is provided below and in the pricing instructions.

38 All materials procured, furnished and installed under this Contract shall be new, commercially available products currently in production, of the latest design/version at the time of purchase (unless otherwise Approved by LACMTA) and field-proven in high-volume revenue operations, including but not limited to:  hardware;  software;  firmware and  other supplies, equipment or components. 39 All materials procured, furnished and installed under this Contract shall be obtainable from multiple sources readily available to LACMTA, unless otherwise Approved by LACMTA. An exception to this may be the Contractor’s custom-developed Software. 40 The Contractor shall provide a dated invoice for all materials procured under this Contract. Shipping bills shall be retained and copies furnished to LACMTA along with the invoice on which they appear. 41 All commercial software provided as part of the BOS shall be enterprise class. Enterprise class applications are designed to be robust and scalable across a large organization, are compatible with LACMTA’s existing databases and Interfaces and are customizable to meet the specific needs of the BOS.

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42 The solution furnished and installed shall be appropriately sized for capacity, as required to support growth in traffic volumes at LACMTA toll facilities. It also shall be scalable, allowing for additional Toll Facilities to be added for all BOS functions while continuing to meet the Performance Requirements. 43 The Contractor shall use field-proven hardware, software and equipment configurations that support future Upgrades to processors, memory, storage, operating system, database and other system components. 44 Licenses and software media (or online access for downloading media) shall be provided to LACMTA for all hardware, third-party software and firmware procured, furnished and installed as part of the BOS. 45 The Contractor shall retain authorized copies (backups) for all software media as required for use in periodic System maintenance, Upgrades or system restores for a minimum of one year. 46 All computers and hardware procured, furnished and installed under this Contract shall have the most current and up-to-date virus, firewall and spam protection and other security software that prevent virus attacks and unauthorized access. 47 All computers and hardware shall automatically obtain virus protection and security updates according to an Approved (Configurable) maintenance schedule. The BOS shall detect all unauthorized access and intrusions at all levels and report such events to the PMMS. 48 All hardware and equipment provided to support BOS operations shall be networked and fully integrated with the functional BOS Software and the desktop environment. 49 The BOS shall include the following systems (including Hardware, Software, telephony, network connectivity and peripherals) in final quantities to be determined by the Operations Contractor and LACMTA, including:  CSC Supervisor/Manager Seat;  CSC Representative Seat;  Work-From-Home Customer Service Representative Seat (Full Remote Desktop Environment and Support using a Virtual Desktop Infrastructure);  Work-From-Home Customer Service Representative Seat (Virtual Desktop Infrastructure and Remote Support Only);  CSC Clerk/Operational Support Seat;  Workgroup printer;  Dedicated printer;  barcode and Quick Response Code readers;  Point-of-Sale (POS) devices and  telephones/headsets. 2206 The Contractor shall provide a secure Virtual Desktop Infrastructure to support the CSC Contactor’s Work-From-Home CSRs. 2207 At LACMTA’s discretion the Contractor shall provide the full Work-From-Home desktop environments.

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50 The standard Point of Sale devices shall support Europay, MasterCard and Visa (EMV) chip integrated circuit card and contactless Near Field Communication (NFC) devices. The Contractor shall ensure compliance with EMV chip guidelines for chip card transactions and International Standards Organization (ISO)/International Electrotechnical Commission (IEC) 18092 specifications for contactless NFC transactions. 51 Check scanners (for remote deposit capture) shall include, but not be limited to:  high accuracy Magnetic Ink Character Recognition (MICR) rate;  compliance with “The Check Clearing Act for the 21st Century” (Check 21);  check defacement features and  alphanumeric Optical Character Recognition (OCR) A & B font recognition.

2.2.1.7. Data Center The Contractor shall propose the most efficient solution for the hosting of the LACMTA back office systems. The hosting strategy should be designed to meet the defined Performance Requirements and promote security, flexibility and scalability of the proposed applications. 52 All data center components supporting the primary BOS shall be concurrently maintainable (the capability to perform planned and unplanned emergency maintenance without disrupting the computer Hardware operation). 53 The Contractor shall procure, furnish and install an electronic Interface to monitor the performance of all data center components. When redundant/standby systems are activated, or when conditions exceed/are outside of the range of the operating requirements, notifications and alarms shall be generated and reported to the PMMS. There shall be no loss of data in such conditions and the integrity of the BOS shall be maintained. 54 If the system is in a BOS Contractor-controlled data center and not the cloud or hosted, then secure access control shall be provided with PMMS notification for all access events.

2.2.1.8. Network The Contractor shall provide the required network equipment and communication lines to connect the BOS to the following locations:  CSC Operations Contractor selected CSC site in Los Angeles County;  CSC Operations Contractor selected WICs in Los Angeles County;  CSC Operations Contractor remote locations (e.g., via mobile van wireless internet);  RTCS;  all LACMTA designated Third-Party Service Providers and Business Partners (for example, Collections agencies and banking provider);  all Contractor designated service providers required to meet the Requirements; and  customers accessing the BOS via the internet/web.

LACMTA also requires the ability to connect via internet based Virtual Private Network (VPN). 55 The Contractor shall provide the Local Area Network (LAN) and Wide Area Network (WAN) communications lines, including telephony, and the Contractor shall procure, furnish and install all communications Equipment to provide BOS (primary and DR) connectivity to the RTCS; CSC, WICs, Third-Party Service Providers and Business Partners.

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56 Connectivity to the RTCS shall include communications lines to demarcation points Approved by LACMTA, as well as the required communications equipment to establish connections to existing Metro ExpressLanes networks. 57 Connectivity to the CSC and WICs shall include communications lines to demarcation points within these buildings and Approved by LACMTA, as well as the required communications equipment to establish connections to Metro ExpressLanes’ existing networks. 58 The network connection to the RTCS shall be of sufficient bandwidth to support the transfer of images, transactions, Transponder Status Lists and remote access connections to the BOS. Network connections shall meet the Performance Requirements for latency and response times as described in these requirements. 59 The Contractor shall provide network monitoring software to track the BOS network and all communications lines. All network notifications and alarms shall be reported to the PMMS. 60 The Contractor shall provide the capability for time synchronization to one or more certified time Server(s). The Contractor shall provide for redundant certified time sources should the primary source be unavailable. 61 The Contractor shall provide secure remote access to the full capabilities of the BOS for LACMTA Authorized Users, for example via a VPN connection at a WIC or from a remote location (e.g., via mobile van wireless internet). 62 The Contractor shall ensure BOS networks and communications are compliant with Payment Card Industry Data Security Standards (PCI DSS) and standard security practices as described in these Requirements and Attachment 8: LACMTA Information Security Manual.

2.2.2. System Functionality The System functionality requirements begin with the Design of a GUI to the BOS. Through the GUI, Authorized Users (from within the BOS Service Center) and customers (coming through a website or mobile application) will access a User Account and other information within the BOS. This section of the global requirements also includes requirements for establishing and controlling user access to the BOS, logging and security controls and maintaining efficient databases through regular purging and archiving of stale records in accordance with California and other applicable statutes and LACMTA Business Rules.

2.2.2.1. Graphical User Interface (GUI) The GUI Design must include accepted computer industry design standards for ease of readability, understanding and appropriate use of menu-driven operations, user customization and intuitive operation.

2.2.2.2. Global GUI Requirements 63 The Contractor shall provide a secure, browser-based GUI for the BOS application, Self- Service Website, Self-Service Mobile Website and all external Interfaces. 64 The Contractor shall provide for secure communications with the BOS application, all customer portals and all external Interfaces, such as Hypertext Transfer Protocol Secure (HTTPS) or similar. 65 The GUI shall adhere to accepted development standards and specifications, including but not limited to World Wide Web Consortium (W3C) and HyperText Markup Language (HTML) Version 5 or current standard.

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66 The Contractor shall follow PCI DSS and standard security practices in the Design of the GUI for the BOS application, all customer portals and all external Interfaces. 67 The GUI Design and development shall incorporate human factors and usability engineering and be optimized for speed, as well as provide the following controls, including but not limited to:  menus (such as pull down, popup, cascading, leveling, etc.);  allowing for multiple windows within the application, such as to navigate back without having to re-enter a User Account;  informational messages;  positive feedback;  exception handling and error dialogs, including logging the error (in the PMMS);  control icons, links and action buttons;  data entry fields, combo boxes, check boxes;  display (read-only) fields and  general and context-specific help menus. 68 Data entry screens shall have Configurable mandatory fields that require data entry prior to continuing through the process. 69 The Contractor shall provide field-level validation and format verification upon exiting data fields applicable to pre-defined formats or standards, including but not limited to:  alpha-numeric;  date;  time;  special characters;  length;  license plate number (based on individual issuing Jurisdiction rules) fields;  Transponder numbers;  telephone number;  email address;  ZIP or postal codes and  check-digit, checksum, Mod-10 or other verification algorithms for fields such as Credit Card number. 70 The Contractor shall provide other formatting masks as configured by the system administrator (visible to certain users but masked for other users), which can be applied to any other field in the GUI. 71 The Contractor shall provide field-level “tooltips” or other interactive help, Configurable by the system administrator, that provide specific guidance on any field presented, including but not limited to:  alpha-numeric fields;  date fields;  time fields;

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 special characters;  username and password;  length restrictions;  license plate number (based on individual issuing Jurisdiction rules) fields;  Transponder fields;  telephone number fields;  email address fields;  ZIP or postal code fields and  Credit Card number fields. 72 The Contractor shall provide the capability for Authorized Users to maintain drop-down lists, including but not limited to:  add items;  deactivate items;  set effective activate and deactivate times;  modify items;  toggle item visibility on/off;  set the display order;  change the display order;  set the default value and  change the default value.

2.2.2.3. BOS Application Requirements 73 The Contractor shall provide a browser-based BOS application compatible with the current version, the previous version and future version releases of the following browsers, including but not limited to:  Microsoft Internet Explorer;  Microsoft Edge Browser;  Mozilla Firefox;  Google Chrome;  Apple Safari  any other browser reaching five percent market penetration, as Approved by LACMTA and  smartphone/tablet/mobile browsers. 74 The Contractor shall provide web navigation optimized for speed and with identical screen presentation and user experience, regardless of the web browser used. The BOS application shall detect and advise if the browser being used is out-of-date or not supported, as well as instruct where updates can be obtained. 75 Help menu/dialogue box shall be provided for each screen, each editable field and each selectable option within each screen.

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76 The Contractor shall provide workflow and application help menus that integrate seamlessly into the user interface. 77 The Contractor shall provide help menus that provide clear descriptions and walk-through procedures for all standard tasks.

2.2.2.4. User Accounts, User-Roles, User-Role Management and Controls User Account management and role management is an important component to the overall security of the solution. An Authorized User is defined as a user of the solution that has access credentials to utilize the BOS as an employee of LACMTA or on behalf of LACMTA through contractual obligations.

78 Authorized Users shall access the BOS using an authenticated, role-based login. 79 Allow for full integration with Microsoft Active Directory (AD) or similar access system Approved by LACMTA so users are not required to enter separate passwords for system access (the System shall prompt users for their credentials and not allow pass-through authentication), and that all rules for password security (for example, characters or rotations) are enforced and passed between the network and the application. 80 The Contractor shall provide the capability to create (Configurable) BOS User Accounts. 81 The Contractor shall provide the capability to create a new User Account having the same role/rights as an existing User Account. 82 The Contractor shall provide the capability to allow first name, middle name and/or last name to be changed without having to create a new User Account, such as to correct an error or make a change because of marriage or divorce. 83 The Contractor shall provide the capability to search for Authorized Users using Configurable criteria. 84 The Contractor shall provide the capability to track User Accounts created dates and disabled dates information, since User Accounts may be enabled and disabled repeatedly over a period of time (because of leaves of absence, etc.). 85 The Contractor shall provide the capability to search and view all information about a User Account on a particular date and time. 86 The Contractor shall provide the capability to control all access rights within the BOS through the assignment of user-roles. 87 The BOS shall prevent the direct assignment of rights to an Authorized User, and all rights must flow from a user-role. 88 The Contractor shall provide the following user-role capabilities, including but not be limited to:  allow Authorized Users to belong to multiple user-roles;  allow the deactivation of a user-role, provided no active Authorized Users are assigned to that role;  ensure modifications to roles are immediately propagated through the BOS and to all Authorized Users currently assigned to the role;  prevent BOS access to users who are not assigned to a user-role and  provide a built-in “read-only” capability that can be added to any user-role, allowing User Accounts assigned to that role to view information on the screen and print reports (but not make changes).

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89 The Contractor shall provide the capability for an Authorized User to view the summary of permissions of a user created with multiple user-roles. 90 The Contractor shall provide the capability for Authorized Users to manage user-roles, including but not limited to:  create new user-roles;  change access rights;  assign and un-assign user-roles to User Accounts;  assign and un-assign User Accounts to user-roles;  adjust user-roles and  deactivate user-roles. 91 The Contractor shall provide the capability for Authorized Users to manage multiple levels of access control based on user-roles, including but not limited to:  broad functional level, for example, user-role X is denied access to the User Account management functionality;  detailed functional level, for example, user-role Y is allowed access to the User Account management functionality but denied access to close User Accounts function and  field level, for example, user-role Z is allowed access to the User Account management functionality but denied access to the tax exempt checkbox. 92 The Contractor shall provide the capability for Authorized Users to deny/allow access or allow read-only access, based on user-roles, including but not be limited to:  specific menus;  specific items on a drop-down list;  specific individual screens;  specific functions on a screen;  specific fields within a specific screen;  specific types of transactions;  specific processes;  specific reports;  specific activities based on Account status;  specific search capabilities;  specific transaction approval privileges;  specific workstation location access;  specific workstation time restrictions and  specific time restrictions. 93 The Contractor shall provide the capability to configure Flags as part of a user role definition so they can be viewed based on user-roles. 94 The Contractor shall provide the capability to send Alerts to the PMMS for logging and notification based on the assignment/removal of a specific user-role (Configurable as new user-roles are created).

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95 The Contractor shall provide the capability to search for all Authorized Users with a specific role and all User Accounts with a specific access right. 96 The Contractor shall provide the capability to search and report on user-roles for a particular date, distinguishing between an active User Account (able to access information according to its roles) an inactive User Account (temporarily unable to access information because of a locked password or expired from lack of use) and a disabled User Account (a User Account no longer able to access information because of the intervention of an Authorized User). 97 The BOS shall keep a full history of all user-role details with effective dates so the exact rights for a particular user-role can be viewed by Authorized Users at any point in time.

2.2.2.5. Logging Mechanisms These mechanisms provide chronological recording of system events and User Account activities. They also document the sequence of activities that have been affected at any time during a specific operation, procedure or event. 98 The Contractor shall provide comprehensive, Configurable, system-wide logging capabilities ensuring every transaction of any type is logged, including all user access and any changes to any record in the BOS. 99 The Contractor shall provide the capability to log all changes to User Accounts. 100 The Contractor shall provide System reports, including but not limited to:  reports of logged activity by activity type and  reports of logged activity by User Accounts. 101 Create a log when a user-role is assigned, changed or removed from a User Account. 102 The Contractor shall provide screens so Authorized Users can view all log files. 103 The Contractor shall provide the capability to log and track all user activities and User Accounts viewed by specific User Account with date, time stamp, and workstation location. 104 The Contractor shall provide Configurable Alerts to the PMMS for all functions of the BOS which are logged. 105 The Contractor shall provide logging that includes actions taken within a User Account with date and time stamp. 106 The Contractor shall provide logging of all changes (view, add, delete, modify) to Credit Card information. 107 The Contractor shall provide logging of all user login attempts, including but not limited to:  username;  originating Internet Protocol (IP) address;  date;  time and  success/failure. 108 The Contractor shall provide logging of all customer login attempts, including but not limited to:  Uniform Resource Locator (URL);  User Account;

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 browser/platform including version number;  originating IP address;  date;  time and  success/failure. 109 The Contractor shall provide audit logging capabilities that provides the ability for view access by CSR and/or by Account to have the review of users that have accessed the Account or Case even if no changes have been logged. 110 The Contractor shall provide the capability to log and track what changes are made to Credit Card information. 111 Create a log of all changes to system configurations or settings and record the user name, date, time and IP address from which the change was made. 112 Prevent any logging of Credit Card numbers or card Security Code data, including debugging and error logs. 113 The Contractor shall provide the capability to generate an Alert to the PMMS when debugging logs are turned on within the production environment. 114 The Contractor shall prevent tampering with log file data. 115 The Contractor shall provide the capability to log and track changes to applications, databases and operating systems.

2.2.2.6. System and User Security The Contractor shall provide security and access controls in accordance with industry best practices and in compliance with applicable standards. 116 The Contractor’s approach to System and user security shall include, but not be limited to:  compliance with PCI DSS;  protecting the confidentiality of PII in accordance with LACMTA’s privacy policy, Section 31490 of the Streets and Highways Code and the recommendations in publication 800-122 from the National Institute of Standards and Technology (NIST) and  conformance to applicable best practices for information security management as described by the ISO/IEC 27000 standards. 117 The Contractor shall ensure no cardholder data, such as Credit Card numbers or card verification value data, and no PII is present in any non-production environments, including but not limited to LACMTA provided Data Warehouse, training and testing environments. 118 The Contractor shall provide comprehensive user credential controls that are compliant with PCI standards, including but not limited to:  prevent the creation of ‘generic’ User Accounts – all User Accounts shall be associated to a specific person. For example, use the unique employee ID as a required field for each User Account. Duplicate IDs would be rejected and  prevent a user (role-based) from logging in at two different machines at the same time, while allowing a single user on a single machine to have multiple sessions open at the same time.

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119 The Contractor shall provide the capability to configure different user credential controls for different types of users, including but not limited to:  Authorized Users who will access the BOS;  Third-Party Service Providers and Business Partners who will access the BOS via external Interfaces and  customers who will access the BOS via the Self-Service Website, Self-Service Mobile Website, Self-Service Mobile Application and the IVR. 120 The Contractor shall provide the capability for a User Account session time out after a Configurable period of inactivity. 121 The Contractor shall provide the capability for an Authorized User to set, based on user- role, the length of inactivity time before a session time out. 122 Prevent customers from accessing the BOS after a Configurable number of failed login attempts within a Configurable amount of time and send an Alert message to the PMMS. 123 The Contractor shall provide the capability for the BOS to automatically reset the customers’ access to the BOS after a Configurable amount of time has elapsed since the last unsuccessful login attempt. 124 The Contractor shall provide the capability for Authorized Users to reset the customer’s access to the BOS after the customer’s access has been locked due to unsuccessful log on attempts. 125 The Contractor shall provide the capability to auto-detect clear-text Credit Card numbers and automatically replace the Credit Card number in a non-encrypted field with a masked Credit Card number. For example, the System shall automatically detect and mask a Credit Card number typed in the body of a note and Alert an Authorized User(s).

2.2.2.7. Archival and Purge Control Mechanisms LACMTA is a public agency and is, therefore, subject to the law governing the retention and disposition of information considered as public record. The requirements for archiving and purging include requirements for automating these activities in a way that maintains compliance with the LACMTA Records Retention Schedule, while providing LACMTA a method to approve the disposition of records before they are deleted.

126 The Contractor shall provide the capability for fully automated and Configurable storage of historical data (archival) and the permanent deletion of inactive or obsolete data (purging). 127 The Contractor shall provide the capability to store 100 percent of the BOS electronic working information for three (3) years past the active period in accordance with the LACMTA Records Retention Schedule. 128 The Contractor shall provide the capability to store 100 percent of the BOS electronic historical information indefinitely if they have enduring significance to LACMTA activity (i.e., permanent, evidentiary, and/or historical value) in accordance with the LACMTA Records Retention Schedule. 129 The Contractor shall provide the capability to store types of BOS electronic information, including but not limited to:  data;  images;

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 documents;  System logs and  third-party files. 130 Archival and purge routines shall be Configurable for each impacted data element, including but not limited to:  data;  images;  documents;  System logs and  third-party files. 131 The Contractor shall provide the capability to archive data on a monthly interval. 132 The Contractor shall provide the capability to purge archived data on a periodic basis. 133 Authorized Users shall have the capability to request retrieval of archived data through the Contractor’s ticketing system included in the PMMS. 134 All archived data shall be stored on permanent, long-term storage media and shall be maintained at a location which meets the specifications outlined in the Contract. 135 Servers shall retain transaction and summarized data, all images and System logs online for a specified period of time and then archive that data in accordance with LACMTA data retention requirements, including but not limited to:  summarized data shall be retained online for at least seven (7) years and then archived, so performance reports can be generated for trend analysis;  User Account related data, Cases, paid transactions, images and correspondence shall be retained online on the BOS for three (3) years, after which it shall be archived;  voicemails and conversations recorded shall be retained online on the BOS for three (3) months, after which they shall be archived and  all other data shall be retained on the BOS for 18 months, after which it shall be archived. 136 The Contractor shall provide the capability to notify the BOS maintenance personnel via the PMMS a Configurable number of days in advance and require Authorized User approval for when archival and purging jobs are to be executed, including but not limited to data elements impacted, date range applied and data size impact. 137 After successful archival of data and confirmation via the PMMS, the deletion of online data shall be automatic, without user intervention and shall generate a message to be transmitted according to the PMMS rules. Absolutely no transactions shall be deleted unless confirmed to be successfully archived. 138 The BOS Servers shall be sized to accommodate for the restoration of selected archived data (one (1) year minimum). 139 Authorized Users shall be able to generate queries from the restored data.

2.2.3. Payment Card Industry (PCI) Security Standards and Compliance The PCI Security Standards Council is responsible for the development, management, education and awareness of the PCI Security Standards, including the PCI DSS, Payment Application Data Security

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Standard (PA-DSS). The PCI Security Standards provide guidance for merchants, vendors and security consulting companies to mitigate data breaches and prevent payment cardholder data fraud.

Obtaining full PCI compliance shall be the sole responsibility of the Contractor. While the RTCS Contractor and CSC Operations Contractor will support PCI compliance activities, the BOS Contractor is responsible for ensuring that PCI compliance is fully achieved prior to the Go-Live date. The Contractor is further required to ensure that the BOS continues to be PCI compliant as Updates and Upgrades to the Software take place through the life of the Contract.

140 The Contractor and the BOS shall be in compliance with the PCI DSS for a Level 2 merchant or the appropriate merchant level as defined by the PCI Security Standards Council in place at the time of BOS Go-Live. Contractor shall continue to ensure PCI compliance for all aspects throughout the life of the Contract. 141 The Contractor shall ensure that the BOS is in compliance with any individual additions to the PCI Security Standards since the last major version (version 3.2 published in April 2016) or the current version published by the PCI Security Standards Council and all future versions. 142 The Contractor shall fully cooperate with LACMTA at no cost to LACMTA in responding to the Qualified Security Assessor’s (QSA) requests and implement remedies if any issues are identified. 143 The Contractor shall complete a PCI DSS assessment by either a qualified ISA or an independent QSA, or as required by PCI DSS, at the interval required for PCI DSS compliance, including a complete ROC. The Contractor shall be responsible for providing the ISA or QSA. 144 The Contractor shall complete penetration vulnerability and exploitation testing, the results of which shall be provided to LACMTA, at the interval required for PCI DSS compliance throughout the life of the Contract. 145 The Contractor shall ensure the BOS is in compliance with PA-DSS for any Commercial Off- the-Shelf (COTS) Software that will be used in payment applications. 146 The Contractor shall provide, prior to the BOS going live:  PCI Attestation of compliance by either a qualified Internal Security Assessor (ISA) or an independent QSA, or as required by PCI DSS;  vulnerability scan by an approved scanning vendor;  internal and external penetration testing results and  a complete Report on Compliance (ROC), including details about the BOS environment and the assessment methodology, as well as documentation regarding the BOS's compliance status for each PCI DSS Requirement. The ROC shall be provided no more than four (4) months after go live which outlines a clear plan (in writing) to achieve full PCI compliance shortly after Go Live. At a minimum, the ROC shall address the “Prioritized Approach,” which covers the key risk areas of PCI before Go Live, as outlined by the PCI Security Standards Council. The ROC shall include a detailed timeline for PCI compliance. 147 The Contractor shall provide a robust, enterprise-grade logging system specifically geared towards optimally addressing all logging requirements under the PCI scope.

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148 The Contractor shall furnish copies of all PCI assessment, testing and compliance documentation including the ROC to LACMTA, upon completion of quarterly and annual assessment activities throughout the life of the Contract. 149 The Contractor shall ensure the BOS is compliant with all applicable regulations, standards and statutes, including but not limited to:  PCI DSS;  Generally Accepted Accounting Principles (GAAP);  Governmental Accounting Standards Board (GASB);  appropriate controls over financial reporting and  applicable requirements and statutes of the State of California.

2.2.4. Interfaces The Contractor is responsible for working with LACMTA, Interoperable Agencies/CTOC and Third- party Service Providers and Business Partners in Designing, developing, documenting, testing and implementing all required Interfaces and portals.

2.2.4.1. General Requirements for External Interfaces Electronic Interfaces are required to provide connectivity between the BOS, the CSC and WIC locations, the RTCS, customers accessing the BOS via the web, LACMTA provided Data Warehouse, Interoperable Agencies and Third-Party Service Providers and Business Partners. The technical specifications for these Interfaces are documented in ICDs that have either already been developed by LACMTA, or shall be developed by the Contractor as part of the BOS Contract. The ICDs include requirements for data format and transmission, criteria for acknowledgement and validation of transmitted data and procedures for recording and reconciliation as appropriate for each Interface. The existing ICDs are included in Attachment 1: Interface Control Documents.

150 The Contractor shall provide electronic automated Interfaces to LACMTA, Interoperable Agencies, Third-party Service Providers and Business Partners in accordance with these Requirements. 151 The Contractor shall provide for guaranteed transmission of data for all Interfaces and portals. 152 The Contractor shall provide for 100 percent reconciliation of the transmitted data and files. 153 The Contractor shall provide the capability for Authorized Users to access and view the contents of files, including compressed or encrypted files, which are received by the BOS and transmitted by the BOS in a readable format. Authorized Users shall have the capability to save the contents of such files. 154 The Contractor shall provide the capability for real-time Alerting to the PMMS of Interface and data transmission failures, including but not limited to:  real-time Dashboard for managing and monitoring Interfaces;  workflow user Interface for managing and monitoring steps within each Interface;  status and history of executions;  comprehensive scheduling of file transmissions;

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 tools for viewing data and/or contents of files received via Interfaces and portals (compressed or encrypted);  comprehensive reporting for inbound and outbound transmissions;  tight integration with the PMMS and Notification of failed transmissions and  capability to manually execute a failed transmission. 155 The Contractor shall utilize Secure File Transmission Protocols (SFTP) for the transfer of data and/or files via Interfaces and portals. 156 The Contractor shall provide the capability to transmit and receive multiple files during each scheduled batch. 157 The Contractor shall provide the capability to transmit and receive multiple files in a day. 158 The Contractor shall utilize file naming conventions that prevent the over-write of data and/or files. For example, include the date and time of transmission. 159 The Contractor shall provide utilize file handling and processing methods that provide a complete log of the data and/or file transfer process. For example, files that are successfully processed are moved to a processed folder. 160 The Contractor shall provide validate records and identify errors in the received data and/or files, including but not limited to:  mandatory fields;  data formats;  data validity (for example, User Account number not found in the BOS);  duplicate records;  unexpected response;  checksum/record count verification and  incorrect status. 161 The Contractor shall provide the capability to correct and re-transmit data and/or files. 162 The Contractor shall provide the capability to process re-transmitted data and/or files. 163 The Contractor shall provide the capability to transmit the error details to the transmitting entity, as well as record it in the PMMS. 164 The Contractor shall provide the ability to identify missing records/transactions/images and request the transmission of such missing records/transactions/images. 165 The Contractor shall reconcile the transmitted records to the records received and accepted by the receiving entity. 166 The Contractor shall provide the means to identify Interface issues by validating the file transmission process, including but not limited to:  creation and transmission of data and/or a file at the scheduled time, even if there are no records to transmit;  determination if the data and/or a file was transmitted or received at the scheduled time;  creation of Alerts to the PMMS if data and/or a file was not created or received at the scheduled time;  creation of Alerts to the PMMS if received data and/or a file was not acknowledged;

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 creation of Alerts to the PMMS if records in the received data and/or file had errors when processed;  provide details in real-time to the PMMS of each failed record and  creation of Alerts to the PMMS when a response has not been received for individual records within the expected duration. 167 The Contractor shall provide data and/or file transmission and reconciliation reports as described in these Requirements. 168 All responses received from third-party Interfaces and all actions required of the third- party to a file transmitted by LACMTA shall be associated with the original transaction, including but not limited to:  images of Lockbox check copies for a payment;  Notifications to customers transmitted by the Collection Agency;  comments and dispositions transmitted in the response file and  emails received from the customer related to a specific transaction. 169 The Contractor shall provide the capability for Authorized Users to obtain the history of updates to a transaction. 170 The Contractor shall provide a Dashboard that tracks the progress of data and/or file transmissions through each stage and their acknowledgements by the receiving entity, including but not limited to:  transactions eligible for transmission;  file and/or data created with file name;  file and/or data transmitted;  file and/or data received;  file and/or data accepted;  file and /or data rejected;  file and/or data re-transmitted;  number of records in the file and/or data set;  number of unique User Accounts and  number of failed records. 171 The Contractor shall provide the capability for Authorized Users to configure the relevant parameters related to file and/or data transmission for each Interface. 172 The Contractor shall monitor the disk capacity where files and/or data are deposited and send an Alert to the PMMS and third-party entities (if applicable) if folders are near capacity (Configurable) or full. 173 The Contractor shall provide the capability to automatically archive successfully processed data and/or files after a Configurable number of days. 174 The Contractor shall provide the data to reconcile file transmissions. 175 The Contractor shall provide conform to any existing ICDs, including any Updates required at the time of Design and develop all new ICDs that are required to be developed. It is the Contractor’s responsibility to ensure all ICDs (including existing) are accurate, updated and meet the requirements of the BOS before developing the Interfaces. Standards-based Interfaces shall be used when available and all Interfaces shall be Approved by LACMTA.

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176 The Contractor shall maintain and update all Interfaces at the direction of LACMTA at no charge over the life of the Contract.

2.2.4.2. Interface to LACMTA’s RTCS This Interface connects the BOS with each of the RTCSs as they come online for transmitting trip/transaction/images/data/toll rate DMS images and data to the BOS for processing and for transmitting various data back to the RTCS. The BOS shall also transmit in real-time Transponder Status Lists (TSL) to the RTCS. 177 The Contractor shall provide an Interface to each of the RTCS to obtain and acknowledge 100 percent of all trip transactions, associated transaction and violation and Transponder Switch Setting Correction images (related to the ODS) for transactions where the occupancy has been corrected, and trip corrections in accordance with the ICDs to be developed during Project Design. 178 The RTCS Interface shall provide the capability to obtain and acknowledge 100% of the toll rate DMS images and associated data in accordance with the ICDs to be developed during Project Design. 179 The RTCS Interface shall be capable of the following, including but not limited to:  sending LACMTA’s TSLs (for both LACMTA’s and partner agencies’ Transponders) in real-time and (incremental and comprehensive) at scheduled intervals (e.g., every 10 minutes);  sending Interoperable Agency Transponder Statuses periodically (incremental and comprehensive) multiple times per day (e.g., every 10 minutes);  sending Plate Correction List from customer disputes and audit checks no less than every hour (Configurable);  sending Exempt List maintained at the BOS no less than every hour (Configurable);  sending Transponder Switch Setting Correction List resulting from customer disputes and audit checks no less than every hour (Configurable);  sending Switch Setting Errors each time the results of the ODS are determined to be wrong based on successful disputes;  summary toll collection traffic and revenue data;  receiving Image-Based Transactions (for image review); and  receiving other files (such as toll rate schedules and dynamic pricing information). 180 The Contractor shall provide the capability to positively acknowledge (ACK) message receipt, negatively acknowledge or reject a message (NACK) and reconcile data transmissions from each individual RTCS.

2.2.4.3. Interface to the Interoperable Agencies This Interface connects the BOS with the Interoperable facilities’ back office systems for data exchange.

181 The Contractor shall provide the Interface to all CTOC and 6C-TOC Interoperable Agencies at Go-Live, for the functionality described within these Requirements and in accordance with existing and future ICDs.

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182 The Contractor shall provide the capability to obtain and acknowledge 100 percent of all transactions and images from Interoperable Agencies. 183 The Contractor shall provide the capability to transmit 100 percent of all Interoperable Agency customer transactions/trips and images to their respective Interoperable Agencies. 184 The Contractor shall provide the capability (Configurable) to transmit LACMTA’s Plaza update (including addition of new Plaza facilities) information to Interoperable Agencies. 185 The Contractor shall provide the capability (Configurable) to receive Interoperable Agencies’ Plaza update (including addition of new Plaza facilities) information. 186 The Contractor shall provide the capability (Configurable) to transmit LACMTA’s Transponder Status Lists (TSLs) to Interoperable Agencies. 187 The Contractor shall provide the capability (Configurable) to receive Interoperable Agency TSLs from Interoperable Agencies. 188 The Contractor shall provide the capability (Configurable) to transmit BOS customer license plates to Interoperable Agencies. 189 The Contractor shall provide the capability (Configurable) to receive license plates from Interoperable Agencies.

2.2.4.4. Interface to Transit Systems LACMTA has a Transit Access Pass (TAP) program, which is a countywide “universal” fare system providing an integrated, electronic fare collection systems that allows seamless multi-modal travel throughout the Los Angeles region using smart card technology.

190 The Contractor shall provide an Interface to LACMTA’s Transit Access Pass (TAP) program to support the LACMTA ExpressLanes Transit Rewards Program.

2.2.4.5. Interface to DMV This Interface connects to the DMV to obtain information (such as name, address, vehicle make/model, CAV designation) about the California Registered Owner of Vehicles (ROV) that have incurred Tolls on LACMTA’s Toll Facilities, but are not registered as customers, and to place/release Registration Hold on California vehicles for non-payment of Tolls. 191 The Contractor shall provide the Interface to the DMV for the functionality described within these Requirements and in accordance with existing ICDs. For the placement and release of vehicle Registration Hold, the Interface shall comply with the Parking/Toll Abstract Reporting Manual.

2.2.4.6. Interface to Rental Car Service Providers This Interface connects to Rental Car Service Providers to exchange transactions, vehicle and payment information with the BOS, for rental car customers who incur Tolls on LACMTA’s Toll Facilities during their rental period.

192 The Contractor shall provide the Interfaces to Rental Car Service Provider for the functionality described within these Requirements and in accordance with ICDs to be developed during Project Design.

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193 The Contractor shall provide the capability to schedule and automatically send periodic (Configurable) detailed rental car Account toll transaction files to Rental Car Service Providers. 194 The Contractor shall provide the capability to receive vehicle information from rental car companies.

2.2.4.7. Interface to LACMTA Merchant Service Provider This Interface connects to the LACMTA designated Merchant Service Provider(s) for clearing Credit Card payments.

195 The Contractor shall provide an Interface to a Merchant Service Provider(s) for the functionality described within these Requirements and in accordance with ICDs to be developed during Project Design. 196 The Contractor shall generate a settlement file which shall be transmitted to the Merchant Service Provider(s) on a daily basis.

2.2.4.8. Interface to LACMTA BOS Bank This Interface is to the LACMTA-provided bank to retrieve all required banking information.

197 The Contractor shall provide an Interface to the LACMTA Bank to retrieve, process and store all information required to support the all-electronic BOS bank reconciliation process that is conducted by the CSC Operations Contractor.

2.2.4.9. Interface to Collection Agencies This Interface connects to the LACMTA designated Collection Agency(s) for transmitting User Account/transaction information regarding customers with Tolls on LACMTA Toll Facilities who have failed to remit payments. The Interface also is used to receive disposition and payment information for any User Accounts placed with Collections.

198 The Contractor shall provide an Interface to the Collection Agencies for the functionality described within these Requirements and in accordance with ICDs to be developed during Project Design.

2.2.4.10. Interface to California Franchise Tax Board (FTB) Tax Intercept Program This Interface is to the CA FTB Tax Intercept Program to retrieve all required tax intercept information.

199 The Contractor shall provide an Interface to the CA FTB to retrieve, process and store all information required to support the tax intercept process that is conducted by the CSC Operations Contractor.

2.2.4.11. Interface to LACMTA ExpressLanes Mobile Application This Interface is to the LACMTA ExpressLanes Mobile Application to send and retrieve all required account information.

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200 The Contractor shall provide an Interface to the LACMTA ExpressLanes Mobile Application to send, retrieve, process and store all information required to support the mobile application that is managed by LACMTA or its Contractor. 201 At a minimum, the Interface shall include the following fields:  account verification & information (username, password, account holder name, account number, prepaid account balance, list of vehicles on account (license plate, year, make, model, etc.), list of transponders on account)  account replenishment (payment information, violation information, transponder/ supply order information, statement download)  trip management (account number, vehicle license plate, transponder number, Transponder Switch Setting, corridor travelled, date/time of trip, past trips)  corridor information (travel times, current toll amounts, historical toll amounts)

2.2.4.12. Interface/Connectivity to Other Contractor The Contractor shall provided Service Providers The Contractor shall provide connectivity to service providers for which the Contractor is responsible. The requirements are not prescriptive as to the Interface type or method. 202 The Contractor shall provide connectivity to Contractor selected service providers as required to meet the requirements, including but not limited to:  Print/Mail House Provider;  Money Services Provider;  Non-California Registered Owner Lookup all 50 states, DC, U.S. Government Canada and Mexico;  Lockbox Service Provider and  Email Address Validation Service Provider.

2.2.5. Performance Management and Monitoring System The Performance Management and Monitoring System (PMMS) supports System Maintenance requirements for all Hardware, Software and other System components by monitoring BOS processes, Equipment, jobs and Interfaces in real-time to identify degradations in performance or availability before they impact end users. The PMMS generates Alerts and creates actionable trouble tickets that can be tracked to resolution. 203 The Contractor shall provide a PMMS that supports System Maintenance requirements for all Hardware, Software and other System components, in accordance with these Requirements. 204 The Contractor shall provide a PMMS that monitors, Alerts and generates trouble tickets in real-time for all BOS processes, equipment, jobs and Interfaces, including but not limited to:  communications issues;  electrical power issues;  Hardware issues;  Software issues or failures;  database issues;  issues with customer portals (Self-Service Website, Self-Service Mobile Website and Self-Service Mobile Application);

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 file systems and file system issues;  issues with jobs, processes or data flows;  System health – overall and by component;  System and application performance;  System utilization – disk space, disk IOs, CPU, memory, throughput (Configurable thresholds);  security events;  logs and  access controls. 205 The PMMS shall provide comprehensive recording capabilities, including but not limited to:  log aggregation (from disparate systems or Modules);  event correlation (cause and effect association);  log shipping and  log management functions. 206 The PMMS shall have the ability to receive success or failure information regarding data management activities, including but not limited to:  backup;  DR data transfer and synchronization status;  data archival and  data restores. 207 The Contractor shall provide a PMMS that monitors, alerts and tracks, in real-time, unusual or potentially fraudulent activity triggered by users and systems, including but not limited to:  multiple one-time replenishments coupled with closing of User Accounts;  repeated opening and closing of User Accounts;  refunds over a Configurable dollar amount and  multiple deposits and refunds on the same User Account. 208 The PMMS shall include, but not be limited to the following capabilities:  receiving and monitoring status messages for all BOS Hardware and Software;  local trouble ticket manual entry or email entry by users;  automatic work order generation;  storing data in a relational database to allow for data recovery and flexibility in reporting the raw data (including Dashboards and ad-hoc reporting);  generating (automatically) daily, weekly and monthly performance reports as determined by LACMTA;  tracking service requests;  assigning priorities and actions to events;  notifying (automatically) maintenance personnel via reports, text and email;  assigning trouble tickets to maintenance personnel;

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 reassigning (manually) trouble tickets to other maintenance personnel;  escalating (automatically) trouble tickets to other maintenance personnel;  recording time of acknowledgement by maintenance personnel;  recording time of acknowledgement by all subsequently assigned maintenance personnel;  recording time of repair;  recording time of Equipment recovery;  recording completion of service calls;  attachment of common document type, such as Microsoft Word, Portable Document Format (PDF), email and screen capture images;  providing automatic Alerts for trouble tickets not closed in a specified time;  maintaining and tracking repair maintenance activity;  calculating response times, repair times and down time from the data entered by the maintenance staff and automatically generated by the BOS;  accepting and updating trouble tickets from mobile hand-held devices and smart phone entries;  role-based security;  automatic system exception reporting for all processes that are not running;  automatic system workflow exception reporting for all items that are not processing correctly or are hung up in the BOS and  providing hard copy reports on issues, failures and trouble resolution status. 209 The PMMS shall record all configuration data in a configuration management database, which shall be updated after each system component change, including application of System patches. 210 The PMMS shall provide System Maintenance personnel with screens, Dashboard s and reports within the PMMS that allows for the verification and monitoring of all processes, programs and scheduled tasks. Failures shall be visible in a PMMS screen accessible to maintenance personnel. Event and error logs shall be provided to assist maintenance personnel with investigating problems. 211 All PMMS screens, Dashboards and reports shall be available to Authorized Users from LACMTA. 212 The PMMS shall provide Authorized Users with operational, management and performance reports from the PMMS that include but are not limited to:  summarized and detailed alarm history;  maintenance paging and response history;  work order status and tracking;  Equipment inventory and life cycle tracking;  Equipment availability;  preventive and predictive maintenance;  corrective maintenance;  response and repair times for each of the priorities;

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 Equipment use history;  Equipment repair history;  total System availability;  sub-System availability for components of the BOS, IVR System, Self-Service Website, Self-Service Mobile Website and Self-Service Mobile Application;  equipment versions, software versions, firmware versions and serial numbers for all equipment installed under these requirements;  incident logs and lost revenue estimates;  performance reports detailing compliance to the Performance Requirements;  a detailed list of parts replaced as a result of maintenance actions;  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);  performance reports;  an exceptions report summarizing all unusual or significant occurrences during the period and  trend analysis for repetitive failure. 213 The PMMS shall support the management of preventive/predictive maintenance schedules. 214 The PMMS shall provide the capability to automatically generate work orders for preventive/predictive maintenance tasks. 215 The Contractor shall provide a PMMS that supports asset management, including but not limited to:  tracking all System Hardware and Software items;  tracking all System Hardware and Software locations;  tracking all System Hardware and Software versions;  tracking all maintenance and service agreements;  maintaining a list of vendors from which products were procured;  associating the original purchase order number to the individual item;  associating the original vendor to the individual item;  associating all warranty information to the individual item and  providing an Alert prior to warranty expiration. 216 The PMMS configuration shall include redundant components as required to ensure performance management and monitoring capabilities and data are not lost in the event of failure of the PMMS Hardware, Software or other BOS components.

2.3. Future Functionality The System shall be Designed to anticipate certain future functionality and Interfaces. The introduction of future functionality, of the type noted in this section, shall not require changes to the Software or System architecture or significant changes to the database structure.

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217 The introduction of future functionality shall not require changes to the Software or System architecture, or significant changes to the database structure including the capability to easily add fields and report on them without affecting the database schema. 218 The Contractor shall provide the capability to Interface with entities providing for national Interoperability in accordance with ICDs to be designated and/or developed during Project Design. The Contractor shall accommodate new Interfaces (via either a national hub, regional hubs or larger peer-to-peer exchanges) without significant changes to the Software or database structure. 219 The Contractor shall provide the capability to Interface to future LACMTA Toll Facilities. 220 The Contractor shall provide the capability to Interface to new CTOC agencies.

2.4. Account Management Each LACMTA customer has an Account. These Accounts are either Registered when they are proactively established by the customer or Unregistered when they are established by the BOS using the DMV or a Registered Owner Lookup Provider. Regardless of whether the Account is Registered or Unregistered, each Account holder is considered an LACMTA customer. Establishment and management of Accounts shall be performed per LACMTA’s Business Rules Registered Accounts are proactively established by the customer and will typically be associated with a valid Transponder(s). However, LACMTA requires that the BOS support license plate-based Accounts (no Transponder) as well for potential short term Accounts and future flexibility. Whether license plate-based Accounts are allowed and the associated Business Rules shall be determined during the Implementation Phase. Customers can establish new Registered Accounts or convert an Unregistered Account to a Registered Account. To establish a Registered Account, customers must provide information about the vehicles that will be associated to the Account, including license plate number, type and Jurisdiction and vehicle make, model and color. Customers also must establish a replenishment method to be used to replenish prepaid tolls when the Account reaches an Insufficient Balance Threshold. Credit Card replenishment is strongly encouraged, but customers can also select cash or check replenishment. Customers are strongly encouraged to provide contact information when establishing an Account, including their name, address, telephone number and email address. Registered Accounts may have one or more Transponders associated with them.

The types of Accounts are provided in the two (2) following tables: Table 2-1: Registered (FasTrak) Account Types Account Type Description

Private An Account established in an individual or business name

Anonymous An Account established with the intend of being unidentified with only Transponders and payments associated with the Account Ghost A temporary Account used to allow Retail Transponders to be issued with a Configurable amount of prepaid tolls already available for use Rental Car An Account established for Rental Car Service Providers to allow their vehicles to be checked separately in the transaction Posting sequence and to allow for bulk updates to these very large Accounts

Table 2-2: Unregistered Account Types

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Account Type Description

Unregistered Account Created using the information provided by the DMV or Registered Owner Lookup Provider. May include more than one (1) vehicle if the ROV information is an exact match.

Customers with Registered Accounts have taken responsibility for all vehicles they add to their Accounts, regardless of whether or not they are the ROV. When a Registered Account’s balance reaches an Insufficient Balance Threshold and all replenishment attempts have failed, an ROV Lookup shall be required for each vehicle on the Account if the vehicles continue to use LACMTA’s toll facilities. An Unregistered Account is created for any vehicles which are not registered in the name of the Account holder.

Unregistered Accounts are established by the System using the DMV or Registered Owner Lookup Provider. Unregistered Accounts may be converted to one of the registered Accounts based on fulfilling all of the required Business Rules for establishing these Accounts. The customers may choose to convert at any time, through any allowable channel and realize the conversion toll rate discount, if applicable.

Violation transactions/trips may post to either a Registered Account or an Unregistered one, depending on LACMTA’s Business Rules and other transaction attributes. These Business Rules and attributes shall be determined in the Business Rules development and Design process.

2.4.1. General Customer Relationship Management (CRM)

221 The Contractor shall provide a full-feature CRM System that is fully integrated into the BOS solution. 222 The Contractor shall provide the capability to create up to 10 user defined fields within the User Account and Case Management environment for LACMTA’s use.

2.4.2. General Account Management LACMTA customers have many options for Account establishment and maintenance and to obtain Transponders, in the manner they prefer.  Accounts can be established online, over the phone with a Customer Service Representative (CSR) or in person at a WIC.  Accounts can be maintained online, over the phone with a CSR, using the IVR or in person at a WIC.  Transponders can be obtained in person at a WIC or at a retail location.  Transponders can be requested online, over the phone with a CSR or using the IVR and mailed to the Customer.

Account establishment and maintenance should be intuitive, easy to understand and should prevent customers from making unintended mistakes. The BOS shall use advanced data entry, standardization and verification techniques to mitigate the entry and propagation of bad data. The BOS should validate data entry fields, such as mailing address, email address, license plate number and telephone number. When practical, the BOS should also lead customers and CSRs through the

Statement of Work and Requirements Page 38 LACMTA Back Office System decision making process. For example, explain options for different replenishment thresholds and why a customer may choose one level over the other.

Transponders can also be obtained at retail locations such as Costco, Albertsons or AAA and other locations identified by the Contractor. The total Transponder price at a Retailer is made up of the cost of the Transponder and a certain (Configurable) amount of prepaid tolls. Although the Transponder is immediately read in the lane and the Transponder has a positive balance, the Business Rule is that the Transponder is not considered to be active operationally until it is registered. A Transponder obtained at a retail location is initially assigned to a Ghost Account and must be registered by the customer to an existing or a new FasTrak Account. When a customer visits the website or calls the CSC to associate the Transponder to an existing Account, the amount of unused prepaid tolls associated with that Ghost Account is transferred to the customer’s Account. The BOS shall keep track of Transponders and toll usage even in the event that a customer does not register the Transponder. If the customer does not call to register the Transponder but continues to use LACMTA’s toll facilities the Ghost Account may run out of funds which would make it invalid in the toll facilities and the customer’s subsequent toll transactions/trips would be processed as Violation transactions/trips. The Contractor is encouraged to bring innovative solutions for dealing with Retailer Transponders and ensure that the BOS provides accurate tracking, reconciliation and reporting.

223 Support comprehensive Account management that allows for the setup and maintenance of all Account Types and Attributes in accordance with LACMTA Business Rules. 224 The Contractor shall provide the capability to establish (where indicated) and maintain Accounts via methods, including but not limited to:  Self-Service Website (establish);  Self-Service Mobile Application (establish);  Self-Service Mobile Website (establish);  IVR;  mail (establish);  telephone (establish);  email;  Web Chat;  text;  fax (establish);  walk-in (establish);  Retailer;  automatically using information provided by rental car companies and  automatically using information provided by the ROV Lookup. 225 The Contractor shall provide the capability for the creation and maintenance of Account Types, including but not limited to:  Registered;

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 Prepaid;  Postpaid and  Unregistered Accounts. 226 The Contractor shall provide the capability for the maintenance of Account Attributes designated as, including but not limited to:  private (prepaid – An Account established in an individual or business name);  Ghost (prepaid – customer acquired Transponder from a Retailer and has not registered it yet and the Account has a Configurable amount of prepaid tolls on it);  Anonymous (prepaid – anonymous customer obtains a Transponder from a Retailer and replenishes it via Money Services Providers);  rental car (prepaid – for Rental Car Service Providers). 227 The Contractor shall provide the capability to apply LACMTA Business Rules and Account requirements for each valid Account Type and Attribute combination, including but not limited to:  payment options;  whether or not to allow Toll Credits and the amount of the Toll Credits;  Transponder deposit;  Transponder sale price (by Transponder type);  Sales Tax on purchased inventory items including Transponders;  replenishment amounts (by Transponder and license plate);  Insufficient Balance Thresholds (by Credit Card or cash/check payments) and  Account balance. 228 The Contractor shall provide a Registered Account creation process that logically leads an Authorized User through the necessary steps to create an Account. 229 The Contractor shall provide the capability to convert an Unregistered Account to a Registered Account while maintaining the same Account number and all Account history. 230 The Contractor shall provide the capability to change Account Attributes while maintaining the same Account number and all Account history. 231 The Contractor shall provide the capability to dynamically add/remove required available data fields in the Account record as Account Attributes are changed. 232 The Contractor shall provide on-screen guidance during the Account creation process regarding missing or improperly formatted information. The Authorized User shall not be able to move to the next step until the required information is provided in the appropriate format. 233 The Contractor shall provide the capability when opening a new Account to automatically identify other Account(s) associated with that Account name or address.

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234 The Contractor shall provide the capability, during the establishment of an Account, to select the desired Account Attributes and preferences based on the Account Type being established. 235 Require the Account agreement be acknowledged and a record of that acknowledgment saved in the BOS prior to establishing a Registered Account or when converting to a Registered Account. 236 The Contractor shall provide the capability to capture opt-in/opt-out preferences and record and store the customer’s election in the System under privacy SB-1268, as implemented in California Streets and Highways Code – SHC Division 17. Toll Facilities and Related Matters [3000-31490] (Heading of Division 17 amended by Stats. 2013, Ch. 375, Sec. 1.) Chapter 8 Electronic Toll Collection and Electronic Transit Fare Collection Systems [31490-31490.]. 237 The Contractor shall provide the capability for the auto-creation of an Unregistered Account (should one not already exist for that license plate) based on an Image-Based Transaction/Trip being eligible for Violation processing. 238 The Contractor shall provide the capability (Configurable) to merge and unmerge Accounts. This process shall logically lead the user through all necessary steps to merge one Account into another. 239 The Contractor shall provide the capability to set and maintain Configurable messages (Flags) that can be displayed on Accounts for issues related to the Account or a license plate or Transponder on the Account. 240 The Contractor shall provide the capability to automatically set Account Flags based on conditions and events, including but not limited to:  bad address/no email address;  bad email address;  bad phone number (for both calls and text);  inactive Account (not applicable to Unregistered Accounts);  no active vehicles;  Transponder in certain status, for example, lost or stolen (not applicable to Unregistered Accounts);  Excessive toll at license plate level (not applicable to Unregistered Accounts);  Account is in pending to close status (not applicable to Unregistered Accounts);  Account has an open Case;  customer participates in a non-revenue Discount Plan (not applicable to Unregistered Accounts);  phone number on the Account is unlisted;  customer enrolled in Discount Plan(s) (not applicable to Unregistered Accounts);  Clean Air vehicle on the Account;

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 unresolved returned check;  Past (resolved) returned check(s);  at least one Credit Card marked by the BOS as bad on the Account (not applicable to Unregistered Accounts);  at least one Credit Card is expired or is expiring within a Configurable number of days (not applicable to Unregistered Accounts);  Account has at least one suspended auto-replenishment method (not applicable to Unregistered Accounts;  Account has unpaid Violation(s);  Account has Violations in Collections;  one or more Violations on the Unregistered Account has been placed on Registration Hold;  at least one license plate on the Account an unpaid Violation;  at least one license plate on the Account has an unpaid Violation that has been placed on Registration Hold;  at least one Violation associated with the Account has a scheduled Administrative Review;  at least one Violation associated with the Account has a Civil Judgement;  dismissal Flags based on Business Rules;  Account was closed in bad standing and  Account was subject to Escheatment. 241 The Contractor shall provide the capability to manually set Account Flags, including but not limited to:  Configurable messages as defined by Authorized Users;  high priority comment;  customer participates in a Discount Plan that requires authorization, such as a non- revenue Discount Plan;  tax exempt;  bad phone number (for both calls and text messaging);  bad address;  do not accept checks for payment;  Account needs to be referred to a supervisor;  dismissal Flags based on Business Rules;  deceased and  bankruptcy.

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242 The Contractor shall provide the capability to display all active Flags on an Account upon accessing the Account information. 243 The Contractor shall provide the capability to automatically clear Flags based on Configurable criteria. 244 The Contractor shall provide the capability for Authorized Users to manually clear Flags no longer applicable to an Account. 245 The Contractor shall provide comprehensive Account primary information fields that support the migration of Account data from the existing back-office systems in accordance with the BOS Transition Plan. 246 The Contractor shall provide the capability for customers to have multiple addresses and contact information on the Account, and require that the primary address and contact be identified. 247 The Contractor shall provide the capability to identify the source of the information when a CSR enters the customer address manually into the BOS. 248 The Contractor shall provide address adjustment logic that includes but is not limited to:  verification, to ensure the address exists;  standardization, to normalize US addresses, such as “Drive” becomes “Dr.” and  selection from all potential address results. 249 The Contractor shall provide the capability to accept or reject the recommended changes provided during address validation or normalization. 250 The Contractor shall provide for a real-time cleansing of all addresses, including but not limited to:  addresses entered via a customer portal (Website, Mobile Website and Mobile Application);  addresses entered by an Authorized User and  addresses provided via a third-party Interface, such as, the DMV or Registered Owner Lookup Provider. 251 The Contractor shall provide the capability for multiple active addresses, including all prior addresses for all Account Types, in both original form and in address standardization/validation form, including but not limited to:  shipping;  shipping (standardized/validated);  billing and  billing (standardized/validated).

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252 The Contractor shall provide the capability to store address history and make all addresses accessible in the Account with the standardized/validated one being the effective/current mailing address. For example, if an address was changed during the address standardization/validation, both the original address and the standardized/validated one are stored on the Account. 253 The Contractor shall provide the capability to acquire and store multiple addresses, including all prior addresses for all Account Types, in both original form and in address standardization/validation form, including but not limited to:  ROV Lookup provided;  third-party ROV service provided;  Skip Tracing;  Skip Tracing (standardized/validated);  National Change of Address (NCOA);  collection addresses and  collection addresses (standardized/validated). 254 The Contractor shall provide the capability to add international addresses. 255 The Contractor shall provide the capability to automatically populate (or provide multiple options for selection) the city and state upon entry of the ZIP code (including Canada and Mexico). The BOS shall obtain periodic Updates, at least quarterly, to the ZIP code list, at a minimum, as additional information becomes available. 256 Prevent the Account holder’s name from being changed unless approved by an Authorized User. 257 The Contractor shall provide the capability to enter and categorize comments on Accounts. 258 The Contractor shall provide the capability for Authorized Users to edit and remove comments made by CSRs. 259 The Contractor shall provide the capability to insert BOS-generated comments on Configurable actions initiated by the BOS. 260 The Contractor shall provide the capability to force users to enter comments or have the BOS automatically enter comments on Configurable actions processed on an Account, including but not limited to:  disputes;  dismissals;  transfer transactions/trips to another Account;  payment of Notices through the Account;  reversals of payments and dismissals;  waivers;  corrections and

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 adjustments. 261 The Contractor shall provide the capability for email address confirmation by the customer by comparing a re-keyed email address. The addition of unmatched entries shall not be allowed. 262 The Contractor shall provide the capability to send a secure email requesting validation of an email address via delivered code or link for BOS validation or other alternate validation methods. 263 The Contractor shall provide the capability to designate multiple authorized Account contacts. 264 The Contractor shall provide the capability to set the default PIN as the last 4 digits of the primary phone number, which can be updated in the BOS. 265 The Contractor shall provide the capability to validate a PIN used for identifying an authorized contact. The PIN shall be masked (not visible to CSRs). 266 The Contractor shall provide the capability to securely email the PIN to the valid primary email address on the Account and require that the PIN be subsequently changed. 267 The Contractor shall provide the capability to establish and configure security questions and validate customer response prior to the release of the password or PIN to the customer. 268 The Contractor shall provide the capability for all Account Types to have multiple communication channels, including but not limited to:  phone;  cell phone;  additional phone numbers;  email;  additional email addresses;  fax;  text messaging and  mail. 269 The Contractor shall provide the capability to select a preferred communication channel for specific customer communications. 270 The Contractor shall provide the capability to set “opt in” and “opt out” options for certain correspondence items, including but not limited to:  text;  Statements; and,  Marketing / newsletters. 271 The Contractor shall provide an Account summary in a printer-friendly format to be used for, including but not limited to:  handing to walk-in customers;

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 inserting with mail Transponder Fulfillment;  mailing to customers and  sending to customers via secure email. 272 The Contractor shall provide the capability to log all Account changes and provide the capability to view details, including but not limited to:  prior value;  the new value;  user ID;  date/time and  user information, such as BOS, Authorized User or customer originated.

2.4.3. Vehicles, License Plates and Transponders The BOS shall support comprehensive license plate, vehicle information and Transponder management functionality. 273 The Contractor shall provide the capability to manage a drop-down list of vehicle attributes, including but not limited to:  vehicle manufacturer;  vehicle make;  vehicle model;  vehicle year;  vehicle color;  exempt status (for example, emergency services, buses, motorcycles are exempt on ExpressLanes);  Clean Air decal number (not a drop-down);  Transponder exception specifying that the make and model requires an externally mounted Transponder or special mounting locations for windshield Transponders and  Vehicle Class. 274 The Contractor shall provide the capability to add multiple license plates and associated vehicle information to the Account. 275 The Contractor shall provide the capability to track the time period that a license plate is active on an Account. This includes the start date and time and the end date and time. This is called the active period. In most circumstances the customer would add the vehicle to their Account with no end date but if it was a rental car it would have an end date/time. 276 The Contractor shall provide the capability to add a license plate to an Account allowing a start date and time that is before the current date.

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277 The Contractor shall provide the capability when adding a new license plate to an Account to automatically identify other Account(s) associated with that license plate. 278 The Contractor shall provide the capability to identify that the vehicle(s) will be only on the account temporarily, for example, a rental car, loaner from the car dealer or an out of town guest, and to prompt the user to enter a start date and time and an end date and time. 279 The Contractor shall provide the capability for vehicles identified as temporary to be added to the User Account even if the license plate is already on the rental car Account. 280 The Contractor shall provide the capability to associate information with a license plate, including but not limited to:  license plate type;  license plate Jurisdiction;  vehicle is a Clean Air Vehicle;  Clean Air Vehicle decal number;  vehicle make;  vehicle model;  vehicle year;  vehicle color;  Transponder;  Transponder friendly name;  ROV;  ROV address;  ROV Lookup date and  indication the license plate is a temporary license plate. 281 The Contractor shall provide the capability to associate an image of the back of the customer vehicle to the User Account to aid in tolling, for example image is uploaded via a mobile application. 282 The Contractor shall provide the capability for an Account to not have any active vehicles on it but to prompt the CSR/customer to select a reason that the account has no vehicles on it. 283 The Contractor shall provide the capability if the Account has not active vehicles to periodically (Configurable) send an email to the customer asking if vehicle information is available depending on the reason provided. 284 The Contractor shall provide the capability to require or not require a one-to-one relationship between Transponder and vehicle based on Transponder type, Account Type and in accordance with LACMTA Business Rules

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285 The Contractor shall provide the capability, if the 1:1 relationship is required, allow for Authorized Users to override the requirement as necessary, for example when a Transponder is replaced. 286 The Contractor shall provide the capability for a many to one (1) relationship between Transponder and vehicle based on Transponder type, Account Type and in accordance with LACMTA Business Rules. 287 The Contractor shall provide the capability for recording the history of ROV information associated with each license plate. 288 The Contractor shall provide the capability to search for license plate history and effective date ranges across multiple Accounts. 289 The Contractor shall provide the capability for transferring vehicle(s) and associated license plate(s) between Accounts. 290 The Contractor shall provide the capability to add license plates from s all 50 states, DC, U.S. Government Canada and Mexico. 291 The Contractor shall provide the capability for recording Transponder delivery method, such as in person via the WIC or by mail. 292 The Contractor shall provide the capability for recording Transponder issue date and time. 293 The Contractor shall provide the capability to record and associate a payment for every Transponder sold. 294 The Contractor shall provide the capability to calculate and charge the applicable Sales Tax on Transponders and other inventory items, if applicable, when they are sold based on the location where the sale took place or where the item is shipped. 295 The Contractor shall provide the capability to record and associate a deposit for leased Transponders where a deposit is required. 296 The Contractor shall provide the capability to track customer Transponder requests. 297 The Contractor shall provide the capability for aging of Fulfillment requests and automatically send an Alert when a Fulfillment request has exceeded a Configurable amount of time. 298 The Contractor shall provide the capability for the Authorized User to override the BOS selected Transponder mount type, such as windshield or bumper. 299 The Contractor shall provide the capability for the Authorized User to override the customer selected Transponder mount type, such as windshield or bumper. 300 The Contractor shall provide the capability to read a Transponder number (using a barcode reader) and automatically associate it to an Account. 301 The Contractor shall provide the capability for Authorized Users to enter multiple vehicles in a tabular format. 302 The Contractor shall provide the capability to upload a file with vehicle information for the entry of large number of vehicles.

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303 The Contractor shall provide the capability for transferring Transponders between Accounts while maintaining the associated Transponder transaction history on the original Account. 304 The Contractor shall provide the capability to monitor for excessive tolls at the Account level and at the vehicle level. 305 The Contractor shall provide the capability for a customer to register a retail Transponder on the Self-Service Website, by phone or in the WICs. 306 Require customers to enter the Transponder number and manufacturer’s validation code when registering a retail Transponder.

2.4.4. Discount Plans LACMTA offers Discount Plans which offer benefits to customers who meet the qualifying criteria. These discount and special plans are Configured in the BOS and the BOS shall have the flexibility to apply the relevant LACMTA Discount Plans based on the LACMTA Business Rules. Currently Metro ExpressLanes offers a Low-Income Assistance Plan which provides a one-time toll credit and a waiver of the monthly Account fee for qualified Account-holders who meet the income and residency requirements.

The RTCS also allows for non-revenue passage for qualified vehicles. The Discount Plan functionality shall be used to support this program by applying a 100 percent discount to specific transactions/trips on specific facilities in accordance with the LAMCTA Business Rules.

307 The Contractor shall provide the capability to assign Discount Plans at the Account level. 308 The Contractor shall provide the capability to assign Discount Plans at the Transponder level. 309 The Contractor shall provide the capability to assign Discount Plans at the license plate level. 310 Prevent the transfer of Discount Plans when the Transponder or the license plate is moved to another Account in accordance with the LACMTA Business Rules. 311 The Contractor shall provide the capability to Configure whether or not the Discount Plan is transferred if the Transponder or license plate is moved to another Account in accordance with LACMTA Business Rules. 312 The Contractor shall provide the capability to enroll customers in Discount Plans in multiple ways, including but not limited to:  automatically based on eligibility;

 customer elects to participate;

 customer elects to participate and makes required payment (setup fee and/or monthly fee) and  customer elects to participate, but qualification or authorization is required.

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313 The Contractor shall provide the capability for configuring and offering various Discount Plans with a combination of features, including but not limited to:  percentage discount;  dollar amount discount;  time duration, such as a Discount Plan may only be available for a limited time or may require renewal every year;  specific locations and Toll Facilities, such as toll transactions/trips on only one of LACMTA’s facilities are discounted;  method of calculating the discount, such as a transaction-level discount where members get a 50 percent discount on every qualifying toll transaction or a rebate credit on following month based on the frequency of trips within a period of time;  use of Posting Date or Transaction Date to qualify transactions/trips for a rebate;  specific criteria for qualification;  a cost to join the Discount Plan and  proof of eligibility, such as a property tax bill as proof of residency. 314 The Contractor shall provide the capability to track tolls in frequency Transponder-based discounts. 315 The Contractor shall provide the capability to apply rebates or toll credits as lump-sum Account level credits. 316 The Contractor shall provide the capability to apply and reverse discounts to a range of toll transactions/trips on an Account. 317 The Contractor shall provide the capability to clearly indicate which discount was applied to any given transaction. 318 The Contractor shall provide the capability to suspend Discount Plans. For example, a customer with a Discount Plan that costs $10 a month wants to suspend their plan for the two (2) months they will be out of state. 319 The Contractor shall provide the capability to configure a non-revenue plan (100 percent discount) to a Transponder or license plate on all or specific Tolling Locations for a specific Toll Facility. 320 The Contractor shall provide the capability to associate discount eligibility documentation (such as, a utility bill as proof of residence) to a Transponder. 321 The Contractor shall provide the capability to use expiration dates to track the active duration of Discount Plans. Once a Discount Plan expires, it is no longer valid, and toll transactions/trips post to the Customer’s Account at the original/non-discounted fare amount. 322 The Contractor shall provide the capability for third-party sponsorship of tolls, whereby all tolls for a specified duration at a specified Tolling Location(s)/Toll Facility are paid for by a third-party.

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2.4.4.1. Promotions The BOS shall be able to manage promotions and promotion codes. Balances related to promotions are tracked individually by promotion and separately from the Account balance. Only eligible transactions/trips can be deducted from promotional balances. Promotional balances are not refunded and can only be applied to tolls on LACMTA toll facilities.

323 The Contractor shall provide the capability to account and track promotions balances individually (for example, by promotion code) separately from the Account balance. 324 The Contractor shall provide the capability to display the promotion balances and associated expiration date of the promotion balances so that the CSRs and customers can see the various promotion balances separately from the Account’s cash balance. 325 The Contractor shall provide the capability to Configure what types of transactions/trips are eligible from being deducted from promotional balances. 326 The Contractor shall provide the capability to track multiple promotions within an Account and correctly determine which Account or promotion balance should be depleted first (for example, by type of promotion, by the earliest issue or expiration end date or maximum discount yielded). 327 Prevent promotional balances from being refunded to customers in the event of Account closure or specific customer request. 328 The Contractor shall provide the capability to credit toll payments back to the promotion balance if toll transactions/trips are reversed or adjusted. 329 The Contractor shall provide the capability to set an expiration date for promotions. 330 The Contractor shall provide the capability for offering promotions by Toll Facility with a combination of features and parameters, including but not limited to:  assignment of a promotion code to a company or event;  Configurable period of time (promotion start date and duration or end date);  discount percentage per toll/trip;  discount amount per toll/trip;  auto-applied (on the Self-Service Website);  eligibility (new Accounts, existing Accounts or both; also existing Accounts opened for more than a Configurable amount of time);  source (Self-Service Website or with a CSR);  source advertising channel (“where did you hear about it?”);  entry into a raffle/sweepstakes and  credit to the Account. 331 The Contractor shall provide the capability to setup promotion codes that are valid for one- time usage. When the promotion code has been applied to an Account once, it cannot be applied or transferred to any other Account.

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332 The Contractor shall provide the capability to setup promotion codes that are valid for only for a particular Account and the promotion code(s) cannot be applied or transferred to any other Account. 333 The Contractor shall provide the capability to setup promotion codes that are valid multiple times but in different Accounts. The promotion code can be applied only once in an Account but can be applied again in a different Account. 334 The Contractor shall provide the capability to setup “refer-a-friend” promotion codes where both the referred (new) customer and the customer who referred the new customer enjoy the benefits of the promotion. 335 The Contractor shall provide the capability for transit promotions where discounts or credits on tolls are provided based on levels of transit activity. 336 The Contractor shall provide the capability apply mail-in rebates to Accounts sponsored by a third party (such as a shopping mall). 337 The Contractor shall provide the capability to periodically (monthly) invoice the third party sponsor for all mail-in rebates submitted and applied to User Accounts.

2.4.4.2. Transit Promotions The BOS shall provide an Interface with LACMTA’s Transit Program (TAP) to receive BOS Customer transit use information and to provide Express Lanes usage information to the TAP system. Customers may be eligible for toll credits based on transit usage. For example, 16 one-way TAP trips on a certain transit line over a certain period of time shall earn a $5.00 toll credit which is credited to the customer’s Registered FasTrak Account. Customers may also be eligible for transit credits based on Express Lane usage. 338 The Contractor shall provide the capability to accept transit use information and apply promotions related to transit activity to User Accounts in accordance with the Transit Interface. 339 The Contractor shall provide the capability to send Express Lanes usage information to the TAP system. 340 The Contractor shall provide the capability for customers to “opt-in” to the transit promotion program via CSR, the LACMTA Self-Service Website, Mobile Website and Mobile Application. 341 The Contractor shall provide the capability to store TAP account information (for example, account number and fare media number) in the BOS.

2.4.5. Fees, Penalties and Transactions Penalties and fees are types of Financial Transactions that are assessed in addition to the toll amount or toll charge or in relation the customer’s Account management. Penalties and fees can be assessed at the Account level, Notification level, transaction level, or based on the amount of debt. At the Account level, a Returned Payment Fee might be assessed in the event a check was returned unpaid by the customer’s bank. At the Notification level, a monthly Statement fee might be assessed

Statement of Work and Requirements Page 52 LACMTA Back Office System when a Statement is mailed to the Customer. At the transaction level, penalties are assessed when a transaction/trip is not paid and it becomes a Violation. A fee based on the amount of debt could be interest added to money owed when the customer enters into a payment plan. Fees and penalties should be associated with the lowest possible level. Those fees related to specific transactions/trips should be associated with those transactions/trips. Fees and penalties related to Notification should be associated with that Notification, and all other fees and penalties should be associated with the Account as a whole. No fees or penalties should be assessed on a cumulative basis, such as a fee or a penalty assessed and associated to another previously charged fee or penalty. Like adjustments and reversals, fees and penalties are posted to the current Revenue Day. The BOS shall be capable of reversing fees and penalties automatically or manually, individually or in batches. Fees and penalties, even when associated with a single transaction, should not change the amount of transactions/trips with the exception of Transponder Switch Setting Violations (the switch setting error fee) for Interoperable/CTOC customers. The CTOC ICD does not allow for fees to be transmitted separately so LACMTA has decided to add the switch setting error fee to the toll when an Interoperable/CTOC customer has a Transponder Switch Setting Violation. The resultant amount (correct toll for the actual number of people in the vehicle plus the switch setting error fee) shall be sent as the toll amount in the CTOC transaction file.

342 Support the assessment of fees and penalties (automatically and manually) to Accounts. 343 The Contractor shall provide the capability to apply fees and penalties (currently penalty is assessed to the Violation only), including but not limited to:  at the Account level;  based on the amount of debt;  at the Transponder level;  At the license plate level;  at the Violation level and  at the transaction level. 344 The Contractor shall provide the capability to charge Configurable, Account-related fees and penalties, with different Configurable amounts depending on Account Type and Attributes, including but not limited to:  hub processing fee (LACMTA acting as a hub for other entities);  roaming fee (LACMTA acting as a hub for other entities);  Account maintenance fee;  administrative fee;  Interoperable customer transaction fee;  Returned Payment Fee – Insufficient Funds  Credit Card dispute fee;  payment plan fee (fixed amount or percentage of the debt);  Transponder replacement fee;  lost/stolen Transponder fee (only for leased Transponders);

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 Transponder switch setting error fee;  excessive I-Toll (Image-Based Toll) fee;  invoicing fee;  Statement fee, depending on method of delivery;  late fee;  delinquent Account fee;  Account re-activation fee;  Collections fee;  Violation penalty;  Account inactivity fee;  Discount Plan membership fee;  parking convenience fee;  Registration Hold fee and  balance below Insufficient Balance Threshold fee. 345 The Contractor shall provide the capability to maintain the Configurable parameters related to fees and penalties. 346 The Contractor shall provide the capability to create new fees and penalties. 347 The Contractor shall provide the capability to combine the toll and fee (for example, the switch setting error fee) for Interoperable/CTOC customers. The resultant amount (correct toll for the actual number of people in the vehicle plus the fee will be sent as the toll amount in the CTOC transaction file. 348 The Contractor shall provide the capability to associate the Transponder Switch Setting image with the transaction on the customer account and Case, if applicable. 349 The Contractor shall provide the capability to manually apply custom fees and penalties to Accounts. 350 The Contractor shall provide the capability for the assessment of fees based on Account activities, for all Accounts or specific Account Type(s) and Attribute(s). 351 The Contractor shall provide the capability to notify the customer via the channel(s) defined within the Business Rules when a fee or penalty is assessed. 352 The Contractor shall provide the capability to schedule a start and end date/time when a fee or penalty change will go into effect/conclude. For example, the Statement fee is $2.00 until July 31, 2018, after which it will increase to $3.00.

2.4.6. Registered Account Replenishment Registered Accounts are established with a valid replenishment method for Registered balances to be restored as toll and fee transactions deplete the Registered balance. Account replenishment options are Credit Card, cash, check and money order. Replenishment by Credit Card can be set up to be automatic (auto-replenishment). For auto-replenishment the BOS determines the

Statement of Work and Requirements Page 54 LACMTA Back Office System replenishment timing and minimum amount based on Configurable parameters. Replenishment by cash, check or money order requires the customer to replenish the Account manually by mailing a check or visiting a WIC or a Money Services Provider. Customers without an auto-replenishment method also may make a one-time payment by Credit Card.

