NEW YORK STATE THRUWAY AUTHORITY Agreement for Personal Services ACS STATE LOCAL SOLUTIONS, INC. is AGREEMENT (hereinafter ?Agreement?) is made this Wk day of 2007, by and between the New York State Thruway Authority (?Authority?), a public corporation organized and existing pursuant to Article 2, Title 9 of the New York State Public Authorities Law, as amended, whose principal office is located at 200 Southern Boulevard, Albany, New York 12209 (Mailing Address: PO. Box 189, Albany, New York 12201?0189), and ACS State Local Solutions, Inc. (hereinafter ?Contractor?), a corporation duly organized and existing under the laws of the State of New York, having its principal office at 1800 Street NW, Washington, DC 20036. WITNESSETH: WHEREAS, the Authority is statutorily responsible for financing, constructing, reconstructing, improving, developing, maintaining and operating a 64l-mile superhighway system known as the Thruway; and WHEREAS, in furtherance of these responsibilities, the Authority operates an electronic toll collection system known as E?ZPass; and WHEREAS, the Triborough Bridge and Tunnel Authority the Port Authority of New York New Jersey and the New York State Bridge Authority also offer E?ZPass to their customers; and WHEREAS, the Authority, TBTA, PANYNJ and NYSBA collectively operate the ZPass New York Customer Service Center which performs tag distribution, account maintenance, payment processing, call and walk?in center operations, and violations processing for the E?ZPass system throughout New York; and WHEREAS, the Authority is in need of services to operate the and WHEREAS, in conformance with the Authority?s Procurement Policy, the Authority has determined that it is more beneficial for such services to be contracted for than performed by employees of the Authority; and WHEREAS, on June 17, 2005, the TBTA issued a joint Request for Proposals on behalf of the Authority, TBTA, PANYNJ and NYSBA for E?ZPass services, and Contractor responded to such RFP by the due date of September 26, 2005; and WHEREAS, after engaging in a competitive selection process, the Authority, TBTA, PANYNJ and NYSBA chose Contractor to perform E-ZPass services and Contractor is ready, willin and able to perform such services; and WHEREAS, on January 17, 2007 at Meeting No. 656, the Authority Board adopted Resolution No. 5571, which authorizes the Authority?s Executive Director to enter into an Agreement with Contractor to perform the aforementioned services. NOW, THEREFORE, the parties hereto, for the consideration hereinafter named, do agree as follows: CHAPTER 1 - GENERAL 1-1 ARTICLE 1.01 DEFINITIONS 1-1 CHAPTER 2 - TIME AND MANNER OF PERFORMANCE 2-1 ARTICLE 2.01 SERVICES REQUIRED 2-1 ARTICLE 2.02 CONTRACT TERM 2?1 ARTICLE 2.03 RESPONSIBILITY FOR OPERATIONAL POLICY 2?1 ARTICLE 2.04 GENERAL 2-1 ARTICLE 2.05 HARMONY 2-2 ARTICLE 2.06 VIOLATIONS PROCESSING 2-3 ARTICLE 2.07 USE OF SERVICE 2-3 ARTICLE 2.08 MARKETING CONSENTS AND RELEASES 2?3 ARTICLE 2.09 SUB CONTRACTUAL RELATIONS 2-4 ARTICLE 2.10 EXTENSION OF TIME 2?4 ARTICLE 2.11 AUTHORITY OF PROJECT MANAGER 2-6 ARTICLE 2.12 EXTRA WORK 2-6 ARTICLE 2.13 EXTRA WORK PROCEDURES 2?7 ARTICLE 2.14 TERMINATION FOR CONVENIENCE BY THE OF WORK 2?7 ARTICLE 2.15 ORDER OF PRECEDENCE 2-9 CHAPTER 3 - COMPENSATION FOR SERVICES 3?1 ARTICLE 3.01 COMPENSATION 3?1 ARTICLE 3.02 PRICING ADJUSTMENTS FOR NON-COMPLIANCE WITH PERFORMANCE STANDARDS 3?1 ARTICLE 3.03 METHOD AND TIMES OF PAYMENT 3?1 ARTICLE 3.04 TAXES 3~1 ARTICLE 3.05 COMPENSATION FOR EXTRA WORK 3-2 ARTICLE 3 .06 PROMPT PAYIVIENT 3-2 ARTICLE 3.07 MONIES 3?2 CHAPTER 4 - SOFTWARE AND SYSTEM IMPLEMENTATION 4-1 ARTICLE 4.01 SOFTWARE LICENSES 4-1 ARTICLE 4.02 SCOPE OF SOFTWARE LICENSES 4?1 ARTICLE 4.03 SOFTWARE OWNERSHIP 4-2 ARTICLE 4.04 SYSTEM ACCEPTANCE 4?2 ARTICLE 4.05 ESCROW AGREEMENT 4-3 CHAPTER 5 - INSURANCE 5?1 ARTICLE 5.01 INSURANCE 5?1 CHAPTER 6 - PROPRIETARY RIGHTS, CONFIDENTIALITY, ETHICS AND REQUIRED CERTIFICATIONS 6?1 ARTICLE 6.01 PROPRIETARY RIGHTS 6-1 ARTICLE 6.02 CONTRACTOR ASSISTANCE 6?1 ARTICLE 6.03 CONFIDENTIALITY 6-2 ARTICLE 6.04 PROCUREMENT OF AGREEMENT 6-3 ARTICLE 6.05 CONFLICT OF INTEREST 6-4 ARTICLE 6.06 ETHICS 6-4 CHAPTER 7 - RISK OF LOSS, LIABILITY, INDEMNIFICATION AND WARRANTIES 7?1 ARTICLE 7.01 RISK OF LOSS 7-1 ARTICLE 7.02 LIABILITY AND INDEMNIFICATION 7-1 ARTICLE 7.03 PATENT AND COPYRIGHT INDEMNIFICATION 7?2 ARTICLE 7.04 ADDITIONAL WARRANTIES 7?4 ARTICLE 7.05 CORPORATE REPRESENTATIONS 7-4 ARTICLE 7.06 FINANCIAL INFORMATION 7-5 CHAPTER 8 - DEFAULT, DAMAGES AND REMEDIES 8?1 ARTICLE 8.01 EVENT OF DEFAULT 8?1 ARTICLE 8.02 NOTICE OF DEFAULT - CHANCE TO CURE, TERMINATION 8?3 ARTICLE 8.03 REMEDIES IN THE EVENT OF DEFAULT 8?3 ARTICLE 8.04 ACTUAL DAMAGES 8?4 ARTICLE 8.05 THE AUTHORITY MAY AVAIL IT SELF OF ALL REMEDIES 8?5 ARTICLE 8.06 NO DAMAGES FOR DELAY 8-5 ARTICLE 8.07 FORCE MAJURE 8?5 ARTICLE 8.08 SET-OFF RIGHTS 8-5 CHAPTER 9 - OTHER STATUTORY REQUIREMENTS 9-1 ARTICLE 9.01 WAGE AND HOURS PROVISIONS 9-1 ARTICLE 9.02 INTERNATIONAL BOYCOTT PROHIBITION 9-1 ARTICLE 9.03 NON -COLLUSIVE BIDDING CERTIFICATION 9-1 ARTICLE 9.04 IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION .9-1 ARTICLE 9.05 NON DISCRIMINATION REQUIREMENTS 9?2 ARTICLE 9.06 EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN 9-3 ARTICLE 9.07 MACBRIDE FAIR EMPLOYMENT PRINCIPLES 9?3 ARTICLE 9.08 PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS 9-4 ARTICLE 9.09 RECIPROCITY AND SANCTIONS PROVISIONS 9?4 ARTICLE 9.10 COMPENSATION AND DISABILITY BENEFITS ARTICLE 9.11 PURCHASES OF APPAREL 9-5 CHAPTER 10 - MISCELLANEOUS 10-1 ARTICLE 10.01 INDEPENDENT CONTRACTOR 10-1 ARTICLE 10.02 GOVERNING LAW 10-1 ARTICLE 10.03 NON-ASSIGNMENT 10-1 ARTICLE 10.04 SERVICE OF PROCESS 10-1 ARTICLE 10.05 NO THIRD PARTY LIABILITY 10-1 ARTICLE 10.06 ENVIRONMENTAL REVIEW 10?1 ARTICLE 10.07 NO ARBITRATION. 10-2 ARTICLE 10.08 RECORDS 10-2 ARTICLE 10.09 PRESS RELEASE OR OTHER PUBLIC COMMUNICATION 10-2 ARTICLE 10.10 ANTITRUST ASSIGNMENT 10-3 ARTICLE 10.11 MOST FAVORED CUSTOMER 10-3 ARTICLE 10.12 SUCCESSION 10-3 ARTICLE 10.13 ARTICLE 10.14 ARTICLE 11.06 ARTICLE 11.07 ARTICLE 11.08 ARTICLE 11.09 ARTICLE 11.10 ARTICLE 11.11 ARTICLE 11.12 ARTICLE 11.13 ARTICLE 11.14 ARTICLE 11.15 ARTICLE 11.16 ARTICLE 11.17 ARTICLE 1 1. 18 NO WAIVER OF PROVISIONS 10?4 SEVERABILITY 10-4 ARTICLE 10.15 ENTIRE AGREEMENT 10-4 ARTICLE 10.16 SURVIVAL OF TERMS 10-4 ARTICLE 10.17 NOTICES 10-4 ARTICLE 10.18 APPENDICES INCORPORATED BY REFERENCE 10-5 CHAPTER 11 - REQUIREMENT 11-1 ARTICLE 11.01 NEW YORK STATE LAW AND REGULATIONS 11?1 ARTICLE 11.02 CONTRACT PROVISIONS 11?1 ARTICLE 11.03 GOALS 11?1 ARTICLE 11.04 OBJECTIONS TO GOALS: DISPROPORTIONATE ADVERSE INIPACT OR INADEQUATE COMPETITION 11-2 ARTICLE 1 1.05 STATE DIRECTORY 11-2 BE UTILIZATON PLAN 1 1-3 WAIVERS 1 1-5 GOOD FAITH EFFORTS 1 1?6 DEFICIENCIES IN PROPOSER UTILIZATION PLAN. 1 1-6 DISQUALIFICATION OF PROPOSER 11-6 COMPLAINTS AGAINST THE AUTHORITY BY A CONTRACTOR AFTER NOTICE TO PROCEED 1 1-6 COMPLAINTS BY THE AUTHORITY AGAINST A CONTRACTOR AFTER NOTICE TO PROCEED 1 1?7 ON -DISCRIMINATION 1 1-7 AFFIRMATIVE SUBMISSION REQUIREMENTS ..11-8 CONTRACTOR COMPLIANCE REPORTING 11-8 POST AWARD CONTRACTOR COMPLIANCE 11-8 PROHIBITION OF AGREEMENTS TO RESTRICT COMPETITION 1 1?10 RESERVATION OF ALL REMEDIES 11-10 CHAPTER 12 - NEW YORK STATE THRUWAY AUTHORITY SPECIFIC TERMS AND CONDITIONS 12-1 ARTICLE 12.01 COMPTROLLER APPROVAL 12?1 ARTICLE 12.02 OMNIBUS PROCUREMENT ACT OF 1992 12-1 ARTICLE 12.03 RECORDS 12-2 APPENDIX A - Section 2 of the Request for Proposal for Customer Service Center Services No. dated June 20, 2005, as amended by Addendum No.1 issued July 22, 2005, Addendum No.2 dated August 8, 2005, Addendum No.3 dated August 22, 2005 and Addendum No.4 dated September 14, 2005. APPENDIX Section 5 of the Contractor proposal submission dated September 26, 2005, the Contractor letter submission dated October 19, 2006, and the Contractor letter submission dated May 7, 2007. APPENDIX - Pricing Schedule APPENDIX Pricing Adjustments for Non-Compliance with Performance Standards APPENDIX - Escrow Agreement Exhibit 1 Insurance Certificate CHAPTER 1 GENERAL ARTICLE 1.01 DEFINITIONS The following words and expressions used in this Agreement shall be construed as follows, except when it is clear from the context that another meaning is intended: a) The words ?Authority? or ?Authorities? to mean the Triborough Bridge and Tunnel Authority and the New York State Thruway Authority, each a public benefit corporation existing by virtue of the New York State Public Authorities Law, and the Port Authority of New York and New Jersey, established under the Port Compact of 1921, and any other authority, board, body, commission, official or officials to which or to whom the powers now belonging to the said Authority in respect to the location, construction, equipment, maintenance and operation of Authority facilities shall, by virtue of any act or acts, hereafter pass or be held to pertain. b) The word greement? to mean collectively this and all Agreement terms and conditions, the Escrow Agreement, the Statement of Work, all other attachments and appendices hereto, those other attachments as agreed by the parties, and all amendments issued hereto. c) The words ?Contract Date? to mean the date on which this Agreement commences, which shall be the date set forth above. d) The word ?Days? to mean calendar days, unless otherwise specified. e) The word ?Deliverables? to mean all documentation and any items of any nature submitted by the Contractor to the Authority?s Project Manager for review and approval pursuant to the terms of this Agreement. f) The words ?directed?, ?required?, ?permitted?, ?ordered?, ?designated", ?selected?, ?prescribed? or words of like import to mean respectively, the direction, requirement, permission, order, designation, selection or prescn?ption of the Authority?s Project Manager; and similarly the words ?approved", ?acceptable?, ?satisfactory?, ?equal?, ?necessary?, or words of like import to mean respectively, approved by, or acceptable or satisfactory to, or equal or necessary in the opinion of the Authority?s Project Manager. g) The words ?Extra Work? to mean changes resulting in additions or deletions to the type or value of Services provided pursuant to this Agreement as directed by the Authority. h) The words ?New York Customer Service Center? or to mean the place or places of businesses that shall provide for all activities required by the 1?1 Statement of Work including but not limited to: distributing, tracking, and maintaining an inventory of tags; setting up and maintaining customer accounts, including preparing and mailing of customer invoices and statements and all other customer service functions; receiving and processing the Authority?s toll transaction data; transferring account validation files and updates to the Authority, transferring funds from the New York Customer Service Center to the processing functions; and providing and implementing a computer host with applicable communication and cost accounting services. i) The word ?Hardware? or ?Equipment" as an all-inclusive term to mean the equipment, hardware, associated peripherals, associated software, electrical and other materials and supplies necessary or furnished by the Contractor to provide Services pursuant to this Agreement. j) The word ?Notice? to mean any formal communication addressing Agreement modifications and approvals, not daily operation. k) The words ?Notice to Proceed? to mean the written authorization by the Authority designating the date and time for the Contractor to commence work at the Site(s). l) The words ?Project Manager? to mean the Authority?s duly authorized representative designated to manage this Agreement. m) The word ?Reports? to mean all documentation concerning the Services offered by the Contractor concerning its performance in meeting the requirements of this Agreement. n) The words ?Services? or ?Statement of Work" to mean: all activities required by Section 2 of the Request for Proposal for Customer Service Center Services No. dated June 20, 2005, as amended by Addendum No.1 issued July 22, 2005, Addendum No.2 dated August 8, 2005, Addendum No.3 dated August 22, 2005, and Addendum No.4 dated September 14, 2005 (collectively, Appendix and SectiOn 5 of the Contractor proposal submission dated September 26, 2005, the Contractor letter submission dated October 19, 2006,and the Contractor letter submission dated May 7, 2007 (collectively, Appendix B). o) The word ?Site(s)? to mean any of the Authority's toll plazas, its structures, appurtenances, equipment where the systems covered under this Agreement will be designed, integrated, operated and maintained, and places where customer service center services will be performed. p) The word ?Software? to mean all system software including the media and documentation that regulate and control the operation of a data processing system by specifying computer programs, procedures and rules required to be provided hereunder as more fully described in the Statement of Work. It includes compilers, library routines, and circuit diagrams. q) The word ?Subcontractor? to mean any person, firm or corporation, other than the Contractor?s employees, who contracts to fumish 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. r) The word ?Supplier" to mean any person, firm, or corporation who contracts to furnish materials, equipment, or supplies for incorporation in or in connection with the Services. 5) The words ?Work Days? or ?Business Days.? or ?Weekdays? to mean Monday through Friday, excluding Authority observed holidays which fall on Monday through Friday. 0 The words ?Contractor Proposal to mean, the Contractor Proposal submission dated September 26, 2005 and the Contractor letter submission dated October 19, 2006. 1?3 CHAPTER 2 - TIME AND MANNER OF PERFORMANCE ARTICLE 2.01 SERVICES REQUIRED The Contractor shall perform: all Services as required by Section 2 of the Request for Proposal for Customer Service Center Services No. dated June 20, 2005, as amended by Addendum No.1 issued July 22, 2005, Addendum No.2 dated August 8, 2005, Addendum No.3 dated August 22, 2005, and Addendum No.4 dated September 14, 2005 (collectively, Appendix and all Services as set forth in Section 5 of the Contractor proposal submission dated September 26, 2005, the Contractor letter submission dated October 19, 2006, and the Contractor letter submission dated May 7, 2007 (collectively, Appendix B). The Contractor shall perform all such Services in a competent and professional manner to the satisfaction of the Authority. ARTICLE 2.02 . CONTRACT TERM The Agreement shall commence on September 17, 2007 and shall terminate ten (10) years after commencement. The Authority shall have the option, in its sole discretion, to extend this Agreement, including all or part of the Services stated herein, pursuant to the terms set forth herein, for one additional three (3) ~year term. ARTICLE 2.03 RESPONSIBILITY FOR OPERATIONAL POLICY The Contractor acknowledges that the Authority shall be responsible for making all policy decisions regarding the operation of the New York Customer Service Center. The Contractor agrees to provide advice and recommendations with respect to policy issues as directed by the Authority. The Contractor agrees to implement any and all changes in providing Services pursuant to this Agreement as a result of policy changes implemented by the Authority. The Contractor agrees to act in an expeditious and fiscally sound manner in providing the Authority with input regarding the time and cost (if any) to implement said changes and in executing the activities required to implement said changes. ARTICLE 2.04 GENERAL The Contractor shall provide all resources, personnel, equipment and supplies necessary to perform the Services. The Contractor shall provide the Services described herein in a competent and professional manner, in conformance with the highest industry standards, to the satisfaction of the Authority. The Authority shall be entitled to full and prompt cooperation by the Contractor in all aspects of the Services. The Authority shall have the right to inspect the performance of such Services at any time and the Contractor shall fully and cooperate with the Authority in the execution of such inspections. At the request of the Authority, the Contractor shall remove from assignment to the performance of Services pursuant to this Agreement any employee, subcontractor, or any other person performing Services hereunder (hereinafter ?Staff Personnel?). The Authority recognizes that such removal of an employee from the 2?1 performance of Services pursuant to this Agreement will not necessarily result in the termination or demotion of such employee. The Contractor recognizes the paramount importance of customer relations, both in the Authority?s fulfillment of its statutory mission, and to the successful operation of the New York Customer Service Center for which these Services are sought. Inasmuch as customer sewices are provided for the convenience and benefit of the public, the Contractor acknowledges that the quality of, and timeliness of, such Services are the essence of this Agreement. a) The Contractor agrees that it will at all times employ, maintain and assign to the performance of the Services a sufficient number of competent and qualified professionals and other personnel to perform the Services in a timely manner. The Contractor agrees to replace any Staff Personnel if so directed by the Authority, should the Authority make a determination, in its sole discretion that any individual is not performing in a manner consistent with the requirements for such a position. b) The Contractor warrants and represents that its Staff Personnel have the proper skill, training, background, knowledge, experience, rights, authorizations, integrity, character and licenses necessary to perform the Services described herein, in a competent and professional manner. 0) The Contractor agrees to comply with all provisions of all federal, state, and local laws, ordinances, rules, and regulations that are applicable to the performance of Services pursuant to this Agreement, and to procure all necessary licenses and permits. ARTICLE 2.05 HARMONY The Contractor shall not employ any persons or use any labor, or use or have any equipment, or permit any condition to exist which shall or may cause or be conducive to any labor complaints, troubles, disputes or controversies which interfere or are likely to interfere with the Authority?s operations or with the operations of the Contractor under this Agreement. The Contractor shall immediately give notice to the Authority (to be followed by written notices and reports) of any and all impending or existing labor complaints, troubles, disputes or controversies and the progress thereof. The Contractor shall use its best efforts to resolve any such complaint, trouble, dispute or controversy. If any type of stn'ke, boycott, picketing, work stoppage, slowdown or other labor activity is directed against the Contractor or against any operations of the Contractor under this Agreement, whether or not caused by the employees of the Contractor, and if any of the foregoing, in the opinion of the Authority, results or is likely to result in any curtailment or diminution of the Services to be performed hereunder or to interfere with or affect the operations of the Authon'ty, or in the event of any other cessation or stoppage of operations by the Contractor hereunder for any reason whatsoever, the Authority shall have the right at any time during the continuance thereof to suspend the operations of the Contractor under this Agreement, and during the period of the suspension the Contractor shall not perform 2-2 Services hereunder and the Authority shall have the 11' during said period to itself or by any third person or persons selected by it perform said Services using the Equipment which is used by the Contractor in its operations hereunder as the Authority deems necessary and without cost to the Authority. During such time of suspension, the Contractor shall not be entitled to any compensation. Prior to the exercise of such right by the Authority, it shall give the Contractor notice thereof, which notice may be oral. No exercise by the Authority of the rights granted to it in this Article shall be deemed to be a waiver of any rights of termination or revocation contained in this Agreement or a waiver of any rights or remedies which may be available to the Authority under this Agreement or otherwise. During the progress of the Services, it may be necessary for other contractors and other persons (including personnel of the Authority) to do work in or about the Site(s). The Authority reserves the right to permit and put such other contractors and such persons to work and to afford them access to the Site(s) at such time and under such conditions as does not unreasonably interfere with the Contractor. The Contractor shall progress its work continuously and diligently and shall so plan and conduct its operations as to work in harmony with others engaged at the Site and not to delay, endanger or interfere with the operation of others, all to the best interests of the Authority and the public, as may be directed by the Authority. In the event of an emergency creating danger to life or property at the Site(s), the Authority may do anything necessary to alleviate such an emergency situation, including performing work at the Site(s), or directing another contractor to perform work at the Site(s). ARTICLE 2.06 VIOLATIONS PROCESSING The Contractor shall conduct all of its activities with reSpect to Violations Processing in accordance with all applicable laws, rules, andlor regulations of the State of New York and the Authority?s policies, and subject to the Authority?s approval. ARTICLE 2.07 USE OF SERVICE The Contractor understands that the Authority may direct it to utilize, and in such case the Contractor shall utilize, in strict accordance with rules established by the Authority, service marks and logos associated with the Authority and E-ZPass. Such use is limited to activities directly related to providing Services pursuant to this Agreement. The Contractor understands and agrees that it shall have no proprietary interest in such logos or service marks utilized in the provision of Services pursuant to this Agreement, that other entities do have such rights, and that the Contractor must fully respect, recognize, and act in accordance with such rights. ARTICLE 2.08 MARKETING CONSENTS AND RELEASES Prior to the production of any advertising created pursuant to this Agreement, whether print or other media, the Contractor shall obtain any and all consents and to DJ releases necessary from persons appearing in any such advertising so as to insure the Authority has the right to use the name and/or image, likeness, portrait, picture, photograph, and any reproductions of the same. The Contractor agrees to defend, indemnify and hold harmless the Authority, and its officers and employees, from any claim, action, damage or lawsuit arising from the use of any person?s name, image, likeness, portrait, picture, photograph or reproduction of same. ARTICLE 2.09 SUBCONTRACTUAL RELATIONS a) The Contractor may, with the prior approval of the Authority, utilize Subcontractors to perform some of the Services that the Contractor is required to provide pursuant to this Agreement. Prior to awarding any work to a Subcontractor, the Contractor shall submit to the Authority a written statement containing the proposed work Subcontractor is to perform, the qualifications of Subcontractor?s personnel that will be providing the Services and such other information as the Authority may require. If the Authority approves the use of a Subcontractor, the Contractor shall incomorate all of the terms of this Agreement into its contract with the Subcontractor and shall pay Subcontractor for work performed pursuant to such contract The Contractor shall be fully responsible to the Authon'ty for the acts and omissions of its Subcontractors, and of persons either directly or indirectly employed by them, just as the Contractor is fully responsible to the Authority for the acts and omissions of persons directly employed by it. Nothing contained in this Agreement shall create any contractual relationship between a Subcontractor and the Authority. b) The Authority shall have the right to withdraw its consent to a subcontract if it appears to the Authority that the subcontract will delay, prevent, or otherwise impair the Contractor?s performance of Services under this Agreement. The Contractor shall furnish to the Authority copies of all contracts between the Contractor and its Subcontractors and suppliers used to perform Services pursuant to this Agreement. ARTICLE 2.10 EXTENSION OF TIME a) If the Contractor is delayed at any time hereunder due to any of the following, then the affected schedule or the required performance of Services may be extended by the Authon'ty in the reasonable exercise of its discretion for such reasonable time as the Authority may determine, subject to the following conditions: i. The cause of the delay is beyond the Contractor?s control and arises without its fault or negligence, and arises after the execution hereof and neither was nor could have been anticipated by the Contractor by reasonable investigation; ii. The completion of the Services will be actually and necessarily delayed by the causes set forth in 1 above; The effect of such cause cannot be avoided or mitigated by the exercise of all reasonable precautions, efforts and measures whether before or after the occurrence of the cause of delay; and iv. The Contractor has provided a written request and other information to the Authority, as may be requested by the Authority pursuant to subsection below, within ten (10) days after the time it knows or reasonably should have known of any cause which might result in a delay for which it may request an extension of time. The Contractor shall specifically state in such notice that an extension is or may be requested and identify the cause of the delay, describing the nature and its effect on the completion of the affected portions of the Services identified in the notice. If the Contractor shall fail to give the foregoing notice, the right to request an extension for such cause shall be waived. b) All references in this Article to the Contractor shall be deemed to include Subcontractors and Suppliers. 0) The period of any extension of time shall be only that which is necessary to make up the time actually lost. The Authority reserves the right to rescind or shorten any extension of time previously granted if the Authority subsequently determines that any information provided by the Contractor in support of the Contractor?s request for an extension of time was erroneous or that there has been a material change in the facts stated. d) The Authority may require the Contractor to furnish such additional information or documentation as the Authority shall reasonably deem necessary or helpful in considering a requested extension. The Contractor understands an extension of time will not be granted unless it affirmatively demonstrates to the Authority?s reasonable satisfaction that the circumstances shown justify such extension. e) Within thirty (30) days of its receipt of all information and documentation as may be required by the Authority, the Authority shall advise the Contractor of its decision on such requested extension of time. Notwithstanding the foregoing, where it is not reasonably practicable for the Authority to render its decision within such thirty (30) day period it shall, prior to the expiration of such period, advise the Contractor that it will require additional time and the approximate date upon which it expects to render such decision. f) If the Contractor becomes aware that any person seeks a restraining order, preliminary injunction or an injunction, which may delay the delivery of Services pursuant to this Agreement, it shall give the Authority a copy of all legal papers received or prepared by it in connection with such action or proceeding. The Authority shall be accorded the right to intervene or become a party to any suit or injunction sought or obtained and to oppose or to move to dissolve the same or otherwise, as the Authority may deem proper. *9 Lil g) Permitting the Contractor to proceed with the Services subsequent to any missed schedule or delay in the performance of any Services (as such date may have been extended) and/or the making of any payments to the Contractor shall not be deemed a waiver of or otherwise compromise the Authority?s contractual right to declare the Contractor in default. h) In the event the Contractor is delayed concurrently by two or more of the causes identified in this Article, it shall not be entitled to a separate extension of time for each one of the causes and only one period of extension will be granted for the delay. In addition, the Contractor shall not be entitled, by reason of a delay, to an extension of time for the completion of the overall Services unless the overall Services are necessarily affected by the delay. Accordingly, in the event of a delay, the Contractor shall proceed continuously and diligently with the performance of the unaffected portions of the Services. ARTICLE 2.11 AUTHORITY OF PROJECT MANAGER a) The Contractor hereby authorizes the Project Manager to determine in the first instance all questions of any nature whatsoever arising out of, under, or in connection with, or in any way related to 01' on account of, this Agreement including, without limitation: questions as to the value, acceptability and fitness of the Services; questions as to either party?s fulfillment of its obligations under this Agreement; negligence, fraud or misrepresentation before or subsequent to execution of this Agreement; questions as to the interpretation of the Statement of Work; and claims for damages, compensation and losses. b) The Project Manager may give orders to the Contractor to do work which he determines to be necessary for the Contractor to fulfill the Contractor?s obligations under this Agreement. 0) If requested by the Contractor, the Project Manager will provide appropriate explanations and reasons for his determinations and orders hereunder. d) The Contractor shall be bound by all determinations or orders and shall obey and follow every order of the Project Manager, including the withdrawal or modification of any previous order and regardless of whether the Contractor agrees with the Project Manager?s determination or order. Orders shall be in writing unless not practicable, in which event any oral order must be confirmed in writing by the Project Manager as soon thereafter as practicable. ARTICLE 2.12 EXTRA WORK Except as specifically hereinafter provided in this Article, the Contractor shall immediately make such changes in or additions to the type or value of the products and Services provided pursuant to this Agreement and supply such additional service as the Authority may direct (?Extra Work"). The Authority and the Contractor shall document such Extra Work, and upon documentation such Extra Work shall be deemed incorporated into the Statement of Work. If such changes or additions are without fault on its part, or on the part of others performing on behalf of the Contractor whether or not in privity of contract with the Contractor, and if solely as a result thereof the Contractor incurs additional costs in the performance of its obligations hereunder, the Contractor may request compensation for such changes or additions in addition to the compensation provided for in Chapter 3. Agreement by the Authority, if such is forthcoming, shall be in writing. The execution of the aforementioned written agreement shall be a condition precedent to payment of any additional compensation for changes or additions except as provided in Article 3.04. If, as a result of any changes in or additions to the type or value of the products or sewices the Authority directs the Contractor to make, the costs of performance of its obligations hereunder are decreased, the parties shall agree to make such adjustments by way of reduction in the compensation provided for in Chapter 3 as they may deem equitable and reasonable and, in making such adjustments, no allowance shall be made for anticipated profits. The provisions of this Agreement relating generally to the performance of Services shall also apply to any Extra Work required and to the performance thereof, except to the extent that a written order in connection with any particular item of Extra Work may expressly provide otherwise. ARTICLE 2.13 EXTRA WORK PROCEDURES Whenever any Extra Work is performed by the Contractor on other than a lump sum basis, the Contractor shall, as a condition precedent to payment for such work, furnish to the Project Manager or his authorized representative at the end of each day daily time slips showing the name and employee number of each person employed thereon, and the number of hours in each day during which he/she performed Extra Work; and a brief description of the nature of the work performed and a list of material and equipment used. Item shall be supplemented by the Contractor at a later date with a statement indicating from whom materials were purchased and the amount paid therefore. ARTICLE 2.14 TERMINATION FOR CONVENIENCE BY THE OF WORK The Authority shall have the right, in its sole discretion, to postpone, suSpend, abandon or terminate this Agreement at any time and for any reason, and such action shall in no event be deemed a breach of contract. In the event the Authority exercises its right to postpone, suSpend, abandon or terminate this Agreement, the Authority will provide the Contractor with forty-five (45) days prior written notice. a) The Contractor shall, upon receipt of such notice, unless otherwise directed by the Authority: 2-7 iv. vii. b) stop work on the date specified in the notice (the ?Effective Date?); take such action as may be necessary for the protection and preservation of the Authority?s materials and property, including data and other aspects of the Contractor?s performance which are not completed; cancel orders; assign to the Authority and deliver to the Site or any other location designated by the Authority any non-cancelable orders for material and equipment that is not capable of use except in the performance of Services pursuant to this Agreement and has been specifically fabricated for the sole purpose of this Agreement and not incorporated in the Services; take no action which will increase the amounts payable by the Authority under this Agreement; and take all steps necessary to assure a smooth transition of Services to a new contractor or the Authority. In the event that the Authority exercises its right to postpone, suspend, abandon or terminate this Agreement, the Authority will pay the Contractor?s actual cost or the fair and reasonable value, whichever is less, of: i. ii. C) the Services completed in accordance with this Agreement up to the Effective Date; non-cancelable materials and equipment that are not capable of use except in the performance of Services pursuant to this Agreement and have been specifically fabricated for the sole purpose of this Agreement but not incorporated in the Services; and reasonably incurred non-cancelable labor and lease obligations not chargeable to the transition service. In no event shall any payments under this Article exceed the compensation for such items pursuant to Chapter 3 of this Agreement. d) The amount due hereunder shall be offset by all payments already made to the Contractor. 6) All payments made pursuant to this Article shall be accepted by the Contractor in full satisfaction of all claims against the Authon'ty arising out of the postponement, suspension, abandonment, or termination, including consequential damages. 2-8 All payments pursuant to this Article are subject to audit. g) Upon such a postponement, suspension, abandonment or termination, the Contractor must within ten (10) days deliver to the Authority all records, documents and data pertaining to Services rendered under this Agreement. h) Throughout the term of this Agreement and any extensions thereof, the Contractor must report to the Authority any material changes in the Contractor?s initial vendor responsibility disclosure. The Authority shall have the right to terminate this Agreement at any time in the event the Authority finds that the Contractor is non? responsible or has failed to accurately disclose vendor responsibility information. ARTICLE 2.15 ORDER OF PRECEDENCE If any conflict or discrepancy should arise between or among the provisions of this Agreement, the order of precedence for resolution is as follows: 1) this Agreement, including all Appendices other than Appendices A and 2) Appendix A of this Agreement (Section 2 of the Request for Proposal for Customer Service Center Services No. PSC-05-2741 dated June 20, 2005, as amended by Addendum No.1 issued July 22, 2005; Addendum No.2 dated August 8, 2005; Addendum No.3 dated August 22, 2005; and Addendum No.4 dated September 14, 2005; 3) Appendix of this Agreement (Section 5 of the Contractor?s proposal submission dated September 26, 2005, the Contractor letter submission dated October 19, 2006, and the Contractor letter submission dated May 7, 2007.). CHAPTER 3 - COMPENSATION FOR SERVICES ARTICLE 3.01 COMPENSATION For the performance of Services described herein, the Authority shall pay the Contractor in accordance with the pricing schedule set forth in Appendix C, and Contractor agrees to accept such amount as full compensation for such Services. In no event shall payment pursuant to this Agreement exceed $202,500,000, unless this Agreement is amended. The Authority?s obligation to pay for such Services is contingent upon the Authority?s finding that the Contractor has performed in a competent and professional manner satisfactory to the Authority. ARTICLE 3.02 PRICING ADJUSTMENT FOR NON-COMPLIANCE WITH PERFORMANCE STANDARDS If in the performance of Services the Contractor does not meet or exceed the Performance Standards identified in the Statement of Work, the Authority shall reduce the amount it would otherwise pay Contractor for such Services pursuant to the Pricing Adjustments set forth in Appendix D. ARTICLE 3.03 METHOD AND TIMES OF PAYMENT To receive payment, the Contractor must submit a certified, itemized, invoice to the Authority documenting the Services rendered and any pricing adjustments applicable to such invoice period. Such invoice shall be in a form and contain such detail as are acceptable to the Authority. The Contractor shall invoice each Authority separately for its proportionate share of shared cost and for those costs incurred solely by such Authority. The Contractor shall send invoices and associated back-up documentation in duplicate to the following address: E?ZPass Operations Manager New York State Thruway Authority Post Office Box 189 Albany, New York 12201-0189 The Contractor agrees to provide the Authority with such detailed documentation substantiating fees and disbursements as the Authority may request. ARTICLE 3.04 TAXES The Authority is exempt from the payment of all sales and compensating use taxes otherwise imposed by New York State and municipalities located therein. The Authority will not pay the Contractor sales and compensating use taxes on any Services the Contractor provides to the Authority pursuant to this Agreement. 3-1 ARTICLE 3.05 COMPENSATION FOR EXTRA WORK The Authority and the Contractor may agree, in uniting, on a lump sum or other compensation for Extra Work. In the event that no such agreement is reached, compensation shall be increased by the sum of the following amounts and such amounts only: a) the actual net cost in money of the labor (including premiums for workers? compensation insurance, taxes, vacation allowances and union dues and assessments required to be paid by the employer on the basis of such labor costs) and material required for such Extra Work, and b) fifteen percent of the amount under above. If the Extra Work is performed by a Subcontractor, in lieu of the amounts under and above, compensation shall be in the amount the Contractor has paid the Subcontractor plus a 5% mark?up. No Extra Work shall be performed by a Subcontractor without the prior written approval of the Project Manager. ARTICLE 3.06 PROMPT PAYNIENT Timeliness of payment and any interest to be paid to the Contractor for late payment shall be governed by Section 2880 of the New York State Public Authorities Law (the Prompt Payment Law), and any regulations promulgated by the Authority thereunder. ARTICLE 3.07 MONIES WITHI-IELD When the Authority shall have reasonable grounds for believing that: a) The Contractor will be unable to perform the Services fully and satisfactorily within the time fixed for performance; or b) A meritorious claim exists or will exist against the Contractor or the Authority arising out of the negligence of the Contractor or the Contractor's breach of any provision of this Agreement, then the Authority may withhold payment hereunder. Any amount so withheld may be retained by the Authority for such period as it may deem advisable to protect the Authority against any loss and may, after written notice to the Contractor, be applied in satisfaction of any such claim. This provision is intended solely for the benefit of the Authority, and no person shall have any right or claim against the Authority by reason of the Authority's failure or refusal to withhold monies. The Authority shall not pay interest on any amounts withheld under this provision. This provision is not intended to limit or in any way prejudice any other right of the Authority. CHAPTER 4 - SOFTWARE AND SYSTEM INIPLEMENTATION ARTICLE 4.01 SOFTWARE LICENSES a) The Contractor shall provide to the Authority an unlimited, perpetual, universal, irrevocable, non?exclusive License to use, duplicate, modify, disclose and/or permit any other person(s) or entity(ies) providing services to the Authority to use all such Software (except for third party software addressed in paragraph below) needed to operate the New York Customer Service Center, including the associated specifications, technical data and other documentation needed for such operations, and all such Equipment in the event of default. The Authority or its designee may continue to use this Software under this License for an indefinite period of time, including beyond-the term of this Agreement. This License shall cover the full definition of Software, including components directly owned and/or developed by the Contractor as well as components owned and/or developed by any Subcontractors. The Contractor shall provide the Authority with such License upon execution of this Agreement. b) For Third Party Software, the Contractor shall provide to the Authority unlimited, perpetual, irrevocable, non-exclusive Licenses to use Third Party Software to operate the New York Customer Service Center. The Contractor shall secure such Licenses from the providers of such Third Party Software, and ensure that such Licenses are transferable to and assignable by the Authority. ARTICLE 4.02 SCOPE OF SOFTWARE LICENSES a) The License shall allow the Authority to use and reproduce the Contractor Software on any and all equipment configurations of whatever make, manufacture and/or model, owned, controlled or contracted for, by the Authority or entities controlled by, under common control with, or organizations which may hereafter be formed by the Authority or which may assume the responsibilities of the Authority or any successors of the Authority, in connection with the Services provided by or to the Authority including maintenance. Such License to Contractor Software shall specifically include, but not be limited to, the right of the Authority to use and/or disclose, in whole or in part, the technical documentation and Software, including object code provided hereunder, to any person or entity outside the Authority for such person?s or entity?s use in furnishing any and/or all of the Services provided hereunder exclusively for the Authority or entities controlling, controlled by, under common control with, or affiliated with the Authority, or organizations which may hereafter be formed by or become affiliated with the Authority. No such equipment, documentation or related information shall be deemed to have been given in confidence and any statement or legend to the contrary shall be void and of no effect. The AuthOIity and such person(s) or entities the Authoxity has provided with the Software shall have the right to modify the Software for use in connection with providing goods and/or services to the Auth01ity. The Authority and such person(s) or entities the Authority has provided with the Software shall be able to utilize the Software without payment of a License fee. 4-1 b) For Third Party Software, the Contractor shall obtain sufficient Licenses to perform the functions of the New York Customer Service Center at all locations and accommodate changing requirements. ARTICLE 4.03 SOFTWARE OWNERSHIP a) The License the Contractor provides to the Authority for Contractor Software shall include a warranty clearly expressing that it possesses all rights, title and interests in the Software, and all portions thereof, or otherwise has the right to grant to the Authority the License for the Software. This warranty shall cover Software owned and/or developed by the Contractor as well as Software owned andfor developed by its Subcontractors and Suppliers. b) For Third Party Software, the Contractor shall maintain copies of the License Agreements it obtains from such Third Party Software providers. The Contractor shall also maintain the computer programs, disks and documentation for all Third Party Software it obtains. Such Third Party License Agreements shall include, to the extent commercially available, the rights to use and assign such License to the Authority. c) Except as otherwise provided in Article 6.01, or elsewhere in this Agreement, the Contractor (and its Subcontractors and Suppliers) shall retain all proprietary rights in and to all Equipment and Software used to provide the Services except to the extent such Equipment and Software have been customized to satisfy the Statement of Work. d) Nothing in this Agreement shall preclude the Authority from providing to any other person(s) or entity(ies), nor any such person(s) 0r entity(ies) from using, any of the Equipment and/or Software provided hereunder, and the associated specifications, technical data and other documentation relating thereto, in connection with providing goods or Services to the Authority. ARTICLE 4.04 SYSTEM ACCEPTANCE a) The Contractor acknowledges and agrees not to use the Software unless it meets all functional and operational criteria set forth in a Transition Plan that complies with the Statement of Work and is approved by the Authority. b) Throughout all testing, the Contractor shall ensure that the Authority's current New York Customer Service Center operations are not interrupted and that such testing does not have an adverse impact on customers or on the Authority or upon the processing of non?customer activity, such as violations. 0) Acceptance tests/plans shall address initial developmental work as well as ongoing system changes, enhancements, upgrades, etc. (1) In the event that test requirements are not met with the first attempt, the Contractor shall continue work and conduct subsequent tests until the requirements are met. e) The Authority shall provide the Contractor with written notification of the initial and final acceptance of the system as described in the Statement of Work. ARTICLE 4.05 ESCROW AGREEMENT Within forty?five (45) days from the Authority?s initial acceptance of any Equipment and/or Software required in the Statement of Work, the Authority, an escrow agent, and the Contractor shall enter into an escrow agreement as set forth in Appendix E. Pursuant to the terms of such escrow agreement, the Contractor will deposit without charge to the Authority all information necessary to operate and maintain the Equipment and use the Software. All such information shall be deposited with the following escrow agent: Iron Mountain Intellectual Property Management, Inc. Information so deposited shall include but not be limited to source and object code, control files, utilities, and packages, operating systems, data base systems and network packages. In the event the Contractor revises or supplements any of the information deposited or creates additional information, the Contractor will deposit a complete set of such revised, supplemented, or additional information with the above named escrow agent within thirty (30) days of such revision, supplement or addition and shall indicate with each deposit which documents and which pages have been revised, supplemented or added since the last deposit. In the event the Contractor updates and/or modifies the system specifications, drawings, source code, object code or any other associated documentation, a complete set of such revised documentation will be deposited with the above named escrow agent within thirty (30) days of such revision and the Contractor shall indicate with each deposit which pages have been changed since the last deposit. The Contractor shall be responsible for payment of all costs arising in connection with the maintenance of the escrow referred to in this Article throughout the term of this Agreement, including extensions if applicable. The Authority shall be responsible for all costs arising in connection with the maintenance of the escrow referred to in this Article beyond the term of this Agreement, or, in the event there are extensions of this Agreement, beyond the term of such extensions. 4-3 CHAPTER 5 - INSURANCE ARTICLE 5.01 INSURANCE A) The Contractor must procure prior to commencement of any work under this Agreement, and maintain until this Agreement is completed, insurance in the kinds and in the amounts specified below. All insurance required by this Agreement shall be obtained at the sole cost and expense of the Contractor, and maintained with insurance carriers that are licensed to do business in New York State, are acceptable to the Authority, and have at least an A.M. Best Rating of ?secure? or A-. The Contractor shall require that any approved Subcontractors hired carry insurance with the same limits and provisions set forth herein. The Contractor shall furnish the Authority with certificate(s) of insurance on ACORD Form 25 (2001/08), accompanied by the Authority Supplemental Insurance Certificate (Exhibit 1 executed by a duly authorized representative/underwriter of the insurance company, showing compliance with the Authority?s insurance requirements set forth herein. If the Contractor obtains coverage from more than one company, the Contractor must submit a separate certificate for each insurance company providing coverage. All certificates and policies shall provide for 30 days? written notice to the Authority prior to the cancellation, non-renewal, or material change of any insurance policies referred to therein. Such notice shall be sent by certified mail to: Insurance Compliance Section, Office of Investments and Asset Management, New York State Thruway Authority, Post Office Box 189, Albany, New York 12201?0189. If insurance policies utilized for Authority projects contain Deductibles or Self Insured Retentions (SIRS), they must be declared as such with applicable levels on the certificate of insurance. The Authority has the option to accept or reject the Deductibles or SIRS, or to impose additional security or other requirements. The Contractor shall provide certified copies of insurance policies for all insurance coverage required herein within 10 business days of the Authority's request for said copies. Failure to provide such certified copies may, in the sole discretion of the Authority, result in the delay of payments under or the cancellation of this Agreement. Failure of the Authority to demand such certificates, policies or other evidence of full compliance with these insurance requirements or failure of the Authority to identify a deficiency from evidence that is provided shall not be construed as a waiver of the Contractor?s obligation to maintain such insurance. Failure to maintain the required insurance and provide proof of such coverage to the Authority may, in the Authority?s sole discretion, result in termination of this 5?1 Agreement. If the Contractor fails to maintain the required insurance, the Authority shall have the right, but not the obligation, to purchase said insurance at the Contractor?s expense. The Contractor agrees that all premiums, costs and expenses associated with such purchase, or the recovery of those purchase amounts by the Authority, shall be deducted from the Contractor?s payments under this Agreement, or by any other lawful means, including deduction from any other current or future contract with the Authority. By requiring insurance, the Authority does not represent that certain coverage and limits will necessarily be adequate to protect the Contractor, and such coverage and limits shall not be deemed a limitation on the Contractor?s liability under the indemnities granted to the Authority under this Agreement. The Contractor shall immediately file with the Authority's Insurance Compliance Section notice of any occurrence likely to result in a claim against the Authority, and, where applicable, shall also file with the Insurance Compliance Section detailed sworn proof of interest and loss within sixty (60) days from the date of loss or reported loss. The specific types and amounts of insurance that the Contractor must provide pursuant to this Agreement are as follows: 1. Commercial General Liability (CGL) with a combined single limit for Bodily Injury, Personal Injury, and Property Damage of at least three (3) million dollars ($3,000,000) each occurrence and aggregate. The limit may be provided through a combination of primary and umbrella/excess liability policies. Coverage shall provide and encompass at least the following: Independent Contractor; b. Blanket Written Contractual Liability covering the liability of the parties arising from the performance of services under this Agreement by Contractor, its Subcontractors and Suppliers, subject to the terms, conditions and exclusions of the policy; 0. Products Liability Completed Operations; d. CGL coverage written on an occurrence fonn; e. Waiver of Subrogation; f. The Authority shall be named as an Additional Insured under the CGL policy, including but not limited to premise?operations and products?completed operations. g. Policy or policies must include a provision or be endorsed to be primary as respects coverage afforded the Additional Insured and such policy shall be primary to any other insurance maintained by the Authority. Any other insurance maintained by the Authority shall be excess and not contribute with the Contractor's or Subcontractor?s insurance, regardless of the ?other? insurance clause(s) contained in the Authority?s own policy of insurance. h. The CGL policy(ies) and certificate of insurance shall contain cross-liability language providing severability of interests so that coverage will respond as if separate policies were in force for each insured. Business Automobile Liability Insurance with limits of liability of $2,000,000 each accident on a combined single limit basis for claims for bodily injuries (including death) to persons and for damage to property arising out of the Contractor?s ownership, maintenance or use of any owned, leased, hired or non-owned motor vehicle. If hazardous waste is to be transported across state lines by the Contractor, then the Contractor shall comply with the Motor Carrier Act of 1980. Valuable Papers Insurance insuring all plans, designs, drawings, specifications, and documents produced or used under this Agreement by Contractor. The benefits of all Valuable Papers Insurance shall be made to extend expressly to the Authority as loss payee as its interests may appear. All Risk Crime Insurance Policy/ Fidelity Bond Insurance for a minimum amount of $10,000,000 per occurrence and $20,000,000 aggregate (with a $50,000 deductible) coverage of the Authority funds. The full policy limits shall include Computer Theft coverage. This Policy shall include a joint loss payee provision or endorse the following: ?It is hereby understood and agreed that a loss covered hereunder involving property of the New York State Thruway Authority or the Tn'borough Bridge and Tunnel Authority or the Port Authority of New York and New Jersey while in the care, custody or control of the Contractor shall be payable by the Company to the first named Insured and the New York State Thruway Authority, the Triborough Bridge and Tunnel Authority and the Port Authority of New York and New Jersey.? This policy coverage shall also include theft of the Authority funds while in the care, custody or control of the Contractor or dishonest acts by the Contractor?s employees or its Subcontractors? employees, or by any such employees of Contractor working in collusion. Contractor shall require its Subcontractors to maintain similar coverage at Subcontractors? expense. 5-3 5. Employee fidelity insurance with a limit of liability of not less than $2,000,000 per each occurrence. The policy shall name the Authority as ?Loss Payee?. 6. Workers? Compensation and Disability Insurance with limits as required by law. 7. Professional Liability Insurance with coverage of not less than $1,000,000 per occurrence. If such policy is a ?claims made? policy, all renewals thereof during the life of this Agreement shall include ?prior acts coverage? covering at all times all claims made with respect to Contractor's performance under this Agreement, including any subsequent supplements thereto or modifications thereof for the entire duration thereof. 8. Such additional insurance policies necessary to obtain required permits or otherwise comply with applicable laws, ordinances, or regulations regarding the performance of the Services. b) Prior to the Notice to Proceed, the Contractor shall furnish a performance bond in an amount equal to $20,250,000.00 (the lump sums for both Phase 1 and Phase 2 plus one year of operational cost) as secun'ty for the faithful performance of the Services and also a payment bond for labor and material in an amount equal to $20,250,000.00 (the lump sums for both Phase 1 and Phase 2 plus one year of operational cost) as security for the payment of all persons performing labor or furnishing materials in connection with this Agreement, each bond in the number required by the Authority and executed by the Contractor and by a surety or sureties approved by the Authority and shall be effective from the date of the Notice to Proceed to the date of final completion of this Agreement. The execution of the bonds must be duly proved before delivery of bonds in the form essential to entitle a deed to be recorded in the State of New York, and full affidavits of justification of the sureties must be added. The form of each bond to be furnished is annexed to this Agreement. Annually renewable bonds are acceptable. Prior to the Notice to Proceed, the Contractor shall submit such bond or in lieu of the bonds, 3 letter from an acceptable surety or sureties, which satisfactorily establishes to the Authority that such surety will issue the necessary bonds. 0) The Contractor shall furnish bonding for credit card payments in process equivalent to three (3) days receipts. An annually renewable bond is acceptable. CHAPTER 6 - PROPRIETARY RIGHTS, CONFIDENTIALITY, ETHICS AND REQUIRED CERTIFICATIONS ARTICLE 6.01 PROPRIETARY RIGHTS a) The Contractor hereby acknowledges and agrees that the Authority retains all rights, title and interest in and to all data, documentation and copies thereof furnished by the Authority to the Contractor or created by the Contractor as part of its provision of Services pursuant to this Agreement, including all copyright and other proprietary rights therein, which documents the Contractor as well as its employees, agents, Subcontractors and Suppliers may use only in connection with the performance of Services pursuant to this Agreement. The Contractor shall not, without the prior written consent of the Authority, use such documentation on any other project in which it or its employees, agents, Subcontractors or Suppliers are or may become engaged. Submission or distribution by the Contractor to meet official regulatory requirements or for other purposes in connection with the performance of Services shall not be construed as publication in derogation of the Authority?s copyrights or other proprietary rights. b) The Authority shall also have all rights, title and interest in and to inventions, ideas, designs and methods developed by the Contractor and any subcontractors specifically for the Authority in the event the Authority purchases Equipment and/or Software (?Authority Owned Inventions?). Such Authority Owned Inventions shall include all specifications and other documentation related thereto. The Authority shall acquire all patent, copyright, trade secret, and other pr0prietary rights in Authority Owned Inventions. Accordingly, neither the Contractor nor its employees, agents, Subcontractors or Suppliers shall have any proprietary interest in such Authority Owned Inventions. Authority Owned Inventions may not be utilized, reproduced or distributed by or on behalf of the Contractor, or any employee, agent, Subcontractor, or Supplier thereof, without the prior written consent of the Authority, except as required for the Contractor?s performance of Services pursuant to this Agreement. 0) The Contractor shall and fully inform the Authority of any claims or disputes for infringement or otherwise, whether existing or potential, of which it has knowledge relating to any intellectual property used, developed or licensed in connection with the performance of Services pursuant to this Agreement or otherwise in connection with this Agreement. ARTICLE 6.02 CONTRACTOR ASSISTANCE a) Upon the request of the Authority, the Contractor shall execute or shall cause its employees, agents, Subcontractors, or Suppliers to execute, in a form specified by the Authority, a transfer of rights to all Authority Owned Inventions and data and documentation in which the Authority has ownership rights pursuant to Article 6.01. The Authority may, at its option, regard this as an assignment by the Contractor of any proprietary rights it may otherwise have in and to all such materials. 6?1 b) In addition, the Contractor agrees to give the Authority and any person designated by the Authority any and all assistance required to perfect the rights defined in Article 6.01, including, but not limited to, execution and delivery of all documents required by the Authority to document and protect the Authority?s proprietary rights in the Authority Owned Inventions and data and documentation. Such assistance may also include filing applications for patent and copyright registration in the name of the Authority and making all other necessary or appropriate filings with governmental entities so as to secure and maintain maximum protection for such Authority Owned Inventions. ARTICLE 6.03 CONFIDENTIALITY a) All materials, data, transactions, fonns, account information, trip information, traffic information, documentation, advertising ideas, designs and methods obtained from the Authority in connection with the Services performed under this Agreement, made or developed by the Contractor or its Subcontractors in the course of the performance of such Services, or generated as a result of such Services, constitute Confidential Information. The Authority?s disclosure of Confidential Information to the Contractor shall not convey to the Contractor any right to or interest in such Confidential Information and the Authority shall retain all right and title to such Confidential Information at all times. Confidential Information does not include information which, at the time of the Authority disclosure to the Contractor or at the time of the creation of the information: is already in the public domain or becomes publicly known through no act of the Contractor; (ii) is already known by the Contractor free of any confidentiality obligations; is information that the Authority has approved in writing for disclosure; or is required to be disclosed by the Contractor pursuant to law so long as the Contractor provides the Authority with notice of such disclosure requirement and an opportunity to defend prior to any such disclosure. b) The Contractor may use Confidential Information solely for the purposes of providing Services to the Authority pursuant to this Agreement. The Contractor shall not make copies of any Confidential Information or sell, transfer, publish, disclose, display, license or otherwise make available to others any part of such Confidential Information without the prior written consent of the Authority. The Contractor may share Confidential Information with third parties that agree to the confidentiality provisions of this Agreement and are necessary to the Contractor?s provision of Services to the Authority pursuant to this Agreement g. subcontractors); however, the Contractor shall share only that Confidential Information that is necessary to the third party?s development of its contribution to the Contractor?s provision of Services to the Authority pursuant to this Agreement. The Contractor agrees to refer all requests for Confidential Information to the Authority without delay. 0) The Contractor shall hold Confidential Information confidential to the maximum extent permitted by law. The Contractor shall safeguard Confidential Information with at least the same level of care and security, using all reasonable and necessary security measures, devices and procedures that the Contractor uses to maintain 6?2 its own confidential information. The Contractor shall advise each of its employees, agents, Subcontractors and Suppliers who may be exposed to such Confidential Information of their obligation to keep such information confidential and shall advise the Authority in writing if it learns of any unauthorized use or disclosure of the Confidential Information by any of its employees or agents, or Subcontractor?s or Supplier?s employees, present or former. The Contractor shall require that all of its employees Sign a Non-Disclosure agreement, as approved by the Authority. d) At the Authority?s request, the Contractor shall return to the Authority all written Confidential Information that the Authority has provided to the Contractor. c) It is understood and agreed that in the event of a breach of this Article, damages may not be an adequate remedy and the Authority shall be entitled to injunctive relief to restrain any such breach or threatened breach. Unless otherwise requested by the Authority, upon the completion of the Services to be performed hereunder, the Contractor shall immediately turn over to the Authority all such Confidential Information existing in tangible form, and no copies thereof shall be retained by the Contractor or its employees, agents, Subcontractors or Suppliers without the prior written consent of the Authority. A certificate evidencing compliance with this provision and signed by an officer of the Contractor shall accompany such materials. f) The Contractor shall comply with Authority privacy and security polices identified in the Statement of Work. ARTICLE 6.04 PROCUREMENT OF AGREENIENT a) The Contractor represents and warrants that no payment, gift or thing of value, including but not limited to money, stocks, offers of employment for an individual or his or her relatives, or consulting or professional services, has been made, given or promised by the Contractor, its officers or employees, to any officer or employee of the Authority. The Contractor acknowledges that the Authority has relied upon this representation. b) In addition to the foregoing, the Contractor warrants that no gratuities, payments, offers to pay anything, money, or benefit of any nature have been offered or given, or will be offered or given, to any official or employee or any immediate family of any official or employee of the Authority for any reason whatsoever, including but not limited to favorable treatment in connection with any Authon'ty procurement. c) For a breach or violation of such representations and warranties, the Authority shall have the iight to find the Contractor in default and to recover all monies paid hereunder and the Contractor shall not make claim for, or be entitled to recover, any sum or sums due hereunder. This remedy, if effected, shall not constitute the sole remedy afforded for falsity or breach, nor shall it constitute a waiver of the Authority's right to claim damages or refuse payment or to take any other action provided for by law or pursuant to this Agreement. 6-3 ARTICLE 6.05 CONFLICT OF INTEREST The Contractor represents and warrants that neither it nor any of its directors, officers, members, partners or employees, has any interest nor shall they acquire any interest, directly or indirectly, which would or may con?ict in any manner or degree with the performance or rendering of Services pursuant to this Agreement. The Contractor further represents and warrants that no person having such interest or possible interest shall be employed by the Contractor to perform Services pursuant to this Agreement. ARTICLE 6.06 ETHICS During the term of this Agreement, the Contractor shall not engage any person who is or has been at any time in the employ of the Authority or New York State, without the consent of the Authority. The Authority may request that the Contractor provide it with whatever information the Authority deems appropriate about such person?s engagement, work cooperatively with the Authority to solicit advice from the New York State Ethics Commission, and, if deemed appropriate by the Authority, instruct such person to seek the opinion of the New York State Ethics Commission. The Contractor agrees that any such employee assigned to perform services under this Agreement shall be assigned in accordance with provisions of the State Ethics Law applicable to the service of current or former Authority or New York State employees. The Authority shall have the right to cancel or terminate this Agreement at any time if any work performed under this Agreement is in conflict with the provisions of the Public Officers Law and/or the rules, regulations and guidelines promulgated by the New York State Ethics Commission. The Contractor further expressly agrees to comply with the laws of New York State and the policies of the Authority regarding the ethical conduct of employees and the code of ethics. CHAPTER 7 - RISK OF LOSS, LIABILITY, INDEMNIFICATION AND WARRANTIES ARTICLE 7.01 RISK OF LOSS The Contractor assumes the following distinct and several risks without limitation, whether they arise from acts or omissions (whether negligent or not) of the Contractor or of any of its subcontractors and suppliers, excepting those risks which arise from negligent acts or omissions of the Authority. a) The risk of loss of funds or deposits due the Authority including but not limited to revenue generated from electronic toll collection, credit card payments, fees, violation payments and transactions submitted to the Contractor for processing, or any other revenue the Contractor is contractually required to collect; and (ii) all documents and records relating to all financial transactions in the Contractor?s possession arising out of or alleged to arise out of or in connection with the performance of Services pursuant to this Agreement. b) The risk of loss or damage to any property of the Authority arising out of or alleged to have arisen out of or in connection with the performance of Services pursuant to this Agreement; the risk of loss or damage to any property of the Contractor?s agents, employees, and Subcontractors arising out of, or alleged to have arisen out of, or in connection with the performance of Services pursuant to this Agreement. c) The risk of loss for all Tags, including any and all costs related to lost, improperly issued, stolen, improperly stored, or otherwise damaged Tags, from the time the Tags are received by the Contractor until furnished to any customer. d) The risk of loss for any Tags returned by customers from the time the Tags are received by the Contractor. ARTICLE 7.02 LIABILITY AND INDEMNIFICATION a) The Contractor shall be responsible for all damage to life and property due to negligent or otherwise tortious acts, en'ors, or omissions of the Contractor or its Subcontractors or Suppliers in connection with its Services under this Agreement without limitation. Further, it is expressly understood that the Contractor shall defend, indemnify and hold harmless the Authority and/or the State of New York, as their interests may appear, and their respective directors, officers, employees and agents, from and against claims, suits, actions, damages and costs of every name and description, including attomeys' fees and court costs, occurring on account of, arising out of, or in connection with the negligent performance of the Services by the Contractor, its Subcontractors and Suppliers and their respective officers, agents and employees, or the quality of goods provided pursuant to this Agreement. Such indemnity shall not be limited by reasons of enumeration of any insurance coverage herein provided. However, the Contractor shall not be required to indemnify the Authority for that portion of any claim, suit, action, damage or cost which arises due to the negligent act or omission of the Authority and shall not be required to indemnify the State of New York for that portion of any claim, 7?1 suit, action, damage or cost which arises due to the negligent act or omission of the State. Contractor shall not be liable for any consequential, indirect or special damages except to the extent such damages have been identified in this Agreement as being ?without limitation? including, but not limited to, losses as set forth in Article 7.01, intellectual property infringement as set forth in Article 7.03 and personal injury and property damage as set forth in this Article. The provisions of this Article shall survive the expiration or termination of this Agreement. b) The Contractor agrees that the rights and remedies provided herein shall not be exclusive and are in addition to any other rights and remedies provided by law or this Agreement. 0) In the event that any damage shall occur to any part of the Authority?s toll collection system on account of Equipment, Software or Services provided by the Contractor or its Subcontractors or Suppliers, the Authority shall have the right to cause such damage to be repaired and to charge the expense of such repairs to the Contractor; such sum may be deducted from any monies due or to become due to the Contractor hereunder or under any other agreement between the Contractor and the Authority. (1) The Contractor?s defense, indemnification and hold harmless obligations hereunder shall in no way be diminished, waived or discharged by the Authority?s recourse to any other remedy provided for hereunder, at law or in equity. e) No member, officer, or employee of the Authon'ty shall be liable personally hereunder or by reason hereof. ARTICLE 7.03 PATENT AND COPYRIGHT INDEMNIFICATION a) The Contractor represents and warrants that: it is and will be the sole owner of all works employed in providing Services pursuant to this Agreement, other than preexisting works and Authority Owned Inventions, including, but not limited to, programs, documentation, Equipment, Software, analyses, firmware, tools, articles, appliances, stnictures, materials, devices, applications, methods, ways, processes and the like; (2) it has and will have full and sufficient right to assign or grant the rights andfor licenses granted pursuant to this Agreement for all works employed to provide Services pursuant to this Agreement including preexisting works; (3) all elements of the works employed to provide Services pursuant to this Agreement other than preexisting works have not been and will not be published under circumstances that would cause a loss of proprietary rights therein; and (4) all elements of the works employed to provide Services pursuant to this Agreement, including all preexisting works, do not and will not infringe upon or violate any patents, copyrights, trademarks, service marks, trade secrets, any other intellectual property rights, or similar rights of any person or entity, nor has any claim (whether or not embodied in an action, past or present) of such infringement been threatened or asserted, nor is such a claim pending against the Contractor or, insofar as the Contractor is aware, against any entity from which the Contractor has obtained such rights. b) The Contractor shall be liable and responsible without limitation for any and all claims made against the Authority for infringement of patents, copyrights, trademarks, service marks, trade secrets or any other third party proprietary rights, by the use or supplying of any programs, documentation, Equipment, Software, analyses, firmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like, in the course of performance or completion of, or in any way connected with, the Services, or the Authority?s continued use of such materials. The Contractor shall indemnify the Authority against and save it harmless from all loss and expense incurred in the defense, settlement or satisfaction of any claims in the nature of patent, copyright, or other proprietary right infringement arising out of or in connection with the Authority?s use, pursuant to this Agreement, of patentable subject matter or patented material, compositions of matter, manufactures, apparatus, appliances, processes of manufacture or types of construction, or copyrighted matter or other matter protected as intellectual property. If the Authority be enjoined from using any of the facilities which form the subject matter of this Agreement, and as to which the Contractor is to indemnify the Authority against proprietary rights claims, the Authority may, at its option and without thereby limiting any other right it may have hereunder or at law or in equity, require the Contractor to supply, temporarily or permanently, facilities not subject to such injunction and not infringing any proprietary rights and if the Contractor shall fail to do so, the Contractor shall, at its expense, remove all such facilities and refund the cost thereof to the Authority and otherwise equitably adjust compensation and take such steps as may be necessary to ensure compliance by the Authority with such injunction, to the satisfaction of the Authority. c) In the event that any work employed to provide Services pursuant to this Agreement, or portion thereof, is held to constitute an infringement and its use is or may be enjoined, the Contractor shall have the obligation at the Authority?s option to: i. modify, or require that the applicable subcontractor or supplier modify, the alleged infringing work at its own expense, without impairing in any respect the functionality or performance thereof that is non-infringin g; or ii. procure for the Authority, at the Contractor?s expense, the rights provided under this Agreement to use the infringing work. d) The Contractor shall be solely rCSponsible for determining and informing the Authority whether a prospective Sapplier or Subcontractor is a party to any litigation involving patent or copyright infringement, service mark or trademark violation, or proprietary rights claims or is subject to any injunction which may prohibit it from providing Equipment and/or Software hereunder. The Contractor shall enter into agreements with all Suppliers and Subcontractors at its own risk. The Authority may reject any Equipment, Software, Service or work which it believes to be the subject of any such litigation or injunction, or if, in the Authority?s judgment, use thereof would delay the Services, or be unlawful. 7-3 ARTICLE 7.04 ADDITIONAL WARRANTIES The Contractor warrants the following: a) All guarantees and warranties made herein are fully enforceable by the Authority acting in its own name. b) The Equipment it installs and places into operation will not result in any damage to exist facilities, walls or other parts of adjacent, abutting or overhead buildings, railroads, bridges, structures, surfaces, or any physical/mental damage to patron utilizing any units(s) of Equipment. ARTICLE 7.05 CORPORATE REPRESENTATIONS The Contractor warrants the following: The Contractor is a corporation duly organized, existing and in good standing under the laws of those jurisdictions where the ownership of the Contractor?s assets or the conduct of its business require the Contractor to be so qualified. b) The Contractor is qualified to do business in the State of New York, and is in good standing as a foreign or domestic corporation under the laws of the State of New York. c) There is no action, suit or proceeding pending or threatened against or affecting the Contractor before or by any court, administrative agency or other governmental entity which will in any way impair the Contractor?s ability to perform all of its obligations pursuant to this Agreement or which otherwise brings into question the enforceability or validity of the transactions contemplated by this Agreement. (1) The Contractor?s execution, delivery, and performance pursuant to this Agreement has been duly authorized by all appropriate corporate action on its part, and this Agreement constitutes the valid and binding obligation of the Contractor enforceable against it in accordance with the terms hereof. e) Neither the extension of this Agreement, nor the consummation by the Contractor of the transactions contemplated hereby, nor compliance by the Contractor with the provisions hereof, con?icts with or results in a breach of any of the provisions of the Certificate of Incorporation, the Articles of Incorporation or the By?laws of the Contractor?s company or any amendments thereto, or any applicable law, judgment, order, writ, injunction, decree, rule or regulation of any court, administrative agency or other governmental entity, or of any agreement or other instrument to which the Contractor is a party or by which it is bound, or constitutes a default under any provision thereof. 74 f) The Contractor warrants that the representations made in through in this Article are a continuing obligation of the Contractor, and the Contractor shall advise the Authority of any changes in the status of such representations. ARTICLE 7.06 FINANCIAL INFORMATION The Contractor represents and warrants that the certified financial statements and Federal tax returns it has supplied to the Authority fairly represent the financial condition of the Contractor?s company andlor its parent company, if any, as of the date thereof in accordance with Generally Accepted Accounting Principles. The Contractor further represents that there have been no material adverse events to its financial condition from the date of such financial statements to the date hereof. 7?5 CHAPTER 8 - DEFAULT, DAMAGES AND REMEDIES ARTICLE 8.01 EVENT OF DEFAULT a) An Event of Default shall mean a material breach of this Agreement by the Contractor. Without limiting the generality of the foregoing and in addition to those instances referred to elsewhere in this Agreement as a breach, an Event of Default shall include the following: i. ii. iv. vi. vii. ix. the Contractor failed to remit or credit revenues due the Authority pursuant to this Agreement; the Contractor has not delivered to the Authority Deliverables on a timely basis; the Software/Equipment proves incapable of meeting the functional and/or performance requirements set forth in the Statement of Work; the Contractor refused or failed, except in cases for which an extension of time is provided, to supply enough properly skilled workers or proper materials to perform the Services required under this Agreement; the Contractor failed to make prompt payment to subcontractors or suppliers for materials or labor; the Contractor has become insolvent (other than as interdicted by the bankruptcy laws), or has assigned the proceeds received from' this Agreement for the benefit of its creditors, or it has taken advantage of any insolvency statute or debtor/creditor law or if the Contractor?s property or affairs have been put in the hands of a receiver; the Contractor has failed to obtain the approval of the Authority where required by this Agreement; the Contractor has failed to provide ?adequate assurances? as required under subsection below; the Contractor?s certified financial statements and Federal tax returns or those of its parent company submitted to the Authority do not fairly represent the Contractor or its parent?s true financial position; the Contractor has failed in the representation of any warranties stated herein; 8-1 xi. the Contractor makes a statement to any representative of the Authon'ty indicating that the Contractor cannot or will not perform any one or more of its obligations under this Agreement; xii. any act or omission of the Contractor or any other occurrence which makes it improbable at the time that the Contractor will be able to perform any one or more of its obligations under this Agreement; any suspension of or failure to proceed with any part of the Services by the Contractor which makes it improbable that the Contractor will be able to perform any one or more of its obligations under this Agreement; or xiv. a pattern of repeated failures to meet the performance standards. b) When, in the opinion of the Authority, reasonable grounds for uncertainty exist with respect to the Contractor?s ability to perform the Services or any portion thereof, the Authority may request that the Contractor, within the time frame set forth in the Authority?s request, provide adequate assurances to the Authority, in writing, of the Contractor?s ability to perform in accordance with terms of this Agreement. Until the Authority receives such assurances, the Authority may suspend all payments to the Contractor. In the event that the Contractor fails to provide to the Authority the requested assurances within the prescribed time frame, the Authority may: i. treat such failure as a repudiation of this Agreement; ii. resort to any remedy for breach provided herein or at law or equity, including, but not limited to, taking over the performance of the Services or any part thereof either by itself or through others; remove all technical documentation deposited with the escrow agent set forth in Appendix E, ?Escrow Agreement?, with the pu1pose of competitively procuring any Equipment or Software or providing any Services based on such documentation; and iv. suspend the Contractor?s performance hereunder. The enumeration in this Article or elsewhere in this Agreement of specific rights or remedies of the Authority shall not be deemed to limit any rights or remedies which the Authority would have in the absence of such enumeration and no exercise by the Authority of any right or remedy shall operate as a waiver of any other of the Authority?s rights or remedies not inconsistent therewith or to stop the Authority from exercising such other rights or remedies. 8?2 ARTICLE 8.02 NOTICE OF DEFAULT - CHANCE TO CURE, TERMINATION If, in the determination of the Authority, an Event of Default occurs, the Authority may so notify the Contractor (?Default Notice?) specifying the basis(es) for such default, and advising the Contractor that such default must be cured immediately or this Agreement with the Authority may be terminated. The Authority may, in its sole discretion, allow the Contractor to rectify the default to the Authority?s reasonable satisfaction within a ten (10) working day period. The Authority may grant an additional period to cure of such duration as the Authority shall deem appropriate without waiver of any of the Authority?s rights hereunder, so long as the Contractor has commenced curing such default and is effectuating a cure with diligence and continuity during such ten (10) day period or any other period which the Authority prescribes. The Default Notice shall specify the date the Contractor is to discontinue all Services (the ?Termination Date"), and the Contractor shall thereafter discontinue the Services upon the Termination Date. ARTICLE 8.03 REMEDIES IN THE EVENT OF DEFAULT a) Upon the Contractor?s default, the Authority, or its designated representatives, shall have the right to immediately take possession of all applicable Equipment, Software and data, and the applicable facilities that house such items, and operate the New York Customer Service Center. The Authority shall also have the right to complete the Services with the Contractor's employees and/or its Subcontractors. The Authority, as part of its light to complete the Services, may: take possession the materials, plants, tools, Equipment, supplies and property of every kind, provided, purchased, maintained, leased, owned, or rented by the Contractor including but not limited to all technical specifications, drawings, source code, and object code placed into escrow; make available such escrowed materials to third parties; and/or procure other materials, plant, tools, equipment, and supplies and may charge the Contractor and the Contractor shall be liable to the Authority for the expense of said labor, materials, plant, tools, equipment, supplies and property. b) If the Contractor is determined to be in default, the Contractor shall be liable for those damages provided herein resulting from the default, including but not limited to: i. losses as defined in Article 7.01; ii. the difference between the costs associated with procuring alternative Equipment, Software and Services, including the amount actually expended by the Authority and costs of administration, and the compensation the Authority would otherwise have paid the Contractor for Services pursuant to this Agreement. The Contractor shall also remain liable for any other liabilities and claims related to the Contractor?s default. All damages may be deducted and paid out of any monies due from the Authority to the Contractor. 8-3 c) As an alternative to termination, the Authority may bring any suit or proceeding for specific performance or for an injunction. ARTICLE 8.04 ACTUAL DAMAGES The Contractor acknowledges that its performance is critical to the operation of the Authority in so much as the Services to be provided pursuant to this Agreement directly involve the Authority?s revenue and customer service. The Contractor agrees that the actual damages set forth below are fair and reasonable and shall be incurred by the Contractor in the event of unsatisfactory performance: a) In the event the Contractor has not completed its Transition Plan such that the Contractor is performing all of the Services pursuant to this Agreement, and therefore the Authority must retain the services of its existing service provider to continue these Services beyond the scheduled transition date, then the Contractor shall be responsible for reimbursing the Authority for the difference between all costs paid to its existing service provider in continuing these services beyond that transition date until such time that the Contractor has assumed full operation and the Authority no longer must incur costs with its current service provider and the costs the Authority would have paid to the Contractor if it had assumed full operation for that time period, and any other damages to the Authority. b) The Contractor shall reimburse the Authority for any revenue, which the Authority identifies as having been lost due to the fault of the Contractor. The Authority may choose, in its sole discretion, to recover such lost revenue from the Contractor by deducting such amounts from payments otherwise due and owing from the Authority to the Contractor. Lost revenue includes, but is not limited to, such events as lost transactions, transactions delayed in posting beyond thirty (30) days, transactions which are otherwise unable to be posted to customer accounts, and improper tag validation files resulting in incorrect customer handling. c) The Contractor shall be responsible for any other costs incurred which are the result of its improper handling of these Services, including such things as special mailings to customers to notify them of a mistake in their statements. d) The Contractor shall reimburse the Authority for the actual value of all transactions which are 30 days beyond receipt and not posted to an account. The Authority may choose, in its sole discretion, to recover such lost revenue from the Contractor by deducting such amounts from payments otherwise due and owing from the Authority to the Contractor. Moreover, the Contractor is obligated to notify the Authority about transactions that are not processed within 5 days of receipt, including but not limited to those not posted to customer accounts, not transmitted to another agency or not processed as a violation. 8-4 ARTICLE 8.05 THE AUTHORITY MAY AVAIL ITSELF OF ALL REMEDIES The Authority?s rights and remedies as set forth in this Agreement are not exclusive and are in addition to any other rights and remedies available to it in law or in equity. The Authon'ty?s exercise, or the beginning of the exercise, of one remedy shall not be deemed to be a waiver of the right to exercise, at the same time or thereafter, any other remedy. ARTICLE 8.06 NO DAMAGES FOR DELAY The Contractor agrees that it shall not make any charges or claims for damages against the Authority for any delays or hindrances from any cause whatsoever, including acts or omissions of the Authority or any of its representatives or other contractors, during the progress of any portion of the Services provided pursuant to this Agreement. ARTICLE 8.07 FORCE MAJURE Except as otherwise expressly provided herein, neither party hereto shall be considered in default in the performance of its obligations hereunder to the extent that such performance is prevented or delayed by any cause, existing or future, which is not within the reasonable control of such party including, but not limited to, acts of God or the public enemy, fires, explosion, riots, strikes (not including strikes of the Contractor?s Staff Personnel), or war, where the party whose performance was delayed did not otherwise cause or contribute to the cause or not prevent when able to prevent such delay. Notwithstanding the foregoing, the failures of any of the Contractor?s Suppliers, Subcontractors, or the like shall not excuse the Contractor?s performance except to the extent that such failures are due to any cause without the fault and not within the reasonable control of such Suppliers, Subcontractors or the like including, but not limited to, acts of God, fire, earthquake, explosion, epidemic, riots, civil disturbance, strike, war, injunctions of governmental entities, embargoes and blockades. ARTICLE 8.08 SET-OFF RIGHTS The Authority shall have rights of set-off. These rights shall include, but not be limited to, the Authority?s option to withhold for the purposes of set?off any monies due to the Contractor under this Agreement up to any amounts due and owing by the Contractor to the Authority with regard to this Agreement, or any other contract with the Authority, including any contract for a term commencing prior to the term of this Agreement, plus any amounts due and owing to the Authority for any other reason including, without limitation, monetary penalties, adjustments, fees, or claims for damages by the Authority and third parties in connection therewith. 8?5 CHAPTER 9 - OTHER STATUTORY REQUIREMENTS ARTICLE 9.01 WAGE AND HOURS PROVISIONS If this is a public work contract covered by Article 8 of the New York State Labor Law or a building service contract covered by Article 9 thereof, neither the Contractor?s employees nor the employees of its Subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the New York State Labor Law and as set forth in prevailing wage and supplement schedules issued by the New York State Labor Department. Furthermore, the Contractor and its Subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the New York State Labor Department in accordance with the New York State Labor Law. ARTICLE 9.02 INTERNATIONAL BOYCOTT PROHIBITION In accordance with New York State Labor Law ?220?f, if this Agreement exceeds $5,000, the Contractor agrees, as a material condition of this Agreement, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership, or corporation has participated, is participating, or shall participate in an international boycott in violation of the Federal Export Administration Act of 1979 (50 USC App. ??2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affiliates of the Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to this Agreement?s execution, this Agreement, amendment or modification thereto shall be rendered forfeit and void. The Contractor shall so notify the Authority within five (5) business days of such conviction, determination or disposition of appeal. ARTICLE 9.03 NON-COLLUSIVE BIDDING CERTIFICATION In accordance with New York State Public Authorities Law ?2878, if this Agreement was awarded based upon the submission of bids, the Contractor warrants, under penalty of perjury, that its bid was an?ived at independently and without collusion aimed at restricting competition. The Contractor further warrants that, at the time the Contractor submitted its bid, an authorized and responsible person executed and delivered to the Authority a non?collusive bidding certification on the Contractor?s behalf. ARTICLE 9.04 IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to the Authority must include the payee?s identification number, the seller?s or lessor?s identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers. The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in New York State Tax Law Disclosure of this information by the seller or lessor to the Authority is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the New York State Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any other purpose authorized by law. The above personal information is maintained at the New York State Thruway Authority, Department of Finance and Accounts, PO. Box 189, Albany, New York 12201. ARTICLE 9.05 NON-DISCRIMINATION REQUIREMENTS To the extent required by Article 15 of the New York State Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, military status, age, disability, genetic predisposition or carrier status, or marital status. Furthermore, in accordance with New York State Labor Law ?220?e, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this Agreement shall be performed within the State of New York, the Contractor agrees that neither it nor its Subcontractors shall, by reason of race, creed, color, disability, sex or national origin: discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or discriminate against or intimidate any employee hired for the performance of work under this Agreement. If this is a building service contract as defined in New York State Labor Law {$230, then, in accordance with ?239 thereof, the Contractor agrees that neither it nor its Subcontractors shall, by reason of race, creed, color, national origin, age, sex or disability: discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or discriminate against or intimidate any employee hired for the performance of work under this Agreement. The Contractor is subject to fines of $50 per person per day for any violation of New York State Labor Law ??220-e or 239 as well as possible termination of this Agreement and forfeiture of all moneys due hereunder for a second or subsequent violation. 9?2 ARTICLE 9.06 EQUAL EMPLOYIVIENT OPPORTUNITIES FOR MINORITIES AND WONIEN In accordance with New York State Executive Law ?312, if this Agreement is: a written agreement or purchase order instrument, providing for a total expenditure in excess of $25,000, whereby the Authority is committed to expend or does expend funds in return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the Authority; or (ii) a written agreement in excess of $100,000 whereby the Authority is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or a written agreement in excess of $100,000 whereby the owner of a New York State assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, or major repair or renovation of real property and improvements thereon for such project, then: a) The Contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability, or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. As used in this clause, ?affirmative action? shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, lay- off or termination, and rates of pay or other forms of compensation. b) At the request of the Authority, the Contractor shall request each employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status, and that such union or representative will affirmatively cooperate in the implementation of the Contractor?s obligations herein. 0) The Contractor shall state, in all solicitations or advertisements for employees, that in the performance of this Agreement all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. The Contractor shall include the provisions of and above in every subcontract over $25,000 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon except where such work is for the beneficial use of the Contractor. Section 312 does not apply to: work, goods or services unrelated to this Agreement; or (ii) employment outside New York State; or banking services, insurance policies or the sale of securities. ARTICLE 9.07 MACBRIDE FAIR EMPLOYMENT PRINCIPLES In accordance with the MacBride Fair Employment Principles (Chapter 807 of the New York Laws of 1992), the Contractor hereby stipulates that the Contractor either 9-3 has no business operations in Northern Ireland, or shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in New York State Finance Law ?165), and shall permit independent monitoring of compliance with such principles. ARTICLE 9.08 PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS The Contractor certifies and warrants that all wood products to be used under this Agreement will be in accordance with, but not limited to, the specifications and provisions of New York State Finance Law ?165 (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by New York State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the Contractor to establish to meet with the approval of the Authority. In addition, when any portion of this Agreement involving the use of woods, whether supply or installation, is to be performed by any subcontractor, the Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in New York State Finance Law ?165. Any such use must meet with the approval of the Authority; otherwise, the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the responsibility of the Contractor to meet with the approval of the Authority. ARTICLE 9.09 RECIPROCITY AND SANCTIONS PROVISIONS The Contractor is hereby notified that if the Contractor?s principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services it offers will be substantially produced or performed outside New York State, the New York State Omnibus Procurement Act 1994 and 2000 amendments (Chapters 684 and 383, respectively) require that it be denied contracts which it would otherwise obtain. Contact the New York State Department of Economic Development, Division for Small Business, 30 South Pearl Street, Albany, New York 12245, for a current list of jurisdictions subject to this provision. ARTICLE 9.10 COMPENSATION AND DISABILITY BENEFITS This Agreement shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this Agreement for the benefit of such employees as are required to be covered by the provisions of the New York State Workers? Compensation Law. If employees will be working on, near or over navigable waters, a US. Longshore and Harbor Workers? Compensation Act endorsement must be included. 94 ARTICLE 9.11 PURCHASES OF APPAREL In accordance with New York State Finance Law the Authority shall not purchase apparel from any vendor unable or unwilling to certify that: such apparel was manufactured in compliance with all applicable labor and occupational safety laws, including, but not limited to, child labor laws, wage and hours laws and workplace safety laws; and (ii) Contractor will supply with its bid (or, if not a bid situation, prior to or at the time of signing a contract with the Authority), if known, the names and addresses of each subcontractor and a list of all manufacturing plants to be utilized by the bidder. 9-5 CHAPTER 10 - MISCELLANEOUS ARTICLE 10.01 INDEPENDENT CONTRACTOR The Contractor is and shall be, in all respects, an independent contractor in performing Services pursuant to this Agreement. In accordance with its status as an independent contractor, the Contractor covenants and agrees that neither it nor its agents and/or employees will hold itself or themselves out as or claim to be an officer or employee of the Authority, and that neither the Contractor nor its agents and employees shall make any claim, demand or application to or for any right or privilege applicable to an officer or employee of the Authority, including, but not limited to Worker?s Compensation coverage, Unemployment Insurance benefits, Social Security coverage or Retirement System membership or credit. ARTICLE 10.02 GOVERNING LAW This Agreement shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. ARTICLE 10.03 NON-ASSIGNNIENT This Agreement may not be assigned by the Contractor nor may its right, title or interest therein be assigned, transferred, conveyed, subcontracted, sublet or otherwise disposed of without the previous consent, in writing, of the Authority, which consent shall not be unreasonably withheld, and any attempts to assign the Agreement without the Authority?s written consent are null and void. ARTICLE 10.04 SERVICE OF PROCESS In addition to the methods of service allowed by the New York State Civil Practice Law Rules, the Contractor hereby consents to service of process upon it by registered or certified mail, return receipt requested. Service hereunder shall be complete Upon the Contractor?s actual receipt of process or upon the Authority?s receipt of the return thereof by the United States Postal Service as refused or undeliverable. The Contractor must notify the Authority, in writing, of each and every change of address to which service of process can be made. Service by the Authority to the last known address shall be sufficient. The Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond. ARTICLE 10.05 NO THIRD PARTY LIABILITY Nothing provided herein shall create any rights in any third party in this Agreement nor shall it create any obligation on the part of the Authority to any third party. ARTICLE 10.06 ENVIRONMENTAL REVIEW The Authority reserves the right to be ?lead agency? for any compliance with the New York State Environmental Quality Review Act (SEQRA) and/or the National Environmental Policy Act (NEPA), as may be required for this Agreement or any activity undertaken by the Contractor pursuant to this Agreement. 10?1 ARTICLE 10.07 NO ARBITRATION. Disputes involving this Agreement, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authon'zed) but must, instead, be heard in a court of competent jurisdiction of the State of New York. ARTICLE 10.08 RECORDS a. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to the performance of Services pursuant to this Agreement (collectively, ?Records?) for a period of six (6) years (or any other longer period required by law) following final payment or the termination of this Agreement, whichever is later, and any extensions thereof. The Authority, New York State Comptroller, New York State Attorney General and any other person or entity authorized to conduct an examination shall have access to the Records during normal business hours at an office of the Contractor within New York State, or, if no such office is available, at a mutually agreeable and reasonable venue within New York State, during the term of this Agreement, any extensions thereof and said six (6) year period thereafter, for purposes of inspection, auditing and copying. As used in this clause, ?termination of this Agreement? shall mean the later of completion of the Work of the Agreement or the end date of the term stated in the Agreement. b. The Contractor shall include the provisions of paragraph above in all of its contracts with subcontractors. c. The Contractor shall permit, and shall require that its subcontractors and suppliers permit authorized representatives of the Authority to inspect and review all Services, materials and other relevant data or records and to audit any subcontractor?s and suppliers' books and records pertaining to the Contractor?s quality assurance efforts in connection with the performance of any Services hereunder. Such audit and inspection may include, but shall not be limited to, surveillance of the Contractor?s operations to ensure compliance with the quality assurance procedures, and (ii) a review of all bank and customer account information. ARTICLE 10.09 PRESS RELEASE OR OTHER PUBLIC COMMUNICATION Under no circumstances shall the Contractor: a) Issue or permit to be issued any press release, advertisement or literature of any kind which refers to the Authority, or the Services being performed pursuant to this Agreement, unless the Contractor first obtains the written approval of the Authority. The Contractor understands and accepts that generally the Authority will not grant permission for public announcements or news releases and will limit the use of the Authority?s name to references only; and b) Communicate in any way with any contractor, department, board, agency, commission or other organization or any person whether governmental or private in 10?2 connection with the Services to be performed hereunder except upon prior written approval and instruction of the Authority; and c) Represent, directly or indirectly, that any product or Service provided by the Contractor has been approved or endorsed by the Authority. ARTICLE 10.10 ANTITRUST ASSIGNMENT The Contractor hereby assigns, sells and transfers to the Authority all rights, title and interests in and to any claims and causes of action arising under the antitrust laws of the State of New York, or of the United States relating to the particular goods or Services purchased or procured by the Authority hereunder. ARTICLE 10.11 MOST FAVORED CUSTOMER The Contractor agrees to treat the Authority as its most favored customer. The Contractor represents that all of the prices, warranties, benefits and other terms being provided hereunder are equal to or better than the terms being offered by the Contractor to any other customers. If the Contractor provides Services to the Authority which it did not create specifically for the Authority and which it offers to its current customers, the Contractor represents that all of the prices, warranties, benefits and other terms associated with those Services are equal to or better than the terms being offered by the Contractor to its other customers. If, during the term of this Agreement, the Contractor enters into an agreement with any other customer providing such customer with more favorable terms, the Contractor shall notify the Authority and then this Agreement will be deemed appropriately amended to provide such terms to the Authority. The Contractor shall provide the Authority with any refund or credits thereby created. ARTICLE 10.12 SUCCESSION In the event that this Agreement is terminated for convenience or default or upon the Agreement completion date or expiration of the Agreement term or any extensions thereof, the Contractor shall cooperate with the Authority to facilitate a smooth succession to the Authority?s selected successor for the Services. Additionally, the Contractor agrees to: a) make all operational records, documents, data, systems, and facilities required to maintain day-to?day operations of the Services being rendered under this Agreement available on or before the date of such termination, suspension, or expiration; b) make all other records, documents, data and Software which is licensed to the Authority and pertaining to the Services rendered for this Agreement available within thirty (30) days upon written notice; c) make all necessary provisions for transferring any leases held by the Contractor to the Authority; d) make all necessary provisions for securing, providing, and/or granting Software licenses to continue operations; and 10?3 e) provide the Authority, upon request, at a reasonable per transaction fee, continued access to the Contractor?s Department of Motor Vehicles registry system for the processing of violation information for a maximum of one year thereafter. Failure to make the foregoing available shall be an independent Event of Default. ARTICLE 10.13 NO WAIVER OF PROVISIONS The Authority?s failure to exercise or delay in exercising any right or remedy under this Agreement shall not constitute a waiver of such right or remedy or any other right or remedy set forth therein. No waiver by the Authority of any right or remedy under this Agreement shall be effective unless made in a writing duly executed by an authorized officer of the Authority, and such waiver shall be limited to the specific instance so written and shall not constitute a waiver of such right or remedy in the future or of any other 1i or remedy under this Agreement. ARTICLE 10.14 SEVERABILITY If any provision of this Agreement is determined by a court of competent jurisdiction to be invalid or unenforceable, the remainder of this Agreement shall not be affected, but shall remain binding and effective as against all parties hereto. ARTICLE 10.15 ENTIRE AGREEMENT This Agreement, together with any appendices, attachments, schedules or exhibits, constitutes the entire understanding between the parties and there are no other oral or extrinsic understandings of any kind between the parties. This Agreement may not be changed or modified in any manner except by a subsequent writing, duly executed by the parties thereto. ARTICLE 10.16 SURVIVAL OF TERMS The Contractor?s obligations and the obligations of the Authority under this Agreement, which by their nature would continue beyond the termination, cancellation, or expiration thereof, shall survive termination, cancellation, or expiration hereof. ARTICLE 10.17 NOTICES Any notices permitted or required to be given hereunder shall be in writing and shall be delivered personally, or sent by overnight couriers or by registered or certified mail, return receipt requested, and addressed to the persons specified below: Authority: Executive Director New York State Thruway Authority 200 Southern Boulevard Albany, New York 12209 10-4 Contractor: ACS State Local Solutions, Inc. Transportation Services TS Chief Operating Officer 1800 Street, NW, Suite 700 Washington, DC. 20036 ARTICLE 10.18 APPENDICES AND EXHIBITS INCORPORATED BY REFERENCE The Contractor agrees to comply with all of the terms and conditions set forth in Appendices A, B, C, and and Exhibit 1, which are attached hereto and expressly made a part of this Agreement as if set forth at length herein. Appendix A - Section 2 of the Request for Proposal for Customer Service Center Services No. dated June 20, 2005, as amended by Addendum No.1 issued July 22, 2005, Addendum No.2 dated August 8, 2005, Addendum No.3 dated August 22, 2005, and Addendum No.4 dated September 14, 2005. Appendix Section 5 of the Contractor preposal submission dated September 26, 2005, the Contractor letter submission dated October 19, 2006, and the Contractor letter submission dated May 7, 2007. Appendix Pricing Schedule Appendix Pricing Adjustment for Non?Compliance with Performance Standards Appendix Escrow Agreement Exhibit 1 Authority Supplemental Insurance Certificate 10?5 CHAPTER 11 - BE REQUIREMENT Minority And Women-Owned Business Enterprise Program Affirmative Actionquual Employment Opportunity Program Submission Requirements for Proposers/Contractors ARTICLE 11.01 NEW YORK STATE LAW AND REGULATIONS Proposers are advised that this Contract is subject to the provisions of Article of the New York Executive Law (the "State Law?) and implementing regulations set forth in Chapter XIV, Parts 140 to 145 of Title 5 (the ?Regulations") establishing a policy and program of the State to promote equality of economic opportunity for business enterprises owned by minority group members and women. A copy of the State Law and the Regulations will be provided upon written request to the Contract/Project Manager. For this contract, the Contract/Project Manager's name, telephone number and address are: Name: Eric Christensen Telephone No.: 518-471-4227 Address: 200 Southern Blvd., Albany, NY 12209 ARTICLE 11.02 CONTRACT PROVISIONS The successful Proposer and the Authority agree as a condition for the Contract, to be bound by the provisions of Executive Law Article 15-A, as well as all other provisions of the State Law. This Chapter summarizes the relevant provisions of the State Law. Unless otherwise stated, all terms used in this Chapter shall have the meaning ascribed to them in the Regulations. In the event there is a difference between what is set forth in this Chapter and what is set forth in the State Law and the Regulations, the State Law and the Regulations shall govern. ARTICLE 11.03 GOALS The respective goals specified for the utilization of minority and women?owned business enterprises expressed as a percentage of the amount of the total contract price that is attributable to work performed in New York State, including change orders issued pursuant to the Extra Work provisions of this Contract are: 10% for MBE and 5% for WBE 11-1 These goal percentages are subject to the requirements of the State Law, the Regulations and the provisions of this contract. ARTICLE 11.04 OBJECTIONS TO GOALS: DISPROPORTIONATE ADVERSE IMPACT OR INADEQUATE COMPETITION Although not required by the State Law or the Regulations, the Authority allows a prospective contractor or subcontractor to object to either or both of the above specified goals pursuant to the following procedure. This procedure is separate and distinct from the procedures (which are described in sections 11.07 and 11.11 below) in the State Law and the Regulations pursuant to which a firm may request that a goal be waived, or file a complaint. A. Grounds for objection: A potential contractor or subcontractor may object to a goal on the basis that it will result in inadequate competition for a subcontract or for a group of subcontracts or on the basis that the goal will have a disproportionate adverse impact on a company. B. Submission of objection: An objection shall be made in writing and shall be explained in detail. It must be received in accordance with Sections 1.5 and 1.7.3 of this Request for Proposals. C. Authority's determination of an objection: The objection will be evaluated and a ?nal determination will be made on behalf of the Authority. Such determination is not subject to the administrative remedies set forth in the State Law and the Regulations. While the objection is pending, the firm filing the objection must assume that the submission deadline for a proposal is unchanged and that the Proposer must comply with the contract requirements identified in this Chapter. However, the Authority may, in its sole discretion, change the submission deadline. ARTICLE 11.05 STATE DIRECTORY As part of the State law, the Empire State Development Corporation, Division of Minority and Women?s Business Development (NYS is empowered and requires its director (the "Director?), among other things, to promulgate a directory (the "State Directory") of minority and women?owned business entelprises certified pursuant to the Regulations ("certified businesses"). The State Directory will be made available for insPection free of charge by contacting the Contract/Project Manager. The directory may be accessed via the Internet at: Note: Under the State Law and Regulations, proposers can only use MBEs and WBEs listed in the State Directory. For the purpose of the federal government's Disadvantaged Business Enterprise (DBE) Program, the Authority has certi?ed certain minority and women-owned business enterprises as DBEs. A ?rm 11?2 certi?ed by the Authority as a DBE for the federal DBE program which is not listed in the State Directory may not be used to satisfy goals established for this Contract. NIUST REFER TO THE STATE DIRECTORY. ARTICLE 11.06 UTILIZATON PLAN A. Appendix BB provides Proposers with forms relating to their Utilization Plan. The forms to be submitted are the Utilization Plan Form" (Form 15A.1) and the ?Intent to Pelform as a Subcontractor/Subconsultant Form? (Form 15A.4). Additional forms may be obtained from the Contract/Project Manager. B. A Proposer is required to refer to its technical proposal (as described in Section 1.9.2 of the Request for Proposals) in submitting a description of its utilization plan. The Utilization Plan shall include, 1) a statement that the Proposer will achieve the goals as specified in this Chapter and shall indicate the name, address and federal identification or social secun'ty number of the certified minority and women?owned businesses the Proposer will use if awarded this contract, 2) a description of the services/work to be performed by each with specific references to the Proposer?s technical proposal, and, 3) the percentage of contract work to be performed by each such firm. The Proposer shall indicate the dollar value and cost breakdown of each subcontract for each certified identified in its Utilization Plan. The Utilization Plan shall be based on the first five (5) years of the contract term. However, if selected as Contractor, the Contractor shall meet the goals for the full (ten year) term of the contract agreement and any extensions thereof. If the Utilization Plan does not demonstrate that the Proposer will meet the goals set by the Authority for the Contract, the Proposer, at the same time as it submits its technical proposal, must submit a request for a waiver pursuant to section 11.07 below. A Proposer is required to submit with its proposal the completed Utilization Plan Form? (Form 15A.1). If a revised scope of services or cost proposal is requested by the Authority, unless otherwise approved in writing in advance by the MTA Office of Civil Rights, Division of Business Programs, a revised Utilization Plan must be submitted which: i) achieves the percentage goals set for this contract; and ii) provides for the Proposer to use the same firms specified in its original Utilization Plan. For each listed on the Utilization Plan Form" (Form 15A.1) the Proposer must submit an executed ?Intent to Perform as a Subcontractor/Subconsultant Form? (Form 15A.4). The Form 15A.4 attests to the Authority and the Proposer that the undersigned firm intends to enter into a formal 11?3 agreement for the work described on the Form 15A.4 with the named Proposer conditioned upon the named Proposer being awarded this contract by the Authority. C. The Authority, in its sole discretion, may extend the deadline for submission of a Utilization Plan and the Intent to Perform as a Subcontractor/Subconsultant Forms for a reasonable time. A request for an extension must be submitted to the Contract/Project Manager, in writing. D. All submissions must be delivered to the Authority's Procurement Department to the attention of the Contract/Project Manager. E. Contractor representation: The listing of an BE by a Proposer in its Utilization Plan, particularly on the Utilization Plan Form (Form 15A.1), shall constitute: i) a representation by the Proposer to the Authority in regard to the firm that: it intends to use the firm for the work speci?ed in the Utilization Plan; on the basis of information known to it and after reasonable inquiry, it believes such firm to be technically and financially qualified to perform the work specified and that the firm is available to perform the work; and the firm identified is currently certified as either a MBE or WBE by the Empire State Development Corporation, Division of Minority Women Business Development; ii) a commitment by the Proposer that, if it is awarded the Contract, it will enter into a subcontract with such (or an approved substitute) in accordance with the Utilization Plan; a commitment by the Proposer that it will not substitute an firm listed in its Utilization Plan Form, unless the Authority gives its prior written approval in accordance with subparagraph below; iv) if Proposer is an and lists itself on the Utilization Plan Form, a commitment that it will perform the work indicated with its own workforce. F. Substitutions: Under all circumstances, no substitution(s) of firms designated on the BE Utilization Plan Form (Form 15A.1) may be made without the Authority's p1i01 written approval. A request for substitution must be made in writing and shall explain the reason(s) for substitution. 11?4 ARTICLE 11.07 WAIVERS A. When to Request a Waiver A Proposer/Contractor must request a total or partial waiver of the goals for this contract: i) If the contract has not yet been awarded, simultaneously with the Proposer's submission of its Utilization Plan if that plan does not demonstrate that the firm will meet the goals; ii) If the contract has been awarded to the firm and its Utilization Plan has been approved, the earlier of the following: a) after the Contractor realizes that it will not meet the goals; b) prior to final payment on the contract. B. Waiver Form - A request for a waiver must be made by submitting a completed "Request for Total or Partial Waiver of Goal(s) Pursuant to Utilization Plan Form" (Form 15A. 2) and the information specified below. Additional forms are available upon request from the Contract/Project Manager. C. Evaluation of Requests: The Authority will evaluate and determine whether to grant a request for a total or partial waiver of goal requirements in accordance with the Regulations and on the basis of the information provided through Form 15A.2 and such other information as the Authority deems relevant. The goals set by the Authority are based on the criteria set forth in the Regulations. When it receives a request for waiver, the central question always addressed by the Authority is whether the Proposer/Contractor made good faith efforts to identify and afford subcontracting opportunities to MBEs and WBEs that were technically and financially qualified to perform the work specified, that were available to perform the work and that submitted proposals. D. Duplication/Conflict with Federal Laws: The Authority may waive the provisions of this Chapter for the Contractor or any of its subcontractors that are in compliance with Federal laws and regulations concerning opportunities for minority and women-owned business enterprises which effectuate the purpose of this Chapter. A Contractor and/or subcontractor requesting a waiver should forward its written request to the Contract/Project Manager. Requests for a waiver should include copies of documentation supporting compliance with Federal laws. The Contractor and/or subcontractor shall supply any additional information and/or documentation applicable to the request for a waiver that the Authority requests. 11?5 Contractor and/or subcontractor that intend to file a post-award request for a waiver will be subject to all pre-award MBE and WBE requirements set forth in the contract documents. ARTICLE 11.08 GOOD FAITH EFFORTS The Authority may consider any criteria it determines relevant or which a Proposer/Contractor submits to document its good faith efforts, provided that the criteria set forth in the Regulations will also be considered for purposes of determining whether a Proposer/Contractor has documented good faith efforts. ARTICLE 11.09 DEFICIENCIES IN PROPOSER NIBEIWBE UTILIZATION PLAN A. Within 20 days of receipt of a Utilization Plan, the Authority will send a written notice to the Preposcr of acceptance or deficiency of the Utilization Plan. If the notice specifies that there is a deficiency, within seven (7) business days after receipt, the Proposer my; deliver to the Contract Manager a written response to the notice of deficiency. Failure to respond on a timely basis may be grounds for disqualification. B. The Authority may allow additional time to submit, or (ii) additional submissions after the seven (7) business day period, based upon its determination that the Proposer is making a good faith attempt to submit a response or to correct the deficiencies. ARTICLE 11.10 DISQUALIFICATION OF PROPOSER The Authority may disqualify a Proposer as being non-responsible: for failure to submit a Utilization Plan; (ii) for failure to respond to deficiencies in the Utilization Plan noticed in accordance with Article 11.09, above; or upon a determination that the Utilization Plan does not indicate that the goal requirements will be met and the Proposer has not documented that it has made good faith efforts to develop a Utilization Plan that satisfies goal requirements. The Authority shall issue to a disqualified Proposer a notice of and statement of reasons for the Authority's final decision. Where (ii) or above are the reason(s) for disqualification, the disqualified proposer may request a hearing in accordance with the procedures outlined in Executive Law Article 15-A and the regulations. ARTICLE 11.11 COMPLAINTS AGAINST THE AUTHORITY BY A CONTRACTOR AFTER NOTICE TO PROCEED A. After Notice to Proceed, a Contractor may file a complaint with the Executive Director, Empire State Development Corporation, Division of Minority Women Business Development, asserting that the Authority unreasonably: i) denied in whole or part a request for waiver of a goal; ii) determined that the Contractor is failing 11-6 or refusing to comply with a goal; or failed to grant or deny a request for waiver within twenty (20) days of its receipt of a completed form 15A.2. B. The procedure and time limits for filing and resolving such a complaint are set forth in the Regulations. ARTICLE 11.12 COMPLAINTS BY THE AUTHORITY AGAINST A CONTRACTOR AFTER NOTICE TO PROCEED A. After Notice to Proceed, the Authority may file a complaint with the Executive Director asserting that: i) a Utilization Plan or response to a notice of deficiency is deficient; ii) a Contractor is unreasonably failing or refusing to comply with the goals for participation by MBEs and WBEs. B. The procedure and time limits for filing and resolving a complaint are set forth in the Regulations. ARTICLE 11.13 A. The Proposer agrees as a precondition to entering into a valid and binding contract, not to discriminate against any employee or applicant for employment for work under this Contract, or any subcontract hereunder, by reason of race, creed, color, national origin, sex, age, disability or marital status, and that it shall make and document its conscientious and active eff01ts to employ and utilize minority group members and women in its workforce on this contract. The Proposer will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal opportunities without discrimination. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or teimination and rates of pay or other forms of compensation. Upon written request, the Authority shall supply contractors with labor force availability data, for specific job titles that fall within the relevant occupational categories. This data can be utilized by Proposers/Contractors in the identification, recruitment and retention of minority group members and women for participation on this Contract. B. The requirements of this Chapter shall not apply to any employment or application for employment outside New York State or solicitations or advertisements thereof, or any existing programs of affirmative action regarding employment outside New York State. C. The Authon'ty may waive the provisions of this Chapter for the Contractor or any of its subcontractors that are in compliance with Federal laws and regulations concerning equal employment opportunities that effectuate the purpose of this Chapter. The Authority generally will not grant a waiver if the work force to be utilized in the 11?7 performance of this Contract can be separated out from the Contractor?s and/or subcontractor?s total work force and that po?ion of the work force will be dedicated to the performance of the Contract within New York State. A Contractor and/or subcontractor requesting a waiver should forward its written request to the Contract/Project Manager. Requests for a waiver should include copies of documentation supporting compliance with Federal laws. The Contractor and/or subcontractor shall supply any additional information and/or documentation applicable to the request for a waiver that the Authority requests. Contractors and/or subcontractors that intend to file a post-award request for a waiver will be subject to all pre-award EEO requirements set forth in the contract documents. ARTICLE 11.14 AFFIRMATIVE SUBMISSION REQUIREMENTS The selected Proposer will be required to submit an EEO 1 Form (provided in Appendix BB) and EEO Policy Statement within seven (7) calendar days after it receives verbal notification of the selection. All other Proposers must submit the document within two (2) business days of verbal request for same. The Authority's Procurement Department will confirm, in writing, any verbal notification. However, the time frame for Proposer?s response is based upon the date the verbal notification was given. The Authority?s Procurement Department may extend the deadline for submission of an EEO 1 Form or an EEO Policy Statement. Any requests for an extension must be submitted to the Authority's Procurement Department to the attention of the Contract Manager. If a Proposer does not submit an EEO-1 Form or an EEO Policy Statement, the proposal may be rejected unless reasonable justification for such failure is provided in writing or a commitment is made to provide such document within the timeframe established by the Authority. ARTICLE 11.15 CONTRACTOR COMPLIANCE REPORTING The Authority is responsible for determining compliance by the Contractor with the affirmative action and goals established in the Contract. The Authority may determine that the Contractor is complying with the affilrnative action and goals set forth in the Utilization Plan by examining reports received from a Contractor, on?site inspections, progress meetings regarding work required by the Contract, or other Authority actions taken in the ordinary course of administering the Contract. ARTICLE 11.16 POST AWARD CONTRACTOR COMPLIANCE A. Contractor Compliance Reports: The Contractor must submit the following items to the Authon'ty: BE Program Reports 6) Compliance Reports - By the fifteenth of each month, commencing after the Notice to Proceed, the Contractor is required to deliver to the Contract/Project Manager a completed Participation Report" (Form 15A.3). Such form is intended to provide a reporting mechanism on progress towards meeting goals. Workforce Utilization Reports (ii) (iV) Within sixty (60) days of the execution of this Contract, the Contractor shall submit a staffing plan to the Contract/Project Manager, which shall contain information on employees projected to work on activities related to the contract. This information must be broken down by specified ethnic background, gender and related job titles. The information must be submitted on the Staffing Plan Form After the Notice to Proceed, the Contractor shall submit on a semi- annual basis, throughout the life of the contract, a workforce utilization report to the Contract/Project Manager, which details the number of employees that worked on activities related to this contract. This information must be broken down by specified ethnic background, gender and related job titles. The information must be submitted on the appropriate MTA standard form In instances where a Contractor's workforce cannot be broken out, the Contractor must affirm such and submit an Form detailing its current workforce. During the lifetime of the contract, the Contractor shall undertake or continue existing programs of affirmative action and shall ensure that all subcontractors comply with the EEO requirements. B. Subcontracts 1) If the duration of this Contract is less than one year, within sixty (60) days of execution of this Contract, unless extended by the Authority in writing, the Contractor shall enter into written subcontract agreement(s) with listed in its Utilization Plan Form or with substitutes which have been approved by the Authority. 11?9 ii) If the duration of this Contract is one year or more, not later than thirty (30) days before a subcontractor commences work on the Contract, unless extended by the Authority in writing, the Contractor shall enter into written subcontract agreement(s) with the listed in its Utilization Plan Form or with substitutes which have been approved by the Authority. Copies of the Contractor?s executed subcontract agreement(s) with shall be provided to the Authority by the Contractor immediately upon execution, as directed by the Authority. iv) Within ninety (90) days of the execution of this Contract, the Contractor shall submit a work schedule outlining when the subcontractor(s) will commence and complete work on the Contract. The Contractor shall provide copies of all reports and subcontract agreements as stipulated above, as directed by the Contract/Project Manager. ARTICLE 11.17 PROHIBITION OF AGREEMENTS TO RESTRICT COMPETITION Agreements between a bidder and a in which the agrees not to provide subcontracting quotations to any other bidders are prohibited. ARTICLE 11.18 RESERVATION OF ALL REMEDIES The Authority reserves all remedies it may have pursuant to law and this Contract, in the event it determines that the Contractor has violated this Contract (including a failure to comply with the State law, the Regulations, or this Chapter). 11?10 CHAPTER 12 - NEW YORK STATE THRUWAY AUTHORITY SPECIFIC TERMS AND CONDITIONS ARTICLE 12.01 COMPTROLLER APPROVAL Unless otherwise provided by resolution of the Authority Board, if this Agreement involves the expenditure of funds for goods or services in excess of $50,000, or the expenditure of funds for any other purpose in excess of $15,000, or if, by this Agreement, the Authority agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, this Agreement shall not be valid, effective or binding upon the Authority until it has been approved by the State Comptroller and filed in his office. ARTICLE 12.02 OMNIBUS PROCUREMENT ACT OF 1992 It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women?owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business 30 South Pearl Street 7th Floor Albany, NY 12245 Phone: (518) 292?5220 A directory of certified minority and women?owned business enterprises is available from: NYS Department of Economic Development Minority and Women?s Business Development Division 30 South Pearl Street 2?d Floor Albany, NY 12245 The Omnibus Procurement Act of 1992 requires that by signing this Agreement, the Contractor certifies that whenever the total bid amount is greater than $1 million: a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the Authority; 12?1 b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (PL. 92?261), as amended; C) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment Opportunities on this project through listing any such positions with the Job Service Division of the NYS Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the Authority upon request; and d) The Contractor acknowledges that the Authority may seek to obtain offset credits from foreign countries as a result of this Agreement and agrees to cooperate with the Authority in these efforts. ARTICLE 12.03 RECORDS The Authority will take reasonable steps to protect from public disclosure those books, records, documents, accounts and other evidence directly pertinent to the performance of Services pursuant to this Agreement (collectively, ?Records?) which are exempt from disclosure under New York State Public Officers Law ?87 (?Statute?) provided that: the Contractor shall inform on a timely basis an appropriate Authority official, in writing, that said Records should not be disclosed; (ii) said Records shall be sufficiently identified; and designation of said Records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the Authority?s right to discovery in any pending or future litigation. 12?2 IN WITNESS WHEREOF, the patties hereto have executed this Agreement on the date first above written: ACS STATE LOC INC. Nlichael R.'Fleis er, ecutive Director Michael Ma Senior ice President and Managing Director I Federal ID Dale NEWY MATE ~55. ?Nona Approved as to of nds: Approved as WUN Form: 2011/ Authority Ch {Financial}ED 0le Attorney G?n'erah 1 (Jr 1; USU sLIJth-Cig 55?? Date ved as to For12n NYS Office of the State Comptroller Authorv 1ty General Counsel y: til 1:3in 4 Authority Director of Maintenance and Operations Contract C100739 Authority Certification In addition to the acceptance of this Ag1eement I certify that all original signature pages will be attached to all other counterparts oft tEisg Agreement. UMWMO Purchasing Agent 12?1 ACS STATE AND LOCAL SOLUTIONS, INC Contract C100739 STATE OF CT 361.. SS: COUNTY OF n/a On this luqday of 2007, before me personally Michael Huerta, to me known and known to me to be the Senior Vice President and Managing Director of ACS State and Local Solutions, Inc, who being by me duly sworn, did depose and say that he is the Senior Vice President and Managing Director of ACS State and Local Solutions, Inc, located at 1800 Street, Washington DC 20036 the corporation described in and which executed the foregoing instrument; that ACS State and Local Solutions, Inc governing body has authorized Michael Huerta to execute the foregoing instrument; and that he signed his name thereto by such authority. . {75194)91/01 (lowing: Notary Public KETURAH A. UNDERDUE NOTARY PUBLIC DISTRICT OF COLUMBM My Commission Expires June 30. 2010 NEW YORK STATE THRUWAY AUTHORITY Contract C100739 STATE OF NEW YORK SS: COUNTY OF ALBANY On this lgday of Sun ?2 2007, before me personally came MICHAEL R. FLEISCHER, to me known and known to me to be the EXECUTIVE DIRECTOR of the NEW YORK STATE THRUWAY AUTHORITY, who being by me duly sworn, did depose and say that he is the EXECUTIVE DIRECTOR of the NEW YORK STATE THRUWAY AUTHORITY, located at 200 Southem Boulevard, Albany, New York 12209, the public comoration described in and which executed the foregoing instrument; that the Board constituting the NEW YORK STATE TI-IRUWAY AUTHORITY has authorized him to execute the foregoing instrument; and that he signed his name thereto by such authority. LINDA M. GALLIGAN Notary Public, State of New Yark . Qualified in Hans County Notary PUth . No. IMASD Commission Expiresm SECTION 2 STATEMENT OF WORK 2 Statement of Work The Statement of Work covers three (3) phases of Contractor activity for the NYC SC program: Phase 1- Transition Preparation, defmed as the period of time beginning at Notice to Proceed and ending with the start of cutover as the new Contractor begins to take over actual operations of the Section 2.1 covers all required Contractor activities during this phase. 0 Phase 2- Transition, de?ned as the period of time beginning when the new Contractor completes Phase 1 and begins to assmne at least some of the operational tasks and ending with system acceptance. This period also contains ?System Cutover?, which is the point at which the new Contractor?s system begins to perform data processing. Section 2.2 covers all required Contractor activities during this phase. 0 Phase 3- Ongoing Operations, de?ned as the balance of the contract term, including any extension thereof, throughout which the Contractor is operating the NYC SC . Section 2.3 covers all required Contractor activities during this phase. Figure 2-1, Contract Timeline, summarizes these three contract phases, highlighting the key milestones, testing requirements, and cost type applicable to each phase. Figure 2-1. Contract Timeline Transition Start Initial Final Notice Plan of Cutover Start Operational Operational to Proceed Approved Cutover CornpleteOAT Acceptance Acceptance Con? Milestones Testing I cats: Operational Acceptance Testing (0A1Phases t. Transition Preparation 2. Transition I 3. Ongoing Operation I i i Lump Sum Milestone Payment: I I Cost Type Unit Pricing 2-1 Task areas are included within each phase, including: • Program Administration • System Development/Administration • Customer Service • Finance • Data Processing • Reporting Finally, technical details for System Requirements are included in Section 2.4. Information in this section is relevant to all phases of the Statement of Work. 2-2 2.1 Phase 1 – Transition Preparation Proposer Instructions: The Proposer shall describe in detail how it would prepare for transition to a new system, including all activities required of the Proposer, the Authorities, the existing NYCSC contractor, and any other involved parties to ensure a successful transition. This description shall include a proposed schedule; key deliverables; project milestones for system development, critical design review, and testing; specific test cases/scripts; and all other elements the Proposer deems necessary to effect a smooth cutover of operations to a new contract. The Proposer shall indicate clearly when it will be ready to start cutover to the new system, with the understanding that the current CSC contract expires in December 2006. The Authorities assume that the selected Proposer will provide all of the resources and material necessary for transition to a new system; therefore, Proposers must indicate clearly in their proposal submissions any such materials or resources that they would not provide. Given the unique challenges of the transition to a new operation, the Proposer shall identify staff that would be dedicated specifically to the transition preparation phase and how responsibilities would be handed off as part of transition to a new NYCSC operation. Proposers should utilize Appendix C, Succession Plan, as background information. Proposers shall note that the Authorities currently have the CSC facilities as described in Appendix D. The leases are not in the Authorities’ names but can be assigned to the new Contractor if necessary. Facilities shall comply with the geographical restrictions described in Section 1.9.1. Figure 2-1 depicts the phases of the Statement of Work. Phase 1 shall begin at Notice to Proceed and end at the start of cutover as the new Contractor begins to assume actual operation of the CSC. The requirements of each task area for Phase 1 are described in the sections below. 2.1.1 Program Administration Tasks Program Administration tasks include all of the work required to plan, manage, and monitor the program. Administrative tasks during Phase 1 are described below. 2.1.1.1 Develop Transition Plan The selected Contractor shall expand on its proposal and submit a Transition Plan for approval by the Authorities within 60 days of Notice to Proceed. During this 60-day period, the Contractor shall conduct meetings with all involved parties, including the Authorities, the Authorities’ existing NYCSC contractor, and other designated contractors (e.g. such as those noted in Appendix B). The Transition Plan shall be a comprehensive, “stand-alone” document, suitable for use by all involved stakeholders as a guide in effecting the transition. The Transition Plan shall include a Progress Schedule indicating all major milestones for the balance of Phase 1 and Phase 2 following Contractor submission of the Transition 2-3 Plan. This Progress Schedule shall include timeframes for the Contractor’s preparation and the Authorities’ approval of all deliverables and documentation associated with the transition period in advance of cutover. The Transition Plan shall clearly identify the nature and timing of any required interaction with the existing NYCSC contractor, the Authorities, or with external parties (e.g. other agencies or CSC operators for account reciprocity purposes). The Transition Plan shall also delineate responsibilities of the existing contractor and the Authorities throughout the transition phase. The Contractor shall describe all steps and precautions planned to ensure that transition activities cause no adverse impact on E-ZPass customers or on the Authorities. The cutover to a new contract and start-up of the new NYCSC operation shall be transparent to customers, except where modifications to current operations require customer notification. Current customers shall not lose any benefit nor notice any difference in transaction processing following transition. This includes any discounts or plan rates in effect at the time of cutover, driver feedback sign, speed processing, and mismatch processing, unless such loss of benefit is specified in this document. The Transition Plan shall describe in detail all major activities necessary to effect the transition, for example: • Formation of Transition Team • Development of Progress Schedule • Review of existing NYCSC operations and succession plan • Development of Policies and Procedures • Transfer and disposition of equipment, materials, assets, and facilities from existing NYCSC operations • Acquisition, installation, and/or setup of other required equipment, materials, assets, and facilities • Establishment of required agreements with subcontractors, leaseholders, and suppliers • Staff recruitment and training • System development • Developing NYCSC procedures and materials • Testing and acceptance • Customer communications • Contingency Plan in the event that either Contractor is not ready for an on-time start-up. • Detailed cutover plan, describing how all current CSC operations will be transferred to the control of the new Contractor • Detailed disaster recovery/business continuity plan, in accordance with Section 2.3.1.8 • Post-cutover evaluation of ongoing operations 2-4 2.1.1.2 Program Management The Contractor shall ensure that it provides the specialized skills and experience required to plan and effect a successful transition. Since these may be different from those required to manage the ongoing operations of the CSC (Phase 3), the Contractor shall provide for hand off of management and operational responsibility between the transition phases and assumption of all activities involved in ongoing NYCSC operations. The Contractor shall develop a phase-specific Program Management plan which ensures that all NYCSC requirements are met. 2.1.1.3 Formation of Transition Team The Contractor shall establish and obtain the Authorities’ approval of a Transition Team in conjunction with Notice to Proceed. The Contractor shall designate one member of the Transition Team to function as a single point of contact for the Authorities. Each Authority and each current contractor (e.g. existing NYCSC contractor, systems integrators) shall designate a single primary representative to serve as a member of the Transition Team. The Transition Team will be responsible for managing the entire transition effort. As such, it is expected to meet with the Authorities on a regular and frequent basis (no less than weekly). 2.1.1.4 Staff Recruitment and Training The Contractor shall recruit and train all staff necessary to operate all NYCSC facilities in accordance with all requirements of this Statement of Work. NYCSC management positions shall be filled early enough in Phase 1 to allow them to spend at least half their time at existing operations for orientation purposes. During Phase 1, the Contractor shall develop an organization chart and staffing plan for approval by the Authorities, indicating planned staffing for each phase of the Statement of Work. 2.1.1.5 Develop Policies and Procedures During Phase 1, the Contractor shall be responsible for developing and documenting a Policies and Procedures Manual that will govern the Contractor’s operations. The Policies and Procedures Manual shall be prepared by the Contractor and approved by the Authorities. The manual shall also include appropriate instances when the Contractor shall refer customers to the Authorities. The Policies and Procedures Manual shall include background information on the Authorities’ operating policies and procedures and general E-ZPass policies. The Policies and Procedures Manual shall also include detailed information on policies and procedures required to perform each and every activity described by the Statement of Work for the CSC operations. The manual shall also include functional-level flow diagrams to describe all system processing of data in each area (e.g. flows of how transactions are processed once received by the Contractor and posted against customer accounts). 2-5 2.1.1.6 Identify/Prepare Service Center Facilities The Contractor shall obtain the Authorities’ approval for all NYCSC facilities it will operate or use to meet the requirements of the Statement of Work. These may include facilities and assets listed in Appendices D and E to be transferred to the new Contractor. Allowable locations for CSC facilities are indicated in Section 1.9.1. The Contractor shall provide for security at all CSC facilities appropriate to the CSC location. The Contractor shall provide for appropriate physical site access controls (e.g. glass separating customer service representatives from customers or cameras in lobby areas of walk-in CSCs), environmental controls, fire suppression, data security, inventory security, software security, adequate back-up, and internal controls that will safeguard the Contractor’s operations. Security methods may include, but are not limited to, a card key access system, security cameras, alarm systems, and security guards. The Contractor shall provide private office space for use by visiting Authority personnel at the same Contractor location as the Contractor’s Program Management staff for NYCSC operations. The Contractor shall “build out” and prepare all facilities prior to the beginning of Phase 2. 2.1.1.7 Deliverable Documentation The Contractor shall prepare a schedule of all the documentation required by this Statement of Work. The schedule shall include dates for Contractor submission based on key milestones (e.g. “A” at x weeks after Notice to Proceed; “B” at y weeks before acceptance testing) and, where applicable, timeframes for Authority reviews and approvals. The Contractor shall include a minimum of 15 business days for Authority review and approval of all deliverables. The list of deliverables for Phase 1 shall include: • Transition Plan, which addresses all activities required to complete Phase 1 and 2 and assume Ongoing Operations in Phase 3 • All Plans required to be developed by the Contractor for approval by the Authorities prior to Transition • Policies and Procedures Manual • Documentation for Critical Design Review, as described in Section 2.1.2.2 • Escrow Agreement and materials for escrow, as described in the Terms and Conditions • Prototype reports as outlined in Section 2.3.7 2-6 2.1.1.8 Establishment of Required Agreements with Subcontractors and Suppliers The Contractor is responsible for establishing or renegotiating all necessary agreements with subcontractors and suppliers associated with meeting all performance and functional requirements of the entire Statement of Work. If agreements are proposed to be transferred from the existing NYCSC contracts, the Contractor shall be responsible for consideration of any legal and financial issues associated with transfer of these agreements, e.g. bank accounts, credit card agreements, office equipment and computer maintenance contracts, communications/utilities billing, equipment rentals, armored car service, etc. The Contractor shall obtain the Authorities’ approval for all subcontractors, recognizing that the utilization of subcontractors shall not relieve the Contractor of its obligation to provide all services during the term of the contract, including any extensions thereof. 2.1.2 Development Tasks The following sections describe the development tasks in Phase 1. 2.1.2.1 System Development The Contractor shall develop systems to comply with all requirements of this Statement of Work. The Contractor is responsible for all phases of development, including design, submittal and acceptance of software deliverables and documentation, deposit into escrow in accordance with Terms and Conditions, software quality assurance, and system testing. The Contractor shall incorporate redundant features into the NYCSC. The system design shall make all reasonable efforts to avoid single points of failure. Specifically, the design shall utilize: • “Hot” standby processing facilities for all computer resources • Redundant, synchronized databases. • Back-up communication lines supplied by more than one commercial carrier. Any system software required to accomplish the transition shall also be developed. For example, databases and data files shall be transferred from existing NYCSC operations. Data transfer shall be tested and/or simulated as part of system development to ensure trouble-free transfer of actual data. Note: the Offline Database described in Section 2.3.7 shall not be considered a redundant database. Thus, it is envisioned that the system shall contain a minimum of three databases: at least two “hot”, redundant, “mirrored” databases (which together comprise the Production Database), and a single Offline Database for use in generating reports and queries. 2-7 2.1.2.2 Design Reviews The Contractor shall conduct a Critical Design Review (CDR) of all of the system hardware and software. The purpose of the review will be twofold: • To provide the Authorities the opportunity to review and approve all aspects of the system that will directly interface with the Authorities themselves or with the Authorities’ customers, such as the website, call center, file interfaces, etc. • To provide insight to the Authorities into the “inner processes” of the system to instill confidence that the CSC will be able to meet all of the Performance Standards Thirty (30) days prior to this review, the Contractor shall provide complete and detailed documentation of the proposed system. The CDR shall be conducted at a location mutually agreed to by the Authorities. All costs (facilities, equipment, etc.) required to conduct the CDR shall be borne by the Contractor. The CDR meeting(s) shall be scheduled so that each section of the documentation can be discussed in detail and each Authority is given adequate time to ask questions. At the conclusion of the CDR, the Contractor shall prepare a list of all issues or changes identified during the meeting(s). Any issues related to the interfaces between the CSC and the Authorities or their customers shall be resolved prior to approval of the design. The Contractor shall update/correct the CDR documentation to reflect any changes identified during the CDR meeting(s). Once all interface-related issues have been corrected to the satisfaction of the Authorities, they shall grant approval of the CDR. System testing shall not commence until the Authorities have granted approval of the CDR. 2.1.2.3 Test Program The Contractor shall plan and conduct a comprehensive test program in order to demonstrate that the CSC meets all of the requirements of this Statement of Work. The Authorities shall have the option to witness any or all testing. After Notice to Proceed, the Contractor shall expand the test plans submitted in its Proposal, including detailed step-by-step test scripts. These detailed test plans shall become part of the Transition Plan for approval by the Authorities. The test program shall include at least three general phases of testing: Prototype Testing, Cutover Testing, and Operational Acceptance Testing. 2-8 Prototype Testing shall be tests conducted in a laboratory environment, designed to demonstrate all required system functionality with no risk of affecting actual operation. In addition to demonstrating all functionality required during normal operation, Prototype Testing shall also test all aspects of disaster recovery/business continuity, system redundancies, and back-up capabilities. Cutover Testing shall be tests conducted before the actual cutover process in order to demonstrate that the system is stable and provides the functionality required by this Statement of Work. Cutover Testing shall also include simulating disaster recovery/business continuity procedures and demonstrating all back-up capabilities and system redundancies required to be in place for ongoing CSC operations. Operational Acceptance Testing (OAT) shall be tests conducted after cutover to determine if the CSC as a whole complies with all functional and performance requirements of this Statement of Work. The Contractor’s responsibilities for conducting this phase of testing are described in Section 2.2. However, the Contractor shall develop and submit a testing plan for this later phase of testing to the Authorities during Phase 1 as part of Transition Preparation. The Contractor’s test scripts (for all test cases) shall include the following: • • • • • • Definition of terms Requirements for compliance (e.g. reliability, accuracy, availability and system performance) Method of data collection Criteria for data validation Problem identification and resolution Interpretation of results 2.1.2.4 Detailed Cutover Plan The Contractor shall prepare and execute a detailed plan of activities required for the cutover from existing CSC operations to the new contract. The cutover plan shall be included in the final Transition Plan for approval by the Authorities. 2.1.2.5 Contingency Plans The Contractor shall be responsible for developing contingency plans to continue existing NYCSC operations with the current contractor if either contractor is not ready for an ontime start-up. The Contractor’s contingency plans shall be included in the Transition Plan for approval by the Authorities. 2.1.3 System Operation Tasks The Contractor shall make preparations to assume all of the System Operation tasks described in Administration, Monitoring, Configuration Management, Security, Back-up and Archiving (Section 2.3.3) and Disaster Recovery/Business Continuity (Section 2.3.1.8) prior to cutover. The Transition Plan shall include test cases to confirm that each of these aspects of system operation is in place and functional. 2-9 2.1.4 Customer Service Tasks The Contractor shall fully staff the CSC in order to be prepared to initiate all Customer Service tasks identified in Section 2.3.4 (Tag Handling, Application Processing, Communication with Customers, Mail Processing, Web Processing, Call Center, Customer Account Management, Toll Evasion Processing, Class Mismatch Processing, and Infraction Processing). All Contractor and Authority staff shall be fully trained, as detailed in Section 2.3.1.3. The Contractor shall prepare customer communications as needed to ensure a smooth transition to a new NYCSC operation. Examples include any issues which have a direct impact on customers. The Contractor shall identify the content, format, and method of distribution of all such proposed communications (e.g. statement stuffers, announcement message on 800 number, etc.). The Authorities must approve any customer communication associated with the transition period. 2.1.5 Finance Tasks The Contractor shall demonstrate through testing prior to Transition that it is prepared to perform all finance tasks as described in Section 2.3.5. The Contractor shall submit results of all such testing to the Authorities for their approval. 2.1.6 Data Processing Tasks The Contractor shall fully test all data processing tasks described in Section 2.3.6. Such testing shall begin during Prototype Testing and continue during Cutover Testing. Actual cutover activities shall not begin until the Authorities determine that all of the data processing functions of the system are tested sufficiently and proven stable for CSC operations. 2.1.7 Reporting Tasks All reporting as required by Section 2.3.7 shall be in place, tested, and approved by the Authorities prior to initiation of cutover. The Authorities must approve the format, frequency, data content, method of distribution, and source for all reports. 2-10 2.2 Phase 2 – Transition Proposer Instructions: This phase involves implementation of what the Contractor developed in Phase 1. In a best case scenario, this phase will last approximately 120 days. However, given the complexity of CSC operations, it is possible that it will take a longer period of time. Therefore, the Proposer’s response to this section shall emphasize how it will monitor and troubleshoot CSC operations as it assumes responsibility for CSC functions. As with Transition Preparation, the Authorities assume that the selected Proposer will provide all of the resources and material necessary during the transition to a new system; therefore, Proposers must indicate clearly in their proposal submissions any such materials or resources that they would not provide. Phase 2 shall begin only after the Authorities have given their approval for the new Contractor to begin assuming operation of CSC functions. Phase 2 shall end when the Contractor receives initial Operational Acceptance from the Authorities (see Section 2.2.8). The sections below describe the tasks required during Phase 2. 2.2.1 Program Administration Tasks The Contractor shall provide all management and staffing resources necessary to effect the transition which shall anticipate the complexity of the CSC and the transition process. 2.2.2 Development Tasks The Contractor shall have development staff available during the transition to address any difficulties with system operation or interpretation of operational results. Configuration Management practices shall be completely followed during the transition. All changes to the system shall be approved by the Authorities. 2.2.3 System Operation Tasks The Contractor shall be fully prepared and staffed to implement all system operation tasks described in Section 2.3.3. 2.2.4 Customer Service Tasks The Contractor shall be fully prepared and staffed to implement all customer service tasks described in Section 2.3.4. 2.2.5 Finance Tasks The Contractor shall be fully prepared and staffed to implement all finance tasks described in Section 2.3.5. 2-11 2.2.6 Data Processing Tasks The Contractor shall be fully prepared and staffed to implement all data processing tasks described in Section 2.3.6. 2.2.7 Reporting Tasks The Contractor shall be fully prepared and staffed to implement all reporting tasks described in Section 2.3.7. 2.2.8 Testing and Acceptance Operational Acceptance Testing (OAT) shall commence within 30 days of the completion of cutover. The OAT shall demonstrate that the NYCSC performs accurately, completely, and in accordance with all Performance Standards, as determined/approved by the Authorities. Acceptance of CSC shall occur in two steps: • Initial Operational Acceptance shall occur when the NYCSC as a whole (including all electronic and non-electronic processes) is shown to comply with all requirements of this Statement of Work, including all Performance Standards (see Section 2.3.1.6) for a period of 90 consecutive days. • Final Operational Acceptance shall occur when the NYCSC as a whole (including all electronic and non-electronic processes) is shown to comply with all requirements of this Statement of Work, including all Performance Standards for a period of one year. Phase 2 shall end when the Authorities grant initial Operational Acceptance. The final task of the transition phase is for the Transition Team to evaluate all aspects of NYCSC operations and ensure that all mechanisms are in place to manage the ongoing operations in accordance with all requirements in the Statement of Work throughout the term of the contract. The Contractor shall report on its evaluation to the Authorities and seek their approval for implementing any resulting recommendations. The Contractor shall document any such measures implemented in accordance with the requirements of this Statement of Work. 2-12 2.3 Phase 3- Ongoing Operations Proposer Instructions: Proposers are advised that some topics are covered in multiple sections of this Statement of Work. This is due to the multi-faceted nature of some activities. For instance, the requirements for toll evasion involve a variety of tasks, including customer service (answering phones, adjudicating disputes, etc.), data processing (transfer of data files, image review, plate lookup), and transaction processing (posting of transactions, etc.). Finally, there are additional software requirements for toll evasion, such as that the system must store toll evasion data and be able to report it to the Contractor and to the Authorities. The Contractor shall be responsible for ongoing operations of the NYCSC as detailed in this section. Major task areas are: • • • • • • • Program Administration (Section 2.3.1) Development Tasks (Section 2.3.2) System Tasks (Section 2.3.3) Customer Service Tasks (Section 2.3.4) Finance Tasks (Section 2.3.5) Data Processing Tasks (Section 2.3.6) Reporting Tasks (Section 2.3.7) Many activities overlap different task areas. For example, violations processing involves both data processing (image review, license plate look-up, etc.) and customer service (mailing of notices, collection of violation fees). These activities are associated with certain requirements for system design. For this reason, requirements appear in multiple sections of the Statement of Work. For example, Sections 2.3.4.1 through 2.3.4.11 describe the customer service aspects of certain tasks, i.e. interaction between the NYCSC and customers such as answering inquires, making adjustments to accounts, etc. Sections 2.3.6.1 through 2.3.6.10 describe the data processing aspects of tasks, such as what files are transferred and how they are used to accomplish the tasks. Sections 2.4.3.1.1 through 2.4.3.1.10 describe the software requirements of the system related to all tasks, such as what activities are required to be automated, what fields certain databases should contain, and what data the Authorities should be able to obtain from the system. Section 2.4.3.2 describes the details of transaction flow through the NYCSC and how certain business rules are to be applied to the transaction processing. It is the Contractor’s responsibility to coordinate/integrate the different requirements identified in separate sections of this Statement of Work in actual operation. It is also the Contractor’s responsibility to ensure that its activities and system design support each other in every aspect of the NYCSC’s operations. 2-13 2.3.1 Program Administration The Contractor shall ensure an orderly handoff of management responsibility from the Transition staff to the staffing structure responsible for ongoing operations of the NYCSC. 2.3.1.1 Program Management Proposer Instructions: The Proposer shall describe how it would manage all activities and task areas required for ongoing NYCSC operations. This description shall include the same elements required in the Contractor’s Program Management Plan. The Contractor shall designate a single Program Manager with the authority and responsibility to direct all E-ZPass-related activities conducted by the Contractor or any of its subcontractors. The Authorities shall have the right of approval of the person selected for this position and his/her direct reports and successors, if any. The Contractor shall ensure continuity of expertise so that there is no disruption to the Authorities or NYCSC operations as a result of reassignment or attrition of Contractor staff. The Contractor shall manage its operations in accordance with a Program Management Plan approved by the Authorities. (Note that the elements of the Plan are described here and shall have been addressed in the original Proposal, but the Plan shall be expanded by the Contractor and approved by the Authorities during Phase 1, Transition Preparation.) The Program Management Plan shall include the following: 1. A description of the management organization of the Contractor's staff assigned to provide services, an organization chart, and identification of key personnel and their responsibilities and inter-relationships; 2. Sample reports, including the manner in which all activities and Performance Standards will be reported and tracked; 3. Locations at which the Contractor’s work will be performed; 4. Identification of the resources the Contractor will use to meet all requirements of this Statement of Work; 5. Description and schedules for any special tasks or roles the Contractor expects the Authorities to perform or fulfill. 2-14 2.3.1.1.1 Authority-Specific Project Managers Each Authority will designate a single individual on its staff to serve as Project Manager, functioning as the single point of contact for the Contractor on that Authority's specific contract issues. As detailed in the Terms and Conditions or as otherwise designated by the Project Manager, the Contractor shall interact with other Authority personnel, their designee(s), or other third parties as specified by the Authorities. 2.3.1.1.2 Authorities’ Interagency Management Oversight In the event that the Contractor is provided inconsistent direction from the Authorities’ Project Managers, the Contractor shall promptly inform all Project Managers of the inconsistency and ask for direction. At the Authorities’ request, the Contractor shall attend meetings and prepare any materials required to facilitate multi-Authority discussions or deliberations. As needed, executive staff from the Authorities will meet to ensure that the Contractor is receiving consistent direction from the Authorities. Such meetings will also be the proper forum for deciding any major changes to the Contractor’s policies and procedures. 2.3.1.1.3 Notifications The Contractor shall provide the Authorities with reasonable advance notice of all impending activities (e.g., design reviews, acceptance tests) in which the Authorities are expected to participate. If a meeting with the Authorities is scheduled, the Contractor is responsible for supplying an agenda and written materials to all attendees in advance of the meeting and minutes of meetings within five business days following meetings. The Authorities shall have at least one full business day to review any materials, including the agenda, prior to a meeting. The Contractor shall send all notifications to the designated Project Managers, unless otherwise specified by each Authority. 2-15 2.3.1.2 Staffing Proposer Instructions: Proposers must include the following items in their proposals: • An organizational chart of key personnel: • A description of the experience including a resume, capabilities, and other vital information for all individuals in key positions identified on the Proposer's organizational chart • The names and addresses of all subcontractors proposed, including a description of the nature and extent of the work to be performed by each subcontractor and the names of key subcontract personnel. The Proposal must demonstrate the Proposer’s approach to providing the necessary staffing required to perform the core functions of the NYCSC. The Proposal must include organization charts for all NYCSC activities down to the lowest level. The Proposer shall indicate staffing levels at each NYCSC location (based on operating hours indicated in Appendix D, Details on Existing NYCSC Leases). The Proposer shall include job descriptions for each NYCSC position and identify minimum requirements and prerequisites for each position. The Proposer shall identify applicable personnel policies for its staff performing the NYCSC operations. The Proposer shall describe how it will conduct annual performance evaluations appropriate for a customer service environment. The Proposer shall describe how it will provide for personnel security, as appropriate. The Proposer shall list personnel by title and indicate any bonding, insurance, or indemnification to be provided (including dollar limits or coverages). The Proposer shall provide statistical information on its historical staff turnover rates. The Contractor shall minimize the use of temporary staff for ongoing operations. The Contractor shall review and adjust staffing levels periodically to maintain compliance with Performance Standards identified in Section 2.3.1.6 and with all other performance requirements throughout this Statement of Work. The Contractor shall provide for personnel security, as appropriate. Staff who perform functions related to handling funds, customer account management and system software, computer operations, data entry and violation processing shall either be bonded or have some other form of insurance or indemnification acceptable to the Authorities (see Section 2.3.5.1.1.1). The Contractor shall conduct annual performance evaluations appropriate for a customer service environment. 2-16 2.3.1.3 Training Proposer Instructions: The Proposal shall outline the method(s) by which training will be provided for both NYCSC and Authority personnel. Proposals shall include the following information: course subjects, a course outline, course materials to be developed, time frames for preparing the courses, instructors, training session duration for each course, and location(s) where training will take place. Additionally, the Proposer shall describe in-house training requirements necessary to prepare Contractor personnel to use the equipment, learn techniques, and procedures required to effectively operate the NYCSC facilities, the types of courses, the Contractor personnel who will receive such training, and a list of ongoing training programs that will be required and how new employees will receive initial training. The Proposer shall indicate any professional certifications required of its managerial and supervisory staff. For cost proposal purposes, Proposers shall assume that 25 Authority personnel (split into four classes) will be trained by the Contractor. The Contractor shall provide all training for the Contractor's personnel to support the operational needs of the E-ZPass program. Training for Contractor personnel shall include the following four major categories: • • • • Customer service operations, including tag distribution, account management, customer service, telephone operations, and violation processing. Policies and procedures, both of the Authorities and of the overall NYCSC operation, as covered in the Policies and Procedures Manual (see Sections 2.1.1.5 and 2.3.1.4) System training, including transaction and violations processing Generation/production of reports (see Section 2.3.7) The Contractor shall provide training for the Authorities’ personnel, including: • • All user interfaces with NYCSC systems Generation/production of reports from Offline Database (see Section 2.3.7) The Contractor shall develop and supply training manuals and update these manuals as necessary for use by training program participants. The Authorities reserve the right to observe, monitor, and participate in all Contractor training sessions. The Authorities will assist in training on Authority policies and procedures and allow access to their facilities as required to facilitate training Contractor personnel (e.g. have staff observe, first-hand, E-ZPass traffic flowing through the lanes). 2-17 2.3.1.4 Policies and Procedures Proposer Instructions: The Proposer shall have described its approach to developing a Policies and Procedures Manual in its response to Section 2.1.1.5. In this section, the Proposer shall describe the procedures it would use to update, revise, and amend the Policies and Procedures Manual. The Contractor shall establish and follow procedures for updating, revising, and amending the Policies and Procedures Manual. The Contractor shall update and revise the "Policies and Procedures Manual" on an annual basis or as requested by the Authorities. Deviations from the manual in accordance with the Contractor’s reasonable judgment shall be documented and reported to the Authorities within five (5) business days. If the Contractor feels that changes are required to the Policies and Procedures Manual, the Contractor shall submit these revisions to the Authorities for review and approval. 2.3.1.5 Quality Assurance Proposer Instructions: The Proposer shall describe fully what quality assurance program it would use to monitor quality of all aspects of CSC operations. The Proposer shall clarify how its quality assurance program is to be performed within its existing program management structure, including the person(s) with primary responsibility for the quality assurance program, the procedures to be followed, the lines of authority to be established, and the methods of communication to be used. The Proposer shall indicate how the results of its quality assurance efforts will be reported to the Authorities on an ongoing basis. The Contractor shall be responsible for establishing a quality assurance program for detecting and correcting deviations from any requirement in this Statement of Work and for reporting such deviations to the Authorities. The Contractor’s quality assurance program shall be in accordance with ISO 9000. The Contractor shall ensure that any need for corrective action identified as part of its ongoing quality assurance program is reported to the Authorities and taken as soon as practical. Where applicable, performance reports (see Sections 2.3.1.6 and 2.3.7) shall be used for quality assurance monitoring and reporting. The Contractor shall report quarterly to the Authorities on its quality assurance efforts. 2-18 2.3.1.6 Performance Standards and Monitoring Proposer Instructions: The Authorities have developed Performance Standards for the NYCSC which they believe are reasonable and achievable, based on actual experience. Proposers shall affirm that they will be able to comply with these standards. This Statement of Work includes extensive performance requirements, all of which the Authorities expect the Contractor to meet fully 100 percent of the time. While the Authorities will monitor Contractor performance on all requirements detailed throughout this Statement of Work using the reports noted in Section 2.3.7, the Authorities have identified certain critical NYCSC functions for which they have developed Performance Standards for ongoing evaluation and monitoring of Contractor performance. These Performance Standards are summarized in Table 2-1. The Contractor shall facilitate performance monitoring by the Authorities by reporting and documenting its actual performance for each activity for which there is an identified Performance Standard. These reports shall compare actual performance with the required performance for each standard. (Contractor responsibilities for reporting on Performance Standards are also addressed in Section 2.3.7, Reporting Tasks). 2-19 TABLE 2-1 PERFORMANCE STANDARDS ACCOUNT MAINTENANCE PERFORMANCE STANDARDS Enrollment All properly1 completed individual applications received by mail or web shall be processed and tags mailed within 3 business days of receipt of the application All requests for tags for existing accounts shall be processed and mailed within 2 business days of receipt of the request Payments All payments received shall be deposited into the Authorities’ bank accounts by close of next business day All payments received shall be credited to the customer’s account before the tag file is created for that day Automatic replenishment requests to financial institution(s) shall be made within 2 calendar days of when any customer's account reaches the replenishment threshold. Notice that a Credit Card used for auto replenishment was declined shall be issued within 1 business day of the final decline2 Statements Customer statements shall be mailed or emailed within 7 calendar days from end of statement cycle Archived customer statements shall be sent to the customer within 5 business days of request3 Customer Service All inquiries & disputes received via the web, telephone, mail and walk-in centers shall be resolved or responded to within 5 business days of receipt at CSC All inquiries & disputes received via the web, telephone, mail and walk-in centers that are responded to but not resolved within 5 business days shall then be resolved within 20 calendar days of receipt at CSC Call Center 80 % of the total number of calls answered per day by the CSR’s shall be answered within 45 seconds of being placed into the CSR queue. The Voice Response System shall be available to customers 24 hours/day, 7 days/week excluding approved scheduled maintenance Voice Response System shall respond to interactive customer specific inquiry from the database within 4 seconds from when the customer requests the specific information Transaction Processing A manual toll not sent in a transaction file shall be processed within 3 business days of receipt 1 Properly shall mean applications that are fully completed by the customer. See Section 2.3.4.8.1.2 regarding credit card authorization and declines. 3 This performance standard only applies to statements less than three years old. 2 2-20 TABLE 2-1 (continued) A tag status file shall be generated4 daily and received by the Authorities by 4 a.m. (IAG files shall be incorporated based on availability to meet standard) Valid ETC lane or E-ZPass Plus transactions - NY Authorities’ transactions from NYCSC accounts shall be processed5 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) Valid ETC lane or E-ZPass Plus transactions – Away account on a NY Authority facility shall be processed6 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) Away transactions – NY Authorities’ accounts traveling on an Away facility shall be processed7 within 24 hours of receipt NYSTA unmatched transactions shall be processed8 within 7 calendar days of receipt NYSTA and PANYNJ license plate transactions shall be posted within 24 hours of identifying that the license plate belonged to a valid customer account System The system shall be available to users during business hours Web The Website shall be available to customers 24 hours/day, 7 days/week excluding approved scheduled maintenance Reporting All the reports identified in the SOW shall be provided no later than: • Daily – 2 business days after report date • Weekly – 3 business days after report date • Monthly – 7 business days after report date • Quarterly – 7 business days after report date • Annual – 10 business days after report date SPEED ENFORCEMENT PROCESSING PERFORMANCE STANDARDS Speeding notices shall be mailed within 3 business days of transaction posting date TOLL VIOLATION PROCESSING PERFORMANCE STANDARDS Toll evasion images9 shall be processed10within 3 business days of receipt Archived images shall be sent to the customer or the Authority within 5 business days of request Toll evasion notices shall be sent within 3 business days from obtaining the name and address from DMV or the contractor’s database 4 Generated shall mean incorporating all NY tags with any other IAG agency tag files received in the proper format for the NY agency. 5 Processed shall mean posted, rejected, filtered and reconcilable to the agencies. 6 Processed shall mean filtering and sending a transaction file to an Away CSC. 7 Processed shall mean posting, rejecting and reconciling transactions. 8 Processed shall mean matching or posting as a max toll. 9 Any number of images related to a single violation transaction counts as a single image transaction for purposes of Performance Standards. 10 Processed shall mean matching image with transaction, viewing image, and identifying plate number or rejecting image. 2-21 TABLE 2-1 (continued) CLASS MISMATCH PROCESSING PERFORMANCE STANDARDS Class mismatch images11 shall be processed12 within 5 business days of receipt Archived images shall be sent to the customer or the Authority within 5 business days of request Class mismatch notices shall be sent within 3 business days of class mismatch images being processed WALK-IN CENTER PERFORMANCE STANDARDS Customers shall wait in line no longer than 10 minutes at a walk-in center before reaching a service window 2.3.1.7 Marketing and Promotion Proposer Instructions: The Proposer shall describe what resources in the area of marketing and promotion the Contractor could provide or make readily available should the Authorities require such activities as Extra Work under this contract. The Authorities anticipate conducting marketing and promotion activities themselves or through other contracts and/or contractors. Nonetheless, the Contractor shall have marketing and promotion resources available for use if the Authorities require such services under the Extra Work provisions herein. Any item specifically included in this Statement of Work (e.g. Contractor inserts of material in customer statements or additional mailings to customers as directed by the Authorities) shall not be deemed to be Extra Work. 2.3.1.8 Disaster Recovery/Business Continuity Plan Proposer Instructions: Proposers shall have included how they would develop and test a DisasterRecovery/Business Continuity Plan as part of their Technical Responses to Section 2.1, Transition Preparation. The selected Proposer shall be required to develop and test this Plan during Phase 1, Transition Preparation, based on recovery time objectives for different aspects of NYCSC operations as listed in this section. Technical responses to this section of the Statement of Work shall describe the Proposer’s general approach for meeting the recovery time objectives included in this section, and the Proposer’s approach to periodic testing of its Disaster Recovery/Business Continuity Plan. Proposers shall note any redundancies designed into the system (as described in Section 2.1.2.1 and 2.3.3.5 of the Statement of Work) which can be used for disaster recovery/business continuity purposes. Proposers shall provide information on their experience in the areas of disaster recovery and business continuity in their responses to Section 1.9.2.4 of this RFP. 11 Any number of images related to a single class mismatch transaction counts as a single image transaction for purposes of Performance Standards. 12 Processed shall include reviewing images, determining class and processing adjustment if necessary 2-22 The Contractor shall implement a Disaster Recovery/Business Continuity plan for continuing system operations, with a minimum of downtime, in the event of failures of the hardware components, network components, software applications and systems, environmental factors, or other operating emergencies and for continuing business operations. Table 2-2 presents the Authorities’ recovery time objectives for different functions of the NYCSC. TABLE 2-2 NYCSC RECOVERY TIME OBJECTIVES FUNCTION RECOVERY TIME OBJECTIVE Operations System, including but not limited to: ƒ Tag file transmission ƒ Transaction processing ƒ Web servers ƒ CSR access to all screens and functions ƒ Remote access by Authorities to all screens and functions ƒ Statement production Call center Payment processing Phone based transactions Walk-in centers Tag distribution Tag swap Correspondence Reporting 72 hours 72 hours 72 hours 72 hours 72 hours 5 business days 5 business days 5 business days 5 business days 5 business days Violations, Speed, and Class Mismatch Processing Finance Revenue reconciliation 5 business days The Contractor shall be able to re-constitute normal operation within the recovery times specified in Table 2-2. Unless given relief by the Authorities, the recovery shall include compliance with the Performance Standards itemized in Section 2.3.1.6 of the Statement of Work. The Contractor shall document all procedures necessary to restore and maintain orderly system and business operations in the event of emergencies. The Contractor shall 2-23 provide off-site storage of all system software, documentation, warranties, maintenance agreements, and critical data to be used at a back-up facility. The Contractor shall list all system failures and situations or events which will trigger disaster recovery/business continuity procedures. The Contractor shall prepare a detailed Disaster Recovery/Business Continuity Plan for approval by the Authorities a minimum of 90 days prior to the start of cutover. All elements of the Disaster Recovery/Business Continuity Plan must be in place at the time of transition and must be tested as part of the transition testing. The Disaster Recovery/Business Continuity Plan shall include the following: • • • • • • • • List of resources required to conduct on-site and off-site recovery Description of the escalation process, including contact lists and alternates, to provide for emergency coverage of operations, staffing, technical support and management Description of how the Contractor will provide formal arrangements for emergency replacement of parts, repair services, technical services, and alternative sites Descriptions of how the Contractor will restore and recover lost or corrupt data from back-ups and archives including data recovered from lane controllers in the event that the Authority host is not available Description of a test program that will verify the effectiveness of all disaster recovery/business continuity methods and procedures Description of the notification procedure to Authorities’ staff Designation of (an) alternate site(s) adequate to conduct normal system and business operations within the recovery times included in Table 2-2 Description of the process to restore the NYCSC to normal operations following the disaster phase The Contractor shall prepare and perform periodic tests of its Disaster Recovery/Business Continuity Plan. At a minimum, such tests shall be performed one month prior to the start of system cutover and every six months thereafter. The Authorities shall be invited to observe any disaster recovery/business continuity tests performed and shall receive a report detailing the results of the tests within ten days of any test performed by the Contractor. The Contractor shall update all system and procedural documentation as well as the Disaster Recovery/Business Continuity Plan at a minimum once per year and each time after a major system or hardware change. The Contractor will ensure that all necessary measures are in place to implement any and all elements of the approved Disaster Recovery/Business Continuity Plan as needed throughout the term of the contract agreement. 2-24 2.3.1.9 Succession Plan Proposer Instructions: Proposers shall submit a proposal assuming that the Authorities will have the immediate and automatic right to assume or use the Contractor’s assets and any other elements required for uninterrupted CSC functions (e.g. assignment of leases on facilities, Contractor-developed operating software and programs, etc.) in the event that the agreement is not renewed or is terminated for convenience, or that the Contractor is declared in breach of contract. The Proposer’s Technical Response shall describe how the Contractor’s data processing operations would continue under the Authorities’ control; how all aspects of customer service, including walk-in customer service centers would be assumed by the Authorities or the Contractor’s designated successor; and how account data would be turned over to the Authorities or the Contractor’s designated successor. Proposers are advised that the incumbent contractor’s succession plan is included as Appendix C of this RFP. Within one year after the start of Phase 3, the Contractor shall provide a detailed Succession Plan, the purpose of which is to provide for continued operations in the event that the agreement is not renewed or is terminated for convenience, or that the Contractor is declared in breach of contract. The Authorities require that operations continue without interruption under all circumstances. The Contractor shall also be required to update the Succession Plan once during the contract period at the request of the Authorities. The Succession Plan shall cover the following areas: • • • • • • Transfer of customer account data Transfer of assets, including equipment, inventories of tags and other materials and supplies Transfer of system hardware and software Identification of any contractual agreements which are assumable by the Authorities, including but not limited to leases, maintenance agreements, and subcontracts Staffing and training required to actually accomplish the succession Customer communication regarding changes in policy, procedures, and forms 2.3.2 Development Tasks The sections below describe ongoing development tasks that the Contractor may be required to complete. 2-25 2.3.2.1 Ongoing System Requirements Proposer Instructions: The Proposer shall describe what resources and methods it will use to make changes to the system after cutover. Some development work may be required to meet the requirements of this Statement of Work such as anything required to achieve Initial and Final Operational Acceptance, as defined in Section 2.2.8, and as included in Section 2.3.2.1. Other work may be outside the scope of the current Statement of Work, e.g., Section 2.3.2.2. Development tasks associated with achieving Operational Acceptance and meeting ongoing system requirements shall be included in the unit pricing described in Section 4.2 of this RFP. During the course of ongoing operation there may be instances when the Contractor may need to perform additional system development. For example, this may occur because of increased activity/volume, requiring system expansion or revision. It may also occur at the Contractor’s discretion, to enhance the system, reduce labor requirements, etc. The Contractor shall make all changes to the system hardware and software in accordance with the requirements of System Configuration Management (Section 2.3.3.3). The Contractor shall have adequate development staffing at all times to correct without any delay any deficiencies in performing the required activities as specified in the Statement of Work, particularly the Performance Standards as noted in Section 2.3.1.6. 2.3.2.2 Potential Future Requirements Proposer Instructions: The Proposer shall keep the potential requirements described in this section in mind in planning and developing all systems associated with customer service operations. The Proposer shall indicate what provisions for flexibility its systems will include that will allow for expansion of NYCSC operations to incorporate the following potential future requirements. In the case of Expansion to Other Agencies, Section 2.3.2.2.1, the Proposer shall explain how it would expand NYCSC operations and/or systems to accommodate other agencies and identify impacts on the Authorities’ operations. This section of the Statement of Work identifies several potential future requirements. The Contractor shall be able to accommodate them if and when required by the Authorities. The terms for providing such requirements shall be negotiated in good faith by the Contractor with the Authorities. 2.3.2.2.1 Expansion to Other Agencies The Authorities may wish to expand the Contractor’s customer service operations to include other agencies with E-ZPass or E-ZPass-compatible electronic toll collection systems. The Contractor would negotiate the conversion costs directly with any other 2-26 such agencies as approved by the Authorities and obtain approval of major contract terms for any resulting agreements reached in advance of contract execution. 2.3.2.2.2 Expansion of E-ZPass Plus If directed by the Authorities, the Contractor shall provide for a mechanism to integrate any new applications of E-ZPass into the Contractor’s operation. The Contractor also has the option to formulate a business development plan at its own expense for consideration by the Authorities. 2.3.2.2.3 Other Future Business Opportunities Although it is not possible at this time to predict other business opportunities that may arise and how they may affect CSC operations, the Authorities reserve the option to direct the Contractor to adapt its systems and operations to handle any such developments the Authorities choose to pursue, such as accepting additional payment methods (e.g. smart cards). 2.3.3 System Tasks The Contractor shall operate all system components in order to meet all of the functional and performance requirements described in this Statement of Work including the System Requirements defined in Section 2.4. 2.3.3.1 System Administration Proposer Instructions: Proposers shall describe how they will perform each of the system administration tasks described in this section. The Contractor shall provide communications, procedures, support facilities, documentation, and personnel to operate all system hardware and software. These system operations can take place either at NYCSC, or at facilities provided by the Contractor as approved by the Authorities. The Contractor shall provide data processing system operations 24 hours a day, seven days a week, excluding any pre-approved scheduled maintenance. System redundancies shall be utilized to minimize any system downtime for maintenance purposes. As part of system administration, the Contractor shall provide for the following: • • • • System monitoring and recovery (see Section 2.3.3.2) System configuration management (see Section 2.3.3.3) System and data security (see Section 2.3.3.4) System back-up and archiving (see Section 2.3.3.5) 2-27 2.3.3.2 System Monitoring and Recovery Proposer Instructions: Proposers shall describe in detail how they will monitor the operation of the system and all related communications. Methodologies for recovery from hardware and software failure shall be described, as well as how the Proposer would work with the Authorities to resolve issues related to difficulties with transfer of data files. The Contractor shall provide and operate diagnostic equipment and software to monitor communications lines to detect problems. The Contractor shall establish routines to monitor running of batch jobs (e.g. account postings). The Contractor shall establish procedures to report problems and implement recovery. The Contractor shall establish procedures to facilitate rapid resolution of problems which might be related to the Authorities’ system communications, including calling appropriate Authority personnel in such situations. The Contractor shall establish procedures on when and how to retransmit/re-receive files when problems are identified. 2.3.3.3 System Configuration Management Proposer Instructions: Proposers shall fully describe the formal configuration management procedures to be put into practice in order to meet the requirements below and in Section 2.4. The Contractor shall establish a formal Configuration Management process for handling all system changes over the course of the contract. Changes shall include any action that will result in any of the following: revision to hardware (including cabling), software, configuration parameters, initialization files, scripts, communication methods or parameters, and database administration methods and procedures. Changes of the following classifications shall be included in the Contractor’s Configuration Management process: • Fixes: corrections of malfunctions (bugs) that are required in order to meet performance and functional requirements as specified in the Statement of Work • Updates: new software releases provided by the Contractor whether for application software, operating system software, or third party software • Enhancements: changes that provide improvement in the operation • Modifications: changes necessitated by operational changes, business rule changes, or any other Authority-driven requirement 2-28 • Upgrades: augmentation and/or replacement of any system hardware which may be required (e.g. to accommodate Authority changes or to increase size or capacity of the system) The Configuration Management process shall be described fully and in detail and shall include the following: • Release Notes: All changes, regardless of the initiating event (bug fix, Authority request, upgrade, etc.), shall be fully described in writing by the Contractor. In addition to a description of the proposed change, the release notes shall fully describe the testing that the Contractor proposes to perform prior to implementation. • Initial Approval: All changes shall be reviewed by the Authorities. Testing shall not begin until the Authorities provide written approval of the proposed change. • Testing: All changes shall be tested according to a strict testing procedure (included in the release notes) before any system change is implemented in production. Unless it is deemed impossible, all testing shall be conducted on a separate (non-production) test system. The Contractor shall provide written results to the Authorities before implementation of any such change in the software system. The Authorities shall be notified in advance of all tests and shall be present during all testing unless they specifically decline. • Final Approval: After review of the test results the Authorities may approve release of the change into the production system. In addition, the Configuration Management process shall contain methods that give the Authorities control and verification capabilities. 2.3.3.4 System and Data Security Proposer Instructions: Proposers shall describe the methodologies they will employ to protect system communications, programs and data. Proposers shall describe how access and other security arrangements will be monitored, and how the Proposer will protect customer data from unauthorized disclosure and use. Proposers must request a copy of the New York State Office of Cyber Security and Critical Infrastructure Coordination Cyber Security Policy (P03-002), Information Security Policy from the Procurement Coordinator and affirm their ability to comply with this policy, as such policy may be amended, modified, or superseded. The Contractor shall provide for all aspects of system security, including data security network security and application security. Measures shall be taken to avoid unapproved access to the hardware, software, data, and communications. 2-29 The Contractor shall describe the methodologies it will employ to protect system communications, programs and data. Contractor responsibilities in the areas of system and data security shall include but not be limited to: • • • • • Controlling (or limiting) and monitoring access to all systems, and including network communications equipment and software Protecting customer data from unauthorized disclosure and use from both external and internal sources Testing system and data security periodically by contracting with third party system penetration firm, that will conduct tests to provide some reasonable assurance that system and data security is not easily compromised by external or internal sources Protecting the system (including all software and data files) from all forms of attack, such as viruses, worms, unsolicited email, etc. Using Uninterrupted Power Supplies (UPS) The Contractor shall satisfy all requirements of the New York State Office of Cyber Security and Critical Infrastructure Coordination Cyber Security Policy (P03-002), Information Security Policy as such policy may be amended, modified, or superseded. In doing so, the Contractor will be making efforts to comply with the framework established by ISO/IEC 17799, the internationally recognized generic information security standard. 2.3.3.4.1 Communication Security The Contractor shall utilize tested and accepted communication methods and equipment to reduce the possibility of incompatibilities and errors in transmission of data. The Contractor shall provide accurate and reliable communication connections and effective error detection and correction protocols. The Contractor shall provide information to the Authorities on controls and techniques which are necessary to recover from an incomplete or interrupted transmission. The Contractor shall provide a secure communication system to prevent fraud and unauthorized access to the communication system from both internal and external sources. In addition, the Contractor shall provide for network segmentation, so that each Authority’s data and communications are restricted from being accessed or viewed by another Agency or Authority. 2.3.3.4.2 Control for Internal and External System Access The Contractor shall be solely responsible for controlling all system access. The system design shall provide for user and system security. Users shall only have access to data or functions necessary to perform their jobs. Access to the system shall be controlled by individual user identification and password security. The Contractor shall administer computer access accounts (log on identifications and passwords), access controls (including limiting login sessions to one concurrent connection per user), and network controls; maintain confidentiality of information; track security violations; provide local and remote access controls; and segregate functions within the Contractor’s NYCSC 2-30 facilities. The Contractor shall provide access to the account management system for the Authorities’ staff at the Authorities’ facilities as designated by the Authorities. The Contractor shall also allow the Authorities to access the system at the Contractor’s offices. The Contractor shall have the ability to assign various levels of access as instructed by the Authorities and shall include NYSTA access to the account management system for NYSTA’s postpaid commercial accounts that will allow NYSTA to update all information (see Section 2.3.4.8.3). No third party shall have access to the system unless approved by the Authorities. The Contractor shall utilize access control software to provide ID and password protection for direct and remote access and for violation and activity reporting capabilities. The internal security system shall monitor, based on the user’s ID and password, what level of user programs, database files, and maintenance files are accessed. Appropriate security measures shall be built into the system to prevent unauthorized access and identify and trace any instances in which access has been denied. In such an event, a message shall be generated and stored indicating the time, date, location, and the identification of the equipment, software, or file to which access was denied. 2.3.3.4.3 Protection of Customer Data The Contractor and any subcontractors shall comply with the Internet Privacy Policy (see Appendix F) and handle all customer and account data in accordance with each Authority’s privacy policies and Article 6.03 of the Terms and Conditions. Any and all information relating to specific customers and their E-ZPass accounts shall remain confidential and shall not be revealed or sold at any time, unless the account information being revealed is at a customer's request and belongs to that specific customer, or the Contractor is compelled to do so legally, or the Contractor is requested to provide customer data to the Authorities. The data used by the Contractor to market EZPass and data collected by the Contractor for the purpose of creating E-ZPass accounts shall not be used or sold externally for any reason. 2.3.3.4.4 Security Incident Handling The Contractor shall develop an incident handling procedure that should reflect the mission of the incident handling and response team, as well as its organization, roles and responsibilities, and designated plan for communicating time-sensitive security-related information. The procedure should cover both IT and business support functions, pinpointing key personnel in legal, marketing, human resources, and other departments and describing their roles in resolving security incidents. In addition, it shall define countermeasures for responding to specific internet or cyber security events from either external or internal sources. 2-31 Incident and resolution reporting pursuant to this policy shall include the following steps for communicating with the Authorities: • • Contacting appropriate Authority personnel as directed by the Authorities during normal working hours Monday thru Friday 8:30 a.m. to 5:00 p.m. Following emergency notification procedures for weekends, holidays and off hours as provided by the Authorities Upon discovering that the confidentiality, integrity or availability of the system’s information resources are threatened or compromised, the Contractor must report the security incident to the Authorities. For purposes of this section the following events are considered security incidents: 1. Unauthorized access that is either successful or unusually persistent 2. Instances of any malicious code that either has a widespread impact throughout the Contractor’s organization or has specifically affected the Authorities’ system(s) 3. Denial of service attack that is either successful and adversely affects website access or is unusually persistent 4. Scans and probes that precede or are related to a security incident listed above The Contractor shall contact the Authorities as directed by the Authorities and supply the following information when initially reporting the discovery of a security incident: a. Name, phone/pager/cell number and e-mail address of the individual making the report b. Type of security incident(s) – unauthorized access, malicious code, denial of service, probes, scans and/or other suspected activity that could result in a significant adverse impact c. Location of affected system – street address, floor/room number and city/state d. Detailed description of the security incident e. Date and time the security incident occurred f. Date and time the security incident was detected g. How the security incident was detected 2-32 h. Business impact/criticality of the security incident i. If the security incident has been reported to law enforcement j. Other relevant information The Contractor shall contact the Authorities as directed by the Authorities and supply the following information upon investigation and resolution of the security incident. a. Systems affected – OS, software, release level, etc. b. Specific nature of account or information resource access/compromise c. Attack source details – source IP address, MAC address, last Internet Service Provider, attack method, vulnerability exploited, and any relevant IDS alerts to this source IP or ISP d. Actions taken to isolate/contain, investigate and remediate the security incident e. Planned follow-up activities f. Overall impact of the service outage g. Any reporting or information sent to law enforcement 2.3.3.5 System Back-up and Archiving Proposer Instructions: Proposers shall describe how, and how often, all system back-up and archiving will be performed. Proposers’ responses to this section shall relate to redundancies proposed for the system, as described in Section 2.1.2.1. Proposers are advised that additional requirements for system disaster recovery and business continuity are included in Section 2.3.1.8. The Contractor shall be responsible for automatic back-up procedures and off-site storage of back-up media to ensure all E-ZPass data (transaction, account, revenue, deposit, and operational data, etc.) and all E-ZPass applications (E-ZPass core applications, web services applications, middleware, configuration files, OS configuration files) in the system are protected and retrievable in the event any error or condition corrupts or contaminates an active file. The Contractor shall ensure that any system back-up processes do not interfere with or compromise other NYCSC operations. 2-33 The Contractor shall monitor and report the frequency and duration of back-up utilization and provide an explanation for the interruption requiring the use of the back-up system. The Contractor shall perform periodic tests of all back-up capabilities at least every three months following successful cutover. These tests shall include at least one restoration of the complete Production Database each year. The Contractor shall design and implement a plan to archive documents and data. This plan shall include the location, frequency and method of archived documents or data. Archiving requirements are further described in Appendix G. 2.3.4 Customer Service Tasks Proposer Instructions: Proposers shall specify how they will achieve high levels of customer service and ensure a positive public perception of E-ZPass. Proposers shall indicate which independent customer service standards or certifications they will adopt for their operations. Proposers shall describe how they will encourage, wherever possible, the use of the website and email over other forms of communication in providing customer service. Proposers shall follow the additional instructions provided at the beginning of Sections 2.3.4.1 through 2.3.4.11, and refer to data processing and system requirements for customer service tasks in Sections 2.3.6 and 2.4, respectively. A critical element of the E-ZPass concept is that customers deal with a single entity, the Contractor, to establish and maintain an E-ZPass account. The Contractor shall represent the Authorities, and as such, the Contractor's staff shall be required to establish and maintain a standard of excellent customer service throughout the term of the contract. This includes: phone, in-person, and email/website contact points for customer service; resolution of disputed items; professional appearance and attire of personnel who interact with customers; quick response times to customer complaints and inquiries; and accessible locations and hours of operation. The Contractor shall provide assistance to customers who have problems installing their tags and to customers who may suspect that the installed tag is not functioning properly. The Contractor shall identify specific independent industry-accepted standards or certification programs with which it will comply, such as those associated with The Center for Customer Driven Quality at Purdue University, the Call Center Industry Advisory Council, or the Incoming Calls Management Institute. The Contractor shall procure the services of a third party to measure the CSC’s performance against the adopted standards on an annual basis. The selection of the third party is subject to the approval of the Authorities. The Authorities reserve the right to periodically review and evaluate the Contractor's performance and to require remedies for inappropriate or substandard performance. In addition, the Authorities will periodically conduct customer surveys. The results of these surveys will generally be made available to the Contractor. When the survey shows an 2-34 unacceptable degree of customer satisfaction, the Contractor shall make appropriate changes as approved by the Authorities to increase customer satisfaction The Contractor's staff shall, at all times, present themselves and carry out their functions in a highly professional manner, befitting their role of customer service representatives. The Contractor shall employ standards that will ensure a positive public perception. The Contractor shall adhere to response times specified by the Authorities in Section 2.3.1.6 (Performance Standards and Monitoring) for all customer services and shall keep records as to how, when, and what response was given, and if follow-up was needed or was yet to be undertaken, together with the actual response time experienced by the customer. The Contractor shall provide reports on customer service to the Authorities as detailed in Section 2.3.7. The Contractor shall encourage, wherever possible, the use of the website and email over other forms of communication in providing customer service. The Contractor’s responsibilities for customer service tasks are detailed in the following subsections: • Walk-in Customer Service Centers (Section 2.3.4.1) • Tag Handling (Section 2.3.4.2) • Application Processing/Tag Encoding and Distribution (Section 2.3.4.3) • Communications with Customers (Section 2.3.4.4) • Mail and Email Processing (Section 2.3.4.5) • Web Processing (Section 2.3.4.6) • Call Center (Section 2.3.4.7) • Customer Account Management (Section 2.3.4.8) • Customer Service Tasks for Violations Processing (Section 2.3.4.9) • Customer Service Tasks for Vehicle Classification Mismatches (Section 2.3.4.10) • Customer Service Tasks for Infraction Processing (Section 2.3.4.11) 2-35 2.3.4.1 Walk-in Customer Service Centers Proposer Instructions: The Proposer shall identify the locations where it proposes to operate walk-in customer service centers within the geographic vicinity of existing sites as indicated in Appendix D. The Contractor shall locate, appropriately staff, equip, and operate walk-in CSC's providing the following minimum services: • • • • • • • • • • Dissemination of information on the E-ZPass system Distribution of applications for E-ZPass Enrollment of customers in the system Tag issuance and handling Acceptance and processing of payments including violation payments Providing customers with account balance information Testing of tags Closing accounts Processing customer adjustments Responding to customer inquiries/complaints The Contractor shall operate CSC's as designated in Appendix D with the indicated hours of operation unless the Authorities approve changes in locations and/or hours of operation. All walk-in CSC’s shall be accessible, easily visible to motorists and pedestrians, well-signed, and with adequate parking. 2.3.4.2 Tag Handling Proposer Instructions: Proposers shall describe how they will provide all tag handling activities, including tag inventory, testing, and stocking (Section 2.3.4.2.1); security (Section 2.3.4.2.2); returns and replacements (Section 2.3.4.2.3); and tag swaps (Section 2.3.4.2.4). Proposers shall contact the tag manufacturer (See Appendix B) for its recommended specifications and procedures for tag storage, warranty claims, and integrated tag reader operation. In the case of tag swaps, Proposers shall assume that a separate contractor is responsible for the actual disposal of tags but that the Contractor is responsible for all other aspects of the tag swap process, in accordance with the Tag Swap Guidelines provided. Data on the Authorities’ combined tag population is summarized in Appendix A, Background Assumptions. The selected Contractor shall be required to assume certain responsibilities for replacing tags already in circulation, as needed, and for ordering, stocking/inventorying, testing, encoding, and distributing additional tags needed for enrolling new E-ZPass customers. These responsibilities are described in more detail below. 2-36 2.3.4.2.1 Tag Ordering, Testing, and Stocking/Inventory The NYCSC Authorities shall purchase tags and other related equipment directly from Mark IV Industries, Inc. or a designated alternative supplier for delivery to the NYCSC. The Contractor shall be responsible for all tag handling activities after a tag order is received at the NYCSC, including reconciliation of all tags physically received with purchase orders placed for tag purchases. The Contractor shall be responsible for tag inventory/demand forecasting and provide periodic reports as required by the Authorities for submission to Mark IV or a designated alternative manufacturer. The Contractor shall track historical tag purchase data; provide tag quantity requirement forecasts; control tag purchases and distribution; and maintain an appropriate base ("on hand") inventory. An inventory of tags at the Authorities’ current storage facility will be provided to the Contractor during Phase 2. Inventory requirements are subject to adjustment by the Authorities.. In determining an appropriate inventory level, the Contractor shall take into account: demand to replace lost, stolen or defective tags, and the fact that commercial accounts will typically require a large number of tags (e.g. some companies may have as many as 10,000 vehicles in their fleet) versus an individual customer who typically needs one or two tags and is currently limited operationally to a maximum of four tags. The Contractor shall also consider that inventory storage and packaging requirements for commercial customers may differ from those for individual customers. Upon receipt of each tag order, the Contractor shall physically inspect the shipment to ensure it matches the color(s), type(s), and tag number range(s) specified in the purchase order. Immediately prior to distribution to the customer, the Contractor shall verify that tags are encoded correctly and that there is a match between each tag’s unique serial number (as it is encoded) and as it appears on the tag’s barcode. This verification process shall utilize an automated interface between the tag and bar code reader(s) and account management software/database (see section 2.4.3.1.1). The Contractor shall utilize an inventory database which shall track the status of each tag from the time it is received by the Contractor through testing, placement in inventory, withdrawal from inventory, distribution to a customer, retrieval from a customer, and final disposition. Appendix H provides a list of tag inventory statuses to be utilized by the Contractor; the Authorities reserve the right to change or add to these statuses. The Contractor shall implement inventory management processes and procedures to maintain an accurate count of tags on hand at all times. The Contractor shall conduct a physical inventory at each NYCSC location monthly or more frequently as deemed necessary by the Authorities. The Contractor shall establish procedures to bring the physical audit into agreement with the inventory system with appropriate reports listing any discrepancies found and how they were resolved. The Contractor shall maintain inventories for each different tag color, tag type, and special label. Currently, the following colors, types, and special labels are in use: 2-37 Tag Color Blue Orange White Yellow Black Tag Type Interior regular Interior waterproof Exterior, rooftop mounts Exterior, license plate mount Fusion Special Labels Motorcycle Tags (Labeled “M”) Employee Non-revenue Tags (Yellow Label “E”) Employee Non-revenue Tags (Blue Label “E”) Retired Employee Tags (Labeled “R”) Randall’s Island Only Plan Tags (Labeled “RIO”) The Authorities reserve the right to change or add to these tag colors, types and special labels. Different Authorities issue different colors of tags according to vehicle, revenue, and account or plan type. 2.3.4.2.2 Tag Security The Contractor shall store tags at all times in a physically secure and environmentally safe facility. Tags shall be stored in such a way that they can be easily identified by Authority, type and status. The storage facility shall be accessible to the Authorities. The Contractor is liable for any and all losses associated with tag inventory and tag distribution. No costs resulting from inventory losses, for whatever reason, shall be borne by the Authorities. The Contractor shall place controls on all tags it handles, from delivery from the manufacturer through delivery to the customer. The Contractor shall establish authorization and approval controls that will be used for tag assignment to accounts. Functions relating to the administration and distribution of tags shall be segregated from other CSC operations. The Contractor shall institute measures to mitigate the security risks associated with tag distribution (in particular, mail distribution). 2.3.4.2.3 Tag Returns and Replacement The Contractor shall clean and make returned tags usable for reissue based on guidelines provided by the Authorities including age of tag, condition of tag, etc. (Appendix A includes data on returned tags.) If returned tags are not reusable, the Contractor shall be responsible for coordinating the proper disposal of the tags with a vendor(s) selected by 2-38 the Authorities, in keeping with appropriate environmental and hazardous materials regulations as approved by the Authorities. The Contractor shall develop and implement procedures to assure that disposed tags do not re-enter the system. The Contractor shall include tag dispositions in its automated inventory system, as described in Section 2.4.3.1.1. The Contractor shall account for all returned tags and charge the customer for any damaged tags unless the Authorities authorize that the charges shall be waived. The Contractor shall provide a mechanism for posting a toll to the previous account-holder, in the event that a toll is received after the tag has been issued to a new account. The Contractor shall collect and evaluate tags returned by customers due to defects. The Contractor shall submit to the tag manufacturer claims of warranty on behalf of the Authorities and track such claims. The Contractor will additionally report to the Authorities all activity related to tag warranties. The Contractor shall follow procedures and use equipment specified by the tag manufacturer in evaluating and tracking tag warranty claims. 2.3.4.2.4 Tag Swap E-ZPass tags have a certain maximum useful battery life and the Contractor shall anticipate that during the term of this contract, an operation already set in motion to replace (swap) tags on a regular basis shall be continued. The Contractor shall develop and implement a Tag Swap Plan, subject to the approval of the Authorities, for the replacement of customer tags on a scheduled basis as tag batteries approach the end of their useful life. The Authorities will direct how the Contractor is to dispose of tags that are swapped out. Tags are proactively swapped out, typically as they reach a designated age. In the current practice, when a tag on an account is ready to be swapped, all tags on the account are swapped, to prevent customers with individual accounts from returning the wrong tag. This shall not apply to NYSTA individual accounts. For NYSTA accounts only the tag identified for swap will be replaced. The replacement tags are assigned to the account and mailed to the customer. It is the customer’s responsibility to return the original tags, or be charged with Lost Tag Fees (see Appendix I, NYCSC Fee Schedule). However there are instances when the lost fees are waived at the Authorities’ discretion. Tag Swap Guidelines The following bulleted text provides a set of guidelines that the Contractor shall follow in developing and implementing a Tag Swap Plan for individual customer accounts. (Note that the elements of the Plan are described here but the Plan shall be developed by the Contractor and approved by the Authorities during Phase I, Transition Preparation): • The Tag Swap Plan shall include procedures that will ensure efficient and accurate handling of tags. The Tag Swap Plan shall describe whether or not all tags on an account shall be swapped or if only the designated tags will be returned. If only the designated tags will be returned, the Plan shall describe how the Contractor will instruct the customer so that only the correct tag is returned. 2-39 • Over time, some tags have been returned and reissued (due to closed accounts, return of all tags on an account during a tag swap, etc.). It is noted that “first date of issue” means the first issue of a tag, though it may have been reissued at a later date to a different account. The designated tags (for swap) will be removed from service and other tags that are returned but not designated for removal will be processed for re-issue. • The Contractor’s program shall utilize the automated tag inventory system described in section 2.4.3.1.1 in order to select tags for swap. Parameters to be used for selection shall include one or more of the following: date of receipt, date of original issue, date of re-issue, Authority code, or tag serial number. In addition, the criteria for selecting tags that may be re-issued shall also include one or more of the same items. • The set of tags selected for swap or that may not be re-issued will change on a quarterly basis. • The Tag Swap Plan shall include the capability to accommodate changes in tag policies. For instance, individual and/or business customers may be charged a fee as established by the Authorities. • The Tag Swap Plan shall describe all of the mailings that will be sent to customers affected by a tag swap. Note that all mailings shall be first class mail or better. Currently there are three mailings: 1. An advisory letter telling the customer why the swap is occurring and that their new tag(s) will be mailed the following week 2. A profile that is included with the new tag(s), reminding the customer that the old tag(s) must be returned in 15 days 3. A reminder post card mailed one week after the tag kit, reminding the customer to return the old tag(s). • The Tag Swap Plan shall include a description of the proposed method of recovering the old tag(s), including shipping material and instructions. • The Tag Swap Plan shall describe how the Contractor will handle situations where tags are not recovered in a period of time as specified by the Authorities. • The Tag Swap Plan shall also include procedures for “reactive” swapping of tags. Reactive swapping occurs when Authority in-lane procedures determine that particular tags are receiving multiple no-reads due to tag-related issues (see Section 2.3.6.2 concerning processing of manual tolls and Section 2.3.6.7 concerning processing of license plate transactions). This will result in the NYCSC receiving a list of tags identified for a reactive swap. These tags will be prioritized and swapped as quickly as possible. 2-40 Special Swap Provisions The swap process requires special treatment for selected high volume accounts. These special processes shall also be described in the Tag Swap Plan. The guidelines for these special situations are as follows: Franchise Buses Tags • Unlike the process for individual accounts, Franchise Bus accounts will be handled via telephone communication instead of mailings. • CSR’s will work with the contacts at each bus company to ensure that the tags get replaced. All replacement tags will be Yellow Roof-mounts, whether the original was an Interior or a Roof-mount. Currently, these replacement tags are offered to these companies at no charge but as with all fees/charges, the Authorities reserve the right to change this policy in the future. • Bus companies shall be charged the Lost Tag Fee for any tags that are not returned. The Lost Tag Fee will be charged when a tag is declared “Lost” but not before 30 days have elapsed since the replacement issue date. Each Authority may decide to establish a particular cut-off date and declare all tags not yet returned as “Lost.” This may be the result of less than satisfactory cooperation from the bus companies. These tags will be assigned manually and the profiles must be able to accommodate the larger quantities of tags associated with these bus companies. Non-Revenue Plans Non-Revenue plans include two classifications: Fleet accounts, with multiple tags and a Non-Revenue plan, and individual accounts with Non-Revenue plans, for individuals such as employees and retirees. • The Non-Revenue accounts that have multiple vehicles and tags will be handled like the Franchise Bus accounts, via telephone communication instead of automated mailings. • Non-Revenue replacement tags will be assigned at no charge to the customers. If a tag is declared “Lost” the appropriate Lost Tag Fee shall be charged. The Authority assigned with ownership of the tag(s) will make the decision if any of these fees shall be credited after they have been charged. • Individual accounts with Non-Revenue plans will be processed like other individual accounts, excluding the first mailing (post card) and via manual tag assignment. 2-41 Business and Postpaid Commercial Accounts The Authorities have begun swapping tags for business accounts or postpaid commercial accounts in a similar manner to individual accounts. The Tag Swap Plan shall include a recommended approach to tag swaps for these account types given their characteristics and tag volumes. 2.3.4.3 Application Processing/Tag Encoding and Distribution Proposer Instructions: Proposers shall describe how they will handle customer application processing and tag distribution assuming the practices and procedures currently used in NYCSC operations are retained, as described in this Statement of Work. However, the Authorities encourage Proposers to submit Alternative Proposals to suggest other innovative methods for issuing tags to customers, which could replace or complement existing methods. The Contractor shall process, approve, keep on file, and store images of E-ZPass applications received from customers and enroll them in the E-ZPass system (with certain exceptions for NYSTA postpaid commercial customers as noted in Section 2.3.4.8.3) Appendix J includes samples of the current E-ZPass application packages for individual and prepaid business customers. The stored images shall be accessible online to customer service representatives and to Authority representatives in accordance with Appendix G. For credit card customers, the Contractor shall perform any credit card authorizations prior to issuing tags and activating accounts. The Contractor shall require a customer's E-ZPass application to be accompanied by a payment. In general, the required payment amount is equal to or greater than that amount required by the rules of the application form. For individual and non-revenue accounts, the Contractor shall have the capability to limit the number of tags issued to each account. The Contractor must have the ability to handle applications received by mail, email, in person, via the website, and by fax. The Contractor shall provide customers with an account profile to verify that account information is correct. (A sample is provided in Appendix K3) The Contractor shall generate mailing labels for distribution of tag kits to customers. After reviewing completed applications, the Contractor shall encode, test, and assign tags to accounts for distribution to customers. The Contractor shall assign account ownership to one of three Authorities (i.e., NYSTA, PANYNJ, or TBTA) based upon criteria provided by the Authorities. These criteria may include place of residence, special account plans, etc. Account ownership shall also determine which Authority’s tags are assigned to the account. In some cases the accounts are charged a monthly fee, in others only a deposit is needed, and in some instances the deposit is waived. 2-42 To establish and activate a new account, the Contractor shall enter all required information from the application into an account management database. Immediately following this process, the Contractor will distribute tags to customers applying in-person or prepare tags for mailing in the case of mail-in applications and applications submitted via the website or by fax. The Contractor shall verify the completeness and accuracy of application forms and correspond with customers if problems or questions arise (e.g. incorrect account plan, problem vehicle requiring special mounting instructions). The Contractor shall use tag encoding equipment from the tag manufacturer and follow IAG tag encoding guidelines included in Appendix L. The encoding of the tags shall be sufficiently integrated with the database to ensure that the tag number, class, and type in the account are identical to the distributed tag. The Contractor shall immediately activate accounts after payment processing. The Contractor shall have updated tag data available for the next transmission of a tag validation file. The Contractor shall issue tags to customers and the Authorities as outlined in more detail below. For all completed applications the Contractor shall mail the tag kit(s) and enrollment materials within three business days of receipt. If applications are not complete, the Contractor shall mail back the application with instructions to the customer within two business days of receipt. All mailings related to application processing, customer enrollment, and tag distribution shall be sent first class mail or better. The Contractor shall also have the ability to manage and process pre-packaged tags distributed at offsite locations. Pre-packaged tags are supplied by Mark IV to the Contractor. The Contractor shall have the ability to distribute these tags to qualified retailers as approved by the Authorities. Tags will be pre-paid by retailers at various discount prices. The Contractor shall have online tag ordering functionality for retailers. Customers have the ability to register retail tags via the internet or toll-free number. The Contractor shall establish controls to minimize security and financial risk to the Authorities, subject to the approval of the Authorities. 2.3.4.4 Communications with Customers Proposer Instructions: Proposers shall describe how they can optimize the production, inventory, handling and distribution of all customer materials. In addition, Proposers shall indicate how they will encourage the use of the website and email over other forms of communication in providing customer service. There are several types of informational materials associated with the CSC operations, as described throughout this Statement of Work. In general the Contractor is responsible for the design of these materials (subject to the approval of the Authorities) and for the production, inventory, and distribution of these informational materials in both printed and electronic forms. These materials include fixed materials and forms as well as form notices that have varying content based on purpose. The Contractor shall ensure that its production, handling, and mailing or emailing achieve accuracy and timely distribution. Samples of customer materials are provided in the appendices to this RFP. From time to 2-43 time, the Authorities may require modification of these materials either on their own initiative or at the suggestion of the Contractor. All customer communication materials prepared or distributed by the Contractor and the method of distribution shall be approved by the Authorities. The Contractor shall encourage, wherever possible, the use of the website and email over other forms of communication in providing customer service with the exception of infraction, violation, class mismatch, and account revocation notices and all mailings related to tag swaps as described in Section 2.3.4.2.4. 2.3.4.5 Mail and Email Processing Proposer Instructions: Proposers shall describe if, where, and how mail processing activities are planned to be centralized. Proposers shall also indicate what degree of mail automation is recommended and how such automation will improve responsiveness to customers, reduce labor requirements, and provide cost efficiencies. Proposers shall detail the operation of any proposed automated systems for the generation and transmission of mail/email. Proposers shall describe how they will promote the use of on-line or email communications. For establishment of new customer accounts, the Contractor shall promote the use of online applications. The Contractor shall establish and manage staff operations to handle all mail/email processing, including processing customer applications, as well as distributing tags, responding to customer inquiries and complaints, mailings of account statements and other E-ZPass program information. CSR’s shall have the ability to respond to customer inquiries via email as well as mail. Mail processing activities to be performed or subcontracted (e.g. to a mail house) by the Contractor are described in further detail in the following sections. 2.3.4.5.1 Incoming Mail and Email Processing Incoming mail/email will include customer applications, replenishment payments, toll evasion violation payments, customer complaints and disputes, general public inquiries, legal notices (e.g. bankruptcy, subpoena etc.), requests for account information or account closures, and tag returns. Incoming mail may also include lost tags mailed in or dropped in mail boxes. In addition, tags are returned for replacement as they approach the end of their expected life, as noted in Section 2.3.4.2.4. In handling incoming mail requests and inquiries, the Contractor shall use consistent and, wherever possible, standardized automated responses. In general, complaints and specific requests require a response; other mail such as tag returns may not require a response. A list of minimum required customer communications is included as Appendix M. The Contractor shall establish facilities and procedures to provide careful and efficient handling of all incoming mail, including systems for tracking customer correspondence. All incoming mail/email shall be opened/read by noon of the day following receipt at the NYCSC. The Contractor shall, where necessary, provide an appropriate response (by 2-44 mail, email or by phone) to customer inquiries received by mail or email within the time specified in the Performance Standards or elsewhere in this Statement of Work. The Contractor shall establish separate mailing addresses for customer payments and for violation payments as one means of minimizing the incidence of unidentified payments. 2.3.4.5.2 Outgoing Mail and Email Processing Outgoing mail/email includes but is not necessarily limited to: (1) Application forms (available on the website) (2) Distribution of tags/tag kits in response to applications received (3) Responses to all other incoming mail/email (see Appendix M for minimum required customer communications) (4) Customer activity statements (see Sections 2.3.4.8.1.4 and 2.3.4.8.2.4 for further information regarding Contractor responsibilities for issuing customer statements) (5) Additional mailings as directed by the Authorities (e.g., customer surveys, special customer notifications, announcements of new initiatives, and mailing of TBTA resident stickers as described in Section 2.3.4.8.5.2) (6) Toll evasion violation and speeding infraction notices (7) Notifications of credit card expiration or declined credit The Contractor shall establish facilities and procedures to provide careful and efficient handling of all outgoing mail. The Contractor shall obtain bulk mail rates and other mailing economies which can be implemented wherever and whenever feasible. However, the Contractor shall utilize first class mail or better for all mailings to customers. The Contractor shall have the ability to perform targeted mailings to segments of the customer database based on demographic parameters, e.g. by zip code, vehicle type, account plan or some other variable. 2.3.4.6 Web Processing Proposer Instructions: Proposers are encouraged to suggest methods to automate and route inquiries received via the website and to provide other functions on the website not specified below (e.g., live help). Proposers shall indicate which industry-accepted standards they will adopt for E-ZPass website performance. The Contractor is to maintain the E-ZPass New York website such that it meets the Performance Standards specified in Section 2.3.1.6 and performance requirements elsewhere in this Statement of Work. The Contractor shall provide capability for the website to redirect customers to other CSC’s based on zip code of residence. 2-45 The Contractor shall identify specific industry-accepted standards for website performance with which it will comply. The Contractor shall procure the services of a third party to monitor and report on website performance against the adopted standards on a frequent, e.g. daily, basis. The Contractor will provide these reports to the Authorities as directed by the Authorities. The selection of the third party and any Service Level Agreement are subject to the approval of the Authorities. 2.3.4.7 Call Center Proposer Instructions: Proposers shall indicate where they propose to operate a Call Center. Proposers shall refer to instructions in Section 1.9.1 regarding Call Center location requirements for both Base and Alternative Proposals. One of the assets owned by the Authorities is equipment for an automated telephone voice response system (VRS). If a Proposer plans to use phone equipment other than that currently owned by the Authorities (see Appendix E), the Proposer shall give a full description and explain how the use of this other equipment can provide a better value to the Authorities. The Proposer shall describe the mechanism by which it will provide the Authorities with verification that it is meeting the specified Performance Standards, as well as all requirements of the Statement of Work related to Call Center activity. The Contractor shall operate a Call Center as part of CSC operations. The Call Center shall meet or exceed the standards outlined in Section 2.3.1.6 of this Statement of Work (Performance Standards and Monitoring). The Call Center is currently located as specified in Appendix D. Customers must be able to obtain information regarding E-ZPass and/or their accounts via a toll-free telephone number. The E-ZPass toll-free number is 800-333-TOLL (800333-8655). The Contractor shall implement and monitor sound customer service practices as approved by the Authorities for all required functions of customer service representatives, including handling of calls, making notes against accounts, escalation of problems to supervisors, and following up with customers. The Contractor shall have the ability to monitor the performance of CSR’s, e.g., logging calls for type and length. The Contractor shall provide the capability for the Authorities to monitor customer calls offsite. The Contractor shall meet or exceed the Performance Standards for the phone system specified in Section 2.3.1.6. The Contractor shall provide documentation/reports to the Authorities which compare its actual performance with the applicable Performance Standards and any adopted industry-accepted standards associated with third party organizations. 2-46 2.3.4.8 Customer Account Management Proposer Instructions: Proposers shall familiarize themselves with current customer materials and programs in use by the Authorities, as described in the Statement of Work. Proposers shall describe how they will perform all account management activities included in all subsections below. Proposers shall describe how they will customize account management for the various customer types, special account plans, and Authority-specific customer programs. The Contractor shall provide and utilize an account management system to maintain and update all NYCSC customer account information. Section 2.4 contains details on system requirements related to account management. For example, the Authorities require that the tag validation file be capable of being updated to reflect any change in account information every four (4) hours. The emphasis in this section is on the tasks required of the Contractor for performing account management activities. Detailed requirements related to account management activities are presented below in five separate sections: • • • • • Individual Customers (Section 2.3.4.8.1) Prepaid Business Customers (Section 2.3.4.8.2) Postpaid Commercial Customers (Section 2.3.4.8.3) Account Plans, including special/discount account plans and non-revenue plans (Section 2.3.4.8.4) Authority-Specific Programs (Section 2.3.4.8.5) 2.3.4.8.1 Individual Customers 2.3.4.8.1.1 Maintenance of Account Balances The Authorities generally require individual account holders to maintain a prepaid balance of approximately one month’s worth of tolls. The customer's prepaid account balance shall be replenished by the customer whenever the account reaches the minimum established threshold for that particular customer’s account plan, usage level, and selected method of payment. The Authorities may establish the low balance threshold based upon a certain percentage of customer account usage in the prior month or the replenishment amount may be calculated as some multiple of each customer’s average daily usage. The Contractor shall review and revise the replenishment amount quarterly, based on actual customer usage of E-ZPass and E-ZPass Plus and guidelines specified by the Authorities. However, the Contractor shall review new customer account balances after 35 days and adjust the replenishment amount level accordingly. (See Section 2.1.1.8 regarding the requirement that the Contractor shall make all necessary 2-47 arrangements with major credit card companies and banks for verification and automatic replenishment, if authorized by the customer.) In all cases, the Contractor is responsible for maintaining accurate and up-to-date account balance information for all E-ZPass customers. The Contractor is responsible for maintaining accurate and up-to-date account financial status information in accordance with Appendix N. The Contractor shall be responsible for all outgoing correspondence with customers as part of account management. Appendix M outlines minimum required customer communications. The Contractor shall respond to customer inquiries and requests in a manner consistent with meeting customer needs even if they are not specifically listed in Appendix M. In addition, the Contractor shall notify delinquent E-ZPass customers whenever their account balances are not being properly maintained (see Section 2.3.4.8.1.7). Notifications shall be automated wherever possible. 2.3.4.8.1.2 Payment Processing The Contractor shall be able to accept at a minimum the following forms of payment: cash, checks, money orders, debit cards, automated clearing house (ACH), and credit cards (Master Card, Visa, Discover, and American Express). The preferred method of payment is automatic account replenishment, and the Contractor shall actively promote that method. The customer shall be able to make payments in various ways, including: in person, by mail, and through automatic means such as credit card. The Contractor shall facilitate customers’ replenishment payments via check by enclosing pre-addressed envelopes in customers’ statements. For all replenishment payments via credit card (whether automatic or otherwise), the Contractor shall make up to two authorization requests, with a second request for authorization made one day after the first declination. The Contractor shall treat the credit card replenishment process as failed only if it has failed to receive authorization on two consecutive attempts. The Contractor shall process all payments made by mail or in person and accomplish automatic credit card replenishment when the account reaches the replenishment balance threshold. The Contractor shall update all accounts based on payment and replenishment activity within the time period designated in Section 2.3.1.6, Performance Standards and Monitoring. The Contractor shall update and transfer data to the Authorities at the next transmission of a tag validation file to prevent a violation from occurring the next time that the customer passes through an E-ZPass facility. The Contractor shall establish separate mailing addresses for customer payments and for violation payments as one means of minimizing the incidence of unidentified payments. 2-48 2.3.4.8.1.3 Customer Fees The Contractor shall be responsible for assessing and collecting fees as established by the Authorities. All customer fees are deducted from customer's prepaid balance. Appendix I includes the NYCSC fee schedule. Some fees are Authority-specific and others are general fees. Note that violation fees are discussed separately along with violation processing in Section 2.3.4.9. The Authorities may modify the fee schedule. Therefore, the Contractor shall make customer fee amounts configurable parameters. In addition, the Authorities reserve the right to add or eliminate fees. 2.3.4.8.1.4 Customer Statements The Contractor shall be capable of providing all individual revenue and non-revenue customers with a monthly paper or e-mail statement. Section 2.4.3.1.6 describes the system functionality relative to statement generation. Statements shall be generated bi-monthly or monthly as the customer has elected. Paper statements are provided bi-monthly and email statements are provided monthly for no fee; customers electing to receive paper statements monthly shall be charged a fee (see Appendix I). Statements shall be distributed in accordance with the Performance Standards in Section 2.3.1.6. The Contractor is required to suppress statements for customers with no financial activity or to provide bimonthly or annual statements or to waive all statements at the customer’s option. Note that even though a statement is suppressed, it must be produced internally and be available for retrieval from archive. The Contractor shall provide for electronic transmission of customer statements at the request of the customer and encourage this form of statement delivery at every opportunity, e.g. CSR telephone or walk-in center interactions with customers. The Contractor shall be able to reproduce statements on demand for the period of time in Appendix G. The Contractor shall be able to include custom messages with statements as directed by the Authorities, and selectively include these messages on only certain groups of statements, e.g. for designated zip codes. The Contractor shall be able to sort customer statements by specific variables including, but not limited to payment type, zip code, etc. The Contractor shall be capable of inserting other materials in selected statements at the discretion of the Authorities and by zip code or other customer characteristic. Appendix O shows sample statements currently in use. The Contractor shall receive approval from the Authorities on the format and content of statements, envelope and any related enclosures. 2-49 2.3.4.8.1.5 Customer Inquiries, Complaints and Discrepancies The Contractor shall establish and adhere to procedures for reconciling customer-related discrepancies. These procedures shall include, but not be limited to, the reconciliation of conflicts regarding timing and location of tolls, additional fees, and the timing and amounts of payments. The account management system shall allow adjustment of accounts to handle resolution of disputes. The Contractor shall provide and utilize an automated system that logs and tracks resolution of all customer inquiries of all types (telephone, written, walk-in, email/website). The Contractor shall develop guidelines for dispute resolution that serve as guides for Contractor staff but allow room for reasonable judgment in handling customer disputes. The Contractor shall have procedures for customer service representatives to follow up on issues requiring research. The Contractor shall have a tracking system to note the results of any such research. The Contractor will maintain a full audit trail of complaints, related correspondence, the resolution of the complaint and any adjustments made including the identity of all personnel who handled the complaint. The audit trail shall be retained for the period specified in Appendix G. The Contractor, with the cooperation of the Authorities, shall establish a "seamless transfer mechanism" for transferring complaints that are not the Contractor's responsibility to the applicable Authority. The Contractor shall refer any complaint or request that the Contractor has not been given authorization to respond to or that the customer seeks escalation of within two (2) business days of such determination. The Contractor shall have the ability to access on-line files containing records of the customer activities for a time period as noted in Appendix G in order to facilitate realtime response to customer telephone inquiries regarding their statements. 2.3.4.8.1.6 Closing Accounts and Accounts in Default The Contractor shall have the capability to close accounts under the following circumstances: • At the customer's request • Upon the determination in accordance with the Authorities’ policies that an EZPass customer has violated the terms and conditions of the E-ZPass customer agreement • Upon the Contractor’s determination that an account is uncollectible based on agreed upon standards established with the Authorities • When all tags assigned to the account have been returned, the account has zero balance and no outstanding violations and there has been no toll activity for 10 days The Contractor shall make its best effort to recover E-ZPass tags for all closed accounts. Such tags whether recovered or not, shall be declared invalid in the tag validation file. The Contractor shall reuse tags that are recovered based on guidelines provided by the Authorities (e.g., if they have a sufficient useful battery life remaining). The Contractor 2-50 shall provide a mechanism for posting a toll to the previous account-holder in the event that a toll is received after the tag has been issued to a new account. If tags are not reissued, they shall be disposed of as directed by the Authorities. In addition, the Contractor shall issue refunds according to the customer’s usual replenishment method of unexpended prepaid tolls and tag deposits to E-ZPass customers fifteen (15) business days from the date of account closing to allow time for all transactions to be posted and all payments to be cleared, subject to the provisions of refund handling (see Sections 2.3.5.1.1.2 and 2.3.5.1.1.3). For cash and check replenishment customers, the Contractor shall issue refunds via check. In no event shall the Contractor issue cash for refunds. When the customer’s account balance goes below the defined delinquency threshold, the Contractor shall invalidate that customer’s tag in the tag validation file (see Section 2.3.4.8.1.7). As directed by the Authorities, the Contractor shall issue a progressive series of notices at negative balance thresholds established by the Authorities to advise customers of pending revocation of their accounts if they do not replenish their accounts within indicated timeframes. If the series of notices does not prompt customers to replenish their accounts, the Contractor can declare such accounts to be invalid. The Contractor can treat such invalid accounts as violators after giving proper notice of such invalid account status to the customer. To close an account, any remaining balance (including unreturned tag fees) shall be paid, refunded or written off. The account status shall not be closed unless the account balance is $0 and only after any outstanding violations have been resolved. 2.3.4.8.1.7 Handling of Accounts with Negative Balances This section outlines the business rules for handling accounts that show a negative balance. The timeframes and dollar thresholds shall be adjustable at the discretion of the Authorities. There are three categories for accounts in negative balance (see Appendix N): • • Bad – Account balance is negative $15.00 or less and is a cash or check replenishment. Accounts in this state are considered invalid and all tags associated with the invalid account shall have invalid status at all E-ZPass facilities. Accounts can remain in “bad” status for up to 30 days. Revoked Warning - Account balance is negative $15.00 or less (“bad” status) for 30 more consecutive days but less than 60 consecutive days. The Contractor shall notify the customer that the account will be revoked and subject to collections. The tags associated with accounts in this status shall remain invalid. Note that this applies to check and cash replenishment customers only. Customers that replenish via credit card are not considered negative unless the credit card replenishment process has failed to receive authorization on two attempts. The second request for authorization shall be one day after the first declination, and at such time the customer’s account shall switch to cash payment. 2-51 • Revoked Final – Account balance is negative $15.00 or less (“bad” status) for 60 or more consecutive days. Figure 2-2 graphically depicts these account financial statuses. FIGURE 2-2 ACCOUNT FINANCIAL STATUSES Duration Account Status Account Balance Good Low Balance Threshold Low $0 $-14.99 $-15.00 Up to 30 Days Bad After 30 Consecutive Days in “Bad” Status Revoked Warning After 60 Consecutive Days in “Bad” Status Revoked Final Procedures for Revocation 1. When any account has a prepaid toll balance of negative $15.00 or less for 30 consecutive days, the account status is changed to Revoked Warning and the Contractor sends a letter to the customer/account holder. The letter states: the date the account was first in arrears; that the account is subject to Revocation in 10 days from the date of the letter; and that the account is eligible to be sent to a collection agency. After 30 consecutive days in Revoked Warning status (i.e. 60 days at negative $15.00 or less), the Contractor changes the customer’s account status to Revoked Final. 