353 The Contractor shall provide the capability for one (1) or more auto-replenishment methods within an Account for all electronic payment methods. 354 The Contractor shall provide Configurable replenishment parameters for all Account Types, including but not limited to:  Insufficient Balance Threshold based on the number of Transponders on the Account;  Insufficient Balance Threshold based on the number of license plates on the Account;  method of replenishment calculation;  fixed replenishment amount;  replenishment thresholds based on the number of Transponders on the Account;  replenishment amount based on the number of Transponders on the Account;  replenishment amounts calculated based on average use for a Configurable period of time;  maximum replenishment amount per payment method on the Account (for example, if the replenishment amount is $10,000 but maximum replenishment allowed for that Credit Card is $1,000 there should be 10 $1,000 replenishments);  number of months used to calculate monthly average use;  number of replenishment failures before next method is attempted;  number of declines before a replenishment method is suspended based on appropriate reject reasons;  replenishment amount by payment type, such as default replenishment amount for cash replenishment might be higher than for Credit Card replenishment and  Insufficient Balance Threshold. 355 The Contractor shall provide the capability for Authorized Users to identify individual Accounts that are not subjected to auto-replenishment recalculation. 356 The Contractor shall provide the capability to change Attributes at the individual Account level within the established threshold and range boundaries defined for that Account Type, for example, if the Insufficient Balance Threshold for a private Account is set to $10 it cannot be set lower than $10 at the Account level. 357 The Contractor shall provide the capability for Account replenishment options based on Insufficient Balance Thresholds. 358 The Contractor shall provide the capability for Account replenishment amounts calculated based on average use for a Configurable period of time.

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359 The Contractor shall provide the capability for automatic Account replenishments via Credit Card. 360 The Contractor shall provide the capability for a hierarchical usage sequence for auto- replenishment methods for an Account, such as primary method Visa Credit Card #1 and secondary method Visa Credit Card #2. 361 The Contractor shall provide for a stepped approach to failed auto-replenishments where an attempt is made to collect from the primary replenishment method a Configurable number of times, followed by the secondary method and continuing until attempts have been made to replenish from all replenishment methods. 362 The Contractor shall provide the capability for automatically suspending an auto- replenishment method because of a Configurable number of declines and decline reason code. For example, if the reason for a decline is a closed Account, the number of retries would be zero. 363 The Contractor shall provide the capability for automatically removing the suspension of an auto-replenishment method when there is an update to the Credit Card number, expiration date or any other related information. 364 The Contractor shall provide the capability to check if the Credit Card information is associated with another Account when setting up an auto-replenishment method. The Contractor shall provide an Alert of such condition and options to cancel or continue. 365 The Contractor shall provide the capability for an Operational Alert Notification to the PMMS of a failed auto-replenishment event because of BOS or Interface errors. 366 The Contractor shall provide the capability for the manual replenishing of Accounts, regardless of payment method, on both a one-time and ongoing basis. 367 The Contractor shall provide the capability to check Account balances each time a transaction is posted to an Account, as well as automatically submit an auto-replenishment attempt using the primary valid replenishment method when replenishment criteria is met.

2.4.7. Adjustments and Reversals Adjustments and reversals are routinely processed in the BOS and are applied to any type of toll or Financial Transaction. Examples of such adjustments include correcting a trip entry point, which would result in a change in toll, accepting a customer dispute for an incorrect charge, which would result in the reversal of the toll, or waiving or reducing a Violation penalty. Adjustments and reversals can be processed for single transactions, such as in the examples above, or in bulk. An example of a bulk adjustment is reversing all transaction charges for a specific Toll Facility during a specific time period, as would be the case for an emergency evacuation. Every adjustment and reversal requires the entry of a reason code identifying the reason for the adjustment or reversal. Adjustments and reversals must be associated with the original transaction, but must not change the original transaction. The original transaction must be preserved in the BOS once the transaction has been posted to the Account. Any adjustments to that transaction would be posted to the current Revenue Day. The BOS shall have the capability to report on both the unadjusted transaction amount and the adjusted transaction amount, hence the reason adjustments to transactions/trips should be tied to but not change the original transaction.

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368 The Contractor shall provide the capability to make corrections, adjustments and reversals to transactions/trips while preserving the original transaction, including the original Transaction Date and amount. Any corrections, adjustments or reversals shall be tied to, but not change, the original transaction. 369 The Contractor shall provide the capability to generate Operational Alert Notifications if transactions/trips that are adjusted and/or reversed are Violations that are already in notification stage. Operational Alert Notifications shall identify the transaction so that CSRs can take action. 370 All corrections, adjustments and reversals shall be posted to the current Revenue Date so as not to affect prior closed Revenue Dates. 371 The Contractor shall provide the capability for full reversals of any type of transaction with a reason code (Configurable), preserving complete history. 372 The Contractor shall provide the capability for partial reversals of any type of transaction with a reason code (Configurable), preserving complete history. 373 The Contractor shall provide the capability to require that a Configurable reason code be entered for every adjustment and reversal. 374 The Contractor shall provide the capability to adjust the entry and/or exit Tolling Locations on a trip and automatically assign the correct toll amount for the adjusted trip. 375 The Contractor shall provide the capability for Authorized Users to manually adjust the toll amount of a trip without changing other attributes of the trip such as entry and/or exit location. 376 Prevent the sum of any corrections, adjustments or reversals done to a transaction to exceed the amount of the original transaction. 377 The Contractor shall provide the capability to establish Configurable courtesy credit amounts by courtesy credit type. Courtesy credits shall be used for toll charges only on LACMTA toll facilities and is not refundable. 378 The Contractor shall provide the capability to apply courtesy credits to User Accounts and require the entry of comments. 379 The Contractor shall provide the capability to Authorized Users to configure all relevant parameters related to establishing role-based thresholds for System transactions, including but not limited to:  adjustments,  debits;  credits and  reversals. 380 The Contractor shall provide the capability for Authorized Users to post adjustments, credits and reversals up to their Configurable role-based threshold amount.

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381 The Contractor shall provide the capability to establish a Case when Authorized Users are unable to process a transaction as a result of reaching their role-based adjustment, credit or reversal limits (Configurable). 382 The Contractor shall provide the capability to prompt for a supervisor’s PIN when Authorized Users are unable to process a transaction as a result of reaching their role-based adjustment, credit or reversal limits (Configurable). The supervisor’s PIN shall be recorded and associated with the transaction. 383 The Contractor shall provide detailed tracking of individual adjustments, credits and/or reversals and categorize each separately. 384 The Contractor shall provide a trip and/or transaction search and adjustment screen(s) where Authorized Users can enter the selection criteria, retrieve the transactions/trips and make bulk adjustments or reversals. This capability shall allow the selection of groups of transactions/trips to which the correction will apply and adjustment comments entered for the affected transactions/trips. The Authorized User shall be allowed to select/deselect specific transactions/trips within the group. For example, LACMTA may want all trips that include a certain Toll Zone between 2 a.m. and 5 a.m. on a specific date to be fully reversed or all transactions at that Toll Zone to be charged $1.00. 385 Process adjustments and reversals that affect Interoperable Agency customers in accordance with the applicable Interoperable specifications and include these transactions/trips in the reconciliation reporting based on adjustment Posting Date (not original Transaction Date). 386 The Contractor shall provide the capability to transfer transactions/trips (financial or tolls) to another Account. For example, a check posted incorrectly to an Account gets reversed and re-posted to the appropriate Account. 387 The Contractor shall provide the capability to process toll credits based on transit activity such as “transit toll credit” or “carpool toll credit”.

2.4.8. Account Statuses Account statuses determine how transactions/trips are processed and associated to Accounts.

388 The Contractor shall provide Account statuses, including but not limited to:  active (Accounts in good standing);  delinquent (Registered Accounts only – Accounts that fall below the Insufficient Balance Threshold);  collections (Accounts sent to a Collection Agency for failure to pay);  pending close (Registered Accounts only – Accounts scheduled to close remain in this status to allow for final transactions/trips to clear) and  closed (closed Accounts). 389 The Contractor shall provide the capability to transition between Account statuses.

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390 The Contractor shall provide the capability to set a Configurable period of time before Accounts automatically transition from one Account status to another. For example, transition from pending close to closed after 30 days (in pending close status) have elapsed and charge the Transponder fee if the Transponder(s) has not been returned. 391 The Contractor shall provide the capability to set a different Configurable period of time before Accounts automatically transition from pending close to closed based on the reason the account is to be closed. 392 The Contractor shall provide capability for customer Notification (Configurable) when the Account status changes. 393 The Contractor shall provide the capability to use the Account’s status in determining whether or not to post a transaction to the Account. For example, only post transactions/trips to an Account in active or pending close statuses. 394 The Contractor shall provide the capability to automatically set an Account to delinquent status once the Account balance reaches below the Insufficient Balance Threshold. 395 The Contractor shall provide the capability to automatically set Accounts to active status once the Account balance reaches above the Insufficient Balance Threshold. 396 The Contractor shall provide the capability to automatically set an Account to Collections status once the Account debt has been placed with a Collection Agency. 397 The Contractor shall provide the capability to automatically set Accounts to pending close status upon a request to close the Account and take automatic actions, including but not limited to:  closing vehicle subscriptions;  terminating Transponders on the Account and  prorating of prepaid discount fees. 398 The Contractor shall provide the capability to automatically age an Account from pending close to closed status after a Configurable period of time and to take automatic actions, including but not limited to:  removing payment methods on the Account;  assessing the appropriate fees;  expiring promotion credits;  processing the refund amount bringing the balance to zero and  processing the refund automatically based on criteria or approval. 399 The Contractor shall provide the capability for capturing multiple levels of reason codes for an Account closing at “pending close” time. 400 The Contractor shall provide the capability for the reactivation (back to an active status) of an Account in the pending close statuses. 401 The Contractor shall provide the capability to prevent transactions/trips from Posting to closed Accounts.

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402 The Contractor shall provide the capability for Authorized Users to add comments to closed Accounts. 403 The Contractor shall provide the capability for automated refunds, up to a Configurable amount, to the Account holder of any positive balance on the Account at the time of closing. 404 The Contractor shall provide the capability to set and maintain an inactive Account parameter that would be used to determine inactive Accounts. For example, a Customer’s Account that has not had any activity (tolls or customer contacts) for a period longer than that of the parameter would be Flagged as an inactive Account. 405 The Contractor shall provide the capability to send an Account inactivity Notification to the customer a Configurable number of days prior to the Account being considered inactive advising of inactivity. This Account inactivity Notification shall be resent at Configurable intervals until acknowledged by the customer. 406 The Contractor shall provide the capability to reopen closed Accounts.

2.4.9. Transponders There are different types of Transponders that can be issued, with each having a distinct purpose and advantages. Currently LACMTA issues a single type of Transponder.

1. Hard-case Transponders called a “FasTrak Flex” (switchable) are mounted on the inside of a vehicle’s windshield with mounting strips. Switchable Transponders allow customers to switch the operating mode of the Transponder for example, for declaring High Occupancy Vehicle (HOV) status while traveling on Managed Lane Toll Facility. These Transponders can be moved between vehicles. These Transponders function properly in most vehicles with the exception of certain vehicles with metalized windshields or flat windshields such as certain buses. Customers can attempt to mount these Transponders in the delineation windows on their windshield, which is a small area of the windshield that does not contain the metal film. The location of the delineation window is vehicle-model-specific. Customers should refer to their vehicle owner manual to determine the location of this window.

During the course of this Contract, it is expected that California shall transition from Title 21 to ISO 18000-6C. The type of Transponders offered as a result of this change may differ from the current Transponder types. Possible types of Transponders which may be issued in the future are described below. 1. Sticker Transponders (non-switchable) are permanently affixed on the inside of a vehicle’s windshield. These Transponders cannot be moved between vehicles. 2. External Transponders (non-switchable) are mounted to the vehicle’s exterior. These Transponders are typically used by vehicles with metal oxide windshields. 3. Headlight-mounted external Transponders are clear stickers which are permanently affixed to the motorcycle’s headlight. 4. Hard-case Transponders (switchable) are mounted on the inside of a vehicle’s windshield with mounting strips that allow a customer to switch between operating modes.

407 The Contractor shall provide for Configurable Transponder Statuses, including but not limited to:  inactive (prior to Fulfillment);

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 valid (User Account or Ghost Account) and  invalid – (User Account – lost/stolen/terminated by the BOS/negative balance, pending close Account). 408 The Contractor shall provide the capability to control Transponder Statuses based on the area/region it serves, including but not limited to:  LACMTA (for example, Transponder is made invalid at LACMTA facilities when Account balance reaches a negative balance) and  CTOC (for example, Transponder is made invalid at CTOC facilities when the Account balance is below $10). 409 The Contractor shall provide the capability to manually change Transponder Statuses, such as when a customer calls to report a Transponder has been stolen. 410 The Contractor shall provide the capability to automatically change Transponder Statuses. For example, when a Transponder that is in inventory with an inactive status is subsequently added to a User Account, the status changes to active. 411 The Contractor shall provide the capability to track a Transponder’s current status and status history. 412 The Contractor shall provide the capability to automatically change all Account Transponder Statuses (for the region it serves) from valid to invalid when the Account balance is equal to or below a Configurable balance applicable to that region. 413 The Contractor shall provide the capability to automatically change all Account Transponder Statuses from invalid to valid when the Account balance is above the Configurable balance applicable to the region it serves. 414 The Contractor shall provide customer Notification when the Transponder changes status.

2.4.10. Declaring the Number of People in the Vehicle Electronically In addition to the switchable Transponders, LACMTA may offer an electronic approach. Under this approach, customers may change the declared number of people in the vehicle by notifying LACMTA prior to using the Toll Facility. This notification may be done via, web, mobile app, or mobile website or by speaking with a CSR. The self-service notification methods are strongly preferred by LACMTA and as such, LACMTA is seeking innovative solutions from contractors to make it easy for the customer.

415 The Contractor shall provide the capability to establish and change the default mode for each Transponder on an Account. The default may be different for each Transponder on a single Account. These modes are:  one (1) person;  two (2) people and  three (3) or more people. 416 The Contractor shall provide the capability to transmit Transponder mode changes to the RTCS in real-time.

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417 The Contractor shall provide the capability for the scheduling of future mode changes such that the customer does not have to change the mode in real-time for planned changes in the number of people, including but not limited to:  date range;  all week days;  always on a particular day(s) of the week;  all weekend days;  particular time(s) of the day and  particular date/time range. 418 The Contractor shall provide the capability to display the current number of people mode on the Account home screen for CSRs and the customer to see. 419 The Contractor shall provide the capability to track and display the number of people mode change history for each Transponder as well as the date/time and method used to make the mode change.

2.4.11. Incoming Customer Communication 420 The Contractor shall provide the capability to track, store and electronically view all customer information, contact and history on all Accounts. 421 The Contractor shall provide the capability to associate incoming customer communication with the Account for all communication channels, including but not limited to:  phone;  email (including attachments);  Self-Service Website;  Self-Service Mobile Website;  Self-Service Mobile Application;  Web Chat;  text messaging;  fax;  mail and  in-person contact. 422 The Contractor shall provide the capability to track and account for all incoming customer communication. 423 The Contractor shall provide the capability for a CSR to upload a file and have it associated with an Account, including but not limited to:  an audio file from a recorded conversation;  a PDF file, such as, an outbound email or mail piece and

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 an image file, such as, a scanned document emailed by a customer. 424 The Contractor shall provide the capability to view data files or play audio files associated with Accounts. 425 The Contractor shall provide the capability to scan incoming print communications and save the resulting image in the BOS. The Contractor’s solution shall be robust, enterprise- level and integrated with the BOS and with capabilities including but not limited to:  bulk scanning;  indexing, sorting, collating;  bulk demographic data entry and  automatic assignment to Accounts. 426 The Contractor shall provide the capability to categorize all incoming communication via Configurable drop-down menu options, including but not limited to:  application;  Account close request;  Account information change;  Proof that the vehicle was rental or leased vehicle;  Proof that the vehicle was sold/stolen;  bankruptcy document;  Clean Air Vehicle Proof  complaint;  death certificate;  dispute;  divorce decree;  general correspondence/inquiry;  lease agreement;  marriage license;  other miscellaneous;  payment;  police report;  rental car agreement;  returned mail – with forwarding address;  returned mail – without forwarding address;  sale documentation;  Transponder request and  vehicle registration.

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427 The Contractor shall provide the capability to search for all incoming communication. 428 The Contractor shall provide the capability to create a Case for each incoming communication piece scanned into the BOS. Each scanned communications piece will either initiate a new Case or be associated with an existing one, as determined by an Authorized User. 429 Create a customer contact record for all automated customer contacts. For example, if the customer provides a new address and phone number, the BOS shall automatically create a contact record that says customer contacted the BOS via Self-Service Website to update address and cell phone number. 430 Create a customer contact record for all customer contacts with Authorized Users. This record shall include information about the contact and all contact related actions the Authorized User takes, including but not limited to:  contact channel, such as, email, phone, etc.;  ANI (Automatic Number Identification) if customer called in via phone;  optional comments;  comment category;  contact reason and  action(s) performed (including accessing the Account). 431 The Contractor shall provide the capability to associate the CSR-selected wrap code with each customer phone call. 432 The Contractor shall provide the capability to associate the CSR-selected wrap code with each Web Chat session. 433 The Contractor shall provide the capability to track contacts based on channel or contact reasons. 434 The Contractor shall provide the capability to set and maintain customer contact attributes, including but not limited to:  channels;  date and time;  actions;  contact reasons;  comments and  comment category.

2.4.12. Parking LACMTA may allow FasTrak customers to pay for parking with their Registered Account. In the event this occurs, the BOS shall support all activities related to parking.

Customers must have a Transponder and a valid Active Account enrolled with auto replenishment to be eligible for paying parking charges using the FasTrak Account. Although a parking transaction

Statement of Work and Requirements Page 64 LACMTA Back Office System is treated similarly to a toll transaction in regard to Posting to a Customer’s Account and reflected on the customer’s Statement, all parking transactions are not deducted from the Account’s prepaid toll balance, instead they are charged directly to the Credit Card on the Account.

435 The Contractor shall provide real-time interfacing to the participating parking facilities. 436 The Contractor shall provide the capability to validate that the Account meets the following criteria to be eligible for payment of parking charges, including but not limited to:  Account Type and Attributes (for example, employee Accounts are not eligible);  valid and Active Account;  valid and active Transponder and  valid auto replenishment method. 437 The Contractor shall provide the capability for customers to opt-in and opt-out of payment of parking charges at the Transponder level. The BOS shall have a Configurable default setting (for example, all customers are initially set as ‘opt-in’) for parking charges. 438 The Contractor shall provide the capability to process a payment for the full parking charge to the customer’s valid auto replenishment method on file. 439 The Contractor shall provide the capability to process a payment for the full parking charge to the customer’s valid auto replenishment method on file if the parking charge is over a Configurable threshold. 440 The Contractor shall provide the capability to assess daily parking charges to User Accounts while the vehicle is in the parking facility. 441 The Contractor shall provide the capability to charge a ‘parking convenience fee’ to all parking transactions. 442 The Contractor shall provide the capability to automatically email the parking receipt to the customer upon successful payment processing of parking charge. 443 The Contractor shall provide the capability to add in, at a future time, potential for livery fare, commercial vehicle fees and/or taxi fees via the Transponder.

2.5. Image Transfer and Transaction/Trip Processing

2.5.1. Image Transfer and License Plate Extraction The RTCSs capture images for Transponder-Based Transactions and Image-Based Transactions/Trips and handles automatic and manual image review.

The transaction/trip is created by the RTCS once the license plate results are obtained and after the completion of the pre-processing and trip matching. The RTCS then send the transaction, image(s) and license plate data to the BOS.

The BOS shall meet the following requirements related to obtaining the images from each RTCS;

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444 The Contractor shall provide the capability to accept and store images from the RTCS in accordance with Interface Control Document. 445 The Contractor shall provide the capability for Authorized Users (for example, CSRs or customers) to retrieve, view and print images. 446 Associate images with the related transaction in the BOS. 447 Transmit the status of image acquisition errors to the RTCS Contractor and the PMMS. 448 Categorize failed images into error codes and exception codes for reporting purposes.

2.5.2. Toll Rate DMS Image Transfer The RTCS captures images of the Toll Rate DMSs every time the toll rate changes. These image and associated data are transmitted to the BOS to be saved and used to research toll rate related disputes.

The BOS shall meet the following requirements related to obtaining the Toll Rate DMS images and data from each RTCS; 449 The Contractor shall provide the capability to accept and store Toll Rate DMS images and data from the RTCS in accordance with Interface Control Document. 450 The Contractor shall provide the capability for Authorized Users (for example, CSRs or customers) to retrieve, view and print images. 451 Associate images with the related Case in the BOS, if applicable. 452 Transmit the status of Toll Rate image and data acquisition errors to the RTCS Contractor and the PMMS. 453 Categorize failed Toll Rate DMS images and data into error codes and exception codes for reporting purposes.

2.5.3. Transponder Switch Setting Correction Process Support The RTCSs will send transactions/trips to the BOS once the trip creation is complete. The ODS provides the occupancy results which may or may not agree with the switch set/declared by the customer to the RTCSs. RTCSs sends only the corrected trips and ODS images where the Transponder Switch Setting has been “corrected” based on images of the vehicle occupants that do not substantiate the vehicles transponder switch setting/declaration to the BOS. These corrections may be made either prior to or after the transactions/trip has been received by the BOS. The BOS shall properly handle, process and designate these corrected transactions/trips and ODS images for reporting and customer service purposes. The BOS shall also support requests from customers for documentation related to the Transponder Switch Setting correction process.

The BOS shall meet the following requirements related to the Transponder Switch Setting Correction process.

454 The Contractor shall provide the capability to accept and store transactions/trips and Transponder Switch Setting images in the BOS where the Transponder Switch Setting has been corrected.

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455 The Contractor shall provide the capability to accept Transponder Switch Setting Corrections to transactions/trip received previously. 456 The Contractor shall make all transactional and financial adjustments for transactions/trips that are corrected after the original transactions/trip has been received and posted to an Account. 457 The Contractor shall designate the transactions/trips as corrected so that the CSR or other Authorized Users can easily identify the transactions/trip as having been corrected. 458 The Contractor shall store and display as part of the transactions/trip all information related to the corrected transaction/trip, including but not limited to:  the specific transaction(s) within the trip where the image was taken;  the image review time/date;  the date and time when the transaction/trip was corrected and  if the transactions/trip was corrected prior or after the BOS received the original transactions/trip. 2208 The Contractor shall provide the capability to create a Switch Setting transaction information document containing information and image(s) related to the transaction in question, including but not limited to:  detailed toll transaction data associated with transaction;  images related to the occupancy determination and  images related to license plate. 2209 The Contractor shall provide the capability to generate the Switch Setting transaction information document in real-time and send it to the customer using any communication channel. 459 Disputed and/or reversed Transponder Switch Setting Corrections shall be automatically captured and reported back to the RTCS through the interface for the purpose of improving the accuracy of the system.

2.5.4. Transaction/Trip Transfer Upon the creation of trips and transaction/trip pre-processing, each LACMTA RTCS will transmit all Pursuable Transponder-Based Transactions/Trips and Image-Based Transactions/Trips to the BOS. Transponder-Based Transactions/Trips that belong to FasTrak User Accounts (home agency) are posted as FasTrak Transponder-Based Transactions/Trips. Transponder-Based Transactions/Trips on LACMTA roads that belong to Interoperable/CTOC Agency Accounts are processed as Interoperable Transponder-Based Transactions/Trips and transmitted to the Interoperable Agency. These trips are processed using the CTOC/Title 21 ICD for the CTOC Agencies or otherwise using the national standard for national Interoperability. Similarly, transactions/trips coming in from Interoperable/CTOC Agencies are to be charged to a LACMTA User Account will be transmitted in accordance with the ICD related to that Interoperable agreement.

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Transactions/Trips move through various steps in the process before they reach a terminal status, such as paid or dismissed. Terminal status is normally the last step in the life of a transaction/trip. However, subsequent events, like returned payments or chargeback, can cause a transaction/trip to move from terminal status of paid to unpaid. A Pursuable Transponder-Based Transaction/Trip is deemed paid when it is successfully posted to an Account that can pay the toll.

In the case of Pursuable Image-Based Transactions/Trips, there are numerous steps the transactions/trips need to pass through and Image-Based Transactions/Trips can take different routes:  They can post to an Account as an I-Toll.  If the license plate is on the CTOC plate list or other Interoperable Agency license plate file, they are transmitted to an Interoperable/CTOC Agency.  They post to an Unregistered Account and appear on a Violation Notice as a Violation transaction/trip and are subsequently paid or dismissed.  They are considered Violators and are Noticed and subsequently escalated if no payments are made.

In addition to the transactions/trips the BOS receives from each of the RTCS, Interoperable/CTOC Agencies also transmit FasTrak Transponder-Based Transactions/Trips and Image-Based Transactions/Trips (for valid Registered Accounts) to the BOS for processing. Figure 3-1 shows the routing of the transactions/trips, their processing and Posting to User Account.

Figure 2-1 Transaction Types and Routing

RTCS are required to submit Pursuable transactions/trips to the BOS. The BOS shall perform secondary verification and only process Pursuable transactions/trips. All other submitted transactions/trips that do not meet the criteria are rejected.

The BOS shall meet the following requirements related to receipt of the Transponder-Based and Image-Based Transactions/Trips from each RTCS: 460 Transmission and exchange of all data and files between the RTCS and the BOS shall be in compliance with the existing ICDs, and any Updates made to them must meet the requirements of the Statement of Work and Requirements.

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461 Support a Configurable list of RTCS with which the BOS shall Interface to receive Transponder-Based and Image-Based Transactions/Trips. All received transactions/trips shall be verified against the list of RTCSs. 462 Receive and maintain a listing of each Toll Facility’s Plazas and lanes (including designation of direction) from which the BOS shall receive transactions/trips. All transactions/trips received shall be verified against the Toll Zone and lane (including designation of direction) listing for each Toll Facility. 463 The Contractor shall provide the capability to accept and post transactions/trips for Toll Facilities for which a list of Plazas and/or lanes is not provided. 464 Receive and process Transponder-Based and Image-Based Transactions/Trips from each RTCS. 465 Validate the Transponder-Based Transactions/Trips and Image-Based Transactions/Trips transmitted by the RTCS meet the criteria for qualification, including but not limited to:  The Transponder-Based Transactions/Trips and Image-Based Transactions/Trips meet the requirements of the ICD;  Transponder-Based Transactions/Trips where the Transponder was associated to an Account with sufficient balance to pay the toll. If the Account does not have sufficient funds to pay the toll then the transaction/trip is processed as an Image- Based Transaction/Trip;  Image-Based Transactions/Trips have license plate number, Jurisdiction and plate type (if required) and have the associated images for noticing and invoicing and  Image-Based Transactions/Trips that are missing a link to the related images are accepted, and an attempt shall be made to post the Image-Based Transaction/Trip as an I-Toll Transaction/Trip to a Registered Account. If the Posting fails, the transaction/trip shall be rejected. 466 Reject transactions/trips submitted by the RTCSs based upon a Configurable number of days between the occurrence of the transaction/trip (Transaction/Trip Date) and the time it was received at the BOS. This parameter shall be Configurable for Transponder-Based Transactions/Trips (m) and Image-Based Transactions/Trips (n). 467 Validate the transactions/trips to ensure compliance to Interface requirements and established parameters for each Toll Facility and identify errors and exceptions. 468 Reject submitted Transponder-Based and Image-Based Transactions/Trips that have failed the verifications and cannot be processed further as submitted for collecting tolls at the BOS. Such rejected transactions/trips include but are not limited to:  transactions/trips are older than the established parameters;  transactions/trips do not belong to Toll Facilities on the Toll Facilities list;  transactions/trips do not belong to a Toll Zone on the Toll Facility list;  internal Transponder identification number is not valid;

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 transaction/trip is a duplicate of a posted FasTrak Transponder-Based Transaction/Trip on the Account;  transaction/trip is a duplicate of a posted I-Toll Transaction/Trip on the Account;  Transaction/Trip is a duplicate of a Violation Transaction/Trip on the Account;  transaction/trip was rejected by the Interoperable/CTOC Agency and  transaction/trip is not in compliance with the Approved ICD. 469 The Contractor shall provide the capability to configure default Plazas for transactions/trips that do not belong to a Toll Zone on the Toll Facility Toll Zone list. 470 The Contractor shall provide the capability to configure duplicate transaction/trip verification for each Toll Facility, based on various criteria, including but not limited to:  Toll Facility;  Toll Zone;  direction of travel;  lane;  transaction/trip time differential;  transaction/trip type;  Account Type and  Account Attributes. 471 Reconcile transmitted transaction/trip counts and errors by Transmission Date and Transaction/Trip Date. 472 Categorize failed transactions/trips into error codes and exception codes for reporting purposes. 473 Accept and process corrected transactions/trips that have been previously rejected.

2.5.5. Transmission Error Identification 474 Send status of transaction/trip transmission and/or verification errors to the PMMS. 475 Identify when the actual number of Transponder-Based Transactions/Trips and Image- Based Transactions/Trips received from a RTCS is a Configurable percentage below the expected number for each Toll Zone and lane, and send an Operational Alert Notification to the PMMS. 476 Identify when the actual number of images acquired is a Configurable percentage below the expected amount for each Toll Zone and lane, and send an Operational Alert Notification to the PMMS. 477 Create transmission failure Alerts based on Configurable parameters, including but not limited to missing Plazas and delayed transactions by Toll Facility and transaction type. 478 Identify if there are missing images from a specific Toll Zone (Configurable number over a Configurable period of time), and send an Operational Alert Notification to the PMMS.

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479 The Contractor shall provide the capability (Configurable) to retry the acquisition of images for transactions/trips initially identified as not having images. 480 Match the acquired image with its transaction/trip. 481 Identify transactions/trips for which images were expected but are missing, and generate an Operational Alert Notification to the PMMS if images are missing for more than a Configurable number of transactions/trips and after a Configurable amount time for a specific Toll Facility. 482 Transmit the status of image acquisition errors to Authorized Users. 483 Categorize failed images into error codes and exception codes for reporting purposes.

2.5.6. Interoperability LACMTA is Interoperable with the other toll agencies in California. Over the life of this Contract, it is likely that Interoperability will expand to include all U.S. states and regions. LACMTA participates in statewide and national Interoperability.

The BOS and the Interoperable/CTOC Agencies shall exchange files in accordance with the most current ICDs. TSLs and plate lists shall be exchanged for validation of customer information.

A FasTrak Transponder-Based Transaction/Trip shall be transmitted to Interoperable/CTOC Agencies to post only if the Transponder ID was included in the TSL. Similarly, an Image-Based Transaction/Trip shall be transmitted to Interoperable/CTOC Agencies to post only if the license plate was included in the plate list file provided to the Interoperable Agency.

Each plate list file received from or delivered to an Interoperable Agency is valid only for the day for which it was created. If no file is delivered for any day, the previously received file cannot be used for guaranteeing payment. 484 The Contractor shall provide the capability for a Transponder to remain on the TSL regardless of its status, until such time that the Transponder is physically removed from BOS inventory. 485 The Contractor shall provide the capability for a license plate to remain on the plate list, regardless of its status, until a Configurable number of days after the subscription end date in the BOS.

2.5.6.1. LACMTA Customers on Interoperable Agency Facilities FasTrak customers who have LACMTA Accounts may use the toll facilities of Interoperable/CTOC Agencies. Transactions/Trips generated on the Interoperable facilities will be transmitted to the BOS for processing and Posting to User Accounts. Interoperable/CTOC Agencies will receive disposition for each submitted transaction/trip in accordance with their individual Interoperable/CTOC Agency ICD. Images will not be provided by Interoperable Agencies. The BOS shall meet the following requirements related to FasTrak Transponder-Based Transactions/Trips and Image-Based Transactions/Trips submitted by Interoperable/CTOC Agencies: 486 Transmission and exchange of all data and files between the BOS and Interoperable/CTOC Agencies shall be in compliance with the existing ICDs and any Updates made to them to meet the requirements of the Statement of Work and Requirements.

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487 Receive and process Transponder-Based Transactions/Trips and Image-Based Transactions/Trips from the Interoperable/CTOC Agencies. 488 Validate that the FasTrak Transponder-Based Transactions/Trips and Image-Based Transactions/Trips transmitted by the Interoperable/CTOC Agencies meet the criteria for qualification, including but not limited to:  FasTrak Transponder-Based Transactions/Trips and Image-Based Transactions/Trips transmitted by the Interoperable/CTOC Agencies are posted where the associated Account had positive balance at the time of Posting;  FasTrak Transponder-Based Transactions/Trips and Image-Based Transactions/Trips meet the requirements of the ICD and  Image-Based Transactions/Trips have a license plate number, Jurisdiction and optional plate type, and the license plate is associated to an Account with sufficient balance to pay the toll. 489 The Contractor shall provide transaction disposition to Interoperable/CTOC Agencies for each submitted FasTrak Transponder-Based Transaction/Trip and Image-Based Transaction/Trip. 490 The Contractor shall provide the capability (Configurable) to set the automated transmission of transactions/trips to other agencies to a Configurable delay, or paused.

2.5.6.2. Interoperable/CTOC Customers on LACMTA Toll Facilities Interoperable/CTOC Agency customers who have Accounts at other Interoperable/CTOC Agencies may use LACMTA’s toll Facilities. These customers may create Transponder-Based Transactions/Trips and Image-Based Transactions/Trips. The BOS identifies such transactions as Interoperable/CTOC Transactions/Trips, validates such transactions/trips are in compliance with Interoperable/CTOC ICDs and transmits them to the Interoperable/CTOC Agency for processing and Posting to the User Accounts. LACMTA may assess a Configurable ‘roaming/hub processing fee’ based on the transaction type. Interoperable/CTOC Agencies will transmit the disposition for each submitted transaction/trip to the BOS in accordance with their individual Interoperable/CTOC ICD.

The BOS shall meet the following requirements related to Interoperable/CTOC Transponder-Based Transactions/Trips and Image-Based Transactions/Trips. 491 Receive and validate Transponder-Based Transactions/Trips and Image-Based Transactions/Trips from each RTCS. 492 Validate that the Transponder-Based Transactions/Trips and Image-Based Transactions/Trips are in compliance with the Interoperable/CTOC ICDs. 493 If configured, assess the appropriate ‘roaming/hub processing fee’ based on the transaction type. 494 If configured, assess the appropriate Switch Setting Error fee. 495 Transmit Transponder-Based Transactions/Trips and Image-Based Transactions/Trips to the appropriate Interoperable/CTOC Agency.

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496 Receive transaction/trip disposition from the Interoperable/CTOC Agencies for each transmitted Transponder-Based Transaction/Trip and Image-Based Transaction/Trip.

2.5.7. Monitoring – Operations and System Performance LACMTA requires monitoring tools to effectively track and manage operations with the goals of optimizing efficiency, performance and customer service. LACMTA requires clear visual and graphical representation of the workflow statuses and the provision of Alerts to identify backlogs and problems on a timely basis. 497 The BOS shall provide pictorial representations (Dashboard) by corridor of the system operations and performance, and user performance and productivity at all stages of operations process flow. 498 The BOS shall provide Authorized Users the ability to customize and personalize their Dashboard to display data elements selected by the user. 499 The BOS shall provide user Interface in real-time to review and be Alerted to problems, exceptions and issues by means of conditional formatting. 500 The BOS shall provide users with the capability to drill to the individual details and back-up information of any transaction/trip state, status or problem. 501 The BOS shall provide user Interface to establish various Configurable thresholds to monitor and assess System and operations performance. 502 The BOS shall generate automated notifications to the PMMS when specified deviations from established thresholds are detected within a user defined Configurable period of time and provide such notifications on the Dashboard.

2.5.8. Transaction/Trip Filters Some of the Transactions/Trips a RTCS or Interoperable/CTOC Agency does not want posted to an Account or on a Violation Notice will be filtered by the individual RTCS/Agency and will not be submitted to the BOS for processing. Others shall be filtered by the BOS. The BOS is used to create and maintain certain filters which are transmitted to the RTCS for use in filtering transactions/trips.

2.5.8.1.1. Filters – Exempt List The BOS maintains an Exempt List of license plates and Transponders for each facility and for the ExpressLanes as a whole. The ExpressLanes Exempt List contains those license plates and Transponders which shall be filtered on all facilities. The facility-specific Exempt Lists contain those license plates which shall be filtered for that specific facility only. The Transaction/Trip will be filtered by the RCTS if the license plate or Transponder on a Transaction/Trip is on the Exempt List and matches the exempt criteria. Exempt transactions are identified as filtered based on the Exempt list and are sent to the BOS for posting to an Account established to receive the Exempt transactions.

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503 The Contractor shall provide the capability for Authorized Users, to enter and maintain an Exempt List of license plates and Transponders and identify them to be exempt on the facility, Toll Zone and entire system. License plates and Transponders shall have effective start and end dates. 504 The Contractor shall provide the capability to post transactions identified by the RTCS as being Exempt to the Exempt Account.

2.5.8.1.2. Filters – Plate Correction List The BOS maintains and updates a Plate Correction List, which contains license plate numbers that have been problematic and require review and verification. Since a license plate can be problematic for one facility and not for another, a Plate Correction List is maintained for each facility. Images and Image-Based Transactions/Trips that contain license plate numbers on the Plate Correction List for the facility will be filtered by the RTCS. Filtered transactions/trips shall be queued for manual review. Review could result in the correction of the license plate number or rejection of the license plate number. 505 The Contractor shall provide the capability to enter and maintain a Plate Correction List, electronically shared with the RTCS, that applies to Images and Image-Based Transactions/Trips by facility, Toll Zone and entire system. 506 When a plate is added to the Plate Correction List, provide the capability to retrieve and correct other active transactions/trips that could potentially have the same error and take corrective action (if needed) on the Image-Based Transactions/Trips. 507 The Contractor shall provide the capability to flag, review and correct transactions/trips with plates that are on Plate Correction List and were not addressed at the RTCS.

2.5.8.1.3. Filters – Transponder Switch Setting Correction List The BOS maintains and updates a Transponder Switch Setting Correction List, which contains license plate numbers that have been problematic and require review and verification. Since a license plate can be problematic for one facility and not for another, a Transponder Switch Setting Correction List is maintained for each facility. Images and Image-Based Transactions/Trips that contain license plate numbers on the Transponder Switch Setting Correction List for the facility will be filtered by the RTCS. Filtered transactions/trips shall be queued for manual review. Review could result in the correction of the vehicle Transponder Switch Setting identified and/or toll rate or rejection of the transaction.

508 The Contractor shall provide the capability to enter and maintain a Transponder Switch Setting Correction List by facility, Toll Zone and entire system.

2.5.8.2. Filters Used by the BOS Filters applied to transactions/trips can have the following effects on the transaction/trip:  Closes a transaction/trip, preventing it from moving through the normal process flow.  Delays processing of the transaction/trip until: o a Configurable time threshold is met; o a Configurable re-occurrence is reached within a period, or o the transaction/trip, associated images and Notices are reviewed.

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 Queues the transactions/trips and images for special processing based on specific characteristics and criteria. 509 Support filtering transactions/trips by a combination of filter criteria, including but not limited to:  LACMTA Accounts;  Interoperable/CTOC Accounts;  Toll Facility;  facility ownership (LACMTA or other entity);  transaction/trip type (Transponder-Based or Image-Based);  location (facility, Toll Zone/lane);  Transponder Status;  revenue type;  Account Type;  Transponder ID;  inconsistency between original Transponder internal number and ID;  mode of lane operation (example emergency/ sponsorship);  Vehicle Class;  Clean Air Vehicle Classification;  Presence of a Discount Plan;  license plate number;  license plate type;  Jurisdiction;  ZIP code;  date;  time of day;  aging level and  workflow status. 510 Apply filters to each Toll Facility’s transactions/trips based on LACMTA filter rules. 511 The Contractor shall provide the capability to add new filters and maintain existing filters for each’ Toll Facility. The Contractor shall provide the capability to define the filters, including but not limited to:  filter criteria, such as license plate number and Jurisdiction;  specify the disposition of filtered transactions/trips. The disposition determines what happens to the transactions/trips that meet the filter criteria. For example, such transactions/trips are identified as unbillable or placed in a queue for review;

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 identify where in the transaction/trip flow process the filter should be applied for a specific license plate, such as prior to Posting to an Account, prior to noticing/invoicing, at any stage in the process, or prior to placing the transaction/trip in Collections;  the status of the transaction/trip when the filters are applied. For example, if the transaction/trip is in a terminal status then automatic filtering is not applied;  define the Alert conditions, for example, send an Operational Alert Notification to the PMMS when a high number of transactions/trips are filtered;  the date range that the filter should apply, for example, infinitely until license plate is removed from the filter list and  the effective date the filtering should start for the selected license plate. 512 The Contractor shall provide the capability to configure the frequency of occurrence (number per period) for a specified filter category and condition that shall trigger manual review; for example, if filtered license plates for a specified Jurisdiction exceeds the Configurable frequency then manual review and user action shall be required. 513 Support various actions for filtered transactions/trips, including but not limited to:  close the transaction/trip and prevent it from moving through the process flow, such as Image-Based Transactions/Trips that match the Exempt List;  place the transaction/trip in queue for a Configurable number of days, or until re- occurrence threshold is reached and  return the transaction/trip and associated images for review by the RTCS that submitted the transaction/trip, such as Image-Based Transactions/Trips that match the Plate Correction List. 514 Require all transactions/trips that are filtered have a disposition code and a reason code that identifies the filter applied in the user Interface and reports.

2.5.9. Customer Validation and Transaction/Trip Posting Upon the completion of the verification and filtering process, the BOS shall attempt to post the transactions/trips to existing User Accounts or payments. The sequence in which the Posting occurs is based on the type of transaction/trip, the Account Type and the availability of funds to pay the toll. 2.5.9.1. Transaction/Trip Posting - General Generally, the toll rate assigned by the lanes is the rate that the customer is charged. On Express Lane facilities, the toll rate depends on the numbers of occupants in the vehicle. Some Transponders have the ability to indicate the number of occupants in the vehicle depending on where the customer has set the switch. Discount plans may also affect the toll rate.

515 The Contractor shall provide the capability to set and maintain Configurable rules that define the order and sequence in which transactions/trips are processed for Posting to the various Account Types.

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516 The Contractor shall provide the capability to set and maintain Configurable rules that define the order in which the transactions/trips shall be processed and their final outcome, including but not limited to:  type of the transaction/trip (Transponder-Based or Image-Based);  the submitting Entity (Toll Facility or Interoperable/CTOC Agency);  the presence of a Transponder in the transaction/trip;  Account Type;  Account Status;  Account Attribute;  the status of the Transponder at the time of the transaction/trip and  the availability of an image. 517 Transmit Interoperable Transponder-Based Transactions/Trips to Interoperable/CTOC Agencies to post to the Interoperable/CTOC Agency Accounts. 518 The Contractor shall provide the capability to validate FasTrak Transponder-Based Transactions/Trips and Account Attributes, and support the Configurable processing order of transactions/trips with Transponders, per LACMTA Business Rules. 519 The Contractor shall provide the capability to actively monitor a license plate used with a specific Transponder more than a Configurable number of times where that license plate is not associated with the Account for purposes of Flagging the Account and Alerting the customer to add that customer’s license plate to the Account. 520 If a Transponder-Based Transaction/Trip cannot be posted to an Account, but it contains the license plate data, then depending on the reject reason the BOS shall process the transaction/trip as an Image-Based Transaction/Trip. For example, if a Transponder-Based Transaction/Trip was rejected by an Interoperable/CTOC Agency due to insufficient funds on the Account, then the transaction/trip can be processed as an Image-Based Transaction/Trip. 521 If a Transponder-Based Transaction/Trip cannot be posted to an Account and is rejected by the BOS, the BOS shall provide the capability to reprocess such transactions/trips as Image- Based Transactions/Trips in accordance with the Configurable processing order based on the reject reason. 522 The Contractor shall provide the capability to validate the transaction/trip and Account Attributes, and support the Configurable processing order of Image-Based Transactions/Trips per LACMTA Business Rules. 523 The Contractor shall provide the capability for pauses, of Configurable durations, in transaction processing within the Transaction/Trip processing sequence to allow for other interactions (for example, a grace period to allow customer to provide payment before a transaction is posted to a rental car or Unregistered Account).

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524 The Contractor shall provide the capability to configure whether payments are guaranteed for both Transponder-Based Transactions/Trips and Image-Based Transactions/Trips for each Interoperable/CTOC Agency. 525 Post a FasTrak Transponder-Based Transaction/Trip that is guaranteed for Interoperable/CTOC Agencies to the FasTrak Account, regardless of the Account balance. 526 Post a FasTrak Image-Based Transaction/Trip that is guaranteed for Interoperable/CTOC Agencies to the FasTrak Account, regardless of the Account balance. 527 Process Transponder-Based Transactions/Trips and Image-Based Transactions/Trips to an Account based on date and time the transaction/trip was received by the BOS in First in First Out (FIFO) order. 528 The Contractor shall provide the capability to attempt to post a toll transaction/trip (LACMTA or Interoperable/CTOC) that did not post to the Account initially at Configurable intervals for a Configurable amount of time. 529 The Contractor shall provide the capability for Posting tolls/trips based on the particular Tolling Location. For example, if the Transponder has a non-revenue plan for a particular facility, then transactions/trips for that Transponder are charged $0.00 for transactions/trips on that facility. 530 The Contractor shall provide the capability to automatically change the status of Transponders and license plates on an Account when the Account balance is equal to or below the Insufficient Balance Threshold. 531 The Contractor shall provide the capability to pursue and age transactions/trips that post to an Account when the Account is below the Insufficient Balance Threshold. For example, these posted transactions/trips are subject to Collections Placement if the license plate information for the transaction/trip is not available. 532 The Contractor shall provide the capability for Posting non-toll (for example, parking) transactions when the transaction amount is less than a Configurable threshold. 533 The Contractor shall provide the capability for charging non-toll (for example, parking) transactions against the Account balance if the Account balance is greater than the charge. 534 The Contractor shall provide the capability for charging non-toll (for example, parking) transactions against a valid payment method on the Account when the charge exceeds the balance on the Account. 535 The Contractor shall provide the capability for charging non-toll (for example, parking) transactions that exceed a Configurable threshold to a specific payment method.

2.5.9.2. I-Toll Transaction/Trip Posting Because of various circumstances, such as broken or defective Transponders and problematic windshields, or the failure of a customer to correctly affix the Transponder to the vehicle, Transponders sometimes fail to read when the customer uses the toll facilities. This results in the capture and processing of the customer license plate image by the RTCS. An image-based transaction/trip along with the license plate images and data is ultimately submitted to the BOS for processing. Since processing image-based transactions is costlier to LACMTA, LACMTA Accounts

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The BOS identifies the license plate as belonging to an LACMTA or Interoperable/CTOC User Account and verifies that the image-based transaction/trip is eligible for Posting to the Account as an I-Toll transaction. For an LACMTA Account, an I-Toll shall be posted in accordance with LACMTA’s Business Rules. For an Interoperable/CTOC FasTrak Account, an I-Toll shall not be sent to the Interoperable Agency for processing if the license plate is not on the valid license plate file for the Transaction Date.

The BOS requires a start and end date for each vehicle on an Account. For Registered Accounts, the default start date/time is the when the license plate was added and the default end date/time is never but the customer may elect to change the defaults either at the time the license plate is added or later. The start date/time can be set to before the date/time that the license plate was added to the account. Starting the license plate earlier will allow any Violation during that time period to be automatically posted to the Registered Account if it is in good standing. In order to automate the processing of Violations and matching them to Registered Accounts, the BOS shall check each time a license plate is added and when the license plate start date/time is changed to see if any Violations matching that license plate can be posted to the Account.

The start and end dates/times also allow a customer to add a license plate to the Registered Account even though they will only be using the vehicle temporarily, for example, a rental or loaner car or for a vehicle belonging to an out-of-town guest.

536 The Contractor shall provide the capability for Posting I-Tolls based on a combination of factors, including but not limited to:  the Account Status at the time of the transaction/trip;  current Account Status;  Account open date;  effective date and time range for the license plate on the Account;  Discount Plans associated with the Account, Transponder or license plate;  license plate number;  license plate Jurisdiction;  license plate type;  license plate image;  whether the license plate was on the Account at the time of the transaction/trip and  the Account balance. 537 The Contractor shall provide the capability to charge a different toll rate (Configurable) for transactions/trips on Accounts, Transponders or license plates Flagged with Excessive I- Tolls. 538 The Contractor shall provide the capability to setup the Configurable parameters which trigger notifications for Excessive I-Tolls.

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539 The Contractor shall provide the capability to set up the Configurable parameters, which trigger the application of the Excessive I-Toll rate, including a grace period after a customer is notified. 540 The Contractor shall provide the capability to check each time a license plate is added to a Registered Account and when the license plate start date/time is changed to see if any Violations match that license plate and post the applicable Violations to the Account in accordance with LACMTA Business Rules.

2.5.9.3. Toll and Discount Posted The transactions/trips submitted by the RTCS and the Interoperable/CTOC Agencies will contain multiple fares based on the Toll Facility or Interoperable/CTOC Agency, the type of facility and the transaction/trip type (listed below). Based on the Business Rules, the BOS shall apply the applicable discounts and charge the User Account the correct fare.

541 The Contractor shall provide the capability for applying applicable discounts for Discount Plans associated with the Account, Transponder or license plate to the Transponder-Based and Image-Based Transactions/Trips. If Customer is enrolled in many Discount Plans, then the BOS shall identify the plan that provides the customer the maximum discount and apply that Discount Plan to the customer toll transaction/trip. 542 The Contractor shall provide the capability to post the appropriate toll and discounts to the Transponder-Based Transaction/Trip and the Image-Based Transaction/Trip based on various (Configurable) conditions, including but not limited to:  type of transaction/trip received from the RTCS or Interoperable/CTOC Agency, for example non-revenue;  type of transaction/trip received from the Interoperable/CTOC Agencies;  type of Toll Facility, for example Managed Lanes;  transaction/trip attributes;  mode which the Transponder was set to (one (1), two (2) or three (3) or more people))  Account balance;  type of transaction/trip at the time of Posting (FasTrak, I-Toll or Violation);  Account Type;  Flags on the Account, for example Excessive I-Toll and  Attributes of the Account, for example rental car.

2.5.9.4. Owner Identification For those Image-Based Transactions/Trips that do not post to an existing LACMTA Account or Interoperable/CTOC Agency Account, the registered name and address information for the license plate needs to be obtained from ROV Lookup sources including the unregistered license plate database. LACMTA may pursue vehicles registered in all 50 states, DC, U.S. Government, Canada and Mexico. The ROV Lookup source, the frequency of lookup and the processing of the results are

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Configurable. For example, ROV lookup may be performed on CA license plates for each violation while ROV Lookup for Hawaii may be only performed when the vehicle has three (3) violations. When there is no match after a Configurable number of attempts, the images are reviewed at the BOS to verify if the license plate entry is correct. At any time in the process, payments can be accepted and transactions/trips can be posted to an existing Account.

543 The Contractor shall provide the capability to establish separate, Configurable ROV Lookup parameters to obtain the ROV, based on various criteria including but not limited to:  type of plate, for example if the license plate is government, the ROV Lookup is performed less frequently than a standard license plate;  Jurisdiction, for example if the license plate belongs to a Jurisdiction where the license plates goes with the vehicle when it is sold, then the ROV Lookup is performed more often;  Flags on the Account, for example if the Account has a bad address Flag or ROV is stale, then ROV Lookup is performed at Configurable intervals on Configurable Image-Based Transactions/Trips until a new address is obtained;  cost of ROV Lookup, for example if ROV Lookups are at no cost then perform lookup every time (possibly daily) when the license plate is set to be Noticed;  Transaction/Trip attributes and  Account Attributes. 544 The Contractor shall provide the capability to re-submit license plates for ROV Lookup a Configurable number of times and after a Configurable period of time if the license plate is returned from the ROV Lookup source with no match or an error. The configuration shall be based on the type of error and the status of the communications. 545 The Contractor shall provide the capability to identify and manage Violations which do not meet the criteria for a Violation Notice to be issued. Reasons for this include, but are not limited to: Violations which are too old or Violations with no match at DMV) 546 The Contractor shall provide the capability to manually issue a Violation Notice or other notification to Violations which do not meet the criteria for automatic Violation issuing. 547 The Contractor shall provide the capability to view the transaction/trip and its associated image(s) and select the correct license plate registration information in the event there are multiple ROV matches returned by the ROV Look-up Service Provider for a particular license plate. 548 The Contractor shall provide the capability to match the registration information against existing Accounts using the DBA name and DBA address. 549 The Contractor shall provide the capability to review the results and take appropriate action of partial ROV information matches and confirm the Account that matches the ROV name and address. 550 If configured, provide the capability to add the license plate number and Jurisdiction to the Account when ROV information matches the User Account.

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551 Automatically create an Unregistered Account for the license plate using the ROV results if there is no match to an existing Account. 552 The Contractor shall provide the capability to review the transactions/trips when the registration information is not available or license plate data is not available. The BOS shall retrieve all images associated with the transactions/trips and make them available to the user for review. The user can take the following action on the transactions/trips, including but not limited to:  manually enter the ROV data;  correction of the license plate data;  process payment on the transaction/trip and  post the transaction/trip to an existing Account. 553 The Contractor shall provide the capability to maintain an unregistered license plate list of vehicles and ROVs where the ROV information may be researched and obtained through manual means. 554 The Contractor shall provide the capability (Configurable by Jurisdiction) to add a license plate to the unregistered license plate list if the license plate is returned from the ROV Lookup source with no match. The Configuration shall be based on the type of response and the status of the communications. 555 The Contractor shall provide the capability to look up the unregistered license plates on the unregistered license plate list and enter the ROV information manually if it is obtained. 556 The Contractor shall provide the capability to identify ROV information that was not available from ROV Lookup Sources but was manually obtained and ensure that it is not overwritten by future ROV Lookup unless approved by an Authorized User. 557 The Contractor shall provide the capability to electronically send the RTCS Contractor license the Plate Correction List including the original image and transaction data. 558 If there is no response for the ROV Lookup after the Configurable number of retries, and license plate registration information cannot be obtained, then the transaction/trip is moved to “Unknown at DMV Status” 559 The Contractor shall provide the capability to set and maintain the ROV Lookup source based on license plate Jurisdiction. 560 The Contractor shall provide the capability to establish mandatory plate type requirements based on Jurisdiction and plate type, including the entry of prefix and suffix. 561 The Contractor shall provide the capability to set the length of time (Configurable) before ROV information needs to be rechecked for each Jurisdiction before the license plate registration information is considered stale and must be acquired again. 562 Maintain the vehicle registration database and keep it updated in accordance with agreements for those motor vehicle departments that support real-time database Updates. 563 Retain all historical ROV Lookup information, including but not limited to: source of license plate ROV data, ROV data changes and the date the data was obtained.

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2.6. Registered and Unregistered Account Notifications 2.6.1. Outgoing Notifications Outgoing Notifications are created, processed and transmitted to the Contractor provided Print/Mail House Provider based on Configurable Account Attributes, the customer’s preferred methods of Notification and LACMTA’s direction. The creation and sending of outgoing Notifications includes multiple distribution channels, such as electronic transmission (email, text messaging), print and mail, and outbound phone calls. Notification management shall provide several methods of delivery and allow for configuring how each Notification item shall be delivered. Any and all Notifications related to an Account shall be associated with that Account and Case, if applicable, in the BOS.

Alerts are normally notifications that customers opt-in for so that they can be notified (usually by text message or email) when their Account needs attention. Alerts can also be Notifications based on Account Attributes of which LACMTA would like customers to be informed.

Notifications are sent using distribution channels, such as email, text messaging, phone call and United States Postal Service (USPS) mail.

Within each distribution channel there are Notification types, for example, postcard or letter in an envelope or text included in the body of an email.

There are unique Notification items, for example, a Notice of Toll Evasion Violation, an insufficient balance letter or an email Notification that the customer’s Account has been replenished.

Each Notification item has criteria which trigger its generation. When an Account meets specified criteria the Account qualifies for a specific Notification item. For example, an Account qualifies for a Credit Card expiring Notification one (1) month before the Credit Card expiration date and an Account qualifies for a Violation Notice after the ROV information has been provided and the transaction posts to the Account.

564 The Contractor shall provide all outgoing notifications regardless of whether the notification is related to a Registered or an Unregistered Account with a standard look and feel and submit samples of all notifications to LACMTA for Approval, prior to distribution to Customers. 565 The Contractor shall provide a common Notification management and creation process regardless of the Notification item or the distribution channel used to send the Notification. 566 The Contractor shall provide a process to automatically qualify each Notification for creation. 567 The Contractor shall provide the capability to manually generate and distribute the Notification. 568 The Contractor shall provide the capability to automatically associate all outbound Notifications with the appropriate Account and Case, if applicable.

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569 The Contractor shall provide the capability for customers to opt-in for Alerts and select the conditions that will result in the creation of Account Alerts. Customer shall have a choice of selecting the method in which they receive the Alert; a text message or email. 570 The Contractor shall provide the capability to automatically initiate customer Alerts based on Account events, including but not limited to:  an I-Toll was posted to the Account;  Transponder Switch Setting Detection toll adjustment Alert;  Violation on license plate registered to customer’s address on file;  Transponder order placed;  Transponder shipped;  Transponder received at the CSC (returned by customer)  Credit Card expiry date within Configurable days of expiry;  Account balance a Configurable amount above Insufficient Balance Threshold;  daily Account balance;  payment posted to Account;  returned check;  Transponder recall/replacement/marked as lost and  Account changes (Configurable), such as the addition of a vehicle to the Account or change of password. 571 The Contractor shall provide the capability to automatically initiate customer communications and Notifications based on Account events including but not limited to the following.  Account creation welcome letter;  Excessive I-Toll threshold is exceeded;  Account auto-replenishment (Credit Card) failure;  Credit Card update successful (from the Credit Card update service );  Credit Card update failure (from the Credit Card update service );  Credit Card is within a Configurable number of days from its expiration;  Credit Card has expired;  auto-replenishment suspended;  auto-replenishment recalculation;  returned check;  Transponder recall/replacement;  SOV travel on HOV only mode;  Account suspension Notice;

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 delinquent Account second Notice;  warning of Registration Hold (Configurable to only send based on the amount of time since the delinquent Notification);  Statement available (monthly and quarterly);  postpaid invoice;  Violation warning letter;  Notice of Toll Evasion Violation generated;  Notice of Delinquent Toll Evasion Violation generated;  Violation dispute accepted;  Violation dispute rejected;  Transponder Switch Setting transaction documentation;  Customer-initiated review-related Notification;  rental car license plate subscription;  Account about to be set with inactive Flag;  Account balance level is below the Insufficient Balance Threshold (manual replenishment);  Account is Flagged with a bankruptcy status;  undeliverable mail situation;  undeliverable email situation;  bad phone (for both calls and text messaging)/fax situation and  Account status changes (Configurable). 572 Distribute Notifications through distribution channels, including but not limited to:  mail;  email;  text messaging;  mobile app push notifications;  fax;  outbound CSR call by developing a list of calls to be made and  automated outbound call. 573 The Contractor shall provide the capability for electronic Notifications to be sent as the body of an email in a Configurable format, including but not limited to text and HTML. 574 The Contractor shall provide the capability for electronic Notifications to be sent as a link to the Self-Service Website in the body of an email. 575 The Contractor shall provide the capability (Configurable) to define Notification type and size, for example, postcard or letter.

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576 The Contractor shall provide the capability to transmit fully created Notification items for printing and distribution, for example, in Adobe PDF or XML format. 577 The Contractor shall provide the capability to transmit Notification items as a data file for printing and distribution. 578 The Contractor shall provide Configurable settings for distribution channel for each Notification item, including but not limited to:  LACMTA required distribution channel(s);  customer preference;  preferred address type for mailing, for example, home, business or ROV Lookup provided;  response address for each Notification item/channel combination and  return address for each Notification item/channel combination. 579 The Contractor shall provide the capability for a Notification item to be distributed using multiple distribution channels. For example, send the Notification to the customer’s preferred distribution channel, which is email and by mail, based on LACMTA’s preference. 580 The Contractor shall provide the capability for usage of addresses for Notifications, including but not limited to:  generating select Notifications to multiple addresses for a single contact;  generating select Notifications to multiple customer contacts and  generating select Notifications to the BOS defined address or multiple customer defined addresses. 581 The Contractor shall provide the capability to identify multiple notifications that are generated for a customer and combine their mailing. 582 The Contractor shall provide the capability to check the NCOA database before a notification is mailed and use the NCOA address if it is the latest. 583 The Contractor shall provide the capability to send manually-generated, bulk email Notifications. 584 The Contractor shall provide the capability to send manually-generated, bulk text Notifications. 585 The Contractor shall provide the capability to send manually-generated, bulk mail Notifications. 586 The Contractor shall provide the capability to read, capture, and create the USPS Intelligent Mail Barcode on incoming and outbound mail. 587 The Contractor shall provide the capability for Notifications to include images and graphics, lists (for example, lists of license plates and/or Transponders) as well as text. 588 The Contractor shall provide standard templates for each Notification item.

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589 The Contractor shall provide the capability to add a barcode, scan line or quick response code to each outgoing Notification piece (excluding text and email body copy Notification) so the returned Notification can be scanned and automatically associated with the proper Account and, if applicable, Case. The barcode shall be visible in the top of the envelope window so as not to interfere with the USPS but to be available to scan as returned mail without having to open the envelope. 590 The Contractor shall provide the capability to add checksum digits to barcodes on Notices and other correspondence that will likely return to the BOS or Lockbox or Collection Agency. Barcode readers shall be able to support such checksum on barcodes and the BOS shall validate it. 591 The Contractor shall provide the capability to ensure historical Notifications associated with Accounts do not change (maintain original form and content) regardless of any changes that are subsequently made to the template for that Notification item. 592 The Contractor shall provide the capability to create and assign version numbers to Notification item templates. 593 The Contractor shall provide the capability to manage Notification items and their attributes, including but not limited to:  add new Notification items;  deactivate Notification items;  view and select for activation past versions of Notification items;  criteria;  frequency;  escalation path;  whether to send for third-party address look up;  a variable due date based on the Configurable number of days until payment is due;  a fixed date due (for example, monthly customer Anniversary Day);  number of days until action must be taken;  the number of days between the due date and escalation to the next Notification level;  number of days between the creation date and issue date;  a fixed issue date (for example, monthly customer Anniversary Day);  the number of Business Days between the due date and escalation to the next Notification level;  number of Business Days between the creation date and issue date;  number of times to resend;  number of days before the Notification is resent;

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 whether or not to resend if a new address is received;  whether to escalate but not print if address is marked ‘bad’;  allowable distribution channel(s);  distribution channel escalation;  number of days from the mailing of the dispute reject letter to extend the Violation Notice payment date;  eligible address type, for example, Notice of Toll Evasion Violation must be mailed to the ROV’s address as provided by the ROV Lookup source;  address source priority, for example, mail to the ROV Lookup address and if that piece is returned with a forwarding address then use forwarding address;  Notification response address, for example, some Notifications may require that payment go to the Lockbox while others require response be sent to the BOS;  Notification return address, for example, some Notifications may use the return address of the Collection Agency while others will use the mail house address;  third-party Notification distributor (if utilized);  Notification Quality Control review sample size and  whether Notification Quality Control review and approval is required. 594 The Contractor shall provide the capability for Notification to have a mailing date that is offset from the issue date of the Notification to allow time for review and mailing. For example, if Quality Control activities and printing take two (2) days, then the issue date would be two (2) days later than the date that the Notification was created. 595 The Contractor shall provide the capability for Authorized Users to view all versions of each Notification item (including those items that have been modified), including but not limited to:  date modified;  version number;  user who made the modification(s) and  samples of the Notification as it looked in all previous versions. 596 The Contractor shall provide the capability to select a Notification target audience, for either pre-developed or ad-hoc Notification, using criteria including but not limited to:  use of a particular Toll Facility (overall or by direction);  use of a particular Toll Zone (overall or by direction);  use of a particular toll ramp (overall or by direction);  use of a particular Toll Facility or Toll Zone during a specified period of time;  use of a particular payment method;  use of a Credit Card with certain characteristics;

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 Transactions/trips by time period;  transactions/trips by ZIP code;  transactions/trips by Vehicle Type;  transactions/trips by Account Type;  transactions/trips by Discount Plan;  transactions/trips by Transponder type;  recipients of Notice of Toll Evasion Violation issued for selectable Toll Facility use;  recipients of Notice of Toll Evasion Violation issued for selectable time periods and  recipients of Notice of Toll Evasion Violation issued for a combination of selectable Toll Facility use and selectable time period. 597 The Contractor shall provide the capability for Authorized Users to suppress the generation of particular Notification items for a specific Account. For example, a supervisor may have already spoken with a customer and may not want a returned payment Notification to be sent. 598 The Contractor shall provide the capability to freeze all correspondence for a specific Account for a Configurable default number of days up to a Configurable maximum number of days with auto-expiration. 599 The Contractor shall provide the capability for Authorized Users to override the correspondence freeze. 600 The Contractor shall provide the capability to email, send to the mail house for printing and mailing or reprint at a local printer any notification directly from the Customer’s Account, Case or Notification search screens. For example, the customer called about a Case and requests that the CSR resend the letter by email to the Customer. The CSR is in the Case and clicks to resend the letter to the provided email address. 601 The Contractor shall employ bulk mail rates and other mailing economies, including, the capacity for pre-sorting mail by zip code and intelligent mail barcode (IMB) to ensure the most cost effective postage rates are obtained. 2210 Outgoing mailed Notification materials shall use the following materials:  all mailed notifications - 24lb paper;  all mailed post cards - .016 of an inch card stock;  the non-Authority provided stuffer - 8.5” x 3.66” (1/3 of an 8.5” x 11” piece of paper);  the non-Authority provided flyer - a single 8.5” x 11” piece of paper; and  all return envelopes - #9 envelopes with preprinted delivery address and return address. 2211 All Notifications denoted as color printing shall be printed using two colors.

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2.6.2. Registered Account Statements Invoices and Violation Notices – General Statements are generated for customers with Registered Accounts, which customers can choose to receive by mail or email, or they can access Statements online or via a mobile device. Customers receive an invoice on their Anniversary Day if they are a customer with a Postpaid Account (select Account Types only) listing each transaction/trip for the billing cycle. If a Postpaid Account has no new transactions or other financial activity for a billing cycle, the customer will not receive an invoice. Non-payment of the first invoice shall result in the generation of a late invoice with additional fees. Non-payment of the late invoice shall result in the Account being Flagged as delinquent and operations Alerted. The Postpaid Account shall continue to receive invoices for subsequent transactions/trips. An Authorized User will review the Account and initiate Collections process on all or a subset of the unpaid transactions/trips. At such time each unpaid transaction/trip identified by the users will be considered a Violation and the customer shall receive a Notice of Toll Evasion Violation with each unpaid transaction/.

In accordance with 2010 California Vehicle Code (CVC) Article 4. Procedure On Toll Evasion Violations, Sections 40255, Violators must receive a Notice of Toll Evasion Violation within 21 days of the Violation. Notwithstanding the same, the Business Rules and statutes may require or allow Notices to be sent prior to and after the 21-day timeframe. A Notice of Toll Evasion Violation can have multiple Violations on the Notice, however, no Violation can be more than 21-days old, unless eligible for an exception.

The CVC Section 40254 reads “If a vehicle is found, by automated devices, by visual observation, or otherwise, to have evaded tolls on any toll road or toll bridge, and subdivision (d) of Section 40250 does not apply, an issuing agency or a processing agency, as the case may be, shall, within 21 days of the Violation, forward to the registered owner a Notice of toll evasion Violation setting forth the Violation, including reference to the section violated, the approximate time thereof, and the location where the Violation occurred.

The Contractor shall provide the capability to determine the Account Anniversary Day, 602 based on Account Attributes, including but not limited to:  Account Type;  Account creation date;  date of first transaction and  date of initial invoice. The Contractor shall provide the capability to generate the Statements on the Anniversary 603 Day when the Account has transactions/trips and other financial activity for the current Statement cycle. The Contractor shall provide the capability to generate the invoices on the Anniversary Day 604 only if there are unpaid transactions/trips or other financial activity on the Account that have not appeared on an invoice (Configurable). The Contractor shall provide the capability to automatically change the Anniversary Day 605 when a new invoice is issued in place of an old invoice that is canceled. For example, if an invoice is issued on 1/5 and then returned by the USPS on 1/10, then Reissued 1/15, reset the Anniversary Day from 1/5 to 1/15 to give the customer enough time to pay the 1/15 invoice before sending the next one. The Contractor shall provide the capability to generate the appropriate type of 606 correspondence (Statement, invoice or Violation Notice), based on the Account Type, Account Attributes and Account balance on the Anniversary Day or during the billing cycle.

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The Contractor shall provide the capability (Configurable) to set and maintain Statement, 607 invoice and Violation Notice generation parameters, including but not limited to:  type of correspondence based on Account Type, such as a Registered Account receives a Statement and Violator Account receives Violation Notices;  date when Statement is generated, such as fixed end of the month for all Accounts, any fixed date within a month or Anniversary Day;  for how long should the BOS generate Violation warning letters to first time Violators on new toll facilities;  type of Statement, invoice or Violation Notice, such as monthly, quarterly, annual, Delinquent;  delivery channel, such as electronic or mail;  acceptable payment methods;  acceptable payment channels;  invoice fee assessed each time an invoice is mailed and  document fee amount, such as a fee for a paper Statement and electronic Statements are no cost. The Contractor shall provide the capability to generate each type of Statement, invoice and 608 Violation Notice based on, including but not limited to:  rolling Anniversary Day;  fixed day;  Configurable number of days;  customer specified day of the month;  dollar amount threshold;  number of transactions/trips;  fixed time period;  Transaction Date;  combination of number of transactions/trips and fixed time period;  combination of dollar amount threshold and fixed time period and  combination of number of transactions/trips and dollar amount threshold. The Contractor shall provide the capability for distributing Statements, suppressing the 609 delivery of Statements and assessing fees based on the following, including but not limited to:  Account Type;  Flag on the Account. For example, Accounts with USPS Coding Accuracy Support System (CASS™) lookup failure or bad address shall not be mailed a Statement.  Account Attributes;  delivery channel and  delivery status. For example, if a Statement fails CASS™ for address lookup, the fee shall not be charged. 610 The Contractor shall provide the capability (Configurable) to utilize various addresses on the Account for mailing Statements, invoices and Violation Notices. The Contractor shall provide the capability to generate Statements, invoices and Violation 611 Notices manually, such as when specifically requested by the customer, in any format available for System-generated Notifications. Applicable fee(s) shall be charged for those Statements. The Contractor shall provide the capability to balance the generation of Statements, 612

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invoices and Violation Notices over a period of time, based on volume. The Contractor shall provide a numbering methodology for invoices, Violation Notices and 613 Accounts for the purposes of proper lifecycle documentation, reporting, adjudication and customer service.

2.6.3. Customer Statements – Registered Accounts Account Statements for Registered Accounts are generated monthly/quarterly as selected by the customer on the date Configured in the System.

The Contractor shall provide the capability to generate Registered Account Statements that 614 detail all Account activity, including but not limited to:  prior balances on the Account;  toll transaction/trip activity on the Account;  parking transaction activity on the Account;  payments on the Account (replenishment and one time payments);  adjustments and credits;  discounts and rebates;  other financial activity on the Account;  addition of Transponders and purchase of inventory (possibly taxable) items;  fees assessed on the Account and  current balance on the Account. Registered Account Statements shall list individual transactions/trips that posted to the 615 Account, including but not limited to:  FasTrak and parking charges that posted to the Account by Transponder and  I-Toll Transactions/Trips that posted to the Account by license plate. The Contractor shall provide the capability to add “free-form” type text that shall be 616 included on all customer Statements. The Contractor shall provide the capability to include customer communication inserts 617 along with customer Statements based on user selected criteria, for example zip code and Account Attributes.

2.6.4. Customer Invoices – Postpaid Accounts Most LACMTA customers are required to maintain a Prepaid Account balance in order to avoid Violation. In the future, LACMTA may enter into Postpaid agreements with customers which will permit the use of LACMTA’s facilities without a Prepaid balance. Under this circumstance, the System shall periodically bill customers for usage in accordance with the following requirements.

The Contractor shall provide the capability to support Account-based invoicing on Postpaid 618 Accounts, where the monthly invoice reflects the license plate and Transponder transactions/trips that posted to the Account during the billing cycle. The Contractor shall provide the capability to generate a late invoice which include fees if 619 the first invoice is not paid in full by the payment due date. The Contractor shall provide the capability to Flag the Postpaid Account as delinquent and 620 generate an Operational Alert Notification if the late invoice is not paid in full by the payment due date. The Contractor shall provide Authorized Users the capability to suspend a delinquent 621 Postpaid Account at which time all unpaid transactions/trips are considered delinquent.

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Once the Postpaid Account is suspended all subsequent transactions/trips on the Account are considered Violations. The Contractor shall provide the capability to initiate the delinquency process once the 622 Account is suspended on the unpaid transactions/trips which includes generation of delinquency Notice and escalation of the delinquent balance on the Account to Collections. The Contractor shall provide the capability to link the individual Unregistered Accounts to 623 the original Postpaid Account with which the license plate and Transponder were associated. The Contractor shall provide the capability to generate postpaid invoices that fully detail all 624 activity, including but not limited to:  prior balance;  current charges;  payments;  adjustments;  detailed listing of all Transponder transactions/trips on the Account;  detailed listing of I-Toll transactions/trips on the Account and  detailed listing of all license plate transactions/trips on the Account. The Contractor shall provide the capability (Configurable) to set and maintain invoice 625 generation and transaction aging parameters, including but not limited to:  invoice generation and aging timeline, for example, generate the monthly invoice thirty (30) days from the Anniversary Day, and amount owed is considered past due and eligible for delinquency process if not paid within five (5) days (of the due date);  Account suspension parameters, for example if Account is not suspended by a user within Configurable number of days of it being delinquent then System shall suspend the Account;  invoice due date constraints, such as invoices are due on a Business Day that is a Federal or State holiday, then the invoice shall be due the first Business Day after the holiday;  number of invoices to issue before Account is considered delinquent;  grace period for aging unpaid invoices on an Account, for example, a five (5) day grace period is applied before a late invoice is generated for an unpaid invoice;  eligibility criteria, for example, if customer has at least one (Configurable) un- invoiced toll transaction/trip or other Financial Transaction within the billing cycle then generate a monthly invoice;  aging thresholds and values, for example, if the past due amount on the Account is more than $5.00 and is more than thirty (30) days past due then late fee is assessed;  payment thresholds based on a percentage of amount owed for each status or workflow stage, for example, if 100 percent of the invoice is not paid, the amount owed on the invoice shall be considered past due;  payment thresholds based on underpayment amount for each status or workflow stage, for example, if invoice is underpaid by less than $0.25, then the amount owed on the invoice is considered closed and  fee structure, for example, the fees to be assessed and whether or not the fees are to be assessed at the invoice level or transaction level. The Contractor shall provide the capability to force selected transactions/trips from one 626 stage to another and bypass the eligibility criteria, for example, progress selected unpaid

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transaction on a Postpaid Account and age them to Collections. The Contractor shall provide the capability to dismiss selected transactions/trips on a 627 Postpaid Account at any stage. Ensure that historical data about customers and previous invoices transmitted to customers 628 do not change (remain in their original form) regardless of changes in the parameters. The Contractor shall provide the capability at each status or workflow stage to perform the 629 following actions, including but not limited to:  identify the transactions/trips that are eligible for invoicing;  add applicable fees;  add applicable advisory language;  generate next invoice for the time frame established and  transmit the invoice to the customer. The Contractor shall provide the capability to reassign transactions/trips at any stage to a 630 different owner and force such transactions/trips to an earlier stage if needed. The Contractor shall provide the capability to enter a forwarding address obtained from 631 returned mail communicated via Interface from an external vendor or manually input, which will result in the re-issue of the monthly invoice and its associated transactions/trips into the transaction aging process. The re-issued invoice shall have a new issue date and a new due date. The Contractor shall provide the capability to display on a re-issued invoice that the invoice 632 was regenerated because of retrieval of new address. The Contractor shall provide the capability to display on the User Account that an invoice 633 was re-issued because of retrieval of new address. The Contractor shall provide the capability (Configurable) to approve certain activities 634 before they progress to the next stage of aging, for example sending transactions/trips to Collections. The Contractor shall provide the capability to view and approve Notifications prior to 635 distribution to the customer, for example, invoice.