2. When the status changes to Revoked Final, the tag deposit balance, if any, is forfeited and transferred to the prepaid balance. At this time the Contractor imposes the lost tag fee(s) and account revocation fee (see Appendix I, NYCSC Fee Schedule). Any minimum use discount plan is automatically suspended and 2-52 the customer is charged any required minimum toll if appropriate. The tag’s status is then changed to Lost/Stolen in the tag validation file. The license plate remains on the account but any violations are treated as a non-customer. The violation name and address is obtained from DMV and not from the account, and processed in accordance with procedures for non-customer notices defined in Sections 2.3.4.9 and 2.3.6.7. Communication Method – In the customer’s statement following the change to Revoked Final status, the Contractor shall include a message indicating that the account has been revoked and the tag deposit has been forfeited. The statement shall note any tag or account fees that have been charged. The financial transactions related to this procedure will be itemized on the customer’s last statement. The Contractor must send a final statement even if the statement was suppressed. This is the customer's final statement. The Contractor can accept any and all payments on accounts in Revoked Final status; however, the account status will not change except that the Contractor may reopen an account in Revoked Final status and reverse the Lost Tag Fee provided that the customer meets all of the following conditions: • • • • • The account has not been sent to collection; Balance has been brought back to one month’s worth of toll usage; Tag Deposit has been paid (if applicable); Account revocation fee has been paid (Reversal capability must exist although the policy does not allow the fee to be reversed without Authority approval); and All outstanding violations have been paid. The Contractor may close the account in Revoked Final status provided that the customer meets all of the following conditions: • • • The account has not been sent to collection; Balance has been brought back to $0; and All outstanding violations have been paid. The Contractor shall establish procedures that will prevent a customer from opening a new account when an existing account is in Revoked Final status. Reports – The Contractor shall produce a monthly report that tracks revoked accounts and their balances. The report shall be ordered by date revoked with the balance as of the end of the month. A revoked account shall be listed only on the report for the month in which it is revoked. A summary count of total accounts in Revoked Warning and Revoked Final status shall be included in the report. Section 2.3.7 also describes reporting tasks. 2-53 2.3.4.8.1.8 Collection of Bad Debts The current number of accounts revoked per month is provided in Appendix A. The Contractor shall implement bad debt policies and procedures as provided by the Authorities. Such policies and procedures shall provide for a threshold dollar amount owed (e.g. balance less than -$50) at which point a customer’s account shall be deemed eligible for collection. The Contractor shall interface with the collection agencies with which the Authorities have separate contracts for collection of bad debts. Data processing tasks for interfacing with collection agencies are described in Section 2.3.6.7.4. System requirements for the electronic interface with the collection agencies are presented in Section 2.4.3.1.6. Specific Contractor responsibilities related to customer account management include but are not limited to the following: • Processing refunds to customers who have inadvertently paid both the collection agency and the Contractor. • Accepting direct payment from a customer after an account has gone to collection; in this case, deposit check(s), provide copy of deposit slip to Authority, provide spreadsheet with account number, total payment received, toll amount, fee amount, name and address of customer. 2.3.4.8.1.9 Tag Invalidation Immediately upon receiving a report from a customer of a lost or stolen tag, the Contractor shall flag the tag's status in the account database, which will change the tag status as per Appendix H and assess the lost/stolen tag fee. The Contractor shall collect the appropriate fee (see Appendix I). If requested by the customer and payment is received or authorized for credit card payment, the Contractor shall issue a new tag. 2.3.4.8.1.10 Account Suspension The Contractor’s account management system shall allow for voluntary and involuntary suspension of customer accounts. Voluntary suspension of plans is allowed under certain commuter account plans (see Section 2.3.4.8.4.1). At the discretion of the appropriate Authority, involuntary suspension of accounts may be required for violation enforcement purposes (see Section 2.3.4.9) and lane speed enforcement (see Section 2.3.4.11). 2.3.4.8.2 Prepaid Business Customers 2.3.4.8.2.1 Maintenance of Account Balances The Authorities may establish a required minimum balance for prepaid business customers. However, the Contractor must be capable of determining, using automated means, required opening balances for prepaid business accounts based on the number of tags and class of vehicles, plan type, and number of axles being registered to the 2-54 respective accounts and/or projected usage as provided by the customer. The Contractor must be able to monitor average daily usage on business accounts and utilize that information in adjusting, as needed, a business account’s minimum balance. The Contractor shall review prepaid business customer account activity every month for the first three months after opening and quarterly thereafter, and revise the replenishment amount as needed based on actual customer usage to reflect approximately one month’s worth of tolls for all vehicles registered to each account. 2.3.4.8.2.2 Payment Processing The Contractor’s responsibilities for payment processing for prepaid business customers are the same as those identified for individual customers in Section 2.3.4.8.1.2. 2.3.4.8.2.3 Customer Fees For all new business accounts, the Contractor shall charge a monthly tag fee for each active tag assigned to their account. In addition, the Contractor shall provide credits for tags previously purchased (under business account fee policies that preceded the monthly tag fee) that are within the warranty period. The NYCSC fee schedule is included in Appendix I. Some fees are Authority-specific and others are general fees. Note that violation fees are discussed separately along with violation processing in Section 2.3.4.9. The Authorities may modify the fee schedule. Therefore, the Contractor shall make customer fee amounts configurable parameters. In addition, the Authorities reserve the right to add or eliminate fees. For already established prepaid business accounts, the Contractor shall be responsible for keeping records on tags previously assigned and distributed to such accounts, including whether the business customer paid a refundable deposit for tags. (These customer records will be provided to the selected Contractor during the Transition Preparation phase.) If a refundable deposit was paid, the Contractor shall allow business customers to use the deposit amount toward prepaid tolls in the event tags are exchanged or replaced at the direction of the Authorities (see Section 2.3.4.2.3). If business account customers elect to return tags without requesting replacements or to close accounts, the Contractor shall issue refunds for previously collected refundable tag deposits as approved by the Authorities. 2.3.4.8.2.4 Customer Statements The Contractor’s responsibilities for customer statements for prepaid business customers are the same as those identified for individual customers in Section 2.3.4.8.1.4 except that statements are always monthly, can be provided in a spreadsheet format in stored media (e.g. compact disc) upon request, and there is currently no charge for statements. 2-55 2.3.4.8.2.5 Customer Inquiries, Complaints and Discrepancies The Contractor’s responsibilities for handling inquiries, complaints and discrepancies for prepaid business customers are the same as those identified for individual customers in Section 2.3.4.8.1.5. 2.3.4.8.2.6 Closing Accounts and Accounts in Default The Contractor’s responsibilities for closing accounts and accounts in default for prepaid business customers are the same as those identified for individual customers in Section 2.3.4.8.1.6, except that the Contractor will only be required to retrieve tags from previously established business accounts for which refundable tag deposits were received. 2.3.4.8.2.7 Handling Accounts with Negative Balance The Contractor’s responsibilities for handling accounts with negative balances for prepaid business accounts are the same as those identified for individual customers in Section 2.3.4.8.1.7. 2.3.4.8.2.8 Collection of Bad Debts The Contractor’s responsibilities for collection of bad debts from prepaid business customers are the same as those identified for individual customers in Section 2.3.4.8.1.8. 2.3.4.8.2.9 Tag Invalidation The Contractor’s responsibilities for invalidating tags for prepaid business customer accounts are the same as those identified for individual customer accounts in Section 2.3.4.8.1.9. 2.3.4.8.2.10 Account Suspension The Contractor’s account management system shall allow for involuntary suspension of business customer accounts as may be required for violations processing (see Section 2.3.4.9) and lane speed enforcement (see Section 2.3.4.11). 2.3.4.8.3 Postpaid Commercial Accounts The Contractor’s account management responsibilities are more limited for NYSTA’s postpaid commercial accounts than for other account types. The Contractor is required to provide NYSTA staff access to the account management system to open and close accounts and maintain account information. The Contractor shall allow manual updates to tag status on the Contractor's database. The Contractor is also responsible for tag distribution to commercial customers from inventory on hand at the Contractor's facilities as directed by NYSTA. Contractor handling of commercial tag distribution will allow the Contractor to maintain a master record of all tags’ status. Toll transactions incurred by NYSTA postpaid commercial customers will be identified and processed by NYSTA internally. NYSTA's Accounts Receivable Unit has an internal invoicing and statement function that will handle all tag fees, transaction billing, and payments. NYSTA’s Commercial E-ZPass office will handle all customer service and phone inquiries for 2-56 postpaid commercial accounts. However, the Contractor shall keep a mirror account for each of these accounts to maintain statistical and traffic accounting for the NYCSC as a whole. The Contractor shall provide reports on postpaid commercial accounts as directed by the NYSTA. 2.3.4.8.4 Account Plans Account plans fall into two general categories: special account plans (typically providing commuter discounts) and non-revenue plans. These account plans are described in more detail in Sections 2.3.4.8.4.1 and 2.3.4.8.4.2 respectively. Each tag and account can have one or more account plans assigned to it. For example, a NYSTA employee may have a tag that is treated as non-revenue on NYSTA facilities. That same tag may have a NYSBA discount plan, entitling the customer to discounted trips over NYSBA facilities. There may be other tags assigned to the same account that are not treated as non-revenue on NYSTA facilities and may or may not be assigned any special account plans for trips on other Authorities’ facilities. 2.3.4.8.4.1 Special Account Plans The Authorities have several special account plans which offer discounts for specific customer groups, including residents in certain geographic locations, commuters, and carpools. The second page of the sample individual application package (see Appendix J) lists current special account plans in effect and Appendix P provides further details on these plans. The Authorities reserve the right to add to or modify these special account plans. The Contractor shall be able to handle all features and terms and conditions of these special account plans, as detailed in Appendices J and P. 2.3.4.8.4.2 Non-Revenue Plan Handling Contractor responsibilities for accounts with non-revenue plans are detailed below. (See Appendix P for information on each Authority’s non-revenue plan.) 2.3.4.8.4.2.1 Non-Revenue Applications The Contractor will process applications for non-revenue accounts using internal Authority forms. (See Appendix Q for examples for NYSTA, PANYNJ, and TBTA.) The procedures for processing these non-revenue applications will require that the Contractor verify proper Authority authorization (e.g., signatures) before issuing tags. NYSBA does not have non-revenue applications so it will simply direct the Contractor to establish nonrevenue accounts for its employees. If any account-holder does not establish a prepaid balance, then the tag will only be valid according to the limits of the non-revenue plan (as described in Section 2.3.4.8.2.3 below). With a prepaid balance and a completed application from the account holder, the account will function as an individual account, with non-revenue usage at designated locations for designated tags. Once established as a revenue account, the customer is treated as outlined in previous sections (for individual accounts, see Section 2.3.4.8.1; for 2-57 commercial accounts, e.g. Authority fleets, see Section 2.3.4.8.2) except as qualified in the subsections below. 2.3.4.8.4.2.2 Tag Distribution The Contractor may distribute non-revenue tags for the Authorities and custom tag kits developed by the Authorities directly to the Authorities’ internal mailing system for forwarding to the proper individuals (rather than through the U.S. Postal Service) if practical, as directed by the Authorities. 2.3.4.8.4.2.3 Account Management The Contractor shall maintain a separate account for each individual requesting a tag for non-revenue use but shall flag these tags as belonging to a certain group for reporting purposes as directed by the Authorities. The Authorities will also identify groups of fleet vehicles for which multiple tags may be assigned to an account. For fleet vehicles, the account management system shall allow for the ability to input Authority-specific vehicle identification numbers for tracking purposes. The Contractor shall have the capability of having limits of travel assigned to each tag associated with a non-revenue plan. These limits shall be structured in such a way as to signify at which plazas the account is allowed non-revenue travel, with all other plazas (including plazas operated by another Authority) being treated as typical fare-paying revenue travel; thus, these non-revenue accounts shall provide a mechanism to also track payments and account balances (as provided in Section 2.3.4.8.4.2.1). Signifying nonrevenue plazas includes naming specific barrier plazas individually as well as ranges of plazas along the ticketed portion of the NYSTA system. 2.3.4.8.4.2.4 Customer Fees When authorized by the Authorities, the Contractor shall waive the requirement for tag deposit fees for non-revenue account plans or other fees that may apply only to revenue accounts. 2.3.4.8.4.2.5 Statements The Contractor shall suppress the generation of statements for non-revenue account plans unless there is revenue activity for that statement period. In that case, the statement shall include both revenue and non-revenue transactions. 2.3.4.8.4.2.6 Closing Accounts As directed by the Authorities, the Contractor shall close non-revenue plans (e.g. when an Authority employee leaves the Authority, he/she is no longer entitled to a non-revenue account). 2-58 2.3.4.8.4.2.7 Tag Invalidation Immediately upon receiving a report from a non-revenue customer of a lost or stolen tag, the Contractor shall flag the tag’s status in the account database which will change the tag status as per Appendix H and, at the Authority’s discretion, assess the lost/stolen tag fee. If requested by the Authority that originally approved the opening of a non-revenue account, the Contractor shall issue a new tag. If an individual is still an employee of that Authority, the Contractor shall collect a lost tag fee prior to issuing a replacement tag if directed to do so by the Authority. 2.3.4.8.5 Authority-Specific Customer Programs 2.3.4.8.5.1 Franchise Buses The Franchise Bus Program is an Authority-specific program. The Contractor shall treat certain franchise buses at certain TBTA facilities as prepaid commercial accounts, as designated by TBTA. After TBTA designates franchise bus status and associated discounted toll rates, the Contractor shall require a prepaid deposit equivalent to one month’s worth of tolls as a condition for establishing this type of account. In addition, the Contractor shall collect a refundable deposit or non-refundable fee, as designated by TBTA, for all tags issued to the designated bus companies. The Contractor shall produce statements for these customers within seven calendar days of the end of the monthly statement cycle. As directed by TBTA, the Contractor shall suspend franchise discounts for any or all of these companies for failure to maintain monthly balances. The Contractor shall receive and track all payments from this special customer group on behalf of TBTA except for purchase orders. The Contractor shall review account usage quarterly and adjust the required prepaid balance as needed to reflect one month’s worth of tolls. 2.3.4.8.5.2 TBTA Resident Sticker Plan The TBTA Resident Sticker Plan is an Authority-specific resident program. The Contractor shall issue on behalf of TBTA stickers for that Authority’s geographical resident plans which will provide toll discounts equivalent to those available to customers registering for such plans as part of the E-ZPass program. These customers need not have an E-ZPass account. The Contractor shall issue stickers to eligible residents upon request, instead of or in addition to E-ZPass tags. The Contractor shall issue an expiration sticker to residents every two years and re-certify residency through access to the New York State Department of Motor Vehicles database of vehicles registered in Staten Island and Rockaway zip codes prior to issuing replacement stickers. These applications and renewals are only accepted by mail. Residents who have been issued resident stickers may apply directly to TBTA for carpool discount tickets. Sticker mailings for this Authority-specific program shall be treated as additional mailings for pricing purposes (see Section 4.2). 2-59 2.3.4.9 Customer Service Tasks for Violations Processing Proposer Instructions: Proposers shall describe how they will handle the customer service aspects of toll evasion violations processing, including all necessary adjustments to customer accounts and communications with customers. Proposers are advised that only NYSTA and PANYNJ currently require violations processing but the Contractor will be expected to be prepared to handle violations processing for all Authorities. This sub-section currently applies only to PANYNJ and NYSTA. The Authorities require that the Contractor identify and handle two types of toll evasion violations related to the E-ZPass program: • • E-ZPass customer violations – Transactions are associated with an invalid customer account and/or tag of the NYCSC or another CSC. Non E-ZPass customer violations – Toll evasion violations that are determined to NOT be associated with a valid customer account. Toll evasion violations processing is also covered in the following sections: • • • Section 2.3.6.7 presents the data processing requirements for toll evasion violations processing. Section 2.4.3.1.7 presents the software requirements for toll evasion violations processing. Section 2.4.3.2.3.4 presents the transaction processing requirements for toll evasion violations processing. This section focuses on the Contractor’s responsibility for interacting with customers and providing customer service as needed to support violations processing. Specific tasks include but are not limited to: • • • • • • Handling customer complaints and inquiries regarding violation notices Reviewing and researching violation data to resolve customer complaints and inquiries, including any needed communication with the Authority where the violation occurred Adjudicating disputes between the customer and CSC or individual Authority where the violation occurred Making adjustments to customer accounts if violation fees are reversed or waived Processing refunds to customers who have inadvertently paid both the collection agency and the Contractor Accepting direct payment from a customer after an unpaid violation fee has gone to collection; in this case, deposit check(s), provide copy of deposit slip to Authority, provide spreadsheet with account number, violation data, payment received, name and address of customer The Contractor shall establish separate mailing addresses for customer payments and for violation payments as one means of minimizing the incidence of unidentified payments. 2-60 2.3.4.10 Customer Service Tasks for Class Mismatch Processing Proposer Instructions: Proposers shall describe how they will handle the customer service aspects of processing of vehicle classification mismatches, including all necessary adjustments to customer accounts and communications with customers. Proposers are advised that only TBTA and PANYNJ currently require vehicle classification mismatch processing but that NYSTA also anticipates doing class mismatch processing during the term of the contract. Since toll rates vary by vehicle class, it is imperative that E-ZPass account holders are charged the correct toll for all tag-equipped vehicles. Vehicle classification information appears in each individual E-ZPass transaction record based on two sources: • The vehicle class that is encoded in the tag based on information provided by the customer. That encoded class is read from the tag as part of an E-ZPass transaction in the toll lane and becomes part of the transaction record. • An independent observation of vehicle class at the time of passage through the lane provided by a toll collector in a staffed mixed mode lane (NYSTA) or an independent determination of vehicle class provided by AVC equipment in the lane (PANYNJ and TBTA). A class mismatch occurs when the vehicle classes from these two sources are not the same. Class mismatch processing is also covered in the following sections: • • • Section 2.3.6.8 presents the data processing requirements for class mismatch processing. Section 2.4.3.1.8 presents the software requirements for class mismatch processing. Section 2.4.3.2.3.5 presents the transaction processing requirements for class mismatch processing. The following focuses on the Contractor’s responsibility for interacting with customers and providing customer service as needed to support class mismatch processing, as directed by one or more Authority. Specific tasks include but are not limited to: • • • • Adjusting customer accounts and/or issuing notices and/or assessing customer fees as directed by the Authorities Responding to customer inquiries Handling customer complaints and inquiries when class mismatches have resulted in an adjustment to the toll posted to their account Reviewing and researching class mismatch data to resolve customer complaints and inquiries, including any needed communication with the Authority where the class mismatch occurred 2-61 • • Adjudicating disputes between the customer and CSC or individual Authority where the mismatch occurred Making adjustments to customer accounts if a review of the initial adjustment determines it should be reversed 2.3.4.11 Customer Service Tasks for Infraction Processing Proposer Instructions: Proposers shall describe how they will handle the customer service aspects of processing infractions, including all necessary adjustments to customer accounts and communications with customers. Proposers are advised that only NYSTA and PANYNJ currently require speed infraction processing but the Contractor shall be prepared to handle speed infraction processing for all Authorities. Certain in-lane events involve abuses of the terms and conditions of the E-ZPass customer agreement and are considered “infractions” by the Authorities. One or more Authority may require the Contractor to process several different types of infractions. Infraction processing is also covered in the following sections: • • • Section 2.3.6.9 presents the data processing requirements for infraction processing. Section 2.4.3.1.9 presents the software requirements for infraction processing. Section 2.4.3.1.8 presents the transaction processing requirements for infraction processing. This section focuses on the Contractor’s responsibility for interacting with customers and providing customer service as needed to support infraction processing, as directed by one or more Authority. Generally, these tasks include but are not limited to: • • • • Handling initial customer complaints and inquiries regarding infraction notices Reviewing and researching infraction data to resolve customer complaints and inquiries, including any needed communication with the Authority where the infraction occurred Adjudicating disputes between the customer and CSC or individual Authority where the infraction occurred Making adjustments to customer accounts as directed by the Authority where the infraction occurred (such adjustments may include suspension or closing of customer accounts) There are currently three different types of infractions which the Contractor shall handle: • Speeding infractions • Use of a lost/stolen/invalid tag • Use of an unmounted tag 2-62 These three infractions are described in the following sub-sections and, where applicable, particular customer service tasks specific to that infraction are identified. The Authorities reserve the right to require the Contractor to handle other infractions involving similar tasks. 2.3.4.11.1 Speeding Infractions In order to assure customer and employee safety at their toll plazas, the Authorities require that the Contractor perform lane speed enforcement by issuing speed infraction notifications to E-ZPass customers passing through a toll lane above certain designated speed thresholds. (Thresholds are defined by the Authorities but speed data are processed by the NYCSC to identify customers who should be issued such notifications.) Customers will receive a series of warning notices and sanctions for speeding as described in Section 2.3.6.9.1. Currently, lane speed enforcement is required by NYSTA and PANYNJ. (TBTA has gates in all E-ZPass equipped lanes so it does not currently require speed infraction processing.) Speeding infractions involve some specific requirements for communication by customer service representatives. For example, if customers wish to appeal a sanction imposed as a result of a speed infraction, customer service representatives shall tell customers to put their appeal in writing (via mail or email) and send it to the NYCSC. Additional communication is required to inform them of the result of the appeal. 2.3.4.11.2 Use of a Lost/Stolen/Invalid Tag When a tag that is either lost or stolen or in invalid status (negative balance) is used at a TBTA facility, the gate does not lift. Hand-held bar code scanners are used by plaza personnel to validate the tag status. Once the status is confirmed as invalid, the tag is retained by plaza personnel and customers are given a retained tag receipt. This infraction is referred to as “tag retention”. Section 2.3.6.9.2 describes Contractor responsibilities associated with this infraction. 2.3.4.11.3 Use of an Unmounted Tag When an E-ZPass customer enters a gated E-ZPass lane on TBTA facilities with an unmounted tag and unsuccessfully attempts to obtain passage by deploying the unmounted tag (“by hand”), the gate does not lift, resulting in a “red light, gate down” condition. A Bridge and Tunnel Officer (BTO) then assists the motorist during an interaction called an “intervention”. The BTO will test the tag on a “patch antenna” to see if it is operable. If it is operable, the customer detected with an unmounted tag is issued a Notice of Administrative Fee by the BTO. The Contractor will receive pertinent information in a file from a hand-held scanner and is responsible for collecting this fee by deducting it from the customer’s prepaid account balance. TBTA will provide the file format to the Contractor at Notice to Proceed. This unmounted tag infraction is designed to minimize the number of interventions on TBTA facilities, thus increasing traffic throughput. 2-63 2.3.5 Finance Tasks The Proposer will include a description of the financial management organization and staff and job descriptions which show how each position relates to the finance tasks for which the Contractor will be responsible. Proposers shall provide additional details specific to individual tasks in their responses to Sections 2.3.5.1, 2.3.5.2, and 2.3.5.4, including all subsections thereof. The Contractor’s responsibilities for finance tasks are described below in the following four general categories: ƒ Revenue Handling, Distribution, and Reconciliation (Section 2.3.5.1) ƒ Financial Management and Control (Section 2.3.5.2) ƒ Cost Allocation (Section 2.3.5.3) ƒ Audits (Section 2.3.5.4) The tasks described in this section of the Statement of Work are closely related to tasks described elsewhere, e.g. Customer Account Management and Reporting, and it is the Contractor’s responsibility to ensure that they are coordinated and integrated accordingly. 2.3.5.1 Revenue Handling, Distribution, and Reconciliation Proposer Instructions: The Proposer will include a response to the Revenue Handling, Distribution, and Reconciliation section that demonstrates the Proposer’s approach to providing the necessary revenue management and control functions required, as described in Sections 2.3.5.1.1 through 2.3.5.1.3. The proposal will include a description of security protocols that control authorized use and access as they relate to and provide financial control. The Proposer shall describe the processes it proposes to use for each reconciliation process required, including transaction reconciliation, service center reconciliation, credit card reconciliation, and bank accounts reconciliation. The Contractor is responsible for collecting, depositing, distributing and reconciling Authority funds. These funds include prepaid toll revenue, tag deposits, violation fees, violation toll revenue, and any other fees as required. The Contractor will employ and document appropriate procedures to safeguard the financial integrity of all aspects of customer service center operations and systems. Furthermore, the Contractor must provide the capability to account for the flow of funds, the posting of all types of transactions to customer accounts, and enable reconciliation among various components of the system on a periodic basis. Reconciliation reports will include explanations for variances from expected results. The reporting functions of the system, as described in Section 2.3.7, will be utilized to demonstrate the effectiveness of the financial control system. The controls that the Contractor will employ to meet these requirements will include but are not limited to the detailed requirements described in this section and Section 2.3.5.2. 2-64 As directed or necessary to perform the activities included in the Statement of Work, the Contractor will interface with banking institutions and credit card operators, as deemed appropriate by the Authorities, to execute all requirements in an effective and efficient manner. Credit card agreements are currently in place among the Authorities and the credit card processors, as shown in Appendix B. Each customer account managed at the service center is associated with an Authority as the “designated owner” of the account. As further described in Revenue Distribution, Section 2.3.5.1.2, all funds collected from customers and violators will be deposited directly into the designated bank accounts of the appropriate owning Authority. 2.3.5.1.1 Revenue Handling Requirements Revenue handling requirements include these key areas: • • • • • • Processing of cash and check payments received in the mail or at walk-in service centers Processing of credit card or ACH payments made by customers Processing of credit card or ACH payments sent directly from processors to Authority bank accounts Bank account deposit procedures Refund handling Funds security 2.3.5.1.1.1 Payment Handling Procedures The Contractor will establish procedures for handling the following forms of payments as described in this section: checks, money orders, cash, credit card, and ACH. All services specified in this section performed by the Contractor in connection with NYCSC operations shall be in compliance with all applicable banking regulations and laws. The procedures will allow for the deposit of funds to separate bank accounts with complete reconciliation, audit trails, and controls. The Contractor will utilize courier services to make daily deposits to the Authority bank accounts. The Authorities will provide designated bank accounts for deposit of customer payments. Bank accounts are established with banks presently doing business in the state of New York. Local accounts are provided to deposit walk-in receipts for each walk-in center. All funds due to the Authorities shall be deposited directly into each Authority’s designated bank account(s). Deposits shall be made on the next business day according to courier schedules. Checks The Contractor shall collect, identify amounts and account information, and deposit checks received at the NYCSC mail-in and walk in centers. The Contractor shall provide mail handling procedures for all checks received. Control reports shall provide the number of checks received, number of checks deposited, daily volumes, and other statistics on check reporting on a daily basis. 2-65 Incoming mail handling procedures (Section 2.3.4.5.1) will include specific procedures to identify, separate, and process customer payments of any form. The Contractor shall provide separate addresses for prepaid account payments and. violation payments. Employees handling checks and cash shall be bonded or have some other form of insurance or indemnification acceptable to the Authorities, as described in Section 2.3.1.2. Cash and checks received at the NYCSC facilities shall be deposited to the Authority bank accounts on the next business day. Customer account balances shall be updated when the check is received and recorded by the NYCSC. When a check with insufficient funds (also known as a returned or bounced check) has been submitted, whether for an individual or commercial account, the Contractor shall advise the customer in writing of the insufficiency. The financial status of the account will remain as it was before the check was submitted. It is the Authorities’ policy to allow one occurrence per account within a calendar year. On the second occurrence within a calendar year, the customer shall be required to pay by cash, credit card, money order, bank check or ACH. Procedures shall be in place for both manual and automated payments to guard against a check being accepted after an account has had two occurrences within the year. If so directed by an Authority, the Contractor shall permanently prevent check payments on accounts. The Authorities reserve the right to revise returned check policies, including changing the number of occurrences and the timeframe within which returned checks are permitted. A returned check fee is charged when a check with insufficient funds is submitted by a customer. The fee shall be reflected in all appropriate financial records, including account financial activity, as well as on the customer’s statement. Fees may be dismissed at the discretion of and on instruction from the Authority that is the designated owner of the account, depending on the circumstances of the individual case. If an account is sent to collection, as described in section 2.3.4.8.1.7, any uncollected fees, including those for insufficient funds, will be separately identified as part of the total due. In the event that a check with insufficient funds is submitted by non-customers for payment of violation tolls or fees due, the Contractor shall advise the customer in writing of the insufficiency and assess a returned check fee. The fee shall be reflected in all appropriate violation records. Cash The Contractor shall establish procedures for processing cash received at walk in service centers, subject to the approval of the Authorities. Mail handling procedures for cash shall be established similar to those required for checks. In addition, cash received in the mail shall be immediately recorded in a log and 2-66 separated from supporting documentation. The supporting documentation with suitable vouchers attached shall be processed for crediting the payment to the account. Customer account balances shall be updated when cash is received and recorded by the NYCSC. Credit Card Credit card funds shall be deposited by the credit card processors directly into each appropriate Authority’s own bank accounts via electronic transfer, based on designated account ownership. Each Authority has its own merchant number. Credit card payments for account establishment and for replenishment can be made by mail, website, in person, the 800 phone number, or automatic replenishment. The Contractor shall comply with the security standard and reporting standards of any debit/credit card issuing entity accepted by the NYCSC. The Contractor shall provide credit card processing requests with address verification in order to obtain the best rate from the processor. Customer account balances shall be updated when the credit card processor authorizes the charge. Automated Clearing House (ACH) The ability to make ACH payments is not currently offered by the NYCSC. To allow for ACH payments, as directed by the Authorities, the Contractor will be required to modify customer applications and other materials from the samples provided in the appendices. The Contractor shall provide the ability to process recurring and one-time ACH payments, including establishing any agreements necessary. ACH payments shall be deposited by ACH processors directly into each appropriate Authority’s bank account(s) via electronic transfer, based on designated account ownership. The Contractor shall be able to use ACH payments for automatic replenishment or one-time customer-authorized replenishment payments via the 800 number or website. Customer account balances shall be updated when the processor authorizes the charge. 2.3.5.1.1.2 Refund Handling for Cash and Check Customers The Contractor shall establish, administer, and monitor a separate refund account to be initially jointly funded and periodically jointly replenished by the Authorities. The Authorities will agree to each Authority’s share of funds deposited into this refund account which will be based on designated account ownership. The refund account shall be a checking account from which the Contractor will issue EZPass customer refunds to cash and check customers. The Authorities shall establish a limit on the dollar amount of any single check that the Contractor may write against this 2-67 refund account. The Contractor shall designate and identify limited staff with the authority to sign checks and have other access to refund account records. Procedures to determine the proper amount due will be established in coordination with Customer Service/ Account Management procedures outlined in Section 2.3.4.8. Once the proper amount has been determined, a check from the refund account will be prepared if the customer has an account which was funded via cash or check. The request will be reviewed for accuracy according to the Contractor’s approval procedures, as approved by the Authorities. Refund checks shall be signed in accordance with the Contractor’s authorization procedures. Unusual requests or amounts greater than a threshold specified by the Authorities will not be issued without the approval of the Authorities. Refund checks and a closing statement will be mailed within five business days of final account closure. After initial funding by the Authorities, the Contractor will request bank account replenishment on a quarterly basis. The amount of the replenishment request will be in the amount of refunds issued for the quarter bringing the balance back to original funding levels. There will be one combined refund account for all the Authorities and each Authority will be billed for their share of the refund account. Refunds will be segregated in order to determine Authority funding. The refund account must be auditable and reconciled on a quarterly basis to identify clearly how much the Authorities shall contribute to this account versus what was actually paid out as refunds. The Contractor shall monitor the refund account quarterly to determine whether more frequent replenishment requests are required or if the balance needs to be increased. 2.3.5.1.1.3 Refund Handling for Credit Card Customers The Contractor shall process refunds according to the following guidelines: • • • Maximum of $500 for individual accounts or $1,000 for business/commercial accounts Refunds shall not be greater than the prepaid account balance Unusual requests or amounts greater than a threshold specified by the Authorities will not be issued without the approval of the Authorities Once the proper amount has been determined, a credit will be submitted to the credit card on file. Credit Card refunds are netted from daily credit card charge transactions by the credit card processor. The Contractor shall provide a daily credit card refund report including credit card transaction type, NYCSC customer number, credit card number and expiration date, and the refund amount. 2-68 2.3.5.1.1.4 Refund Handling for ACH Customers If the Authorities have directed the Contractor to accept ACH payments, the Contractor shall propose procedures for refund handling for ACH customers subject to the Authorities’ approval. 2.3.5.1.2 Revenue Distribution The Contractor shall deposit all funds collected directly into separate bank accounts for each Authority based on procedures in this section. 2.3.5.1.2.1 Distribution of Prepaid Tolls and Tag Deposits Prepaid tolls received from customers to open and replenish customer accounts will represent the largest dollar amount of revenue collected. The Contractor shall ensure that each Authority receives all prepaid toll revenue associated with accounts for which it is the designated owner. The Contractor shall also ensure that each Authority receives all tag deposit revenue, and any fees associated with tags issued for which it is the designated owner. The tag inventory system will accommodate this requirement as further described in Section 2.4.3.1.1. The Contractor shall provide the financial capability and controls to manage tags with deposits, tags with deposits waived, and tags previously sold, with balance information and history. Tag related transactions will be reported on a daily basis. Tag deposit balances are maintained separately from prepaid toll balances. Current policy calls for deposits to be waived for customers who provide a credit card for automatic replenishment. 2.3.5.1.2.2 Distribution of Violation Processing Fees and Associated Tolls The Contractor shall ensure that each Authority receives all fees collected from violations which occurred at its toll facilities, including any tolls collected. Tolls and violation fees shall be sent to the same bank accounts for each Authority as are used for revenue described in Section 2.3.5.1.2.1. However, violation fees and associated tolls shall be segregated for accounting and reporting purposes. Violation payments shall be posted to a specific violation so that payment can always be identified by Authority. Partial payments shall be applied against the toll amount due first, and then the violation fee. The Contractor shall have the ability to deduct violation tolls and fees from any of the Authorities’ accounts including appropriate disbursements of funds to the Authority on whose roadway/facility the violation occurred. The Contractor shall provide procedures as to how to process unidentified violation payments. Refer to Sections 2.3.6.7 and 2.4.3.2.3.4 for specific violation processing rules and requirements. 2-69 2.3.5.1.2.3 Distribution of Miscellaneous Other Fees The distribution of miscellaneous other fees among the Authorities will be dependent on their nature. For example, fees for the NYSTA annual permit plan are NYSTA-specific and therefore shall all go to NYSTA. When a deduction from a customer’s prepaid toll balance occurs as a result of a fee, the designated owner’s prepaid toll balance is reduced. The Authority who is the designated owner then makes settlement with the Authority receiving the fee. 2.3.5.1.2.4 Financial Adjustments All financial adjustments shall be specifically identified. The Contractor must be able to identify such adjustments by the Authority account owner, the Authority revenue owner, and the revenue type. The Contractor will indicate how adjustments will be authorized and identify the personnel permitted to perform adjustments. Reports will be provided summarizing daily adjustment activity. Controls will include limits on the amount and type of adjustments that may be performed. For example, a reversal shall be limited to the amount of the transaction it is related to. Authorization procedures shall be established that require supporting information to verify the propriety and validity of adjustment transactions. Approval authority shall be commensurate with the nature and significance of the transactions and in compliance with the Authorities’ policies. 2.3.5.1.2.5 Unidentified Revenue The Contractor shall provide procedures for the processing, reconciling, and reporting of unidentified revenue. The Contractor shall recommend and utilize methods and procedures to minimize the volume of unidentified revenue payments. The Contractor will also develop procedures to handle instances when customers make payments associated with multiple accounts or Authorities via a single payment. 2.3.5.1.2.6 Credit Card Charge Backs “Credit Card Customer Charge Backs” are defined as those instances where an E-ZPass credit card customer disputes a charge against his or her credit card account, and the credit card issuer makes a determination that the charge shall not be placed against the customer’s credit card account. The Contractor shall establish procedures to refute a chargeback if deemed to be a valid charge and adjust the customer’s E-ZPass account if the Authorities lose the charge back. 2.3.5.1.3 Reconciliation Processes and Procedures The Contractor shall perform reconciliation for the following four categories: • • • Transaction reconciliation (see Section 2.3.5.1.3.1) Service center reconciliation (see Section 2.3.5.1.3.2) Credit card reconciliation (see Section 2.3.5.1.3.3) 2-70 • Bank accounts reconciliation (see Section 2.3.5.1.3.4) For each of the above categories, the Contractor shall establish reconciliation processes and procedures. All reconciliation procedures shall be submitted to the Authorities for approval. The Contractor shall advise the Authorities of any discrepancies in these reconciliation processes. This section describes reconciliation requirements for each cashier, for the aggregate NYCSC deposit, for the credit card process and between the system database and bank account statements. Credit card reconciliation is essential as automatic credit card replenishment is the source of most prepaid tolls. All customers will have tolls debited from their prepaid account balances. Any exception transactions are captured and reported and the Contractor shall report any unresolved exceptions to the Authorities. Detailed procedures for reconciling each of the following will be submitted to the Authorities for approval: • • • • Lane transactions Service center cash and check deposits Credit card transactions Bank account transactions 2.3.5.1.3.1 Transaction Reconciliation The Contractor shall reconcile transactions transmitted from the Authorities with transactions posted to customer accounts on a daily basis. The Contractor will reconcile and indicate the disposition of all transactions received, including transactions for which the Contractor is not held responsible by the Authorities, e.g. (a) vehicle has no tag; (b) vehicle has an unauthorized non-E-ZPass tag; (c) vehicle has an E-ZPass tag, which the Contractor has deemed invalid and has properly updated the Authorities’ database(s) to invalidate the tag; or (d) non-revenue transactions associated with authorized tag issuances. Note that the Contractor is held responsible for any lost revenue associated with unauthorized tag issuances. The transaction reconciliation process will ensure that: • • • • All transactions are received at the service center Exception items are noted and addressed Violations transactions are processed according to violation processing requirements Valid transactions are posted to customer accounts or forwarded to other CSC’s, reconciled by reciprocity procedures 2-71 2.3.5.1.3.2 Service Center Reconciliation The Contractor shall reconcile all payments and deposits received by all service center locations, including cash and check payments made by walk-in customers and through the mail. The Contractor shall process, log, and deposit these payments. The Contractor shall establish processes for daily reconciliation (e.g. teller cash out procedures). The process for recording, verifying, and reconciling mail-in and walk-in receipts shall be established so that at each step in the process, operating and system controls are in place to ensure that receipts are properly recorded and that processing discrepancies are identified and corrected in a timely manner. The Contractor is responsible for any variances and will pay the Authorities for any variances that are unaccounted for after 30 days. 2.3.5.1.3.3 Credit Card Reconciliation The Contractor shall process all credit card transactions, including initial account openings and automatic and requested account replenishments and refunds on a daily basis. The Contractor shall establish procedures to reconcile all credit card transactions with requests sent to the credit card processor(s) and with receipt of funds transferred by the processor(s). The Contractor shall also verify credits issued to customers for refunds. The credit card reconciliation process shall ensure that all credit card transactions have been posted properly to customer accounts, transmitted to credit card processor for payments, and that payments are received from the processor. Credit card transactions can be initiated by customers walking in to the service centers, mail or email in, phone, or website transactions. Transactions can be for new account establishment or for replenishment. 2.3.5.1.3.4 Bank Accounts Reconciliation The Contractor shall record deposits made to the designated Authority bank accounts on a daily basis. Each month, the Contractor shall reconcile the balances indicated on system-generated revenue reports to deposits made to the Authorities’ bank accounts. The Contractor shall provide documentation on all refunds issued from the Contractor refund account and reconcile the account on a quarterly basis (as noted in Section 2.3.5.1.1.2) to identify clearly how much the Authorities contributed to this account versus what was paid out as refunds. 2.3.5.2 Financial Management and Controls Proposer Instructions: The Proposer shall describe all methods and procedures it will implement to assure financial control and security in all aspects of NYCSC operations. The Contractor will institute methods and procedures used to achieve the following objectives: • Safeguard assets and minimize revenue loss; 2-72 • • • Ensure validity of financial records and reports ; Provide adherence to policies, procedures, laws and regulations ; and Provide effectiveness and efficiency of operations Controls shall adhere to Generally Accepted Accounting Principles (GAAP) and, in addition, will do the following: • • • • • • • • • • • • • Adequately protect physical and system access to financial records and documents; Be designed to prevent revenue loss, errors, omissions, irregularities, and improper actions as well as to identify revenue loss, errors, omissions, irregularities, and improper actions after they have occurred; Contain appropriate, specified, testable control objectives; Be established to ensure that all customer payments are processed appropriately; Include appropriate segregation of duties for various transactions, including handling of cash and checks. The Contractor may choose to prevent customer service representatives with phone duties from entering financial transactions; Provide safeguards to physical access of financial records and stock materials. Be well documented. Training programs will communicate policies and procedures and identify the responsibilities of each employee with regard to theft, fraud, embezzlement, fiscal misconduct or violation of customer service center policies. Policy and procedures will promote control consciousness; Include computer system restrictions with varying levels of access control and restrictions on the type of transactions that may be performed. The extensive electronic data processing that the system performs requires the Contractor to provide a robust set of system control features to meet the control objectives listed above. As an example, reversals shall be tied to a transaction and not be able to exceed the value of the original transaction; Include authorization procedures that require supporting information to verify the propriety and validity of transactions. Approval authority shall be commensurate with the nature and significance of the transactions and in compliance with Authority policy; Utilize exception reporting to detect and list unusual or invalid transactions, adjustments, or charges and deviations from proper reconciliation with various components of the financial system; Be monitored and revised from time to time. The Contractor’s control procedures shall include internal auditing to evaluate the adequacy of the financial controls. Not be limited to safeguarding authority assets, but also be used to safeguard other aspects of the Contractor’s operations such as purchasing, inventory control, and payroll; and Utilize reconciliation as a key component of the control system The Contractor shall ensure the security of all funds it collects on behalf of the Authorities by utilizing such measures as: 2-73 • • • • • • • Safes on the premises of all NYCSC locations Armored cars for pick-up of funds for deposit (note that the Contractor’s selection of any armored car service provider must be approved by the Authorities) Strict controls on access to all bank accounts, including appropriate separation of duties related to funds handling Security access restrictions to cashier workstations System controls and limits to personnel authorized to perform financial transactions Surveillance cameras in areas where funds are held or processed Security guards in all walk-in center facilities designated by the Authorities to require security guards 2.3.5.3 Cost Allocation Proposer Instructions: No specific response to this section is required as part of the RFP process. Instead, the selected Proposer shall be required to collect and report information to support a cost allocation methodology to be provided by the Authorities. The Authorities will provide details at the time of Notice to Proceed before the Contractor prepares its Transition Plan so that the Contractor can perform the necessary software development to support the Authorities’ cost allocation methodology. 2.3.5.4 Audits Proposer Instructions: The Proposer shall agree to conduct SAS 70 Type II audits on an annual basis. The Proposer shall identify any other internal audits it would plan to perform if selected as Contractor. During the term of this agreement and up to six years after the termination of this agreement, the Authorities, or their officers, employees or agents (independent auditors) designated for that purpose, shall be afforded access to all necessary facilities during normal business hours on normal business days in order to allow for inspection of the work, services, and records of the Contractor and any subcontractors. This shall include interviewing of the employees, access to any premises where any work or service may be carried on and performed, and access to any records, correspondence, drawings, memoranda, or other records and documents of the Contractor and any subcontractors pertaining to the work under signed agreement, with full facilities for inspecting and copying all such materials. The Contractor will be required to have SAS 70 Type II audits conducted annually and provide such report to the Authorities. The costs for such audits will be borne by the Contractor. The Authorities reserve the right to conduct or have agents conduct any additional audits they deem to be necessary. The Contractor shall agree to include in the terms and conditions of all its subcontracts a provision to the effect that the subcontractor agrees that the Authorities or their duly 2-74 authorized representatives shall have access to all records defined herein and related to this agreement. The Contractor shall keep records and books of accounts showing the actual cost to and payment by it of all items for which reimbursement of costs is authorized. The Contractor must maintain an accounting system providing audit trails of all transactions covered herein, which will include but not be limited to: each customer's transactions, billing and account information, electronic funds transfer information, and costs and revenues related to tag procurement, distribution and sale. The system of accounting and the kind of detail recorded in the books and records shall be subject to the approval and inspection by the Authorities and their authorized designees. The Authorities reserve the right for themselves or their approved designees to use and load mutually agreed upon automated audit software to evaluate the level of security and potential vulnerabilities in all systems which control, collect, dispense, contain, manage, administer or monitor systems that support the Authorities’ business processes. The Authorities agree to test the product(s) in an appropriate test environment prior to running the software in the production environment. In addition, the Authorities, in coordination with the Contractor, agree to perform this review periodically or as deemed necessary, at an agreed upon time, normally during off-peak periods. The Contractor will not be restricted from monitoring system activity during the test. 2-75 2.3.6 Data Processing Tasks The Contractor shall establish and operate data processing facilities in order to meet the requirements of the Statement of Work. Requirements for the hardware, software, and telecommunications used to perform the data processing are presented in Section 2.4. As noted in Sections 2.1.2.1 and 2.4.2, the data processing hardware shall include redundant databases in order to increase reliability and to support continued operation during outages and disasters. The Contractor shall operate all computing centers in order to meet the Performance Standards included in Section 2.3.1.6 herein. The Contractor’s responsibilities for data processing tasks are described below in the following ten general categories: • • • • • • • • • • Tag Validation File Generation (Section 2.3.6.1) Transaction Processing (Section 2.3.6.2) Non-Toll Transaction Processing (E-ZPass Plus) (Section 2.3.6.3) Intra-CSC Reciprocity (Tolls and Non-Tolls) (Section 2.3.6.4) Inter-CSC Reciprocity (Tolls and Non-Tolls) (Section 2.3.6.5) Transaction Reconciliation (Tolls and Non-Tolls) (Section 2.3.6.6) Toll Evasion Violations Processing (2.3.6.7) Class Mismatch Processing (2.3.6.8) Infraction Processing (2.3.6.9) Bad Debt Processing (2.3.6.10) 2.3.6.1 Tag Validation File Generation Proposer Instructions: Proposers shall confirm that they shall generate all required Tag Validation files according to the requirements below and the associated Appendices. The Contractor shall periodically (typically daily) generate a total of seven tag validation files. These files are summarized in Table 2-3 below. TABLE 2-3 SUMMARY OF TAG VALIDATION FILES Applicable Tag Validation File Authority/Facility Name TBTA, all but Triborough Manhattan Bridge Plaza TBTA, Triborough Manhattan Bridge Plaza only Tags Included File Format “Customer File” in TBTA File Specifications All NYCSC tags plus all IAG tags in ITAG files from other CSC’s See Appendix S “Customer File” in TBTA File Specifications All NYCSC tags plus all IAG tags in ITAG files from other CSC’s See Appendix S 2-76 TABLE 2-3 (continued) Applicable Tag Validation File Authority/Facility Name PANYNJ (all facilities) NYSTA & NYSBA (all facilities) All other CSC’s All E-ZPass Plus Facility Operators (excluding Port Authority Airport Facilities) Port Authority Airport E-ZPass Plus Facility Operators Tags Included File Format “Tag Status File” in PANYNJ File Specifications “Tag Validation File” in NYSTA File Specifications ITAG File FO Tag Status File All NYCSC tags plus all IAG tags in ITAG files from other CSC’s All NYCSC tags plus all IAG tags in ITAG files from other CSC’s All NYCSC tags All valid credit-card based NYCSC tags which have not opted out of E-ZPass Plus See Appendix S FO Tag Status File All valid credit-card based NYCSC tags which have not opted out of E-ZPass Plus and any tag associated with an account with one of the three following PA nonrevenue plans-PANR, PAEP, PAAP- regardless of account status See Appendix L5 as modified by L5A See Appendix S See Appendix L4 See Appendix L5 In order to determine how to fill certain fields of the files, the Contractor must apply certain Authority-specific business rules. These rules are summarized in Appendix R which is the Tag Validation Matrix. The following paragraphs describe each of the columns of the Tag Validation Matrix. The Account Status denotes the status of the account that the tag is assigned to, as per Appendix N. Possible statuses include Active, Suspended, Pending, New, and Closed. The Inventory Status is the status of the tag in the tag inventory. Appendix H lists the possible tag inventory statuses. Financial Status indicates the financial standing of the account. Plan indicates the plan that the account has assigned to it. Information about the possible plans is presented in Appendix P. The last six columns indicate the status coding that shall be included in each of the status files as follows: 2-77 • • • • • TBTA (all toll facilities; two files): o For NYCSC tags, Field 13-8R (Control Information) of the Customer File shall be filled with the coding shown in the Tag Validation Matrix. o For other IAG tags, the coding shall be as shown in Table 2-4. PANYNJ (all toll facilities): o For NYCSC tags, Field “tag status” of the Tag Status File shall be filled with the coding shown in the Tag Validation Matrix. o For other IAG tags, the coding shall be as shown in Table 2-4. NYSTA and NYSBA (all toll facilities): o For NYCSC tags, Field ‘NYSTA Tag Status’ of the Tag Validation File shall be filled with the coding shown in the Tag Validation Matrix. In addition, Field ‘NYSBA Tag Status’ of the Tag Validation File shall be filled with the coding shown in the Tag Validation Matrix. o For other IAG tags, the coding shall be as shown in Table 2-4. IAG Reciprocity: o For NYCSC tags, Field ‘TAG_STATUS’ of the Tag Status File (ITAG) shall be filled with the coding shown in the Tag Validation Matrix. Facility Operators (all non-toll facilities): o For NYCSC tags, Field “tag status” of the Tag Status File (FTAG) shall be filled as per Appendix L5 or as modified by L5A for Port Authority Airport Facilities. o For other IAG tags, coding shall be as shown in Table 2-4. For non-NYCSC tags, the coding is shown in Table 2-4 below. TABLE 2-4 TAG STATUS CODING FOR NON-NYCSC TAGS Description TBTA File PANYNJ Code in Coding (all ITAG file facilities) received from other CSC 1 Valid OOOVOO OOOVOO 2 Low Balance OOOMOO OOOMOO 3 Invalid IWOROO OOONOO 4 Lost/Stolen LWOROO LIOROO NYSTA and NYSBA 1 2 3 4 Facility Operators 1 N/A N/A N/A Sections 2.4.4.2 and 2.4.4.3 present the requirements for transmission of tag status files between the NYCSC and the Authorities. 2.3.6.2 Transaction Processing Proposer Instructions: Proposers shall fully describe what processes they will put into effect in order to accurately and efficiently process transactions. 2-78 The majority of the data processing will involve toll transactions, which are electronic records of vehicles traveling on IAG toll facilities. In addition to toll transactions, there are non-toll transactions, which are the result of use of IAG tags at E-ZPass Plus facilities. This section describes the general requirements for toll and non-toll transaction processing. The next section (2.3.6.3) will cover additional requirements for processing of non-toll transactions. The Contractor shall receive toll transactions from each of the NYCSC Authorities and also from each of the other IAG Customer Service Centers. (See Appendix L.) Non-toll transactions shall be received from each Authority or CSC that operates E-ZPass Plus facilities. Toll and non-toll transactions from NYCSC Authorities will be transmitted to the NYCSC in Authority-specific file formats, which are described in Appendix S. The file formats for transactions originating at other CSCs are contained in Appendix L. The Contractor shall process all received transactions according to the requirements contained in section 2.4.3.2. In general, there are four different “types” of transactions: 1) A tag from one NYCSC Authority is used on the same NYCSC Authority’s toll facility or non-toll facility. 2) A tag from one NYCSC Authority is used on another NYCSC Authority’s toll facility or non-toll facility. 3) A tag from a non-NYCSC Agency is used on a NYCSC toll or non-toll facility. 4) A tag from a NYCSC Authority is used on a non-NYCSC toll or non-toll facility. Type 1 toll transactions are simply processed according to the business rules established by each Authority (Section 2.4.3.2). Type 2 toll transactions are “Intra-CSC Reciprocity” transactions. presents the requirements for processing of these transactions. Section 2.3.6.4 Type 3 and 4 toll transactions are “Inter-CSC Reciprocity” transactions. Section 2.3.6.5 presents the requirements for processing of these transactions. Non-toll transactions of Types 1 through 4 shall be processed subject to the requirements presented in Section 2.3.6.3. In addition to these four types of transactions, the Contractor shall also be required to process manual toll data. Manual toll transactions (often referred to as MTolls) are generated when an E-ZPass customer travels through a lane and the tag is not successfully read by the in-lane equipment or in other unusual circumstances, as described below. In staffed lanes (NYSTA and PANYNJ) or dedicated, gated lanes (TBTA), plaza personnel are then instructed to obtain relevant information from the 2-79 driver which is used to document the transaction manually. The transactions are subsequently sent to the Contractor for processing at least daily. Appendix A includes current MToll volumes by Authority. Manual toll transactions shall be posted by either the license plate number or tag number, depending on the Authority-specific methods and business rules. For NYSTA, manual toll processing involves the following: • NYSTA uses both electronic and paper logs to record and transfer manual tolls to the NYCSC. • At the NYSTA toll barriers and bridges, manual tolls will be recorded on paper logs. These paper logs will be transferred to an MS Excel spreadsheet by NYSTA personnel and sent to the NYCSC via e-mail. • On the ticketed portion of the NYSTA, toll collectors can enter license plate or tag information directly into the toll collection system. In this case, electronic manual toll transactions will be created and transferred to the NYCSC in a separate transaction file (as specified in Appendix S). • The Contractor shall receive the MS Excel file and “MTOLL” transaction file and process the transactions in the same manner as detailed in Section 2.4.3.2. For PANYNJ, manual tolls must be processed for over height or over-width vehicles, convoys and other configurations that are out of the norm with Port Authority toll structure because they do not use toll lanes. They are charged double the toll plus an escort fee. The toll is based on the number of axles the vehicle has and the time of day the vehicle incurs the toll. The forms are filled out by the drivers and signed by a Port Authority Toll Supervisor. The forms are checked by Port Authority staff for accuracy, and then forwarded to the NYCSC for posting to the customer’s account. The NYCSC shall receive the paper forms and process the transactions for PANYNJ in the same manner as detailed in Section 2.4.3.2. At TBTA facilities, when a tagged vehicle enters a dedicated E-ZPass lane (with a gate), and the tag is not read, plaza personnel use either a handheld bar code scanner to electronically identify the tag or record tag information on paper logs. Data from the scanner are then transferred to a server. The server then creates a special “MTOLL transaction file” which is transferred to the NYCSC for processing (as specified in Appendix S). The NYCSC shall receive either the MTOLL file or the manual logs from TBTA and process the transactions in the same manner as detailed in Section 2.4.3.2. In the event that there are multiple MTolls on particular tags (with the exact number being determined by TBTA and treated as a configurable parameter by the Contractor), those tags will be prioritized for reactive swapping out (as described in Section 2.3.4.2.4, Tag Swap). 2-80 2.3.6.3 Non-Toll Transaction Processing (E-ZPass Plus) Proposer Instructions: Proposers shall describe how they will process non-toll transaction including how they will ensure that E-ZPass Plus and toll transaction processing do not interfere with each other. Non-toll transactions occur when a tag from a participating IAG CSC is used to pay a fee (parking, etc.) at one of several “E-ZPass Plus” facilities operated under the auspices of an IAG CSC. Currently, the only E-ZPass Plus facilities are for parking but additional non-toll applications are anticipated over the term of this contract. To support E-ZPass Plus, the Contractor is required to: • • • • • • • • • • • Process and reconcile non-toll transactions Process corrections and resubmitted transactions Create a tag validation file for non-toll applications Handle customer service issues related to non-toll applications Pursue collection of declined transactions Generate periodic activity and settlement reports Indicate non-toll transactions on customer statements Make adjustments to non-toll transactions as directed by the E-ZPass Plus facility used Include marketing information on customer statements as directed by the Host Agency and approved by the Authorities Support reciprocity with participating agencies and facilities Provide for implementation, testing, and support of new non-toll facilities and their CSC’s The Contractor shall implement procedures to ensure that the processing of E-ZPass Plus transactions does not interfere with the processing of toll transactions and vice versa. Non-toll transactions are posted to qualified E-ZPass customers’ accounts that have elected to participate in E-ZPass Plus. (E-ZPass Plus is currently only available to customers enrolled in automatic account replenishment by credit card and who have not elected to opt out of E-ZPass Plus.) E-ZPass Plus transactions are handled differently depending on the dollar amount of the transaction. Currently, E-ZPass Plus transactions of less than $20 are posted to the customer’s E-ZPass account. E-ZPass Plus transactions in an amount of $20 or more are charged directly to the customer’s credit card used for automatic replenishment. However, these charges will also appear on the customer’s EZPass statement even though they are not debited from the E-ZPass account balance. The Authorities reserve the right to change the financial policies used for E-ZPass Plus, e.g. the dollar thresholds, so the Contractor shall use configurable parameters to accommodate such policy changes. 2-81 Transaction files for E-ZPass Plus transactions shall be received from Facility Operators/Host Agencies on a regular basis, at least once a day. If an E-ZPass Plus transaction is rejected for payment, it may be resubmitted once (and only once) within sixty (60) days of the transaction date. The Contractor shall reject any transactions that occurred more than 60 days prior to receipt at the NYCSC. The NYCSC Contractor shall post E-ZPass Plus transactions to the customer’s account as described above. The NYCSC Contractor shall also transmit tag validation files to Facility Operators/Host Agencies on a regular basis, at least once a day, with the precise timeframes and frequencies established by mutual agreement between the NYCSC and each Facility Operator/Host Agency. As noted in Section 2.3.6.4 and 2.3.6.5, account reciprocity also applies in the case of EZPass Plus. Accordingly, transfer of E-ZPass Plus transaction files between the NYCSC and other CSC’s shall occur on a regular basis, at least once a day. Currently, the NYCSC Authorities have two applications of E-ZPass Plus. These are: • Parking at the Albany International Airport • Parking at PANYNJ-operated lots at JFK International Airport, Newark-Liberty International Airport, and LaGuardia Airport Currently, the NYCSC E-ZPass Plus facilities are the only such E-ZPass Plus applications in the IAG, although the IAG is actively seeking to expand E-ZPass Plus and the NYCSC shall be capable of processing current and future volumes of E-ZPass Plus transactions, including those handled by other CSC’s. (Appendix A provides current data on E-ZPass Plus.) The following CSC’s currently offer E-ZPass Plus to their customers: NYCSC, New Jersey CSC, Delaware River Bay Authority, Delaware River Joint Toll Bridge Commission, and Maryland. By Phase 3, Delaware Department of Transportation, New Hampshire and Maine will also be offering E-ZPass Plus. The Contractor shall be able to exchange and process E-ZPass Plus transactions with all operating CSC's whose agencies have E-ZPass Plus facilities as of the Notice to Proceed. The IAG File Specifications (Appendix L) include a document titled “Facility Operator to Customer Service Center Interface File and Reporting Specifications”. These specifications contain the file formats that E-ZPass Plus facilities shall use to transmit data to its host CSC. The E-ZPass Plus facilities listed above have host computers that communicate directly with the NYCSC and all data files conform to the IAG specifications. Information about the current electronic interface between the airports currently offering E-ZPass Plus and the NYCSC is contained in Appendix L. 2-82 2.3.6.4 Intra-CSC Reciprocity (Tolls and Non-Tolls) Proposer Instructions: reciprocity transactions. Proposers shall describe how they will process intra-CSC In order to maximize the convenience of E-ZPass to customers, all agencies offering EZPass have committed to a policy of account reciprocity. This policy allows a customer to use E-ZPass on all equipped toll facilities by opening only a single E-ZPass account. (In concept, this policy is similar to banks allowing customers of one bank to use another bank’s ATM.) In addition, some IAG customers (and all NYCSC customers) can use their tags on non-toll (E-ZPass Plus) facilities. The NYCSC Contractor shall support two general types of reciprocity, namely, intraCSC and inter-CSC reciprocity. These two types are described in the sections below, which also contain the data processing requirements for each type. An example of intra-CSC reciprocity would be a toll transaction generated by a TBTA tag that traveled on a NYSTA toll facility or a PANYNJ tag used at the Albany International Airport. In other words, intra-reciprocity transactions involve only NYCSC customers and facilities. This type of account reciprocity is to be handled completely by the NYCSC Contractor. All transactions generated on NYCSC facilities by tags owned by NYCSC customers shall be posted to the appropriate customer account. The Authorities will utilize Contractor-provided reports (see Section 2.3.7) to determine how much revenue must be transferred between each pair of Authorities to account for these intra-CSC transactions. Section 2.4.3.1.10.1 presents the software requirements for Intra-CSC reciprocity. Section 2.4.3.2 presents the business rules and details transaction processing requirements, including intra-CSC reciprocity transactions. 2.3.6.5 Inter-CSC Reciprocity (Tolls and Non-Tolls) Proposer Instructions: Proposers shall clearly identify any data processing requirements associated with inter-CSC reciprocal transactions as the volume of these transactions is expected to continue to increase as market share grows, E-ZPass Plus expands, and additional agencies implement E-ZPass. Proposers shall respond to each individual subsection below, emphasizing what measures and flexibility will be implemented to accommodate expected growth in transaction volumes over the term of the contract. Inter-CSC reciprocity applies between the NYCSC and other CSC’s. For each transaction included in reciprocity files, there is a Home CSC (owner of the customer account) and an Away CSC (not Home). The NYCSC is considered the Home CSC for accounts established with NYSTA, TBTA and PANYNJ. Note that all CSCs including the NYCSC may represent a Home CSC for some transactions and an Away CSC for other transactions. For example, if an E-ZPass tag on an account assigned within the NYCSC to NYSTA is used on the MassPike, the NYCSC is the Home CSC and Mass Pike’s CSC is the Away CSC. However, if an E-ZPass tag of a Mass Pike customer is 2-83 used on the NYSTA’s Tappan Zee Bridge, the Mass Pike’s CSC is the Home CSC and the NYCSC is the Away CSC. Data on reciprocal transactions are shown in Appendix A. To accommodate the current and expected volume of account reciprocity, the Contractor must support the elements/activities detailed in the subsections below. Note that both toll and non-toll transactions are supported by the Interagency CSC Interface Specifications. The Contractor shall implement all interfaces to accomplish Inter-CSC Reciprocity of toll and non-toll transactions. 2.3.6.5.1 IAG File Specifications The Inter-Customer Service Center Interface File Specifications document (hereafter referred to as IAG File Specifications) defines the formats and methodologies for transmitting all files between CSCs. The IAG File Specifications include a list of IAG agencies and their respective CSC’s. The IAG File Specifications include all files, general requirements, file use, file layout (including fields, size, and values), examples, processing requirements, and transmission methodologies for all files. The Contractor shall provide the necessary software and procedures to accommodate the IAG File Specifications. Details on the system requirements for transaction processing are presented in Section 2.4.3.2 and the IAG File Specifications are contained in Appendix L. The Inter-CSC interface files allow each E-ZPass customer to maintain a single account with one CSC and have all toll and non-toll activity at Home facilities and Away facilities shown on that customer’s account statement. 2.3.6.5.2 Exchange Tag Status Files Home and Away CSC’s transmit and receive tag status files (ITAG and ITGU) as described in the IAG File Specification. Tag status files shall be exchanged on a regular basis, at least once a day. Any two individual agencies may have agreements to exchange tag status files on a more frequent basis and the NYCSC shall be responsible for accommodating any and all such agreements. (Note: The specifications pertaining to the Tag Status Update File (ITGU) are not actively implemented by any of the agencies/Authorities at this time; however the specified functionality shall be included in the new system and the Contractor shall transmit these files as directed by one or more of the Authorities.) 2.3.6.5.3 Exchange and Reconciliation of Transaction and Correction Files Home CSC’s are responsible for exchanging Transaction Files (ICTX tolls, INTX for non-tolls) with all Away CSCs. The Home CSC will process these files against their customer accounts and respond to each transaction file with a Reconciliation File (ICRX for tolls, INRX for non-tolls). Transaction Correction Files (ITXC and ITXN) and corresponding Correction Reconciliation Files (IRXC and IRXN) are used when needed according to the IAG File Specifications. 2-84 As long as a customer account is still open at a Home CSC, Valid Tag Transactions transmitted from the Away CSC to the Home CSC within sixty (60) days of the transaction occurring shall be honored by the Home CSC. The Home CSC is not required to honor a non-toll transaction if the account is closed. 2.3.6.5.4 Acknowledgement Files Acknowledgement Files (ACK) are used as a response for every file transmitted between CSC’s. Receipt of the ACK file indicates to the sending CSC that the receiving CSC received the file sent. The ACK code indicates any problems the receiving CSC encountered with the files. The ACK dates for corresponding ICRX, IRXC INRX, and IRXN files denote which transmitted files will be included in a given settlement period. 2.3.6.5.5 File Processing When the NYCSC receives a transaction file from an Away CSC, it shall first apply a series of validity checks on the data received and either accept or reject the file with the appropriate ACK code. The various ACK codes are listed in Appendix L-4. If the file is accepted, the NYCSC system will process the transactions and attempt to post the transactions to the appropriate NYCSC accounts. Posting of transactions shall be performed as described in Section 2.4.3.2, Transaction Processing. In order to facilitate researching and resolving customer complaints, the NYCSC shall maintain records related to all toll and non-toll transactions received from other CSC’s in accordance with Appendix G. 2.3.6.5.6 Exchange of Other Files The NYCSC shall support all other IAG specified files to and from other CSC operators to facilitate the processing of toll evasion violation transactions. These files include the Invalid Tag Customer File (IITC) and the Customer License Plate File (ICLP). The Customer License Plate file may be used to generate a toll transaction for an otherwise valid E-ZPass customer whose tag did not properly read. The Invalid Tag Customer file may be used to generate a toll evasion violation notice without performing a search of motor vehicle records at the DMV. The NYCSC Contractor must create and accept these files as part of its normal operation. These files will be used according to the processing rules described in the IAG File Specifications and other sections of this Statement of Work. 2.3.6.5.7 IAG Report Specifications Report Specifications can be found in the Inter-CSC Settlement Report Specification (hereafter referred to as Report Specification) in Appendix L which includes provisions for modifications and new versions of the Report Specifications. All reports specified in the IAG Report Specification are required with the exception of IAG-1, Inter-CSC Settlement Report. There is one additional required report that is not found in the Report Specification, referred to as the Outgoing Settlement/Posting Report. This report is used to reconcile settlement reports for the Authorities and other Agencies. 2-85 It is prepared weekly or monthly, prior to Agency wire transfers and as confirmation of the reciprocity settlement amounts. The report must show same period correction file reports. Sufficient explanation shall be provided for any report variances. 2.3.6.5.8 Settlement Process Using reports itemized in Section 2.3.6.5.7, the Contractor shall provide reports to the Authorities on a monthly basis, unless a more frequent settlement period is mutually agreed with an Agency. The settlement is based on the gross amount of posted transactions as well as other items such as disputed tolls, violations, etc. 2.3.6.5.9 Accommodations for Fees and Discount Plans between Agencies The NYCSC currently does not offer any discount program other than those offered by the NYCSC Authorities. The New Jersey CSC currently offers several of the Authorities’ discount programs for their customers. If the NYCSC does process other agency discount programs in the future, the associated revenues will be reflected though the use of the IAG-4 and IAG-5 reports. 2.3.6.5.10 Required Activities of NYCSC Operator with Respect to Reciprocity In order for the IAG to operate efficiently and for reciprocity to be successful, it is important that all Agencies and their CSC operators work in harmony. Toward that end, the Contractor shall be required to participate in various IAG-related activities, including: • • • • • • • • • • • Attend and participate in periodic IAG Reciprocity Task Force (RTF) meetings that are held at various IAG member agency facilities Participate in weekly 1-hour (or as necessary) RTF conference calls regarding settlement Maintain and monitor communications with all of the active IAG member agencies Check for quality of data, missing data, timely file reconciliation, missing files, missing plazas, etc and take the appropriate actions to repair, recover, regenerate, or whatever action is required to correct the deficiency Provide training to its CSC representatives that detail how to handle all issues relevant to inter-CSC reciprocity arrangements with IAG member agencies Provide IAG member agency CSC operations with information on the NYCSC rules, policies, and procedures to facilitate training of their CSC employees Establish inter-CSC procedures for dealing with tags mistakenly received from other IAG member agencies' customers Provide capacity to handle additional agencies in the future, including new agencies that may join the NYCSC as well as non-NYCSC agencies that may join the IAG Cooperate in IAG Reciprocity Testing as new agencies are added Reconcile settlement reports with IAG member agencies before submitting reports to NYCSC Authorities Support the IAG settlement schedule, which may change from time to time 2-86 • • Cooperate as needed to respond to any customer inquiry or complaint about transactions posted by the NYCSC Provide statistics on NYCSC activities as approved by the Authorities to other CSC’s, e.g. number of accounts opened and closed; tags issued, returned, active; etc. 2.3.6.6 Transaction Reconciliation (Toll and Non-Tolls) Proposer Instructions: Proposers shall describe what processes they will implement in order to fully reconcile transactions according to each Authority’s unique requirements. Each of the NYCSC Authorities has implemented a process for reconciliation of transactions with the NYCSC. The Contractor shall implement the required files, reports, and processes necessary to support these reconciliation processes. Each Authority’s processes are described below. NYSTA The NYSTA uses a “Daily Reconciliation File”, which is part of the NYCSC-NYSTA interface file specification and is included in Appendix S1A. The Contractor shall produce this file daily, including interim reconciliation codes as noted in Appendix S1A, to report on all transactions whose disposition was determined the previous day. The Daily Reconciliation File shall be sent within three (3) calendar days of the transaction file sent date. PANYNJ The PANYNJ uses a “Transaction Reconciliation File”, which is part of the NYCSCPANYNJ interface file specification and is included in Appendix S2. The Contractor shall produce reconciliation files, including interim reconciliation codes (as noted in Appendix S2A), corresponding to each transaction file received from PANYNJ. The PANYNJ ECH (E-ZPass Central Host) also supports the ability to receive interim reconciliation codes. These codes allow the PANYNJ to track transactions as they make their way through the NYCSC system prior to final disposition. For example, when a toll evasion transaction is sent to the DMV for plate lookup, an interim code stating such is returned to the PANYNJ. This way, at any given point in time, the PANYNJ can determine the current status of all transactions it has transmitted to the CSC. The Transaction Reconciliation File shall be sent within two (2) calendar days of the transaction file sent date. TBTA TBTA uses three files to perform reconciliation activities, Credit Hour Report (designated CHR), Data Customer Service Center Report (designated DCSC), and Violation Customer Service Center Report (designated VCSC). 2-87 The CHR file shall contain an hourly summary of transactions and revenue credits for TBTA E-ZPass customers. A total of 10 CHR files are created daily, one for each TBTA facility. The CHR files shall be sent within three (3) calendar days of collection date. (Note that collection date can be understood to be the same as transaction date, subject to TBTA’s definition of collection date in Appendix S3 as the period of time between 11 PM to l1 PM BTO tour times.) The DCSC file is a detailed listing of all transactions involving all E-ZPass tags (NYCSC and non-NYCSC). A total of 10 DCSC files are created daily, one for each TBTA facility. The DCSC files shall be sent within fifteen (15) calendar days of collection date. The VCSC file is an individual file for each toll plaza for each collection date. The file contains detailed records for lane and time of transaction for each ETC transaction of the DCSC file processed as a violation by the CSC through automated means and/or visual inspection of violation images. The VCSC file shall be sent within 30 calendar days of collection date. The detailed file specifications for these three files are contained in Appendix S3. Facility Operators Facility Operators follow perform transaction reconciliation as specified in the IAG File Specifications. These specifications contain the file formats that E-ZPass Plus facilities shall use to perform transaction reconciliation within the NYCSC. The E-ZPass Plus facilities listed in Section 2.3.6.3 have host computers that communicate directly with the NYCSC and all data files conform to the IAG specifications. 2.3.6.7 Toll Evasion Violations Processing Proposer Instructions: Proposers shall describe how they will handle toll evasion violations processing. In this section of the RFP, Proposers shall focus on the data and image processing activities required to identify violators and generate violation notices to customers. Proposers are advised that there are customer service tasks to support violations processing described in Sections 2.3.4.9 and business rules and system requirements related to violations processing in Sections 2.4.3.1.7 and 2.4.3.2.3.4. The Contractor shall be responsible for processing images related to toll evasion violations and generating notices to toll evaders. Notices are sent and administrative fees imposed according to the business rules of each Authority. Minimum required violations notices are included as Appendix T. Although toll evasion processing currently applies to PANYNJ and NYSTA, the Contractor shall provide the capability to process violations for all Authorities. A toll evasion transaction occurs when a vehicle passes through a dedicated E-ZPass-only lane or mixed-mode lane without paying the toll. Toll evasion transactions can occur on NYSTA and PANYNJ facilities. The purpose of the toll evasion process is to identify toll evaders and pursue them for collection of the toll and fees. 2-88 At times, a transaction initially indicated as a toll evasion can be associated with a valid E-ZPass account (NYCSC or IAG). In these cases, the violation is converted to a toll transaction and the Contractor shall post the transaction to the valid customer account. Tolls posted in this manner are known as license plate transactions, or tolls posted on the basis of image review. In the event that there are tags associated with valid NYCSC accounts with multiple/repeated license plate transactions, propose a process for informing these customers of the problem and of the need to take appropriate action to resolve the issue which may include swapping their tags. The Contractor shall execute that process upon the Authorities’ approval. Toll evasion transactions which cannot ultimately be posted to an account are divided into two groups: customer and non-customer. This distinction within violation processing is important for violation notices, occurrence tracking, and other violation processes. The Authorities’ in-lane E-ZPass installations include automatic vehicle classification (AVC) and violation enforcement systems (VES). In conjunction with Mark IV readers and vehicle loop detectors, AVC and VES equipment ensure that any exception to a valid E-ZPass toll transaction is flagged as a violation transaction and, in most cases, images are captured in digital video format to be transmitted in that format for further review and appropriate processing by the NYCSC. Initial toll evasion processing deals with transactions occurring under the following conditions: • No tag read - In this case the Contractor shall determine if the transaction was from a customer (NYCSC or IAG), via a review of the license plate image and a comparison of the retrieved plate number with the license plates registered in the NYCSC customer database or in the IAG license plate file. If the license plate is registered to a NYCSC customer, the transaction is sent to the Posting Process. If the license plate is registered to an IAG customer, and the tag associated with that plate number (see IAG file specs) was valid at the time of the transaction, the transaction is sent to the Home agency for posting. In both cases, the transaction may be posted or rejected. If rejected, the transaction is resubmitted to the toll evasion process for notice generation. • Invalid tags – If the invalid tag is a NYCSC tag, the transaction is forwarded to the Posting Process. If rejected by the posting process (i.e. cash customer with insufficient funds, account closed, etc), the transaction is resubmitted to the toll evasion process for customer notice generation or posted to a negative customer account. If the invalid tag is an IAG tag, the transaction is retained by the toll evasion process for notice generation. Class mismatches occurring at PANYNJ facilities are resolved prior to toll evasion processing. • Lost/Stolen/Other tags – Toll evasion transactions with this tag status for NYCSC tags are submitted to image review. If the license plate matches a valid account 2-89 associated with the tag, the transaction is forwarded to the posting process. If rejected by the posting process the transaction will be resubmitted to the toll evasion process for customer noticing. If however the image does not match the account or if the tag is not from the NYCSC, the transaction is processed directly for non-customer noticing. Violations for commercial vehicles which are not initially identified as NYSTA postpaid commercial customers will be processed through the Contractor's violation processing system. Transactions identified as postpaid commercial customers via image processing will be returned to NYSTA for posting. The Contractor shall process other violations such as use of tags by customers in default, use of tags reported lost or stolen (and being used with a vehicle other than the customer's) and commercial vehicles without tags. 2.3.6.7.1 Image Review Processing The Authorities will provide up to five images per violation which will include a view of the front and/or back of the vehicle which has been identified by the in-lane equipment as a possible violation transaction. These images shall be used by the NYCSC for toll evasion processing as described in this and other sections of this Statement of Work and/or for determining an actual vehicle class to be compared with the expected class encoded in the E-ZPass tag. The NYCSC shall retrieve all available images from the Authorities at least once per day and process all images in accordance with the Performance Standards noted in Section 2.3.1.6. (See data on image volumes per day in Appendix A.) Each image processing workstation shall be capable of processing 1,000 images per day. The NYCSC shall have the ability to enhance images if required to facilitate processing. However, the Contractor shall save a copy of the un-enhanced image along with any enhanced versions. The NYCSC shall archive images for a period of time following the generation of an image as specified in Appendix G. The NYCSC image review personnel shall record the following data from each image reviewed: • License plate number • State in which vehicle is registered • Car vs. non-car for classification purposes • Plate number (entered twice) • Reason codes for rejecting when images are not readable or otherwise rejected per the Authorities (See Table 2-5 below) 2-90 Image Reject Codes - Table 2-5 lists situations for which the Contractor will establish reject codes that shall be used by the image review clerks to identify the reason for rejecting an image. Note that the exact codes to be used are subject to the approval of the Authorities and shall comply with each individual Authority’s file formats (see Appendix S). TABLE 2-5 IMAGE REJECT SITUATIONS Description Too bright. Too dark. Corrupt – Possible reasons: Multiple copies of same image; no overlay; corrupt overlay; overlay does not match image header; portion or all of image is blacked out, snowy, distorted, or contains sunspot. Camera is out of alignment, including: Vehicle or part of vehicle in image but plate is cut off to side, top, or bottom; camera not pointing at lane but at curb or canopy. No vehicle in image; camera properly aligned. Plate blurry, out of focus, or contrast is low. Plate mismatch – front and rear license plates do not match for vehicles other than tractor trailers. Plate is obstructed by something other than snow or weather – e.g., trailer hitch, tire. Can’t determine the state of the plate; the plate is a special plate like Purple Heart, etc. Emergency vehicle – ambulance, fire truck or police Note: Authority vehicles are NOT to be rejected Weather conditions, including a license plate obstructed by snow.. The Contractor shall return a file to the Authorities indicating the reason for such rejected images. The information contained in the file is outlined in Appendix S. The Contractor shall provide a quality assurance (QA) process which includes selective review of toll evasion images determined initially to be unreadable or inconclusive. The Contractor shall correct any errors or equipment problems indicated by the QA process. 2.3.6.7.2 Department of Motor Vehicles (DMV) Processing For images taken of vehicles without tag reads requiring a non-customer violation notice, the NYCSC is required to submit the plate number to the appropriate DMV office requests for owner information of the plate number within three business days of receiving the image. The Contractor shall establish procedures for data interchange with the states of Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, 2-91 Illinois, Indiana, Iowa, Maine, Maryland, Massachusetts, Michigan, Missouri, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin and with the Province of Quebec, Canada. (See Appendix B for a listing of the DMVs with which the Authorities currently have established agreements; using these established agreements may provide lower costs.) The Authorities will assist the Contractor in establishing relationships with DMVs for access to license plate and other registration information and negotiating the cost, if any, of each DMV request. Certain states’ DMV's permit the reuse of the vehicle registrant information after it has been previously requested for subsequent violations for a given period of time. The Contractor shall maintain a database for all such states and check against it before going back to DMV for the same name/address information previously obtained providing the second check is within such DMV rules. The NYCSC shall pool multiple violations by the same vehicle until the name and address information is received from DMV into one notice (e.g., if there are three violation images processed for the same day, the Contractor shall go to DMV once for name/address and send out one notice to cover all three occurrences). The Contractor shall issue a letter to the violator in accordance with the Performance Standards noted in Section 2.3.1.6 using violation processing procedures to be established by the Authorities (see minimum required violation notices in Appendix T). The Contractor shall collect a violation fee on behalf of the Authorities as specified in Appendix I. The Contractor shall establish a violation noticing process which tracks non-E-ZPass customer violation occurrences; issues first notices, tracks time lapse after first notice; sends out later notices at 30 day intervals (if there is no response to earlier notices) as indicated in Tables 2-6 and 2-7 in Section 2.3.6.7.3; and tracks time lapse after those later notices. The Contractor shall establish a process for handling and reporting the disposition of violation notices. Dispositions can be: payment of toll and fee; waiver of both; payment of toll but waiver of fee; partial payment of either toll or fee. If violation fees are unpaid after a period of time established by the Authorities, the Contractor shall interface with collection agencies with which the Authorities have separate contracts to collect such unpaid fees. (See Section 2.3.6.7.4 for further details.) The Contractor shall re-review all images for which there is no license plate match with DMV’s. Where the image re-review determines the incorrect license plate information was sent initially, the correct license plate number shall be submitted. 2.3.6.7.3 Notices and Tracking of Violations Minimum required violations notices are included as Appendix T. 2-92 The Contractor shall establish separate mailing addresses for customer payments and for violation payments as one means of minimizing the incidence of unidentified payments. The Contractor shall post all violations and fees to an account. For customers, violations shall be posted to their established E-ZPass customer accounts. For non-customers, the Contractor shall establish a separate violator account for each unique non-customer violator, to which the Contractor shall post all violations and fees related to that noncustomer violator. The Contractor shall issue a violation notice in accordance with the Performance Standards noted in Section 2.3.1.6. Daily Processing Toll evasion violation notices shall be generated on a daily basis. If more than one violation transaction for the same account and for the same Authority is processed on the same day, then these transactions shall be grouped onto the same notice. For example, if a July 12th image review identified five violations on NYSTA facilities for a particular violator, all five violations would be combined and printed on a single violation notice. If on the same day image review also identified three PANYNJ violations for the same violator, these three violations would be combined on a separate PANYNJ notice. In this example, the violator would receive two notices, one from NYSTA with five violations and one from PANYNJ with three violations. Notice Types A customer toll evasion notice is sent when there is a tag read associated with a customer whose account has insufficient funds or is suspended. The customer notice includes the transponder number in the transaction detail. All other toll evasion notices are noncustomer notices. Tables 2-6 and 2-7 provide descriptions of the various toll evasion notices used by each Authority. To simplify referencing of notices in further discussions, each notice is labeled with a letter. A complete set of all notices exists for both customer and noncustomer violations. The only difference between the two types of notices is the reference to transponder number in customer notices versus license plate number for noncustomer notices. 2-93 TABLE 2-6 NYSTA TOLL EVASION VIOLATION NOTICES NOTICE REFERENCE NOTICE HEADER ESCALATION LEVEL DESCRIPTION A Blank First notice B Notice of Delinquency Second notice C Final Notice Third notice Includes any new violation transaction(s). Fee is waived for first occurrence on first notice if entire toll amount due is paid. Includes violation toll(s) and fee(s) on Notice A that have not been paid within 30 days of the Notice A mailing date. Includes violation toll(s) and fee(s) on Notice B that have not been paid within 30 days of the Notice B mailing date. TABLE 2-7 PANYNJ TOLL EVASION VIOLATION NOTICES NOTICE REFERENCE NOTICE HEADER ESCALATION LEVEL DESCRIPTION A1 Notice of Toll Violation – First Offense First notice (first-ever) A2 Notice of Toll Violation Final Notice of Toll Violation First notice Includes any new violation transaction(s) for a violator that has never before been issued a violation notice. The notice shall advise the violator that fees shall be waived if entire toll balance is paid within 15 business days of the notice mail-date. Includes any new violation transaction(s) for a violator that was previously issued an A1-level notice. Includes violation toll(s) and fee(s) on Notice A1 or A2 that have not been paid within 30 days of the Notice A1 or A2 mailing date. B Second notice Toll and Fee Amounts Table 2-8 indicates the tolls and fees that shall be assessed by each Authority. 2-94 TABLE 2-8 TOLL EVASION TOLLS AND FEES Agency and Violation Type PANYNJ Tagged PANYNJ Untagged NYSTA Tagged NYSTA Untagged Toll Vehicle class per transponder. Vehicle class per AVC. Vehicle class per transponder. Maximum toll for exit point if entry point is not known. Vehicle class group determined by image review (passenger vehicle or nonpassenger vehicle). Class 5 toll for non-class 1 vehicles. Maximum toll for exit point if entry point is not known. Fee Per Transaction See Appendix I See Appendix I See Appendix I See Appendix I Dismissals and Write-offs The Contractor shall work with the Authorities to establish policies, procedures, and dismissal codes for the dismissal of tolls and fees. The Authorities reserve the right to change or add to the codes as needed. The NYCSC shall enter a specific dismissal code for each toll or fee that is dismissed. Dismissal codes shall cover the possible circumstances listed in Table 2-9. 2-95 TABLE 2-9 REASONS FOR DISMISSAL OF TOLLS AND/OR FEES Customer with Insufficient Funds. (First time situations for customers who didn’t update credit card or didn’t make a payment on time) Customer with Valid Account. (Good customer whose license plate wasn’t listed at the time but is on account now) Courtesy. (Authority or senior management decision) DMV License Plate Problem. (DMV sent old data, or duplicate LP or didn’t update their records for stolen or surrendered plates) Image Challenge (Image was challenged and upon review confirms disputer’s claim) Stolen Vehicle. (Stolen vehicle, disputer has police report) Non Customer who paid Toll (to toll collector) (If no receipt for exact transaction, this is allowed 2 times only) Non Revenue Passage at direction of the Authority. (This is used for non revenue accounts and at the discretion of the Authority) Dismissed Fee; Non Customer First Time Violator, (This is used at the discretion of the Authority and NYCSC depending on the circumstances) Skip Read. (Customer had toll posted at same time) Transfer Responsibility. (Violation is transferred from one account to another e.g. rental car situation) Wrong Plate. (Plate was mis-identified, violation is dismissed and correct violator is pursued) Prepaid Violation. (Violator had paid the toll prior to notice being generated) Automatic Dismissal. (System generated dismissal) Fee Dismissals for First Notice (A, A1) NYCSC manually enters fee dismissals for first notices. NYSTA: The fee for the first occurrence on the first notice shall be waived if the appropriate toll amount for the first occurrence is paid. If there is more than one violation occurrence on the first notice, only the first occurrence listed shall be eligible for a fee waiver. 2-96 PANYNJ: All fees on A-1 notices shall be waived only if the NYCSC receives full payment of all the tolls on the notice within 15 business days of the notice mail date. Payments Violation payments shall be processed in accordance with Section 2.3.5.1.2.2. The Contractor shall process payment of returned check fees from non-customer violators in accordance with the same procedures as for customers. Pre-payments The NYCSC shall maintain payments for violations that are received prior to generation of a first notice (A, A1) in a violation pre-payment file. These payments can be applied to the violation either pre-notice (via license plate match) or post-notice (violator calls NYCSC and explains that payment was mailed prior to receipt of the notice). In either case, if the payment amount is at least equal to the toll amount due, then any remaining fee balance shall be written off. As with normal violation payments, the NYCSC does not issue a receipt or other confirmation of payment. 2.3.6.7.4 Collection Agency Interface The Contractor shall interface with the collections agencies with which the Authorities have separate contracts for collection of unpaid tolls and violation fees. Specific responsibilities include: • Transmit daily file of unpaid tolls and violation fees (along with revoked accounts) to collection agency (The file specifications and transmission procedures will be provided to the Contractor upon Notice to Proceed). The Authorities will specify time intervals between warning a customer, issuing different levels of violation notices and sending that account to collection, to allow for customers who have not yet paid their violation tolls and fees to do so. • Receive and post return files from collection agency. • Provide to collection agency updated customer or account information, with documentation, that may become known after files have been sent to collection, e.g. bankruptcies, death certificates. • Provide or verify information, as needed, to enable collection agency to pursue unpaid violation tolls and fees. • Provide information to collection lawyers as directed by the Authorities when the collection agency fails to collect the unpaid violation tolls and fees. 2-97 2.3.6.8 Class Mismatch Processing Proposer Instructions: Proposers shall describe how they will handle processing of vehicle classification mismatches. Proposers are advised that only TBTA and PANYNJ currently require vehicle classification mismatch processing but that NYSTA also anticipates doing class mismatch processing during the term of the contract. In addition, Proposers are advised that class mismatch processing will be done selectively as directed by one or more of the Authorities. Therefore, the Contractor must have the capability to handle class mismatch processing but that capability will be utilized only as and when directed by one or more of the Authorities. Class mismatches occur whenever the class of the vehicle detected by the AVC equipment does not match the class of the vehicle indicated by the transponder. Mismatch processing is limited to E-ZPass tagged transactions (including Toll Evasion) and, currently, to PANYNJ and TBTA facilities. NYSTA anticipates instituting class mismatch processing during the term of the contract. The transaction record shall include the mismatch condition as well as the vehicle type and number of axles indicated by the transponder and the AVC. Images of the vehicle are captured and sent to the CSC for review. The Contractor shall establish a system to track occurrences of class mismatches by account and by tag so that multiple occurrences can be addressed via letters to customers as warnings or to determine if problems exist. As directed by one or more Authorities, the Contractor shall disable class mismatch processing. Each Authority has its own criteria to determine what constitutes a class mismatch violation. Processing rules, timing, and tracking of class mismatches are also unique to each Authority, as described below. Sections 2.4.3.1.8 and 2.4.3.2.3.5 contain additional system requirements related to class mismatch processing. Actions that the Contractor may be directed to take include: • • • • Review the captured image to determine the actual class of the vehicle and input that class for further processing Adjust the toll Assess an administrative fee as established by the Authorities Issue a notice to the customer 2.3.6.8.1 Mismatch Processing Rules Currently only TBTA and PANYNJ process class mismatches. The sections below describe the similarities and differences between each Authority’s requirements. For individual accounts, the warning notice, tracking of occurrences and fees shall apply to the entire account. For business and commercial accounts, while fees shall be assessed 2-98 against the account, the warning notices and tracking of occurrences shall apply to the transponder. All timeframes, thresholds, and fees are subject to change by the Authorities so the Contractor must be able to easily adjust the parameters to reflect any such changes. Each class mismatch can be classified as one of four “types”. The mismatch type shall determine what actions the Contractor shall take. Table 2-10 presents a description of the mismatch types. TABLE 2-10 CLASS MISMATCH PROCESSING TYPES MISMATCH TYPE MISMATCH 1 TAG TYPE = AVC TYPE? NO DESCRIPTION Tag Type < AVC Type The type of vehicle as indicated by the tag does not match the type of vehicle as indicated by the AVC and the tag type is for a lower toll than the AVC type. 2 NO Tag Type > AVC Type 3 YES (vehicle = CAR) Tag and AVC # of Axles do not match The type of vehicle as indicated by the tag does not match the type of vehicle as indicated by the AVC and the tag type is for a higher toll than the AVC type.. Vehicle type indicated by both the tag and the AVC is a car. The mismatch is in the number of axles indicated by the tag versus the number indicated by the AVC (e.g. a car towing a trailer). 4 YES (vehicle = TRUCK or BUS) Tag and AVC # of Axles do not match Vehicle type indicated by both the tag and the AVC is a truck/bus. The mismatch is in the number of axles indicated by the tag versus the number indicated by the AVC. Table 2-11 lists the mismatch conditions for TBTA transactions. 2-99 TABLE 2-11 TBTA CLASS MISMATCH CONDITIONS Tag Vehicle Class Lowest AVC ClassClass Descriptions Determined Class (based on Tag) 1 1 2 2 3 3 9 9 15 15 16 16 21 21 4 4 5 5 6 6 7 7 8 8 11 11 12 12 13 13 17 17 18 18 19 19 20 20 1 2 2 3 3 Car/2ax Car/2ax Car/3ax Car/3ax Car/4ax Car/4ax Mtrcyc/2ax Mtrcyc/2ax Car/5ax Car/5ax Car/6ax Car/6ax Mtrcyc/3ax Mtrcyc/3ax Trk/2ax Trk/2ax FranBus/2ax FranBus/2ax Trk/3ax Trk/3ax Trk/4ax Trk/4ax Trk/5ax Trk/5ax FranBus/3ax FranBus/3ax Trk/6ax Trk/6ax Trk/7ax Trk/7ax Trk/8ax Trk/8ax Trk/9ax Trk/9ax Trk/10ax Trk/10ax Trk/11ax Trk/11ax Car/2ax Car/3ax Car/3ax Car/4ax Car/4ax 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 4,5 6,7,8,11,12,13,17,18,19,20 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 1,9 2,3,15,16,21 2,3,15,16,21 1,9 3,15,16 1,9 2,15,16,21 2-100 Mismatch Default Class (for initial toll Type posting) 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 3 3 3 3 3 Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class AVC Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class AVC Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class AVC Class Tag Class AVC Class Tag Class AVC Class Tag Vehicle Class Class Descriptions (based on Tag) 9 15 15 16 16 21 21 4 5 6 7 8 11 12 13 17 18 19 20 Mtrcyc/2ax Car/5ax Car/5ax Car/6ax Car/6ax Mtrcyc/3ax Mtrcyc/3ax Trk/2ax FranBus/2ax Trk/3ax Trk/4ax Trk/5ax FranBus/3ax Trk/6ax Trk/7ax Trk/8ax Trk/9ax Trk/10ax Trk/11ax Lowest AVC ClassDetermined Class Mismatch Default Class (for initial toll Type posting) 2,3,15,16,21 1,9 2,3,16,21 1,9 2,3,15,21 1,9 3,15,16 6,7,8,11,12,13,17,18,19,20 6,7,8,11,12-13,17,18,19,20 4,5,7,8,12,13,17,18,19,20 4,5,6,8,11,12,13,17,18,19,20 4,5,6,7,11,12,13,17,18,19,20 4,5,7,8,12,13,17,18,19,20 4,5,6,7,8,11,13,17,18,19,20 4,5,6,7,8,11,12,17,18,19,20 4,5,6,7,8,11,12,13,18,19,20 4,5,6,7,8,11,12,13,17,19,20 4,5,6,7,8,11,12,13,17,18,20 4,5,6,7,8,11,12,13,17,18,19 3 3 3 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 AVC Class Tag Class AVC Class Tag Class AVC Class Tag Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class AVC Class Note: The “Default Class” is the class that shall be used to determine the initial toll posting amount as noted in Section 2.3.6.8.2.1. Note: The TBTA vehicle classes are listed in Appendix L. Table 2-12 lists the mismatch conditions for PANYNJ transactions. TABLE 2-12 PANYNJ CLASS MISMATCH CONDITIONS AVC Class PA Class Transponder Extra Axles Charged Class Charged 7 2-6 1-7 8, 9, 11 2-6 1,7,8,9,11 8-9 Transponder Transponder Transponder Transponder AVC Transponder AVC 1, 7 1, 7, 11 8, 9, 11 1, 7 2-6 2-6 8-9 Transponder Transponder Transponder Transponder AVC Transponder AVC 2-101 CM Flag CM Type Y Y Y N N N N 3 1 1 n/a n/a n/a n/a EXPLANATION: Column headings: PA Class Charged - Indicates derivation of the PA Class charged field - determined using either Transponder or AVC. Extra Axles Charged - Indicates derivation of the Extra Axles charged field - determined using either Transponder or AVC. CM Flag - Setting used to indicate that transaction is a class mismatch violation CM Type - used to determine whether or not a violation notice shall be issued. Only Level 1 mismatches shall receive notices for PANYNJ; Level 2 and 4 are not considered mismatches for the PANYNJ. Note on Extra Axles: • Only classes 6, 7, and 9 shall potentially have extra axles associated with the violation. • If the AVC class equals “6” and the number of AVC axles is greater than 6, then the difference shall appear in the “PA Extra Axles Chrg” field. • If the AVC class equals “7” or “9” and the number of AVC axles is greater than 3, then the difference shall appear in the “PA Extra Axles Chrg” field. 2.3.6.8.2 Class Mismatch Processing Steps The sections below describe the steps in the mismatch process: • • Image Review and Adjustment Noticing (including Escalation and Fees) As noted above, some of the requirements for processing are common between PANYNJ and TBTA and some are unique to the agency. Within each section the common requirements will be presented first, followed by any agency-specific requirements. 2.3.6.8.2.1 Image Review and Adjustment For mismatches that require review of the image(s), the results of the review shall be either confirmation or rejection of a mismatch. Confirmed mismatches shall be further processed according to the rules outlined herein. The process shall start with review of the mismatch image. The reviewer shall attempt to determine the class of the vehicle. If the class can be determined, the reviewer shall input the correct class of the vehicle. The correct class shall then be added to the transaction record as the “resolved mismatch” class. PANYNJ Image Review and Adjustment All PANYNJ mismatches that require review shall be resolved prior to posting of the transaction or toll evasion processing. No account adjustments are required at a later date. For PANYNJ, if the class cannot be determined from image review, no change is made. 2-102 Regardless of the outcome, the transaction shall be forwarded to appropriate sub-process. For valid transactions, the transaction shall be forwarded to the Account Posting subprocess. For toll evasion transactions, the transaction shall be forwarded to the Toll Evasion sub-process. These sub-processes are described in Section 2.4.3.2. TBTA Image Review and Adjustment For TBTA class mismatches, a toll shall be posted to the account prior to any image review. This toll shall be based on the “default class”. The default classes for the various mismatch conditions are shown in Table 2-11. Mismatch review shall only occur for NYCSC customer transactions. If image review indicates that the default toll was incorrect, adjustments shall be posted to the account. For TBTA, if the reviewer cannot determine the actual class of the vehicle by viewing the image, the reviewer shall indicate that and the system shall retain the “default” class as shown in Table 2-11. Class mismatch adjustments shall appear on the customer’s E-ZPass statement as individual line items. Due to timing, the adjustment(s) may appear on a statement subsequent to the statement containing the original toll(s) posted. For non-NYCSC customers, the initial toll (mismatched) shall be sent in the (Reciprocity) Transaction File. 2.3.6.8.2.2 Notice Processing Rules Noticing shall only apply to Type 1 class mismatches. For PANYNJ, class mismatch transactions belonging to an account (for individual customers) or a transponder (for business accounts) that have not yet been issued a prior notice shall be grouped together daily on a single notice. For TBTA, class mismatch transactions belonging to an account (for individual customers) or a transponder (for business accounts) that have not yet been issued a prior notice shall be grouped together on a single notice on the next processing date. Processing shall be done bi-weekly at a minimum. A warning notice shall be sent to first-time mismatch violators. Repeat violators shall receive a mismatch violation notice with a fee applied to each transaction included on the notice. The fee for the second violation notice is $10 per transaction. The fee amount per transaction shall escalate in $10 increments for each subsequent violation notice (escalation is per notice not per transaction). The maximum fee per transaction is $50. For example, a customer with five mismatch transactions on their second notice (first notice is a warning) shall receive a $10 fee on each of the five transactions (for a total fee of $50). If the same customer violates again, he/she shall receive another notice with a $20 fee applied to each transaction. The fee shall continue to escalate in $10 increments until the customer reaches his/her sixth mismatch notice ($50 fee per transaction). All subsequent notices for this account would continue to have a $50 fee applied to each mismatch transaction. 2-103 Fees shall be automatically deducted from the account balance and reflected in a report used for determining the correct amount of funds to be exchanged between Authorities. To allow time for first-time-ever mismatch violators to be warned and change their behavior, a grace period shall be provided on first notices. The grace period shall be in effect for ten calendar days after the first notice mail-date. During this period of time, all mismatch violations on the same account (for an individual account) or transponder (for a business account) shall generate warning letters only. Mismatch violations that occur after the grace period has ended shall escalate normally, as described earlier. While both Authorities shall apply the same escalation rules, each Authority shall maintain its own counter to accumulate the number of class mismatch violations against an E-ZPass New York account (for individual customers) or a transponder (for business accounts). For example, an individual customer who receives three mismatches on TBTA’s facilities and on the same day receives two mismatches on PANYNJ facilities shall receive two separate notices – one for each Authority. Authorities will instruct the Contractor on the format, content, and distribution method of notices for repeated mismatch infractions. The Contractor shall issue class mismatch notices in accordance with the Performance Standards noted in Section 2.3.1.6. 2.3.6.9 Infraction Processing The Contractor shall process data relative to certain in-lane events (infractions) involving abuses of the terms and conditions of the E-ZPass customer agreement. There are three types of infractions that the Contractor shall be required to process, as directed by one or more of the Authorities. The first type is speeding, which is processed at NYSTA and PANYNJ. (TBTA currently has gates in all E-ZPass equipped lanes so does not currently require speed infraction processing but the Contractor shall provide the capability for all Authorities to perform speed infraction processing.) The second type is use of a tag which is either lost or stolen or in invalid status (negative balance). When this occurs at a TBTA facility, the gate arm does not lift and the tag is retained by plaza personnel. The third infraction is use of an unmounted tag. 2.3.6.9.1 Speed Infractions/Lane Speed Enforcement To ensure customer and employee safety at toll plazas, the Authorities have posted speed limits for vehicles traveling through these facilities. At PANYNJ and NYSTA, there are in-lane sensors that measure the speed of each vehicle. Each vehicle’s speed is then stored in the transaction record. TBTA does not currently measure speed in its lanes. The Contractor shall: • Compare the vehicle speed with various speeding thresholds • Generate written notices whenever a vehicle exceeds certain speed thresholds according to the business rules below 2-104 • Take further actions for repeat violators and excessive speeding, including tag invalidations and account suspensions Detailed business and processing rules are presented in the following two subsections. 2.3.6.9.1.1 Speed Infraction Business Rules The Contractor must issue written notices to customers when their E-ZPass transaction records indicate vehicle speeds in excess of the speed limit designated by the Authorities. The Contractor shall send such notices within three days of the transaction posting date. The Contractor must send a notice each time a transaction on a customer account is indicated as a speed infraction. Customers may appeal the suspension or revocation of their account and/or tag invalidation for speeding violations. Upon receipt of an appeal form (see Appendix V, Minimum Required Speeding Notices), the Contractor shall hold in abeyance the customer’s account suspension. The Contractor shall track all appeals processed, establish codes to be used in the customer account database to indicate whether an appeal was accepted, modified or rejected by the Authorities, and maintain customer account history using those codes. Similar to toll evasion processing and mismatch processing, both NYSTA and PANYNJ maintain their own tracking and processing of speed violations that occur on their respective facilities. As a result, it is possible for an E-ZPass New York customer to receive notices and sanctions (suspensions and revocations) from both Authorities. The Contractor’s speed enforcement activities for NYSTA are restricted to prepaid individual and business accounts. Actual enforcement of speed policy for postpaid commercial accounts on NYSTA facilities is outside the purview of the Contractor. Speed violations by NYSTA postpaid commercial account holders at NYSTA facilities will be handled by NYSTA’s Commercial E-ZPass Office. The Contractor shall provide a data interface to NYSTA to allow enforcement action on these accounts, e.g. invalidation of a tag or tags for a certain number of days depending on the number of speed infraction occurrences. The Contractor is responsible for maintaining speed histories on-line for all tags assigned to NYSTA postpaid commercial accounts for a period of five years in accordance with Appendix G. NYSTA commercial accounts that use other than NYSTA facilities shall establish a prepaid business account for that purpose and shall be subject to the business account speeding policies (i.e. transponderlevel suspension when traveling on non-NYSTA facilities). The Contractor shall have the capability to manually suspend a tag that was found speeding under NYSTA postpaid system. 2-105 2.3.6.9.1.2 Speed Infraction/Lane Speed Enforcement Processing Rules Some processing rules are common to both NYSTA and PANYNJ while some are Authority-specific. Common processing rules are as follows: • • • • Each Authority shall have the ability to set three separate speed thresholds for each account type, lane, vehicle type, (car, truck, bus, or motorcycle) or each mode of lane operation (dedicated E-ZPass, mixed-mode, etc.). o Basic speed threshold o Excessive speed threshold o Notice suppression threshold Speed notices shall be processed in accordance with the Performance Standards noted in Section 2.3.1.6. Each speed violation notice shall include only one transaction. Unlike toll evasion notices, follow-up notices for the same speed infraction are not issued. Business Rules for Basic Speed Infractions Table 2-13 lists the various levels of notices and sanctions in which shall be used for exceeding the basic speed threshold. Note that the actual timeframes associated with the various notice levels are subject to change by the Authorities and the Contractor shall be easily able to accommodate changes. Sanctions for a speed infraction shall only be escalated if the infraction occurs within 180 days of a prior infraction on the same account (individual) or transponder (business). TABLE 2-13 SPEED INFRACTION NOTICES AND SANCTIONS # of Speed Infractions Notice and Sanction 1 1A Warning Additional warning(s) for subsequent speed infractions within 14 calendar days of first speed infraction 2 60 Calendar Day Suspension 3 180 Calendar Day Suspension 4 Individual Account: Privileges Revoked (1 yr.) ; Customer must return transponder(s) to CSC. Business Account: One-year Suspension For an individual account, speed sanctions apply to all tags issued to that account. 2-106 For a business account, speed sanctions apply to only the specific transponder that incurred the violation. Transponders that are speed-suspended cannot be used until the suspension has ended. Speed sanctions imposed on a transponder or account shall be upheld at all IAG facilities, not just E-ZPass New York facilities. Therefore, the Contractor shall update the tag status in the tag validation file and transmit to other CSC’s at the next transmission of the tag validation file. Minimum required speeding notices are presented in Appendix V. The following rules apply to accounts suspended for speed infractions: • • • Discount Plans - When an account is suspended, any associated discount plans are also suspended. Refunds – Prepaid tolls and deposits are not refunded when an account is suspended. Toll Evasion – Customers attempting to use a suspended transponder shall receive a toll evasion violation notice. The following rules govern suspension/revocation actions: • • Suspension notices will only be sent if the subsequent violation was 14 calendar days after the first violation resulting in a warning notice. Suspensions/revocations shall start 14 calendar days after the notice mail-date. Speed warnings and suspensions are tracked separately for each transponder or account that receives a speed violation. If a speed violation occurs on a transponder or account that has a warning that is not currently in appeal status, then the violation shall be escalated to a 60 calendar day suspension notice only if 14 calendar days have elapsed since issuance of the first warning notice. The counter for suspensions shall be reset to zero if a customer does not incur a speed infraction for 180 calendar days after a warning notice has been mailed or the suspension period has elapsed. These time periods are subject to change by the Authorities and the Contractor shall be able to easily accommodate such changes. The following section describes the different actions that the Contractor is or is not permitted to take against a suspended/revoked account: Permitted Actions: • • • Change address and demographics Generate and mail letters (e.g.,expired credit card) Generate and mail statements 2-107 • • • Process all payments Reevaluate replenishment information Change transponder status to LOST or STOLEN Prohibited Actions: • • • • Issue a new transponder (exception - business or commercial account type) Allow a customer to change/add vehicle information Allow a customer to add a discount plan Close the account When the Contractor receives an appeal, the Contractor shall automatically put on hold the suspension or revocation (if any) once the appeal is received at the CSC. The Contractor may be required to accept certain appeals based on criteria provided by the Authorities. The appeal shall then be forwarded to the appropriate Authority for review and the Contractor shall issue a notice of acknowledgement to the customer advising that the appeal was received and will be reviewed. The Contractor shall forward appeal information weekly to the Authorities as directed for handling by an Appeals Committee. The Authorities will determine the disposition of appeals. Each Authority’s representatives shall have access to the Contractor database in order to review the speed infraction history of customers who are appealing a notice and enter in the decision. Upon receipt of the Authorities’ disposition of each appeal, the Contractor shall notify the customer (within 24 hours of the receipt of an appeal determination) and update the account status accordingly. If the appeal is denied, the suspension or revocation shall go into effect 14 calendar days after the appeal decision letter mail-date. If a customer receives a speed infraction while another infraction is under appeal, the new infraction shall trigger the next level notice and sanction (i.e. normal processing shall proceed as if the appeal did not exist). Any sanction associated with the new infraction shall still go into effect regardless of the outcome of the appeal. Business Rules for Excessive Speed E-ZPass customers traveling through NYCSC facilities at a speed above the excessive speed threshold shall automatically be suspended for 60 calendar days assuming there are no other outstanding speed suspensions for the account. If the account already has an outstanding suspension, a new infraction meeting the auto-suspension criteria would escalate the suspension level to 180 calendar days. Business Rules for the Notice Suppression Threshold Whenever a transaction contains a vehicle speed which meets or exceeds the notice suppression threshold, the Contractor shall not take any further action. No notice shall be issued, no sanctions shall be imposed, and the transaction shall not be counted in any 2-108 escalation of infractions against the account (for individual customers) or tag (for business accounts). Speeding Business Rules Unique to NYSTA All speed infractions committed by NYSTA non-revenue fleet vehicles on NYSTA facilities shall result in the issuance of a standard speed warning notice to the fleet account owner. No further action shall be taken by the system or by the NYCSC. Speeding Business Rules Unique to PANYNJ All speed infractions by PANYNJ non-revenue plans on PANYNJ facilities shall result only in a warning notice. No further escalation of notices applies. 2.3.6.9.2 Use of Lost/Stolen/Invalid Tag TBTA currently operates all dedicated E-ZPass lanes with barrier gates. When a vehicle enters the lane without a valid tag, the barrier gates does not lift and the traffic light gives a double white/red signal. Plaza personnel then interact with the driver via hand-held scanners to ascertain the reason for the event. Some in-lane signals assist the plaza personnel with the determination. If it is determined that the tag is a lost, stolen, or invalid NYCSC tag, the tag is retained. The driver is required to pay the appropriate toll amount in cash, and is given a receipt for the tag. Copies of the receipt are wrapped with the associated retained tag and sent to the NYCSC by TBTA facilities in Mark IV tag boxes provided by the NYCSC. The NYCSC Contractor shall process retained tags within three (3) business days of receipt at the NYCSC, performing the following steps: • • • • • • Remove the receipt that is wrapped with the associated tag and compare the tag number recorded to the serial number on the tag, for accuracy Determine the state of the tag in the tag inventory and the status of the account to which the tag was assigned. Charge the account holder a tag retention fee (see Appendix I for the current tag retention fee) Credit the account holder for a lost tag fee, if previously charged Determine the condition and age of the tag to determine if it can be returned to, or removed from, use Charge the account holder a damaged/defaced tag fee if the tag is defaced or damaged beyond further use If the tag was reported lost/stolen and a fee was previously charged to the account, the Contractor will credit the account by reversing the fee. In addition to updating the tag status, any relevant notes shall be added to account history. The Contractor shall also examine the condition of the returned tag. If the Contractor deems that the tag cannot be recycled because it has been defaced/damaged by the customer, the account-holder shall 2-109 also be charged a damaged/defaced tag fee (see Appendix I). After the Contractor has retained the tag receipts, the tags will either be recycled back into inventory or classified “damaged” based on their condition. If reissued, the Contractor shall provide a mechanism for posting a toll to a previous account-holder in the event that a toll is received after the tag has been issued to a new account. 2.3.6.9.3 Use of Unmounted Tag The Contractor will receive a file from TBTA resulting from lane interventions, as described in 2.3.4.11.3, on at least a daily basis. The file will contain the following data for each lane intervention: ƒ ƒ ƒ ƒ ƒ ƒ Date and time of the intervention, expressed in hours and minutes Serial number of Notice of Administrative Fee issued to customer Identification of the facility and lane at which the intervention took place Tag number License plate state and number Vehicle class The account holder of the tag will be liable for the unmounted tag administrative fee (see Appendix I). The Contractor shall query the account database for an account by tag number. If a tag number is not found, the transaction will be queried by license plate number. If an account is found, the account financial status as described in Appendix N must be good, low balance, bad, or revoked warning to proceed with the transaction. If the date of the intervention is not equal to or later than the account open date, the transaction shall be rejected. If the intervention date is later than the account open date, the intervention date must also be equal to or later than the tag assigned date for the query to be considered successful. If either the tag query or the license plate query is successful, and the conditions described are met, the administrative fee shall be posted to the account and shown on an Unmounted Tag Reconciliation Report. If both queries are unsuccessful, the transaction shall be included in the same report with a notation that no account or license plate could be found. Fees will not be posted for accounts that are in revoked final, collections, collections-legal, or closed status. The Unmounted Tag Reconciliation Report shall reconcile unmounted tag fees posted by plaza with unmounted tag fees posted by account on a monthly basis and report such reconciliation as noted in Section 2.3.7.4. 2.3.6.10 Bad Debt Processing The Contractor shall interface with the collection agencies with which the Authorities have separate contracts for the processing of bad debt in the event revoked or closed accounts are sent to collections (as described in Section 2.3.4.8.1.8) or that violation fees are unpaid (as described in Section 2.3.6.7.4). The file specifications and transmission procedures for interfacing with the collection agencies are included in Appendix U. 2-110 2.3.7 Reporting Tasks Proposer Instructions: Proposers shall provide prototype reports as part of their proposal submissions. These prototype reports shall include all data items listed (in bullet format) in Sections 2.3.7.1 through 2.3.7.9. For the convenience of the Proposers, reporting requirements are grouped primarily by section of the Statement of Work. Proposers shall describe how the Offline Database would work and how often it would be refreshed. In addition, Proposers shall provide a preliminary data dictionary for the proposed Offline Database. Proposers are advised that this section of the Statement of Work addresses reporting needs of the Authorities. It is assumed that the Contractor may use additional reports for its own purposes to monitor ongoing operations of the CSC and that the Authorities will have access to any such internal reports upon request. The Contractor shall submit a final design/format and set of procedures for all reports to the Authorities for their approval as Transition deliverables once under contract, as noted in Section 2.1.1.1. The Contractor shall identify which reports will fall in the categories listed below and the Authorities shall approve the category designations. There shall be two sources of data for reports: 1) The Production Database, the database used for all data processing activities associated with all aspects of CSC operations (e.g. transaction processing, account management, etc.). Note: as described in Section 2.1.2.1, this database is actually a set of redundant, “mirrored” databases. 2) An Offline Database, which duplicates the Production Database in terms of all data elements and is refreshed by the Contractor periodically, no less frequently than every 24 hours. This separate database shall be used for all user-generated reports, as described in more detail below. The Authorities require reports or report capability in the following five categories: a. The Contractor shall provide for system-generated reports (Type A reports) that are automatically produced and distributed by the Contractor to the Authorities via email. b. The Contractor shall provide for on demand reports (Type B reports) which allow the user, including the Authorities' staff, to generate reports which have been preprogrammed by the Contractor to be viewed on a computer screen or be printed in hard copy when and as desired. c. The Contractor shall provide Management Summary reports (Type C reports), as described in Section 2.3.7.7, which summarize key operating data needed by the Authorities. These reports are typically specialized management reports that draw information from several sources, not necessarily available on the system database. These reports shall be generated by the Contractor in Microsoft Excel format. 2-111 d. The Contractor shall provide reports which document its performance in each of the areas for which Performance Standards are specified in Section 2.3.1.6. (Note that data related to Performance Standards may appear in multiple reports but the Authorities require that a separate set of reports, Type D reports, provide a clear comparison of Contractor performance and each Performance Standard.) e. The Contractor shall provide the capability for users to perform special queries or generate ad hoc reports (Type E reports). For example the Authorities may desire to sort on-line data for reporting in various ways, e.g. by geographical segment (upstate versus New York City region), zip code, or other demographic variables. Table 2-14 summarizes the various reports required. TABLE 2-14 REPORT REQUIREMENTS Type Report Description Category A SystemReports generated automatically generated and provided to the Authorities via email B On-demand Pre-programmed reports which can be generated by Authorities C Project Summary Management information for Authorities’ Project Managers drawing data from multiple sources D Performance Separate report(s) Standards comparing Contractor performance with each Performance Standard E Special Searches/Sorts of queries or ad data, as desired by hoc reports the Authorities 2-112 Format Generated By Contractor Source of Data Production Database To be approved by Authorities Authorities Offline Database Excel files Contractor Offline Database To be approved by Authorities Contractor Various Sources To be determined by Authorities Authorities Offline Database To be approved by Authorities Note that the time periods for which data shall be compiled/available (e.g. daily, weekly) may vary as indicated in the subsections below. The following timeframes for submission/availability apply: a. Daily reports – two (2) business days after report date b. Weekly reports, all Type C reports, and all Type D reports – three (3) business days after report date c. Monthly and quarterly reports – seven (7) business days after report date d. Annual reports - ten (10) business days after report date While the Authorities have included major reporting requirements in this section, it is the Contractor’s responsibility to report to the Authorities as noted throughout this Statement of Work and the Terms and Conditions. 2.3.7.1 Reporting Requirements for Tag Handling/Distribution The Contractor shall provide Tag Handling/Distribution reports as follows: Type A or B reports with monthly and annual data on: • Tags ordered and received from Mark IV/designated alternative manufacturer • Quantity of tags remaining in inventory at each location by tag type ,color, special label, and inventory status • Inventory reconciliation report which accounts for all tags by type, color, special label, inventory status, and location • Tags returned to Mark IV/designated alternative manufacturer Type A or B reports on tag swap activity with monthly, quarterly, and annual data on: • Proactive individual tag swaps • Tag swaps requiring special swap provisions, i.e. franchise bus accounts, nonrevenue plans, business and postpaid customers Type A or B reports with weekly, monthly, and annual data for: • The percentage of tag kits distributed within three business days of the receipt of a complete customer application • Status of tags in circulation (good, bad, lost, stolen, revoked, suspended) • Tags in circulation by account plan Type A or B reports with quarterly data for: • Distribution of tags in circulation and inventory by delivery date Type E reporting capability with monthly and annual data on: • Tags transferred to/from different inventory locations. • Tag returns by reason (e.g. lost, defective, closed accounts) • Breakdown of tag usage by frequency of use over specified time frames (e.g. daily, weekly, etc.) and by facility 2-113 Type E reporting capability with weekly, monthly, and annual data for: • Quantity of tags distributed by tag type, color, account status, plan, special label, and IAG vehicle classification • Problem tag report, e.g. low handshake counts, unread tags, unsuccessfully programmed or verified tags, tags with multiple MTolls, etc. • Method of tag distribution (walk-in vs. mail vs. other) by CSC location 2.3.7.2 Reporting Requirements for Customer Service The Contractor shall provide Customer Service reports as follows: Type A or B reports with weekly, monthly, quarterly, and annual data for: • Summary breakdown of all customer complaints received by method (telephone, written, in-person, email) and by subject (e.g., rude service, incorrect statement, etc) and time to respond to them • Number of customer service phone calls (total, number handled by live operator, number handled by automated voice response system) • Breakdown of reasons for customers calling • Number and percent of all customer service calls handled by automated voice response system and duration of such calls; response time to pick up such calls. • Count of automated voice response system menu options selected by menu branch • Average on-hold time and maximum hold time for all calls received • Abandon rate for voice response system and customer service representatives after variable waits by customer in queue (e.g. 15 seconds, 30 seconds) • Number of pieces of outgoing mail/email by type • Number of pieces of incoming mail/email by type (e.g., applications, replenishment payments, general inquiries, etc.) • Backlog of incoming mail/inquiries unresolved, if any • Number of walk-in customer service requests handled per CSC location • Maximum customer wait time (in queue) to speak to a customer service representative by walk-in CSC location • Breakdown of walk-in customer service visits by reason Type E reporting capability with weekly, monthly, quarterly, and annual data for • Breakdown of reasons for customers writing or emailing in • Average response time for answering customer mail/email 2.3.7.3 Reporting Requirements for Customer Account Management The Contractor shall provide Customer Account Management reports as follows: Type A or B reports with weekly, monthly, quarterly, and annual data for: • Number of applications received • Number of applications accepted • Backlog of applications to be processed, including number backlogged and days since receipt 2-114 • • • Number of individual and commercial accounts opened Total number of accounts by account type, including individual vs. commercial and within individual accounts, number of resident and commuter discount plans Breakdown of accounts, based on account statuses shown in Appendix N Type A or B reports with weekly, monthly, and annual data for: • Breakdown of how quickly payments are updated to the appropriate account (e.g. within 24 hours of receipt; within 48 hours, etc) • Breakdown of statement mailing dates as compared to statement closing date (e.g. mailed 3, 4, 5, 6, 7, 8, etc. days after statement closing date) and by distribution method (mailed, emailed, disk, suppressed) and frequency (monthly and bimonthly) Type A or B reports with monthly, quarterly, and annual data for: • Negative account balance/bad debt statistics, including total value of customers’ negative balances; average negative balance; aging of accounts with negative balances; number of accounts in bad debt collection; dollars collected from delinquent accounts; bad debt written off • Listing of inactive accounts (no activity within last 90 days) with indication of date when tag was last used Type A or B reports with monthly and annual data for: • Number and dollar amount of refunds issued, by payment type • Distribution of all accounts by payment type • Activities performed for each Authority-specific customer program as described in Section 2.3.4.8.6 and for activities related to account management for NYSTA postpaid commercial accounts as described in Section 2.3.4.8.3. • Unpostable transactions by reason, e.g. from tags returned by customers closing accounts Type A or B reports with daily and monthly data for: • Number and dollar amount of toll transactions by account plan by lane and by plaza and by posting and transaction date (this report is often referred to as the Casual Use report) • Number and dollar amount of manually posted tolls by plaza by lane Type E reporting capability with weekly, monthly, quarterly, and annual data for: • Number of applications returned for more information with breakdown of reasons • Names and account numbers of large company applicants (more than 50 tags) • Total number of accounts by zip code • Listing of detailed information related to the unidentified payments • Listing of detailed information related to closed accounts Type E reporting capability with monthly and annual data for: • Average amount of tolls charged per account 2-115 • • Average prepayment amount and distribution by method of payment for new accounts Distribution of replenishment payments processed by method (walk-in vs. mail-in vs. automatic replenishment) and by location Type E reporting capability with daily and monthly data for: • Number of non-revenue tag transactions by plaza • Unauthorized non-revenue tag use (e.g. separated employees, use outside nonrevenue limits) Type E reporting capability with monthly data for: • Distribution of dollar amount of replenishment payments received by payment method • Usage reports for non-revenue tags by Authority, including detailed per transaction information and monthly summary statistics of activity (e.g. average number of times tag was used per day) for selected groups of non-revenue tags as designated by each Authority 2.3.7.4 Reporting Requirements for Violation, Class Mismatch, and Infractions The Contractor shall prepare violation, class mismatch, and infraction processing reports for each Authority as follows: Type A or B reports with weekly, monthly, quarterly, and annual data for: • Distribution of timeframes for processing violation images after receipt, e.g. within one business day, 2 business days..., 5 business days, etc. Type A or B reports with weekly, monthly, and annual data for: • Number of toll violations by plaza and by lane • Image review statistics, including number received, number processed, backlog, summary of images rejected by reason, summary of images received by state license plate • Distribution of timeframes for mailing violation notices after positive identification (within one business day, 2 business days,..., 8 business days). Type A or B reports with daily, weekly, and monthly data for: • Amount of violation fees and tolls billed by plaza, separately for E-ZPass customers and non-E-ZPass customers. • Amount of violation fees and tolls collected by plaza, separately for E-ZPass customers and non-E-ZPass customers. Type A or B reports with weekly and monthly data for: • Number of name/address submissions to and returns and rejects from DMV’s • Breakdown of re-review of rejected DMV license plate requests Type A or B reports with weekly and quarterly data for: 2-116 • • • Speeding violation notices issued by plaza and lane and type of notice (warning vs. suspension vs. revocation) Speed appeals pending by plaza Speed appeals resolved (accepted, modified, vs. rejected) by plaza Type A or B reports with monthly and annual data for: • Detailed breakdown of dispositions on all violations(e.g. paid fee and toll; paid toll, dismissed; image rejected) • A set of reports reconciling both the number and dollar amount of unmounted tag fees posted by plaza with the number and dollar amount of unmounted tag fees posted by account, with the report by account to include tag number, number of fees posted, date of last fee, and year-to-date fee count Type A or B reports with daily data for: • Class mismatches by plaza by lane, including tag number and toll adjustment amount Type E reporting capability with weekly, monthly, and annual data for: • Distribution of timeframes for mailing violation notices after date of violation Type E reporting capability with monthly data for: • License plate toll transactions posted to customer accounts as a result of image processing, including frequency per account and top 50 accounts Type E reporting capability with daily data for: • Speeding violation information by plaza by lane, including average speed by lane, by vehicle class, and tag numbers 2.3.7.5 Reporting Requirements for System Operations The Contractor shall provide System Operations reports as follows: Type A or B reports with weekly data for: • Average system availability percentage to the end user during business hours (Authority staff or customer service representative) • Average system availability percentage of on-line account information to automated voice response telephone system Type A or B reports with daily data for: • Timeliness of file transmissions • Timeliness of transaction processing/account posting Reports or memoranda as needed for: • Description of incidents when the NYCSC computer system or website is not operational, including reason, and time to repair, within 24 hours of occurrence 2-117 2.3.7.6 Reporting Requirements for Revenue Management and Reconciliation The Contractor shall provide reports on all Contractor activity related to revenue handling distribution, and reconciliation, as follows: Type A or B reports with daily data for: • CSC payment report accounting for all revenue transactions by payment type and CSC location, including new accounts, replenishments, annual permit sales, fees, refunds, etc. which shall tie to the detailed breakdown of daily wire transfers • Reconciliation of customer account balances, separated by prepaid tolls and tag deposits, which reconciles daily customer activity to aggregate customer account balances and, where possible, ties to revenue management data files as described in Sections 2.3.6.6 and 2.4.3.2 (where timing or other factors result in nonreconciliation, a complete reconciliation or explanation must be provided) • Transaction reconciliation information accounting for any differences between transactions received from Authorities and transactions posted by Contractor, by plaza and by date • Credit card reconciliation information, reconciling all requests sent to the credit card processor(s) with funds transferred by the processor(s) in response to those requests • Bank account reconciliation information, including documentation on all refunds issued from the Contractor refund account • Aggregate prepaid balance information • Aggregate tag deposits • Service fees by type • Forfeiture/refund of deposits • Tolls by lane/plaza • Tolls posted by collection date • Non-posted transactions by date, plaza, and reason • Returned checks, including the transaction date of the original check, customer or violator account number, customer or violator account name, check number, check amount, date the reversal was processed, fees assessed, total amount, and count of occurrences In addition to these reports, the Contractor shall transmit data files as required by the Authorities for revenue management and control purposes. These required file transmissions are included in Sections 2.3.6.6 and 2.4.3.2. 2.3.7.7 Management Summary Reporting Requirements The Contractor shall provide Management Summary reports (Type C) for each Authority’s Project Manager, drawing data from a number of sources, not necessarily available on the system (Production or Offline Databases). The Contractor shall provide these reports in Excel format in the same timeframes for availability/delivery applicable to all other reports. These summary reports shall be produced by the Contractor with daily, weekly, monthly, quarterly, and annual data for the following key NYCSC activities: 2-118 Accounts • Breakdown of account status (see Appendix N listing of account statuses) • Accounts opened from all sources • Accounts that had tags swapped in the tag swap process • Accounts replenished from all sources • Breakdown of payment methods • Violation payments from all sources • Applications received and processed Tags • Breakdown of tag status (see Appendix H listing of tag statuses) • Tags issued from all sources • Tags in inventory • Tags swapped in the tag swap process • Tags charged a monthly tag fee Telephone Performance • Calls received at the Customer Service Centers (CSC) • Calls answered at the CSC • Calls unanswered • Type of calls received • Customer wait time before calls are answered • Call completion (talk time) – how long it took a CSR to complete a call • Percentage of calls answered Backlogs Backlogs associated with operation processes (e.g., account openings, statement and tag mailings, correspondence, etc.) 2.3.7.8 Reporting Requirements for Performance Standards As described in Section 2.3.1.6, Performance Standards and Monitoring, the Authorities have identified certain critical NYCSC functions for which they have developed Performance Standards for ongoing evaluation and monitoring of Contractor performance. The Contractor shall facilitate performance monitoring by the Authorities by reporting and documenting its actual performance for each activity for which there is an identified Performance Standard. These reports shall compare actual performance with the required performance for each standard. Although data related to Performance Standards may appear in multiple reports, the Authorities require that a separate set of reports provide a clear comparison of Contractor performance and each Performance Standard. The timeframes for reporting shall correspond to the measurement period included in Appendix W. All reports related to Performance Standards are subject to audit at the Authorities’ discretion. 2-119 2.3.7.9 Reporting Requirements for Invoicing and Cost Sharing The Contractor shall provide monthly reports to the Authorities as part of invoicing for NYCSC services as follows: • Calculations and associated documentation for the allocation of any shared costs • Pricing adjustments for non-compliance with Performance Standards as described in Section 4.3 in the Cost Proposal and Appendix W. These reports are required as part of the monthly invoicing process. 2-120 2.4 Customer Service Center System Requirements The Contractor shall develop, maintain, and operate all systems required to perform NYCSC operations, as defined in this Statement of Work. Specifically, these systems shall be developed to support all aspects of Phase 1 (Transition Preparation), Phase 2 (Transition), and Phase 3 (Ongoing Operations). The sections below present the detailed system requirements. These requirements are organized into seven categories: • • • • • • • General Requirements (Section 2.4.1) Hardware Requirements (Section 2.4.2) Software Requirements (Section 2.4.3) Telecommunications Requirements (Section 2.4.4) System Configuration Management (Section 2.4.5) System Administration Functions (Section 2.4.6) Remote Access Functions (Section 2.4.7) 2-121 2.4.1 General Requirements Proposer Instructions: The proposal shall provide a detailed technical description of all hardware and software that will be used or developed to provide the services required herein. The proposal should present enough detail to convince the Authorities that the solution will provide the required functions. In many instances, the Authorities do not have specific requirements on the details of the applications software. The Contractor is free to implement software and processes in whatever ways will ensure compliance with the Performance Standards. However, the Authorities offer the following list of operational characteristics as guidance to the Proposers in preparation of their proposals. Incorporation of some or all of these characteristics will help to develop confidence on the part of the Authorities that the Proposers’ system can meet the requirements. • Menu-driven, user friendly system or graphical interface; • Double key entry where applicable and/or appropriate; • Modular system design to allow for cost effective and expeditious changes needed to effectuate program changes; • Security measures, including such features as user passwords, firewall software, intrusion detection software, and network security; • Audit trail for all database changes; • Data redundancy (e.g. disk shadowing, mirroring); • Data validation techniques and file transmission verification techniques in all data communications between all locations to assure validity of all user programs and data; • Storage of all data in a commercially available encrypted relational database that provides a Structured Query Language (SQL) for access; • Inactivity time-outs in application software, both user defined and system defined. Proposers shall denote in their proposals whether they propose to use equipment from existing NYCSC assets (as described in Appendix E) or to purchase or lease from other sources. The Proposer shall examine closely data included in the Background Assumptions (see Appendix A) in order to appropriately size system hardware and software. The Proposer shall describe fully how its system features will meet or exceed all performance requirements of this Statement of Work. The Contractor shall provide all necessary system components (hardware, software, telecommunication devices, telecommunication lines, etc.) and supporting infrastructure required to perform all NYCSC activities and functions as described herein. The system (including all hardware and software) shall operate with an availability of 99%, 24 hours a day, 7 days a week, 365 days a year, excluding any pre-planned, 2-122 Authority-approved periods of preventive maintenance. Availability shall be defined as the percentage of time that all users (including Authority staff) can perform all required tasks. The system (hardware and software) must have sufficient speed so that it can “catch up” from a backlog of two days of data (transactions, etc.) during a single day (24 hours) of normal operation. In other words, if the system is “down” at 12:01 am on Monday for a period of two days and is “restarted” at 12:01 am on Wednesday, all data from the two days of downtime should be processed and up-to-date by 12:01 am on Thursday. This “catching up” process should be completed in parallel with normal daily processing (including the current day’s transaction processing) such as downloading of tag status files, etc. In the same way, four days of backlogged should be processed in two days, and so forth. The Contractor shall perform testing to demonstrate that the processing speed will meet this requirement. The Authorities expect that most or all preventive maintenance activities shall be accomplished with no system down time since this Statement of Work requires significant redundancy. In the event that system down time is required for preventive maintenance, it shall be scheduled outside normal business hours of CSC facilities, as noted in Appendix D, Summary of Existing NYCSC Leases. The Contractor shall provide hardware and software so that network segmentation can be applied to the network, to ensure that each Authority’s and Agency’s data and communication are restricted from being accessed or viewed by another Authority or Agency. The Contractor shall provide all hardware and software required to establish and operate all interfaces for connections with the Authorities’ networks for communication. (See Appendix S for a description of these interfaces.) The Contractor is encouraged to take advantage of existing assets available from the current NYCSC operations (see Appendix E). The Contractor shall take advantage of potential cost savings wherever possible. The Contractor shall ensure that it can accommodate the ongoing operations throughout the contract term and meet (or exceed) all performance requirements and functionality requirements in this Statement of Work. Any upgrade of hardware and software required (beyond what is proposed) in order to meet the performance requirements of the operation as defined herein shall be the financial responsibility of the Contractor. The Contractor shall implement reasonableness checks on the data received from the Authorities and on information provided to customers, including investigation procedures for the cases when “unreasonableness” is indicated by such checks. 2-123 2.4.2 Hardware Requirements Proposer Instructions: Proposers shall provide a full and complete description of all hardware that will be utilized for the NYCSC. The system description shall list all equipment by manufacturer and model number, and shall include flowcharts, block diagrams, and other material necessary to fully describe the Proposer’s solution. The proposal shall contain a detailed description of how the Proposer has sized the hardware chosen for the proposed solution. The Proposer shall provide information estimating the useful life of each major component, including information from the manufacturer concerning how long the equipment will remain under support. This includes all hardware and software components, including operating systems, database servers, web servers, application development environments, and reporting packages. All hardware used in the system shall be currently supported by the manufacturer, including all operating systems. The Contractor shall, wherever possible, employ the use of redundancy to increase the reliability of the system and to provide for disaster recovery. This redundancy shall include all major computing equipment. The Contractor shall establish a “disaster recovery” site (or sites) that shall contain “hot back-up” operational capability in the event of an outage of the primary computing site (see Section 2.3.1.8, Disaster Recovery/Business Continuity Plan). 2.4.3 Software Requirements The software requirements are divided into two categories: Service Center Operations and Transaction Processing. The requirements for each category are presented in Sections 2.4.3.1 and 2.4.3.2. 2.4.3.1 Service Center Operations Software Functions All software used in the system shall be currently manufacturer/publisher. supported by the The sections below present the requirements for the software that will support CSC operation. 2.4.3.1.1 Tag Handling Functions The Contractor shall establish and maintain an inventory database which shall track the status of each tag from the time it is received by the Contractor (i.e. through receipt, testing, placement in inventory, withdrawal from inventory, distribution to a customer, retrieval from a customer, and final disposition) . Tag inventory statuses are listed in Appendix H. The Tag Handling functions of the Contractor’s system shall be fully automated with an interface between the tag reader and bar code reader(s) and account management software/database. 2-124 The Contractor shall implement inventory management processes and procedures to maintain an accurate count of tags on hand at all times. The Contractor’s system shall fully support the Contractor’s proposed Tag Swap Program. It shall utilize the automated tag inventory and be flexible so that the criteria for selecting tags for swap can include one or more of the following: date of receipt, date of first issue, date of reissue, Authority code, or tag serial number. In addition, the criteria for selecting tags that may be re-issued shall also include one or more of the same items. 2.4.3.1.2 Application Processing/Tag Distribution Functions The system shall include software to allow for accurate, efficient processing of enrollment applications via the internet, mail, walk-in centers, and pre-packaged retail tags. The encoding of the tags shall be sufficiently integrated with the database to ensure that the tag number, class, and type in the account are identical to the distributed tag. All applications shall be scanned electronically. The stored images shall be accessible online to customer service representatives and to Authority representatives remotely in accordance with Appendix G, Data and Document Retention Requirements. The Contractor shall provide customers with a system-generated application profile to verify that account information is correct. (A sample is provided in Appendix K, Tag Kit.) The system shall generate mailing labels for distribution of tag kits to customers. The system will allow for changes in tag fee policies and tag fee amounts. The Contractor shall provide a means to reasonably ensure that customers do not open new accounts when an existing account is either suspended, revoked, or in collection status. 2.4.3.1.3 Mail Processing Functions The Contractor shall implement whatever systems and processes are required to meet the mail processing requirements of this Statement of Work. The Authorities encourage the Contractor to utilize automated processing of incoming and outgoing mail, including the use of bar coding and physical mail processing functions (opening, folding, stuffing, etc.) 2.4.3.1.4 Call Center Functions The Contractor is required to utilize automated telephone voice response systems (VRS) and techniques. The current VRS system hardware and capacity are described in Appendix E and the current script is included as Appendix X. In addition, the Contractor must provide customers the option to speak directly with a customer service representative during the hours designated in Appendix D. As directed by the 2-125 Authorities, these hours can be changed. At a minimum, telephone service shall provide an automated means for a customer to perform the following functions: • • • • • • • • • • Obtain account balance Update credit card information Make one-time credit card payment Change payment method Institute discount plan suspension Request additional tags, read prevention bags and “Velcro” (tag fastener) Obtain violation payment information Change or add credit card Change a P.I.N. Report tags lost or stolen The VRS system shall be available 24 hours a day, 7 days a week (excluding preapproved scheduled preventative maintenance). The Contractor shall size the phone system and VRS to provide the level of service required by this Statement of Work. 2.4.3.1.5 Website Functions The Contractor shall implement a website which shall provide information describing the E-ZPass New York system and provide the following elements: • • • • • • • • • • • • • • • • • • Submission of application forms Access to current balance Ability to view violation history Ability to update credit card expiration date Ability to change credit card information, including its removal Ability to make one-time credit card payment Ability to change payment method, including adding a new credit card Ability to select method of statement delivery Ability to put discount plan on suspension Ability to send email to NYCSC personnel Ability to add or modify vehicle and license plate information to the account Ability to change password and Personal Identification Numbers (P.I.N.) Ability to give a forgotten P.I.N./password to a customer who provides certain personal information thus validating his/her identity. Ability to enter or change email address information Ability to report lost or stolen tags Ability to request archived statement histories via web or e-mail General information about E-ZPass Internet Privacy Policy (provided by the Authorities, included as Appendix F) 2-126 The Contractor shall identify and implement an automated solution to respond to inquires from the website. The system shall keep a history of account changes performed via the website. The system shall adhere to the E-ZPass New York Internet Privacy Policy (see Appendix F) which shall also be accessible by hyperlink on the home page. In addition, any web-based intranet and internet information and applications development, or programming delivered pursuant to this Proposal must comply with NYS Office for Technology Policy P04-002, “Accessibility of New York State Webbased Intranet and Internet Information and Applications”, as such policy may be amended, modified or superseded, regarding the accessibility of web-based intranet and internet information and applications to persons with disabilities. The policy is available at: http://www.oft.state.ny.us/policy/p04-002/index.htm 2.4.3.1.6 Account Management Functions The Contractor’s system shall provide account management functions in order to handle all of the Authorities’ requirements for all account types, account plans, and Authority-specific customer programs as described in Section 2.3.4.8 and detailed below. The system shall also be capable of handling both Intra-CSC and Inter-CSC account reciprocity and have the flexibility to accommodate potential future requirements (See Section 2.3.2.2). The customer account management system shall include, but not be limited to, the following functionality: 1. The Authorities and authorized Contractor personnel ("User(s)") shall be able to search the account database for a customer account alphabetically by last name, last name and first name, company name, e-mail address or numerically by account number, violation number, phone number, credit card number, tag number, or license plate number/type. Non-customer violations shall be accessible by violation number or license plate number. 2. Search fields shall utilize some type of cognate (Soundex) capability for searches to find the record with slight misspellings. 3. The User shall be able to view data on individual customers as follows: a Customer name, address, and any other demographic information included on the application form. b Vehicle information as included on the application form. c Information on tags assigned to the account, including quantity of tags, tag number(s), tag-specific discount plans, IAG class, date assigned, date/location where last used, current tag status (i.e. good, lost, stolen, etc.), warranty start date, in service date, manufacturing date. d Payment information, including payment method, date and amount of last payment, usual payment amount (replenishment amount), ACH or credit card rejected date and amount, chargeback history, the level at which the balance is considered low (replenishment point), current account balance, walk-in center where account was 2-127 opened, date of and period covered by the last customer statement, account anniversary date, tag deposit balance, prepaid toll balance, violation balance. e Current account financial status in accordance with Appendix N f Flags indicating whether the account-holder has incurred a violation due to speeding or insufficient funds and, if so, an easy way to access the detailed information. g Begin and end dates of account suspension (voluntary or involuntary), if applicable h Account history including payments, user-entered notes regarding any customer contact or inquiry to provide tracking of resolution of inquiries and discrepancies, and violations in accordance with Appendix G, Data and Document Retention Requirements. i History and description of all payments, charges, and updates to any of the customer information in the database, including date and time updated and identification of the user who made the update, including data on closed accounts. The history shall be available for the period as specified in Appendix G, Data and Document Retention Requirements. j History by tag of toll transactions posted to the account by transaction or posting date, including date, time, Authority, plaza, lane (both entry and exit information on NYSTA ticket system transactions), tag number, tag class, AVC or collectorindicated class, tag read performance, amount of toll, pre-transaction toll balance, applicable discount plan, tag status at the time of the transaction, lane operation mode, vehicle speed, and type of transaction. The history shall be available for the period as specified in Appendix G, Data and Document Retention Requirements. k Details regarding unique account plan features, such as the number of trips taken in the current month towards minimum usage requirements, expiration dates of discounts or specific locations where a tag may be invalid while valid at other locations. 4. The system shall be capable of generating automated credit card authorization and replenishment transactions. 5. The system shall be capable of adjusting credit card automatic replenishment amounts based on actual monthly usage. 6. The system shall be capable of generating automated routine notifications for mailing or emailing to customers as such notifications are required throughout the Statement of Work. 7. The system shall be capable of allowing assignment or removal of one or more tags from an account and shall allow multiple tags to be assigned to a single account. The system shall be capable of assigning a tag to an account although the customer may not have a vehicle. In this case, only one tag can be assigned to the account. 8. The system shall be capable of allowing both limited manual and automated updates to account or tag status. 9. The system shall allow financial adjustments to accounts, e.g. manual posting of toll transactions, posting a credit to a customer account, etc. 10. The system shall allow for inclusion of multiple vehicle license plate information for an account number. Although the Authorities may specify operational limits on the number of license plates for some customer groups/types, the system shall not limit the number of license plates that can be associated with an account. The system shall 2-128 prevent the same plate from being associated with multiple accounts by using the plate number and the plate type as a unique identifier. 11. The system shall allow for accounts to be established for individuals, prepaid business customer and postpaid commercial customers. Each type of account has different policies and business rules. Discount plans for each type of account are described in Appendix P and on sample application forms included in Appendix J. The system shall allow for discount plans to be applied to the entire account or just a specific tag. 12. The system shall allow for inclusion of speed enforcement activity, including speed history, for the period designated in the Data and Document Retention Requirements (Appendix G). The system shall store toll transaction information with the speed highlighted for the period designated in Appendix G. This includes the type of penalty imposed (e.g. warning, suspension), the dates of notices generated and mailed, the history of status changes on the violation including identification of the person updating the status, and the current status. 13. The system shall maintain the history of the customer account collections. This includes dates when the account is declared in arrears, when notices were sent, when accounts were declared bad debt and sent to the collection agencies with which the Authorities have separate contracts, and, if applicable, when the account is taken out of default. These records shall be available on line for the period designated in Appendix G. 14. The system shall allow the NYCSC to process refunds to customers who have inadvertently paid both the collection agency and the Contractor. 15. The system shall be able to automatically calculate each customer’s low balance threshold and replenishment amount on the basis of customer account usage data. 16. The system shall provide for the capability for individual customer accounts to have multiple account plans associated with them, each plan associated with different toll rates and usage restrictions. 17. The system shall generate and manage customer statements as follows: a Statements may be printed, emailed, available on line, and in some cases, delivered on disk. Statements shall show, at a minimum, the following information: i. Account's opening balance; ii. Toll transactions by posting date with the posting date, transaction date, facility location and lane number, and amount charged for each transaction; iii. Non-toll (E-ZPass Plus) transactions posted to the account; iv. Non-toll (E-ZPass Plus) transactions not posted to the account; v. Replenishment transactions; vi. Other charges/fees or adjustments; vii. Summary in dollars of all account activity represented in this statement; and viii. Closing balance b The system shall be able to reproduce statements on demand for the period of time specified in Appendix G. c The system shall be able to include custom messages with statements, and selectively include these messages on only certain groups of statements, e.g. for designated zip codes. d The system shall be able to sort customer statements by specific variables including, but not limited to payment type, zip code, etc. The system shall be 2-129 capable of inserting other materials in selected statements at the discretion of the Authorities and by zip code or other customer characteristic. e The system shall provide a means to suppress the generation of statements for non-revenue account plans unless there is revenue activity for that statement period. In that case, the statement shall include both revenue and non-revenue transactions. 18. The system shall provide a means to disable the requirement for tag deposit fees for non-revenue account plans or other fees that may apply only to revenue accounts. 19. The Contractor’s account management software shall have the ability to track insufficient payments against an account. Functionality shall be included in the Contractor’s account management software to ensure that the event is noted on the account by date of occurrence. Functionality shall be included in the account maintenance system to guard against another check payment being accepted after there have been two insufficient funds occurrences on an account within a calendar year. Such procedures shall be programmed into automated check processing machinery, if used. Account management software shall have the ability to permanently prevent check payments on accounts when an Authority has so directed. The insufficient funds fee shall be a configurable parameter. 2.4.3.1.7 Toll Evasion Violations This section describes the software requirements relative to Violations Processing. In addition to these specific software requirements, the Contractor shall provide and/or utilize a violation processing system to comply with: • • • Section 2.3.4.9, which describes the general requirements for toll evasion processing; Section 2.3.6.7, which describes the data processing requirements for toll evasion processing; and Section 2.4.3.2.3.4, which describes the transaction processing requirements for toll evasion processing. The specific software requirements for toll evasion processing are: 1) The Contractor shall be able to search the database for a violation by violation number, customer’s last name, account number, tag number, or vehicle license plate number. 2) The Contractor shall be able to view data on individual violations or multiple violations by the same violator on-line in accordance with Appendix G. All toll transaction information, and also the unique violation number, the name and address of the violator, the vehicle license plate number and state, the dates and types of notices generated, the amount of tolls and any fees billed, the history of payment and any other status dispositions including identification of the person updating the history, an indication whether the violation was identified as an EZPass customer and , if so, the customer account number or tag number, a count 2-130 of the total number of open and closed violations by the same violator, and any notes entered by CSC staff resulting from a contact with or inquiry from a violator. 3) The system shall be capable of generating a printed image on demand of any verified toll evasion violation in accordance with Appendix G. 4) The system shall be capable of allowing dismissal of all or a portion of any tolls or fees billed for violations (as approved by the Authorities). 5) All of the requirements for toll evasion apply to transactions in which a speedsuspended tag is used (see Section 2.3.6.9.1). 6) The Contractor shall provide a quality assurance process which includes review of toll evasion images determined initially to be unreadable or inconclusive. 7) The system shall include configurable timeframes for sending unpaid violation fees to collection agencies with which the Authorities have separate contracts. The Authorities will advise the Contractor of what timeframes apply. (See Sections 2.3.6.7.4 and 2.3.6.10 for additional information about interfacing with collection agencies.) The Contractor shall charge an administrative fee for E-ZPass customer violations only as directed by the Authorities. 2.4.3.1.8 Class Mismatch This section describes the system requirements relative to Class Mismatch processing. In addition to these specific system requirements, the Contractor shall provide and/or utilize a mismatch processing system to comply with: • • • Section 2.3.4.10, which describes the general requirements for class mismatch processing; Section 2.3.6.8, which describes the data processing requirements for class mismatch processing; and Section 2.4.3.2.3.5, which describes the transaction processing requirements for class mismatches. The specific system requirements for class mismatch processing are: 1) The Contractor shall be able to search the database for a class mismatch transaction by transaction number, customer’s last name, account number, tag number, or vehicle license plate number. 2) The Contractor shall be able to view and print data (including images) on individual mismatches following the mismatch event in accordance with Appendix G. 2-131 3) The Contractor shall provide a quality assurance process which includes review of mismatch images determined initially to be unreadable or inconclusive. 2.4.3.1.9 Infraction Processing 2.4.3.1.9.1 Speed Infractions The Contractor’s software shall support a table of speed thresholds. These thresholds shall be based on: • • • • • • Authority Plaza Lane Vehicle type Account type Lane mode (dedicated E-ZPass, mixed mode, etc.) The table shall contain three separate thresholds for each unique combination of the above parameters: basic speed threshold, excessive speed threshold, and notice suppression threshold. The Contractor shall be able to easily change the value of the parameters in the table and add lanes to the table from time to time. The Contractor’s software shall be able to accommodate both tag invalidations and account suspensions for speed violations at selected plazas. On-line retention of speed data associated with each toll transaction shall be in accordance with Appendix G. The Contractor’s software shall have the capability to manually suspend a tag that was found speeding under NYSTA postpaid commercial account program. 2.4.3.1.9.2 Use of Lost/Stolen/Invalid Tag The Contractor’s software shall support all activities outlined in Sections 2.3.4.11.2 and 2.3.6.9.2. 2.4.3.1.9.3 Unmounted Tag Use The Contractor’s software shall be capable of processing the data described in 2.3.6.9.3 and posting the administrative fee to the customer account as a financial transaction. It shall also notify customers by printing the information related to the transaction on the customer statement. The information on the customer statement shall include identification of the item as “Unmounted Tag Administrative Fee”, date and time of the occurrence, tag number, plaza and lane number, class of the vehicle, amount of the fee, and remaining account balance. The fee shall be a configurable parameter. 2-132 2.4.3.1.10 Reciprocity 2.4.3.1.10.1 Intra-CSC Reciprocity The Contractor’s software shall fully support all of the requirements for intra-CSC reciprocity, as set forth in sections 2.3.6.4 (Data Processing), 2.4.3.2 (Transaction Processing), and 2.4.4.2 (File Transmissions) and Appendix S. 2.4.3.1.10.2 Inter-CSC Reciprocity The Contractor’s software shall fully support all of the requirements for inter-CSC reciprocity, as set forth in sections 2.3.6.5 (Data Processing), 2.4.3.2 (Transaction Processing), and 2.4.4.2 through 2.4.4.4 (File Transmissions) and in Appendix L. 2-133 2.4.3.2 Transaction Processing Proposer Instructions: Proposers shall describe in detail how their system will process all transaction types from all NYCSC Authorities and other CSCs. While the implementation of transaction processing business rules and processes is a requirement of the Statement of Work, the categories and data paths shown in the figures and/or defined in the tables in this section are meant to be illustrative only. The Contractor may achieve the same business rules, processes, and priorities included in the subsections of this part of the Statement of Work using a different processing approach, subject to the approval of the Authorities. This section describes the requirements for processing of transactions received by the NYCSC from lanes and from other agency CSCs, and manual toll transactions forwarded from the Authorities. Transaction processing is defined as the actions and processes that shall be taken to in order to apply the Authority business rules to each transaction. The Contractor shall process transactions from a variety of sources: • • • • • • Toll transactions from NYCSC facilities Toll evasion transactions from NYCSC facilities (invalid tag or no tag) Manual toll transactions from NYCSC facilities Toll transactions from other IAG CSC’s Non-toll transactions from E-ZPass Plus facilities associated with NYCSC Authorities Non-toll transactions from E-ZPass Plus facilities associated with other CSC’s (note: no other CSC’s currently have E-ZPass Plus facilities but many are planned; the NYCSC shall support processing of such transactions as part of this Statement of Work) Cash transactions (tolls paid with cash) are not sent to the NYCSC. 2.4.3.2.1 Transaction Processing Business Rules The Contractor shall follow business rules for processing transactions that have been developed by the Authorities and IAG. The following list contains the main business rules that guide the processing of transactions. The numbers assigned to each business rule are referenced in later sections and graphics. More detailed business rules for each of the data processing tasks are presented in the sections below and elsewhere in this Statement of Work. 2-134 General Business Rules 1. Account Ownership – NYSTA, PANYNJ, and TBTA establish accounts and issue tags. NYSBA does not establish accounts or issue tags directly. Toll transactions are posted to the appropriate account or rejected as they are processed. 2. Toll Evasion – Toll evaders are processed at the NYCSC. The toll for toll evasion is determined by the tag class or by image review. 3. Speeding – Speed infractions apply to NYCSC account holders only and are currently only processed by the NYCSC for infractions occurring on PANYNJ and NYSTA facilities. However, the Contractor shall be able to handle speed infractions for all three Authorities. 4. Class Mismatch – The NYCSC currently performs class mismatch (tag class does not match AVC class) processing for mismatches occurring at PANYNJ and TBTA facilities. NYSTA is planning to implement class mismatch processing sometime over the term of the contract.. For class mismatch transactions occurring on PANYNJ facilities, the class mismatch is resolved before the toll is determined. If the image is not found (matched to a transaction) after a configurable period of time (e.g., 3 days) then the PANYNJ mismatches are forwarded to the Account Posting sub-process (see Section 2.4.3). For class mismatch transactions occurring on TBTA facilities, the toll is assessed first and the class mismatch is resolved later. A manual adjustment is used to correct the toll charge if necessary. 5. Tag Retention and Unmounted Tags – Tags belonging to NYCSC accounts that are in lost/stolen status and/or on invalid accounts (negative $15.00 or less) are retained at TBTA facilities when they are detected in their lanes. The NYCSC processes these retained tags. NYCSC tags that are not mounted correctly to a vehicle may, when used at TBTA facilities, cause the account-holder to incur a fee. The Contractor shall use information received from the TBTA facilities to charge these fees. 6. Reciprocity – All NYCSC agencies participate in reciprocity with the other IAG agencies. The NYCSC sends, receives and processes reciprocity transactions. Sent and received transactions are either posted or rejected by the Home agency. All transactions are reconciled as to their disposition at the Home CSC. NYCSC Tags at NYCSC Facilities – (Intra-CSC Reciprocity) 7. Valid Tag - Transactions in which the tag was indicated as "good" or “low balance” in the lane at the time of the transaction will not be processed as a toll evasion violation regardless of the account status at the time of posting. 8. Invalid Tag - Transactions in which the tag was indicated as “invalid” in the lane at the time of the transaction will first be checked against the account and posted (via the tag number) if the account is valid (sufficient funds) or if the account is replenished via credit card and the credit card has not been declined. If posting is successful, the image is not reviewed and the violation is not pursued. The Contractor's system shall be able to identify this type of transaction. 2-135 9. Lost/Stolen Tag –Transactions for which the tag was reported as lost or stolen prior to the transaction time and date will not be posted to the account. Violation transactions for which the tag status was indicated as "lost/stolen" in the lane at the time of the transaction will be forwarded for image review. If image review indicates that the vehicle is associated with a currently valid account matching the tag, the Contractor shall assume that the tag originally reported lost or stolen was found by the customer and post the transaction to the customer’s account. If not, the violation will be pursued. 10. No Tag - Transactions in which no tag number is read will be forwarded for image review. If image review indicates that the vehicle is associated with a currently valid account, the transaction will be posted to that account via the license plate number and will not generate a violation notice. Note: Postings to an account (Home or Away) that are achieved via a license plate lookup cannot take advantage of a tag level discount unless there is only one tag on the account. However, they can take advantage of an account level discount plan. Non - NYCSC Tags at NYCSC Facilities – (Inter-CSC Reciprocity) 11. Valid Tag - Transactions in which the tag was indicated as "good" or “low balance” in the lane at the time of the transaction are sent to the Away agency. Tolls for such transactions are guaranteed under the IAG Reciprocity Agreements. Regardless of final Away agency reconciliation, these transactions will not be processed as a toll evasion violation. 12. Invalid Tags - Transactions in which the tag was indicated as “invalid" will be processed as a violation. 13. Lost/Stolen Tags - Transactions in which the tag status was indicated as "lost/stolen" at the time of the transaction will be processed as a violation. 14. No Tag - Transactions in which no tag is read but image review indicates that the vehicle is associated with an account (via the IAG Customer License Plate file) that was valid at the time of the transaction will be sent to the Away agency for posting. These transactions are not guaranteed by the Away agency and if they are rejected, they are treated as violations. Other Business Rules 15. All image and transaction files received at the NYCSC are checked for validity. 16. Accounts that are replenished via cash or check are allowed to go to negative $14.99 before the tag status becomes invalid. Accounts that are replenished via credit card do not get an invalid tag status for negative balances unless the credit card has been declined. 17. Manual Transactions on NYCSC Accounts - The system shall permit CSR's with appropriate system privileges to add manual toll transactions to a customer's account that will appear on the customer's statement. The system shall allow the CSR to select the text that will appear on the statement from a menu of standard text. Once 2-136 added, these transactions may be adjusted as normal toll transactions. Transactions added in this manner shall be authorized, using an established procedure, by the Authority to which the transaction applies. Manual transactions received in paper form are not reconciled back to the Authorities’ host computers. A report of these entries shall be generated and submitted to the appropriate Authority. Manual transactions shall not be posted to invalid accounts. Manual transactions shall be included in reports as described in Section 2.3.7. The Authorities may at their discretion provide manual tolls electronically. 18. Manual Transactions on Non- NYCSC Accounts - The system shall support IAG procedures to add manual toll transactions to a non-NYCSC account. Transactions of this sort that affect NYCSC funds shall be reflected in the appropriate financial reports, as described in Section 2.3.7. 2.4.3.2.2 High Level Transaction Processing Flow Figure 2-3 presents a high level diagram of the transaction flow. The figure shows the flow of data files, through interfaces, to and from the CSC’s transaction processing functions. The definitions of the various data paths in Figure 2-3 (and Figure 2-4) are presented in Table 2-15 (in Section 2.4.3.2.3). At the center of Figure 2-3 is Transaction Processing, a collection of ten sub-processes that comprise the detailed transaction processing as shown in Figure 2-4 (note that the Statement of Work section which covers each topic is listed under the name of each sub-process). 2-137 Figure 2-3. High Level Transaction Flow NY CSC Agency Transaction Files (Appendix S) NY CSC Agency Image Files (Appendix S) AA Other CSC Transaction Files (Appendix L) BB CC Agency Data File Interface (Appendix S) IAG Data File Interface (Appendix L) DD EE FF Transaction Processing (2.4.3.2) HH II Agency Data File Interface (Appendix S) GG IAG Data File Interface (Appendix L) KK LL JJ Other CSC Reconciliation File (inbound) (Appendix L) NY CSC Agency Reconciliation File (Appendix S) 2-138 Other CSC Reconciliation File (outbound) (Appendix L) 2.4.3.2.3 Detailed Transaction Processing Figure 2-4 presents a data flow diagram for the ten transaction processing sub-processes. These ten sub-processes (and the ten sub-sections that contain their requirements) are: • • • • • • • • • • Data Integrity Checks (Section 2.4.3.2.3.1) Transaction Preprocessing (Section 2.4.3.2.3.2) Account Posting (Section 2.4.3.2.3.3) Toll Evasion (Section 2.4.3.2.3.4) Class Mismatch (Section 2.4.3.2.3.5) IAG Processing (Section 2.4.3.2.3.6) Unmatched Transaction Handling (Section 2.4.3.2.3.7) Infraction Processing (Section 2.4.3.2.3.8) Toll Calculation (Section 2.4.3.2.3.9) Transaction Reconciliation (Section 2.4.3.2.3.10) Each of the major data flow paths between the sub-processes is labeled. The definitions of the various data types and data paths are presented in Table 2-15. With respect to Table 2-15: • • • • A “Reciprocity Transaction” is a transaction for a NYCSC account (tag) on a nonNYCSC agency facility. These transactions are sent to the NYCSC from another CSC. All other transactions listed in the chart originate either in NYCSC Authority facility lanes or manually at the NYCSC (for posting to NYCSC accounts). A transaction with a NYCSC tag is a transaction originating at a NYCSC Authority facility with a tag issued by the NYCSC. A transaction with an IAG tag is a transaction originating at a NYCSC Authority facility with a tag issued by another CSC. The business rule(s) applicable to each path is (are) indicated as BR (X). These business rules are listed in Section 2.4.3.2.1. TABLE 2-15 DATA PATH DEFINITIONS FOR FIGURES 2-3 AND 2-4 Data Path Description Label A Speed infraction, and mismatch transactions which successfully posted to NYCSC customer accounts. BR(3), BR(4) AA PANYNJ Mismatch Image Files, PANYNJ Toll Evasion Image Files, TBTA Mismatch Image Files, NYSTA Toll Evasion Image Files. B Resolved PANYNJ mismatch for non-NYCSC tag. BR(4), BR(6) 2-139 TABLE 2-15, continued Data Path Description Label BB PANYNJ E-ZPass Transaction Files (includes Mismatches), PANYNJ Toll Evasion Transaction Files, TBTA E-ZPass Transaction Files (includes Mismatches), NYSTA E-ZPass Transaction Files, NYSTA Toll Evasion Transaction Files, Manual Transaction Files from each Authority, and EZPass Plus transactions from all Facility Operators. C Resolved PANYNJ mismatch of NYCSC tag. BR(4) Category 1 Either: (Cat 1) A Reciprocity Transaction, OR A transaction with a NYCSC tag, including completed NYSTA transactions but not including either Category 4 or Category 5 transactions, OR A manual transaction Category 2 Either: (Cat 2) A transaction with an invalid IAG tag but not including either Category 4 or Category 5 transactions; OR A transaction with no tag read. Category 3 A transaction with a valid IAG tag but not including either Category 4 or (Cat 3) Category 5 transactions. Category 4 Any PANYNJ transaction with a class mismatch (Valid or Invalid Tags) (Cat 4) Category 5 Any unmatched NYSTA entry or exit transaction. (Cat 5) CC Other CSC E-ZPass Transaction Files. D Un-postable toll transaction. BR(8) DD NYCSC Authority Images. E Toll Evasion resulting in ID of valid NYCSC customer. BR(9), BR(10) EE NYCSC Authority transactions (E-ZPass and Toll Evasion). F Toll Evasion resulting in ID of valid non-NYCSC customer. BR(14) FF All IAG transactions for posting by other agencies. G All IAG transactions associated with valid accounts. BR(11) GG Transaction Reconciliation data destined for other CSCs. H TBTA mismatches reviewed and adjusted (if necessary). BR(4) HH Transaction Reconciliation data received from other CSCs. I All NYCSC transactions for reconciliation. II Transaction Reconciliation data destined for NYCSC Authority. J NYSTA matched or unmatched exits (>7 days old) for NYCSC accounts. JJ Transaction Reconciliation data destined for NYCSC Authority in formats acceptable to each Authority. K Calculation of toll for toll evasion. BR(2) KK Reconciled IAG transactions (except for Line II above). L Calculation of toll for postable transaction. BR(1) LL Reconciled reciprocity transaction. 2-140 Data Path Label M N O P Q R S T U V Description NYSTA matched or unmatched exits (> 7 days old) for non-NYCSC. Unmatched NYSTA toll evasions (resulting from LPR). An unmatched NYSTA entry transaction. Calculation of toll for IAG transaction.BR(6) Reconciliation of successfully processed transaction. BR(1), BR(6) Transactions which do not pass Integrity Checking. Rejected transaction. BR(1), BR(15) Images which passed Integrity Checking. BR(15) NYCSC Transactions which passed Integrity Checking. BR(15) NYCSC Images which passed Integrity Checking. BR(15) All IAG transactions for reconciliation 2-141 Authorities DD, EE Figure 2-4. Detailed Transaction Processing Other 0805 Integrity Checking (2.4.3.231) i Tmsaction Prepiooessug (2.4.32.3 2) Cat 3 Mismatch Processing I Account Posting (2.4.3 2.3.5) 1? CH ii Infraction Processing (2.4.32.3.8) (2.4.3 2.3.3) i Toll Evasion Processing (2.4.3 2.3.4) i Processing (2.4.3 2.3.6) 0 I 9 Unmatched Transaction Handler (2.4.3 2.3.7) i Toll Calculation (2.4.32.3 9) Transaction Reconciliation (2.4.3 2.3.10) i Other 0805 Other CSC's 2.4.3.2.3.1 Data Integrity Checking The Data Integrity sub-process shall apply a series of data integrity filters. Table 2-16 summarizes this sub-process. TABLE 2-16 DATA INTEGRITY CHECKING SUMMARY Purpose of the Process: To examine all incoming transactions and images from the NYCSC Authorities to make sure they pass a series of data integrity requirements Participating Agencies: All NYCSC Authorities Inputs to the subprocess: All Images and All Transactions (Data paths CC, DD, and EE) Outputs from the subprocess: 1. Accepted transactions and images go forward to Transaction Preprocessing (Section 2.4.3.2.3.2). (Data paths S, T, and U) 2. Rejected transactions and images are reported back to the Authority through Transaction Reconciliation (Section 2.4.3.2.3.10). (Data path R) Business Rules All data received at the NYCSC shall be checked for integrity upon receipt from the Authority or from other CSCs. These integrity checks shall include both file-level checks and transaction-level checks. Each Authority uses a different method of transmitting toll transactions and images to the CSC. The Contractor will support each process and be able to verify file integrity. This section relates to data received from the NYCSC Authorities. Integrity checks on data from other CSCs are addressed in the IAG file specifications. File-Level Integrity Checks File-level checks shall include all possible means to determine if the files have been transmitted completely and accurately, including calculation of checksums, use of transaction counters (as stored in the file header), etc. Examples of required file checks are listed in Table 2-17. 2-143 TABLE 2-17 FILE-LEVEL INTEGRITY CHECKS File-Level Check Authority Transaction Count NYSTA, PANYNJ, and TBTA File Numbering TBTA and PANYNJ Description Actions Upon Failure Compare header (or trailer) count with actual transactions in file. Do not process file. Notify Authorities of failure for further action. Check transaction file number from each plaza to make sure it is sequential. Request transmission of missing file number. Transaction-Level Integrity Checks Transaction-level checks shall ensure that each field in the transaction record contains an appropriate value for that field and is formatted correctly for that field. Records that do not pass these checks shall be stored in an exception file. The exception file shall be accessible to NYCSC operators for quick investigation of data validity issues. Examples of transaction checks are listed in Table 2-18. TABLE 2-18 TRANSACTION-LEVEL INTEGRITY CHECKS TransactionLevel Check Authority Description Transaction Record Format All Authorities Check to see if record format is appropriate (total length, correct use of characters, etc.) Store bad record in an exception file and investigate causes for correction. Appropriate Data Values All Authorities Check to make sure each field contains a value that is within the appropriate bounds for that data element. e.g. valid plaza number, valid lane number, valid Authority ID, etc. Store bad record in an exception file and investigate causes for correction. 2-144 Actions Upon Failure 2.4.3.2.3.2 Transaction Preprocessing The Transaction Preprocessing sub-process shall perform a series of steps to prepare transactions and images for further processing. Table 2-19 is a summary of this subprocess. TABLE 2-19 TRANSACTION PREPROCESSING SUMMARY Purpose of the Process: To match images and transactions and prepare all transactions for further processing. Participating Agencies: 1. Transactions: All NYCSC Authorities 2. Images: PANYNJ, TBTA, and NYSTA Inputs to the subprocess: All images and all transactions that have passed the integrity checks (Section 2.4.3.2.3.1) (Data paths S, T, and U) Outputs from the subprocess: All transactions are classified into one of five categories and then forwarded to one of five sub-processes. The categories are defined in Table 2-1. The five sub-processes are: 1. Account Posting (Section 2.4.3.2.3.3) (Data path Cat 1) 2. Toll Evasion (Section 2.4.3.2.3.4) (Data path Cat 2) 3. Mismatch Processing (Section 2.4.3.2.3.5) (Cat 4) 4. IAG Processing (Section 2.4.3.2.3.6) (Cat 3) 5. Unmatched Handler (Section 2.4.3.2.3.7) (Cat 5) Business Rules The Preprocessing sub-process shall perform two major tasks. The first shall be to attempt to match toll evasion and class mismatch images to their corresponding transaction. The second function shall be to classify transactions (or each transaction) (and image if applicable) into one of five categories and to forward them on to the appropriate sub-process for further action. 2-145 2.4.3.2.3.3 Account Posting The Account Posting process shall post transactions to customer accounts if the transaction meets the criteria for posting. The results of the posting attempt shall then be forwarded to other processes. “Posting” involves obtaining the dollar amount of the transaction, debiting the account balance with the amount of the transaction, creating a record of the transaction, and updating all other files and registers necessary to facilitate related system functions and accurately represent the customer account status and history. Examples of related functions are system reports, account replenishment, discount plan management and tag status updates. Table 2-20 summarizes the account posting sub-process. 2-146 TABLE 2-20 ACCOUNT POSTING SUMMARY Purpose of the Process: Attempt to post transactions to NYCSC accounts and report the results of the post attempt to downstream subprocesses. Participating Agencies: All NYCSC Authorities Inputs to the sub process: Toll transactions for NYCSC that come from the following other subprocesses: 1. Transaction Preprocessing (Section 2.4.3.2.3.2) • Normal valid tag reads (excluding PANYNJ mismatches or unmatched NYSTA transactions) Or Reciprocity transactions (Data path Cat 1) 2. Mismatch Processing (Section 2.4.3.2.3.5) • Original transaction after resolution of PANYNJ mismatches (Data path C) • Adjustment transaction after resolution of TBTA mismatches (Data path H) 3. Unmatched Handler (Section 2.4.3.2.3.7) • After matching of NYSTA exit transaction (Data path J) 4. Toll Evasion Process (Section 2.4.3.2.3.4) • After identification of an NYCSC customer from a toll evasion transaction. (Data path E) Outputs from the subprocess: The following are the possible outcomes of the attempt to post a toll transaction: 1. Successful posting and forwarding of the transaction to the Transaction Reconciliation sub-process. (Data path Q) (Section 2.4.3.2.3.10) 2. Unsuccessful posting of invalid transaction and forwarding of the transaction to the Toll Evasion Process. (Data path D) (Section 2.4.3.2.3.4) 3. Unpostable transaction is sent to Transaction Reconciliation. (Data path Q) (Section 2.4.3.2.3.10) 4. For some posted transactions, forwarding of the transaction to the Infraction Processing sub-process for noticing of certain infractions, including: a. Vehicle speed infractions; b. Use of Lost/Stolen/Invalid Tag; and c. Unmounted Tag These are data path A. Further interactions with other sub-processes: Toll Calculation (Section 2.4.3.2.3.9) • The Account Posting sub-process uses the toll calculation sub-process to determine the appropriate toll amount. (Data path L) 2-147 Business Rules The Account Posting sub-process shall be responsible for applying toll charges to NYCSC customer accounts. This sub-process shall become active once other subprocesses have determined the identity of the customer, either through reading the tag or by license plate review. The system shall be capable of posting toll transactions to customer accounts in the customer account database every two hours. Transactions shall not be posted if any of the following are true: • • • • • • Tag not assigned to an account; Account is closed; Date and time of transaction > date and time tag returned; Date and time of transaction > date and time tag reported lost or stolen; Invalid Class/Plan combination; or The tag was invalid at the time of the transaction and the account balance is negative $15.00 or less and the replenishment method is cash or check. Unusual Occurrences The posting process also uses historical information in the account database to see if the transaction is an “unusual occurrence”. The paragraphs below describe the various “unusual occurrences”. These events are usually very rare, but the NYCSC shall apply filters in order to minimize the chances for inaccurate posting to customer accounts. Skip reads Occasionally, a violation image is taken in addition to a valid tag read. After initial processing, the NYCSC shall compare image plate numbers against the customer account database to determine whether the person is an E-ZPass customer and, if so, shall attempt to post the transaction against the account instead of treating it as a violation. However, before posting, the Contractor shall determine if a tagged transaction has already been posted to the account. The duplicate transaction rule below will filter out one of these transactions thereby preventing double posting. Buffered reads Occasionally, a tag will be read successfully but may not be successfully programmed (written to) by the in-lane equipment. In these cases, the tag reader may “buffer” these tag reads until a later time (seconds or minutes later) at which time it shall report the tag to the lane equipment. This buffering occurs as the reader is attempting to complete the programming portion of the reader/tag interaction. In this situation, the tagged vehicle departs the lane without the transponder being reported by the reader and is thus recorded as a toll evader. Later, the buffered tag read is reported, as part of another transaction. The NYCSC shall still process such buffered transactions and attempt to post them 2-148 against the accounts (since they are still valid transactions). The duplicate transaction rule below will filter out one of these transactions thereby preventing double posting. Cross-lane reads Occasionally, a tag will be read in two lanes during the same vehicular passage. This is called a “cross-lane read”. The duplicate transaction rule below will filter one of these transactions thereby preventing double posting. Duplicate transactions A duplicate transaction is defined as two transactions with the same tag number going in the same direction, at the same plaza, within a configurable period of time (e.g., 1 minute). In order to prevent these unusual occurrences from incorrectly affecting a customer, the following filters shall be applied to all transactions being posted to NYCSC accounts. • Filter 1: No transaction (excluding toll evasion transactions covered by Filter 2 below) shall be posted to an account which already contains another transaction with the same tag number in the same direction, at the same toll plaza, within a configurable period of time, e.g.,1 minute. • Filter 2: No toll evasion transaction (for which the evader is identified as a NYCSC customer) shall be posted to an account which already contains another transaction from the same account in the same direction, at the same toll plaza, within a configurable period of time, e.g., 1 minute. Transactions that are not posted as a result of these two filters shall be stored and the result forwarded to the Transaction Reconciliation process (Section 2.4.3.2.3.10). NYSTA postpaid commercial account transactions The Contractor shall provide special handling of transactions for NYSTA commercial accounts. A NYSTA commercial account is a postpaid account that is locally billed by NYSTA and is not billed by the Contractor. The Contractor does however keep a mirror account for each of these accounts to maintain statistical and traffic accounting. In general transactions on these accounts are not billed to the account owner. For the various cases specified below, the Contractor is to provide the special handling of transactions to these accounts as designated. In general, transactions are posted without account payment due and in some cases are sent back to NYSTA for further processing. • • • NYSTA commercial accounts on the NYCSC database are flagged as being commercial accounts and include a separate commercial account postpaid system (CAPS) account number. NYCSC will provide the CAPS account number associated with every tag that is associated with the commercial account in the tag status file. Normal transactions posted to a commercial account are simply posted without any payment due. 2-149 • • Unmatched ticket transactions that exceed the holding period and are therefore subject to the maximum toll table are sent back to NYSTA in a Commercial Transaction File in addition to being posted to the mirror account without any payment due. Toll Evasion transactions, where it was determined through the license plate that it is a commercial account owner, are sent back to NYSTA in a file. Again these are posted to the mirror account without any payment due. 2-150 2.4.3.2.3.4 Toll Evasion Processing Toll evasion is also covered in the following sections: • • • Section 2.3.4.9 covers the customer service requirements relative to toll evasion. Section 2.3.6.7 presents the data processing requirements for toll evasion. Section 2.4.3.1.7 presents the software requirements for toll evasion. This section presents the transaction processing requirements in context with the other data processing tasks. Table 2-21 summarizes the toll evasion sub-process. TABLE 2-21 TOLL EVASION SUMMARY Purpose of the Process: 1. Attempt to identify the violator, either as an E-ZPass customer or as noncustomer toll evader 2. Pursue toll evaders with notices, fees, etc. Participating Agencies: NYSTA and PANYNJ Inputs to the sub process: Toll transactions for NYCSC that come from the following other subprocesses: 1. Transaction Preprocessing (Section 2.4.3.2.3.2) • Transactions with invalid IAG tag, excluding Category 4 or Category 5 transactions or transactions with no tag read. (Data path Cat 2) 2. Account Posting (Section 2.4.3.2.3.3) • Transactions from the Posting Process which are un-postable. (Data path D) Outputs from the subprocess: The following are the possible outcomes of the attempted toll evasion processing: 1. Successful identification of an NYCSC customer and forwarding to the Account Posting sub-process. (Data path E) (Section 2.4.3.2.3.3) 2. Successful identification of a non-NYCSC customer and forwarding to the IAG Processing sub-process. (Data path F) (Section 2.4.3.2.3.6) 3. Resolution of the Toll Evasion through collection of the toll and/or fee or other closure (collections, write-off, etc.). Report disposition through Transaction Reconciliation (Data path Q) (Section 2.4.3.2.3.10) 4. Successful identification of a NYSTA toll evasion transaction. Forward transaction to the Unmatched Transaction Handler. (Data path N) (Section 2.4.3.2.3.7) Further interactions with other sub-processes: Toll Calculation (Section 2.4.3.2.3.9) • The Toll Evasion sub-process uses the toll calculation sub-process to determine the appropriate toll amount. (Data path K) 2-151 Business Rules The detailed business rules are presented in Sections 2.3.4.9, 2.3.6.7, and 2.4.3.1.7. 2.4.3.2.3.5 Class Mismatch Processing Class mismatch processing is also covered in the following sections: • • • Section 2.3.4.10 covers the customer service requirements relative to class mismatch. Section 2.3.6.8 presents the data processing requirements for class mismatch. Section 2.4.3.1.8 presents the software requirements for class mismatch. This section presents the transaction processing requirements in context with the other data processing tasks. TABLE 2-22 CLASSIFICATION MISMATCH SUMMARY Purpose of the Process: To attempt to resolve conflicts between the vehicle classification stored in the tag and the vehicle classification determined by inlane sensors or plaza personnel so that the correct toll rate can be determined. Participating Agencies: TBTA and PAN&NJ Inputs to the sub-process: Toll transactions that come from the following other sub-processes: 1. Transaction Preprocessing (Section 2.4.3.2.3.2) a. PANYNJ classification mismatches (from all PANYNJ facilities for all Authorities, including IAG tags). (Data path Cat 4) 2. Account Posting (Section 2.4.3.2.3.3) a. TBTA classification mismatches after posting of the initial toll to the NYCSC account. Non-NYCSC tag mismatches shall not be reviewed. (Data path H) Outputs from the subprocess: 1. Account Posting (Section 2.4.3.2.3.3) a. TBTA mismatches after resolution of the mismatch (image review) (Data path H) b. PANYNJ mismatches for NYCSC tags after image review (Data path C) 2. IAG Processing (Section 2.4.3.2.3.6) a. PANYNJ mismatches for IAG tags after image review (Data path B) 2-152 Business Rules The detailed business rules are presented in Sections 2.3.4.10, 2.3.6.8, and 2.4.3.1.8. 2-153 2.4.3.2.3.6 IAG Processing IAG processing involves preparing transactions for transfer to other CSCs, as required to support inter-CSC reciprocity (see Section 2.3.6.5). Table 2-23 summarizes this subprocess. TABLE 2-23 IAG PROCESSING SUMMARY Purpose of the Process: To prepare toll transactions for non-NYCSC customers for transmission to the applicable CSC. Participating Agencies: These transactions can occur on all NYCSC facilities and can involve customers from any of the participating IAG CSC’s. Inputs to the subprocess: Toll transactions for non-NYCSC customers that come from the following other subprocesses: 1. Transaction Preprocessing (Section 2.4.3.2.3.2) • Normal valid tag reads (without PA mismatches or unmatched NYSTA) for non-NYCSC customers. (Data path Cat 3) 2. Mismatch Processing (Section 2.4.3.2.3.5) • After resolution of PANYNJ mismatches for non-NYCSC customers. (Data path B) 3. Unmatched Handler (Section 2.4.3.2.3.7) • After matching of NYSTA exit transaction for non-NYCSC customers. (Data path M) 4. Toll Evasion Process (Section 2.4.3.2.3.4) • After identification of a non-NYCSC customer from a toll evasion transaction. (Data path F) Outputs from the subprocess: 1. The transaction shall be forwarded to the appropriate CSC. (Data path G) Further interactions with other sub-processes: Toll Calculation (Section 2.4.3.2.3.9) • The IAG Processing sub-process uses the toll calculation sub-process to determine the appropriate toll amount. (Data path P) Processing Steps This subprocess shall have two steps: 1. Determine the appropriate toll for the reciprocity transaction. 2. Forward the transaction to the appropriate CSC. IAG processing shall conform to all requirements as specified in Appendix L, IAG Documents. 2-154 2.4.3.2.3.7 Unmatched Transaction Handler A portion of NYSTA’s roadway is a controlled access system, where the toll is based on the distance traveled. Both entry and exit transactions are required in order to calculate the toll. The entry transaction includes only information about the entry location. Typically, the exit transaction includes both the entry information (derived from the tag) and the exit data. In this case, the Contractor matches it with the corresponding entry transaction and discards that entry transaction. The “completed” exit transaction can then be posted against the customer’s account (subject to other filters, etc.). Exit transactions without valid entry data and entry transactions without complete exit transaction shall be placed into an unmatched transaction handler. Table 2-24 summarizes this sub-process. TABLE 2-24 UNMATCHED TRANSACTION HANDLING SUMMARY Purpose of the Process: To match NYSTA entry and exit transactions for the same trip on the controlled access section of the Thruway so that the transactions can be processed further. Participating Agencies: NYSTA Inputs to the subprocess: Toll transactions for NYSTA that come from the following other subprocesses: 1. Transaction Preprocessing (Section 2.4.3.2.3.2) • NYSTA entry and exit transactions that have not been matched to a corresponding exit or entry (respectively). (Data path Cat 5) 2. Toll Evasion Process (Section 2.4.3.2.3.4) • After identification of a customer from a NYSTA toll evasion transaction. (Data path N) Outputs from the subprocess: The following are the possible outcomes of the unmatched transaction handling process: 1. Successful matching of an entry to an exit and forwarding of the matched transaction to Account Posting (NYCSC customers). (Data path J) (Section 2.4.3.2.3.3) 2. Successful matching of an entry to an exit and forwarding of the matched transaction to IAG Processing (non-NYCSC customers). (Data path M) (Section 2.4.3.2.3.4.6) 3. Unsuccessful matching of an entry transaction to an exit after a configurable period of time (non-NYCSC customer). Transaction is sent to Transaction Reconciliation for reporting back to NYSTA. (Data path O) (Section 2.4.3.2.3.10) 4. Unsuccessful matching of an exit transaction to an entry after a configurable period of time (NYCSC customer). The transaction is then sent to Account Posting as a “Max Toll” transaction. (Data path J) (Section 2.4.3.2.3.3) 2-155 Unmatched Handler Business Rules Figure 2-5 presents a flowchart for the Unmatched Handler. The processing steps are described below. The unmatched handler shall routinely attempt to match incomplete exit transactions with the appropriate entry transaction in order to generate a complete transaction for account posting or reciprocity processing. Violation images in exit lanes that turn out to be customers (where the license plate number matches a record in the customer database) are also incomplete exit transactions that are placed into the unmatched handler which the Contractor shall check to see if a corresponding entry transaction exists. If after 30 days an entry transaction remains unmatched, it is discarded without posting. The result is reported to NYSTA through the Transaction Reconciliation process (Section 2.4.3.2.3.10). If an unmatched exit transaction exists after a configurable period of time (e.g., 7 days), the Contractor sends the transaction to the Account Posting sub-process (NYCSC accounts) or the IAG sub-process (non-NYCSC accounts). These transactions shall be marked “Maximum Toll” and assigned the maximum toll possible for the exit plaza. Special Handling of NYSTA Commercial Accounts NYSTA postpaid commercial accounts are billed separately by NYSTA and apply only to NYSTA facilities. The following rules shall apply to transactions for postpaid commercial accounts: Matched Transactions for Commercial Accounts When the Unmatched Handler matches an entry/exit pair of transactions and forwards the resulting “completed” transaction to Account Posting, the transaction will be posted as normal but without any payment due. In addition, the Contractor shall forward a copy of the transaction to NYSTA for billing. Unmatched Exits for Commercial Accounts When an exit transaction for a commercial customer “times out”, the resulting Maximum Toll transaction shall be sent to Account Posting without any payment due. In addition, the Contractor shall forward a copy of the transaction to NYSTA for billing. 2-156 Figure 2-5. Unmatched Handler Flowchart Unmatched Entry TXNs Look for matching EXIT TXN with 24 hours (a?er) the entry transaction dateltime. Yes?Y5 No Yes Unmatched Exit TXNS Look for match'ng ENTRY TXN with 24 hours (prior to) the exit transaction date/time. No No To IAG Process'ng with normal toll rate Is this a No commercral To account? Yes To Account Posting with 1 normal toll rate 7 Send copy of tmsaction to Discard the NYSTA tor unmatched entry separate billing. transaction To Account Posting Note: and are con?gurable parameters Yes IAG Processing with maximum toll rate Yes No Send copy of transaction to NYSTA for separate billing. To Account Posting with maximum toll rate To Account Posting 2?157 2.4.3.2.3.8 Infraction Processing Infraction processing is also covered in the following sections: • • • Section 2.3.4.11 covers the customer service requirements relative to infraction processing. Section 2.3.6.9 presents the data processing requirements for infraction processing. Section 2.4.3.1.9 presents the software requirements for infraction processing. This section presents the infraction processing requirements in context with the other data processing tasks. Table 2-25 summarizes this sub-process. TABLE 2-25 INFRACTION PROCESSING SUMMARY Purpose of the Process: To apply various business rules related to nonconformance with the terms and conditions of the E-ZPass customer agreement. Participating Agencies: All NYCSC Authorities Inputs to the subprocess: All NYCSC accounts, as toll transactions and toll evasion transactions are posted. 1. Account Posting • As each toll transaction is posted, the account shall be examined for infractions. (Data path A) (Section 2.4.3.2.3.3) Outputs from the subprocess: The following are the possible outcomes of the posting of a toll transaction: 1. Various activities, including notices, fees, suspensions, etc. Business Rules The detailed business rules are presented in Sections 2.3.4.11, 2.3.6.9, and 2.4.3.1.9. 2-158 2.4.3.2.3.9 Toll Calculation Toll Calculation is the sub-process that determines the appropriate dollar amount for the transaction. Table 2-26 summarizes this sub-process. TABLE 2-26 TOLL CALCULATION SUMMARY Purpose of the Process: To calculate the toll amount for various different toll transactions prior to account posting or transfer to another CSC. Participating Agencies: These transactions can occur on all NYCSC facilities and can involve customers from any of the participating IAG CSC’s. Inputs to the subprocess: Transactions that are ready for posting to an NYCSC account or transmission to another CSC. 1. Account Posting (Section 2.4.3.2.3.3) • Transaction ready for posting to an NYCSC account. (Data path L) 2. Toll Evasion (Section 2.4.3.2.3.4) • Toll Evasion transactions ready for posting to an NYCSC account. (Data path K) 3. IAG Processing (Section 2.4.3.2.3.6) • IAG transactions ready for transfer to another CSC. (Data path P) Outputs from the subprocess: 1. The Toll Calculation sub-process shall determine the appropriate toll and then send it back to the sub-process that requested the amount. (Data paths L, K, and P depending on requesting sub-process) Business Rules The system shall compute a toll for each transaction prior to account posting. The system shall allow the toll calculation to be based on many factors, including: • • • • • • • • • • • Facility Lane Lane Type Day of Week Holidays Time of Day, in 15-minute increments Vehicle Class Discount Plan Account Type (Individual, Business, Commercial, Non-Revenue) Previous account history (number of trips per period of time) Vehicle Occupancy 2-159 Each Authority has specific business rules that determine which class to use, how to react when a table does not have a toll entry, what default to use if other rules fail to produce a toll, etc. In effect, each Authority has an “algorithm” designating how to compute the tolls given the above information from the transaction and from the tag account information. These algorithms can vary widely for different Authorities; for example, barrier systems differ significantly from ticket systems. The Contractor is expected to implement each Authority's specific business rules. The system shall allow for the periodic alteration of toll structures. The most frequent change is the alteration of toll amounts in the various tables shown in Appendix Y. The system shall be flexible enough to make these changes easily. In addition, business rules and plans may be modified from time to time. In particular, new plans may need to be added. The system shall be flexible enough to accommodate new plans and business rules that are similar to existing plans and rules. 2-160 2.4.3.2.3.10 Transaction Reconciliation Transaction reconciliation is the process whereby the NYCSC provides each Authority the status of each transaction that the Authority has transmitted to the NYCSC for processing. The NYCSC accomplishes this by creating a file that is transmitted to each Authority. Each record in the file references a single transaction the Authority sent to the NYCSC and contains an Authority-specific code. For each of the Authorities, the code returned indicates the final and/or interim disposition of the transaction (see Appendix S). In addition to the code, each record also indicates the actual amount posted to the customer account (if such was the disposition). Each individual Authority may have other requirements for the file as well. Table 2-27 summarizes the transaction reconciliation sub-process. TABLE 2-27 TRANSACTION RECONCILIATION SUMMARY Purpose of the Process: To provide reconciliation information about transactions to each NYCSC and other CSCs. Participating Agencies: These transactions can occur on all NYCSC facilities and can involve customers from any of the participating IAG CSC’s. Inputs to the subprocess: Transactions that come from: 1. Account Posting (Section 2.4.3.2.3.3) • Transaction that have been successfully posted to NYCSC accounts. (Data path Q). 2. Unmatched Handler (Section 2.4.3.2.3.7) • Unmatched NYSTA entry transactions. (Data path O) 3. Toll Evasion (Section 2.4.3.2.3.4) • Toll Evasion transactions that are completely processed. (Data path Q) 4. Integrity Checking (Section 2.4.3.2.3.1) • Transactions rejected for data integrity problems. (Data path R) Outputs from the subprocess: 1. Reconciliation to the NYCSC Authorities. (Data path I) 2. Reconciliation to other CSCs (Data path FF) Business Rules The requirements for the transaction reconciliation files can be found in Section 2.3.6.6 and the detailed layouts for these files can be found in Appendix S. 2-161 2.4.4 Telecommunication Requirements The sections below present the system telecommunications requirements. 2.4.4.1 Physical Connections Proposer Instructions: Proposers shall describe in detail how they propose to connect their system to each of the Authority’s network (see Appendix S). They shall also provide line bandwidth calculations to support their proposed communication line capacities. The Contractor shall establish connections between the system and each of the Authority’s networks. The exact details of these connections will be determined after Notice to Proceed; however the following are minimum requirements: • The Contractor shall determine the appropriate data communication line speeds that will support each of the Authority’s requirements, using Appendix A and the other functional and customer service requirements of this SOW. • For TBTA and PANYNJ, each of the Contractor’s redundant toll data processing centers shall connect to the Authority’s networks via dedicated communications lines, at two locations each: o TBTA: 2 Broadway, New York City and Randall’s Island, NYC o PANYNJ: Staten Island, NYC and Jersey City, NJ • For NYSTA, each of the Contractor’s redundant toll data processing centers shall connect to the Authority’s networks via a single dedicated communications line, at one of the following locations: o Tarrytown, NY, Albany, NY, Syracuse, NY, or Buffalo, NY • Each of the primary communications lines described above shall be backed-up by another communications line. Where available, the back-up line shall be supplied by an alternative telecommunications provider. • The Contractor shall establish secure connections so that any one Authority’s data communications are restricted from being accessed or viewed by another Authority or Agency. This is not meant to limit the Authorities’ ability to view each other’s customer data. As a guide, the current communications links are: TBTA: Primary: Fractional T3 lines Secondary: Full T1 lines PANYNJ: Primary: Full T1 lines Secondary: Full T1 lines NYSTA: Primary: Full T1 line Secondary: ISDN BRI line 2-162 In addition to the connections to the toll data processing centers, the Contractor shall establish communication links with each of the E-ZPass Plus facilities. These lines shall be sized by the Contractor in order to meet the requirements of this Statement of Work. Currently, the E-ZPass Plus facilities are connected to the NYCSC with the following lines: JFK International Airport: Newark-Liberty International Airport: LaGuardia Airport: Albany International Airport: Full T-1 line Full T-1 line Full T-1 line ISDN line The Contractor shall provide and manage all communication lines and include all associated costs in one or more of the pricing categories described in Section 4.2. In addition, all equipment required to connect to each line on the Contractor’s end shall be provided and maintained by the Contractor. The requirements for connection to the other IAG CSC’s are presented in the InterCustomer Service Center Interface File Specification, which is in Appendix L. 2.4.4.2 File Transmission - CSC To/From Host Computers Proposer Instructions: Proposers are referred to Appendix A for data on activity levels for purposes of sizing systems to handle expected file transmissions. In addition, Proposers shall detail how they would plan to handle backlogs of files (e.g. receiving more than one day’s files on a given day due to previous failure in communications). File transmissions between the Authorities and the Contractor are critical to the daily operation of the system. As such, strict processing procedures shall be developed to ensure uninterrupted service. For NYSTA and PANYNJ, the Contractor shall transmit toll-related files to and receive files from a single location. For TBTA, the Contractor shall transmit toll-related files to and receive files from each of ten individual toll plazas and TBTA headquarters. For E-ZPass Plus facilities, the Contractor shall transmit transaction files to and receive files from a single location. All transmissions shall be via secure FTP file transfer protocol to predefined directories on the various systems. The Contractor will be supplied with appropriate FTP user ID/password information which grants them access to the predefined directories. The file formats for each of the required toll data files are contained in Appendix S. The file formats for E-ZPass Plus data files are contained in Appendix L (Facility Operators Interface File Specification). 2-163 2.4.4.3 File Transmission – To/From Other CSC’s Proposer Instructions: Proposers are referred to Appendix A for data on activity levels for purposes of sizing systems to handle expected file transmissions. In addition, Proposers shall detail how they would plan to handle backlogs of files (e.g. receiving more than one day’s files on a given day due to previous failure in communications). The detailed requirements for all file transfers to and from other IAG CSC’s are contained in Appendix L (Inter-CSC Interface File Specifications): The Contractor shall implement all of the files described in the specification, including the tag status file, all files for toll and non-toll transactions, all reconciliation files, all correction files, the license plate file, the invalid tag customer file, and the acknowledgement file. All transmissions to and from other CSC’s shall be via secure FTP file transfer protocol to predefined directories on the various systems. 2.4.5 System Administration Functions Section 2.3.3.1 presents the system administration requirements that the Contractor shall meet. The Contractor’s system shall contain all functions and features to fully support the requirements of that section, including: • • • • • • • 2.4.6 Diagnostic hardware and software tools to monitor and assess system performance and detect failures. Software tools for tracking and documenting the system configuration, including all hardware, software, parameters, initialization files, macros, scripts, etc. Hardware and software necessary to implement control, monitoring, and logging of access to the system. Hardware and software necessary to perform back-up and restore functions. Software and hardware necessary to perform testing to validate functionality and performance of all changes to the system (regression testing). Hardware and software to store and protect all data for the periods of time specified in Appendix G. Hardware and software necessary to retrieve all data from archive. Remote Access Functions The Contractor shall grant access to the system to authorized Authority personnel as designated by the Authorities via the same network connections described in Section 2.4.4.1. The details of this access shall be as follows: • Authority access shall be “browser-based”, using Authority-owned personal computers. No client application shall be required. The system software shall support all of the following internet browser applications: 2-164 o Microsoft Internet Explorer, Version 5.5 or higher; o Netscape, Version 6.2 or higher; o Apple Safari, Version 1.2 or higher ; and o Mozilla Firefox, Version 1.0 or higher • Authority personnel shall be issued a username and password in order to gain access to the system. The Contractor shall require the user to change the password used to gain access to the system on initial sign on. • In general, Authority personnel shall be able to perform all functions that a CSR can perform, and any other functions described in this Statement of Work. This shall include viewing data, performing inquiries, generating reports, and printing reports to local Authority printers. • Authority access shall be given no less priority than Contractor users are given, i.e. the system should respond to Authority personnel with the same speed as it does for Contractor personnel (except for any latency due to the network connection). The system shall be able to support the following number of simultaneous users: TBTA: 50 PANYNJ: 25 NYSTA/NYSBA: 30 2-165 4?166 Appendix A Customer Service Center Statistics E-ZPass Tag Statistics Category ActiveTags By Account Type Individual Commercial Business Non-revenue Total Active Tags Active Tags By Tag Type White Blue Yellow Orange License Plate Fusion Total Active Tags Tags Issued Per Month1 Tag Swap Per Year2 Tags Returned Per Month Tags Retained Per Month Tags Retuned Defective Per Month Tags Lost/Stolen Per Month Tag Swap Tags Issued Per Month Tags Returned Per Month3 1 2 3 TBTA 2,763,325 338,583 20,293 3,122,201 2,856,165 136,979 4,835 20,353 101,189 3,119,521 30,317 150,290 N/A 4,480 2,752 NYSTA 1,596,821 329,756 70,247 20,755 2,017,579 PA Total 91,069 12,244 1,003,760 5,260,593 329,756 499,899 53,292 6,143,540 As of February 14, 2005 1,583,335 897,330 318,766 46,799 2,924 3,243 10,737 8,401 94,739 48,468 3,982 2,014,483 1,004,241 5,336,830 502,544 11,002 39,491 244,396 3,982 6,138,245 22,890 118,089 N/A 900,447 8,402 76,600 N/A 1,992 3,156 61,609 344,979 14,907 4,480 7,900 8,177 3,303 2,871 14,351 20,704 16,476 12,389 11,290 12,201 9,473 45,294 37,239 Does not include tag swap Tags swapped from 2/1/04-1/31/05 Does not include returned G3 tags returned as part of the tag swap program and tags undelivered by the post office Bold indicates formula in cel Appendix A Release Version 6/05 Appendix A Customer Service Center Statistics E-ZPass Customer Service Statistics Category TBTA Phone Calls Per Month Handled by VRS* Handled by CSR** Violation Queue Business Queue General Queue E-ZSign-up Queue Average Call Length (minutes) Handled by VRS* Handled by CSR** Talk Time Wrap Time Violation Queue Talk Time Wrap Time Business Queue Talk Time Wrap Time General Queue Talk Time Wrap Time E-Z Sign Up Queue Talk Time Wrap Time Web Statistics Per Month Home Page Hits Total Hits Interactive Account Inquiries Feed Back Form Enrollment TLC Hits Outgoing Mail Per Month Appendix A NYSTA PA Total 464,153 236,598 227,555 30,996 2,369 198,090 1.7 3.3 0.6 3.8 0.6 3.5 0.8 2.9 0.5 6,103 4,423 763 41,423,541 1,586,336 38,038,970 1,760,733 8,744 11,289 17,469 1,352,339 Release Version 6/05 Category TBTA Customer Statements 2 Disk E-Mail Mail Bi-Monthly Monthly Profiles1 Account Profile Vehicle and Tags PIN & Password Credit Card Decline Letter Credit Card Exp. Letter Tag Kits Applications Violation/Infraction Notices Toll Evasion ( Customer) Toll Evasion ( Non-Customer) Speed Enforcement Strips & Bags Speed Appeal Determination Incoming Mail Per Month New Account Applications Payments Violation Payments General Correspondence Multiple Requests Rebill Changes Resident Plans/Stickers Tag Requests Demographic Changes PIN Changes Adjustments Commuter Plan Review Credit Card Disputes Credit Card Authorizations New Credit Cards Close Accounts Subpoena Requests Manual Tolls (paper) Speed Appeal Letters Retained Tags * ** 1 NYSTA 498 207,937 498,914 460,949 37,965 138 173,127 246,745 231,952 14,793 PA Total 92 76,504 178,302 162,628 15,674 1,382,257 728 457,568 923,961 855,529 68,432 51,091 (Profiles only sent w/Tag Kits) 51,091 1,437 26,681 87,782 25,751 46,238 15,793 103,220 26,375 73,513 3,332 4,621 1,275 1,582 15,379 18,797 624 9,542 32,894 44,950 40,160 84,792 51,091 3,310 191,002 52,126 119,751 19,125 12,345 5,896 3,643 51,602 51,691 8,824 - 328 3,596 9,832 7,149 - 5,767 - 150 - 20 3,424 4,593 15 5,616 2,102 10 2,057 366 7,577 6,219 45 11,097 2,468 4,593 VRS - Voice Response System (automated phone call handling) CSR - Customer Service Representative Includes walk-in generated profiles and regenerated profiles Bold indicates formula in cel Appendix A Release Version 6/05 E-ZPass Customer Account Statistics Category TBTA As of February 14, 2005 NYSTA Avg. # of Tags Per Account 1.8 2.0 Individual Accounts Business Accounts 8.7 4.5 99.7 Commercial Accounts 1,587,976 838,071 # of Active Accounts 1,543,823 813,449 Individual Accounts Standard Plans 1,539,451 768,110 Business Plans 38,645 15,353 Commercial Plans 3,307 Discount Plans 208,887 128,680 Tappan Zee Commuter 4,869 31,416 Grand Island Resident 13 10,094 Grand Island Commuter 25 25,929 Tappan Zee Carpool 202 1,068 202 27,081 NYSTA Annual Permit Staten Island Resident 137,984 290 Rockaways Resident 17,835 153 PA SIB Commuter 13,701 212 PANYNJ Carpool 32,603 4,655 1,453 27,782 NYSBA Commuter Non-Revenue Plans 0 5,952 NYNREM 0 4,845 NYNRL 0 1,075 NYNRTH 0 32 Business Accts 38,902 15,353 3,307 Commercial Accts 5,251 5,962 Non-Revenue Accounts # of Accounts Opened Per Month 10,260 8,386 Payment Txns Per Month** 924,937 397,432 Credit Card 862,798 373,940 Cash 29,000 6,185 Check 33,140 17,308 ACH Accts Suspended Per Month 1 2,264 3,115 991 Accounts Closed Per Month Refund Txns Per Month 1,612 995 1,945 874 Accounts Revoked Per Month Accts toCollection Per Month2 1,880 * - Multiple plans may apply to one account ** - Includes new account payments and existing account replenishment payments 1 Suspensions issued 2 PA Includes Violations Bold indicates formula in cel PA Total 2.1 2.1 8.2 440,034 422,860 420,387 10,994 6,178 1,764 316,932 303,178 3,803 9,952 2,866,081 2,780,132 2,727,948 64,992 3,307 407,388 38,374 10,121 26,088 1,422 27,355 150,303 18,346 35,870 69,481 30,028 5,952 4,845 1,075 32 65,251 3,307 17,391 20,410 1,639,301 1,539,916 38,988 60,400 324 1,179 1,184 702 128,443 2,588 5,285 3,791 3,521 130,323 69,821 2,089 14 134 152 72 12,029 358 21,957 32,223 793 0 0 0 0 10,996 Appendix A Release Version 6/05 Appendix A Customer Service Center Statistics Transaction/Image Processing Statistics Category Daily E-ZPass Txns* Unmatched Transactions (Daily) Manual Tolls (file) (Daily Non-Toll Txns (Daily) Albany Airport Kennedy Airport Newark Airport La Guardia Airport Images Per Month to Contractor** Toll Evasion Class Mismatch Name/Address Request to DMV Daily Toll Reciprocity Txns NYCSC Txns to Other CSC's Other CSC Txns to NYCSC Daily Non-toll Reciprocity Txns NYCSC Txns to Other CSC's Other CSC Txns to NYCSC TBTA 517,146 586 5,322 20 2,806 787 1,709 214,949 214,949 N/A 243,791 208,698 35,093 NYSTA 421,971 6,852 59 1,144 280 380 221 263 194,554 194,554 24,123 158,445 122,328 36,117 2,219 PA 235,240 21 1,737 4 450 1,089 194 282,420 194,373 88,047 46,538 354,897 302,451 52,446 NYSBA 42,274 1,027 1,027 Total 1,216,631 6,852 666 8,203 304 3,636 2,097 2,166 691,924 388,927 302,997 70,661 758,160 633,477 124,683 2,219 * - Total Vehicles Processed in Lane, excluding entry for NYSTA ticketed section ** Images include toll evasion and class mismatch image Bold indicates formula in cel Appendix A Release Version Walk-In Statistics E-ZPass Walk-in Statistics Category Staten Island Queens Walk-Ins Per Month 23,098 20,464 New Account Openings1 1,065 1,426 Replenishment Payments 22,191 18,495 Tags Issued 2,001 2,862 Tags Returned 1,039 1,202 Annual Permit Renewals* 0 1 *entire year 1 New Account openings for Upstate stores include NY12 and GIC plan Bold indicates formula in cel Yonkers 13,870 987 12,699 1,865 985 2 Spring Valley 6,562 543 5,095 4,018 1,122 90 Albany 2,328 483 805 801 343 900 Syracuse 1,336 510 649 774 321 1,178 Buffalo Grand Island 659 1,685 162 306 408 1,193 249 317 418 111 38 Total 70,002 5,482 61,535 12,887 5,430 2,320 Appendix A Release Version Units Accounts NYSTA TBTA PANYNJ Total Accounts Toll Transactions NYSTA TBTA PANYNJ NYSBA Total Transactions Non-Toll Transactions Albany Airport PANYNJ Airports Total Transactions Toll Evasion Images NYSTA PANYNJ Total Images Notices NYSTA PANYNJ Total Notices Class Mismatch Images PANYNJ TBTA Total Images Notices TBTA PANYNJ Total Notices Speeding Notices NYSTA PANYNJ Total Notices Appendix A 2001 Actual 2002 2003 2004 2005 2006 Projected 2007 2008 2009 2010 2011 2012 2013 2014 2015 626,875 1,433,329 356,918 2,417,122 714,158 1,533,829 380,304 2,628,291 770,374 1,578,456 463,572 2,812,402 832,326 1,582,318 440,792 2,855,436 904,076 1,654,882 449,608 3,008,565 963,160 1,679,126 458,600 3,100,885 1,030,010 1,717,339 467,772 3,215,121 1,095,427 1,765,743 477,127 3,338,297 1,158,394 1,796,971 486,670 3,442,036 1,224,528 1,840,280 496,403 3,561,211 1,288,720 1,880,096 506,331 3,675,148 1,353,271 1,917,365 516,458 3,787,093 1,418,434 1,958,927 526,787 3,904,148 1,482,805 1,997,469 537,323 4,017,597 1,547,662 2,036,885 548,069 4,132,616 126,259,801 174,374,377 74,979,937 10,506,753 386,120,868 136,089,674 180,981,585 80,035,057 13,556,198 410,662,514 143,410,112 183,890,945 81,586,453 14,175,726 423,063,236 153,104,758 188,514,019 85,291,022 14,609,983 441,519,782 159,228,948 193,415,383 87,074,920 14,975,233 454,694,485 165,598,106 198,444,183 89,148,243 15,349,613 468,540,146 172,222,031 203,603,732 91,225,628 15,733,354 482,784,744 179,110,912 208,897,429 93,325,867 16,126,688 497,460,896 186,275,348 214,328,762 95,444,627 16,529,855 512,578,592 193,726,362 219,901,310 96,479,403 16,943,101 527,050,176 201,475,417 225,618,744 97,507,623 17,366,679 541,968,462 209,534,433 231,484,832 98,523,067 17,800,846 557,343,178 217,915,811 237,503,437 99,529,635 18,245,867 573,194,749 226,632,443 243,678,527 100,526,517 18,702,013 589,539,500 235,697,741 250,014,168 101,514,734 19,169,564 606,396,207 9,189 9,189 64,136 8,736 72,872 88,386 1,381,794 1,470,180 110,716 3,666,238 3,776,954 134,326 3,705,411 3,839,737 157,083 3,790,885 3,947,968 180,408 3,878,786 4,059,194 203,355 3,969,192 4,172,547 226,554 4,062,180 4,288,734 4,157,833 4,157,833 4,256,235 4,256,235 4,357,473 4,357,473 4461638 4,461,638 4568822 4,568,822 4679122 4,679,122 2,102,950 1,984,930 4,087,880 2,798,995 2,409,055 5,208,050 2,589,865 2,359,380 4,949,245 2,334,650 2,332,473 4,667,123 2,393,016 2,381,258 4,774,274 2,452,842 2,437,957 4,890,799 2,514,163 2,494,768 5,008,931 2,577,017 2,552,204 5,129,221 2,641,442 2,610,146 5,251,588 2,707,478 2,638,444 5,345,922 2,775,165 2,666,563 5,441,728 2,844,544 2,694,333 5,538,877 2,915,658 2,721,860 5,637,518 2,988,549 2,749,122 5,737,671 3,063,263 2,776,147 5,839,410 815,824 1,011,875 1,827,699 974,160 1,414,593 2,388,753 909,433 1,232,085 2,141,518 812,444 1,176,825 1,989,269 832,755 1,201,439 2,034,194 853,574 1,230,046 2,083,620 874,913 1,258,709 2,133,623 896,786 1,287,688 2,184,474 919,206 1,316,922 2,236,128 942,186 1,331,200 2,273,386 965,741 1,345,387 2,311,127 989,884 1,359,398 2,349,282 1,014,631 1,373,286 2,387,917 1,039,997 1,387,041 2,427,038 1,065,997 1,400,676 2,466,673 737,441 2,712,127 3,449,568 791,992 2,344,202 3,136,194 857,891 1,782,732 2,640,623 1,056,567 2,579,393 3,635,960 1,078,666 2,646,457 3,725,123 1,104,349 2,715,265 3,819,615 1,130,084 2,785,862 3,915,946 1,156,101 2,858,294 4,014,395 1,182,348 2,932,610 4,114,958 1,195,166 3,008,858 4,204,024 1,207,904 3,087,088 4,294,992 1,220,483 3,167,353 4,387,835 1,232,952 3,249,704 4,482,656 1,245,301 3,334,196 4,579,497 1,257,543 3,420,885 4,678,428 271,213 73,744 344,957 234,420 79,199 313,619 178,273 85,789 264,062 257,939 105,657 363,596 264,646 107,867 372,512 271,527 110,435 381,961 278,586 113,008 391,595 285,829 115,610 401,440 293,261 118,235 411,496 300,886 119,517 420,402 308,709 120,790 429,499 316,735 122,048 438,784 324,970 123,295 448,266 333,420 124,530 457,950 342,089 125,754 467,843 82,777 80,940 163,717 78,336 37,954 116,290 128,712 35,451 164,163 217,278 40,722 258,000 222,710 30,542 253,251 228,278 31,269 259,546 233,985 31,997 265,982 239,834 32,734 272,568 245,830 33,477 279,307 251,976 33,840 285,816 258,275 34,201 292,476 264,732 34,557 299,289 271,350 34,910 306,260 278,134 35,260 313,394 285,088 35,606 320,694 Release Version APPENDIX OTHER PARTIES INVOLVED Type of Party TBTA NYSTA PANYNJ Tag Manufacturer Mark IV IVHS Mark IV IVHS Mark IV IVHS Systems Integration and TransCore (lane hardware) Not Applicable (N.A.) ACS Maintenance Caseta (lane software) Bank Chase Manhattan Bank of America Chase Manhattan Credit Card Processor(s) (all) Chase Merchant Services (handles Mastercard, Visa directly; sends Discover transactions to Discover for authorization and settlement.) Discover American Express Chase Merchant Services (handles Mastercard, Visa directly; sends Discover transactions to Discover for authorization and settlement.) Discover American Express Chase Merchant Services (handles Mastercard, Visa directly; sends Discover transactions to Discover for authorization and settlement.) Discover American Express with which the Authority has established access/relationship New York New York New Jersey Connecticut Ontario Quebec Other, please specify Outsourcing Solutions, Inc. (081) (negative balance collections) Heritage Environmental Services, LLC (tag disposal) Heritage Environmental Services, LLC (tag disposal) -Allied Interstate, Inc lockbox collections -NY Law Firm collections -NJ Law Firm collections -New York State DMV Look Up Vehicle Registration access. -Heritage Environmental Services, LLC (tag disposal) Appendix Release Version 6-3-05 E-ZPass NY CSC 2.4.10 Succession Plan Appendix C Succession Plan Note to Proposers: The succession plan included in this appendix was submitted by the incumbent contractor in response to Section 2.4.10 of a previous RFP. The numbering of pages, sections, and graphics has been retained from that submission. All other references to proposal sections are based on the prior RFP. Since the PANYNJ was not part of the prior RFP process, only MTA B & T and NYSTA are explicitly noted in the succession plan. Proposers to the current RFP shall interpret “the Authorities” throughout this document to also include the PANYNJ. 2.4.10 Succession Plan ACS realizes the necessity of maintaining CSC operations and high levels of customer satisfaction during transition to a successor. The E-ZPass customer still expects responsive service and the Authorities cannot permit an interruption of revenue flow. ACS will continue contract performance at their current high levels until transition to a successor is complete. Uninterrupted service and superior performance are the goals for our succession approach. Plan Overview Our Preliminary Succession Plan provides the framework and procedures for a successful transition by the Authorities, another contractor, or another organization in the event such a transition becomes necessary, either during the term of the contract or upon its completion. The ACS Preliminary Succession Plan is the counterpart to the successor’s Transition Plan; each must be integrated to ensure no break in services. Joint planning and coordination between ACS and the successor are essential to the success of the transition. Should a successor be unable to achieve the required transition schedule, the ACS Contingency Plan (Proposal Section 2.6.11) will ensure continued service from ACS. In designing this plan, ACS incorporated lessons learned we acquired in taking over other operations similar to the E-ZPass NY CSC. We are confident that our partnership with the Authorities will 2.4.10-1 Release Version 6/05 E-ZPass NY CSC ensure the continuation of service without interruption. 2.4.10 Succession Plan Except as noted in Proposal Part 4, Exception to Business Terms and Conditions, this plan is based upon the assumption that all assets are owned by the New York State Thruway Authority (NYSTA) and the Metropolitan Transportation Authority, Bridges and Tunnels (MTA B&T), including equipment, system hardware, contractor developed operating software and programs, and third party software. Section 2.4.10.5 addresses the succession requirement should ACS own the assets. ACS is aware that termination could be by one or both Authorities simultaneously, incrementally, or individually. This plan will support any termination arrangement; however, under a single Authority termination the scenarios discussed below require application of the unique differences identified. • Scenario 1 – One Authority terminates the contract or the contract expires and the Authority accomplishes CSC operations in-house with another contractor. − ACS will provide the Authority with software, documentation, and assistance in transferring data and accomplishing training. − The Authorities will be required to negotiate the split of the assets of the consolidated CSC, i.e., computers, communications equipment, furniture, etc. ACS will continue to provide support to the remaining Authority. • Scenario 2 – One Authority terminates the contract or the contract expires and shifts processing to another agency provided CSC. − ACS will assist in transferring account data. − ACS will assist in the redirection of telephone calls and mail. − ACS will transfer all reciprocity to the new CSC. 2.4.10-2 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan − ACS will hold software and associated documentation in escrow for three years in the event the Authority may subsequently decide to operate the CSC in-house or with another vendor. − The Authorities will be required to negotiate the split of the assets of the consolidated CSC, i.e., computers, communications equipment, furniture, etc. ACS will continue to provide support to the remaining Authority. Objective/Goals Our objective through the Succession Plan is to accomplish transition of the Customer Service Operations Program in a seamless manner that ensures continuing service. The goal of the transition is to achieve full performance, meeting contract performance standards through the last day of service and ensure that the successor has been provided with the equipment, software, and other cooperative assistance necessary to continue uninterrupted service in the same manner. Organization/Staffing To ensure continuity of services during the transition to a successor, ACS CSC staff will continue to perform assigned duties to ensure contractually required services. ACS will keep employees informed to ensure that workforce disruptions are minimized during the transition phase to the successor. For example, ACS will conduct early meetings with all employees once a decision to transition to a successor has been announced. These early meetings will cover the succession plan and the individual employee responsibilities. ACS is committed to a successful transition outcome not only for the successor organization but also for the future welfare of the existing workforce. A separate transition organization will be formed under the Program Manager to accomplish required transition to a successor. Using a separate organization will relieve the CSC Program Manager from the myriad of succession tasks and permit concentration on continuing full performance CSC 2.4.10-3 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan activities without interruption during the succession. The succession transition team organization is depicted in Exhibit 2.4.10-1. ACS will activate the transition team upon notification by the Authorities of a pending termination of contract services. The ACS team will be composed of technical, operational, and management experts and will be supplemented from ACS headquarters staff, the System Development Center, the Data Center, and field personnel from other ACS operations similar to the E-ZPass New York CSC Operations Program. The team will be adequately staffed to accomplish the required succession tasks and will have specialized orientation training for the unique aspects of the succession requirement. The team will include the following positions and functional areas: E?ZPass NY CSC 2.4.10 Succession Plan TRANSITICDN TEAM ORGANIZATION Program Manager Tmioon' Tm Hunter Dan Procasin? Human Documentation RamSn?? Specialists awe ?32? We?" team Exhibit 2.4. tool. The Transition Team has the skills and knowledge that ensure a successful tmnsition to a successor. 0 Transition Team Manager The Transition Team Manager serves as a single point of contact to coordinate all ACS transition services, to ensure timely response to NYSTA, MTA or successor organization requests, and to provide additional support to the CSC Operations Program Manager. 2.4.10-4 Release Version 6/05 E-ZPass NY CSC • 2.4.10 Succession Plan Human Resources – Human Resources Specialists will assist in staff transition, interface with the successor organization to schedule interviews, ease existing employee outplacement, and ensure that the ACS staff remains committed to the program throughout the process. • Documentation Management – Documentation Specialists will audit, verify, and update all system specifications, operating procedures, manuals, drawings, and other project documentation to ensure complete turnover of the most current contractually required material. • Customer Operations Management – Operations Specialists will assist in system transition, operations training, walk-throughs with the successor operations staff, and other transition tasks. Management Specialists will ensure that day-to-day operations continue to meet performance standards, provide operations orientation training, and see that transition of operations responsibility occurs smoothly. The end result of the Customer Operations Management work is a well trained knowledgeable staff in the policy, procedures, and forms of the program. Since the customer will not be able to notice any differences during the transition, only those customers who are directly affected by any changes that might occur in the policies, procedures, and forms will need to be notified. • Data Processing – Data processing systems analysts will conduct systems orientation, provide system documentation, and accomplish other system related activities. • Administrative and Legal Support Staff – Professional personnel and staff will manage the transfer or disposition of all contract property, leases, maintenance agreements, licenses, equipment, supplies, subcontracts, and similar issues. • Training – As discussed in the Training Plan, Section 2.4.3, ACS provides annual system training to the Authorities staff. During the transition, ACS Training Specialists and subject matter experts will be available to provide supplemental training to the Authorities’ staff, as required. Should additional specialized training be required for the staff of a successor contractor, ACS will negotiate costs with the Authorities. 2.4.10-5 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan Functional Activities The CSC Operations Program Succession Plan approach ensures a trouble-free continuation of services. Succession activities are organized and focused to provide the most efficient transfer possible. Each transition activity is part of a series of events that is structured to control the transfer of a major responsibility or function. The aggregate of these functions represents the entire scope of the CSC Operations Program accomplished by ACS. In the remainder of this section, we brie?y describe the nature of these standard succession activities, as shown in Exhibit 2.4.10-2. STANDARD SUCCESSION ACTIVITIES Contract Succeodon Swport Exhibit 2.4. 0-2. The planned succession activities are logically organized and completed. 