2.6.5. Violation Notices – Registered Accounts When a User Account goes below the negative balance threshold, the Account is suspended. If the vehicles on the Account continue to use the toll facilities after the Account is suspended, then ROV Lookup is performed on the license plates that incurred the toll and an Unregistered Account is created for each individual license plate that used the toll facilities and is associated or linked to the original Registered Account. The ROV of the license will then receive a Violation Notice that follows the Violation escalation process. The ROV can pay the Violation Notice or the owner of the Account can replenish the Account paying all the outstanding balances on each Violator Account linked to the Registered Account.

Once the Account is suspended, the Customer is Notified of the unpaid amount on the Account and non-payment of the amount, which may include fees, within the payment due date shall result in the Account being Flagged delinquent and the assessment of additional fees. Delinquent Accounts are eligible for escalation to Collections at which time the Account closure process is initiated.

The Contractor shall provide the capability to create Unregistered Accounts for individual 636 license plates that are on suspended Registered Accounts if the vehicles on those Accounts continue to use LACMTA’s toll facilities without payment of the appropriate toll. Such Unregistered Accounts shall be associated to the suspended Registered Account.

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The Contractor shall provide the capability for the Account holder to view his/her Account 637 details, including Violations on associated or linked Unregistered Accounts. The Contractor shall provide the capability to accept payments to the Registered Account 638 resulting in the payment of all Violation including unpaid Violations on the associated or linked Unregistered Accounts plus Configurable fees and penalties that are assessed based upon escalation stage. The Contractor shall provide the capability to Configure the dismissal of fees and penalties 639 applied to each Violation when payments are applied to the Violations through the Registered Account. The Contractor shall provide the capability for the ROV to disassociate the association or 640 link to the Registered Account. The Contractor shall provide the capability to assess fees when the User Account is in 641 suspended status for Configurable number of days. The Contractor shall provide the capability to Notify the customer of the outstanding 642 balance on the Account including Violation, fees and penalties assessed when the Account has been in suspended status for Configurable number of days. The Contractor shall provide the capability to Flag the Account delinquent if no payments 643 are made and Account remains in suspended status for Configurable number of days. The Contractor shall provide the capability to Notify the customer of the Account 644 delinquency and initiate Account closure activity if full payments are not received. The Contractor shall provide the capability to place the balance on the User Account in 645 Collections if the Account is not brought to good status after a Configurable number of days of the Notification.

2.6.6. Violator Notification Image-Based Transactions/Trips that do not post to a User Account and are not paid within the Configurable period are considered Violations if an Image-Based Transaction/Trip is eligible for Violation notification. The ROV information is obtained from the DMV/third-party ROV look up source and an Unregistered Account is created. Based on LACMTA Business Rules a Notice of Toll Evasion Violation is generated which, if unpaid, shall escalate to Notice of Delinquent Toll Evasion Violation.

The flowchart below captures the process for handling violations from the first issuance of the notice to Internal and Administrative Reviews to DMV Hold to Interagency Intercept Collections to Third Party Collections.

1. Violation Occurs. When a Violation occurs (customer fails to pay for use of road), the license plate will be compared to LAMATC’s User Account information to determine if the vehicle belongs to an existing customer whose account may have funds but the tag did not read or whose account may have become negative and thus the Violation is valid against the customer. (LAMATC could allow accounts to carry a negative balance for a certain timeframe to allow the customer some time to replenish the account before a violation notice is sent.)

2. Data Cross-Check. Upon determining the status of the Violation, a Violation Notice is mailed to the ROV. No penalty fee is attached between the Violation occurs and when it is mailed. This provides a window of opportunity for the customer to pay without penalty.

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3. Violation Notice QA. Violation Notice is reviewed to determine whether it meets the statutory requirements for issuance and to determine whether it proceeds straight to Third Party Collections or through the process that enables a DMV Hold. 4.A. Third-Party Collections. If the Violation occurred more than 21 days ago, it is sent to Third Party Collections.

4.B. First Notice Issuance. If the Violation meets the statutory notice requirements, a First Notice of Toll Evasion Violation must be sent within 21 days of the Violation to the ROV. (The customer has 21 days to request an Internal Review.)

4.C. First Notice Reissuance. If accurate information concerning the identity and address of the registered owner is not available to LACMTA within 21 days of the Violation, LACMTA has an additional 45 days to obtain such information and forward the Notice of Toll Evasion Violation. (The customer has 21 days to request an Internal Review.)

4.D. Repeat Offender First Notice. Where the ROV is a repeat violator, LACMTA shall forward the Notice of Toll Evasion Violation within 90 calendar days of the Violation. "Repeat Violator" means any ROV for whom more than five Violations have been issued in any calendar month within the preceding 12-month period. (The customer has 21 days to request an Internal Review.)

5. Payment Period. The customer has 52 days to pay the First Notice, unless otherwise extended as a result of the Internal Review, Administrative Review or a Superior Court Appeal.

6. Delinquent Notice Issuance. A second notice is mailed to the ROV if the Violation remains unpaid for more than 52 days, unless otherwise extended as a result of the Internal Review, Administrative Review or a Superior Court Appeal. (The customer has 15 days to request an Internal Review.)

7. Payment Period. The customer has 45 days to pay the Delinquent Notice, unless otherwise extended as a result of the Internal Review, Administrative Review or a Superior Court Appeal.

8. DMV Hold. The Violation is sent for DMV Hold after 45 days of nonpayment of the Delinquent Notice, unless otherwise extended as a result of the Internal Administrative Review.

9. California Interagency Intercept Collections (IIC). DMV sends the violation to the IIC Program if Violation penalties and tolls are not collected within 18 months (https://www.ftb.ca.gov/individuals/Interagency_Intercept_Collections/index.shtml).

10. Third-Party Collections. LAMATC also sends Violations to its Third-Party Collections Agency after the 18-month window.

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Figure 2-2 High-Level Overview of the Violation Enforcement Process

646 Based on the Violation notification eligibility criteria, per the Configurable LACMTA Business Rules, provide the capability to perform Violation notification, including but not limited to:  initial warning letter for all Toll Facilities or per Toll Facility;  first level Notice or the Notice of Toll Evasion Violation;  escalate to second level Notice or Notice of Delinquent Toll Evasion Violation and  Registration Hold warning Notice if eligible. 647 The Contractor shall provide the capability to process Image-Based Transactions/Trips through the Violation process, per the Configurable LACMTA Business Rules, including but not limited to:  verify that the Configurable time frame for making a payment has passed;  convert the Image-Based Transactions/Trips to a Violation by assessing the applicable fees and penalties;  verify that no Internal Review, Administrative Hearing or Superior Court Appeal has been requested;  verify that there is no Account hold (occurs when there is a Case that requires the CSR to investigate the Violator Account and all Violation workflow events are suspend) on the Violations;  verify that there is no Account hold on the Notice;  verify that there is no Account hold on the Account;  verify that license plate is not on a User Account that has Account balance above the

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Insufficient Balance Threshold;  verify that the required number of Violations are open;  verify that the Notice is open;  verify that the payment due date has passed;  verify that the Configurable payment mailing/processing grace period has passed;  verify that the Violations are eligible for escalation to a Notice;  verify that the Notice is eligible for the next level of noticing;  escalate the Notice to the next level;  add applicable penalties and  notify the Violator of the escalated Notice. 648 The Contractor shall provide the capability for a CSR to manage all Notices on the Account, including but not limited to:  list all open Notices on the Account;  view all open Notices on the Account;  re-print any Notice;  view all open Notices by escalation level;  view selected Notices;  view all closed Notices;  view all closed Notices by escalation level;  process Notice payments;  process Violation payments;  dismiss an open Notice;  dismiss fees and/or penalty on a Violation but never the toll amount without the approval of an Authorized User with the authority to dismiss tolls;  dismiss Violations within an open Notice;  process Violations for Posting to a customer’s Transponder Account (I-Toll);  process Violations for Posting to an Interoperable/CTOC Agency Account if license plate is on the Interoperable/CTOC Agency plate list and  process other Flagged Violations on the license plate for Posting to an Interoperable/CTOC Agency Account if license plate is on the Interoperable/CTOC Agency plate list. 649 The Contractor shall provide the capability to establish a “sinner to saint” program where part or full amount of the fee and/or penalty is credited to the Account as a toll credit. The “sinner to saint” program is offered to Violator that meet certain criteria including but not limited to:  first time Violator and  less than a Configurable number of Violations. 650 The Contractor shall provide the capability to offer Violators and “early bird special” a Configurable percent reduction in fee and penalty amounts are made if the Violator makes and early payment. The “early bird special” program shall be made available to all Violation payments or the first time the Violator gets a Violation Notice (Configurable).

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651 The Contractor shall provide the capability to offer Violators settlements whereby Violator is responsible for making a payment amount that includes all toll amounts owed and some amount of fees and penalty for each Violation; the payment made should be applied toward (Configurable) tolls first on all Violations and then partial penalties on all Violations such that each Violation shall have a partial penalty payment. 652 The Contractor shall provide the capability to Configure the System to support Notice-based Violation escalation, for example if first level Notice is not resolved within the timeline established, then the first level Notice is escalated to the second level Notice that reflects only the outstanding balance on the first level Notice plus additional penalties per unpaid Violation, even though the Account may have additional Violations. 653 The Contractor shall provide the capability to dismiss selected individual Violations on a Notice and prevent their escalation, while allowing the remaining Violations/Notice to escalate. 654 The Contractor shall provide the capability to place a Notice on Account hold and enter the Account hold reason at any escalation level. When an Account hold is placed, the Violation aging process is suspended. 655 The Contractor shall provide the capability to place selected individual Violations on hold at any escalation level, including Violations that are not on a Notice. 656 The Contractor shall provide the capability to prevent the aging and escalation of Violations and Notices that are placed on Account hold. 657 The Contractor shall provide the capability to continue processing the Violations and Notices a Configurable number of days after an Account hold is released. 658 The Contractor shall provide the capability to restart the Violation aging timeline a Configurable number of days after the issuance of the dispute rejected notification. 659 The Contractor shall provide the Configurable capability to automatically initiate multiple escalations on a Notice at the same time based on the type of license plate, for example initiate a vehicle Registration Hold and escalate the Notice to Collections if the license plate was issued in a Jurisdiction that permits concurrent Registration Hold and Collections. 660 The Contractor shall provide the capability to process Violations and Notices differently based on Configurable parameters , including but not limited to:  license plate type;  rental car license plate;  the age of the Violation;  license plate Jurisdiction, for example, based on in-state versus out-of-state and based on a particular state;  license plate that is associated to a FasTrak Account;  license plate that is associated to an Interoperable/CTOC Agency User Account and  Notice with a bad address. For example, Skip Tracing is performed when address is marked as ‘bad’. 661 The Contractor shall provide the capability to process Violations for the rental car license plate transactions/trips with the same license plate number and within the same renter’s rental period, per the Configurable LACMTA Business Rules.

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662 The Contractor shall provide the capability to process Violations and Notices differently at each escalation level, including but not limited to:  escalate with different Configurable aging parameters;  add different Configurable fees and/or penalty at the individual Violation level;  add different Configurable fees and/or penalty at the Notice level;  based on different Configurable underpayment percentage thresholds that prevent Notices from escalating at each escalation level, for example a first level Notice may require at least a 95% payment of the amount due to halt escalation while a second level Notice may require a 100% payment of the amount due to halt escalation and  based on different Configurable underpayment amount thresholds that prevent Notices from escalating at each escalation level, for example if a first level Notice is underpaid by a dollar or less then the first level Notice shall not escalate to second level Notice. 663 The Contractor shall provide the capability to identify Unregistered Accounts that qualify as “repeat Violators” on a Configurable basis based on LACMTA Business Rules including but not limited to:  number of open Violations on the Account for each Toll Facility or all Toll Facilities;  no ROV information obtained;  outstanding balance on the Account and  total number of Violation on the Account for a given time period. 664 The Contractor shall provide the capability to assess additional escalated fees and/or penalty on Violations/Notices on Unregistered Accounts that are Flagged as repeat Violator. 665 The Contractor shall provide the capability to transmit the license plate data of repeat Violator to the RTCS at Configurable intervals. 666 The Contractor shall provide the capability to process Violations, based on the predefined Violation categories (for example, rental car or other reassignments), differently at each escalation level, including but not limited to:  escalate Violations with different Configurable aging parameters and  require a different number of Configurable Violations over a Configurable period of time in order to escalate at different levels, for example a rental car license plate may require only two (2) Violations over a Configurable period of time while all other license plate types may require three (3). 667 The Contractor shall provide the Configurable capability to automatically by-pass an escalation level based on, including but not limited to:  type of license plate, for example rental car Violation will by-pass vehicle Registration Hold;  Account status, for example Violations on an Account with a bad address may by- pass an escalation level and go directly to Collections;  vehicle Registration Hold status, for example if a license plate has more Registration Holds than allowed, vehicle Registration Hold is by-passed but Violations will escalate to Collections;  the number of unpaid Violations on the Account, for example Accounts with less

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than the Configurable threshold of Violations may by-pass Collections hold but not vehicle Registration Hold and  past due amount, for example Notices and Accounts with less than the Configurable amount due may by-pass vehicle Registration Hold but not Collections. 668 The Contractor shall provide the Configurable capability to halt escalation of a Notice or Violation at a specific escalation level based on, including but not limited to:  plate type, for example there are specific license plate types that cannot have their registration placed on hold;  vehicle registration renewal date, for example if vehicle registration date is more than Configurable period then vehicle registration is not placed on hold;  the number of unpaid Violations on the Account and  the amount due on the Notice. 669 The Contractor shall provide the capability for Authorized Users to force selected Violations from one escalation level to another and by-pass the eligibility criteria. For example, if the vehicle renewal date is within a configuration number of days then a place hold on the vehicle registration. 670 The Contractor shall provide the capability for Authorized Users to force selected Notices from one escalation level to another and by-pass the eligibility criteria. 671 The Contractor shall provide capability to configure and maintain Violation notification parameters for each escalation level, including but not limited to:  the minimum number of Violations over a Configurable period of time to initiate a Violation Notice;  the aging timelines for escalation of Notices, for example the timeline for escalating from a first level Notice to a second level Notice if the Notice is not paid or dismissed;  the fees and penalties assessed on individual Image-Based Transaction/Trip;  the individual Notice level fees and/or penalty;  maximum fees and/or penalty that can be assessed on individual Image-Based Transaction/Trip and Account;  the Notice underpayment percentage thresholds to prevent escalation;  the Notice underpayment amount thresholds to prevent escalation;  the maximum Notice amount to be paid to by-pass an escalation level;  the maximum number of Violations on the Notice to halt escalation;  the maximum amount due on a Notice to halt escalation;  allowable “sinner to saint” offers for Violators who establish Registered Accounts and  allowable “early bird special” offers. 672 The Contractor shall provide the capability to notify the Violator of unpaid Violations at each escalation level. 673 The Contractor shall provide a methodology that intuitively links Notices that are combined and then escalated through the Violation process, for the purposes of proper Notice lifecycle documentation; reporting; adjudication, and customer service.

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674 The Contractor shall provide a unique number for each level of Notice escalation and for Notices that are combined, for the purposes of proper Notice lifecycle documentation; reporting; adjudication, and customer service. 675 The Contractor shall provide the capability to automatically advance to the proper Notice processing screen when the Notice barcode is read via the barcode reader. 676 The Contractor shall provide the capability to escalate or place on hold the Notices Flagged as ‘bad address’ as defined by the Configurable LACMTA Business Rules. 677 The Contractor shall provide the Configurable capability to process Notices and Accounts if a good address is subsequently found for a Notice or Account that is Flagged as a ‘bad address’ based on the escalation level, including but not limited to:  retain the new address;  Reissue the Notice to the new address, for example if it is a second level Notice then the second level Notice is Reissued to the new address with a new due date and  reintroduce the Notice and its associated Violations into the Violation workflow at the appropriate place, per the Configurable LACMTA Business Rules. 678 The Contractor shall provide the capability to process Violation against a home Account per the Configurable LACMTA Business Rules, including but not limited to:  post the Violation to the User Account;  post the transaction(s) at the appropriate toll rate;  dismiss part of the fees or the whole fee amount;  dismiss part of the penalties or the whole penalty amount;  pay the fees and  pay the penalties. 679 The Contractor shall provide the capability to process Violation transactions/trips against an Interoperable/CTOC Agency if the license plate is on the Interoperable/CTOC plate list, per the Configurable LACMTA Business Rules, including but not limited to:  post the Violation transactions/trips;  post the transaction(s) at the appropriate toll rate;  dismiss part of the fees or the whole fee amount;  dismiss part of the penalties or the whole penalty amount;  pay the fees and  pay the penalties. 680 The Contractor shall provide the capability to identify and retrieve Violation related records into a search results grid, including but not limited to:  Violation ID number;  Notice ID number;  location of Violation;  license plate number;  license plate type;  license plate Jurisdiction;  customer name;

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 customer address;  Transaction Date range;  user ID;  phone numbers;  email addresses;  Violation escalation status;  Account Flags (for example Notice on hold);  address type;  bad address;  Violation disposition reason;  Violation disposition statuses (for example paid);  payment receipt number;  comments and  Alerts. 681 The Contractor shall provide the capability to drill down from the final open or closed escalated Notice to the related previous Notices. 682 The Contractor shall provide the capability to drill down from the current Notice that is open to the related Violations and images. 683 The Contractor shall provide the capability to generate an on demand Violation Notice Statement based on various, Configurable selection criteria that shows the history of Violations, including but not limited to:  all related Notice ID number(s);  all individual Violations;  payments made;  adjustments made;  related disputes and results;  Violation dismissals;  settlements that closed Violations;  history of holds placed on Notice;  current status of Notice and  current status for each Violation. 684 The Contractor shall provide the capability to generate an on demand summary Violator Account Statement based on various, Configurable selection criteria that shows the history of the Account, including but not limited to:  number of Notices on the Account by escalation;  all related Notice ID number(s) and current status;  all individual Violations and current status;  payments made;  adjustments made;  related disputes and results;  Violation dismissals and reason;

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 Notice dismissals and reason;  settlements that closed Violations;  history of holds placed on Notices;  current status for each Notice and  current status for each Violation. 685 The Contractor shall provide the capability to generate a detailed Violator Account Statement based on various selection criteria that shows the history of the Account, including but not limited to:  listing of all Notices on the Account and their escalation status;  listing of all disputes on the Account that were accepted and rejected;  payments made against the Notices;  listing of all Violations closed due to dismissals;  listing of all Violations closed due to settlements and  listing of all Account Holds or Flags on the Account. 686 The Contractor shall provide the capability to attach the generated Statement to the Account and make it automatically available through the Account history.

2.6.7. Notification Tracking, Distribution and Returned Mail Processing 687 The Contractor shall provide the capability to track the USPS Intelligent Mail Barcode Notification delivery response for each individual Notification. 688 The Contractor shall provide the capability to send a follow-up Notification via the same distribution channel previously used if no response is received or an unsatisfactory response is received. 689 The Contractor shall provide the capability to send follow-up Notification through a different distribution channel if no response is received or an unsatisfactory response is received. 690 The Contractor shall provide 100 percent reconciliation of all Notifications transmitted to third-party Notification distributors. 691 The Contractor shall provide the capability to send an Operational Alert Notification to the PMMS if reconciliation has not been received in a Configurable amount of time. 692 The Contractor shall provide the capability to assign a status to each Notification piece, including but not limited to:  qualified;  in Quality Control;  sent to third-party Notification distributor;  acknowledged by third-party Notification distributor;  distributed;  undeliverable and  Reissued.

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693 The Contractor shall provide the capability to create a Notification record for each Notification piece generated, including but not limited to:  distribution channel;  date the Account qualified to have that Notification generated;  date the piece was generated;  date the piece was sent to the third-party Notification distributors;  due date (if applicable);  date the piece was printed;  date the piece was mailed;  date the piece was identified as undeliverable and  date the piece was Reissued, for example, if a Notification piece is returned with a forwarding address, a new piece is sent to the new address. 694 The Contractor shall provide the capability to display on the Notification piece that it was regenerated because of retrieval of a new address. 695 The Contractor shall provide the capability to process returned mail and enter a new address, if one was provided. 696 The Contractor shall provide the capability to process returned mail and mark the address as undeliverable if notified by the mail house or the USPS. 697 The Contractor shall provide the capability to process returned mail in bulk and mark the address as undeliverable if notified by the mail house or the USPS without having to open each Account and individual notification. For example, by scanning the notification barcode into a BOS form. 698 The Contractor shall provide the capability (Configurable) to check the NCOA database before a notification is mailed and use the NCOA address if it is the latest based on the address selection hierarchy for the notification item. 699 The Contractor shall provide the capability to automatically update (Configurable as to allow or not) an Account address with a forwarding address obtained from returned mail communicated via an Interface from an external vendor. 700 The Contractor shall provide the capability to for an Authorized User to view and manually update an Account address with a forwarding address obtained from returned mail communicated via an Interface from an external vendor. 701 The Contractor shall provide the capability to resend Notifications that failed to be delivered. 702 The Contractor shall provide the capability to Flag returned mail as undeliverable and Flag the address as bad. 703 The Contractor shall provide the capability to prevent Notifications from being escalated and sent to addresses marked as undeliverable or to continue to escalate and generate such Notifications but not print them.

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704 The Contractor shall provide the capability (Configurable) to send a Notification to a customer regarding an undeliverable mail situation by using a different distribution channel. 705 The Contractor shall provide periodic Configurable checks for bad (bounced) emails and mark them as undeliverable after a Configurable number of failed delivery attempts. 706 The Contractor shall provide the capability (Configurable) to send a Notification to a customer regarding an undeliverable email situation by using a different distribution channel. 707 The Contractor shall provide the capability to mark phone (for both calls and text messaging) and fax numbers as bad after a Configurable number of failed contact attempts. 708 The Contractor shall provide the capability (Configurable) to send a Notification to a customer regarding a bad phone (for both calls and text messaging)/fax number situation by using a different distribution channel. 709 The Contractor shall provide the capability for an Authorized User to initiate an automated Skip Tracing process. 710 The Contractor shall provide the capability, when a mailing address is found to be bad, to perform Skip Tracing and add the acquired mailing address or other contact information to the Account and identify the source of the address as Skip Tracing. 711 The Contractor shall provide the capability to automatically resend Notifications after Skip Tracing activities return a new address. 712 The Contractor shall provide the capability to manually select Notifications to be re-sent, for example, when a new address has been provided. 713 The Contractor shall provide the capability to update the mailing date upon successful mailing of the Notification piece as verified and provided by the third-party Notification distributor. 714 The Contractor shall provide the capability to automatically associate a copy of the Notification piece with the Account upon successful mailing of the Notification piece as verified and provided by the third-party print/mail service.

2.7. Payment Processing The BOS accepts payments through all commercially-available payment methods, including but not limited to: cash, check, money order, certified check, cashier’s check and Credit Card. Certain payment methods, such as cash, EMV chip integrated circuit card and mobile contactless NFC are accepted only at WICs and Retailers. The BOS also accepts payments through its agreements with Money Services Provider, Lockbox Service Provider and Collection Agencies.

Appropriate controls must be in place to ensure the security of payment transactions, including controls over cash, checks and customer Credit Card information. These controls are expected to be PCI and GAAP compliant and meet the requirements for a Statement on Standards for Attestation Engagements (SSAE)-16 Type II Audit.

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Deposits are to be processed, deposited and recorded in a timely manner, using the most efficient and cost-effective methods available in the industry (for example, by utilizing remote deposit as opposed to sending physical checks to the bank).

The BOS shall provide the functionality to process all payments accepted and apply them toward, including but not limited to: prepaid balance, specific toll transactions, specific Account fees and purchase of inventory items, such as Transponders, invoice payments, Violation Notice payments and Discount Plans. The BOS shall handle all payment exceptions including but not limited to: partial payments, overpayments, return payment, chargebacks, and errors in applying payments, refunds and reversals.

The BOS shall initiate Credit Card payments with the Merchant Service Provider(s) provided by LACMTA that will process the electronic payments and deposit funds in the Bank Accounts provided by LACMTA.

2.7.1. Payment Processing – General Requirements 715 Utilize LACMTA’s Bank Accounts, Merchant Accounts and Payment Gateway services. 716 Comply with the California Civil Code Section 1747.08 related to personal identification laws. 717 Comply with PCI and all applicable merchant card association agreements and other applicable regulations for the exchange of Credit Card payments. 718 The Contractor shall provide strong end-to-end encryption for sensitive information stored within databases or secure transmissions. Levels of encryption and encryption key management will depend on the type of sensitive information, for example PII versus PCI. 719 Prevent any user, System or database administrator from viewing encrypted information in unencrypted form, while providing the capability for Authorized Users to view encrypted information in unencrypted form. 720 The Contractor shall provide Configurable masks for encrypted information, for example, display the first three (3) and last four (4) digits on screens and reports, for Credit Card numbers. 721 Require that all successful payments made via Credit Card have a viewable, searchable authorization code for the transaction which shall be included on applicable reports. 722 The Contractor shall provide the capability to process transactions, including but not limited to:  sales;  chargebacks and chargeback reversals;  returned payments (for example, returned checks);  payment plan payments;  adjustments;  reversals;

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 voids and  refunds (except for cash). 723 The Contractor shall provide for the processing of all payments and Account replenishments, including but not limited to:  Account prepaid balance;  tolls;  fees;  penalties;  invoices;  Notices;  non-toll transactions;  Transponder sales (full price, warranty sale, no sale, promos and coupons);  Discount Plans and  inventory purchases, including Transponders. 724 The Contractor shall provide real-time, fully automated payment clearing and processing for all electronic payment methods. 725 Interface with one (1) or more Merchant Service Providers (no more than 3) for the purpose of settling Credit Card transactions. 726 Send replenishment requests to, and capture the results returned from, the Merchant Service Provider and update Accounts accordingly. 727 The Contractor shall provide the capability to process a payment for multiple, unrelated charges (bulk payments) and accommodate the reversal of such payment. For example, pay an invoice or Violation Notice (for one or multiple Violations) in one Account and fund another Account’s prepaid balance. 728 The Contractor shall provide a proven and reliable method of communicating with the Merchant Service Provider(s). 729 The Contractor shall provide the capability to identify and process overpayments, including but not limited to:  re-assign to an alternate Account;  apply to unpaid transactions/trips;  refund overpaid amounts and  apply overpaid amounts to Account balance. 730 The Contractor shall provide the capability to notify the customer about all partial and overpayments. 731 The Contractor shall provide tracking of payment transactions by, including but not limited to:  Transaction Date;

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 Posting Date and  payment channel. 732 The Contractor shall provide the capability to apply multiple payment methods for a single payment. For example, for a $30.00 amount due allow payment of $20.00 from a Credit Card associated with the Account and $10.00 cash. 733 The reversal of any payment shall result in the items paid being marked as unpaid, having the same effect as if those items had never been paid. 734 The Contractor shall provide the capability to use the available Account balance as payment for all inventory items (for example, Transponders) and present detailed payments any time payment information is displayed (for example, when payments are displayed in the user Interface, to customers on the Web and on customer Statements). 735 Engineer the payment process to prevent double-payments, for example, prevent an Authorized User or customer from making two identical payments by clicking the payment button twice. 736 Engineer the payment process to prevent an Authorized User or customer from making payments in excess of a certain Configurable amount. 737 Display a confirmation page that includes payment method details (Credit Card numbers obscured) and amount to be paid prior to the Authorized User being allowed to submit a payment. 738 The Contractor shall provide audit trail and exception reporting that helps reconcile discrepancies between the BOS and the Merchant Service Provider. 739 The Contractor shall provide summary and detail data by payment type on the processing status of all transactions, including a description of all failures. 740 The Contractor shall provide Authorized Users the detailed reasons for Credit Card declines, including but not limited to:  invalid card number;  name mismatch;  card Security Code mismatch;  contact Credit Card company and  address mismatch. 741 Create an audit trail and Alert maintenance personnel via the PMMS regarding failures in the processes that Interface with the bank. 742 Create an audit trail and Alert maintenance personnel via the PMMS regarding failures in the processes that Interface with the Merchant Service Provider or with the communications to the Merchant Service Provider. 743 The Contractor shall provide the capability to notify customers of failures in the processes that Interface with the Merchant Service Provider (for example, when there is a loss of communication between the BOS and the Merchant Service Provider).

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744 The Contractor shall provide the capability to notify customers about various auto- replenishment activities. For example, replenishment was successful with secondary payment method, or replenishment failed. 745 The Contractor shall provide detailed tracking and reconciliation of payments. 746 The Contractor shall provide the capability to accept payments to the Account resulting in the payment of all unpaid transactions/trips including unpaid transactions/trips on the linked Unregistered Accounts plus Configurable fees and/or penalty based upon escalation stage. Payments shall be applied by the Posting Date, in FIFO order. 747 The Contractor shall provide the capability to set a Configurable payment hierarchy for non-Violator Account Types that determines the order in which payments are applied, including but not limited to:  by Toll Facility;  in FIFO/ Last in First Out (LIFO) order;  by Transaction Date;  by Posting Date;  by payment item type (for example, tolls, un-invoiced tolls, fees and/or penalty) and  by combination of date and transaction type. 748 The Contractor shall provide the capability to set a Configurable payment hierarchy for Unregistered Accounts that determines the order in which payments are applied, including but not limited to:  by Toll Facility;  in FIFO/LIFO order;  by Transaction Date;  by Posting Date;  by payment item type (for example, Violation Notices and penalties) and  by combination of date and transaction type. 749 The Contractor shall provide the capability to accept payments for specific items as requested by the customer (and allowed under the LACMTA Business Rules). 750 Produce receipts for all payments in both real-time (on demand) and automatic (for auto replenishment). 751 Transmit receipts to customers on customer request via any notification channel. 752 Allow for reprinting of receipts for all payments. Reprinted receipts shall be exact copies of the original receipt and shall include the duplicative nature of the document and include the date of the reprint (for example, the reprinted receipt shall be marked “COPY” and indicate the date of the copy with the original receipt date also reflected on the document). 753 The Contractor shall provide the capability to trace each payment to the transactions paid and each transaction paid or prepayment to a payment, including but not limited to:

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 invoices;  Notices;  tolls;  prepaid tolls;  fees and  penalties. The Contractor shall provide the capability to accept payments for transactions/trips 754 associated with a license plate that has not yet been associated with an Account. Accept payments for filtered transactions/trips based on the filter type. For example, if a customer makes a payment for an Image-Based Transaction/Trip with a license plate from a Jurisdiction for which the BOS does not notice, the BOS should accept the payment. The 755 acceptance of a payment on a filtered transaction/trip shall not create an overpayment on the Account. Rather it shall be reflected as a payment on a filtered transaction/trip, having the same effect as if that transaction/trip was not filtered. All receipts shall contain a payment reference number that is traceable through the entire payment clearing process. For example, a Credit Card payment’s reference number as 756 printed on the receipt will also appear on the customer’s Credit Card Statement and is a searchable field in the database, enabling a CSR to identify a payment applied to an Account from only the details available on a Credit Card Statement.

2.7.2. Payment Methods and Handling 757 The Contractor shall provide the capability to accept payments, including but not limited to:  in-person at WICs;  Money Services Providers;  over the phone with a CSR;  over the phone via the IVR;  Metro ExpressLanes van;  automatic payments;  via the Self-Service Website;  via the Self-Service Mobile Website;  via the Self-Service Mobile Application;  via mail and  via the Lockbox. 758 The Contractor shall provide the capability to calculate the required payment during Account creation based on, but not limited to:  the prepayment requirements;  cost of inventory items (for example, Transponders);

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 sales tax and  any Discount Plan fees. 759 The Contractor shall provide the capability for using the Account creation payment method, or any single payment as the auto-replenishment method to avoid re-entering the payment information later on. 760 The Contractor shall provide the capability to store Credit Card information for one-time payments (for example, permit customers to enter Credit Card information once and then use that stored Credit Card to make one-time payments on their Account without being required to rekey the Credit Card information). 761 The Contractor shall provide the capability to add payment information, for example, Credit Card on a Postpaid Account and automatically process a payment when a Configurable amount of time has elapsed after the invoice or Notice creation date. 762 The Contractor shall provide the capability to accept payments, including but not limited to:  one-time payments;  recurring fixed amount payments (for example payment plans);  recurring varying amount payments;  a combination of fixed and varying amounts (payment plan monthly payment plus new tolling transactions for the month);  recurring maximum replenishment amount per payment method on the Account (for example, if the replenishment amount is $10,000 but maximum replenishment allowed for that Credit Card is $1,000 there should be 10 $1,000 replenishments);  recurring payments on a fixed day of the month;  recurring payments every “x” number of days (for example, every 28 days);  recurring payments for Postpaid Accounts as Configurable, fixed number of days after the invoice is issued and  recurring payments triggered by Account balance. 763 The Contractor shall provide the capability to accept and post in the BOS customer payments and adjustments transmitted from Money Services Providers. 764 The Contractor shall provide the capability to accept and post in the BOS customer payments and adjustments transmitted from the Collection Agencies. 765 The Contractor shall provide the capability to process payments directly in the BOS for Accounts in Collections status. 766 The Contractor shall provide the capability to process payments directly in the BOS for Accounts, invoices or Notices in Collections. 767 The Contractor shall provide the capability to accept the following types of payments made in-person or by mail at all Approved locations, including but not limited to:  cash (at in-person locations only);  check;

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 cashier’s check;  certified check;  money order;  e-check (not available by mail);  Credit Card;   EMV chip integrated circuit card (at in-person locations only) and  mobile contactless NFC (at in-person locations only). 768 The Contractor shall provide the capability to accept Credit Card payments made via the IVR, via the Self-Service Website, via the Self-Service Mobile Website and via the Self- Service Mobile Application. 769 The Contractor shall provide the capability to accept all major Credit Cards, including:  Visa;  MasterCard;  American Express and  Discover Card. 770 The Contractor shall provide the capability for accepting Credit Card, EMV and mobile contactless NFC payments via POS devices for payments made in-person. 771 The Contractor shall provide the capability for accepting Credit Card payments by manually entering Credit Card information for payments made in-person. 772 Post payment transaction(s) to the Account when payment related actions occur, including but not limited to:  successful payment processing;  Account balance change;  unsuccessful payment processing, for example recording a failed attempt and  payment confirmation. 773 The Contractor shall provide the capability to accept electronically and process payment information from, including but not limited to:  a Merchant Service Provider(s);  a mobile carrier, a mobile payment service provider or other financial institution(s) (for mobile contactless NFC payments);  Collection Agencies;  a Money Service Provider(s) and  the BOS payment processing staff. 774 The Contractor shall provide the capability to return checks that cannot be matched successfully to an Account.

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775 The Contractor shall provide the capability to track returned checks. 776 The Contractor shall provide the capability for an Authorized User to correct or reverse payments applied in error, including but not limited to payments applied to multiple transactions/trips or Accounts, via Cases. 777 The Contractor shall provide the capability to require approvals for payment corrections via Cases. 778 The Contractor shall provide the capability to prevent corrections to or reversals of payments that have already been refunded, for example, payments that have been reversed entirely cannot be reversed again or refunded. 779 Ensure all adjustments to payments are shown on the Account and are reconciled. 780 The Contractor shall provide the capability to process multiple chargebacks on a payment if the previous chargebacks are reversed. 781 The Contractor shall provide detailed tracking of payments by payment categories, for example, payments, reversals, returned payments, chargebacks, chargebacks reversals, refunds, voided refunds and replenishment. 782 The Contractor shall provide detailed tracking of payments by payment methods, for example, cash, check, Credit Card and mobile contactless NFC. 783 The Contractor shall provide detailed tracking of payments by payment type, for example, Visa; MasterCard; American Express and Discover Card. 784 The Contractor shall provide detailed tracking of payments by payment items, for example, invoices; Notices; fees; penalties; tolls and prepaid tolls. 785 The Contractor shall provide detailed tracking of payments by payment locations, for example, Self-Service Website, Self-Service Mobile Website, Self-Service Mobile Application, Lockbox Service Provider, Collections Agency and Money Service Providers.

2.7.3. Payment Plans 786 The Contractor shall provide the capability to set Configurable thresholds and ranges for all relevant parameters related to payment plans for all transaction types, including but not limited to:  tolls;  fees (fixed amount of percentage of debt);  penalties and  negative Account balance. 787 The Contractor shall provide the capability to set Configurable thresholds and ranges for all relevant parameters related to payment plans by Agency, including but not limited to:  the number of days that the system will wait before terminating the payment plan if payment is not received by the due date (the grace period);  the amount and method of calculation of the fee (fixed amount or percentage);

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 minimum number of payments;  maximum number of payments;  allowable payment frequency;  maximum number of months allowed;  minimum amount due that is eligible for a payment plan;  maximum amount due that is eligible for a payment plan;  minimum individual payment, and  comments. 788 The Contractor shall provide the capability for payment plans to have a status, including but not limited to:  active;  on-hold;  terminated and  fulfilled. 789 The Contractor shall provide the capability to allow payment plans by Account type. 790 The Contractor shall provide the capability to establish payment plans for balances on all Account Types. 791 The Contractor shall provide the capability to modify the payment plan on an Account. 792 The Contractor shall provide the capability to terminate the payment plan on an Account. 793 The Contractor shall provide the capability to place the payment plan on an Account on hold. 794 The Contractor shall provide the capability to automatically place a Flag on any Account which has an active payment plan associated with it. 795 The Contractor shall provide the capability to associate payment plans with Accounts. 796 The Contractor shall provide the capability for an Authorized User to setup payment plans based on configurable parameters. 797 The Contractor shall provide the capability for an Authorized User to schedule payment installments based on configurable parameters. 798 The Contractor shall provide notification documenting the terms of the payment plan and a payment signature block to be signed by the customer. 799 The Contractor shall provide the capability for Authorized Users to establish a payment plan by entering data, including but not limited to:  amount due;  toll amount due;  fees amount due;  penalties amount due;

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 payment plan charge;  payment plan start date;  payment plan end date;  number of payments;  schedule of payment dates, and  payment plan number. 800 The Contractor shall provide the capability to calculate the number of payments if the individual payment amount is entered. 801 The Contractor shall provide the capability to automatically generate a payment plan number. 802 The Contractor shall provide the capability to automatically generate and distribute a payment plan agreement. 803 The Contractor shall provide the capability to automatically modify the payment plan if any of the transactions included in it are waived, successfully disputed or otherwise modified. 804 The Contractor shall provide the capability to automatically generate and distribute a revised Payment Plan Agreement and schedule if the payment plan was modified. 805 The Contractor shall provide the capability to automatically generate and distribute payment due invoices including all new tolls with a coupon to returned with payment via mail. 806 The Contractor shall provide the capability for the customer to provide Credit Card information so that the payments can be automatically made in accordance with the payment plan schedule. 807 The Contractor shall provide the capability for Authorized Users to select the transactions to be included in the payment plan individually and by account. 808 The Contractor shall provide the capability for transactions in a payment plan in an active or on hold status to not escalate. 809 The Contractor shall provide the capability by Account Type to add subsequent detailed transactions to the payment plan Statement. 810 The Contractor shall provide the capability by Account Type to escalate subsequent transactions to the escalation process in accordance with Business Rules. 811 The Contractor shall provide the capability for individual payment amounts to be manually entered. All payments are not required to be the same amount. 812 The Contractor shall provide the capability to create a payment schedule of periodic payment dates based on the amount of each payment and the total amount due; for example, a $10 payment each month for 10 months to pay debt of $100. 813 The Contractor shall provide the capability for the payment schedule to be manually entered overriding the automatic payment schedule.

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814 The Contractor shall provide a capability for a one-time payment plan when the debt is negotiated in return for a single payment on a specified date. 815 The Contractor shall provide the capability for a one-time payment plan where the debt is negotiated in return for establishing an account and making a payment by a specified date. 816 The Contractor shall provide the capability (Configurable) to automatically reinstate the debt if the payment is not received by the specified date whether a one time or series of payments by initiating a case for review. 817 The Contractor shall provide the capability to reduce the total debt based on a settlement agreement provided the payment plan is paid in full in accordance with the payment plan terms. 818 The Contractor shall provide the capability to automatically notify the customer of the reinstatement. 819 The Contractor shall provide the capability to accept payments on payment plans via all accepted payment methods, including but not limited to:  via CSR in person;  via CSR over the phone;  via the mail;  via self-service website;  via self-service mobile website;  via LACMTA mobile application;  via fax; and  via email. 820 The Contractor shall provide the capability to automatically open Cases for customer non- compliance, for example a payment was not received within X days of the due date or the payment was less than the specified amount. 821 The Contractor shall provide the capability to set Configurable criteria for customer non- compliance, including but not limited to:  the number of days past the due date, for example, LACMTA might elect to not pursue a person who has been making their payment plan payments regularly, and  allowable variance below the required payment, for example, LACMTA might elect to not pursue a person if they are less than one (1) dollar short on their most recent payment.). 822 The Contractor shall provide the capability to automatically apply penalty/consequence for non-compliance in accordance with Business Rules. 823 The Contractor shall provide the capability to track receipt of signed payment plan agreement which can be scanned and associated with the plan or provided electronically. 824 The Contractor shall provide the capability to update the payment plan information when payments are received and posted to the account.

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825 The Contractor shall provide a payment plan summary that provides the payment plan details, including but not limited to:  Automatically apply penalty/consequence for non-compliance in accordance with Business Rules.  Track receipt of signed payment plan agreement which can be scanned and associated with the plan or provided electronically.  The Contractor shall provide for the update of the payment plan information when payments are received and posted to the Account. 826 The Contractor shall provide the capability to view all details about a specific payment plan. 827 The Contractor shall provide the capability to view payments by individual payment plan. 828 The Contractor shall provide the capability to view payments by Account. 829 The Contractor shall provide the capability to view payments by groups of payment plans.

2.7.4. Lockbox Processing 830 Process, post to the appropriate Accounts and reconcile payments transmitted by the Lockbox Service Provider. 831 Create an audit trail and Alert maintenance personnel via the PMMS regarding failures in the processes that Interface with the Lockbox Service Provider. 832 The Contractor shall provide the capability to associate images of checks and stubs received at the Lockbox to the proper Account. 833 The Contractor shall provide the capability to receive and process Lockbox Exceptions and ensure payments are appropriately accounted for, including but not limited to:  correspondence items and customer comments associated with payments;  payments the Lockbox is unable to associate to an Account and  payments that the BOS is unable to post to an Account. 834 The Contractor shall provide the capability for Authorized Users to research and determine the disposition of Lockbox Exceptions, including but not limited to:  Posting payment to the Account;  refund payment to customer or  hold as un-allocated funds. 835 The Contractor shall provide the capability to automatically create Cases for Lockbox Exceptions. For example, if a check was received without a payment coupon it cannot be associated with an Account and research must occur. 836 The Contractor shall provide the capability to identify criteria which trigger specific Lockbox Exceptions (Configurable) which are Flagged for further review, including but not limited to:  discrepancy above a threshold between amount on check and amount due;

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 payment made to Accounts in particular statuses;  check dollar amount and  multiple payments for the same amount on the same Account in the same batch or processing day. 837 The Contractor shall provide the capability to electronically receive and process correspondence received at the Lockbox, for example changes of address. 838 The Contractor shall provide the capability to transmit the export of the open invoice or Notice numbers file to the Lockbox. For example, provide a list of all Accounts, transactions, Notices and/or invoices with open balances as criteria for the Lockbox to accept payments for those items. 839 The Contractor shall provide the capability for Authorized Users to view un-allocated funds (funds which have been posted to the System but which have not been posted to a User Account). 840 The Contractor shall provide the capability for Authorized Users to conduct research on un- allocated funds, including viewing images of original payment items (checks), correspondence, and data entered into the System at the time the check was posted. 841 The Contractor shall provide the capability for Authorized Users to post payments from un- allocated funds to User Accounts while preserving the payment’s audit trail (for example, once applied to the User Account, users shall have the ability to determine when the payment was posted to un-applied, any activity that occurred while it was in that status, and when it was posted from un-applied to the User Account. 842 The Contractor shall provide the capability to age un-applied payments, to report on such payments and to generate Alerts when un-applied payments have exceeded a Configurable age. 2212 The lockbox processing services must take place within the State of California.

2.7.5. Credit Card Processing The most common payment method in the BOS is Credit Card. The BOS shall have a simple and intuitive Interface with the Merchant Service Provider. The most efficient and cost-effective means of accepting Credit Card payments shall be employed in the BOS by the Contractor.

The Contractor’s solution shall support Payment Tokenization and Hosted Third Party Credit Card storage (or equivalent solution). This method is designed to eliminate the need to store Credit Card numbers within the BOS database therefore reducing risks and efforts for PCI Compliance.

The Contractor is expected to keep current with advancements in technologies related to the payment card industry. The Contractor shall provide an Interface between the BOS and the LACMTA-provided Merchant Service Provider during the term of this Contract. The Interface shall be in the form of a Payment Gateway or a Direct Connection between the BOS and the Merchant Service Provider.

The Contractor shall utilize the LACMTA-provided Merchant Service Provider; acquiring bank authorization fees and all issuing bank fees shall be paid through this Contract. Additional

Statement of Work and Requirements Page 119 LACMTA Back Office System information about the Merchant Services Provider may be found in Attachment 1: Interface Control Documents.

843 Process all Credit Card payment transactions via the LAMCTA-provided Merchant Service Provider. 844 The Contractor shall provide the capability to issue refunds to Credit Cards. 845 The Contractor shall provide the capability to track data related to Credit Card inquiries, for example, capture date of inquiry, disposition date and disposition results when inquiries about Credit Card charges are received. 846 The Contractor shall provide the capability for Credit Card chargebacks and permit investigation of the details as Cases. 847 The Contractor shall provide the capability for Authorized Users to reverse Credit Card chargebacks. 848 The Contractor shall provide the capability to credit Accounts immediately upon a successful Credit Card payment authorization. 849 The Contractor shall provide an Alert to the PMMS if a Merchant Service Provider response for a transaction is not received within a Configurable amount of time. 850 The Contractor shall provide an Operational Alert Notification to the PMMS if a Merchant Service Provider response for an Account contains codes that indicate the need for LACMTA to contact the Credit Card company, for example a “referral code”. 851 The Contractor shall provide the capability to update User Accounts with the results from the Merchant Service Provider, for example a Credit Card transaction failed to authorize or settle due to a mismatched address error. 852 The Contractor shall provide the capability to identify potential fraudulent Credit Card transactions and send an Operational Alert Notification to the PMMS, for example, when there are multiple failed authorizations for a single card. 853 The Contractor shall provide, for validation purposes, fields to capture and store within the BOS Credit Card information, including but not limited to:  token;  Credit Card expiration date;  name on the card;  ZIP code and  billing address associated with the card.

2.7.6. Check/Money Order Processing While most check payments will be delivered to the Lockbox, it is expected some checks will be processed by the BOS, including those checks collected at the WICs. Checks received from customers shall be processed in the most efficient and cost-effective manner available in the payment processing industry, including the utilization of Check 21 to electronically deposit checks and convert checks into ACH transactions.

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854 The BOS shall provide the capability to accept checks (personal, cashier’s or certified) as a form of payment. 855 The BOS shall provide the capability to accept money orders as a form of payment. 856 The Contractor shall provide scanning capability at the initial check or money order receiving and processing point. The resulting image shall be stored in the BOS, be available to Authorized Users and electronically transmitted to the bank for deposit. 857 The Contractor shall provide the capability to mask bank account information, including the MICR line, for stored check images. 858 The Contractor shall provide check scanning tools such that the resulting image can be optimized via image enhancing tools, including options for saving original and enhanced images. 859 The Contractor shall provide the capability, when accepting check or money order payments, to automatically populate the check or money order number field via check scanner. 860 Credit Accounts immediately upon check or money order payment. 861 The Contractor shall provide the capability to associate checks and stubs received at the BOS to the proper Account. 862 The Contractor shall provide the capability to reverse all forms of check or money order payment if declined or returned by the bank, including the assessment of applicable fees.

2.7.7. Cash Processing 863 The Contractor shall provide the capability to accept cash as a form of payment. 864 The Contractor shall provide cash change fund management functionality, including but not limited to:  beginning balance;  ending balance and  reconciliation. 865 Credit the User Account immediately upon receipt of cash payment. 866 The Contractor shall provide the capability to process cash payment reversals. 867 The Contractor shall provide the capability to set Configurable threshold amounts and role- based limits for cash payment reversals. 868 The Contractor shall provide the capability to require approval for cash payment reversals.

2.7.8. Online Wallet Payment Processing The BOS shall accept payments made via Online Wallet on all its online customer portals (Self- Service Website, Self-Service Mobile Website and Self-Service Mobile Application). The specific Online Wallet services (up to 3) will be defined during the Implementation Phase. 869 The Contractor shall provide the capability to accept payments by Online Wallet. LACMTA will elect to implement up to 3 of the most prominent Online Wallet payments available in

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the market at the Project Design time. 870 Online Wallet payments shall generally mirror the Credit Card functionality in terms of payments, return payments, refunds, reversals and chargeback capabilities. 871 The Contractor shall provide detailed tracking of payments made by Online Wallet. 872 The Contractor shall provide the capability to issue refunds to an Online Wallet. If the Online Wallet provider does not support automatic refunds (many Online Wallet providers require a manual process for refunds), or the underlying Credit Card associated with Online Wallet has been closed or expired, the BOS shall be capable of allowing Authorized Users to reverse the payment in the BOS and issue refunds by check. 873 The Contractor shall provide the capability to track data related to Online Wallet inquiries, for example, capture date of inquiry, disposition date and disposition results when inquiries about Online Wallet charges are received. 874 The Contractor shall provide the capability to credit Accounts immediately upon a successful Online Wallet payment authorization. 875 The Contractor shall provide an Alert to the PMMS if a response from an Online Wallet provider for an Account is not received within a Configurable amount of time.

2.7.9. System Access for Collection Agencies In addition to the electronic interface between the BOS and the Collection Agencies, the Contractor shall provide the Collection Agencies with role-based, secure access to the BOS to access information about debt which has be placed in Collections (only for Collections Placements made with that particular Collection Agency) allowing them to research customer issues. The BOS shall allow for limited entries to be made such as managing a Case (initiating, updating or closing it) or updating with customer contact events such as phone calls and emails sent or received. No payments shall be processed by the Collection Agencies via the BOS.

876 The Contractor shall provide a secure role-based access for Collection Agencies to access the BOS to research customer issues as described within these Requirements. 877 The Contractor shall provide unique sign-on credentials for each Authorized User of the Collection Agencies and only allow visibility to their assigned User Accounts. 878 The Contractor shall provide auditable functionality that allows Collection Agencies to enter and edit data in the BOS for Accounts and Violations in Collections and assigned to that Collection Agencies, including but not limited to:  reviewing images;  initiating a Case;  reviewing the status of a Case;  updating a Case;  closing a Case (based on permissions) and  updating customer contact history.

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2.7.10. BOS Bank Interface Requirements The Contractor shall manage the Bank Account and the Interface from the BOS to the bank. Customer payments are posted to User Accounts and, as a second step, checks are scanned and transmitted to the bank electronically.

The Contractor is encouraged to provide innovative solutions for interfacing with the bank, for example creating a single-step process for Posting checks to User Accounts and transmitting those checks to the bank electronically. The Contractor is expected to keep current with advancements in technologies related to the banking industry.

879 The Contractor shall provide the capability to upload checks issued to customers (refunds/disbursements) to the bank for the purpose of Positive Pay. The file shall include, but not be limited to:  BOS bank account number;  check number;  check date;  check amount and  payee name (may be truncated based on bank’s requirements). 880 The Contractor shall provide the capability to upload checks that have cleared for the purpose of automating the bank account reconciliation process. 881 The Contractor shall provide the capability to upload deposit amounts and other non-check debits and credits from the bank for the purpose of automating the reconciliation.

2.7.11. Refunds and Disbursements The most common reasons disbursements will be made to customers are in the case of User Account closure, overpayment and accepted disputes. In accordance with the merchant agreement, Credit Card refunds must be made to the same Credit Card that was originally charged, therefore it is important the BOS retain enough information related to the original transaction to be able to refund to the card that was charged when required. Disbursements can be made by check when cash or check was the original payment method or when a refund cannot be processed to the original Credit Card. The System shall provide the ability to print refund checks. Registered Account closings are automatically refunded upon completion of the closing process.

882 The Contractor shall provide a process for refunds based on the original transaction and ensure such refunds are shown on the Account history and are reconciled. 883 The Contractor shall provide the capability to configure parameters related to refunds, including but not limited to:  type of payments that are not eligible for refund;  the criteria for refunds by payment methods (Credit Card, check, cash, money order etc.);  the hold period for Credit Card refunds and check refunds;

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 maximum (role-based) allowable refund payment by Payment Type. For example, a refund of more than $1,000 might require manager approval;  minimum (role-based) allowable refund payment by Payment Type. For example, LACMTA may elect not to issue a check refund for less than $1.00 unless requested by the Customer and  manual review of eligible refunds before processing the refunds. 884 Determine eligibility and issue refunds to customers based on various activities on the Account, including but not limited to:  closure of an Account;  unapplied checks/money order and  overpayment of an invoice or Notice where no outstanding invoices, Notices or unbilled tolls exist. 885 The Contractor shall provide the capability to review and process all eligible refunds and initiate the refund process. 886 The Contractor shall provide the capability to issue refunds using the same method that the payment was received. For example, a check payment will be refunded by check and Credit Card to the same Credit Card. 887 The Contractor shall provide the capability to issue refunds by check after approval by an Authorized User when the Credit Card which was used for the original payment method has been deactivated or based on a customer request. 888 The Contractor shall provide the capability for the automated processing of refunds (in case of successful Account closures) and automatically create a Case for an Authorized User to issue the refund. 889 The Contractor shall provide the capability to store all details regarding check refunds issued which shall be viewable by Authorized Users on the User Account, including but not limited to:  check number;  check amount;  date check was issued;  check payee details;  the date the check cleared the bank;  notes;  the reference number and  reason for issuing the check. 890 Track and associate all refunds with the original payment on the Account. 891 The Contractor shall provide the capability to prevent refunds of specific types of non- refundable balances, including but not limited to:

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 promotions and  toll credits issued to Account. 892 The Contractor shall provide the capability to void a refund or disbursement check, which shall restore the payable balance. 893 The Contractor shall provide the capability to void and Reissue a refund or disbursement check. 894 The Contractor shall provide the capability for Authorized Users to manually override the refund payee information, for example, when a refund is due to a deceased customer’s estate. 895 The Contractor shall provide the capability for Authorized Users to initiate refunds from unapplied payments (for example when a payment that was made to the BOS in error is deposited but is not applied to an Account and needs to be refunded).

2.7.12. Shift Management The financial activities performed by Authorized Users must be tracked by a shift. Shifts are typically opened at the beginning of the day and closed at the end of the day. Authorized Users cannot process certain transactions (for example accept a payment or distribute a Transponder) without first opening a shift.

One of the primary reasons for shift management is to permit the balancing of payments received at the end of a shift. The BOS is expected to separate transactions that affect payments from transactions that do not affect payments so that the end of shift can be effectively balanced. For example, a fee waiver must be reflected separately from a Credit Card payment. Additionally, the BOS is expected to separate different types of payments; checks, cash and coin, Credit Card and other payments must all be reflected separately and subtotaled in the BOS and in reports to accurately reflect expected end-of-shift balances.

In addition to reconciling payment activity, shift management also serves the purpose of reconciling Transponder inventory at the beginning and end of a shift.

896 The Contractor shall provide the capability to Configure the BOS to automatically open a shift for an Authorized User at the time of first applicable transaction based upon user role 897 The Contractor shall provide the capability to prompt for beginning balance or Authorized User bank (including option to list denominations). 898 The Contractor shall provide the capability to populate opening shift balance and assign a unique user ID, including location, for all transactions processed during the shift. 899 The Contractor shall provide the capability to automatically prompt to close a shift at logout time if an open shift exists. 900 The Contractor shall provide the capability to display and reconcile all transactions and activity in a shift.

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901 The Contractor shall provide the capability to separate transactions that affect the Authorized User’s deposit, for example, cash, check, Credit Card or other payment, from transactions that affect the BOS balances, for example, waiving a fee for a customer. 902 The Contractor shall provide the capability for reconciliation of Transponders and other inventory items issued and payments. 903 Create an Alert to the supervisor when a CSR’s bank goes above a Configurable threshold. For example, if CSR’s bank goes above $200 the supervisor may want the CSR to do a “bank drop.” 904 The Contractor shall provide feedback to Authorized User if the shift does not balance. 905 The Contractor shall provide the capability for an Authorized User to attempt to balance the shift a Configurable number of times. 906 The Contractor shall provide the capability to escalate the shift to an Authorized User for research and closing after a Configurable number of unsuccessful attempts has been reached. 907 The Contractor shall provide Configurable settings to either display or not display the shift variance dollar amount to the Authorized User during shift closing. 908 The Contractor shall provide Configurable settings to either display or not display the shift inventory (Transponders and other inventory items) variance amount to the Authorized User during shift closing. 909 The Contractor shall provide the capability to configure all relevant parameters related to closing a shift, with a default value that can be overridden based on unique user ID, including but not limited to:  the number of times the Authorized User can attempt to balance the shift;  the amount of allowed variance by dollars and  the amount of allowed variance by percentage. 910 The Contractor shall provide the capability to close a shift once it is balanced. 911 The Contractor shall provide the capability to record shift balancing discrepancies, for example overages and shortages. 912 The Contractor shall provide the capability to force close an unbalanced shift based upon user roles; the System shall record unbalanced variances in a separate Financial Account which shall be included on financial reports. 913 The Contractor shall provide the capability to escalate shifts that remain open at the end of the Business Day to the Authorized User based upon user roles. 914 The Contractor shall provide Authorized Users with an accounting of all shift activity with detailed and summarized financial information. 915 The Contractor shall provide Authorized Users with a status of all open shifts.

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2.7.13. Money Services Provider The Contractor shall provide a Money Services Provider that provides customers with the ability to use cash at convenient retailer locations. The Money Services Provider shall have broad coverage in the Los Angeles County area and have broad coverage in areas where there is a concentration of people who have been shown to prefer to use cash rather than Credit Card or check.

916 The Contractor shall provide a Money Services Provider with broad coverage in the Los Angeles County area. 917 The Contractor shall provide a Money Services Provider with broad coverage in areas where there is a higher percentage of people that prefer to use cash rather than Credit Card or check. 918 The Contractor shall provide the capability to process and apply payments received at the customer via a Money Services Provider to, including but not limited to:  Registered Account balances;  the initial Account balance, and  Violation Notices. 919 The Contractor shall provide a Money Services Provider that participates as a Transponder Retailer and meets all of the requirements of the program. 920 The Contractor shall provide the capability to reconcile all payments made at the Money Services Provider. 921 Funds from payments made at the Money Service Provider shall be available immediately on the Account and no longer than twenty-four (24) hours from the customer transaction time. 922 The System shall be immediately updated with payment information and no longer than twenty-four (24) hours from the customer transaction time. 923 The Contractor shall provide a plan that addresses the start-up of the Money Service Provider. The Plan shall be presented to LACMTA for review and Approval at least six (6) months in advance of Go-Live.

2.8. Case Management The BOS shall provide the capability to create, assign and manage requests made by customers or Authorized Users. These requests become Cases. Case management is the creation and management of Cases where a Case represents an activity or action required to satisfy LACMTA, customer or general public need or inquiry. Once a Case has been opened it is assigned to the appropriate staff, and its progress is tracked and reported through completion by the System.

A Case is initiated any time a request cannot immediately be completed. Cases can be initiated by a customer using any communication channel, by the System (based on criteria and Business Rules) or by Authorized Users including but not limited to LACMTA personnel and Third-Party Service Providers and Business Partners. Cases are associated with Accounts based on the requestor and other information provided at the time of request. An Account can have any number of Cases, and a Case may be related to multiple Accounts. Some examples of Cases types include but are not limited to Account establishment, potential duplicate Accounts, Transponder requests, requests for

Statement of Work and Requirements Page 127 LACMTA Back Office System administrative Hearings, managing Civil Judgements, requests for payment plans, Transaction/Trip disputes, Transponder Switch Setting mode disputes and request for Customer Service Center management to follow-up with a customer. The initial set of Case types will be defined during the Implementation Phase. Certain Case types will escalate automatically.

Cases are worked via multiple Case screens, which are presented to Authorized Users based on their skill sets and System roles. Although it is preferred for a Case to be resolved the first time it is worked, that may not always be possible. Therefore, Cases remain active until they are closed. Cases can be placed on hold with a “work again on” date assigned or assigned to another user or group of users.

2.8.1. Case Creation 924 The Contractor shall provide the capability to create, manage and support certain activities as Cases. Types of Cases shall include but not be limited to:  initiating, tracking and Fulfilling Transponder orders;  initiating, tracking and resolving FasTrak disputes;  initiating, tracking and resolving Violation disputes (image(s) must be associated with the Case);  initiating, tracking and resolving Transponder Switch Setting mode disputes (image(s) must be associated with the Case);  initiating, tracking and resolving toll rate disputes;  initiating, tracking and resolving requests for administrative Hearings;  initiating, tracking and resolving Civil Judgements;  initiating, tracking and resolving potential duplicate Accounts;  initiating and tracking payment plans;  initiating, tracking and resolving customer issues and requests via phone and in person, that cannot be resolved immediately;  initiating, tracking and resolving customer issues and requests received through all communication channels;  initiating, tracking and resolving research Cases created by the Collection Agencies;  initiating, tracking and resolving non-customer issues and requests that cannot be resolved immediately;  initiating, tracking and researching undeliverable email;  initiating, tracking and researching undeliverable mail;  initiating, tracking and researching undeliverable addresses that have not been found using Skip Tracing services;  scheduling, tracking and resolving issues related to Violations that have Administrative Reviews or other escalations;

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 initiating, tracking and resolving subpoena requests for customer transactions, images, and maintenance records from law enforcement;  initiating requests for inventory items;  initiating and tracking Transponder requests from vendors;  initiating, tracking and resolving issues and requests from LACMTA;  initiating and tracking issues that affect only one of the Toll Facilities, for example an RTCS-related issue;  initiating, tracking and managing the Transponder replacement program;  initiating, tracking and managing Return Materials Authorization (RMA) shipments and  initiating, tracking and managing disposal shipments. 925 The Contractor shall provide the capability to track the Case attributes, including but not limited to:  communication channel;  Case type;  date and time of Case creation;  identity of Authorized User (or BOS if System generated) initiating the Case;  Case number;  customer name;  customer contact information;  Account number, if applicable;  license plate and Jurisdiction, if applicable;  Notification number, if applicable;  invoice or Notice number, if applicable;  priority;  notes;  Case status;  outcome of Case when completed;  if Case is Toll Facility specific;  follow-up activities that took place;  identity of Authorized User(s) who performed the follow-up activities;  description (free-form) of follow-up action and  customer satisfaction feedback. 926 The Contractor shall provide the capability to create Cases from all communication channels.

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927 The Contractor shall provide the capability to create Cases manually by Authorized Users. 928 The Contractor shall provide the capability to create Cases automatically via the BOS. 929 The Contractor shall provide the capability to create Cases because of a customer request, for example a customer requests a Transponder or disputes a Notice via the Self-Service Website. 930 The Contractor shall provide the capability to initiate a Case from within an Account. 931 The Contractor shall provide the capability to associate a Case with an Account after the Case has been created. 932 The Contractor shall provide Case templates for each type of Case. 933 The Contractor shall provide the capability for Authorized Users to create new types of Cases and associated Configurable workflows. 934 The Contractor shall provide the capability to set attributes by Case type related to Case management, including but not limited to:  required fields;  assignment rules;  Case flow logic;  Case queue display order, for example, by date opened or priority;  drop-down lists;  all relevant parameters related to Case escalation, for example, number of dormant days before escalation and number of days from Case creation to escalation and  Case templates (create and modify). 935 The Contractor shall provide the capability to access a Case through Case management or through the associated Account. 936 The Contractor shall provide the capability to associate all related customer communication with a single Case (in addition to associating it with the appropriate Account), including but not limited to:  call records;

 recorded calls;

 emails;

 faxes;

 Microsoft Office documents, images, and PDF files;

 Chat;

 text messages and

 scanned items.

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937 The Contractor shall provide the capability, when creating Cases, to automatically insert information from the Case source into the Case creation screen to expedite Case creation, for example, importing the name, address and contact information from the Account, Notice, invoice or Notification with which the Case is associated. 938 The Contractor shall provide the capability, when creating Cases, to select from drop-down lists for all applicable data entry fields. 939 Automatically record date and time of Case creation. 940 Automatically record identity of Authorized User or BOS (if the Case is created automatically by the BOS) initiating the Case. 941 Automatically assign a unique individual identification code (Case number). 942 The Contractor shall provide Configurable drop-down lists containing multiple options for indicating type of Case. 943 The Contractor shall provide Configurable drop-down lists containing multiple options for indicating follow-up activities. 944 The Contractor shall provide the capability to place a Case on hold pending a specific occurrence, or to enter a date when the Case shall be presented again to be worked. Depending on the Case type, the Case may affect the Account as well. 945 Require Authorized Users to insert a minimum (Configurable) amount of data depending on the type of Case into a pre-defined number of fields before a Case can be closed. Each type of Case may have different minimum data requirements. 946 Require Authorized Users to insert a minimum (Configurable) amount of data depending on the type of Case into a pre-defined number of fields before a Case can be placed on hold. Each type of Case may have different minimum data requirements. 947 The Contractor shall provide the capability for notes (free text narrative) to be provided at key points in the Case creation process enabling the Authorized User to elaborate on important points. 948 Automatically (Configurable) initiate and send correspondence to the customer informing them of the creation of the Case, the Case number and other Configurable information depending on the type of Case. 949 The Contractor shall provide an automated correspondence capability whereby the customer can be kept informed of Case progress/status, from opening through closure, depending on the type of Case. Such capability shall be Configurable such that certain Case progress/status changes would not generate a customer communication. 950 The Contractor shall provide the capability for multiple Authorized Users to access Cases at the same time with one (1) Authorized User having the ability to modify the Case and others having read only access. The identity of the individual working the Case shall be presented to the Authorized Users with read-only access.

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2.8.1.1. Data Entry Error Cases Even though the RCTS Contractor(s) is responsible for image review, there are occasions where the Operations Contractor or LACMTA will need to look at the image and possibly change the license plate number, Jurisdiction or type. This may occur when a customer disputes an invoice or an I-Toll by identifying an error made in image review. For example, a customer calls to say that even though they own the vehicle with license plate number ABC123 from California, a close examination of the image showed the vehicle in the picture had license plate number ABC123 from New York.

In this case, the CSR would determine if they agreed with the customer, and if they did, they would make the correction. The new license plate would go through the owner identification process, and transmit such corrections to the originating RTCS. The BOS shall track the RTCS’ accuracy, utilizing information from the data entry error Cases and provide feedback to the RTCS regarding data entry errors.

951 The Contractor shall provide the capability for Authorized Users to select and view the image(s) associated with a transaction and change the license plate information. 952 The Contractor shall provide the capability to automatically reintroduce the corrected license plate data back into the process once a change is made. For example, when a license plate is corrected, based on a customer dispute which identifies an error in the RTCS’ image review on a Violation, the corrected license plate goes back through the transaction owner identification process. 953 The Contractor shall provide the capability to remove a transaction(s) with license plate information (and maintain the appropriate accounting treatment) that has been changed from Violation Notices and/or Accounts. 954 The Contractor shall provide the capability to transmit the correction to the originating RTCS when such correction is made. 955 The Contractor shall provide the capability to track RTCS image review accuracy, based on license plate corrections made in the BOS.

2.8.2. Case Assignment and Tracking Depending on the Case type, the BOS shall assign the Case to the appropriate queue. The BOS shall use the default priority for the Case type and any user input that prioritizes the Case.

956 Place open Cases in the appropriate Case type queue such that Authorized Users may access their assigned queue, review and take action on each Case. 957 The Contractor shall provide the capability for the Case type queues to automatically display oldest Cases first for action. 958 The Contractor shall provide the capability for the Case type queues to automatically display highest priority Cases first for action. 959 The Contractor shall provide the capability for multiple sorting criteria for the Case type queues, for example sort first by oldest Cases and then sort by priority. 960 The Contractor shall provide the capability for closed Cases to be re-opened when required.

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961 The Contractor shall provide the capability for a Case to be worked by the same Authorized User who opened the Case or by another Authorized User. 962 The Contractor shall provide the capability to automatically assign Cases to Case work queues accessed by departments or workgroups. 963 The Contractor shall provide the capability to manually re-assign open Cases. 964 The Contractor shall provide the capability to automatically re-assign open Cases if the Case was assigned to a specific user and that user is deactivated from the System. 965 The Contractor shall provide the capability to automatically temporarily re-assign open Cases if the Case was assigned to a specific user and that user is temporarily not performing work (for example, the user is on vacation). 966 Ensure at no time is an active Case orphaned by remaining in a queue with no System users assigned to that queue. 967 The Contractor shall provide the capability for Authorized Users to see all pending Cases with prioritization. 968 The Contractor shall provide Configurable Case assignment rules, for example a Case related to financial issues would be assigned to the finance department. 969 The Contractor shall provide the capability to include a snapshot of any customer information in the primary window so Authorized Users need not navigate to other windows to find key information. The primary window shall contain a link to the Account should the Authorized User want to access the Account. 970 The Contractor shall provide the capability to merge Cases when two (2) or more Cases cover the same customer need. 971 The Contractor shall provide the capability to track historical action-type data (out of a predefined range), about each action taken to work the Case, including but not limited to:  creation;  closure;  reopening;  hand-off (from department or individual);  placed on hold (establish a “work again date”);  awaiting customer action and  customer satisfaction. 972 The Contractor shall provide the capability to trigger customer satisfaction processes. 973 The Contractor shall provide the capability to link and track an unlimited number of Cases to a single Account. 974 The Contractor shall provide the capability to link and unlink Cases to Accounts regardless of Case status. 975 The Contractor shall provide the capability to associate a Case to one (1) or multiple Accounts.

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976 The Contractor shall provide the capability to view Cases based on required follow-up action. 977 The Contractor shall provide the capability to track, record and review follow-up activity. 978 The Contractor shall provide the capability for Authorized Users to review the workload (quantity and details of the Cases assigned) of an individual Authorized User. 979 The Contractor shall provide the capability for an Authorized User to review the workload of an entire team or group of Authorized Users. 980 The Contractor shall provide the capability to manually change the status of a Case based on progress made in servicing the Case. 981 The Contractor shall provide the capability to automatically change the status of a Case based on progress made in servicing the Case. 982 The Contractor shall provide the capability for Authorized Users to edit data within a Case, Configurable by Case type. 983 The Contractor shall provide the capability to temporarily group Cases and perform the same action(s) on the group of Cases. 984 Prevent the creation of duplicate Cases when created automatically by the BOS. 985 The Contractor shall provide the capability to notify Authorized Users when the number (Configurable) of assigned Cases for a particular resource is reached. 986 The Contractor shall provide the capability to stop a transaction or group of transactions from progressing further in the status or workflow stages, for example while a dispute Case is being reviewed.

2.8.3. Workflow Management 987 The Contractor shall provide Configurable Case workflow and routing. 988 The Contractor shall provide the capability to assign Cases in Configurable ways, including but not limited to:  manual assignment of a Case to a particular Authorized User;  automatic assignment by customer or Account criteria;  automatic assignment by Case type;  automatic assignment by status;  automatic assignment by severity level;  automatic assignment based on staff availability;  automatic assignment by role and  skills database for Authorized Users. 989 The Contractor shall provide the capability to suggest best Authorized User for a Case according to staff skills.

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990 The Contractor shall provide the capability to send an Operational Alert Notification when a Case has met the Configurable reassignment threshold. 991 The Contractor shall provide the capability to send an Operational Alert Notification when an Authorized User has met the Configurable number of open Cases. 992 The Contractor shall provide the ability to manually re-assign any Case to a new workflow, at any point within that workflow, as new details emerge. 993 When changes in workflow are made, provide the ability to individually select, or select in bulk, whether current workflow transactions should follow the previous version of the workflow, or the new version of the workflow.

2.8.4. Case Escalation 994 The Contractor shall provide the capability to send an Operational Alert Notification regarding specific Cases that meet Configurable criteria, for example, Cases in "open" status that have not been worked on in a Configurable number of days. 995 The Contractor shall provide the capability to automatically escalate overdue Cases based on Configurable rules. 996 The Contractor shall provide the capability to define sets of activities or procedures for specified Case types. 997 The Contractor shall provide the capability for thresholds to be defined based on rules that initiate events when exceeded. 998 The Contractor shall provide the capability to automatically escalate Cases defined as representing repeated complaints. 999 The Contractor shall provide the capability to define activities that require authorization from supervisors. 1000 The Contractor shall provide the capability to notify appropriate operations staff on Cases manually or automatically based on Configurable criteria.

2.9. Collections and Registration Hold Non-payment of the Notice of Delinquent Toll Evasion Violation will result in the delinquent Violations escalating to Collections and/or Registration Hold. Unpaid transactions/trips and fees on Registered Accounts that are delinquent shall also escalate to Collections. Each delinquent Violation/unpaid transaction/trip is assessed a Configurable Collections/Registration Hold fee. For those Violations where the registration renewal date is a Configurable number of days past the delinquency notification, a warning of vehicle Registration Hold Notification is transmitted to the Violator.

Based on the Jurisdiction, the vehicle registration renewal date and the status of the vehicle Registration Hold status, vehicle Registration Holds are not placed on all delinquent Violations. 1001 Based on the escalation eligibility criteria, per the Configurable LACMTA Business Rules, provide the capability to perform the Violation escalation, including but not limited to:  warning of Vehicle Registration Hold Notification;

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 escalate to vehicle Registration Hold and  escalate to Collections. 1002 The Contractor shall provide capability to configure and maintain Violation escalation parameters for each escalation level, including but not limited to:  the minimum number of delinquent Violations over a Configurable period of time to initiate Collections;  the minimum number of delinquent Violations over a Configurable period of time to initiate vehicle Registration Hold;  the aging timelines for escalation to Collections/Registration Hold, for example the timeline for escalating second level Notice to Collection/Registration Hold if the Notice is not paid or dismissed;  the individual Violation level fees and penalties;  the individual Collections Placement level fees and penalties;  maximum fees that can be assessed per Violation and Account;  the Violation underpayment percentage thresholds to prevent escalation to Collections/Registration Hold;  the Violation underpayment amount thresholds to prevent escalation to Collections/Registration Hold;  the Account balance thresholds to prevent escalation;  the maximum number of delinquent Violations required to by-pass an escalation level;  the maximum delinquent amount due required to by-pass an escalation level;  the maximum number of delinquent Violations to halt escalation to Collections/Registration Hold;  the maximum number of delinquent Violations on the Account to halt escalation and  the maximum delinquent amount due on an Account to halt escalation.

2.9.1. Collections This process covers the assignment of past due amounts on delinquent Accounts, and delinquent Violations to the Collection Agencies. The process of assigning unpaid transactions, fees and penalties to Collections is called a Collections Placement. Based on LACMTA Business Rules, each Collections Placement may require Quality Control approval before the Collections Placement file is submitted to the Collection Agency. Multiple Collection Agencies may be used based on Account Attributes and past due amount.

User Accounts can be escalated to Collections if the Account becomes delinquent. When a Customer has a delinquent Account balance that is past due, a Collections Flag is applied to the Account if the Account is eligible for Collections.

Unregistered Accounts can be escalated to Collections if the Violations become delinquent. A Violator can have many Collections Placements based on the delinquent Violations on the Notices of Delinquent Toll Evasion Violation that are past due. When a Violator has delinquent Violations that

Statement of Work and Requirements Page 136 LACMTA Back Office System are past due, a Collections Flag is applied to the Account if the delinquent Violations are eligible for Collections.

Each Collections Placement can be assessed a Collections fee once a Customer or Violator has been assigned to a Collection Agency. All future delinquent transactions/trips related to that Customer or Violator shall be assigned to the same Collection Agency provided the BOS continues to have an ongoing relationship with that Collection Agency. While an Unregistered Account has a Collections Placement, the Violator continues to receive Violation Notices for any new Violations they may have incurred. 1003 The Contractor shall provide the capability to utilize multiple Collection Agencies and to place eligible transactions/trips in Collections based on Configurable criteria, including but not limited to:  percentages based on both volume and dollar amount, for example, 60 percent to Collection Agency 1 and 40 percent to Collection Agency 2;  past due amount on the Accounts and Violations eligible for collection;  prior Collections Placements (by customer name, Account number, license plate number and Jurisdiction);  Account Type;  specified frequency;  address;  ZIP code and  ROV Jurisdiction. 1004 The Contractor shall provide the capability to identify Accounts and delinquent Violations that are eligible for the collection process based upon Configurable criteria, including but not limited to:  aging level;  age of debt;  filters;  Flags on the Account;  hold status, for example, disputes;  open Cases related to disputes;  grace period;  total amount owed;  number of delinquent Violations/transactions/trips;  amount of tolls owed;  amount of fees owed;  amount of penalties owed;  whether customer is in-state or out-of-state;

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 Account Type;  Account Attributes;  Account status;  balance on the delinquent Violation and  Account balance. 1005 The Contractor shall provide the capability to create a Collections Placement for Accounts and delinquent Violations eligible for Collections. 1006 The Contractor shall provide the capability to assess a Collections fee (for example, add a fee to a Customer’s balance due) for each Collections Placement eligible for Collections, including but not limited to:  flat fee (Configurable) per Collections Placement, assessed by BOS and transmitted to Collection Agency;  flat fee (Configurable) per Collections Placement, assessed by Collection Agency and transmitted back to BOS;  percentage of amount of Collections Placement (Configurable), assessed by BOS and transmitted to Collection Agency;  percentage of amount placed (Configurable), assessed by Collection Agency and transmitted back to BOS and  any combination of the above, including but not limited to providing the capability for a combined flat fee (Configurable) and percentage (Configurable) to be assessed by either the BOS or Collection Agency or both. 1007 The Contractor shall provide the capability to calculate a collection fee earned by a Collection Agency based on amount collected, including but not limited to:  flat fee (Configurable) per fully or partially paid (Configurable) transaction, calculated by the BOS and transmitted to the Collection Agency;  flat fee (Configurable) per fully or partially paid (Configurable) transaction, assessed by the Collection Agency and transmitted back to the BOS;  percentage of amount collected (Configurable), calculated by the BOS and transmitted to the Collection Agency;  percentage of amount collected (Configurable), assessed by the Collection Agency and transmitted back to the BOS and  any combination of the above, including but not limited to providing the capability for a combined flat fee (Configurable) and percentage (Configurable) to be calculated by either the BOS or Collection Agency or both. 1008 Transmit the Collections Placement to the Collection Agency for those Accounts and delinquent Violations that are eligible and approved for collection.

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1009 The Contractor shall provide auditable functionality through the electronic Interface for the Collection Agencies to transmit data to the BOS for Accounts and Violations in Collections and assigned to that Collection Agency, including but not limited to:  demographic information obtained through Skip Tracing;  payments received by the Collection Agencies (full and partial);  reversal of payments made on the Collections Placement;  fees on the Collections Placement such as Returned Payment Fee;  suspension of Collections activities due to dispute or administrative review;  resolution of the Collections Placement at the transaction level and  cancelation of the Collections Placement due to recall by LACMTA or expiry of the collection period for that Collections Placement. 1010 The Contractor shall provide the capability to recall a Collections Placement/individual Violations based on LACMTA Business Rules and request. 1011 The Contractor shall provide the capability for Authorized Users to send an Account or delinquent Violations to Collections that does not meet the minimum eligibility requirements for collection. 1012 The Contractor shall provide the capability to automatically display a Flag on Account screens with the appropriate Collection Agency ID and date the Collections Placement was sent to collection, and remove the Flag when an Account is no longer in collection. 1013 The Contractor shall provide the capability to associate with the Account all correspondence transmitted to the customer/Violator from the Collection Agency. 1014 The Contractor shall provide the capability to accept updated addresses from the Collection Agency and update User Accounts and Violations based on Configurable parameters. 1015 The Contractor shall provide the capability to update the address source on User Accounts and Violations when new address information is received from the Collection Agency. 1016 The Contractor shall provide the capability to automatically assign new delinquent Violations that reach the Collections status or workflow stage to the same Collection Agency that any previous delinquent Violations on that Account have been assigned (for example, all delinquent Violations for a given Account shall always be assigned to the same Collection Agency). 1017 The Contractor shall provide the capability to automatically reassign delinquent Violations to Collections any time a payment used to pay delinquent Violations in collections is reversed in the BOS/Collection Agency (for example, when a customer makes a payment for delinquent Violations in Collections and that payment is returned by the bank, the receipt of the payment reversal in the BOS shall automatically reassign those delinquent Violations to the Collection Agency). 1018 The Contractor shall provide the capability to obtain status of all activities and venues pursued by the Collection Agency to collect on the customer/Violator debt.

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1019 The Contractor shall provide the capability to receive payment reconciliation files at Configurable intervals from the Collection Agency for all Collections Placement payments during the period. The reconciliation file shall provide detailed data that reconciles the payments and the Collections fee. 1020 The Contractor shall provide the capability to receive Collections Placement balance files, at Configurable intervals, in order to compare to User Account and Violation balances for auditing purposes. 1021 Generate an Operational Alert Notification when a Collections Placement balance file is received and the results of the processing of the balance file (for example, the file is in balance or it is out of balance). 1022 In the event of an out of balance Collections Placement balance file, display the Accounts and/or transactions/trips that are creating the out of balance condition.

2.9.2. License Plate Registration Hold and Hold Release When delinquent Violations on an Unregistered Account are past due, a Registration Hold can be placed on the license plate if it meets the conditions for Registration Hold. When the past due amount is brought to a Configurable threshold or amount (for example, when the balance is paid or the delinquent Violations are reversed) or the delinquent Violations escalate to court, the Registration Hold may be released. DMV supports an electronic Interface for initiating Registration Holds and Registration Hold releases. In the event agreements are entered into with other Jurisdictions or responsible entities, the BOS shall support the Registration Hold/Registration Hold release process with these responsible entities. Delinquent Violations can be aged to Registration Hold at the same time the eligible delinquent Violations are placed in Collections.

DMV has a maximum number of Registration Holds that can be placed on a license plate so the System should track the Registration Renewal Date and Registration Holds and releases and provide the logic to place the maximum number of Registration Holds that will benefit LACMTA. 1023 The Contractor shall provide the capability to identify and Interface with the Jurisdictions that support license plate Registration Holds/Registration Hold releases or vehicle registration suspension. 1024 The Contractor shall provide the capability to set and maintain the eligibility parameters for the license plate Registration Hold process based upon Configurable criteria, including but not limited to any combination of:  plate Jurisdiction and plate type;  Account Type;  Account Flags;  Account Attribute;  escalation status;  past due toll amount;  past due fee amount;  past due penalty amount;

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 past due amount on the license plate;  days past due;  vehicle registration renewal date;  presence of an active request for an administrative Hearing;  payment plan status;  number of delinquent Violations;  length of time since the last Configurable escalation was done;  maximum number of vehicle Registration Holds per plate and  number of pre-existing vehicle Registration Holds on a license plate. 1025 The Contractor shall provide the capability to skip the license plate Registration Hold process based upon Configurable criteria, including but not limited to:  plate Jurisdiction and plate type;  renters/lessees;  dealer or manufacturer plates;  trailers;  exceptions list of plates;  exceptions list of Accounts;  DMV record type;  age of Violation, based on Violation date;  registration renewal date;  Case present on Account;  presence of an active request for an administrative Hearing;  payment plan status;  number of existing Registration Holds with DMV;  Violations having a past due toll amount of a Configurable amount and  temporary plates. 1026 The Contractor shall provide the capability to automatically request a license plate Registration Hold if the Configurable eligibility criteria are met, for example, if license plate has one (1) delinquent Violation that is past due. 1027 The Contractor shall provide the capability to set and maintain the maximum number of license plates to be sent to Registration Hold and Hold Release at Configurable time intervals by Jurisdiction, for example, 1,000 license plates on a daily basis for CA plates. 1028 The Contractor shall provide the capability to prioritize license plates subject to Registration Hold and release in the event the number of license plates subject to Registration Hold and release exceeds the maximum number of license plates that can be sent on a daily basis or the maximum number the DMV can place a hold on.

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1029 The Contractor shall provide the capability to track the number of Registration Holds per license plate and place additional Registration Holds for delinquent Violations on the same license plate if Registration Hold was successful or payment was made by the Violator at the DMV. 1030 The Contractor shall provide the capability to check the vehicle registration renewal date and update the existing ROV information in the System. 1031 The Contractor shall provide the capability to place Registration Holds a Configurable number of days before or after the license plate renewal date. The System shall place the maximum number of Registration Holds per license plate if the license plate has delinquent Violations. 1032 Generate an Operational Alert Notification a Configurable number of days before the license plate renewal date when the license plate has unpaid Violation(s). This will allow operational staff to manually place vehicle Registration Hold on the license plate. 1033 The Contractor shall provide the capability to round down the Violation amount owed being sent to the DMV for each Violation for which a Registration Hold is being placed. 1034 The Contractor shall provide the capability to automatically create and exchange license plate Registration Hold and release files with the responsible entities. 1035 The Contractor shall provide the capability in the event of a failure to re-try the Registration Hold and release request based on the type of error. 1036 The Contractor shall provide the capability to automatically release the license plate Registration Hold after a Configurable amount of time based on resolution and/or payment type if the past due amount for a license plate has been successfully resolved, for example, delinquent Violation dismissed or paid by Credit Card is released immediately and delinquent Violation paid by check is dismissed after five Business Days. 1037 The Contractor shall provide the capability to automatically release the license plate Registration Hold if the Violation escalates to the court process. 1038 The Contractor shall provide the capability to automatically re-request the license plate Registration Hold if a payment that was received resulted in the release of Registration Hold and then the payment is subsequently reversed (for example, if a check is returned or if a chargeback is received). 1039 The Contractor shall provide the capability to accept and process payments records for Violations from the DMV and waive partial amounts remaining on the Violation. 1040 The Contractor shall provide the capability to delay the vehicle Registration Hold release by a Configurable number of days past the payment date by payment type. For example, if the payment was made by check the System should delay the Release by seven days. 1041 The Contractor shall provide the capability for Authorized Users to manually initiate the release of a license plate Registration Hold without resolution of past due amounts. 1042 The Contractor shall provide the capability to display license plate Registration Hold and release status on the Account and individual Violation, including but not limited to the date of request and status.

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1043 The Contractor shall provide the capability for license plate Registration Hold statuses (statuses that Registration Holds go through), including but not limited to:  Registration Hold pending;  Registration Hold sent to DMV;  Registration Hold approved by DMV;  Registration Hold rejected by DMV;  Registration Hold not placed due to error;  Registration Hold release pending;  Registration Hold released by DMV;  Registration Hold released by BOS and  Registration Hold not released due to error. 1044 The Contractor shall provide the capability to automatically display Flags on all Account screens based upon current license plate Registration Hold status. 1045 The Contractor shall provide the capability, in the license plate Registration Hold history, to accommodate multiple dates and reject reasons for multiple delinquent amounts and potentially multiple plate numbers. 1046 The Contractor shall provide the capability to create an Evidence Package containing all correspondence related to the Violator and Violations, including but not limited to:  detailed toll transaction data associated with Violations;  all Notices and correspondence sent to Violator;  all correspondence received from Violator;  images related to Violations;  all notes related to Violator and/or Violations and  any other related Unregistered Account activity. 1047 The Contractor shall provide the capability for Authorized Users to manually place holds on license plates for Violations and automatically update the BOS with the proper status obtained from the DMV for the Violations placed on hold.

2.9.3. Customer-Initiated Reviews

Customers may contest a Violation(s) by initiating an internal review of the Violations upon the issuance of a Violation Notice. If customer disagrees with the decision, the customer may seek an Administrative Review and ultimately appeal to Superior Court.

 Internal Review. Within 21 days from the issuance of the Notice of Toll Evasion Violation, or within 15 days from the mailing of the Notice of Delinquent Toll Evasion, whichever occurs later, a person may contest, in writing, a Notice of Toll Evasion Violation or a Notice of Delinquent Toll Evasion. Customer must request an Internal Review within the first 21 days of its issuance. The Violation(s) must be reviewed as to its validity and may provide an

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opportunity to settle outstanding Violations in consideration of pre-established policies. The results of the Internal Review must be mailed to the person who contested the Notice of Toll Evasion Violation or the Notice of Delinquent Toll Evasion Violation.

 Administrative Review. If the person contesting a Notice of Toll Evasion Violation or Notice of Delinquent Toll Evasion Violation is not satisfied with the results of the Internal Review, the person may, within 15 days of the mailing, deposit the amount of the Toll Evasion Penalty and request an Administrative Review by mail or personal conference. An Administrative Hearing must be held within 90 calendar days of the request. The person requesting the Hearing may request one continuance, not to exceed 21 calendar days. The review must be conducted by an in accordance with LACMTA’s written procedure established.

 Superior Court Appeal. Within 20 days after the mailing of the final decision, the contestant may file an appeal to the superior court.

1048 The Contractor shall provide the capability to receive written requests for an internal investigation and review of the Notice of Violation or Notice of Delinquent Violation. 1049 The Contractor shall provide the capability to receive requests for an Administrative Hearing to be held administrative review by mail or personal conference. 1050 The Contractor shall provide the capability to document the receipt of the full amount due prior to processing a request for an Administrative Hearing. 1051 The Contractor shall provide the capability to process the administrative Hearing and court Hearing schedules received electronically or manually. 1052 The Contractor shall provide the Configurable capability to define the data set that goes into the Evidence Package, including but not limited to:  summary sheet;  System and manual notes recorded on the Account;  Cases created for the Account;  Transponder Status change history;  each Violation document;  customer correspondence;  customer contacts;  history of attempts to I-Toll;  lane supplemental transactions (valid historical transactions from the lane before and after a Violation);  lane health check report from the RTCS at the time of the transaction;  Registered Account information if applicable;  history of non-payment;  Notices and

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 images. 1053 Create the Evidence Package a Configurable number of days before the date of the Hearing and print or upload the package to the location specified. 1054 The Contractor shall provide the capability to track information related to adjudications and dispositions, including Investigative Reviews and Administrative Hearings, in accordance with CA Vehicle Code, Section 40255 and 40256.

2.10. Quality Control and Quality Assurance The BOS needs to have flexibility in the Quality Control and Quality Assurance functions whereby LACMTA has visibility into all areas of customer management, transaction processing and customer communication. The Contractor shall institute Quality Controls in its processes to improve the accuracy and quality of the results. Among other things, these Quality Control processes allow LACMTA to establish a mandatory review of some or all Notifications generated. The items selected for review and approval can be automatically selected by the BOS if only a sampling of items is required. The BOS also shall support a process whereby LACMTA and/or the Operations Contractor can review the BOS operations and System to verify compliance with standards and performance quality. For example, managers can review transactions at any stage in the transaction aging process to validate the integrity of the System and quality of the operations.

2.10.1. Quality Review of Notifications and Transaction Processing 1055 The Contractor shall provide the capability, for the purpose of preventing errors in customer Notification and transaction processing, for an Authorized User to manage a Configurable Quality Control process, including but not limited to:  review, correct and approve Notifications;  review and approve System filtered transactions/trips;  review and approve CSR filtered transactions/trips;  review and approve transactions/trips eligible for Collections Placement;  review customer Statements;  review auto-replenishments;  review and approve license plates eligible for vehicle Registration Hold and  review and approve refunds. 1056 The Contractor shall provide the capability for Authorized Users to configure the relevant parameters for each functional area, by Toll Facility, that requires Quality Control, including but not limited to:  percentage of Notification pieces by Notification item that shall be reviewed and approved for each batch before that batch of Notification is sent to be printed and mailed. For example, if set to 100 percent for initial Notices, all Notices in that batch must be reviewed and approved before the Notice is sent to be printed and mailed.

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 percentage of transactions/trips that qualify for Collections Placement that shall be reviewed and approved for each batch before the transactions/trips are placed in Collections. For example, if set to 100 percent all eligible transactions/trips must be reviewed before they are placed with the Collection Agency.  percentage of license plates that qualify for vehicle Registration Hold that shall be reviewed and approved for each batch before vehicle Registration Hold request is transmitted to the DMV, for example, if set to 100 percent then all eligible license plates must be reviewed before the vehicle Registration Hold request is transmitted and  percentage of Violation pieces by county or zip code that shall be reviewed and approved for each batch before that batch of Violations is sent to be printed and mailed, for example, if set to 100 percent then all Violations in that batch must be reviewed and approved before the Violation is sent to the print vendor. 1057 The Contractor shall provide the capability to establish Quality Control queues for Authorized Users to review items, such as Notifications, license plates and transactions, which are Flagged for review and approval. 1058 The Contractor shall provide the capability to Alert designated operations staff when items that require mandatory Quality Control review have aged a Configurable number of days. For example, initiate a Case for operations to work on. 1059 The Contractor shall provide the capability to organize, categorize and present data in a manner that allows efficient and intuitive access to the required information for review. For example, filtered transactions/trips and Notices that meet the Quality Control criteria are presented in a separate tab and visible when logged in. 1060 The Contractor shall provide the capability to automatically display the applicable transaction data, all associated images, vehicle registration data, Account data and Notifications for each Quality Control category defined, including but not limited to:  Notification pieces by Notification item;  Transactions/trips that qualify for Collections Placement, and  license plates that qualify for vehicle Registration Hold. 1061 The Contractor shall provide the capability to filter and sort data within each category of items presented for Quality Control. For example, if all filtered transactions/trips are presented for review and approval the Authorized User shall be able to filter by Filter Type and sort the transaction by Toll Facility. 1062 The Contractor shall provide the capability to drill-down and obtain history of all activity on the transaction, including all Notifications issued to the customer and any and all related actions taken by a CSR, Authorized User or the System. 1063 The Contractor shall provide the capability to drill-down and obtain the details of each record, including any and all images associated with the transaction.

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1064 The Contractor shall provide the capability to organize the data presented to the Authorized User on the Quality Control screen(s) such that it allows ease of review and actions, including but not limited to:  audit;  correct the data;  hold/filter release;  send to DMV;  update/enter status/state and comment;  reassign the license plate to a new Account;  reintroduce into the aging process;  Post the transaction to Accounts, which results in the BOS automatically Posting the license plate to all User Account Types;  addition of license plate to the Plate Correction List;  enter/select a transaction disposition and  approve the transaction. 1065 The Contractor shall provide the capability to select all or a subset of the displayed data on the Quality Control screen(s) for a specified action. 1066 The Contractor shall provide the capability to require the entry of comments when the actions taken impact revenue or User Accounts. 1067 The Contractor shall provide the capability for Authorized Users to access User Accounts for further analysis and action. 1068 The Contractor shall provide the capability to display a confirmation screen representing transaction(s) impacted by the Authorized User action, prior to committing any changes. 1069 For verification purposes, record all automatic reversals and the reason code. 1070 The Contractor shall provide the capability to automatically associate and group transactions/trips belonging to identical license plate numbers as a batch to expedite the image review and correction process. 1071 The Contractor shall provide the capability to act on grouped transactions, including but not limited to:  accept the transactions/trips as belonging to the same license plate number and  detach the transactions/trips from the grouping. 1072 The Contractor shall provide the capability to automatically apply the action taken on the license plate to all transactions/trips in the grouping. 1073 The Contractor shall provide the capability to automatically reintroduce the corrected license plate data back into the process once a change is confirmed, in accordance with the general queue requirements. For example, when a license plate is corrected on an initial Notice, the corrected license plate goes back through the transaction aging process.

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1074 The Contractor shall provide the capability to specify the Configurable actions that can be taken for each category of conditions that require Quality Control. For example, when reviewing Notification pieces the Authorized User can ‘approve’, ‘reject’ or ‘correct’ errors identified during the review process.

2.10.2. Customer Satisfaction Survey The System shall include a customer survey Module or the Contractor shall integrate a third-party Software with the BOS which shall enable LACMTA to survey customers regarding their customer experience while contacting the BOS. Customer surveys shall be performed through electronic means, such as email. A survey tool must be provided which shall allow for the creation and maintenance of a variety of different survey templates. Different survey templates may be selected, based on contact channel, individual CSR or Account Type. 1075 The Contractor shall provide the capability to perform customer surveys. If such capability is not natively available in the System, the BOS shall Interface to a third-party that performs customer surveys. 1076 The Contractor shall provide the capability to export a file from the BOS, which includes but is not limited to:  customer name; filter out interactions;  contact channel (such as phone or walk-in);  customer email address and  CSR name, in the case of customers calling in. clarify for those interactions with CSRs. 1077 The Contractor shall provide the capability to track customer contact by contact channel, including but not limited to:  phone (IVR only, e.g., the customer resolves their issue with the IVR);  phone (IVR then CSR, e.g., customer contact which started in the IVR and after attempting action, the customer asked to speak with a CSR);  phone (CSR only, e.g., the customer immediately requested to speak to a CSR);  Web Chat (CSR only);  email;  Self-Service Website;  Self-Service Mobile Application;  Self-Service Mobile Website and  walk-in. 1078 The Contractor shall provide customer survey capabilities with a combination of features, including but not limited to:  real-time reporting of survey results to LACMTA and LACMTA’s designees;

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 real-time Configurable Alerts to LACMTA and LACMTA’s designees on certain parameters, such as a low survey score (for example, send an Alert each time a customer provides a rating of two (2) or below on any individual question or the survey as a whole) or key word (for example, each time a customer uses certain profane or threatening words);  real-time Dashboard-style feedback for Authorized Users (such as a Web Interface for CSRs to view survey results for their own calls and scoring, in comparison with their peers) and  survey scoring. 1079 The Contractor shall provide reporting functionality for scoring surveys, including but not limited to:  survey date;  survey type;  CSR and  contact channel.

2.11. Transponders and Other Inventory Items The BOS shall have a Transponder inventory and management System that tracks and maintains Transponder inventory, identifies and manages the Transponder recall program, manages Retailer purchase/distribution of Transponders and tracks and manages Transponder warranty. The BOS inventory system shall also other inventory items. Inventory levels are required to be monitored regularly by the Operations Contractor and communicated to LACMTA to ensure no disruption in Transponder and other inventory item availability.

2.11.1. Inventory Definition and Tracking The BOS needs to keep track of Transponders and other inventory items (both with serial numbers and non-serialized or bulk items) as directed by LACMTA.

1080 The Contractor shall provide the capability to create and track multiple inventory types, for example different types of Transponders and other inventory items. 1081 The Contractor shall provide the capability to create and track inventory types with or without serial number, for example mounting strips, envelopes and welcome booklets will not have serial number. 1082 The Contractor shall provide the capability to validate Transponder serial numbers against the ranges that already exist to ensure that there are no duplicates. This validation shall include the CTOC issued Facility Code IDs or any corresponding ranges in the future such as ISO 18000-6C and or national Interoperability. 1083 The Contractor shall provide the capability to search the history of a specific Transponder entered in the BOS.

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1084 The Contractor shall provide the capability to perform periodic physical inventory reconciliation for both Transponders and other inventory items. 1085 The Contractor shall provide the capability to manage any number of Transponder types, including but not limited to:  hard-case Transponders;  sticker Transponders;  switchable Transponders and  bumper-mount Transponders. 1086 The Contractor shall provide the capability to enter global Transponder inventory item attributes, including but not limited to:  inventory item description;

 inventory brand;

 model number;

 manufacturer;

 lot, case and tray information;

 version of Transponder chip technology;

 Transponder communication protocol (single or multi) and

 Transponder style.

1087 The Contractor shall provide the capability to enter individual Transponder inventory item attributes, including but not limited to:  model number;  procurement cost;  Configurable sales price;  Configurable purchase price;  manufacture date;  date received;  manifest number;  inventory number;  expiration;  date assigned/purchased;  date first used;  location assigned to customer from;  staff/BOS assigned by;

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 recall date;  replacement;  warranty start date;  warranty period;  swap out date;  end of life date;  purchase order number/Statement or invoice number;  agency/Facility code;  state code;  Transponder ID number;  external barcode number;  Transponder manufacturer’s number;  Transponder class;  ID number;  activation code;  status and  inventory location. 1088 The Contractor shall provide the capability to enter other individual inventory item attributes and identify inventory types that do not require a serial number (for example, serial number is not needed for mounting strips and Mylar bags), including but not limited to:  inventory item description;

 manufacturer;

 procurement cost;

 Configurable purchase price;

 Configurable sales price;

 date received;

 expiration date;

 date purchased;

 date first used;

 location purchased;

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 staff/BOS assigned by;

 ID number;

 activation code and

 inventory location.

1089 The Contractor shall provide the capability to enter new inventory items into the BOS via several methods, including but not limited to:  manually;

 file upload and

 barcode (scanner).

1090 The Contractor shall provide the capability to manually upload a file (manifest) with inventory information, for example Transponders, using an intuitive and user-friendly process with support for multiple data formats. Functionality shall include but not be limited to:  a mapping tool which shall enable inventory fields to be mapped to a file;  a browse button to locate the file;  validation of the file prior to import (invalid files shall not be imported and an error message shall be presented);  validation of file contents including the Transponder ID based on valid CTOC issued Facility Codes and  feedback of successful processing by indicating the number of records updated and unsuccessful updates with reason codes. 1091 The Contractor shall provide the capability to enter bulk inventory by entering the starting and ending numbers in a range, for example upload inventory by scanning the first inventory piece’s barcode and the last inventory piece’s barcode. Not all fields would have a value. 1092 The Contractor shall provide the capability to track multiple manufacturer warranties based on manufacturer, Transponder type or purchase date, for example pro-rated and 10 years. 1093 The Contractor shall provide the capability to track customer warranties based on Transponder type or purchase date. 1094 The Contractor shall provide the capability to identify inventory items to be leased (such as Transponders) or sold. 1095 The Contractor shall provide the capability to accept and track deposits for Transponders that are leased. 1096 The Contractor shall provide the capability to track individual inventory items by location at end of day, including but not limited to:

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 warehouse;  WIC;  in transit between customer service locations;  multiple individual Retailers;  multiple individual CSRs;  User Account;  shipping/receiving locations;  returned to manufacturer and  disposed. 1097 Ensure individual inventory pieces are only in a single location at any one time. 1098 The Contractor shall provide the capability to restrict transitions among various inventory item locations, for example inventory in the “assigned to CSR” location cannot go to the “return to manufacturer” location; it can only go to “inventory” location or “User Account” location. 1099 The Contractor shall provide the capability to assign a Configurable status to each individual Transponder inventory item, including but not limited to:  on order;  sold;  leased;  active;  inactive;  deactivated;  lost;  stolen;  returned;  awaiting cleaning and testing for reissue;  disposal;  damaged;  defective and  end-of-life. 1100 The Contractor shall provide the capability to change the status for an individual inventory item either manually or automatically. For example, status shall be assigned when status update is triggered by user actions or System activity or when status is updated by a user. 1101 The Contractor shall provide the capability to require the entry of reason code based on the status change initiated.

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1102 The Contractor shall provide the capability to set a Configurable restock threshold for internal LACMTA inventory locations, including but not limited to:  CSC and  WICs. 1103 The Contractor shall provide the capability (Configurable) to set and maintain the inventory reorder thresholds and ranges for all relevant parameters related to inventory item quantity levels and lead-time requirements for replenishment by the manufacturer. 1104 The Contractor shall provide the capability to set and maintain the inventory reorder thresholds and ranges for all relevant parameters related to inventory item quantity levels and lead-time requirements for replenishment by the manufacturer. 1105 The Contractor shall provide the capability to send an Operational Alert Notifications(s) before the inventory reorder (from the manufacturer) thresholds are reached. The Alert level can be a Configurable percent or Configurable number above the re-order threshold. 1106 The Contractor shall provide the capability for Authorized Users to generate requests for inventory items to be assigned to them. 1107 The Contractor shall provide the capability for inventory items to be assigned to Authorized Users without an existing request. 1108 The Contractor shall provide the capability to audit the physical inventory at Configurable intervals and record the results of the audit.

2.11.2. Transponder Ordering LACMTA will place Transponder orders directly with the inventory manufacturer. The actual purchase order will be generated by a separate system that is not part of this procurement. However, the creation of the order shall happen within the BOS which allows the purchase order to be recorded, and the order to be tracked, received and loaded into inventory in a manner which reduces manual entry and potential errors. A hard copy document shall be generated and shall be part of an order receiving package to verify receipt and close out the purchase order that was generated by a separate system that is not part of this procurement. Inventory items include, but are not limited to: Transponders, mounting strips, envelopes, welcome booklets and Mylar bags will be purchased by the Operations Contractor. 1109 The Contractor shall provide the capability to create inventory orders within the System, including but not limited to:  enter new manufacturer/Supplier information;  select from a list of existing manufacturer/Supplier;  enter new inventory items for purchase;  select from a list of existing inventory items;  enter and/or select multiple inventory items within the same order;  enter inventory item quantities;  enter price information and  generate an inventory order form to be manually attached to the purchase order.

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1110 The Contractor shall provide the capability to change the status of the order and track the order once the associated purchase order has been placed. 1111 The Contractor shall provide the capability to receive the inventory, via BOS, with the inventory items prepopulated based on the original order information. 1112 The Contractor shall provide the capability to enter information when receiving inventory, including but not limited to:  verification of delivery of each line item;  verification of quantities for each line item;  actual quantity received if it does not match quantity ordered;  name of person receiving inventory;  location received;  date received and  comments. 1113 The Contractor shall provide the capability to generate an inventory receiving document, including but not limited to:  items ordered;  item received;  quantities ordered;  quantities received;  manufacturer or Supplier information;  received by name;  location received and  date received. 1114 The Contractor shall provide the capability to make adjustments if the shipment received does not match the original order and track backorders and partial shipments.

2.11.3. Inventory Fulfillment Transponders, and potentially other inventory items such as suction cups, mounting strips or polyester film bags, are assigned to customers via inventory Fulfillment. Orders can be fulfilled at the same time the order is placed in a WIC. When inventory is ordered online or by phone, a Case is opened and the order is fulfilled in the order received. Customers may also obtain inventory items from Transponder Retailers and Money Services Providers. These Retailers obtain inventory as a consignment from the BOS or purchase inventory from the BOS. 1115 The Contractor shall provide the capability to open a Case when inventory orders are created either at the time of Account creation or when individual requests are initiated subsequent to Account creation. 1116 The Contractor shall provide the capability to Fulfill inventory orders, including but not limited to:

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 individually;  by case and  by tray, containing multiple cases. 1117 The Contractor shall provide the capability to present Transponder Fulfillment requests for Fulfillment to the in the order received. 1118 The Contractor shall provide the capability to create an inventory item lease or sale transaction when inventory order is Fulfilled including but not limited to:  leased (zero sale price);  full price sale;  warranty sale;  no sale (replacement) and  discount sale (promos and coupons). 1119 The Contractor shall provide the capability to assign multiple types of inventory items to Accounts and associate the Transponder number to the User Account. 1120 The Contractor shall provide the capability to reassign inventory items from one Account to another. 1121 The Contractor shall provide the capability to replace an existing individual inventory item on an Account with a different item. 1122 The Contractor shall provide the capability to label each polyester film bag with license plate, Jurisdiction, make and model so the customer can identify the correct Transponder for each vehicle on the Account. 1123 The Contractor shall provide the capability to issue individual inventory items to customers via various distribution methods, including but not limited to:  by mail;  walk-in and  Retailers. 1124 The Contractor shall provide the capability for customer inventory orders to be Fulfilled at time of request. For example, at a WIC with the customer present. 1125 The Contractor shall provide the capability for customer inventory orders to be Fulfilled and mailed to the customer when the customer is not physically present. For example, a Transponder was requested during a call to a CSR or using the Self-Service Website. 1126 The Contractor shall provide the capability to distinguish orders for first time customers separate from existing customers in case additional literature is to be included with the order for new or existing customers only (such as a welcome package). 1127 The Contractor shall provide the capability for verification that the correct model of Transponder is assigned to each vehicle. For example, vehicles with a certain windshield coating require an externally mounted Transponder (bumper mount). 1128 The Contractor shall provide the capability to Alert the CSR or the customer (if using the Self-Service Website) when the vehicle requires an externally mounted Transponder (bumper mount) or special mounting location. 1129 The Contractor shall provide the capability to track customer inventory orders as a single order regardless of the number of items requested. For example, if a customer wants two

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(2) of type A inventory items and two (2) of type B inventory items, that order shall be a single customer inventory order. 1130 The Contractor shall provide the capability for customer inventory orders to be partially Fulfilled. For example, while there may not be enough of a certain type of inventory item to complete the order, those that are available can be Fulfilled. 1131 The Contractor shall provide the capability to automatically create a backorder for unshipped inventory and to automatically trigger the Fulfillment of remaining inventory items when stock is available. 1132 The Contractor shall provide the capability for inventory orders to be searched, for order(s) that meet specified criteria, which can then be viewed, immediately Fulfilled, modified or canceled. 1133 The Contractor shall provide the capability to make modifications to the inventory orders prior to Fulfilling them. For example, a CSR may need to change the Transponder type because the customer’s vehicle requires an externally mounted Transponder (bumper mount), or add another Transponder to the order based on a customer request. 1134 The Contractor shall provide a single customer Fulfillment receipt detailing the entire order. This receipt shall show the vehicle license plate number(s), type, Jurisdiction, make, model, color, Transponder(s) or other inventory item(s) quantities, backordered quantities, sale or lease amounts, payment amount and any associated Discount Plan(s), if applicable, for each Transponder included in that order. 1135 The Contractor shall provide the capability to generate a mailing label or print directly on the mailing envelope when Fulfilling inventory orders by mail. 1136 The Contractor shall provide the capability to batch Transponder distribution to improve the efficiency of the order Fulfillment process, including but not limited to:  identify open Transponder orders and assign Transponders to the Accounts automatically;  create batches by inventory type and order type (new, replacement or additional);  transmit data to the mailing services to generate mailing labels by batch;  spool and print letters overnight and  track the mailing of letters to customers. 1137 The Contractor shall provide the capability to perform a quality check of the Transponder mailing packages before they are mailed to the customers. 1138 The Contractor shall provide the capability for inventory item receipts to be provided to the customer when the Fulfillment takes place in person. 1139 The Contractor shall provide the capability to notify the customer that an inventory item(s) has been placed in the mail. 1140 The Contractor shall provide the capability to activate Transponders as soon as they are assigned to the User Account. 1141 The Contractor shall provide the capability for Transponders to be in the appropriate status when it is mailed to a customer until activated, per the Configurable LACMTA Business Rules. 1142 The Contractor shall provide the capability to return inventory items to stock and update

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the related Case, if applicable while preserving full traceability. For example, if a Transponder comes back in returned mail, the System shall retain the history of the Account the Transponder was added to and that it came back undeliverable. 1143 The Contractor shall provide the capability to send and receive files containing Fulfillment orders, inventory assignments and other information required to support third-party Fulfillment process.

2.11.4. Inventory Sales Tax Sales tax is charged to customers on all taxable sales, such as Transponders and other inventory items. 1144 The Contractor shall provide the Configurable capability to assess and collect the appropriate sales tax on Transponder and other taxable inventory sales. Sales tax rate shall be determined based upon the county in California or other state to which goods are shipped. If Transponders are bought at a WIC, the tax rate applicable to that WIC shall be used. 1145 The Contractor shall provide the capability to exempt certain transactions from sales tax and track proper documentation, for example when inventory items are sold to customers who possess a resale permit or are otherwise exempt from paying sales tax. 1146 The Contractor shall provide the capability to track Transponder returns and appropriately account for the original sales tax amount at the time of sale. 1147 Collect sales tax on behalf of LACMTA using LACMTA’s Federal Employer Identification Number (FEIN). 1148 The Contractor shall provide the capability to apply future tax rates using an effective start and end date.

2.11.5. Transponder Inventory Recycling The Operations Contractor will test returned transponders and return to usable inventory those that meet the criteria.

1149 The Contractor shall provide the capability to process returned inventory back into the System when the inventory appears to be in good condition and has not reached the end of its useful life. 1150 The Contractor shall provide the capability to prevent a transponder from being recycled for reissue if the transponder is within a Configurable number of months from the end of its useful life. 1151 The Contractor shall provide the capability to assign returned transponders identified as being re-issuable to a box for tracking and reissue purposes. 1152 The Contractor shall provide the capability to alert Authorized Users when the box of returned transponders is ready to be reissued.

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2.11.6. Transponder Testing Transponders shall be tested at multiple times in the lifecycle because Transponders that are defective or not functioning reliably cause problems for the customers and LACMTA and increase costs. The equipment required for testing of Transponder will be provided by LACMTA.

1153 The Contractor shall provide the capability to test Transponders using the Transponder reader/tester. 1154 The Contractor shall provide the capability to automatically capture the results of the Transponder test (including number of handshakes) and have it recorded in the BOS and associated with the Transponder. 1155 The Contractor shall provide the capability to mark each Transponder that is returned and within the end of life as requiring testing and prevent the issuance of such Transponders to User Accounts. 1156 The Contractor shall provide the capability to test returned Transponders that are marked for testing in a batch mode. 1157 The Contractor shall provide the capability to mark a Transponder defective if Transponder does not pass the Transponder tester tests and record the failure reason.

2.11.7. Transponder Recall/Replacement Program LACMTA recalls and replaces Transponders prior to the anticipated end of the battery’s useful life. The Transponder recall program uses a multi-level approach. First, candidates for recall are identified based on the Transponder age then other factors come in to play, including Account status, Account Type and address status.

If an Account has multiple Transponders, only the Transponder(s) that meet the age are recalled. The exception to this is if other Transponder(s) on the Account shall reach the age within a certain time period, then that Transponder(s) shall also be recalled. Recalled Transponders are not reissued. Returned Transponders which are within a Configurable time of reaching their recall age shall not be reissued.

Once Transponders have been identified for recall a notification is sent to the customer. Letters which are returned as undeliverable are researched and removed from the recall process if a good address cannot be obtained. Next the new Transponders are mailed along with a letter and an envelope for the customer to return the old Transponder(s). The returned Transponders are processed and disposed of and Transponders not returned are ultimately deactivated. Transponders which are not returned may be charged a fee or the customer’s Transponder deposit may be retained.

Once LACMTA has transitioned to ISO 18000-6C Transponders the recall program will be modified since these Transponders do not have batteries.

1158 Identify Transponders eligible for recall/replacement based on Business Rules and the following criteria, including but not limited to:  Transponder manufacturer;  Transponder style;  warranty period end date;

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 end of life date;  recall from manufacturer;  indication from the lane (low handshake counts);  Excessive I-Tolls;  date the Transponder was assigned to the Account;  purchase date (from the manufacturer) and  manufacture date. 1159 The Contractor shall provide the capability to recall and replace Transponders that meet the recall/replacement criteria. 1160 The Contractor shall provide the capability to view the details about Transponders eligible for recall/replacement, including but not limited to:  Account number the Transponder is assigned to;  warranty status;  manufacturer;  style;  type;  date assigned;  date manufactured;  inventory location;  reason qualified for replacement;  number of Transponders on the Account and  date of last Transponder transaction. 1161 The Contractor shall provide the capability to send customer Notification regarding the recall/replacement process. 1162 The Contractor shall provide the capability to identify for disposal those Transponders that are returned that were eligible for recall. 1163 The Contractor shall provide the capability to recall/replace all Transponders on an Account if one qualifies for replacement. For example, if two (2) Transponders qualify for replacement and the Account has three (3) Transponders, Agencies may elect to replace all three (3) on a particular Account to reduce customer confusion. 1164 The Contractor shall provide the capability to accept returned Transponders from customers and issue replacement Transponders as necessary based on customer request.

2.11.8. Transponder Warranty Replacement for the Customer In the event that LACMTA elects to sell Transponders, functionality will be required to support customer warranty returns and replacements.

1165 The Contractor shall provide the capability for a Customer to make a warranty claim on any Transponder and inventory item purchased from the BOS, and the Retailers. 1166 The Contractor shall provide the capability for a Customer to make a warranty claim by all communication channels and at the WIC. 1167 The Contractor shall provide the capability to create a Case for each warranty claim

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initiated by the Customer. 1168 The Contractor shall provide the capability for customers to return their old Transponder to a WIC, and receive a replacement Transponder of the same type immediately. 1169 The Contractor shall provide the capability for customers to return Transponders to LACMTA and receive a refund of the purchase price if the Transponder is defective and still within the manufacturer’s warranty period. 1170 The Contractor shall provide the capability to send the customer a self-addressed return envelope to send the old Transponder(s) back if the customer contacts the BOS via all communications channels to return a hard-case or bumper mount Transponder(s). 1171 The Contractor shall provide the capability to send a replacement Transponder to the customer upon the receipt of the warranty claim. 1172 The Contractor shall provide the capability to track the return of the old Transponder and update the Account upon the successful receipt of the old Transponder. 1173 The Contractor shall provide the capability to issue Notifications and assess fees if the old Transponder is not returned within a Configurable period of time. 1174 The Contractor shall provide the capability to generate Alerts if an Account has more than a Configurable number of warranty claims.

2.11.9. Inventory Warranty and Returns to Manufacturer 1175 The Contractor shall provide the capability to enter, modify and delete Transponder manufacturer information, including but not limited to:  name;  contact person;  full address;  phone numbers;  rules for returns and  minimum number of Transponders per return shipment. 1176 The Contractor shall provide the capability to create an RMA number and associated packing list by manufacturer for each RMA shipment. 1177 The Contractor shall provide the capability for the opening, tracking and closing of RMA shipments by RMA number. 1178 The Contractor shall provide the capability to add or remove specific items from an RMA shipment. 1179 The Contractor shall provide the capability to track warranty payment or replacement inventory items due from the manufacturer for returns under warranty. 1180 The Contractor shall provide the capability to pro-rate the warranty period of the returned Transponder based on the warranty left on the Transponder identified for warranty return. 1181 The Contractor shall provide the capability to accept a spreadsheet that maps old Transponders to the new Transponders in order to identify the remaining warranty.

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2.11.10. Inventory Disposal 1182 The Contractor shall provide the capability to create an inventory shipment and assign a disposal number and associated packing lists for each disposal shipment. 1183 The Contractor shall provide the capability to view individual inventory items identified for disposal. 1184 The Contractor shall provide the capability for the opening, tracking and closing of disposal shipments. 1185 The Contractor shall provide the capability to add or remove specific items from a disposal shipment.

2.11.11. Transponder Retail Program Transponders can be obtained at retail locations such as Costco, Albertsons or AAA. Although retail Transponders are distributed by Retailers, the Transponders are not currently sold but when LACMTA changes to 6C Transponders, this may change. Currently, the ownership of the Transponder does not transfer to the customer and remains the property of LACMTA. The total Transponder price at a Retailer is made up of the cost of the Transponder and a certain amount of prepaid tolls. A Transponder obtained at a retail location must be activated on an existing or a new Registered Account. When a customer visits the website or calls the CSC to associate the Transponder to an existing Account, the amount of prepaid tolls associated with that Retailer Transponder is transferred to the customer’s Account. The BOS shall keep track of Transponders and toll usage even in the event that a customer does not register the Transponder. If the customer does not call to have the Transponder assigned to its Account but continues to use LACMTA’s toll facilities the Transponder may run out of funds which would make it invalid in the toll facilities and the customer toll transaction would be processed as a Violation transaction.

The Retailers utilize the BOS website to order retail Transponders, view invoices, make payments and perform other activities related to the management of their retail Transponder distribution.

Transponder Retailer: Transponder Retailers obtain Transponders directly from LACMTA, at which time a Retailer Account is created. Customers obtain Transponders from a Retailer and are permitted to use a Configurable amount of prepaid tolls prior to establishing and funding their Account.

Money Service Providers: Money Services Providers process customer cash payments whereby customers can obtain Transponders and make payment toward Notices and Registered Account balances.

1186 The Contractor shall provide the capability to enter, modify, deactivate and delete Retailers. The screens shall provide the fields to enter information about the Retailer, including but not limited to:  name;  contact person;  address;  phone numbers;  status, for example, active or inactive;

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 inventory items stocked and  item price. 1187 The Contractor shall provide the capability to sell inventory items to Retailers. 1188 The Contractor shall provide the capability to track receivable balances from Retailers. 1189 The Contractor shall provide the capability accept payment for inventory items from Retailers. 1190 The Contractor shall provide the capability to track sales of inventory items to Retailers. 1191 The Contractor shall provide the capability to receive a manifest file from the Transponder packager with details on all Transponders shipped to Retailers. 1192 The Contractor shall provide the capability to create an invoice for Transponders sold to the Retailers. 1193 The Contractor shall provide the capability to track inventory returns from Retailers. 1194 The Contractor shall provide the capability to issue refunds to Retailers.

2.12. Customer Portals Customers can obtain access to their Accounts via customer portals which include the Self-Service Website, the Self-Service Mobile Application and the Self-Service Mobile Website. These customer portals provide access to real-time Account data. The Self-Service Website is a portal that allows customers to establish Accounts, manage their Accounts and obtain information about FasTrak and Violations. The Self-Service Website shall only provide access to Account Types (and their relevant fields) Approved by LACMTA and as described in these Requirements.

LACMTA intends for these customer portals to allow customers to perform all actions that they might ask of a CSR with the exception of certain functions that are specific to the role of an Authorized User, for example adding a non-revenue plan to a Transponder or changing the toll rate due to a System classification error.

In addition to the switchable Transponders, LACMTA may offer the ability to declare the number of people in the vehicle electronically. Under this approach, customers may change their mode (one (1), two (2) or three (3) or more people) by notifying LACMTA prior to using the Toll Facility. This notification may be done via, IVR, web, mobile app, mobile website, or speaking with a CSR. The self-service notification methods are strongly preferred by LACMTA and as such, LACMTA is seeking innovative solutions to make it easy for the customer.

To the extent possible, it is expected that the Contractor’s solution shall have a sophisticated, standards-driven, front-end framework that is device and browser agnostic. The Contractor’s solution should facilitate the use of single code bases that can be delivered across platforms and devices and streamline the primary and regression testing required when deploying Software Updates and Enhancements.

It is expected that the Contractor shall have experienced internal resources and/or partners with significant, demonstrable Self-Service Website development expertise in using the latest frameworks, tools and techniques to optimize the Customer experience.

2.12.1. Self-Service Website 1195 The Contractor shall provide a secure Self-Service Website in English and Spanish and all

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external Interface portals, that shall be compatible with the versions most utilized by the public and future version releases of the following browsers, including but not limited to:  Microsoft Internet Explorer;  Microsoft Edge Browser;  Mozilla Firefox;  Google Chrome;  Apple Safari;  any other browser reaching five percent market penetration, as approved by LACMTA and  smartphone/tablet/mobile browsers. 1196 The Contractor shall provide the capability for customers to perform all actions they might ask of a CSR on the Self-Service Website. 1197 The Contractor shall provide the capability for Retailers to manage their retail Transponder activities on the Self-Service Website, including but not limited to:  order retail Transponders;  view invoices;  make payments;  Request return authorization and generated RMA paperwork, and  perform other activities related to the management of their retail Transponder distribution activities. 1198 The Contractor shall provide Web navigation optimized for speed regardless of the Web browser used on the secure Self-Service Website. 1199 The Contractor shall provide the capability to support the expiration of cookies. 1200 Detect and advise users of the Self-Service Website if the browser used is old or not supported and instruct where updates can be obtained. 1201 The Contractor shall provide a Self-Service Website accessible on a range of mobile devices, irrespective of differences in presentation capabilities and access mechanisms, including but not limited to smartphones and tablet computers. 1202 The Contractor shall provide a Self-Service Website that paginates content in various ways corresponding to differences in viewing device characteristics. The navigation structure of the site, and its technical realization shall vary according to the device class being served. 1203 The Contractor shall provide a Self-Service Website that supports the latest versions of mobile operating systems, including but not limited to:  Apple iOS;  Android Web operating system;  Windows Phone operating system and  any other browser reaching five percent market penetration, as approved by LACMTA. 1204 The Contractor shall provide a Self-Service Website that supports the latest versions of mobile browsers, including but not limited to:  Safari;

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 Google Chrome;  Android and  any other browser reaching five percent market penetration, as approved by LACMTA. 1205 The Contractor shall provide Web analytics tools for the measurement, collection, analysis and reporting of internet data for purposes of understanding and optimizing website usage, business and market research and to assess and improve the effectiveness of the Self- Service Website. The Web analytics tools shall track all usage on the Self-Service Website and the Self-Service Mobile Website, including but not limited to:  number of individual hits by screen;  number of page views;  number of repeat visitors versus new visitors;  bounce rate and  abandonment rate. 1206 The Contractor shall provide the capability for a third-party website or application to connect via API (or Web services or equivalent) to the BOS in a way that real-time information and Updates can take place without major development. 1207 The Contractor shall provide a Self-Service Website that supports the addition of sponsored advertisements Approved by LACMTA.

2.12.1.1. Account Establishment and Maintenance 1208 The Contractor shall provide an Account creation process that logically leads a customer via the Self-Service Website through all of the necessary steps to create an Account. 1209 The Contractor shall provide the capability for a customer to prepopulate relevant existing Violator information and to provide the required additional information and transition from an Unregistered Account into a Registered Account. 1210 The Contractor shall provide the capability for a customer to provide the required additional information and transition from a Ghost Account into a Registered Account. 1211 The Contractor shall provide on-screen guidance to the customer via the Self-Service Website during the Account creation process regarding missing or improperly formatted information. The customer shall not be able to move to the next step until the required information is provided in the appropriate format and the proper action shall be clearly identified. 1212 The Contractor shall provide the capability when opening a new Account to automatically identify other Account(s) associated with that Account name or address and creating a Case to allow a CSR to determine whether or not the Account is a duplicate. 1213 The Contractor shall provide the capability for the selection of Account Type and Account preferences during the establishment of an Account. 1214 The Contractor shall provide the capability for users to review, including but not limited to:  the FasTrak Terms and Conditions;  the Frequently Asked Questions (FAQ) and  the fee and toll schedule.

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1215 Require that the FasTrak terms and conditions are acknowledged and a record of that acknowledgment saved in the BOS prior to establishing an Account. 1216 The Contractor shall provide the capability for customers to set and modify preferred communication channels. 1217 The Contractor shall provide the capability for email address validation during the Account creation process. Upon validation, the BOS shall allow for the Account creation process to be completed. 1218 The Contractor shall provide the capability for any subsequent additional email addresses added, to perform the email address validation process prior to finalizing the entry on the Account. A message shall be displayed indicating the email address shall not be added until the validation process is complete. 1219 The Contractor shall provide the capability for sending an Account summary to the customer upon a successful Account creation process. The Account summary shall also be provided in a printer-friendly format. 1220 The Contractor shall provide the capability for customers to specify “how did you hear about us?” during the Account creation process. 1221 The Contractor shall provide the capability for customers to be asked a series of Configurable marketing questions.

2.12.1.2. Account Access and Security 1222 The Contractor shall provide the capability to control the features and capabilities available to customers based on the Account Type and Account Attributes. 1223 The Contractor shall provide the capability for a customer to select a PIN upon Account establishment. 1224 The Contractor shall provide the capability for a customer to create a username and password upon Account establishment.  The web Server shall support username and password strength requirements as determined during the Implementation Phase and documented in the Business Rules;  The web Server shall support 2 factor authentication, and provide user configurability to enable or disable. 1225 The Contractor shall provide the capability, without Authorized User interaction, for customers to gain online access to their existing Account(s). Data necessary to gain online access shall differ depending on Account Type. 1226 Upon the first logon require the user to complete three (3) security challenge questions and answers for use in future Account access. 1227 The Contractor shall provide the capability to reset the PIN. 1228 The Contractor shall provide the capability to recover the password. 1229 The Contractor shall provide the capability to reset the password. 1230 The Contractor shall provide the capability to change username. 1231 The Contractor shall provide the capability to manage security questions.

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2.12.1.3. Payment Processing To provide a customer experience that is intuitive, efficient and meets the needs of an ever more demanding and self-service oriented customer, the System must provide a well-designed and logical customer self-service payment setup and management process

1232 The Contractor shall provide the Configurable capability to limit the payment methods available via the Self-Service Website (for example, cash shall not be a payment option on the Self-Service Website.) 1233 The Contractor shall provide the capability, via the Self-Service Website, for the manual replenishing (via existing payment methods on the Account) of Registered Accounts. 1234 The Contractor shall provide the capability for Violators to make a payment and have it applied towards a specific item on the Account or the entire balance due, for example Notices, penalties and fees. 1235 The Contractor shall provide the capability to Configure whether or not to allow partial payments for Violation-related activity. 1236 The Contractor shall provide the capability, via the Self-Service Website, for Violation Transaction/Trip payments using the license plate number, type and Jurisdiction and another Configurable piece of information for authentication. 1237 The Contractor shall provide the capability to prevent customers from making payments in excess of a Configurable amount based on Account Attributes. 1238 The Contractor shall provide the capability to configure whether or not customers are allowed to make payments to their Accounts for amounts in Collections. 1239 Display a confirmation page that includes payment method details (Credit Card numbers obscured) and amount to be paid prior to customer being allowed to submit a payment. 1240 The Contractor shall provide the capability to accept Credit Card payments. 1241 The Contractor shall provide the capability to allow electronic acceptance of payment plan terms. 1242 The Contractor shall provide the capability to accept payments on payment plans via all accepted payment methods.

2.12.1.4. Vehicles, License Plates and Transponders 1243 The Contractor shall provide the capability for customers to request and pay (sale) for new Transponders and other available inventory items. 1244 The Contractor shall provide the capability for customers to request and lease new Transponders and other available inventory items. 1245 The Contractor shall provide the capability to require a Transponder deposit (Configurable based on the replenishment method) for leased Transponders. 1246 The Contractor shall provide the capability to add and associate a Transponder to a license plate on an Account. For example, a customer may have obtained a Transponder at a third- party Retailer and wishes to add it to a vehicle on the Account. 1247 The Contractor shall provide the capability for customers to request replacement of Transponders. 1248 The Contractor shall provide the capability for customers to report and/or pay for

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lost/stolen Transponders. 1249 The Contractor shall provide the capability for customers to add, delete and manage subscription periods at the Account level. For example, a customer may wish to add a vehicle on the Account for a limited amount of time (subscription period). 1250 The Contractor shall provide the capability to add multiple license plates and associated vehicle information to the Account. 1251 The Contractor shall provide the capability for customers to add, delete and manage vehicles at the Account level. 1252 The Contractor shall provide the capability (Configurable) for customers on the Self-Service Website, to upload a file with vehicles and associated information, using an intuitive and user-friendly process that supports multiple data formats, for example delimiter-separated data or Excel. Functionality shall include but not be limited to:  a browse button to locate the file;  validation of the file prior to import (invalid files shall not be imported and an error message shall be presented);  on-screen feedback of successful processing by indicating the number of vehicles imported and  email Notification of successful import. 1253 The Contractor shall provide a downloadable sample vehicle file and data definition document with instructions for each supported format. 1254 The Contractor shall provide detailed instructions regarding the process to upload vehicle information. 1255 The Contractor shall provide the capability to automatically identify Account(s) associated with a license plate being added to an Account, including but not limited to:  Violator Account with unresolved Violations;  Accounts in bad standing;  Accounts closed in bad standing;  Accounts in Collections;  Accounts in bankruptcy and  Accounts where the license plate is active on another Account. 1256 The Contractor shall provide the capability to either (Configurable) automatically initiate a Case and direct the customer to call the CSC or get a warning and allow the customer to proceed when the license plate they are attempting to add to their Account is active on another Account, other than a rental car Account.

2.12.1.5. Notifications 1257 The Contractor shall provide the capability, via the Self-Service Website, for customers to log in, view and print the Notifications associated with their Account. 1258 The Contractor shall provide the capability, via the Self-Service Website, for customers to view and print past Account Statements or invoices, or to generate an on-demand Account Statement or invoice, based on selection criteria for all Account Types. 1259 The Contractor shall provide the capability, via the Self-Service Website, for Violators to

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view and print Violation Notices including all associated Violation images. 1260 The Contractor shall provide the capability, via the Self-Service Website, to access toll evasion Notices, citations and/or collection letters associated with Unregistered Accounts and make payments. These documents can be accessed by the Violator using the vehicle license plate number and Jurisdiction and the Violator Account number (or other information to be defined during the Implementation Phase). 1261 The Contractor shall provide the capability, via the Self-Service Website, to display Configurable Notifications, including but not limited to:  allowable Flags related to the Account;  Transponder in certain status, for example, lost or stolen;  dispute status;  payments and  customer advisories. 1262 The Contractor shall provide the capability (Configurable), via the Self-Service Website, to require customer acknowledgement of Notifications and a record of that acknowledgement be recorded in the Account. 1263 The Contractor shall provide the capability, via the Self-Service Website, to allow customers to view, download and print any Notifications (PDF format) associated with their Account. 1264 The Contractor shall provide the capability, via the Self-Service Website, for the customers to download Statements in PDF or Comma Separated Value (CSV) formats. 1265 The Contractor shall provide the capability, via the Self-Service Website, for customers to obtain the detailed Account transaction history in PDF or CSV formats.

2.12.1.6. Web-Based Occupany Declaration 1266 The Contractor shall provide the capability for customers to change their number of people in the vehicle declaration (one (1), two (2) or three (3) or more people) by notifying LACMTA using the Self-Service Web prior to using the Toll Facility.

2.12.1.7. Website – Other Functionality 1267 The Contractor shall provide the capability, via the Self-Service Website, to query transactions and associated vehicle images for each Image-Based Transaction/Trip. 1268 The Contractor shall provide the capability, via the Self-Service Website, to initiate disputes. 1269 The Contractor shall provide the capability, via the Self-Service Website, for a customer to upload a file and have it associated to the Account and Case, if applicable. Such uploads shall be structured within a specific process where a category can be assigned and a Case opened for an Authorized User to verify, for example additional evidence for a dispute, or police report for a stolen vehicle. 1270 The Contractor shall provide the capability to limit the types of transactions, screens and activities customers can access via the Self-Service Website based on Account Attributes, including but not limited to:  Account Flags;  Account balance;

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 Account Status;  Account Type and  Business Rules. 1271 The Contractor shall provide the capability to automatically create a contact record in the User Account history for contacts made via the Self-Service Website. 1272 The Contractor shall provide the capability, via the Self-Service Website, for customers to enroll in various Discount Plans. 1273 The Contractor shall provide the capability, via the Self-Service Website, for customers to enter promotion codes on their Accounts. 1274 The Contractor shall provide the capability, via the Self-Service Website, to collect customer feedback using surveys. 1275 The Contractor shall provide the capability, via the Self-Service Website, for customers to set “opt in” and “opt out” options for certain Notification types, including but not limited to:  Statements;  Account -related notifications;  texts and  marketing/newsletters. 1276 The Contractor shall provide the capability, via the Self-Service Website, for customers to enter requests or customer feedback and add a feedback category via drop-down menu options. 1277 The Contractor shall provide the capability, via the Self-Service Website, to open a Case. 1278 Create Cases for customer requests via the Self-Service Website, including but not limited to:  requests for new Accounts;  general customer requests via “contact us”;  inventory requests;  disputes and  request for call back. 1279 The Contractor shall provide the capability, via the Self-Service Website, to view Case(s) associated with the Account. 1280 The Contractor shall provide, via the Self-Service Website, Web Chat capabilities where Account holders can exchange messages with an Authorized User. 1281 The Contractor shall provide, via the Self-Service Website, page(s) for information on hours of operation and locations for WICs. 1282 The Contractor shall provide, via the Self-Service Website, page(s) for information on hours of operation and phone numbers for the Customer Service Center. 1283 The Contractor shall provide, via the Self-Service Website, page(s) for general information about tolls and toll collection. 1284 The Contractor shall provide a link to the 511 website. 1285 The Contractor shall provide, via the Self-Service Website, a toll calculator application. 1286 The Contractor shall provide, via the Self-Service Website, the ability for Retailers to:  place orders;

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 view and pay open invoices and  initiate returns including printing and return materials form.

2.12.2. Self-Service Mobile Website The Contractor shall provide a Self-Service Mobile Website Designed to support mobile devices such as smart-phones and tablets. 1287 The Contractor shall provide a Self-Service Mobile Website specifically designed to operate with smart-phones and tablets, utilizing responsive design principles. 1288 The Self-Service Mobile Website shall provide the same features and functionality as the Self-Service Website. 1289 The Contractor shall provide a Self-Service Mobile Website that supports the latest versions of mobile operating systems, including but not limited to:  Apple iOS;  Android Web operating system;  Windows Phone operating system and  up to two (2) additional operating systems that are not currently in this list and are in the top five (5) operating systems used in the United States. 1290 The Contractor shall provide a Self-Service Mobile Website that supports the latest versions of mobile browsers, including but not limited to:  Safari;  Opera;  Android and  any other browser reaching five percent market penetration, as approved by LACMTA. 1291 The Contractor shall provide a Self-Service Mobile Website that supports the latest news or special announcements from LACMTA.

2.13. Telephony Systems 2.13.1. General Telephony Systems Requirements The CSC Operations Contractor is required to operate and maintain the telephony system at the CSC Operations Contractor selected CSC site and WIC(s).

1292 The Contractor shall provide a telephony system including an automated call distributor (ACD) that is fully integrated with the CSC customer contact system that is part of the BOS. The telephony system shall be capable of meeting the capacity requirements of the entire Operations Center and integrating with the phone system at LACMTA headquarters. 1293 The Contractor shall provide an integrated CSC customer contact system meeting the following requirements, including but not limited to:  fully integrated with the functional BOS;  fully integrated into the desktop environment;  supports all BOS CSR’s simultaneously and

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 supports all related functional requirements contained herein. 1294 The Contractor shall provide a telephony system which is designed to meet the Performance Requirements and availability requirements. 1295 The Contractor shall provide the capability to encrypt all voice traffic within the Private Branch Exchange (PBX) on the network. 1296 Utilize the existing LACMTA ExpressLanes toll free number through which customers can contact the CSC. 1297 The Contractor shall provide sufficient Session Initiation Protocol (SIP) to support 250 percent of the current call volumes. 1298 Support the transfer of a call to a CSR upon customer request and when the IVR System or the BOS is down when the Customer Service Center is open for operations. 1299 The Contractor shall provide the capability for the telephony system to be used to auto-dial customers, deliver messages, play the spoken name and ask the caller for a confirmation. This function shall be used when the BOS needs to convey messages to customers or make an automated outbound call. 1300 The Contractor shall provide a mechanism for LACMTA and the Operations Contractor to update the telephony message within 24 hours of the request. 1301 The Contractor shall provide a Customer Service Center Dashboard that allows operations management to monitor the performance of the Customer Service Center operations. 1302 The Contractor shall provide the capability to transfer call from the LACMTA phone system (via IVR or CSR) to the 511 System for traffic information.

2.13.2. Contact Center System 1303 The Contractor shall provide the capability to service and manage inbound customer calls via a robust customer contact system. 1304 The Contractor shall provide full integration between the customer contact system and the BOS, including but not limited to:  association of all customer contacts with the Account;  association of detail regarding the customer contact with the Account, for example, wrap codes and ad-hoc Authorized User entered information;  the availability, via the BOS application Account screens, of all customer contact records and  a dynamic Account message that informs customers of actions needed. For example, any Alerts on the Account shall be read to the customer by the CSR or the IVR. 1305 The Contractor shall provide the capability to record all conversations and associated screen movement and allow the synchronized replay of selected conversations and screen captures with the Credit Card information redacted. 1306 The Contractor shall provide the capability for the customer contact system to be trained to identify key words/phrases and provide notification to Authorized Users in real-time or upon request. 1307 The Contractor shall provide an integrated CSR quality review functionality such that the

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reviewer can listen to the call, watch the recorded screen movements and score the call against the configured criteria. 1308 The Contractor shall provide the capability for the customer contact system to automatically identify the reason(s) for the call based on key words/phrase. 1309 The Contractor shall provide the capability for CSRs to select and enter the reason(s) for the call. 1310 The Contractor shall provide the capability for Authorized Users (including the CSC Operations Contractor) to add/delete/modify survey questions for an after-call survey. 1311 The Contractor shall provide the capability for the customer contact system to provide a survey for the customers after the call. 1312 The Contractor shall provide the capability for Authorized Users (including the CSC Operations Contractor) to obtain the results of the after-call survey. 1313 The Contractor shall provide the capability to allow a supervisor to monitor or participate in real time the phone conversations between the CSR and the customer and view CSR screen navigations, including but not limited to:  just listen;  listen and talk only to CSR (coach) and  participate in a three-way call with the customer. 1314 The Contractor shall provide the capability for English and Spanish language options. 1315 The Contractor shall provide automated call routing based on customer selections. For example, if the customer selects the Spanish language option and then wishes to pay a Notice, the call is sent to a Spanish-speaking CSR with the ability to accept payments. 1316 The Contractor shall provide automated call distribution, including conditional routing to qualified Authorized Users. 1317 The Contractor shall provide for call routing based on conditions, including but not limited to:  time of day;  day of week;  Holiday schedule and  planned outage. 1318 The Contractor shall provide the capability for Authorized Users (including the CSC Operations Contractor) to configure the relevant parameters related to call handling, including but not limited to:  service levels;  skill levels;  language selection;  phone number and hours of operation for contact center;  locations of WICs;  conditional escalations;  prioritization of queues;  call routing rules;  call recording rules;

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 call wait-time rules;  music on hold selections and  message on hold selections. 1319 The Contractor shall provide the capability to specify and manage service levels. 1320 The Contractor shall provide the capability to notify Authorized Users regarding service level performance. 1321 The Contractor shall provide the capability to automatically move contacts between service groups to meet service levels and key performance indicators. 1322 The Contractor shall provide the capability to prioritize contacts. 1323 The Contractor shall provide the capability to reprioritize contacts in queue. 1324 The Contractor shall provide the capability to restrict outbound calling to only specific users. 1325 The Contractor shall provide the capability to make outbound pre-recorded calls. 1326 The Contractor shall provide the capability to manage outbound call campaigns. 1327 The Contractor shall provide the capability to manually initiate automated outbound calls to Accounts that meet specified criteria. 1328 The Contractor shall provide the capability for Authorized Users to be designated for both outbound and inbound calling. 1329 The Contractor shall provide the capability for virtual queuing, which allows customers to hang up while still keeping their place in the queue and receive a call a back when it is their turn rather than waiting on hold. 1330 The Contractor shall provide the capability to notify callers of the estimated wait time either on hold or for a call back. 1331 The Contractor shall provide expected wait time messages during the time the customer is on hold. 1332 The Contractor shall provide recorded audio while customers are on hold. 1333 The Contractor shall provide the capability to record messages to be played to on-hold customers. 1334 The Contractor shall provide for the interspersing of music for pre-recorded on-hold messages. 1335 The Contractor shall provide computer telephony integration to the BOS to display the User Account, including but not limited to:  screen pop based on inbound caller ID and  screen pop based on caller-entered information.  screen pop notifying CSR that customer has successfully authenticated 1336 The Contractor shall provide the capability for all inbound and outbound calls to be recorded. 1337 The Contractor shall provide the capability to prevent recording of Credit Card information, for example transfer the warm call to the IVR for payment and once payment is completed transfer back to CSR or provide the capability to automatically pause the recording while the customer reads the Credit Card information and then resume recording when done. 1338 The Contractor shall provide workforce management tools, including but not limited to:

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 forecasting contact volume based upon historical trends;  managing key performance indicators;  Dashboard monitoring of key performance indicators;  real-time reports for monitoring key performance indicators and  call recording on demand or automatically. 1339 The Contractor shall provide supervisory management tools, including but not limited to:  manage call recording profile by Authorized User;  record Authorized User on-screen activities;  Chat electronically with Authorized Users;  silently monitor calls;  initiate a three-way call;  remove the Authorized User from the call;  access real-time agent performance statistics and  access real-time group performance statistics. 1340 The Contractor shall provide the capability for Authorized Users (for example LACMTA staff) to remotely access real-time and historical performance information, including but not limited to:  overall customer call queue information;  specific call queue information, for example, information about only the Spanish queue or the dispute queue;  email queue information;  fax queue information  Chat queue information;  key performance indicators and  active Authorized Users. 1341 The Contractor shall provide the capability to manage customer contacts received by email. 1342 The Contractor shall provide the capability to respond to customer contacts received by email. 1343 The Contractor shall provide the capability for Authorized Users to manage customer contacts received by email using the customer contact system screens and the BOS. 1344 The Contractor shall provide full integration between the customer contact system emails and the BOS, including but not limited to:  association of all email customer contacts with the Account;  the availability, within the context of the BOS Account screens, of all email customer contact records and  the availability, within the context of the BOS Account screens, of all email customer contact detail (including the body of the email and all attachments).

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2.13.3. IVR System LACMTA intends for the IVR System to allow customers to perform all actions that they might ask of a CSR with the exception of certain functions that are specific to the role of an Authorized User, for example adding a non-revenue plan to a Transponder or changing the toll rate due to a System classification error. The IVR must provide all required functions in both English and Spanish.

In addition to the switchable Transponders, LACMTA may offer the ability to declare the number of people in the vehicle electronically. Under this approach, customers may change their mode (one (1), two (2) or three (3) or more people) by notifying LACMTA prior to using the Toll Facility. This notification may be done via IVR, web, mobile app, mobile website, or speaking with a CSR. The self-service notification methods are strongly preferred by LACMTA and as such, LACMTA is seeking innovative solutions to make it easy for the customer.

1345 The Contractor shall provide sufficient IVR processing capacity to support 250 percent of the current call volumes provided in Attachment 3: Estimated Volumes. 1346 The Contractor shall provide the capability to configure the IVR System, including but not limited to:  allowable number of failed authorization attempts;  allowable number of invalid responses and  allowable idle time. 1347 The Contractor shall provide the capability to view and configure the phone tree in graphical manner. 1348 The Contractor shall provide the capability for an Authorized User (including the CSC Operations Contractor) to have role-based access to the System to make all types of common IVR changes. 1349 The Contractor shall provide directed dialog natural language speech recognition for accessing information. 1350 Support bi-lingual (English and Spanish) interaction, and the Contractor shall provide the Interface that supports bi-lingual options for customer interaction. 1351 Support various modes of operation, including but not limited to:  BOS open hours when the IVR and CSR options are available to service the customer;  BOS off-hours when only the IVR is available to service the customer;  support temporary, but scheduled CSC shutdown periods (for team building events) during normal business hours and  conditions where the System is not functional, BOS is not open for operations, but the IVR System is operational. 1352 The Contractor shall provide the capability to verify customer identity and authorization prior to transferring the customer to a CSR. The verification authorization process shall be automated to minimize any delays for the customer. 1353 The Contractor shall provide the capability to pop-up customer information on the BOS screen so the CSR has all the customer information available when the call is received by the CSR. 1354 The Contractor shall provide for the retention of Account number, Notice number or other

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entered information (excluding any Credit Card information) to be made available to the CSR who takes the call should the customer exit the IVR and wish to speak to a CSR. 1355 The Contractor shall provide the capability to authenticate the customer using the IVR by requiring the customer to answer a Configurable number of questions and identify to the CSR whether or not the customer was able to successfully authenticate. For example, the customer provides the correct Account number, PIN and zip code and so the CSR is able to immediately begin discussing the Account information. 1356 The Contractor shall provide the capability for the caller to execute multiple options within the same call, for example return to previous menu and repeat prompt options. 1357 The Contractor shall provide English and Spanish speaking customers the ability to respond to the IVR by pressing designated keypad buttons on their phone or saying a response. 1358 The Contractor shall provide a single IVR recording voice talent per supported language and have consistency in voice volume and intonation over the duration of the Contract. 1359 The Contractor shall provide an accurate and fast speech recognition and Text-to-Speech engine. 1360 The Contractor shall provide the capability to fully integrate with the Payment Processor Approved by LACMTA for Credit Card information while maintaining compliance with PCI DSS requirements. 1361 The Contractor shall provide the capability for customers to manage their Account. 1362 The Contractor shall provide the capability for customers to access the Account using the PIN and one other piece of information, including but not limited to:  caller ID (ANI);  Account number;  license plate number;  Transponder number and  Notice number. 1363 The Contractor shall provide the capability to use surveys to collect customer satisfaction information. 1364 The Contractor shall provide the capability to limit the types of transactions and activities customers can access via the IVR based on Account Attributes, including but not limited to:  Account Flags;  Account balance;  Account Status;  Account Type and  Business Rules. 1365 The Contractor shall provide the capability for customers to add, edit and remove Credit Cards associated with the Account. 1366 The Contractor shall provide the capability for customers to make a one-time payment to the Account. 1367 The Contractor shall provide the capability for customers to enroll in auto replenishment and configure replenishment information. 1368 The Contractor shall provide the capability for customers to make a payment using an

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existing payment method on the Account without having to re-enter the payment method information. 1369 The Contractor shall provide the capability to accept Credit Card payments. 1370 The Contractor shall provide the capability to prevent customers from making payments in excess of a Configurable amount based on Account Attributes. 1371 Ensure the IVR does not store any of the Credit Card information that is input, including in recordings and logs. 1372 The Contractor shall provide detailed tracking of payments processed via the IVR. 1373 The Contractor shall provide an audio summary for the customer, including payment method details (last specific number of digits on the Credit Card) and amount, and request confirmation prior to allowing the customer to submit a payment. 1374 The Contractor shall provide the capability for customers to make a payment and have it applied toward the Account balance or a specific item on the Account. 1375 The Contractor shall provide the capability for Violators to make a payment and have it applied toward a specific item on the Account. 1376 The Contractor shall provide the capability for customers to obtain the last Configurable number of toll and non-toll transactions. 1377 The Contractor shall provide the capability for customers to obtain the last Configurable number of Financial Transactions. 1378 The Contractor shall provide the capability for customers to obtain the balance on the Account. 1379 The Contractor shall provide the capability for customers to request Statements with the option to select the delivery method. 1380 The Contractor shall provide the capability for customers to add, edit and remove vehicles and license plates from the Account. 1381 The Contractor shall provide the capability for customers to order Transponders and other inventory items. 1382 The Contractor shall provide the capability for customers to activate Transponders. 1383 The Contractor shall provide the capability for customers to change their mode (one (1), two (2) or three (3) or more people) by notifying LACMTA prior to using the Toll Facility. 1384 The Contractor shall provide the capability for customers to report lost/stolen Transponders. 1385 The Contractor shall provide the capability for customers to update the PIN. 1386 The Contractor shall provide the capability for customers to hear Notifications that have been sent. 1387 The Contractor shall provide the capability for customers to receive an email confirmation when Account updates or payments are made via the IVR. 1388 The Contractor shall provide the capability to automatically create a contact record in the User Account history for contacts made via the IVR. 1389 The Contractor shall provide the capability to comply with applicable calling regulations by handling do-not-call requests across the outbound and inbound operations. 1390 The Contractor shall provide IVR System reports that help determine how the IVR is

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functioning and its effectiveness, including but not limited to:  the number of calls routed to the IVR;  the number of new Accounts set up via IVR;  Account maintenance activities;  payments processed;  transaction history accessed;  requested customer support;  obtained general information and  the number of calls transferred to a CSR from the IVR.