0 Contract Succession Support During the performance of the CSC Operations contract, ACS will provide standard performance data, activity reports, and recurring transaction 2.4.10-6 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan reports that will assist NYSTA and MTA B&T in maintaining program visibility and in making contract succession decisions. • RFP Support – In the event that the NYSTA and MTA B&T determine that a continuation of the CSC Operations Program should be through a recompetition, ACS will provide data in the latest approved version to be incorporated into a Request for Proposal (RFP). Types of data supplied will include a description of the system architecture, system workloads, equipment and software configurations, applications program summaries, system sizing data, customer service functional descriptions, communications requirements, and similar information available from existing documentation. • Functional Decomposition – If desired, assistance will be provided to NYSTA and MTA B&T in the logical division and analysis of operations to define the major operational groupings and responsibilities that should be addressed as entities in the succession planning process. • Walk-Throughs – After the successor organization has been selected, ACS will conduct a functional walk-through of each operation that will be treated as an operational entity during the transition process. • Detailed Functional Analysis – If desired, ACS will support the successor organization during an in-depth review of the existing process. The purpose of this analysis is to allow the successor to understand the intricacies of the ongoing process before the detailed planning for succession and the assumption of final responsibility occur. • Develop Turnover Plan – ACS will, in conjunction with the successor and the Authorities, prepare a detailed turnover plan for each function that will identify all specific actions required, assign responsibilities, publish planned event schedules, enumerate the required staffing, specify training to be provided to the staff of the new organization, define the progress reports to be submitted, establish the quality assurance activities to be performed, and specify what are the specific acceptance criteria that, when met, will be recognized as successful completion of the transition by the successor. 2.4.10-7 Release Version 6/05 E-ZPass NY CSC • 2.4.10 Succession Plan Management Oversight – During the entire succession process and particularly in the conduct of the transition, ACS company level management, in addition to the ACS Program Manager and the Transition Team Manager, will be continually reviewing transition planning, execution, and results. Weekly meeting will be scheduled with NYSTA, MTA B&T, and successor organization representatives during the succession/transition process and daily meetings, if required, as the turnover date approaches. During the performance of the CSC Operations Program contract, ACS will meet at least once a year with NYSTA and MTA B&T to discuss recommendations for changes in the content, scope and provisions within this Succession Plan to ensure it will fully meet the current requirements of succession. • Succession Plan Implementation – In this activity, the detailed succession plan for the function is implemented as agreed. The succession plan is the controlling vehicle to keep the transition process fully coordinated and on target. • Acceptance – The acceptance activity is a formal verification process with a specification of preagreed criterion that define the succession steps for all functions that must be accomplished and the method of measuring completion and acceptance. The successor acknowledges the completion of the transition and upon concurrence by the Authorities, ACS is relieved from management of the CSC Operations Program. • Completion Report – The final activity is the preparation of an after-action report that documents the succession process and identifies lessons learned that may be applied to subsequent succession activity. Methodology ACS designed the succession plan to continue all service requirements and the high levels of performance required by the CSC Operations Program while devoting a greater-than-normal amount of attention to minimizing the risk of failure. To ensure that CSC services are not interrupted, the 2.4.10-8 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan transition is organized so that is invisible to the user community; day-to-day activities are not visibly affected. Our methodology to provide a smooth, transparent successor transition is based on our experience in initial transition to the program and current knowledge of the on-going efforts and requirements. Our methodology and succession strategy is reinforced by the following: • ACS activities during initial start-up transition are well documented and carefully managed, thus giving a road map for transition to a successor. • Ongoing operations include change and problem management procedures, configuration management, and current documentation. • Performance of the system prior to transition is monitored regularly and includes an ongoing capacity management program. • NYSTA and MTA B&T technical and management personnel are fully involved in all program phases, including the system operation before, during, and after the transition. NYSTA and MTA B&T will have final approval of the incoming successor’s transition plan and the ACS Successor Plan. • Data and system files are maintained on a current basis, with adequate backups scheduled on a routine basis. • The communications network is designed with sufficient redundancy to support any parallel operations deemed appropriate during succession and to ensure that the necessary throughput requirements are met. • Work in progress is identified and tracked. • Approved in-process system changes are tracked and development status documented. 2.4.10-9 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan Exhibit 2.4.10-3 graphs the predicted level of effort that our transition team will devote to transition tasks. The Transition Team Manager will report to the Program Manager, but will focus solely on transition issues, thereby permitting the ongoing project staff to continue to fulfill their day-to-day responsibilities. The level of transition effort grows as the program nears conclusion. E-ZPass NY CSC 2.4.10 Succession Plan TRANSITION RESOURCES LEVEL OF EFFORT Exhibit 2.4. will assign additional staff to supplement and assist ongoing contract staff resources to achieve successor transition. The objective of the succession plan is to offer an efficient, non-disruptive, and cost effective transition of Customer Service Center Operations from AC3 to NYSTA, MTA or other successor. The ACS assumptions used in the development of our methodology and the Succession Plan include the following: 0 Establishment of a Transition Period A negotiated transition period will be established among ACS, NYSTA, MTA and the successor. The successor Transition Plan will provide a detailed schedule and be coordinated with AC8 to maintain compatibility with the Succession Plan. 0 Licenses and Agreements ACS will provide licenses and agreements in accordance with the contract required transfer. ACS will also perform periodic and remedial maintenance on the software for a fee, as negotiated with the Authorities. 2.4.10-10 Release Version 6/05 E-ZPass NY CSC • 2.4.10 Succession Plan Personnel – ACS will facilitate the interviewing of available personnel for employment with the successor. ACS will provide NYSTA, MTA B&T, or successor organization, with job descriptions, skill level information, operational hierarchy information, job hiring prerequisites, and qualifications. • Training – As part of the overall training of the successor's organization, it is imperative that all manuals, procedures, documentation and source code be provided to the appropriate personnel. It is anticipated that the NYSTA, MTA B&T, or successor will provide individuals with the appropriate skills in the areas in which they are to be trained. ACS will provide on-site, hands-on training to ensure a successful transition. This would include operations, technical, clerical, and managerial tasks. • Hardware and Communications Environment – ACS engineers will work closely with NYSTA and MTA B&T technical staff to provide needed data on issues such as equipment capacity and network traffic to allow the successor organization to reconfigure the computer facilities and redesign the network. ACS will also contribute to the project plan to relocate all equipment. ACS appreciates the need for a cost-efficient transition and, at this juncture advocates relocating the host processing and communications environment to Authorities’ facilities. This would place all of the fixed assets and equipment owned by NYSTA and MTA B&T on their own premises, yet would allow the appropriate ACS personnel access to continue processing support. By the relocation of the existing equipment, the need for a parallel computer system is eliminated and transition costs are kept to a minimum. Prior to any movement of equipment, parallel, passive communication links would have to be installed and tested. Any other interfaces that existed between the ACS Tarrytown Data Center and the CSC Processing Center on Staten Island would have to be transitioned as well. Once all equipment is relocated and the communications network reestablished, ACS personnel could begin a non-disruptive phase out according to the plan. 2.4.10-11 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan Controls During the transition period CSC Operations will continue under the direction of the Program Manager using the management principles, methodology, and controls discussed in the Program Management Plan, Section 2.4.1. Controls for the transition will in part use the standard management controls implemented by the Program Management Plan but will address the specialized activities directly related to the transition. The basic control tools for transition are the Succession Plan procedures and the joint transition schedule developed in coordination with NYSTA, MTA B&T, and the successor. Performance measurement will entail measurement of progress to the tasks outlined in the Succession Plan and to the resulting schedule. The ACS Transition Manager will exercise controls on the progress of the transition to schedule and cost through informational reporting and formal reviews. These include: • Formalized transition and integrated schedules with the Authorities and the successor organization • Engineering plans, specifications, and installation drawings for equipment relocation • Formalized test and acceptance plans for relocated equipment and services • Formalized turnover plan and acceptance criteria • Internal daily, weekly, and monthly progress reviews • Formal progress reviews with the Authorities • Interface meetings with the successor organization management. Schedules ACS will provide a master transition schedule developed in coordination with the Authorities and the successor. The schedule becomes the key driver in subsequent actions and task assignments. The transition activities to be accomplished are identical in any scenario but are schedule driven. ACS’ service and systems transition can be scheduled to meet any period of time selected by the Authorities. The driving factor will be the successor’s capability to transition. The longer the 2.4.10-12 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan schedule the less risk involved for the Authorities in maintaining the quality of services. The resulting schedule will be developed based upon transition criteria provided by the Authorities. In the event of a succession at the end of the contract, after which NYSTA and MTA B&T either assumes responsibility for operations itself or awards a contract to another organization, ACS recommends that this decision be made optimally while 10 months remain on the ACS contract. This will allow ample time for the NYSTA and MTA B&T to negotiate a new contract, and it will enable systems turnover and parallel testing while the current ACS contract is still in force. It also provides additional time should the new organization not implement the system on time or initially fail to pass the parallel operations tests. Should transition be delayed, Contingency Plan procedures will be implemented. Deliverables During the transition, ACS will deliver to the successor all CSC Operation Program contractually required items, items identified in the Succession Plan, and specifically identified items as indicated in the above discussions. RFP Requirement The Contractor shall provide a Succession Plan, the purpose of which is to provide for continued operations in the event that the agreement is not renewed or is terminated for convenience, or that the Contractor is declared in breach of contract. The Authorities require that operations continue without interruption under all circumstances. Proposers shall submit a Preliminary Succession Plan assuming that any resulting contract from this Request for Proposals will provide for the Authorities’ ownership of all assets used for CSC operations (e.g. equipment, system hardware, Contractor-developed operating software and programs, third party software) and for the Authorities' immediate/automatic right to assume or 2.4.10-13 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan use any other elements required for uninterrupted CSC functions (e.g. assignment of leases on facilities, etc.). The Preliminary Succession Plan shall describe how the Contractor's data processing operations would continue under the Authorities' control; how all aspects of customer service, including walk-in customer service centers would be assumed by the Authorities or its designated successor; and how account data would be turned over to the Authorities or its designated successor. At a minimum, the plan shall cover the following areas: • A) Transfer of assets, including equipment, inventories of tag and other materials and supplies • B) Transfer of customer account data • C) Transfer of system hardware and software • D) Identification of any contractual agreements which are assumable by the Authorities, including but not limited to leases, maintenance agreements, subcontracts • E) Staffing and training required to actually accomplish the succession • F) Customer communication regarding changes in policy, procedures, and forms As a separate proposal submission, Proposers shall indicate how the preliminary Succession Plan would be modified for a scenario in which the assets are owned by the Contractor rather than the Authorities. 2.4.10.1 System Hardware, Software, Facilities, and Materials Transition of CSC operations support items includes all types of fixed assets, procedures, training materials, subcontractor agreements, leases, maintenance agreements, forms, notices, other supplies, and work in process. Attention to these additional details ensures that NYSTA and MTA B&T will continue to function without interruption beyond contract termination. Formal inventory and transfer of the inventories of all items will be accomplished with either the Authorities or the successor, if so designated, receipting for the inventory items transferred from ACS custody. 2.4.10-14 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan The transition services ACS will provide include the following: • Fixed Assets and Equipment – Throughout the term of the program, ACS maintains a fixed asset inventory. At the time of contract transition, this inventory will be reviewed, updated, and jointly examined with NYSTA and MTA B&T and/or the successor organization to validate all assets and equipment that have been delivered during performance of the contract. Final inventory will be completed and the successor will sign for custody of equipment items. • Procedures and Manuals – Standard operating procedures and system operations manuals will be turned over to the NYSTA and MTA B&T for use during the successor operations. A system orientation will be conducted to relate the procedures to the actual workflow. • Training Materials – All training materials will be reviewed and turned over to the NYSTA and MTA B&T for their use during the successor operations. • Subcontract and Vendor Agreements – ACS subcontracts related to this program contain a clause, as approved by NYSTA and MTA B&T, which gives the Authorities the right to assume the subcontract in the event of the expiration or discontinuance of our contract. Our project subcontractors will be contractually bound to deliver to NYSTA and MTA B&T the same level of service at the same price as that provided to ACS. If the Authorities determine it to be in their best interest to implement a different subcontract, we will assist in the close-out and transition of services from the ACS vendor to the new organization. • Leases – All facilities or equipment leases pursuant to contracts awarded to ACS contain a clause, approved by the Authorities, which gives the Authorities the right to assume the lease in the event of discontinuance of ACS’ contract. Thus, NYSTA and MTA B&T will have an unambiguous right of possession of all leased equipment or other facilities in the event of premature contract end. 2.4.10-15 Release Version 6/05 E-ZPass NY CSC • 2.4.10 Succession Plan Maintenance Agreements – All maintenance and other associated agreements entered into by ACS contain a clause (which is approved by the Authorities) that gives NYSTA and MTA B&T the right to assume the maintenance agreement in the event of succession of the contract. • Forms, Notices, and Other Supplies – We will inventory (in conjunction with NYSTA and MTA B&T or the successor organization) all in-use forms, notices, and other supplies remaining in inventory. Inventories will be transferred to the successor. • Work in Process – ACS will designate the operations staff, under the direction of our Transition Manager, for coordinating the interface activities required to identify and transfer work in process to the incoming organization. • Software – ACS recognizes the critical reliance of the CSC Operations Program upon the software developed to support operations. The Succession Plan ensures that all software, licenses, documentation, and third-party licenses are efficiently transferred to the Authorities under the terms of the contract. ACS maintains in escrow all software, licenses, and system documentation until the transition is complete. We understand the NYSTA and MTA B&T investment in the CSC Operations Program must not be jeopardized through the lack of attention to supporting documentation. More importantly, the ability to provide an acceptable level of service to the public depends upon the system ACS has provided. The E-ZPass CSC capabilities can only be sustained through the availability of reliable system data and an assurance of ownership in all system components. Our work to this end will be guided by the following objectives: − Software Transfer - All records, documents, data, systems, facilities, and program software will be turned over to the successor organization well in advance of the agreed upon transition date in order to ensure that a smooth transition takes place. Additionally, instruction will be provided to the Authorities and successor technical staff on the Source Code Management scheme, Change Control Methodology, Acceptance Testing Procedures and Scheduling and 2.4.10-16 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan Production Control functions. This will properly prepare the successor to manage the CSC technical environment. − Maintaining Continuity of Operations - Ongoing operations and maintenance activities will not be impacted by the change in responsibility. − Most Current Documentation - All documentation, license information, software, and thirdparty licenses will be fully updated to reflect the current production version of the system transferred to the successor organization. In order to permit NYSTA and MTA B&T continued use of all CSC software upon complete termination of the contract or as a part of a negotiated partial termination or expiration of the contract, provided NYSTA or MTA B&T are not in default of the contract, ACS will grant NYSTA and MTA B&T a nontransferable, non-exclusive, perpetual license for its CSC software for a one time license fee. NYSTA and MTA B&T will be provided the software in both object and source form with the understanding that the use and disclosure of the source code would be subject to commercially reasonable limitations designed to protect financial and competitive interest in the software. The use of the software by NYSTA or MTA B&T would be limited to performing service center processing activities of NYSTA or MTA B&T as contemplated by the CSC Operations Program contract. NYSTA and MTA B&T will be asked to take all necessary action to ensure that the CSC software does not fall into the public domain by virtue of any action or inaction by NYSTA or MTA B&T. Title to the software shall remain exclusively with ACS and NYSTA and MTA B&T shall acquire no right, title or interest other than that expressly granted in the license. ACS would also perform periodic and remedial maintenance on the software for a fee. ACS’ software succession tasks are listed in Exhibit 2.4.10-4. These tasks will be modified and expanded in close coordination with the successor organization to achieve an understanding of the software, its application, and maintenance. 2.4.10-17 Release Version 6/05 E-ZPass NY CSC E-ZPass NY (SC 2.4.10 Succession Plan 2.4.10 Succession Plan SOFTWARE SUCCESSIONTASKS 'TasitEleinent's - Su 0 Software Process Overview - Representatives ccessor Organization - INS Implementation Team inventory Material to beTransferred -Software Application Program Source Code Application Program Object Code - Embedded Software Speci?cations Operating Systems Database/Data Management Systems DataDictionary - Control Files Utilities - ToolSets Graphical User interfaces Packages Network Packages Third-Party - IMS Developed Software Extensions - Other Software Used by E-ZPass - Licenses Software Third-Party Product Registrations - Documentation (to the extent available) Source Code Listings Object Code Lisu?ngs . Embedded Software Specifications Operator?s Manuals Operating Procedures User Manuals Training Materials Guides Disks Listings Design Documentation - Narratives - Data Dictionary as Exhibit 2.4. i0-4. Software succession tasks provide comprehensive system knowledge and operations instructions. (Page i of 2) 2.4.10-18 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan NY CSC 2.4.10 Succession Plan SOFTWARE SUCCESSION TASKS - Task Elements SuccessionTaslt Software . Diagrams - Schematics Block - Flow Chart - Data Flow Entity-Relationship Modeis - Test Documentation Plans Data Test Results System Con?guration Commentary - All Other Notes Dealing with Program Operation and Program Interaction with the System - Detailed Review of the Material to beTransferred to Successor Organization Transfer Turnover Plan - Participant Organizations - - Successor Organization - Develop Detaihd Transfer Plan - Responsibility Turnover Schedule - Successor Organization Documentation Personnel - Progress Reports - Quality Assurance - Acceptance Procedures . Management Oversight Transierlmpiementation Match Software Inventory to Production Software Configuration Update Software Match Documentation to Software Inventory Update Documentation Match License, Prodtict Registration.Third-Party License to Software Inventory Update Licenses Review Licenses - Pack. Ship, and Deliver - Acceptance 0! Software. Licenses. Documentation. and Third-Party Licenses - Completion Report Exhibit 2.4. 10-4. Software succession tasks provide comprehensive system knowledge and operations instructions. (Page 2 of2) 2.4.10-19 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan 2.4.10.2 Data Processing Operations ACS has carefully analyzed the requirements for data processing operations under direct control of NYSTA and MTA B&T and developed a transition approach that will meet those requirements. The transfer of data processing operations to a successor will be made with the following objectives in mind: • All data processing operations will continue to provide the same levels of service, performance reporting, and system security as provided under the current contract • Should the Authorities have a requirement, parallel data processing operations will be conducted and operational responsibility transferred upon their successful completion • The change in responsibility for data processing operations will be conducted so that the E-ZPass customers cannot detect the transfer There are three alternative approaches to continued data processing operations under direct control of the NYSTA and MTA B&T. • First, NYSTA and MTA B&T could establish and operate a data processing service center to provide required service • The second alternative would be for a third-party successor organization to perform the data processing operations without regard to the performance of any other E-ZPass functions • Under the third alternative, ACS can continue data processing operations for a fee on an interim or long term basis even though all other aspects of E-ZPass support by ACS may have ceased. 2.4.10-20 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan ACS will manage the transfer of data processing operations to the direct control of NYSTA and MTA or a successor. Transfer will be accomplished through the tasks listed in Exhibit 2.4.10-5. These tasks will be expanded in coordination with NYSTA and MTA as required to fully support the needs of the successor. In the development of these tasks, we have assumed that there will be a single entity assigned by NYSTA and MTA to perform data processing operations. E-ZPass NY CSC 2.4.10 Succession Plan . El" $191 [143 ?on h5g316:73}? ?(Wiggli?i ., Data Processing - Data Processing Operations CenterWalc-through Operations - NYSTA and MTA Represematives - NYSTA and MTA Operations Organization - INS Transition Team 0 Detailed Analysis of Data Processing Operations Hardware Con?guration - System Software Con?guration - Communication Network Network Control Center Computer Operations Network Onerations Data Liar'arleperations Change Control Con?gmation Management System Testing Software Mahtenance Hardware Maintenance Production Schedules Backup Site Operations-Operations Staf?ng . lmdepth Observation of Data Processing Operations by NYSTA and MTA Data Processing Operations Organization Data Processing Operations Inventory Computer System Hardware Software System Softw'pre Application Software Data Files Data Processing Operating Procedures I 0 I a a - Data Processing Operations Turnover Plan - Participant Organizations l" and MTA "B&TOpera' Ec Corporation (as required) Telecomr. unications Service Supplier (as required) - - Detailed DatalProcessing OpentionsTurnover Plan System Con?guration Freeze Emergency Software Modi?cations Operations DocumentationTransfer Application Software om Database hint and Unload Softwa and Database Shipment and Delivery Software Load and Test and Test 0 I Exhibit 2.4. The Data Center provides detailed services in support of succession tasks. (Page i 0f 2) 2.4.10-21 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan E-ZPass NY CSC 2.4.10 Succession Plan DATA PROCESSING OPERATIONS SUCCESSION TASKS Task Elem I Succession Task Data Processing - Detailed Data Procusing Operations Turnover Plan (con Operations (con?t) Parallel Operations - Communications NetworkTest - Communications NetworkActivation . Change Control Data Library Operations Hardware and System Software Maintenance Backup Operations Operations Staf?ng Data Processing Operations Schedule Data Processing Parallel Operations Schedule NYSTA and MTA 881? Data Processing Organization Personnel Progress Reporting QualitylAssurmce Data Princessing Operations Acceptance Procedures Management Oversight Data Process?ng Operations Transition Implementation Data Processing Operations Acceptance Completion Report no Exhibit 2. 4. Ill-5. The Data Center provides detailed services in support of succession tasks. (Page 1 0f 1) 2.4.10.3 Customer Service Center Operations ACS fully understands the importance of Customer Service support and will take all necessary actions to ensure a smooth transfer to the successor organization. Our activities will be based upon the following objectives: No reduction in the use E-ZPass Customer Service Centers by users during and after the transition to a successor organization 0 The change in responsibility for Customer Service is completely invisible to the E-ZPass customer 0 All telephone numbers for the Customer Service Center phone lines will be retained and made available to the successor organization 0 Voice Response System (V RS) capabilities operated by ACS will be smoothly transferred to the successor organization 2.4.10-22 Release Version 6/05 E-ZPass NY CSC • 2.4.10 Succession Plan Customer Service support will continue even though other aspects of E-ZPass transition support by ACS may have ceased due to selective termination. We will continue to fully support, operate, staff, and manage all operations as required to support the transition to a successor. Should the successor fail to achieve the transition as scheduled, ACS on an interim basis, through the Contingency Plan, Section 2.6.11, will continue operations at the same costs that were in effect under the contract. This support can continue until the successor organization is fully prepared and operational. ACS will lead the transfer of responsibility for Customer Service Center operations to a successor organization. In the development of these tasks, we have assumed that there will be a single successor organization and that the fundamental nature of the Customer Service Center support to be provided remains unchanged. Tasks to be accomplished by ACS to complete the succession are listed in Exhibit 2.4.10-6. These tasks will be expanded in direct and close coordination with the NYSTA and MTA B&T as required to ensure the succession is accomplished successfully. 2.4.10-23 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan E?ZPass NY CSC 2.4.10 Succession Plan CUSTOMER SERVICE CENTER OPERATIONS TASKS "Halo? L. . I, l? I. Suc?cessionTasltf: - .l TasltElements Customer Service Customer Service Center Operations Operations - NYSTA MTA Representative - Successor Organization - Transition Team 0 Detailed Analysis and Review of Customer Service Operations with Successor Organization Service Center Procedures Customer Service Center Phone System VRS Hardware and Software Components VRS Operatians - VRS Scripts - Performance Reports - Review of Customer Complaint Procedures - Review of Phone Line System Usage and Billing Charges - Existing Customer Service Center Staff I I I 0 Observation/Oriemtion of Operations by Successor Organization Customer Service Center Inventory Owned Facilities Leased Facilities Carrier Provided Services NYSTA MTA Owned Property IMS Owned Property Phone System Equipment Software License Maintenance Agreement VRS Scripts Data Files Billing Records Performance Reports Oilliluty 0 Customer Service Turnover - Participant Orpnintions - NYSTA MTA MT - Successor Orgmization Carrier (as required) VRS OEM (as required) Customer Servte Turnover Phone Line Turnover and Operation Schedule Assumption of System Equipment and Software Assumption of VRS Equipment. Software. and Scripts Assumption of Maintenance Agreements Staffing Retention/Transfer lanolin: Exhibit 2.4. I 0-6. The Customer Service Center Operations Succession Tasks list ensures complete identi?cation of required functions to be assumed by a successor. (Page i of 2) 2.4.10-24 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan E-ZPass NY (St 2.4.10 Succession Plan CUSTOMER SERVICE CENTER OPERATIONS SUCCESSION TASKS 5' . . v.2 I. 1. If. gut?meme? Customer Service Customer Service Turnover (con't) Operations (can't) - Successor Organization Personnel Infusion/OH Progress Reporting QualityAssunnce Customer Service Acceptance Procedures Management Oversight Customer Service Transition Implementation Customer Service Acceptance Completion Report Exhibit 2.4. Iii-6. The Customer Service Center Operations Succession Tasks list ensures complete identi?cation of required functions to be assumed by a successor. (Page 2 of 2) 2.4.10.4 Customer Account Data ACS fully understands the critical signi?cance of complete, accurate customer account data and will provide all necessary account data and account records to NYSTA and MTA or successor organization. All the activities of ACS in the transfer of customer account data will be designed to meet the following objectives: 0 Preserve the high standards of data integrity that have been developed during execution of the contract 0 Ensure that customer service is maintained without any disruption or lessening of effectiveness 0 Transfer the responsibility for establishment and maintenance of customer account data to NYSTA, MTA or successor. Customer Account Data succession tasks are listed in Exhibit 2.4.10.7. ACS will follow these procedural tasks to smoothly transfer the responsibilities for customer account data. In the development of these tasks, we have assumed that a single entity, NYSTA and MTA or a successor organization, will replace ACS, and (2) that the customer account data requirements will not be altered. 2.4.10-25 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan NY CSC 2.4.10 Succession Plan ATA SUCCESSION TASKS .. Major . Successio'ti'l?askr? Customer Account Customer Account Data Inventory Data - Identify and Gather all Customer Account Data - Computerized Account Data - ManualAccount Data - Audit andVaBdate all Data i - Update and Remove all Data De?ciencies 0 Walt-through Customer Account Data - Representatives - Successor Organintion - INS Transition Team Detailed Analysis of Customer Account Data Functions with Successor Organization or NYSTAIMTA MT. to lnciudeAll Customer Account Data Capture. Processing. and Disposition - Account Establishment - Application Processh: - Computer File Establishment - lnitiai Credit and Check Approval - In-person/Mail Processing - Account Correction Processing - Account Payment Options - Payment Methods Cash Check - Credit Card Telephone Prepaid UserAccount Replenishment Procedures Account Statements Replenishment Amount Determinations Commercial Accounts Unique Commercial Account Requirements Commercial Account Management Reports Customer Statements Regular Statements Special Notices Phased Production Schedule Customized Commercial Account Statements Customer Accounts Data Complaints and Discrepancies Complaint Acceptance Processing Recording and Reporting Tracking Resolution Resolution Resolution and Audit Review In. Exhibit 2.4. l0-7. Functional requirements for CustomerAccount Management are provided in detail to the successor. (Page I of 2) 2.4.10-26 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan NY CSC 2.4.10 Succession Plan CUSTOMER ACCOUNT DATA SUCCESSION TASKS ., -. - Customer Account DetailedAnalysis of Customer (con't) Data (con't) - CustomerActount Bad Debt Management and Collection . Preventative Measures Due Diligence Legal. Ethic-l. and Good Business Practices Collection Process CustomerAccoum Bad Debt Write-ON Customer Account Closure Voluntary Retpest Account Inactivity - Account Default - Criteria and Detennination - Closing Procedure - Account Reactivating - Sanctions - Customer Account Fees - Service Fee Schedule - FeeAssessment Fee Accounting 0 Customer Account Data Turnover - Participant Organizations - NYSTA and PITA Successor Organization IMS - Detailed Customer Account Data Turnover Responsibility Turnover Schedule Sta??ing Schedule - Staff RetentionfTransfer - Successor Organization for NYSTAIMTA - Personnel Infusion/Off - Progress Reports - Quality Assurance - Acceptance Procedures - Management Oversight - Customer Account Data Transition Implementation - Prepare Computerized Customer Account Data - Extract Computerized Account Data - Prim Account Data Listings - Prepare Manual Customer Account Data - Deliver Customer Account to Successor Organization to NYSTAIMTA - Assist Successor Organization or MT in Customer Account Data File Setup - Customer Accoum Data Transfer Acceptance - Completion Report Exhibit 2.4. Functional requirements for CustomerAccount Management are provided in detail to the successor. (Page 2 of 2) 2.4.10-27 Release Version 6/05 E-ZPass NY CSC 2.4.10 Succession Plan 2.4.10.5 Succession Plan Addendum (Contractor Owned Assets) Should the Authorities elect to have ACS provide and own equipment assets to satisfy the requirements of the E-ZPass New York CSC Operations Program, a subsequent termination of services and implementation of the Succession Plan would have no effect on providing continuity of services. ACS will provide the equipment assets for use by the Authorities until the transition to a successor is completed. ACS will sell the assets to the Authorities or successor at a negotiated price based upon market value at the time of the termination of services or ACS will retain the assets should the Authority seek another equipment solution. No interruption of services will occur during the negotiation process and contract close-out. 2.4.10-28 Release Version 6/05 APPENDIX D SUM MMA ARY Y OF E-ZPA ASS S NEW YO ORK K LEAS SES As of Janu uary 2005 Walk-in Center Processing/Call Center – Walk-in Center FACILITY Staten Island 1 Edgewater Plaza Pouch Terminal, Suite 308 Staten Island NY 10305 All leases are in the name of the incumbent contractor and are assignable to another contractor. LEASE TERM, COST PER END OF PARKING HOURS OF SQ. FT RENEWAL OPTION ESCALATORS contact name and SQ. FT TERM CAPACITY OPERATION phone $24.25 + 37,707 143 Month 02/28/07 2, 2-yr 150 nonM-F in lease $3.72 including 1st reserved 7am – 7pm & and 3rd (utilities) = Jim Hanlon (employees) renewal option floors 718-981-7000 Sat (mkt rent) $27.97 20 visitor 8am – 12p Staten Island 1 Edgewater Plaza Pouch Terminal Suite 530 8,377 Queens 19-02 Whitestone Expwy Landmark Plaza, Suite 301 College Point, NY 11351 4,018 Yonkers 730 McClean Ave McClean Plaza Associates Yonkers, NY 10704 3,110 Albany 4 Executive Park Drive Albany, NY 12203 900 Appendix D Page 1 of 2 $21.50 + $2.75 (utilities) = $24.25 $32 + utilities 02/28/07 46 Months 12/04/06 Darren Meyers 718-961-4600 $28 5 years 8/31/05 Leonard S Levine Orchard Hill Road Katonah, NY 10536 $17.87+ $.047 CAM taxes and utilities 3 years Edward McEwan The Swyer Companies 518-482-8986 2/14/05 Co-terminous w/ 1st&3rd Included in the parking passes floor above 5 reserved 2, 2-yr (employees) 1st 2-yr option: 12/5/02-12/4/03:$124,879 12/5/03-12/4/04:$128,897 10 visitors 2nd 2-yrs: 12/5/04-12/4/05:$132,915 12/5/05-12/4/06:$136,933 20 non2, 5-yr designated 9/1/00-8/31/03: $80,860 spaces 9/1/03-8/31/05: $87,080 1st 5-yr option: 9/1/05-8/31/08:$93,300 9/1/08-8/31/10:$101,075 2nd 5-yrs: per market appraisal 1, 3-yr M-F 9am – 7pm in lease & renewal option Sat 8am – 12p M-F 9am – 7pm in lease & renewal option Sat 8am – 12p M-F 9am – 5pm negotiated at time of renewal Release Version 6/05 FACILITY SQ. FT Syracuse Lakeshore Drive In Plaza 911 Old Liverpool Rd Liverpool, NY 13088 1,600 COST PER SQ. FT $11.94 Base rent and Op EX $4.66 LEASE TERM, contact name and phone 3 years END OF TERM RENEWAL OPTION 12/31/2006 None PARKING HOURS OF ESCALATORS CAPACITY OPERATION Approx 400, not dedicated M-F 9am – 5pm 1/105 to $12.08 $16.60 8,760 Buffalo 295 Main Street Ste 101C Buffalo, NY 14217 1,260 Walk-in Center Spring Valley Pascack Plaza 17 Perlman Drive Spring Valley NY 10977 Grand Island 1700 Grand Island Blvd Grand Island NY 14072 Appendix D Page 2 of 2 1/1/06 to $12.19 $17.93 with 5 years 11/ 30/2005 escalation plus utilities Milton Shapiro $4.66 Pascack Industries = $22.59 914-627-2500 $12.95 5 years plus Utilities. 12/31/2007 $650 mos. Ellicott Grp. LLC Kathleen Linhardt $19.05 716-854-0060 30 plus Space is gratis shared at Traveler lobby space Info Center at Burger King building, shared with Niagara Frontier Parks Commission Base Rent inc. N/A N/A 3, 1-yr Estimated at 280 M-F 9am – 6pm in lease & renewal option Renewal w/120 days notice 8 Spaces in parking lot across street M-F 9am – 5pm No base rent escalation N/A. Estimated at 40 M-F 3pm – 6pm Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 1 1 1 1 1 4 1 1 1 1 1 1 2 1 1 1 1 1 1 2 1 18 2 1 1 1 2 1 3 1 3 21 3 1 5 2 1 1 1 1 1 1 2 6 1 50 6 51 5 Page 1 of 9 AssetDescription 108019 "1 Table 24 X 48" "BOOFSHELF - 4 SHELVES, WOOD" "BOOKCASE - 3 SHELF, METAL" "BOOKCASE - 3 SHELVES, WOOD" "CABINET - 2 DRAWER, ROLLING" DS3/CASSETTE RECORDER PKG" "CABINET - 3 DRAWER, ROLLING" 1 - 5 Step Metal Stairs 1 - 6 shelf Metal Rack 1 / 5 Draw Filing Cabinet 1 / 5 ROOMS METAL LOCKERS 1 / 6 ROOMS METAL LOCKERS 1 DESK WITH RIGHT RETURN 1 DRAWER CABINET 1 DRAWER CABINET 1 High Chair 10 DRAWER LATERAL 12 UNIT LOCKER 17" LCD Flat Panel Display 18 Metal STANCHIONS 19 Metal STANCHIONS 1x4 Cubicle Set 2 DOOR / 3 SHELF 2 DOOR CABINET 2 DOOR CABINET 2 DOOR CABINET 2 DOOR CABINET 2 DOOR/ 5 SHELF CABINET 2 draw cabinet 2 draw file cab 2 DRAWER CABIENT 2 DRAWER DESK 2 DRAWER DESK 2 Drawer File Cabinet 2 DRAWER LATERAL 2 Tier Bookshelf 2 Tier Bookshelf w/ Drawer 2+4 Cubicle Set 24 UNIT LOCKERS 2-WEB SERVERS 2x(2+1) Cubicle Set 2x2 Cubicle Set 2x4 Cubicle Set 3 - WAN PROBES 3 DRAWER CABINET 3 DRAWER DESK 3 DRAWER LATERAL 3 DRAWER LATERAL CABINET Appendix E Manufacturer Not available HON Not available HON Not available Not available Not available HON Cotterman N/A Not available Not available Not available HON New Concept HON HON Not available Penco Inc Gateway Not available Not available Vintage Not available Global AllSteel Not available Office Impressions HON Not available HON HON Kimball International Lacasse Group Not available HON Not available Not available Vintage Penco Inc Hewlett Packard Vintage Vintage Vintage Systems Technion Not available HON HON ModelNo Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available ELA2111 Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available 10-36726 P460 Not available Not available Not available Not available Not available Not available Not available HP9000 L1000 Not available Not available Not available DISTRICT ASE V.35 Not available Not available Not available Not available Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 1 1 1 3 3 1 1 43 42 24 12 1 1 2 1 29 1 1 1 1 22 4 1 4 33 9 1 9 1 1 1 1 1 1 2 432 33 13 8 1 1 7 1 1 2 2 3 1 10 Page 2 of 9 AssetDescription 3 DRAWER U-SHAPE 3 SHELF 3 SHELF CABINET 3 SHELF METAL BOOKCASE 3 SHELVES ROLLING RACK 30 UNIT LOCKER 31 SLOT METAL MAIL SORTER 4 DRAWER CABIENT 4 DRAWER DESK 4 Drawer File Cabinet 4 DRAWER L SHAPED DESK 4 Tier Metal shelf 4 UNIT LOCKER 40Gig Hard Drive - 7200RPM 5 Draw Metal File Cabinet 5 DRAWER CABIENT 5 Drawer Desk 5 METAL SHELVES 5 PC UNIT LOCKER 5 SHELF RACK 5 Tier Steel Shelf 50 Station UPG 54 UNIT LOCKERS 5M Cable 6 METAL SHELVES 6 SHELF RACK 7 DRAWER CABINET 8 METAL SHELVES 8-PORT RACK CONSOLE SWITCH 9 PIN PRINTER Air Conditioner Alarm System Alpha Server AMTECH TRAFFIC LIGHT TG TESTER Antenna Unit ARMCHAIR Armless Chair Bar Stool BarCode Scanner BASIC STAMP CARD TIME CLOCK BATTERY - TELEPHONE Battery Backup Bay Networks BAY STACK 303 SWITCH BAY STACK DATA HUB BAYSTACK 303 BILL DETECTOR BLACK BOX BLACK DRAFTING CHAIR Appendix E Manufacturer Kimball International HON HON HON Not available Penco Inc SAFCO HON Not available HON Not available Not available Not available Hewlett-Packard Not available HON Not available Not available Penco Inc Not available Not available Avaya Penco Inc Not available Not available Not available AllSteel Not available DELL OKI Kold Wave Not available Digital Not available Road Check Steelcase Sit On It Bola JDR Computers AcroPrint Best Not available Cisco Not available Nortel Networks Bay Network ACUBANKER Not available INTERIORS ModelNo 103672RPMG mv31ff Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available 0449213 Not available Not available Not available Not available Not available Not available Not available AVA-700203615 Not available 234457-B22 Not available Not available Not available Not available 71XPX TURBO 4054 XL4600DL H9F00FC Not available MARKIV 4537530W Not available Not available LGP6125 150AR3 Not available Not available Not available BAY NETWORK Not available Not available D400 loledt104 Not available Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 1 3 1 3 1 1 1 1 1 1 326 2 18 7 3 2 7 1 9 2 1 51 3 1 1 2 576 2 50 1 1 1 1 1 1 4 2 2 1 3 1 1 19 4 769 3 1 1 72 Page 3 of 9 AssetDescription BMC PATROL BOOKCASE - 3 SHELF CABIENT #10 WEST FROM LET TO RIGHT CABIENT #4 Back Office CABIENT #6 west from left to right CABIENT #7 WEST FROM LEFT TO RIGHT CABIENT #9 WEST FROM LEFT TO RIGHT Cabient Brenda Cabient #3 Back Office CABIENT#8 WEST FROM LEFT TO RIGHT Cabinet CABINET - 2 DRAWER CABINET - 3 DRAWER CABINET - 5 DRAWER CABINET - TAPE STORAGE Cabinet #1 Back Office Cabinet (grey) Cabinet for Video System CALCULATOR CALLMASTER/BLK Cash Counting Machine CASH DRAWER Cash Drawer Front Window # 3 CASH MACHINE CCD Camera 4mm (3) - SECURITY CD ROM CHAIR CHAIR - SOFA CHAIRS CHARGER Checks Drop Box Cisco CISCO SYSTEMS 2500 SERIES MODEM CLOCK Coffee Table COMBINATION DOOR LOCK COMP SWITCH Computer Cart COMPUTER RACK Computer shelf CONTROL PANEL Copier fax Copier COUNTERFEIT DETECTOR CPU CPU - Laptop CPU-OPTIPLEX GX110 CRIDENZA CSR Workstation Appendix E Manufacturer BMC Patrol HON Not available HON Not available Not available Not available Not available HON Not available Not available Not available Not available HON Digital HON Technion Not available Sharp AVAYA Glory Not available Not available Glory Digital Not available Not available Kimball International INTERIORS Motorola Not available US Robotics Cisco Apple Print High Point Furniture Arrow Cisco Not available Not available Not available Burle HP Canon ACCUBANKER Dell Gateway Dell Not available New Concept ModelNo Not available Not available Not available 684L Not available Not available Not available Not available 684L Not available Not available Not available Not available Not available DSSWXESAA 684L Not available Not available QS2770A 603F1 19756 DECPOS-2020 Not available GFR100 TC552A-4 Not available HONHGL103T Not available Not available H7N9395BHLN9388A Not available 2524 CISCO 2524 172.20.15 150QR4 6730CHY Not available Not available Not available Not available Not available Not available my3bch71f2 ir3300 D400 GX270 P4D-66 MX0627R477410CI3H4 Not available Not available Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 1 3 6 1 8 8 6 15 5 8 3 7 2 3 1 2 4 1 14 1 1 3 1 1 2 1 105 3 1 1 2 1 4 1 2 10 1 4 2 5 1 1 1 1 1 2 1 1 8 Page 4 of 9 AssetDescription CUBICAL 1 Cubical Walls 48 x 42 (3) CUBICLES CUBICLES 1-2 CUBICLES 1-3 CUBICLES 1-4 CUBICLES 1-5 CUBICLES 1-6 CUBICLES 1-7 CUBICLES 1-8 CUBICLES 1-10 CUBICLES 1-12 CUBICLES 1-14 CUBICLES 1-16 Cubicle 1-17 Cubicle 1-18 CUBICLE DESK CURRENCY COUNTER DEC Peripheral DEC REPEATER DEC ROUTER DEC System DECK REPEATER DEC LASER PRINTER DEC MUX300 SEVER DEC sever Desk Desk 2 draw Desk Jet Desk w/ ext DESK W/ RETURN Desktop Differential HBA Dig Camera DIGITAL SERVER TOKEN RING HUB Digital Voice Terminal DLT BACKUP TAPES Door Lock DP 250 DRAFTING CHAIR Drawer Drop Box DSU ESP-ADM DSU IV ESP DSU/CSU INC 101 DVD Dynamics 24 Hr Video Cassette Recorder DYNAMO DISK DRIVE ECD - Cash Drawers Appendix E Manufacturer Not available GOE Not available New Concept Not available Not available Not available Not available Not available Not available New Concept Not available Not available Not available Not available Not available GOE GLORY Hitachi Digital Powerware Compaq/DEC Bay Network Digital Not available Digital Furniture Not available Hewlett Packard Kimball Not available Not available Not available HP Not available Avaya Quantum Sargent Unisys INTERIORS All steel Not available ADTran INC 11 Bay Network JVC Dynamics Fuji JDR Computers ModelNo Not available P series Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available Not available GFR-S80 Freedom Storage 9900 90T-16 90T1 AlphaServer 8400 DA Not available 3500 dm316a 90M 3066L011G Not available Desk Jet 990CSE Not available Not available Not available KZPBA-CB grlyb-0303 Not available AVA-105189 DLT Not available 510540123 Not available Not available Not available Not available Adtran CM - 1156 XVN4451 Not available M2513SLA EDC-200 Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 6 1 1 59 12 3 7 26 1 7 1 14 1 1 34 8 4 6 3 1 1 1 3 2 1 2 4 4 9 4 8 1 1 1 1 2 2 1 11 1 1 1 12 1 3 1 2 2 2 Page 5 of 9 AssetDescription ELE.CASH DRAWER ELECTRIC TYPEWRITER (BROKEN) End Table ENDORSER Epson Printer Opti Plex / GX110 EPSON TM950 - Check Endorser ETHERNET SWITCH EXECUTONE Executone Integrated Digital System Executone Phone Express Payment Cabinet Ext desktop EXTENTION SELECTOR - RECEPTION EZKRONOS Fax Machine File Cabient File Cabinet 2 door File Cabinet 3 drawer File Cabinet 5 drawer Firewall Flip Chart Easel FORTE UPGRADE-LOAD BALNCER Front Counter chairs Gateway E-4100 CTO PC GATEWAY MONITOR GATEWAY SOLO 2500 GBIC GRAY PHONE Hand Truck HBA Hub IMAGING DEVELOPER FOR UDS LICENSES IN SYNC MONITOR MODEL H567 IVR IVR CASE IVR System IVR UPS JOGGER KEYBOARD KITCHEN COUNTERTOP Kitchen Table Ladder Laser Jet Letter Folder Letter Opener LOCK LOCKER Low Back Chair L-SHAPE DESK Appendix E Manufacturer Not available Brother High Point Furniture Epson Epson JDR Computers Bay Network Not available ExecutOne ExecutOne Not available Not available Lucent Dell Canon Not available Sandusky HON HON Hewlett Packard Not available Cisco Not available Gateway Not available Gateway Not available AVAYA Not available Not available Bay Network MSF&W Software Not available Industrial Black Box OmniVox Industrial Lectrojog Digital Not available Not available Werner Hewlett Packard Premier Rollem Champion Not available Not available Steelcase GOE ModelNo Not available GX6750 6733CHY Not available M62UA TM950081 Not available EXECUTONE CARDS Not available T1496 Not available Not available Not available OPTIPLEX GX240 H-11292 Not available Not available 9183B Not available Gauntlet Not available Not available Not available E-4100-C Not available 12769044 380561-B21 6424+M Not available DS-KGPSA-CA 10-base-t-hub Not available Not available Not available Not available NT 48-LINE SYSTEM Not available 775 RT101 Not available Not available 76 Laser jet 4000N Rapid Fold P7200 990 Not available Not available 4535530W Not available Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 3 1 1 5 1 1 1 1 1 10 3 1 739 54 1 1 2 1 5 8 2 1 1 1 1 1 43 1 95 2 2 1 3 5 5 1 1 5 4 1 1 68 1 1 1 3 19 1 14 Page 6 of 9 AssetDescription MAIL CART MAIL FEEDER MAIL MACHINE MAIL SORTER MANUAL TIME CLOCK NON-KRONOS MARK& WIPE BOARD 31/2X51/1 MARK-IV TAG PROGRAMMER 62001 Metal Hand Truck MICROWAVE MODEM MONEY COUNTER MONITOR Monitor - LCD MONITOR/ CPU MULTI-FUNCTION Nema Class A DRV Type Transformer NETWORKING EQUIPMENT NJ IAG NYSTA TABLE OLD TAG PROGRAMMER MARK-IV OPTICAL DISK LIBRARY ORACLE RDB Organizer (Brown) Front Paper Shredder Patch Panel PC Penn. IAG PHONE PHONE POWER SUPPLY (BROKEN) PHONE TOWER (BROKEN) PHOTO ALPHA CARD SYSTEM Port Connector POSTAGE MACHINE POSTAGE SCALE POSTING BOARD - GLASS DISPLAY CASE Power Converter POWER SUPPLY POWEREDGE 750 RACK SERVER POWERVAULT 114T TAPE BACKUP UNIT POWERVAULT NAS RACK SERVER PRINTER Printer Stand PROGRAMMER TABLE Programmer Unit RAPID EXTRACTION DESK RECEIPT PRINTER RECEPTION DESK Refrigerator Appendix E Manufacturer Eldon Pitney Bowes Pitney Bowes Not available Recorder Not available Mark IV Not available N/A Panasonic Practical Peripherals Glory DELL DELL Digital BROTHER General Electric Cisco Cisco Bevis Mark IV Hewlett Packard Oracle Not available DataTech Ortronics DELL Cisco Avaya ExecutOne InterVoice FargoDisks US Robotics Pitney Bowes Pitney Bowes Quartet APC APC DELL DELL DELL Hewlett Packard Steelcase Not available Mark IV OPEX Epson INTERIORS Sanyo ModelNo Not available U100 U100 Not available 125nr4 Not available 800809-001 Not available Not available Not available 4719US GFR-100 E172FP 1701FP PC 355/ 0266 3320CN 9T23B3872 172.20.11.250 2500 ADM Not available 800273-001 20XT Not available Not available 2170CC393C40 t568bwined OPTIPLEX GX280 2500 ADM 6424 550005 100300 85351 MP8V3A E210 B250 Not available UPS 1250 Not available SMU POWERVAULT 114T SMU Laser Jet 4000T - C4 PWR302HEX Not available 800273-001 50 M53SX Not available SR360W Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 2 1 1 5 3 12 1 2 1 2 4 1 1 1 1 1 2 3 1 1 1 1 21 9 2 1 5 1 1 5 2 1 1 1 1 1 1 44 6 1 16 5 2 1 1 1 2 3 15 Page 7 of 9 AssetDescription REM UNIT Rolling 3 Drawer File Cabinet ROUND CONFERENCE TABLE ROUND TABLE ROUTER SAFE SANS STORAGE SCALE Scan Jet SCANNER SCSI Cable SECURED KEY HOLDER SECURITY - ACCESS CARD Security Cabinet SECURITY CAMERA SECURITY CASE SECURITY MONITOR SECURITY SYSTEM Security VCR Surveillance VCR SELECTOR SWITHCHBOARD SERVER SERVER 6 BACKUP DOMAIN CONTROLLERS SERVER CPU SHELVES Shelves 1 Short particle shelf SLIDING DOOR SHELF CABINET SMARTLINK FAX SMARTLINK SAFE SOFTWARE SONY MONITOR SONY TRINITRON SONY VCR SOUND PREMIER SOUND STATION SOUTHWESTER PHONE Stack chair STANCHION STAND STEEL SHELVING STOOL STORAGE CABIENT STORAGE DISK DRIVES STORAGE SANS STORAGE WORKS Supervisor Cubicle Supervisor Desk w/ Return Supervisor Workstation Supplies Cabinet # 2 West from left to right Appendix E Manufacturer Westeil/Pargain Vintage Not available Howe Cisco GardAll Hitachi Health-O-Meter Hewlett Packard Kodak Not available MMF Industries Not available Stantron Sony Stantron Pelco Vicon Sony Lucent Compaq Compaq Compaq Hon Not available Not available Not available Brother GardAll MICROSOFT Not available Sony Sony POLY COM POLY COM Not available Not available Not available Not available Not available Not available HON House IT IS Services Compaq Vintage New Concept Vintage Not available ModelNo HRU412 Not available Not available Not available 2500 Mass IAG Not available HITACHI 9960 4100 F Scan Jet 5500c SCANNER 2500D BN38C-05 2019010 Not available Not available H1PERQ Not available PMM901 v4.5h-12-1 SVT - 3050 26B COMPAQ COMPAQ ML370 ProLiant CL380 Not available Not available Not available Not available FAX 770 Not available WINDOWS XP PRO Not available CPD175FL SVT-168 2201-05201-001 2201-05201-001 Not available Not available Not available Not available Not available HON7705BB12T Not available Not available HITACHI 9960 H9A15ND Not available Not available Not available Not available Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 1 1 4 1 1 6 1 1 1 3 2 101 1 1 2 2 5 5 1 1 1 1 2 31 2 2 1 16 442 1 2 6 15 1 1 1 6 1 1 1 3 3 1 3 2 5 2 2 2 Page 8 of 9 AssetDescription Manufacturer Surveillance Monitor Sony Surveillance VCR Sony Switch Cisco Switch Monitor Burle Swivel Armchair GOE Swivel Chair GOE T.V DIAGONAL SCREEN JVC T.V for Video System Sony T.V. stand technion T1 ADTran T500 Antenna Unit Mark IV TABLE Not available TABLE - 4 DRAWER Kimball International TABLE - FAX New Concept TABLE - MAIL New Concept TABLE (Printer) Not available TABLE (WORK) Eaton TABLE BROKEN Not available Table mail room Not available Table RAJ Not available TABLE TOP Not available TABLE w/ Hutch Not available TAG PROGRAM STATION MARK IV TAG PROGRAMMER Road Check Tag Programmer TPU Mark IV TAPE DRIVE (BROKEN) Mountain TAPE SILO Digital TEKNION MID BACK CHAIR Not available Telephone Lucent Telephone Sneak Current Protector Lucent Telephone System Lucent Television Sony Time Clock CRP Print TIME RECORDER AcroPrint TIMECARD HOLDER Not available TIMELAPSE VCR Sony Top of Supplies Cabiebt #1 west Not available TOWERS - 2 (BROKEN) Systems TRAFFIC LIGHT TAG TESTER N/A TRANSFORMER Jefferson Electric TRANZ380 VERIFONE Verifone TRINITRON Dell Tripp Lite BC Pro UPS - Back up Power Sply Tripp-Lite TSU-ESP ADTran TV RCA TV MONITOR Sony TV/VCR Combo Emerson TYPEWRITER Brother UPS DELL Appendix E ModelNo SSM-121 SVT5000 2924 TC8141 Not available 4535500 AV27230 Not available s260 TSU T500 Roadcheck Not available 103060DPMG Not available Not available Not available Not available Not available Not available Not available Not available Not available T500 800274001 TP5102R45AF 1330609 TL896AB MM103EF Telset 6424D 507B Definity Not available 150QR4 150AR3 Not available SVT5000 Not available Not available Not available Not available Not available P780 BC3800 Not available F36444 ssm-125 VT1921 GX-6750 DLA2200RMZU Release Version 6/05 Appendix E NYCSC Asset Listing Qty. 5 1 1 1 2 4 1 1 1 1 1 4 17 2 3 3 3 6 1 14 23 Page 9 of 9 AssetDescription UPS BACKUP SYSTEM UPS BATTERY BACKUP SYSTEM UPS SUPPLY UTILITY CART FOR CASH MACHINE UX SYSTEM VCR VCR - Time Lapse VCR BURLE VCR RECORDER VERIFONE PRINTER VHS TIME LAPSE WALKIE CHARGERS WALKIE TALKIE WALL FILING CABINET WANGPRO WATER COOLER WHITE PHONE WIPE BOARD WOOD MAIL SORTER Work Force Stations WORK TABLE Appendix E Manufacturer Powerware SmartUPS DELL Bretford Hewlett Packard Panasonic Burke Burle Not available Verifone Sony Motorola Motorola Not available HP - Wangpro Lkay AVAYA Not available Not available Boulevard HON ModelNo 18/15 SmartUPS 1250 2200VA Model E 10amp. 825m RP5400 PV9400 Not available TC3905 Not available Not available SVT-5000 HLN9358A P245RD03F2BA Not available J3328A TPPARU 6424+M Not available Not available BPRA5042 66547 Release Version 6/05 Appendix F E-ZPASS NEW YORK INTERNET PRIVACY POLICY Introduction Thank you for visiting the E-ZPass New York Customer Service Center (“NYCSC”) website. [CONTRACTOR NAME] maintains this website on behalf of the New York State Thruway Authority, Metropolitan Transportation Authority Bridges & Tunnels, New York State Bridge Authority (collectively, “New York Authorities”) and the Port Authority of New York & New Jersey (all collectively, “Authorities” or “Authority”). This website is designed to make it easier and more efficient for individuals and businesses to get information about E-ZPass and to maintain their E-ZPass accounts. The Authorities and [CONTRACTOR NAME] recognize that it is critical for individuals and businesses to be confident that their privacy is protected when they visit the E-ZPass NYCSC website. This policy describes the Authorities’ privacy practices regarding information collected from users of this website. For the New York Authorities, and [CONTRACTOR NAME] when acting on behalf of the New York Authorities, this policy is consistent with the provisions of the New York State Internet Security and Privacy Act, the New York State Freedom of Information Law, and the New York State Personal Privacy Protection Law. This policy describes what information is collected and how that information is used. Because this privacy policy only applies to this website, you should examine the privacy policy of any website, including other State agency and authority websites, that you access using this website. For the purposes of this policy, “personal information” means any information concerning a natural person, as opposed to a corporate entity, which, because of name, number, symbol, mark, or other identifier, can be used to identify that natural person. The Authorities and [CONTRACTOR NAME] only collect personal information about you when you provide that information voluntarily by sending an e-mail or by initiating an online transaction, such as opening an EZPass account or viewing and modifying an existing E-ZPass account. Information Collected Automatically When You Visit this Website When you visit this website, the Authorities and [CONTRACTOR NAME] automatically collect and store the following information about your visit: (i) User client hostname. Your hostname or Internet Protocol Address. The Internet Protocol Address is a numerical identifier assigned either to your Internet service provider or directly to your computer. (ii) HTTP header, user agent. The type of browser you are using, its version, and the operating system on which that browser is running. (iii) HTTP header, referrer. The web page from which you accessed this web page. Appendix F Page 1 of 6 Release Version 6/05 Appendix F (iv) System date. The date and time of your request. (v) Full request. Your exact request. (vi) Status. The status code the server returned to you. (vii) Content Length. The content length, in bytes, of any document sent to you. (viii) Method. The request method used. (ix) Universal Resource Identifier (URI). The location of a resource on the server. (x) Query string of the URI. Anything after the question mark in a URI. (xi) Protocol. The transport protocol and the version used. None of the foregoing information is deemed to constitute personal information. The Authorities and [CONTRACTOR NAME] use the information that is collected automatically to improve this website's content and to help the Authorities and [CONTRACTOR NAME] understand how users are interacting with the website. The Authorities and [CONTRACTOR NAME] collect this information for statistical analysis, to determine what information is of most and least interest to our users, and to improve the utility of the material available on the website. The information is not collected for commercial marketing purposes and the Authorities and [CONTRACTOR NAME] do not sell or otherwise disclose the information collected from this website for commercial marketing purposes. Cookies Cookies are simple text files stored on your web browser to provide a means of distinguishing among users of this website. The use of cookies is a standard practice among Internet websites. To better serve you, the Authorities and [CONTRACTOR NAME] may use “session cookies” to enhance or customize your visit to this website. Session cookies can be created automatically on the device you use to access this website. These session cookies do not contain personal information and do not compromise your privacy or security. The Authorities and [CONTRACTOR NAME] may use the cookie feature to store a randomly generated identifying tag on the device you use to access this website. A session cookie is erased during operation of your browser or when your browser is closed. At times you may be asked if you would like to personalize this website by allowing the Authorities and [CONTRACTOR NAME] to store a “persistent cookie” on your computer’s hard drive. This persistent cookie will allow the website to recognize you when you visit again and tailor the information presented to you based on your needs and interests. The Authorities and [CONTRACTOR NAME] use persistent cookies only with your permission. The software and hardware you use to access this website allows you to refuse new cookies or delete existing cookies. Refusing or deleting these cookies may Appendix F Page 2 of 6 Release Version 6/05 Appendix F limit your ability to take advantage of some features of this website. Information Collected When You E-mail this Website or Initiate an Online Transaction During your visit to this website you may send an email or submit a feedback form to the Authorities and [CONTRACTOR NAME]. If so, the Authorities and [CONTRACTOR NAME] will collect your e-mail address and the contents of your message. The information collected is not limited to text characters and may include audio, video and graphic information formats included in the message. The Authorities and [CONTRACTOR NAME] may use your e-mail address and the information included in your message to respond to you, to address issues you identify, to improve this website, or to forward your message to another State agency or authority for appropriate action. The Authorities and [CONTRACTOR NAME] do not collect your e-mail address for commercial purposes and the Authorities and [CONTRACTOR NAME] do not sell or otherwise disclose your email address for commercial purposes. During your visit to this website you may initiate a transaction such as opening an E-ZPass account or viewing and modifying an existing E-ZPass account. The Authorities and [CONTRACTOR NAME] may use the information, including personal information, that you volunteered by initiating the transaction to open, operate and maintain your E-ZPass account, such as periodic notices, correspondence and statements. The Authorities and [CONTRACTOR NAME] may disclose such information for those purposes that may be reasonably ascertained from the nature and terms of the transaction in connection with which the information was submitted. The Authorities and [CONTRACTOR NAME] do not knowingly collect personal information from children or create profiles of children through this website. Users are cautioned, however, that the Authorities and [CONTRACTOR NAME] will treat personal information submitted in an e-mail or transaction as though it was submitted by an adult, and such information may, unless exempted from access by federal or State law, be subject to public access. The Authorities and [CONTRACTOR NAME] strongly encourage parents and teachers to be involved in children’s Internet activities and to provide guidance whenever children are asked to provide personal information online. Information and Choice As noted above, the Authorities and [CONTRACTOR NAME] do not collect any personal information about you during your visit to this website unless you provide that information voluntarily by sending an email, submitting an online form, or initiating an online transaction such as opening an E-ZPass account or viewing and modify an existing E-ZPass account. You may choose not to send the Authorities and [CONTRACTOR NAME] an e-mail, submit an online form or initiate an online transaction. While your choice not to participate in these activities may limit your ability to receive specific services or products through Appendix F Page 3 of 6 Release Version 6/05 Appendix F this website, it will not prevent you from requesting services or products from the Authorities and [CONTRACTOR NAME] by other means and will not normally have an impact on your ability to take advantage of other features of the website, including browsing or downloading publicly available information. Disclosure of Information Collected Through This Website For the New York Authorities, and [CONTRACTOR NAME] when acting on behalf of the New York Authorities, the collection of information through this website and the disclosure of that information are subject to the provisions of the New York State Internet Security and Privacy Act. The Authorities and [CONTRACTOR NAME] will only collect personal information through this website or disclose personal information collected through this website if the user has consented to the collection or disclosure of such personal information. The user’s participation in an online transaction resulting in the disclosure of personal information to the Authorities and [CONTRACTOR NAME], whether solicited or unsolicited, constitutes consent to the Authorities’ and [CONTRACTOR NAME]’ collection and disclosure of the information for the purposes for which the user disclosed the information to the Authorities and [CONTRACTOR NAME], as was reasonably ascertainable from the nature and terms of the transaction. However, the Authorities and [CONTRACTOR NAME] may collect or disclose personal information without user consent if the collection or disclosure is: (1) necessary to perform the statutory duties of the Authorities, or necessary for the Authorities to operate a program authorized by law, or authorized by state or federal statute or regulation; (2) made pursuant to a court order, subpoena or by law; (3) for the purpose of validating the identity of the user; or (4) of information to be used solely for statistical purposes that is in a form that cannot be used to identify any particular person. Further, for the New York Authorities, and [CONTRACTOR NAME] when acting on behalf of the New York Authorities, the disclosure of information, including personal information, collected through this website is subject to the provisions of the New York State Freedom of Information Law and the New York State Personal Privacy Protection Law. The Authorities and [CONTRACTOR NAME] may disclose personal information to federal or state law enforcement authorities to enforce the Authorities’ and [CONTRACTOR NAME]’ rights against unauthorized access or attempted unauthorized access to the Authorities’ and [CONTRACTOR NAME]’ information technology assets or against other inappropriate uses of this website. Retention of Information Collected Through this Website In general, the Authorities’ and [CONTRACTOR NAME]’ Internet services logs, comprised of electronic files or automated logs created to monitor access and use of Authority and [CONTRACTOR NAME] services provided through this website, will be retained for 1 year and then destroyed. Information, including personal information, that you submit in an e-mail or when you initiate an online Appendix F Page 4 of 6 Release Version 6/05 Appendix F transaction such as opening an E-ZPass account or viewing and modifying an existing E-ZPass account, is retained in accordance with the records retention and disposition schedule established for the records of the program unit to which you submitted the information. Access to and Correction of Personal Information Collected Through this Website Any user may submit a request to the Privacy Compliance Officer of the Authority that maintains the user’s account to determine whether personal information pertaining to that user has been collected through this website. Any such request shall be made in writing to the address below and must be accompanied by reasonable proof of identity of the user. Reasonable proof of identity may include verification of a signature, inclusion of an identifier generally known only to the user, or similar appropriate identification. The address of the Privacy Compliance Officer for each Authority is: Privacy Compliance Officer New York State Thruway Authority Privacy Compliance Officer Metropolitan Transportation Authority Bridges & Tunnels Privacy Compliance Officer Port Authority of New York & New Jersey Privacy Compliance Officer New York State Bridge Authority The Privacy Compliance Officer shall, within five (5) business days of the date of the receipt of a proper request: (i) provide access to the personal information; (ii) deny access in writing, explaining the reasons therefore; or (iii) acknowledge the receipt of the request in writing, stating the approximate date when the request will be granted or denied, which date shall not be more than thirty (30) days from the date of the acknowledgment. In the event that a New York Authority has collected personal information pertaining to a user through this website and that information is to be provided to the user pursuant to the user’s request, the Privacy Compliance Officer shall inform the user of his or her right to request that the personal information be Appendix F Page 5 of 6 Release Version 6/05 Appendix F amended or corrected under the procedures set forth in section 95 of the New York State Public Officers Law. Confidentiality and Integrity of Personal Information Collected Through this Website The Authorities and [CONTRACTOR NAME] are strongly committed to protecting personal information collected through this website against unauthorized access, use, or disclosure. Consequently, the Authorities and [CONTRACTOR NAME] limit employee access to personal information collected through this website to only those employees who need access to the information in the performance of their official duties. Employees who have access to this information are required to follow appropriate procedures in connection with any disclosure of personal information. In addition, the Authorities and [CONTRACTOR NAME] have implemented procedures to safeguard the integrity of their information technology assets, including, but not limited to, authentication, monitoring, auditing, and encryption. These security procedures have been integrated into the design, implementation, and day-to-day operations of this website as part of the Authorities’ and [CONTRACTOR NAME]’ continuing commitment to the security of electronic content as well as the electronic transmission of information. For website security purposes and to maintain the availability of the website for all users, the Authorities employ software to monitor traffic to identify unauthorized attempts to upload or change information or otherwise damage this website. Disclaimer The information provided in this privacy policy should not be construed as giving business, legal, or other advice, or warranting as fail proof the security of information provided through this website. Links In order to provide users with certain information, the Authorities and [CONTRACTOR NAME] may provide links to the websites of local, State, and federal government agencies, and to the websites of other organizations. A link does not constitute an endorsement of the content, viewpoint, accuracy, opinions, policies, products, services, or accessibility of that website. Once you link to another website from this website, including one maintained by the State, you are subject to the terms and conditions of that website, including, but not limited to, its Internet privacy policy. Appendix F Page 6 of 6 Release Version 6/05 Appendix Data and Document Retention Requirements Type Description Online Onsite Archive1 Toll/Nontoll History Any toll/nontoll transaction that is posted to an 5 months plus n/a 6 years account current Financial History Any ?nancial transaction that is posted to an 5 years n/a 8 years account. Transactions include: payments, debits, credits, fees, etc. This category includes history of accormts sent to collection. Violation Notice History Any violation notice that is created 5 years n/a 8 years Violation Notices Archived violation notices n/a n/a 8 years Class Mismatch or All images taken as a result of toll evasion or as a 1 year n/a 8 years Violation Images result of a class mismatch Notes on Account Notes that are entered on an account 10 years n/a n/a Speed Infraction History Infraction data and notices that are a result of 5 years n/a n/a excess speed through the toll lane Non-Financial History Transactions on an account that are not ?nancial in 5 years n/a n/a natru?e including but not limited to statement generation, demographics, change in tag status, change in payment method, CC Exp letter, accormt plan changes, etc. Tag History rurent tags on the account and their current status. 10 years n/ a n/a Financial Operations All reports in Section 2.3.7 of Statement of Work Crurent year 6 months 6 years Reports other than those noted in 2.3.7.8 plus previous full year Performance Standards As noted in Sections 2.3.1.6 and 2.3.7.8 of Current year 1 year 6 years after Reports Statement of Work plus previous contract end full year Correspondence All communication to and from customers in both n/a 6 months 1 year written and electronic form Manual Toll Posting Logs Paper or electronic logs n/a 6 months 6 years Policies Procedm?es Manual, memos, instructions, training materials lurent Version Current Version Contract end desired but not required Appendix Page 1 of 2 Release Version 6/05 Appendix Data and Document Retention Requirements Type Description Online Onsite Archive1 Applications Individual, business, non-revenue 1 year 6 months Keep until customer closes account Statements Individual, business 1 year n/a 6 years 1 Data/documents shall be retrieved from archives within 72 hours of being requested. Appendix Release Version 6/05 Page 2 of 2 Appendix H Tag Inventory Statuses Description ACTIVE Tags that have been assigned to customers' E-ZPass accounts that allow toll or non-toll transactions to be recorded and the amounts to be deducted from accounts. DAMAGED Tags that cannot be put back into inventory and reissued to customers due to their returned condition. The tags are usually defaced and therefore are deemed non-reiusseable. Customers are charged the face value of the tags. EXPIRED Tags that have been destroyed by a vendor selected by the agencies. Tags that fall within agency assigned serial numbers which have been designated not be put back into inventory for reissuance. These tags will be eventually destroyed. INVENTORY Tags are put into INVENTORY status when they are received from the manufacturer and recorded into the system before they are assigned to an account. Tags received from the manufacturer should be recorded immediately after shipment is validated. When tags are issued to customers, the CSC should instruct the customer not to use the tag prior to the designated time (usually 24 hrs). This is to allow the tag file to be updated with the new tag status from INVENTORY to ACTIVE . If the customer attempts to use the tag before the designated time, the tag will still be considered in INVENTORY status. However at gated facilities the gates will rise and allow the vehicle to go through. LOST Tags that were ACTIVE and are subsequently reported lost by the customer to the Customer Service Center. These tags are now put in a LOST Status. As a result, tags will be retained at a gated plaza or a violation notice will be mailed to the customer associated with the tag(s). The customer is not responsible for the toll from the date the tag was reported LOST to the CSC. RETAINED Temporary status for tags that have been retained by TBTA and have not been put back into INVENTORY status. RETURNED DEFECTIVE Tags that have been returned by the customer and are found to be defective. SHIPPED TO VENDOR Tags that have been found to be defective and have been returned to the tag manufacturer. SOLD Tags that were sold to business accounts. (Note this status will phase out over time with the implementation of the tag fee program.) STOLEN TEST INACTIVE DISPOSED/DESTROYED ACTIVE Tag Status Same as lost. Tags may be considered in TEST when returned by customers before being put back to INVENTORY. Note: The Authorities reserve the right to add to or Appendix change these H statuses. Release Version 6/05 APPENDIX I NYCSC Fee Schedule Type of Fee Lost/Stolen Tag (interior) Lost/Stolen Tag (exterior) Damaged/Defaced Tag (interior) Damaged/Defaced Tag (exterior) Tag Retention (TBTA) Unmounted Tag (TBTA) Returned Check Monthly Paper Statement Duplicate Statement Monthly Service Fee (PANYNJ) Monthly Service Fee (TBTA) Commercial/Business Tag Account Revocation Toll Evasion Violation Fees (NYSTA & PANYNJ) Class Mismatch Fees (TBTA & PANYNJ) Second mismatch notice(after 10-day grace period following first warning notice sent) Third mismatch notice Fourth mismatch notice Fifth mismatch notice Sixth and subsequent mismatch notices Fee $25.00 $32.00 $25.00 $32.00 $25.00 $10.00 (2006) $25.00 $6.00 per year from when the customer chooses this option $2.00 $1.00 per month $1.00 (Q3 2005) $.50 per tag per month $25.00 $25.00 $10.00 per mismatch transaction $20.00 per mismatch transaction $30.00 per mismatch transaction $40.00 per mismatch transaction $50.00 per mismatch transaction NOTE: Except as noted otherwise, fees are applicable to all Authorities. The Authorities reserve the right to change or add to these fees. Appendix I Release Version 6/05 MOISTEN HERE MOISTEN HERE E-ZPass NY Customer Service Center APPLICATION Po. Box 149001 so: i I New Yorlr Servrce Center an an I For 2-axle individually owned/leased vehicles 7,000 lbs, max gross weight (vehicle load) and single rear tires (includes RV's and pickup trucks with dual rear tires). I Dr apply for E-ZPass on the intemet with your credit card by visiting the E-ZPass website at I Access our website or call to change an existing E-ZPass account, if you are a Business Customer, or do not own/lease a vehicle. 1 . PERSONAL INFORMATION (I Personal Identification Number Last Name First Name MI You must select a 4 digit PIN Mailing Address (Provide home address if selecting a Resident Discount Plan) Apt. City State Zip Code Day Phone Evening Phone I would like to receive my statement (Please Check One): Regular Mail E-mail If you selected E-mail, please provide your E-mail address Do not send a statement 2. VEHICLE INFORMATION List a vehicle (or each tag requested and all vehicles that may be used. Tags are transferable among vehicles of the same type. Vehicle COUBSI A - Auto/Sport Utility Vehicle/Minivan - Van R4 - RV with 4 tires R8 - RV with 3 axles - - Pickup Truck R6 - RV with dual rear tires P6 - Pickup truck with dual rear tires License Plate Number (Please Print cieeriy) State Vehicle Type Code Year Make Model - LEMON Refer to die attached E-ZPass 'lans and lips be Ire completing D. Commuter/Resident Discount Plans . . The dollar amount included on the attached list of E-Pass A- Number OI T398 Requested (him! 4) Plans is the minimum prepaid amount for that plan. Multiple requests for my speci?c plans must be listed separately. Note; For (2ij you may rem/?ye an exterior tag. Note: Staten Island and Rockaway/Broad Channel residents automatically receive their MTA resident discount. See plan - details for restrictions. - - - 8. Tag Deposit Duo 3 PM . . If you select credit card payment (Option 1 below) 3 your deposit is waived. - If you select check/ cash payment (Option 2 below) 3 add a $10.00 refundable deposit for each tag orderedTotal Amount oi Discount Plans 3 Credit Card - $25 (Up to 4 tagstags) (If the total prepaid amount from selected plans will not cover the anticipated ?rst month charges.) G. INITIAL PAYMENT (Add Lines B, C, F) 4. PAYMENT METHOD (Check one option) Uption 1- Credit Card with Automatic Replenishment Option 2- Check or Cash Replenishment - - Credit Card NumberExpiration Date. Month Year this are 05m? Custm'r'is?mm Credit Card Type: El Wsa [j Mastercard American Express [1 Discover againgan?m'Iw?t?: gig; 22,533; I authorize E?ZPassto Immediately charge my credit card the total amount shown In line G. Whenever my prepaid amount decreases to or below the replenishment cumin? 09m? t? point for my account. I authorize E?ZPass to charge my cred! card my replenishment amount I understand and agree that such dierges will continue until my "1955899 display WNW pre- account Is terminated orl revoke this authorization In writing. Should I tail to return my ins or require a replacement. or Incur an administrative tee or paid amount '3 at approximately 50% 0' VOW Pius drama. I authorize to charge my creel card the appropriate amount Incurred under the terms 01 my agreement. I authorize In its WONSMIOM amount. Indicating that a payment Is discretion. to receive updated Intomiation about my credit card, including new account numbers and expiration dates. irom the financial nstitution issuing my card. melted. DO NOT MAIL CASH be Cardioider Signature Required Date 5. CUSTOMER AGREEMENT My completion at this Application, payment and signature below constitute my agreement to use E?Zhss subject to al applcatle terms and condtlons. I understand and agree that by using the diarges will be deducted from my pre- paid account I understand and agree that I have read, understand and accept the terms aid condtions Applcation and set tortti In this torm. al of whldi are out at my agreement. Applicant Signature Required Date HERE Detach applcatlm here. mclose payment tI' applcable. moisten she and seal HERE E-ZPass Plans and Application Tips E-ZPoss Basic Plan Plan Code: (STANDARD) - MTA Bridges and Tunnels/New York State Thruway/Port Authority oi York State Bridge Authority Basic Plan: No minimum use is required. At all Port Authority facilities, E-ZPass discounts are available during peak and off-peak hours, and 50? discount off the cash toll at MTA Bridges and Tunnels ($1.00 discount off the round trip cash toll at the Verrazano-Narrows Bridge and $0.75 discount at the Marine Parkway-Gil Hodges Memorial and Cross Bay Veterans Memorial Bridges). At all New York State Thruway facilities, E-ZPass discounts are available. This plan may be used wherever you see the E-ZPass sign displayed. Spock! Accotmt Spoculc Oomubr/?oddont Discotmt Plato Plan Code: (TZC) - Thruway Tappan Zee Bridge Commuter Plan: minimum Tappan Zee Bridge usage charge of $40 (20 trips at $2.00 per trip) vs. the full toll of $4.00 per trip. Plan Code: (TZPL) - Thruway Tappan Zee Bridge Carpool Commuter Plan: 3 or more occupants in the vehicle and minimum Tappan Zee Bridge usage charge of $10.00 (20 trips at 50? per trip) vs. the full toll of $4.00 per trip. The 50? toll applies only at staffed lanes; $2.00 per trip is charged in unstaffed lanes. Plan Code: (GIC) - Thruway Grand Island Commuter Plan: minimum Grand Island Bridge usage charge of $5.00 (20 trips at 25? per trip) vs. full toll of 75? per trip. Plan Code: (GIR) - Thruway Grand Island Resident: Grand Island Bridge fare is 9? per trip vs. full toll of 75? per trip. Proof of Grand Island residency required. Attach a copy of one of the following: vehicle registration, driver's license, utility bill, or tax bill. No minimum usage is required. Plan Code: (NRC) - Thruway New Rochelle Commuter Plan: mini- mum New Rochelle Barrier usage charge of $20 (20 trips at $1.00 per trip) vs. the full toll of $1.25 per trip. Plan Code: (YKC) - Thruway Yonkers Commuter Plan: minimum Yonkers Barrier usage charge or $17.50 (35 trips at 50? per trip) vs. the full toll of 75? per trip. Plan Code: (HAC) - Thruway Harrlman Commuter Plan: minimum Harrlman Banter usage charge of $17.50 (35 trips at 50? per trip) vs. the full toll of 75? per trip. Discount does not apply when traveling north from Harrlman onto the ticketed portion of the Thruway. Plan Code: (BRC) Thruway Black Rock Commuter Plan: minimum Black Rock Barrier usage charge of $10.00 (20 trips at 50? per trip) vs. the full toll of 75? per trip. Plan Code: (CLC) Thruway Buffalo City Line Commuter Plan: mini- mum City Line Barrier usage charge of $10.00 (20 trips at 50? per trip) vs. the full toll of 75? per trip. Plan Code: (PASI) Port Authority Staten Island Bridges Plan: This commuter plan is $50. Pay for 20 trips, whether or not they are used within 35 days, over the following bridges: Goethals, Bayonne, and Outerbridge Crossing. All unused trips will be billed to your account. Plan Code: (PACP) Port Authority Carpool Plan: Requires 3 or more occupants in a passenger vehicle. The discounted $1 .00 toll is applied only in Full Service Lanes at any Port Authority bridge or tunnel. The discount is not applicable in E-ZPass Only lanes. Plan Code: (RR) MTA Rockaway/Broad Channel Residents*: Must live in one of the following zip codes: 11691,11692, 11693,11694, 11695, 11697. Automatically charged a toll of $1.00 pertrip on Marine Parkway and Cross Bay Bridges. The toll on the Cross Bay Bridge is fully rebated. Plan Code: (SIR) MTA Staten Island Residents': Are charged a discounted round trip toll of $4.80 for the Verrazano-Narrows Bridge. ?Vehicle must be registered to a valid resident address in Staten Island or Rockaway/Broad Channel. A vehicle registration may be used on only one E-ZPass account. Please note that vehi- cles used for commercial purposes are not eligible for residency plans. If the Department of Motor Vehicles does not confirm the vehicle registration address, the resident discount will not apply until proof of residency is provided. Residency status is subject to periodic review. Tog Spoc?c concentrator Discount Mono Plan Code: (NYSBA) New York State Bridge Authority Discount Plan: minimum usage of $8.50 per tag (17 trips at 50? per trip vs. the full toll of $1.00 per trip) over any of the following bridges: Rip Van Winkle, Kingston-Rhinecliff, Mid-Hudson, Newburgh-Beacon, and the Bear Mountain. This plan is assigned to a specific tag. Plan Code: (NY12) Thruway Annual Permit Plan: For frequent travelers on the Thruway ticket system. Flat fee, covers the toll for the first 30 miles or less per trip, co on ass I Cast etc -o - udso 'd where a 40? surcharge is applied. Prepay the following amount for each tag depending on which month you sign up: Jan., $80; Feb., $73; Mar., $67; Apr., $60; May, $53; Jun., $47; $40; Aug., $33; Sept., $27; Oct., $20; Nov., $13; Dec., (For the next calendar year, $80, available in December). Plan Code: (MTRC) Thruway Discount Plan: Proof of reg- istration is required to receive special tag. will be charged at 50% of the cash toll rate. Plan Code: (MHM) Thruway Motor Home Discount Plan: Proof of motor home registration is required to receive the special motor home discount. Motor homes will receive the passenger vehicle rate based on the number of axles on the motor home. Important Tips About tho E-ZPass Application ERSO 0R 0 You MUST provide a 4 digit PIN when you access your account via the phone system or website. Please record your PIN here and retain it for future reference. IAG REQUESI (Section 3, Lines MB) Most vehicles can operate with interior tags. Enter the number of tags you need in section 3A The EZPass tag deposit is waived for customers who pay by credit card. Check and cash customers will be charged a $10 refundable deposit per tag. Enter the required tag deposit in Section 33. ERE-EAI MENI CALCULAIION (Section 3, Lines C-G) Select the E-ZPass plan(s) that meet your needs. The dollar amount listed next to each dis? count plan offered under the Special Commuter/Resident Discount Plan section is the min- imum prepaid amount for that plan. Enter this amount in the "Minimum Prepaid Amount' column forall selected plans. For the NY State Thruway Annual Permit Plan, you must mul- tiply the number of tags with this discount plan times the cost of the plan. The total dollar amount of all discount plans requested is entered on Line E. 0 BASIC PLAN (LINE C): Credit card customers pay $25 for up to 4 tags. Cash/Check customers pay $25 for 2 tags or less or $50 for 3 or 4 tags. 0 ADDITIONAL PREPAID TOLL AMOUNT (LINE F): If the total prepaid amount from the selected E-ZPass plan(s) will not cover your first month of anticipat- ed charges, enter an additional amount on Line F. 0 INITIAL PAYMENT (LINE 6): Add Lines B, C, and and enter the total on Line G. DD 0 CREDIT CARD REPLENISHMENT: The Easiest Way to Pay To replenish by credit card, place a checkmark in Option 1. There are many advantages to starting and replenishing your E-ZPass account with a credit card: 0 No tag deposit is required. 0 It?s easy. There?s no need to worry about a separate E-ZPass payment. 0 It?s automatic. As long as your credit card account is in good standing, your E-ZPass balance will never run out. 0 CHECK 0R CASH REPLENISHMENT To replenish by check or cash, place a checkmark in Option 2. Cash pay- ments must be made in person at one of our E-ZPass New York Service Centers listed on the insert. Enclose a check payable to E-ZPass for the amount shown in Line of Section 3. For further assistance in completing this application, or to take advantage of our automated phone system, call 1-800-333-TOLL (8555) or visit our website at to: 0 Switch to credit card replenishment. Change your credit card and/or credit card expiration date. Make a one-time credit card payment Open an account online. Receive account information. Report a lost or stolen tag. Request an additional application. Obtain Service Center locations and hours of operation. Please have your account or tag number and PIN ready when you call. Tall Facilities Accepting E-ZPass I The entire New York State Tltuway including: New Rochelle Barrier Yonkers Barrier Tappan Zee Britte Harriman Barrier Black Rock Barrier Buffalo City Line Barrier Grand Island Bridges Bridges and Tunnels Brmx-Whitestone Bricge Brooklyn-Battery Tumel Cross Bay Veterans Memorial Bridge Henry Hudson Bridge Marine Parkway-Gil Hodges Memorial Bridge Queens Midtown Tunnel Throgs Neck Bricge Tribonough Bridge Verrazano-Narrows Bridge Rip Van Winkle Bridge Kingston-Rhineclil?f Bridge Mid-Hudson Bridge Newbugh-Beacon Bridge Bea Mountain Bridge From Daily Commutes to George Washington Bridge weekend Jaunts. E-ZPass is for Everyone! Bridge Holland Tunnel Lincoln Tunnel Outerbridge Crossing And wherever you see the sign cisplayed 1-800-333-TOLL (8655) 1-800-772-7935 application enclosed AN "aielS l006i?l- X09 'O'd 131an saunas moi maN 27 First Class Postage Requrred More Than 5,000,000 1319355 Works Customers Can?t Be Wi'ong Convenlence Without Added Cost: . llu 3-, I Sues lines at most (militia; 8 .3 a One hgfor .11 regional E-??oss facilities ?g I Convenient credit curd sign-you slowly pass through the E-ZPass I Amount? amounts 8 facility, your E-ZPass tag is read. 50? ?Wt Per MTA Brag? 'Itnmels 9 In an instant, the tag information is read ?mounts on NYS ?mm by an overhead antenna in the E-ZPass . facility and the proper charge is deducted ?3000?? dunngpak "1d M'Puk Hours Ct: from E?ZPass account. Port Autimity facilities 9 At some facilities, there are gates that will go up when a valid tag is read. I Commuter discount plans Milcble 0 A Video enforcement system is in place to identify charge evaders. I 11388 "It? emissions 9 A traf?c signal and message is immediately displayed to you just beyond the E-ZPass facility. E-ZPass for Easier Travel Insert Side A E-ZPass Plus Paying for parking is now quicker and easier with The fast, convenient way to pay for airport parking! E-ZPass Plus is the new payment method that uses E-ZPass to pay for parking. Use E-ZPass Plus at the following locations: Albany International Airport JFK International Airport LaGuardia Airport Newark Liberty International Airport Just obtain a regular airport parking ticket on entry. 0n exit (with your E-ZPass tag properly mounted) hand the ticket to the cashier and request to pay with E-ZPass Plus (at Albany Airport) or insert the ticket in the slot at the cashier booth (JFK, Newark and LaGuardia). Open your E-ZPass Account with automatic credit card replenishment to start taking advantage of E-ZPass Plus. It's E-Z. Your account will be debited for the parking fee if the fee is less than $20. Parking Fees of $20 or greater will be charged directly to the credit card used to replenish your account. Airport parking transactions will appear on your E-ZPass statement. New York Customer Service Center Locations 1-800-333-TOLL (8655) 1-800-772-7935 Grand Island 1700 Grand Island Boulevard Grand Island, NY 14702 Albany Four Executive Park Drive Albany, NY 12203 Spring Valley Pascack Plaza 17 Perlman Drive Spring Valley, NY 10977 Syracuse Lakeshore Drive-In Plaza 911 Old Liverpool Road Liverpool, NY 13088 Buffalo Queens Ellicot Square Building 19-02 Whitestone Expressway Staten Island Yonkers Suite 101 0 College Point, NY 11357 One Edgewater Plaza 730 McLean Avenue 295 Main Street Buffalo, NY 14203 Staten Island, NY 10305 Yonkers, NY 10704 E-ZPass Customer Agreement Terms and Conditions These terms and conditions, together with your E-ZPass application constitute your E-Z?ass Agreement E-ZPass is an electronic toll collection system that allows you to pre-pay charges incurred at E-ZPass facilities. New York E-ZPass is operated under the auspices of the Triborough Bridge and Tunnel Authority the New York State Thruway Authority and the Port Authority of New York and New Jersey Your E-ZPass account (?Account?) will be operable on all E-ZPass facilities, regardless of loca- tion. Your Account will be assigned to one of the abovementioned New York entities and your Agreement is with that particular entity. Identification of the New York entity to which your Account has been assigned and with which you have your Agreement appears on your E-??ass tag(s) Please read these terms and conditions and keep them for your records. When you open your Account and use your E-ZPass Tag, you agree as follows: 0 GENERAL 0 TAG USE a) Failure to comply with this Agreement may result in termination of your Account. b) You may not assign the obligations or benefits of this Agreement. c) Failure to pay charges to your Account may result in penalties as provided by law. d) You must approach and pass through E-ZPass toll lanes at the posted speed limit. Failure to obey the posted speed limit may result in suspension or revocation of your Account. e) You must comply with all applicable traffic laws, regulations, signs and signals, and the directions of toll collectors and law enforcement officers. a) Tag Deposit. Cash or check customers must pay a deposit of $10 for each Tag. The deposit will be refunded when you close your Account and return the Tag in good condition as determined solely by E-ZPass. The Tag deposit is waived for customers authorizing Account replenishment via automatic charge to a credit cardthe vehic e(s) specifically listed on your Application. c) In accordance with section 5 herein, you must surrender a Tag immediately upon request. d) When you use the Tag at any E-ZPass facility, you authorize E-ZPass to debit your Account for charges incurredE-ZPass facilities other than New York E-ZPass facilities, you are subject to the laws and regulations governing such use. f) You must maintain a sufficient balance in your Account, and may not permit Tag use unless a sufficient balance is maintained. Insert Side B E-ZPass Customer Agreement Terms and Conditions (Continued) 3 YOUR ACCOUNT a) You must maintain a prepaid amount in your Account to cover applicable charges to your Account. Applicable charges, if any, will be deducted from your Account each time the Tag is used. E-ZPass will also deduct from your Account applicable administrative fees incurred pursuant to this Agreement. b) Your Account may be suspended based upon outstanding violations and/or for failure to pay administrative fees. c) No interest will be paid on balances in your Account or on refundable Tag deposits. d) You will receive a periodic statement unless there are no transactions and no financial activity in your Account during the applicable period covered by such statement. e) You will be charged a fee for any request to retrieve a statement previously provided. f) You may, no more than four times per year, suspend the following monthly use plans for a minimum of one week and extend the monthly period for calculating the minimum commuter trip charge by calling 1-800-333-TOLL (8655): Tappan Zee Bridge Commuter (TZC), Tappan Zee Bridge Carpool Commuter (TZPL), Grand Island Commuter (GIC), New Rochelle Commuter (NRC), Yonkers Commuter (YKC), Harriman Commuter (HAC), Black Rock Commuter (BRC), Buffalo City Line Commuter (CLC), Bridge Authority Discount (NYSBA). The first Tag use at the bridge after the minimum period will reactivate the Account. g) Administrative fees may be billed directly to your Account h) E-ZPass, in its discretion, may receive updated information about your credit card, including new account numbers and expiration dates, from the financial institution issuing the card. 4 ACCOUNT PRE-PAYMENT a) You must pay a minimum prepaid amount sufficient to pay charges to your Account for a one-month period. b) Your Account will be replenished by your prepaid amount when your Account balance decreases to or below the replenishment point specific to your Account plan. You may choose to replenish your Account in one of the following ways: 1. Authorizing E-ZPass to automatically charge your credit card for all charges to your Account. 2. Checks (or Money Orders) made payable to E-ZPass. A returned check fee of $25 will be charged for each check returned to E-ZPass unpaid by your bank. 3. Cash payments made at an E-ZPass Customer Service Center only in U.S. dollars, or in Canadian dollars at the exchange rate E-ZPass may determine. DO NOT SEND CASH BY MAIL. c) An Account analysis is performed on all new Accounts 35 days from the first Tag use and every 90 days thereafter. If your monthly use is consistently above or below your prepaid amount, E-ZPass will adjust your prepaid amount to approximate a one-month level of use. d) If you have chosen to replenish your Account with a credit card, you may be enrolled in the E-ZPass Plus program. This Program allows you to use your Tag at authorized E-ZPass Plus facilities. If your Tag is used to incur E-ZPass Plus charges, then E-ZPass may charge your credit card that amount. Such credit card charges may be different from your replenishment amount and charged to your credit card at any time. By participating in E-ZPass Plus, you consent to the release of your name and address to E-ZPass Plus facility operators for collection purposes. If your choose not to participate in E-ZPass Plus, you must notify the E-ZPass Customer Service Center. e) Depending on usage or other charges to your Account, there may be more than one replenishment transaction in one statement period. 5 VIOLATIONS a) If you use the Tag when your Account is in a negative balance, suspended or revoked, or after the Tag has been reported lost or stolen, you may: incur administrative fees of up to $50 per occurrence; be charged the full, undiscounted charge; and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. b) If you use the Tag in a vehicle other than one of the class for which the Tag is designated, you may incur administrative fees of up to $50 per occurrence and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. Such continued misuse may result in revocation of your Account. c) If you attempt to use a Tag without properly attaching it to your vehicle, you may incur an administrative fee of $10 per occurrence. 6 DISPUTES You hereby authorize E-ZPass to decide in the first instance every question or dispute arising from, under, in connection with or related to this Agreement, including, without limitation, the imposition of tolls, fees, or other charges incurred, applied or stated for the use or misuse of your Tag or Account. All disputes must be submitted in writing to the E-ZPass Customer Service Center within 180 days of notice that a toll, fee, or other charge has been made to your Account. You agree that the mailing or emailing to the address you state on your Application or to an address which you subsequently provide to the E-ZPass Customer Service Center constitutes notice to you of the tolls, fees and charges contained therein and of any determination by E-ZPass of your submitted dispute. The imposition of claims against PANYNJ, NYSTA and TBTA arising from, under, in connection with or in any way related to this Agreement including, without limitation, the imposition of tolls, fees, or other charges incurred, applied or stated for the use or misuse of your Tag or Account, are governed as follows: • PANYNJ – the provisions of New York State Unconsolidated Laws, Sections 7101 through 7136 and New Jersey Statutes Annotated, Sections 32:1-157 through 32:1-176. • NYSTA - the provisions of Section 361-b of the New York State Public Authorities Law. • TBTA – no action shall lie or be maintained unless such action shall be commenced within one year of notice of E-ZPass’ determination regarding your dispute submitted pursuant to this Agreement. 7 LOST/STOLEN OR NON-OPERATIONAL TAGS You will not be liable for unauthorized Tag use that occurs after you notify E-ZPass, orally or in writing, of loss, theft or possible unauthorized use. However, for the replacement of a lost, stolen, defaced or damaged Tag, you will be charged $23.00 for interior Tags and $29.40 for exterior Tags. If the Tag is non-operational for reasons other than abuse or improper use, and the Tag is returned to an E-ZPass Customer Service Center, E-ZPass will replace it at no charge. 8 DISCLAIMER You acknowledge that E-ZPass and all entities providing E-ZPass services have not made, and expressly disclaim any representation or warranty, express or implied relating to the Tag including, without limitation, any implied or express warranty of merchantability, fitness for a particular purpose or conformity to models or samples. You agree that E-ZPass and all entities providing E-ZPass services will have no obligation or liability whatsoever to you with respect to your use of or the performance of the Tag. You agree to indemnify and hold harmless E-ZPass and all entities providing E-ZPass services from and against all damage, loss, cost, expense or liability relating to, arising from, or as a result of, the use or performance of the Tag. 9 TERMINATION You may terminate this Agreement at any time by requesting such termination in writing and returning the Tag(s) to E-ZPass. Tags should be returned to an E-ZPass Customer Service Center in person or by certified mail. Tags remain the property of the entities providing E-ZPass services. Upon termination and return of the Tag(s), once all outstanding charges have been deducted from your Account, any remaining balance and Tag(s) deposit will be refunded to you. Such refund will be made in the form of a check or credit to your credit card, depending on the manner in which you have chosen to replenish your Account balance. J COLLECTION OF EXPENSES You agree to pay all costs, including attorneys’ fees, incurred by E-ZPass and all entities providing E-ZPass services to collect any monies due under the terms of this Agreement. K MODIFICATIONS E-ZPass may change the terms of this Agreement at any time by advance written notice. Such modified terms shall take effect on the date specified therein. The invalidity of any term or terms of this Agreement shall not affect any other term of this Agreement, which shall remain in full force and effect. L GOVERNING LAW This Agreement shall be governed by and construed in accordance with the laws of the State of New York. M CHANGES You agree to inform E-ZPass of any changes to the information provided by you in your Application, such as: • Address, • Vehicle information, • Credit card account status (i.e., closed account, maximum credit use), • Expiration date of credit card account, or • Payment method. N NON-DISCLOSURE E-ZPass respects the privacy of all Account holders. Account information will not be disclosed to third parties without your consent except as permissible by law and the policies of E-ZPass and the entities providing E-ZPass services. O INQUIRIES AND CORRESPONDENCE Please send all correspondence, payments, Tag returns, or violation inquiries to: E-ZPass Customer Service Center Applications and Returned Tags: PO Box 149001 Staten Island, NY 10314-9001 Payments: PO Box 149002 Staten Island, NY 10314-9002 Violations: PO Box 149003 Staten Island, NY 10314-9003 Correspondence: PO Box 149004 Staten Island, NY 10314-9004 P SCHEDULE OF DEPOSITS/ADMINISTRATIVE FEES Per Tag deposit (cash and check customers) Per Tag deposit (credit card customers) Cost of Tag if defaced, damaged, lost or stolen $10.00 waived Interior Exterior Returned check fee Monthly statement by mail, annual fee Duplicate copy of Statement PANYNJ and TBTA monthly Account service fee Account revocation fee Tag retention fee Unmounted Tag fee Other Tag misuse/violation administrative fees $23.00 $29.40 $25.00 $ 6.00 $ 2.00 $ 1.00 $25.00 Up to $25.00 $10.00 Up to $50.00 E-ZPass and the entities providing E-ZPass services reserve the right to assess additional fees. 5/05 Instructions for Completing the E-ZPass Business Application PART 1. COMPANY INFORMATION PART 3. PRE-PAYMENT CALCULATION The name on the account must be the full legal company name. Clearly print your company information. If you are using this application to establish a sub-account of an existing master account, check the box on the second line of the application and provide the sub-account name and master account number. You must provide the last 4 digits of your company?s Federal ID which will serve as your PIN Your PIN will be used for identification purposes when you access your account via the phone system or website. .. Please record your PIN here and retain it for future reference PART 2. VEHICLE INFORMATION Please provide the requested information for each vehicle listed on the Vehicle lnfonnation Forms. - COMMERCIALJLEHICLES (PART 28) Enter license plate number, state/province of registration, number of axles and vehicle reference number. Circle the type of tag that you are requesting, either interior windshield, exterior roofmount or exterior license plate. TOTAL NUMBER OF AXLES (BOX A) Total the ?Number of Axles? for Commercial Vehicles listed. Enter the total in Box A. TOTAL NUMBER OF INTERIOR WINDSHIELD TAGS (BOX B) Total the number of vehicles that have ?Windshield? circled. Enter the total in Box B. TOTAL NUMBER OF EXTERIOR ROOFMOUNT TAGS (BOX C) Total the number of vehicles that have ?Roofmount? circled. Enter the total in Box 0. TOTAL NUMBER OF EXTERIOR LICENSE PLATE TAGS (BOX D) Total the number of vehicles that have ?License Plate? circled. Enter the total in Box D. Note: Do not order an interior tag for vehicles that have ?at, perfectly vertical windshields or for vehicles which have any metal hanging over the windshield visor, storage rack, boom or crane). If your vehicle fits this description, you must order an exterior tag. - (PART 2b) Complete Part 2b if you are listing commercial vehicles, but are not request- ing tags for them at this time. Clearly print license plate number, state/ province of registration, vehicle reference number and number of axles. (PART 26) Clearly print license plate number, state/province of registration and vehicle reference number. Circle the tag type for each vehicle for which you are requesting a tag. If you are not requesting a tag for a vehicle, circle ?None?. Note: Please refer to the Special Vehicle Listing. If any of the listed vehicles appear on this list, you must request exterior tags for such vehicles. Total the number of vehicles that have ?Windshield" circled. Enter the total in Box E. Total the number of vehicles that have ?License Plate" circled. Enter the total in Box F. - TOLLS Box 1 Total number of commercial axles. Take the number in Box A of the Commercial Vehicle lnforrnation form (part 2a) on page 3 and enter in Box 1. 80x2 Multiply Box 1 by $50. Enter the amount in Box 2. EM Total the number of passenger vehicles for which you are requesting a tag. Take the numbers in Box and Box of the Passenger Vehicle Information form on page 5 (part 2c), add them together and enter the total in Box 3. E0211 Multiply Box 3 by $25. Enter amount in Box 4. Box 5 If the total amount of prepaid tolls will not cover the ?rst month of anticipated tolls, please enter an additional amount in Box 5. Box6 . TAG FEES This section will estimate the tag fee that will be charged to your account. Please note that the fee is charged per tag and will change if the number of tags on your account changes. ?ax] Number of interior tags. Take the numbers in Boxes and E. and enter the total in Box 7. EM Multiply the number in Box 7 by $.50 and enter the amount in Box 8. Number of exterior tags. Take the numbers in Boxes 0,0 and F. add together and enter the total in Box 9. Multiply the number in Box 9 by $.50 and enter the amount in Box 10. Box 11 Tag Fees. Add Boxes 8 and 10. Enter the amount in Box 11. Box 11 is the estimated tag fee cost that will be charged to your account, based on the number of tags required. PART 4. PAYMENT METHODS - CREDIT CARD REPLENISHMENT: The Easiest Way to Pay There are many advantages to starting and replenishing your E-ZPass account with a credit card: 0 It's easy. There?s no need to worry about a separate E-ZPass payment. It?s automatic. As long as your credit card account is in good standing, your E-ZPass balance will never run out. 0 Your account is automatically charged whenever your account balance falls below 25% of your prepaid tolls amount. To replenish by credit card, place a checkmark in the box to the left of ?Option 1" and complete Part 4. Provide E-ZPass with your current credit card num- ber, credit card type, expiration date and signature. Your credit card must always be valid and have a current expiration date. - CHECK 0R CASH PAYMENT To replenish by check or cash, place a checkmark in the box to the left of ?Option PART 5. CUSTOMER AGREEMENT This section must be signed by a duly authorized representative of the company. If you need further assistance in completing this application, please call 1-800-333-TOLL (8655) or visit the E-ZPass New York website at Please take advantage of our automated phone system by calling 1-800-333-TOLL (8655) to: 0 Receive account information 0 Obtain more information about opening an account 0 Request an additional application 0 Obtain Service Center locations and hours of operation 0 Update your credit card expiration date Please have your account or tag number and PIN ready when you call. BUSINESS APPLICATION . Staten Island, IllY10314-9001 New York Servrce Center I For company-owned or leased, passenger and commercial vehicles cars, trucks, tractor trailers, tandem trailers, etc.) I Call or access our website at to make any change to an existing E-ZPass account. I FOR INSTRUCTIONS on completing this application, please see page 1 PART 1 . COMPANY INFORMATION Personal Identi?cation Number Company or Master Account Name (Ful Legal Nana) You must enter the last 4 digits of your Federal I- DCheck it account to be a sub-account Sub-account name If previous box was checked, enter Master Account Number ?Doing Business As" Name (It Applicdlle) Billing Contact Last Name First Name Phone Number Fax Num)ber Billing Address City State Ep Code Shipping Contact (It trom above) Last Name First Name Phone Number Fax Number Shipping Address City State Hp Code I would like to receive my statements (Please Check One): E-mail address Regular Mail [3 E-mail PART 2. VEHICLE INFORMATION Complete the attached Vehicle Information forms (Parts 23, 2b and 2c) before completing Part 3. List all vehicles even though tags may not be ordered for all vehicles at this time. You may not use a passenger 5ka tag on a commercial vehiclevehicle of a differem toll class may result in an administrative fee, in addition to the toll. You may also be liable for civil penalties pursuant to law. Refer to Page 1 for on completing Part 2a. 2b and 2c on pages 3-5. PART 3. PRE-PAYMENT CALCULATION - Estimated Month Id Tolls Tag Fees l! Box 1 $5000 Box 2 Box 7 3-50 Box a timber ot Camelal Axles Muller ot Interior Tags Total tag tees lorlnteriortagsrequested 325.?) $WotPassenger Vehicles Wot Exterior Tags Total forene?orlagsrettm ADDITIONAL PREPAID TOLLS ?tSt month's tolls) Box 5 ESTIMATED TAG COSTS (Box11=Box8+Box10) Box11 TOTAL INITIAL PAYMENT (Box6=Box2+Box4+Box5) we PART 4. PAYMENT METHOD Opu'on 1 - Credit Card with Automatic Replenishment ?ieEasiestWaybPay Option 2 - Check or Cash Replenishment Credit card mi malaria. Date; Make checks payable to "E?ZPass' and mail with this appliestion . . to the E-ZPass Customer Service Center, PO Box 149001, Staten Credit Card Type: Wsa El Mastercard El Amencan Express El Discover Island, NY 103149001. Make cash payments in person at E?ZPass Customer Service Centers listed on page 6. A low balance mes- Cardholdemml I I althon'ze ?th to imnled'ately charge this credt card the trial amourt shown in Box Wheneva the prepaid balame for tlis $3?:an is 02's?? In ng a a accourt is at approximately 25% 0f the replenislment amomt, I autlnrize E-ZPass to charge th's credit card an amomt that re?ects the average usage. I mderstarll and agree that such cha es will continue until the E-ZPass account is terminated or I revoke this arthon'ation in writing. Should a replacement tag be requ'r or an administrative fee be incurred, I authon'ze E?ZPass to chage this credit lid the appropriate amolnt inclned meter the terms of this ageement. I fatter represent that I am the arthon'zed card- holder. I authorize E?ZPass, in its discretion, to receive updated information about my credit card including new account numbers and expiration dates, the ?nancial institrtion issuing this card. Authorized Cardholder Signature Required Date PART 5. CUSTOMER AGREEMENT My completion if this ?rm, mymert and s'gnature below corstitute this company's agreemert In use EZPass subject to all appicable terms aid condtiors. I and agree that by us'ng the resrlting diffs will be Matted from this prepaid E?ZPass aocourd. [understand and ree that] have read, mderstand and wept the terms an conditions awompanying ?lls applicah'on and set forth in tlv?s form, all of which are part tll?s agreement. I further represent that! am auhon'zed t) execue dris ageement on behalf of the company named in Part 1. Signature Required Title Date List all commercial vehicles that will be used under this account, that you are requesting a tag for at this time. Attach photocopies of this sheet if more space is needed. The vehicle type selected from the Vehicle Reference Chart should be the most common configuration of that vehicle. If your license plate number iniormation changes, please contact the Customer Service Center in order to avoid incurring violation charges. License Plate State/ Vehicle Reference Number You Must Circle One Type Of Tag Number Province of (From Vehicle of Axles For Each Vehicle (Please Print Clearly) Registration Reference Chart) Interior Tags Exterior Tags Veh1lcWindshield Rootmount License Plate Vehzicle I I I I I I Windshield Rootmount License Plate Velgcle I I I I I I Windshield Rootmount License Plate Veljcle I I I I I I Windshield Rootmount License Plate Velgcle I I I I I I Windshield Rootmount License Plate Velgcle I I I I I I Windshield Rootmount License Plate Veh7icWindshield Rootmount License Plate Velgcle I I I I I I Windshield Rootmount License Plate Velgcle I I I I I I Windshield Rootmount License Plate Ve?fle I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate Venue I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate Velzlifle I I I I I I Windshield Rootmount License Plate VelzliZCWindshield Rootmount License Plate VeggcWindshield Rootmount License Plate I I I I I I Windshield Rootmount License Plate Veggcle I I I I I I Windshield Rootmount License Plate BOX A BOX BOX BOX Total #of Total of tags circled Total of tags circled Total of tags circled Totals: PART 2b. COMMERCIAL VEHICLE INFORMATION (NOT REQUESTING TAGS AT THIS TIME) List commercial vehicles that may be used under this account even though you are not requesting a tag(s) for them at this time. Attach photocopies of this sheet if more space is needed. The vehicle type selected from the Vehicle Reference Chart should be the most common configuration of that vehicle. If your license plate number information changes, please contact the Customer Service Center in order to avoid incurring violation charges. License Plate Number State/Province of Registration (Please Print Clearly) Vehicle 1 Vehicle 2 Vehicle 3 Vehicle 4 Vehicle 5 Vehicle 6 Vehicle 7 Vehicle 8 Vehicle 9 Vehicle 10 Vehicle 11 Vehicle 12 Vehicle 13 Vehicle 14 Vehicle 15 Vehicle 16 Vehicle 17 Vehicle 18 Vehicle 19 Vehicle 20 Vehicle 21 Vehicle 22 Vehicle 23 Vehicle 24 Vehicle 25 4 Vehicle Reference # (From Vehicle Reference Chart) Number of Axles PART 26. PASSENGER VEHICLE List all passenger vehicles that may be used under this account even if you are not requesting a tag for the vehicle at this time. Attach photocopies of this sheet if more space is needed. The vehicle type selected from the Vehicle Reference Chart should be the most common configuration of that vehicle. All passenger vehicles will be issued interior tags, unless the vehicle appears on the Special Vehicle Listing requiring exterior tags. If your license plate number information changes, please contact the Customer Service Center in order to avoid incurring violation charges. License Plate State] Vehicle Reference YOU Circle One Type 0? T39 For Vehicle Number Province of (From Vehicle "you my"? mummy". tag 50' .. (Please Print Clearly) Registration Reference Chart) a vehmle at this time' please Ciro/e None Interior Exterior None Veh1icWindshield License Plate None Vehzicle Windshield License Plate None Velgicle Windshield License Plate None Vehicle Windshield License Plate None Vehsicle Windshield License Plate None Velgcle Windshield License Plate None Veljlicle Windshield License Plate None Velgcle Windshield License Plate None Velgcle Windshield License Plate None Vebgcle Windshield License Plate None Vehicle Windshield License Plate None Vehizcle Windshield License Plate None Vebgcle Windshield License Plate None Vehicle Windshield License Plate None Ve 11i5? Windshield License Plate None ??Windshield License Plate None Windshield License Plate None Vezgcle Windshield License Plate None Vegcle Windshield License Plate None Windshield License Plate None Windshield License Plate None Vegizde Windshield License Plate None Veggcle Windshield License Plate None Velzlifle Windshield License Plate None VelZIiscle Windshield License Plate None (Total #BOPtaxgsEcircled) (Total #gpm?s?ircled) Totals: Special Vehicle Listing: Exterior Tags Required as of 5/04 The vehicles listed below are equipped with windshields that have metal in the glass which prevents the E-ZPass tag from being read properly. Customers with these wind- shields must obtain exterior tags. There may be other vehicles that have specialized Windshields as an option that may prevent an E-ZPass tag from being read properly. If you are unsure about whether your vehicle has one of these Windshields, contact the dealer where you purchased your car. Make Model Year Buick Roadmaster All Cadillac Catera 1999-2001 Chevrolet Lumina Van Prior to 2002 Venture Prior to 2002 Ford Crown Victoria" 1987-1994 Taurus' Prior to 1995 Oldsmobile Silhouette Prior to 2002 Pontiac Montana Prior to 2002 Transport Prior to 2002 Subaru SVX All ?Vehicles with heated windshield only New York Customer Service Center Locations 1-800-333-TOLL (8655) Albany Grand Island Staten Island Four Executive Park Drive 1700 Grand Island Boulevard One Edgewater Plaza Albany, NY 12203-3717 Grand lsland, NY 14702 Staten Island, NY 10305 Queens Syracuse Buffalo 19-02 Whitestone Expressway Lakeshore Drive-In Plaza Ellicot Square Building - Suite 1010 College Point, NY 11357 911 Old Liverpool Road 295 Main Street Liverpool, NY 13088 Buffalo, NY 14203-2219 Spring Valley Pascack Plaza Yonkers 17 Perlman Drive 730 McLean Avenue Spring Valley, NY 10977-5243 Yonkers, NY 10704 E-ZPass Business Account Terms and Conditions These terms and conditions, together with your E-ZPass application ("Application"), constitute your E-ZPass Agreement ("Agreement"). E-ZPass is an electronic toll collection system that allows you to pre-pay charges incurred at E-ZPass facilities. New York E-ZPass is operated under the auspices of the MTA Bridges and Tunnels, the New York State Thruway Authority, and the Port Authority of New York and New Jersey. Your E-ZPass account ("Account") will be operable on all E-ZPass facilities, regardless of location. Your Account will be assigned to one of the abovementioned New York entities and your Agreement is with that particular entity. Identification of the New York entity to which your account has been assigned and with which you have your Agreement appears on your E-ZPass tag(s) ("Tag"). Please read these terms and conditions and keep them for your records. When you open your E-ZPass Account and the E-ZPass Tag(s) is used, you agree as follows: b) If you use the Tag in a vehicle other than one of the class for which the Tag is designated, you may incur administrative fees of up to $50 per occurrence; and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. Such continued misuse may result in revocation of your Account. c) If you attempt to use the Tag without properly attaching it to your vehicle, you may incur an administrative fee of up to $50 per occurrence. LOST/STOLEN OR NON-OPERATIONAL TAGS You will not be liable for unauthorized Tag use that occurs after you notify E-ZPass, orally or in writing, of loss, theft or possible unauthorized use. However, for the replacement of a lost, stolen, defaced or damaged Tag, you will be charged $25.00 for interior Tags and $32.00 for exterior Tags. If the Tag is non-operational for reasons other than abuse or improper use, and the Tag is returned to the E-ZPass Customer Service Center, E-ZPass will replace the Tag at no charge. GENERAL a) Failure to comply with this Agreement may result in termination of your Account. b) You may not assign the obligations or benefits of this Agreement. c) Failure to pay Account charges may result in penalties as provided by law. d) You must approach and pass through E-ZPass lanes at the posted speed limit. Failure to obey the posted speed limit may result in suspension or revocation of your Tag. e) You must comply with all applicable traffic laws, regulations, signs, signals, and directions of toll collectors and law enforcement officers. DISCLAIMER You acknowledge that E-ZPass and all entities providing E-ZPass services have not made, and expressly disclaim any representation or warranty, express or implied, relating to the Tag including, without limitation, any implied or express warranty of merchantability, fitness for a particular purpose or conformity to models or samples. You agree that E-ZPass and all entities providing E-ZPass services will have no obligation or liability whatsoever to you with respect to your use of or the performance of the Tag. You agree to indemnify and hold harmless E-ZPass and all entities providing E-ZPass services from and against all damage, loss, cost, expense or liability relating to, arising from, or as a result of, the use or performance of the Tag. TAG USE a) You may use the Tag on the vehicle(s) specifically listed on your Application. b) In accordance with Section 5 herein, you must surrender a Tag immediately upon request. c) When you use the Tag at any E-ZPass facility, you authorize E-ZPass to debit your Account for charges incurred. d) If you use the Tag on facilities other than New York E-ZPass facilities, you are subject to the laws and regulations governing such use. e) You must maintain a sufficient balance in your Account, and may not permit Tag use unless a sufficient balance is maintained. TERMINATION You may terminate this Agreement at any time by returning all Tags and notifying E-ZPass in writing. Tags should be returned to an E-ZPass Customer Service Center in person or by certified mail. Tags remain the property of the agencies providing E-ZPass services. Upon termination and return of the Tag(s), your Account balance, if any, will be refunded to you. All outstanding charges will be deducted prior to such refund. COLLECTION OF EXPENSES YOUR ACCOUNT You agree to pay all costs, including attorneys' fees, incurred by E-ZPass and all entities providing E-ZPass services to collect any monies due under the terms of this Agreement. a) You must maintain a prepaid amount in your Account to cover applicable charges to your Account. Applicable charges, if any, will be deducted from your Account each time the Tag is used. E-ZPass will also deduct from your Account applicable administrative fees incurred pursuant to this Agreement. b) Your account will be assessed a monthly tag fee in the amount of $0.50 per Tag. c) No interest will be paid on balances in your Account. d) You will receive a periodic statement unless there are no transactions and no financial activity in your Account during the applicable period covered by such statement. e) You will be charged a fee for any request to retrieve a statement previously provided. f) Administrative fees may be billed directly to your Account. In addition to any other remedies you may have at law, you may contest the imposition of charges or administrative fees to the E-ZPass Customer Service Center. Such challenge must be in writing and must be made within 180 days from the date of the transaction. MODIFICATIONS E-ZPass may change the terms of this Agreement at any time by advance written notice. Such modified terms shall take affect on the date specified therein. The invalidity of any term or terms of this Agreement shall not effect any other term of this Agreement, which shall remain in full force and affect. GOVERNING LAW This Agreement shall be governed by and construed in accordance with the laws of the State of New York. You agree to inform E-ZPass of any changes to the information provided by you in your Application, such as: • Address, • Vehicle information, • Credit card account status (i.e., closed account, maximum credit use), • Expiration date of credit card account, or • Payment method. ACCOUNT PRE-PAYMENT a) You must pay a minimum prepaid amount sufficient to pay Account charges for a onemonth period. b) Your Account will be replenished by your prepaid amount when your Account balance decreases to or below the replenishment point specific to your payment method. You may choose to replenish your Account in one of the following ways: 1. Authorizing E-ZPass to automatically charge your credit card for all charges to your Account. 2. Checks (or Money Orders) made payable to E-ZPass. A returned check fee of $15 will be charged for each check returned to E-ZPass unpaid by your bank. 3. Cash payments made only in U.S. dollars, or in Canadian dollars at the exchange rate E-ZPass may determine. DO NOT SEND CASH BY MAIL. c) An Account analysis is performed on all new Accounts 35 days from the first Tag use and periodically thereafter. If your monthly use is consistently above or below your prepaid amount, E-ZPass will adjust your prepaid amount to approximate a month’s level of use. d) If you have chosen to replenish your Account with a credit card, you may enroll in the E-ZPass Plus program. This Program allows you to use your Tag at authorized E-ZPass Plus facilities. If your Tag is used to incur E-ZPass Plus charges, then E-ZPass may charge your credit card that amount. Such credit card charges may be different from your replenishment amount and charged to your credit card at any time. By participating in E-ZPass Plus you consent to the release of your name and address to E-ZPass Plus facility operators for collection purposes. If you choose to participate in E-ZPass Plus, you must notify the E-ZPass Customer Service Center. e) Depending on usage or other charges to your Account, there may be more than one replenishment transaction in one statement period. NON-DISCLOSURE E-ZPass respects the privacy of all Account holders. Account information will not be disclosed to third parties without your consent except as permissible by law and the policies of E-ZPass and the entities providing E-ZPass services. INQUIRIES AND CORRESPONDENCE Please send all correspondence, payments, Tag returns, or violation inquiries to: Violations: PO Box 149003 Staten Island, NY 10314-9003 Payments: PO Box 149002 Staten Island, NY 10314-9002 Correspondence: PO Box 149004 Staten Island, NY 10314-9004 SCHEDULE OF TAG SALES/ADMINISTRATIVE FEES Cost of Tag if damaged, lost or stolen: $25.00 $32.00 Returned check fee $15.00 Duplicate copy of statement $ 2.00 Tag misuse/violation administrative fees Up to $50.00 Monthly Tag fee $.50 per tag E-ZPass and the entities providing E-ZPass services reserve the right to assess additional fees. VIOLATIONS a) a) If you use the Tag when your Account is in a negative balance, suspended or revoked, or after the Tag has been reported lost or stolen, you may incur an administrative fee of up to $50 per occurrence; be charged the full undiscounted charge; and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. E-ZPass Customer Service Center Applications: PO Box 149001 Staten Island, NY 10314-9001 7 Interior Exterior 10/04 Don't Wait Another - .K Sign up for 13pr now! Business Application Enclosed Facilities Accepting E-ZPass mm fir-.13 Bridges and Tunnels ?lit? M??l'rlrl?? The entire Bayonne Bridge Rip Van Winkle Bridge Bronx-Whitestone Bridge New York StateThruway George Washington Bridge Kingston-Rhinecliff Bridge Brooklyn?Battery Tunnel including: Goethals Bridge Mid?Hudson Bridge Cross Bay Veterans Memorial Bridge New Rochelle Barrier Holland Tunnel Newburgh-Beacon Bridge Henry Hudson Bridge Yonkers Barrier Lincoln Tunnel Bear Mountain Bridge (no trucks permitted) Tappan Zee Bridge Outerbridge Crossing Marine Parkway?Gil Hodges Memorial Bridge Spring Valley Barrier Queens Midtown Tunnel Harn'man Barrier Throgs Neck Bridge Black Rock Barrier Triborough Bridge Buffalo City Line Barrier Venazano-Narrows Bridge Grand Island Bridges And wherever you see the sign displayed 1-800-333-TOLL (8655) TDDITTY 1-800-772-7935 Insert Side A VEHICLE REFERENCE CHART U88 chart to determine the appropriate vehicle reference number required tor each vehicle. TYPE AND DESCRIPTION OF VEHICLE mm 2 axles, 4 tires (up to 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 2 axles, 2 tires (up to 7,000 lbs.) 2 axles, 3 tires (includes trikes or a Sidecar up to 7,000 lbs.) 2 axles, 4 tires 2 axles, 4 tires 2 axles, 6 tires 2 axles, 6 tires up to 7,000 lbs.) over 7,000 lbs.) up to 7,000 lbs.) over 7,000 lbs.) 3 axles, 6 tires up to 7,000 lbs.) 3 axles, 6 tires over 7,000 lbs.) 3 axles, 8 or 10 tires (up to 7,000 lbs.) 3 axles, 8 or 10 tires (over 7,000 lbs.) 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7,000 lbs.) 2 axles, 6 tires (up to 7,000 lbs.) 2 axles, 6 tires (over 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 3 axles, 6 tires (over 7,000 lbs.) 3 axles, 8 or 10 tires (up to 7,000 lbs.) 3 axles, 8 or 10 tires (over 7,000 lbs.) 