2.14. Mobile Van and Mobile CSC Satellite Services LACMTA has a mobile van equipped to provide CSC satellite services. The CSC Operations Contractor will assume full responsibility for the maintenance and operation of the mobile van. From time to time, LACMTA will direct the CSC Operations Contractor provide mobile CSC satellite Services consisting of driving the mobile van to a specified location and directly performing Account sign-ups and other Services at remote locations using mobile equipment (e.g., wireless network connected laptops, mobile devices (tablets), printers, portable transponder readers, and Transponder supplies).

1391 The Contractor shall be responsible for acquiring equipment for a secure, wireless, internet-based, network access to the BOS System and three laptop computers, three mobile printers, and other technology required to perform the sign-ups and other services remotely. 1392 The Contractor shall consult with the CSC Operations Contractor prior to selecting and purchasing equipment. 1393 The Contractor shall support the CSC Operations in providing customer Walk-in Center Services at temporary or mobile satellite locations using the mobile van and System as specified by LACMTA.

2.15. Financial Requirements These financial requirements describe the functionality that must be present in the BOS for LACMTA to service customers and to record financial activity related to the BOS in its general ledger system. LACMTA does not intend to automatically record revenues from the BOS to its general ledger system, instead LACMTA will use BOS reports to record its revenues manually. LACMTA uses a modified accrual method of accounting and prepares financial statements in accordance with GAAP and GASB using a June 30 Fiscal Year end.

It is important that revenues associated with tolls are presented separately from other revenues (for example, fees and fines) and separated by Toll Facility. LACMTA utilizes reports detailing historical Collections to analyze and estimate future revenues from Violations. For this reason, it is important that the reporting enable LACMTA to analyze the period in which Violations occurred versus the period in which those Violations were paid.

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Prepaid tolls shall be deposited to a bank account held by LACMTA until such time as an action on the Account causes such funds to be depleted. Such actions include but are not limited to: customer incurring tolls on an LACMTA Toll Facility; customer incurring Tolls on an Interoperable Agency facility; Account incurring a fee; returned check being processed on the User Account; customer requesting a refund and customer requesting Account closure.

The BOS is the conduit between the R Toll Facilities and customers; Interoperable Agencies; Retailers and Third-Party Service Providers and Business Partners. The Contractor shall provide a method or methods by which LACMTA can reconcile all transactional and financial interactions between the BOS and customers; Interoperable Agencies and Third-Party Service Providers, and Business Partners. The Contractor also shall also provide a method or methods by which LACMTA can reconcile all transactional and financial interactions between the BOS and LACMTA.

2.15.1. General Financial Requirements Financial reports shall not change once the Revenue Day is closed. The Revenue Day is typically closed by a semi-automated process once a series of reconciliations is performed to ensure all transactions have been appropriately received and processed. While LACMTA may elect to correct immaterial variances and discrepancies (for example, if a handful of transactions were not processed) after the Revenue Day has been closed, material discrepancies (for example, an entire unprocessed payment or transaction file) must be corrected before the Revenue Day is closed. Once the Revenue Day is closed, any adjustments or corrections to transactions that occurred in that Revenue Day must be made in the current Revenue Day.

LACMTA does not intend to use the BOS as its general ledger system, nor does LACMTA intend to feed data from the BOS automatically to its general ledger. LACMTA intends to use exports and reports from the System to record the financial entries into LACMTA’s financial system. The System must utilize GAAP-compliant methods to record financial activity between the Toll Facilities and the BOS and between the BOS and customers; Interoperable Agencies and Third-Party Service Providers and Business Partners. The Contractor shall: 1394 The Contractor shall provide an integrated, Configurable, self-balancing GAAP-compliant accounting Module for all transactions. 1395 The Contractor shall provide for double entry recording of all Financial Transactions. 1396 Separate financial data shall be maintained for each Toll Facility, each CTOC Agency, each Interoperable Agency, each Collection Agency and each Third Party Business Partner and Service Provider. 1397 Create automatic journal entries for recording and tracking all transactions and payment events. 1398 The Contractor shall develop a journal entry template for every BOS transaction that impacts revenue, liability balances (for example, Registered or Unregistered Accounts) or asset balances (for example, Accounts receivable) to be Approved by LACMTA. 1399 The Contractor shall provide an audit trail for each transaction, which shall reflect the source of each transaction, all adjustments to the transaction and the current status of the transaction and/or the final disposition of the transaction. 1400 Every payment that resulted in a receivable being marked paid shall be traceable to the receivable(s) it paid. 1401 Every paid receivable shall be traceable to one or more payments that were allocated to its

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payment.

2.15.2. Transaction Recording Toll transactions are initiated by an originating LACMTA Toll Facility through transmission of a transaction/trip from the RTCS to the BOS and posted to User Accounts. LACMTA is currently Interoperable with all California toll agencies through its participation in the California Toll Operators Commission (CTOC). LACMTA intends to become Interoperable with other Interoperable Agencies outside of CTOC during the term of this Contract. LACMTA also intends to become Interoperable with non-toll transaction facilities (for example, parking) during the term of this Contract. These transactions also are posted against the Financial Accounts. These include transactions such as a toll or a fee and the transaction activities that affect them, such as billing a transaction or sending it to Collections. All transactions and transaction activities are recorded against Financial Accounts. 1402 Record all BOS activities, including but not limited to:  when a new transaction/trip is received from the RTCS;  when an amendment is made to a transaction/trip by the BOS;  when an amendment is made to a transaction/trip by a Collection Agency;  when a new or amended transaction is received from a CTOC Agency;  when a new or amended transaction is received from an Interoperable Agency;  when a new or amended non-toll transaction (for example, parking) is received;  when a fee, penalty or any transaction is assessed by the BOS;  when a fee, penalty or any transaction is collected;  when a fee, penalty or any transaction is waived, voided or otherwise reversed;  when a fee, penalty or any transaction is adjusted and  when there is a change in the Status or workflow stage of a fee or penalty or another transaction. 1403 All entries to the System shall consider payable and receivable balances between, including but not limited to:  the customer and the BOS;  the BOS and LACMTA;  the BOS and Collection Agencies;  the BOS and CTOC Agencies;  the BOS and Interoperable Agencies and  the BOS and Third-Party Service Providers and Business Partners. 1404 The System shall provide the capability of recording a payable to or receivable from LACMTA, a Collection Agency, a CTOC Agency, an Interoperable Agency, a Third-Party Service Provider or Business Partner simultaneously with the recording of a customer payment against a transaction. 1405 Create all financial entries as individual records, which may be used in combination with other financial entries to make a net effect, but do not allow the original entry to be modified. For example, a transaction was originally posted to an Account at the I-Toll rate of $2.00, and later it is determined the transaction shall be charged at the FasTrak rate of

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$1.70, in which case, a credit of $2.00 is posted to reverse the original transaction and the correct amount of $1.70 is Posted. The sum of the original transaction and all adjustments shall not be lower than zero (for example, a credit adjustment shall not exceed the original transaction amount). 1406 Ensure each debit entry to a Financial Account has a corresponding and equal credit amount and each credit entry to a Financial Account has a corresponding and equal debit amount so the Financial Accounts balance at all times. 1407 The Contractor shall provide reports in summary and in detail on the Financial Accounts. BOS reports shall be provided that reconcile to the Financial Accounts.

2.15.2.1. Shared Facility Toll Transaction Recording There are occasions when toll transactions/trips will occur on shared facilities. The revenue generated on shared facilities is shared by two or more Toll Facilities or entities. The BOS must have the ability to separate and properly attribute revenues to the entities that share these facilities.

1408 The Contractor shall provide the capability to attribute the revenue associated with a single transaction to one or more Toll Facilities or entities. A customer’s use of shared facilities requires a Configurable amount or percentage of the toll be attributed to the Toll Facilities or entities that share the facility. 1409 The Contractor shall provide the capability to attribute the fee and/or penalty revenue associated with a single transaction to one or more Toll Facilities or entities. Fee and penalty revenue associated with shared facilities requires a Configurable amount or percentage of the toll be attributed to the Agencies or entities that share the facility.

2.15.2.2. Fee and Penalty Transaction Recording Fees and penalties are charged to customers at a variety of different escalations in status or workflow stage, including but not limited to:  when a Notice of Toll Evasion Violation is generated;  when an Transponder Switch Setting Error Alert is generated;  when a Notice of Delinquent Toll Evasion Violation is generated;  when transactions/trips are sent to Registration Hold;  when transactions/trips are sent to Collections and  when a FasTrak Account is sent to Collections. Fees may also be charged when certain transactions/trips are posted to an Account, including but not limited to returned checks, chargebacks, failed FasTrak Account replenishment, Excessive I- Tolls and for Accounts below the Insufficient Balance Threshold.

Fees and penalties can be incurred at the trip level or at the Account level. In the case of fees and penalties for shared facilities, the Toll Facilities will share in the fee and penalty revenue in accordance with the Approved Design.

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2.15.3. Customer Transaction Settlement Customer transaction settlement is the payment of Tolls, fees and penalties by the customer. Customer transaction settlement also includes any payment reversals, chargebacks and refunds.

Funds collected from customers and Interoperable facilities are deposited into bank account(s) established by LACMTA. Payments are issued from these accounts(s) including: 1. Customer Refunds issued by check to customers on weekly basis, however the frequency shall be flexible. 2. Payments are made to Interoperable facilities on a monthly basis, however frequency shall be flexible. 3. Funds in excess of a Configurable threshold will be swept into a LACMTA controlled account to be held on account until and unless the cash is needed to fund LACMTA’s BOS short-term bank account.

2.15.3.1. Customer Payments Payments and other receipts shall be processed by the BOS in accordance with the following requirements: 1410 Payments are collected from the following payment sources. The number and names of payment sources shall be Configurable and include but are not limited to:  merchant accounts;  DMV;  Collections;  Lockbox;  check payments (processed at WICs);  cash payments (processed at WICs);  Money Services;  Interoperable Agencies and  Retailers.

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1411 The Contractor shall provide the capability to establish deposit accounts within the BOS and map those deposit accounts to BOS Modules, including but not limited to Financial Account, deposit reports and bank reconciliation. For example, deposits to the Lockbox bank account are recorded in the Financial Account associated with the Lockbox bank account. 1412 The Contractor shall provide the capability to map deposits by payment source to default bank accounts. For example, deposits received from the Lockbox Service Provider are mapped in the System as received from the Lockbox Service Provider and being deposited to the bank account to which the Lockbox Service Provider makes its deposits. 1413 Funds shall be disbursed from the following payment sources. The number of names of payment sources shall be Configurable and include but are not limited to:  customer refund account;  Interoperable Agency and Parking payment account and  LACMTA remittance account. 1414 The Contractor shall provide the capability to establish disbursement accounts within the BOS and map those disbursement accounts to BOS Modules, including but not limited to Financial Account, disbursement reports and bank reconciliation. 1415 The Contractor shall provide the capability to map disbursements by disbursement type to default disbursement accounts. 1416 Payments shall be applied to User Account balances on a Configurable basis (default order is automatically assigned by the BOS), including but not limited to:  Tolls on the Violations;  penalties on the Violations;  Tolls in Collections;  fees in Collections;  Collection Agency fees related to Accounts in Collections;  past due tolls;  past due fees;  past due penalties;  current tolls;  current fees;  transactions/trips not yet noticed and  unapplied (for example an Account-level credit/overpayment). 1417 The default Posting order can be manually overridden by Authorized Users.

2.15.3.2. Disbursements Disbursements will be made to customers for overpayments and refunds and also made to Interoperable Agencies, Retailers and Third-Party Service Providers and Business Partners. 1418 The BOS shall support the processing of disbursements, including but not limited to:  customer refunds;  settlement with Interoperable Agencies;  settlement with Retailers and  settlement with Third-Party Service Providers and Business Partners.

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1419 The Contractor shall provide the Configurable capability to automatically identify Accounts that are eligible for refund processing and present those refunds for review and approval based on various activities on the Account (require review before a refund would be processed), including but not limited to:  closing of an Account;  unapplied payments (for example, a payment that has been received and deposited but cannot be posted to an Account and needs to be refunded);  overpayment on an Account and there are no outstanding Violations or unbilled tolls that need to be paid and  overpayment of a Violation and there are no other outstanding Violations or toll transactions/trips that need to be paid. 1420 The Contractor shall provide the capability for an optimized and streamlined (minimized number of steps) process for refunds based on the original transaction and confirm such refunds are reflected on the User Account history. For example, upon receipt of a customer request to close an Account and after the appropriate waiting period has elapsed, an Authorized User shall have the capability to approve a refund without the need to research and indicate refund method and, in the case of Credit Card refunds, select or input the card number; the System shall have the capability to automatically allocate approved refunds to the correct refund type and card number. 1421 The Contractor shall provide the capability to issue refunds to the payment method that was used to create the credit balance. 1422 The Contractor shall provide the capability to issue electronic refunds (for example, by Credit Card) to the Credit Card used to make the payment, including but not limited to those Credit Card that are not stored on the User Account. For example, the BOS can utilize a payment reference number to trace back to a payment method without the need for the System to retain the card information. 1423 The Contractor shall provide the capability to issue refunds by check if the Account does not provide for an electronic method or if the electronic method is invalid (for example, if the Credit Card is expired). 1424 If required in order to comply with the merchant agreement or any other agreements or regulations, provide the capability to issue a single refund using more than one payment method. For example, a single refund amount may be issued to multiple Credit Cards and/or by check. 1425 The Contractor shall provide the capability to issue refunds by check for overpayments on, including but not limited to:  prepaid tolls;  Violations;  fees and  penalties. 1426 The Contractor shall provide the capability to prevent refunds of greater than the amount of the original transaction amount or the prepaid balance, adjusted for any prior refunds. 1427 The Contractor shall provide the capability for automated processing of approved refunds

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after a Configurable hold period. 1428 The Contractor shall provide the capability to send an Operational Alert Notification to the PMMS when eligible refunds are due. 1429 The Contractor shall provide the capability to expedite a refund if the customer requests to have a refund issued before the Configurable hold period has elapsed, for example when a customer is due a refund because a check was cashed for the wrong amount due to Lockbox error. 1430 The Contractor shall provide the capability to require authorized approval for refunds. For example, refunds in excess of a Configurable amount or refunds for goodwill credits for which there is no associated payment are routed for approval through Cases. 1431 The Contractor shall provide the capability to track and associate all refunds to the original payment on the Account. 1432 The Contractor shall provide the capability to display detailed Credit Card settlement activity for refunds by payment method. 1433 The Contractor shall provide the capability to prevent the automatic issuance of refunds if the Account has an outstanding balance due; such refunds require the approval of an Authorized User through Cases. 1434 The Contractor shall provide the capability to send a refund Notification electronically and/or by mail to all customers who are issued a refund.

2.15.3.3. Escheatment (unclaimed property) The BOS shall allow for comments to be entered in Accounts that are eligible for Escheatment and a Flag shall be available to indicate when an Account was subjected to Escheatment procedures.

1435 The Contractor shall provide the capability to enter comments and update Statuses and Flags to indicate to an Account was subjected to Escheatment procedures.

2.15.3.4. Write-Off of Unpaid Balances The BOS shall have the capability of processing Write-Offs at LACMTA’s discretion. The BOS must accommodate both automatic and manual Write-Off of unpaid balances and Toll Transactions. These write-offs will include bulk Write-Offs of a group of transactions which meet Configurable criteria and individual transactions/debts. This process shall be conducted in an efficient and streamlined manner. The BOS shall provide reporting detailing balances subject to Write-Off and the details of the transactions/debts written-off.

1436 The Contractor shall provide the functionality to accept payment on transactions/trips that have been written-off, for example reverse the Write-Off in the amount of the payment and apply the payment. 1437 The Contractor shall provide for Write-Off codes which shall provide the selection of a Write-Off reason for each transaction. 1438 The Contractor shall provide for the Write-Off of individual transactions by Authorized Users. 1439 The Contractor shall provide for the bulk Write-Off of transactions by Authorized Users. 1440 The Contractor shall provide the capability for the BOS to automatically Write-Off

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transactions/debts based on Business Rules, for example, write-off balances after X configurable days if no action. 1441 The Contractor shall provide for the cessation of Status or workflow stage and collection effort following Write-Off. 1442 The Contractor shall provide the capability to require a reason for each Write-Off, for example, debt reduction negotiation or debt older than “x”. 1443 The Contractor shall provide the capability for the BOS or the applicable Authorized User to select the appropriate Write-Off reason. 1444 The Contractor shall provide the capability to search for types of debt and Write-Off the selected group of debts. Types of debts include but at not limited to:  fees;  penalties and  tolls.

2.15.4. Reconciliation and Settlement – General Requirements Balancing and reconciliations are integral to the BOS operation. Therefore, these processes shall be integrated within the BOS.

The Contractor shall provide a BOS capable of handling reconciliations within the System, as opposed to on spreadsheets or through other mechanisms outside the System. For example, the BOS shall be capable of accepting data from the bank(s) and Merchant Service Provider(s) to reconcile Credit Card deposits within the System. Exceptions shall be tracked as Cases within the System and reconciliation reports are generated by the System. The System shall not require that data be exported from the BOS, from the bank(s) and from the Merchant Service Provider(s) to be combined, compared and reconciled in a spreadsheet.

1445 The BOS shall track and reconcile 100 percent of the transactions it receives from each individual RTCS. 1446 All BOS transaction reconciliation shall be based on Revenue Day which, for transactions/trips, is the Revenue Date transmitted in the transactions/trips; for operations and payments activities, it is the day the event occurred. 1447 The Contractor shall provide the capability to close a Revenue Day upon the final reconciliation of the transactions and revenue. The completion of the Revenue Day closure process finalizes the counts and revenue for the Revenue Day. Upon the closure of the Revenue Day the data on Revenue Day reports shall not change. 1448 The Contractor shall provide the capability to close a Revenue Month similar to the Revenue Day closure process. 1449 The last Revenue Day of a Revenue Month shall remain open for adjustments until both the Revenue Day and the Revenue Month have been closed. 1450 The Contractor shall provide the capability to close a Revenue Year similar to the Revenue Month closure process. 1451 The last Revenue Day of a Revenue Year shall remain open for adjustments until the Revenue Day, Revenue Month and Revenue Year have been closed. 1452 The Contractor shall provide the capability to investigate and correct all exceptions and

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discrepancies identified during the process. For example, if the total of the bank deposits does not equal the total of bank deposits per the BOS, then detailed reports relating to the deposits in question must be available. Corrections shall be made and approved by Authorized Users. 1453 All reports shall indicate the status of the reconciliation. For example, when a user runs a report containing data for a Revenue Day which has not yet been closed, the report shall contain some indication the data in the report is preliminary or subject to change.

2.15.4.1. Banking Reconciliation and Settlement 1454 The Contractor shall provide the capability to reconcile all financial activity, including but not limited to:  deposits;  credits;  disbursements;  returned items and  chargebacks. 1455 The Contractor shall provide for the daily Balancing of activity at the transaction level by Payment Type. 1456 The Contractor shall provide for the identification of exceptions by transaction. 1457 The Contractor shall provide the capability to allow Authorized Users to make adjustments to exceptions and reprocess the automated reconciliation. 1458 The Contractor shall provide the capability to open a Case for reconciliation exceptions.

2.15.4.2. Bank Deposit Reconciliation and Settlement The BOS deposits funds collected by mail and in the WICs. These funds are deposited by the BOS directly into BOS bank accounts. These deposits must be balanced and reconciled on a daily basis and monthly basis. 1459 The Contractor shall provide an automated Interface to reconcile bank deposits.

2.15.4.3. Reconciliation and Settlement with Merchant Service Provider The BOS initiates Credit Card transactions with one or more Merchant Service Providers. Funds collected through the merchant accounts by the Merchant Service Provider are deposited directly into BOS bank accounts. 1460 The Contractor shall provide an automated Interface to reconcile transactions initiated with the Merchant Service Provider(s).

2.15.4.4. Reconciliation and Settlement with Lockbox The BOS utilizes a Lockbox to process customer check payments. Payments sent to the Lockbox will be processed by the Lockbox Service Provider and deposited directly into BOS bank accounts.

1461 The Contractor shall provide an automated Interface to reconcile Lockbox deposits.

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2.15.4.5. Reconciliation and Settlement with LACMTA The daily reconciliations between the RTCS and the BOS shall address transactions and payments.

The transactional reconciliations shall be handled by the BOS. The RTCS will transmit a transaction/trip to the BOS, which the BOS shall acknowledge and thereafter begin the Posting/billing process.

The reconciliations related to payments shall address payments being made by the BOS to LACMTA. These payments are a result of payments being collected from customers, processed and remitted to LACMTA in settlement of balances due.

1462 The Contractor shall provide the capability to track payables and receivables between the BOS and LACMTA based on customer payments, payment reversals and Posting of payments to transactions/trips. 1463 The Contractor shall provide the capability to track payables to and receivables from LACMTA based on BOS remittances to these entities. For example, when a settlement payment is made to LACMTA, LACMTA’s payable Financial Account is debited and the Financial Account corresponding to the bank account from which the payment is made is credited. 1464 The Contractor shall provide electronic Notification of daily reconciliation and monthly settlement to LACMTA. For example, Authorized Users at LACMTA receive an Alert (which could be an email including the completed reconciliation as an attachment or link) when the daily reconciliation is completed and Revenue Day closed. 1465 The Contractor shall provide for reconciliation of daily activity and transactions with the Toll Facilities.

2.15.4.6. Reconciliation and Settlement with CTOC Agencies and Interoperable Agencies The BOS shall remit funds collected from customers to the CTOC Agencies and Interoperable Agencies in accordance with the following requirements:

1466 The Contractor shall provide the capability to track payables and receivables between the BOS and the CTOC Agencies and Interoperable Agencies based on customer payments, payment reversals and Posting of payments to transactions/trips. 1467 The Contractor shall provide the capability for the credit memo process to handle disputes and credits initiated by customers of CTOC agencies. 1468 The Contractor shall provide the capability to track payables to and receivables from the CTOC Agencies and Interoperable Agencies based on BOS remittances to the CTOC Agencies and Interoperable Agencies. For example, when a settlement payment is made to an Interoperable Agency, the Interoperable Agency payable Financial Account is debited and the Financial Account corresponding to the bank account from which the payment is made is credited. 1469 The Contractor shall provide electronic Notification of daily reconciliation and settlement of CTOC Agencies and Interoperable Agencies to LACMTA. For example, Authorized Users at

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LACMTA receive an Alert (which could be an email including the completed reconciliation as an attachment or link) when the daily reconciliation is completed and Revenue Day closed. 1470 The Contractor shall provide for reconciliation of daily activity and transactions/trips with the CTOC Agencies and Interoperable Agencies in accordance with the applicable Interoperability agreement(s). 1471 The Contractor shall provide capability to generate periodic invoice for CTOC and Interoperable Agency toll charges. The invoice shall be based on reconciled files for each month even if the reconciliation files were received in the following month. Any manual adjustments during the invoice period shall be included in the invoice with the necessary Credit/Debit Memo as identified in the CTOC User Fee Contract. Payments from Interoperable/CTOC Agencies shall be posted against the invoice. 1472 The Contractor shall provide capability to enter invoices from CTOC Agencies and Interoperable Agencies to match that with the files in the BOS including any Credit/Debits that were authorized by the Interoperable/CTOC Agency. Payments to the CTOC Agency or Interoperable Agency shall be made after the reconciliation of the invoice with the BOS.

2.15.4.7. Reconciliation and Settlement with Retailers, Money Services Providers, Third-Party Service Providers and Business Partners

1473 The Contractor shall provide for reconciliation of daily activity and transactions with Retailers, Money Services Providers, Third-Party Service Providers and Business Partners.

2.16. Searches Customers routinely contact the BOS by phone, through the IVR and through the website without knowing their Account number, PIN or vehicle license plate numbers. The BOS is expected to provide quick, yet secure access to an Account when a customer can positively identify him/herself as the Account holder.

A CSR should quickly be able to search for a customer by any data entry field available on the Account, including but not limited to: name, address, license plate number, telephone number, last four digits of Credit Card, Transponder number and Account number. The search should include the ability to search by wildcards and provide results similar to a web search, with the results providing enough detail to permit the CSR to determine and select the correct Account from the search results screen. Furthermore, the system should allow users to select primary and secondary search criteria.

2.16.1. Search General 1474 The Contractor shall provide comprehensive on-screen drill-down capabilities from summary levels down through the most detailed transaction level, including images if available. 1475 The Contractor shall provide the capability to initiate a search from any screen in the BOS and return to that location after completing the search.

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1476 The Contractor shall provide the capability to select a record in the results grid and view the details and then return to the previous results grid to view additional items without having to re-enter the search criteria or re-run the search. 1477 The Contractor shall provide the capability to select record(s) to use in actions, for example obtaining detailed record information from the search results grid. 1478 The Contractor shall provide the capability to manipulate the field in grid results for all searches, including but not limited to:  drag and drop fields and columns to shift the order they appear;  sort by any fields shown on the grid;  sort alphanumerically by any fields shown on the grid;  sort by multiple fields (for example, sort by last name and then first name and then address so that all results with the last name “Smith” shall be sorted by first name and all the results with the name “John Smith” shall be sorted by address);  add a field to the grid and  remove a field from the grid. 1479 The Contractor shall provide advanced search capabilities where fields can be picked from a drop-down list and added to the effective criteria to be applied toward the search or report. Drop-down lists shall dynamically narrow down the available selection list as the user is typing. 1480 The Contractor shall provide the capability to use single and multiple character “wildcards” along with other commonly used search methods in all applicable fields of the search screens. A wildcard is a character used as part of the search criteria to represent one or more unspecified characters. The system shall not require the use of wildcards in lieu of leaving the field blank. 1481 Searches shall have an optimized data fetching algorithm so BOS performance is not impacted by large result sets. 1482 The Contractor shall provide the capability to specify a date range for any date in the search. 1483 The Contractor shall provide the capability to specify a number range for any number in the search, for example, Account number 1055 – 2000. 1484 The Contractor shall provide the capability to search by any attribute, combination of attributes and attribute ranges. 1485 The Contractor shall provide comprehensive multi-field search criteria on all reports and screen searches. Search criteria shall include all fields and related attributes found in the search results grid. 1486 The Contractor shall provide the capability to search, by full or partial value and view all stored information regarding transactions, images, Statements, Notices, Account activity and notifications for user selected criteria, including but not limited to the following fields. Some search criteria may be available only in conjunction with other search criteria (for example, paid transactions/trips enabled only if an Account number is specified):  transaction ID;  transaction type;

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 location of transaction (Toll Facility, Plaza, zone/lane);  transaction number;  Transaction Date;  Transaction Date range;  transaction Posting Date;  Transponder type;  Transponder number;  license plate number;  license plate type;  license plate Jurisdiction;  Account number;  customer name (Last, First, Middle, Suffix);  customer address (Street, City, State, ZIP) and type of address;  any Account Attribute;  user ID;  Statement, Notice or invoice number;  Account Flags;  address type;  bad address;  Violation number;  transaction disposition status (for example, paid);  Payment Type;  payment receipt number;  payment method;  check, money order or cashier’s check number;  last four (4) digits of the Credit Card number and card expiration date;  transaction amount and  comments.

2.16.2. Transaction Search 1487 The Contractor shall provide the capability to search for and deliver all transactions/trips which meet the search criteria regardless of in the status of the transaction or the status of the Account to which the transaction is assigned. 1488 The Contractor shall provide the capability to search for transactions/trips which meet the search criteria with the result delivering multiple transactions, if applicable.  transaction ID;  transaction type;  location of transaction (Toll Facility, Toll Zone/lane);  transaction number;  Transaction Date;

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 Transaction Date range;  transaction Posting Date;  transaction reason code;  Transponder type;  Transponder number;  license plate number;  license plate type;  license plate Jurisdiction;  Account number;  user ID;  Statement, Notice or invoice number;  Violation number;  transaction disposition status (for example, paid, unknown at DMV or written-off);  Payment Type;  payment receipt number;  payment method and  transaction amount.

2.16.3. Account Search 1489 The Contractor shall provide the capability to search for Accounts which meet the search criteria with the result delivering multiple Accounts. 1490 The Contractor shall provide the capability to search by key fields and identify potential duplicate Accounts. 1491 The Contractor shall provide the capability for Authorized Users to search and view all information related to a specific Account. This shall include the complete detailed Account history since Account inception and capability of filtering and sorting by type of information, including but not limited to:  toll transaction;  non-toll transaction, for example, parking;  Financial Transaction;  Notifications (includes letters and Violation Notices);  Registration Holds placed and released;  Collections Placements;  Evidence Packages;  Cases opened and closed;  all payment related events, including replenishment failures;  Account Statuses changes;  complete address history;  complete email address history;  complete vehicle history (what plates were active on the Account and when);

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 complete change tracking (what data was changed, when and by whom);  last Account access by the customer and via what Interface;  date and time of last toll transaction;  date and time of last Financial Transaction;  Transponder activities and statuses and  Account maintenance activities. 1492 The Contractor shall provide the capability to display the Account running balance in Posting Date chronological order.

2.16.4. Case Search 1493 The Contractor shall provide the capability to search and view all stored information regarding cases, including but not limited to:  summary information;  Toll Facility;  Case number (uniquely identifies the Case record);  priority (out of a predefined range);  source of Case;  status;  number of days since creation;  number of days since last Authorized User touch;  due date and time;  total time spent working on the Case;  total time spent by a specific Authorized User or specific department;  related Accounts and/or records;  description/free-form notes on the Account;  date of action;  time of action;  Authorized User who took action;  time required for action and  action description (free-form data or notes section). 1494 The Contractor shall provide the capability to search and view Case management, including but not limited to:  total number of open Cases;  total number of open Cases, per department;  total number of open Cases, per Authorized User;  total number of open Cases by type;  total number of overdue Cases;  total number of processed Cases;  total number of Cases processed per unit of time;  total number of Cases processed per department;

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 total number of Cases processed per Authorized User;  response time statistics – overall;  response time statistics, per department and  response time statistics, per Authorized User.

2.16.5. Toll Rate DMS Search 1495 The Contractor shall provide the capability to identify and retrieve DMS images and associated date into a search results grid, including but not limited to:  by facility;  by toll zone,  by date and time range.

2.16.6. Comment Search 1496 The Contractor shall provide the capability to identify and retrieve comment records into a search results grid, including but not limited to:  individually by category;  summarized by category;  individually by time period and  summarized by time period.

2.16.7. Transponder Search 1497 The Contractor shall provide the capability when searching by Transponder number to display all Accounts the Transponder has ever been associated with including Account number, Account Type, the date and time the Transponder was added to and removed from the Account and the current status of the Transponder on each Account. For example, this search might yield two (2) Accounts with the Transponder identified as being Active on one Account and lost on the other. 1498 The Contractor shall provide the capability when searching by Transponder number to display all Notifications issued related to that particular Transponder. For example, this search might yield an “Excessive I-Toll” Notification and a “Transponder recall Notification” for a particular Transponder. 1499 The Contractor shall provide the capability when searching by Transponder number to display all statuses the Transponder has been in along with the date and time the Transponder entered that status. 1500 The Contractor shall provide the capability when searching by Transponder number to display all inventory locations which the Transponder has been in along with the date and time the Transponder was placed in each location.

2.16.8. License Plate Search 1501 The Contractor shall provide the capability when searching by license plate and Jurisdiction

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to display all Accounts the license plate has ever been associated with and all notifications issued related to that license plate. For example, this search might yield two (2) Accounts and five (5) Violation Notices for a particular license plate. 1502 The Contractor shall provide the capability when searching by Transponder number to display all Accounts the Transponder has ever been associated with and all notifications issued related to that particular Transponder. For example, this search might yield two (2) Accounts, an “Excessive I-Toll” notification and a “Transponder recall Notification” for a particular Transponder.

2.16.9. Notification Search 1503 The Contractor shall provide the capability to search by and view all stored information regarding Notifications, including but not limited to:  first name;  last name;  mailing address;  name of specific Notification;  Notification item, for example, Statement, Credit Card expiration, Violation Notice or Account establishment Notification;  distribution channel;  creation date;  print date;  mail date;  date that action on the Notification is due;  date(s) of any change in Notification piece status;  name of the Authorized User(s) who reviewed or approved the Notification for mailing;  return mail (if applicable);  Account number;  Transponder number;  license plate number and Jurisdiction;  dollar range associated with the Notification and  dollar amount associated with the Notification. 1504 The Contractor shall provide the capability for Authorized Users to scan the barcode, scan line or quick response code on BOS-issued returned Notifications and automatically be taken to the appropriate processing screen, including but not limited to:  the User Account that the Notification belongs to;  the appropriate Notice processing screen and  the Case the Notification belongs to. 1505 The Contractor shall provide the capability for Authorized Users to scan and process BOS- issued returned Notifications in bulk where possible (for example, provide the capability to scan multiple pieces of return mail where no forwarding address was provided into the

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system for processing without the need to access each Account). 1506 The Contractor shall provide the capability to allow Authorized Users to select and print Notification pieces directly from the Notification search screen. 1507 The Contractor shall provide the capability to allow Authorized Users to select and print Notification pieces directly from the Account. 1508 The Contractor shall provide the capability to allow Authorized Users to email a PDF version of the Notification piece directly from the Account. 1509 The Contractor shall provide the capability to allow Authorized Users to download a PDF version of the Notification piece directly from the Notification search screen. 1510 The Contractor shall provide the capability to allow Authorized Users to download a PDF version of the Notification piece directly from the Account.

2.17. Reporting Requirements Because reporting is integral to the BOS, reporting functionality must be streamlined, quick, intuitive and user-friendly.

The System is expected to deliver accurate reports in a usable format. The format of reports is different across various user groups that use the reports for different purposes. For example, the finance departments may desire some reports in an Excel format so the data can be manipulated and analyzed. Other reports may be more desirable in a PDF format to better guarantee the integrity of the report data for audit purposes. The System is expected to deliver all reports in a variety of selectable formats.

It also is expected that reports are flexible enough to allow users to make changes to reports “on the fly”. For example, a report may include all the data elements required by a user for analyzing past due receivables with the exception of a single data field. The Authorized User must have the ability to add that data field to the report without the need for custom report generation or programming by the Contractor.

Some reports are best displayed as of a point in time (for example, receivable balances) while other reports are best displayed for activity over a range of time (for example, cash collected for a specific period of time). Users often have a need to generate reports that include historical balances as of the end of a particular Revenue Day. It is expected that the System track, calculate and maintain such Revenue Day-end balances such that retrieval of historical information is easily accomplished. Users also often have the need to generate reports that include information regarding historical transaction activity over a range of time both in summary and in detail. It is expected that the System provide the functionality to quickly and accurately deliver such reports to the user in a usable format.

Standardized reporting shall be achieved via canned and ad-hoc reporting Interfaces using both the production database for real-time reporting and reports Server/database for more complex, non- real-time and/or data intensive reports.

Reporting is a critical element of any business organization and is required by LACMTA to:  provide for transaction and revenue reconciliation and investigate discrepancies;  monitor System and operational performance;  monitor human performance and business process efficiency;

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 ensure compliance to Performance Requirements;  reconcile toll transactions/trips to individual Toll Facilities;  reconcile third-party financial and transactional interactions;  assess the impact of policies and Business Rules;  identify ways to improve the quality of service provided to customers;  comply with Reciprocity reporting requirements and  evaluate the success of the toll collections.

Reports are broken into four broad categories:  Informational Reports – provide information about transactions moving through the revenue cycle.  Financial Management Reports – provide information which enables LACMTA to record in its general ledger system financial activity related to the BOS. These reports also enable LACMTA to perform analyses on transactions submitted to the BOS for processing, including but not limited to analyzing billing and collection trends.  Operations Reports – provide the data necessary for the Contractor and LACMTA evaluate the Contractor’s performance against the Performance Requirements and provide the reporting necessary to prepare and support the Contractor’s monthly bill to LACMTA. The operations reports also provide LACMTA with the data necessary to monitor its operations staff.  Interface Reconciliation Reports – provide the reports necessary for LACMTA to reconcile all Interfaces and also provide reports demonstrating successful completion of the reconciliations.

2.17.1. General Reporting Requirements 1511 The Contractor shall provide a BOS data fetching algorithm that is optimized for performance including bringing data into BOS screens and reports. 1512 The Contractor shall provide BOS reports optimized for performance. Data shall be organized and summarized in a manner to allow for report generation within no more than five (5) seconds of a report generation request for daily summary reports and no more than twenty (20) seconds of a report generation request for monthly summary and annual summary reports. Reports batched or pre-generated shall be presented to the user within two (2) seconds. 1513 After the deployment and Implementation of the BOS, if there is a need to create additional reports and modify implemented reports, the Contractor shall support such additions and/or modifications. 1514 The Contractor shall provide a separate reports Server/database Designed to efficiently pull all non-sensitive data (for example, excluding Credit Card numbers) from all production databases at minimum once per day. The reports Server/database shall provide for reporting against large datasets of information and shall not require access to the primary databases. 1515 The Contractor shall provide ad-hoc reporting tool capabilities to Authorized Users to allow the creation and execution of custom reports from the reports Server/database, including but not limited to:  drag-and-drop field functionality;

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 drill down functionality;  filtering;  parameter prompting;  formula support;  grouping;  sorting and  stored procedure and function support. 1516 The ad-hoc reporting tool shall be COTS Software and be the latest version at the time of Acceptance Testing and field-proven to operate in a transaction intensive environment. 1517 The Contractor shall provide reporting output in various formats (both compressed and uncompressed), including but not limited to:  Portable Document Format (PDF);  plain text format (TXT);  rich text format (RTF);  Microsoft Excel (2010 version and latest);  delimiter-separated values;  HTML and  extensible markup language (XML). 1518 The Contractor shall provide the capability for Authorized Users to retrieve full table exports from the reports Server/database. 1519 The Contractor shall provide the capability for Authorized Users to schedule the automatic execution and delivery of reports using various delivery methods, including but not be limited to:  email addresses;  direct to printer;  uniform naming convention (UNC) paths;  shared drives and  SFTP sites. 1520 The Contractor shall provide the capability for Authorized Users to schedule the automatic execution and delivery of reports for a variety of time periods, including but not limited to:  as of a specific time each day;  as of a specific day and time each week;  as of a specific day and time each month;  as of a specific date and time each month;  for a Revenue Day;  for a Business Day;  for a Calendar Day and  for a specific period of time spanning more than one day (for example 2:00:00am to 1:59:59am the following day). 1521 The Contractor shall provide a Dashboard application, including but not limited to:  fully Configurable, role-driven, browser-based solution that allows users to

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customize their own Dashboards;  real-time display of data and processes and  drill-down capabilities from high level graphical display to the lowest level of supporting data. 1522 The Contractor shall provide a comprehensive data dictionary that defines the structure of BOS databases in the production environment and the reports Server/database. The data dictionary shall include but not be limited to:  what data is stored;  name, description and characteristics of each data element;  types of relationships between data elements and  access rights. 1523 The Contractor shall provide a consistent user Interface for all reports. 1524 The Contractor shall provide for summary and detailed reports for all Account activity on all User Accounts, including but not limited to:  as of the current moment in time;  as of an historical moment in time;  for a range of Revenue Days (for example from 1/1/2016 to 1/3/2016, which shall deliver results for the Revenue Days 1/1/2016, 1/2/2016 and 1/3/2016) and  for a range of time (for example from 3:00am 1/1/2016 to 3:00am 1/3/2016). 1525 The Contractor shall provide for reports of balances as of the end of any current or historical Revenue Day, in summary and in detail, for any or all User Accounts. 1526 The Contractor shall provide for summary and detailed reports for all Account activity on all Financial Accounts, including but not limited to:  as of the current moment in time;  as of an historical moment in time;  for a range of Revenue Days (for example from 1/1/2016 to 1/3/2016, which shall deliver results for the Revenue Days 1/1/2016, 1/2/2016 and 1/3/2016) and  for a range of time (for example from 3:00am 1/1/2016 to 3:00am 1/3/2016). 1527 The Contractor shall provide for reports of balances as of the end of any current or historical Revenue Day, in summary and in detail, for any or all Financial Accounts. 1528 The reports shall meet the general objectives, including but not limited to:  data elements shall be consistent through all the reports of a similar nature;  numbers and amounts shall reconcile with other reports that report on the same activity;  numbers and amounts shall reconcile with other reports that report on the same time period;  report generation shall allow for flexible selection and sort criteria that allows Authorized Users to obtain related information through a single report;  all report criteria shall be available for selection using Boolean logic strings and  all reports shall allow for the input of any identified criteria to be selected by range (for example, date from and to, Account number from and to, Transaction Dates

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from and to, etc.) and by multi-list selection. 1529 Reports shall display header information which shall indicate parameters selected in the report generation (for example, time periods selected, as-of date selected, Account number selected and/or license plate number and Jurisdiction selected). 1530 The Contractor shall provide the capability for the automatic generation and delivery of reports based on Configurable conditions, including but not limited to:  report selection criteria (for example, date range);  date and time for report generation (for example, daily at 7:00 a.m.);  report delivery method (for example, by email);  report format (for example, PDF) and  report generation frequency (for example, weekly). 1531 The Contractor shall provide the capability for reports generated automatically to have System-generated unique, intuitive naming and report numbering reflecting the name, number and date of the report. 1532 The Contractor shall provide the capability for the user to manipulate the report data easily to perform comparative analysis and statistical calculations. 1533 The Contractor shall provide the capability to deliver scheduled reports to the configured destination. 1534 The Contractor shall provide the capability for the user to specify the format of the report. For example, PDF, Excel and comma separated. 1535 The Contractor shall provide the capability to manually select reports for generation in real time. 1536 The Contractor shall provide a Web-based ad-hoc reporting solution that allows Authorized Users to design and generate professional and accurate multi-format reports. Ad-hoc report templates created by Authorized Users shall be made available to all Authorized Users, in addition to the reports menu. 1537 All reports shall display last activity date, transaction Posting status and other relevant data dependencies on the specific report related to that activity that indicate completion of activity and items, including but not limited to:  all transactions/trips have been obtained from the RTCS;  all images have been obtained from the RTCS;  the transactions/trips that have been transmitted to Interoperable Agencies and reconciliation files that have been received and acknowledged;  all correction files that have been reconciled and acknowledged;  all shifts that have been closed;  all third-party reconciliation and payment data that has been imported or has been entered into the System and  that all activities have been completed and are ready to be reconciled. 1538 The Contractor shall provide drill-down capability on all fields on all high-level reports to the lowest level of details, including the tools to view the available images associated to a transaction or Account and Account details. 1539 The Contractor shall provide drill-down capability on all fields on all high-level reports to

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the lowest level of details, including the tools to view the available images associated to a transaction or Violation Notice and Notice details. 1540 The Contractor shall provide the user Interface to choose the following selection criteria, including but not limited to:  Toll Facilities;  Interoperable Agencies;  Toll Facility;  Plaza;  lane;  direction of travel;  Identification Type (transponder or License Plate);  Transponder Switch Setting;  plan type;  Payment Type;  customer service location;  System user;  customer service staff;  System processes;  third-party Interfaces and  Third-Party Service Providers and Business Partners. 1541 The Contractor shall provide the user Interface enabling the following selection criteria to generate the same report, including but not limited to:  by day;  day(s) within a specified range;  date range;  weekly;  monthly;  yearly;  comparative based on selection and  year-to-date. 1542 The Contractor shall provide for the generation of a single report by various date types, including but not limited to:  Transaction Date;  various transmit dates;  transfer date;  Notice date;  due date;  payment date;  Hearing date;  process date;  posted date;

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 business date;  review date;  Statement date;  mail date;  print date;  acknowledgement date and  reconciled date. 1543 The Contractor shall provide the capability to:  include sub-totals, totals and grand totals as selected by the user;  sort the data elements in the report within each grouping of data and  present data in graphs and chart types based on presentation form selected by the user from a variety of graphic styles.

2.17.2. Informational Reports 2.17.2.1. Transaction Processing Reports The Contractor is expected to provide Transaction Processing Reports which reflect the status or workflow stage for transactions/trips submitted by the Toll Facility to the BOS over a period of time. For example, a report shall exist that details the number of transactions/trips submitted by a Toll Facility in January and shall detail the status or workflow stage of those transactions/trips as of June 30, the current date.

1544 The Contractor shall provide Transaction reconciliation reports that reconcile to operations and financial reports and display Image-Based Transaction/Trip and Transponder-Based Transaction/Trip statistics, including but not limited to:  tracking the different stages of the transactions/trips;  showing the status or workflow stage; Notice number; date issued; amount owed; amount posted to an Account; amount paid; amount I-Tolled; amount adjusted, past due amount and amount due on all Notices issued;  total payments received by status or workflow stage;  total I-Tolls by status or workflow stage;  transactions/trips aged to Collections by the Toll Facility; amount collected, recalled, dismissed;  license plates placed on hold, released, amounts on hold per plate;  Violations issued, paid, dismissed, transmitted to court;  Violations scheduled for adjudication, disposition, payments;  Transaction trends;  Transaction receivables detailing all outstanding Accounts receivable for all Accounts with unpaid transactions/trips by Account number and total balance due as of the selected date;  Transaction collections trends;  Transaction I-Toll trends;  Transaction dismissals and disputes;

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 Transaction by Jurisdiction and  Transaction aging. 1545 The Contractor shall provide transaction/trips reports that reconcile the transactions/trips to RTCS reports as they move through various processing stages, including but not limited to:  transactions/trips in various queues and filters;  Notice timeouts;  potential transactions/trips;  rental car license plates;  ROV Lookup misses;  disputes;  dismissals;  payments;  Transaction status or workflow stages;  I-Tolls and  other Transaction statuses. 1546 The Contractor shall provide invoicing summary reports by transaction status or workflow stage that track Notice generation to final termination of Notices transactions, including but not limited to counts and amounts for:  Notices generated;  payments;  dismissals;  status or workflow stage and  re-issued. 1547 The Contractor shall provide Transaction activity reports that track activity on transactions/trips for each status or workflow stage, including but not limited to:  number of invoices and issued;  Tolls, fees and penalties assessed;  amounts dismissed;  amounts voided;  amount collected;  amount collected in I-Tolls and  unbilled Tolls collected. 1548 The Contractor shall provide reports that list the Account number and overpayment amount on all Transaction Accounts that are overpaid as of a date.

2.17.2.2. Customer and Account Management Reports User Account management reports detail the overall Status of User Accounts. The Contractor shall provide reports that detail Account openings and closures, transitions from one Account Type to another (for example, an Unregistered Account becoming a Registered Account) and the addition or removal of Account Attributes. Reports also shall be provided that give LACMTA a sense of Accounts that fall below the Insufficient Balance Threshold. These reports shall provide an

Statement of Work and Requirements Page 204 LACMTA Back Office System indication of the overall success of the current Business Rules and may provide some insight into where potential changes could be made to enhance the customer experience or operational performance of the BOS. User Account management reports shall meet the following requirements: 1549 The Contractor shall provide a comprehensive report that displays current Account statistics for transaction totals and charges by the following criteria, including but not limited to:  transaction totals and charges by Toll Facility;  transaction totals and charges by Account Types;  transaction totals and charges by Account Attributes;  transaction totals and charges by status or workflow stage;  transaction totals and charges by payment option;  transaction totals and charges by Account identification method and  transaction totals and charges by Account Statuses. 1550 The Contractor shall provide a comprehensive report that displays all Account creation and Account closing information for a selected period by contact method (for example, detailing Accounts open and closed via the Self-Service Website, by phone, by walk-in and by mail). 1551 The Contractor shall provide reports that detail all prepaid tolls and outstanding balances due for every Account. This report should allow Authorized Users to specify only certain Accounts based on criteria which includes, but is not limited to:  Account Status;  Account Type;  Account number and  dollar amount. 1552 The Contractor shall provide a comprehensive report that displays all Accounts and/or Transponders that have Discount Plans. 1553 The Contractor shall provide reports that display all balances, activity and statistics on Accounts by Account Type and Attributes, broken down by Toll Facility when possible (for example in the case of Write-Offs and disputes) including but not limited to:  Accounts created;  Transponders Fulfilled;  Accounts closed;  invoice and Notices on Account;  past due by status or workflow stage;  Notices on hold;  Write-Offs;  Accounts in Collections;  Accounts in vehicle Registration Hold;  Accounts with active Violation(s);  payments and refunds processed and  toll transaction disputes processed. 1554 The Contractor shall provide a single report that provides the complete detailed Account history. This report shall include a chronological listing of all activities for each activity type

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for a specified range of time between Account inception and the current date, including but not limited to:  toll transactions/trips – transaction time (entry and exit), location, Posting time, Tolling Location, expected toll, posted toll and discounts;  non-toll transactions such as parking/transit – entry and exit time, Posting time, facility, transaction amount, payment source;  Financial Transactions – payment date, payment item, Payment Type, payment method, payment number (for example, check number), payment detail (for example, breakdown of tolls and fees paid) receipt number, amount due, paid amount;  reversal activity on posted transactions (toll, non-toll, penalties, fees, financial) – reversal date, original transaction, reason;  Notifications – date, type, communications channel, invoice number, Notice number, amount due in each status or workflow stage, due date;  Account comments;  Account Statuses – date of change, from Status, to Status, user ID and trigger;  Cases – date Case was established, Case status, Case disposition;  Transponder activities and statuses - date of change, from status, to status, user ID, trigger;  dispute activity – date, transaction; invoice/Notice/Statement number, amount owed, reason, results; dismissal code, dismissed amount;  Violation activity – date, amount, payment, dismissal, aged to court;  court activity (obtained from the Collection Agency) – date, transaction, amount owed, disposition;  collection activity – date, Toll Facilities, Notification, amount placed, amount paid, dated recalled/canceled;  vehicle Registration Hold and release activity – date, license plate number, Notification, amount owed, results of motor vehicle department, date of hold/release and  Account maintenance activities. 1555 The Contractor shall provide reports that list all customers’ financial activity on the Account, including but not limited to:  Account number;  name and address records;  all notes and/or Cases related to the Account or transactions;  beginning balance;  credits and debits by transaction type;  refunds;  reversals;  payments;  dismissals;

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 adjustments and  ending balance. 1556 The Contractor shall provide reports that list all customers’ financial activity on the Account and reconcile to the Financial Accounts. 1557 The Contractor shall provide reports listing Accounts that have no transaction or payment activity since a Configurable date or for a Configurable period of time, including their history and current status. 1558 The Contractor shall provide reports that identify the processed transactions, reconcile to operations reports and summarize the operations activity. Such reports shall summarize the operational activities performed in different customer service departments and areas, broken down by Toll Facility when possible, including but not limited to:  totals for number of Accounts opened and closed by type;  number of Transponders assigned by type of Transponder;  Account replenishment;  invoices and Notices generated;  Violations generated;  Violations filed with the court;  Cases opened;  Cases closed;  Cases escalated;  license plates in filter queue;  Notices on hold;  disputes processing status;  Evidence Packages created;  placed in collection;  eligible for vehicle Registration Hold;  successful vehicle Registration Hold;  eligible for vehicle Registration Hold release;  successful vehicle Registration Hold release;  Account Status;  any adjustments made;  customer Image toll transactions/trips posted and  other CSR activity. 1559 The Contractor shall provide reports that display all customer and non-customer feedback by Account Type, contact method and users, including but not limited to:  Cases by category;  suggestions by category;  Cases by time period and  suggestions by time period. 1560 The Contractor shall provide reports that list Accounts that require attention, including but not limited to:

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 Accounts that have Flags on the Account indicating an issue (Configurable by Flag);  replenishment failure;  Credit Card expiration;  Excessive I-Tolls;  disputed Notices;  Collections;  vehicle Registration Hold;  overpayment;  open Case;  Notices on hold;  bankruptcy;  negative balance;  inactivity;  Notifications that require review and  Accounts that require follow up action by CSR or customer. 1561 The Contractor shall provide reports that list the status of transactions/trips (count and revenue) processed by the System, identifying the exact position in all open workflow points for unpaid transactions, both home and Interoperable, that posted to the User Accounts, those that were rejected due to various reasons and those that are in any other terminal statuses. The reports shall reconcile to the financial reports and Interoperable reports. 1562 The Contractor shall provide reports that account for all shift activity with detailed and summarized financial information, including but not limited to:  all payment transactions processed for each payment item;  all payment transactions processed by payment method;  all payment transactions processed by Payment Type;  all payment transactions processed by payment channel;  all Financial Transactions dismissed;  all voided Financial Transactions;  all Financial Transactions reversed;  all Financial Transactions adjusted;  all Financial Transactions unapplied and re-applied;  all Financial Transactions waived and  all Financial Transactions waived by user. 1563 The Contractor shall provide reports that list all financial activity of all CSRs that reconcile to individual CSR activity reports. 1564 The Contractor shall provide reports that list all financial activity of all CSRs that reconcile to financial reconciliation reports. 1565 The Contractor shall provide reports that summarize the operational activities performed in different customer service departments and areas, including but not limited to:  WIC(s);

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 Self-Service Website;  Self-Service Mobile Application;  Self-Service Mobile Website;  IVR;  contact center;  mailroom;  Case management department;  Retailers;  Third-Party Service Providers and Business Partners and  Collection Agencies. 1566 The Contractor shall provide reports that summarize the payment processing activities performed in different customer service departments and areas, including but not limited to:  WIC(s);  Self-Service Website;  Self-Service Mobile Application;  Self-Service Mobile Website;  IVR;  contact center;  automated System replenishments;  Lockbox;  electronic deposit;  mailroom;  Case management department;  Retailers;  Third-Party Service Providers and Business Partners;  Collection Agencies and  courts.

2.17.2.3. Payment Processing Reports 1567 The Contractor shall provide reports that track the Credit Card, check, cash and money order payments that are processed, including but not limited to:  number and dollar value of payments;  refunds;  reversals;  adjustments;  voids;  payment date;  activity date;  settlements;

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 payment item;  payment source;  Payment Type, for example check, money order, cash;  payment method;  Credit Card type;  card details;  processed amounts;  Notice number paid.  Account debited and  Account credited. 1568 The Contractor shall provide the capability to produce payment reports by payment source (for example, CSR, Self-Service Website, Self-Service Mobile Application, Self-Service Mobile Website, IVR and Collection Agencies) and by Payment Type (for example, Credit Card, check, cash and money order). 1569 The Contractor shall provide reports that balance and reconcile the Credit Card processed by the BOS to the Credit Card Posting status provided by the Merchant Service Provider and allows operations to investigate discrepancies, including but not limited to:  failed Credit Card transactions;  Account number;  date and time;  successful Credit Card transactions that did not post to an Account;  Credit Cards that were processed by the System but not the Credit Card processor;  duplicate Credit Card processing;  duplicate Credit Card Posting;  total amount successfully processed;  total amount posted to Accounts;  total amounts identified as processed by the Credit Card processor;  variances and  chargebacks. 1570 The Contractor shall provide reports that detail returned checks processed during any timeframe, broken down by type of original payment (toll, fee and penalty).

2.17.2.4. Payment Plan Reports This series of reports provides information about LACMTA’s payment plans.

1571 The Contractor shall provide reports that display payment plan activity, including but not limited to:  accounts that are on a payment plan;  the total payment plan amount;  the current balance on each account;  the payment options;

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 the payment schedule;  the amount per payment period;  contact information, and  any exceptions.

2.17.2.5. Inventory Management Reports Inventory management reports shall assist LACMTA and the Operations Contractor in review and management of inventory items.

1572 The Contractor shall provide Transponder inventory reports that 1) track the Transponder inventory by type of Transponder and distributor; 2) ensure there are sufficient Transponders in stock; 3) show the status of all Transponders at all stages of Transponder purchase, Fulfillment and recovery/disposition cycle, including but not limited to:  Transponders issued to customers;  Transponders by status;  Transponders in warranty;  Transponders in the return material authorization process;  Transponders on order but not shipped;  Transponder requests from retail distributors;  Transponders sold and  other operational statuses. 1573 The Contractor shall provide Transponder Status reports that track the issuance of inventory items, including but not limited to:  sold by item type;  by type of distribution method, for example, by mail, in WIC and by Retailer;  number and frequency of inventory items distributed;  the inventory status;  the status of damaged Transponders and  the status of failed Transponders. 1574 The Contractor shall provide inventory reports that show beginning balance and end of month balance by inventory location. 1575 The Contractor shall provide a Retailer history report for each Retailer, including but not limited to:  the total number of inventory items sold by item type;  detailed listing of all items sold by serial number;  number of orders;  current amount of items in inventory;  oldest item(s) in inventory and  current amount receivable from inventory sales including applicable sales tax. 1576 The Contractor shall provide reports identifying the Retailers by attribute, including but not limited to:

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 most inventory items sold;  average sales;  most inventory items damaged and  average days between orders. 1577 Support the assessment, collection and tracking of the appropriate sales tax, Configurable by taxing Jurisdiction.

2.17.2.6. ROV Look-up Reports This series of reports provides information about the outcomes of LACMTA’s ROV look-up requests.

1578 The Contractor shall provide DMV Look-up reports that track the ROV requests and the responses from the various DMVs/ROV Look-up Service Providers. 1579 The Contractor shall provide DMV Look-up reconciliation reports that track the quantity of ROV Look-up requests by different attributes, including but not limited to:  jurisdiction;  response (unknown at DMV, ROV provided);  ROV Look-up Service Provider;  Address status (forwarded to updated address, no forwarding address, good);  by date requested;  by date response was received and  address database used (temporary license plates, trucking, manual look-up). 1580 The Contractor shall provide ROV Look-up reports that reconcile the number of ROV Look- up requests to the invoices from the ROV Look-up Service Providers. 1581 The Contractor shall provide ROV Look-up reconciliation reports shall reconcile to appropriate financial and operations reports.

2.17.2.7. Notifications Reports 1582 The Contractor shall provide Notification reconciliation reports that track the different stages in the Notification process, including but not limited to: qualification, creation and distribution. 1583 The Contractor shall provide Notification reconciliation reports that track the quantity of Notification pieces by different attributes, including but not limited to:  qualified;  created;  distributed by Notification vendor;  Notification distribution channel;  by date qualified;  by date created;  by date distributed;  jurisdiction in which the license plate is registered;  jurisdiction which the notification was mailed to;

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 by type (for example, quantity of Notification pieces that were letters versus postcards);  by batch (for example, quantity of Notification pieces processed in a certain batch of items);  by Notification item and  by Notification status (for example, bad address or paid). 1584 The Contractor shall provide Notification reconciliation reports that reconcile the Notification pieces as they move through various stages of the Notification process (for example if a piece of Notification qualified two weeks ago, where is that piece now?). 1585 The Contractor shall provide Notification tracking reports that show trends by Notification type and channel. 1586 The Contractor shall provide Notification reconciliation reports shall reconcile to appropriate financial and operations reports.

2.17.2.8. Collections Reports The Collection Agencies will transmit payment information to the BOS via the Collections Interface. For example, when a Collection Agency accepts a payment over the phone from a customer with transactions/trips in Collections, the Collection Agency will transmit that payment information which shall be posted into the BOS.

The BOS shall have the capability to determine the source of the payment (for example, to determine if the payment was accepted from a BOS CSR or from a Collection Agency) and record that source for tracking and reporting purposes.

1587 The Contractor shall provide reports that track the status of the Collections efforts by Collection Agencies, by Toll Facility, including but not limited to:  Accounts, Notices and transactions/trips in Collections;  toll, fee and penalty amounts placed in Collections;  toll, fee and penalty collections to date;  source of toll, fee and penalty payment, for example Collection Agencies staff, BOS staff, Lockbox, Website, IVR;  outstanding toll, fee and penalty amounts;  adjustments and corrections;  any collection disputes, holds or resolution on the Account;  open Cases associated with Collections;  amount received by Collections for each transaction in Collections and  how long the Account has been in Collections. 1588 The Contractor shall provide Collections reports that list all Collections activity and reconcile to financial and operations reports including but not limited to by Collection Agencies, by Toll Facility. 1589 The Contractor shall provide reports that track the Collections cost and show Collections trends and success rates by Collection Agencies, by Toll Facility. Collections trends and success rates for negative Account balance collections shall also be tracked.

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2.17.2.9. Vehicle Registration Hold Reports 1590 The Contractor shall provide vehicle Registration Hold reports, including but not limited to:  current number and dollar value of transactions/trips associated with vehicle Registration Hold requests;  date of hold;  number of hold requests;  average number of days delinquent for Registration Hold;  current number and dollar value of accepted and denied Registration Hold;  current number and dollar value of Registration Hold terminated through Quality Control process;  current number and dollar value of payment on Registration Hold;  current number and dollar value of aging of transactions/trips in Registration Hold queue;  Registration Hold Notification and  current number and dollar value of Registration Hold in various Registration Hold statuses. 1591 The Contractor shall provide Registration Hold reports that list Accounts and license plates where the vehicle Registration Hold needs to be initiated, including but not limited to:  Account number;  license plate number and Jurisdiction;  the date the license plate became eligible for vehicle Registration Hold;  the status of the vehicle Registration Hold;  the days in vehicle Registration Hold status and  all transaction details demonstrating the validity of the Registration Hold. 1592 The Contractor shall provide the capability to reconcile Registration Holds. For example, reconcile data which compares the BOS’ records of current Registration Holds to the DMV’s records.

2.17.2.10. Vehicle Registration Hold Release Reports 1593 The Contractor shall provide Registration Hold release reports that list Accounts and license plates where the vehicle Registration Hold needs to be released, including but not limited to:  Account number;  license plate number and Jurisdiction;  the date the license plate became eligible for vehicle registration release;  the status of the vehicle registration release;  number and dollar value of registration release requests;  the days in vehicle registration release status and  all transaction details demonstrating the validity of the registration release.

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2.17.2.11. Violations Reports 1594 The Contractor shall provide Violations reports, by Toll Facility, broken down by tolls, fees and penalties, including but not limited to:  number and dollar value of Violations;  average number of days delinquent for Violations;  number and dollar value of Violations terminated through Quality Control process (for example, Violations determined to be ineligible for further escalation after review at any Status or workflow stage);  number and dollar value of payment on Violations;  number and dollar value of aging of transactions/trips in Violations queue;  Violation Notification and  number and dollar value of Violations in various Violation statuses. 1595 The Contractor shall provide Violation reports that list Accounts and license plate and Jurisdiction where the Violation needs to be initiated, by Toll Facility, including but not limited to:  Account number;  license plate number and Jurisdiction;  the date the license plate became eligible for Violation;  the status of the Violations;  the days in Violation status and  all transaction details demonstrating the validity of the Violation. 1596 The Contractor shall provide Violation reports that show Collections trends and success rates for Accounts and transactions/trips placed in Violation by Toll Facility.

2.17.2.12. Case Management Reports 1597 The Contractor shall provide reports that list Case summary information (or details if selected), including but not limited to:  number of Cases by type and/or Toll Facility;  Case established by, such as established by BOS, Retailer, customer;  Cases opened;  Cases closed;  Cases escalated;  number of Cases that failed to meet LACMTA’s Performance Requirements;  average Case handling time by priority;  longest Case handling time by priority and  number of affected Accounts. 1598 The Contractor shall provide reports that list the detailed Case information by Toll Facility and by all Toll Facilities combined, including but not limited to:  Case ID (i.e., uniquely identifies the Case record);  Account number;  severity level or priority;

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 source of Case status;  created date;  resolved date;  number of days since creation;  number of days since last agent touch;  due date and time;  total time spent working on the Case;  total time spent by a specific user;  total time spent by a specific department;  action taken at each hand-off;  Case history;  related Accounts and  Case description/free-form notes on the Account. 1599 The Contractor shall provide dispute (Case Type = Dispute) reconciliation reports by Toll Facility and by all Toll Facilities combined, including but not limited to:  Transponder-Based Transaction/Trip disputes;  Image-Based Transaction/Trip disputes;  payment for accepted and partially accepted disputes;  dismissed Transponder-Based Transactions/Trips;  dismissed Image-Based Transactions/Trips;  reassigned Transponder-Based Transactions/Trips and  reassigned Image-Based Transactions/Trips. 1600 Dispute reconciliation reports by Toll Facility and combined shall reconcile the Image- Based Transactions/Trips as the Image-Based Transactions/Trips move through various stages of the dispute process, including but not limited to:  accepted disputes;  accepted, partially accepted and denied disputes;  dismissals and  reassignments. 1601 Dispute reconciliation reports by Toll Facility and by all Toll Facilities combined shall be provided, including but not limited to:  dispute reasons;  dismissal reasons by type of dispute;  status of the toll when disputed;  disputes created by user;  resolution time;  number of open disputes;  number of closed disputes;  dispute Notifications received and  dispute Notifications sent. 1602 Dispute reconciliation reports by Toll Facility and by all Toll Facilities combined shall

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include all Self-Service Website, Self-Service Mobile Application, Self-Service Mobile Website and IVR transactions.

2.17.2.13. Email Address Validation Service Provider Reports 1603 The Contractor shall provide reports that reflect successful or unsuccessful transmission of update files. 1604 The Contractor shall provide reports that reflect the number of updates requested from the Email Address Validation Service Provider. 1605 The Contractor shall provide reports that reflect the number of updated email addresses received from the Email Address Validation Service Provider.

2.17.3. Financial Management Reports The System shall be capable of generating financial journals, trial balances, financial ledgers and transaction reports, which shall meet the following requirements: 1606 The Contractor shall provide for the selectable separation of reports by functional areas and Interoperable Agencies, Third-Party Service Providers and Business Partners and/or Toll Facility, including but not limited to:  WIC(s);  Self-Service Website;  Self-Service Mobile Application;  Self-Service Mobile Website;  IVR;  courts;  contact center;  mailroom;  Lockbox;  Retailers;  inventory items and  in Collections. 1607 The Contractor shall provide financial journal and ledger reports that list all accounts receivables by revenue type, by Toll Facility and in summary, including but not limited to:  Transponder-Based Transaction/Trip;  Transponder-Based Transaction/Trip by Account Type;  Image-Based Transaction/Trip;  Notice by transaction Status or workflow stage;  adjustments;  reversals;  refunds and their dispositions and  fees. 1608 The Contractor shall provide transaction and revenue reconciliation reports that track a transaction throughout the revenue cycle (from its entry into the System until its closure)

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and help identify the final resolution of each transaction, including but not limited to:  the expected number and revenue for all transactions/trips;  Posting status;  pending status (including workflow location(s));  termination reasons;  collected/actual revenue;  percentage collected and  variances.

2.17.3.1. Trial Balance and Financial Account Reports LACMTA will utilize reports from the BOS to record revenues. There will be no Interface between the BOS and LACMTA general ledgers apart from these reports.

1609 The Contractor shall provide a summary report of all System Financial Account activity to be used by LACMTA to record revenues in LACMTA’s own financial systems. 1610 The Contractor shall provide the capability for LACMTA to receive information in sufficient detail to record revenues at different steps in the revenue cycle. (For example, before a Notice is mailed, a transaction is in the “billable” stage and in a “billable” Financial Account and when that transaction is included on a Notice, it is in the “billed” stage and in a “billed” Financial Account), including but not limited to:  when transaction/trip is submitted to the BOS;  when billable (deemed billable but not yet billed);  when billed;  when paid (payment received from customer) and  when payment remitted to LACMTA. 1611 The Contractor shall provide the capability to report revenues of shared facilities. 1612 Structure the Financial Accounts so revenues of one entity are not comingled with the revenues of another entity. For example, Image-Based Transaction/Trip toll revenue for one entity shall be separated in the Financial Account from Image-Based Transaction/Trip toll revenue of another entity, from Transponder-Based Transaction/Trip toll revenue and from fee revenue. 1613 Structure the Financial Accounts in such a way that all revenues and expenses of one Toll Facility are easily discernible from the revenues and expenses of another entity. For example, all Financial Accounts for a Toll Facility can have the same prefix or suffix as an indicator for that Toll Facility. 1614 The Contractor shall provide trial balance reports that reconcile all Financial Accounts and confirm the credit and debit balance and show general ledger codes grouped and summarized by asset and liability. 1615 The Contractor shall provide self-balancing Financial Account reports that reconcile to other transaction and financial reports. 1616 The Contractor shall provide reports summarizing like Financial Accounts (for example, all toll revenue Financial Accounts for a particular Toll Facility), including but not limited to

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the following timeframes:  month;  month-to-date;  quarter;  quarter-to-date;  year;  year-to-date;  from and to date;  from and to month and  from and to year.

2.17.3.2. Revenue Reports 1617 The Contractor shall provide a revenue report that reflects all revenue, including but not limited to:  Transponder-Based Transactions/Trips toll revenue;  Image-Based Transactions/Trips toll revenue;  all fees and  penalties. 1618 The Contractor shall provide a report that details potential lost revenue by Status or workflow stage, as well as reasons for potential loss, such as a report listing those transactions/trips which still possess a receivable balance and have been placed on billing hold.

2.17.3.3. Payment Reports 1619 The Contractor shall provide a payments report that reflects all payments, including but not limited to:  Transponder-Based Transactions/Trips toll revenue;  Image-Based Transactions/Trips toll revenue;  prepayments;  all fees and  penalties. 1620 Payment reports shall reconcile to reports provided by the various Interfaces, including but not limited to:  Credit Card processor;  Collections;  Interoperable Agencies;  bank deposits;  Retailers and  Lockbox payments. 1621 The Contractor shall provide an unallocated payments report that lists all payments that could not be associated with a transaction with sufficient detail for payment research, such

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as the ability to back-out and re-apply against outstanding receivable.

2.17.3.4. Registered Account Reports 1622 The Contractor shall provide a report that reflects the Prepaid balance in each User Account as of a point in time. 1623 The Contractor shall provide a report that reflects all replenishments to Registered User Accounts over a period of time. 1624 The Contractor shall provide a report that reflects all usage of Prepaid funds over a period of time. 1625 The Contractor shall provide a report that reflects all adjustments to Registered User Accounts over a period of time (for example, adjustments would include any transaction that affects an Account balance that is not included on a replenishment report or a usage report). 1626 The Contractor shall provide a report that compares the calculated Prepaid balance by Account to the prepaid balance per the System at any point in time (for example, the calculated prepaid balance is the sum of the User Account balance as of the first day of the month plus replenishments less usage and plus/minus adjustments that occur during the month, compared to the System balance as of the end of the month). Variances shall be identified at the User Account level.

2.17.3.5. Receivable Reports 1627 The Contractor shall provide aged accounts receivable reports that lists all receivables (toll transactions, fees and penalties) for each Status or workflow stage, by Toll Facility and combined, including but not limited to:  in process (not yet charged to User Account);  charged to User Account (but not yet billed);  first Notice;  second Notice;  Collections;  Registration Hold;  Violations and  court. 1628 The Contractor shall provide aged accounts receivable reports that lists all receivables (toll transactions, fees, penalties) by number of days past due, by Toll Facility and combined, including but not limited to:  in process (not yet charged to a User Account);  charged to a User Account (but not yet billed);  current due (billed but not yet past due);  past due 1-30 days;  past due 31-60 days;  past due 61-90 days;

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 past due 91-120 days;  past due 121-180 days;  past due 181 days – 12 months;  past due 12-24 months;  past due 24-36 months;  past due 36-48 months;  past due 48-60 months and  past due > 60 months. 1629 The Contractor shall provide invoicing summary reports by Toll Facility, detailing the composition of transactions/trips appearing on Notifications by Toll Facility, such as how many Notices contain transactions/trips for a single Toll Facility. 1630 The Contractor shall provide invoicing summary reports by transaction status or workflow stage that track Notice generation to final termination of Notices transactions, including but not limited to counts and amounts for:  Notices generated;  payments;  dismissals;  status or workflow stage and  re-issued.

2.17.3.6. Collection Agency Reports 1631 The Contractor shall provide reports that track the status of Collections, by Collection Agencies and by Toll Facility, including but not limited to:  number and dollar value of Collections Placements in Collections;  number and dollar value of transactions/trips in Collections;  number and dollar value of Collections Placements successfully collected;  number and dollar value of transactions/trips successfully collected;  outstanding amounts (total and separated by fees, penalties and tolls);  amounts collected (total and separated by fees, penalties and tolls) by payment source (BOS or Collection Agencies);  period in Collections;  Accounts recalled from Collections (total and separated by fees, penalties and tolls);  transactions/trips recalled from Collections (total and separated by fees, penalties and tolls);  Accounts returned uncollectible;  transactions/trips returned uncollectible and  success rate. 1632 The Contractor shall provide Collections inventory reports, by Collection Agencies, that reconcile to Collections monthly inventory, and provide status on Collections, including but not limited to:

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 number and dollar value of outstanding Accounts in Collections at the beginning of the month;  number and dollar value of transactions/trips in Collections at the beginning of the month;  number and dollar value of Accounts added during the month;  number and dollar value of transactions/trips added during the month;  number and dollar value of Accounts returned at the end of the month, by type;  number and dollar value of transactions/trips returned at the end of the month, by type;  number and dollar value of outstanding Accounts in Collections at the end of the month;  number and dollar value of transactions/trips in Collections at the end of the month and  outstanding amount in Collections at the end of the month. 1633 The Contractor shall provide the capability to receive address updates from the Collection Agency and update the address in the BOS.

2.17.3.7. Write-Off Reports 1634 The Contractor shall provide a listing of all eligible and processed Write-Offs and their disposition (such as sent to LACMTA approval, approved by LACMTA, processed), by Toll Facility and in summary, broken down by toll, fee and penalty including but not limited to: all Account-level and transaction-level Write-Offs and prior year Write-Offs paid in current year with a breakdown by selectable period for each year.

2.17.3.8. CTOC Reports 1635 The Contractor shall provide all Interoperable Agency and Toll Facility Reports described in Attachment 1: Interface Control Documents. The Interoperable reports provided in the System shall be updated and modified to be in compliance with the Interoperable Agency Interface specifications. 1636 The Contractor shall provide reports on the status of Interoperable reports and file transmissions to all Toll Facilities, such as files expected but not received, issues with file transmissions/data, etc. 1637 The Contractor shall provide the following reports:  summary report;  Interoperable Agency discrepancy;  adjustments report (Interoperable Agency) and  Toll Facility discrepancy report.

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2.17.4. Operations Reports 2.17.4.1. Operations Management Reports Operations management reports shall provide insight into the review and management of operations and assess performance.

1638 The Contractor shall provide real-time operations reports. 1639 The BOS shall provide the capability to drill-down to the details for a selected transaction, including the image associated with the license plate if applicable. 1640 The Contractor shall provide BOS performance reports that track the performance of the BOS operations, including but not limited to:  customer contacts, mail handling and Notification response;  Case handling;  first contact resolution;  Transponder Fulfillment;  payments processed;  customer disbursements processed;  Interoperable Agency settlements processed;  returned payments processed;  chargebacks processed;  payment plans initiated;  other inventory item Fulfillment and  balancing and reconciliation. 1641 The Contractor shall provide BOS staff performance reports that track the performance of individual Authorized Users over a period of time (for example, daily weekly and monthly) including but not limited to:  customer contacts, mail handling and Notification response;  Case handling;  first contact resolution;  Transponder Fulfillment;  payments processed;  customer disbursements processed;  Interoperable Agency settlements processed;  returned payments processed;  chargebacks processed;  payment plans initiated;  other inventory item Fulfillment and  balancing and reconciliation.

2.17.4.2. Self-Service Website Reports 1642 The Contractor shall provide Self-Service Website activity reports that list all activity associated with the Self-Service Website, and enable Operations to assess the Self-Service

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Website’s effectiveness to take proactive action on customer feedback, including but not limited to:  number of Accounts setup via the Self-Service Website;  Account Statements accessed;  Account maintenance activities;  payments;  disputes;  Cases opened;  Notice inquires and  other general information. 1643 The Contractor shall provide reporting on the Self-Service Website usage, including but not limited to:  number of individual hits by screen;  number of page views;  number of repeat visitors versus new visitors;  bounce rate;  number of updates made to Accounts and  number of payments.

2.17.4.3. Self-Service Mobile Website Reports 1644 The Contractor shall provide Self-Service Mobile Website activity reports that list all activity associated with the Self-Service Mobile Website, and enable Operations to assess the Self- Service Mobile Website’s effectiveness to take proactive action on customer feedback, including but not limited to:  number of Accounts setup via the Self-Service Mobile Website;  Account Statements accessed;  Account maintenance activities;  payments;  disputes;  Cases opened;  Notice inquires and  other general information. 1645 The Contractor shall provide reporting on the Self-Service Mobile Website usage, including but not limited to:  number of individual hits by screen;  number of page views;  number of repeat visitors versus new visitors;  bounce rate;  number of updates made to Accounts and  number of payments.

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2.17.4.4. Contact Center Reports 1646 The Contractor shall provide contact center reports that help determine how the Contact center is functioning and its effectiveness, including but not limited to:  quality score rating for CSRs;  average talk time;  number of calls offered to CSRs;  number of calls answered by CSRs;  number of calls abandoned;  average time before abandonment;  service level (what percentage of the calls are answered within the agreed-upon timeframe, such as what percentage of calls are answered within 60 seconds);  average speed of answer;  abandon rate;  CSR availability;  Account maintenance activities;  payments processed;  transaction history accessed;  requested customer support and  obtained general information. 1647 The Contractor shall provide other performance reports to monitor, including but not limited to:  total number of calls taken by the IVR System;  total number of calls taken using virtual queuing;  total number of calls taken by the CSR (separate by Spanish and English);  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 and  the number of times a given menu is repeated consecutively during a given call.

2.17.4.5. Print/Mail Service Provider Reports 1648 The Contractor shall provide reports that allow operations to monitor the Print/Mail Service Provider performance against agreed to Performance Requirements, including but not limited to:  quantity of Notification per type;  mailing time since receipt of files;  Notifications rejected and not mailed with reasons and  Exceptions. 1649 The Contractor shall provide reports that show trends as they relate to Print/Mail Service Provider operations workflow performance (volumes and amounts printed and mailed), including but not limited to:  Notification for each page limit (for example one-page, two-page, etc.);

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 additional inserts;  printing and mailing exceptions;  returned mail, with and without forwarding address;  bad address and  performance against the agreed upon Performance Requirements as a percentage by type of Notification.

2.17.4.6. BOS Management Reports 1650 The Contractor shall provide reports that allow to monitoring of the BOS and the Operations Contractor, including but not limited to:  transactions/trips exchanged with the RTCS;  transactions/trips posted to Accounts;  transactions/trips exchanged with Interoperable facilities;  Credit Card transaction processing with the Merchant Service Provider;  transaction reconciliation and  BOS application performance.

2.17.4.7. Contractor and BOS Performance Measures Reports Contractor and BOS Performance Measures reports shall assist the LACMTA and the Contractor in tracking, management, and assessing of the Contractor and BOS against the Performance Measures. The reports shall be designed and Approved during the Reports Design Workshop.

1651 The Contractor shall provide Contractor and BOS performance measures reports to support the Monthly BOS Performance Review Meeting. 1652 The Contractor shall provide reports that allow Authorized Users to monitor Contactor and BOS performance to date against all Performance Measures. For example, the month to date and year to date performance of the Contractor against any individual Performance Requirement.

2.17.4.8. CSC Operations Contractor Performance Measures Reports CSC Operations Contractor Performance Measures reports shall assist LACMTA and the CSC Operations Contractor in tracking, management, and assessing of the CSC Operations Contractor against the Performance Measures. The reports shall be designed and Approved during the Reports Design Workshop.

1653 The Contractor shall provide reports that allow Authorized Users to monitor the CSC Operations Contractor performance to date against all of the Operations Requirements Performance Measures. For example, the month to date and year to date performance of the CSC Operations Contractor against any individual Performance Requirement. 1654 The Contractor shall provide CSC Operations Contractor performance measures reports to support the Monthly CSC Operations Review Meeting. 1655 The Contractor shall provide CSC Operations Contractor performance reports which track the performance of the Operations Contractor against all CSC Operations Contractor

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required performance measures, a relatively small sample includes:  percentage of inbound phone calls is answered within a certain amount of time (for example, the percent of calls that are answered within 120 seconds for a given day);  percentage of inbound Chat requests is answered within a certain amount of time (for example, the percent of calls that are answered within 120 seconds for a given day);  percentage of cases resolved within a certain amount of time (for example, the percent of cases resolved three or fewer Business Days from the time the case was opened);  percentage of unidentified payments resolved (for example, posted to an Account, refunded to the customer or documented as all avenues exhausted) within a certain number of days and  percentage of refunds issued within a certain number of days following eligibility for a refund. 1656 The Contractor shall provide the capability to select a random sample of the CSC Operations Contractor work for review and audit including but not limited to:  provide hyperlinked report reflecting a random sample of a certain number of Cases over a certain period of time (for example, 100 Cases which were opened or closed between June 1 and June 30) which shall allow LAMCTA to click on the hyperlink to open and audit each Case and  provide hyperlinked report reflecting a random sample of a certain number of adjusted or reversed transactions/trips over a certain period of time (for example, 100 transactions/trips that were dismissed between June 1 and June 30) which shall allow LAMCTA to click on the hyperlink to open and audit each dismissal.

2.17.4.9. RTCS Contractor Performance Measures Reports RTCS Contractor Performance Measures reports shall assist LACMTA, the Contractor and the RTCS Contractor in tracking, management, and assessing of the RTCS Contractor against a subset of their Performance Measures. The RTCS Contractor has the responsibility to provide for the majority of their Performance Monitoring Reporting. The report shall be designed and Approved during the Reports Design Workshop.

1657 The Contractor shall provide reports that allow Authorized Users to monitor the RTCS Contractor performance to date against a subset of the RTCS Requirements Performance Measures. 1658 The Contractor shall provide RTCS Contractor performance reports which track the performance of the RCTS, including but not limited to:  exchange of data and files between the RTCS and the BOS and  results of all BOS and CSC Operations Contractor QA activities (for example, (trip building and image processing accuracy).

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2.17.5. Interface Reconciliation Reports 2.17.5.1. General Requirements for Interface Reconciliation Reports The System Interfaces with various other Systems and Third-Party Service Providers and Business Partners, as such reconciliation of the data transfer process to identify exceptions is a critical element of the System. In Interfaces where the System initiates the file transfer process, the System shall track the successful creation of the file as required by the Configurable schedule, the successful transfer of the file, the acknowledgement by the third-party of the successful receipt and processing of the file, the receipt of the reconciliation or response file from the third-party and the System’s successful receipt, processing and acknowledgment of the response file. A similar tracking and reporting shall be provided when the System is the recipient of the transfer process. Reconciliation reports shall reconcile to other System and financial reports and shall meet the following requirements.

2.17.5.2. Reconciliation with RTCS Transactions, Reconciliation Files and Images Reports These reports shall allow LACMTA to balance and reconcile transactions/trips and images throughout the revenue cycle, identify variances and errors and assist in investigating the problems, thus minimizing lost revenue. Such reports shall help identify trends in the flow of transactions, their final termination and reconciliation to the RTCS. The transmission of the Transponder Status files received from the Interoperable Agencies and the home Transponder Status List to the RTCS also shall be tracked.

1659 The Contractor shall provide transaction and image reconciliation reports that help identify issues, including but not limited to: transmission errors, data validity errors, missing images, missing transactions, traffic and transaction trends and exceptions. 1660 The Contractor shall provide transaction transmission reconciliation reports that help validate that all transactions/trips transmitted by the RTCS made it to the BOS and are correctly processed. These reports also shall validate that all other transmissions made by the RTCS were successfully received by the BOS and that all transmissions made by the BOS are successfully received by the RTCS. 1661 The Contractor shall provide daily transaction transmission reconciliation reports that list all the transactions/trips transmitted to the System, the number of transactions/trips and the time these transactions/trips were acknowledged by the System. These reports also shall list the transactions/trips transmitted to the System that were rejected, the status of the re-transmission and records that were identified as exceptions by the receiving entity. 1662 The Contractor shall provide transaction/trip transmission reconciliation reports that summarize the transactions/trips (quantity, amount, Posting status and posted/paid amounts) by Payment Type that can be validated against existing RTCS reports. 1663 The Contractor shall provide image transmission reconciliation reports that help validate that all images and associated transactions/trips transmitted by the RTCS were successfully received by the BOS. The reports shall list all the transaction images transmitted to the BOS, the number of images and data set in each file, as well as the time these files were acknowledged by the System. 1664 The Contractor shall provide image transmission reconciliation reports that list the transactions/trips transmitted to the System that were rejected and the status of the re-

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transmission and images identified as exceptions by the BOS. 1665 The Contractor shall provide transaction and revenue reconciliation reports that reconcile with the Financial Account reports and RTCS reports. 1666 The Contractor shall provide transaction and revenue reconciliation reports that reconcile with accounts receivable and revenue reports for all transactions. 1667 The Contractor shall provide reports that track the receipt of the Transponder Status, license plate files to/from the Interoperable/ CTOC Agencies and transmission of such files, as well as the Transponder Status List to the RTCS. 1668 The Contractor shall provide reports that track the receipt of Toll Rate DMS images and data from the RTCS.

2.17.5.3. Reconciliation with Interoperable Agencies Reports All Reciprocity reports described in the Interoperable Specifications shall be provided to assist in balancing and reconciling Image-Based and Transponder-Based Transactions/Trips and revenue to:  internal System reports that display the Posting status of Interoperable transactions/trips;  Interoperable reports submitted by Interoperable Agencies;  internal reports that show expected revenue from Interoperable Agencies;  financial reports that track the receivables, liabilities, payments and revenue;  financial reports that display the amounts wired to and from the Interoperable Agencies and  amounts reported by LACMTA’s bank.

1669 The Contractor shall provide Interoperable reports that reconcile to related operational and financial reports generated in the System. 1670 The Contractor shall provide Interoperable reports that reconcile to applicable operational reports generated for the same time period. 1671 The Contractor shall provide Interoperable reports that reconcile to applicable financial reports generated for the same time period. 1672 The Contractor shall provide reports that track the transmission and receipt of all Interoperable files, in accordance with the Interoperable ICD. 1673 The Contractor shall provide Interoperable Transaction and revenue reconciliation reports that reconcile with BOS Account Posting reports. 1674 The Contractor shall provide Interoperable rebate and discount reports that reconcile to Interoperable Agency reports. 1675 The Contractor shall provide an Interoperable Transactions/trips adjustment report that reconciles to the Interoperable Agency(s) version of the report. 1676 The Contractor shall provide an Interoperable Transactions/trips adjustment report that reconciles to the financial reports. 1677 The Contractor shall provide Interoperable reports that list the rebates, discounts and related adjustments due to or withheld from the Interoperable Agency for adjustment made to toll transactions/trips that have been paid to the Interoperable Agency. These reports shall reconcile to the financial reports. 1678 The Contractor shall provide Interoperable reports that list the adjustments due to or

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withheld from the Interoperable Agency for adjustment made to toll transactions/trips that have been paid to the Interoperable Agency. These reports shall reconcile to the financial reports. 1679 The Contractor shall provide Interoperable reports that list the adjustments due to or withheld from the Interoperable Agency for adjustment made to toll transactions/trips that have been paid to the Interoperable Agency. 1680 The Contractor shall provide Interoperable reports that list transaction corrections that were not accepted by the BOS.

2.17.5.4. Reconciliation with ROV Lookup Source(s) Reports The BOS shall Interface directly with one or more ROV Lookup sources to obtain vehicle registration information including Registration Holds. The exchange of information and status shall be tracked and reported. Reports provided by the BOS shall match the transactional data provided to the RTCS. Reports addressing the Interface(s) to the ROV Lookup source(s) shall meet the following requirements: 1681 The Contractor shall provide reports that track the transmission of each vehicle registration lookup request, acknowledgment and response to each request. Data shall include the processing status of each record, including re-transmission and response code for each RTCS. 1682 The Contractor shall provide reports that help identify license plates, including but not limited to:  by Jurisdiction;  by Toll Facility for which there is no response;  license plates that have no registration data after an established period of time (aging);  license plates that do not have an ROV Lookup match;  problematic license plate types and  exceptions that need to be investigated (Cases). 1683 The Contractor shall provide reports that provide ROV request and response trends by state, date and license plate type. 1684 The Contractor shall provide reports that track Registration Hold statuses and any discrepancies between the status per the BOS and the status per the DMV or out-of-state DMV.

2.17.5.5. Reconciliation with Rental Car Companies Reports The BOS utilizes the rental car company file exchange process (in addition to what rental car companies can perform on the Self-Service Website) to maintain the vehicle database. File uploads also shall be used to obtain/update vehicle license plates.

1685 The Contractor shall provide reports that track the vehicle license plate information provided by the rental car company, including but not limited to:  files transmitted or loaded;  license plates added;

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 license plates identified as exceptions;  effective date of the license plates (subscription period);  updates made to the license plate information and  the processing status of the license plates. 1686 The Contractor shall provide reports that track the rental information provided by the rental car company, including but not limited to:  files transmitted or loaded;  Image-Based Transactions/Trips against license plate and/or renter/operator for rental period;  outstanding amounts;  vehicle status (Registration Hold);  Notices and Alerts;  status or workflow stage and  exceptions. 1687 The Contractor shall provide reports that reconcile to Image-Based Transaction/Trip noticing and financial reports. 1688 The Contractor shall provide reports that show Image-Based Transaction/Trip trends and activity on rental car company license plates. 1689 The Contractor shall provide reports that show Image-Based Transaction/Trip trends and activity by license plate.

2.17.5.6. Merchant Account Reconciliation with Merchant Service Provider Reports The System shall Interface with the Merchant Service Provider for processing Credit Card payments and refunds.

1690 The System shall balance and reconcile every record processed, including but not limited to:  payments (sales);  voids;  refunds;  exceptions and  chargebacks. 1691 The System shall load and process the Merchant Service Provider reconciliation files in support of the detailed reconciliation. 1692 The Contractor shall provide reports that track the Credit Card files transmitted to the Merchant Service Provider in batch mode and/or records transmitted in real-time, including but not limited to:  number of payments;  chargebacks;  refunds;  reversals;  adjustments;

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 errors;  authorizations;  settlements;  payment source;  Credit Card type;  processed amounts;  process status (for example accepted, declined);  counts and amounts reported by the Merchant Service Provider for each transaction type;  counts and amounts reported by the Merchant Service Provider for each card type;  variances;  declined reasons;  date and time of transmission;  Credit Card account number in PCI-compliant format;  Account number;  number of attempts and  processing fees. 1693 The Contractor shall provide reports that track the transmission of the Credit Card expiration update request files, including but not limited to:  records in the file;  response received;  errors;  no response;  retries;  old expiration date;  new expiration date;  Credit Card account number in PCI-compliant format;  Account number;  current Account balance (receivable or prepaid);  status of update;  exceptions and  Account Alerts. 1694 The Contractor shall provide reports that track the transmission of the Credit Card information update request files, including but not limited to:  records in the file;  response received;  errors;  no response;  retries;  old information;

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 new information;  Credit Card account number in PCI-compliant format;  Account number;  current Account balance (receivable or prepaid);  status of update;  exceptions and  Account Alerts. 1695 The Contractor shall provide reports that display Credit Card payment processing fees, including but not limited to:  card type;  transaction type;  quantity processed;  amount processed;  per-transaction fees and  percentage fees. 1696 The Contractor shall provide reports that display Credit Card payment processing trends, including but not limited to:  card type;  amount processed;  amount declined;  quantity;  number of errors;  transaction type (for example, payment, replenishment, reversal, refund);  fees and  percentages. 1697 The Contractor shall provide reports that balance to financial reports. 1698 The Contractor shall provide reports that balance to settlement reports. 1699 The Contractor shall provide reports that balance to Account reports. 1700 The Contractor shall provide reports that balance to operations (CSR, Web, IVR) reports. 1701 The Contractor shall provide reports that validate compliance to the Performance Requirements and note the exceptions.

2.17.5.7. Reconciliation with Credit Card Update Service Provider Reports 1702 The Contractor shall provide reports that reflect successful or unsuccessful transmission of update files. 1703 The Contractor shall provide reports that reflect the number of updates requested from the Credit Card update service provider. 1704 The Contractor shall provide reports that reflect the number of updated Credit Card files received from the Credit Card update service provider. 1705 The Contractor shall provide reports that track the transmission of the Credit Card expiration update request files, including but not limited to:

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 records in the file;  response received;  errors;  no response;  retries;  old expiration date;  new expiration date;  Credit Card account number in PCI-compliant format;  Account number;  current Account balance (receivable or prepaid);  status of update;  exceptions and  Account Alerts. 1706 The Contractor shall provide reports that track the transmission of the Credit Card information update request files, including but not limited to:  records in the file;  response received;  errors;  no response;  retries;  old information;  new information;  Credit Card account number in PCI-compliant format;  Account number;  current Account balance (receivable or prepaid);  status of update;  exceptions and  Account Alerts.

2.17.5.8. Reconciliation with LACMTA Bank Reports All payments and funds received by the BOS are deposited in LACMTA bank accounts. LACMTA requires the capture of all deposit data in the System. Fees for services provided also must be reflected separately in the reporting. Reports supporting the reconciliation with banks shall meet the following requirements: 1707 The Contractor shall provide completed reconciliation and supporting System reports that reconcile files received from and sent to the banks have been processed. 1708 The Contractor shall provide reports that support and identify source of errors, variances and exceptions. 1709 The Contractor shall provide completed reconciliation and supporting System reports that reconcile expected revenue to the actual revenue for each Account established by the BOS. 1710 The Contractor shall provide reconciliations and supporting System reports that reconcile

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to the financial reports. 1711 The Contractor shall provide reconciliations and supporting System reports that reconcile to payments received by the BOS from various entities, such as Interoperable Agencies, Credit Card processor and Lockbox. 1712 The Contractor shall provide completed reconciliations and supporting System reports that reconcile to payments made by the BOS to various Agencies. 1713 The Contractor shall provide completed reconciliations and supporting System reports that reconcile to payments made by the BOS to various entities, such as Interoperable Agencies and customer refunds. 1714 The Contractor shall provide completed reconciliations and supporting System reports that reconcile to the bank statements provided by the bank, including but not limited to:  beginning balance;  activities for the month (such as payments, adjustments and checks cleared);  deposits in transit;  outstanding checks;  reconciling items and  ending balance.

2.17.5.9. Reconciliation with Collections Reports The Contractor shall utilize collection services to pursue Image-Based Transactions/trips and other unpaid receivable balances.

1715 Reports provided by the System shall track, by Collection Agencies if multiple are used:  the transmission of files;  Collections Placements in Collections;  Collections aging and  performance of Collections. 1716 The Contractor shall provide reports that track the transmission of the collection files and Collections responses, by Collection Agencies if multiple are used, including but not limited to:  number and dollar value of Accounts by Type in the Collections file;  outstanding amounts (fees, penalties and Tolls);  number and dollar value of Collections Placements;  number and dollar value of transactions/trips;  number of responses received and  number of errors.

2.17.5.10. Reconciliation with California FTB Tax Intercept Program Reports The Contractor shall utilize the California FTB to pursue Image-Based Transactions/trips and other unpaid receivable balances.

1717 Reports provided by the System shall track:

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 the transmission of files;  debts placed with FTB;  debt at FTB aging and  performance of FTB. 1718 The Contractor shall provide reports that track the transmission of files and FTB responses, including but not limited to:  number and dollar value of Accounts by Type in the FTB file;  outstanding amounts (fees, penalties and Tolls);  number and dollar value of FTB Placements;  number and dollar value of transactions/trips;  number of responses received and  number of errors.

2.17.5.11. Reconciliation with Lockbox Reports All payments and funds received by the Lockbox are deposited in LACMTA bank accounts. LACMTA requires the capture of all deposit data in the System.

1719 The Contractor shall provide reports that track Lockbox payments (summary and detail), including but not limited to:  Account number;  Payment Type;  number of payments;  payment amounts;  payment dates;  document type;  document number;  amount exceptions;  Account exceptions and  other exceptions. 1720 The Contractor shall provide reports that balance to financial reports. 1721 The Contractor shall provide reports that balance to settlement reports. 1722 The Contractor shall provide reports that balance to Account reports. 1723 The Contractor shall provide reports that display payment trends.

2.17.5.12. Reconciliation with Print/Mail Service Provider Reports LACMTA may utilize the services of third-party Print/Mail Service Provider(s) to mail Notifications to customers with whom the System shall Interface. The reconciliation of the Notifications transmitted to the Print/Mail Service Provider(s) and tracking of mailing date is critical to the BOS operations.

1724 The Contractor shall provide reports that track the address validation files and the Third- Party Print/Mail Service Provider responses, including but not limited to:

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 number of records transmitted;  number of responses received;  number of bad addresses and  number of corrections made. 1725 The Contractor shall provide reports that track the Notification files transmitted to the Print/Mail Service Provider (s), including but not limited to:  Notification type quantity and total dollar value;  number of Violation Transactions/Trips and fees and penalties in each Notice;  date transmitted;  response on each Notification;  processing status of each Notification;  date of printing;  date of mailing;  number of pages;  Notifications that were not mailed;  mailing exceptions (such as duplicate mailing or Notification missing elements);  cancelled requests;  re-prints and  re-transmissions.

2.17.5.13. Reconciliation with Address Validation Service Provider Reports 1726 The Contractor shall provide reports that reflect successful or unsuccessful transmission of update files. 1727 The Contractor shall provide reports that reflect the number of updates requested from the Address Validation Service Provider. 1728 The Contractor shall provide reports that reflect the number of updated addresses received from the Address Validation Service Provider.

2.17.5.14. Reconciliation with Email Address Validation Service Provider Reports 1729 The Contractor shall provide reports that reflect successful or unsuccessful transmission of update files. 1730 The Contractor shall provide reports that reflect the number of updates requested from the Email Address Validation Service Provider. 1731 The Contractor shall provide reports that reflect the number of updated email addresses received from the Email Address Validation Service Provider.

2.17.5.15. Reconciliation with Money Services Providers (Payment Services and POS) The Contractor shall support payments and Account replenishment via Money Services Providers.

1732 The Contractor shall provide reports that track and reconcile payments and Account replenishment received from, including but not limited to:

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 Retailer;  Payment Type;  number of payments;  payment amounts;  Account number;  Notice number;  percentages by Retailer and Payment Type;  adjustments and  processing fees. 1733 The Contractor shall provide reports that balance to financial reports. 1734 The Contractor shall provide reports that balance to settlement reports. 1735 The Contractor shall provide reports that balance to Account reports. 1736 The Contractor shall provide reports that display payment trends.

2.17.5.16. Reconciliation with Transponder Retailers Reports The Contractor shall support the distribution of Transponders (and possibly other inventory items) through Transponder Retailers. The tracking of the Transponders to the Retailers, the distribution of the Transponders to customers, and the reconciliation of the Transponders is critical to the CSC operations.

1737 The Contractor shall provide reports that track the distribution of Transponders by type according to, including but not limited to:  Transponder Retailers;  beginning Transponder inventory on hand;  distribution to the Retailers;  Transponders added;  sale of the Transponders;  returns;  status of the Transponders and  ending Transponder inventory. 1738 The Contractor shall provide Retailer Transponder distribution and sales reports that reconcile to financial and Transponder inventory and distribution reports. 1739 The Contractor shall provide reports that track the distribution of other inventory items according to, including but not limited to:  Retailer;  beginning other inventory item inventory on hand;  inventory distribution to the Retailers;  other inventory items added;  sale of the other inventory items;  returns;  status of the other inventory items and  ending inventory of other inventory items.

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1740 The Contractor shall provide the following monthly reports:  number of Transponders ordered and shipped in the previous month, by Retailer;  number of Transponders ordered, but not shipped, as of month end, by Retailer;  list of unregistered Transponders as of month end, by Retailer and delivery date;  list of Transponders registered to a new Account, by month;  list of Transponders registered to an existing Account, by month and  aging of invoices due by Retailer. 1741 The Contractor shall provide reports that track Transponder Status, including but not limited to: failed, returned, recovered and terminated. 1742 The Contractor shall provide reports that track the financial activity related to Transponder Retailers. 1743 The Contractor shall provide reports that balance to financial reports.

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2.18. Project Requirements 2.18.1. BOS Project Management The Contractor shall develop and employ a Project Management Plan (PMP) in accordance with Project Management Institute (PMI) Project Management Body of Knowledge (PMBOK) latest edition that is sufficiently detailed to enable LACMTA to review and confirm that the Contractor has the necessary management, staff and controls in place to meet the Contract Requirements

2.18.1.1. Project Management and Project Management Plan (PMP) The PMP describes how the Contractor shall deliver, implement and manage the Project, including staffing, scheduling and communication procedures for controlling all correspondence, Submittals and other communications between the Contractor and LACMTA, as well as communications with other third-party entities. The PMP shall be in accordance with system engineering methodology wherever applicable. 1744 The PMP shall include, but is not limited to:

 Project scope and key Deliverables, tracked using a numbered Contract Deliverables Requirements List (CDRL);

 a description of the staff management and organization of the Project; an organization chart; identification of Key Team Personnel and their associated responsibilities, and identification of the resources to be used in fulfilling the Requirements of the Contract;

 a description of Project planning, documenting and reporting methods to be utilized, both for use within the Contractor’s staff and externally with LACMTA;

 approach to issue management, including communication, escalation and resolution of Project issues with LACMTA;

 approach to communication management, including meeting schedules and team meetings;

 inclusion of the Approved Project Implementation Schedule;

 a description of the process for reporting and tracking the Approved Project Implementation Schedule and Project performance;

 approach to change control management, consistent with Contract Requirements, including a description of the process for documenting and submitting change requests, the Approval process and how the change control management approach will be integrated into day-to-day Project management;

 approach to document control, including utilizing the LACMTA-provided Electronic Document Management System (EDMS) that is accessible to the project team by username and password software (LACMTA shall have the capability to download documents using this software) and tools LACMTA will use and have read-only access to via the web;

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 approach to risk management, including communication, escalation and resolution of Project risks with LACMTA;

 approach to Quality Assurance and Quality Control;

 approach to subcontractor management, including how issues with subcontractors will be resolved in a timely manner

 approach to procurement management

 documenting the invoice submission; invoice backup information; verification, and Approval process;

 a section with all Approved Project forms;

 approach to project closeout and

 an emergency contact list.

1745 The Contractor shall provide as a part of the PMP and then maintain a current emergency contact list for LACMTA use at all times for handling emergencies and escalations. The emergency contact list shall name the Contractor’s points of contact in order of preference, and shall include, at a minimum, the Contractor’s Project Principal, Contractor Project Manager, Technology Manager and other relevant BOS support staff. The purpose of the emergency contact list is to ensure the Contractor can be reached outside normal working hours to address urgent matters. 1746 The Contractor shall obtain from LACMTA and then maintain and keep current a LACMTA emergency contact list at all times for notifying LACMTA in case of an emergency. The emergency contact list shall name primary and secondary (multiple secondary contacts as applicable) LACMTA’s points of contact for each anticipated event or emergency. 1747 The Contractor shall develop and submit the PMP to LACMTA within 10 days of the NTP for review and Approval.

1748 The Contractor shall identify the tools and products used to manage the Project and the internal controls instituted by the Contractor to guarantee successful delivery of the Project.

1749 The Contractor shall develop and submit communications procedures to LACMTA for review and Approval that address the following, including but not limited to:

 Correspondence – correspondence shall be identified as to originator and designated receiver;

 Document control – tracking of document versions and changes;

 Invoices – all invoices shall be submitted with accompanying backup information as required by the Contract and consistent with LACMTA processes and invoicing and auditing policies. The Contractor shall work with LACMTA to develop the appropriate invoice and back-up materials as a part of the PMP development;

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 Submittals – all Submittals shall be delivered 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 Contract number, Contract name and subject of the Submittal and

 Contract number and Contract name – all items of correspondence, invoices, Submittals and documentation shall contain the Contract number and the designated Contract name.

1750 The BOS Contractor will be allowed to expense a number of cost items as pass-through costs. Unless specifically noted here, other costs (e.g., consumables) are not permitted as pass-through and LACMTA direct covered costs. These include:  postage costs (Note: printing and handling costs are not passed through);  ROV Lookups;  lease lines to connect the BOS to the CSC, WICs, LACMTA, customers accessing via the web and RTCS only;  leased lines (if required and not provided for via a secure internet connection) to connect with any LACMTA designated Third-Party Service Providers (for example, Collections agencies and banking provider);  mobile van hardware, software and connectivity;  integrated project office which includes workspace and meeting space for LACMTA staff during Implementation;  build-out costs (primarily provided under the CSC Operations Contractor Contract) required to support the BOS Contractor at the CSC location;  in-building wiring; and  communications circuits acquisition and recurring costs.

2.18.1.2. Staffing and Key Team Personnel The Contractor is responsible for maintaining and assigning a sufficient number of competent and qualified professionals to meet the Requirements of the Contract in accordance with the Approved Project Implementation Schedule. 1751 The Contractor shall provide staff at all times sufficient to meet the Project Requirements and the Contract including local presence at key time periods at the main Customer Service Center location at a location to be determined in Los Angeles County as Approved by LACMTA. Contractor shall provide work space for Contractor staff and LACMTA staff, and space for meetings with LACMTA, the CSC Operations Contractor and the RTCS Contractor during the Implementation Phase of the project.

1752 The Contractor shall ensure Key Team Personnel are readily accessible to LACMTA during the Contractor’s performance of this Contract. The following are designated as Key Team Personnel for this Project and are subject to the Approval, replacement and removal Requirements of LACMTA for Key Team Personnel as set forth in the Contract:

 Project Principal – responsible for the overall conduct and performance of the Project; oversight of the Project; the performance of the Contractor Project Manager and a point of contact for any escalated Project issues that cannot be resolved by the Contractor Project Manager;

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 Project Manager – shall be a dedicated resource during the Implementation Phase and the first year of the Operations and Maintenance Phase; responsible for all day- to-day Work; the overall execution and delivery of the Project and the day-to-day Contractor contact person on the Project; onsite for key meetings;

 Deputy Project Manager – responsible for managing day-to-day onsite operations to monitor and facilitate overall execution and delivery of the project

 Quality Assurance Manager – responsible for ensuring consistent, high quality throughout the Design, testing and Implementation of the BOS;

 Software Development Manager – responsible for management of all technology resources, including Software development, Hardware/Software implementation and information security as required to satisfy the Requirements of the BOS; responsible for the overall planning, Implementation and monitoring of the data migration and transition from LACMTA’s existing systems to the BOS;

 Implementation Manager – responsible for the implementation, maintenance and configuration of the BOS, including Servers, systems, and networks;

 Financial Analyst Lead – responsible for the Design, testing and Implementation of the financial, accounting, reconciliation and reporting components of the BOS in accordance with the Requirements; responsible for ensuring that accounting and fraud controls are in place in the System in accordance with the Requirements;

 Security Manager – responsible for the implementation and ongoing monitoring of customer data and system security, including PCI compliance and protection of PII

 Software Architect – responsible for architecture of the software solution, including software design, database design, development and implementation of software development standards, and complex integration of functional software components and Modules

 Systems Architect – responsible for architecture of the transaction processing system, including availability, reporting data replication or warehouse environments, secure hardware and network environments, and PCI compliance

 Onsite Maintenance Manager – responsible for providing and managing all onsite maintenance activities in support of LACMTA and the CSC Operations Contractor. Responsible for attending and being well informed regarding all maintenance activities and performance measures and representing the BOS Contractor in-person at all Operations and Maintenance Phase meetings with LACMTA, the RTCS Contractor and/or the CSC Operations Contractor.

 System Maintenance Manager – responsible for on-going back-office and Server systems Maintenance, Equipment and Systems as required to satisfy the Maintenance Requirements of the BOS and

 Software System Maintenance Manager – responsible for on-going software Maintenance as required to satisfy the Maintenance Requirements of the BOS.

1753 Key Team Personnel must meet the minimum requirements specified by LACMTA.

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2.18.1.3. Cooperation with CSC Operations Contractor The Contractor shall work closely with LACMTA and the CSC Operations Contractor in the management and Operation of the LACMTA CSC. The Contractor shall be responsible for around- the-clock monitoring of the BOS and support of Operations and Operational staff with respect to the BOS. The Contractor shall be responsible for the timely reporting of any issues or failures it has identified related to the BOS to both the CSC Operations Contractor and LACMTA, and for cooperating with the CSC Operations Contractor to resolve the issues as expeditiously as possible.

1754 The Contractor shall attend meetings with the Operations Contractor as described in these Requirements.

1755 Additional meetings shall be scheduled as needed to perform the Work and meet these Requirements. 1756 The Contractor shall provide the Operations Contractor’s designated staff, as Authorized Users, access and visibility to the System, including but not limited to:  visibility into the all work queues;

 visibility into all performance measures;

 visibility into all Interfaces and file exchanges;

 full visibility and administrative control of the Telephony Systems;

 full visibility and administrative control of the IVR System;

 full visibility and administrative control of the automatic call distribution (ACD) including the ability to add and modify call queues, in accordance with the Approved change management process;

 full visibility and administrative control of the interactive voice recognition (IVR) including all message recording functions, in accordance with the Approved change management process;

 full visibility and administrative control of the creation and modification of automated electronic and USPS notifications, in accordance with the Approved change management process and

 full visibility and administrative control of the creation and modification of non- automated electronic and USPS notifications, in accordance with the Approved change management process.

1757 The Contractor shall support the Operations Contractor in modifying the delivery of notifications as required to govern and normalize the number of resulting customer contacts. The Contractor’s Performance Measurement shall not be adversely affected by a change to the System’s electronic or USPS notifications schedule in support of an Operations Contractor request that has been Approved by the Authorities.

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2.18.1.4. Cooperation with Other Contractors and Providers 1758 The Contractor shall cooperate to the fullest extent with other contractors, LACMTA; and Third Party Service Providers and Business Partners to ensure the BOS Implementation and Maintenance and Software Support Services do not conflict with or cause any interruption in capability or service or safety issues to the traveling public, customers, LACMTA, or existing operations.

1759 The Contractor shall cooperate with external parties, as directed by LACMTA, to support any activity related to the BOS services, including but not limited to:  LACMTA employees;

 LACMTA designated representatives;

 the CSC Operations Contractor and staff;

 other Interoperable Agencies, states and parties, as directed by LACMTA;

 all entities that directly access the System;

 all entities that use or require output from the System;

 law enforcement;

 auditors and

 All Third-Party Service Providers and Business Partners.

1760 The Contractor shall cooperate with and immediately notify LACMTA (via LACMTA- provided distribution list) regarding any customer complaints and system issues identified in the LACMTA lanes or BOS that come to Contractor’s attention during the course of Implementation, testing or Maintenance and Software Support Services.

2.18.1.5. Monthly Project Reporting and Progress Meetings During Implementation Phase Monthly Project reports and progress meetings shall enable LACMTA and the Contractor to monitor the status, progress and quality of the Work performed on the Project and to take proactive steps to ensure successful delivery of the Project. 1761 The Contractor shall provide and maintain a schedule for monthly progress meetings (in addition to periodic meetings such as Design/installation meetings during the active Design/installation periods) at a location designated by LACMTA. The meeting shall be scheduled no later than the 15th day of the month immediately following the month under review.

1762 No less than five (5) Business Days prior to the meeting, the Contractor shall submit a draft monthly progress report to LACMTA for the period covering the previous month. LACMTA shall review and comment on the progress report prior to the meeting.

1763 The format of the monthly progress report shall be agreed upon as one of the initial Project tasks upon NTP and shall be incorporated by the Contractor into the PMP.

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1764 The Contractor shall manage, facilitate and conduct the meetings in accordance with the agreed to format.

1765 The monthly progress report includes but is not limited to:

 a summary, outlining progress, status and percentage of Work performed for each task, as compared to planned activities in the Approved Project Implementation Schedule. Comments shall be included where appropriate. The summary should be a dashboard-style report and shall identify status of key milestones;

 an analysis of all critical path tasks, potential risks associated with the tasks and proposed contingency/work around plans to circumvent or mitigate delays to the Project;

 identification of any Approved changes to Approved milestone dates and Approved Project Implementation Schedule, clearly noting the details and identifying the Contract Modification;

 a discussion of Schedule compliance and an updated Project Implementation Schedule showing current status against the baseline Approved Project Implementation schedule;

 a risk log that tracks the status of all outstanding risks that need decision/resolution;

 an updated action items list that tracks the status of all outstanding Deliverables (CDRL), activities and issues that need decision/resolution;

 open payment requests, if applicable. Payment requests must identify the payment milestone, number and dollar amount. Payments requests shall be made for completed and Approved milestones only;

 A list of Approved and pending change requests (Contractor and LACMTA initiated) and their status;

 the previous monthly final meeting minutes, and

 a six (6) week look-ahead schedule.

1766 No more than three (3) Business Days after meetings it leads, the Contractor shall submit draft meeting minutes for LACMTA’s review, which capture the summary of the discussions. No more than two (2) Business Days after receiving LACMTA’s comments to the meeting minutes, the Contractor shall submit updated meeting minutes for LACMTA’s review. This process shall continue until the meeting minutes are Approved.

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2.18.1.6. Project Meetings 1767 In addition to the Monthly Project Reports and Progress Meeting, weekly or bi-weekly Project status meetings, as applicable and Approved by LACMTA, and other regularly scheduled and ad-hoc Project meetings shall be required during the course of the Project to address specific Deliverables, Work items and issues as they arise. The meeting shall include LACMTA, the CSC Operations Contractor and the RTCS Contractor as required based on meeting content. The Contractor shall perform the following tasks related to all meetings, including but not limited to:

 develop and coordinate the Project meeting schedule;

 the Contractor shall manage, facilitate and conduct the meetings;

 distribute Notices of Project meetings in accordance with document control Requirements;

 prepare the agenda in coordination with LACMTA and distribute at least two (2) Business Days prior to the meeting;

 attend the meeting with all required staff in attendance;

 prepare minutes of the meeting and forward them to LACMTA within five (5) Business Days after the day of the meeting and

 maintain an action item list for each type of meeting, identifying issues that need to be resolved at the Project level.

2.18.1.7. Project Schedule The Approved Project Implementation Schedule is a comprehensive list of Project milestones, activities and Deliverables, with planned start and finish dates, including a detailed Work Breakdown Structure (WBS) that identifies Project tasks down to the Work package level and the activities required to complete the Work package Deliverables. 1768 The Contractor shall provide and maintain an Approved Project Implementation Schedule for the Project in Microsoft Project format (Project 2010 or above) that lists all Project activities and tasks, including but not limited to:

 planning;

 design;

 development;

 hardware and software acquisition;

 documentation;

 testing;

 installation;

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 transition and

 deployment of the BOS.

1769 The Project Implementation Schedule shall include coordination with Third-Party Service Providers, Business Partners and LACMTA and shall clearly document all interfacing tasks.

1770 The Project Implementation Schedule shall identify all milestones and tasks, starting with the Notice to Proceed (NTP) through the date of Final System Acceptance.

1771 The Project Implementation Schedule shall be resource loaded, shall include all draft submissions and review cycles and shall include all tasks required of LACMTA and other third parties with critical tasks.

1772 The Project Implementation Schedule shall identify all critical path tasks and dependencies between tasks, and shall be used to manage the Project.

1773 The baseline for the Project Implementation Schedule shall be submitted to LACMTA for Approval ten (10) Business Days after NTP and shall be developed based on the schedule included in the Contract, subject to changes Approved by LACMTA.

1774 The Contractor shall update and progress the Project Implementation Schedule on a monthly basis, as identified in the Requirements for the monthly progress report. Reports shall include a comparison of the last month’s schedule to the current month’s updated schedule. The data date of the schedule shall be the last day of the reporting month.

1775 The Contractor shall use the Project Implementation Schedule as the basis for all subsequent schedules and updates throughout the duration of the Project.

1776 The Contractor shall obtain Approval from LACMTA for any and all changes to the Approved baseline Project Implementation Schedule and associated milestones in accordance with the Contract process for changes and Contract Modifications and changes are not considered Approved unless a Contract Modification is executed through the Contract.

2.18.2. BOS Design and Development Requirements To ensure the Design Requirements for the BOS are fully understood by LACMTA and the Contractor, a series of Requirements and Design review steps are specified following a sequential Design process. The Contract Conformed Statement of Work and Requirements Document (CSWRD) shall be the basis for the Contractor to develop a Requirements Traceability Matrix (RTM). The RTM allows for verification that each of the Requirements in the CSWRD have been addressed in the Design and documented in the System Detailed Design Document (SDDD) and the Master Test Plan (MTP) and its test procedures. The RTM shall be the basis for all design, development and testing efforts and documentation to be developed by the Contractor.

1777 The Contractor shall establish and maintain a software design and development program to ensure compliance with the Requirements of the Contract.

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1778 The Contractor shall employ appropriate techniques and methodologies to develop the BOS Requirements and ensure compliance with the Business Rules for the Project.

1779 Prior to conducting any workshops, Requirements reviews, focus group meetings or design reviews, the Contractor shall develop all necessary documentation for LACMTA to review and shall submit the documentation for review no less than 10 Business Days prior to such meetings.

1780 The Contractor shall design and develop the BOS architecture to be scalable to accommodate future Application Programming Interfaces (API)-based systems.

2.18.2.1. System Requirements Review Meetings The Contractor shall conduct a series of System Requirements review meetings with LACMTA (the CSC Operations Contactor and the RTCS Contractor shall attend as required based on meeting content) to validate all requirements and ensure Contractor’s understanding of the requirements. 1781 The Contractor shall manage, facilitate and conduct a series of System Requirements review meetings with LACMTA to outline how the Contract Requirements shall be met. The outcome of these meetings shall be a RTM that shall be used to validate each Requirement against a Design item(s), Design Documentation and testing procedure(s).

2.18.2.2. Business Rules Workshops The Contractor shall conduct a series of Business Rules workshops with LACMTA, the CSC Operations Contactor and the RTCS Contractor to update the Business Rules document. The Contractor shall be responsible for making updates to the business rules which pertain to the BOS; however, LACMTA will maintain ownership of the Business Rules Document. The Business Rules are presented in a narrative format describing each Business Rule and the Business Rules will include enough granularity to clearly identify rules and constraints which govern business operations. LACMTA’s current business rules are provided as Attachment 5: Current ExpressLanes Business Rules. 1782 The Contractor shall manage, facilitate and conduct Business Rules review workshops with LACMTA, the CSC Operations Contractor and the RTCS Contractor to modify the Business Rules for the BOS against the current baseline.

1783 The Business Rules review workshops shall include Contractor, CSC Operations Contractor, RTCS Contractor and LACMTA staff who will provide expertise on the current and future business operations.

1784 The Contractor shall conduct a minimum of three Business Rules workshops.

1785 The Contractor shall utilize the current LACMTA Business Rules as a baseline and facilitate discussions to verify and update the Business Rules to reflect current business functions.

1786 The Contractor shall be responsible for modifying existing or drafting new Business Rules to cover the relevant aspects of the BOS which require Business Rules including but not limited to:

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 detailed Business Rules for all aspects of the System, including policies and processes developed by the Contractor and Approved by LACMTA;

 detailed description of all System Configurable options, ranges and thresholds (Configurable within the System or Configurable by Authorized User) for each Business Rule (if applicable);

 categorization of all Business Rules, providing indication for the source of the Business Rule;

 cross-referencing of all Business Rules to the underlying Requirements and

 System and operational impacts of each Business Rule.

1787 The iterative series of workshops and demonstrations shall continue until the above Business Rules Requirements are satisfied and the Business Rules are Approved by LACMTA.

1788 The Contractor shall provide updates to the Business Rules document to LACMTA for the remainder of the Contract Term with any changes to the BOS.

2.18.2.3. Use Cases Workshops The Contractor shall conduct a series of use-case workshops with LACMTA and the CSC Operations Contractor (the RTCS Contractor shall attend as required) to develop use cases. The outcome of these meetings shall be a series of use-case documents that shall be used in conjunction with the Business Rules and test procedures to validate the Requirements. 1789 The Contractor shall manage, facilitate and conduct a minimum of three use-case workshops with LACMTA to develop the use cases that shall be used in conjunction with test procedures to validate the Requirements of the Contract have been met.

1790 The iterative series of workshops and demonstrations shall continue until the above use case Requirements are satisfied and the use cases are Approved by LACMTA.

2.18.2.4. System Detailed Design Review Meetings and Workshops Based on the RTM and Business Rules documents, the Contractor shall design the BOS and submit a preliminary design document for LACMTA to review and provide comments. The Contractor shall then conduct a series of design meetings and workshops with LACMTA, the CSC Operations Contractor and the RTCS Contractor to address the comments and to create the SDDD, defining how the system design shall meet the Requirements. Upon the submittal of an updated SDDD another review cycle shall take place. 1791 The Business Rules document and the RTM shall be used to develop the System Design and the SDDD.

1792 The Contractor shall schedule design meetings with LACMTA to review and fully understand the design Requirements.

1793 The Contractor shall manage, facilitate and conduct the workshops and meetings.

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1794 The Contractor shall demonstrate pre-production working products (such as beta versions) during the design review process, and stakeholders shall be walked through the workflow, utilizing screens and data flow diagrams.

1795 The Contractor shall explain how the System Design meets the RTM, the Business Rules and the Contract Requirements.

1796 The Contractor shall conduct as many meetings, workshops, and submission review cycles as deemed necessary by LACMTA to address all design issues to LACMTA’s satisfaction.

2.18.2.5. Reports Design Workshops The Contractor shall conduct a series of workshops with LACMTA, the CSC Operations Contractor and the RTCS Contractor to facilitate the design of the BOS reports required by LACMTA. 1797 The Contractor shall manage, facilitate and conduct a minimum of three reports design workshops.

1798 The reports design process shall be iterative, and the Contractor shall conduct multiple workshops with LACMTA’s stakeholders sufficient to obtain LACMTA’s informed input. The Contractor shall bring its subject matter experts (SMEs) to the workshops, including as example, maintenance and finance/accounting staff, as appropriate for the report type(s) being reviewed during the meeting. The iterative series of workshops and demonstrations shall continue until the above reports Requirements are satisfied and the reports are Approved by LACMTA.

1799 SMEs must provide a means for fully explaining each report, its intended purpose, columns, fields and components and its connection with other reconciling and validating reports.

1800 Upon receiving feedback from LACMTA, the Contractor shall develop/modify the reports and submit the updated reports for review.

1801 The modified and new reports shall be demonstrated to LACMTA using accurate and reconciled data. Reports that are expected to reconcile to one another shall be demonstrated together.

2.18.2.6. Performance Reporting Workshops The Contractor shall conduct a series of workshops with LACMTA, the CSC Operations Contractor and the RTCS Contractor to facilitate the design the Performance reports required by the three contractors and LACMTA.

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1802 Within the first three (3) months after NTP or at another date Approved by LACMTA, subject to reasonable advance notice, the Contractor shall conduct a series of Performance Requirements reporting workshops with the CSC Operations Contractor, the Lane System Contractor and LACMTA. This will allow the Contractors and LACMTA to understand how the Requirements-related data will be captured and how the Performance Reports will communicate the performance data once the Operations and Maintenance Phase has commenced. During these workshops, the Contractors and LACMTA shall discuss the performance measures and the associated reporting. These workshops shall allow the CSC Operations Contractor and the RTCS Contractor to specify how the requirements- related data will be captured and to accurately report performance for all three contractors as compared to the Requirements.

2.18.2.7. Software Walkthroughs The intent of the Software walkthrough is to provide an overall status on the Contractor’s Software development progress to ensure the Contractor is on track to deliver the Project on schedule and to obtain LACMTA’s feedback on the direction of the development prior to the full rollout of the Software. Lastly it allows LACMTA to observe the BOS in operation. Unlike software detailed design reviews, these walkthroughs shall demonstrate actual transactions/trips in a test environment. 1803 The Contractor shall manage, facilitate and conduct the walkthroughs.

1804 The Contractor shall conduct a series of Software walkthroughs including product demonstrations to solicit input from LACMTA and the CSC Operations Contractor during the development of the BOS Software. The BOS Contractor will segment each meeting by functional area and schedule each walkthrough meeting to align with the participants’ availability. No less than four (4), four (4) hour meetings will be conducted; however, if more meetings are required the Contractor shall conduct as many meetings as necessary to cover all software.

1805 Prior to the Software walkthrough, the Contractor shall develop and submit the use cases that shall be demonstrated to LACMTA for review and Approval. Real transactions/trips and images from each of LACMTA’s Toll Facilities shall be utilized for the walkthrough. The walkthrough shall follow the process flow and emulate normal operations.

1806 The product shall be demonstrated in a test environment that allows data to flow as it will in the final integrated System.

1807 The Software walkthrough shall demonstrate to LACMTA that the developed Software product meets the technical and functional Requirements of the Contract.

1808 Comments and feedback provided during the Software walkthrough shall be documented and resolved by the Contractor and the resolution shall be Approved by LACMTA.

1809 The Contractor shall be responsible for identifying and correcting any Software issues or defects in its design or product that impact the Contractor’s ability to deliver a BOS that meets the Contract Requirements. This shall apply to issues or defects found during or after Software walkthrough or in the subsequent testing and implementation. Any such changes to address these issues shall be Approved by LACMTA in writing.

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2.18.3. Documentation The Contractor is required to provide documentation, including but not limited to documentation for Hardware, Software, Requirements, Business Rules, design, testing, installation and maintenance, both Contractor-developed and thirty-party documentation. All documentation provided under this Contract shall meet the Requirements described below. 2.18.3.1. Contractor-Developed Documentation 1810 The Contractor shall utilize a LACMTA-provided EDMS that is accessible to the project team by username and password, to control all Project-related documents, submissions and drawings.

1811 All Project documents submitted under this Contract shall be available to all authorized project team members using the EDMS provided by LACMTA.

1812 Each document shall be properly titled, date updated, numbered by revision, revision history, and version and shall incorporate signature blocks for authorship and Approvals. The Contractor shall provide a logical indexing system for ease of access for LACMTA’s Approval to be used to locate documents in the EDMS.

1813 The Contractor shall utilize acceptable standards agreed upon by the Contractor and LACMTA when updating documents and submitting revisions.

1814 All documentation submitted by the Contractor under this Contract shall be accurate and comply with Contract Requirements.

1815 A table of contents, for all documentation that includes multiple pages and/or multiple sections, shall be submitted by the Contractor to LACMTA for review and comment prior to the submission of the preliminary draft as part of the Deliverables Expectation Document. LACMTA will review and provide comment on table of contents submittals within 5 Business Days.

1816 The Deliverables Expectation Document shall include all subsections and a summary narrative for each section describing the assumptions and approach.

1817 The Contractor shall submit preliminary draft and final draft Documents to LACMTA for review and comment, followed by 100 percent complete Documents that incorporate all LACMTA’s review comments.

1818 LACMTA shall have the right to require additional interim drafts from the Contractor at no additional cost should the documentation submitted not be of adequate quality, have missing or incorrect information or if it does not satisfactorily address LACMTA’s review comments.

1819 LACMTA shall review and Approve all documents submitted under the Contract. For documents containing less than 100 pages, LACMTA will review and provide comment on preliminary draft documents within 15 Business Days. For documents containing at least 100 pages, LACMTA will review and provide comment on preliminary draft documents within 25 Business Days. LACMTA shall review and provide comment on all final draft and final documents within 10 Business Days. When multiple documents are submitted to LACMTA simultaneously, or within one week of each other, the number of Business Days required for review shall be doubled.

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1820 The Contractor shall provide a Customer Review Form (CRF) with each submitted document. LACMTA shall populate the CRF and provide the Contractor with written comments on all submitted documents. The Contractor shall respond in writing to all comments through the CRF. The Contractor may schedule and conduct meetings to clarify and resolve any remaining questions and issues concerning the comments and responses provided. The Contractor shall then prepare a revised version of the document for Approval by LACMTA.

1821 The Contractor shall submit two (2) hard copies and the electronic version of all Contractor developed documentation for LACMTA review and Approval unless otherwise directed by LACMTA. Acceptable electronic formats are Microsoft Office 2010 Suite (or higher), unsecured and indexed Portable Document Format (PDF), Excel (as appropriate) and professional CAD applications for Contractor-prepared documentation.

1822 The Contractor shall update documentation as changes occur through the Implementation Phase and the Operations and Maintenance Phase. All changes shall be submitted to LACMTA for Approval. The Contractor shall maintain a document submittals list on the EDMS identifying all versions of documents, the date submitted, the nature of changes and identify what the changes are within the documentation.

1823 The documentation package for all Submittals as applicable shall include all required CDs or USB drives with applicable software to install, operate and maintain the System/Deliverable/document being supplied.

1824 All documentation submitted by the Contractor under this Contract shall be the property of LACMTA and shall not be marked with “Proprietary” unless agreed to by LACMTA.

2.18.3.2. Requirements Traceability Matrix The RTM provides traceability between Requirements and System functionality in a matrix format. The RTM shall be the basis for all design, development and testing efforts and documentation to be developed by the Contractor. 1825 Upon completion of the System Requirements review process the Contractor shall deliver a RTM that details all the technical and functional Requirements for the BOS.

1826 The Contractor shall develop and submit an RTM that identifies each Requirement and where it is addressed in the design and testing, including but not limited to:

 listing and multiple levels of categorization (e.g., functional, Interfaces, Modules, etc.) of all Requirements;

 identification of the source of all Requirements;

 identification of the design section of the SDDD that addresses the Requirement;

 identification of the test procedures that address the Requirement;

 Identification of the test method to validate the Requirement (e.g., via inspection, demonstration, analysis, test) and

 identification of the Business Rules associated with each Requirement.

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The RTM shall build on the specifications documented in the CSWRD and shall capture all 1827 user needs identified during the Requirements review process.

During the design and development of the Software, the Contractor shall update the RTM 1828 to reflect any changes to the Requirements that have been Approved by LACMTA through the project’s change control management process.

During design and testing, the RTM shall be used to verify the System compliance to the 1829 Contract Requirements and test procedures.

Upon Approval of the RTM, this document shall be the basis for functional verification 1830 design, development and testing.

2.18.3.3. System Detailed Design Document (SDDD) 1831 The Contractor shall develop and submit a SDDD that describes the design specifications of all hardware and software provided as part of the BOS to meet the Approved Contract Requirements. The SDDD shall demonstrate that the Contractor understands the functional, technical and Performance Requirements of the BOS and has the processes, hardware and software design in place to provide a high-quality and reliable product that meets the Requirements of the Contract.

1832 The SDDD shall be clear, well-written and organized.

1833 The SDDD shall include the use of diagrams, figures and tables, and it shall apply to all environments, including production, LACMTA provided Data Warehouse, Disaster Recovery, training, testing and post-Go-Live help desk.

1834 The SDDD shall include but not be limited to:

 physical and logical diagrams that identifies such items as, but not limited to: the systems, how they're linked, where they're located, Interfaces, etc.;

 system architecture, including equipment layout diagrams;

 data backup systems design, including sizing and processing calculations;

 the requirements for all peripheral device Interfaces and control;

 space requirements;

 power requirements;

 degraded mode of operations and impacts of failures on system operations;

 all equipment and their total power requirements;

 environmental specifications;

 specification sheets for all Equipment;

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 complete bill of materials, including hardware, software and support/maintenance agreements;

 Server design, including sizing and processing calculations;

 storage system design, including sizing and processing calculations;

 detailed database design, schema and entity relationship modeling, including sizing and processing calculations;

 high system availability design, including Servers, storage, network, database and application;

 Disaster Recovery design, including Servers, storage, network, database and application;

 hardware dependencies and inter-dependencies;

 transaction processing design, including sizing and processing calculations;

 detailed infrastructure software design,

 detailed operating systems design;

 detailed data center(s) rack and Server placement design;

 detailed desktop computer hardware configurations;

 detailed desktop computer software configurations;

 detailed desktop peripherals configurations, including Requirements for all peripheral device Interfaces and control;

 all internal system Interfaces;

 all custom developed software;

 all software provided by the Contractor or a third-party;

 all documentation required under PCI;

 software dependencies and inter-dependencies;

 Module level descriptions and interaction among various Modules;

 detailed description to the Module and/or process level for all of the functions according to the functional Requirements of the system;

 detailed Interface specifications between all software components;

 design of all external system Interfaces (both sides of the Interface), including electronic Interface portals for Third-Party Service Providers and Business Partners, existing LACMTA systems and image capture systems and Interoperable Agencies and entities;

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 formal and standard Interface Control Documents (ICDs) for all external Interfaces documenting both sides of the Interface;

 all file upload functional design, for example fleet/rental car company vehicle management file uploads;

 detailed data management design and processes, including summarization, archiving and purging;

 detailed Data Warehouse data dictionary;

 all user Interfaces (including reports and screen formats);

 system data dictionaries;

 format of all correspondence for all channels;

 Account management design and categories;

 Self-Service Website site map;

 Self-Service Mobile Website site map;

 Self-Service Mobile Application flow diagram;

 Financial Accounts;

 data flow diagrams, state diagrams and data queues;

 IVR and ACD system flow diagrams, including call routing and scripts;

 application performance monitoring Design;

 access/identity security methodology;

 security access system layout and interconnections;

 cabinet interconnection diagrams;

 network sizing and design details including IP scheme and

 A logical division and an index of all contents within the SDDD.

Upon the completion of the software development, and prior to transitioning the BOS, the 1835 Contractor shall submit the final updated SDDD that includes all changes/clarifications made during the Implementation Phase.

2.18.3.4. Software Development Plan 1836 The Contractor shall develop and submit a Software Development Plan (SDP) that includes but is not limited to:

 documentation of the software development approach to the application structure,

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behavior, architecture, business processes and data structures;

 development resources and responsibilities, such as software developers, system engineers, test engineers, Quality Assurance and control personnel, configuration management administrator, documentation specialists and Project management staff;

 description of natural segregation of development areas or teams, such as development of user Interfaces, development of reports, development of the functionality and development of Interfaces;

 software development standards;

 software development methodology, such as use cases, modeling and other development tools;

 maintenance of standard and baseline codes and management of major releases;

 description of the software development life-cycle and maintenance;

 approach to segregation of environments (development, testing and deployment) and the number of environments;

 development problem reporting and defect tracking;

 code reviews;

 source control;

 informal and internal testing methodology;

 regression testing;

 software development language strategy related to both development and software maintenance;

 development and integration approach for the major functional Modules;

 software Quality Control processes;

 software end-user documentation review and usability;

 development documentation;

 technical software code documentation and standards for all code;

 software configuration and change management approach and standards;

 samples of detailed software documentation for both external and in-line documentation;

 software deployment approach, release notes and validation and

 detailed documentation of the development environment, including enough information that the environment could be completely replicated.

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1837 The SDP shall be submitted for Approval by LACMTA 60 Business Days after NTP.

2.18.3.5. Quality Assurance Plan The Quality Assurance (QA) Plan shall include how to address errors (quality-related events) and how to make improvements before an error occurs (continuous quality improvement). 1838 The Contractor shall develop and submit to LACMTA for Approval, a QA Plan that details the Contractor’s QA Program in a concise manner customized to this project, and clearly describes the processes the Contractor will follow

1839 The QA Plan shall include the Contractor’s QA Program through development, design, production, purchasing, testing and installation of all hardware and software provided under this Contract.

1840 The QA Plan shall describe the Quality Assurance procedures and methodology for the Project, including but not limited to:

 quality management and organizational structure;

 system design;

 software development;

 installation;

 data migration and transition;

 equipment purchase, delivery and validation;

 inspection and verification for in-process, final assembly, unit tests and system testing;

 configuration management;

 change management and change control process;

 quality management documentation;

 quality review and verification and

 reporting and metrics.

1841 The QA Plan shall be submitted for Approval by LACMTA 45 Business Days after NTP.

2.18.3.6. Master Test Plan (MTP) and Test Procedures The Contractor shall develop and submit a comprehensive testing plan that describes the different test phases, the Contractor’s testing concepts and approach and the administration of each test. The Master Test Plan (MTP) outlines the scope and testing concepts to be used to validate the BOS

Statement of Work and Requirements Page 259 LACMTA Back Office System compliance to the Contract Requirements, including integration to the RTCS, external entities and Interoperable Agencies, compliance to all standards and migration and transition of the BOS. 1842 The Contractor shall provide an MTP for LACMTA’s Approval that details the testing methodology utilized by the Contractor to demonstrate the BOS satisfies Technical, Functional and Performance Requirements.

1843 The MTP shall cover testing all aspects of the BOS and shall describe all test phases, scope and procedures to validate the BOS compliance to the Requirements, including but not limited to:

 overall approach to testing;

 approach for each test;

 detailed schedule for each test, identifying each test activity and resource;

 methodology for testing the Performance Requirements and sample size for each phase of testing;

 approach for how data sets for each test are created including data needed to simulate logical days and cycles;

 software test automation tools utilized for each test;

 purpose, scope, location, system environment, and duration of each test;

 approach to validating all BOS Requirements through the testing methodology;

 approach to validating all reporting Requirements;

 approach to end-to-end testing, validation and reconciliation;

 approach to data migration testing, compliance to standards, correction of defects and software release;

 log testing to ensure the appropriate level of information logging is occurring, particularly when exceptions occur. The MTP needs to identify which tests validate the logging Requirements;

 end-to-end testing to ensure processes, transactions/trips and their interaction are tested through their final stages or disposition;

 Interface testing to Toll Facilities, Interoperable Agencies and Third-Party Service Providers and Business Partners;

 security, Personally Identifiable Information (PII) and PCI-DSS related Requirements;

 financial activity and reconciliation;

 system performance and adherence to Performance Requirements;

 redundancy/failover aspects;

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 DR aspects;

 cross-channel testing to ensure testing is not only performed for each Interface (such as, web, mobile and IVR) individually, but also that testing is performed across each Interface to ensure consistent presentation and processing;

 describe the entry and exit criteria for each test;

 document the severity and priority descriptions and levels for each test;

 document how defects shall be triaged; tracked; reported; resolved, and retested, including tools used to document defects and

 a set of regression test procedures that shall be exercised each time software changes are made to BOS after Final System Acceptance.

1844 The Contractor shall provide a detailed Test Plan for LACMTA’s Approval for each testing phase outlined in the Requirements and Approved MTP, including but not limited to:

 inventory of test cases for manual tests and/or test scripts for automated tests;

 test entry and exit criteria;

 test preparation;

 test data creation;

 periodic status meetings;

 all necessary facilities; materials and supplies as applicable;

 all necessary personnel and

 all necessary hardware and software.

1845 The Contractor shall provide test cases for LACMTA’s Approval for each testing phase outlined in the Requirements and Approved MTP, including but not limited to:

 test case ID;

 test case description;

 related requirements;

 assumptions:

 test data (variables and their values);

 steps to be executed;

 expected results;

 actual results;

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 pass/fail and

 comments.

1846 LACMTA’s Approval of any aspect of testing shall not relieve the Contractor of its responsibility to meet the full Requirements of the Contract.

1847 The Contractor shall update the RTM linking every Requirement to a set of test cases to demonstrate the Requirement has been satisfied and which test satisfied the Requirement.

2.18.3.7. Implementation Plan and Related Documentation The Contractor shall develop and submit an Implementation Plan that identifies its approach that covers the major elements of the implementation, including coordination with LACMTA’s existing vendors. 1848 The Contractor shall develop and submit the Implementation Plan that documents all implementation related activities for the Project for LACMTA review in accordance with the Approved Project schedule.

1849 The Implementation Plan shall define all elements of implementation, including but not limited to:

 the detailed implementation schedule, detailing all activities for the implementation of the BOS, including third-parties and Subcontractors. Once the implementation schedule is Approved by LACMTA, the Contractor shall submit to LACMTA updates during the implementation period(s) identifying any proposed implementation schedule changes and Work progress in the form of percentage completions;

 resource allocation requirements for all Implementation Phases;

 coordination with other vendors and contractors including coordination activities as applicable with other third-party entities for the various Interfaces;

 procurement and installation of the communications network;

 Quality Control, Quality Assurance, inspection and testing processes;

 special or unique implementation Requirements and

 an organization chart defining personnel, roles and responsibilities and contact information.

1850 The Contractor shall provide the implementation Requirements for the equipment, including all related plans and documents. The Contractor shall certify the implementation requirements provided as accurate and appropriate for its intended purpose, to the satisfaction and Approval of LACMTA.

1851 The Contractor shall develop and submit to LACMTA a full size (24” by 36”) set of drawings, providing sufficient and accurate detail to install the System components.

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1852 The Contractor shall submit detailed Server configuration instructions, including the configuration of storage devices, back-up devices and network connectivity.

2.18.3.8. Transition Plan and Data Migration Strategy LACMTA requires data migration and the transition of the Metro ExpressLanes CSC to the BOS. The Contractor shall provide a Transition Plan that fully accounts for these transitions. The Transition Plan shall include all aspects related to data migration including details of all data migration tools, schedule and all activities required for transition of transaction information and other data to the BOS for Go-Live. 1853 The Contractor shall coordinate with LACMTA, CSC Operations Contractor, and RTCS Contractors to develop and provide a detailed Transition Plan and data migration strategy, subject to Approval by LACMTA that identifies all aspects of migrating data and transition of all activities and systems associated with the implementation of the BOS.

1854 The Transition Plan shall incorporate all aspects of the BOS transition, including but not limited to:

 establishing the CSC facility;

 customer service operations transition aspects;

 system hardware deployment and data migration and

 system Go-Live.

1855 The Transition Plan shall provide operational details, including but not limited to:

 schedules;

 communication procedures;

 mapping of all activities to be transitioned;

 staff acquisition and training;

 coordination activities required with the CSC Operations Contractor and the RTCS Contractor;

 testing and

 other activities required for LACMTA to Go-Live from an operations standpoint.

1856 The Contractor shall provide data migration and transition team organizational structure, organizational chart and roles and responsibilities.

1857 The Transition Plan also shall include coordination with LACMTA regarding the orderly shutdown and decommissioning of the legacy systems by LACMTA after system Go-Live. Shutdown and decommissioning to be performed by LACMTA or third-party contractor.

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1858 The Transition Plan shall include a transition schedule, detailing any system down time required and the expected duration of the outages. It shall also identify all tasks required of the existing LACMTA back-office system providers; the Contractor, and all involved parties, starting from the development of the plan to execution and Go-Live.

1859 The Transition Plan shall include a detailed roll-back plan to be executed should a roll-back be necessary, and it should identify the point in the transition where roll-back will no longer be an option.

1860 The Transition Plan shall include detailed steps and relative timing in a phased cutover of each of LACMTA’s systems to the BOS.

1861 The Contractor shall consider the transition impacts to external operations which interact with the BOS and incorporate measures in the Transition Plan to minimize impacts to those external operations and Interfaces. These considerations shall include but not be limited to:  the current age, performance, accessibility and reliability of legacy systems;

 the optimal balance of legacy system availability for historical record and reporting versus the cost, risk and effort of migrating the legacy data;

 external Interface transition Requirements such as collections and DMV and

 reconciliation efforts required throughout the transition period.

1862 The data migration strategy shall include: information for FasTrak® Violations for the past one (1) year, all historical trip data, all Violations in collections, and all Violations in progress. This includes the following data types:

 Accounts, including: o Data related to account demographics o Balance and device deposits o Replenishment information o Statement information o Account Service Requests  Address –address information, including more than one address linked to the account.

 Vehicle information

 Device information, including status of device.

 Customer Notes information

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 Financial Transactions, including: o Financial transaction information related to accounts. Financial transactions include transactions that affect the balance of account, such as prepaid transactions, all applicable fees, such as lost/stolen fee, and receivables. o Financial transaction includes all type of transactions that affect balance, except toll posting.

 Tolls File – detailed information regarding the toll transaction including transaction date, time, plaza, lane, speed, entry transaction date, time, plaza, lane, entry speed posted or rejected status, class and axles of vehicle, full fare amount, collected amount, discount amount, violation flag and a flag to indicate if the transaction is reconciled back to host.

 Archived System Data – data extraction for data that is in archived system including customer correspondence, transaction images, batch server files including CTOC, DMV, etc.

 Field Transaction and Traffic Monitoring Information, including: o Existing lane transaction data format; o Existing traffic monitoring information data format for all traffic detection and monitoring equipment; o Interface data format for dynamic message signs and CCTV cameras o Existing CMMS archived data for roadway equipment. o Existing field hardware equipment and associated interface control documents.

 Other Data Elements or Work in Progress, including: o Conduent Service Requests (i.e., Cases) o Customer Statements (PDF) o Tag Requests o Tag Inventory o Tag Status o Refunds o Violation Transactions o Violation Notices o Violation Correspondence o DMV Requests o Scanned Documents

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1863 The data migration strategy shall include details for the protection of sensitive data, such as Credit Card holder information and PII, during the migration of data. Sensitive data must remain encrypted during migration.

1864 The data migration strategy shall take into consideration existing Interfaces and third- party entities.

1865 The Contractor shall provide a list of all work in progress, including pending Violation Notices, service requests, etc.

1866 The Contractor shall provide risk and contingency planning that is broken into manageable options such that the progress can be evaluated at critical phases.

1867 The data migration procedures shall include but not be limited to:

 be repeatable;

 comprehensive analysis and mapping of existing toll system data;

 identification of functionality and data to be migrated and any functionality and data that will not be migrated;

 identification of any data migration shortcomings and deficiencies, including proposed solutions;

 detailed data mapping between the existing CSC systems and the BOS;

 detailed data mapping from the existing CSC system to the LACMTA provided Data Warehouse;

 identification of any cleansing, transformation and pre-processing that needs to be performed on the data prior to its migration;

 identification of any cleansing, transformation and post-processing that needs to be performed on the data after its migration;

 data validation and verification processes for the migrated data at critical phases of the migration and

 detailed data migration and transition checklists, responsible person and decision process for Go-Live.

1868 The data migration strategy also shall include all of the trial migrations to be conducted where the migration and validation process is exercised. A minimum of two (2) successful migrations shall be conducted.

1869 The Contractor shall verify and demonstrate the ability of the BOS (once all LACMTA’s data is successfully migrated) to meet all Requirements related to PCI-DSS, security, performance measurements and service level agreements.

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2.18.3.9. Training Plan The Contractor shall provide a train-the-trainer program to educate LACMTA and others on the BOS system and operations. The Contractor is responsible for providing a Training Plan that describes the approach to training activities. The Training Plan shall include all aspects related to training, including details of all training techniques, schedule, training materials, and all activities required for initial training prior to Go-Live and remedial training after Go-Live. 1870 The Contractor shall develop and maintain a Training Plan, subject to Approval by LACMTA.

1871 The Training Plan shall describe the plan for a train-the-trainer program for CSC Operations personnel and other LACMTA-designated individuals and shall outline the required operational/maintenance and system knowledge for each position to be gained from the training. For each BOS position/user type, the plan shall include a training instructor guide, training manual and other materials to be used in training. The plan also shall include a schedule for follow-up training and continuing education for staff. 1872 The Training Plan shall 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. The Training Plan also shall include the training schedule for regular staff training and continuing education/training. 1873 The Contractor shall submit a Training Plan, in accordance with the Approved Project schedule, that describes the approach to training administrators, end users at different levels, maintenance and support personnel, including but not limited to:

 overall description of the training program;

 training techniques;

 training delivery schedule;

 names and descriptions of each training class;

 purpose of each training class;

 who should attend the class;

 qualification requirements for trainer;

 minimum qualifications for personnel attending the class;

 duration of the class;

 training materials, including syllabus, schedule, training goals, manuals, guides, other support materials and techniques to be used;

 data preparation, such as test Accounts and test transactions/trips;

 required equipment and

 facility requirements.

1874 Courses shall be limited to a maximum of eight (8) hours per day.

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1875 The Training Plan shall consider the need for LACMTA to maintain existing operations on existing systems while training existing operations staff on the Contractor’s System; the Contractor shall hold multiple sessions of each training Module such that some LACMTA staff can attend training while others are handling existing operations.

1876 The Contractor shall be responsible for maintaining a training database baseline and supporting data files that can be restored at the beginning of each training session.

1877 The Contractor shall be responsible for providing training for any changes in the system.

1878 The Contractor shall be responsible for providing remedial training as needed to ensure that staff are knowledgeable about the Program.