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7,000 lbs.) 2 axles, 6 tires (up to 7,000 lbs.) 2 axles, 6 tires (over 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 3 axles, 6 tires (over 7,000 lbs.) 3 axles, 8 or 10 tires (up to 7,000 lbs.) 3 axles, 8 or 10 tires (over 7,000 lbs.) Insert the vehicle reference number on pages 3 and 5 for each vehicle you are requesting a tag tor. TYPE AND DESCRIPTION OF VEHICLE In 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7,000 lbs.) 394 2 axles, 6 tires (up to 7,000 lbs.) 393 2 axles, 6 tires (over 7,000 lbs.) 395 3 axles, 6 tires (up to 7,000 lbs.) 396 3 axles, 6 tires (over 7,000 lbs.) 398 3 axles, 8 or 10 tires (up to 7,000 lbs.) 397 3 axles, 8 or 10 tires (over 7,000 lbs.) 399 4 axles, 8 tires (up to 7,000 lbs.) 400 4 axles, 8 tires (over 7,000 lbs.) 402 4 axles, 10 or more tires (up to 7,000 lbs.) 4 axles, 10 or more tires (over 7,000 lbs. 202 2 axles, 4 tires (up to 7,000 lbs.) 456 201 2 axles, 4 tires (over 7,000 lbs.) 458 203 2 axles, 6 tires (up to 7,000 lbs.) 457 204 2 axles, 6 tires (over 7,000 lbs.) 459 205 3 axles, 6 tires (up to 7,000 lbs.) 460 205 3 axles, 6 tires (over 7,000 lbs.) 462 207 3 axles, 8 or 10 tires (up to 7,000 lbs.) 461 3 axles, 8 or 10 tires (over 7,000 lbs.) 463 4 axles, 8 tires (up to 7,000 lbs.) 464 4 axles, 8 tires (over 7,000 lbs.) 466 4 axles, 10 or more tires (up to 7,000 lbs.) 465 264 4 axles, 10 or more tires (over 7,000 lbs.) 467 266 265 267 Note: - The weight limit of 7,000 lbs. noted throughout this 268 CHART re?ects the gross vehicle weight (GVW) on 270 the vehicle 269 registration. 271 - Other trucks and tractor trailer combinations are listed on the reverse side. - Should your vehicle not conform to one of the descrip- tions listed, contact the E?ZPass Customer Service Center at (8655). 328 330 329 331 332 334 333 335 1/03 TYPE AND DESCRIPTION OF VEHICLE 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7,000 lbs.) 2 axles, 6 tires (up to 7,000 lbs.) 2 axles, 6 tires (over 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 3 axles, 6 tires (over 7,000 lbs.) 3 axles, 8 or 10 tires (up to 7,000 lbs.) 3 axles, 8 or 10 tires (over 7,000 lbs.) 4 axles, 8 tires (up to 7,000 lbs.) 4 axles, 8 tires (over 7,000 lbs.) 4 axles, 10 or more tires (up to 7,000 lbs.) 4 axles, 10 or more tires (over 7,000 lbs.) 5 axles, 10 tires (up to 7,000 lbs.) 5 axles, 10 tires (over 7,000 lbs.) 5 axles, 12 or more tires (up to 7,000 lbs.) 5 axles, 12 or more tires (over 7,000 lbs.) 6 axles, 12 tires (up to 7,000 lbs.) 6 axles, 12 tires (over 7,000 lbs.) 6 axles, 14 or more tires (up to 7,000 lbs.) 6 axles, 14 or more tires (over 7,000 lbs.) 7 axles, 14 tires (up to 7,000 lbs.) 7 axles, 14 tires (over 7,000 lbs.) 7 axles, 16 or more tires (up to 7,000 lbs.) 7 axles, 16 or more tires (over 7,000 lbs.) 3 axles (under 65') 4 axles (under 65') 5 axles (under 65') 6 axles (under 65') 7 axles (under 65') 4 axles (over 65') 5 axles (over 65') 6 axles (over 65') 7 axles (over 65') Vehicle Ref. 520 522 521 523 524 526 525 527 528 530 529 531 532 534 533 535 536 538 537 539 540 542 541 595 599 603 607 659 663 667 671 Insert Side 8 Vehicle TYPE AND DESCRIPTION OF VEHICLE Ref. $8 3 axles (trailer less than or equal to 48?) 719 4 axles (trailer less than or equal to 48?) 723 5 axles (trailer less than or equal to 48?) 727 6 axles (trailer less than or equal to 48?) 731 7 axles (trailer less than or equal to 48?) 735 3 axles (trailer over 48?) 783 4 axles (trailer over 48?) 787 5 axles (trailer over 48?) 791 6 axles (trailer over 48?) 795 7 axles (trailer over 48?) 799 3 axles 1 103 4 axles 1 107 5 axles 1111 6 axles 1115 7 axles 1119 8 axles 1 123 9 axles 1 127 10 axles 5 axles, 2 trailers ea. (:28 6 axles, 2 trailers ea. (528 12') 7 axles, 2 trailers ea. (:28 863 8 axles, 2 trailers ea. (:28 867 9 axles, 2 trailers ea. (528 12') 871 10 axles, 2 trailers ea. (:28 875 5 axles, 1 trailer ea. (:28 983 6 axles, 1 trailer ea. (:28 987 7 axles, 1 trailer ea. (:28 991 8 axles, 1 trailer ea. (:28 995 9 axles, 1 trailer ea. (:28 999 10 axles, 1 trailer ea. (:28 1003 5 axles, 2 trailers ea. (>28 919 6 axles, 2 trailers ea. (>28 923 7 axles, 2 trailers ea. (>28 12') 927 8 axles, 2 trailers ea. (>28 931 9 axles, 2 trailers ea. (>28 935 10 axles, 2 trailers ea. (>28 1r2') 939 Appendix K1 Tag Kit Contents - E-ZPass Tag(s) - Tag Adhesive Strips - Read Proof Bag - E-ZPass Guidebook - Account Profile Letter New York Customer Service Centers Albany Four Executive Park Drive Albany, NY 12203 Buttalo 3600 Delaware Avenue Kenmore, NY 14217 Grand Island 1700 Grand Island Boulevard Grand Island, NY 14702 Queens 19-02 Whitestone Expressway College Point, NY 11357 Spring Valley Pascack Plaza 17 Perlman Drive Spring Valley, NY 10977 Staten Island One Edgewater Plaza Staten Island, NY 10305 Syracuse Lakeshore Drive-In Plaza 911 Old Liverpool Road Liverpool, NY 13088 Yonkers 730 McLean Avenue Yonkers, NY 10704 For An Application, Access our website at Phone Toll Free: 1-800-333-TOLL (8655) Text Telephone: 1-800-772-7935 \Vhere To Use Your E-ZPass Tag Your tag is accepted at each of the following facilities and wherever you see the sign displayed. For updates on new toll agencies offering E-ZPass, visit our website at The entire New York State Thruway including: New Rochelle Barrier Black Rock Barrier Yonkers Barrier Buffalo City Line Barrier Tappan Zee Bridge Grand Island Bridges Harriman Barrier Bridges and Tunnels Bronx-Whitestone Bridge Queens Midtown Tunnel Brooklyn-Battery Tunnel Throgs Neck Bridge Cross Bay Veterans Memorial Bridge Triborough Bridge Henry Hudson Bridge Verrazano-Narrows Bridge Marine Parkway-Gil Hodges Memorial Bridge 32m. Rip Van Winkle Bridge J. Newburgh-Beacon Bridge Kingston-Rhinecliff Bridge Bear Mountain Bridge Mid-Hudson Bridae . ,1 Bayonne Bridge Holland Tunnel George Washington Bridge Lincoln Tunnel Goethals Bridge Outerbridge Crossing Important Saf?etor Considerations Enjoy the benefits of E-ZPass, but please pay attention to the following safety considerations: I Obey posted speed limits. I Never back up at a toll plaza. I Your tag must be affixed to your windshield, not held in your hand. I Come to a complete stop at staffed lanesyour vehicle in the toll lane. [Es?.35" Individual Guidebook Contents Welcome To The Quick And Easy ?in To Pay Tolls 2 How Your Tag \Vorks 3 How To Install Your Interior E-ZPass Tag 4 Approaehing? an E-ZPass Lane 7 How Your E-ZPass Works 8 13-7. ??ays to Contact. us 10 oracl- E-ZPass Information 13 Frequently Asked Questions 15 Terms and Conditions 18 Welcome To The Quick And Easy Way To Pay Tolls ow that you've received your E-ZPass tag, you are ready to begin enjoying the ease and convenience of electronic toll collection. You?ll be able to pass through toll plazas, without fumbling for cash, tickets or tokens or rolling down your window. Greater bene?ts result when more motorists use their tags at E?ZPass facilities. Individually, E-ZPass tagholders have the advantage of quick and easy toll payment. Together, all E-ZPass users help reduce congestion and auto emissions caused by idling engines. How Your Tag Works 0 As you slowly pass through the E-ZPass facility, your E-ZPass lag is read. 9 In an instant, the tag information is read by an over- head antenna in the E-ZPass facility and the proper charge is deducted from your E-ZPass account. 0 At some facilities, there are gates that will go up when a valid tag is read. 0 A video enlorcement system is in place to identify charge evaders. 0 A traffic signal and message is immediately displayed to you just beyond the E-ZPass facility. To avoid delay, always have your tag installed properly by affixing as per the mounting instructions provided with your tag(s). Otherwise, the signal from your tag may not be read and you may be subiect to administrative fees up to $25 as a violator at Port Authority of New York and New Jersey and New York State Thruway Authority crossings. At MTA and New York State Bridge Authority crossings, the gate will not go up, and you may be subject to administrative fees. IMPORTANT: ■ If you picked up your tag at any of the Customer Service Centers, you must wait 36 hours before installing and using your tag; if you received it by mail, you may install and use it immediately. ■ Tags must not obstruct the driver’s line of sight through the windshield and must not be installed on the mirror, visor or dashboard. ■ Please install tags properly. If more adhesive mounting strips are needed for other vehicles or if you have a problem installing the tags, assistance is available by calling 1-800-333-TOLL (8655). ■ How To Install Your Interior E-ZPass Tag P ■ ■ Tags must be installed. Leaving tags on a seat, dashboard or console and holding it up to the windshield at the last second is not safe and may result in delays, violations and administrative fees. Tags installed incorrectly or not at all can cause unnecessary issuance of toll evasion violations or delays at the toll booth. Tags must not be held in your hand. Doing so may result in toll evasion violations and administrative fees. roperly Installing The Interior E-ZPass Tag In Your Vehicle Is Easy And Essential. 1) Clean and dry the inside of your windshield around the rearview mirror. 2) Without removing the mounting strips from the tag, remove the tape backing from the mounting strips. 3) Turn the tag label right side up facing you. Adhere the tag inside your car to the upper center portion of your windshield, behind the rear view mirror at least one inch to the right of the center support of the mirror and at least one inch below the top edge of the windshield, or below the tinted section of glass. (See above photo) Note: If you were issued an exterior tag, please refer to the mounting instructions included in your tag kit. 4 5 You Can Also Use Your Tag In Other Vehicles. Your tag can be used in any other vehicle classi?ed as an individually owned or leased vehicle with two axles, a max- imum gross weight of 7,000 pounds (vehicle and load) and single rear tires (includes RV's with dual rear tires). A vehicle pulling a trailer or a vehicle with more than two-axles or 4 tires has a different toll classi?cation. Therefore, do not use the unstaffed ?E-ZPass Only? lane at MTA New York State Thruway or New York State Bridge Authority facilities unless you have obtained a tag programmed for towing such a vehicle. Use the staffed lane. Commuter discount plans do not apply in these instances and the higher toll will be charged to your account. At Port Authority plazas, you may use either an ?E?ZPass Only" or a ?Cash/E-ZPass? lane regardless of what you are pulling. Contact the Customer Service Center at 1-800-333-TOLL (8655) to obtain an addi- tional tag if you regularly pull a trailer or use a vehicle with more than 2 axles or 4 tires. It You Don't Want To Use Your Tag If you don?t want your tag to be read at a particular toll plaza, be sure to enclose the tag in the silver ?read prevention? bag that was provided with your tag, prior to entering the toll plaza area. If you need a ?read prevention" bag, call the Customer Service Center at 1-800-333-TOLL (8655). TIP: Remember, you must always told the bag when the tag is in it, so the tag will not be read. Approaching on E- ZPess Lone. ook for the distinctive purple and white E-ZPass logo signs whenever you use a toll facility. The signs will direct you for that particular toll plaza. There are some E-ZPass operating differences from agency to agency that you should be aware of as you travel. New York State Thruway Locating an E-ZPass lane on the New York State Thruway is easy, since ALL LANES are equipped with E-ZPass. If you are looking for a non-stop lane just look for the overhead ?E-ZPass Only" sign. For safety reasons please obey the 5 posted speed limit while traveling through non-stop lanes. In all other lanes, you must come to a complete stop and wait for the green light before proceeding. Vehicles with the Tappan Zee Carpool Plan must use staffed lanes and have at least three people in the vehicle. Carpool tags using the ?E?ZPass Only? lanes will be charged the higher commuter rate. Port Authority of All Port Authority lanes accept E-ZPass. ?Cash/E-ZPass" lanes also accept other payment methods. A full stop is required in these lanes. ?E-ZPass Only? or ?Cash/E-ZPass" lanes allow tag holders to proceed through the toll lane at 5 mph. Vehicles with the Port Authority Carpool Plan must use the staffed lanes and requires three or more occupants in a passenger vehicle. The discounted $1.00 toll is applied only in Cash/E-ZPass lanes. Please remember to come to a complete stop. New York State Bridge Authority All New York State Bridge Authority E-ZPass dedicated lanes can be identified by the overhead ?E?ZPass Only" sign. All ?Full Service" lanes accept E-ZPass as well. MTA Bridges and Tunnels E-ZPass customers at MTA Bridges and Tunnels must use the toll lanes marked with the purple and white E-ZPass sign. Cash lanes do not accept E-ZPass. E-ZPass customers who enter cash lanes will be required to pay the full toll in cash. Some facilities also feature dedicated roadway lanes for E?ZPass customers on the approach to the toll plaza. Remember: For All Facilities Never back out of a toll plaza. Toll collectors do not have access to your E-ZPass account, so they cannot answer your questions in the toll lane. You must call the Customer Service Center with any questions regarding your account. Invalid Tags. 0r Misuse For All Authorities I Misusers of the E-ZPass System are subject to penalties and administrative fees of up to $50. I If you replenish an account that has insufficient funds by cash or check, you must follow the instructions of the Customer Service Center before using your tag again. How Your -ZPass Account. ?701165 Account Status You can obtain automated account information 24 hours a day by accessing our website at or by calling (8655). Keep your account or tag number and your PIN handy when you call. You will need your password to access the website. Your account number is included on your statement. If you ever have questions con- cerning your account, you will need to provide your account or tag number and PIN Customer Service Representatives are available by phone at 1-800-333-TOLL (8655) from 7am-7pm weekdays and 8am-2pm Saturday. Account Statement You will receive a statement that will detail all of your transactions by tag, amount of each toll, date, time, location, and any payments or credits made to your account. Beginning and ending balances will be especially helpful to business travelers who need to keep track of expenses. Your statement cycle is based upon the date your account is opened. If there is no activity within the statement cycle you will not receive a statement. If you wish, your statement will be sent to your e-mail address. For your convenience, if you pay by check, your statement will include a return envelope and payment stub, for use with your payment. You should always write your E?ZPass account number on your check and pay at least the replenishment amount shown on the coupon. You may wish to pay additional prepaid tolls if your expected usage increases. An account analysis is performed on all new accounts 35 days from the first use of tolls and every 90 days thereafter. if your use is consistently above or below your current payment, we will adjust your minimum payment to approximate a month?s level of actual use and a letter will be sent to confirm this change. Important messages will appear on your statement as needed. Please read them carefully. Payment On Your Account We strongly recommend you use automatic replenishment with a credit card because it is the easiest and most efficient payment method to assure an adequate account balance. Your credit card will be charged whenever your prepaid toll balance drops below $10. Credit cards are the easiest way to use E?ZPass, but you need to remember a few points: I Credit cards must always be valid and have a current expiration date. I Credit cards expire, so you must inform the Customer Service Center of the new expiration date, but remember, do not update credit card information with the Customer Service Center before your new credit card is activated. I If you change, switch or cancel your credit card, you must also notify the Customer Service Center. I Of course, like any other purchase, you must ensure E?ZPass charges do not put you over your credit card limit. 15-1 ?-3in to Contact. Us To use our automated systems you will need the following: Account (Phone) PIN (Web) Password Function Please note for ?rst time web users your Password is the same as the 4 digit pin that you selected when you opened your account. If you do not remember your PIN number, you can call 1-800-333-8655 and request that your PIN number be mailed to you. This handy reference chart provides you 2 E-Z ways to review and make changes to your E-ZPass account 24 hours a day, 7 days a week by taking advantage of one of our automated systems. Account Balance Recem Payment Information Web Site Automated Telephone System 1-800-333-8655 oClick "Check Your Account? . Select Option1 0 Enter Account 0 Enter Amount 0 Enter Password 0 Press to Confirm Account - Click ?L_ogin" - Click ?Check Your Account" - Select Option 3 - Enter Account 4? - Enter Password 0 Select Option 1 - Enter Account - Click ?Login? - Press to Confirm Account - Enter PIN 0 Select Option 1 0 Click ?Check Your Account" 0 Select Option 3 ~EnterAccount# oStayonthelineforanOperator Toll Transactions . Enter Password 0 Click "Login" a Click ?Account History" 0 Click ?Check Your Account" 0 Select Option 3 - Enter Account at 0 Select Option 1 Update Credit Card Expiration Date - Enter Password 0 Click ?Login? 0 Enter Account if - Press to Confirm Account - Click ?Update Personal Information" 0 Enter PIN - Click ?Credit Card Expiration Date" 0 Select Option 2 0 Select Option 1 - Click ?Check Your Account? 0 Select Option 3 - Enter Account - Select Option 1 Change 0 Enter Password - Enter Account 0 Click ?Login" - Press to Confirm Account - Click ?Update Personal Information" - Enter PIN 0 Click ?Password? - Select Option 4 0 Click ?Check Your Account" - Select Option 3 - Enter Account - Stay on the line for an Operator Change Addie? - Enter Password 0 Click ?Login? - (?ck ?Update Personal Information? - Click 'Check Your Account" - Select Option 3 ?EnterAccount# oSIayonthelineforanOperator - - 0 Enter Password Update Vehicle Information . Click "Login' 0 Click ?Vehicle/Tag Maintenance" 0 Click "Vehicle Maintenance - Click ?Check Your Account" - Select Option 3 0 Enter Account - Select Option 2 Request an Additional Tag - Enter Password . Click ?Login? - Enter Account - Press to Confirm Account - Click ?Vehicle/Tag Maintenance" - Enter PIN 0 Click ?Request an Additional Tag" - Select Option 2 0 Click "Check Your Account? 0 Select Option 3 0 Enter Amount 0 Select Option 2 nepon lost/Stolen 1?39 0 Enter Password 0 Enter Account 0 Click 'Login" 0 Press to Confirm Account 3 - Click ?Vehicle/Tag Maintenance" - Enter PIN 0 Select om 1 ll If you choose to pay by cash, check or money order, Closing Your Account you will be notified in advance by the “LOW BALANCE” or To close your E-ZPass account, mail your tag to the “ACCOUNT LOW” signal as you pass through an E-ZPass E-ZPass Customer Service Center along with a signed statement indicating that you would like to close the account. Return envelopes suitable for mailing your tag are available upon request from the Customer Service Center. Please do not return your tag to the address printed on the tag. Send your tag to the E-ZPass Customer Service Center, P.O. Box 149004, Staten Island, NY 10314-9004. When your tag is received in good condition, we will refund your tag deposit, if applicable, plus any unused toll balance, except those funds prepaid under a New York State Thruway Permit Plan after 60 days from purchase. If your tag is not returned, your account will be charged the cost of the tag, prior to any refund. lane. A low balance message will display whenever your prepaid toll balance is at approximately 50% of replenishment amount, indicating that a payment is required. This means you should replenish your account immediately. You will not receive further notice that an account payment is due. Please refer to your statement which will detail all of your transactions by tag, amount of each toll, date, time, location, and any payments or credits made to your account. For your convenience, if you pay by check, your statement will include a return envelope and payment stub for use with your payment. Thruway Annual Permit Plan Those who have selected the New York State Thruway’s Annual Permit Plan will see all trips, 30 miles or less, where toll tickets are normally used, charged at $0 except for the $.40 Suspending Accounts Your account can be suspended by us for the following surcharge for trips across the Castleton-on-Hudson Bridge. A discounted fare will be charged for any trips over the reasons: first 30 miles on the ticketed system. Full fare tolls will also ■ Insufficient funds. be charged to your account for trips at any of the following ■ Toll evasion. bridges and barriers because the plan is not valid at the ■ Speeding. To avoid any inconvenience as a result of account following toll plazas: New Rochelle Barrier Buffalo City Line Barrier suspension, please adhere to all rules and regulations Yonkers Barrier Black Rock Barrier pertaining to account balances, toll evasion and speeding. Tappan Zee Bridge Grand Island Bridges Harriman Barrier The New York State Thruway’s Annual Permit Plan only applies to one tag for each plan fee paid. If you have more than Other E-ZPass Information one tag, verify which one is linked to the Permit Plan prior to Y use. The account holder is responsible for all toll charges incurred regardless of the driver or which vehicle is used. NYSTA, NYSBA & PA Commuter Plans Those who selected commuter plans for the Tappan Zee, ou should take reasonable precautions to protect your E-ZPass tag. It is encoded with specific information about your account. Please remember to secure your car to prevent theft. The adhesive mounting strips described earlier allow you to remove the tag from Grand Island or the Port Authority Staten Island Bridges will be your vehicle at any time. Once you report your tag as lost or charged for all unused trips paid for under the plan. You may sus- stolen, tags are deactivated and unusable. pend the following commuter plans for one week by calling 1-800333-TOLL (8655), no more than four times per year, in order to extend the period for calculating the minimum commuter trip charge: Tappan Zee Bridge, NYS Bridge Authority and Grand Island Lost or Stolen Tags. If your tag is lost or stolen, access our E-ZPass website at www.e-zpassNY.com to notify us immediately or call Bridge. 12 13 1-800-333-TOLL (8655). Tags may be reported lost or stolen via our automated phone system 24 hours a day. Please have your tag number (listed on your statement) and the PIN (provided by you on your application) ready when you report a tag lost or stolen. You will not be charged for tolls incurred after you report tags lost or stolen. We will deactivate your lost or stolen tag and send you a new one upon receipt of the full cost of the tag: an interior tag costs $23.00 and an exterior tag costs $29.40. Your account number will remain the same, and a new deposit will be required. The deposit will be waived for customers selecting ?Credit Card" as their payment method. If you have reported your tag lost or stolen, but later find it, do not use it. Please contact the Customer Service Center at (8655) and return the tag for a refund. Damaged or Defective Tags. A defective tag may be exchanged for a new one at no cost to you, unless the tag was defaced or damaged by abuse. Violations. The New York State Thruway and Port Authority have a video enforcement system that detects and identifies vehicles without E-ZPass tags. These violations are subject to fees (for each violation) and/or processing through the local courts or Collection Agencies. Accounts with insuf?cient funds will also incur viola- tions and you will not be eligible to receive any discounts at any toll plazas. Speed Enforcement. E-ZPass customers who do not comply with the posted speed limit are identified. Failure to comply may result in suspension or revocation of your E?ZPass privileges and toll discounts, if applicable. 14 Frequently Asked Questions How do I know my tag is working? If you see a green light and/or an ?E?ZPass Go? message. your tag is working correctly. If your account is in good standing and your tag is properly affixed and your tag is still not working properly, you may have to return your tag. Please contact the Customer Service Center. What it the message indicates a low balance, but I am sure my account has enough money in it? Call 1-800-333-TOLL (8655) and use our automated phone system to confirm your account balance. Please have your account or tag number and PIN ready before calling. What if! forget my tag? If you are in a staffed lane, pay the cash fare. If you are in an ?E-ZPass Only" lane without gates, DO NOT STOP. Continue through the lane; If you are in an ?E-ZPass Only" entry lane without gates on the New York State Thruway ticketed system, you will not be able to obtain a toll ticket. When you exit in a staffed lane, you may be charged the maximum toll to the point of exit, in accordance with policies for a lost ticket. You will not be entitled to any toll discount plan in which you may be enrolled in under your E-ZPass account. What it! get into a lane which is not equipped with E-ZPass? You must pay the full undiscounted toll in cash. What ill forget to make a payment? Call and take advantage of our automated phone system to check your balance. Depending on how low it is, you may need to make a payment at an E?ZPass Customer Service Center or stop using the tag until a mailed payment can be posted to 15 your account. We strongly suggest you use automatic replenishment with a credit card, because it is the easiest and most efficient How many tags can I request? You can request a maximum of four tags per account. payment method to assure an adequate balance. Your credit card will be charged whenever your prepaid toll balance drops below $10. If your tag is in your vehicle and you do not wish to use it, be sure that it is enclosed in the “read prevention” bag given to you when you received your tag. Simply putting the tag in the glove compartment or a pocket may not stop the tag from being read. Are there any times I should not use my tag? Yes, the following examples are times when you should not use your tag: • If you have reported your tag as lost or stolen, but later find it, call the E-ZPass Customer Service Center. You must be issued a new tag, even if you find your original tag. • If you know that you don’t have sufficient funds in your I need receipts for business. Will I still get them in the E-ZPass lanes? No, a receipt is not available for E-ZPass transactions. Refer to your statement for the amount, date, time and location of each toll transaction. Your account information is also available via the E-ZPass website at www.e-zpassNY.com Can a camper or trailer be towed if the E-ZPass tag is being used? If you tow a camper or trailer all the time, your tag can be programmed to indicate that you are towing a trailer. If you tow a trailer occasionally, at MTA and Port Authority facilities, you may use any E-ZPass lane. At NYSTA and NYSBA facilities, you must use staffed toll lanes. E-ZPass account. • If you are using a different class vehicle (i.e., a car tag in a truck). • If you use carpool tickets at the Verrazano Narrows Bridge or Are motorcycles eligible for an E-ZPass account? Yes. Motorcyclists are eligible to participate in the E-ZPass program. Port Authority crossings. What if I lose the credit card I use to pay my E-ZPass account? First report the lost card to the credit card issuing company. What if I want to change my payment method from cash or check to credit card? If you wish to switch to automatic payment by credit card, you may call 1-800-333-TOLL (8655) and request an authorization form Then, call 1-800-333-TOLL(8655) and advise us immediately. The for automatic payment by credit card. Upon receipt, sign and return Customer Service Center will provide you the ability to pay by the form. another method until your new card is issued. If you continue to use your E-ZPass without replenishing a negative account balance, you will be charged the full cash toll and an administrative fee. Do I need to register all my vehicles? Yes. You should provide the Customer Service Center with details of all vehicles which will use your E-ZPass account. What if my E-ZPass account runs out of money? Do not use E-ZPass until your account has been replenished. Take the tag out of the vehicle or place it in the “read prevention” What if I have a Commuter Plan and I go on vacation? You can call the automated phone system, 24 hours a day, bag. If you are a credit card customer, your account will be to “stop the clock” on your account for a minimum of one week, replenished whenever the account balance falls below $10. with a maximum of four times per year, for the Tappan Zee, NYS If you are a cash or check customer, a low balance message Bridge Authority and Grand Island Commuter Plans. Please have will display whenever your prepaid toll balance is at approximately your account or tag number and PIN # ready. It is not necessary 50% of replenishment amount indicating that a payment is to suspend your account if you are a New York State Thruway required. If you are a cash or check customer, call the Customer Authority Annual Permit Plan holder. Service Center at 1-800-333-TOLL (8655) to inquire about switching to automatic credit card replenishment. 16 17 More Questions? No matter what your questions are, there is one easy number to call. 1-800-333-TOLL(8655) 24 hours a day for automated account information and 7am-7pm weekdays, 8am-2pm Saturday to speak to a Customer Service Representative. Please access our website at www.e-zpassNY.com for E-ZPass information or Answers to Frequently Asked Questions. People with hearing or speech impairments can call the TDD/TTY number, 1-800-772-7935. E-ZPass Customer Agreement Terms and Conditions These terms and conditions, together with your E-ZPass application ("Application"), constitute your E-ZPass Agreement ("Agreement"). E-ZPass is an electronic system that allows you to pre-pay charges incurred at E-ZPass facilities. In New York, E-ZPass is operated under the auspices of the MTA Bridges and Tunnels, the New York State Thruway Authority, and the Port Authority of New York and New Jersey. Your E-ZPass account ("Account") will be operable on all E-ZPass facilities, regardless of location. Your Account will be assigned to one of the above mentioned New York entities and your Agreement is with that particular entity. Please read these terms and conditions and keep them for your records. When you open your Account and the E-ZPass tag(s) ("Tag") is used, you agree as follows: GENERAL a) Failure to comply with this Agreement may result in termination of your Account. b) You may not assign the obligations or benefits of this Agreement. c) Failure to pay Account charges may result in penalties as provided by law. d) You must approach and pass through E-ZPass toll lanes at the posted speed limit. Failure to obey the posted speed limit may result in suspension or revocation of your Account. e) You must comply with all applicable traffic laws, regulations, signs, signals, and directions of toll collectors and law enforcement officers. TAG USE a) Tag Deposit. Cash or check customers must pay a deposit of $10 for each Tag. The deposit will be refunded when you close your Account and return the Tag in good condition as determined solely by E-ZPass. The Tag deposit is waived for customers authorizing Account replenishment via automatic charge to a credit card. b) You may use the Tag on the vehicle(s) specifically listed on your Application. c) In accordance with section 5 herein, you must surrender the Tag immediately upon request. d) When you use the Tag at any E-ZPass facility, you authorize E-ZPass to debit your Account for charges incurred. e) If you use the Tag on E-ZPass facilities other than E-ZPass facili- 18 ties in New York, you are subject to the laws and regulations governing such use. f) You must maintain a sufficient balance in your Account, and may not permit Tag use unless a sufficient balance is maintained. YOUR ACCOUNT a) You must maintain a prepaid amount in your Account to cover applicable charges to your Account. Applicable charges, if any, will be deducted from your Account each time the Tag is used. E-ZPass will also deduct from your Account applicable administrative fees incurred pursuant to this Agreement. b) No interest will be paid on balances in your Account or on refundable Tag deposits. c) You will receive a periodic statement unless there are no transactions and no financial activity in your Account during the applicable period covered by such statement. d) You may be charged a fee for any request to retrieve a statement previously provided. e) You may, no more than four times per year, suspend the following monthly use plans for a minimum of one week and extend the monthly period for calculating the minimum commuter trip charge by calling 1-800-333-TOLL (8655): Tappan Zee Bridge, NYS Bridge Authority, Grand Island Bridge. The first Tag use at the bridge after the minimum period will reactivate the Account. f) Administrative fees may be billed directly to your Account. You may contest the imposition of charges or administrative fees only in writing to the E-ZPass Customer Service Center. Such challenge must be made within 180 days from the date of the transaction. ACCOUNT PRE-PAYMENT a) You must pay a minimum prepaid amount sufficient to pay Account charges for a one-month period. b) Your Account will be replenished by your prepaid amount when your Account balance decreases to or below the replenishment point specific to your Account plan. You may choose to replenish your Account in one of the following ways: 1. Authorizing E-ZPass to automatically charge your credit card for all charges to your Account. 2. Checks (or Money Orders) made payable to E-ZPass. A returned check fee of $15 will be charged for each check returned to E-ZPass unpaid by your bank. 3. Cash payments made only in U.S. dollars, or in Canadian dollars at the exchange rate E-ZPass may determine. DO NOT SEND CASH BY MAIL. c) An Account analysis is performed on all new Accounts 35 days from the first Tag use and every 90 days thereafter. If your monthly use is consistently above or below your prepaid amount, E-ZPass will adjust your prepaid amount to approximate a month’s level of use. d) If you have chosen to replenish your Account with a credit card, you may be enrolled in the E-ZPass Plus program. This Program allows you to use your Tag at authorized E-ZPass Plus facilities. If your Tag is used to incur E-ZPass Plus charges, then E-ZPass may charge your credit card that amount. Such credit card charges may be different from your replenishment amount and charged to your credit card at any time. By participating in E-ZPass Plus you consent to the release of your name and address to E-ZPass Plus facility operators for collection purposes. If you choose not to participate in E-ZPass Plus, you must notify the E-ZPass Customer Service Center. 19 e) Depending on usage or other charges to your Account, there may be more than one replenishment transaction in one statement period. VIOLATIONS a) If you use the Tag when your Account is in a negative balance, suspended or revoked, or after the Tag has been reported lost or stolen, you may incur an administrative fee of up to $50; be charged the full undiscounted charge; and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. b) If you use the Tag in a vehicle other than one of the class for which the Tag is designated, you may incur administrative fees of up to $50; and/or be asked to surrender the Tag to E-ZPass via certified mail or to plaza personnel. Such continued misuse may result in revocation of your Account. c) If you attempt to use a Tag without properly attaching it to your vehicle, you may incur an administrative fee of up to $50. LOST/STOLEN OR NON-OPERATIONAL TAGS You will not be liable for unauthorized Tag use that occurs after you notify E-ZPass, orally or in writing, of loss, theft or possible unauthorized use. However, for the replacement of a lost, stolen, defaced or damaged Tag, you will be charged $23.00 for interior Tags and $29.40 for exterior Tags. If the Tag is non-operational for reasons other than abuse or improper use, and the Tag is returned to E-ZPass Customer Service Center, E-ZPass will replace it at no charge. DISCLAIMER You acknowledge that E-ZPass and all entities providing E-ZPass services have not made, and expressly disclaim any representation or warranty, express or implied relating to the Tag including, without limitation, any implied or express warranty of merchantability, fitness for a particular purpose or conformity to models or samples. You agree that E-ZPass and all entities providing E-ZPass services will have no obligation or liability whatsoever to you with respect to your use of or the performance of the Tag. You agree to indemnify and hold harmless E-ZPass and all entities providing E-ZPass services from and against all damage, loss, cost, expense or liability relating to, arising from, or as a result of, the use or performance of the Tag. TERMINATION You may terminate this Agreement at any time by returning the Tag to E-ZPass. Tags should be returned to an E-ZPass Customer Service Center in person or by certified mail. Tags remain the property of the agencies providing E-ZPass services. Upon termination and return of the Tag(s), your Account balance and Tag(s) deposit, if any, will be refunded to you. All outstanding charges will be deducted prior to such refund. of any term or terms of this Agreement shall not affect any other term of this Agreement, which shall remain in full force and effect. GOVERNING LAW This Agreement shall be governed by and construed in accordance with the laws of the State of New York. You agree to inform EZPass of any changes to the information provided by you in your Application, such as: • Address, • Vehicle information, • Credit card account status (i.e., closed account, maximum credit use), • Expiration date of credit card account, or • Payment method. NON-DISCLOSURE E-ZPass respects the privacy of all Account holders. Account information will not be disclosed to third parties without your consent except as permissible by law and the policies of E-ZPass and the entities providing E-ZPass services. INQUIRIES AND CORRESPONDENCE Please send all correspondence, payments, Tag returns, or violation inquiries to: E-ZPass Customer Service Center Applications and Returned Tags: PO Box 149001 Staten Island, NY 10314-9001 Violations: PO Box 149003 Staten Island, NY 10314-9003 Payments: PO Box 149002 Staten Island, NY 10314-9002 Correspondence: PO Box 149004 Staten Island, NY 10314-9004 SCHEDULE OF DEPOSITS/ADMINISTRATIVE FEES Per Tag deposit (cash and check customers) Per Tag deposit (credit card customers) Cost of Tag if defaced, damaged, lost or stolen: Interior: Exterior: Returned check fee: Monthly statement by mail, annual fee: Duplicate copy of Statement: Tag misuse/violation administrative fees: $10.00 waived $23.00 $29.40 $15.00 $ 6.00 $ 2.00 Up to $50.00 E-ZPass and the entities providing E-ZPass services reserve the right to assess additional fees. COLLECTION OF EXPENSES You agree to pay all costs, including attorneys’ fees, incurred by E-ZPass and all entities providing E-ZPass services to collect any monies due under the terms of this Agreement. MODIFICATIONS E-ZPass may change the terms of this Agreement at any time by advance written notice. You agree to new terms when you use the Tag subsequent to the effective date of the new term. The invalidity 20 11/02 21 New York Customer Service Centers Albany Spring Valley Four Executive Park Drive Pascack Plaza Albany, NY 12203-3717 17 Perlman Drive Spring Valley, NY 10977-5243 Buffalo Staten Island Ellicot Square Building One Edgewater Plaza Suite 1010 Staten Island. NY 10305 295 Main Street Buffalo, NY 14203?2219 Syracuse Lakeshore Drive-In Plaza Grand Island 911 Old Liverpool Road 1700 Grand Island Boulevard Liverpool, NY 13088 Grand Island, NY 14702 Yonkers Queens 730 McLean Avenue 19-02 Whitestone Expressway Yonkers, NY 10704 College Point, NY 11357 For An Application, Phone Toll Free: 1-800-333-TOLL (8655) or Access our website at Text Telephone: 1-800-772-7935 Where to Your E-ZPass Tag. Your tag is accepted at each of the following facilities and wherever you see the sign displayed. For updates on new toll agencies offering E-ZPass, visit our website at 3&5 The entire New York State Thruway including: New Rochelle Barrier Black Rock Barrier Yonkers Barrier Buffalo City Line Barrier Tappan Zee Bridge Grand Island Bridges Harriman Barrier 3 Bring? and Tunnels Bronx-Whitestone Bridge Queens Midtown Tunnel Brooklyn-Battery Tunnel Throgs Neck Bridge Cross Bay Veterans Memorial Bridge Triborough Bridge Henry Hudson Bridge (no trucks permitted) Verrazano-Narrows Bridge Marine Parkway-Gil Hodges Memorial Bridge Rip Van Winkle Bridge Newburgh-Beacon Bridge Kingston-Rhineclift Bridge Bear Mountain Bridge Mid-Hudson Bridge mm Bayonne Bridge Holland Tunnel George Washington Bridge Lincoln Tunnel Goethals Bridge Outerbridge Crossing Important Safety Considerations: Enjoy the bene?ts of E-ZPass, but please pay attention to the following safety considerations: Obey posted speed limits. Never back up at a toll plaza. Your tag must be affixed, not held in your hand. Come to a complete stop at staffed lanes. Do not get out of your vehicle in the toll lane. Fair-:5 Business Guidebook Contents Welcome to the Quick and East Way to Pay Tolls 2 How to Install your E-ZPoss Approaching an E-ZPess E-z to Contact [138 How Your ?lthorkslo How Your E-ZPess Account Other Froquently Asked Terms and Welcome To The Quick and Easy Way to Pay ow that you?ve received your E?ZPass tag, you are ready to begin enjoying the convenience of electronic toll collection that uses the latest technologies to improve the way you do business. You'll be able to pass through toll plans, without fumbling for cash, tickets or tokens or rolling down your window. Greater benefits result when more motorists use their tags at E-ZPass facilities. Individually, E-ZPass tagholders have the advantage of quick and easy toll payment. Together, all E?ZPass users help reduce congestion and auto emissions caused by idling engines. There are even more E-ZPass advantages for businesses: 0 Same tag can be used at MTA Bridges and Tunnels, Port Authority of New York and New Jersey, the New York State Thruway and New York State Bridge Authority and wherever you see the E-ZPass sign displayed. . High volume customers may be eligible to receive their statements on disk for the convenience in analyzing data. There is no need to collect the individual receipts or provide drivers with large amounts of cash. . Receive your statement via e-mail. 0 Tags can be used on more than one vehicle as long as they are the same type, class and tag mounting location. 0 There is a special Business Unit Call Center. Please call the Customer Service Center at 1-800-333-TOLL (8655) and ask to be connected to the Business Unit. How To Install Your E-ZPass Ting. our E-ZPass tag contains a computerized chip with information identifying your account. The tag?s information is instantly veri?ed, combined with information from the toll plaza, the appropriate toll is calculated and deducted from your prepaid E-ZPass account. A message is displayed to you, just beyond the toll booth. Upon establishment of your E-ZPass account, you received interior and/or exterior tags. Properly installing the E-ZPass Tag in your vehicle is easy and essential. Following are installation instructions: Exterior License Plate Tag: 1) Mount your exterior license plate tag at the top of your front license plate, with the rounded side facing outward, and the label facing in an upward readable position. 2) You may use the bolts already on your license plate. Longer bolts and one-way tamper-proof bolts are available at the E-ZPass Customer Service Center upon request. 3) Failure to mount your tag properly may result in tag read problems. ■ Please install tags properly. If more adhesive mounting strips are needed for other vehicles or if you have a problem installing the tags, assistance is available by calling 1-800-333-TOLL (8655). ■ ■ Tags must be installed. Leaving tags on a seat, dashboard or console and holding it up to the windshield at the last second is not safe and may result in delays, violations and administrative fees. Tags installed incorrectly or not at all can cause unnecessary issuance of toll evasion violations or delays at the toll booth. Tags must not be held in your hand. Doing so may result in toll evasion violations and administrative fees. Interior Tag: ■ 1) Clean and dry the inside of your windshield around the rearview mirror. Use of Your Tags on Specific Company Vehicles 2) Without removing the mounting strips from the tag, remove the tape backing from the mounting strips. 3) Turn the tag label right side up facing you. Adhere the tag inside your car to the upper center portion of your windshield, behind the rear view mirror at least one inch to the right of the center support of the mirror and at least one inch below the top edge of the windshield, or below the tinted section of glass. (See above photo) Commercial Vehicles Please refer to the insert(s) in your tag kit for instructions on mounting your tag. IMPORTANT: ■ If you picked up your tag at any of the Customer Service Centers, you must wait 36 hours before installing and using your tag; if you received it by mail, you may install ■ and use it immediately. Tags must not obstruct the driver’s line of sight through the windshield and must not be installed on the mirror, visor or dashboard. Tags are restricted to be used only on those vehicles that are registered by your company for E-ZPass use. The vehicle description and the mounting location of the tag on the vehicle both must match that which is noted on the tag’s label. Tags are transferable only among company vehicles of the same description and mounting location. If you wish to transfer a tag to a company vehicle that has not been registered with E-ZPass, contact the Customer Service Center at 1-800-333-TOLL (8655) and document the call by sending written notice from your authorized representative. If necessary, a tag may be returned to the Customer Service Center to be reprogrammed (at no cost) for use with a different type of vehicle. You Can Also Use Your Tag In Other Vehicles. You may use your tag on a vehicle of the same toll class. Use of a tag on a different toll class may result in administrative fees. A vehicle pulling a trailer or a vehicle with more than two-axles or 4 tires has a different toll classification. Therefore, do not use the unstaffed “E-ZPass Only” lane at New York State Thruway or New York State Bridge Authority facilities unless you have obtained a tag programmed for towing such vehicle. Use the staffed lane. At Port Authority and MTA B&T plazas, you may use either an “E-ZPass Only” or a “Full Service” lane regardless of what you are pulling. Contact the Customer Service Center at 1-800-333-TOLL (8655) to obtain an additional tag if you regularly pull a trailer. 4 5 If You Don't Want To Use Your Interior Tag It you don?t want your interior tag to be read at a particular toll plaza, be sure to enclose the interior tag in the silver ?read prevention" bag that was provided with your interior tag, prior to entering the toll plaza area. If you need a ?read prevention? bag, call the Customer Service Center at 1-800-333-TOLL (8655). TIP: Remember, you must always fold the bag when the interior tag is in it, so the tag will not be read. Approaching an E-ZPass Lane. ook for the distinctive purple and white E-ZPass logo signs whenever you use a toll facility. The signs will direct you for that particular toll plaza. There are some E-ZPass operating differences from agency to agency that you should be aware of as you travel. New York State Thruway Locating an E?ZPass lane on the New York State Thruway is easy, since ALL LANES are equipped with E?ZPass. If you are looking for a non-stop lane just look for the overhead ?E?ZPass Only? sign. For safety reasons please obey the 5 posted speed limit while traveling through non-stop lanes. In all other lanes, you must come to a complete stop and wait for the green light before proceeding. All single unit vehicles towing a trailer or vehicle and tractors hauling two trailers (tandem combinations) must use the staffed lanes. Port Authority of All Port Authority lanes accept E-ZPass. ?Full Service" lanes also accept other payment methods. A full stop is required in these lanes. ?E?ZPass Only" lanes allow tag holders to proceed through the toll lane at 5 mph. New York State Bridge Authority All New York State Bridge Authority E-ZPass dedicated lanes can be identified by the ovemead ?E-ZPass Only? sign. All ?Full Service? lanes accept E-ZPass as well. All single unit vehicles towing a trailer or vehicle and tractors hauling two trailers (tandem combinations) must use the staffed lanes. MTA Bridges and Tunnels E-ZPass customers at MTA Bridges and Tunnels must use the toll lanes marked with the purple and white E?ZPass sign. Cash lanes do not accept E-ZPass. E?ZPass customers who enter cash lanes will be required to pay the full toll in cash. Some facilities also feature dedicated roadway lanes for E-ZPass customers on the approach to the toll plaza. Trucks must not use E-ZPass lanes which have truck prohibition signs. Trucks using these lanes may cause and be liable for damage and may be subject to violations Remember: For All Facilities Never back out of a toll plaza. Toll collectors do not have access to your E-ZPass account, so they cannot answer your questions in the toll lane. You must call the Customer Service Center with any questions regarding your account. lnvalid Tags, Or Misuse For All Authorities I Misusers of the E-ZPass System are subject to penalties and administrative fees of up to $50. I If you replenish an account that has insufficient funds by cash or check, you must follow the instructions of the Customer Service Center before using your tag again. E-Z Ways to Contact Us. Please To use our automated ems on will need the followin 9 that you selected when you opened your account If you do not remember your PIN Account number, you can call 1-800-333-8655 and request that your PIN number be mailed to you. (Phone) PIN This handy reference chart provides you 2 E-Z ways to review and make changes to your E-ZPass account24 hoursaday, 7 daysaweekbytaking advantage ofoneofourauto- (Web) Password mated systems. Function Web Site Automated Telephone System 1 -800-333-8655 0 Click ?Check Your Account? 0 Select Option 1 Balance Enter Account 0 Enter Account 0 Enter Password Press to Con?rm Account 0 Click ?Login" - Click ?Check Your Account" - Select Option 5 - Enter Account - Select Option 1 Recent Payment Information - Enter Password . Enter Account 0 Click ?Login? - Press to Confirm Account - Enter PIN - Select Option 1 0 Click ?Check Your Account? - Select Option 5 . OEnterAccounH ~Stayonthe ineforan0perator Toll transactions . Enter Password 0 Click ?Login' - Click 'Account History" 0 Click ?Check Your Account" - Select Option 2 Update Credit Card Expiration Date Update Credit Card Number - Enter Account if 0 Enter Password - Click ?Login? - Click ?Update Personal Information" - Click ?Credit Card Expiration Date or ?Add/Update Credit Card Information" 0 Enter Account Press to Confirm Account at 0 Enter PIN - Press 1 To Change Credit Card Expiration Date Or, 0 Press 2 To Change Credit Card Number One-Time Payment - ?Check Your Account? - Enter Account 0 Enter Password Click ?Login? 0 Click ?Update Personal lnfonnation" 0 Click ?One-Time Payment" - Select Option 2 - Enter Account Press to Confirm Account 0 Enter PIN - Press 3 To Make A One-Time Payment 0 Click ?Check Your Amount? - Select Option 5 -EnterAccount# oSelectOption1 Change PASSWORDIPIM - Enter Password - Enter Account - Click 'Login" 0 Press to Confirm Account 0 Click ?Update Personal Information" - Enter PIN 0 Click ?Password? 0 Select Option 2 0 Click ?Check Your Account" - Select Option 5 - Enter Account 0 Stay on the line for an Operator Change Address 0 Enter Password - Click ?Login? - Click ?Update Personal Information" 0 Click ?Check Your Account? - Select Option 5 oEnterAccount# oStayonthelineforanOperator Initiate Vell'cle Irionnation - Enter Password 0 Click "Login? 0 Click ?Vehicle/Tag Maintenance? . Click "Vehicle Maintenance 0 Click ?Check Your Account" - Select Option 5 - Enter Account - Select Option 2 - - 0 Enter Password - Enter Account Request an Additional Tag - Click ?Login? - Press to Confirm Account - Click "Vehicle/Tag Maintenance" - Enter PIN - Click ?Request an Additional Tag" - Select Option 2 0 Click 'Check Your Account? 0 Select Option 5 - Enter Account - Select Option 2 Lost/Stolen Tag 0 Enter Password 0 Enter Account - Click ?Login' 0 Press to Confirm Account I 0 Click "Vehicle/Tag Maintenance" 0 Enter PIN 0 ectOM' n1 How Your Tag Works. 0 As you slowly pass through the toll lane, your E-ZPass tag is read. Please note that the location of your tag (roofmount, license plate, windshield) may vary depending on your vehicle type. 9 Instantly, the tag is read by an antenna. The proper toll is deducted from your prepaid E-ZPass account. 0 At some facilities, there are gates that will go up when a valid tag is read. 0 A video enforcement system is in place to identity violators. 0 A traffic signal and message is immediately displayed to you just beyond the toll booth. To avoid delay, always have your tag installed properly by affixing it as per the tag mounting instructions. Otherwise, the signal from your tag may not be read and you may be subject to administrative fees up to $25 as a violator at Port Authority of New York and New Jersey and New York State Thruway Authority crossings. At MTA and New York State Bridge Authority crossings, the gate will not go up, and you may be subject to administrative fees. 10 How Your E-ZPass Account Works. Account Status You can obtain automated account information 24 hours a day by calling 1-800-333-TOLL (8655) or accessing our website at Keep your account or tag number and your handy when you call or access the website. Your account number is included on your statement. If you ever have questions concerning your account, you will need to provide your account or tag number and Customer Service Representatives are available by phone at 1-800-333-TOLL (8655) from 7am?7pm weekdays and 8am?2pm Saturday. Account Statement You will receive a statement that will detail all of your transactions by tag, amount of each toll, date, time, location, and any payments or credits made to your account. Beginning and ending balances will be especially helpful to business travelers who need to keep track of expenses. Your statement cycle is based upon the date your account is opened. If there is no activity within the statement cycle you will not receive a statement. For your convenience, if you pay by check, your statement will include a return envelope and payment stub, for use with your payment. You should always write your E-ZPass account number on your check and pay at least the replenishment amount shown on the coupon. You may wish to pay additional prepaid tolls if your expected usage increases. An account analysis is performed on all new accounts 35 days from the first use of tolls and every 90 days thereafter. If your use is consistently above or below your current payment, we will adjust your minimum payment to approximate a month?s level of actual use and a letter will be sent to confirm this change. Important messages will appear on your statement as needed. Please read them carefully. 11 Payment On Your Account We strongly recommend you use automatic replenishment with a credit card because it is the easiest and most efficient payment method to assure an adequate account balance. Your credit card will be charged whenever your prepaid toll balance drops below 25% of the replenishment amount. Credit cards are the easiest way to use E?ZPass, but you need to remember a few points: I Credit cards must always be valid and have a current expiration date. I Credit cards expire, so you must inform the Customer Service Center of the new expiration date, but remember, do not update credit card information with the Customer Service Center before your new credit card is activated. I If you change, switch or cancel your credit card, you must also notify the Customer Service Center. I Of course, like any other purchase, you must ensure E?ZPass charges do not put you over your credit card limit. If you choose to pay by cash, check or money order, you will be notified in advance by the or signal as you pass through an E-ZPass lane. This means you should replenish your account immediately. You will not receive further notice that an account payment is due. Please refer to your statement which will detail all of your transactions by tag, amount of each toll, date, time, location, and any payments or credits made to your account. For your convenience, if you pay by check, your statement will include a return envelope and payment stub for use with your payment. 12 Closing Your Account To close your E-ZPass account, mail a letter signed by an authorized representative, indicating that the company would like to close the account. Send the letter to the E?ZPass Customer Service Center, PO. Box 149004, Staten Island, NY 10314-9004. Suspending Accounts Your account can be suspended by us for the following reasons: I Insufficient funds. I Toll evasion. I Speeding. To avoid any inconvenience as a result of account suspension, please adhere to all rules and regulations pertaining to account balances, toll evasion and speeding. Other E-ZPass Information. ou should take reasonable precautions to protect your E-ZPass tag. It is encoded with specific information about your account. Please remember to secure your vehicle to prevent theft. Once you report your tag as lost or stolen, tags are deactivated and unusable. Lost or Stolen Tags. If your tag is lost or stolen, call 1-800-333-TOLL (8655) or access our E-ZPass website at to notify us immediately. Tags may be reported lost or stolen via our automated phone system 24 hours a day. Please have your tag number (listed on your statement) and the PIN (provided by you on your application) ready when you report a tag lost or stolen. You will not be charged for tolls incurred after you report tags lost or stolen.We will deactivate your lost or stolen tag and send you a new one upon receipt of the full cost of a new tag: an interior tag costs $23.00 and an exterior tag costs $29.40. A defective tag may be exchanged for a new one at no cost to you, unless the tag was damaged by abuse. 13 Your account number will remain the same. If you have reported your tag lost or stolen, but later ?nd it, do not use it. Please contact the Customer Service Center at (8655). Damaged or Defective Tags. During the warranty period, a defective tag may be exchanged for a new one at no cost to you, unless the tag was defaced or damaged by abuse. Violations. The New York State Thruway and Port Authority have a video enforcement system that detects and identi?es vehicles without E-ZPass tags. These violations are subject to fees (for each violation) and/or processing through the local courts or Collection Agencies. Accounts with insuf?cient funds will also incur violations and you will not be eligible to receive any discounts at any toll plazas. Speed Enforcement. E-ZPass customers who do not comply with the posted speed limit are identified. Failure to comply may result in suspension or revocation of your E-ZPass privileges and toll discounts, if applicable. Frequently Asked Questions. How do I know my tag is working? If you see a green light and/or an ?E-ZPass Go" message, your tag is working correctly. If your account is in good standing and your tag is properly affixed and your tag is still not working properly, you may have to return your tag. Please contact the Customer Service Center. What if the message indicates a low balance, but I am sure my account has enough money in it? Call 1-800-333-TOLL (8655) and use our automated phone system to confirm your account balance. Please have your account or tag number and ready before calling. 14 What if I forget my tag? If you are in a staffed lane, pay the cash fare. If you are in an ?E-ZPass Only? lane without gates, DO NOT STOP. Continue through the lane; If you are in an ?E?ZPass Only? entry lane without gates on the New York State Thruway ticketed system, you will not be able to obtain a toll ticket. When you exit in a staffed lane, you may be charged the maximum toll to the point of exit, in accordance with policies for a lost ticket. You will not be entitled to any toll discount plan in which you may be enrolled in under your E-ZPass account. What if! get into a lane which is not equipped with E-ZPass? You must pay the full undiscounted toll in cash. What if! forget to make a payment? Call and take advantage of our automated phone system to check your balance. Depending on how low it is, you may need to make a payment at an E?ZPass Customer Service Center or stop using the tag until a mailed payment can be posted to your account. We strongly suggest you use automatic replenishment with a credit card, because it is the easiest and most efficient payment method to assure an adequate balance. Your credit card will be charged whenever your prepaid toll balance drops below 25% of the replenishment amount. If your interior tag is in your vehicle and you do not wish to use it, be sure that it is enclosed in the ?read prevention" bag given to you when you received your tag. Simply putting the tag in the glove compartment or a pocket may not stop the tag from being read. Are there any times I should not use my tag? Yes, the following examples are times when you should not use your tag: - If you have reported your tag as lost or stolen, but later find it, call the E-ZPass Customer Service Center. 0 If you know that you don?t have sufficient funds in your E-ZPass account. - If you are using a different class vehicle a car tag in a truck). 15 What if I lose the credit card I use to pay my E-ZPass account? First report the lost card to the credit card issuing company. What if I want to change my payment method from cash or check to credit card? If you wish to switch to automatic payment by credit card, you Then, call 1-800-333-TOLL(8655) and advise us immediately. The may call 1-800-333-TOLL (8655) and request an authorization form Customer Service Center will provide you the ability to pay by for automatic payment by credit card. Upon receipt, sign and return another method until your new card is issued. If you continue to the form. use your E-ZPass without replenishing a negative account balance, you will be charged the full cash toll and an administrative fee. What if my E-ZPass account runs out of money? Do I need to register all my vehicles? Yes. You should provide the Customer Service Center with details of all vehicles which will use your E-ZPass account. Do not use E-ZPass until your account has been replenished. Take the tag out of the vehicle or place it in the “read prevention” bag. If you are a credit card customer, your account will be replenished whenever the account balance falls below 25% of the replenishment amount. If you are a cash or check customer, a low balance message will display whenever your prepaid toll balance is at approximately 50% of replenishment amount indicating that a payment is required. If you are a cash or check customer, call the Customer Service Center at 1-800-333-TOLL (8655) to inquire about switching to automatic credit card replenishment. What will it cost to open a Business E-ZPass Account? To open an E-ZPass business account, you are required to prepay $50 per axle for each commercial vehicle and $25 per passenger vehicle. In addition, tags must be purchased: Interior Tags cost $23.00 per tag. Exterior Roofmount and Exterior License Plate tags cost $29.40 per tag. What if my business moves? A change in address must be submitted in writing to the E-ZPass Customer Service Center at P.O. Box 149004, Staten Island, NY 10314-9004. How many tags can I request? You can request an unlimited number of tags per account. More Questions? No matter what your questions are, there is one easy number I need receipts for business. Will I still get them in the E-ZPass lanes? No, a receipt is not available for E-ZPass transactions. Refer to your statement for the amount, date, time and location of each toll transaction. Your account information is also available via the E-ZPass website at www.ezpassNY.com. to call. 1-800-333-TOLL(8655) 24 hours a day for automated account information and 7am-7pm weekdays, 8am-2pm Saturday to speak to a Customer Service Representative. Please access our website at www.ezpassNY.com for E-ZPass information or Answers to Frequently Asked Questions. People with hearing or speech impairments can call the TDD/TTY number, 1-800-772-7935. Can a trailer be towed if the E-ZPass tag is being used? If you tow a trailer all the time, your tag can be programmed to indicate that you are towing a trailer. If you tow a trailer occasionally, at MTA and Port Authority facilities, you may use any E-ZPass lane. At NYSTA and NYSBA facilities, you must use staffed toll lanes. 16 17 ❹ ACCOUNT STATUS a) You will receive a periodic statement unless there were no toll revenue transactions and no financial activity in the account during the applicable period. These terms and conditions, together with your application, constitute your E-ZPass Agreement. Please read these terms and conditions and keep them for your records. When you open your account and your tag is used, you agree as follows: ❶ TERMS Failure to comply with this agreement may result in termination of your account. Failure to pay tolls may result in additional penalties provided by law. ❷ TAG USE a) You may use your tag(s) on the vehicle(s) specifically listed for E-ZPass use. b) You must approach and pass through an E-ZPass lane at the posted speed limit. Failure to obey the posted speed limit may result in suspension or revocation of your E-ZPass account. c) You must comply with all applicable traffic laws, regulations, signs, signals, and directions of Toll Collectors or Law Enforcement Officers. d) You may not assign the obligations or benefits of this agreement. e) You must surrender your E-ZPass tag(s) immediately upon request, at which time ownership will revert to the Authority. f) The application establishes your E-ZPass account. When you use your tag at any E-ZPass facility, you authorize us to debit your E-ZPass account for such use. g) If you use E-ZPass on other facilities, you are subject to the laws and regulations governing such use. ❸ YOUR ACCOUNT Your E-ZPass Account may consist of of the purchase of tags and a Prepaid Toll deposit as follows: a) Tag Purchase. Business customers purchase interior tags at a cost of $23.00 and exterior tags at a cost of $29.40. b) Prepaid Tolls. You must maintain a Prepaid Toll amount with us to cover applicable toll charges on your E-ZPass Account. Tolls are deducted from your account each time the E-ZPass tag is used. We will also deduct applicable administrative fees incurred under this agreement. ❺ METHOD OF PRE-PAYMENT a)Required Payment: You must pay a minimum Prepaid Toll Amount sufficient to pay tolls for a one-month period. b) An account analysis is performed on all new accounts 35 days from the first use of tolls and every 90 days thereafter. If your monthly use is consistently above or below your current monthly payment, we will adjust your minimum payment to approximate a month’s level of actual use. A Replenishment Level Change Notification Letter will be sent whenever the replenishment level is adjusted. c) Account Replenishment must occur when your Prepaid Toll Amount decreases to or below the replenishment point. You can replenish your account in one of the following ways: 1. You can authorize us to replenish your Prepaid Toll amount by automatically charging your credit card. 2. Checks (or Money Orders) made payable to E-ZPass. A returned check fee of $15 will be charged for each check returned to us unpaid by your bank. 3. Cash payments must be made in U.S. dollars, or in Canadian dollars at a discount as we may determine. DO NOT SEND CASH BY MAIL. ❻ TAG MISUSE/VIOLATION ADMINISTRATIVE FEES You authorize E-ZPass to charge your account an administrative fee as follows: a) If you use your tag when your account is in a negative balance, suspended or revoked, or after your tag has been reported lost or stolen you may incur an administrative fee of up to $25; be charged the full undiscounted toll; and may be asked to surrender your tag to plaza personnel. b) If you use a valid tag in a vehicle other than one of the class for which the tag is designated, you may incur administrative fees of up to $50 and may be asked to surrender your tag to plaza personnel. Such continued misuse may also result in revocation of your account. c) If you attempt to use a tag without properly attaching it to your vehicle, you may incur an administrative fee of up to $25. c) Account Balances. No interest will be paid on balances in your account. 18 19 d) Administrative fees may be billed directly to your account. You may only contest the imposition of said administrative fees in writing to the E-ZPass Customer Service Center. If the fee is rescinded, your account will be credited the amount of the rescinded fee. ❼ LOST/STOLEN OR DEFECTIVE TAGS You will not be liable for unauthorized use that occurs after you notify us, orally or in writing, of loss, theft or possible unauthorized use. Defective Tag(s): If your E-ZPass tag(s) is non-operational for reasons other than abuse or improper use, and the Tag(s) is returned to us, we will replace it at no charge to you. ➑ DISCLAIMER You acknowledge that we have not made, and we expressly disclaim any representation or warranty, express or implied relating to the E-ZPass tag including without limitation, any implied or express warranty of merchantability, fitness for a particular purpose or conformity to models or samples. You agree that we will have no obligation or liability whatsoever to you with respect to your use or the performance of the E-ZPass tag. You agree to indemnify us and hold us harmless from and against any and all damage, loss, cost, expense or liability relating to, arising from, or as a result of, the use or performance of the E-ZPass tag. ❾ TERMINATION You may terminate this agreement at any time. Just stop using your tag(s) and notify us in writing. We will close your account, deactivate your tag(s) and refund the balance to you. Any outstanding charges will be deducted prior to refund. ➓ COLLECTION EXPENSES You agree to pay all costs, including attorneys' fees, incurred by us to collect any monies due under the terms of this agreement. 11 MODIFICATIONS We may change the terms of this Customer Agreement at any time by advance written notice with your monthly billing statement. You agree to a new term when you use your tag subsequent to the effective date of the new term. The invalidity of any term or terms of this Agreement shall not affect any other term of this Agreement, which shall remain in full force and effect. 20 12 GOVERNING LAW This Agreement shall be governed by and construed in accordance with the laws of the State of New York. You agree to inform us of any changes to the information provided by you in your E-ZPass Application, such as: • Change in address • Change in vehicle information • Change in credit card account status (closed account, maximum credit use) • Expiration date of credit card account • Change in payment method. 13 NON-DISCLOSURE Customer Account information will not be disclosed to third parties without your consent except as permissible by law and our policy. 14 INQUIRIES AND CORRESPONDENCE Please send all correspondence, payments, tag returns, or violation inquiries to: E-ZPass Customer Service Center Applications and Returned Tags: Violations: PO Box 149001 PO Box 149003 Staten Island, NY 10314-9001 Staten Island, NY 10314-9003 Payments: PO Box 149002 Staten Island, NY 10314-9002 Correspondence: PO Box 149004 Staten Island, NY 10314-9004 SCHEDULE OF TAG SALES/ADMINISTRATIVE FEES Cost of tag if damaged, lost or stolen: Interior $23.00 Exterior $29.40 Returned check fee $15.00 Tag misuse/violation administrative fees Up to $50.00 5/04 21 Appendix K4 Date Name Address City, State Zip Dear E-ZPass Customer: Welcome to the E-ZPass Program. Listed below is your account information. IMPORTANT: Please verify that ALL information on this sheet is correct. Incorrect license plate information could result in violation notices. Please use the modification form at the end of this profile to modify any incorrect information. For general and account information, please take advantage of our automated phone system by dialing 1-800-333-TOLL (8655) or accessing our website at www.e-zpassNY.com. Please have your account or tag number and PIN# ready. Account Number: No. of Interior Tags: No. of Exterior Tags: Mailing Address: Name Address City, State Zip Tag Color No. of Plans: Day Telephone Number: Night Telephone Number: Statement Type: Tag Number No. of Vehicles: E-mail Address: *Tag Specific Plan Vehicle Type Plate Number State of Reg. Vehicle Make Vehicle Model *This tag number applies to a tag specific plan. Please refer to the “Tag Specific Plan” column for this tag number and ensure that the tag is used in the vehicle that corresponds to the tag specific plan selected. Tags are transferable ONLY among vehicles of the same Vehicle Type. Plans Selected: Replenishment Method: Account Opening Date: Credit Card Number: Expires: Clerk ID: Office Use Only: Please use the space below to modify any incorrect information and send to the E-ZPass Customer Service Center, P.O. Box 149004, Staten Island, NY 10314-9004 or fax to 718-390-9772. Cross out the incorrect information and provide the accurate information below. If your vehicle information changes at a later time, please notify the Customer Service Center. E-ZPass Customer Service Center: P.O. Box 149004, Staten Island, New York 10314-9004 Telephone: 1-800-333-TOLL (8655) TDD/TTY: 1-800-772-7935 Fax: 718-390-9772 Website: www.e-zpassNY.com Appendix K4 Release Version 6/05 Modification History Date 05/02/2005 Section Appendix C Modification Updated NYSTA (004) class codes 03/24/2005 Appendix B(2) Appendix C Appendix D Updated VDOT/RMA (010) plaza information. Updated NYSTA (004) class codes Added MeTA (028) FTP Server information 02/08/2005 Appendix B(2) Appendix D Appendix E Added note to Peace Br. (013) plaza "001" Added NhDOT (026) FTP Server information Added NhDOT (026) 01/27/2005 Appendix B(2) Added new Peace Br. (013) plaza 01/04/2005 Appendix C Updated class information for NhDOT (026) 10/05/2004 Appendix B(2) Appendix C Updated plaza information for Maine Turnpike (028) Added new PTC (006) plazas Added NhDOT (026) Added NhDOT (026) 08/01/2004 Appendix D Corrected Virginia DOT to 010 07/20/2004 Appendix B(1) Appendix B(2) Added Virginia DOT (010) Added Virginia DOT (010) Added Maine Turnpike (028) Added Virginia DOT (010) Added Maine Turnpike (028) Updated to reflect Managed Frame Relay Network Added Virginia DOT (010) Added Maine Turnpike (028) Appendix C Appendix D Appendix E 07/07/2004 Appendix E Updated CSC 022 to add DRPA (009) and BCBC (027) 07/01/2004 Appendix B(2) Updated plaza codes for BCBC (027) 03/08/2004 Appendix B(2) Updated plaza description for Garden State Parkway (002) Corrected plaza description for DelDOT (019) 12/04/2003 Appendix E Updated DelDOT CSC associated tag ID 10/23/2003 Appendix B(2) Updated plaza information for Garden State Parkway (002) Corrected plaza code for PTC (006) 08/07/2003 Appendix B(2) Updated plaza information for Garden State Parkway (002) 07/31/2003 Appendix B(2) Updated plaza information for PANYNJ Airports (131) 04/15/2003 Appendix A Updated description of agency 022 Replaced Niagra Falls Bridge Comm w/Indiana DOT Replaced Niagra Falls Bridge Comm w/Indiana DOT Appendix B(1) Appendix D Appendix E Update network diagram for NJ CSC and DelDOT CSC Update CSC-Agency cross reference for NJ CSC and DelDOT 04/14/2003 Appendix B(2) Updated plaza information for Pennsylvania Turnpike Commission (006) 12/10/2002 Appendix B(2) Appendix E Updated Burlington County Bridge Commission codes Removed Burlington County Bridge Commission 12/09/2002 Appendix B(2) Added Burlington County Bridge Commission (027) 12/09/2002 Appendix C Appendix E Added Burlington County Bridge Commission (027) codes Added Burlington County Bridge Commission (027) to DRPA CSC (009) 10/21/2002 Appendix B(2) Updated plaza information for MassPike (021) 09/20/2002 Appendix A Appendix B(2) Appendix C Appendix D Appendix E Added Delaware River Joint Toll Bridge Commission (029) Added Niagara Falls Bridge Commission (030) Added Delaware River Joint Toll Bridge Commission (029) Added Niagara Falls Bridge Commission (030) Added Delaware River Joint Toll Bridge Commission (029) Added Delaware River Joint Toll Bridge Commission (029) Added Delaware River Joint Toll Bridge Commission (029) Added Delaware River Joint Toll Bridge Commission (029) 08/19/2002 Appendix B(1) Appendix D Updated Agency Abbreviation for PANYNJ Airports (131) Updated Network Diagram 04/08/2002 Appendix D Updated Network Diagram 03/08/2002 Appendix A Appendix B(1) Appendix B(2) Appendix C Added agency code for Maine Turnpike Authority (028) Added information for Maine Turnpike Authority (028) Updated short description information for PANYNJ Airports (131) Updated plaza information for PANYNJ Airports (131) Added empty column for Maine Turnpike Authority (028) 12/10/2001 Appendix D Appendix E Appendix F Appendix G Moved Appendix details from main document to this spreadsheet Moved Appendix details from main document to this spreadsheet Moved Appendix details from main document to this spreadsheet New Appendix for Acknowledgement File RETURN_CODE values 10/19/2001 Appendix B(2) Updated Maryland (016) plaza codes Updated Albany Airport (128) plaza codes 09/06/2001 Appendix C Restored IAG Class code 140. 08/23/2001 Appendix A Appendix B(1) Appendix B(2) Added agency code for PANYNJ Airports (131) Added information for PANYNJ Airports (131) Moved PANYNJ airport facility information from 005 to 131 06/20/2001 Appendix B(2) Appendix C Added plaza codes for MassPike (021) parking facilities Added place holders for NHDOT (026) and BCBC (027) class information Appendix B(1) 05/07/2001 Appendix A Appendix B(1) Appendix B(2) Added agency codes for NHDOT (026) and BCBC (027) Added information for NHDOT (026) and BCBC (027) Updated WV (024) plaza descriptions Appendix C Added Peace Bridge (013) class information Updated certain PANYNJ (005) class definitions App A - Agency Codes Agency ID 000 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 016 017 018 019 020 021 022 023 024 025 026 027 028 029 030 031 – 127 128 129 130 131 132 – 999 Description Manufacturer (Mark IV) Regional CSC New Jersey Highway Authority New Jersey Turnpike Authority New York State Thruway Authority Port Authority of New York & New Jersey Pennsylvania Turnp ke Commission South Jersey Transportation Authority MTA Bridges & Tunnels Delaware River Port Authority Smart Tag, Virginia Highway 407, Canada MetroDade, Florida Peace Bridge, New York Ambassador Bridge, Michigan Illinois State Toll Highway Authority Maryland Transportation Authority South Carolina DOT New York State Bridge Authority Delaware DOT Advantage I-75 Massachusetts Turnpike Authority New Jersey CSC New Brunswick (Canada) Highway Corporation West Virginia Parkways Authority Delaware River and Bay Authority New Hampshire DOT Burlington County Bridge Commission Maine Turnpike Authority Delaware River Joint Toll Bridge Commission Indiana DOT Reserved for future tag issuing agencies Albany Airport Buffalo Airport McDonalds Port Authority of New York & New Jersey Airports Reserved for future non-toll facilities. Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 4 of 26 App B(1) - Plaza Codes ETC_FAC_AGENCY Agency/ Facility Short Description Agency/Facility Long Description for Customer Statements (8 chars for Customer Statements (20 chars max) max) 002 GSP Garden State Parkway 003 NJTP New Jersey Turnp ke 004 NYSTA 005 PANYNJ Port Authority NY/NJ 006 PTC PA Turnpike Comm 007 ACE Atlantic City Expwy 008 MTAB&T 009 DRPA Del River Port Auth 010 VDOT VDOT Smart Tag 013 PBA 016 MdTA NYS Thruway MTA Bridges/Tunnels BFE Public Brdg Auth Md Trans Auth 018 NYSBA 019 DelDOT 021 MassPike 024 WVPEDTA 025 DRBA 026 NHDOT New Hampshire DOT 027 BCBC Burlington Br Comm 028 MeTA Maine Turnpike Auth DRJT Bridge Comm 029 DRJTBC 030 InDOT 128 ALB NYS Bridge Authority Delaware DOT MassP ke WV Turnpike Del Rvr & Bay Auth Indiana Toll Road A bany Airport 130 McDonald McDonalds 131 NYNJArpt Port Authority NY/NJ Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 5 of 26 App B(2) - Plaza Codes Plaza Abbreviation for Customer Statements (3 chars max) Plaza Description For Customer Statements (31 chars max) Notes ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA 002 001 PVK Pascack Valley 002 002 PRS Paramus South 002 003 PRN Paramus North 002 004 BER Bergen 002 007 SAB Saddle Brook 002 009 CLS Clifton South 002 010 CLN Clifton North 002 011 PSS Passaic South 002 012 PSN Passaic North 002 013 WAS Watchung South 002 014 WAN Watchung North 002 015 ESS Essex 002 016 BLS Bloomfield South 002 017 BLN Bloomfield North 002 020 EOR East Orange 002 021 IRS Irvington South 002 022 IRN Irvington North 002 026 UNR Union Ramp 002 027 UNI Union 002 037 RAS Raritan South 002 038 RAN Raritan North 002 039 MAT Matawan 002 040 KEY Keyport 002 041 HOS Holmdel South 002 042 HON Holmdel North 002 043 RBS Red Bank South 002 044 RBN Red Bank North 002 045 EAT Eatontown 002 046 ASP Asbury Park 002 047 BES Belmar South 002 048 BEN Belmar North 002 049 BRS Brick South [ii] 002 050 BRN Brick North [ii] 002 051 LHS Lakehurst South 002 052 LHN Lakehurst North 002 053 LWS Lakewood South 002 054 LWN Lakewood North 002 055 TRV Toms River 002 056 LRS Lacey Rd South 002 057 LRN Lacey Rd North 002 058 BAR Barnegat 002 059 BKS Berkeley Ramp South 002 060 BKN Berkeley Ramp North 002 061 NGR New Gretna 002 069 SPT Somers Point 002 070 GEG Great Egg 002 076 CMY Cape May 002 077 WWS Wildwood South 002 078 WWN Wildwood North Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 6 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 003 001 1 Delaware Memorial Bridge 003 002 2 Swedesboro/Chester 003 003 3 Woodbury/S. Camden/NJ Aquarium 003 004 4 Camden/Philadelphia/NJ Aquarium 003 005 5 Burlington/Mt. Holly 003 006 6 PA Turnpike/Florence 003 06A 6A PA Turnpike/Florence 003 06B 6B Rte. 130 Credit Ramp 003 007 7 003 07A 7A 003 008 8 Hightstown/Freehold 003 08A 8A Jamesburg/Cranbury 003 009 9 New Brunswick/Admin Bldg 003 010 10 I-287/Metuchen/Edison Twsp 003 011 11 GSP/Woodbridge/The Amboys 003 012 12 Carteret/Rahway 003 013 13 I-278/Eliz/Goethals/Verrazano 003 13A 13A Newark Aprt/Elizabeth Seaport 003 014 14 003 14A 14A Bayonne 003 14B 14B Jersey City/Liberty State Park 003 14C 14C Holland Tunnel 003 15E 15E Newark/Jersey City 003 15W 15W I-280/Newark/The Oranges 003 16E 16E Lincoln Tunnel/NJ 3/Secaucus 003 16W 16W Sprtsplx/NJ 3/Secaucus/Ruthrfrd 003 17N 17 Secaucus/US 46 003 17S 17 Secaucus/US 46 003 18E 18E Lincoln Tunnel/NJ 3/Secaucus 003 18W 18W Geo Washington Br/US 46/I-80 004 06 YK Yonkers Toll 004 08 HA Harriman Toll 004 09 TZ Tappan Zee Br 004 14 SV Spring Valley Toll 15 Bordentown/Trenton I-195/Trenton/Shore Points I-78/Newark Airport 004 15 15 004 16H 16H 16H 004 16W 16W 16W 004 17 17 17 004 18 18 18 004 19 19 19 004 20E 20E 20E 004 20W 20W 20W 004 21 21 004 21B 21B 004 22 22 22 004 23 23 23 004 24 24 24 004 25 25 25 004 25A 25A Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Notes 21 21B 25A Page 7 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 004 26 26 26 004 27 27 27 004 28 28 28 29 004 29 29 004 29A 29A 004 30 30 30 004 31 31 31 004 32 32 32 004 33 33 33 004 34 34 34 004 34A 34A 004 35 35 35 004 36 36 36 004 37 37 37 004 38 38 38 004 39 39 39 004 40 40 40 004 41 41 41 004 42 42 42 004 43 43 43 004 44 44 44 004 45 45 45 004 46 46 46 004 47 47 47 004 48 48 48 004 48A 48A 004 49 49 49 004 50 50 50 004 55 55 55 004 56 56 56 004 57 57 57 004 57A 57A 004 58 58 58 004 59 59 59 004 60 60 60 004 61 61 61 004 71 CL City Line Toll 004 78 BR Black Rock Toll 004 86 GIS South Grand Island Br 004 89 GIN North Grand Island Br New Rochelle Toll 29A 34A 48A 57A 004 98 NR 004 B1 B1 B1 004 B2 B2 B2 004 B3 B3 B3 005 BB BB Bayonne Br Goethals Br 005 GB GB 005 GWL GWL Geo Washington Br – Lower Level 005 GWP GWP Geo Washington Br – Palisades 005 GWU GWU Geo Washington Br – Upper Level Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Notes Page 8 of 26 App B(2) - Plaza Codes ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) Plaza Description For Customer Statements (31 chars max) 005 HT HT Holland Tunnel 005 LT LT Lincoln Tunnel 005 OBX OBX Outerbridge Crossing 006 01 GTY Gateway 006 02 BVY Beaver Valley 006 03 CRN Cranberry 006 04 BVL Butler Valley 006 05 ALV Allegheny Valley 006 06 PIT Pittsburgh 006 07 IRW Irwin 006 08 NST New Stanton 006 09 DNG Donegal 006 10 SOM Somerset 006 11 BED Bedford 006 12 BRZ Breezewood 006 13 FOL Fort Littleton 006 14 WIH Willow Hill 006 15 BLM Blue Mountain 006 16 CAR Carlisle 006 17 GEP Gettysburg Pike 006 18 HWS Harrisburg West Shore 006 19 HES Harrisburg East Shore 006 20 LEL Lebanon-Lancaster 006 21 RDG Reading 006 22 MGT Morgantown 006 23 DWT Downingtown 006 24 VAF Valley Forge 006 25 NOR Norristown 006 26 FOW Fort Washington 006 27 WIG Willow Grove 006 28 PHL Philadelphia Delaware Valley 006 29 DEV 006 30 DRB Delaware River Bridge 006 31 LAN Lansdale 006 32 QUA Quakertown 006 33 LEV Lehigh Valley 006 34 MAV Mahoning Valley 006 35 POC Pocono 006 36 WIB Wi kes-Barre 006 37 WYV Wyoming Valley 006 38 NCA New Castle 006 39 MIC Mid-County 006 41 VID Virginia Drive 006 42 WRN Warrendale 006 102 CLS Clark Summit 006 101 KEA Keyser Avenue 006 135 GTY Gateway 007 04 APL Pleasantville Mainline Barrier 007 05 AR9 Route 9 Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Notes [i] [ii ] Page 9 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 007 09 APO Pomona 007 10 ACY AC Airport 007 12 AML Mays Landing 007 16 A50 Route 50 007 17 AEH Egg Harbor Mainline Barrier 007 28 AH 007 33 AWN 007 38 AWL Williamstown Ramp 007 41 ACK Cross Keys 008 01 TBB Triborough Br – Bronx 008 02 TBM Triborough Br – Manhattan 008 03 BWB Bronx Whitestone Br 008 04 HHB Henry Hudson Br 008 05 MPB Marine Pkwy Br 008 06 CBB Cross Bay Br 008 07 QMT Queens Midtown Tunnel 008 08 BBT Brooklyn Battery Tunnel 008 09 TNB Throgs Neck Br 008 11 VNB Verrazano Narrows Br 009 1 BRB Betsy Ross Br 009 2 BFB Ben Franklin Br 009 3 WWB 009 4 CBB Notes Hammonton Ramp Winslow Ramp Walt Whitman Br Commodore Barry Br 009 TPB TPB Tacony Palmyra Br [iv] 009 BBB BBB Burlington Bristol Br [iv] 010 16 016 CE: Chesapeake,South 010 17 017 CE: Chesapeake,North 010 18 018 CE: Chesapeake,Disc 010 42 042 POC: MLT East 010 43 043 POC: Express Lanes East 010 44 044 POC: Express Lanes West 010 45 045 POC: MLT West 010 46 046 POC: Laburnum Avenue Entry Ramp 010 47 047 POC: Laburnum Avenue Exit Ramp 010 48 048 POC: Airport Exit 010 49 049 POC: Airport Entr 010 52 052 CB: Gloucester N 010 61 061 DTR: Sully Rd, South 010 63 063 DTR: Sully Rd, West 010 64 064 DTR: Sully Rd, East 010 65 065 DTR: Centrevil, West 010 66 066 DTR: Centrevil, East 010 67 067 DTR: Fairfax Pk,West 010 68 068 DTR: Fairfax Pk,East 010 69 069 DTR: Reston Pk, West 010 70 070 DTR: Reston Pk, East 010 71 071 DTR: Wiehle Av, West 010 72 072 DTR: Wiehle Av, East 010 73 073 DTR: Hunter Ml, West Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 10 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) Notes ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 010 74 074 DTR: Hunter Ml, East 010 75 075 DTR: Main Line, Alt 010 76 076 DTR: Route 7, East 010 77 077 DTR: Main Line, West 010 78 078 DTR: Main Line, East 010 79 079 DTR: Spring Hl, West 010 80 080 DTR: Spring Hl, East 010 81 081 DTR: Capital, West 010 82 082 DTR: Capital, East 010 91 091 PW: Mainline 010 92 092 PW: Courthouse 653 010 93 093 PW: Midlothian 60 010 94 094 PW: Mainline Ramps 010 101 101 GW: Greenway (M) 010 102 102 GW: Rt 606, West 010 103 103 GW: Rt 606, East 010 104 104 GW: Rt 772, West 010 105 105 GW: Rt 772, East 010 106 106 GW: Cla borne, West 010 107 107 GW: Cla borne, East 010 108 108 GW: Rt 659, West 010 109 109 GW: Rt 659, East 010 110 110 GW: Rt 607, West 010 111 111 GW: Rt 607, East 010 120 120 GW: Greenway, Disc 010 121 RPN RMA: Powhite N 010 122 RPS RMA: Powhite S [vi] 010 123 FHN RMA: Forest Hill N [vi] 010 124 FHS RMA: Forest Hill S [vi] 010 125 DGN RMA: Douglasdale N [vi] 010 126 DGS RMA: Douglasdale S [vi] 010 131 DTE RMA: DTE Main E [vi] 010 132 DTW RMA: DTE Main W [vi] 010 133 2SE RMA: 2nd St E [vi] 010 134 2SW RMA: 2nd St W [vi] 010 135 11E RMA: 11th St E [vi] 010 136 11W RMA: 11th St W [vi] 010 137 BBN RMA: Blvd Brdg N [vi] 010 BBS PB RMA: Blvd Brdg S Peace Bridge [vi] 013 138 001 013 004 PB4 Peace Bridge Baltimore Harbor Tunnel 016 BHT BHT 016 FMT FMT Fort McHenry Tunnel 016 FSK FSK Key Br 016 JFK JFK Kennedy Memorial Highway 016 HMB HMB Hatem Memorial Br 016 WPL WPL Lane Memorial Br 016 HWN HWN Nice Memorial Br 018 91 RVW Rip Van Winkle Br Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls [vi] [v] Page 11 of 26 App B(2) - Plaza Codes Plaza Abbreviation for Customer Statements (3 chars max) Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA 018 92 KRB 018 93 MHB Mid-Hudson Br 018 94 NBB Newburgh-Beacon Br 018 95 BMB Bear Mountain Br 019 010 D95 Newark Plaza 019 020 DD Dover Plaza 019 021 DR Denney’s Road Ramp 019 022 DS South Smyrna Ramp 019 030 BCP Biddles Plaza 019 031 BOC Boyd’s Corner Ramp 021 01 1 West Stockbridge 021 02 2 Lee 021 03 3 Westfield 021 04 4 West Springfield I-91 021 05 5 Chicopee 021 06 6 Springfield I-291 021 07 7 Ludlow 021 08 8 Palmer 021 09 9 Sturbridge I-84 021 10 10 021 25 10A 021 11 11 Worcester - Millbury 021 26 11A Westborough I-495 021 12 12 Framingham 021 13 13 Natick Rt. 30 021 14 14 Weston 128 I-95 021 15 15 Newton - Boston Weston 021 18 18 Allston - Brighton 021 19 19 Beacon Park 021 20 20 Brighton - Cambridge 021 55 55 Weston Route 128 I-95 021 30 ST Sumner Tunnel 021 31 TWT Ted Williams Tunnel - Airport 021 37 TW2 Ted Williams Tunnel - I-90 WB 021 60 P7G Parcel 7 Garage 021 61 MAG MBTA/Amtrak Garage Kingston-Rhinecliff Br Worcester - Auburn I-290 Worcester - Route 146 021 62 AMG Amtrak/MBTA Garage 021 63 A2G Amtrak/MBTA "2" Garage 021 80 TMB Tobin Memorial Bridge 024 16 C 024 17 B 024 18 NB Chelyan Pax North Beckley Ramp 024 19 AS Ghent South 024 20 AN Ghent North 025 DMB DMB Delaware Memorial Br 026 01 HKM Hooksett Main 026 03 ROC Roch 026 04 DOV Dover Plaza 026 05 HAM Hampton Main 026 06 HAR Hampton Ramp Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Notes Page 12 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 026 07 HKR 026 08 BED Bedford 026 09 E11 Exit 11 Notes Hooksett Ramp 026 11 E10 Merrimack Industrial 026 12 BDR Bedford Road 027 TPB TPB Tacony Palmyra Br [iv] 027 BBB BBB Burlington Bristol Br [iv] 028 007 YRK York Mainline Plaza 028 019 WLS Wells/Sanford 028 025 KNB Kennebunk/Kennebunkport 028 032 BDF Biddeford 028 036 SAC Saco/Old Orchard 028 042 SCR Scarborough 028 044 SPP So. Portland/Downtown Portland 028 045 MML Maine Mall Rd/Payne Rd 028 046 JPT Jetport/Congress St 028 047 RRD Rand Rd/Westbrook Arterial 028 048 RVL Riverside St/Larrabee Rd 028 052 FAL Falmouth/Freeport 028 053 WFL West Falmouth/Cumberland 028 063 GRY Gray/New Gloucester 028 067 NGL New Gloucester Mainline Plaza 028 102 WGR West Gardiner Mainline Plaza 028 103 GR2 Gardiner I-295 029 TM T-M Trenton-Morrisville Br 029 NHL NHL New Hope-Lambertville Br 029 I78 I78 I-78 Br 029 EP E-P Easton-Phillipsburg Br 029 PC P-C Portland-Columbia Br 029 DWG DWG Delaware Water Gap Br 029 MM M-M Milford-Montague Br 128 A A ALB Airport - Lot A/Garage 128 B B ALB Airport - Lot B 128 E E ALB Airport - Lot E 131 JG1 JFG JFK Airport - Green Lot 131 JL3 JFR JFK Airport - Red Lot 131 JG5 JFO JFK Airport - Orange Lot 131 JL2 JFB JFK Airport - Blue Lot 131 JG4 JFY JFK Airport - Yellow Lot 131 JL6 JF3 JFK Airport - Term 3 Rooftop 131 JL9 JFL JFK Airport - Long Term Lot 131 LL1 LG1 LGA Airport - Lot 1 131 LG2 LG2 LGA Airport - Lot 2 Garage 131 LL3 LGL LGA Airport - Long Term Lot 131 LL4 LG4 LGA Airport - Lot 4 131 LL5 LG5 LGA Airport - Lot 5 131 LL6 LG6 LGA Airport - Lot 6 131 LL7 LG7 LGA Airport - Lot 7 131 EM1 EWM EWR Airport - Main Plaza Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 13 of 26 App B(2) - Plaza Codes Plaza Description For Customer Statements (31 chars max) ETC_FAC_AGENCY ETC_ENTRY_PLAZA, ETC_EXIT_PLAZA Plaza Abbreviation for Customer Statements (3 chars max) 131 EM2 EWM EWR Airport - Main Plaza 131 EM3 EWM EWR Airport - Main Plaza 131 ECP EWM EWR Airport - Main Plaza 131 EP1 EW1 EWR Airport - Lot P1/P3 131 EP4 EW4 EWR Airport - Lot P4 131 EAE EWA EWR Airport - Lot A 131 EB1 EWB EWR Airport - Lot B 131 EB2 EWB EWR Airport - Lot B 131 ECE EWC EWR Airport - Lot C 131 E1E EW1 EWR Airport - Lot P1/P3 131 E41 EW4 EWR Airport - Lot P4 131 E42 EW4 EWR Airport - Lot P4 Notes Footnotes [i] PTC ETC_ENTRY_PLAZA "01" is being changed to "135" as of 06/01/2003. The old code will remain for backward compatability. [i ] NJHA ETC_ENTRY_PLAZA "049" and "050" will have new abbreviations and descriptions effective sometime in November of 2003. [ii ] PTC ETC_ENTRY_PLAZA "042" was changed in the appendix to "42". The new value is what current CSCs are actually using so this brings the appendix in-line with reality. [iv] These codes were moved from ETC_FAC_AGENCY 009 to ETC_FAC_AGENCY 027 effective 07/18/2004. [v] Peace Bridge ETC_EXIT_PLAZA "001" will be phased out after "004" comes on-line. [vi] RMA ETC_EXIT_PLAZA "12" has been replaced as indicated effective 04/30/2005. Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 14 of 26 App C - Class Codes Corre Automobile/ Sport Utility (with possible trailer) Motorcycle (with possible sidecar or trailer) Pick-Up Truck (with possible trailer) Passenger/ Cargo Van (seating 1-9 passengers) Minibus/ Team Van/ Stretch Limo (seating 10-15 passengers) Buses (seating 16 or more passengers) Vehicle Type 1 1 1 1 2 2 2 Axles 2 3 4 5 2 3 4 Num. Tires 4 6 8 10 2 3 >3 Dual Tires N N N N N N N Over 7,000 lbs. N N N N N N N IAG Class 72 76 80 84 136 140 144 NJHA (002) 1 1[iv] 1[iv] 1[iv] 1 1[iv] 1[iv] NJTA (003) 1 3 4 5 1 3 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 4 4 4 4 4 4 4 5 5 5 5 5 5 5 5 6 6 6 6 6 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 2 2 2 2 3 3 3 3 2 2 2 2 3 3 3 3 2 2 2 2 3 4 4 6 6 6 6 >= 8 >= 8 8 8 >= 10 >= 10 10 10 >= 12 >= 12 4 4 6 6 6 6 8-10 8-10 4 4 6 6 6 6 8-10 8-10 4 4 6 6 6 N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N 200 202 201 203 204 206 205 207 208 210 209 211 212 214 213 215 264 266 265 267 268 270 269 271 328 330 329 331 332 334 333 335 392 394 393 395 396 1 1 1 1 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1[iv] 1 1 1 1 1[iv] 1[iv] 1[iv] 1[iv] 1 1 1 1 1[iv] 1[iv] 1[iv] 1[iv] 3 3 3 3 3[iv] 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 5 1 1 2 2 3 3 3 3 1, B2[viii] 1, B2[viii] 2, B2[viii] 2, B2[viii] 3, B3[viii] 3, B3[viii] 3, B3[viii] 3, B3[viii] B2 B2 B2 B2 B3 Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls New NYSTA PANYNJ (004) [xxi] (005) 2L 1 3L 7 4L 7[xi] 4L 7[xi] 2L 11 3L 7[xi] 4L 7[xi] 2L 2L 2L 2L 3L 3L 3L 3L 4L 4L 4H 4H 5H 5H 5H 5H 2L 2L 2L 2L 3H 3H 3H 3H 2L 2L 2L 2L 3L 3L 3H 3H 2H 2H 2H 2H 3H 1 1 2 2 7 7 3 3 7[xi] 7[xi] 4 4 7[xi] 7[xi] 5 5 1 1 2 2 7 7 3 3 8 8 8 8 9 9 9 9 8 8 8 8 9 PTC (006) [i] 1 2 2 2 1 1 1 SJTA (007) 2 3 4 5 2 3 4 MTAB&T (008) 1 2 3 3 9 21 DRPA (009) 2 13 13[v] 13[v] 1 17 1[vi] VDOT (010) 2 3 4 5 1,2 [xx] 3 4 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 3 3 3 3 5 2 2 17 17 3 3 3 3 4 4 4 4 5 5 5 5 2 2 17 17 3 3 3 3 16 16 17 17 3 3 3 3 2 2 17 17 3 1 4 1 4 2 6 2 6 7 7 7 7 8 8 8 8 1 4 1 4 2 6 2 6 1 4 1 4 2 6 2 6 4 4 4 4 6 2 3 2 3 13 4 13 4 13[v] 5 13[v] 5 13[v] 6 13[v] 6 2 3 2 3 13 4 13 4 2 3 2 3 13 4 13 4 2 8 8 8 9 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 2 2 2 2 3 3 3 3 2 2 2 2 3 3 3 3 2 2 2 2 3 Page 15 of 26 App C - Class Codes Corre Recreational Vehicle/ Motor Home Truck Auto Transporter (up to 65') Vehicle Type 6 6 6 6 6 6 6 7 7 7 7 7 7 7 7 7 7 7 7 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 9 9 Axles 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 3 4 Num. Tires 6 8-10 8-10 8 8 >= 10 >= 10 4 4 6 6 6 6 8-10 8-10 8 8 >= 10 >= 10 4 4 6 6 6 6 8-10 8-10 8 8 >= 10 >= 10 10 10 >= 12 >= 12 12 12 >= 14 >= 14 14 14 >= 16 >= 16 n/a n/a Dual Tires N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y N N Y Y Y Y Over 7,000 lbs. Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y N Y Y Y Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls IAG Class 398 397 399 400 402 401 403 456 458 457 459 460 462 461 463 464 466 465 467 520 522 521 523 524 526 525 527 528 530 529 531 532 534 533 535 536 538 537 539 540 542 541 543 591 595 NJHA (002) 3[iv] 3[iv] 3[iv] 3[iv] 3[iv] 3[iv] 3[iv] 5 5 2 2 2[iv] 2[iv] 2[iv] 2[iv] 2[iv] 2[iv] 2[iv] 2[iv] 6 9 10 10 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[iv] 11[xvi] 11[xvi] NJTA (003) B3 B3 B3 B3[ix] B3[ix] B3[ix] B3[ix] 1 1 2 2 3 3 3 3 4 4 4 4 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 7[xii] 7[xii] 7[xii] 7[xii] 3 4 New NYSTA PANYNJ (004) [xxi] (005) 3H 9 3H 9 3H 9 4H 9 4H 9 4H 9 4H 9 2H 1 2H 1 2H 2 2H 2 3H 7 3H 7 3H 3 3H 3 4H 7[xi] 4H 7[xi] 4H 4 4H 4 2H 1 2H 1 2H 2 2H 2 3H 7 3H 7 3H 3 3H 3 4H 7[xi] 4H 7[xi] 4H 4 4H 4 5S 7[xi] 5S 7[xi] 5S 5 5S 5 6S 7[xi] 6S 7[xi] 6S 6 6S 6 7S 7[xi] 7S 7[xi] 7S 6[xv] 7S 6[xv] 3H 3 4H 4 PTC (006) [i] 5 5 5 5 5 5 5 2 2 2 2 3 3 3 3 3 3 3 3 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 6 6 6 6 4 4 SJTA (007) 3 3 3 4 4 4 4 2 2 17 17 3 3 3 3 4 4 4 4 2 2 17 17 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 3 4 MTAB&T (008) 6 6 6 7 7 7 7 1 4 1 4 2 6 2 6 7 7 7 7 1 4 1 4 6 6 6 6 7 7 7 7 8 8 8 8 12 12 12 12 13 13 12 13 6 7 DRPA (009) 9 9 9 9[x] 9[x] 9[x] 9[x] 2 3 2 3 13 4 13 4 13[v] 5 13[v] 5 2 3 2 3 13 4 13 4 13[v] 5 13[v] 5 13[v] 6 13[v] 6 13[v] 7 13[v] 7 13[v] 7[xiv] 13[v] 7[xiv] 4 5 VDOT (010) 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 3 4 Page 16 of 26 App C - Class Codes Corre Auto Transporter (over 65') Tractor Trailer Combination (trailer <= 48') Tractor Trailer Combination (trailer > 48') Tandem Trailer Combination (each trailer <= 28.5') Tandem Trailer Combination (each trailer > 28.5') Tandem Trailer Combination (one trailer <= 28.5' other > 28.5’) Tractor/ Mobile Home Combination Vehicle Type 9 9 9 10 10 10 10 11 11 11 11 11 12 12 12 12 12 13 13 13 13 13 13 14 14 14 14 14 14 15 15 15 15 15 15 17 17 17 17 17 17 17 17 Axles 5 6 7 4 5 6 7 3 4 5 6 7 3 4 5 6 7 5 6 7 8 9 10 5 6 7 8 9 10 5 6 7 8 9 10 3 4 5 6 7 8 9 10 Num. Tires n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a Dual Tires Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Over 7,000 lbs. Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y IAG Class 599 603 607 659 663 667 671 719 723 727 731 735 783 787 791 795 799 855 859 863 867 871 875 919 923 927 931 935 939 983 987 991 995 999 1003 1103 1107 1111 1115 1119 1123 1127 1131 NJHA (002) 11[xvi] 11[xvi] 11[xvi] n/a n/a n/a n/a 11 11 11 11 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] n/a n/a n/a n/a n/a n/a 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] 11[xvi] NJTA (003) 5 6 7[xii] 4 5 6 7[xii] 3 4 5 6 7[xii] 3 4 5 6 7[xii] 5 6 7[xii] 8[xii] 9[xii] 9[xix] 5 6 7[xii] 8[xii] 9[xii] 9[xix] 5 6 7[xii] 8[xii] 9[xii] 9[xix] 3 4 5 6 7[xii] 8[xii] 9[xii] 9[xix] New NYSTA PANYNJ (004) [xxi] (005) 5S 5 6S 6 7S 6[xv] 4H 4 5S 5 6S 6 7S 6[xv] 3H 3 4H 4 5S 5 6S 6 7S 6[xv] 3H 3 4H 4 5H 5 6H 6 7H 6[xv] 5H 5 6H 6 7H 6[xv] 7H 6[xv] 7H 6[xv] 7H 6[xv] 5H 5 6H 6 7H 6[xv] 7H 6[xv] 7H 6[xv] 7H 6[xv] 5H 5 6H 6 7H 6[xv] 7H 6[xv] 7H 6[xv] 7H 6[xv] 3H 3 4H 4 5S 5 6S 6 7S 6[xv] 7S 6[xv] 7S 6[xv] 7S 6[xv] PTC (006) [i] 5 5 5 4 5 5 5 5 5 5 5 5 5 5 5 5 5 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6 4 4 5 5 5 5 5 5 SJTA (007) 5 6 7 4 5 6 7 3 4 5 6 7 3 4 5 6 7 5 6 7 8 9 10 5 6 7 8 9 10 5 6 7 8 9 10 3 4 5 6 7 8 9 10 MTAB&T (008) 8 12 13 7 8 12 13 6 7 8 12 13 6 7 8 12 13 8 12 13 17 18 19 8 12 13 17 18 19 8 12 13 17 18 19 8 7 8 12 13 17 18 19 DRPA (009) 6 7 7[xiv] 5 6 7 7[xiv] 4 5 6 7 7[xiv] 4 5 6 7 7[xiv] 6 7 7[xiv] 7[xiv] 7[xiv] 7[xiv] 6 7 7[xiv] 7[xiv] 7[xiv] 7[xiv] 6 7 7[xiv] 7[xiv] 7[xiv] 7[xiv] 4 5 6 7 7[xiv] 7[xiv] 7[xiv] 7[xiv] VDOT (010) 5 6 7 4 5 6 7 3 4 5 6 7 3 4 5 6 7 5 6 7 8 9 10 5 6 7 8 9 10 5 6 7 8 9 10 3 4 5 6 7 8 9 10 Footnotes Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 17 of 26 App C - Class Codes Corre Vehicle Type [] [ii] [iii] [iv] [v] [v ] [vi ] [viii] [ix] [x] [x ] [xi ] [xiii] [xiv] [xv] [xvi] [xvi ] [xvii ] [xix] [xx] New Num. Dual Over 7,000 IAG NJHA NJTA NYSTA PANYNJ PTC (006) SJTA MTAB&T Axles Tires Tires lbs. Class (002) (003) (004) [xxi] (005) [i] (007) (008) PTC tolls are weight based. The classes shown are those as used manually when scales are not present in the lane. Therefore, the MassPike classes represent the ticket, barrier and tunnel portions of the system respectively. DRPA (009) VDOT (010) MassPort classes represent private vehicle accounts, Resident (Commuter) accounts, and Commercial accounts respectively (where more than one class is shown). The class shown is superceded for the following cases – all Massachusetts Bay Transportation Authority vehicles are class 12; all non-revenue vehicles are class 13. NJHA toll charged is a combination of the basic class charge plus the actual number of extra axles. DRPA toll charged is a combination of Class (13) plus the actual number of axles in excess of 3. DRPA toll charged is a combination of Class (1) plus the actual number of axles in excess of 2. NYSBA toll charged is a combination of the Class (8) plus the actual number of axles in excess of 3. NJTA Class 1 or Class 2 without Omni-bus plates / B2 or B3 with Omni-bus plates. NJTA collector classifies as B4, toll charged is for a B3. DRPA toll charged is a combination of Class (9) plus the actual number of axles in excess of 3. PANYNJ toll charged is a combination of the Class (7) plus the actual number of axles in excess of 3. NJTA collector classifies as actual axles (7, 8 or 9) but toll charged is for a Class 6. NYSBA toll charged is a combination of the Class (6) plus the actual number of axles in excess of 6. DRPA toll charged is a combination of Class (7) plus the actual number of axles in excess of 6. PANYNJ toll charged is a combination of the Class (6) plus the actual number of axles in excess of 6. NJHA toll charged is a combination of the basic class charge plus the actual number of extra axles. In addition, any vehicle over 55’ in length requires a special permit to use the roadway. WVPA adds a surcharge for oversize vehicles (longer than 65 feet). NYSTA tandem trailers result in two distinct transactions timed one (1) second apart the first bearing the first class indicated and the second transaction bearing the second class. NJTA collector classifies as Class 9 and completes axle exception, toll charged is for a Class 6. VDOT roads classify by actual axles. Facilities that offer motorcycle discounts require motorcycles to use manual lanes to receive discount. Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 18 of 26 App C - Class Codes esponding IAG Member Agency Vehicle Class Code PBA (013) Automobile/ Sport 1 Utility (with 2 possible trailer) 2 2 Motorcycle (with 1 possible sidecar or 2 trailer) 2 Pick-Up Truck (with possible trailer) Passenger/ Cargo Van (seating 1-9 passengers) Minibus/ Team Van/ Stretch Limo (seating 10-15 passengers) Buses (seating 16 or more passengers) 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 1 1 1 1 2 2 2 2 1 1 1 1 2 2 2 2 9 9 9 9 9 MdTA (016) 2 3 4 5 2 3 4 NYSBA (018) 1 3 4 5 1 8[vi ] 8[vi ] DelDOT (019) 2 3 4 5 2 3 4 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 2 2 2 2 3 3 3 3 2 2 2 2 3 3 3 3 2 2 2 2 3 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 5 1 1 2 2 3 3 3 3 1 1 2 2 3 3 3 3 1 1 2 2 3 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 2 2 2 2 3 3 3 3 2 2 2 2 3 3 3 3 2 2 2 2 3 MassPike Mass Port (021)[ii] (021) [iii] 1,1,1 4,1,7 2,3,3 5,2,8 2,4,4 6,3,9 2,5,5 10 1,1,1 4,1,7 1,1,1 5,2,8 2,4,4 6,3,9 1,1,1 1,1,1 5,2,1 5,2,1 2,3,3 2,3,3 6,3,3 6,3,3 2,4,4 2,4,4 7,4,4 7,4,4 2,5,5 2,5,5 3,5,5 3,5,5 1,1,1 1,1,1 5,2,1 5,2,1 2,3,3 2,3,3 6,3,3 6,3,3 1,1,2 1,1,2 5,2,2 5,2,2 2,3,3 2,3,3 6,3,3 6,3,3 8,1,2 8,1,2 8,2,2 8,2,2 8,3,3 Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls 4,1,7 4,1,7 4,1,7 4,1,7 5,2,8 5,2,8 5,2,8 5,2,8 6,3,9 6,3,9 6,3,9 6,3,9 10 10 10 10 4,1,7 4,1,7 4,1,7 4,1,7 5,2,8 5,2,8 5,2,8 5,2,8 4,1,7 4,1,7 4,1,7 4,1,7 5,2,8 5,2,8 5,2,8 5,2,8 7 7 7 7 8 WVPA (024) 1 2 2 2 1 2 2 DRBA (025) 1 11 12 13 1 12 NHDOT (026) 1 2 3 4 1 2 3 BCBC (027) 1 11 12 13 1 11 12 MeTA (028) 1 7 8 8 1 7 8 DRJTBC (029) P2 P3 P4 P5 P2 P3 P4 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 1 1 1 1 2 2 2 2 1 1 1 1 2 2 2 2 5 5 5 5 6 1 1 2 2 11 11 3 3 12 12 4 4 13 13 5 5 1 1 2 2 11 11 3 3 1 1 2 2 11 11 3 3 1 1 2 2 11 1 1 5 5 2 2 6 6 3 3 7 7 4 4 8 8 1 1 5 5 2 2 6 6 1 1 5 5 2 2 6 6 1 1 5 5 2 1 1 2 2 11 11 21 21 12 12 22 22 13 13 23 23 1 1 2 2 11 11 21 21 1 1 2 2 11 11 21 21 1 1 2 2 11 1 1 2 2 7 7 3 3 8 8 4 4 8 8 5 5 1 1 2 2 7 7 3 3 1 1 2 2 3 3 3 3 1 1 2 2 3 P2 P2 P2 P2 P3 P3 P3 P3 P4 P4 P4 P4 P5 P5 P5 P5 P2 C2 P2 C2 C3 C3 C3 C3 P2 C2 C2 C2 C2 C3 C3 C3 C2 C2 C2 C2 C3 InDOT (030) Page 19 of 26 App C - Class Codes esponding IAG Member Agency Vehicle Class Code Recreational Vehicle/ Motor Home Truck Auto Transporter (up to 65') PBA (013) 9 9 9 9 9 9 9 1 1 1 1 2 2 2 2 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 8 8 8 8 4 5 MdTA (016) 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 6 6 6 6 3 4 NYSBA (018) 3 3 3 4 4 4 4 1 1 2 2 3 3 3 3 4 4 4 4 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 6[xiii] 6[xiii] 6[xiii] 6[xiii] 3 4 DelDOT (019) 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 2 2 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 6 6 6 6 3 4 MassPike Mass Port (021)[ii] (021) [iii] 8,3,3 8 8,3,3 8 8,3,3 8 2,4,4 9 2,4,4 9 7,4,4 9 7,4,4 9 1,1,1 4,1,7 1,1,1 4,1,7 5,2,1 4,1,7 5,2,1 4,1,7 2,3,3 5,2,8 2,3,3 5,2,8 6,3,3 5,2,8 6,3,3 5,2,8 7,4,4 6,3,9 7,4,4 6,3,9 7,4,4 6,3,9 7,4,4 6,3,9 1,1,2 7 1,1,2 7 5,2,2 7 5,2,2 7 2,3,3 8 2,3,3 8 6,3,3 8 6,3,3 8 2,4,4 9 2,4,4 9 7,4,4 9 7,4,4 9 3,5,5 10 3,5,5 10 3,5,5 10 3,5,5 10 3,6,6 11 3,6,6 11 3,6,6 11 3,6,6 11 3,7,7 11 3,7,7 11 3,7,7 11 3,7,7 11 6,3,3 8 7,4,4 9 Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls WVPA (024) 6 6 6 7 7 7 7 3 3 3 3 3 3 4 4 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 8 8 8 8 9 9 9 9 9 9 9 9 6 7 DRBA (025) 11 3 3 12 12 4 4 1 1 2 2 11 11 3 3 12 12 4 4 1 1 2 2 11 11 3 3 12 12 4 4 13 13 5 5 6 6 6 6 8 8 8 8 3 4 NHDOT (026) 2 6 6 3 3 7 7 1 1 5 5 2 2 6 6 3 3 7 7 1 1 5 5 2 2 6 6 3 3 7 7 4 4 8 8 4 4 9 9 4 4 10 10 6 7 BCBC (027) 11 3 3 12 12 31 31 1 1 2 2 11 11 21 21 12 12 22 22 1 1 5 5 11 11 6 6 12 12 7 7 13 13 8 8 14 14 81 81 15 15 82 82 6 7 MeTA (028) 3 3 3 4 4 4 4 1 1 2 2 3 3 3 3 4 4 4 4 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 5 6 6 6 6 6 6 6 6 3 4 DRJTBC (029) C3 C3 C3 C4 C4 C4 C4 P2 C2 C2 C2 C3 C3 C3 C3 C3 C4 C4 C4 C2 C2 C2 C2 C3 C3 C3 C3 C4 C4 C4 C4 C5 C5 C5 C5 C6 C6 C6 C6 C7 C7 C7 C7 C3 C4 InDOT (030) Page 20 of 26 App C - Class Codes esponding IAG Member Agency Vehicle Class Code Auto Transporter (over 65') Tractor Trailer Combination (trailer <= 48') Tractor Trailer Combination (trailer > 48') Tandem Trailer Combination (each trailer <= 28.5') Tandem Trailer Combination (each trailer > 28.5') Tandem Trailer Combination (one trailer <= 28.5' other > 28.5’) Tractor/ Mobile Home Combination PBA (013) 6 7 8 5 6 7 8 4 5 6 7 8 4 5 6 7 8 6 7 8 8 8 8 6 7 8 8 8 8 6 7 8 8 8 8 4 5 6 7 8 8 8 8 MdTA (016) 5 6 6 4 5 6 6 3 4 5 6 6 3 4 5 6 6 5 6 6 6 6 6 5 6 6 6 6 6 5 6 6 6 6 6 3 4 5 6 6 6 6 6 NYSBA (018) 5 6 6[xiii] 4 5 6 6[xiii] 3 4 5 6 6[xiii] 3 4 5 6 6[xiii] 5 6 6[xiii] 6[xiii] 6[xiii] 6[xiii] 5 6 6[xiii] 6[xiii] 6[xiii] 6[xiii] 5 6 6[xiii] 6[xiii] 6[xiii] 6[xiii] 3 4 5 6 6[xiii] 6[xiii] 6[xiii] 6[xiii] DelDOT (019) 5 6 6 4 5 6 6 3 4 5 6 6 3 4 5 6 6 5 6 6 6 6 6 5 6 6 6 6 6 5 6 6 6 6 6 3 4 5 6 6 6 6 6 MassPike Mass Port (021)[ii] (021) [iii] 3,5,5 10 3,6,6 11 3,7,7 11 7,4,4 9 3,5,5 10 3,6,6 11 3,7,7 11 6,3,3 8 7,4,4 9 3,5,5 10 3,6,6 11 3,7,7 11 6,3,3 8 7,4,4 9 3,5,5 10 3,6,6 11 3,7,7 11 9,5,5 10 9,6,5 11 9,7,7 11 9,8,7 11 9,9,7 11 9,9,7 11 3,5,5 10 3,6,6 11 3,7,7 11 3,8,7 11 3,9,7 11 9,9,7 11 9,5,5 10 9,6,6 11 9,7,7 11 9,8,7 11 9,9,7 11 9,9,7 11 6,3,3 8 7,4,4 9 3,5,5 10 3,6,6 11 3,7,7 11 3,8,7 11 3,9,7 11 3,9,7 11 Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls WVPA (024) 8 9 9 7[xvi ] 8[xvi ] 9[xvi ] 9[xvi ] 6 7 8 9 9 6[xvi ] 7[xvi ] 8[xvi ] 9[xvi ] 9[xvi ] 8 9 9 9 9 9 8[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 8[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 9[xvi ] 6 7 8 9 9 9 9 9 DRBA (025) 5 6 8 4 5 6 8 3 4 5 6 8 3 4 5 6 8 5 6 8 8 8 8 5 6 8 8 8 8 5 6 8 8 8 8 3 4 5 6 8 8 8 8 NHDOT (026) 8 9 10 7 8 9 10 6 7 8 9 10 6 7 8 9 10 8 9 10 11 12 12 8 9 10 11 12 12 8 9 10 11 12 12 6 7 8 9 10 11 12 12 BCBC (027) 8 81 82 7 8 81 82 6 7 8 81 82 6 7 8 81 82 8 81 82 83 84 85 8 81 82 83 84 85 8 81 82 83 84 85 6 7 8 81 82 83 84 85 MeTA (028) 5 6 6 4 5 6 6 3 4 5 6 6 3 4 5 6 6 5 6 6 6 6 6 5 6 6 6 6 6 5 6 6 6 6 6 3 4 5 6 6 6 6 6 DRJTBC (029) C5 C6 C7 C4 C5 C6 C7 C3 C4 C5 C6 C7 C3 C4 C5 C6 C7 C5 C6 C7 C7 C7 C7 C5 C6 C7 C7 C7 C7 C5 C6 C7 C7 C7 C7 C3 C4 C5 C6 C7 C7 C7 C7 InDOT (030) Page 21 of 26 App C - Class Codes esponding IAG Member Agency Vehicle Class Code PBA (013) MdTA (016) NYSBA (018) DelDOT (019) MassPike Mass Port (021)[ii] (021) [iii] Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls WVPA (024) DRBA (025) NHDOT (026) BCBC (027) MeTA (028) DRJTBC (029) InDOT (030) Page 22 of 26 App - Network Topology IAG INTER-CSC NETWORK TOPOLOGY Demarcation: JPMC, 3rd FL 500 Stanton Christiana Road Newark, DE 19713 Contact: DEREK KRAT (856) 222?3745 1 Ethemet? Peace Bridge/DeIDOT (013/019) FTP Host 172.28.216 (in/out) pre?x 172.28.21.0/24 .- 400 Riverside St. Portland, ME 04103 Contact: WILLIAM YATES (207) 871 ?7771 x300 Note: Not depicted in this ?gue are the individual frame relay PVCs and corresponding serial interfaces interconnecting pairs of lomtions. The large nunber of these connections would mdte the ?gure less readable. This information can be found in tables 1 and 2 of the MFRS Users Guide. Demarcation: 7611 Deny Street Harrisburg, PA 17111 Contact: KERRY WOTRING (717) 5654317 (028) FTP Host 172293.150 (in/out) pre?x DLCI 130 revision 03/24/2005 Demarcation: Massachusetts Turnpike Authority Interchange 3 Southhampton Road West?eld, MA 01085 Contact: JON SOUSA PTC (006) FTP Host (508) 7865249 172263.150 (in/out) Pre?x 172253-004 MassPike (021) FTP Host 1 172.24.3.150 (in/out) pre?x 172.24.3.0/24 - themet- DLCI 115 135 I DLCI 125 DLCI 110 Frame Relay Plus I: DLCI 120 DLCI 140 (016) FTP Host 303 AUTHORITY DRIVE Dundalk, MD 21222 Contact: BOB JORDAN (410) 288-8473 2100 RESTON PKWY Suite 102 Reston, VA 20191 Contact: ED LAFEAN (703) 391 -7636 VDOT (010) FTP Host 172.16.74.150 (in/out) pre?x 172.16.74.0/24 Demarcation: ACS, Level 777 Old Saw Mill River Road Tanytown, NY 10591 Contact: SONYA FERTIG (914) 789-6138 pre?x 4, 20, 30 DRPA (009) FTP Host Inbound IP 17220202 Outbound IP 172204.245 Ethernet (025/029/026) FTP Host Inbound IP 17220203 Outbound IP 1722030240 El NY 050 (008) FTP Host Inbound IP 17220201 Outbound IP 172.20.4181 'il NJ CSC (022) FTP Host Inbound IP 172.2020] Outbound IP 17220303 Assumptions: Cisco routers are used Routing protocol is OSPF Encapsulation is frame relay Subnet mask is 255.255.2550 Class 172 address pre?x is used Non?Internet private) IP Addressing is used Appendix L1 - Inter-CSC Files - Appendix 6-3-05.xls Page 23 of 26 App E - CSC-Agency Cross Ref From/ To ID CSC Associated Tag Agency IDs Facility Codes Served 006 E-ZPass Pennsylvania Turnp ke 006 006 008 E-ZPass New York 004 004 005 005 008 008 Notes 128 130 131 009 E-ZPass DRPA 009 009 010 Virginia Smart Tag 010 010 013 E-ZPass Peace Bridge 013 013 016 M-Tag 016 016 019 DelDOT CSC 019 019 022 E-ZPass New Jersey 022 009 002 [iii] [i][ii] 003 007 009 027 021 Fast Lane 021 021 024 E-ZPass West Virginia 024 024 025 E-ZPass Delaware River and Bay Authority 025 025 026 E-ZPass New Hampshire DOT 026 026 028 E-ZPass Maine Turnp ke Authority 028 028 029 E-ZPass DRJTBC 029 029 [iii] [iii] The “From/To ID” specified above corresponds to the {FROM_AGENCY_ID} and {TO_AGENCY_ID} fields used in the file naming convention. This table shall also be used to route transactions to the appropriate Home Agency/CSC. Footnotes [i] DelDOT does not currently issue tags. [ii] DelDOT issues its own tags as of 11/2003. DRPA (009) and BCBC (027) combined with the NJ CSC effective 7/18/2004. [iii] Appendix L1 - IAG Inter-CSC Files - Appendix 6-3-05.xls Page 24 of 26 App - Non-Toll Trans Flow Regional MassPike Consortium and (021 mum?"NT" (022) INRX tie for and: ?le it received and Step 2: Each Host wM-mn?mm coneeoondingHost NTX?eIoro-eh Agency. Fwwoww I i I -- eachFaeityOpemor . '1 for each Home Agany . . - we?? I I I I I NYSTA MTA PANYNJ l' (004) I (008) (005) I I: --.ilJl 005 005 max .-. 005 00? -- . I m5_oo4_ .INRX r? Albany NP 1: Each 05?3? Tiansactions with Transactions with Transactions With ?le fot al activityon tag agency ids: tag agency idsz tag agency ids: m? ?"68 me ?e 004, 005, 022 005, 008, 022 004, 005, 021. Mew 022 KEY: FacilyOperawr 888 Host Agency ?ux Facility Operator Trmsadion ?le Hod Agency OCC Home Agency INTX Inter-CSC Non-To! Tm Fle Hoot Agency Home Agency INRX Inler-CSC Non-Tel Reecneiidicn Fie - NYSTA (004) is the Host Agency for Albany AIP (128) and Buffalo AP (129); PANYNJ (005) is the Host Agency for LGAIEWRIJFK (005) Appendix L1 - IAG Inter-CSC Files - Appendix Page 25 of 26 App - ACK Return Codes Acknowledgement File Return Codes 07? _?uccessrully mile does not Received and Header/Detail Count Invalid Detail Update and full file match the Duplicate File Gap in Sequence Bad Zip File and Veri?ed Discrepancy -Records Found dateltime mismatch transaction file S-equence Number -Number Other Issue ICTX Process Do nogpgocess Do 2110): /a /a Do noggocess Progess Do ng?gcess Process Do nogpgocess Do (n10)t( n/a la Do Progess Do Do not process Do not process Do not process Do not process Do not process 3' 003353552955 0:23:22; 0022;515:2935 003353532955 00353532955 lec ??955 INTX Process Do nozt?gcess Do ?110): grgjess la la Do Pros-ass Do ITXN Process Do nozt?zfess Do F13: la la Do nogpgcess Progess Do ?282?23?223?55?355 D?inlfl?iess ?atlases ?3252:3955 ?Taipei ?miss Business 3 ITAG Process Do nogpgcess Do {Big?jess n/a n/a n/a n/a Do negaticess 0 IT GU Process Do no?igocess Do ?110): epitaiess Do ?110)? /a la la Do IITC Process Do nogigress Do 21132;;(063ess n/a n/a n/a n/a Do nogpgicess ICLP Process Do ngfz?ocess Do n/a n/a n/a n/a Do ngigcess Appendix L1 - IAG lnter-CSC Files - Appendix 6-3-05.xls Notes: (1) (2) (3) (4) (5) (6) Receiving Agency/CSC needs to indicate at least the ?rst invalid record in a report which can be made available to the Originatin Originating Agency should rename new ?le (including Header) to be unique Receiving Agency/CSC should utilize the previous valid ?le. Originating/Receiving Agency/CSC should escalate after days. Originating Agency/CSC should investigate, repair ?le as needed and resend File should not be included on any settlement reports Originating Agency/CSC should investigate Page 26 of 26 Appendix L2 Inter-CSC Toll Dispute Policy The following issues have been discussed by a subset of the IAG Finance Committee. The policies relate to how toll disputes presented by E-ZPass customers to their Home agency are generally handled if the transaction occurred on an Away agency. The assumption is that the Home agency wants to deduct from settlement or “pass back” to the Away agency any credits applied to the customer’s account. Usage of the terms Home and Away agency is as defined in the IAG Reciprocity I Agreement. Exceptions to any of the general policies may be made by specific agreement between the affected agencies. ISSUE #1: Who handles the customer’s dispute when the toll occurred on an away agency? POLICY: A Home agency will handle disputes presented by their customers regarding Away agency transactions. Currently there is an exception to this policy for the Pennsylvania Turnpike (PTC). Disputed PTC transactions are to be referred back to PTC. If PTC accepts the dispute they will submit a transaction correction file to the Home agency for processing. There was concern that agencies will need to train their customer service representatives extensively about the toll structures and policies of all Away agencies. However, it is probably necessary to do so in the course of performing everyday customer service. It is the responsibility of the Away agency to notify all Home agencies of any changes in their toll structure, new discount plans, etc. ISSUE #2: What are acceptable reasons for passing along adjustments due to a customer dispute? POLICY: The Away agency determines whether they will accept pass back of an adjustment that reduces their toll revenue. Table I defines the types of known disputes and indicates whether the adjustment may be deducted from settlement. See Table I attachment. ISSUE #3: What are acceptable timeframes for accepting and passing along a dispute? POLICY: A Home agency may deduct from settlement the credit given to a customer for a disputed transaction which occurred during the most recent three calendar months plus the current month of the settlement period. See Table II for an illustration of the acceptable timeframe. Agencies may have different policies for how long after the date of a toll they will accept a customer’s dispute. Since some agencies issue bimonthly statements or reciprocity tolls may be delayed in posting up to 60 days, a customer might not realize an error has been made for some time. Regardless of Home agency credit policy, the IAG can have a common, conservative policy. This may encourage the Home agency to process disputes timely. The recommendation above is based on the date of the original transaction relative to the settlement period without regard to when the dispute was made or when credit may have been given to the customer. It also eliminates the need to calculate the exact number of days elapsed for each disputed transaction. ISSUE #4: What are the limits for acceptance of multiple, repeated or large dollar disputed amounts on a particular account? POLICY: Limitations are specific to the type of dispute in question. Refer to Table I for allowable limits Page 1 of 5 Release Version 6/05 Appendix L2 Agencies are concerned about customers trying to work around paying legitimate tolls due by continually submitting disputes, failing to replace a defective tag or update license plates, or bearing the risk of a Home agency’s excessively liberal credit policy. ISSUE #5: How much is the acceptable amount of credit? POLICY: The Home agency must use the Away agencies' published toll schedules to determine the appropriate credit amount for each disputed transaction. For ticketed system transactions where the point of origin is unknown (maximum fare was charged), the Home agency may accept the customer’s word as to the entry point and review travel patterns. For duplicate transactions or erroneous violation tolls the whole amount of the transaction may be credited. ISSUE #6: What reports are required? POLICY: Settlement of disputed toll adjustments is based on the IAG-6 Inter-CSC Disputed Toll and Adjustments Report, as defined in the E-ZPass Inter-CSC Settlement Report Specifications. The Home agency must also provide to the Away agency an Excel spreadsheet of all disputed transactions to be included in the settlement. The spreadsheet should contain all of the information on the IAG-6 and must tie to it. The Home agency must provide the Excel spreadsheet and the IAG-6 Report to the Away agency within 20 calendar days after the settlement period. The spreadsheet would include the items in IAG-6 and in addition indicate customer account number, tag number, original transaction amount, corrected transaction amount, and the amount of the adjustment applied for each transaction. The only dispute reasons that may appear on the report are the acceptable reasons noted in Table I. ISSUE #7: When does settlement occur? POLICY: Settlement of disputed toll adjustments shall be no more frequently than monthly. Settlement for a particular month occurs on a one month lag from the current month of toll revenue settlement. The one-month lag period for settlement allows the Home agency more time to produce the required reports and the Away agency more time to review the reports. It does not extend the period of time that disputed transactions may be included as indicated in Issue #3. Illustration of timeframes is shown in Table II. ISSUE #8: When does settlement begin between the agencies? POLICY: When the IAG adopts the Disputed Toll Adjustment Policy, the agencies will follow the agreed upon rules going forward. No retroactive adjustments will be applied to a current settlement. Page 2 of 5 Release Version 6/05 Appendix L2 Table I Reasons for Disputes Item # 1. Reason or Type of Transaction Maximum Toll 2. U-Turns 3. Paid Cash 4. 5. Tappan Zee Commuter Plans Permit Plan 6. 7. 8. 9. 10 Acceptable to Pass Back? Yes No Yes (Valid Receipt only) No Applicable Away Agency NYSTA, NJTA, PTC, Mass Tpk NYSTA, NJTA, PTC, Mass Tpk All NYSTA No NYSTA Value Pricing No NYSBA Commuter Plan Port Authority Commuter Plan Staten Island Resident Plan Atlantic City Expwy Discount Plan No NYSTA,NJTA Port Authority NYSBA No Port Authority No MTA B&T No SJTA Page 3 of 5 Applicable Home Agency All All All Regional Consortium Regional Consortium All Regional Consortium Regional Consortium Regional Consortium Del. River Port Authority Allowable Credit Description / Comments Max fare minus Correct fare up to $50 per transaction. Credit allowable for up to 20 transactions per customer for a settlement period. 0 Applies to agencies with a ticketed system with variable entry points. The tag did not read on entry, and either the tag read on exit or the customer was correctly identified from a license plate read. The Home agency should resolve a tag problem in a timely manner. The Away agency could also have lane problems and the maximum fare policy contributes to disputes. Full transaction amount with valid receipt only 0 0 0 Applies to agencies with a ticketed system with variable entry points. Maximum fare is charged when the entry and exit transaction location is the same. Home Agency must maintain receipt(s) for potential use by Away Agency. Items #4 through #12 indicate the customer believes (s)he should have received a discounted rate. This is usually a Home agency problem where a discount plan may have been assigned incorrectly. The Home agency should contact the Away agency immediately if they believe that the Away agency is calculating fares incorrectly. 0 0 0 0 Release Version 6/05 Appendix L2 Table I Reasons for Disputes 11. DRPA Discount Plan DRBA Discount Plan Tag Programmed Incorrectly Tag Used on Wrong Class Vehicle No DRPA All Regional Consortium Regional Consortium All No DRBA No 0 No All All 0 15. AVC No All 0 16. Duplicate Yes All except for NYSTA and NYSBA All All 17. Lost / Stolen No All All Full transaction amount 0 18. Tag in transport All All 19. V-Toll (Violation or Manual Toll) No, except for tag on mail truck Yes All 20. Preapproved All except for MTA B&T, NYSBA, W. Va., DRBA All 12. 13. 14. Page 4 of 5 Yes All 0 0 Customers should not use a tag in a different vehicle configuration than programmed. However, several agencies have the ability to manually reclass a transaction in a staffed lane, or to reclass with an Automated Vehicle Classification System (AVC). The AVC calculates a different fare than the programmed tag class. This is not currently an issue. Full transaction amount if on mail truck only Full transaction amount As agreed Agencies systems should filter out duplicates, but they do occur. The issue is likely a problem of the Away agency. Could be either the Home or the Away agency’s problem. When was the tag reported lost or stolen? Was the tag file current in the Away agency lanes? Since the Home agency determines whether to credit the customer, it may not be passed back to the Away except with pre-approval. If the tag was being transported in a car carrier or tow truck it is the customer’s responsibility. If in a mail truck the Away agency will accept pass back. Toll posted to Home agency’s customer from a violation image or from a manual form, but the customer was identified incorrectly. It could be a Home agency, Away agency or DMV problem. Any other issues which arise which the Away and Home agencies agree in advance to pass back credit given. Release Version 6/05 Appendix L2 TABLE II Settlement Timing for Disputed Tolls Dispute Settlement Period January February March April May June July August September October November December 1 Original Dates of Transactions Disputed October 1 – Jan. 31 November 1 – Feb. 28 December 1 – Mar. 31 January 1 – April 30 February 1 – May 31 March 1 – June 30 April 1 – July 31 May 1 – August 31 June 1 – Sept. 30 July 1 – Oct. 31 August 1 – Nov. 30 September 1 – Dec. 31 IAG-6 Report and Spreadsheet Due Date February 20 March 20 April 20 May 20 June 20 July 20 August 20 September 20 October 20 November 20 December 20 January 20 Approximate Payment Date1 March 9 April 9 May 9 June 9 July 9 August 9 September 9 October 9 November 9 December 9 January 9 February 9 Disputed toll amount may be adjusted to a current toll settlement. Page 5 of 5 Release Version 6/05 Appendix L3 IAG Reciprocity Test Plan Appendix L3 Release Version 6/05 Appendix L3 Contents CHAPTER 1: INTRODUCTION................................................................................. 1 CHAPTER 2: SCHEDULE........................................................................................... 8 i Appendix L3 Chapter 1: Introduction 1.1 Scope This Reciprocity Test Plan defines the activities required to demonstrate compliance with the Interagency Group (IAG) Inter-Customer Service Center Interface File and Reporting Specifications, version 1.51d. As such this Plan will serve as a reference in conducting IAG reciprocity testing between the existing IAG Customer Service Centers (CSC) and [Joining Agency CSC]. Selected portions of this document are intended for submission to the IAG Reciprocity Task Force (RTF) to facilitate coordination among the E-ZPass agencies and their representatives participating in the test. The portions required by RTF are Table 1-2, Systems Contacts for Reciprocity Testing, and Table 2-1, Reciprocity Test Schedule. These sections follow the Reciprocity Task Force (RTF) recommended and approved format. The remainder of the document provides additional details on specific test procedures and will be used by [Agency] to conduct the tests in coordination with other E-ZPass Customer Service Centers (CSCs). 1.2 1.2.1 Test Resources Agencies Multiple E-ZPass member agencies cooperate in reciprocity testing. The extent of each agency’s involvement in reciprocity testing varies according to their role. The roles referenced in this test plan are described below. 1.2.1.1 Joining Agency The joining agency is the agency whose system is being validated by the reciprocity testing. In this plan, [Agency Name] is the joining agency. As a system provider to [Agency] for the CSC component, [CSC Provider] will be responsible for conducting reciprocity testing for the CSC in coordination with this Test Plan. 1.2.1.2 Home Agency The agency considered to be the Home agency is a matter of perspective dependent upon the patron being referenced. The home agency is the CSC where a patron’s account resides. For the perspective of this plan, home agency most often refers to [Agency Name]. 1 Appendix L3 1.2.1.3 Away Agency The agency considered to be the Away agency is a matter of perspective dependent upon the patron being referenced. The away agencies are the CSC’s where the transaction occurs. For the perspective of this plan, away agency most often refers to agencies other than [Agency Name]. 1.2.1.4 Sponsor Agency The sponsor agencies are those agencies voluntarily committed to the most extensive validation of reciprocity with the joining agency. A minimum of two sponsor agencies, of which one sponsor must be supported by an independent vendor, is required. To ensure that the joining agency’s system operates with all other CSC systems, this plan proposes three sponsor agencies, one for each major CSC system vendor. The proposed sponsoring agencies, and their system vendors, are: • • • [Sponsor Agency #1] [Sponsor Agency #2] [Sponsor Agency #3] 1.2.1.5 Participating Agency Participating agencies are all agencies participating in reciprocity testing. This may be, but is not necessarily, all agencies, since participation is voluntary. The joining agency and sponsor agencies are by definition participating agencies. Provision is made in this test plan for agencies other than the joining agency and sponsor agencies to participate to a lesser extent. 1.2.2 Testing Staff Each participating agency determines the staff necessary to conduct reciprocity tests at their facility. For [Agency Name], this is anticipated to consist of [CSC Provider] test team and selected representatives of [Agency Name]. 1.2.3 Test Tags Test AVI transponders (tags) will be solicited from all agencies for use by Participating Agencies in testing at [Agency Name] facilities. For each agency that chooses to participate, the [CSC Provider] will generate test toll transactions. Sponsor agencies will be requested to provide one test tag of each IAG tag status. Other participating agencies will be requested to provide one test tag of valid status. All test tags should be programmed as a 2-axle vehicle. Test tags should be associated with a test account. [CSC Provider] will provide one [Agency Name] of each status to all sponsor agencies, and one [Agency Name] of valid status to each other participating agency. Agencies supplying tags will accompany the shipment with a list indicating characteristics of the tags, including: 2 Appendix L3 Agency ID LAG Class Agencies receiving tags will validate that the tags received match the characteristics Tag Serial Number ITAG status byte indicated on the manifest. The table below presents the test tags by agency to be used in reciprocity testing for [Agency Name]. Note that tag quantity applies to both directions; [Agency Name] will provide to the other paiticipating agencies the same nrunber of tags that the other participating agencies will provide to [Agency Name]. Table 1?1 Test Tronsponders OF TEST TRANSPOIDERS I) AGENCY TAG QUANTITY 004 New York State Thruway Authority 005 Port Authority of New York New Jersey 006 Turnpike Commission 008 MTA Bridges Tunnels 013 Peace Bridge, New York 016 Maryland Transportation Authority 019 Delaware DOT 021 Massachusetts Turnpike Authority 022 New Jersey 080 024 West Vrrginia Parkways Authority 025 Delaware River and Bay Authority 029 Delaware River Joint Toll Bridge Commission Appendix L3 1.3 1.3.1 Testing Process Communications Reciprocity testing will begin with an organizational teleconference initiated by the joining agency and supported by the RTF, the sponsor agencies and the IAG Technology Manager. Prior to the initial kickoff meeting, testing plans, schedule, and communications will be reviewed, discussed, and finalized. From the initiation of the kick off meeting to completion the below test plan will be followed. For the duration of reciprocity testing, this will equate to regular weekly teleconferences with all participants of joining agency, sponsor agencies, and RTF member as needed. Each weekly meeting will cover overall test progress and status as well as the prior week’s test effort, discuss and determine tasks to resolve any issues found, and communicate the current week’s test goals or objectives. Throughout each week of reciprocity testing, additional, informal communications will be conducted between the primary testing contacts to coordinate particular tests, identify and resolve issues, and confirm results. The primary systems contacts are defined in the Table 12. The form of communications (email/phone/fax) for each test and issue cannot be anticipated with precision; however, it is anticipated that these will be handled informally and professionally with the test participants. Primary contacts can decide on a case by case basis the appropriate communications forum and can make referrals/delegations as necessary. As milestones are reached, progress updates will be announced or discussed during the weekly conference calls with all participants. 