2.18.3.10. Maintenance Plans The Contractor shall develop and submit the Maintenance Plans listed below that describe how the Contractor plans to perform the Maintenance of the BOS and all hardware, software and systems at the BOS facilities and ExpressLanes Customer Service Centers for the life of the Contract. The Contractor shall have appropriate BOS documentation available to all maintenance and software support personnel, as required to perform their respective duties. 2.18.3.10.1. System Maintenance Plan 1879 The Contractor shall develop and submit the System Maintenance Plan that defines the approach to services, staffing and resources to fulfill the System Maintenance Requirements. The Contractor shall identify the Contractor’s maintenance responsibilities and shall include but not be limited to:

 organizational structure, organizational chart and job descriptions and responsibilities;

 staffing plan;

 approach to training;

 detailed system monitoring Requirements;

 staff schedule and locations;

 third-party system support agreements overview;

 schedule of all System Maintenance activities, including anticipated Upgrades/Enhancement releases;

 description of all System Maintenance related communication methods;

 maintenance procedures, communication protocols and Approval processes for system Upgrades, software deployments, scheduled maintenance activities, change management and scheduled downtime;

 maintenance procedures and communications protocols for unscheduled downtime;

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 communication Protocol for coordination with Interoperable Agencies and Third- Party Service Providers, Business Partners and WICs;

 communication protocol for coordination with LACMTA’s other toll system vendors;

 trouble reporting processes, notification protocols for issues and failures, and maintenance reporting processes;

 prioritization, response, escalation, and repair processes;

 spares levels, equipment and software warranty tracking and return material processes;

 monitoring maintenance performance for compliance with Performance Requirements;

 sample maintenance reports and reporting processes;

 processes for supporting internal and external audits;

 PCI compliance monitoring, Upgrades and safeguards;

 system intrusion monitoring and safeguards;

 equipment replacement/refresh schedule;

 Upgrades to third-party software and tools and

 processes in place to meet Maintenance Performance Requirements.

2.18.3.10.2. Software Maintenance and Warranty Plan 1880 The Contractor shall develop and submit a Software Maintenance and Warranty Plan that defines the approach to services, staffing and resources to fulfill the Software Maintenance Requirements and warranty provisions as set forth in the Contract, including but not be limited to the following elements:

 organizational structure, organizational chart with job descriptions and responsibilities;

 staffing plan;

 approach to staffing and training;

 approach to receiving and prioritizing Software defects (bugs);

 reporting, categorization, prioritization and disposition of Software defects;

 coverage and personnel locations;

 all software maintenance related communication methods;

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 Maintenance procedures, communication protocols and Approval processes for software Upgrades, scheduled maintenance activities, change management and scheduled downtime;

 documented change control procedures;

 maintenance procedures and communications Protocols for unscheduled downtime;

 trouble reporting processes;

 escalation processes;

 sample maintenance reports;

 software updates to comply with Interoperable Agencies’ specification changes and third-party Interface changes;

 software updates to be compliant with PCI and audit Requirements and

 processes in place to meet maintenance Performance Requirements.

2.18.3.11. Disaster Recovery Plan The Disaster Recovery Plan (DRP) is a comprehensive, documented statement of actions to be taken before, during and after a disaster to protect and recover the information technology data, assets and facilities of the BOS. 1881 The Contractor shall coordinate with the CSC Operator to develop, test, and submit a Disaster Recovery Plan (DRP) and subsequent Disaster Recovery procedures that describe the approach, as well as procedures to take place in the event of a disaster for the BOS.

1882 The DRP shall document the Contractor’s approach to and planning for recovering from a disaster, including but not limited to:

 define what constitutes disaster and severity levels and timeframes to address (e.g., earthquake, flood, electrical outage, general loss of access to building, etc.)

 assessment of disaster risks;

 mitigation of disaster risks;

 preparations in the event of a disaster;

 disaster declaration and Disaster Recovery process to invoke;

 organization chart illustrating Disaster Recovery team members, roles and responsibilities;

 notification contact list, including contact information;

 notification protocol;

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 sites and equipment for Disaster Recovery, presented in a diagram format;

 Disaster Recovery process initiation and completion checklist;

 software and data replication processes;

 detailed logistical processes for activation of Disaster Recovery site and systems;

 detailed technical processes for activation of Disaster Recovery site and systems;

 detailed operational functions for activation of Disaster Recovery site and

 detailed technical processes for reactivation of primary site (or moving to a new primary site if the original primary site is destroyed) for systems and coordination with LACMTA operations.

1883 The DRP shall be tested and updated by the Contractor annually.

1884 The Disaster Recovery site shall be at a secondary location which meets the specifications outlined in the Contract.

1885 The DRP shall include a Business Continuity Plan (BCP) that details the Contractor’s approach to accommodating the staffing capabilities, alternative locations, equipment, systems, network, applications and data components required to ensure the continuity and resumption and continuity of critical BOS processes.

1886 The BCP shall include but not be limited to:

 Recovery Point Objective (RPO): maximum acceptable amount of data loss for all critical BOS services after an unplanned data-loss incident;

 Recovery Time Objective (RTO): maximum acceptable amount of time for restoring a critical BOS services and regaining access to data after an unplanned disruption;

 Level of Service (LOS): the combination of throughput and functionality required to sustain BOS business operations and

 detailed description of how site and system security shall be maintained to ensure continued compliance with PCI DSS.

1887 Changes to the BCP shall be reflected in the Plan within 30 Calendar Days of Approval. The Contractor shall distribute the BCP to LACMTA and the CSC Operations Contractor.

1888 The Contractor shall coordinate with the CSC Operations Contractor to ensure that the BOS, the DRP and the CSC Operations Contractor’s BCP will work to efficiently support the Contractor’s Business Continuity approach.

1889 The BCP shall be submitted for Approval by LACMTA as a part of the DRP in accordance with the Approved Baseline Project Schedule.

1890 The Contractor shall participate in the annual Business Continuity testing with the CSC Operations Contractor.

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2.18.3.12. Third-Party Documentation Third-Party documentation includes standard commercial documentation for third-party provided hardware, software, services and materials. 1891 The Contractor shall provide and maintain standard, commercially available, updated documentation for third-party provided hardware, software, services and materials provided under this Contract. This set of third-party documentation shall be available upon request.

1892 An electronic copy of all third-party Commercial Off-the-Shelf (COTS) hardware and software installation and user manuals, with updates, shall be provided to LACMTA. Acceptable electronic formats are Microsoft Office 2010 Suite or higher, unsecured Portable Document Format (PDF) and professional CAD applications.

1893 The Contractor shall provide one (1) hard copy of all hardware and software installation and user manuals for custom-developed (non-COTS) third-party products and services.

2.18.3.12.1. Third-Party Software Documentation 1894 The Contractor shall provide third-party software documentation, including but not limited to:

 all user manuals;

 programmer’s reference manuals;

 warranty documentation;

 installation manuals;

 Interface documents;

 maintenance manuals and

 any other information required to utilize the software, such as the operating system, utilities, programming languages, application software and communications software.

1895 The third-party software documentation shall be provided by the Contractor in a standard and organized format, with appropriate labels, tabs and cross references to allow LACMTA to easily access and reference information on each software component on the system.

2.18.3.12.2. Third-Party Hardware Documentation 1896 The Contractor shall provide third-party hardware documentation, including but not limited to:

 all technical manuals;

 operator's guides;

 installation guides;

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 warranty documentation;

 hardware reference manuals;

 available options and versions;

 catalogs, components and

 illustrated parts lists.

1897 The Contractor shall provide all third-party hardware documentation in a standard and organized format, with appropriate labels, tabs and cross references to allow LACMTA to easily access and reference hardware information on each equipment component.

1898 Third-party hardware documentation shall include sufficient detail to describe the configuration of the hardware as it was installed by the Contractor for the BOS.

2.18.3.13. Manual Requirements Various manuals shall be provided, as described in these Requirements to allow LACMTA to understand the operations of the BOS. New manuals provided under this Contract that are not standard commercial catalogs or manuals, shall meet the Requirements set forth in this section. 1899 Whenever possible, all data shall be printed on 8-1/2” x 11” sheets; foldouts shall be 11” x 17”.

1900 Each manual shall include, but not be limited to:

 a title sheet;

 revision history;

 Table of Contents;

 list of illustrations (if applicable);

 list of reference drawings and exhibits (if applicable) and

 a parts list (if applicable).

1901 All manuals shall have a Table of Contents.

1902 All manuals shall have a consistent look and feel and shall be professionally written and presented in clear and organized fashion.

1903 All manuals prepared for LACMTA under this Contract shall be produced, or editable, using Microsoft Office 2010 Suite (or higher). In addition, electronic copies of manuals shall be provided in unsecured Portable Document Format (PDF), if requested by LACMTA.

1904 Any special software required to produce scalable typefaces or other graphs shall be provided by the Contractor as part of the documentation for the manuals.

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1905 All manuals shall be submitted and Approved as a condition of Go-Live.

2.18.3.13.1. Manual Submissions and Quantities 1906 The Contractor shall submit one (1) hard copy of each of the manuals listed below.

1907 The Contractor shall submit electronic copies of all manuals listed below.

1908 All manuals shall be maintained in electronic format in the LACMTA-provided EDMS.

1909 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 the Contract.

1910 The Contractor shall submit the draft and final manuals described below for LACMTA’s review and comment, in accordance with the Approved Project Implementation schedule. All final versions of manuals shall be provided and Approved before system Go-Live.

2.18.3.13.2. Manuals to be Submitted BOS Maintenance Manual 1911 The Contractor shall develop and submit a BOS Maintenance Manual prepared for properly trained technical personnel (including LACMTA personnel) assigned to the maintenance of the hardware and software installed under this Contract. The Maintenance Manual shall be based on and consistent with the Maintenance Plan.

1912 The BOS Maintenance Manual shall document information required to support hardware and software maintenance and repair activities, including but not limited to:

 detailed hardware maintenance activities and schedule;

 detailed database maintenance activities and schedule;

 detailed software monitoring activities and schedule;

 detailed monitoring procedures for file transfers and exception handling;

 detailed procedures and processes for all maintenance activities;

 detailed procedures for load testing;

 detailed procedures for backup, archiving and purging data;

 detailed procedures for Emergency Response Management;

 detailed procedures for testing Disaster Recovery Systems;

 detailed schedule for all preventative maintenance activities;

 technical contact lists for all external Interfaces and LACMTA Toll system vendors;

 technical contact lists for hardware and software providers;

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 details and copies of all third-party system support agreements and

 general information, such as maintenance shifts, code of conduct and other human resource aspects.

BOS User Manuals

1913 The Contractor shall develop and provide a comprehensive set of system documentation and user manuals. At a minimum, the documentation shall include all user and training manuals, a reports manual, a Disaster Recovery manual, data flow diagrams, system Interfaces, As-Built Drawings, troubleshooting procedures and any other pertinent information necessary to understand and operate the system.

1914 The Contractor shall develop and submit BOS User Manuals to be used by CSC Operations staff to operate the BOS and for training purposes.

1915 The Contractor shall develop manuals logically to cover job categories and functions. The manuals shall detail all of the processes, procedures and policies developed by the Contractor that are required to fulfill the Requirements for each of these categories and functions. An example of a functional area is finance, which should include all basic financial responsibilities and functions, including reconciliation.

1916 Each BOS User Manual shall include but not be limited to:

 screen images detailing the step-by-step activities needed to fulfill a specific functionality;

 flowcharts to provide the CSC Operations staff a clear understanding of the workflow;

 all screens, reports and data fields, clearly explained using sample formats applicable to the BOS and

 samples of all reports, included in the manual or as an attachment to the manual, with any specific instructions that may apply to a given report.

BOS Finance and Financial Controls Manual 1917 The Contractor shall develop and submit the BOS Finance and Financial Controls Manual, which shall include but not be limited to:

 detailed descriptions of all procedures to balance and reconcile the System;

 detailed descriptions of Financial Account Posting, reporting and reconciliation to each of LACMTA’s bank accounts;

 detailed descriptions of reconciliation of transactions/trips and revenue within the BOS with each of the Interoperable Agencies and for payments made to LACMTA and Interoperable Agencies;

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 processes and reports used to reconcile third-party payments processed and money deposited in LACMTA’s banks;

 detailed descriptions of reconciliation of all collections activity and all exceptions processing;

 detailed descriptions of the screens, reports and functions that allow Contractor or LACMTA finance personnel or independent auditors to access, understand and work with all financial aspects of the BOS;

 complete descriptions of all reconciliation procedures and a non-technical description of the screens, reports and functions;

 illustrations and pictorial diagrams to demonstrate the step-by-step operations required for performing the balance and reconciliation functions and

 included as an attachment to the manual, samples of all relevant reports, with any specific instructions that may be applicable to a given report.

1918 Reports included in the BOS Finance and Financial Controls Manual shall have correct and accurate data.

1919 The BOS Finance and Financial Controls Manual shall be used to train the CSC Operations Contractor’s and LACMTA’s finance personnel.

BOS Administrator Manual 1920 The Contractor shall provide a BOS Administrator Manual that serves as a guide to the overall management and administration of the BOS, and it shall include but not be limited to:

 description of the programs and processes to be monitored to ensure the system is operational;

 procedures for validating tasks, processes and jobs have completed successfully and any errors and exceptions encountered;

 procedures for validating the successful transfer and receipt of files for all Interfaces;

 a listing of all error codes, their meaning and potential associated problems, with a step-by-step guide to troubleshooting and correcting the problem;

 all database design and maintenance activities required to keep the system operational shall be clearly documented, including the scheduling of such activities;

 documentation of ad-hoc reporting tools and the use of these tools to generate ad-hoc reports including data dictionary and

 details of the security access system configuration, user access privileges and controls and user tracking processes utilized to ensure system security and to maintain data integrity.

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2.18.3.14. As-Built Documentation Prior to LACMTA’s Final System Acceptance of the Implementation Phase, as-built documentation shall be provided that documents the final BOS Design and Implementation. 2.18.3.14.1. As-Built System Detailed Design Document 1921 After the Approval of the operational test, and prior to LACMTA’s Final System Acceptance of the Implementation Phase, the Contractor shall submit the As-Built SDDD that includes all software and hardware changes made during the system development, implementation and testing phases.

1922 The Contractor shall submit two (2) hard copies in addition to an electronic version of the As-Built SDDD. Acceptable electronic formats are unsecured Portable Document Format (PDF), Microsoft Office 2010 Suite or higher and professional CAD applications.

2.18.3.14.2. As-Built Drawings 1923 The Contractor shall provide LACMTA with a complete set of As-Built Drawings, which shall be delivered as two (2) hard copies of the complete sets of drawings. The same shall be delivered in electronic format for all equipment and hardware installed and furnished under this Contract. As material changes are made to the system by the Contractor shall update the As-Built Drawings to reflect the current status.

1924 The As-Built Drawing sets shall include but not be limited to:

 all schematics;

 logic diagrams;

 layouts;

 wiring diagrams;

 interconnection diagrams;

 installation diagrams;

 cable schedule;

 Interface details;

 facility build-out details and

 network diagrams, so as to provide a complete record of the as-built status of the equipment.

1925 All drawings for revisions to standard commercial assemblies or components for the equipment shall be included in the As-Built Drawing set.

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1926 All As-Built Drawings shall contain a Table of Contents that includes a listing of all drawings with headings for drawing number, drawing title, revisions number, date and the list of material types, wiring diagram, wire list, specification control drawing or similar categories.

1927 The Contractor shall update the latest drawings with red lines as changes are incorporated during the installation process. At the completion of the installation, the Contractor shall gather all red line drawings.

1928 The red line drawings shall be verified and incorporated into a final As-Built Drawing package. This final as-built package shall include all updated installation drawings, shop drawings and sketches, plans and other drawing types that were used to install the BOS.

1929 All other documentation used regarding the installation also shall be finalized and submitted as part of the As-Built Documentation.

2.18.4. Quality Assurance Program The Contractor shall establish an effective Quality Assurance (QA) program to ensure compliance with the Contract. This Quality Assurance Plan shall detail the process and procedures instituted by the Contractor to ensure the QA program is in place. 1930 The Contractor shall establish an effective Quality Assurance (QA) program that ensures adequate quality throughout all areas of Contract performance.

1931 All supplies and services under this Contract, whether manufactured or performed within the Contractor's facilities or at any other source, shall be controlled by the Contractor at all points necessary to ensure conformance to the Requirements of the Contract.

1932 Delivery, verification, testing and assembly of Servers and network equipment conducted within the Contractor’s facilities shall be controlled completely by the Contractor.

1933 The QA program shall provide for the prevention and early detection of discrepancies and for timely and positive corrective action.

1934 The QA program shall include effective Quality Control of purchased materials and subcontracted Work.

1935 The Contractor shall make objective evidence of quality conformance readily available to LACMTA, and LACMTA shall have the right to review and verify the Contractor’s compliance to the process.

2.18.4.1. Records 1936 The Contractor shall ensure the confidentiality of customer information, including Registered and Unregistered Accounts in accordance with LACMTA’s privacy policy and in compliance with the LACMTA Records Retention Schedule.

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1937 The Contractor shall adopt the highest level of best practices in terms of data privacy and security and shall maintain records in compliance with the following requirements, including but not limited to:  GAAP;  LACMTA Records Retention Schedule;  IRS Requirements;  The California State Archives Data Retention Schedule;  LACMTA’s privacy policy;  all applicable Federal, State, local and other laws and applicable regulatory matters regarding the retention and maintenance of records and  PCI DSS Requirements. 1938 Standards for records management and retention may change during the term of the Contract. LACMTA will provide any updates to its internal policies and procedures that may impact the BOS as appropriate. However, it is the Contractor’s responsibility to ensure it is aware of any changes to the standards and legal requirements covered in these Requirements, to notify LACMTA and to accommodate and incorporate those changes as appropriate within the BOS and/or maintenance processes. 1939 The Contractor is responsible for data retention and purging of all electronic and physical documents handled by the Contractor, in accordance with LACMTA’s retention policy. Current State of California law requires purging of data after 4.5 years. 1940 Quality-related records and data shall include but not be limited to:

 inspection and test results;

 records of Subcontractor QA programs;

 cost records pertinent to Acceptance of nonconforming material;

 change request documentation;

 Design reviews and walkthroughs and

 results of internal and Contractor audits.

1941 Records shall be maintained in a manner that allows easy access and analysis of the status of the overall QA program.

2.18.4.2. Control of Purchase 1942 The Contractor shall be responsible for ensuring all supplies, components, developmental tools, assemblies, subassemblies and services procured from Subcontractors and other vendors conform to the Requirements and the Contract.

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1943 The Contractor shall establish procedures for the selection of Suppliers in accordance with the Contract. In selecting Suppliers, the Contractor shall ensure the Subcontractors and other vendors control the quality of the supplies and services provided.

2.18.4.3. Handling, Storage and Delivery 1944 The Contractor shall document its approach to equipment assembly, including the location(s) where equipment and systems are assembled.

1945 The Contractor’s QA program shall provide for adequate and documented handling, storage, preservation, packaging and shipping instructions to protect the quality of products.

1946 The Contractor shall identify and bring to LACMTA’s attention any unique or special requirements applicable to procured items. In addition, these special requirements should be noted in the bill of materials, purchase orders or other appropriate documentation.

1947 The Contractor shall provide all procurement documents to LACMTA upon request.

2.18.4.4. Inspection of Contractor’s Facilities 1948 LACMTA reserves the right to inspect the Contractor’s facilities unannounced. Access to Contractor’s facilities shall be limited to normal business hours, unless arrangements with the Contractor have been made in advance.

1949 LACMTA reserves the right to inspect or have its designated representative inspect, at the source, supplies or services not manufactured or performed within the Contractor’s facility.

1950 LACMTA’s access to Contractor’s facilities shall be restricted to those portions of the facilities and personnel involved with or who are otherwise performing Work under this Contract.

1951 LACMTA’s inspection shall not constitute Acceptance or Approval, 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.

2.19. Testing Requirements 2.19.1. General The Contractor shall provide the full range of test planning, testing design and services required to ensure the BOS adheres to the Requirements that guided its Design and development, compliance to Approved Design and Business Rules and demonstrate the BOS functionality. The Contractor shall plan, coordinate and supervise development, validation, implementation, and operational test activities in adherence with ISO/IEC/IEEE 29119 Software Testing. The BOS testing regimen shall take place during the implementation period identified in the Project schedule and shall follow the detailed test plan and design to be completed within the BOS design period identified in the Project Schedule.

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LACMTA requires that configuration changes be treated as equivalent to software development changes within the testing process. In order to preserve the benefit of greater system responsiveness via configuration, LACMTA requires that the Contractor shall implement testing processes which are automated and efficient. The Requirements described in this section detail the labor, materials, facility and support Services necessary to test the BOS for functionality and performance, its integration to LACMTA’s systems, the Interoperable Agencies and external Interfaces and the data migration.

1952 The Contractor shall prepare and conduct the various tests (outlined for reference immediately below and with detailed Requirements in subsequent sections), including but not limited to:

 unit testing following changes made to BOS whether via software development or configuration;

 system integration testing;

 user acceptance testing;

 regression testing;

 onsite installation and Commissioning testing, data migration, transition and Go-Live and

 Operational and Acceptance testing.

1953 The Contractor shall develop test scripts and use specialized automated testing Software to, including but not limited to:

 create test scripts;

 control the automated testing;

 exercise all conditions, configurations and scenarios;

 conduct performance testing;

 conduct security and PCI testing;

 conduct regression testing;

 compare actual test outcomes to expected outcomes;

 test reporting;

 conduct load testing;

 conduct user Interface testing;

 conduct sustained operational testing and

 conduct data migration testing.

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1954 The Contractor shall also coordinate with LACMTA and the CSC Operations Contractor, and make the System available for use by LACMTA in testing the readiness of the CSC Operations Contractor. This testing may take up to five (5) continuous days and be conducted at the CSC An additional five (5) days of testing may be required depending on the CSC Operations Contractor performance. Prior to testing the Contractor shall procure, install and be on-site to support all systems required to operate the LACMTA CSC. Contractor support personnel shall be available for this testing to ensure the smooth running of the System for this testing. 1955 The Contractor shall provide all necessary resources and facilities to conduct all tests.

1956 The Contractor shall provide an "online commercial software" defect tracking system, accessible by LACMTA via browser-based Internet, to document and track all defects identified as part of BOS testing and any subsequent actions taken to correct those defects.

1957 The defect tracking system shall be capable of the following, including but not limited to:

 rating (severity) defects;

 categorizing defects;

 prioritizing defects;

 logging the date/time the defect was reported;

 the user who reported the defect;

 the erroneous behavior;

 the details on how to reproduce the defect;

 the developers who worked on the defect;

 life-cycle tracking and

 reporting.

2.19.2. Testing Sequence and Logistics 1958 The Contractor shall obtain Approval from LACMTA and shall have met the entry conditions prior to start of each test, including but not limited to:

 approval of all predecessor tests;

 approved test procedures for each individual test;

 approved test schedule;

 approved inventory of test cases and scripts;

 successful closeout of all outstanding pre-test issues;

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 successful dry run testing with results provided to and validated by LACMTA;

 test data set is created and loaded into test environment;

 submittal of the latest Approved version of the RTM showing test validation against the Requirements and

 site and System is ready to test.

1959 After the completion of each test, the Contractor shall submit for LACMTA’s review and Approval a test report that documents the results of the test.

1960 The test report shall include the results of the test; any anomalies and issues identified; comments provided by LACMTA; the test data and the corrective action/resolution of each item, and the results of any re-tests necessary to successfully complete each testing phase.

1961 The Contractor shall facilitate and support LACMTA’s and the CSC Operations Contractor’s participation in the testing and witness each test. The Contractor shall provide LACMTA and the CSC Operations Contractor with full access to the test data and results of the test.

1962 Testing shall not be considered complete by LACMTA until all anomalies and “punch-list” items are closed-out, and the final test report is Approved by LACMTA.

1963 Testing shall occur in the following order, subject to LACMTA’s Approval of the final MTP:

 unit testing following changes made to BOS whether via software development or configuration;

 system integration testing;

 user acceptance testing;

 regression testing;

 onsite installation and Commissioning testing, data migration, transition and Go-Live and

 Operational and Acceptance testing.

2.19.2.1. Unit Testing For the purpose of this Contract, Unit Testing is defined as a software testing method by which individual units of source code, sets of one or more computer program Modules together with associated control data, usage procedures, and operating procedures, are tested to determine whether they are fit for use. A unit could be an entire Module, but it is more commonly an individual function or procedure. Unit Testing is the first level of testing and is performed prior to Integration Testing.

1964 The Contractor shall conduct unit testing (in conformance with the Approved MTP, detailed testing procedures and Project schedule) and provide, including but not limited to:

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 testing for all functional elements of the BOS for conformance with the Requirements, Approved Design and Business Rules;

 testing of 100% of all BOS components;

 testing using actual data generated by the existing LACMTA systems and simulated data as needed;

 testing with external entities and Interoperable Agencies test environment;

 testing each Module of the BOS application Software for compliance to coding standards related to screen validations, Web navigation, configuration changes, Performance Management and Monitoring System (PMMS) including all errors, exceptions and failures, backend programs and processes (using simulated data);

 testing the desktop computer Interfaces and all peripherals;

 all necessary Hardware and Software for the test;

 all necessary personnel for the test and

 updated RTM, SDDD and Business Rules so functionality can be reconciled to the documentation.

2.19.2.2. System Integration Testing (SIT) For the purpose of this Contract, System Integration Testing, or end-to-end testing, is defined as a type of software testing that seeks to validate the Interfaces between individual components and the completely integrated system meets its requirements The Contractor shall conduct System Integration Testing, compressing logical days to accommodate process escalation and transaction aging. Multiple testing cycles may be executed depending on defects found and their severity. The Contractor shall also conduct load/performance testing as part of the System integration testing. 1965 The Contractor shall be responsible for data migrated from LACMTA’s existing systems as an entry criteria for the System integration testing. It is anticipated that significant data will be migrated and the actual data to be migrated will be defined in the Implementation Phase.

1966 The Contractor shall conduct System integration testing which shall include End-to-End Integration Testing, Interface testing, Security testing, Performance/Load testing and a Smoke Test as an exit criteria for the SIT. SIT shall be in conformance with the Approved MTP, detailed testing procedures and Project schedule that provides, including but not limited to:

 testing all functional elements of the BOS using the procedures for Software integration testing, including the end-to-end testing from receipt of transactions/trips through Posting to the Financial Accounts, validation of migrated data, reports testing using migrated, simulated and keyed-in data and demonstrating conformance with the Requirements, Approved Design and Business Rules;

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 verification and validation that the various BOS environments are operating per the Requirements, namely the training environment, the test environment and the help desk environment;

 load/performance testing of the entire BOS in terms of user access, including internal and external users on all channels (for example, Web, mobile, IVR, website, mobile app);

 all Interface test scripts and documentation required to confirm that the Interfaces conform with the Requirements, Approved Design and Business Rules;

 load/performance testing of the entire BOS in terms of transaction processing;

 full Disaster Recovery failover testing;

 full Disaster Recovery failover recovery (back to primary BOS) testing;



 validation of all Performance Requirements;

 PCI application vulnerability testing, certification of elements not available during previous testing;

 archiving and purging process testing;

 comprehensive PMMS testing;

 testing using actual data, generated real-time (as if in a real, live production environment) by the existing LACMTA systems;

 testing using test environment systems provided by LACMTA, Third-Party Service Providers and Interoperable Agencies (if available);

 In the event Third-Party Service Providers and Interoperable Agency test environment systems are not available, the Contractor shall test using simulated Interfaces and data to validate the data exchange;

 newly developed or updated ICDs for all Interfaces and portals;

 exception testing;

 testing the desktop computer Interfaces and all peripherals;

 sustained operations test;

 all necessary Hardware and Software for the test;

 all necessary personnel for the test;

 updated RTM, SDDD and Business Rules so functionality can be reconciled to the Approved documentation;

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 penetration, vulnerability and exploitation tests by a PCI approved scanning vendor (ASV) and

 completion of all PCI compliance steps including production of a Report on Compliance (ROC).

2.19.2.3. User Acceptance Testing For the purpose of this Contract, User Acceptance Testing (UAT) is defined as the testing phase where actual BOS users test the system to make sure it can handle required tasks in real-world scenarios, according to requirement, designs, and specifications. UAT is also known as beta testing, application testing or end user testing. 1967 The Contractor shall provide all needed support for UAT to include providing environments, provisioning/aging system, running batch jobs, and developing test scripts using use cases.

1968 The Contractor shall provide a UAT environment that is production like and separate from other test environments.

1969 Ten (10) days prior to the commencement of UAT, the Contractor shall train up to 12 staff from LACMTA and the CSC Operations vendor test team selected to perform UAT.

1970 The Contractor shall provide all BOS testers with access to BOS test scripts.

1971 The Contractor shall provide test data for UAT that is an extraction and sub-set of Production data.

1972 During UAT, the Contractor shall develop and retest necessary revisions identified by users during the testing process.

1973 The Contractor shall provide technical personnel to support UAT

2.19.2.4. Regression Testing For the purpose of this Contract, regression testing is defined as is a type of software testing that verifies that software previously developed and tested still performs correctly even after it was changed or Interfaced with other software. The purpose of regression testing is to ensure that changes have not introduced new faults and to determine whether a change in one part of the software affects other parts of the software.

1974 The Contractor shall develop a plan for utilizing automated or manual regression test procedures that shall execute specified test scripts or cases at specific intervals and report any regressions to LACMTA.

1975 The Contractor shall conduct regression testing prior to each software release.

2.19.2.5. Onsite Installation and Commissioning Testing, Data Migration, Transition and Go-Live For the purpose of this Contract, installation and Commissioning testing is defined as a series of

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1976 The Contractor shall conduct Onsite Installation testing and Commissioning testing at the BOS production environment (in conformance with the Approved MTP, detailed testing procedures and Project schedule and the Transition Plan) that provides including but not limited to:

 testing that demonstrates the BOS is completely installed and operational in the production environment and the Disaster Recovery location; Software is loaded; Interface connectivity tested; test data is loaded, System is configured, System users are setup and the BOS is ready for the start of onsite installation and Commissioning testing;

 PCI application vulnerability testing, certification of elements not available/tested during previous testing;

 all necessary Hardware and Software for the test;

 PMMS configuration and setup is tested;

 all necessary personnel for the test and

 updated RTM, SDDD and Business Rules so functionality can be reconciled to the documentation.

1977 The Contractor shall provide evidence of readiness to conduct data migration, transition and Go-Live at the BOS production environment (in conformance with the Approved MTP, detailed testing procedures and Project schedule) that provides, including but not limited to:

 Evidence to confirm that the technical performance of the data migration processes for the existing LACMTA back office systems and tools are adequate;

 testing of the exact procedures and tools that shall be used for the migration of data from the existing LACMTA systems to the BOS;

 evidence that data from LACMTA has been cleansed and transformed for BOS compatibility in accordance with the BOS Requirements;

 the transfer of certain historical data to the BOS that may remain in the BOS;

 a data migration and transition checklist to verify the data migration and transition processes are completed in accordance with the Approved Transition Plan;

 all necessary Hardware and Software for the test and data migration;

 all necessary personnel for the test and

 updated RTM, SDDD and Business Rules so functionality can be reconciled to the documentation.

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1978 Upon Approval of the Installation and Commissioning test including evidence of readiness the Contractor shall begin Data Migration and Transition.

1979 The Contractor shall conduct data migration and transition at the BOS production environment in accordance with the Approved schedule, taking in consideration the relevant legacy LACMTA systems, including but not limited to:

 ExpressLanes Customer Service System (data migration and DMS transition);

 ExpressLanes Back Office System (data migration and Host transition) and

 ExpressLanes Roadside Toll Collection System (data migration and Host transition);

1980 Upon verification and Approval of final data migration the Contractor shall Go-Live.

1981 After Go-Live the Contractor shall monitor the transitioned BOS for a minimum period of two (2) months until such time as the operations have been verified to be stable. During this period the Contractor shall perform the final adjustments to system, correct sequencing of jobs and programs, and optimizing the system performance.

2.19.2.6. Operational and Acceptance Testing For the purpose of this Contract, operational and acceptance testing is defined as a test focused on the operational readiness of the system to be supported, and/or to become part of the production environment.

1982 Following Go-Live and the Approval of the monitoring period identified above, the Contractor shall conduct operational and Acceptance testing on the BOS production environment in live operations (in conformance with the Approved MTP, detailed testing procedures and Project schedule) that provides the following, including but not limited to:

 verification that all functional elements of the BOS are in conformance with the Requirements, Approved Design and Business Rules for a period of 60 consecutive days, onsite in the BOS production environment;

 successful access of images from the existing RTCS and receipt of the trip transactions;

 reconciliation of all BOS data, transactional and Financial Transactions for a period of 60 consecutive days to verify all data and Accounts are being properly processed, reported on and reconciled;

 reconciliation of all transaction and image workflows and filters to verify all transactions/trips and images are being properly processed through the BOS;

 reconciliation of all electronic Interfaces and portals, including Third-Party Service Providers and Interoperable Agencies;

 reconciliation of all Account Postings, Financial Transactions, events, etc., to Account history entries;

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 reconciliation of all Financial Accounts in the BOS for two (2) monthly financial periods;

 archiving and purging process testing;

 verification of PMMS operations;

 adherence to required financial audit and reconciliation Requirements;

 adherence to required system performance Requirements and reporting and

 As-built RTM, SDDD and updated Business Rules so functionality can be matched to documentation.

1983 The Contractor shall identify and all anomalies and categorize by severity and priority, and all anomalies shall be addressed to the satisfaction of LACMTA.

1984 If anomalies are identified that are a high severity and high priority during the testing period, the operational and Acceptance test for those functions and any other impacted functions or test areas shall be restarted and shall continue for 60 consecutive days from the day the test was restarted.

1985 The operational and Acceptance test shall continue until all the Requirements have been verified and validated in accordance with the Approved MTP and detailed test procedures are completed and Approved by LACMTA.

2.19.3. Phase Acceptance 1986 Upon the successful completion and Approval of the operational and Acceptance test, the closure of all punch-list items and completion and submission and Approval of all items required for Phase closeout, as set forth in in the Contract, the Contractor shall be given the Acceptance for the BOS Implementation Phase.

2.19.3.1. Interface Testing with Existing/New RTCS and the Transition 1987 During the term of the Contract, LACMTA may replace the existing RTCS and implement new Toll Facilities. The Contractor shall support the Interface testing with these new RTCSs and support their transition into the BOS. Upon the transition of the new Toll Facilities, the Contractor shall verify that the BOS is accepting, processing, reconciling and reporting each Toll Facility’s transactions/trips and images accurately.

2.20. Installation Requirements This section details the Requirements for the installation or enablement of the BOS at the primary and Disaster Recovery sites as Approved by LACMTA.

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2.20.1. Installation Program The Contractor shall develop and provide an installation program or provide service documentation that addresses all aspects of the installation or use of the BOS, including all installation Design, submissions and coordination for a COTs based solution or service agreements for SaaS approaches. 1988 The Contractor shall be responsible for the Design, procurement; installation; cabling; configuration; checklist walk-through, and testing of all Hardware, Software, Equipment, Interfaces and communications provided as part of the BOS if required.

1989 The Contractor shall install or enable the BOS and Customer Service Center at the primary location at a location which meets the specifications outlined in the Contract.

1990 The Contractor shall install or provide the Disaster Recovery BOS at a location which meets the specifications outlined in the Contract.

1991 The Contractor shall provide, install or enable and secure all communication lines required for the primary BOS/CSC facility, the Disaster Recovery facility and all LACMTA Toll Facilities; however, the Contractor shall evaluate existing communication lines during the Implementation Phase.

1992 The Contractor shall provide, install or enable and secure connection points to the BOS as required to accommodate access by Interoperable Agencies, Third-Party Service Providers and Business Partners.

1993 The Contractor shall complete activities assigned to the BOS Contractor, as specified in Attachment 4: BOS/CSC Operations/RTCS Contractor Responsibility Matrix.

2.20.1.1. BOS Installation/Service Enablement Coordination Meetings The Contractor shall conduct a series of meetings between the Contractor, LACMTA and the CSC Operations Contractor (the RTCS Contractor shall attend as required based on meeting content) to clearly define and develop the BOS installation or service enablement Design; methodology; timetables; test Plans; roles, and contingency Plans. 1994 The Contractor shall schedule, manage, facilitate and conduct weekly BOS Installation/Service Enablement Coordination Meetings during the active design and Implementation Phases of the Project and report on progress of the implementation. The Contractor shall identify and communicate any issues regarding the implementation on a timely basis to LACMTA.

1995 The Contractor shall ensure all issues that arise during installation/service enablement activity for the week are addressed and resolved or are scheduled for resolution.

1996 At the meetings, the Contractor shall address any issues or questions raised by Third- Party Service Providers, the CSC Operations Contractor, the RTCS Contractor and LACMTA.

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2.20.2. Implementation Requirements 2.20.2.1. Compliance to Standards 1997 The Contractor shall adhere to all implementation standards, applicable laws, ordinances and codes as required, including but not limited to:

 those from the original equipment manufacturer;

 the National Electric Code (NEC);

 the Institute of Electrical and Electronics Engineers (IEEE);

 the Occupational Safety and Health Administration (OSHA);

 LACMTC;

 county and city codes, as applicable and

 the State of California, for areas including but not limited to electrical codes, seismic considerations, calibration, configuration and environmental.

2.20.2.2. Work Standards and Requirements 1998 The Contractor shall provide a safe environment for the implementation process, in accordance with all applicable local, State and Federal requirements.

2.20.2.3. Equipment Installation Requirements The Contractor shall be responsible for installation of the BOS, including at the CSC Operations Contractor staffed CSC and WICs, as described in these Requirements. 1999 The equipment installation Design and Implementation for the BOS and CSC operations shall include but not be limited to:

 provision of uninterruptible power supply (UPS) at the CSC Operations Contractor staffed CSC and WICs to support BOS Contractor provided systems;

 Interface with and electronically monitor via the PMMS any LACMTA or CSC Operations Contractor provided emergency power generation at the CSC and WICs;

 furnishing, installing and testing the Interfaces and connectivity to the RTCS;

 validating the connectivity to all Interoperable Agencies as described in these Requirements and

 validating the connectivity to all external Interfaces to Third-Party Service Providers and Business Partners as described in these Requirements.

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2.20.2.4. Implementation Checklist Review and Check-off The Contractor shall complete all implementation activities and Approved Contract Deliverables Requirements prior to the Go-Live date established by LACMTA. Failure to complete and obtain Approval for Contract Deliverables Requirements shall result in liquidated damages, as specified in the Contract.

2000 The Contractor shall develop a checklist that tracks the progress and completion of all implementation activities for the BOS, CSC Operations and Disaster Recovery.

2001 The checklist shall detail those items required to complete the implementation process for all hardware, software, equipment, Interfaces and communications provided as part of the BOS, including terminations and connections.

2002 The checklist shall be used to identify all discrepancies and exceptions, and the Contractor shall be responsible for all corrections.

2003 The checklist shall be used to document all changes identified, and all such changes shall be Approved by LACMTA.

2004 A LACMTA representative shall have the right to observe and Approve the implementation.

2005 LACMTA shall have the right to perform independent inspections, and the Contractor shall be responsible for the correction of all discrepancies and deficiencies identified during the inspection.

2006 A copy of the checklist, signed and Approved by the Contractor, attesting to the completeness of the implementation, shall be provided to LACMTA upon the completion of the implementation activities.

2.21. Transition Requirements The transition of the BOS is a major undertaking that will require careful preparation, planning and coordination in multiple functional areas and on many levels to ensure a smooth transition. The Contractor is responsible for the execution of transition from the existing BOS to the new BOS in accordance with the Approved Transition Plan. Close coordination will be required between the existing RTCS/BOS/Operations Contractor, the new CSC Operations Contractor, the new RTCS Contractor, LACMTA and the Contractor.

2.21.1. Schedule and Transition 2007 The Contractor shall transition existing systems and operations to the BOS in accordance with the Approved Transition Plan and Data Migration Strategy.

2008 The Contractor’s approach to transition to the BOS shall be seamless to customers, and impacts to the CSC Operations Contractor, LACMTA, Interoperable Agencies, Third Party Service Providers and Business Partners shall be avoided and where required, minimized. This includes but is not limited to the following key areas:

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 user management;

 Account management;

 customer service;

 transactions and payment processing;

 violation processing;

 collection enforcement program;

 inventory management;

 BOS Interfaces;

 reporting;

 financial balancing and reconciliation and

 Interoperability.

2009 The Contractor’s schedule shall be sufficiently flexible to accommodate modifications or changes, such as early completions or delays in start or completion of phases that would normally be expected in a multi-phase Project schedule.

2010 The Contractor shall accommodate separate staging and phases by Toll Facility or System for the Implementation of the BOS, including the transition and data migration, in accordance with the Approved schedule, including but not limited to:

 ExpressLanes Customer Service System (data migration and DMS transition) and

 transition to new host system.

2.21.2. Operations Transition to the BOS The Contractor shall work with the current and new CSC Operations Contractor to incorporate an operations transition section in the Transition Plan. The Transition Plan shall include internal and external communication procedures and schedules to effectively and professionally communicate any potential impacts to operations. 2011 The BOS Transition activities shall be coordinated with LACMTA, their existing RTCS/BOS/Operations Contractor and new CSC Operations Contractor and Approved by LACMTA so as to not interfere with on-going and continuing maintenance and operational Requirements. 2012 It is critical that customers and internal Operations are not negatively impacted during the transition from the existing systems to the BOS. The Contractor shall prepare internal and external communication procedures, as part of the Transition Plan, to effectively and professionally manage communications of potential impacts during the System transition.

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2013 The Contractor shall provide a minimum of two (2) full-time, onsite System support personnel in shifts to support the CSC Operations Contractor’s CSC location from thirty (30) minutes prior to opening to the public for calls until call support ends; and on-call and onsite (if needed) outside of those hours to resolve System issues that impact CSC Operations personnel that are using the System to provide customer service and CSC operations. 2014 The Contractor shall provide support personnel capable of reaching the CSC Operations Contractor’s WIC locations within one (1) hour. 2015 The Contractor shall provide on-call support personnel capable of reaching the CSC Operations Contractor’s CSC location within one (1) hour.

The LACMTA call center shall be open and calls answered from 7 a.m. to 7 p.m. Monday – Friday Pacific Time.

LACMTA CSC back office functions shall be provided from 7 a.m. to 7 p.m. Monday – Friday Pacific Time, as well as other night shifts and weekends required to complete work.

The LACMTA WICs shall be open 10 am- 7pm Monday – Friday Pacific Time. 2016 The Contractor shall provide onsite System support personnel capable of traveling to the LACMTA’s end-user staff locations to provide onsite support as required and as requested by LACMTA. 2017 The Contractor shall provide onsite support to support and troubleshoot at all network interface locations as required and as requested by LACMTA. 2018 The Contractor shall have available a minimum of two (2) System support personnel at all times while the CSC Operations Contractor’s CSC is open in order to provide continuous coverage at the CSC locations while also responding to service requests or troubleshooting at other locations (for example, the WICs and LACMTA user locations).

2.21.3. End of Contract Transition The Contractor acknowledges the services it provides under the terms of the Contract are vital to the successful operation of the BOS, and said Services shall be continued without interruption. Upon expiration or termination of the Contract by any of the parties, a successor 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. As part of the End of Contract transition, LACMTA may wish to more fully and completely operate and maintain BOS functionality, requiring the transfer of Equipment, leases and license from the Contractor to LACMTA. Failure to perform End of Contract Transition activities will result in liquidated damages, as specified in the Contract. 2019 During the transition from the Contractor to another contractor, and upon LACMTA’s written Notice, the Contractor shall provide transition Services for a period of one year, or until all transition activities are completed, as defined by LACMTA and as further set forth in the Special Conditions of the Contract.

2020 The Contractor shall develop with the successor, a Contract Transition Plan describing the nature and extent of transition services required.

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2021 The Contract Transition Plan and dates for transferring responsibilities for each division/element of Work and all data shall be submitted to LACMTA within 180 days of LACMTA’s Acceptance of the BOS. Upon completion of LACMTA’s review, both parties will meet and resolve any additional Requirements/differences.

2022 The Contractor shall update the Contract Transition Plan no more than six (6) months prior to the transition date.

2023 The Contractor shall provide sufficient experienced personnel in each division/element of Work during the entire transition period to ensure the quality of Services is maintained at the levels required by this Contract.

2024 The Contractor shall provide sufficient staff to help the successor maintain the continuity and consistency of the Services required by the Contract.

2025 The Contractor shall provide the necessary software and systems support services to assist the successor in setting up the systems, transferring of appropriate licenses and third-party software and transitioning all BOS data required to sustain uninterrupted service in areas in which the Contractor is responsible for the Work.

2026 The Contractor shall transfer all data to the successor at multiple times throughout the Implementation Phase. At a minimum, all data shall be transferred at implementation of the BOS Production environment and, if required, on a daily basis two weeks prior to Go- Live of the BOS. In addition, the Contractor shall conduct QA on the data to ensure that the data is complete and accurate at a maximum of two (2) years prior to Transition.

2027 The Contractor shall support LACMTA during the procurement process by updating all system documentation and providing new documentation as required that details the current system no more than six (6) months prior to the transition date.

2213 For Equipment purchased by LACMTA in accordance with SP-25 Equipment Purchase and the transfer of leases and license in accordance with SP-26 Transfer of Leases and Licenses, the Contractor shall transfer Equipment, leases and licenses to LACMTA at a schedule agreed upon between the Contractor and LACMTA.

2214 Within the Contract Transition Plan, the Contractor shall provide descriptions of the Equipment, leases and licenses that are available for purchase and transfer to LACMTA as part of the End of Contract Transition.

2.22. Training Requirements The Contractor shall provide comprehensive training for all aspects of the BOS, including operations and financial reconciliation. Training shall be delivered to LACMTA’s personnel, CSC Operations Contractor personnel and Contractor’s personnel. Training shall be ongoing throughout the entire term of the Contract. The Contractor shall provide “Train the Trainer” classes to enable the CSC Operations Contractor to deliver training to its resources. The Contractor shall update the training materials and train the CSC Operations Contractor’s designated trainers on an Approved, periodic basis, and whenever new functionality is made available in the BOS.

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The training environment will be used by the Contractor, the RTCS Contractor and the CSC Operations Contractor over the life of the Contract. The Contractor will support transition and setup of the training environment to support all types of training.

2.22.1. Overview of Training Program 2028 The Contractor shall be solely responsible for supplying all items necessary, including but not limited to training documentation, software, hardware and any other equipment required to complete the delivery of the training program.

2029 The Contractor’s program shall include but not be limited to instruction, models, manuals, diagrams and component manuals and catalogs as required.

2030 Where practical and useful, the Contractor’s training shall be hands on and use actual BOS Software in the training environment.

2031 The Contractor shall produce all training materials, documents and manuals in hard copies sufficient to provide one (1) copy to each student. Additionally, one (1) reproducible set of the latest documentation shall be provided in electronic form to be used and printed for future training sessions.

2032 When changes or new functionality is provided in the BOS, the BOS Contractor shall update the training materials and train the CSC Operations Contractor trainers on such changes/new functionality.

2033 All LACMTA training shall include a review and description of each of the appropriate LACMTA processes and procedures with actual BOS software. All students shall have their own workstations and interact directly with the training environment.

2034 LACMTA shall have the right to attend any training sessions, to be provided all training materials and to make recordings and copies of all training program materials for their use in training new employees.

2035 The Contractor shall obtain all required releases from all employees/Subcontractors to allow unlimited, royalty free use and copies of PCI compliant recordings of the training sessions and provide the same to LACMTA upon request.

2036 Training must be conducted by an experienced training manager with at least five (5) years of experience developing a training curriculum and conducting training.

2.22.2. Training Requirements 2037 The Contractor shall provide training courses identified below for LACMTA and CSC Operations Contractor personnel, including but not limited to the provision of all training manuals (including Contractor-provided manuals or relevant portions thereof), guides, training aids, as well as student and instructor work books accompanying the courses listed below.

2038 All BOS training shall include a review and description of each of the appropriate BOS processes and procedures with actual BOS software. All students shall have their own Desktop Environments and interact directly with the training environment.

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2.22.2.1. System Operation Overview Course 2039 The Contractor shall provide a system operation overview training course for LACMTA and CSC Operations management personnel who require a general understanding of all aspects of the operation, including but not limited to personnel from senior management, procurement, information technology, marketing and public information.

2040 System operation overview training shall include an overview of all aspects of the BOS, Interface to LACMTA’s RTCS, external Interfaces, Interface to Interoperable Agencies, System Maintenance, network and any other area of the BOS.

2041 The Contractor shall provide a minimum number of sessions for the System Operation Overview course, ensuring class sizes and the number of training hours provided are sufficient to provide a general understanding of all aspects of the operation. Contractor shall assume a class size of ten (10) users and two (2) classes.

2.22.2.2. Comprehensive BOS “Train the Trainer” Course This course is for CSC Operations Contractor personnel who are responsible for management and training of CSC Operations Contractor staff. This course includes hands-on training of all functional aspects of the BOS, with individual training modules based on user roles and job functions. The course is designed to ensure that the number of training hours provided are sufficient to provide for full training on all BOS functions. This course will include call center and IVR training by emulating actual calling and call center supervisory scenarios. 2042 The Contractor shall provide a System Authorized Users training course for all personnel who require a detailed understanding of the operation of the System.

2043 The Contractor shall provide an appropriate number of training sessions for the Comprehensive Train the Trainer course, ensuring class sizes and the number of training hours provided are sufficient to provide a detailed understanding of the operation necessary for the CSC Operations Contractor to Operate the CSC using the System and how to access information and reports from the System. Contractor shall assume a class size of ten (10) users and two (2) classes.

2.22.2.3. BOS Finance and Financial Controls Course This course is for LACMTA and CSC Operations Contractor financial management and auditing personnel who need to understand all aspects of the Operation, particularly those related to financial accounting, reconciliation, audit, and management. 2044 The Contractor shall provide a BOS finance and audit training course for LACMTA and CSC Operations Contractor financial management and auditing staff that need to understand all aspects of the operation, with focus on Financial Accounting, reconciliation, audit and management.

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2045 The Contractor shall provide an appropriate number of training sessions for the BOS finance and financial controls course, ensuring class sizes and the number of training hours provided are sufficient to provide an understanding of all aspects of the operation related to Financial Accounting, reconciliation, audit and management. Contractor shall assume a class size of ten (10) users and two (2) classes.

2.22.2.4. Operations Management Course This course is for CSC Operations Contractor personnel providing hands-on training on the BOS including performance reporting, including all Operational performance monitoring (for example, call queues, call statistics, image review queues, etc.); all BOS monitoring (for example, mail queues, status and quantity of all notifications pending and sent, transponder fulfillments, status of interfaces and file exchanges), and call center and IVR configuration. 2046 The Contractor shall provide an Operations Management course for all personnel who require a detailed understanding of the System reporting and monitoring. This course also cover configuration of the telephony system.

2047 The Contractor shall provide an appropriate number of training sessions for the Operations Management course, ensuring class sizes and the number of training hours provided are sufficient to provide a detailed understanding of the operations of the System and how to access information and reports from the System. Contractor shall assume a class size of ten (10) users and two (2) classes.

2.22.2.5. System Users Course 2048 The Contractor shall provide a System Authorized Users training course for 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 LACMTA and CSC Operations Contractor project management and information technology personnel.

2049 The Contractor shall provide an appropriate number of training sessions for the System Users course, ensuring class sizes and the number of training hours provided are sufficient to provide a detailed understanding of the operations of the System and how to access information and reports from the System. Contractor shall assume a class size of ten (10)) users and two (2) classes.

2.22.3. Training Facilities 2050 The Contractor shall deliver training at the LACMTA or CSC Operations facilities at a location to be determined in Los Angeles County.

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2.22.4. Scheduling and Preparation for Training 2051 The Contractor shall provide sufficient Notice to LACMTA and the CSC Operations Contractor and work with LACMTA and the CSC Operations Contractor on the timing for each training session. LACMTA and the CSC Operations Contractor will identify a list of participants the Contractor shall notify to schedule their participation in the training.

2052 The Contractor shall perform all scheduling activities and make every attempt necessary to accommodate the maximum number of persons for each training session, given scheduling conflicts and Holidays.

2053 The Contractor shall notify LACMTA and the CSC Operations Contractor of the range of dates for training sessions at the BOS and shall provide a minimum two (2) weeks’ notice to allow participants a reasonable lead time. LACMTA shall Approve the training schedule.

2.22.5. Training Materials 2054 Draft copies of all PCI compliant training materials shall be submitted by the Contractor to LACMTA for review, comment and Approval prior to final printing of quantities required for training.

2055 LACMTA shall have the right to require the Contractor to provide additional interim drafts at no additional cost should draft training materials submitted not be of adequate quality or have missing or incorrect information.

2056 For each course described in the section above, the Contractor shall provide the materials listed below.

2.22.5.1. Instructor Guides 2057 The Contractor shall provide an instructor guide for each training course, including but not limited to:

 course agenda;

 course objective;

 procedures for managing a training session;

 resources and facilities required, including Desktop Environments, power and communications requirements;

 detailed lesson plans;

 a description of training aids and items to aid in on-the-job performance (such as where applicable, pocket guides or reference sheets);

 tests to be administered to assure satisfactory completion and

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 instructions for using any audio-visual support equipment or materials.

2.22.5.2. Training Aids 2058 The Contractor shall provide training aids such as mock-ups, scale models, presentations, video demonstrations and simulations, necessary to successfully complete the course agenda and meet the course objective.

2059 The Contractor shall provide a way for all trained personnel to access training documents, aids and tips in an online, electronic format for ongoing reference.

2.22.5.3. Student Workbook 2060 For each course, the Contractor shall provide a student workbook, including but not limited to:

 course agenda;

 course objectives;

 schedule of sessions;

 copies of all overheads and visuals and

 lesson outlines and summaries.

2061 The Contractor shall supplement the material provided in the student workbook with additional material (as necessary), such as operations and user manuals. If such material is used, appropriate cross-references shall be included in the student workbook to identify the complete set of training materials provided to the student.

2.22.5.4. Training Room Set-up and Software Installation 2062 Trainees shall be trained using workstations, BOS software and connectivity or a portable, stand-alone training environment that represents the full functionality of the applicable BOS components provided by the Contractor.

2063 The Contractor will setup and configure the training environment at the CSC for training conducted by the Contractor, the RTCS Contractor and the CSC Operations Contractor.

2064 The Contractor shall be responsible for loading all Software required to conduct training on the classroom computers (provided by the Contractor).

2065 The Contractor shall ensure the Software is operating as expected on each of the classroom computers.

2066 The Contractor shall ensure appropriate communications, such as voice and data, are in place.

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2.23. General Maintenance and Software Support Services Requirements

2.23.1. Overview of Maintenance Responsibilities

2067 The Contractor shall provide all Maintenance activities associated with Maintenance and Software Support Services through the life of the Contract.

2.23.2. Maintenance Requirements The general Maintenance and Software Support Services Requirements are: 2068 The Contractor shall provide Maintenance and Software Support Services as prescribed in these requirements as specified in the Contract.

2069 Maintenance tasks provided by the Contractor shall include but are not limited to:

 monitoring and maintenance of the production, Disaster Recovery, LACMTA provided Data Warehouse, development, training and test environments;

 Updates to operating system and software infrastructure in the production, Disaster Recovery, LACMTA provided Data Warehouse, development, training and test environments;

 general hardware maintenance, replacement and spare parts inventory;

 maintaining the ongoing relationship (support and maintenance agreements) with third-party software providers;

 ongoing monitoring, updates, maintenance tasks related to Servers and storage systems;

 addressing Server and storage system hardware issues;

 backup system monitoring (verification of successful backups), maintaining (applying Updates when needed) and managing (backup media rotation, offsite storage, etc.);

 Contractor-procured peripherals monitoring, updating and general maintenance and troubleshooting;

 monitoring, updating and general maintenance and troubleshooting of LAN communications and associated devices;

 monitoring, updating and general maintenance and troubleshooting of WAN communications and associated devices;

 monitoring and maintaining BOS application jobs/processes; monitoring transaction Posting, monitoring image processing (various stage of workflow) and other processes;

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 deployment of BOS software to the production, Disaster Recovery, LACMTA provided Data Warehouse, training and test environments;

 address non-BOS Software issues (OS, third-party, peripheral and infrastructure SW);

 perform database administration services;

 perform security monitoring;

 perform software licensing renewals;

 Maintenance of racks, cabinets, general supporting infrastructure if required;

 development of defect fixes, security fixes, performance fixes and Enhancements to the BOS software and applications;

 source code maintenance;

 perform internal testing prior to releasing fixes to production;

 ongoing software warranty maintenance as set-forth in the Contract;

 Perform asset management and tracking of all hardware and software warranties and renewals dates and

 change management and configuration management tasks prior to software/hardware changes.

2070 The Contractor shall monitor automatic notifications and initiate corrective actions to meet requirements for response to maintenance events and incidents.

2071 The Contractor shall provide verification of system functionality upon request from LACMTA. Verification shall include demonstration of functionality as described in the design documents.

2072 The Contractor shall update documentation with any new or modified functionality to reflect the current business operations. This documentation must be submitted to LACMTA for Approval.

2073 As part of the maintenance and Software support services, the Contractor shall develop and test software as required to accommodate corrective actions, changes to Business Rules or configurations. Scope shall include provision of Evidence Packages detailing the planned changes for LACMTA’s review and approval, including installation of new software and confirmation of successful installation.

2.23.3. Monthly Performance Review Meetings and Reporting The Contractor shall conduct Monthly BOS Performance Review Meetings with LACMTA. These meetings shall provide LACMTA with a detailed understanding and review of the Contractor’s and the BOS’s performance for purposes of receiving guidance from LACMTA, LACMTA oversight, work planning and invoicing.

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2074 The Contractor shall manage, facilitate and conduct Monthly BOS Performance Review Meetings with LACMTA beginning at Go-Live and continuing over the life of the Contract. At a minimum, the Project Manager, System Maintenance Manager, Software Maintenance Manager and a Contractor’s on-site CSC support representative (in-person) shall attend these meetings.

2075 The Contractor shall schedule and conduct the Monthly BOS Performance Review Meeting with LACMTA to occur no more than one (1) week after the submission of a Monthly BOS Report package by the Contractor.

2076 Performance reviews, including the provision of all required performance reporting, shall be provided by the Contractor to LACMTA beginning one (1) month after Go-Live for the previous month. Any Monthly Maintenance Fee adjustments associated with non- performance shall not be assessed until the fourth month following Go-Live, for the previous (third) month’s performance; however, this does not relieve the Contractor of required performance prior to the third month and shall not constitute a waiver of any LACMTA rights or remedies under the Contract in this regard.

2077 The Contractor shall ensure all issues are addressed and resolved or are placed on the action item list and scheduled for resolution.

2078 In addition to other invoicing and payment Requirements, the Contractor shall provide the required monthly performance reports to LACMTA, including all required information demonstrating actual performance relative to the Requirements, before an invoice shall be considered for payment. The monthly performance reports structure shall be identified in the Maintenance Plan.

2.23.4. Monthly BOS and Operations Coordination Meetings During the Operations and Maintenance Phase, the Contractor shall conduct monthly meetings with the CSC Operations Contractor (and possibly the RTCS Contractor at LACMTA’s discretion) to coordinate the ongoing Operation of the LACMTA CSC. The Contractor shall be responsible for scheduling these meetings and topics for the meeting shall come from the Contractor; the CSC Operations Contractor and LACMTA may provide additional topics. LACMTA may attend these meetings at their discretion.

2079 The Contractor shall manage, facilitate and conduct the Monthly BOS and Operations Coordination Meetings with LACMTA and the CSC Operations Contractor during the Operations and Maintenance Phase in order to understand and prepare for supporting the resolution of BOS-related and Toll Facility related issues and other activities which will affect the LACMTA CSC Operations.

2080 During the Monthly BOS and Operations Coordination Meetings, the Contractor shall address BOS and operational topics for which input is needed from the CSC Operations Contractor and LACMTA, including but not limited to reviewing the Contractor’s defect tracking report and prioritizing fixes; coordinating Upgrades and Enhancements approved by the Change Control Board (CCB); reviewing security requirements and compliance; coordination of scheduled BOS downtime; resolving issues related to personnel and reviewing the BOS Contractors CSC and WIC support.

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2081 The Contractor shall identify all known BOS and Operational issues and required discussion topics and provide them to the CSC Operations Contractor and LACMTA in advance of the meeting and update the agenda again just prior to the meeting.

2.23.5. Weekly Coordination and Status Meeting with the CSC Operations Contractor and RTCS Contractor During the Operations and Maintenance Phase, there will be a series of working meetings between the Contractor, the CSC Operations Contractor and the RTCS Contractor to provide details on new and open issues and work through possible solutions. The Contractor shall be responsible for coordinating and scheduling these meetings and topics for the meeting shall come from the Contractor, the CSC Operations Contractor, the RTCS Contractor and LACMTA. 2082 The Contractor shall manage, facilitate and conduct the Weekly Coordination and Status Meeting with the CSC Operations Contractor and the RTCS Contractor. These meetings shall be for the purpose of coordination on all new and ongoing issues. LACMTA shall be invited to attend these meetings.

2083 During the Weekly Coordination and Status Meetings, the Contractors shall review the accuracy and sufficiency of reports, review any discrepancies, and to coordinate any changes to the BOS or RTCS (such as, bug fixes, Upgrades and Enhancement).

2084 The Contractor shall identify all known BOS, RTCS and Operational issues and required discussion topics and provide them to all attendees and LACMTA in advance of the meeting and update the agenda again just prior to the meeting.

2.23.6. Change Control Board Meetings During the Operations and Maintenance Phase, the Contractor shall conduct the Change Control Board Meetings. The Contractor shall be responsible for conducting and scheduling these meetings in accordance with the LACMTA developed change control process.

2085 The Contractor shall manage, facilitate and conduct regular and ad hoc CCB Meetings (no less than quarterly) with LACMTA and the CSC Operations Contractor (meeting may be combined with the RTCS CCB meeting at LACMTA’s discretion). These meetings shall be for the purpose of providing status, reviewing, approving and prioritizing BOS changes (such as, software Enhancements, software Upgrades, hardware Upgrades, major bug fixes) and Operations changes (such as, policies, Business Rules, Operational procedures, phone scripts, and staffing).

2086 The Contractor shall solicit and identify all known statuses and input from the CSC Operations Contractor and LACMTA regarding the CCB and provide them to all attendees and LACMTA in advance of the meeting and in accordance with the LACMTA’s change control process.

2.23.7. Upgrades and Enhancements 2087 The Contractor shall provide in electronic format all patches and updates made to the system software.

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2088 Upgrades and Enhancements shall be proposed by the Contractor in accordance with the Contract Modification process as set forth in the Contract. Examples of Upgrades and Enhancements include: accommodating major changes to standards, statutes or Interoperability or the addition of new equipment or functionality providing demonstrable benefits in performance, costs or productivity.

2089 Upgrades and Enhancements shall be implemented using the same development, testing, implementation, and training standards specified in this RFP. This includes but is not limited to:

 updates to SDDD documents;

 thorough testing of the code, including regression testing;

 training and/or notifying users if the change impacts their work and

 updating and providing training documentation.

2090 Software modifications required to maintain and support the BOS as a part of the normal course of business shall not be considered Upgrades or Enhancements paid for by LACMTA. These modifications include but are not limited to:

 version changes;

 configuration or parameter changes;

 minor changes to reports, software or code, such as changes to the existing ICDs;

 Software modifications required to ensure BOS is compliant to existing standards (for example PCI DSS);

 updates the System to keep up with and support new mobile devices, mobile browsers, desktop browsers and operating systems, mobile and desktop customer experience trends, mobile payments, trends in mobile device and desktop navigation techniques, as well as updated look and feel for the Self Service Website, Self Service Mobile Website and Self Service Mobile Application and

 changes for the Contractor’s benefit that improve the Contractor’s ability and efficiency to maintain and support the BOS.

2.23.8. Software Deployment 2091 The Contractor shall be responsible for all software deployment activities to all Contractor- provided system environments.

2092 The Contractor shall develop and submit a build package for review and Approval by LACMTA prior to deploying any software modifications. This shall include build release notes describing the proposed change, a description of what is in the build, what tests have been conducted, test results, and timeframe for deployment into the production environment.

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2.23.9. Maintenance Priorities, Response and Repair Times 2093 Response and repair time is defined as the combined time from failure notification to repair/correction of the failure by a technician, the period of time beginning when the Contractor receives notification of the maintenance event and ending when the fault condition is corrected and returned to normal operations. The Contractor shall respond to calls and repair times according to the following priority levels:

 Priority 1: Any malfunction or fault that impacts the BOS’s ability to serve customers and/or operate or will result in the loss of revenue, security breach, hazard to personnel, loss of verification data, loss of redundancy in any redundant BOS components.

 Priority 2: Any malfunction or fault that will degrade the BOS performance but not the operational ability of the BOS. It includes, but is not limited to examples such as inaccurate reporting, inability to reconcile revenue, loss of BOS functionality that impacts customer access to data and loss of functionality that impacts LACMTA operations’ efficiency.

 Priority 3: Any action or event that has the potential to result in a malfunction or degrading of the BOS performance but has not impacted performance and is not anticipated to immediately impact performance.

2094 Any failure or downtime that is a part of scheduled and approved preventive maintenance, including scheduled new Software releases not associated with a maintenance event shall be defined as Priority 4, for which there are no associated Performance Requirement calculations such as availability; however, in this event the Contractor shall make the BOS available and fully operational within the approved schedule window for the activity. Delays and problems associated with not completing scheduled preventive maintenance within the window specified may be included in the Performance Requirement calculations.

2095 Response and repair times for every BOS maintenance event shall be recorded and reported by the Contractor, and such reports shall be provided to LACMTA in accordance with the reporting requirements of this Contract.

2096 No incident shall be closed by a technician before the equipment has logged a recovery (for all equipment that supports recovery messages). For example, if a service is degraded because of a loss of a redundant component, the incident cannot be closed until the redundant component has been replaced and service has returned to normal.

2.23.10. Notifications 2097 The presence of an electronic notification of a problem by system or user or entry of a problem into a tracking software, shall constitute the failure time and the starting point for the calculations of acknowledgement and repair times.

2098 For purposes of measurement of performance and for the development of maintenance policy and procedures, the Contractor shall receive notifications of BOS malfunctions, problems and discrepancies through any or all of two (2) different methods, summarized as follows:

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 Written Notification: A written description of a problem or condition typically provided by LACMTA. Written notification shall be via written note, texted or emailed to the Contractor’s designated Maintenance resources by a user. The time of receipt of written note, message or email shall signify the start of the response time for purposes of measuring the Contractor’s acknowledgement time and response/repair time.

 Automatic Notification: An automatic notification through the a Software tool identifying a problem within the BOS and sending out an automatic Alert message by email or text to the Contractor’s Maintenance staff to respond to the failure. The presence of an automatic notification in the BOS shall constitute the start of the response time for purposes of measuring the Contractor’s acknowledgement time and response/repair time.

2.23.11. Internal and External Audits LACMTA will utilize its internal auditors and will acquire the services of an independent auditor to perform audits of the BOS and operations throughout the term of the Contract.

2099 The Contractor shall all support audits, including but not limited to SSAE-16 Type II and PCI audits, and provide all Contractor provided work information required by the audit.

2100 The Contractor is responsible for correcting all deficiencies related to Contractor work and the software warranty noted during any audits, including but not limited to SSAE-16 Type II and PCI audits, at the Contractor’s cost.

2101 The Contractor shall institute corrective measures related to deficiencies noted during all audits as soon as practicable, but no later than by the close of the current Fiscal Year, or as required and directed by LACMTA.

2102 The Contractor shall support LACMTA and its internal and external auditors by making all requested documentation available for review.

2103 The Contractor shall support LACMTA and its internal and external auditors by making Contractor employees, consultants and related parties available for interview by auditors.

2.23.12. Safety 2104 The Contractor shall adhere to all applicable safety standards and guidelines for working on or around energized Equipment, including but not limited to the following:

 LACMTA’s safety procedures and guidelines;

 local code;

 State of California, code, standards, safety procedures and guidelines;

 Occupational Safety and Health Administration (OSHA);

 National Electrical Manufacturers Association (NEMA) and

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 National Electrical Code (NEC).

2.23.13. Security 2105 The Contractor’s Maintenance and Software Support Services personnel shall be subject to appropriate security and background checks to the satisfaction of LACMTA. The Contractor shall obtain written approval from LACMTA for all service personnel.

2106 The services and work performed under the Contract are considered highly confidential and the Contractor’s personnel shall at all times comply with PCI DSS Requirements. All employees of the Contractor shall not discuss their work with unauthorized personnel or any individuals not directly associated with LACMTA.

2.24. Maintenance Requirements The Requirements described in this section detail the Contractor’s responsibility for providing Maintenance and Software Support Services for the BOS, and associated communications and support to operations, including but not limited to:  hardware maintenance (Servers, storage, network switches, firewalls, routers, etc.) if required;  network administration;  system administration;  database administration;  Maintenance and Software Support Services;  monitoring services;  desktop support services and  system security. In delivering the Maintenance Services, the Contractor is expected to provide the following services, including but not limited to:  well documented Maintenance schedules and processes;  change and configuration management;  on-site support of the system;  complete around-the-clock Maintenance of the System;  desktop support at the level of effort prescribed;  significant participation with LACMTA’s staff, meetings and processes and  ample spare parts inventory. 2107 The Contractor shall provide maintenance, including but not limited to all equipment, hardware, software and systems provided under this Contract, including maintenance associated with the compliance with the terms of the software warranty.

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2108 The Contractor shall provide Maintenance and Software Support Services, including but not limited to: monitoring; preventive; predictive; corrective, and emergency Maintenance Services, as well as any planned Upgrades and Enhancements to be performed on any and all BOS elements.

2109 The Contractor shall provide at its own expense all maintenance activities required to keep the BOS operating at required performance for any time period in which the BOS is installed, Commissioned and/or placed into revenue service but has not passed required acceptance testing, until such time as the system warranty period begins.

2110 The Contractor shall be responsible for performing all maintenance activities and fully supporting and maintaining the BOS from system Acceptance through the end of the Contract.

2111 To ensure BOS performance is optimized, all system administrative functions, if not otherwise automated, shall be performed at regular, scheduled intervals as part of the preventive Maintenance Services in accordance with the approved maintenance plan.

2112 Continuous monitoring of BOS operations shall be performed to verify it is functional, processes are being executed as scheduled and that the BOS is operating per Performance Requirements. Continuous monitoring shall include but not be limited to:

 verifying system alarms, notifications and Alerts;

 verifying processes/programs/job have successfully completed as scheduled;

 evaluating sample transactions data and aggregate data trends for exceptions;

 confirming data and image transmission to and from Metro ExpressLanes’ RTCSs;

 performing routine diagnostics;

 reviewing comparative reports to identify potential system degradation;

 confirming successful data transfer, such as the TSL;

 confirming data transmission to and from external Interfaces;

 correcting identified performance issues;

 confirming primary and DR systems are synchronized;

 monitoring backups;

 database administration and monitoring;

 general System health;

 evaluating storage requirements and

 reviewing error logs and Alerts.

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2113 The Contractor shall provide advance notification and obtain approval by an Authorized User when purge jobs that permanently delete data from the system are to be executed, including but not limited to: data elements impacted, date range applied and data size impact.

2114 The Contractor shall re-establish or re-install system files, programs and parameters, as required, following a failure or damage to the system and return the BOS to a fully- operational condition.

2115 The Contractor shall maintain up-to-date software backups (all system software and data) in accordance with the approved maintenance plan.

2116 The Contractor shall maintain accurate equipment inventory status and update status.

2117 The Contractor shall maintain and monitor the BOS network (both MAN and WAN).

2.24.1. BOS Hardware and Software Maintenance 2118 BOS hardware and software maintenance shall include but are not limited to:

 BOS Servers, storage devices, backup devices and network equipment at the primary BOS site, including all production and non-production environments as required;

 BOS Servers, storage devices, backup devices and network equipment at the BOS Disaster Recovery site, including all production and non-production environments;

 third-party software, including the operating system, databases, security software, virus protection software and system/network monitoring Software;

 all Contractor-provided hardware and peripherals;

 all hardware and peripherals that interact with the system to the extent that the Contractor-installed software or applications are negatively affecting the operation of the peripheral;

 IVR and telephony systems and

 security access system configuration and Maintenance.

2.24.2. BOS Network System Maintenance 2119 The Contractor shall maintain and monitor the BOS network, including connection of the primary and DR BOS locations.

2120 The Contractor shall proactively monitor the WAN network, its connections and its components to respond to any fault or problem.

2121 The Contractor shall monitor all communications with interfacing systems and third parties.

2122 The Contractor shall monitor all network Alerts and alarms, as well as detect intrusion attempts and prevent intrusions.

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2123 The Contractor shall perform the necessary support services required of the Interoperable Agencies in order to keep day to day operations and transfers current, such as operating system Upgrades.

2124 The Contractor shall Upgrade and update the network security and provide the required software and monitoring tools to ensure the BOS is always in compliance with the most recent PCI DSS requirements.

2.24.3. BOS Administration and Software Support Services 2125 The Contractor shall provide Maintenance and Software Support Services for all elements of the BOS in all environments required in the Contract, including but not limited to:

 operating systems;

 databases;

 application Software including the Self-Service Website, Self-Service Mobile Website, mobile application and IVR;

 third-party Software;

 Software configuration and

 Software version control.

2126 The Contractor shall provide Maintenance and Software Support Services that include monitoring, preventive, predictive and corrective action to ensure BOS performance is in accordance with requirements of this Contract. This shall include but is not limited to:

 any daily, weekly or periodic maintenance required to maintain the BOS at required performance levels (such as, indexing and tuning databases and archiving and purging in accordance with LACMTA’s data retention policy);

 third-party software or firmware patches, updates and Upgrades, as required and to be compliant with security requirements, including but not limited to: performing security software Upgrades, database Upgrades and operating system Upgrades;

 Approved adjustments and updates to the BOS data based on a criteria and conditions approved by LACMTA to correct failures and issues;

 monitoring of error logs and system logs;

 Maintenance of back-ups and backup software;

 Maintenance of all BOS environments;

 installation of new software and confirmation of successful installation;

 verify data replication to Disaster Recovery site is occurring as configured and replication is not drifting beyond an acceptable threshold;

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 verify time synchronization is occurring as configured, and system clocks are not drifting or otherwise incorrect;

 modifications to IVR call flow needed to correct routing and call flow problems identified during normal operations;

 creation of ad-hoc reports requested by LACMTA;

 generation of queries as requested by LACMTA;

 analysis of data as requested by LACMTA and

 modifications to the customer website to keep up-to-date with LACMTA’s policies.

2127 Software support services shall include monitoring and corrective action to ensure BOS performance is in accordance with requirements of this Contract, to include database management and operation. This shall include but is not limited to:

 investigation and analysis of errors and exceptions and taking corrective action, including correcting the problem and reprocessing the data;

 monitoring notifications and initiating corrective actions on application programs to meet Requirements;

 Updates to the BOS to support Upgrades to hardware or third-party software and

 Updates to the BOS to support all changes to Business Rules and BOS Configurable parameters and deploy changes in production.

2128 The Contractor shall ensure maintenance does not conflict with or cause interruption in service or cause substandard service to LACMTA or their customers.

2.24.4. Interoperability Requirements LACMTA currently has Interoperability agreements with a number of Interoperable Agencies and in the future it is anticipated that Interoperable agreements will be established with other agencies regionally and nationally. These Requirements apply to all existing and future Interoperability. Interoperability includes exchanging and processing transactions/trips between the BOS and the Interoperable Agencies. The BOS shall process transactions/trips from Interoperable Agencies for LACMTA customers who have used Interoperable Agency roads, as well as transactions/trips for Interoperable Agencies’ customers on LACMTA’s roads. The Interface supports the transmission and receipt of all files identified in the respective ICDs. The BOS and Interoperable Agencies perform validation checks to confirm the transactions/trips are in compliance with the Interoperable Agency ICD and reject any transactions/trips that are not. Validated transactions/trips shall be posted to a User Account in accordance with the Interoperable Agency agreements. The BOS must be prepared to work with other ICDs to send and receive transactions/trips and transaction data and other data files.

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2129 The Contractor shall support all Interoperable Agency activities as required by LACMTA, including but not limited to:

 attend technical meetings;

 review and provide comments on documents;

 support Interoperable Agency testing as requested;

 support modifications to Interoperable specifications and

 be compliant with the latest published Interoperable specifications.

2130 The Contractor shall support the addition of any future Interoperable Agencies in a manner to be determined, subject to the Upgrades and Enhancements provisions herein.

2.24.5. Updates to Maintenance Plan and Other Maintenance Related Documentation 2131 The Contractor shall periodically update the maintenance plan and other maintenance documentation to reflect any changes to the policies or procedures developed by the Contractor and approved by LACMTA, for the BOS Maintenance Services. A final submittal of the maintenance plan and other maintenance documentation shall be provided at the end of the first year of maintenance.

2.24.6. Preventive and Corrective Maintenance Requirements 2.24.6.1. Preventive Maintenance 2132 The Contractor shall provide preventive maintenance on the BOS hardware, Servers, communications network and software as required.

2133 The Contractor shall in accordance with the approved preventive maintenance schedule, periodically inspect all equipment, both major components and support components (such as fans, cabinets, environmental control units, filters, storage units) that constitute the BOS and shall make repairs, cleaning, adjustments and replacements of components as necessary to maintain the equipment in normal operating condition.

2134 Servers and storage devices shall be periodically checked to verify that storage space is not reaching maximum thresholds; disks are not fragmented or damaged; software is of the latest version per the configuration management database, and data is being processed and transferred in an appropriate manner. These checks should be performed automatically whenever possible, but must be checked manually if the task cannot be automated.

2135 The System shall be monitored to ensure performance is optimal and meets the Contract requirements, including but not limited to:

 report generation times;

 BOS access times;

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 IVR statistics;

 Self-Service Website access times;

 Self-Service Mobile Website access times and

 Mobile Application access times.

2136 All equipment and systems shall be included as part of preventive maintenance, in accordance with the original equipment manufacturer’s guidelines. Any variations or exceptions shall be noted by the Contractor and approved in advance by LACMTA.

2137 Scheduled maintenance shall be communicated to LACMTA a minimum of seven (7) Calendar Days in advance for approval by LACMTA and shall be scheduled for times when the CSC is not operating.

2138 Preventive Maintenance shall be scheduled to be performed by BOS administration staff between 12 AM and 4 AM PST. Any preventive Maintenance tasks that need to be performed during normal BOS operating hours that is not part of the Approved Preventive Maintenance schedule shall be Approved in advance by LACMTA.

2139 The diagnostic aids, tools and Equipment required to perform preventive Maintenance Equipment analysis shall be provided by the Contractor to LACMTA, as necessary to meet LACMTA’s maintenance responsibilities.

2140 When preventive maintenance requires a BOS Service to be made unavailable to the customer, a Notice must be posted 24 hours in advance of the outage on the Website and through the IVR so customers are aware of the impending outage.

2.24.6.2. Corrective Maintenance 2141 All Work performed by the Contractor to correct incidents, problems and failures to meet the Contract requirements shall be considered corrective maintenance. Such problems include but are not limited to:

 failure of BOS functions;

 failure of processes and programs;

 report failures and issues;

 application failures;

 data and revenue reconciliation failures;

 failures in transmitting and receiving files from the various third-party Interfaces;

 errors and exceptions when processing data received from the RTCS, Interoperable Agencies and third-party entities;

 network failures and issues;

 BOS or component performance issues;

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 data loss or inaccessibility and

 non-conforming availability levels.

2142 When a BOS Service becomes unavailable to the customer due to an unplanned outage or emergency a Notice shall be posted on the website as soon as possible so customers are aware of the outage.

2.24.6.3. 24X7 Maintenance Coverage 2143 The Contractor shall provide continuous (24x7) coverage for all monitoring, system administration services and maintenance-related activities sufficient to meet the Performance Requirements of the Contract.

2.24.6.4. Recording of Maintenance Activities 2144 The Contractor shall be responsible for logging all reported maintenance activities. The Contractor also shall be responsible for documenting in detail all information and issues related to a failure condition, providing a corrective action report including all actions taken to complete the correction and a root cause analysis.

2.24.7. Certification of PCI DSS Compliance The Contractor is responsible for providing certification in the form on an independent audit and a Report on Compliance (ROC) that the BOS environment is PCI DSS Compliant by the Go-Live date and on an annual basis thereafter. The Contractor shall also assist LACMTA in obtaining PCI DSS Compliance with its operations. The Contractor is required to ensure the BOS continues to be PCI compliant on an ongoing basis as Updates and Upgrades to the Software take place through the life of the Contract.

2145 The Contractor shall be responsible for acquiring the services of an independent certified Qualified Security Assessor to perform the certification of the BOS to PCI DSS Level 2 to the current version of the standard at least annually or as otherwise required by the standard, whichever is more frequent, for the life of the Contract. The QSA’s audit report shall be made available to LACMTA.

2146 The Contractor shall be responsible for providing a ROC by the Go-Live date and on an annual basis thereafter.

2147 The Contractor shall make all documentation required under PCI, including but not limited to network diagrams and detailed policies and procedures, available to LACMTA.

2148 To evaluate the security risk to the BOS and identify potential vulnerabilities, the Contractor shall perform penetration and vulnerability tests monthly, as well as every time a new Software release is deployed or new network Equipment is added or replaced.

2149 The Contractor shall document and immediately report to LACMTA any PCI DSS issues/vulnerabilities found during monthly penetration and vulnerability tests or upon new software release.

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2150 The Contractor is responsible for correcting all deficiencies at the Contractor’s cost and ensuring the BOS is PCI DSS compliant and ensuring security risks are handled appropriately.

2.24.8. Emergency Response Management The Contractor shall be responsible for emergency response management for the life of the Contract.

2151 The Contractor shall immediately respond to any emergency situation that has already impacted the BOS or could potentially damage the BOS. The Contractor shall be prepared to put forth all necessary resources to divert or correct an emergency condition.

2152 Such emergency conditions shall be handled in accordance with policies and procedures developed by the Contractor and Approved by LACMTA in the Disaster Recovery Plan. The following are a few examples of emergency conditions:

 weather related;

 safety related;

 conditions that invoke the Disaster Recovery Plan;

 system outages;

 third-party power outage or communication failure and

 security breaches.

2.24.9. Disaster Recovery and Business Continuity The Contractor shall be responsible for Disaster Recovery Procedures and testing for the life of the Contract.

2153 The Contractor shall perform Disaster Recovery procedures in accordance with the approved Disaster Recovery Plan (DRP) in the event of a disaster and return the BOS to a fully operational condition.

2154 The Contractor shall test the Disaster Recovery procedures on a yearly basis to validate that they are functioning per the Design. LACMTA and/or its representatives shall witness the test and the Contractor shall provide a report outlining the test, test results and any anomalies encountered for LACMTA’s review and approval.

2155 The Contractor shall address any issues encountered from the yearly Disaster Recovery testing.

2156 The Contractor shall support the CSC Operations Contractor’s Business Continuity annual testing.

2157 The Contractor shall support the RTCS Contractor’s Disaster Recovery and Business Continuity annual testing.

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2.24.10. Stress Testing The Contractor shall be responsible for performing stress testing for the life of the Contract.

2158 The Contractor shall stress test the BOS no less than annually and as-needed in conjunction with all major BOS changes or releases to validate that system continues to function per the design. LACMTA and/or its representatives shall witness the test and the Contractor shall provide a report outlining the test, test results and any anomalies encountered for LACMTA’s review and approval.

2159 The Contractor shall address any issues encountered from the stress testing associated with its current maintenance responsibility level and in accordance with the software warranty.

2.24.11. Incident and Revenue Loss Reporting 2160 The Contractor shall work with LACMTA to develop a communications protocol for incident and revenue loss reporting (e.g., communications procedures based on incident and priority level).

2161 The Contractor shall immediately notify LACMTA of any incident or event where the loss of revenue or data or security breach has occurred or potentially has occurred or could occur. The Contractor shall take immediate action to rectify the condition and return the BOS to normal operations.

2162 In the event of a loss or potential loss of revenue or data or security breach an incident report shall be provided to LACMTA within five (5) Business Days of the incident. The report shall identify the issue and provide a detailed account of the incident; its cause; duration; resolution or planned resolution, and a quantification of actual or potential lost revenue or data or security breach. Regular updates shall be provided until the issue has been fully resolved and closed. The incident and its impacts shall also be further detailed in the subsequent monthly report. The Contractor shall be held responsible for all lost revenue and data and customer impacts, including remediation, in accordance with the terms of the Contract.

2.24.12. Performance Requirements Performance will be measured in categories that align with the primary functions of the BOS. Each of these categories represents a group of functions within the BOS and each function includes individual Key Performance Indicators (KPI), which will be used to measure the Contractor’s performance in meeting the Performance Requirements.

The specific method of measuring the Contractor’s performance will vary depending on the KPI being measured, but will generally be measured against the Performance Requirement on a monthly basis. Regardless of how a KPI is measured, the Contractor shall provide reporting for all performance measures monthly.

The amount by which the KPI is missed matters in determining how well the BOS is performing so the non-compliance fees for a particular failure are increased as the deviation from the KPI

Statement of Work and Requirements Page 317 LACMTA Back Office System increases. For example, the System’s customer facing systems and resources are required to be available a certain percentage of the time and the actual availability was measured to be less than that percentage. The Contractor would be assessed a penalty amount calculated based on the Performance Standard.

The table below provides a summary of the KPIs for the Contractor. A detailed description of each KPI and its associated Performance Requirement is provided in the subsequent sections.

Statement of Work and Requirements Page 318 LACMTA Back Office System

Performance Measurement # Category KPI Adjustment Requirement Frequency A 0.5% adjustment to the monthly maintenance fee for availability between 99.80% and 99.50%;

A 1.5% adjustment to The Contractor shall Available 99.80% of the monthly 1 provide availability of Monthly measurement time. maintenance fee for BOS availability between 99.49% and 99% and

A 10% adjustment to the monthly maintenance fee for availability below 99%. System - Availability A 0.05% adjustment to the monthly maintenance fee for availability between 99.95% and 99.80%; The Contractor shall provide availability of A 1.5% adjustment to IVR System, Self-Service Available 99.95% of the monthly 2 Monthly measurement Website, Self-Service time. maintenance fee for Mobile Website, and availability between mobile application 99.79% and 99% and

A 10% adjustment to the monthly maintenance fee for availability below 99%.

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Performance Measurement # Category KPI Adjustment Requirement Frequency Transmit all Transponder and Transmit per the 3 license plate status files Per individual event $250 schedule. from all Away Agencies to LACMTA. Transmit all transaction and image Transmit per the 4 Per individual event $250 reconciliation files to schedule. LACMTA. Receive all Receive and transactions/trips and 5 acknowledge per the Per file $250 images from Metro schedule. ExpressLanes' RTCS. Transmit all Functional – Data and Transponder and Files Exchange Transmit per the 6 license plate status files Per individual event $250 schedule. to Interoperable Agencies Transmit all transaction and image reconciliation files to Transmit per the 7 Per individual event $250 the Interoperable schedule. Agencies and Non-toll Providers. Receive all Transponder and license plate status Receive and 8 files from Interoperable acknowledge per the Per file $250 Agencies and Non-toll schedule. Providers.

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Performance Measurement # Category KPI Adjustment Requirement Frequency Identify exceptions that prevent transactions/trips and Identify and notify images from being 9 within four (4) hours of Per file $250 processed and receiving. electronically notify the Metro ExpressLanes’ RTCS. Transmit all Transponder and license plate status files Transmit per the 10 Per individual event $250 from all Interoperable schedule. Agencies and Non-toll Providers. Receive all sent transaction and image Receive and reconciliation files from 11 acknowledge per the Per file $250 the Interoperable schedule. Agencies and Non-toll Providers. Receive and acknowledge all Receive and transactions/trips and 12 acknowledge per the Per file $250 images from schedule. Interoperable Agencies and Non-toll Providers. Transmit all transactions/trips and Transmit per the 13 images to Interoperable Per individual event $250 schedule. Agencies and Non-toll Providers.

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Performance Measurement # Category KPI Adjustment Requirement Frequency

Transmit all eligible Transmit requests for requests within one (1) 14 Registered Owner of Per Calendar Day $250 calendar of the request Vehicle information. being eligible.

Transmit eligible Transmitting of information and 15 Information to Per Calendar Day $250 updates within one (1) Collection Agency. hour. Receive and Receive and acknowledge all 16 acknowledge within Per file $250 Collections Agency one (1) hour. Information. Identify exceptions in Identify and notify 17 incoming collections within four (4) hours of Per file $250 response information. receiving.

Accurate Posting of AVI Post within four (4) 18 Per file $250 transactions/trips. hours of receiving. Posting of all image- based I-Toll and Post within four (4) 19 Functional – Posting of Per file $250 Violation hours of receiving. Transactions/Trips and transactions/trips. Image Processing Posting of image-based I-Toll and Violation Post within four (4) 20 transactions/trips Per Calendar Day $500 hours of manual review. which have completed manual image review.

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Performance Measurement # Category KPI Adjustment Requirement Frequency Processing and queuing of image-based Process and queue 21 transactions that within four (4) hours of Per file $250 require manual image receiving. review.

22 DELETED

$2,500 Process all eligible Escalates by $2,500 Functional – Account Automatic Account Accounts for each consecutive 23 Per Calendar Day Replenishment replenishment. replenishment per the Calendar Day up to a schedule. maximum of $10,000 per Calendar Day

Automatically validate addresses being Functional – Address manually entered 24 Automatic attribute. Per every hour $250 Validation within five (5) seconds and by electronic means only in near real-time.

Automatic electronic notifications sent to Functional – Electronic Send automatic customer or others via Per Calendar Day, per 25 Notifications and electronic notifications $100 proper channel and each type of notification Communications within 15 minutes. volume (for example, email or SMS).

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Performance Measurement # Category KPI Adjustment Requirement Frequency

Receive or process Automatic Processing of Per Calendar Day, per incoming electronic 26 incoming electronic each type of incoming $100 notifications within 15 communications. correspondence minutes.

Timely Mailing of USPS Functional - USPS Mail eligible customer notifications 27 Mailed Notifications notifications within Per Calendar Day $1,000 (notifications include all and System Updates three (3) Business Days. USPS mailed items). The Contractor shall Accurate report Per report type, per 28 provide accurate $100 generation. Calendar Day Functional - Reporting reports. Accuracy and Timeliness Delivery or availability Deliver or make reports Per report type, per 29 $100 of reports. available. Calendar Day

Complete Posting or Per Calendar Day where $1,000 exception disposition all items received are $2,500 if more than 5% 30 Process payments. by the second Business not processed within of the total payments Day after the payments the required time are not posted or Lockbox Payment are received. frame. properly dispositioned. Processing

Payment is posted to Accurate Posting of 31 the correct Account and Per individual payment $100 payments for the correct amount.

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Performance Measurement # Category KPI Adjustment Requirement Frequency The greater of a 0.1% adjustment to the Customer payments Functional – Improper Zero (0) payments Per incident or per monthly maintenance 32 properly processed by Payment Processing improperly processed Account/customer fee per incident, or $10 the BOS per affected Account/ customer Weekly reports 0.01% adjustment to provided by Monday of the monthly Weekly reports Weekly the week following the Maintenance fee per System Support – reporting week incident per report 33 Reports and Records Keeping Monthly reports 0.01% adjustment to provided within five (5) the monthly Monthly reports Monthly Business Days of the Maintenance fee per end of the month incident per report 0.01% adjustment to the monthly System Support – Performance of Specified by the maintenance fee per 34 Preventative preventive maintenance approved preventive Monthly occurrence of failure to Maintenance at adequate levels maintenance schedule maintain each item of equipment Prompt response and Complete within one 35 completion of website Per individual event $500 (1) Business Day. static content updates. System Support – Response to Software Prompt response and Update Requests Complete within ten 36 completion of minor Per individual event $500 (10) Business Days. Software changes.

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Performance Measurement # Category KPI Adjustment Requirement Frequency The Contractor shall The Contractor shall provide provide prompt 37 acknowledgement and Per individual event $500 response to agency status within 2 Business requested information. Days. Follow the Approved 38 change management Comply with process. Per individual event $1,500 System Support – process. Change Management Gaining of Approval Failure to gain approval 39 from LACMTA for Per individual event $5,000 prior to making change. System changes.

Logging and tracking all Log all maintenance 40 Per individual event $100 maintenance activities. activities. System Support – Maintenance and Logging, tracking and System Event Logging reporting all System 41 Log, track and report. Per individual event $250 failure or reported System issue. System Support – Timely Acknowledge Priority Automatic and Manual 42 Acknowledgements of event within required Per individual event $250 Acknowledgement of Priority Events. time period Priority Events $ 5,000 per event and Timely Repair of Repair within eight (8) $200 for each 43 Per individual event Priority 1 Failure. hours. additional hour of System Support – Time delay. to Repair $1,000 per event and Timely Repair of $100 for each 45 Repair within 24 hours. Per individual event Priority 2 Failure. additional hour of delay.

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Performance Measurement # Category KPI Adjustment Requirement Frequency $500 per event and Timely Repair of Repair within five (5) $500 for each 46 Per individual event Priority 3 Failure. Calendar Days. additional Calendar Day of delay.

Sensitive customer $5,000 per event and all Protection of Sensitive 44 information is not Per individual event costs of notification and Customer Information exposed to others. remediation

Customer notifications $5,000 per event and Notification of all made within two (2) $2,500 for each 45 Cybersecurity and PCI Per individual event affected customers Calendar Days of additional Calendar Day breach. of delay.

Fix all identified Remediation of all PCI $500 per additional 46 deficiencies within Per Calendar Day related deficiencies Calendar Day of delay. three (3) months.

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Example Illustration – all systems are unavailable for 3 days (72 hours). For the month measured, this equates to an overall availability of 90.1%. That availability would yield the following penalties assuming a sample monthly M&O cost of $75,000 and 10 types of notifications are sent or received:

Description Penalty

BackOfficeBelow99%–10%of$5000 $7,500

AllothersystemsBelow99%-10%of$5000 $7,500

Priority1Failure–First8hours$5000+$200X64hours $17,800

Process Payments by 2nd CalendarDay-$2500X1day $2,500

TransmitRegisteredOwnerInformation-$500X3days $1,500

TransmitInformationtoCollectionAgency-$500X3days $1,500

PostingofImageBasedToll-$500X3days $1,500

AutomaticAccountReplenishment-$2500X3days $7,500

Automaticelectronicnotificationssenttocustomer-$100x3daysx10types $3,000

Automatic Processing of incoming electronic communications - $100 x 3 days x 10 types $3,000

Total Penalties $53,300

2.24.12.1. System - Availability 2163 The Contractor shall meet availability Requirements for the following elements of the BOS Work:  BOS – 99.8%;  IVR – 99.95% of the time when the BOS is available;  Self-Service Website – 99.95% of the time when the BOS is available;  Self-Service Mobile Website – 99.95% of the time when the BOS is available and  Mobile Application – 99.95% of the time when the BOS is available. 2164 These availability Requirements shall be separately calculated and applied as follows:  An available BOS is defined as the overall System, including Hardware, Software and network communications that are properly functioning and available to collect revenue, receive data transmitted from the RTCS, properly process the data, reconcile the data, and provide customer service. The BOS shall be considered unavailable (System downtime) if the BOS is not operating or if performance is severely degraded, and/or causing loss of functionality, application errors for multiple users, and/or preventing access to users and customers. A failure of the IVR, Self-Service Website, Self-Service Mobile Website or Mobile Application shall not be included in the BOS availability calculation.

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 An available IVR System is defined as an operating and properly functioning integrated phone system that is available for use by the BOS staff to properly receive and respond to telephone calls. The IVR System shall be considered unavailable (IVR System downtime) if customers are unable to call into or access the Account information via the IVR, if the Customer Service staff cannot be reached or if outbound calls cannot be made.  An available Self-Service Website is defined as an operating and properly functioning website that is available for use and access by the customers, the public and LACMTA. The Self-Service Website shall be considered unavailable (website downtime) if customers are unable to log-in or access Account information, perform Account functions correctly or if the public is unable to access information online.  An available Self-Service Mobile Website is defined as an operating and properly functioning mobile website that is available for use and access by the customers, the public and LACMTA. The Self-Service Mobile Website shall be considered unavailable (mobile website downtime) if customers are unable log-in or to access Account information, perform Account functions correctly or if the public is unable to access information via the Self-Service Mobile Website.  An available Mobile Application is defined as an operating and properly functioning mobile application that is available for use and access by the customers, the public and LACMTA. The Mobile Application shall be considered unavailable (mobile application downtime) if customers are unable to log-in or access Account information, perform Account functions correctly or if the public is unable to access information via the Mobile Application. 2165 Availability for each of the above Systems shall be calculated as follows: Availability = (1 - [Total number of hours of downtime in time period X / Total hours in time period X]) * 100. 2166 All unscheduled Maintenance events shall be accounted for as System downtime. All preventative and/or scheduled maintenance shall not be accounted for as System downtime.

2.24.12.2. Functional – Data and Files Exchange 2.24.12.2.1. Transmit TSL/License Plate Information to LACMTA Toll Facilities The list of Transponders and license plate information (including repeat Violator list) used on LACMTA Roadsides is constantly changing. To help ensure vehicles equipped with Transponders can be recognized in the lanes, it is essential that the Transponder Status List (TSL) is transmitted to the Toll Facilities in a timely manner. Similarly, the Contractor must ensure that license plate files are transmitted to the Toll Facilities in a timely manner.

2167 Transmit the comprehensive BOS and Interoperable Transponder Status List (TSL) files to the Roadside Systems by LACMTA Approved time(s) each day. 2168 Transmit LACMTA’s (including repeat Violator list) and Interoperable license plate files to the Roadside Systems by LACMTA approved time(s) each day, in accordance with the defined Interface performance requirements.

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2.24.12.2.2. Transmit TSL/License Plate Information to Interoperable Agencies and Non-Toll Providers To ensure Interoperable Agencies and Non-Toll providers have the most current LACMTA Transponder and license plate information, the Contractor must ensure the TSL/license plate files are sent in a timely manner.

2169 The BOS shall transmit the accurate Comprehensive TSL and license plate information to the Interoperable Agencies and non-toll providers by LACMTA approved time in accordance with the defined Interface performance requirements.

2.24.12.2.3. Receive TSL/License Plate Information from Interoperable Agencies The Interoperable Agencies will also update their TSL/license plate information each day and send them to the BOS. The Contractor must ensure that the files sent are received and processed in accordance with the Business Rules.

2170 The BOS shall confirm receipt of and process the Comprehensive TSL and license plate information from the Interoperable Agencies by LACMTA approved time, in accordance with the defined Interface performance requirements.

2.24.12.2.4. Receive Transactions/Trips from Interoperable Agencies and Transmit Reconciliation Files Identify exceptions that prevent transactions/trips and images from being processed and electronically notify the LACMTA RTCS. 2171 Within eight (8) hours of receipt by the BOS, the BOS shall confirm receipt, process and accurately reconcile via daily transaction reports, the number of Transponder-Based and Image-Based Transactions/Trips received from Interoperable Agencies, including any transactions/trips that were rejected, in accordance with the defined Interface performance requirements

2.24.12.2.5. Transmission of Information to Collections Successful transfer of placement files and their updates to the Collections Agency(ies) and the synchronized processing of the return files are critical to ensuring that Violators are correctly pursued and to prevent incorrect Notifications. 2172 Placement files and updates shall be identified and transmitted by the BOS to the Collection Agency(ies) with an accuracy of 100%. 2173 Collection Agency(ies) return files shall be received and processed by the BOS and reconciled to the to the Collections Agency(ies) reports with an accuracy of 100%.

2.24.12.2.6. Transmit and Receive Requests for Registered Vehicle Owner Information Identifying the registered owner of a vehicle that has incurred a toll on LACMTA’s Toll Facilities is a key component in the efficient and successful issuance of Violations or notifications to customers. 2174 The BOS shall submit all requests for registered vehicle owner information within one (1) day from the time the license plate qualifies for a DMV lookup.

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2.24.12.2.7. Transaction Processing Requirements 2175 100% of transactions/trips (Transponder-Based and Image-Based) from the RTCS shall be received and captured by the BOS with an accuracy of 100%.

2.24.12.3. Functional – Posting of Transactions/Trips and Image Processing 2.24.12.3.1. Home Transaction Posting Requirements 2176 The Transponder ID that is programmed in the Transponder, read by the Roadside System and transmitted as the Transponder of record to the BOS shall be systematically associated with a User Account with an accuracy of 100%. 2177 License plate-based transactions/trips that are deemed to be valid customers by the BOS and are posted to User Accounts shall be 100% accurate in the systematic validation and Posting. 2178 Transactions/trips must be posted within four (4) hours of receiving the transaction and image.

2.24.12.3.2. Interoperable Transaction Processing and Reconciliation Requirements 2179 100% of Transponders and license plates identified as belonging to Interoperable Agencies shall be correctly validated by the BOS and transmitted to the Interoperable Agencies and reconciliation files shall be processed with an accuracy of 100%.

2.24.12.3.3. Transmit Registration Hold Requests to DMV 2180 The BOS shall transmit vehicle Registration Hold requests to the DMV for the placement of Registration Hold with an accuracy of 100% within a 24 hour timeframe.

2.24.12.4. Functional - License Plate Extraction 2.24.12.4.1. Image Processing Requirements 2181 100% of images (Violation and video) from the RTCSs shall be obtained by the BOS and reconciled to the transactions/trips with an accuracy of 100%.

2.24.12.5. Functional – Account Replenishment 2.24.12.5.1. Account Auto Replenishment For Accounts configured to automatically replenish when the low-balance threshold is reached, the BOS must automatically attempt to replenish the Account by the primary replenishment method within one (1) hour of reaching the low-balance threshold. This Performance Requirement does not cover automatic replenishment attempts that have failed due to customer issues.

2182 The BOS shall attempt to replenish within one (1) hour of reaching the low-balance threshold.

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2.24.12.6. Functional - USPS Mailed Notifications and System Updates 2.24.12.6.1. Transmission of Information to Print/Mail Service Provider 2183 Customer information shall be transmitted by the BOS to the print/mail Service provider and successfully reconciled with an accuracy of 100%.

2.24.12.7. Lockbox Payment Processing 2.24.12.7.1. Payment Processing Requirements 2184 100% of payment transactions shall be processed and associated with the correct Account (Customer or Violator) by the BOS with an accuracy of 100%.

2.24.12.7.2. Financial Data Processing Requirements 2185 100% of financial data shall be processed and posted to the correct Financial Account by the BOS with an accuracy of 100%.

2.24.12.8. Improper Payment Processing 2186 For every occurrence where customer payments are improperly processed by the BOS, the Contractor shall be subject to a fee adjustment. The adjustment covers errors including as examples, but not limited to:  Over charging (billing) of a customer’s Credit Card; and  Improperly drawing down a customer’s Account causing an improper replenishment.

2.24.12.9. Reports and Records Keeping 2187 The Contractor shall provide adequate monitoring reports and data weekly and/or monthly as Approved by LACMTA. The Contractor shall maintain accurate reports and data and shall supply back-up materials upon LACMTA’s request. 2188 The Contractor shall provide all weekly reports by Monday of the week following the reporting week and all monthly reports within five (5) Business Days of the end of the month. 2189 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 fee adjustment.

2.24.12.10. Preventative Maintenance 2190 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 fee adjustment.

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2.24.12.11. System Support – Time to Repair 2.24.12.11.1. Acknowledgement of All Priority Events The Contractor shall promptly acknowledge all events or failures in accordance with the priority listed below. The Contractor shall utilize an incident management system to record and track System events and failures. 2191 The Contractor shall acknowledge the receipt of Notification of a failure or priority event by the Maintenance personnel, LACMTA, or another Contractor as follows:  within one (1) hour of Notification for a Priority 1 event;  within four (4) hours of Notification for a Priority 2 event and  within twenty four (24) of Notification hours for a Priority 3 event.

2.24.12.11.2. Mean Time to Repair (MTTR) – Priority Failures 2192 The Contractor shall repair failures or priority events as follows:  within eight (8) hours of Notification for a Priority 1 event;  within twenty four (24) hours of Notification for a Priority 2 event and  within five (5) Calendar Days of Notification for a Priority 3 event.

2.24.12.11.3. Acknowledgement and MTTR Adjustments 2193 Priority 1 Acknowledgement Time – The Contractor shall be subject to a fee adjustment to the monthly maintenance fee for every occurrence of a Priority 1 event not acknowledged within the time frame specified in these requirements. 2194 Priority 2 Acknowledgement Time – The Contractor shall be subject to a fee adjustment to the monthly maintenance fee for every occurrence of a Priority 2 event not acknowledged within the time frame specified in these requirements. 2195 Priority 3 Acknowledgement Time – The Contractor shall be subject to a fee adjustment to the monthly maintenance fee for every occurrence of a Priority 3 event not acknowledged within the time frame specified in these requirements. 2196 The Contractor shall meet the MTTR Requirements. This requirement shall be measured for all deployed subsystems and systems, in the time period being reviewed and shall be averaged by priority to determine if the Contractor has met the performance.

2.24.12.12. Cybersecurity and PCI 2197 In addition to any penalties or charges imposed by the Credit Card institutions for PCI non- compliance, the Contractor shall pay any direct damages incurred by LACMTA in addition to any cost of remediation, including customer communication and credit fraud protection for affected customers. This is in addition to any separate remedies provided for in the Contract. 2198 The Contractor shall fully remediate all PCI related deficiencies identified during PCI compliance audits, testing or vulnerability scans within three (3) months. This includes completing the Approved change management process, complete testing and successful placement into production of fixes required to achieve compliance.

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2.24.12.13. Disaster Recovery 2199 The Recovery Point Objective (RPO) shall be in accordance with the Disaster Recovery Plan (DRP), which shall be a maximum time of ten (10) minutes. 2200 The Recovery Time Objective (RTO) shall be in accordance with the DRP, which shall not exceed 24 hours. 2201 The Level of Service (LOS) shall be in accordance with the DRP.

2.24.12.14. Chargeable and Non-Chargeable Failures Chargeable and non-chargeable failures for purposes of evaluating Contractor responsibility for failures and incidents and calculation of performance measures are set forth below.

2202 Non chargeable failures include:  Force majeure, as defined in the Contract;  BOS component failures caused by environmental or operating conditions outside of the requirements of this Statement of Work and Requirements;  Normal operating adjustments as allowed in the maintenance plan, as applicable and  Failures that are verified to be customer or LACMTA user induced. 2203 Chargeable failures cover any failures that are not specifically identified as non-chargeable, including but are not limited to:  A malfunction which prevents a component of the BOS (hardware or software) from performing its designated function, when used and operated under its intended operational and environmental conditions as detailed in this Statement of Work and Requirements;  A malfunction that poses a threat to the safety of the BOS components, customers, employees or others;  An occurrence where data is not successfully transmitted between the RTCS and the BOS; the BOS and Interoperable Agencies; the BOS and external Interfaces; or within the BOS Modules, unless such failure occurred on a device the Contractor is not responsible for;  A failure of equipment or software that allows revenue loss to occur or causes loss of auditability that is not already accounted for as a separate performance failure;  Software anomalies and bugs that affect the performance and operation of the BOS;  Shutdown or unavailability of the BOS unless specifically directed by LACMTA;  Failure to properly register or report a transaction or event;  Failure to electronically send or receive transaction and payment information;  Failure to generate the reports required to report on and reconcile the BOS and  Failure due to Contractor negligence or malfeasance.

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2.24.12.15. Availability and Monthly Fee Adjustments 2204 In addition to the adjustment for availability, the Contractor shall be subject to direct damages for revenue loss incurred by LACMTA during the period of unavailability or due to System malfunction. 2205 All of the fee adjustments in this section are calculated and assessed independently and are not subject to any limitations due to the impacts of or amounts associated with the other adjustments assessed.

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3. CONTRACT DELIVERABLES REQUIREMENTS LIST The following table identifies the Deliverables/Submittals which shall be required for this Project. This table is provided for convenience only; it is the Contractor’s responsibility to meet all requirements.

CDRL CDRL Name ID

1. Baseline Project Management Plan (including Baseline Schedule)

2. Requirements Traceability Matrix

3. Business Rules Document

4. System Detailed Design Documents

5. Software Development Plan

6. Quality Assurance Plan

7. Implementation Plan and Related Documentation

8. Transition Plan and Data Migration Strategy

9. Training Plan

10. Maintenance Plans

11. Disaster Recovery Plan

12. Third-Party Documentation

13. Manuals

14. As-Built Documentation

15. Master Test Plan and Test Procedures

16. Unit Testing Documentation

17. System Integration Testing Documentation

18. User Acceptance Testing Documentation

19. Regression Testing Documentation

20. Full Software Integration Testing Documentation (includes Approval of all associated updated documents: SDDD, Requirements Traceability Matrix and Business Rules documents)

21. Onsite Installation and Commissioning Testing Documentation

22. Operational and Acceptance Testing Documentation

23. Training Materials and Manuals

24. Training Report

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4. ATTACHMENTS 4.1. Definitions and Acronyms The following Terms, as used in this RFP and the Contract, are capitalized throughout the document and shall be defined as follows:

4.1.1. Definitions

Term Definition

Acceptance ApprovalofaPhaseoratestbyLACMTA,basedonmeetingcertainconditions and test requirements, including Approvals.

Acceptance of Services Refers to System Acceptance

Account AUserAccountcreatedbyacustomer,CSRorautomaticallybytheSystemthat includes but is not limited to information, such as an associated license plate, Transponder, customer demographics, and/or vehicle information, as well as, in most cases, associated contact and/or address information.

Account Attribute Account differentiator for reporting and management purposes. Also, different Business Rules and processes may apply based on the Account Attributes.

Account Type An Account designation (e.g., Registered and Unregistered) that governs the Business Rules, parameters and thresholds under which that Account (combined with other Account Attributes) operates.

ActiveAccount ForpurposesofContractorinvoicing,acustomerinitiatedRegisteredAccount (either Transponder-based or non-Transponder based) which had at least one Financial Transaction posted to it during the calendar month. Active Accounts exclude Unregistered Accounts.

Address Validation A third-party business that utilizes postal authorities’ standards to check the Service Provider validity and deliverability of a physical mailing address.

Agent ArepresentativedesignatedtoactbyLACMTAonitsbehalf.

Alert(s/ed/ing) ElectronicNotificationssentbytheSystemtonotifyAuthorizedUsersor Customers of System issues or states that may require their attention.

All-Electronic Tolling Cashless toll collection system where tolls are collected electronically while (AET) vehicles travel through the Toll Zone without stopping.

All-Electronic Tolling A Toll Facility that utilizes AET. (AET) Facility

Anniversary Day/Date The AnniversaryDayis usedin the calculationof anInvoice period.It isbasedon Account Attributes, such as Account Type, Account creation date, date of first transaction, date of initial Invoice or date of last Invoice.

Approve Theterm“Approve”anditsvariations(e.g.,“Approval”or“Approved”),when capitalized in this Contract refer to Acceptance of a process, vendor, document, condition, action or Deliverable in writing by LACMTA. Approval by LACMTA

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Term Definition shall not be construed to mean endorsement or assumption of liability by LACMTA nor shall it relieve the Contractor of its responsibilities under the Contract.

Approved Baseline The Project Implementation Schedule Approved pursuant to the Contract. Project Implementation Schedule

As-BuiltDrawings Documentsandotheritemsthatconstituteacompleteandaccuraterecordof the RTCS as Designed, delivered, installed, Accepted and Approved.

As-Built System Detailed The documents and drawings referred to in System Contractor Statement of Design Document (SDDD) Work and Requirements that reflect the System conditions after System Acceptance.

AuthorizedUser Usingarole-basedlogin,auserwithspecificauthoritytoperformafunction(s) in the System. An Authorized User could be the Contractor, LACMTA user, or a Third-Party Service Provider designated by LACMTA.

Automated License Plate An automated Software process that recognizes license plate characteristics, as Recognition (ALPR) well as the license plate characters which, in this application, extracts the license plate numbers, plate types, and Jurisdictions from the image of the license plate as well as any “specialty plate configurations” for proper identifications with DMV or others.

Automatic Vehicle A system of integrated devices and components that perform the automatic Identification (AVI) recording and reporting of vehicle transactions through electronic media in a toll revenue collection system.

Back Office System (BOS) Hardware, Equipment and Software that in combination support the Back-Office, including customer service and Violation processing activities, provided by the CSC and Violation processing center.

Banking Services Provider A financial institution that provides bank accounts, manages deposits, transfers and withdrawals and provides other services, including but not limited to image archival, armored car and cash management.

BusinessContinuity Continuanceof LACMTAExpressLanesOperationsinthe eventof serious incidents or disasters such that LACMTA is able to recover to an operational state and proceed with Operations quickly and efficiently.

BusinessDay Aweekday,excludingLACMTAobservedHolidays,beginningat12:00:00a.m. and ending at 11:59:59 p.m.

BusinessRules AsetofoperationalandSystemrulestobedeterminedthatdetailhowthe ExpressLanes operate.

California Toll Operators The California Toll Operators Committee (CTOC) is a collaborative organization Committee Agency (CTOC composed of California's toll Facility Operators/owners of which LACMTA is a Agency) member. CTOC is the primary resource for Interoperability and coordination among tolling facilities, and education and advocacy regarding tolling in California.

Case(s) WorkitemsthataretrackedwithinaCasemanagementsystem.

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Term Definition

Certification TheContractor’swrittenverificationandvalidation,withfullsupporting Documentation (including test results where applicable) that the Contractor has completed development of the Deliverable and certified its readiness for Approval, testing or review, as applicable.

Change Control Board The body responsible for planning, controllingandmonitoringApproved changes to the System in which the Contractor shall participate.

Change Notice LACMTA-initiated notification of a requested change.

Chat/WebChat Text-basedcommunicationthatallowsacustomertointeractinreal-timewitha CSR.

CleanAirVehicle AdesignationprovidedbytheCaliforniaAirResourceBoard(CARB)anddecals by the California Department of Motor Vehicles (DMV) which identifies a vehicle as a low emission vehicle which may be privy to discounts and/or use of the carpool or ExpressLanes.

CollectionAgency Athird-partybusinessengagedinthecollectionofdebtsonbehalfofLACMTA for a fee.

Collections Placement A User Account or Violator Account, grouping of unpaid Toll transactions/trips, grouping of unpaid Violation transactions/trips or unpaid Violation Notice(s), placed with a Collection Agency.

Commission ThetermCommissionanditsapprovedvariations(e.g.“Commissioned”and “Commissioning”) when capitalized in this RFP and the Contract means the test that occurs upon completion and Approval of installation that indicates readiness for Operations.

Configurable Functionalityprovidedsuchthatchangestotherelatedthresholds,values, methods, parameters and/or settings shall not require additional Software development and Software testing effort. Verification of the change for this purpose is not considered testing. This same meaning applies to all variations, e.g. Configured.

Conformed Statement of The updated Statement of Work and Requirements as agreed to between Work and Requirements LACMTA and the Contractor, executed as part of the Contract, including any Document (CSWRD) addenda executed during the RFP process. When the term “Statement of Work and Requirements” is referred to in the executed Contract Documents it is referring to the CSWRD, unless otherwise indicated.

ContractCloseout ContractCloseoutshallmeantheFinalSystemAcceptanceandCloseoutforall Phases, including both Planning and Operations, which shall be deemed to have occurred when all of conditions set forth in the Contract in this regard have been met. Also see “Project Closeout.”

Contract Deliverables The document developed and maintained by the Contractor that identifies and Requirements List (CDRL) tracks the status of all Deliverables/Submittals on the Project.

ContractDate ThedateonwhichthisContractcommences.

ContractDocuments The documents forming the Contractincludingall addenda, attachments, exhibits and appendices thereto, any supplemental agreements, Contract

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Term Definition Modifications, and all provisions required by law to be inserted in the Contract, whether actually inserted or not.

ContractModification Modificationinthe Contract executed inwriting made by adding, altering, or omitting a certain part or term.

ContractPrice TheMaximumAmountofmoneypayablebyLACMTAtotheContractorfor completion of the Work, in accordance with the Contract. See also “Maximum Amount.”

ContractTerm ThedurationoftheContract,includinganyauthorizedrenewalsandextensions.

Contractor Theperson,firm,corporationorentityundertakingtheexecutionoftheWork with whom LACMTA has entered into a Contract.

Contractor Project The Contractor’s duly authorized representative designated to manage the Manager Contractor’s performance of the Work in accordance with the Contract.

ContractorProposal TheContractorProposalsubmission(s).

CreditCard Cardissuedbyafinancialcompanygivingtheholderanoptiontoborrowfunds, without the use of PIN. For purposes of this Project, payments and recurring payments may be made with any of the following braded credit cards: American Express, Discover, MasterCard, Visa and debit cards bearing one of these logos. This can include a prepaid card (such as an American Express card, which contains a prepaid balance).

Credit Card Update A third-party vendor that automatically updates customer Credit Card Service Provider information (for example, updating expiration dates on expired cards).

Customer Satisfaction A service provided by a third-party business for Customer Satisfaction Surveys Survey focused on improving customer interactions by measuring customer perceptions of how well the company delivers on the critical business functions.

Customer Satisfaction Third party Subcontractor that performs Customer Satisfaction Surveys. Survey Provider

Customer Service Center The place or places of businesses that provides for all Operations activities (CSC) required by the Contract.

Customer Service Center LACMTA CSC Back Office Hardware and Software provided by a third-party (CSC) Back Office System Contractor to support the customer service, Account management, transaction (BOS) processing and Interfaces to Interoperable Agencies.

Data Warehouse A central repository of integrated data from one or more disparate sources. The (LACMTA provided) Data Warehouse stores current and historical data in accordance with the BOS Statement of Work and Requirements.

Day/Days CalendarDay(s),unlessotherwisespecified.

Deliverable(s) All Documentation and any items of any nature submitted by the Contractor to LACMTA’s Project Manager for review and Approval pursuant to the terms of this Contract. See “Submittal”.

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Term Definition

Design TheprocessandDocumentationandDeliverablesthatdefineandestablishall elements of the System, including but not limited to the architecture, components, Modules, Interfaces and data for the System to satisfy the Requirements and the Contract. Also meant to refer to the completed Design document. See “Design Documentation”.

Design Documentation Documentation, including Deliverables that describe, document and elaborate the Design for review and Approval by LACMTA, including as examples: the Software Development Plan, System Requirements Document, System Detailed Design Document and other materials required to adequately document the System as Designed.

Desktop Environment Workstations, telephony equipment and peripherals provided by the BOS Contractor to support users of the system in the quantities and locations required.

DisasterRecovery Theprocessofre-establishingandmakingavailabletheLACMTARTCSand Operations after an event which renders the System inoperable.

DiscountPlan(s) AUserAccountplanthatprovidesqualifyingcustomersbenefits(typicallyinthe form of discounted tolls) beyond what is otherwise offered by the Account Attributes including rebate programs.

Documentation Material, Submittals and Deliverables that provide official information or evidence that serves as a record.

Dynamic Message Sign The signs installed before all entrances to the ExpressLanes that display the rate (DMS) information, travel times and variable text.

Electronic Document The LACMTA-provided document repository which is used as the master Management System repository for all project documentation. (EDMS)

Email Address Validation A third-party business that provides services to verify the validity of an email Service Provider address.

Enhancements Anychangethatisasignificantincreasetosoftwareorhardwarefunctionalityor performance, including user or customer access and functionality, above that specified in the current System Contractor System Statement of Work and Requirements and Contract.

Equipment See “Hardware”.

Escheatment UnclaimedfundsthataresenttotheStateinaccordancewithcurrentCalifornia law.

EvidencePackage ThesupportingdocumentationsuppliedbytheSystemtosupportLACMTA when a customer is granted an administrative Hearing or is taken to court for non-payment of tolls and applicable fees and a Hearing has been scheduled.

ExcessiveI-Toll AConfigurablethreshold,whichwhenexceeded,initiatesthecreationofaFlag on the License Plate/Transponder, which may result in additional Toll amounts.

ExemptList ListofLicensePlatesthatwillnotbebilled.

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Term Definition

ExpressLanes Agenerictermusedtodescribelaneswithinexistingexpressway,arterial highway facilities or lanes comprising a separate facility where multiple operational strategies, including pricing, may be utilized and actively adjusted as needed for the purpose of achieving pre-defined performance objectives.

ExpressLanes MetroExpressLanesisLACMTA’sbrandfortheexpresslaneswithintheLos Angeles County region. This currently consists of the I-10 and I-110 Express Lanes.

Express Lanes Facility AToll Facilitythatis comprisedof Express Lanes.Inthe case ofthisContract,an Express Lane Facility is I-110, I-10, or future ExpressLanes facilities.

ExtraWork ChangesresultinginadditionsordeletionstothetypeorvalueofServices provided pursuant to this Contract as directed by LACMTA.

FacilityCodeIDs CTOCGroup-issuedcodesformemberagencyfacilities.

FacilityOperators EntitiesusingFasTrakfor non-tollapplications,includingparkingoperators.

FasTrak® California’s trademarked electronic toll system that allows customers to use any toll road, bridge, or express lane in California without stopping to pay.

FasTrak®Flex AtypeofFasTrakTransponderwithaswitchwhichcanbesettoindicatethe number of people in the vehicle (one (1), two (2) or three (3) or more.

FasTrak® Transponder A device required to use the ExpressLanes. Using the Transponder, drivers or their passengers are responsible for declaring the number of people in the vehicle as one (1), two (2) or three (3) or more passengers via a Switch Setting.

Final Acceptance Refers to Final System Acceptance

Final System Acceptance Final System Acceptance of each System will be considered by LACMTA to have occurred, when LACMTA has received and Approved all Project documents, drawings, Software, Interface data, test data, manuals and other Deliverables for the relevant System, and operational and acceptance testing is complete and Approved.

FinancialAccount AsubledgeraccountdesignedtoaggregateFinancialTransactionsrelatedto multiple User Accounts that enables LACMTA to record Financial Transactions in its general ledger system.

Financial Transaction Atoll transaction, replenishment or a financial adjustment. A financial adjustment is any transaction that is not a payment, a toll, a fee or a fine, that changes the balance in a customer’s Account.

FiscalYear TheyearforLACMTA,definedasJuly1throughthesubsequentJune30th.

Flag(s) Amarkthatsignalsaparticularconditionorstatusorthataneventhas occurred. The Flag is said to be set when it is turned on. Flags may be relatedto a specific Account(s) or transaction(s), or may relay information to Authorized Users accessing the Account, or they may direct the System to take some form of action.

ForceMajeure ThecircumstancesasdefinedintheContract,wherebyapartyisexcusedfrom meeting a requirement(s) specified in this Contract.

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Term Definition

Fulfill(ed/ment) TheprocessoffillinganorderforTransponder(s)orotherinventoryitemsand sending the item to the customer.

Go-Live ThedateonwhichliveOperationscommence;whenalltolllocationsontheI- 110 and I-10 have been Commissioned, the Host has been Commissioned, full and correct data transmission to and from the LACMTA CSC Back Office is taking place and the RTCS is in full revenue service, successfully collecting revenue at all toll locations.

Hardware “Hardware”isanall-inclusivetermtomeantheEquipment,Hardware, associated peripherals, associated firmware, electrical and other materials and supplies necessary or furnished by the Contractor to provide Services pursuant to the Contract Documents. Also see “Equipment”.

Hearing AppearanceinfrontofanAdministrativeHearingofficer,inpersonorvia written record, or judge related to an administrative Hearing or civil proceeding.

Holiday(s) DaysthataredesignatedbyLACMTAasHolidaysforpurposesofthisContract.

HostorHostSystem Thecentralcomputersystemusedtoaggregateandpre-processalllane transaction data at the RTCS level.

ImageToll(I-Toll) Initiallyanimage-basedtransactioncreatedatthelanelevel,butwhichis subsequently determined to be associated with a valid Transponder Account and is further processed as such.

Image-Based Transaction A transaction that is originated in the lane, using image capture technology (as opposed to a Transponder-based transaction).

ImplementationPhase The phaseof the Project,which begins atNoticeto Proceedandends atSystem Acceptance, that includes but is not limited to, the System Design, development, installation, pre-Go-Live testing, transition, data migration, Go-Live and Acceptance Testing.

Insufficient Balance A Configurable (possibly negative) Prepaid Account balance level on a pre-paid Threshold Account which triggers processes that can vary.

Interface Asoftwareprogramthatfacilitatesdataexchangefromonecomponentofa system to another or between separate systems and is generally documented in an Interface control document (ICD).

Interoperable A relationship between tolling agencies or entities where their systems are (Interoperability) capable of capturing and transmitting transactions/trips generated on an agency’s roads by customers of the other agency or entity. Generally, requires that Reciprocity agreements between agencies and entities are in place to govern payments and reconciliation.

Interoperable Agency(ies) Entities that have agreed to accept each other’s Transponders and/or license plates, to identify customers and settle payment. In the case of this Contract, such entities will have entered into a Reciprocity agreement which dictates the processes and payment policies, for example CTOC.

ISO18000-6C Non-proprietarywireless(RFID)protocolusedonLACMTAfacilitiesfor communication between the transponder in the vehicle and the roadside toll collection equipment in the lanes.

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Term Definition

I-Toll See “Image Toll”

Jurisdiction (License The governing entity, such as state or country that controls the issuing of a Plate) particular vehicle license plate and provides registered vehicle owner information.

KeyTeamPersonnel Staffdesignatedas“key”intheLACMTABOSRFP,subjecttotheApprovalsand conditions set forth therein and in the Contract.

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

LACMTA Operations See “Customer Service Center”. Center

Lockbox AserviceofferedbyaThird-Partytocompaniesinwhichthecompanyreceives payments by mail to a post office box and the bank picks up the payments several times a day, deposits them into the company's account, and notifies the company of the deposit.

LockboxExceptions ItemsreceivedbytheLockboxthatcan’tbepostedtoanAccountbecauseofthe absence of information or a discrepancy in the information required to automatically apply the payment.

Lockbox Service Provider Provider of remittance processing services via a post office box that is accessible by a bank.

Los Angeles County Los Angeles County Metropolitan Transportation Authority, the agency Metropolitan responsible for this procurement and Contract. Transportation Authority (LACMTA)

Maintenance Services performed by the Contractor related to the maintenance of BOS operations. Also see “Maintenance Services" or "Maintenance and Software Support Services."

Maintenance and Services to be performed by the Contractor related to the maintenance of the Software Support software. Also see “Maintenance.” Services

Maintenance Online An automated, fully integrated System that monitors the status of operational Management System Equipment in real time, records Equipment and process failures, notifies (MOMS) Maintenance personnel, generates and tracks work orders, maintains preventative Maintenance schedules, generates repair history, and maintains parts inventory and asset management.

Maintenance Services The Maintenance and related Services required to be furnished by the Contractor, pursuant to the Contract Documents. See Operations and Maintenance Phase.

Master TestPlan (MTP) Acomprehensive testing plan that describes the different test phases, the Contractor’s testing concepts and approach and the administration of each test.

MaximumAmount Thehighestdollaramount,nottoexceed,thatContractorshallbepaidforWork performed under this Contract, including any potential Contract Modifications or

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Term Definition Task Orders as further set forth in the Contract. See “Contract Price”.

MaximumToll Thehighestallowablechargeabletollforthetriptakeninaccordancewiththe Business Rules. May be abbreviated as Max Toll.

Merchant Service The third-party vendor(s) who provide the Services of the payment processor Provider and acquiring bank.

Metro Area Network Network between the vault/Hub LANs and the WAN, or the fiber network that (MAN) interconnects individual roadside networks to data centers (fiber from Express Lane network to TMC).

MetroExpressLanes TheExpressLanesthatoperateontheI-10andI-110andareusedbyqualified HOV users and FasTrak customers.

Module Agroupoffunctionsdevelopedsimultaneouslyforspecifictasks,suchasa reporting Module, a security Module or a maintenance Module.

Money Services Provider A retail location that provides customers the ability to add funds to their Account, pay invoices or purchase a FasTrak Transponder.

Notice AformalcommunicationaddressinglegalandContractualmatters,not applicable to daily Implementation and Operation and Maintenance communications.

Notice of Delinquent Toll See “Violation Notice.” Evasion Violation

Notice of Toll Evasion See “Violation Notice.” Violation

Notice to Proceed (NTP) The written authorization by LACMTA designating the date and time for the Contractor to commence Work.

Notification(s) NotificationorcommunicationviaallthemethodssupportedbytheBOS between LACMTA and customers, as set forth in the Statement of Work and Requirements.

Occupancy Detection Lane-based equipment which captures and analyzes and image of the passenger System compartment to determine the number of occupants. This result is compared with the number of occupants declared by the customer.

Open Road Tolling (ORT) A system that electronically collects tolls while vehicles pass through the tolling zone at highway speeds. Can operate at toll locations that also have conventional toll lanes. See "All Electronic Tolling."

Operational Alert Role-based Alert sent to LACMTA operational personnel, notifying them of a BOS Notification condition that requires their attention or an issue that they should be aware of.

Operational Readiness Demonstration conducted by the Contractor which will prove that the Demonstration Contractor and the Operation are ready to Go-Live.

Operations Servicesperformedsuchastransactionprocessingandimagereviewtobe furnished under this Contract.

Operations Contractor The Contractor responsible for LACMTA CSC Back OfficeOperations.

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Term Definition

Operations Impacting Any failure in the System that has the potential to immediately impact revenue, Failure data, security, the ability of the Contractor to perform customer service, the ability of customers to use the System and/or represent a hazard to users.

Operations and The Phase beginning upon Go-Live through the end of the Contract. Maintenance Phase

Optical Character A Software process that automatically recognizes license plate characters Recognition (OCR) without requiring human intervention and which, in this application, extracts and provides the license plate numbers and Jurisdiction from the image of the license plate.

OrderofPrecedence TheorderinwhichContractdocumentscontrolintheeventofaconflictor ambiguity in such documents.

PaymentGateway AnonlinesystemforprocessingCreditCardorotherpaymenttransactionsin real-time; facilitates the coordination of communication between a merchant and a Merchant Service Provider.

Performance The required level of performance standards for this Contract. Requirements

PervasiveDefect ApersistentorreoccurringissueorproblemasfurthersetforthintheContract.

Plan(s) ContractorDeliverablethatidentifiesapproachtoaparticularaspectofthe Work submitted for Approval, including but not limited to Transition, Training, Project Management, Staffing, Maintenance, System Support, Disaster Recovery, and Business Continuity Plans.

Plate CorrectionList Alistof LicensePlatenumbersmaintainedby LACMTAthathave beenidentified as problematic for Image-Based Transactions and that require additional review and verification.

Plaza See "Toll Plaza."

PositivePay Acash-managementserviceemployedtodetercheckfraud.Aprocessbywhich checks issued by an entity are compared with those presented for payment. Any check considered to be potentially fraudulent is sent back to the issuer for examination.

Posting TherecordingofatransactiononanAccountintheBOS.

Posting Date The date of Posting to an Account.

Preliminary Contract A proposed Contract Modification that has not yet been Approved. Modifications

PriceProposal ContractorpricingprovidedinresponsetothisRFPandinaccordancewiththe instructions provided herein.

Print/Mail Service Third Party Service Provider who, in whole or in part, handle the printing and Provider mailing of customer-related correspondence for LACMTA.

Priority Rankingandassignmentofimportanceusedintheidentification,monitoring, correction and reporting of System problems, bugs, and failures.

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Term Definition

Project ThetotalWorksetforthintheStatementofWorkandRequirementsandas further set forth and detailed in the Contract Documents.

ProjectAcceptance ProjectAcceptanceshallmeantheFinalSystemAcceptanceforallPhases, including both Implementation and Maintenance, which shall be deemed to have occurred when all of conditions set forth in the Contract in this regard have been met.

ProjectCloseout See“ContractCloseout”.

Project Implementation The detailed schedule developed and maintained by the Contractor that lists all Schedule tasks related to the Design, development, testing, installation and deployment of the System. The schedule is subject to Approval by LACMTA. Upon Approval it becomes the Approved Baseline Project Implementation Schedule pursuant to the Contract.

Project Management Plan Approved document used to guide both project execution and project control. (PMP)

ProjectManager LACMTA’sdulyauthorizedrepresentativedesignatedtomanagethisWorkand Contract.

ProjectSchedule ThedetailedscheduledevelopedandmaintainedbytheContractorthatlistsall tasks related to the Implementation Phase. The schedule is subject to Approval by LACMTA. Upon Approval it becomes the Approved Baseline Schedule.

Proposal Contractor’sentiresubmissioninresponsetothisRFP.

Proposer An entity that has submitted a Proposal on this RFP.

Pursuable A fully formed Transaction/Trip (including completed image processing, if Transaction/Trip applicable) transmitted from the RTCS to the BOS. (Transponder-Based and Image-Based)

Quality Assurance (QA) A process which occurs after the final Workproduct is complete, to ensure the Work was completed as expected and required.

QualityControl(QC) Aprocesswhichoccursbeforeafinalproductisproducedorpresented,to ensure the Work product is accurate.

Reciprocity Themutualacceptanceandpaymentoftolltransactions/tripsbetweenLACMTA and other Interoperable Agencies and entities.

RegisteredAccount Accounts thatare proactivelyestablishedbythe customerandare typically associated with a valid Transponder(s).

Registered Owner of The party legally responsible for the payment of any tolls in accordance with Vehicle (ROV) applicable state statutes and regulations.

Registration Hold, Denial, The ability to prevent a vehicle from being registered, by contacting CA DMV or or Suspension out-of-state DMV and notifying them to place a hold on a vehicle being able to renew their registration.

Reissue (related to Sending a piece of correspondence that is directly related to a previous piece of Correspondence) correspondence, but is not an exact duplicate, such as a Notice that is sent to a

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Term Definition new forwarding address and with a new due date, which may contain new transactions/trips.

Rental Car Service An organization with a large number of vehicles managed by a car rental Provider company and/or third-party provider. These rental vehicles may have Transponders or use registered license plate information for vehicle identification purposes.

RepeatViolator Anyregisteredowner forwhommorethanfiveViolationshavebeenissuedin any calendar month within the preceding 12-month period.

Report on Compliance A form that must be completed by all Level 2 merchants undergoing a PCI DSS (ROC) audit.

Requirements EachoftherequiredWorkactivitiesinnumberedformthattheContractorshall perform, including but not limited to technical, functional, Project management, Operations and Maintenance and Performance.

Requirements The structured collection of information that summarizes the requirements of Traceability Matrix (RTM) the RTCS submitted by the Contractor for Approval by LACMTA and that serves to track completion of Design, development and testing.

Responsibility Matrix The matrix thatdefines respective responsibilities of the Contract parties and other interfacing third-party contractors.

Retailers AretaillocationthatsellsLACMTATranspondersandpossiblyotherLACMTA inventory items.

Returned Payment Fee Fee charged whenabank account lacks the necessaryfunds to honor acheck.

RevenueDay The24-hourtollcollectiondayexpressedfrom00:00:00a.m.to11:59:59p.m.in military time unless otherwise Approved during Design.

RevenueMonth ThecollectionofRevenueDayscorrespondingtoacalendarmonth.

RevenueYear ThecollectionofRevenueMonthscorrespondingtoaYear.

Roadside Toll Collection A LACMTA tolled facility, current or future, including the lane system and System (RTCS) hardware and the Roadway Support System and all associated systems, hardware and components. The RTCS will communicate with the BOS for purposes of toll collection.

Roadway Support The subsystems that support the Roadside Toll Collection System typically Systems (RSS) associated with a back office component including the Toll Host System, Central Image Servers (if provided), Facility Server(s), DVAS and the MOMS.

ROV Lookup[s]/ROV The process of acquiring information, including but not limited to the name and Lookup Source mailing address of the registered owner of a vehicle.

Statement of Work and The Contract Document that captures and defines the Work activities, Submittals Requirements and Deliverables and Performance the Contractor must execute in performance of the Work.

SecurityCode Thecardverificationvalue(CVV)numberthatisprintedontheCreditCardthat helps verify its legitimacy.

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Term Definition

Self-Service Mobile The mobile application that allows customers to create and manage Accounts, Application including adding funds to an Account or paying invoices through an application installed on their mobile device, such as, iPhone, Android phone or Windows Mobile phone.

Self-Service Mobile The mobile version of the website that allows a customer to create and manage Website their LACMTA FasTrak Account, including adding funds to their Account or paying Invoices via Web browser on their mobile device.

Self-ServiceWebsite The website thatallows acustomer tocreate andmanage their LACMTAFasTrak Account, including adding funds to their Account or making payments.

Server Acomputerprovidingsharedresources,suchasfilesorprinters,toanetwork.A computer, process, or subsystem that provides a well-defined service to client processes.

Services AllContractoractivitiesrequiredbythisContract.Alsosee“Work”.

SFTP SecureFileTransferProtocol(SFTP)isasecureversionofFileTransferProtocol (FTP), which facilitates data access and data transfer.

Site(s) AnyofthelocationswhereServicesunderthisContractareperformed,for example the Customer Service Center Site.

SkipTrace Theprocessbywhichalternativecontactinformationisgatheredforacustomer.

Software Allcomputerprograms,media,procedures,rulesandassociatedDocumentation pertaining to the control and operation of the data processing and data storage for the System. Software includes all associated features and functions described in the Statement of Work and Requirements, including all Contract Modifications, updates, derivative works, Enhancements, modifications or Upgrades thereto, and all error corrections, patches and bug fixes provided by the Contractor and which is made part of the System, as well as all related or ancillary data files, Modules, libraries, tutorial and demonstration programs, and other components thereof, all source and object code, firmware and all Documentation.

State TheStateofCalifornia.

Statement PeriodicsummaryofUserAccountactivity.

Status(Account) ThelifecyclestageofanAccountatagivenpointintime,suchasactiveor closed.

StrongEncryption Cryptographybasedonindustry-testedandacceptedalgorithms,alongwith strong key lengths and proper key-management practices. A method to protect data, which includes both encryption (which is reversible) and hashing (which is not reversible, or “one way”).

Subcontractor Anyperson,firmorcorporation,otherthantheContractor’semployees,who contracts to furnish labor, or labor and materials, at the Site(s) or in connection with the Services, whether directly or indirectly, on the Contractor’s behalf and whether or not in privity with the Contractor.

Submittal See “Deliverable”.

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Term Definition

Supplier Anyperson,firm,orcorporationwhocontractstofurnishmaterials,equipment, or supplies for incorporation in or in connection with the Services.

System The Software and components including firmware, Hardware, Equipment, components, subcomponents, furniture and fixtures provided, procured, furnished and installed under this Contract to meet the Requirements of the System, as further set forth in the Contract Documents.

SystemAcceptance Acompletionmilestone. Upon System Acceptance, the Operations and Maintenance Phase begins.

System Detail Design Document Deliverable that includes but is not limited to the defined Document (SDDD) architecture, components, Interfaces, Design and functionality for the RTCS to satisfy applicable Requirements, which is submitted by the Contractor for Approval by LACMTA.

SystemMaintenance Partof theContractor-providedsupportof theHardwareSystems and System Software during the Operations and Maintenance Phase.

TaskOrder LACMTA’swrittenauthorizationtoperformWorkpursuanttotheContract.

Third-Party Service Entities which have a relationship with LACMTA ExpressLanes and the Providers and Business Contractor to perform work and/or request that work be performed, such as Partners collection companies

Title21 Caltransdevelopedopencompatibilityspecificationsforatwo-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”.

Tokenization Theprocessofreplacingsensitivedatawithuniqueidentificationsymbolsthat retain all the essential information about the data without compromising its security. This method is designed to eliminate the need to store Credit Card numbers within the System database therefore reducing risks and efforts for PCI Compliance.

TollFacility Acollectionofone(1)ormoreTollingLocationswithinlimitsofaroadwayor bridge or tunnel.

TollHostSystem ThecentralcomputerSystemthatcontrolsandmanagesthedatatoandfrom the lanes and which Interfaces with the existing LACMTA CSC Back Office and along with the other Roadway Support System components, also provides support functionality such as Maintenance Online Management System (MOMS) and Digital Video Audit System (DVAS) functionality.

TollPlaza(Plaza) ATollcollectionpointlocatedonatolledfacility.

TollZone AsingleTollingLocationcoveringonedirectionoftraffic.

TollingLocation OneormoreTollZoneslocatedincloseproximitycoveringtollinginopposite directions of traffic.

TransactionDate Inthecaseofatolltransaction,thedatewhenthevehicletraveledthroughthe Tolling Location and a Transponder-based transaction/trip or image-based transaction/trip was generated. In the case of a payment or other transaction,

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Term Definition the date the transaction was posted to LACMTA.

Transaction/Trip AtransactionthatisoriginatedinthelaneusingTranspondertechnology(as opposed to an Image-Based Transaction). Variations include a CTOC or Interoperable Transponder-Based Transaction, which is originated from a CTOC or Interoperable Transponder and a LACMTA Transponder-Based Transaction, which is originated from a LACMTA Transponder.

TransitionPlan ThePlantotransitionthecurrentLACMTAback-officestotheBOS,in accordance with the Statement of Work and Requirements.

Transponder In-vehicleradiofrequencydevicereadbytheRTCSRFantenna(s)andreader Equipment in in a toll lane.

Transponder Status List List or file, maintained by LACMTA, of Transponders issued by LACMTA and (TSL) other CTOC agencies, which denotes the status and class of each Transponder issued.

Transponder Switch LACMTA changes a different toll depending on the number of people in the Setting vehicle so methods have been developed for the customer to select the correct number of occupants. This method can utilize a physical switch as on the FasTrak Flex Transponder or the notification can be electronic for Transponders which do not have a switch.

Transponder Switch A condition which occurs when the number of occupants declared by the Setting Error customer is different from the number of occupants detected by the RTCS Occupancy Detection System.

Occupancy Detection The RTCS subsystem which detects the number of people in the vehicle. System

Truth(ed/ing) Confirmingalicenseplateimageplatenumber,Jurisdiction,platetype,Vehicle Class and vehicle type through a combination of manual image review and electronic image processing so that subsequent images can be automatically processed with high confidence.

TTY Aspecialdevice(teletypewriter)thatletspeoplewhoaredeaf,hardofhearing, or speech-impaired use the telephone to communicate, by allowing them to type text messages. A TTY is required at both ends of the conversation in order to communicate.

UnregisteredAccount Created usingthe information provided by the DMV or RegisteredOwner Lookup Provider. May include more than one (1) vehicle if the ROV information is an exact match.

Updates Generally,referstoapatchreleasedforexistingSoftwaretofixanyidentified bugs, errors or security issues; may also include providing support for new Hardware, as well as performance tuning.

Upgrade Generally,referstotransformingexistingSoftwaretoanewversion;provides new features and functionalities rather than fixing existing bugs, errors or security issues but does not include significant new functionality.

UserAccount ASystemAccountaccessedbyausernameandpassword(orothermeansof authentication). A collection of information associated with a particular user of

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Term Definition the System which defines functional, informational and security access levels.

VehicleClass Ameansofidentifyingdifferenttypesofvehiclesforthepurposeofcharging different tolls and applicable fees, based on applicable Account Types and/or Transponder types.

Violation Anunpaidtolltoadelinquentstatuswhenacustomerhasnotmadepaymentof the toll due in the time and manner and at the place required pursuant to applicable laws, rules and regulations and LACMTA Business Rules and toll rate schedule in effect.

ViolationNotice ThenotificationsenttoaViolatorasdeterminedbytheBusinessRulesand Approved Design, in accordance with applicable laws, rules and regulations including but not limited to PAL 2985, the Notice of Delinquency, before a Notice of Toll Evasion is sent.

Violator AcustomerwhohasoneormoreViolations.

Work See “Services”.

Write-Off Acancellationofacustomerbalancedueasaresultofadebtbeingdeemed uncollectible or unworthy of pursuit. Items are eligible for Write-Off based on criteria and eligibility to be determined by LACMTA.

4.1.2. Acronyms The following Acronyms shall have the following meanings:

Acronym Meaning

ACD Automated Call Distributor

ACK Acknowledgement Files

AD ActiveDirectory

AET All-ElectronicTolling

ALPR AutomaticLicensePlateRecognition

ANI Automatic Number Identification

API Application Program Interface

ASV PCIApprovedScanningVendor

AVC Automatic Vehicle Classification

AVDC AutomaticVehicleDetectionandClassification

AVI Automatic Vehicle Identification

BAFO(s) BestandFinalOffer(s)

BCP BusinessContinuityPlan

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Acronym Meaning

BOM BillofMaterials

BOS Back Office System

BR BusinessRules

CAD ComputerAidedDesign

Caltrans CaliforniaDepartmentofTransportation

CAP CorrectiveActionPlan

CASS™ Coding Accuracy Support System

CCB ChangeControlBoard

CCTV Closed-CircuitTelevisionCamera

CDRL Contract Deliverables Requirements List

CIS Compliance Information System

CMDB Configuration Management Database

CMS Changeable Message Sign

COTS Commercial Off-the-Shelf

CPU CentralProcessingUnit

CRM Customer Relationship Management

CSC Customer Service Center

CSR Customer Service Representative

CSWRD Conformed Statement of Work and Requirements Document

CTOC CaliforniaTollOperatorsCommittee

DBA Database Administrator

DBE DisadvantagedBusinessEnterprise

DMV CaliforniaDepartmentofMotorVehicles

DR DisasterRecovery

DRP DisasterRecoveryPlan

DVAS DigitalVideoAuditSystem

EMI Electromagnetic Interference

EMV Europay, MasterCard and Visa,

FAT Factory Acceptance Test

FCC Federal Communications Commission

FHWA FederalHighwayAdministration

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Acronym Meaning

FIFO FirstinFirstOut

FTP File Transfer Protocol

GAAP General Accepted Accounting Principles

GASB Government Accounting Standards Board

GP General Purpose Lane

GSA Government Services Administration

GUI GraphicalUserInterface

HOT High Occupancy Toll Lane

HOV High Occupancy Vehicle

HTML Hypertext Transfer Markup Language

HTTPS Hypertext Transfer Protocol Secure

HVAC HeatingVentilationandAirConditioning

ICD Interface Control Document

ICLP Interoperable Customer License Plate

ICPS Image Capture and Processing System

ID Identification

IEC International Electrotechnical Commission

IEEE Institute of Electrical and Electronics Engineers

IP Internet Protocol

IRS Internal Revenue Service

ISA Internal Security Assessor

ISO International Standards Organization

ISP Internet Service Provider

IT Information Technology

I-Toll Image Toll

ITS Intelligent Transportation Systems

IVR InteractiveVoiceResponse

KPIs Key Performance Indicators

LACMTA LosAngelesCountyMetropolitanTransportationAuthority

LAN LocalAreaNetwork

LED Light Emitting Diode

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Acronym Meaning

LIFO LastinFirstOut

LOS LevelofService

MAP-21 MovingAheadforProgressinthe21st Century Act

MBE/WBE MinorityBusinessEnterprise/WomenBasedEnterprise

MICR Magnetic Ink Character Recognition line

MOMS MaintenanceOnlineManagementSystem

MOT MaintenanceofTraffic

MS Microsoft

MTBF Mean Time Between Failures

MTP Master Test Plan

MUTCD ManualonUniformTrafficControlDevices

NACK Negative Acknowledgement Files

NCOA NationalChangeofAddress

NEC NationalElectric(al)Code

NEMA NationalElectricalManufacturersAssociation

NFC Near-Field Communication

NSF Insufficient funds

NTP Notice to Proceed

OCR Optical Character Recognition

ODS OccupancyDetectionSystem

OIT OnsiteInstallationTest

OJT On-the-JobTraining

OLAP Online Analytical Processing

ORT Open Road Tolling

OSHA OccupationalSafetyandHealthAdministration

PA-DSS PaymentApplicationDataSecurityStandards

PBX Private Branch Exchange

PCI PaymentCardIndustry

PCI-DSS PaymentCardIndustryDataSecurityStandards

PDF Portable Document Format

PII Personally Identifiable Information

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Acronym Meaning

PIN Personal Identification Number

PMBOK ProjectManagementBodyofKnowledge

PMI ProjectManagementInstitute

PMMS PerformanceManagementandMonitoringSystem

PMP ProjectManagementPlan

POS Point-of-Sale

PPA PrepaidVideoAccount

PTS Personal Identification Number Transaction Security

PTZ Pan-Tilt-Zoom

QA QualityAssurance

QC Quality Control

QSA QualifiedSecurityAssessor

RDBMS Relational Database Management System

RFP RequestforProposal

RMA ReturnMerchandiseAuthorizationnumber

ROC Report on Compliance

ROI Region of Interest

ROV RegisteredOwnerofVehicle

RPO Recovery Point Objective

RSS Roadway Support System

RTCS RoadsideTollCollectionSystem

RTF Rich Text Format

RTM Requirements Traceability Matrix

RTO Recovery Time Objective

SAN StorageAreaNetwork

SAS Statement on Auditing Standards

SDDD System Detailed Design Document

SDLC Software Development Life Cycle

SDP Software Development Plan

SFTP Secure File Transfer Protocol

SIP SessionInitiationProtocol

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Acronym Meaning

SMS ShortMessageService

SOV Single Occupancy Vehicle

SOW Statement of Work

SRD System Requirements Documents

SRR System Requirements Review

SSAE-16 Statement on Standards for Attestation Engagements (SSAE) No. 16, Reporting on Controls at a Service Organization

SSOP System Standard Operating Procedures

TCP/IP TransmissionControlProtocol/InternetProtocol

TMC Transportation Management Center

TSL Transponder Status List

TTY Teletype Writer

UIL User Identification Lists

UL Underwriter’s Laboratory

UO UnusualOccurrence

UPS Uninterruptible Power Supply

URL UniformResourceLocator

USPS United States Postal Service

VEL ViolationEnforcementList

VLAN VirtualLocalAreaNetwork

VPN VirtualPrivateNetwork

VSR Vehicle Signature Recognition

VTMS Variable Toll Message Signs

W3C WorldWideWebConsortium

WAN WideAreaNetwork

WBS WorkBreakdownStructure

WIC Walk-inCenter

XML Extensible Markup Language

Attachments noted below can be found in the EXHIBIT 11 - ATTACHMENTS folder.

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4.2. Attachment 1: Interface Control Documents

4.3. Attachment 2: ExpressLanes Privacy Policy

4.4. Attachment 3: Estimated Volumes

4.5. Attachment 4: BOS/CSC Operations/RTCS Contractor Responsibility Matrix

4.6. Attachment 5: Current ExpressLanes Business Rules

4.7. Attachment 6: Requirements Conformance Matrix

4.8. Attachment 7: Anticipated Timeline for Metro ExpressLanes Procurements

4.9. Attachment 8: LACMTA Information Security Manual

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