1.3.2 Reciprocity Testing Systems Contacts Each E-ZPass agency participating in reciprocity testing will identify the appropriate primary point of contact for the purpose of conducting the tests. The primary contact will receive inquiries from other agency systems contacts and when possible will provide responses directly. In other cases, the primary contact may need to refer or delegate responsibility to other contacts within the organization. This communication process has proven to be efficient, informal and professional. Again, the basic protocol is to communicate any questions or issues regarding testing to the primary agency systems contact for testing as shown in the table below. Because the reciprocity testing activities at the joining agency are more extensive than at other participating agencies, back up systems contacts have been identified in addition to the primary contact. Other participating agencies may designate back up contacts if they deem it necessary or desirable. 4 Appendix L3 The systems contacts described in the table below are to be con?rmed by the Reciprocity Task Force. Table i-2 Systems Contacts for Reciprocity Testing AGBICY CONT ACT TELEPHONE NUMBER E-IAIL ADDRESS TAG ADDRESS New York Customer Service Center . NYSTA NYSBA TBTA 1.3.3 1.3.3.1 Test Files Test File Size The test ITAG, ICLP, and IITC ?les should be created by the sponsor agencies in production size and sent by the normal procedure to the [Agency Name] drop box. The test ?les from [Agency Name] will also be of production size. Using the production size ?les is effective for testing the bandwidth and performance of other processes for each agency. 1.3.3.2 Test File Modification Reciprocity testing for [Agency Name] will be conducted over approximately 60 days prior to the of?cial opening of E-ZPass on the [Agency Name] roadways. During this test window, transactions from non-test transponders could occur if actual tag statuses were used in the test ?les. 1.3.4 Test Tracking and Reporting Testing activities will be documented through routine email correspondence between participating agencies as the tests are performed. These emails will indicate: 0 What tests were performed 0 What the results were, including at minimum Pass or Fail Appendix L3 • • What, if any, issues arose What resolutions were achieved or agreed to. [CSC Provider] will collect and preserve all such emails received during the course of testing. Following completion of all required testing, [CSC Provider] will review final results with each participating agency, and obtain from them a judgment as to whether the tests conducted between [Agency CSC] and each individual participating agency were satisfactory. [CSC Provider] will incorporate the judgments of all participating agencies into a testing summary report, along with a list of tests performed, results of tests, and description of any outstanding issues and action items. [CSC Provider] will prepare and communicate the testing summary report to the RTF. The RTF will review the testing summary report to the participants, and, with their full agreement of successful completion, consider the test completed and ready to commence IAG reciprocity upon the “go-live” date for the [Agency Name] project. The form below is provided for participating agencies to use at their discretion for creating a hard copy record of reciprocity testing activities. 6 Appendix L3 Test Name: Test Conducted On: Retest Conducted On: Date Date Test Status: Completed i Complete as Noted i Incomplete i Toll Facility: Authority Number: Toll Facility Authority Number Participants Name Role Signature Date Name Role Signature Date Name Role Signature Date Name Role Signature Date Test Comments: Appendix L3 Chapter 2: Schedule A 60 day overall window will be allowed for all reciprocity testing activities to occur, including pre-test preparations and post-test reporting. Reciprocity testing will be comprised of the following twelve phases: ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ Phase 1: Setup Phase 2: Test Tag Distribution Phase 3: Tag Status File (ITAG) Phase 4: Invalid Customer File (IITC) Phase 5: Customer License Plate File (ICLP) Phase 6: In-Lane Transactions Phase 7: Transaction File (ICTX) Phase 8: Reconciliation File (ICRX) Phase 9: Correction File (ITXC) Phase 10: Transaction Correction Reconciliation File (IRXC) Phase 11: Settlement Reports Phase 12: Testing Complete A planned schedule of test activities is provided below. This is a summary schedule and is not intended to include details of test procedures. Expanded descriptions of test procedures are provided in subsequent sections. 8 Appendix L3 Table 2-1 Reciprocity Test Schedule (Note: NLT Not Loler Than} PHASE RECIPROCTTY ll llTlE RELATIVE SCHEDULED TEST RESPONSE 8 DATE DATE 1 Set Up [Agency Name]: 1 Establish and communicate plans/schedule, go?Iive date. 30 day advance 2 Establish communicate plaza and lane listing - update IAG 30 day Appendix B. advance 3 Establish and communicate contact list of appropriate agency and CSC 30 day personnel. advance 4 Establish weekly conference call schedule for communicating testing Day 1 status (Kickoff). 5 Install/connect data communication lines. NLT Day 1 6 Install drop box. NLT Day 1 7 Create directories, usemames, and passwords for drop box access. NLT Day 1 and away agencies: 8 Create directory, usemame and password for drop box NLT Day 1 access. 9 Test communication test). Day 2 10 Set up tables for data (plazas, lanes). NLT Day 1 11 Exchange banking/wire transfer information for settlement with Day 3 CSC. 2 Test Tag distribution 8. sponsor agencies: 4 tags each. 12 Program, assign accounts, and distribute test tags. One tag for each Day 6 status: Valid, Low Balance, Invalid, and Lost/stolen/other. 8. non-sponsor participating agencies: 1 tag each. 13 Program, assign accounts, and distribute test tags. Tag status will be Day 6 Valid. 3 Tag Status File (ITAG) CSC: 14 Create and modify tag status ?le. Modi?cation will set all non? Day 13 test transponders to invalid. 15 Transmit modi?ed tag status ?le to sponsor. Day 13 16 Receive sponsor's acknowledgement of tag status ?le. Day 14 17 Receive tag status ?le from sponsor. Day 13 18 Create and transmit acknowledgment for sponsor's tag status ?le. Day 14 19 Send sponsor tag status ?le to lanes. Day 14 Appendix L3 PHASE Ecrg?ocm I) RESPONSIBIJIES Ex? SCHDEBTUELE) Sponsor CSC: 20 Receive tag status ?le from Day 13 21 Create and transmit Acknowledgment for tag status ?le. Day 14 22 Create sponsor tag status ?le and transmit to Day 13 23 Receive acknowledgment of sponsors tag status ?le. Day 14 24 Send tag status ?le to lanes. Day 14 4 Invalid Customer File (IITC) CSC: 25 Create invalid customer ?le and transmit to sponsor. Day 13 26 Receive sponsor?s acknowledgement of invalid customer ?le. Day 14 27 Receive invalid customer ?le from sponsor. Day 13 28 Create and transmit acknowledgement of sponsor?s invalid customer ?le Day 14 Sponsor CSC: Receive invalid customer ?le from Day 13 Create and transmit acknowledgement of invalid customer Day 14 ?le. 31 Create sponsor invalid customer ?le and transmit to Day 13 32 Receive acknowledgement of sponsor?s invalid customer ?le. Day 14 5 Customer license plate file (ICLP) CSC: 33 Create .and modify customer license plate ?le. Modi?cation will Day 13 set all license plate numbers to a test license plate number. 34 Transmit modi?ed customer license plate ?le to sponsor Day 13 35 Receive sponsor's acknowledgement of customer license Day 14 plate ?le. 36 Receive customer license plate ?le from sponsor. Day 13 37 Create and transmit acknowledgement of sponsor's customer license Day 14 plate ?le. Sponsor CSC: 38 Receive customer license plate ?le from Day 13 39 Create and transmit acknowledgement of customer license Day 14 plate ?le. 40 Create sponsor customer license plate ?le and transmit to Day 13 41 Receive acknowledgement of sponsor?s customer license Day 14 plate ?le. 63 ln-Lane Transactions Agency/CSC: 10 Appendix L3 PHASE RECIPROCITY II RELATIVE SCHEDULE) 1E8T RESPONSIB 8 DATE DATE #1 42 Create ?rst set of lane transactions with sponsor?s tags Day 20 Sponsor Agency/CSC: 43 Create ?rst set of sponsor lane transactions with tags Day 20 7a Transaction File #1 (ICTX) CSC: 44 Create transaction ?le #1 and transmit to sponsor Day 20 45 Receive sponsor?s acknowledgement of transaction ?le Day 21 46 Receive transaction ?le #1 from sponsor. Day 20 47 Create and transmit acknowledgement of sponsor's transaction ?le Day 21 Sponsor CSC: 48 Receive transaction ?le #1 from Day 20 49 Create and transmit acknowledgement of transaction ?le Day 21 50 Create sponsor transaction ?le #1 and transmit to Day 20 51 Receive acknowledgement of sponsor's transaction ?le #1 .. Day 21 8a Reconciliation File #1 (ICRX) CSC: 52 Receive sponsor?s ?rst transaction reconciliation ?le. Day 22 53 Create and transmit acknowledgement of sponsors ?rst transaction Day 23 reconciliation ?le. 54 Create ?rst transaction reconciliation ?le. and transmit to Day 22 sponsor 55 Receive sponsor?s acknowledgement of ?rst transaction Day 23 reconciliation ?le. Sponsor CSC: 56 Create sponsor's ?rst transaction reconciliation ?le. and transmit to Day 22 57 Receive acknowledgement of sponsor's ?rst transaction Day 23 reconciliation ?le. 58 Receive ?rst transaction reconciliation ?le. Day 22 59 Create and transmit acknowledgement of ?rst transaction Day 23 reconciliation ?le. 9 Correction File (ITXC) CSC: 60 Create transaction correction ?le and transmit to sponsor Day 28 61 Receive sponsor's acknowledgement of transaction Day 29 correction ?le. 62 Receive transaction correction ?le from sponsor. Day 28 63 Create and transmit acknowledgement of sponsors transaction correction Day 29 11 Appendix L3 PHASE RECIPROCITY II RELATIVE SCHEDULE) IEST RESPONSE 9' DATE DATE ?le. Sponsor CSC: 64 Receive transaction correction ?le from Day 28 65 Create and transmit acknowledgement of transaction Day 29 correction ?le. 66 Create sponsor transaction correction ?le..and transmit to Day 28 67 Receive acknowledgement of sponsor?s transaction Day 29 correction 10 Transaction Correction Reconciliation File (IRXC) CSC: 68 Receive transaction correction reconciliation ?le from sponsor. Day 30 69 Create and transmit acknowledgement of sponsor?s transaction correction Day 31 reconciliation ?le. 70 Create transaction correction reconciliation ?le and transmit to Day 30 sponsor. 71 Receive sponsor's acknowledgement of transaction Day 31 correction reconciliation ?le. Sponsor CSC: 72 Create sponsor transaction correction reconciliation ?le and transmit to Day 30 73 Receive acknowledgement of sponsor's transaction Day 31 correction reconciliation ?le. 74 Receive transaction correction reconciliation ?le from Day 30 75 Create and transmit acknowledgement of transaction Day 31 correction reconciliation ?le. 1 13 Settlement Reports #1 CSC: 76 Create IAG 2 and IAG 3 settlement reports and transmit to Day 34 sponsor. 77 Receive sponsor?s IAG 2 and IAG 3 settlement reports. Day 34 78 Compare and verify that and sponsors reports match. Day 34 Sponsor CSC 79 Create sponsor?s IAG 2 and IAG 3 settlement reports and transmit to Day 34 80 Receive IAG 2 and IAG 3 settlement reports. Day 34 81 Compare and verify that sponsor and reports match. Day 34 6b ln-Lane Transactions #2 Agency/CSC: 12 Appendix L3 PHASE RECIPROCITY II RELATIVE SCHEDULE) 1E8T RESPONSIB 8 DATE DATE (if needed) 82 Create second set of lane transactions with sponsor's tags Day 41 Sponsor Agency/CSC: 83 Create second set of sponsor lane transactions with tags Day 41 7b Transaction File #2 (ICTX) CSC: (if needed) 84 Create transaction ?le #2 and transmit to sponsor Day 41 85 Receive sponsor?s acknowledgement of transaction ?le Day 42 86 Receive transaction ?le #2 from sponsor. Day 41 87 Create and transmit acknowledgement of sponsor's transaction ?le Day 42 Sponsor CSC: 88 Receive transaction ?le #2 from Day 41 89 Create and transmit acknowledgement of transaction ?le Day 42 90 Create sponsor transaction ?le #2 and transmit to Day 41 91 Receive acknowledgement of sponsor's transaction ?le Day 42 8b Reconciliation File #2 (ICRX) CSC: (if needed) 92 Receive sponsor?s second transaction reconciliation ?le. Day 43 93 Create and transmit acknowledgement of sponsor's second transaction Day 44 reconciliation ?le. 94 Create second transaction reconciliation ?le and transmit to Day 43 sponsor 95 Receive sponsor's acknowledgement of second transaction Day 44 reconciliation ?le. Sponsor CSC: 96 Create sponsor?s second transaction reconciliation ?le and transmit to Day 43 97 Receive acknowledgement of sponsor?s second transaction Day 44 reconciliation ?le. Receive second transaction reconciliation ?le. Day 43 Create and transmit acknowledgement of second transaction Day 44 reconciliation ?le. 1 lb Settlement Reports #2 CSC: (if needed) 100 Create IAG 2 and IAG 3 settlement reports and transmit to Day 45 sponsor. 101 Receive sponsor?s IAG 2 and IAG 3 settlement reports. Day 45 102 Compare and verify that and sponsor's reports match. Day 45 Sponsor CSC: 13 Appendix L3 PHASE RECIPROCITY I SCHEDULE) RESPONSE 9' DATE DATE 103 Create sponsor?s IAG 2 and IAG 3 settlement reports and transmit to Day 45 104 Receive IAG 2 and IAG 3 settlement reports. Day 45 105 Compare and verify that sponsor and reports match. Day 45 12 Testing Complete Provider] submits the testing summary report to Reciprocity Task Day 53 106 . . Force stating testing was successfully completed. 107 Reciprocity Task Force completes review of testing summary report and Day 66 communicates acceptance. 108 CSC ?Go?Live? Not Later Than 14 Inter-Customer Service Center Interface File and Reporting Specifications Prepared by: The E-ZPass IAG Reciprocity Task Force 06/12/2002 Version CSC 1.51d Copyright The Port Authority of New York and New Jersey 1998-2002. All rights reserved. This document contains trade secrets and con?dential information reserved for the use of authorized members of the E-ZPass Interagency Group. No use or disclosure of this document or its contents is authorized without written permission of the Port Authority. Inter-Customer Service Center Interface File and Reporting Specifications Table of Contents 1.0 INTRODUCTION................................................................................................................................................1 2.0 GENERAL FILE AND REPORT REQUIREMENTS ..........................................................................................4 3.0 TAG STATUS FILE ...........................................................................................................................................5 4.0 TAG STATUS UPDATE FILE............................................................................................................................8 5.0 INVALID TAG CUSTOMER FILE ....................................................................................................................10 6.0 TRANSACTION FILE ......................................................................................................................................11 7.0 TRANSACTION RECONCILIATION FILE.......................................................................................................15 8.0 CORRECTION FILE ........................................................................................................................................18 9.0 CORRECTION RECONCILIATION FILE.........................................................................................................20 10.0 CUSTOMER LICENSE PLATE FILE...............................................................................................................22 11.0 NON-TOLL TRANSACTION FILE ...................................................................................................................24 12.0 NON-TOLL RECONCILIATION FILE ..............................................................................................................28 13.0 NON-TOLL CORRECTION FILE.....................................................................................................................31 14.0 NON-TOLL CORRECTION RECONCILIATION FILE .....................................................................................33 15.0 ACKNOWLEDGEMENT FILE .........................................................................................................................35 16.0 TRANSMISSION METHODOLOGY ................................................................................................................37 17.0 IAG-1: INTER-CSC SETTLEMENT REPORT ................................................................................................38 18.0 IAG-2: INTER-CSC TOLL TRANSACTION RECONCILIATION REPORT ....................................................40 19.0 IAG-3: INTER-CSC TOLL CORRECTION RECONCILIATION REPORT ....................................................42 20.0 IAG-4: INTER-CSC DISCOUNT PLAN REVENUE REPORT .........................................................................44 21.0 IAG-5: INTER-CSC PERMIT PLAN FEES REPORT ......................................................................................46 22.0 IAG-6: INTER-CSC DISPUTED TOLL & ADJUSTMENTS REPORT .............................................................48 23.0 IAG-7: INTER-CSC REJECTED TRANSACTIONS REPORT.........................................................................50 24.0 IAG-8: INTER-CSC REJECTED CORRECTIONS REPORT...........................................................................52 25.0 IAG-9: INTER-CSC RECONCILIATION AGING REPORT..............................................................................54 26.0 IAG-10: INTER-CSC DISCOUNT PLAN ANALYSIS REPORT.......................................................................56 27.0 IAG-11A: CASUAL USE BY RECONCILIATION FILE RANGE REPORT .....................................................58 28.0 IAG-11B: CASUAL USE BY POSTING DATE RANGE REPORT ..................................................................60 29.0 IAG-12: NPST REPORT ..................................................................................................................................62 30.0 IAG-13 A,B,C,D: LOCAL USE REPORTS ......................................................................................................64 31.0 IAG-1N: INTER-CSC NON-TOLL SETTLEMENT REPORT ..........................................................................69 32.0 IAG-2N: INTER-CSC NON-TOLL TRANSACTION RECONCILIATION REPORT ........................................71 33.0 IAG-3N: INTER-CSC NON-TOLL CORRECTION RECONCILIATION REPORT ........................................73 34.0 IAG-6N: INTER-CSC DISPUTED NON-TOLL & ADJUSTMENTS REPORT..................................................75 35.0 IAG-7N: INTER-CSC REJECTED NON TOLL TRANSACTIONS REPORT...................................................78 36.0 IAG-8N: INTER-CSC REJECTED NON-TOLL CORRECTIONS REPORT.....................................................80 37.0 IAG-14N: INTER-CSC NON-TOLL CREDIT CARD CHARGE BACK REPORT.............................................82 38.0 IAG-15N: INTER-CSC DECLINED AND NO CREDIT CARD NON-TOLL TRANSACTIONS REPORT.........84 39.0 IAG-16N: INTER-CSC NON-TOLL AGGREGATE FUNDS REPORT............................................................86 40.0 MODIFICATION HISTORY ..............................................................................................................................88 A. AGENCY CODES .......................................................................................................................................... A-1 © 1998-2002 PANYNJ -i- Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications B. PLAZA CODES ............................................................................................................................................. B-1 C. CLASS CODES ............................................................................................................................................. C-1 D. INTER-CSC NETWORK TOPOLOGY ........................................................................................................... D-1 E. CSC/AGENCY CROSS REFERENCE........................................................................................................... E-1 F. NON-TOLL TRANSACTION FLOW .............................................................................................................. F-1 G. ACKNOWLEDGEMENT FILE RETURN_CODE VALUES............................................................................G-1 © 1998-2002 PANYNJ - ii - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 1.0 Introduction The Inter-Customer Service Center Interface File and Reporting Speci?cations document de?nes the formats for all ?les and reports which shall be transmitted between Customer Service Centers (CSCs) belonging to agencies who are signatories to the E-ZPass IAG MOU. The inter-CSC interface ?les allow the CSCs to perform the following functions: 0 Allow customers to use any participating agency?s facilities while maintaining a single account and have all toll activity be shown on that account?s statement. 0 Allow Away Agencies to determine the name/address of customers whose toll cannot be collected from the Home Agency when the transaction is returned from the Home Agency as rejected. The interface ?les de?ned are: File Name File File Usage Extension Tag Status File ITAG Created by the Home Agency/CSC to inform Away Agencies/CSCs as to the status of each tag associated with an account held by the Home Agency/CSC. This ?le also informs the Away Agencies/CSCs as to the discount plans associated with each tag. Tag Status Update File ITGU Created by the Home Agency/CSC to inform Away Agencies/CSCs as to the updated status of particular new and/or existing tags associated with an account held by the Home Agency/CSC. Used to periodically report updated information throughout the day so that Agencies/CSCs which have the ability to update their lane systems during the day can do so. Invalid Tag Customer File IITC The lnvalid Tag Customer File shall be created by the Home Agency/CSC to inform the Away Agencies/CSCs of the name/address information of the customers associated with tags whose status is ?Invalid? so that the Away Agency/CSC can process violations against those customers (when used in conjunction with the Tag Status File as described above or with rejected transactions from the Transaction Reconciliation File below) without the need to perform a DMV lookup. Transaction File ICTX Created by the Away Agency/CSC to inform the Home Agency/CSC of all toll transactions occurring at Away Agency/CSC facilities for valid tags and license plates belongi_ng to the Home Agency/CSC. Transaction Reconciliation File ICRX Created by the Home Agency/CSC to inform the Away Agency/CSC as to the disposition of toll transactions processed by the Home Agency/CSC which occurred at the Away Agency?s/CSC?s facilities. Performing detailed transaction level reconciliation allows the Away Agency/CSC to ensure that all transactions were properly received and processed and to track toll and non-toll usage accordingly. Correction File Created by the Away Agency/CSC to replace toll transaction information already sent to the Home Agency/CSC with updated/corrected information. Correction Reconciliation File IRXC Created by the Home Agency/CSC to inform the Away Agency/CSC as to the disposition of toll correction transactions processed by the Home Agency/CSC which occurred at the Away Agency?s/CSC?s facilities. Performing detailed transaction level reconciliation allows the Away Agency/CSC to ensure that all transactions were properly received and processed and to track toll and non-toll usage accordingly. 1998-2002 PANYNJ - 1 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations File Name File File Usage Extension Customer License Plate File ICLP Created by the Home Agency/CSC to inform the Away Agencies/CSCs of the vehicle license plate numbers of its customers. This ?le will allow the Away Agency/CSC to collect the toll from the Home Agency/CSC for an untagged or unread tag customer violation. This is a function that is being performed by currently operating CSCs against their own accounts but not between CSCs. The exchange of this information will allow this to be done between CSCs so that customer?s whose tags are not read will not be treated as violators, but can have the appropriate toll deducted from their accounts. Non-Toll Transaction File INTX Created by the Host Agency/CSC to inform the Home Agency/CSC of all non-toll transactions occurring at Host Agency/CSC facilities for valid tags belongi_ng to the Home Agency/CSC. Non-Toll Reconciliation File INRX Created by the Home Agency/CSC to inform the Host Agency/CSC as to the disposition of non-toll transactions processed by the Home Agency/CSC which occurred at the Host Agency?s/CSC?s facilities. Performing detailed transaction level reconciliation allows the Host Agency/CSC to ensure that all transactions were properly received and processed and to track toll and non-toll usage accordingly. Non-Toll Correction File ITXN Created by the Host Agency/CSC to replace non-toll transaction information already sent to the Home Agency/CSC with updated/corrected information. Non-Toll Correction IRXN Created by the Home Agency/CSC to inform the Host Agency/CSC Reconciliation File as to the disposition of non-toll correction transactions processed by the Home Agency/CSC which occurred at the Host Agency?s/CSC?s facilities. Performing detailed transaction level reconciliation allows the Host Agency/CSC to ensure that all transactions were properly received and processed and to track toll and non-toll usage accordingly. Acknowledgement File ACK The Acknowledgment File shall be created by the From Agency/CSC (the Agency/CSC which received the ?le) to inform the To Agency/CSC (the Agency/CSC which sent the original ?le) that the ?le transmitted was received in its entirety. An Acknowledgement File shall be sent for each of the above referenced ?les. The inter-CSC settlement reports de?ne a standard set of documents for the purpose of supporting the transfer of funds between agencies served by different CSCs. This document also de?nes a suggested set of reports which can be used by agencies to reconcile pre-paid tolls, expected toll revenue and expected non-toll revenue. The reports de?ned are: Reguired Reports? Shared among Agencies Toll - Inter-CSC Settlement Report (Home agency generated) - Inter-CSC Transaction Reconciliation Report (Home agency generated) - Inter-CSC Toll Correction Reconciliation Report (Home agency generated) - Inter-CSC Discount Plan Revenue Report" (Home agency generated) - Inter-CSC Permit Plan Fees Report" (Home agency generated) - Inter-CSC Disputed Toll Adjustments Report (Home agency generated) - Inter-CSC Rejected Transactions Report (Home agency generated) - Inter-CSC Rejected Corrections Report (Home agency generated) - Inter-CSC Reconciliation Aging Report (Away agency generated) - Inter-CSC Discount Plan Analysis Report* (Home agency generated) 1998-2002 PANYNJ - 2 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Non-Toll IAG-1N - Inter-CSC Non-Toll Settlement Report (Home agency generated) IAG-2N - Inter-CSC Non-Toll Transaction Reconciliation Report (Home agency generated) IAG-3N - Inter-CSC Non-Toll Correction Reconciliation Report (Home agency generated) IAG-6N - Inter-CSC Disputed Non-toll & Adjustments Report (Home agency generated) IAG-7N - Inter-CSC Rejected Non-Toll Transactions Report (Home agency generated) IAG-8N - Inter-CSC Rejected Non-Toll Corrections Report (Home agency generated) IAG-14N - Inter-CSC Non-toll Credit Card Charge Back Report (Home agency generated) IAG-15N - Inter-CSC Declined Non-Toll Transactions Report (Home agency generated) IAG-16N - Inter-CSC Non-toll Aggregate Funds Report (Host agency generated) * These reports are required only if the Home agency offers the Away agency discount plans. Suggested Reports – Used by Agency generating report Toll IAG-11A IAG-11B IAG-12 IAG-13A IAG-13B IAG-13C IAG-13D - Causal Use by Reconciliation File Range Report Casual Use by Posting Date Range Report NPST Report Local Use By Rec File Report Detailed Local Use by Rec File Report Local Use by Collection Date Report Detailed Local Use by Collection Date Report © 1998-2002 PANYNJ -3- (Home agency generated) (Home agency generated) (Home agency generated) (Away agency generated) (Away agency generated) (Away agency generated) (Away agency generated) Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 2.0 General File and Report Requirements 1. In the event that a Customer Service Center services multiple agencies or administers a tag inventory containing multiple Agency IDs, a single FROM_AGENCY_ID shall be assigned to that CSC. See Appendix E for details. 2. All files (except for the Acknowledgement File) shall be compressed (ZIPed) using a standard Lempel-Zif compression algorithm which should yield a compression rate of at least 75% (meaning a file will be reduced so that it is only 25% of its original size). 3. When compressed, file names shall be converted from {FILE_NAME}.{FILE_TYPE} to {FILE_NAME}_{FILE_TYPE}.ZIP and all files names shall be created using uppercase characters only. Therefore, when file “008_19971201001015.ITAG” is compressed, the compressed file shall be named “008_19971201001015_ITAG.ZIP”. 4. The IAG Reciprocity Agreement requires generation of settlement reports (IAG-1 through IAG-8, IAG-1N through IAG-8N, IAG-14N and IAG-15N) by the fifth calendar day following the end of the settlement period and two business days following to complete the wire transfer. The settlement period is to be at least monthly but may be more frequent if agreed by the two agencies. 5. This document adopts the terms Home and Away as defined by the IAG Reciprocity Agreement and the term Host as defined by the IAG Reciprocity II Agreement. The Home agency is the agency that establishes and/or maintains the customer’s account and issues the tag(s) and the Away agency is any agency that is not the customer’s Home agency. The toll report samples are based on a hypothetical set of toll transactions for trips taken by customers of the Regional Consortium (Home Agency) on the New York State Thruway (Away Agency). The Host agency is the agency with a Facility Operator agreement per Reciprocity II. The non-toll report samples are based on a hypothetical set of non-toll transactions incurred by customers of the Regional Consortium (Home Agency) at the Albany Airport (New York State Thruway - Host Agency). As indicated above, the Home Agency generates all but one of the required settlement reports and some of the suggested reports. 6. The reports as presented do not differentiate between a CSC and an agency. Many CSC’s support several agencies and the financial settlement requirements depend on the particular CSC and their arrangement with the agencies serviced. When settlement is conducted by the individual agencies served by a CSC, the IAG reports will be generated with data specific for each agency. In this case, additional reports must be developed which will allow the agencies to tie IAG-2, IAG-3, IAG-11A and IAG-13A to the corresponding IAG files. NOTE: Throughout this document, all references made to an “agency_id” field should be understood to mean the three digit agency code as recorded in the tags. See Appendix A for the valid values. © 1998-2002 PANYNJ -4- Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 3.0 3.1 3.2 3.3 3.4 Tag Status File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY tag status ?le created on 00:10:15 on 12/01/1997 File Use: The Tag Status File shall be created by the Home Agency/CSC to inform Away Agencies/CSCs as to the status of each tag associated with an account held by the Home Agency/CSC. This ?le also informs the Away Agencies/CSCs as to the discount plans associated with each tag. File Layout: tags . not 00000000 99999999 Count of all tags with status code 1. Values: 00000000 99999999 Count of all tags with status code 2. Values: 00000000 99999999 tags Values: 00000000 99999999 Values: 00000000 99999999 Tag Status File - Detail Structure Field Name Type/Size DescriptionNalid Values Tag agency ID. Values: 000 127 Tag serial number. Values: 00000001 16777216 1 Valid 2 Low Balance 3 Invalid (tag is not valid for use and will not be honored by the Home Agency/CSC but the customer information is available in the Invalid Tag Customer File). 4 Lost/Stolen (also includes all tags which are not valid for use and will not be honored by the Home Agency/CSC and for which customer information is not available). 1998-2002 PANYNJ - 5 - Version 080 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Tag Status File - Detail Structure Field Name TypeISize DescriptionNalid Values A string of 24 bits (3 characters) converted to format (6 characters). The 24 bits represent the following: Bit 1 (rightmost bit): E-ZPass Plus - Parking status 1 Tag is valid for E-ZPass Plus parking applications 0 Tag is NOT valid for E-ZPass Plus parking applications Bit 2 23: Discount bits 1 - Tag has associated discount plan 0 - Tag does not have associated plan Plan bits are de?ned as follows: Bit 2: PANYNJ Staten Island Bridges Bit 3: PANYNJ All Bridges Bit 4: PANYNJ Carpool Bit 5: PANYNJ NorHevenue Bit 6: NYSBA Discount Bit 7: NYSTA Annual Permit Bit 8: NYSTA Tappan Zee Commuter Bit 9: NYSTA Tappan Zee Carpool Bit 10: MTA Rockaway Resident Bit 11: MTA Staten Island Resident Bit 12: DRPA Discount Bit 13: SJTA Discount Bit 14: NJHA Bus Discount Bits 15 23: Reserved (must be set to zero) Bit 24 (leftmost bit): E-ZPass Plus - Non-Parking status 1 Tag is valid for E-ZPass Plus non-parking applications 0 Tag is NOT valid for E-ZPass Plus non-parking applications Note that at this time, Bit 24 should be set to 0. DELIMITER LF Record Total 19 3.5 Processing Requirements: 1. The transmission of the ?le to the Away Agencies/CSCs shall be completed by the Home Agency/CSC as stipulated in the Transmission Methodology section. For tags with a status of ?Invalid? a companion ?le (the Invalid Tag Customer File) shall contain the name and address information of the associated customer. The Invalid Tag Customer File will allow the Away Agency/CSC to perform violation processing against these customers without the need to perform a DMV lookup. In the event that an invalid header record is encountered character data in a numeric ?eld, etc.), the Away Agency/CSC should reject the ?le and notify the Home Agency/CSC via the Acknowledgement File. In the event that a invalid detail record is encountered inappropriate etc.), the Away Agency/CSC should skip that record and notify the Home Agency/CSC via the Acknowledgement File. The Home Agency/CSC shall perform appropriate sanity checks on the Tag Status File prior to its transmission to the Away Agency/CSC. Such sanity checks should include, but not be limited to: - Unusual growth in the number of tags from previous version - Unusual change in number of tags with a particular tag status The Home Agency/CSC shall only include information for tags which it issued. A CSC which issues tags under more than one Agency ID shall send only a single Tag Status File containing all tags and not separate Tag Status Files for each Agency ID. Certain Away Agency systems always retain the last known status of a tag at the lane level unless otherwise indicated. As such, tags which were previously indicated as Valid or Low Balance or and are now to be removed from the ?le must ?rst be transmitted to the Away Agencies as Lost/Stolen These tags can then be removed from the Tag Status File 1998-2002 PANYNJ - 6 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications on subsequent transmissions. For example: The Regional Consortium (Agency 022) reports tag 022-00001234 as valid (TAG_STATUS = ‘1’) on February 3, 1999. On that same day, the customer returns the tag to the CSC and closes their account. Since the tag is being returned to inventory, the CSC would like to remove it from the tag status file. In order to remove the tag from the tag status file, the CSC must perform the following: ¾ On February 4, 1999, the CSC must report tag 022-00001234 as Lost/Stolen (TAG_STATUS = ‘4’) in the full tag status file. ¾ In the next full tag status file transmitted on February 5, 1999, the Regional Consortium CSC can omit tag 022-00001234. From that point forward, all Away Agency systems will treat tag 022-00001234 as either Lost/Stolen (the final status as reflected in the full tag status file) or as a “not on file” tag. 9. The setting of the E-ZPass Plus status bits shall be governed by the appropriate reciprocity agreements and Home Agency business rules. 10. A TAG_STATUS of Invalid or Lost/Stolen (values of ‘3’ or ‘4’) shall override any of the E-ZPass Plus status bits. © 1998-2002 PANYNJ -7- Version CSC 1.51d 4.0 4.1 4.2 4.3 4.4 Inter-Customer Service Center Interface File and Reporting Speci?cations Tag Status Update File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY tag status update ?le created on 00:10:15 on 12/01/1997 File Use: The Tag Status Update File is created by the Home Agency/CSC to inform Away Agencies/CSCs as to the updated status of particular new and/or existing tags associated with an account held by the Home Agency/CSC. Used to periodically report updated tag information throughout the day so that agencies which have the ability to update their lane systems during the day can do so. File Layout: agency FILE TIME Tlme ?le created: Format: ag an Format: Time of the Tag Status File (full) for which this is an update. Format: tags . not 00000000 99999999 Values: 00000000 99999999 tags status Values: 00000000 99999999 tags Values: 00000000 99999999 Count of all tags with status code 4. Values: 00000000 99999999 Tag Status Update File - Detail Structure Field Name Type/Size DescriptionNalid Values Tag agency ID. Values: 000 127 Tag serial number. Values: 00000001 - 16777216 1 Valid 2 Low Balance 3 Invalid (tag is not valid for use and will not be honored by the Home Agency/CSC but the customer information is available in the Invalid Tag Customer File). 4 Lost/Stolen (also includes all tags which are not valid for use and will not be honored by the Home Agency/CSC and for which customer information is not available). 1998-2002 PANYNJ - 8 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Tag Status Update File - Detail Structure Field Name Type/Size DescriptionNalid Values A string of 24 bits (3 characters) converted to format (6 characters). The 24 bits represent the following: Bit 1 (rightmost bit): E-ZPass Plus - Parking status 1 Tag is valid for E-ZPass Plus parking applications 0 Tag is NOT valid for E-ZPass Plus parking applications Bit 2 23: Discount bits 1 - Tag has associated discount plan 0 Tag does not have associated plan Plan bits are de?ned as follows: Bit 2: PANYNJ Staten Island Bridges Bit 3: PANYNJ All Bridges Bit 4: PANYNJ Carpool Bit 5: PANYNJ NorHevenue Bit 6: NYSBA Discount Bit 7: NYSTA Annual Permit Bit 8: NYSTA Tappan Zee Commuter Bit 9: NYSTA Tappan Zee Carpool Bit 10: MTA Rockaway Resident Bit 11: MTA Staten Island Resident Bit 12: DRPA Discount Bit 13: SJTA Discount Bit 14: NJHA Bus Discount Bits 15 23: Reserved (must be set to zero) Bit 24 (leftmost bit): E-ZPass Plus - Non-Parking status 1 Tag is valid for E-ZPass Plus non-parking applications 0 Tag is NOT valid for E-ZPass Plus non-parking applications Note that at this time, Bit 24 should be set to 0. DELIMITER LF Record Total 19 4.5 Processing Requirements: 1. This ?le is n_ot accompanied by an Invalid Tag Customer File. The Away Agency/CSC should refer to the next Invalid Tag Customer File which will accompany the next fuII Tag Status File for any associated customer information. This ?le is sent in differential format which means that it includes all changes made since the last full Tag Status File, and notjust changes since the last update ?le. Frequency of this ?le could be as often as hourly. File size should be negligible since the ?le will primarily be used to inform the Away Agencies/CSCs of updated tag information on an as needed basis. In the event that an invalid header record is encountered character data in a numeric ?eld, etc.), the Away Agency/CSC should reject the ?le and notify the Home Agency/CSC via the Acknowledgement File. In the event that a invalid detail record is encountered inappropriate etc.), the Away Agency/CSC should skip that record and notify the Home Agency/CSC via the Acknowledgement File. In the event that the or do not agree with the date and/or time of the previous fuII Tag Status File, the update ?le should be rejected and the Home Agency/CSC should be noti?ed via the Acknowledgement File. The Home Agency/CSC shall only include information for tags which it issued. A CSC which issues tags under more than one Agency ID shall send only a single Tag Status Update File containing all tags and not separate Tag Status Update Files for each Agency ID. 1998-2002 PANYNJ - 9 - Version CSC 1.51d 5.0 5.1 5.2 5.3 5.4 5.5 Inter-Customer Service Center Interface File and Reporting Speci?cations Invalid Tag Customer File File Type: Variable length, LF delimited File Name: Example: DRPA customer ?le created on 04:10:15 on 12/01/1997 File Use: The Invalid Tag Customer File shall be created by the Home Agency/CSC to inform the Away Agencies/CSCs of the name/address information of the customers associated with tags whose status is ?Invalid? so that the Away Agency/CSC can process violations against those customers (when used in conjunction with the Tag Status File as described above or with rejected transactions from the Transaction Reconciliation File below) without the need to perform a DMV lookup. File Layout: Values: 00000000 99999999 DELIMITER LF agency Values: 000 127 Associated tag serial number with a status (T Values: 00000001 16777216 CUST MI CUST STATE Processing Requirements: 1. Assuming a Home Agency/CSC has 4 million tags and that 5% of those tags have an ?invalid" status at any given time, the ?le would contain 200,000 customer records. 2. Individual records should be retained for the duration as speci?ed in the Reciprocity Agreement under Account Settlement Process for Valid Tag Transactions when accounts are closed. 1998-2002 PANYNJ - 10 - Version CSC 1.51d 6.0 6.1 6.2 6.3 6.4 Inter-Customer Service Center Interface File and Reporting Speci?cations Transaction File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY transactions to DRPA create on 00:10:15 on 12/01/1997 File Use: The Transaction File shall be created by the Away Agency/CSC to inform the Home Agency/CSC of all toll transactions occurring at Away Agency/CSC facilities for valid and low balance status tags or as well as license plates belonging to the Home Agency/CSC that do not have companion accounts at the Away Agency/CSC. File Layout: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 to to the To . Values 000001 999999. Header Total Transaction File - Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of a transaction assigned by the Away Agency/CSC. Values: 000000000000 999999999999 The revenue date of the transaction as determined by the Away Agency/CSC. This date shall be used in the generation of any casual use reports by the Home Agency/CSC. Format: A code indicating the agency which owns/operates the facility on which the transaction occurred. For multi-agency CSCs, this code will not represent the CSC but will represent the agency within the CSC which owns/operates the facility. Therefore, for the NJ Regional CSC, the codes for the individual agencies will be used and not 022. See Appendix for valid values. This ?eld is used to denote the type of transaction. Transactions come in two main varieties: Toll transactions: Banier Ticketed Complete Ticketed Unmatched E_xit The date the vehicle entered the facility. Format: "mm for Barrier/Unmatched Exit 1998-2002 PANYNJ - 11 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Transaction File Detail Structure Field Name Type/Size DescriptionNalid Values The time the vehicle entered the facility. Format: for Barrier/Unmatched Exit The plaza code of the plaza at which the vehicle entered the facility. for Banter/Unmatched Exit This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to Appendix for the list of valid values for this ?eld. The lane code of the lane at which the vehicle entered the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. for Barrier/Unmatched Exit Standard agency ID read from the tag or as retrieved from the Customer Ucense Plate File for an untagged violation. Values: 000 - 127 Tag serial number read from the tag or as retrieved from the Customer License Plate File for an untagged violation. Values: 00000001 16777216 The total number of times the tag was read while in the capture zone. Obtained from the AVI reader. Values: 00 99 for untagged violation or if data is unavailable For Ticketed, this would be from the exit transaction. The total number of times the tag was written to while in the capture zone. Obtained from the AVI reader. Values: 00 99 for untagged violation or if data is unavailable For Ticketed, this would be from the exit transaction. The result of the AVI tag program cycle. Obtained from the AVI reader. Values: Success Unveri?ed Failed for untagged violation or if data is unavailable For Ticketed, this would be from the exit transaction. This ?eld along when used in conjunction with and would allow the Home Agency to gauge tag performance over time. The mode the lane was operating in at the time of the transaction. Values: ETC Only (Dedicated) A Manned/ETC - Manned/ETC with Carpool con?rmation For Ticketed, this would be from the exit transaction. The tag status from the tag status ?le at the time of the transaction. Values: 1 Good 2 Low Balance - Untagged violation where no tag was read but the license plate on the image was found on the Customer License Plate File. Also used if the lane system does not report this value to its CSC. For Ticketed, this would be from the exit transaction. License plate state for untagged violation. for taged transaction. 1998-2002 PANYNJ - 12 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Transaction File Detail Structure Field Name Type/Size DescriptionNalid Values License plate number for untagged violation. "mm" for tagged transaction. Note that the presented in the transaction may not actually be associated with the account represented by the The Home Agency/CSC should use the tag information to determine the account to which the transaction should be posted. The Home Agency/CSC should attempt to present the transaction on the customer?s statement using the license plate information when such is provided (as opposed to the tag information). The Away Agency class code used to determine the toll amount. This class is as determined by the Away Agency using any combination of tag class, AVC class, and/or toll collector classi?cation. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to Appendix for the list of valid values for this ?eld. The number of axles associated with the vehicle. Values: 00 99 The speed in MPH of the vehicle as it exited the facility. If the Away Agency cannot/does not measure speed, 000 should be used. Values: 000 999 This ?eld would allow the Home Agency to gauge customer speed activity over time. It also can be used to offset low counts in the and ?elds since vehicles traveling at higher speeds typically have lower performance ?gures. An indicator of whether or not the speed reported in was over the allowable threshold for that plaza/lane. Values: Speed is over threshold Speed is not over threshold The date the vehicle exited the faciTity. Format: The time the vehicle exited the facility. Format: The plaza code of the plaza at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to Appendix for the list of valid values for this ?eld. The lane code of the lane at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. An indicator as to whether the toll re?ected in is to be debited from the customer account or credited to the customer account. Values: Plus Debit from customer account Space Debit from customer account Minus Credit to customer account The toll due as calculated by the Away Agency. Values: 00000 ($000.00) 99999 ($999.99) DELIMITER LF Record Total 1 10 1998-2002 PANYNJ - 13 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 6.5 Processing Requirements: 1. It shall be the responsibility of the Away Agency/CSC to ensure that the Transaction File does not contain two (or more) non-license plate transactions for the same ETC_TAG_AGENCY/ ETC_TAG_SERIAL_NUMBER combination in the same ETC_EXIT_PLAZA within a five (5) minute period. However, under certain circumstances an Away Agency may intentionally create this type of transaction combination and it should be accepted by the Home Agency/CSC (e.g., Appendix C, footnote xviii). In such a case, the exit times of the transactions must be one second apart. 2. While tag information will be passed back to the Home Agency for untagged violations (based on the tag information retrieved from the Customer License Plate File), the Home Agency should reflect only the license plate information on the customer’s statement so as to avoid potential confusion with another transaction for the same tag. 3. A credit transaction must have it own unique ETC_TRX_SERIAL_NUM but may share the same agency, plaza, lane and date/time information so that it may be accurately reflected on the customer account and statement. This duplication of agency, plaza, lane and date/time information should not be considered a duplicate as discussed in requirement #1. This field should NOT be used in lieu of the Transaction Correction File. Its primary use is to generate credit transactions in the same file as the original debit transaction. For example, NYSTA annual permit holders who pass through the Harriman barrier toll plaza (and create a debit toll transaction for 50 cents) could proceed North or South on the Thruway. If they proceed South, the 50 cent debit toll transaction will appear on their account. If they proceed North on the Thruway and then exit at the next exit they are given a 50 cent credit since they traversed less than 30 miles of the Thruway. The credit transaction will, in most circumstances, be included in the same Transaction File as the original debit transaction. 4. License plate transactions must be checked for duplicates by the Home Agency/CSC during the posting process to ensure that a tagged transaction does not already exist for the given account at the same plaza within five (5) minutes of the license plate transaction. If a duplicate is found, the appropriate reconciliation code should be used (RJDP - see Transaction Reconciliation File). 5. Removed. 6. The combination of FROM_AGENCY_ID, TO_AGENCY_ID and ICTX_FILE_NUM forms a unique sequential key which will be used by the receiving agency (the TO_AGENCY_ID which is the Home Agency) to verify that each Transaction File was received without any gaps. As such, the same ICTX_FILE_NUM can be received by a Home Agency from multiple Away Agencies since it is the combination of the FROM_AGENCY_ID, TO_AGENCY_ID and ICTX_FILE_NUM which makes the ICTX_FILE_NUM unique. If the ICTX_FILE_NUM of the current Transaction File does not equal the prior ICTX_FILE_NUM received from that FROM_AGENCY_ID plus one (1), the Acknowledgement File shall contain a RETURN_CODE of ‘06’ to signify that a gap in sequence numbers was found. However, the current Transaction File should still be processed. If the ICTX_FILE_NUM of the current Transaction File is equal to the ICTX_FILE_NUM of a previous Transaction File, the Acknowledgement File shall contain a RETURN_CODE of ‘05’ and the current Transaction File should not be processed. 7. An Away Agency/CSC shall first check its own customer base to see if the transaction can be applied to one of its own accounts (possibly a companion account) before including the transaction in a Transaction File destined for another Agency/CSC. 8. Transactions shall be routed to a Home Agency/CSC based on the data contained in Appendix E, CSC/Agency Cross Reference. 9. CSCs which issue tags with multiple Agency IDs shall have all the transactions destined for them included in a single Transaction File and not in a separate Transaction File for each Agency ID. © 1998-2002 PANYNJ - 14 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 7.0 7.1 7.2 7.3 7.4 Transaction Reconciliation File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY reconciliation to DRPA created on 04:10:15 on 12/01/1997 File Use: The Transaction Reconciliation File shall be created by the Home Agency/CSC to inform the Away Agency/CSC as to the disposition of toll transactions processed by the Home Agency/CSC which occurred at the Away facilities. File Layout: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 The ?le number of the ICTX ?le to which this ICRX ?le is associated. Values: 000001 999999. Header Total 39 Transaction Reconciliation File Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of the transaction assigned by the Away Agency/CSC. Values: 000000000000 999999999999 The result of the Home attempt to post the transaction. Values: for Toll transactions: POST - Toll transaction posted successfully via tag. PPST Toll transaction posted successfully via license plate. NPST Toll transaction did not post but Home Agency acknowledges that toll is still owed to the Away Agency. INSU Rejected, account has insuf?cient funds where transaction date/time is greater than date/time of acknowledgement from that Away Agency/CSC of receipt of full Tag Status File which indicated that the tag was in an Invalid status. See Invalid Tag Customer File for associated name/address information. RJPL - Rejected license plate transaction. The license plate transaction could not be posted. OLD1 - Rejected, old transaction account closed. The difference between the date of the transaction and the date the transaction was received by the Home Agency/CSC exceeded that speci?ed in the Reciprocity Agreement under Account Settlement Process for Valid Tag Transactions when accounts are closed. 1998-2002 PANYNJ - 15 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Transaction Reconciliation File - Detail Structure Field Name Type/Size DescriptionNalid Values OLDZ - Rejected, old transaction other. The difference between the date of the transaction and the date the transaction was received by the Home Agency/CSC exceeded that speci?ed in the Reciprocity Agreement under Account Settlement Process for Valid Tag Transactions when accounts are not closed. ACCB Rejected, account in bad status (revoked, closed, etc.) where transaction date/time is greater than dateltime of acknowledgement from that Away Agency/CSC of receipt of full Tag Status File which indicated that the tag was in an Invalid status. See Invalid Tag Customer File for associated name/address information. RINV - Rejected, the transaction contains invalid data invalid agency as de?ned in Appendix A, invalid plaza as de?ned in Appendix B, invalid class as de?ned in Appendix C, etc). TAGB Rejected, tag in bad status lost, stolen, etc.) where transaction date/time is greater than date/time of acknowledgement from that Away Agency/CSC of receipt of full Tag Status File which indicated that the tag was in a Lost/Stolen status. RJDP Rejected, duplicate transaction. Usually associated with a skip read or cross lane read where a tagged transaction and license plate transaction exist for the same customer at the same plaza within ?ve (5) minutes. The license plate transaction is rejected as the duplicate. The Away Agency/CSC discount plan used when the transaction was posted. This is only applicable when the Home Agency/CSC offers the Away Agency/CSC discount plans to its customers. Values: 00002 - PANYNJ Staten Island Bridges 00003 - PANYNJ All Bridges 00004 - PANYNJ Carpool 00005 - PANYNJ Non-revenue 00006 - NYSBA Discount 00007 - NYSTA Annual Permit 00008 - NYSTA Tappan Zee Commuter 00009 - NYSTA Tappan Zee Carpool 00010 MTA Rockaway Resident 00011 MTA Staten Island Resident 00012 - DRPA Discount 00013 - SJTA Discount 00014 - NJHA Bus Discount If no discount plan is used, this ?eld shall be blank. An indicator as to whether the amount re?ected in is to be applied to the amount owed to the Away Agency or removed from that amount. Values: Plus Apply to amount owed Space Apply to amount owed Minus (-) Remove from amount owed The amount owed to the Away Agency. For rejected transactions, this would be 00000. For correction transactions, this would be the new (corrected) amount from the correction transaction (not the net of the original and corrected amount). Values: 00000 ($000.00) 99999 ($999.99) DELIMITER LF Record Total 28 1998-2002 PANYNJ - 16 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 7.5 Processing Requirements: 1. Each reconciliation file shall be associated with a specific Transaction File (as indicated by the ICTX_FILE_NUM field in the Header record) and shall include reconciliation information for each and every transaction that was sent in the original Transaction File. 2. The ETC_POST_STATUS values of INSU, ACCB, and TAGB should not occur in the normal course of events. However, if the Away Agency/CSC was unable to transmit the latest tag status file to its lanes in a timely fashion, it would be possible for the Away Agency/CSC to generate a normal ETC transaction for a tag that the Home Agency/CSC has indicated is “Invalid” and attempt to collect for such a transaction from the Home Agency/CSC. It would be in these cases that the Home Agency/CSC would reject a transaction since the transaction should have been treated as a violation in the lane by the Away Agency/CSC and the Home Agency/CSC will not take responsibility for the Away Agency’s/CSC’s inability to download tag status files in a timely manner. 3. For transactions rejected as INSU or ACCB, the Away Agency/CSC should use the Invalid Tag Customer File to look up customer name/address information so that they can recover the toll through their violation process. 4. Monthly settlement between the agencies shall be based on the dates embedded within the Acknowledgement Files for the corresponding Transaction Reconciliation Files and Correction Reconciliation Files. Therefore, settlement for December, 1998, which will occur in January, 1999, will be based on ACK files with FILE_DATEs which match “199812??” (where the ? is a character wildcard). Settlement is based solely on transactions reconciled with ETC_POST_STATUS values of ‘POST’, ‘PPST’ or ‘NPST’. Refer to the Inter-CSC Settlement Report Specifications document for a description of the reports required to perform settlement. 5. The ICTX_FILE_NUM associated with the Transaction File to which this Transaction Reconciliation File contains reconciliation data is inserted into the header to assist the Away Agency (the TO_AGENCY_ID) in tracking the status of reconciliation. Reconciliation does not have to be performed in a sequential manner, therefore, it is possible to receive ICTX_FILE_NUMs which are not in sequence. However, if the receiving agency detects a duplicate ICTX_FILE_NUM (implying that a Transaction File which has already been reconciled is now being reconciled again), the Acknowledgement File shall contain a RETURN_CODE of ‘05’ and the current Transaction Reconciliation File should not be processed. Such files will not be included in the monthly settlement. 6. If the RECORD_COUNT in the Transaction Reconciliation File header record does not equal the number of transactions in the Transaction File referred to by ICTX_FILE_NUM or the Transaction Reconciliation File contains references to transactions which were not included in the Transaction File referred to by ICTX_FILE_NUM, the Transaction Reconciliation File should not be processed and the associated Acknowledgement File shall contain a RETURN_CODE of ‘04’. Such files will not be included in the monthly settlement. © 1998-2002 PANYNJ - 17 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 8.0 8.1 8.2 8.3 8.4 8.5 Correction File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY transactions to DRPA create on 00:10:15 on 12/01/1997 File Use: The Correction File shall be created by the Away Agency/CSC to replace toll transaction information already sent to the Home Agency/CSC with updated/corrected information. File Layout: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 Correction File to the To Agency. Values 000001 - 999999. DELIMITER LF Correction File - Detail Structure Field Name Type/Size DescriptionNalid Values A code denoting the reason for the correction. Values: 01 Resolved mismatch: class/toll corrected 02 Ignore license plate transaction 03 Ignore tagged transaction 04 Corrected plaza/lane information 05 Corrected toll All other ?elds from the All ?elds from the original transaction (refer to Transaction File Transaction File structure for details) will be retransmitted with the appropriate ?elds corrected to their required values. Record Total 112 Processing Requirements: 1. The combination of and forms a unique sequential key which will be used by the receiving agency (the which is the Home Agency) to verify that each Correction File was received without any gaps. As such, the same can be received by a Home Agency from multiple Away Agencies since it is the combination of the and which makes the unique. If the of the current Correction File does not equal the prior received from that plus one (1), the Acknowledgement File shall contain a of ?06? to signify that a gap in sequence numbers was found. However, the current Correction File should still be processed. 1998-2002 PANYNJ - 18 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications If the ITXC_FILE_NUM of the current Correction File is equal to the ITXC_FILE_NUM of a previous Correction File, the Acknowledgement File shall contain a RETURN_CODE of ‘05’ and the current Correction File should not be processed. 2. Transactions shall be routed to a Home Agency/CSC based on the data contained in Appendix E, CSC/Agency Cross Reference. 3. CSCs which issue tags with multiple Agency IDs shall have all the transactions destined for them included in a single Correction File and not in a separate Correction File for each Agency ID. 4. Transactions can only be sent in a Correction File once. Subsequent corrections to the same transaction, if required, must be handled manually. © 1998-2002 PANYNJ - 19 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 9.0 9.1 9.2 9.3 9.4 9.5 Correction Reconciliation File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY reconciliation to DRPA created on 04:10:15 on 12/01/1997 File Use: The Correction Reconciliation File shall be created by the Home Agency/CSC to inform the Away Agency/CSC as to the disposition of correction transactions processed by the Home Agency/CSC which occurred at the Away Agency?s/CSC?s facilities. File Layout: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 The ?le number of the ITXC ?le to which this IRXC ?le is associated. Values: 000001 999999. Header Total 39 Correction Reconciliation File - Detail Structure Field Name Type/Size DescriptionNalid Values Same ?elds as the Transaction Same as the Transaction Reconciliation File. Reconciliation File Processing Requirements: 1. Each reconciliation ?le shall be associated with a speci?c Correction File (as indicated by the ?eld in the Header record) and shall include reconciliation information for each and every transaction that was sent in the original Correction File. 2. settlement between the agencies shall be based on the dates embedded within the Acknowledgement Files for the corresponding Transaction Reconciliation Files and Correction Reconciliation Files. Therefore, settlement for December, 1998, which will occur in January, 1999, will be based on ACK ?les with which match ?199812??" (where the is a character wildcard). Settlement is based solely on transactions reconciled with values of or 3. The associated with the Correction File to which this Correction Reconciliation File contains reconciliation data is inserted into the header to assist the Away Agency (the in tracking the status of reconciliation. Reconciliation does not have to be performed in a sequential manner, therefore, it is possible to receive which are not in sequence. However, if the receiving agency detects a duplicate (implying that a Correction File which has already been reconciled is now being reconciled again), the Acknowledgement File shall contain a of ?05? and the current 1998-2002 PANYNJ - 20 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Correction Reconciliation File should not be processed. Such files will not be included in the monthly settlement. 4. If the RECORD_COUNT in the Correction Reconciliation File header record does not equal the number of transactions in the Correction File referred to by ITXC_FILE_NUM or the Correction Reconciliation File contains references to transactions which were not included in the Correction File referred to by ITXC_FILE_NUM, the Correction Reconciliation File should not be processed and the associated Acknowledgement File shall contain a RETURN_CODE of ‘04’. Such files will not be included in the monthly settlement. © 1998-2002 PANYNJ - 21 - Version CSC 1.51d 10.0 10.1 10.2 10.3 10.4 10.5 Inter-Customer Service Center Interface File and Reporting Speci?cations Customer License Plate File File Type: Variable length, LF delimited File Name: Example: E-ZPass NY license plate ?le created on 04:10:15 on 12/01/1997 File Use: The Customer License Plate File shall be created by the Home Agency/CSC to inform the Away Agencies/CSCs of the vehicle license plate numbers of its valid customers (customers with at least one tag with a of or This ?le will allow the Away Agency/CSC to collect the toll from the Home Agency/CSC for an untagged customer violation. File Layout: agency FILE TIME Time ?le created. Format: Values: 00000000 99999999 I DELIMITER LF Customer License Plate File - Detail Structure Field Name Type/Size DescriptionNalid Values Standard State abbreviation (or Province abbreviation for Canada). This ?eld cannot be blank. If this ?eld does not contain a valid state/province abbreviation, the record should be rejected. Plate number must be Ieftjusti?ed with no embedded blanks, hyphens (-), periods (.) or other special characters not allowed on a license plate. If this ?eld contains invalid characters, the record should be rejected. Valid characters shall include: A-Z (uppercase only) and 0-9. The license plate type. Values: if unused Tag agency ID. Values: 000 - 127 Tag serial number. Values: 00000001 16777216 DELIMITER LF Record Total 26 Processing Requirements: 1. Only license plate associated with tags issued by the Home Agency/CSC should be included in this ?le and it should not include any license plates associated with companion accounts tags issued by another Agency/CSC). 2. The tag information provided by the Home Agency/CSC should be the ?rst valid tag for the account. 1998-2002 PANYNJ - 22 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 3. The Away Agency/CSC should first perform a lookup of a violation license plate on their own customer file. If no match is found, the Away Agency/CSC would then perform a lookup of the license plate on the Customer License Plate File to determine if the plate belongs to the customer of another agency/CSC. 4. The Away Agency/CSC should maintain a table of all license plate information received from the Home Agency/CSC. The table would maintain a date for each license plate which would be updated each time information was received for that license plate. License plate data would be purged from the table if no data for the license plate was received for the duration as specified in the Reciprocity Agreement under Account Settlement Process for Valid Tag Transactions when accounts are closed. 5. The Away Agency/CSC would utilize this file to look up the license plate retrieved from the violation image and determine that the plate belongs to a customer of the Home Agency/CSC. The Away Agency/CSC would then use the tag information associated with the license plate to perform a lookup on the Tag Status File it received from the Home Agency/CSC for the date corresponding to the date on which the violation took place so as to determine the status of the account on that date. If the TAG_STATUS was for a valid account (value of 1 or 2), the violation transaction would be sent to the Home Agency/CSC with the license plate information as well as the tag information found in the table and the Home Agency/CSC would attempt to post the transaction to the customer’s account. If the TAG_STATUS was for an invalid account (value of 3), the Away Agency/CSC would send the customer a violation notice using the name/address information retrieved from the Invalid Customer File (by using the tag information from the Customer License Plate File and finding the associated name/address information on the Invalid Customer File). If the TAG_STATUS was for a lost/stolen tag (value of 4), the Away Agency/CSC would treat this violation as a standard non-customer violator and retrieve the name/address information from the appropriate DMV. 6. In the event that a invalid detail record is encountered (e.g., inappropriate LIC_STATE or LIC_NUMBER, etc.), the Away Agency/CSC should skip that record and notify the Home Agency/CSC via the Acknowledgement File with a RETURN_CODE value of ‘02’. The remainder of the file should continue to be processed. 7. If the same LIC_STATE and LIC_NUMBER combination is received from more than one Home Agency/CSC, the Away Agency/CSC shall use the information from the Home Agency/CSC with the lowest numerical FROM_AGENCY_ID. © 1998-2002 PANYNJ - 23 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 11.0 11.1 11.2 11.3 11.4 Non-Toll Transaction File File Type: Variable length, LF delimited File Name: Example: NYSTA non-toll transactions to DRPA create on 00:10:15 on 12/01/1997 File Use: The Non-Toll Transaction File shall be created by the Host Agency/CSC to inform the Home Agency/CSC of all transactions occurring at non-toll facilities hosted by the Host Agency/CSC for tags indicated as valid for E- ZPass Plus. File Layout: Standard agency ID code of the Home Agency/CSC (See Appendix A not Values: 00000000 99999999 Transaction File to the Home Values 000001 999999. Non-Toll Transaction File - Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of a transaction assigned by the Away Agency/CSC. Values: 000000000000 999999999999 The revenue date of the transaction as determined by the Away Agency/CSC. This date shall be used in the generation of any casual use reports by the Home Agency/CSC. Format: A code indicating the facility operator at which the transaction occurred. See Appendix A for valid values. This ?eld is used to denote the type of transaction. Values: Parking Transaction - Non-Parking Transaction The date the vehicle entered the facility. Format: Optional for Non-Toll transactions. f_not provided must be The time the vehicle entered the facility. Format: Optional for Non-Toll transactions. If not provided must be The plaza code of the plaza at which the vehicle entered the facility. Optional for Non-Toll transactions. If not provided must be This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to Appendix for the list of valid values for this ?eld. 1998-2002 PANYNJ - 24 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Non-Toll Transaction File - Detail Structure Field Name Type/Size DescriptionNalid Values The lane code of the lane at which the vehicle entered the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Optional for Non-Toll transactions. If not provided must be m. Standard agency ID read from the tag. Values: 000 127 Tag serial number read from the tag. Values: 00000001 16777215 The total number of times the tag was read while in the capture zone. Obtained from the AVI reader. Values: 00 99 if data is unavailable For Non?Toll transactions, this would be from the exit transaction. The total number of times the tag was written to while in the capture zone. Obtained from the AVI reader. Values: 00 - 99 if data is unavailable For Non-Toll transactions, this would be from the exit transaction. The result of the AVI tag program cycle. Obtained from the AVI reader. Values: 8 Success Unveri?ed Failed if data is unavailable For Non-Toll transactions, this would be from the exit transaction. This ?eld along when used in conjunction with and would allow the Home Agency to gauge tag performance over time. The mode the lane was operating in at the time of the transaction. Values: ETC Only (Dedicated) A - Manned/ETC For Non-Toll transactions, this would be from the exit transaction. The tag status from the tag status ?le at the time of the transaction. Values: 1 Good - Used if the lane system does not report this value to its CSC. For Non-Toll transactions, this would be from the exit transaction. Unused for Non-Toll transactions. Must contain Unused for Non-Toll transactions. Must contain Unused for Non-Toll transactions. Must contain The number of axles associated with the vehicle. Values: 00 99 If not available, should default to the number of axles encoded on the tag. The speed in MPH of the vehicle as it exited the facility. If the Away Agency cannot/does not measure speed, 000 should be used. Values: 000 999 This ?eld would allow the Home Agency to gauge customer speed activity over time. It also can be used to offset low counts in the and ?elds since vehicles traveling at higher speeds typically have lower performance ?gures. An indicator of whether or not the speed reported in was over the allowable threshold for that plaza/lane. Values: Speed is over threshold Speed is not over threshold 1998-2002 PANYNJ - 25 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Non-Toll Transaction File Detail Structure Field Name Type/Size DescriptionNalid Values The date the vehicle exited the facility. Format: The time the vehicle exited the facility. Format: The plaza code of the plaza at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to Appendix for the list of valid values for this ?eld. The lane code of the lane at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. An indicator as to whether the amount re?ected in is to be debited from the customer account or credited to the customer account. Values: Plus Debit from customer account Space Debit from customer account Minus (-) Credit to customer account The amount due as calculated by the Away Agency. Values: 0000000 ($00000.00) 9999999 ($9999999) DELIMITER LF Record Total 1 12 11.5 Processing Requirements: 1. It shall be the responsibility of the Host Agency/CSC to ensure that the Non-Toll Transaction File does not contain two (or more) transactions for the same combination in the same within a ?ve (5) minute period. 2. A credit transaction must have it own unique but may share the same agency, plaza, lane and date/time information so that it may be accurately re?ected on the customer account and statement. This duplication of agency, plaza, lane and date/time information should not be considered a duplicate as discussed in requirement This ?eld should NOT be used in lieu of the Correction File. Its primary use is to generate credit transactions in the same ?le as the original debit transaction. 3. Transactions originating at parking facilities will be sent with a value of in the ?eld. Entry information (?elds and is optional for parking transactions in that it may be provided or may be ?lled with asterisks Exit information and must always be provided. In the event that a parking facility charges based on entry to a lot (the fee is not time based), the transaction shall be treated in a fashion similar to a barrier toll transaction and the date, time, plaza and lane information shall be provided in the exit ?elds. 4. The combination of and forms a unique sequential key which will be used by the receiving agency (the Home Agency) to verify that each Non-Toll Transaction File was received without any gaps. As such, the same can be received by a Home Agency from multiple Host Agencies since it is the combination of the and which makes the unique. If the of the current Non-Toll Transaction File does not equal the prior received from that plus one (1), the Acknowledgement File shall contain a of ?06? to signify that a gap in sequence numbers was found. However, the current Non- Toll Transaction File should still be processed. If the of the current Non-Toll Transaction File is equal to the of a previous Non-Toll Transaction File, the Acknowledgement File shall contain the appropriate and the current Non-Toll Transaction File should not be processed. 1998-2002 PANYNJ 26 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 5. An Host Agency/CSC shall first check its own customer base to see if the transaction can be applied to one of its own accounts (possibly a companion account) before including the transaction in a Non-Toll Transaction File destined for another Agency/CSC. However, if the companion account is a post-paid account, the Host Agency/CSC should not post the transaction to its own account but should forward it to the Home Agency/CSC for posting. 6. Transactions shall be routed to a Home Agency/CSC based on the data contained in Appendix E, CSC/Agency Cross Reference. 7. Each Non-Toll Transaction File shall only contain transactions from a single Facility Operator (based on the ETC_FAC_AGENCY code in the detail transactions) and a separate Non-Toll Transaction File shall be created for each Home Agency. See Appendix F, Non-Toll Transaction Flow for an example of how nontoll transactions should be grouped and routed to a Home Agency. © 1998-2002 PANYNJ - 27 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 12.0 12.1 12.2 12.3 12.4 Non-Toll Reconciliation File File Type: Variable length, LF delimited File Name: Example: DRPA reconciliation to NYSTA created on 04:10:15 on 12/01/1997 File Use: The Non-Toll Reconciliation File shall be created by the Home Agency/CSC to inform the Host Agency/CSC as to the disposition of non-toll transactions processed by the Home Agency/CSC which occurred at facilities hosted by the Host Agency/CSC. File Layout: A Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 The INTX ?le number with which this INRX ?le is associated. Values: 000001 - 999999. Header Total 39 Non-Toll Reconciliation File - Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of the transaction assigned by the Away Agency/CSC. Values: 000000000000 999999999999 The result of the Home attempt to post the transaction. Values: PSNT - Non-Toll transaction posted successfully. DECL - Credit card declined. Only used for transactions passed directly through to the credit card. NOCC - Rejected, attempt was made to post the transaction to an account that is no longer a credit card account. Only used for credit card based accounts. RJIN - Rejected, the account had insuf?cient funds to post the transaction. Used for non?credit card based accounts. RJCX - Rejected, the transaction is an attempt to correct a transaction which has already been corrected. Rejected, account was in a closed status at the time the post was attempted. This code is used regardless of the status of the account at the time of the transaction. OLD3 - Rejected, old transaction The difference between the date of the transaction and the date the transaction was received by the Home Agency/CSC exceeded that speci?ed in the Non-Toll Reciprocity Agreement . RINV Rejected, the transaction contains invalid data (9.9., 1998-2002 PANYNJ - 28 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations Non-Toll Reconciliation File Detail Structure Field Name TypeISize DescriptionNalid Values invalid agency as de?ned in Appendix A, invalid plaza as de?ned in Appendix B, invalid class as de?ned in Appendix C, etc.) TAGB Rejected, tag in bad status lost, stolen, etc.) where transaction date/time is greater than date/time of acknowledgement from that Away Agency/CSC of receipt of full Tag Status File which indicated that the tag was in a Lost/Stolen status. RJDP Rejected, duplicate transaction. Usually associated with a skip read or cross lane read where 8 tagged transaction and license plate transaction exist for the same customer at the same plaza within ?ve (5) minutes. The license plate transaction is rejected as the duplicate. The Away Agency/CSC discount plan used when the transaction was posted. This is only applicable when the Home Agency/CSC offers the Away Agency/CSC discount plans to its customers. If no discount plan is used, this ?eld shall be blank. An indicator as to whether the amount re?ected in is to be applied to the amount owed to the Away Agency or removed from that amount. Values: Plus Apply to amount owed Space Apply to amount owed Minus (-) Remove from amount owed The amount owed to the Away Agency. For rejected transactions, this would be 0000000. For correction transactions, this would be the new (corrected) amount from the correction transaction (not the net of the original and corrected amount). Values: 0000000 ($00000.00) 9999999 69999999) DELIMITER LF Record Total 30 12.5 Processing Requirements: 1. Each reconciliation ?le shall be associated with a speci?c Non-Toll Transaction File and shall include reconciliation information for each and every transaction that was sent in the original Non-Toll Transaction File. 2. The values of and TAGB should not occur in the normal course of events. However, if the Away Agency/CSC was unable to transmit the latest tag status ?le to its lanes in a timely fashion, it would be possible for the Host Agency/CSC to generate a normal ETC transaction for a tag that the Home Agency/CSC has indicated is ?Invalid" and attempt to collect for such a transaction from the Home Agency/CSC. It would be in these cases that the Home Agency/CSC would reject a transaction since the transaction should have been treated as a violation in the lane by the Host Agency/CSC and the Home Agency/CSC will not take responsibility for the Host Agency?s/CSC?s inability to download tag status ?les in a timely manner. 3. settlement between the agencies shall be based on the dates embedded within the Acknowledgement Files for the corresponding Non-Toll Reconciliation Files and Non-Toll Correction Reconciliation Files. Therefore, settlement for December, 1998, which will occur in January, 1999, will be based on ACK ?les with which match (where the is a character wildcard). Settlement is based solely on transactions reconciled with values of Refer to the Inter-CSC Settlement Report Speci?cations document for a description of the reports required to perform settlement. 1998-2002 PANYNJ - 29 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 4. The INTX_FILE_NUM associated with the Non-Toll Transaction File to which this Non-Toll Reconciliation File contains reconciliation data is inserted into the header to assist the Host Agency (the HOST_AGENCY_ID) in tracking the status of reconciliation. Reconciliation does not have to be performed in a sequential manner, therefore, it is possible to receive INTX_FILE_NUM values which are not in sequence. However, if the receiving agency detects a duplicate INTX_FILE_NUM (implying that a non-Toll Transaction File which has already been reconciled is now being reconciled again), the Acknowledgement File shall contain the appropriate RETURN_CODE and the current Non-Toll Reconciliation File should not be processed. Such files will not be included in the monthly settlement. 5. If the RECORD_COUNT in the Non-Toll Reconciliation File header record does not equal the number of transactions in the Non-Toll Transaction File referred to by INTX_FILE_NUM or the Non-Toll Reconciliation File contains references to transactions which were not included in the Non-Toll Transaction File referred to by INTX_FILE_NUM, the Non-Toll Reconciliation File should not be processed and the associated Acknowledgement File shall contain a RETURN_CODE of ‘04’. Such files will not be included in the monthly settlement. © 1998-2002 PANYNJ - 30 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 13.0 Non-Toll Correction File 13.1 File Type: Variable length, LF delimited 13.2 File Name: Example: PANYNJ corrections to DRPA create on 00:10:15 on 12/01/1997 13.3 File Use: The Non-Toll Correction File shall be created by the Host Agency/CSC to replace non-toll transaction information already sent to the Home Agency/CSC with updated/corrected information. 13.4 File Layout: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 File to the Home Agency. Values 000001 - 999999. DELIMITER LF Non-Toll Correction File Detail Structure Field Name Type/Size DescriptionNalid Values A code denoting the reason for the correction. Values: 03 - Ignore tagged transaction 04 - Corrected plaza/lane information 05 - Corrected amount 06 - Repost attempt requested All other ?elds from the Non? All ?elds from the original transaction (refer to Non?Toll Transaction Toll Transaction File File structure for details) will be retransmitted with the appropriate ?elds corrected to their required values. The only ?eld that must always match the original transaction is the since that is the unique key for the transaction. Record Total 1 12 13.5 Processing Requirements: 1. The combination of and forms a unique sequential key which will be used by the receiving agency (the Home Agency) to verify that each Non-Toll Correction File was received without any gaps. As such, the same can be received by a Home Agency from multiple Host Agencies since it is the combination of the and which makes the unique. If the of the current Correction File does not equal the prior received from that plus one (1), the Acknowledgement File shall contain a of ?06? to signify that a gap in sequence numbers was found. However, the current Non-Toll Correction File 1998-2002 PANYNJ - 31 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications should still be processed. If the ITXN_FILE_NUM of the current Non-Toll Correction File is equal to the ITXN_FILE_NUM of a previous Non-Toll Correction File, the Acknowledgement File shall contain the appropriate RETURN_CODE and the current Non-Toll Correction File should not be processed. 2. Transactions shall be routed to a Home Agency/CSC based on the data contained in Appendix E, CSC/Agency Cross Reference. 3. All non-toll transactions originating from a single Host Agency shall be included in a single Non-Toll Transaction File and shall not be commingled with transactions from another Host Agency. 4. Removed. 5. The Non-Toll Correction File will be used to correct only non-toll transactions. 6. In the event that a non-toll transaction has been rejected with a code of ‘DECL’ or ‘NOCC’, the Away Agency/CSC can request a repost attempt by resending the non-toll transaction in the Non-Toll Correction File with a CORR_REASON of ‘06’. 7. Transactions can only be sent in a Correction File once. Subsequent corrections to the same transaction, if required, must be handled manually. © 1998-2002 PANYNJ - 32 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 14.0 Non-Toll Correction Reconciliation File 14.1 File Type: Variable length, LF delimited 14.2 File Name: Example: DRPA reconciliation to PANYNJ created on 04:10:15 on 12/01/1997 14.3 File Use: The Non-Toll Correction Reconciliation File shall be created by the Home Agency/CSC to inform the Host Agency/CSC as to the disposition of non-toll correction transactions processed by the Home Agency/CSC which occurred at facilities hosted by the Host Agency/CSC. 14.4 File Layout: A Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 The ?le number of the ITXN ?le to which this IRXN ?le is associated. Values: 000001 999999. Header Total 39 Non-Toll Correction Reconciliation File Detail Structure Field Name Type/Size DescriptionNalid Values Same ?elds as the Non-Toll Same as the Non-Toll Transaction Reconciliation File. Transaction Reconciliation File 14.5 Processing Requirements: 1. Each reconciliation ?le shall be associated with a speci?c Non-Toll Correction File (as indicated by the ?eld in the Header record) and shall include reconciliation information for each and every transaction that was sent in the original Non-Toll Correction File. 2. settlement between the agencies shall be based on the dates embedded within the Acknowledgement Files for the corresponding Non-Toll Reconciliation Files and Non-Toll Correction Reconciliation Files. Therefore, settlement for December, 1998, which will occur in January, 1999, will be based on ACK ?les with which match ?199812??" (where the is a character wildcard). Settlement is based solely on transactions reconciled with values of 3. The associated with the Non-Toll Correction File to which this Non-Toll Correction Reconciliation File contains reconciliation data is inserted into the header to assist the Away Agency in tracking the status of reconciliation. Reconciliation does not have to be performed in a sequential manner, therefore, it is possible to receive which are not in sequence. However, if the receiving agency detects a duplicate (implying that a Non-Toll Correction File which has already been reconciled is now being reconciled again), the Acknowledgement File shall contain the appropriate and the 1998-2002 PANYNJ - 33 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications current Non-Toll Correction Reconciliation File should not be processed. Such files will not be included in the monthly settlement. 4. If the RECORD_COUNT in the Non-Toll Correction Reconciliation File header record does not equal the number of transactions in the Non-Toll Correction File referred to by ITXN_FILE_NUM or the Non-Toll Correction Reconciliation File contains references to transactions which were not included in the Non-Toll Correction File referred to by ITXN_FILE_NUM, the Non-Toll Correction Reconciliation File should not be processed and the associated Acknowledgement File shall contain a RETURN_CODE of ‘04’. Such files will not be included in the monthly settlement. 5. If the reconciliation is for a correction transaction with a CORR_REASON of 03 (ignore), then the ETC_POST_PLAN will be blank and the ETC_OWED_AMOUNT will be zero (0). © 1998-2002 PANYNJ - 34 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Speci?cations 15.0 15.1 15.2 15.3 15.4 15.5 Acknowledgement File File Type: Fixed length, LF delimited File Name: Example: Acknowledgement ?le from NYSTA in response to the PANYNJ tag status ?le created on 04:10:15 on 12/01/1997 File Use: The Acknowledgment File shall be created by the From Agency/CSC (the Agency/CSC which received the ?le) to inform the To Agency/CSC (the Agency/CSC which sent the original ?le) that the ?le transmitted was received in its entirety. An Acknowledgement File shall be sent for each of the previously referenced ?les. File Layout: Acknowledgment File - Detail Structure Field Name Type/Size DescriptionNalid Values FILE TYPE ACK Standard agency ID code of the Agency/CSC which received the ?le referenced in ORIG FILE NAME TYPE. Standard agency ID code of the Away Agency/CSC which sent the ?le referenced in The name and type of the ?le being acknowledged as received from the To Agency. Format: where is the name of the ?le being acknowledged and is the type of the ?le being Date ACK ?le created. Format: This is to be used by the To Agency/CSC as the acknowledgement date. Time ACK file created. Format: This is to be used by the To Agency/CSC as the acknowledgement time. RETU A code indicating the status of the ?le being acknowledged. Values: 00 File was successfully received and veri?ed. 01 Header record count does not match the number of detail records found in the ?le. 02 - Detail record(s) found with invalid data. 03 - Update ?le dateltime does not match full ?le date/time. 04 Transaction Reconciliation File (or Correction Reconciliation File) does not match corresponding Transaction File (or Correction File). 05 Duplicate ?le sequence number. 06 Gap in sequence number. 07 - Invalid ZIP ?le or other ?le structure defect Refer to Appendix for the processing rules associated with the various RETURN CODE values. DELIMITER LF Detail Total 77 Processing Requirements: 1. This ?le shall contain a single record only. For each ?le received by the From Agency/CSC, the From Agency/CSC shall generate an Acknowledgement File and transmit the ?le back to the To Agency/CSC. 2. The and ?elds shall be used by the To Agency/CSC as the acknowledgement date/time of the transmitted ?le. The To Agency/CSC shall be able to support an optional ?grace period? 1998-2002 PANYNJ - 35 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications (for each From Agency/CSC) which the To Agency/CSC shall add to the FILE_DATE and FILE_TIME to use as the acknowledgement date/time. 3. The From Agency/CSC should generate a report showing any detail records that were skipped due to invalid data (RETURN_CODE = ‘02’) and should have this report available for the To Agency/CSC if needed. 4. Refer to Appendix G for the various processing rules related to each RETURN_CODE value. © 1998-2002 PANYNJ - 36 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 16.0 Transmission Methodology 1. The files shall be transmitted to all Away Agencies/CSCs on a nightly basis (except for the Tag Status Update File which shall be transmitted on an as needed basis but not more frequently than hourly). 2. To avoid network contention, Agencies/CSCs shall be assigned time slots in which they shall transmit their files to the other Agencies/CSCs. 3. To allow for retransmissions in the case of network or system problems, each Agency/CSC will also be assigned a secondary time slot later in the night. 4. Transmission shall be via FTP. 5. Upon completion of each file’s transmission, the sending Agency/CSC shall transmit a ‘check’ file whose name shall be comprised of the name and file type of the file to which it is associated but with a file extension of ‘CHECK’ (e.g., {FILE_NAME}_{FILE_TYPE}.CHECK). The receiving Agency/CSC shall wait until it detects the presence of the ‘check’ file to begin processing the associated data file. For example, after the Customer License Plate File 008_19971201041015.ICLP is transmitted, the sending Agency/CSC shall transmit a ‘check’ file of 008_19971201041015_ICLP.CHECK. The ‘check’ file shall contain a single 80 character record whose contents shall be the name and extension of the file for which the ‘check’ file is associated. This will eliminate the situation where a receiving Agency/CSC begins processing a file before its transmission was complete. 6. Assuming a worst case scenario, the transmission time requirements for a single Agency/CSC would be as follows: File # Records Tag Status Invalid Tag Customer Transaction File Transaction Reconciliation Customer License Plate Totals 4,000,000 200,000 500,000 500,000 4,000,000 Rec. Size (bytes) 19 264 110 29 26 Uncompressed File Size (bytes) 76,000,000 52,800,000 55,000,000 14,500,000 104,000,000 302,300,000 Compressed File Size (bytes) 19,000,000 13,200,000 13,750,000 3,625,000 26,000,000 75,575,000 T-1 Line Trans. Time (seconds) 102 71 74 19 139 405 (~6.5 minutes) 7. Based on current nightly processing schedules, the earliest that a CSC requires the full set of Tag Status Files from other CSCs is the NJ Consortium which requires the files by 23:15. Therefore, the primary transmission schedule (assuming a T-1 line) should be as follows: Tag Status File From CSC 009 009 009 009 022 022 022 022 008 008 008 008 016 016 016 016 021 021 021 021 To CSC 008 022 021 016 008 009 021 016 022 009 021 016 008 022 009 021 008 009 016 022 Start Time End Time 20:20 20:22 20:24 20:26 20:40 20:42 20:44 20:46 21:00 21:02 21:04 21:06 21:20 21:22 21:24 21:26 21:40 21:42 21:44 21:46 20:22 20:24 20:26 20:28 20:42 20:44 20:46 20:48 21:02 21:04 21:06 21:08 21:22 21:24 21:26 21:28 21:42 21:44 21:46 21:48 8. The secondary transmission schedule (assuming a T-1 line) would occur two (2) hours later or as agreed to by the CSCs on an as needed basis. © 1998-2002 PANYNJ - 37 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 17.0 IAG-1: Inter-CSC Settlement Report Use of Report: Indicates the actual amount of funds wire transferred from the Home agency to the Away agency at the end of the settlement period. Generated By: Home Agency Frequency: One report per settlement period. Related to: IAG-2 through IAG-6. Each of these reports ties to one of the line items on IAG-1. Data Set: Reports IAG-2 through IAG-6. Description: © 1998-2002 PANYNJ - 38 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG–1 Inter-CSC Settlement Report Wire Transfer for Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Payments from Home Agency: Regional Consortium due to Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________ Wire Date Amount Payment Type* $ 35,656.10 $ 165.00 $ 159.00 $ 400.00 $ (25.70) ---------------$ 36,354.40 Toll Transactions (from IAG-2) Toll Corrections (from IAG-3) Discount Plan Revenue (from IAG-4) Permit Plans (from IAG-5) Disputed tolls and adjustments (from IAG-6) 02/05/1999 Settlement Total * Additional line items, with supporting reports, are expected to be added to this report as Agencies develop other programs and fees. © 1998-2002 PANYNJ - 39 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 18.0 IAG-2: Inter-CSC Toll Transaction Reconciliation Report Use of Report: Indicates the amount of funds due to the Away agency due to toll transactions. Generated By: Home Agency Frequency: One report per settlement period. Related to: Toll Transactions line item on IAG-1. The total amount paid and matching IAG-1 equals the total of amounts in POST, NPST and PPST. The amounts in Rejects are not included. Data Set: Transaction reconciliation files that were acknowledged by the Away agency in the settlement period. There are no restrictions regarding when reconciliation files are produced; i.e. several could be produced in one day for transaction files received previously. Only those reconciliation files acknowledged in the settlement period will appear in this report. Description: The columns in this report are related to the fields in the Transaction Reconciliation File (defined in the IAG inter CSC file spec.) as follows: ICRX_FILE - The file name of the Reconciliation file to be included in the settlement period. ACK DATE - This is the Date field from the Acknowledgement file. All dates must be in the settlement period. POST & AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a resolution code of POST. NPST & AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a resolution code of NPST. PPST & AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a resolution code of PPST TOT & AMT – These fields contain the sum of the count and dollar amount respectively of the previous fields (to the left). TOTAL REJECT & AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with resolution codes of NPST, RINV, TAGB, ACCB, RJDP, OLD1, OLD2 and RJPL . These codes represent rejected transactions which are further detailed in the Rejected Transactions Report (IAG-7). © 1998-2002 PANYNJ - 40 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-2 Inter-CSC Toll Transaction Reconciliation Report ICRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Toll payments from Home Agency: Regional Consortium due to Away Agency: NYS Thruway Authority _____________________________________________________________________________________________________________________ ICRX_FILE ACK Date 022_004_19990102010901.ICRX 022_004_19990105012448.ICRX 022_004_19990106011057.ICRX 022_004_19990106011458.ICRX 022_004_19990107022140.ICRX 022_004_19990107215531.ICRX 022_004_19990109022225.ICRX 022_004_19990110051614.ICRX 022_004_19990110052141.ICRX 022_004_19990110220253.ICRX 022_004_19990111215735.ICRX 022_004_19990112215445.ICRX 022_004_19990114215618.ICRX 022_004_19990114215902.ICRX 022_004_19990114220222.ICRX 022_004_19990115220013.ICRX 022_004_19990116215041.ICRX 022_004_19990118215434.ICRX 022_004_19990120214231.ICRX 022_004_19990123031220.ICRX 022_004_19990123215019.ICRX 022_004_19990124215314.ICRX 022_004_19990125215216.ICRX 022_004_19990128015547.ICRX 022_004_19990129215839.ICRX 022_004_19990129220005.ICRX 022_004_19990130215427.ICRX 022_004_19990131215514.ICRX Settlement Total © 1998-2002 PANYNJ 1/3/99 1/7/99 1/8/99 1/8/99 1/9/99 1/9/99 1/11/99 1/12/99 1/12/99 1/12/99 1/13/99 1/14/99 1/16/99 1/16/99 1/16/99 1/17/99 1/18/99 1/20/99 1/22/99 1/25/99 1/25/99 1/26/99 1/27/99 1/30/99 1/31/99 1/31/99 1/31/99 1/31/99 POST AMT NPST AMT PPST AMT 231 156 175 107 159 155 122 108 133 156 241 182 6 212 165 234 155 283 285 927 226 290 305 230 269 229 258 301 1,086.00 557.20 662.30 425.80 1,014.40 957.30 839.70 847.10 668.80 1,008.30 1,022.70 843.20 21.60 1,506.70 887.20 1,509.30 1,088.80 1,595.30 1,057.50 5,277.50 1,416.20 1,692.50 1,273.40 1,417.90 1,741.80 1,507.60 1,756.30 1,820.70 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 51 153.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 6300 35,503.10 51 153.00 0 0.00 - 41 - TOT 231 156 175 107 159 155 122 108 133 156 241 182 6 212 165 234 155 283 285 927 226 290 305 281 269 229 258 301 6351 AMT TOTAL REJECT AMT 1,086.00 557.20 662.30 425.80 1,014.40 957.30 839.70 847.10 668.80 1,008.30 1,022.70 843.20 21.60 1,506.70 887.20 1,509.30 1,088.80 1,595.30 1,057.50 5,277.50 1,416.20 1,692.50 1,273.40 1,570.90 1,741.80 1,507.60 1,756.30 1,820.70 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2 1 3 0 1 0 0 0 0 0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 6.00 3.00 24.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 35,656.10 7 33.00 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 19.0 IAG-3: Inter-CSC Toll Correction Reconciliation Report Use of Report: Indicates the amount of funds due to the Away agency because of toll transaction corrections. Generated By: Home Agency Frequency: One report per settlement period. Related to: Toll Corrections line item on IAG-1. Data Set: Transaction correction reconciliation files that were acknowledged by the Away agency in the settlement period. Description: The 'ORG' column represents the original amount of the transaction that was reconciled previously. The 'NEW' column represents the corrected amount. The amount due and balancing to IAG-1 is the difference, shown in the 'NET' column. The “Total Count” column represents the number of transactions in the corresponding Correction Reconciliation file including rejects. The amount reflected in the Settlement Report (IAG-1) is the Total NET amount. © 1998-2002 PANYNJ - 42 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-3 Inter-CSC Toll Correction Reconciliation Report IRXC Files Acknowledged in Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Toll correction payments from Home Agency: Regional Consortium due to Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________ Ack Date Total Count POST ORG NEW NPST NET ORG NEW PPST NET ORG NEW Total NET Total Reject Reject AMT NET IRXC_FILE 022_004_19990102010901.IRXC 022_004_19990105012448.IRXC 022_004_19990106011057.IRXC 01/02/1999 01/05/1999 01/06/1999 5 24.00 35.00 11.00 4 10.00 8.00 (2.00) 100 825.00 975.00 150.00 0.00 0.00 0.00 0.00 5.00 0.00 0.00 5.00 0.00 3.00 0.00 0.00 0.00 4.00 0.00 Settlement Total © 1998-2002 PANYNJ (3.00) 4.00 0.00 8.00 7.00 150.00 165.00 - 43 - Version CSC 1.51d 0 1 0 0.00 3.00 0.00 Inter-Customer Service Center Interface File and Reporting Specifications 20.0 IAG-4: Inter-CSC Discount Plan Revenue Report Use of Report: The Settlement Total indicates the amount of funds due to the Away agency because of unused commuter trips or other discount plan revenue. Generated By: Home Agency Frequency: One report per settlement period. Related to: Discount Plan Revenue line item on IAG-1. Data Set: This report indicates all unused trips and other fees calculated for discount programs in the settlement period. There are no supporting files transferred for this report. Description: © 1998-2002 PANYNJ - 44 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-4 Inter-CSC Discount Plan Revenue Report Unused Trips or Expirations in Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Plan payments from Home Agency: Regional Consortium due to Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________ Plan End Date Plan 01/01/1999 TZC TZPL Count of Plans 2 3 No. Trips Taken 26 25 No. Trips Expired 8 26 Total (Date) 01/02/1999 Unused Trip Amount $ 8.00 $ 13.00 $ 21.00 TZC TZPL 4 1 62 12 Total (Date) 14 5 $ 14.00 $ 5.00 $ 19.00 • • • -----------------------------------------------------------------------------------------------------------------------------------Settlement Total (reporting period) $ 159.00 Legend: TZC – Tappan Zee Commuter Plan (rate $1.00) TZPL – Tappan Zee Car Pool Plan (rate $ .50) © 1998-2002 PANYNJ - 45 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 21.0 IAG-5: Inter-CSC Permit Plan Fees Report Use of Report: The Settlement Total indicates the amount of funds due to the Away agency because of sales of, or credits to, Away agency permit plans during the settlement period. Generated By: Home Agency Frequency: One report per settlement period. Related to: Permit Plans line item on IAG-1. Data Set: This report indicates all permit plan sales or credits during the settlement period. There are no supporting files transferred for this report. Description: © 1998-2002 PANYNJ - 46 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-5 Inter-CSC Permit Plan Fees Report Permit Plans Added or Refunded in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Fee payments from Home Agency: Regional Consortium due to Away Agency: NYS Thruway Authority __________________________________________________________________________________________________________________________ Transaction Plan # Sold $ Sold # Refunded $ Refunded Net # Net $ Date Type ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/01/1999 Annual Permit 4 $ 320 (1) $(80) 3 $240.00 01/02/1999 Annual Permit 2 $ 160 0 0 2 $160.00 . . . -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Settlement Total 6 $ 480 (1) $(80) 5 $400.00 Note: This report currently applies only to the Regional Consortium which offers the NYSTA permit plan. Any other direct revenue collected by one agency on behalf of another toll authority in the future will require a similar report. © 1998-2002 PANYNJ - 47 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 22.0 IAG-6: Inter-CSC Disputed Toll & Adjustments Report Use of Report: The Settlement Total indicates the amount of funds due to, or withheld from, the Away agency due to disputed tolls previously paid to the Away agency and subsequently credited to the customer’s account. This report should reflect only those transactions which both the Home and Away agencies have agreed to change. Generated By: Home Agency Frequency: One report per settlement period. Related to: Disputed tolls and adjustments line item on IAG-1. Data Set: This report indicates adjustments during the settlement period. There are no supporting files transferred for this report. Description: © 1998-2002 PANYNJ - 48 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-6 Inter-CSC Disputed Toll & Adjustments Report Adjustments Posted in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Adjustment payments from Home Agency: Regional Consortium due to (deducted from) Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________________ ------------------------------------ Original Transaction ---------------------------- Entry Entry Exit Exit Class Serial Date/Time Adj. Reason Adj. Amount Plaza Lane Plaza Lane Num Date ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------17 23 01 02 01 02 5 3 123456789 123457344 08/21/1998 08:22:18 08/21/1998 08:22:18 01/09/1999 01/03/1999 DISPUTED TOLL, WAS OUT OF COUNTRY DISPUTED TOLL, OTHER REASON $( 5.70) $( 2.00) 43 43 02 02 2 4 123457777 123457892 08/27/1998 09:45:26 08/21/1998 08:22:18 01/05/1999 01/07/1999 REDUCED TOLL, APPLIED INCORRECT DISCOUNT DISPUTED TOLL, REPORTED TAG LOST $( 2.00) $( 1.60) 92 92 92 92 92 01 01 01 01 01 3 4 5 6 7 123456890 123457888 123457913 123457945 123457999 08/21/1998 08:22:18 08/27/1998 09:45:26 08/21/1998 08:22:18 08/27/1998 09:45:26 08/27/1998 09:45:26 01/03/1999 01/06/1999 01/20/1999 01/23/1999 01/24/1999 DISPUTED TOLL, VARIOUS REASONS INCREASED TOLL, HONEST CUSTOMER DISPUTED TOLL, VARIOUS REASONS REDUCED TOLL, VARIOUS REASONS REDUCED TOLL, VARIOUS REASONS $( 4.50) $ 3.00 $( 3.70) $( 3.20) $( 6.00) 19 19 Exit Plaza Subtotal 40 39 03 04 Plaza Subtotal Exit Plaza Subtotal • • • ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Settlement Total $( 25.70) © 1998-2002 PANYNJ - 49 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 23.0 IAG-7: Inter-CSC Rejected Transactions Report Use of Report: Indicates the amount of funds that will not be paid to the Away agency due to transactions that were rejected by the Home agency Generated By: Home Agency Frequency: One report per settlement period. Related to: The total dollar amount of rejected transactions ties to that shown on IAG-1 and IAG-2. The subtotals for each rec file number equals the reject amount for that file shown in IAG-2. Data Set: This report details all rejected transactions as indicated on IAG-1. Description: © 1998-2002 PANYNJ - 50 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-7 Inter-CSC Rejected Transactions Report For ICRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transactions rejected by Home Agency: Regional Consortium Transactions received from Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________ Acknowledge Rec Transaction # Tag #* Account # Toll Date Toll Time Entry Entry Exit Exit Amt Reject Date File # Plaza Lane Plaza Lane Code -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------022_004_19990120214231.ICRX 01/22/99 12345678 12437765 0229876543 0222323456 8888888 9999999 01/19/99 01/20/99 08:39:56 14:22:34 42 32 01 02 44 21 03 04 2.50 RINV 3.50 INSU 6.00 7979797 01/23/99 10:37:45 19 03 23 01 3.00 TAGB 3.00 3434343 9999999 7333343 01/24/99 01/24/99 01/24/99 09:40:57 16:03:32 11:27:43 33 17 31 01 02 03 18 21 29 03 04 01 6.50 RINV 7.50 INSU 10.00 TAGB 24.00 Subtotal 01/25/99 022_004_19990123031220.ICRX 12345987 022456789 Subtotal 01/25/99 022_004_19990123215019.ICRX 12346543 12346457 12346980 0229874321 0222323457 0224567894 Subtotal 01/26/99 022_004_19990125215216.ICRX 12347123 022567832 4323454 01/25/99 01:01:31 19 02 21 02 0.00 RJDP Subtotal 0.00 --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total $ 33.00 * Note that the tag number, account number, Entry, Plaza, Entry Lane, Exit Plaza, Exit Lane and Amount may not contain valid or complete data due to the fact that these are rejected transaction and the reason for rejection may be invalid data in one of these fields. Reject Codes (see IAG file spec) are: RINV INSU TAGB RJDP OLD2 ACCB OLD1 © 1998-2002 PANYNJ - 51 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 24.0 IAG-8: Inter-CSC Rejected Corrections Report Use of Report: Indicates transaction corrections that were not accepted by the Home agency and the amount of funds represented by those transactions. Generated By: Home Agency Frequency: One report per settlement period. Related to: The total dollar amount of rejected corrections ties to that shown on IAG-3. Data Set: This report details all rejected transactions as indicated on IAG-3. Description: © 1998-2002 PANYNJ - 52 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-8 Inter-CSC Rejected Corrections Report For IRXC Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transaction corrections rejected by Home Agency: Regional Consortium Transaction corrections received from Away Agency: NYS Thruway Authority ______________________________________________________________________________________________________________________ Ack Date Rec File # Transaction # Tag #* Account # Toll Date Toll Time Entry Plaza Entry Lane Exit Plaza Exit Lane $ Amount Reject Code -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/05/99 022_004_19990105012448.IRXC 12345444 0229873434 8768763 12/30/98 08:39:56 42 01 44 03 3.00 RINV --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total • $ 3.00 Note that the tag number, account number, Entry, Plaza, Entry Lane, Exit Plaza, Exit Lane and Amount may not contain valid or complete data due to the fact that these are rejected transaction and the reason for rejection may be invalid data in one of these fields. Reject Codes (see IAG file spec) are: RINV INSU TAGB RJDP OLD2 ACCB OLD1 © 1998-2002 PANYNJ - 53 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 25.0 IAG-9: Inter-CSC Reconciliation Aging Report Use of Report: Indicates transaction and transaction correction files sent to the Home agency that have not been reconciled. Away agency is to contact the Home agency for action based on the age and number of unreconciled files. Generated By: Away Agency Frequency: This report is generated weekly. Related to: None. Data Set: Represents complete transactions files which have been sent to the Home agency. Description: © 1998-2002 PANYNJ - 54 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-9 Inter-CSC Reconciliation Aging Report Unreconciled Transaction/Correction Files as of: 2/29/1999 Report Date: 02/29/1999 15:32 Generated by Away Agency: NYSTA Transaction files sent from Away Agency: NYSTA Awaiting reconciliation files from Home Agency: Regional Consortium _____________________________________________________________________________________________________________________________ Days © 1998-2002 PANYNJ 5 - 10 File Name File # Count $ Amt 004 022 19990223010901.ICTX 004_022_19990224010901.ICTX 004567 004568 15,876 18,555 30,867.00 27,453.00 004 022 19990217012001.ICTX 004_022_19990102013001.ICTX Totals 004559 004502 - 55 - 34,431 58,320.00 11 – 15 Count $ Amt 13,234 21,333.00 13,234 13,234.00 Version CSC 1.51d Over 15 Count $ Amt 14,678 14,678 24,543.00 21,333.00 Inter-Customer Service Center Interface File and Reporting Specifications 26.0 IAG-10: Inter-CSC Discount Plan Analysis Report Use of Report: Informational report indicating to the Away agency the approximate number of their discount plans supported by a Home agency. Generated By: Home Agency Frequency: This report is generated monthly. Related to: None. Data Set: Represents all Away agency discount plans held by the Home agency. Description: © 1998-2002 PANYNJ - 56 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-10 Inter-CSC Discount Plan Analysis Report For Month of: January 1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Discount Plans offered by Home Agency: Regional Consortium Discount Plans applying to facilities of Away Agency: NYSTA ________________________________________________________________________________________________ Plan Beginning Monthly Monthly Ending Type Number Additions Deletions Balance -------------------------------------------------------------------------------------------------TZC 100 25 5 120 TZPL 200 50 10 240 -------------------------------------------------------------------------------------------------TOTAL 300 75 15 360 © 1998-2002 PANYNJ - 57 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 27.0 IAG-11A: Casual Use By Reconciliation File Range Report Use of Report: Internal use by Home agency to break down reconciled transactions by posting date and plaza. Generated By: Home Agency Frequency: This report is generated as required. Related to: IAG-2 Posted column. The total amount indicated in this report should equal the total POSTED amount indicated in IAG-2 (Inter-CSC Toll Transaction Reconciliation Report). This amount, when added to the NPST total from report IAG-12 (NPST Report) should equal the Toll Transactions amount in IAG-1 (Inter-CSC Settlement Report). Data Set: Represents reconciled transactions which have been posted to customer accounts. Description: © 1998-2002 PANYNJ - 58 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-11A Casual Use by Reconciliation File Range Report For Reconciliation Files acknowledged from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transactions posted by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYS Thruway Authority ________________________________________________________________________________________________ Posting Date Plaza ID Plaza Name Rec File Toll Transaction Count Toll $ Amount ----------------------------------------------------------------------------------------------------------------------------------------------------------------12/31/1999 06 YONKERS TOLL 022_004_19990102010901.ICRX 022_004_19990105012448.ICRX 34 78.60 21 56.40 ----------------------------------------55 135.00 022_004_19990102010901.ICRX 022_004_19990105012448.ICRX 08 33.00 12 39.20 -----------------------------------------20 72.20 Plaza Subtotal 08 HARRIMAN Plaza Subtotal • • Posting Date Subtotal 207.20 01/01/1999 06 YONKERS TOLL 022_004_19990106011057.ICRX 23 16.00 ----------------------------------------23 16.00 022_004_19990106011057.ICRX 022_004_19990106011458.ICRX 18 24.30 13 18.20 -----------------------------------------31 42.50 Plaza Subtotal 08 HARRIMAN Plaza Subtotal • • Posting Date Subtotal 58.50 • • Agency Total © 1998-2002 PANYNJ 6300 - 59 - 35,503.10 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 28.0 IAG-11B: Casual Use By Posting Date Range Report Use of Report: Internal use by Home agency to break down reconciled transactions by posting date and plaza. Generated By: Home Agency Frequency: This report is generated as required. Related to: Postings to customer accounts. This report is organized by posting regardless of transaction date or reconciliation file number. Therefore it will not tie directly to reports based on reconciliation files. The report should tie to other internal financial reports which reflect changes in pre-paid balance for the same posting period. Data Set: Represents reconciled transactions which have been posted to customer accounts. Description: © 1998-2002 PANYNJ - 60 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-11B Casual Use by Posting Date Range Report Tolls Posted from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transactions posted by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYS Thruway Authority ________________________________________________________________________________________________ Plaza ID Plaza Name Toll Date Toll Transaction Count Toll $ Amount -------------------------------------------------------------------------------------------------------------------------------------------------------------06 YONKERS TOLL 12/15/1998 12/17/1998 12/31/1998 01/01/1999 01/02/1999 01/03/1999 03 11 36 42 55 18 1.20 4.60 24.80 31.10 36.00 15.25 • • • Plaza Subtotal 08 315 628.70 HARRIMAN 12/28/1998 12/29/1998 12/31/1998 01/01/1999 01/02/1999 01/03/1999 23 42 13 64 32 70 1.20 4.60 24.80 31.10 36.00 15.25 • • • Plaza Subtotal • • • 568 1,234.60 Agency Total 5900 31,224.25 * A second, agency specific, form of this report breaks out the toll and amount by away agency class. The exact form is determined by the agency requesting the report. © 1998-2002 PANYNJ - 61 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 29.0 IAG-12: NPST Report Use of Report: Internal use by Home agency to break down reconciled transactions which were not posted (NPST) but will be paid to the Away agency. Generated By: Home Agency Frequency: This report is generated as required. Related to: IAG-2 NPST column. The total amount indicated in this reports should equal the amount shown in the NPST column of report IAG-2 (Inter-CSC Toll Transaction Reconciliation Report). The total of this number and that from report 11A (Casual Use by Reconciliation File Range Report) should equal the Toll Transactions amount in IAG-1 (Inter-CSC Settlement Report). Data Set: Represents reconciled transactions which will be paid to the Away agency but will not be posted to customer accounts. Description: Occasionally a transaction from an Away agency may be received by the Home agency after the account was closed. If the Home agency had indicated that the tag was valid, the Home agency is obligated to pay for the transaction regardless of the account status. These transactions are reconciled as NPST transactions. The Total is the amount paid to the Away agency. © 1998-2002 PANYNJ - 62 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-12 NPST Report For Reconciliation Files acknowledged from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transactions paid but not posted by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYS Thruway Authority ___________________________________________________________________________________________________________________ Ack Date Rec File Transaction Number NPST Tag # Code* Account # Toll Date Entry Plaza Entry Lane Exit Plaza Exit Lane $ Amt IAG Code Count -----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/30/99 022_004_19990128015547.ICRX 12345678 12435672 • • • xxxx xxxx 0229876543 0222323456 8888888 9999999 01/29/99 02/29/99 43 45 03 01 33 21 01 02 3.70 4.20 72 72 Rec File Subtotal 153.00 51 ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Total 153.00 51 • NPST codes (reason for non postable transactions) are to be developed © 1998-2002 PANYNJ - 63 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 30.0 IAG-13 A,B,C,D: Local Use Reports Use of Report: The various forms of this report are used to by the Away agency to reconcile transactions on their facilities, by Customers of another agency, to particular days or reconciliation files. Generated By: Away Agency Frequency: This report is generated as required. Related to: IAG-2 (form A & B). The total toll amount in IAG-13A or IAG-13B should equal the amount shown in the Posted plus NPST columns of the IAG-2 report received by the Away agency. This is the same amount as the Toll Transactions shown on IAG-1 received by the Away agency. Reports IAG-13C and IAG-13D are run by collection date and are used to reconcile the agency host to transactions occurring on a particular day or date range. These reports will not necessarily tie to payments due. Data Set: Represents all transactions which occurred on Away facilities including those that were rejected. Description: © 1998-2002 PANYNJ - 64 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-13A Inter-CSC Local Use by Rec File Report For Reconciliation Files acknowledged from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Away Agency: NYSTA Transactions reconciled by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYSTA ______________________________________________________________________________________________________________________________ CLASS 01 PLAZA Trans Date Cnt Amt 02 Cnt Amt 03 Cnt Amt 04 Cnt Amt 05 Cnt Amt 06 Cnt Amt 07 Cnt Amt 08 Cnt Amt 09 Cnt Amt Total Cnt Amt 06 YONKERS TOLL 12/31/98 01/01/99 01/02/99 • • Plaza Subtotal 08 HARRIMAN 12/30/98 12/31/98 01/01/99 01/02/99 • • Plaza Subtotal Grand total 6362 * Includes Non Postables (NPST) and rejects © 1998-2002 PANYNJ - 65 - Version CSC 1.51d 35,656.10 Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-13B Inter-CSC Detailed Local Use by Rec File Report For Reconciliation Files acknowledged from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Away Agency: NYSTA Transactions reconciled by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYSTA ______________________________________________________________________________________________________________________________ CLASS 01 PLAZA Trans Date 07 YONKERS TOLL 12/31/98 Plan* Cnt Amt 02 Cnt Amt 03 Cnt Amt 04 Cnt Amt 05 Cnt Amt 06 Cnt Amt 07 Cnt Amt 08 Cnt Amt 09 Cnt Amt Total Cnt Amt TZC TZPL • • Reject Day subtotal 01/01/99 TZC TZPL • • Reject Day subtotal • • • Plaza Subtotal 08 HARRIMAN • • • Plaza Subtotal • • • Grand total • 6362 Includes Non-Postables (NPST) © 1998-2002 PANYNJ - 66 - Version CSC 1.51d 35,656.10 Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-13C Inter-CSC Local Use by Collection Date Report For all Reconciled Tolls Collected from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Away Agency: NYSTA Transactions reconciled by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYSTA ______________________________________________________________________________________________________________________________ CLASS 01 PLAZA Trans Date Cnt Amt 02 Cnt Amt 03 Cnt Amt 04 Cnt Amt 05 Cnt Amt 06 Cnt Amt 07 Cnt Amt 08 Cnt Amt 09 Cnt Amt Total Cnt Amt 08 YONKERS TOLL 01/01/99 01/02/99 • • 01/31/99 Plaza Subtotal 08 HARRIMAN 01/01/99 01/02/99 • • 01/31/99 Plaza Subtotal • • Grand total 6001 * Includes Non Postables (NPST) and rejects © 1998-2002 PANYNJ - 67 - Version CSC 1.51d 34,123.00 Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-13D Inter-CSC Detailed Local Use by Collection Date Report For all Reconciled Tolls Collected from: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Away Agency: NYSTA Transactions reconciled by Home Agency: Regional Consortium Transactions occurring at facilities of Away Agency: NYSTA ______________________________________________________________________________________________________________________________ CLASS 01 PLAZA Trans Date 09 YONKERS TOLL 01/01/99 Plan* Cnt Amt 02 Cnt Amt 03 Cnt Amt 04 Cnt Amt 05 Cnt Amt 06 Cnt Amt 07 Cnt Amt 08 Cnt Amt 09 Cnt Amt Total Cnt Amt TZC TZPL • Reject Day subtotal 01/02/99 TZC TZPL • Reject Day subtotal • • 01/31/99 TZC TZPL • Reject Day subtotal Plaza Subtotal 08 HARRIMAN • • Plaza Subtotal • • Grand total • 6001 Includes Non-Postables (NPST) © 1998-2002 PANYNJ - 68 - Version CSC 1.51d 34,123.00 Inter-Customer Service Center Interface File and Reporting Specifications 31.0 IAG-1N: Inter-CSC Non-Toll Settlement Report Use of Report: Indicates the actual amount of funds wire transferred from the Home agency to the Host agency at the end of the settlement period. Generated By: Home Agency Frequency: One report per settlement period. Related to: IAG-2N, IAG-3N, IAG-6N and IAG-14N. Each of these reports ties to one of the line items on IAG-1N. Description: © 1998-2002 PANYNJ - 69 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG–1N Inter-CSC Non Toll Settlement Report Wire Transfer for Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Payments from Home Agency: Regional Consortium Due to Host Agency: NYS Thruway Authority Facility Operator - Albany Airport ______________________________________________________________________________________________________________________ Wire Date Amount Payment Type* $ 35,503.10 $ (132.77) $ (816.54) $ 159.00 $ (25.70) $ (300.00) ---------------$ 34,387.09 Non-Toll Transactions (from IAG-2N) Non-Toll Transaction fees (from IAG-2N) Non-Toll Service fees (from IAG-2N) Non-Toll Corrections (from IAG-3N) Disputed Non-Tolls and adjustments (from IAG-6N) Non-Toll Charge Backs and Reversals (from IAG-14N) 02/05/1999 Settlement Total * Additional line items, with supporting reports, are expected to be added to this report as Agencies develop other programs and fees. © 1998-2002 PANYNJ - 70 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 32.0 IAG-2N: Inter-CSC Non-Toll Transaction Reconciliation Report Use of Report: Indicates the amount of funds due to the Host agency for non-toll transactions by Home agency customers on a facility with whom the Host agency has an agreement in accordance with IAG Reciprocity II. Generated By: Home Agency Frequency: One report per settlement period. Related to: Toll Transactions line item on IAG-1N. The total amount paid and matching IAG-1N equals the total of the amount collected (PSNT). Declined and rejected transactions are not included. Data Source: Non Toll Transaction Reconciliation files that were acknowledged by the Away agency in the settlement period. There are no restrictions regarding when reconciliation files are produced; i.e. several could be produced in one day for transaction files received previously. Only those reconciliation files acknowledged in the settlement period will appear in this report. . NOTE: Transaction files from a particular Host agency to a particular Home agency contain data only from a particular Facility Operator. Therefore these reports may be grouped by facility or by Host. It is the responsibility of the Host agency to further breakout the data as they may require. Description: The columns in this report are related to the fields in the Transaction Reconciliation File (defined in the IAG inter CSC file spec.) as follows: INRX_FILE - The file name of the Reconciliation file (INRX) to be included in the settlement period. ACK Date - This is the Date field from the corresponding Acknowledgement (ACK) file. All dates must be in the settlement period. Total Trans Count - The total number of non-toll transactions in the non-toll reconciliation file (INRX) (INTX). The transaction fee is based on this count. PSNT Count & PSNT AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a resolution code of PSNT. These represent transactions applied directly to the pre-paid balance as well as those applied directly to a credit card. Service Fee - This field is calculated using the current credit blended card fee rate of the Home agency. This rate is multiplied by the PSNT amount for each non-toll reconciliation file. DECL Count & DECL AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a post status code of DECL. These codes represent transactions that were declined by the credit card processor. These transactions are detailed in IAG15N (Rejected Non-Toll Transactions Report). NOCC Count & NOCC AMT – These fields contain the count and dollar amount respectively of those transactions in the reconciliation file with a post status code of NOCC. These codes represent transactions that were rejected at the Host CSC because the account is no longer a replenished via a credit card. These transactions are detailed in IAG-15N (Rejected Non-Toll Transactions Report). Reject Count and Reject AMT - Total count and dollar amount of rejected non-toll transactions for reasons other than DECL or NOCC above. These transactions will have post status codes of RJIN, RJCX, RINV, TAGB, ACCC, OLD3 and RJDP. These transactions are detailed in IAG-7N (Rejected Non-Toll Transactions Report). © 1998-2002 PANYNJ - 71 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-2N Inter-CSC Non-Toll Transaction Reconciliation Report INRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Non-Toll payments from Home Agency: Regional Consortium Due to Host Agency: NYS Thruway Authority Facility Operator - Albany Airport INRX_FILE ACK Date 022_004_19990102010901.INRX 022_004_19990105012448.INRX 022_004_19990106011057.INRX 022_004_19990106011458.INRX 022_004_19990107022140.INRX 022_004_19990107215531.INRX 022_004_19990109022225.INRX 022_004_19990110051614.INRX 022_004_19990110052141.INRX 022_004_19990110220253.INRX 022_004_19990111215735.INRX 022_004_19990112215445.INRX 022_004_19990114215618.INRX 022_004_19990114215902.INRX 022_004_19990114220222.INRX 022_004_19990115220013.INRX 022_004_19990116215041.INRX 022_004_19990118215434.INRX 022_004_19990120214231.INRX 022_004_19990123031220.INRX 022_004_19990123215019.INRX 022_004_19990124215314.INRX 022_004_19990125215216.INRX 022_004_19990128015547.INRX 022_004_19990129215839.INRX 022_004_19990129220005.INRX 022_004_19990130215427.INRX 022_004_19990131215514.INRX Settlement Total © 1998-2002 PANYNJ 1/3/99 1/7/99 1/8/99 1/8/99 1/9/99 1/9/99 1/11/99 1/12/99 1/12/99 1/12/99 1/13/99 1/14/99 1/16/99 1/16/99 1/16/99 1/17/99 1/18/99 1/20/99 1/22/99 1/25/99 1/25/99 1/26/99 1/27/99 1/30/99 1/31/99 1/31/99 1/31/99 1/31/99 Total Trans Count Trans Fee $.11 PSNT Count 31 56 75 07 59 55 22 08 33 56 41 82 6 12 65 34 55 83 87 28 29 90 06 30 69 29 58 01 3.41 6.16 8.25 0.77 6.49 6.05 2.42 0.88 3.63 6.16 4.51 9.02 0.66 1.32 7.15 3.74 6.05 9.13 9.57 3.08 3.19 9.9 0.66 3.3 7.59 3.19 6.38 0.11 29 55 75 07 59 55 22 08 33 56 41 82 6 12 65 34 55 83 85 27 24 90 04 30 69 29 58 01 1,086.00 557.20 662.30 425.80 1,014.40 957.30 839.70 847.10 668.80 1,008.30 1,022.70 843.20 21.60 1,506.70 887.20 1,509.30 1,088.80 1,595.30 1,057.50 5,277.50 1,416.20 1,692.50 1,273.40 1,417.90 1,741.80 1,507.60 1,756.30 1,820.70 24.98 12.82 15.23 9.79 23.33 22.02 19.31 19.48 15.38 23.19 23.52 19.39 0.50 34.65 20.41 34.71 25.04 36.69 24.32 121.38 32.57 38.93 29.29 32.61 40.06 34.67 40.39 41.88 1207 132.77 1194 35,503.10 816.54 - 72 - PSNT AMT SVC Fee @ 2.30% DECL Count DECL AMT NOCC Count 2 NOCC Reject Reject AMT Count AMT 48.00 45.00 3 38.50 0 20.00 1 50.00 2 120.00 3 170.00 2 1 1 10.00 1 3 30.00 7 131.50 Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 33.0 IAG-3N: Inter-CSC Non-Toll Correction Reconciliation Report Use of Report: Indicates the amount of funds due to the Away agency because of non-toll transaction corrections. Generated By: Home Agency Frequency: One report per settlement period. Related to: Non-Toll Corrections line item on IAG-1N. Data Source: Non-Toll Transaction correction reconciliation files (IRXN) that were acknowledged by the Away agency in the settlement period. Description: The columns in this report are related to the fields in the Non-Toll Correction Reconciliation File (IRXN) as follows: IRXN_FILE - The file name of the Reconciliation file (IRXN) to be included in the settlement period. ACK Date - This is the Date field from the corresponding Acknowledgement (ACK) file. All dates must be in the settlement period. Total Count - The total number of non-toll transaction corrections in the non-toll transaction correction reconciliation file (IRXN). PSNT ORG - The original amount of the non toll transactions in the correction file. NEW - The corrected amount of the non toll transactions in the correction file. NET - The difference (NEW - ORG) in funds represented by the correction file. The total NET amount for all correction files in the settlement period is reflected in IAG-1N. Reject Count and Reject AMT - Total count and dollar amount of rejected non-toll corrections (including declined). These transactions will have post status codes of DECL, NOCC, RJIN, RJCX, RINV, TAGB, ACCC, OLD3 and RJDP. These transactions are detailed in IAG-7N (Rejected Non-Toll Corrections Report). © 1998-2002 PANYNJ - 73 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-3N Inter-CSC Non-Toll Correction Reconciliation Report IRXN Files Acknowledged in Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Toll correction payments from Home Agency: Regional Consortium Due to Host Agency: NYS Thruway Authority Facility Operator - Albany Airport ______________________________________________________________________________________________________________________ Ack Date Total Count PSNT ORG NEW Reject Reject Count AMT NET IRXN_FILE 022_004_19990102010901.IRXN 022_004_19990105012448.IRXN 022_004_19990106011057.IRXN 01/02/1999 01/05/1999 01/06/1999 5 24.00 35.00 11.00 4 10.00 8.00 (2.00) 100 825.00 975.00 150.00 Settlement Total © 1998-2002 PANYNJ 0 1 0 0.00 3.00 0.00 159.00 - 74 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 34.0 IAG-6N: Inter-CSC Disputed Non-Toll & Adjustments Report Use of Report: The Settlement Total indicates the amount of funds due to, or withheld from, the Away agency due to disputed tolls previously paid to the Away agency and subsequently credited to the customer’s account. This report reflects only those transactions which both the Home and Away agencies have agreed to change. Generated By: Home Agency Frequency: One report per settlement period. Related to: Disputed tolls and adjustments line item on IAG-1N. Data Set: This report indicates adjustments during the settlement period. There are no supporting files transferred for this report. Description: © 1998-2002 PANYNJ - 75 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-6N Inter-CSC Disputed Non-Toll & Adjustments Report Adjustments Posted in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Adjustment payments from Home Agency: Regional Consortium Due to (deducted from) Host Agency: NYS Thruway Authority Facility Operator - Albany Airport ______________________________________________________________________________________________________________________________ ------------------------------------ Original Transaction ---------------------------- Entry Entry Exit Exit Class Serial Date/Time Adj. Plaza Lane Plaza Lane Date Num Reason Adj. Amount ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------17 23 01 02 19 19 01 02 5 3 123456789 123457344 08/21/1998 08:22:18 08/21/1998 08:22:18 01/09/1999 01/03/1999 DISPUTED TOLL, WAS OUT OF COUNTRY DISPUTED TOLL, OTHER REASON $( 5.70) $( 2.00) 02 02 2 4 123457777 123457892 08/27/1998 09:45:26 08/21/1998 08:22:18 01/05/1999 01/07/1999 REDUCED TOLL, APPLIED INCORRECT DISCOUNT DISPUTED TOLL, REPORTED TAG LOST $( 2.00) $( 1.60) 01 01 01 01 01 3 4 5 6 7 123456890 123457888 123457913 123457945 123457999 08/21/1998 08:22:18 08/27/1998 09:45:26 08/21/1998 08:22:18 08/27/1998 09:45:26 08/27/1998 09:45:26 01/03/1999 01/06/1999 01/20/1999 01/23/1999 01/24/1999 DISPUTED TOLL, VARIOUS REASONS INCREASED TOLL, HONEST CUSTOMER DISPUTED TOLL, VARIOUS REASONS REDUCED TOLL, VARIOUS REASONS REDUCED TOLL, VARIOUS REASONS $( 4.50) $ 3.00 $( 3.70) $( 3.20) $( 6.00) Exit Plaza Subtotal 40 39 03 04 43 43 Exit Plaza Subtotal 92 92 92 92 92 Exit Plaza Subtotal • • • ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Settlement Total $( 25.70) © 1998-2002 PANYNJ - 77 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 35.0 IAG-7N: Inter-CSC Rejected Non Toll Transactions Report Use of Report: Indicates the amount of funds that will not be paid to the Host agency due to transactions that were rejected (as opposed to declined) by the Home agency Generated By: Home Agency Frequency: One report per settlement period. Related to: The subtotals for each rec file number equals the reject amount for that file shown in IAG-2N (Reject AMT). Data Source: INRX files. Transactions with post status codes of RINV, TAGB, ACCC, OLD3, RJDP. © 1998-2002 PANYNJ - 78 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-7N Inter-CSC Rejected Non-Toll Transactions Report For INRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by CSC: Regional Consortium Transactions rejected by Home Agency: Regional Consortium Transactions received from Host Agency: NYS Thruway Authority Facility Operator: Albany Airport ____________________________________________________________________________________________________________________________ Acknowledge Rec Transaction # Tag #* Account # Transaction Trans Time Entry Entry Exit Exit Amt Reject Date File # Date Plaza Lane Plaza Lane Code -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/22/99 022_004_19990102010901.INRX 12345678 12437765 0229876543 0222323456 8888888 9999999 01/19/99 01/20/99 08:39:56 14:22:34 42 32 01 02 44 21 03 04 16.00 RINV 32.00 TAGB 48.00 7979797 01/23/99 10:37:45 19 03 23 01 45.00 ACCC 45.00 3434343 9999999 7333343 01/24/99 01/24/99 01/24/99 09:40:57 16:03:32 11:27:43 33 17 31 01 02 03 18 21 29 03 04 01 8.00 RINV 20.50 TAGB 10.00 TAGB 38.50 Subtotal 01/25/99 022_004_19990105012448.INRX 12345987 022456789 Subtotal 01/25/99 022_004_19990123215019.INRX 12346543 12346457 12346980 0229874321 0222323457 0224567894 Subtotal 01/27/99 022_004_19990125215216.INRX 12347123 022567832 4323454 01/25/99 01:01:31 19 02 21 02 0.00 OLD3 Subtotal 0.00 --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total $131.50 * Note that the tag number, account number, Entry, Plaza, Entry Lane, Exit Plaza, Exit Lane and Amount may not contain valid or complete data due to the fact that these are rejected transaction and the reason for rejection may be invalid data in one of these fields. Reject Codes (see IAG file spec) are: RJIN, RJCX, RINV, TAGB, ACCC, OLD3, RJDP © 1998-2002 PANYNJ - 79 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 36.0 IAG-8N: Inter-CSC Rejected Non-Toll Corrections Report Use of Report: Indicates transaction corrections that were not accepted by the Home agency and the amount of funds represented by those transactions. Generated By: Home Agency Frequency: One report per settlement period. Related to: The total dollar amount of rejected corrections ties to that shown on IAG-3N. Data Source: This report details all rejected transactions as indicated on IAG-3N. These transactions will have post status codes of RJIN, RJCX, RINV, TAGB, ACCC, OLD3 and RJDP. Note that declined transactions are included. © 1998-2002 PANYNJ - 80 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-8N Inter-CSC Rejected Non-Toll Corrections Report For IRXN Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Transaction corrections rejected by Home Agency: Regional Consortium Transaction corrections received from Host Agency: NYS Thruway Authority Facility Operator: Albany Airport __________________________________________________________________________________________________________________________ Ack Date Rec File # Transaction # Tag #* Account # Trans Date Trans Time Entry Plaza Entry Lane Exit Plaza Exit Lane $ Amount Reject Code -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/05/99 022_004_19990105012448.IRXN 12345444 0229873434 8768763 12/30/98 08:39:56 42 01 44 03 3.00 RINV --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total • $ 3.00 Note that the tag number, account number, Entry, Plaza, Entry Lane, Exit Plaza, Exit Lane and Amount may not contain valid or complete data due to the fact that these are rejected transaction and the reason for rejection may be invalid data in one of these fields. Reject Codes (see IAG file spec) are: RJNT, RJCX, RINV, TAGB, ACCC, OLD3, RJDP © 1998-2002 PANYNJ - 81 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 37.0 IAG-14N: Inter-CSC Non-Toll Credit Card Charge Back Report Use of Report: Indicates non-toll charges that were charged back to the Home CSC by its credit card processor. These charges will be deducted from the amount owed to the Host Agency. Generated By: Home Agency Frequency: One report per settlement period. Description: The total dollar amount of charge backs for the settlement period as shown on IAG-1N. © 1998-2002 PANYNJ - 82 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-14N Inter-CSC Non-Toll (Charge Back) and Reversal Report Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Home Agency: Regional Consortium Host Agency: NYS Thruway Authority For: Facility Operator: Albany Airport ______________________________________________________________________________________________________________________________ Ack Date Rec File # Transaction # Tag #* Account # Trans Date Trans Time Entry Plaza Entry Lane Exit Plaza Exit Lane $ Amount Chrg Back (C) Reversal (R) ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/05/99 022_004_19990105012448.INRX 12345444 0229873434 8768763 12/30/98 08:39:56 42 01 44 03 ( 80.00) C 09/06/98 022_004_19990905012234.INRX 33344445 0224848432 4564789 09/01/98 08:39:56 42 01 44 03 (420.00) C 07/05/98 022_004_19980704015667.IXRN 43456356 0225557747 2351745 07/04/98 08:39:56 42 01 44 03 100.00 R ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total © 1998-2002 PANYNJ ($ 300.00) - 83 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 38.0 IAG-15N: Inter-CSC Declined and No Credit Card Non-Toll Transactions Report Use of Report: Indicates the amount of funds that will not be paid to the Host agency due to transactions that were declined by the Home agency credit card processor. Generated By: Home Agency Frequency: One report per settlement period. Related to: The subtotals for each rec file number equals the reject amount for that file shown in IAG-2N (RJNT AMT). Data Source: INRX files. Transactions with post status code of DECL and NOCC © 1998-2002 PANYNJ - 84 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-15N Inter-CSC Declined and No Credit Card Non-Toll Transactions Report For INRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by CSC: Regional Consortium Transactions rejected by Home Agency: Regional Consortium Transactions received from Host Agency: NYS Thruway Authority Facility Operator: Albany Airport ____________________________________________________________________________________________________________________________ Acknowledge Rec Transaction # Tag #* Account # Transaction Trans Time Entry Entry Exit Exit Amt Reject Date File # Date Plaza Lane Plaza Lane Code -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------01/22/99 022_004_19990120214231.INRX 11122334 13435477 0229876543 0223444444 8888888 9999999 01/19/99 01/20/99 08:39:56 14:22:34 42 32 01 02 44 21 03 04 5.00 NOCC 15.00 NOCC 20.00 7979797 01/23/99 10:37:45 19 03 23 01 50.00 DECL 50.00 3434343 9999999 01/24/99 01/24/99 09:40:57 16:03:32 33 17 01 02 18 21 03 04 80.00 DECL 40.00 DECL 120.00 Subtotal 01/25/99 022_004_19990123031220.INRX 22345987 022456789 Subtotal 01/25/99 022_004_19990123215019.INRX 12346543 12346457 0229874321 0222323457 Subtotal 01/27/99 022_004_19990125215216.INRX 12347123 022567832 4323454 01/25/99 01:01:31 19 02 21 02 10.00 NOCC Subtotal 0.00 --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Total $200.00 * Note that the tag number, account number, Entry, Plaza, Entry Lane, Exit Plaza, Exit Lane and Amount may not contain valid or complete data due to the fact that these are rejected transaction and the reason for rejection may be invalid data in one of these fields. Reject Codes (see IAG file spec) are: DECL and NOCC © 1998-2002 PANYNJ - 85 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 39.0 IAG-16N: Inter-CSC Non-Toll Aggregate Funds Report Use of Report: Indicates the amount of funds due to the Home agency for Aggregate funds as defined by the Reciprocity II agreement. Generated By: Host Agency Frequency: One report per settlement period. Related to: Transaction Fee from IAG-2N. This report is generated by the Host agency and uses the same reconciliation file set as used by the Home agency for settlement. Data Source: Transaction reconciliation files that were acknowledged by the Away agency in the settlement period. There are no restrictions regarding when reconciliation files are produced; i.e. several could be produced in one day for transaction files received previously. Only those reconciliation files acknowledged in the settlement period will appear in this report. Description: The columns in this report are related to the fields in the Transaction Reconciliation File (defined in the IAG inter CSC file spec.) as follows: INRX_FILE - The file name of the Reconciliation file (INRX) to be included in the settlement period. ACK Date - This is the Date field from the corresponding Acknowledgement (ACK) file. All dates must be in the settlement period. Total Trans Count - The total number of non-toll transactions in the non-toll reconciliation file (INRX) (INTX). The transaction fee is based on this count. Trans Fee from F.O. - The total transaction fee charged by the Host agency to the Facility Operator for the transactions indicated in the INTX file. Trans Fee Due Home - The total transaction fee due from the Host agency to the Home agency as reported in IAG-2N. Aggregate Funds - The difference between the amount the Host agency receives for each transaction from the Facility Operator and the amount the Host agency paid the Home agency for each transaction sent to the Home agency. Aggregate Funds Due Home - One half of the Aggregate funds are due from the Host agency to the Home agency per Reciprocity II. © 1998-2002 PANYNJ - 86 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Report IAG-16N Inter-CSC Non-Toll Aggregate Funds Report INRX Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Host Agency: NYS Thruway Authority Aggregate Funds from Host Agency: NYS Thruway Authority Due to Home Agency: Regional Consortium; Facility Operator - Albany Airport INRX_FILE ACK Date 022_004_19990102010901.INRX 022_004_19990105012448.INRX 022_004_19990106011057.INRX 022_004_19990106011458.INRX 022_004_19990107022140.INRX 022_004_19990107215531.INRX 022_004_19990109022225.INRX 022_004_19990110051614.INRX 022_004_19990110052141.INRX 022_004_19990110220253.INRX 022_004_19990111215735.INRX 022_004_19990112215445.INRX 022_004_19990114215618.INRX 022_004_19990114215902.INRX 022_004_19990114220222.INRX 022_004_19990115220013.INRX 022_004_19990116215041.INRX 022_004_19990118215434.INRX 022_004_19990120214231.INRX 022_004_19990123031220.INRX 022_004_19990123215019.INRX 022_004_19990124215314.INRX 022_004_19990125215216.INRX 022_004_19990128015547.INRX 022_004_19990129215839.INRX 022_004_19990129220005.INRX 022_004_19990130215427.INRX 022_004_19990131215514.INRX Settlement Total © 1998-2002 PANYNJ 1/3/99 1/7/99 1/8/99 1/8/99 1/9/99 1/9/99 1/11/99 1/12/99 1/12/99 1/12/99 1/13/99 1/14/99 1/16/99 1/16/99 1/16/99 1/17/99 1/18/99 1/20/99 1/22/99 1/25/99 1/25/99 1/26/99 1/27/99 1/30/99 1/31/99 1/31/99 1/31/99 1/31/99 Total Trans Count Trans Fee from F.O. $.15 Trans Fee Aggregate Funds Due Home $.11 Aggregate Funds Due Home 31 56 75 07 59 55 22 08 33 56 41 82 6 12 65 34 55 83 87 28 29 90 06 30 69 29 58 01 4.65 8.4 11.25 1.05 8.85 8.25 3.3 1.2 4.95 8.4 6.15 12.3 0.9 1.8 9.75 5.1 8.25 12.45 13.05 4.2 4.35 13.5 0.9 4.5 10.35 4.35 8.7 0.15 3.41 6.16 8.25 0.77 6.49 6.05 2.42 0.88 3.63 6.16 4.51 9.02 0.66 1.32 7.15 3.74 6.05 9.13 9.57 3.08 3.19 9.9 0.66 3.3 7.59 3.19 6.38 0.11 1.24 2.24 3 0.28 2.36 2.2 0.88 0.32 1.32 2.24 1.64 3.28 0.24 0.48 2.6 1.36 2.2 3.32 3.48 1.12 1.16 3.6 0.24 1.2 2.76 1.16 2.32 0.04 0.62 1.12 1.5 0.14 1.18 1.1 0.44 0.16 0.66 1.12 0.82 1.64 0.12 0.24 1.3 0.68 1.1 1.66 1.74 0.56 0.58 1.8 0.12 0.6 1.38 0.58 1.16 0.02 1207 181.05 132.77 48.28 24.14 - 87 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 40.0 Modification History Changes from CSC 1.51c to CSC 1.51d 1. The IAG Toll Settlement Report Specifications document (CSC-R 1.51) and Non-Toll Settlement Report Specifications document (CSC-N 1.51) were incorporated to create a single Inter-CSC Interface File and Reporting Specifications document which encompasses all files and reports which can be exchanged between E-ZPass Customer Service Centers. 2. The description of Report IAG-14N, Non-Toll Credit Card Charge Back Report, was modified to confirm to the industry definition of a credit card charge back. Changes from CSC 1.51b to CSC 1.51c 3. Updated the description of the ETC_LICENSE_NUMBER field of the Transaction File to clarify that the plate information in the transaction may not relate to the account indicated by the tag information. This was done based on the rules stipulated in the Automated Violation Toll Posting Procedure. Changes from CSC 1.51a to CSC 1.51b 1. Updated the descriptions of the TAG_ACCT_INFO field of the Tag Status File and Tag Status Update File to indicate that bit 24 should be set to zero (0). 2. Updated Processing Requirement #6 of the Transaction File to indicate that the proper RETURN_CODE for skipped file numbers should be ‘06’ and not ‘04’. 3. Removed the Non-Toll ETC_POST_STATUS reconciliation codes from the Transaction Reconciliation File and moved them into the Non-Toll Reconciliation File. 4. Corrected the ETC_OWED_AMOUNT description to reflect the size of the actual column. Originally showed rejected transactions as having “0000000” (seven zeroes) when it should have been “00000” (five zeroes). Also corrected the detail Record Total from 29 to 28 bytes. 5. Updated Processing Requirement #6 of the Transaction Reconciliation File to indicate the proper RETURN_CODE which should be ‘04’ and not ‘06’. 6. Updated Processing Requirement #1 of the Correction File to indicate that the proper RETURN_CODE for skipped file numbers should be ‘06’ and not ‘04’. 7. Corrected the Size of the Detail Record in the Correction Reconciliation File. 8. Updated Processing Requirement #4 of the Non-Toll Transaction File to indicate that the proper RETURN_CODE for skipped files should be ‘06’ and not ‘04’. 9. Updated Processing Requirement #2 of the Non-Toll Reconciliation File to reflect the proper ETC_POST_STATUS code values. 10. Updated Processing Requirement #1 of the Non-Toll Correction File to indicate that the proper RETURN_CODE for skipped file numbers should be ‘06’ and not ‘04’. 11. Corrected Size of the Detail Record in the Non-Toll Correction Reconciliation File. 12. Added a value of ‘07’ to the RETURN_CODE field of the Acknowledgement File to indicate a bad ZIP file structure of other file structure defect. 13. Added Processing Requirement #4 to the Acknowledgement File to refer to Appendix G. 14. Create Appendix G for the Acknowledgement File RETURN_CODE values and their associated processing rules. Changes from 1.51 to CSC 1.51a 1. Changed the document version naming convention from 1.51 to CSC 1.51. This version becomes CSC 1.51a. 2. Amended Description of ETC_POST_STATUS field of the Transaction Reconciliation File (Section 7.4). Codes of ACCB, OLD1 and OLD2 are now reserved solely for toll transactions. Codes ACCC and OLD3 have been added for non-toll transactions. This change applies to all reconciliation files. 3. Amended list of ETC_POST_STATUS codes on which toll settlement is based (Section 7.5 paragraph 3) to eliminate the value of ‘PSNT’ as this is a non-toll code. © 1998-2002 PANYNJ - 88 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 4. Amended list of ETC_POST_STATUS codes on which toll settlement is based (Section 9.5 paragraph 2) to eliminate the value of ‘PSNT’ as this is a non-toll code. 5. Amended list of ETC_POST_STATUS codes on which non-toll settlement is based (Section 12.5 paragraph 3) to only have the value of ‘PSNT’ as this is a non-toll code. 6. Amended list of ETC_POST_STATUS codes on which non-toll settlement is based (Section 14.5 paragraph 2) to only have the value of ‘PSNT’ as this is a non-toll code. 7. Corrected Detail Structure record length total of the Correction File from 114 bytes to 112 bytes. 8. Corrected Detail Structure record length total of the Correction Reconciliation File from 31 bytes to 29 bytes. 9. Corrected the values of the RETURN_CODE field in the Acknowledgement File to correspond to prior versions of the specification. 10. Removed the actual contents of Appendices A, B and C and inserted a reference to the IAG InterCSC Files - Appendix spreadsheet which now contains that information. 11. Added Facility Code 131 to the list of facilities serviced by the NY CSC (008) in Appendix E. Changes from 1.50a to 1.51 1. Reduced the size of the ETC_TOLL_AMOUNT field of the Transaction File. The Correction File is adjusted accordingly. This was done to allow for backward compatibility with version 1.33d. This makes the Non-Toll Transaction File record size different than the Toll Transaction File. It is envisioned that some future version of the specification will bring these two files back to the same format. 2. Added Buffalo Fort Erie Public Bridge Authority (ETC_FAC_AGENCY 013) and Delaware River and Bay Authority Plaza Codes (ETC_FAC_AGENCY 025) in Appendix B. 3. Added Buffalo Fort Erie Public Bridge Authority and Delaware River and Bay Authority Class Codes in Appendix C. 4. Removed pre-01/01/2000 Class Codes for WVPA from Appendix C. Changes from 1.5 to 1.50a 1. Updated the description of the ETC_POST_STATUS field of the Transaction Reconciliation File (Section 7.4) to include a value of RJCX to allow non-toll corrections to be rejected if they constitute a second (or greater) attempt to correct the same transaction. 2. Updated the description of the ETC_OWED_AMOUNT field of the Transaction Reconciliation File (Section 7.4) to clarify that this amount for a correction transaction is the corrected amount and not the net amount of the original and corrected amount. 3. Updated Processing Requirement #6 of the Transaction Reconciliation File (Section 7.5) to set the RETURN_CODE to a value of ‘06’ instead of ‘04’ so as to avoid a conflict. 4. Updated the description of the LIC_NUMBER field of the Customer License Plate File (Section 10.4) to stipulate valid characters. 5. Added Processing Requirement #7 to the Customer License Plate File (Section 10.5) to define the actions required if the same plate information is received from two Home Agencies/CSCs. 6. Updated the File Use of the Non-Toll Transaction File (Section 11.3) to reference valid E-ZPass Plus tags and not tags with a TAG_STATUS of ‘1’. 7. Updated the description of the ETC_VALIDATION_STATUS field of the Non-Toll Transaction File (Section 11.4) to remove the value of ‘2’ (Low Balance) as it was not a valid value for a non-toll transaction. 8. Updated Processing Requirement #3 of the Non-Toll Transaction File (Section 11.5) to handle parking facilities that charge a fee based solely on entry to the facility. 9. Updated the description of the RETURN_CODE field of the Acknowledgement File (Section 15.4) to include the new value of ‘06’ and to redefine the usage of the value ‘04’. 10. Updated Albany Airport Plaza Codes (ETC_FAC_AGENCY 128) in Appendix B. © 1998-2002 PANYNJ - 89 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Changes from 1.41a to 1.5 1. Modified the TAG_ACCT_INFO fields of the Tag Status File and the Tag Status Update File to accommodate E-ZPass Plus applications (both Parking and Non-Parking). 2. Added Processing Requirements #9 and #10 to the Tag Status File to define the setting and handling of the E-ZPass Plus status bits. 3. Updated the description of the ETC_TRX_TYPE field of the Non-Toll Transaction File to include a value of ‘N’ for non-parking transactions. 4. Updated the description of the ETC_POST_STATUS field of the Transaction Reconciliation File to include a value of RJIN to allow non-toll transactions against non-credit card accounts to be rejected for insufficient funds. 5. Added Agency ID 130 (McDonalds) to Appendix A. 6. Updated Appendix B to include plaza codes for McDonalds. 7. Updated Appendix E to include Facility Code 130 in the E-ZPass New York CSC. Changes from 1.41 to 1.41a 1. Added agency 025 (Delaware River and Bay Authority) to Appendix A. Changes from 1.40b to 1.41 1. Reformatted the list of files in the Introduction for better readability. 2. Modified page numbering scheme for appendices. 3. Clarified the definition of the TAG_STATUS fields in the Tag Status File and Tag Status Update File. 4. Updated the description of the ETC_POST_STATUS field of the Transaction Reconciliation File for the value DECL to indicate that it only applies to transactions passed directly through to the credit card. 5. Added Processing Requirement #4 to the Correction File to indicate that a transaction can only be submitted for correction once. 6. Updated the Customer License Plate File descriptions for the LIC_STATE and LIC_NUMBER fields for better error checking. Added Processing Requirement #6 to define processing of invalid records. 7. Updated Processing Requirement #7 of the Non-Toll Transaction File to indicate that each file shall only contain transactions from a single Facility Operator and that a separate file shall be created for each Home Agency. 8. Removed Processing Requirement #8 of the Non-Toll Transaction File. 9. Added Processing Requirement #7 to the Non-Toll Correction File to indicate that a transaction can only be submitted for correction once. 10. Updated Appendix B NJ Turnpike short abbreviation and plaza 17 codes. 11. Added Appendix F, Non-Toll Transaction Flow, as an aid to understanding the grouping and routing of non-toll transactions. Changes from 1.40a to 1.40b 1. Updated Appendix B to include plaza codes for the Pennsylvania Turnpike Commission. Changes from 1.4 to 1.40a 1. Increased the size of the ETC_TOLL_AMOUNT field in the Transaction File from CHAR(5) to CHAR(7) to allow for larger amounts. This increased the record length from 110 to 112 bytes. This in turn will affect the structure of the Correction File accordingly. 2. Increased the size of the ETC_OWED_AMOUNT field in the Transaction Reconciliation File from CHAR(5) to CHAR(7) to allow for larger amounts. This increased the record length from 29 to 31 bytes. This in turn will affect the structure of the Correction Reconciliation File and the Non-Toll Reconciliation File accordingly. 3. Increased the size of the ETC_AMOUNT_DUE field in the Non-Toll Transaction File from CHAR(5) to CHAR(7) to allow for larger amounts. This increased the record length from 110 to 112 bytes. This in turn will affect the structure of the Non-Toll Correction File accordingly. © 1998-2002 PANYNJ - 90 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 4. Section 16 item 4 was modified to remove RCP as a means of file transmission. 5. Appendix D was updated to include PA Turnpike IP address. 6. Added agency 006 (Pennsylvania Turnpike Commission) to Appendix E. Changes from 1.33d to 1.4 1. Removed Processing Requirement #5 of the Transaction File which referred to the processing of parking transactions. 2. Modified values of ETC_POST_STATUS field of the Transaction Reconciliation File to handle parking transactions. 3. Added the Non-Toll Transaction File to allow for the processing of non-toll transactions. A new file was added (as opposed to including these transactions in the Toll Transaction File) due to the possible delays in reconciling non-toll transactions and the desire to not hold up reconciliation of toll transactions. 4. Added the Non-Toll Reconciliation file to allow for the reconciliation of Non-Toll Transaction Files. 5. Added the Non-Toll Correction File to allow for correction of non-toll transactions. 6. Added the Non-Toll Correction Reconciliation File to allow for the reconciliation of Non-Toll corrections. 7. Reformatted Appendix B, Plaza Codes, for readability and created short agency descriptions. Added plaza codes for New Jersey Turnpike and updated several MassPike and South Jersey codes. Also, added plaza codes for PANYNJ and Albany Airport plazas. 8. Updated Appendix D, Inter-CSC Network Topology, to include PTC and to include the Area Code and Exchange of the demarcation points. Changes from 1.33c to 1.33d 1. Modified description of the TAG_ACCT_INFO field of the Tag Status File and the Tag Status Update File to include new discount plans for DRPA (bit 12), SJTA (bit 13) and NJHA (bit 14). 2. Modified description of the ETC_POST_PLAN field of the Transaction Reconciliation File to include the new discount plans for DRPA (00012), SJTA (00013) and NJHA (00014). This would also affect the Correction Reconciliation File. 3. Added MassPort and West Virginia plaza code information to Appendix B. 4. Added MassPort and West Virginia class information to Appendix C. 5. Updated Appendix D to reflect the current status of the IAG Network. 6. Added West Virginia to Appendix E. Changes from 1.33b to 1.33c 1. Fixed numbering problem in Processing Requirement section of the Customer License Plate File. Also, split the second requirement into two distinct requirements (as they were in 1.32a). 2. Added NJHA plaza codes to Appendix B. 3. Corrected several DRPA class code values in Appendix C. Added Footnote 4 to Appendix C. Changes from 1.33a to 1.33b 1. Modified various descriptions of Non-Toll field values to indicate that these are simply reserved values and should not be used in development. Also modified Processing Requirement #5 or the Transaction File to address this issue. 2. Modified Processing Requirement #4 of the Transaction Reconciliation File to refer to the Inter-CSC Settlement Report Specifications. 3. Added Processing Requirement #6 to the Transaction Reconciliation File to handle situations where the file does not correspond properly to the Transaction File. © 1998-2002 PANYNJ - 91 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 4. Added Processing Requirement #4 to the Correction Reconciliation File to handle situations where the file does not correspond properly to the Correction File. 5. Modified the RETURN_CODE value of ‘04’ in the Acknowledgement File to refer to the situation whereby the data contained in a Transaction Reconciliation File (or Correction Reconciliation File) does not match its corresponding Transaction File (or Correction File). Changes from 1.33 to 1.33a 1. Reformatted document to include section numbers and other format changes to improve readability. 2. Renamed ‘Misc. Requirements’ section to ‘Processing Requirements’. 3. Added Processing Requirements to the Tag Status File and Tag Status Update File to state that only tags issued by the CSC should be included in the file. This was done to bring the document in line with current CSC operations. 4. Added Appendix E, CSC/Agency Cross Reference. Modified the ‘Description/Valid Values’ references associated with the fields FROM_AGENCY_ID, TO_AGENCY_ID and ETC_FAC_AGENCY to refer to Appendix E. 5. Reworded General File Requirement #1 to refer to Appendix E. 6. Changed Processing Requirement #3 for the Transaction File to indicate that a credit transaction “may” share information as opposed to “must” share information. 7. Added Processing Requirements to the Tag Status File and Tag Status Update File to indicate that CSCs which issue tags under multiple Agency IDs would create only a single file for all tags and not multiple files by Agency ID. This was done to bring the document in line with current CSC operations. 8. Added Processing Requirements to the Transaction File and Correction File to indicate that CSCs which issue tags under multiple Agency IDs should receive only a single file for all transactions for its tags from a particular Away Agency/CSC and not multiple files by Agency ID. This was done to bring the document in line with current CSC operations. 9. Modified the Valid Values for the LIC_TYPE field of the Customer License Plate File to show asterisks (**) as the valid unused value instead of blanks. This was done to bring the document in line with current CSC operations. 10. Modified Processing Requirement #1 of the Transaction File to indicate that intentional duplicate transactions must have their exit times one second apart. This was done to bring the document in line with current CSC operations. Changes from 1.32a to 1.33 1. Added a value of P to the ETC_TRX_TYPE field of the Transaction File. This value indicates that the transaction occurred at a parking facility as opposed to a toll facility. Updated the description of the ETC_ENTRY_DATE, ETC_ENTRY_TIME, ETC_ENTRY_PLAZA and ETC_ENTRY_LANE fields to account for parking (and other Non-Toll) transactions. Added ‘Misc. Requirement’ #5 to the Transaction File to address parking transactions. 2. Updated ‘Misc. Requirement’ #1 of the Transaction File to indicate that duplicate transactions may be received under certain circumstances. 3. Added ‘Misc. Requirement’ #4 to the Transaction File to clarify the method of filtering license plate transactions. 4. Added the field ICTX_FILE_NUM to the Transaction File header. Header record increased in size form 33 bytes to 39 bytes. Added ‘Misc. Requirement’ #6 to the Transaction File to describe the usage of the file sequence number. 5. Added the field ICTX_FILE_NUM to the header of the Transaction Reconciliation File. Header record increased in size form 33 bytes to 39 bytes. Added ‘Misc. Requirement’ #4 to describe its use. 6. Added values of PSNT and RJNT to the ETC_POST_PLAN field of the Reconciliation File to be used for Non-Toll transactions. Updated ‘Misc. Requirement’ #3 to include PSNT as a value to be included in settlement. © 1998-2002 PANYNJ - 92 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 7. Renamed the Transaction Correction File to the Correction File. 8. Added the field ITXC_FILE_NUM to the Correction File header. Header record increased in size form 33 bytes to 39 bytes. Added ‘Misc. Requirement’ #1 to the Correction File to describe the usage of the file sequence number. 9. Added the Correction Reconciliation File to allow correction transactions to be reconciled and reported as part of settlement. Updated ‘Misc. Requirement’ #3 of the Transaction Reconciliation File to include the Correction Reconciliation File as part of settlement. 10. Added values of 04 and 05 to the RETURN_CODE field of the Acknowledgement File to handle file sequence number problems. 11. Added agency 024 (West Virginia Parkways Authority) to Appendix A. Reserved agency codes 128 through 999 for future non-tag issuing facilities. 12. Updated SJTA (agency 007) and DelDOT (agency 019) plaza information in Appendix B. 13. Highlighted various IAG Class values in Appendix C to indicate those codes which currently cannot be programmed into a tag. 14. IP address for MassPike FTP Host added in Appendix D. Changes from 1.32 to 1.32a 1. Changed all record delimiters in all files from CR (carriage return) to LF (line feed). This allows the files to be viewed/edited with standard software. 2. Updated the Transmission Methodology section to include tag files being sent by Agency 021 (MassPike). 3. Update the Transmission Methodology section to reflect the actual method currently used in naming the check file. It now correctly shows {FILE_NAME}_{FILE_TYPE}.CHECK instead of {FILE_NAME}.CHECK. 4. Added class information for NJTA to Appendix C and filled in missing MTA B&T class information. 5. Added Appendix D – Inter-CSC Network Topology. Changes from 1.31 to 1.32 1. Updated the ‘File Use’ section of the Tag Status Update File to indicate that the file can contain new tags as well as updated information for existing tags. 2. Added a value of PPST to the ETC_POST_STATUS field of the Transaction Reconciliation File. This value indicates that the license plate transaction was successfully posted to an account. 3. Added a value of RJPL to the ETC_POST_STATUS field of the Transaction Reconciliation File. This value indicates that the license plate transaction could not be posted to an account. 4. Updated ‘Misc. Requirement’ #3 of the Transaction Reconciliation File to include PPST as a valid value to be used for settlement. 5. Updated the ‘File Use’ section of the Customer License Plate File to specify the only license plates associated with valid accounts (accounts with at least one tag with a TAG_STATUS of ‘1’ or ‘2’) are to be included in the file. Also updated “Misc. Requirement’ #1 accordingly. 6. Added the field LIC_TYPE to the Customer License Plate File to be used to indicate license plate type. Until the values of this field are determined, it shall be filled with blanks. This increase the record length from 24 to 26 bytes. 7. Updated the Transmission Methodology section to incorporate the latest information on transmission schedules. 8. Added plaza information for MassPike to Appendix B. Also modified heading of ‘Plaza Abbreviation for Customer Statements’ to indicate that the maximum size of this field is three (3) characters. Changes from 1.3 to 1.31 1. Added plaza information for MdTA to Appendix B. © 1998-2002 PANYNJ - 93 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 2. Added class information for MdTA and MassPike to Appendix C. 3. Updated the ‘File Use’ section for the Transaction Reconciliation File to indicate that the file is associated with a single, complete Transaction File, not partial files of multiple files in a single reconciliation file. 4. Updated ‘Misc. Requirement’ #3 of the Transaction Reconciliation File to modify the rules as to which files are included in a months reconciliation. Changes from 1.2 to 1.3 1. Added General File Requirement #3 to define the naming conventions for compressed files. 2. Updated the description of the TAG_SERIAL_NUMBER field in all files to reflect a starting tag serial number value of 00000001 and not 00000000. Some agencies cannot process a tag serial number that is all zeroes. 3. Added ‘Misc. Requirement’ #7 to the Tag Status File to handle the method whereby tags are removed from the Tag Status File. 4. Updated the description of the ETC_ENTRY_PLAZA and ETC_EXIT_PLAZA fields of the Transaction File to specify that the fields are left justified and padded with trailing blanks. Also added Appendix B which lists valid plaza codes for each agency. 5. Updated the description of the ETC_ENTRY_LANE and ETC_EXIT_LANE fields of the Transaction File to specify that the fields are left justified and padded with trailing blanks. 6. Updated the description of the ETC_CLASS_CHARGED field of the Transaction File to specify that it is left justified and padded with trailing blanks. Also added Appendix C which lists the valid class codes for each agency and how they relate. 7. Added a value of RINV to the ETC_POST_STATUS field of the Transaction Reconciliation File. This value indicates that the Home Agency detected invalid data in one or more of the fields in the referenced transaction record. 8. Updated the description of the ETC_POST_PLAN field of the Transaction Reconciliation File to specify the valid values. 9. Added ‘Misc. Requirement’ #3 to the Transaction Reconciliation File to clarify which transactions are settled each month. 10. Increased the length of the ORIG_FILE_NAME_TYPE field of the Acknowledgment File from 25 characters to 50 characters. The record length increased from 52 bytes to 77 bytes. 11. Moved the list of valid agency ID codes from the General File Requirements to Appendix A. Changes from 1.1 to 1.2 1. Added value of NPST to the ETC_POST_STATUS field of the Transaction Reconciliation File. This value indicates that: while the transaction did not post at the Home Agency, the Home Agency still acknowledges that the toll is owed to the Away Agency. 2. Added field of ETC_DEBIT_CREDIT to the Transaction File. This field is used by the Away Agency to indicate whether the toll should be debited from the customer account or credited to the customer account. Also added ‘Misc. Requirement’ #3 to address the use of the field. The record length increased from 109 bytes to 110 bytes. As a result of this change, transmission time of the compressed file on a T-1 line increased from 73 seconds to 74 seconds. 3. Modified length of Transaction Correction File to accommodate the addition of the ETC_DEBIT_CREDIT field in the Transaction File (See #2 above). 4. Added field of ETC_DEBIT_CREDIT to the Transaction Reconciliation File. This field is used by the Home Agency to reflect the ETC_DEBIT_CREDIT originally transmitted in the Transaction File. The record length increased from 28 bytes to 29 bytes. Transmission time was not increased as a result of this change. © 1998-2002 PANYNJ - 94 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications 5. Modified the name of the ETC_POST_AMOUNT field of the Transaction Reconciliation File to be ETC_OWED_AMOUNT. Also modified its description to reflect the fact that the tolls shown in the file indicate amounts owed from the Home Agency/CSC to the Away Agency/CSC. 6. Modified the format of the TAG_AGENCY_ID, TAG_SERIAL_NUMBER and TAG_ACCT_INFO fields of the Tag Status File to convert them from a binary format to a string representation. The record length increased from 9 bytes to 19 bytes. As a result of this change, transmission time of the compressed file on a T-1 line increased from 48 seconds to 102 seconds. 7. Modified the format of the TAG_AGENCY_ID, TAG_SERIAL_NUMBER and TAG_ACCT_INFO fields of the Tag Status Update File to convert them from a binary format to a string representation. The record length increased from 9 bytes to 19 bytes. Impact on transmission time should be negligible. 8. Modified the format of the CUST_TAG_AGENCY_ID and CUST_TAG_SERIAL fields of the Invalid Tag Customer File to convert them from a binary format to a string representation. The record length increased from 257 bytes to 264 bytes. As a result of this change, transmission time of the compressed file on a T-1 line increased from 69 seconds to 71 seconds. 9. Modified the format of the TAG_AGENCY_ID and TAG_SERIAL_NUMBER fields of the Customer License Plate File to convert them from a binary format to a string representation. The record length increased from 17 bytes to 24 bytes. As a result of this change, transmission time of the compressed file on a T-1 line increased from 91 seconds to 128 seconds. 10. Modified description of ETC_VALIDATION_STATUS field of the Transaction File to include asterisk (*) as a valid value if the agency lane system does not report the actual value to its CSC. 11. Modified the File Use sections of the Tag Status File and Tag Status Update File so that all tags associated with accounts held by the Home Agency/CSC are included in the file and not just those tags issued by the Home Agency/CSC. This was done so that tags sold (issued) by one CSC which are later used to open an account at another CSC will be reported by the correct CSC. Also added ‘Misc. Requirement’ #6 to address the instance where an Away Agency/CSC receives the same tag information from two Home Agencies/CSCs. Changes from 1.0 to 1.1 1. Added value of C (Manned/ETC with Carpool confirmation) to the ETC_LANE_MODE field of the Transaction File. This value indicates that: a) the vehicle traversed a Manned/ETC lane; b) the tag was associated with a carpool discount plan based on the most recent tag status information; and c) the toll collector confirmed that the carpool vehicle occupancy rules were fulfilled. 2. Updated description of ETC_READ_PERFORMANCE and ETC_WRITE_PERF fields of the Transaction File to include * as a valid value if this data is unavailable. 3. Added value of * to the ETC_TAG_PGM_STATUS field of the Transaction File. This value indicates that the transaction is for an untagged violation or that the data is unavailable. © 1998-2002 PANYNJ - 95 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix A - Agency Codes A. Agency Codes For the list of Agency Codes, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - A-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix B - Plaza Codes B. Plaza Codes For the list of Plaza Codes, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - B-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix C – Class Codes C. Class Codes For the list of Class Codes, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - C-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix D – Inter-CSC Network Topology D. Inter-CSC Network Topology For the Inter-CSC Network Topology, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - D-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix E – CSC/Agency Cross Reference E. CSC/Agency Cross Reference For the CSC/Agency Cross Reference, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - E-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix F – Non-Toll Transaction Flow F. Non-Toll Transaction Flow For the Non-Toll Transaction Flow, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - F-1 - Version CSC 1.51d Inter-Customer Service Center Interface File and Reporting Specifications Appendix G – Acknowledgement File RETURN_CODE Values G. Acknowledgement File RETURN_CODE Values For the list of Acknowledgement File RETURN_CODE Values, please refer to the latest Spreadsheet entitled: IAG Inter-CSC Files - Appendix YYYY-MM-DD.xls Where YYYY-MM-DD represents the update date of the Appendix document. © 1998-2002 PANYNJ - G-1 - Version CSC 1.51d SM n? w? I Facility Operator to Customer Service Center Interface File and Reporting Specifications Prepared by: The E-ZPass IAG Reciprocity Task Force 03/08/2002 Version FO 1.51c Copyright The Port Authority of New York and New Jersey 2000-2002. All rights reserved. This document contains trade secrets and con?dential information reserved for the use of authorized members of the E-ZPass Interagency Group. No use or disclosure of this document or its contents is authorized without written permission of the Port Authority. Facility Operator - Customer Service Center Interface File Specifications Table of Contents 1.0 INTRODUCTION.................................................................................................... 1 2.0 TRANSACTION PROCESSING ............................................................................ 3 3.0 REPORTING REQUIREMENTS ............................................................................ 3 4.0 GENERAL FILE REQUIREMENTS ....................................................................... 4 5.0 FO TAG STATUS FILE.......................................................................................... 5 6.0 FO TRANSACTION FILE ...................................................................................... 7 7.0 FO DISTRIBUTION FILE ..................................................................................... 11 8.0 FO TRANSACTION RECONCILIATION FILE..................................................... 12 9.0 FO CORRECTION FILE ...................................................................................... 14 10.0 FO CORRECTION RECONCILIATION FILE....................................................... 16 11.0 ACKNOWLEDGEMENT FILE.............................................................................. 17 12.0 TRANSMISSION METHODOLOGY .................................................................... 19 13.0 MODIFICATION HISTORY .................................................................................. 20 A. HOST REPORTS ................................................................................................. 22 B. FACILITY OPERATOR REPORTS...................................................................... 24 © 2000-2002 PANYNJ -i- Version FO 1.51c 1.0 Introduction The Reciprocity document was developed to establish a framework in which E-ZPass Agencies could participate in tag use not directly related to tolls, for example parking fees. It is assumed that any contemplated non-toll activity will fall under the framework of Reciprocity ll. Actual implementation of non-toll processing requires the various Customer Service Centers to develop internal programs and procedures as well as support the IAG File and Report Speci?cations which were developed in response to Reciprocity II. The following ?les constitute a proposed IAG standard ?le structure and protocol with which a Host CSC can communicate with a Facility Operator. The fundamental concept is that transaction ?les from a Facility Operator are split, by the Host CSC, into smaller ?les for processing by each Agency/CSC. Each ?le in that group is subsequently reconciled back to the Facility Operator. The purpose of this document is to establish ?le speci?cation and protocol necessary for a Facility Operator to exchange information with their Host CSC. The ?le format and protocol are based on the IAG inter CSC ?le speci?cation. The interface ?les de?ned are (inter-Agency/CSC ?les are shown in bold): File Name File File Usage Extension FO Tag Status File The F0 Tag Status File is created each day by the Host CSC for each Facility Operator serviced by the Host. The Tag Status File will contain only valid tags per Reciprocity ll. FO Transaction File FNTX The F0 Transaction ?le is created once each day and sent to the Host CSC. This ?le contains all transactions previously accepted by the Facility Operator but not yet processed by the Host. Transaction Files contain original transactions only (not corrections or re-submittals). FO Distribution File FNDX For every FO Transaction File and F0 Correction File received, the Host CSC shall return an F0 Distribution File back to the Facility Operator summarizing the transactions in the FO Transaction/Correction File. The ?le header contains the ?le number from the corresponding FO Transaction/Correction File. There are records, one record for each Home Agency/CSC represented in the FO Transaction/Correction File. The Distribution File provides the Facility Operator with assurance that the transactions in the corresponding Transaction/Correction File have been bundled into the appropriate INTX ?le and sent to that Agency/CSC (including the Host for posting). FO Transaction FNRX The Host CSC will generate FO Transaction Reconciliation File Reconciliation Files for each FO Transaction File, one ?le for each Home Agency/CSC represented in the FO Transaction File (including the Host). These ?les correspond one for one to the INRX reconciliation ?les received from each Home Agency/CSC in response to an INTX ?le. The ?le header contains the corresponding INTX ?le number and there is one detailed record for each transaction reconciled. Per IAG rules, an INRX ?le will not be generated until all transactions in the corresponding INTX ?le have been fully processed. The F0 Distribution File provides the link to the original FO Transaction File. 2000?2002 PANYNJ - 1 - Version F0 1.51c File Name File File Usage Extension FO Correction File FTXN The Facility Operator uses the FO Correction File to resubmit rejected, declined or incorrect transactions*. Original transactions may be resubmitted only once and only if the most recent FO Tag Status ?le indicates that the corresponding tag is valid. The transactions included in a correction ?le may be from any Home Agency and from any time (within the processing time limits). Note: While the FO Correction File is used to make adjustments initiated by the Facility Operator, there is no corresponding ?le to make adjustments initiated by the Host reversals and disputes). These adjustments are made at the CSC and the information is related to the Facility Operator via the Host Reports. FO Correction Reconciliation FRXN The Host CSC will generate FO Correction File Reconciliation Files for each FO Correction File, one ?le for each Home Agency/CSC represented in the FO Correction File (including the Host). These ?les correspond one for one to the IRXN reconciliation ?les received from each Home Agency/CSC in response to an ITXN ?le. The ?le header contains the corresponding ITXN ?le number and there is one detailed record for each transaction reconciled. Per rules, an IRXN ?le will not be generated until all transactions in the corresponding ITXN ?le have been fully processed. The F0 Distribution File provides the link to the original FO Correction File. Acknowledgement File ACK The Acknowledgment File shall be created, by the entity receiving a ?le, to inform the entity which sent the original ?le that the ?le transmitted was received in its entirety. An Acknowledgement File shall be sent for each of the above referenced ?les. 2000?2002 PANYNJ - 2 - Version F0 1.51c 2.0 Transaction Processing 1. The Host CSC shall reject original and corrected transactions according to the IAG Specification, including transactions older than 60 days. 2. Non-toll transactions <$20 will be posted directly to a valid account replenished by a credit card. A transaction that is attempted to be posted to an account that is currently replenished by CASH or CHECK will be rejected as NOCC. 3. A non-toll transaction ≥ $20 will create a separate re-bill request to the credit card processor for the exact amount of the transaction. If the payment is approved by the credit card processor then the payment and the transaction should both be posted to the account. If payment is not approved, then this should be noted on the account (with some means of identifying the associated non-toll transaction), and the transaction rejected as DECL in the INRX (and FNRX) file. 3.0 Reporting Requirements The following reports are defined for the Host and the Facility Operator. Report formats are in Appendix A & B. Host - Two Reports are defined for the Host The Host Agency receives IAG non-toll reports from each Home Agency. These reports indicate the amount that a Home Agency owes to a Host Agency/Facility Operator for a particular settlement period. The reports are based on data in reconciliation (INRX and IRXN) files. For each settlement period, the Host will compile a "Facility Operator Period Transaction Summary Report" (FH-1) of transactions based on Non-Toll Reconciliation (INRX) files acknowledged in the settlement period and a “Facility Operator Period Correction Summary Report” (FH-2)_of transactions based on Non-Toll Correction Reconciliation (IRXN) files acknowledged in the settlement period. Fees and final settlement reports are specific to the particular Host and Facility Operator. Due to the one for one relationship of INRX/IRXN and FNRX/FRXN files, the existing IAG 1.51N reports can serve as supporting documents to reports FH-1 and FH-2. The Host Agency may choose to modify the supporting reports to remove (or add) information. Facility Operator - The Facility Operator will generate four reports. The first two reports, FO-1 and FO-2 are nearly identical in format to FH-1 and FH-2 above. Both reports use the FILE_DATE and FILE_TIME of the corresponding FNRX/FRXN files, to determine those files in the settlement period. This will ensure that they will match the FH-1 and FH-2 reports generated by the Host which uses the acknowledgement date of the corresponding INRX/IRXN files. Note that the definition of the FILE_DATE and FILE_TIME in the FNRX/FRXN file is NOT the same as the definition of those fields in the INRX/IRXN file. The third report, FO-3, is nearly identical in format to IAG-2N. FO-3 provides supporting details for one row of the FO-1 report. The Facility Operator generates one FO-3 report for each row in the FO-1 report. Again, the date used to generate FO-3 is within the FNRX file while IAG-2N uses an acknowledge date. The fourth report, FO-4, is nearly identical in format to IAG-3N. FO-4 provides supporting details for one row of the FO-2 report. The Facility Operator generates one FO-4 report for each row in the FO-2 report. Again, the date used to generate FO-4 is within the FRXN file while IAG-3N uses an acknowledge date. © 2000-2002 PANYNJ -3- Version FO 1.51c 4.0 General File Requirements 1. All files (except for the Acknowledgement File) shall be compressed (ZIPed) using a standard Lempel-Zif compression algorithm which should yield a compression rate of at least 75% (meaning a file will be reduced so that it is only 25% of its original size). 2. When compressed, file names shall be converted from {FILE_NAME}.{FILE_TYPE} to {FILE_NAME}_{FILE_TYPE}.ZIP and all files names shall be created using uppercase characters only. Therefore, when file “008_19971201001015.FTAG” is compressed, the compressed file shall be named “008_19971201001015_FTAG.ZIP”. © 2000-2002 PANYNJ -4- Version FO 1.51c 5Tag Status File File Type: Variable length, LF delimited File Name: Example: Tag status ?le created by NY CSC on 00:10:15 on 12/01/2001 File Use: The F0 Tag Status File shall be created by the Host Agency/CSC to inform the Facility Operator as to the valid tags for that Facility. This ?le contains tags from the entire E-ZPass region. An FO Tag Status File is created each day for each Facility Operator serviced by the Host. The ?le will contain only valid tags per Reciprocity The ?le contains a provision to inform the Facility Operator as to certain discounts or non- revenue status associated with each tag. File Layout: 0 . TYPE FILE agency CSC ?le Count of all tags in ?le. Does not include header record. Values: 00000000 99999999 Values: 00000000 99999999 COUNT STAT3 Not Used F0 Tag Status File - Detail Structure Field Name Type/Size DescriptionNalid Values Tag agency ID. Values: 000 127 Tag serial number. Values: 00000001 16777216 TAG STATUS 1 Valid A string of 24 bits (3 characters) converted to format (6 characters). This ?eld is not de?ned by the IAG and may be de?ned by the Host/Facility operator. DELIMITER LF Record Total 19 Processing Requirements: 1. The transmission of the ?le to the Facility Operator as stipulated in the Transmission Methodology section. 2. In the event that an invalid header record is encountered character data in a numeric ?eld, etc.), the Facility Operator should reject the ?le and notify the Host Agency/CSC via the Acknowledgement File. 3. In the event that a invalid detail record is encountered inappropriate etc), the Facility Operator should skip that record and notify the Host Agency/CSC via the Acknowledgement File. 2000?2002 PANYNJ - 5 - Version F0 1.51c 4. The Host Agency/CSC shall perform appropriate sanity checks on the Tag Status File prior to its transmission to the Facility Operator. Such sanity checks should include testing for unusual growth in the number of tags from previous version 5. The Facility Operator must be aware that the FO Tag Status File contains only valid tags. Therefore, each new file must replace the previous file. Any tag that is not in the file is to be considered invalid. © 2000-2002 PANYNJ -6- Version FO 1.51c 6.0 6.1 6.2 6.3 6.4 FO Transaction File File Type: Variable length, LF delimited File Name: Example: Albany transactions to NYSTA create on 00:10:15 on 12/01/2001 File Use: The F0 Transaction ?le is created once each day and sent to the Host CSC. This ?le contains all transactions previously accepted by the Facility Operator but not yet processed by the Host. Transaction Files contain original transactions only (not corrections or re-submittals). File Layout: TYPE FILE agency ?le FILE DATE Date ?le created. Format: . not Values: 00000000 99999999 File to the Host . Values 000001 999999. Header Total F0 Transaction File - Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of a transaction assigned by the Facility Operator. Values: 000000000000 999999999999 The revenue date of the transaction as determined by the Facility Operator. Format: A code indicating the facility operator at which the transaction occurred. See IAG Inter-CSC ?le spec This ?eld is used to denote the type of transaction. Values: - Parking Transaction The date the vehicle entered the facility. Format: If not provided must be The time the vehicle entered the faciTity. Format: If not provided must be The plaza code of the plaza at which the vehicle entered the facility. If not provided must be This contents of this ?eld are lelt justi?ed and padded with trailing blanks as needed. Refer to IAG Inter-CSC ?le spec for the list of valid values for this ?eld. 2000-2002 PANYNJ - 7 - Version F0 1.51c F0 Transaction File - Detail Structure Field Name Type/Size DescriptionNalid Values The lane code of the lane at which the vehicle entered the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. If not provided must be Standard agency ID read from the tag. Values: 000 - 127 Tag serial number read from the tag. Values: 00000001 16777215 The total number of times the tag was read while in the capture zone. Obtained from the AVI reader. Values: 00 99 if data is unavailable This would be from the exit transaction. The total number of times the tag was written to while in the capture zone. Obtained from the AVI reader. Values: 00 99 if data is unavailable This would be from the exit transaction. The result of the AVI tag program cycle. Obtained from the AVI reader. Values: 8 Success Unveri?ed Failed if data is unavailable This would be from the exit transaction. This ?eld along when used in conjunction with and would allow the Host Agency to gau?g performance over time. The mode the lane was operating in at the time of the transaction. Values: ETC Only (Dedicated) A Manned/ETC This would be from the exit transaction. The tag status from the tag status ?le at the time of the transaction. Values: 1 Good - Used if the lane system does not report this value to its CSC. This would be from the exit transaction. Unused. Must contain Unused. Must contain Unused. Must contain The number of axles associated with the vehicle. Values: 00 99 If not available, should default to the number of axles encoded on the tag. The speed in MPH of the vehicle as it exited the facility. If the Facility Operator cannot/does not measure speed, 000 should be used. Values: 000 999 This ?eld would allow the Home Agency to gauge customer speed activity over time. It also can be used to offset low counts in the and ?elds since vehicles traveling at higher speeds typically have lower performance ?gures. 2000?2002 PANYNJ - 8 - Version F0 1.51c F0 Transaction File Detail Structure Field Name Type/Size DescriptionNalid Values An indicator of whether or not the speed reported in was over the allowable threshold for that plaza/lane. Values: Speed is over threshold Speed is not over The date the vehicle exited the facility. Format: The time the vehicle exited the faciTity. Format: The plaza code of the plaza at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. Refer to IAG Inter-CSC ?le spec for the list of valid values for this ?eld. The lane code of the lane at which the vehicle exited the facility. This contents of this ?eld are left justi?ed and padded with trailing blanks as needed. An indicator as to whether the amount re?ected in is to be debited from the customer account or credited to the customer account. Values: Plus Debit from customer account Space Debit from customer account Minus Credit to customer account The amount due as calculated by the Facility Operator. Values: 0000000 ($00000.00) 9999999 ($99999.99) DELIMITER LF Record Total 1 12 6.5 Processing Requirements: 1. The F0 Transaction File is separated by the Host CSC into individual INTX ?les and sent to the appropriate Home CSC for processing. As such, the Host CSC should expect a corresponding INRX ?le from the Home CSC when all of the transactions in the INTX are processed. As they are received, the INRX ?les are translated into FNRX ?les and sent to the Facility Operator. The Host CSC must produce an FNRX ?le for ALL Home CSCs including those transactions posted to its own accounts. It shall be the responsibility of the Facility Operator to ensure that the FO Transaction File does not contain two (or more) transactions for the same combination in the same within a ?ve (5) minute period. A credit transaction must have it own unique but may share the same agency, plaza, lane and date/time information so that it may be accurately re?ected on the customer account and statement. This duplication of agency, plaza, lane and date/time information should not be considered a duplicate as discussed in requirement This ?eld should NOT be used in lieu of the Correction File. Its primary use is to generate credit transactions in the same ?le as the original debit transaction. Transactions originating at parking facilities will be sent with a value of in the ?eld. Entry information (?elds and is optional for parking transactions in that it may be provided or may be ?lled with asterisks Exit information and must always be provided. The combination of and forms a unique sequential key which will be used by the receiving agency (the Home Agency) to verify that each PC Transaction File was received without any gaps. If the of the current FO Transaction File does not equal the prior received from that Facility Operator plus one (1), the Acknowledgement File shall contain a 2000?2002 PANYNJ - 9 - Version F0 1.51c RETURN_CODE of ‘04’ to signify that a gap in sequence numbers was found. However, the current FO Transaction File should still be processed. If the FNTX_FILE_NUM of the current FO Transaction File is equal to the FNTX_FILE_NUM of a previous FO Transaction File, the Acknowledgement File shall contain the appropriate RETURN_CODE and the current FO Transaction File should not be processed. 6. Transactions shall be routed to a Home Agency/CSC based on the data contained in CSC/Agency Cross Reference found in the IAG Inter-CSC file spec. 7. Each FO Transaction File shall only contain transactions from a single Facility Operator (based on the ETC_FAC_AGENCY code in the detail transactions). © 2000-2002 PANYNJ - 10 - Version FO 1.51c 7Distribution File File Type: Variable length, LF delimited File Name: Example: NYSTA distribution data to Albany created on 04:10:15 on 12/01/2001 File Use: For every FO Transaction or F0 Correction File received, the Host CSC shall return an F0 Distribution File back to the Facility Operator summarizing the transactions in the FO Transaction/Correction File. The ?le header contains the ?le number from the corresponding F0 Transaction/Correction File as well as an indicator as to the ?le type (Transaction vs. Correction). There are records, one record for each Home Agency/CSC represented in the F0 Transaction/Correction File. The Distribution File provides the Facility Operator with assurance that the transactions in the corresponding Transaction/Correction File have been bundled into the appropriate ?le and sent to that Agency/CSC (including the Host) for posting. File Layout: FILE TYPE CSC ?le FILE DATE Date ?le created. Format: Values: 00000000 99999999- type to Values: FNTX - Transaction File Distr bution FTNX - Correction File Distribution associated. Values: 000001 999999. Header Total F0 Distribution File Detail Structure Field Name Type/Size DescriptionNalid Values Standard agency ID code of the Home Agency/CSC to which a set of transactions were sent in an INTX ?le. DIS TX NUM The ?le number in which the transactions were sent_. DIS NUM TRANS The number of transactions sent in the associated ?le. The total dollar value for the transactions sent in the associated INTX Values: 000000000000 (5000000000000) 999999999999 DELIMITER LF Record Total 30 Processing Requirements: 1. The Distribution ?le provides the one-to-many link between FO Transaction/Correction Files and F0 Transaction/Correction Reconciliation ?les 2000?2002 PANYNJ - 11 - Version F0 1.51c 8.0 8.1 8.2 8.3 8.4 F0 Transaction Reconciliation File File Type: Variable length, LF delimited File Name: Example: Consortium reconciliation data to Albany. The date and time represents when the corresponding ?le was acknowledged by the Host (NYSTA) to the Home (Regional Consortium) on 04:10:15 on 12/01/2001). File Use: The Host CSC will generate F0 Transaction Reconciliation Files for each F0 Transaction File, one ?le for each Home Agency/CSC represented in the FO Transaction File (including the Host). These ?les correspond one for one to the reconciliation ?les received from each Home Agency/CSC in response to an ?le. The ?le header contains the corresponding ?le number and there is one detailed record for each transaction reconciled. Per IAG rules, an ?le will not be generated until all transactions in the corresponding ?le have been fully processed. The F0 Distribution File provides the link to the original FO Transaction File. File Layout: 0 . TYPE FILE agency CSC ?le agency CSC ?le Date the corresponding ?le was acknowledged. Format: was not Values: 00000000 99999999- associated. Values: 000001 999999. FO Transaction Reconciliation File Detail Structure Field Name Type/Size DescriptionNalid Values The unique key of the transaction assigned by the Facility Operator. Values: 000000000000 999999999999 The result of the Home attempt to post the transaction. Values: PSNT - Non-Toll transaction posted successfully. DECL - Credit card declined. Only used for transactions passed directly through to the credit card. NOCC Rejected, attempt was made to post the transaction to an account that is no longer a credit card account. RJIN Rejected, the account had insuf?cient funds to post the transaction. Used for non-credit card based accounts. RJCX - Rejected, the transaction is an attempt to correct a transaction which has already been corrected. 2000-2002 PANYNJ - 12 - Version F0 1.51c FO Transaction Reconciliation File Detail Structure Field Name Type/Size DescriptionNalid Values RINV - Rejected, the transaction contains invalid data (6.9., invalid agency as de?ned in IAG lnter-CSC ?le spec Appendix A, invalid plaza as de?ned in Appendix B, invalid class as de?ned in Appendix C, etc.) TAGB - Rejected, tag in bad status lost, stolen, etc.) where transaction date/time is greater than date/time of acknowledgement from that Away Agency/CSC of receipt of full Tag Status File which indicated that the tag was in a Lost/Stolen status. - Rejected, account was in a closed status at the time the post was attempted. This code is used regardless of the status of the account at the time of the transaction. OLD3 - Rejected, old transaction The difference between the date of the transaction and the date the transaction was received by the Home Agency/CSC exceeded that speci?ed in the Non-le Reciprocity Agreement . RJDP - Rejected, duplicate transaction. Usually associated with a skip read or cross lane read where a tagged transaction and license plate transaction exist for the same customer at the same plaza within ?ve (5) minutes. The license plate transaction is rejected as the duplicate. The Facility Operator discount plan used when the transaction was posted. This is only applicable when the Home Agency/CSC offers the Facility Operator discount plans to its customers. Values: 00002 - PANYNJ Non-Revenue If no discount plan is used, this ?eld shall be blank. An indicator as to whether the amount re?ected in is to be applied to the amount owed to the Facility Operator or removed from that amount. Values: Plus Apply to amount owed Space Apply to amount owed Minus (-) Remove from amount owed The amount owed to the Facility Operator. For rejected transac?ons, this would be 0000000. Values: 0000000 ($00000.00) 9999999 69999999) DELIMITER LF Record Total 30 8.5 Processing Requirements: 1. The Host C80 is to send FNRX ?les to the Facility Operator as INRX ?les are received from other CSCs or produced internally when transactions are posted to Host accounts. (See FO transaction File processing requirement 2000?2002 PANYNJ - 13 - Version F0 1.51c 9Correction File File Type: Variable length, LF delimited File Name: Example: Albany transactions to NYSTA create on 00:10:15 on 12/01/2001 File Use: The Facility Operator uses the FO Correction File to resubmit rejected, declined or incorrect transactions". Original transactions may be resubmitted only once and only if the most recent FO Tag Status ?le indicates that the corresponding tag is valid. The transactions included in a correction ?le may be from any Home Agency and from any time (within the processing time limits). FO Correction Files may not be sent more frequently than once per week. Note: While the FO Correction File is used to make adjustments initiated by the Facility Operator, there is no corresponding ?le to make adjustments initiated by the Host reversals and disputes). These adjustments are made at the CSC and the information is related to the Facility Operator via the Host Reports. File Layout: . FILE TYPE agency CSC ?le agency ?le FILE DATE Date ?le created. Format: Count of transactions in the ?le. Does not include header record. Values: 00000000 99999999 to the Host Agency. Values 000001 999999. FO Correction File Detail Structure Field Name Type/Size DescriptionNalid Values A code denoting the reason for the correction. Values: 03 Ignore tagged transaction 04 - Corrected plaza/lane information 05 Corrected amount 06 - Repost attempt requested All other ?elds from the FO All ?elds from the original transaction (refer to F0 Transaction File Transaction File structure for details) will be retransmitted with the appropriate ?elds corrected to their required values. Record Total 114 Processing Requirements: 1. The combination of and forms a unique sequential key which will be used by the receiving agency (the Host Agency) to verify that each FO Correction File was received without any gaps. If the of the current Correction File does not equal the prior received from that plus one (1), the Acknowledgement File shall contain a of ?04? to signify 2000-2002 PANYNJ - 14 - Version F0 1.51c that a gap in sequence numbers was found. However, the current FO Correction File should still be processed. If the FTXN_FILE_NUM of the current FO Correction File is equal to the FTXN_FILE_NUM of a previous FO Correction File, the Acknowledgement File shall contain the appropriate RETURN_CODE and the current FO Correction File should not be processed. 2. Transactions can only be sent in a Correction File once. Subsequent corrections to the same transaction, if required, must be handled manually. 3. The FO Correction File is separated by the Host CSC into individual ITXN files and sent to the appropriate Home CSC for processing. As such, the Host CSC should expect a corresponding IRXN file from the Home CSC when all of the transactions in the ITXN are processed. As they are received, the IRXN files are translated into FRXN files and sent to the Facility Operator. The Host CSC must produce an FRXN file for ALL Home CSCs including those corrections posted to its own accounts. 4. This file can only contain transactions that have been previously submitted via an FO Transaction File. If the Host CSC detects transactions in this file for which a transaction was not previously received in an FO Transaction File, the Host CSC shall reject the entire FO Correction File with a RETURN_CODE of ‘02’ in the corresponding Acknowledgement File. © 2000-2002 PANYNJ - 15 - Version FO 1.51c 10.0 F0 Correction Reconciliation File 10.1 File Type: Variable length, LF delimited 10.2 File Name: Example: Regional Consortium reconciliation to Albany . The date and time represents when the corresponding IRXN ?le was acknowledged by the Host (NYSTA) to the Home (Regional Consortium) (on 04:10:15 on 12/01/2001). 10.3 File Use: The Host CSC will generate F0 Correction Reconciliation Files for each F0 Correction File, one ?le for each Home Agency/CSC represented in the F0 Correction File (including the Host). These ?les correspond one for one to the IRXN reconciliation ?les received from each Home Agency/CSC in response to an ITXN ?le. The ?le header contains the corresponding ?le number and there is one detailed record for each transaction reconciled. Per IAG rules, an IRXN ?le will not be generated until all transactions in the corresponding ITXN ?le have been fully processed. The F0 Distribution File provides the link to the original F0 Correction File. 10.4 File Layout: 0 . TYPE agency ?le agency CSC ?le Date the corresponding IRXN ?le was acknowledged. Format: FILE was not Values: 00000000 99999999 associated. Values: 000001 - 999999. F0 Correction Reconciliation File Detail Structure Field Name Type/Size DescriptionNalid Values Same ?elds as the F0 Same as the F0 Transaction Reconciliation File. Transaction Reconciliation File 10.5 Processing Requirements: 1. The Host CSC is to send FRXN ?les to the Facility Operator as IRXN ?les are received from other CSCs or produced internally when transactions are posted to Host accounts. (See F0 Correction File processing requirement 2000?2002 PANYNJ - 16 - Version F0 1.51c 11.0 Acknowledgement File 11.1 File Type: Fixed length, LF delimited 11.2 File Name: Example: 128_004_2001 Acknowledgement ?le from Albany in response to the NYSTA tag status ?le created on 04:10:15 on 12/01/2001 11.3 File Use: The Acknowledgment File shall be created, by the entity receiving a ?le, to inform the entity which sent the original ?le that the ?le transmitted was received in its entirety. An Acknowledgement File shall be sent for each of the above referenced ?les. 11.4 File Layout: Acknowledgment File - Detail Structure Field Name Type/Size DescriptionNalid Values FILE TYPE ACK Standard agency ID code of the entity which received the ?le referenced in ORIG FILE NAME TYPE. Standard agency ID code of the entity which sent the ?le referenced in ORIG FILE NAME TYPE. The name and type of the ?le being acknowledged as received from the To Agency. Format: where is the name of the ?le being acknowledged and is the type of the ?le being acknowledged. Date ACK ?le created. Format: This is to be used by the To Agency/CSC as the acknowledgement date. Time ACK ?le created. Format: This is to be used by the To Agency/CSC as the acknowledgement time. RETU A code indicating the status of the ?le being acknowledged. Values: 00 File was successfully received and veri?ed. 01 Header record count does not match the number of detail records found in the ?le. 02 Detail record(s) found with invalid data. 03 Not Used. 04 Transaction Reconciliation File (or Correction Reconciliation File) does not match corresponding Transaction File (or Correction File). 05 Duplicate ?le sequence number. 06 Gap in sequence number. 07 - Invalid ZIP ?le or other ?le structure defect Refer to Appendix for the processing rules associated with the various RETURN CODE values. DELIMITER LF Detail Total 77 11.5 Processing Requirements: 1. This ?le shall contain a single record only. For each ?le received by the From Agency/Facility Operator, the From Agency/Facility Operator shall generate an Acknowledgement File and transmit the ?le back to the To Agency/Facility Operator. 2000?2002 PANYNJ - 17 - Version F0 1.51c 2. The FILE_DATE and FILE_TIME fields shall be used by the To Agency/Facility Operator as the acknowledgement date/time of the transmitted file. The To Agency/Facility Operator shall be able to support an optional ‘grace period’ (for each From Agency/Facility Operator) which the To Agency/Facility Operator shall add to the FILE_DATE and FILE_TIME to use as the acknowledgement date/time. 3. The From Agency/Facility Operator should generate a report showing any detail records that were skipped due to invalid data (RETURN_CODE = ‘02’) and should have this report available for the To Agency/Facility Operator if needed. © 2000-2002 PANYNJ - 18 - Version FO 1.51c 12.0 Transmission Methodology 1. The files shall be transmitted on a nightly basis. 2. Transmission shall be via FTP. 3. Upon completion of each file’s transmission, the sending entity shall transmit a ‘check’ file whose name shall be comprised of the name and file type of the file to which it is associated but with a file extension of ‘CHECK’ (e.g., {FILE_NAME}_{FILE_TYPE}.CHECK). The receiving entity shall wait until it detects the presence of the ‘check’ file to begin processing the associated data file. For example, after the Tag Status File 004_19971201041015.FTAG is transmitted, the sending Agency shall transmit a ‘check’ file of 004_19971201041015_FTAG.CHECK. The ‘check’ file shall contain a single 80 character record whose contents shall be the name and extension of the file for which the ‘check’ file is associated. This will eliminate the situation where a receiving entity begins processing a file before its transmission was complete. © 2000-2002 PANYNJ - 19 - Version FO 1.51c 13.0 Modification History Changes from FO 1.51b to FO 1.51c 1. Corrected the record length for the FO Distribution File detail record (Section 7.4). 2. Corrected the record length for the FO Transaction Reconciliation File detail record (Section 8.4). 3. Added Processing Requirement #4 to the FO Correction File (Section 9.5) to indicate that the file can only contain records for transactions previously submitted via an FO Transaction File. 4. Corrected the FO Correction Reconciliation File header record (Section 10.4) field FTXN_FILE_NUM to be ITXN_FILE_NUM as described in the text (Section 10.3) 5. Corrected the record length for the FO Correction Reconciliation File detail record (Section 10.4). 6. Updated the list of RETURN_CODE values in the Acknowledgement File (Section 11.4) to coordinate with the IAG specs. Added Appendix C to described the processing rules for the various RETURN_CODE values. Changes from FO 1.51a to FO 1.51b 1. Updated the Reporting Requirements (Section 3.0) to provide for a more comprehensive collection of settlement reports for Transactions and Corrections. 2. Modified the FO Distribution File so that it could be used for both Transaction and Correction Files. 3. Added Processing Requirement #3 to the FO Correction File to indicate that it should be split into various corrections files when transmitted to the various Home Agencies. 4. Changed the definition of the date and time fields in the FO Correction Reconciliation File to indicate the ack date of the corresponding IAG IRXN file. This ensures that settlement reports generated by the Facility Operator will tie to the IAG-3 reports for the same time period. 5. Added Processing Requirement #1 to the FO Correction File to indicate that reconciliation files should be sent to the FO as they are received from the Home Agencies. 6. Added RETURN_CODE value of ‘06’ to the Acknowledgement File in keeping with the changes in other IAG specifications. 7. Updated Appendix A to reflect the new reporting requirements. 8. Updated Appendix B to reflect the new reporting requirements. Changes from 1.51F to FO 1.51a 1. Changed the document version naming convention from 1.51F to FO 1.51. This version becomes version FO 1.51a 2. Changed the definition of the date and time fields in the FO Transaction Reconciliation File to indicate the ack date of the corresponding IAG-INRX file. This ensures that settlement reports generated by the Facility Operator will tie to the IAG-2 reports for the same time period. 3. Modified the list of ETC_POST_STATUS code values of the FO Transaction Reconciliation File to match CSC 1.51a. 4. Added a value of ‘6’ to the RETURN_CODE field of the Acknowledgement File to match CSC 1.51a. 5. Renamed the report generated by the Host (formally FO-1) to FH-1 (Facility Host). Adopted the naming convention of FO for those reports generated by the Facility Operator. 6. Added to the appendix, three reports required of the facility operator, FO-1 and FO-2 and FO-3. These reports are discussed in section 3.0. 7. Clarifications and typo corrections Changes from 1.50F to 1.51F 1. No changes. Version number changed for consistency with IAG file spec. © 2000-2002 PANYNJ - 20 - Version FO 1.51c Changes from 1.40 to 1.50F 1. Removed the transaction processing requirement from section 2.0 that required the conversion of a "credit card" account to a "cash" account if a direct credit card charge was declined. This is method of handling accounts is considered to be CSC specific and not an IAG issue. 2. Redefined the TAG_ACCT_INFO field in the FO Tag Status File as a free field for use by the Host and Facility Operator. 3. Added reconciliation codes RJIN and RJCK to the FO Transaction Reconciliation File. 4. Added the columns Trans Fee and Srvc Fee to the Facility Operator Period Summary Report shown in Appendix A. Inclusion of these columns is left to the discretion of the Host agency. Added text to describe the report. 5. Removed Appendix A (Agency Codes); Appendix B (Plaza Codes) and Appendix D (Transaction Flow) as this same information is in the IAG Inter-CSC file spec. The Facility Operator Period Summary Report is now Appendix A. 6. Corrected various typos and used n as opposed to N to represent a variable. © 2000-2002 PANYNJ - 21 - Version FO 1.51c A. Host Reports Report FH-1 Ver 1.51b Facility Operator Period Transaction Summary Report INRX Files Acknowledged in: Settlement Period: 01/01/2001 to 01/31/2001 Report Date: 02/05/2001 15:32 Generated by Host Agency: New York State Thruway Authority Non-Toll Transaction payments due to Facility Operator: Albany Airport Agency Name Regional Consortium New York State Thruway Authority Š Š Š Port Authority of New York and New Jersey Total Agency Code 022 004 005 Total Trans Trans Fee PSNT Count PSNT AMT Srvc Fee DECL Count DECL AMT NOCC Count NOCC AMT Reject Count Reject AMT 1207 4057 1194 4049 35503.10 89100.00 3 2 170.00 40.00 3 1 30.00 10.00 7 5 131.50 136.00 850 846 21970.00 5 200.00 3 21.00 1 45.00 6089 146573.10 10 410.00 7 61.00 13 312.50 6114 This report ties directly to IAG-2N (Reconciliation Report) with the exception of the Trans Fee (Transaction Fee) and Srvc Fee (Service Fee) columns which represent the fee charged to the Facility Operator by the Host and are not necessarily the same as those reflected in IAG-2N. The inclusion of the Trans Fee and Srvc Fee columns is optional in this report. © 2000-2002 PANYNJ - 22 - Version FO 1.51c Report FH-2 Ver 1.51b Facility Operator Period Correction Summary Report IRXN Files Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Host Agency: New York State Thruway Authority Non-Toll Correction payments due to Facility Operator: Albany Airport _____________________________________________________________________ Agency Agency Code Total Count PSNT ORG NEW Final Reject Count Final Reject AMT NET Regional Consortium New York State Thruway Authority Š Š Š 022 004 Š Š Š 5 4 Š Š Š 24.00 10.00 Š Š Š 35.00 8.00 Š Š Š 11.00 (2.00) Š Š Š 0 1 Š Š Š 0.00 3.00 Š Š Š Port Authority of NY/NJ 005 ###,### ###,###.## ###,###.## ###,###.## ###,### ###,###.## 159.00 1 3.00 Settlement Total 109 This report ties directly to IAG-3N (Correction Reconciliation Report). © 2000-2002 PANYNJ - 23 - Version FO 1.51c B. Facility Operator Reports Report FO-1 Ver 1.51b Facility Operator Period Transaction Summary Report FNRX Files with corresponding INRX Acknowledged in: Settlement Period: 01/01/2001 to 01/31/2001 Report Date: 02/05/2001 15:32 Generated by Facility Operator : Albany Airport Non-Toll Transaction payments due to from Host: New York State Thruway Authority Agency Name Regional Consortium New York State Thruway Authority Š Š Š Port Authority of New York and New Jersey Total © 2000-2002 PANYNJ Agency Code 022 004 Š Š Š 005 Total Trans Trans Fee PSNT Count PSNT AMT Srvc Fee DECL Count DECL AMT NOCC Count NOCC AMT Reject Count Reject AMT 1207 4057 1194 4049 35503.10 89100.00 3 2 170.00 40.00 3 1 30.00 10.00 7 5 131.50 136.00 Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š Š 850 846 21970.00 5 200.00 3 21.00 1 45.00 6089 146573.10 10 410.00 7 61.00 13 312.50 6114 - 24 - Version FO 1.51c Report FO-2 Ver 1.51b Facility Operator Period Correction Summary Report FRXN Files with corresponding IRXN Acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Facility Operator: Albany Airport Non-Toll Correction payments from Host Agency: New York State Thruway Authority _____________________________________________________________________ Agency Agency Code Total Count PSNT ORG NEW Final Reject Count Final Reject AMT NET Regional Consortium New York State Thruway Authority Š Š Š 022 004 Š Š Š 5 4 Š Š Š 24.00 10.00 Š Š Š 35.00 8.00 Š Š Š 11.00 (2.00) Š Š Š 0 1 Š Š Š 0.00 3.00 Š Š Š Port Authority of NY/NJ 005 ###,### ###,###.## ###,###.## ###,###.## ###,### ###,###.## 159.00 1 3.00 Settlement Total © 2000-2002 PANYNJ 109 - 25 - Version FO 1.51c Report FO-3 Ver 1.51b Facility Operator Transaction Reconciliation Detail Report FNRX Files with corresponding INRX files acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Facility Operator: Albany Airport Non-Toll Transaction payments from Home Agency: Regional Consortium Due to Host Agency: NYS Thruway Authority For payment to Facility Operator - Albany Airport FNRX_FILE INRX ACK Date Total Trans Count Trans Fee PSNT Count PSNT AMT 022_128_19990102010901.FNRX 022_128_19990105012448.FNRX 022_128_19990106011057.FNRX 022_128_19990106011458.FNRX 1/3/99 1/7/99 1/8/99 1/8/99 31 56 75 07 29 55 75 07 1,086.00 557.20 662.30 425.80 022_128_19990107022140.FNRX 1/9/99 59 59 1,014.40 022_128_19990107215531.FNRX 1/9/99 55 55 957.30 022_128_19990109022225.FNRX 1/11/99 22 22 839.70 022_128_19990110051614.FNRX 1/12/99 08 08 847.10 022_128_19990110052141.FNRX 1/12/99 33 33 668.80 022_128_19990110220253.FNRX 1/12/99 56 56 1,008.30 022_128_19990111215735.FNRX 1/13/99 41 41 1,022.70 022_128_19990112215445.FNRX 1/14/99 82 82 843.20 022_128_19990114215618.FNRX 1/16/99 6 6 21.60 022_128_19990114215902.FNRX 1/16/99 12 12 1,506.70 022_128_19990114220222.FNRX 1/16/99 65 65 887.20 022_128_19990115220013.FNRX 1/17/99 34 34 1,509.30 022_128_19990116215041.FNRX 1/18/99 55 55 1,088.80 022_128_19990118215434.FNRX 1/20/99 83 83 1,595.30 022_128_19990120214231.FNRX 1/22/99 87 85 1,057.50 022_128_19990123031220.FNRX 022_128_19990123215019.FNRX 1/25/99 1/25/99 28 29 27 24 5,277.50 1,416.20 022_128_19990124215314.FNRX 1/26/99 90 90 1,692.50 022_128_19990125215216.FNRX 1/27/99 06 04 1,273.40 022_128_19990128015547.FNRX 1/30/99 30 30 1,417.90 022_128_19990129215839.FNRX 1/31/99 69 69 1,741.80 022_128_19990129220005.FNRX 1/31/99 29 29 1,507.60 022_128_19990130215427.FNRX 1/31/99 58 58 1,756.30 022_128_19990131215514.FNRX 1/31/99 01 01 1,820.70 1207 1194 35,503.10 Settlement Total © 2000-2002 PANYNJ - 26 - SVC Fee @ 2.30% DECL Count DECL AMT NOCC NOCC Count AMT 2 2 1 48.00 45.00 3 38.50 0 20.00 1 50.00 2 120.00 3 170.00 Other Other Reject Reject Count AMT 1 10.00 1 3 30.00 7 131.50 Version FO 1.51c Report FO-4 Ver 1.51b Facility Operator Correction Reconciliation Report FRXN Files with corresponding IRXN files acknowledged in: Settlement Period: 01/01/1999 to 01/31/1999 Report Date: 02/05/1999 15:32 Generated by Facility Operator: Albany Airport Non-Toll Correction payments from Home Agency: Regional Consortium Due to Host Agency: New York State Thruway Authority For payment to Facility Operator: Albany Airport _____________________________________________________________________ IRXN ACK Date Total Count PSNT ORG NEW Final Final Reject Reject Count AMT NET FRXN_FILE 022_128_19990102010901.FRXN 022_128_19990105012448.FRXN 022_128_19990106011057.FRXN Settlement Total © 2000-2002 PANYNJ 01/02/1999 01/05/1999 01/06/1999 5 24.00 35.00 11.00 4 10.00 8.00 (2.00) 100 825.00 975.00 150.00 0 1 0 0.00 3.00 0.00 109 1 3.00 159.00 - B-1 - Version FO 1.51c C. Acknowledgement File Return Codes Acknowledgement File Return Codes Successfully Recon File does not Received and Header/Detail Count Invalid Detail match the Duplicate File Gap in Sequence Bad Zip File and Verified Discrepancy Records Found n/a transaction ?le Sequence Number Number Other Issue Do not process Do not process Do not process Process Do not process FNTX Process n/a n/a (1 (6) (2X4) Do not process Do not process Do not process Process Do not process (1x2x4) (6) (M) Do not process Do not process Do not process Do not process Do not process FN DX Process n/a n/a (1 (2X4) FNRX Process Do not process Do not process a Do not process Do not process a Do not process (1 Do not process Do not process Do not process Do not process Do not process FRXN rocess a ?1 Do not process Do not process Do not process FTAG Process n/a n/a n/a n/a (3X6) (2X4) Notes: (1) (2) (3) (4) (5) (6) Receiving Agency/CSC needs to indicate at least the ?rst invalid record in a report which can be made available to the Originating Agency/CSC Originating Agency should rename new ?le (including Header) to be unique Receiving Agency/CSC should utilize the previous valid ?le. Originating/Receiving Agency/CSC should escalate after days. Originating Agency/CSC should investigate, repair ?le as needed and resend File should not be included on any settlement reports Originating Agency/CSC should investigate 2000-2002 PANYNJ Version F0 1.51c APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 1 2 Correspondence Name Annual Permit Plan Renewal Application Staten Island, Rockaway Resident Program Applicable Authorities NYSTA Credit Card Authorization Form Appendix M Page 1 of 9 To allow customer to renew annual permit. Triggering Data Elements Event Sent annually to • To Customer: Permit Holders o Current Account Balance TBTA To allow customer to certify that they are eligible for the resident program & certify vehicle ownership if not registered to applicant Customer applies for resident program ALL To allow customer to designate a new credit card and authorize automatic replenishment Previous credit card replenishment was not successful. Resident application vehicle owner certification form 3 Purpose • From Customer: o Number of permit Plans on account o Payment method o CC # (if applicable) o Expiration Date (if applicable) o Signature • Date • Customer provides: o Name o License plate # o Signature o Date o Owner of the vehicle (if different from applicant) • Data on Notice (from CSC) o Date of Notice o Account Name o Account Number o Previous CC number • Data Requested from customer: Other Information The notice shall provide a mechanism for the customer to return the necessary information. This application has two sections. One part is for applicants who own the vehicle being registered for the program. The other part is for applicants who are residents but use a vehicle owned by someone else. Name, Address, and Fax # of contact at CSC where form can be sent or faxed. Phone # of contact for questions. Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # Correspondence Name Applicable Authorities Purpose Triggering Event Staten Island Resident Car Pool Ticket Book Order Form TBTA 4b Sticker Certification TBTA 5 Close Account Request Form ALL Appendix M Page 2 of 9 To allow a Staten Island resident to apply for a Car Pool ticket book To allow customer to close account Other Information o o o o using the new card 4a Data Elements Customer needs additional car pool tickets CC Number Expiration Date Amount of one-time charge Number of replenishment that one-time charge covers o Customer signature o Date • Customer provides: o License Plate # o Vehicle owner’s name o Address Customer applies for a resident sticker Same as above Customer • Customer provides: chooses to close o Name an account o Address o Account # o Tag numbers o Reason for account closure (check boxes) o Signature o Date Refunds to be made by same method used to replenish account, i.e. credit if credit card, check if check. Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 6 Correspondence Name Applicable Authorities Credit Adjustment Notice ALL 7 Credit Card Decline Notice ALL Purpose To notify customer that a credit adjustment has been made to account To notify a customer that a credit card replenishment failed Triggering Event Various events requiring an adjustment, e.g. toll dispute, tag fee dispute. Replenishment failure Data Elements • • • • • • • Other Information Name Address Amount of adjustment Reason for adjustment Account number Date of notice New account balance Data on Notice (from CSC): • Name • Address • Date of Notice • Account number • Credit Card # • Current account balance The notice shall provide a mechanism for the customer to return the necessary information. Data Requested from Customer: • Credit Card Type • Credit Card # • Expiration Date • Initial Payment Amount • Signature • Date Appendix M Page 3 of 9 Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 8 9 Correspondence Name Credit Card Expiration Notice Applicable Authorities ALL Returned Check Notice ALL Appendix M Page 4 of 9 Purpose Used to notify customer that CC will soon reach its expiration date. Use to notify a customer of a returned check and that a fee is charged. Triggering Event Upcoming CC expiration Returned Check Data Elements Other Information Data on Notice (from CSC): • Date of notice • Customer Name • Customer Address • Account number • Credit Card # • Date of CC expiration • Date response is requested from customer Data Requested from customer: • Indication of new card or only new exp. date • CC type • CC number • Expiration Date • Signature • Date Data on Notice (from CSC): • Customer Name • Customer Address • Date of Notice • Account number • Returned Check Amount • Current Balance Data Requested from Customer: • Credit Card Type • CC number • CC Expiration Date • Signature • Date The notice shall provide a mechanism for the customer to return the necessary information. Customer is encouraged to provide a CC or pay with check or cash at a walk-in center only. Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 10 10A Correspondence Name Missing information letter Account Closure Appendix M Page 5 of 9 Applicable Authorities ALL Purpose Triggering Event Used to request Missing missing signature, acct information number, CC from a customer digits &/or expiration date, tag number, Used to request vehicle info, missing demographic information info. from a customer trying to close an account Data Elements Other Information Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 11 Correspondence Name Replenishment Amount Evaluation Notice Applicable Authorities ALL 12 Password/PIN Notice ALL 13 Profile Notice ALL Appendix M Page 6 of 9 Purpose To notify customer of revised replenishment amount Used to provide customer with password and PIN Used to give account/profile information to customers and allow them to correct any incorrect information Triggering Event Change in replenishment amount based on periodic review of account usage Customer request for password and/or PIN New customer Data Elements • • • Other Information Customer Name Customer Address New Replenishment Amount Customer can choose to return a portion of the letter to give: • Credit Card Type • Credit Card # • Expiration Date • Signature • Date • • • • • • • • • • • • • • Customer Name Address Password PIN Date Account number Plans # of interior tags # of exterior tags # of vehicles Customer Address Daytime Phone number Evening Phone number Statement Type Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # Correspondence Name Applicable Authorities Purpose Triggering Event Data Elements • • • • • • • • • • • • • • • 14 Request for Change of Account Information Appendix M Page 7 of 9 ALL To allow a customer to give revised account information Customer request Other Information E-mail address Tag number(s) Tag color(s) Tag Specific Plan(s) Vehicle Type(s) Plate Number(s) Plate State(s) Make(s) Model(s) Clerk ID Initial Payment Amount Replenishment Method CC # CC Expiration Date Account Opening Date Data Customer Provides: • Customer name • Account # • Signature • Date Data Customer may change: • Customer Address • Customer Telephone (Day) • Customer Telephone (Night) • Delete or Change Vehicle (Plate #, State, Make, Model) • Old PIN • New PIN Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # Correspondence Name Rockaway Resident Notice Applicable Authorities TBTA 16 Staten Island Resident Notice TBTA 17 Staten Island/Rockaway Resident Missing Information Notice TBTA 18 Rockaway Resident Removal Notice TBTA 19 Staten Island/Rockaway Resident Program Application TBTA 15 Appendix M Page 8 of 9 Purpose To provide information and instructions on the Rockaway Resident program To provide information and instructions on the Staten Island program To obtain information missing from resident program applications To inform customers they have been removed from the Rockaway program To inform prospective customers about the program, instructions for submitting the application, and the application Triggering Event Customer inquiry about Rockaway Resident program Customer inquiry about Staten Island Resident program Incomplete application Data Elements Other Information • • • Customer Name Customer Address Date Customer became ineligible for the program • • • • Customer Name Customer Address Date Account number Customer is interested in the program Information requested from Customer: • Name • Address • (Daytime) Phone number • Signature • Date • License Plate If customer does not provide license plate, must provide utility bill, driver’s license or cable bill as alternative validation of eligibility. Release Version 6/05 APPENDIX M MINIMUM REQUIRED CUSTOMER COMMUNICATIONS # 20 Correspondence Name Staten Island Resident Removal Notice Appendix M Page 9 of 9 Applicable Authorities TBTA Purpose To inform customers they have been removed from the Rockaway program Triggering Event Customer became ineligible for the program Data Elements • • • • Customer Name Customer Address Date Account number Other Information Customer will provide license plate verification, or utility bill, driver’s license or cable bill Release Version 6/05 APPENDIX N ACCOUNT FINANCIAL STATUS Account Financial Status Auto Pay Description Any account secured by a credit, debit card or ACH regardless of the prepaid toll balance. Good Any account where the prepaid balance is higher than the low balance threshold. Low Balance Any account replenished by check or cash where the prepaid balance is less than the low balance threshold and more than $-15.00. Bad Any account where the prepaid balance is less than $-14.99 for 30 consecutive days or less. Revoked Warning Any account where the prepaid balance is less than $-14.99 for more than 30 consecutive days but less than 60 consecutive days. Revoked Final Collections Collections - Legal Closed Any account where the prepaid toll balance was less than $-14.99 for at least 60 consecutive days with the exception of some accounts with special plans. Any account that has been sent to a collection agency. Any account that has been referred for legal action. Any account that has been closed. NOTE: The Authorities reserve the right to change or add to these statuses. Appendix N Revised 6/05 Appendix O Sample Statement www.e-zpassNY.com New York Service Center Statement Date: Account #: Tag Deposit: Activity for: Replenishment Method: Credit Card Number: Replenishment Amount: 02/06/2001 123456789 $0.00 01/01/01 - 02/01/01 AMEX XXXX-XXXX-XXXX -1243 Exp. Date: 10/2009 $25.00 Insert statement message here. POSTING TRANSACTION ENTRY DATE DATE TAG NUMBER AGENCY PLAZA DATE 01/03/01 12/30/00 00412345678 MASSPIKE 14 12/30 01/05/01 01/01/01 00412345678 ALB AIR B 01/01 01/08/01 01/04/01 00412345680 MASSPIKE 1 01/04 01/09/01 01/08/01 00412345681 PA NY&NJ 01/10/01 01/10/01 00412345679 MTA B&T 01/11/01 01/07/01 00412345680 MASSPIKE 1 01/07 01/11/01 01/10/01 00412345679 MCD 01/12/01 01/11/01 00412345680 PA NY&NJ 01/13/01 01/12/01 00412345681 NYSTA 01/14/01 01/13/01 00412345681 PA NY&NJ 01/15/01 01/14/01 00412345683 MTA B&T 01/15/01 01/16/01 CREDIT CARD REPLENISHMENT 01/15/01 01/10/01 00412345680 MASSPIKE 14 01/10 01/15/01 01/13/01 00412345682 NYSTA 01/16/01 01/14/01 00412345682 PA NY&NJ 01/17/01 01/15/01 00412345684 NYSTA 30 01/15 01/18/01 01/14/01 00412345680 MASSPIKE 14 01/14 01/18/01 01/16/01 00412345685 NYSTA 01/18/01 01/17/01 00412345686 NYSBA 01/21/01 01/21/01 CREDIT CARD REPLENISHMENT 01/21/01 01/18/01 00412345687 NJTA 1 01/18 01/21/01 01/19/01 00412345688 PA NY&NJ TIME 08:30 05:00 06:00 06:00 08:30 08:00 08:30 07:00 EXIT PLAZA DATE 1 12/30 B 01/01 14 01/04 GWU 01/08 VNB 01/10 14 01/07 MC1 01/10 GWB 01/11 GIN 01/12 HT 01/13 VNB 01/14 TIME 06:00 12:00 08:30 08:30 0700 08:30 12:30 0330 15:00 15:45 14:00 PLAN E-ZPASS Off-Peak COMMUTER PA Carpool RESIDENT E-ZPASS Peak E-ZPASS E-ZPASS 1 GIS BB 15 1 TZB NBB 01/10 01/13 01/14 01/15 01/14 01/16 01/17 06:00 22:00 17:45 14:30 06:00 19:00 11:00 E-ZPASS RESIDENT SIB Commuter COMMUTER E-ZPASS CARPOOL COMMUTER 9 LT 01/14 01/19 10:00 05:00 E-ZPASS Off-Peak CL 1 3 1 1 1 1 1 1 1 1 1 AMOUNT $2.70 $7.00 $2.70 $5.00 $7.00 $2.70 $4.87 $10.50 $0.13 $1.00 $3.20 $25.00 $2.70 $0.09 $2.50 $4.95 $2.70 $0.50 $0.75 $25.00 $7.60 $4.00 PREPAID TOLL BALANCE Beginning Balance Tolls, Non-Tolls and Fees Payments/Credits Ending Balance E-ZPass Plus BALANCE $33.30 $26.30 $23.60 $18.60 $11.60 $8.90 $4.03 -$6.47 -$6.60 -$7.60 -$10.80 $14.20 $11.50 $11.41 $8.91 $3.96 $1.26 $0.76 $0.01 $25.01 $17.41 $13.41 $ --$ +$ $ 36.00 72.59 50.00 13.41 All non-toll charges of $20 or greater that appear in this section have been charged directly to your credit card and have had no effect on your E-ZPass Prepaid Toll balance. TRANSACTION TAG ENTRY DATE NUMBER AGENCY PLAZA 01/11/01 00412345680 KDY AIR C 01/19/01 00412345680 NWK AIR C DATE 01/11 01/18 TIME 08:00 23:00 EXIT PLAZA DATE C 01/11 C 01/19 TIME 08:00 08:00 AMOUNT $24.00 $27.00 E-ZPASS CUSTOMER SERVICE CENTER: P.O. BOX 149002, STATEN ISLAND, NEW YORK 10314-9002 WEBSITE: www.e-zpassNY.com PHONE: 1-800-333-TOLL (8655) TDD/TTY: 1-800-772-7935 FAX: 1-718-390-9772 Facility Description GWB - George Washingto Bridge Appendix O Release Version 6/05 INDIVIDUAL Y D W ALL STANDARD This plan should be defaulted to an 4 Individual Account Type unless otherwise noted. BUSINESS N/A COML N/A P A Y N O 1 NYREM Y N O Account applicable Plan. Only one tag 1 allowed on an Individual Account with this Plan unless otherwise approved by NYSTA N/A Account applicable Plan used for Agency fleet vehicles and some state non-revenue accounts. NYSTA speed suspensions do not apply to an account with this Plan type. P A U N/A N/A Y D A U Y P A U N/A N/A N/A N/A This Plan is intended to provide nonrevenue status for approved government accounts. Currently applies to the Grand Island Bridges N/A Tag specific plan that only applies to the 4 ticketed portion of the Thruway. Multiple plans/tags can be on the same account. N/A N/A W Account applicable Plan. Carpool Plan at the TZ Bridge Plaza for customers that 4 utilize a staffed lane. Dedicated lane transaction is charged the TZCOM fare. Unused commuter trips apply. N/A N/A D W Account applicable Plan. Commuter Plan 4 at TZ Bridge Plaza. Unused commuter trips apply. N/A N/A Y D W 4 Account applicable Plan. Commuter Plan at Grand Island Bridge Plazas. Unused commuter trips apply. N/A N/A GIR Y D W Account applicable Plan. Resident Plan at 4 Grand Island Bridge Plazas. Proof of residency required. N/A N/A NYSBA Y D W Tag specific Plan. Commuter Plan at all 1 NYSBA Plazas. Unused commuter trips apply. NYNRNB Y D W U N A U NY12 Y D W TZCPL Y D TZCOM Y GIC NYSBA NYSTA Y Page 1 of 2 Account specific plan. Non-revenue Plan at the Newburgh-Beacon Bridge Plaza. COMMENTS NON-REVENUE N/A N/A NYNRTH AP TA PL G ICA D EP BL E TA OS IT G /F C M E O AX LO E R # TA G S TS M EN O M C COMMERCIAL N/A Y AP TA PL G ICA D EP BL E TA OS IT G /F C M E O AX LO E R # TA G S M EN O M C BUSINESS U Account applicable Plan that has variable NYSTA plaza limits. Only one tag allowed on an Individual Account with this Plan unless otherwise approved by NYSTA. NYNRL NYNRLB Y TS AP TA PL G ICA D EP BL E TA OS IT G / M CO FEE AX LO R # TA G S TS M EN O M C S PL AN AP TA PL G ICA D EP BL E TA OS IT G / M CO FEE AX LO R # TA G S APPENDIX P PLAN MATRIX N N/A N N/A Appendix P Release Version 6/05 MTA B&T PANYNJ INDIVIDUAL BUSINESS AP TA PL G ICA D EP BL E TA OS IT G /F C M E O AX LO E R # TA G S C O M M EN TS AP TA PL G ICA D EP BL E TA OS IT G /F C M E O AX LO E R # TA G S C O M M EN TS AP TA PL G ICA D EP BL E TA OS IT G / M CO FEE AX LO R # TA G S TS M EN O M C S PL AN AP TA PL G ICA D EP BL E TA OS IT G / M CO FEE AX LO R # TA G S APPENDIX P PLAN MATRIX COMMENTS COMMERCIAL NON-REVENUE N N/A N/A N/A PASI Y D W Account applicable Plan. Commuter Plan at the Goethals, Outerbridge and Bayonne 4 Bridge Plazas. Unused commuter trips apply. PACP Y D W 4 Account applicable Plan. Carpool Plan at all PANYNJ Plazas for customers that utilize a staffed lane. Dedicated lane transaction is charged the Standard fare. N N/A PANRPA Y N W U Issued to high-level and executive employees. Must be funded to use tag at non PA facilities. Includes unlimited parking privledges at PA airports. N N/A Y N O U PANREP Y N W Issued to PA employees (active and 1 retired). Must be funded to use tag at non PA facilities. N N/A Y N O Issued to PA employees (active and 1 retired). Must be funded to use tag at non PA facilities. Issued to high-level and executive employees. Must be funded to use tag at non PA facilities. Includes unlimited parking privledges at PA airports. Issued to PA employees (active and retired). Cannot be funded. PANRNF N/A N N/A Y N O 1 PANROF N/A N N/A Y N O Issued to Non-PA Emergency vehicles, U e.g. ambulances (some existing tags are ivory) PANRPL N/A N N/A Y N O U SIR Y D W Account applicable Plan. Resident Plan at the Verrazano-Narrows Bridge Plazas. 4 Proof of residency required. Number of tags issued equals number of vehicles on account. N N/A N/A TBNREM Y N O 1 Issued to B&T employees for use on B&T facilities. Revenue has to be added to account if employee opts for any additional plan. N N/A N/A N N/A N/A RR Y D W Account applicable Plan. Resident Plan at Cross Bay Bridge and Marine Parkway 4 Bridge Plaza. Proof of residency required. Number of tags issued equals number of vehicles on account. TBNRV Y N O, W U N N/A N/A TBNROI Y N O Issued to employees of gvt agencies who work on Randalls Island and use the Triboro 1 Manhattan plaza to get to work. Revenue N has to be added to acct if employee opts for any additional plan. N/A N/A Not presently in use; intended for federal police, Gateway National Park; but keep the plan type N/A N/A TBNRFP Other MTA agencies, police vehicles, fire, etc. N Issued to PA vehicles; must be funded to use tag at non PA facilities. APPLICABLE - Does Plan apply to this Account Type? (Y/N) TAG DEPOSIT/FEE - Definition of what business rule applies to tag issuance. D - Cash payment, $10 deposit; Credit Card Payment, Deposit Waived P - New tags are leased N - No payment required for new tags. TAG COLOR - Applicable tag type per account and plan. W - Interior White or License Plate Tag A - All tag types O - Orange only MAX # TAGS - Operational business rule on the number of tags allowed per account and plan. 1 - One Tag 4 - Four Tags U - Unlimited Page 2 of 2 Appendix P Release Version 6/05 TA-N5075-9 (07/2004) Page 1 of2 (Formerly TA- -12304- 9) E- TAG NOTICE New York State Thruway Authority- oNew York State Canal Corporation Please print or type and submit to your supervisor. Refer to Reverse side for terms and conditions. If you need assistance caii the Office of Revenue Operations at (.518) 436-2967. CHECK ONE: EMPLOYEE RETIREE .. . Employee/Retiree Name (Last, First, MI) Employee ID No. Local Address (Street, City, State, Zip 4) Permanent Address (Street, City, State, Zip 4) if other than above Telephone Numbers Home Work Work Location: Of?cial Work Station Adm. qutrs., Buffalo Div., Lock 12, Interchange 50, etc.) El Thruway El Canals Mil-:l State Police "2'5 . TY OF NOTICE NEW REPLACEMENT CHANGE El Limited (Provide Limits Below) El Lost El Limited to Unlimited Uniimited Employee Stolen Unlimited to Unlimited Retiree Unlimited Retiree Damaged Interchange Limits (Provide New Limits Below) Defective Address Change (Provide New Address Above) (No Fee Required) Name Change (Previous Name) Employee must lye permanent. with completion of at least Vehicle Change (Specify Vehicle Information Below) four years of satisfactory serv1ce. Separation From Service with Tag Submit $23 Fee with Application, make check payable to El Separation From Service without Tag "New York State Thruway Authority" Date of Separation' Refund Found Lost Tag El Damaged or defective tags must be returned with application to the Office of Revenue Operations. FOR LIMITED APPLICATIONS ONLY Enter toll ticket stations and ?xed toll barriers used when commuting to and from work. Refer to LIST OF TOLL BARRIER ABBREVIATIONS AND TOLL STATION NUMBERS (TA-12302) and enter the toll stations numbers. Ticket System Fixed Toll Stations: From: To: Toll Barriers: VEHICLE IDENTIFICATION DATA (LIST THE QUALIFYING VEHICLES IN WHICH THE TAG MAY BE USED) ;5 1.65215; State License Plate Vehicle Description Type Code Number Year Make Model Type Pick-?Up 4 5 - (Other) EMPLOYEE SIFI ETIREE S- CERTIFICATION I understand and accept the terms and conditions outlined on the back of this Application. Signature Date Supervisor's Signature Print Name and Title Date The Division Administrative Of?cer/Bureau of Personnel must review and approve all "New" and "Limited to Unlimited? Applications. 1 35.: page e135?: Effective Date Signature (DiVlSlon/Personnel 5 Representative) Date DateRecewed TA-N5075-9 (07/2004) Page 2 of 2 (Formerly TERMS AND CONDITIONS OF THE EM TAG PROGRAM A. TAG PRIVILEG 1. 2. "Limited" TAG - Allows free travel on the Thruway for commuting to and from work between the Toll Stations nearest the employee's residence and his/her work station. "Unlimited" TAG - Allows free unlimited travel on the Thruway for personal reasons as well as for travel to and from work for permanent employees who have completed at least four years of satisfactory service. B. CONDITIONS OF USE 1. 2. Only one valid TAG is allowed per employee/retiree. A TAG is valid only for the employee/retiree to whom it is issued and may not be used by any other member of the employee's family or by any other individual. 3. A TAG is not valid for any vehicle which is transporting people for hire or is being used for any other business purposevalid for use on any qualifying vehicle in which the employee/retiree is an occupant. A tag is programmed and issued with lane use requirements based on the vehicle information provided by the employee/retiree. A list of qualifying vehicles and other important information regarding tag usage is provided in the E-ZPASS GUIDE (TAP-610). An employee/retiree who does n_ot own a vehicle but does qualify for the non?revenue travel benefit under the EMPLOYEE NON-REVENUE PASS PROGRAM POLICY (25-3?04) should contact the Office of Revenue Operations at (518) 436-2967 before submitting an Application in order for necessary arrangements to be made for obtaining an E?ZPass tag. When used in 2 axle vehicles (cars, vans and pick?up trucks) or employee/retiree tags may be used in either "E-ZPass Only" (unstaffed) or staffed toll lanes. When used in vehicles or vehicle combinations (towing trailers or campers) with 3 or more axles, employee/retiree tags must be used in staffed lanes. Employees must approach and pass through the dedicated E-ZPass lane at the posted speed limit. Speed is monitored. E-ZPass traffic in staffed lanes must stop at the toll booth door and wait for a green light. A "Limited" TAG is valid only during the period of employment with the Thruway Authority, Canal Corporation or State Police Troop and is required to be returned if the employee: a. terminates such service, b. goes on leave with or without pay in excess of 60 days or c. is no longer eligible for the privilege because of change of residence or work location. The "Unlimited" TAG is valid only during the period of employment with the Thruway Authority, Canal Corporation or State Police Troop and is required to be returned if the employee: a. terminates such service or b. goes on leave without pay to accept other gainful employment. The "Unlimited - Retiree" TAG is valid for the life of the retiree. An employee?s receipt of an unsatisfactory performance rating will revoke an employee's "Unlimited" TAG privilege (refer to the EMPLOYEE PASS PROGRAM POLICY, 25-3-04.) An employee/retiree is responsible for all charges made through the unauthorized use of his/her TAG including those resulting from loss of the TAG prior to receipt of a replacement APPLICATION or notice of it being lost or stolen. The E-ZPass TAG is the property of the Thruway Authority and a charge of $23.00 is assessed an employee/retiree for damage, loss or failure to return the TAG to the Authority. Employees/retirees must comply with all applicable traffic laws, regulations, signs, signals and directions of Toll Collectors or Law Enforcement Officers. C. MISUSE OF TAG . Violation of any of the conditions of use noted above will be considered misuse of the TAG privilege and may result in revocation of the TAG privilege, and loss of the non-revenue travel benefit. D. CANCELLATION An employee/retiree may cancel his/her tag privilege simply by returning the E-ZPass TAG to his/her supervisor or the Of?ce of Revenue Operations. Retirees should return their tag with a note/letter to the Of?ce of Revenue Operations. E. STATUS CHANGES An updated NOTICE (TA-5075) is required of employees whenever there is a change in: type of TAG (limited, unlimited, unlimited?retiree) employee's local or home address employee's name vehicle(s) in which the TAG is to be used vehicle?s license plate number commuting limits separation of service - refund - found lost TAG Updated APPLICATIONS are to be approved by the employee's supervisor for changes in the type of TAG or commuting limits and then submitted, via your Division Administrative Officer or the Bureau of Personnel, to the Office of Revenue Operations. (APPLICATIONS are available from your Division office or from the Mail and Supply Section at Administrative Headquarters via the regular forms request process.) Retirees may call E-ZPass Operations at (518) 471-5848 to report the above types of status changes but should confirm the status change in writing. Be sure to include either your tag number or account number on your correspondence. Again, the mailing address is: Office of Revenue Operations, New York State Thruway Authority, 200 Southern Albany, NY 12209. F. DISCLAIMER By Accepting the TAG you agree that the Thruway Authority has no obligation or liability whatsoever to you with respect to your use or the performance of the E-ZPass TAG. Your acceptance also indicates your agreement to indemnify the Thruway Authority and hold the Thruway Authority harmless from and against any and all damage, loss, cost, expense, or liability relating to, arising from or as a result of, the use or performance of the E?ZPass TAG. TA-N5079 (02/2002) EMPLOYEE APPLICATION FOR E-ZPASS REVENUE STATUS New York State Thruway Authority . New York State Canal Corporation E-ZPass Customer Service Center MAIL APPLICATION TO: P-O- BOX 149006 Staten Island, NY 10314?9006 INSTRUCTIONS: See Attached Important Tips. 1. PERSONAL AND TAG INFORMATION NAME or EMPLOYEE (Last, First, MI) TAG NUMBER 2. CALCULATION (Refer to attached Important Tips before completing.) MINIMUM PREPAID TOLL AMOUNT A. BASIC START UP PLAN: $25.00 (For all facilities, including the Thruway. Select this plan only if A. you do not select any of the Special Discount Plans in Part below.) 8. SPECIAL DISCOUNT PLANS (If you select any of the plans below, do not select the Basic Plan above.) Bl. PORT AUTHORITY STATEN ISLAND BRIDGES PLAN $50.00 81. 82. NEW YORK STATE BRIDGE AUTHORITY PLAN $25.00 82. C. ADDITIONAL PREPAID TOLL (Enter an amount here only if the prepaid amount(s) for the plan(s) C. selected above will not cover your anticipated first month?s charges.) D. TOTAL PREPAID START UP AMOUNT (Enter the total of Lines A and combined, or Lines 81 and 82 and combined.) D. 3; 3. PAYMENT METHOD (Check (if) Option 1 OR Option 2.) Option 1 - Credit Card With Automatic Replenishment (The Easiest Way To Pay) Credit Card Number: EXPIRATION DATE: Month Year Check card type: MasterCard Discover VISA American Express I authorize E?ZPass to immediately charge my credit card the total amount shown on Line above. Whenever my prepaid toll balance is $10.00 or below, I authorize E?ZPass to charge my credit card an amount that reflects my average toll usage. I understand and agree that such charges will continue until my E?ZPass account is terminated orI revoke this authorization in writing. Should a replacement tag be required or an administrative fee be incurred, I authorize E-ZPass to charge my credit card the appropriate amount incurred under the terms of my agreement. SIGNATURE (REQUIRED) DATE Option 2 Check or Cash Replenishment Make checks or money orders payable to "E?ZPass" and mail with this application to the E?ZPass Customer Service Center, PO Box 149006, Staten Island, NY 10314-9006. Make cash payments in person at any E-ZPass Customer Service Center listed on the attached Important Tips. DO NOT MAIL CASH. A low balance message will display whenever your prepaid toll balance is at approximately 50% of your replenishment amount, indicating that a payment is required. 4. EMPLOYEE AGREEMENT My completion of this form, payment of the required deposits, and signature below constitute my agreement to use E?ZPass for toll passage subject to all applicable terms and conditions. I understand and agree that by using E-ZPass facilities the resulting toll charges will be deducted from my prepaid E~ZPass account balance. I have read, understand and accept the terms and conditions accompanying this application and set forth in this form, all of which are part of my agreement. EMPLOYEES SIGNATURE (REQUIRED) DATE TA-N5079A (02/2002) Page 2 of 3 EMPLOYEE APPLICATION FOR E-ZPASS REVENUE STATUS New York State Thruway Authority I - IMPORTANT TIPS ABOUT THE APPLICATION 1. PERSONAL AND TAG INFORMATION You must provide a 4 digit PIN when you access your account via the phone system or Website. You create this 4 digit number yourself (many people use the last four digits of their Social Security Number). Record your PIN here and retain it for future reference when you are accessing your account: . PREPAYMENT CALCULATION (Lines A, B1, B2, C, D) Select the E-ZPass plan(s) that meet your needs. The dollar amount next to each plan is the required minimum prepaid toll amount. Enter this amount in the "Minimum Prepaid Toll Amount'I column for all selected plans. BASIC START UP PLAN (Line A) - $25 This plan allows use of the tag on a revenue basis at all E-ZPass facilities. You receive a 10% discount off the cash toll at Port Authority facilities and a 50? discount off the cash toll at MTA Bridges 8L Tunnels ($1.00 discount off round trip toll at Verrazzano-Narrows Bridge). No minimum use is required under this plan. SPECIAL DISCOUNT PLANS (Line B) Port Authority Staten Island Bridges Plan (Line B1) This commuter plan discounts the auto cash toll by 50%. You pay for 20 trips, whether or not they are used within 35 days, over any of the following bridges: Goethals, Bayonne, and Outerbridge Crossing. NYS Bridge Authority Plan (Line B2) - This commuter plan requires a minimum usage of $8.50 (17 trips at 50? per trip vs. full toll of $1.00 per trip) over any of the following bridges: Rip Van Winkle, Kingston-Rhinecliff, Mid?Hudson, Newburgh?Beacon, and Bear Mountain. ADDITIONAL PREPAID TOLL AMOUNT (Line C) The amount entered on this line should be the difference between your anticipated ?rst month's toil charges and the prepaid amount(s) for the plan(s) you have selected. TOTAL PREPAID START-UP AMOUNT (Line D) Add the dollar amounts of Lines A and or Lines B1, 62, and C, and enter the total amount on Line D. Residency Plans MTA Bridges and Tunnels offers residents of certain areas toll discounts for specified crossings. You do not need to sign up for these plans on this application. If your vehicle is registered to a valid resident address in Staten Island or Rockaway/Broad Channel, you will be automatically enrolled in the applicable plan described below. A vehicle registration may be used on only E-Z Pass account. If DMV does not confirm the registration address, you will not receive the resident discount until you have provided proof of residency. Residency status is subject to review. NOTE: MTA Rockaway/Broad Channel Residents You must live in one of the following zip codes: 11691, 11692, 11693, 11694, 11695, or 11697. You are automatically charged a toll of 67? per trip on the Marine Parkway and Cross Bay Bridges. The tolls on the Cross Bay Bridge are fully rebated. MTA Staten Island Residents - You are charged a discounted round trip toll of $3.20 for the Verrazano-Narrows Bridge. CREDIT CARD REPLENISHMENT (Check Option 1) The easiest way to pay. There's no need to worry about a separate E-ZPass payment. It's automatic. As long as your credit card is in good standing, your E-ZPass balance will never run out. 0 CHECK OR CASH REPLENISHMENT (Check Option 2) Cash payments must be made in person at one of the E-ZPass Service Centers listed below. Checks or Money Orders made payable to "E?ZPass" for replenishment may be mailed to: E-ZPass Customer Service PO Box 149002 Staten Island, NY 10314-9002 DO NOT SEND CASH . EMPLOYEE AGREEMENT Your signed application, the information provided above, and the terms and conditions printed on the reverse side of this sheet constitute your agreement for E-ZPass revenue status. NEW YORK STATE E-ZPASS CUSTOMER SERVICE CENTER LOCATIONS Albany Four Executive Park Drive Albany, NY 12203?3717 Spring Valley Pascack Plaza, 17 Perlman Drive SprIng Valley, NY 10977?5243 Buffalo 3600 Delaware Avenue Buffalo, NY 14217?1191 Staten Island One Edgewater Plaza Staten Island, NY 10305 Grand Island Syracuse 1700 Grand Island Boulevard Lakeshore Drive?In Plaza Grand Island, NY 14702 911 Old Liverpool Road Liverpool, NY 13088 Que Yonkers 19- 02 nWhitestone Expressway 750 McLean Avenue College Point, NY 11357 Yonkers, NY 10704 Telephone Number: 1-800-333-8655 1-800-772?7935 Website Address: Y. com 02 2002 page 3of3 4. Employee E- ZPass Agreement Terms and Conditions These terms and conditions, together with your Employee Application for E-ZPASS Revenue Status (TA-5079), your EmployeefRetlree E?ZPass Tag Application (TA-12304-9), and the terms and conditions of constitute your Employee E?ZPass Agreement. Please read the terms and conditions below and keep them for your records. By opening the revenue portion of your account and using your tag for the payment of tolls, you agree as follows: TERMS a) Failure to comply with this Agreement may result In termination of your account. b) You may not assign the obligations or benefits of this Agreement. c) Failure to pay account charges may result in penalties as provided by law. d) You must approach and pass through E?ZPass toll lanes at the posted speed limit. Failure to obey the posted speed limit may result in suspension or revocation of your account. You must comply with all applicable laws, regulations, signs, signals and directions of toll collectors and law enforcement of?cers. E) . TAG USE a) You may use your tag on the vehicle(s) you have specifically listed for E-ZPass use. b) You must surrender your E-ZPass tag(s) immediately upon request. When you use your tag at any E-ZPass facility, you authorize E-ZPass to debit your account for such use. If you use your tag on E-ZPass facilities that are not located in New York, you are subject to the laws and regulations governing such use. You shall not permit tag use unless there is a sufficient balance in your account to cover any applicable charges. C) d) E) . YOUR ACCOUNT a) You must maintain a prepaid toll amount in your account to cover applicable toll charges. Tolls will be deducted from your account each time the E-ZPass tag ls used at other agency facilities or beyond the of the employee tag privilege. b) No interest will be paid on balances in your account. c) You will receive a periodic statement unless there are no toil transactions and no financial activity in your account during the applicable period covered by such statement. You may be charged a fee for any request to retrieve a statement that is more than 90 days old. e) You may, no more than four times per year, suspend the following minimum use plans for a minimum of one week by calling 1?800-333-8655 in order to extend the period for calculating the minimum commuter trip charge: NYS Bridge Authority and Port Authority Staten Island. The first use of the tag at the bridge after the minimum period reactivates the account. f) Administrative fees may be billed directly to your account. If you wish to contest the imposition of a charge or administrative fee you must do so in writing to the E-ZPass Customer Service Center within 180 days from the date of the transaction. 0) ACCOUNT PREPAYMENT a) You must pay a minimum prepaid toll amount sufficient to pay tolls for a one-month period. An account analysis ls performed on all new accounts 35 clays from the ?rst use of the tag for toils and every 90 days thereafter. If your use ls consistently above or below your current prepaid amount, E-ZPass will adjust your minimum payment to approximate a month's level of actual use. A Replenishment Level Change Notification Letter will be sent whenever the replenishment level Is raised. c) Account Replenishment must occur when your prepaid toll balance decreases to or below the replenishment point specific to the account plan you selected. You can replenish your account in one of the following ways: 1. Authorize E-ZPass to automatically charge your credit card. 2. Check (or Money Orders) made payable to E-ZPass. A returned check fee of $15 will be charged for each check returned to E-ZPass unpaid by your bank. 3. Cash payments must be made at an E?ZPass Customer Service Center, in U.S. dollars, or in Canadian dollars at a discount as E-ZPass may determine. DO NOT SEND CASH BY MAIL. 5. 10. 11.. 12. 13. TAG a) If you use your tag when your account is in a negative balance, suspended or revoked, or after the tag has been reported lost or stolen, you may incur an administrative fee of up to $50, be charged the full undiscounted toll, and be asked to surrender your tag to plaza personnel or to E-ZPass via certi?ed mailvehicle other than one of the classes for which the tag is designated, you may incur administrative fees asked to surrender your tag to plaza personnel or to E?ZPass via certi?ed mail. Such continued misuse may also result in revocation of your account. c} If you attempt to use a tag without properly attaching it to your vehicle, you may incur an administrative fee of up to $50. b) . OR TAGS You will not be liable for unauthorized tag use that occurs after you notify E-ZPass, orally or in writing, of loss, theft, or possible unauthorized use. If your E-ZPass tag(s) is non?operational for reasons other than abuse or improper use, and the Tag ls returned to the E?ZPass Customer Service Center, E-ZPass will replace It at no charge to you. DISCLAIMER You acknowledge that E?ZPass and all entities providing E-ZPass services have not made, and expressly disclaim any rapresentatlon or warranty, express or implied, relating to the tag including, without limitation, any implied express or warranty of merchantability, ?tness for a particular purpose or conformity to models or samples. You agree that E-ZPass and all entities providing E-ZPass services will have no obligation or liability whatsoever to you with respect to your use or the performance of the tag. You agree to indemnify and hold harmless E?ZPass and all entities providing E- ?ZPass services from and against any and all damage, loss, cost, expense or liability relating to, arising from, or as a result of, the use or performance of the tag. . TERMINATION You may terminate this agreement at any time by returning the tag to an E-ZPass Customer Service Center either in person or by certi?ed mail. Tags remain the property of the agencies providing E?ZPass services. Upon termination and return of your tag, your account balance will be retumed to you. All outstanding charges will be deducted prior to such refund. COLLECTION EXPENSES You agree to pay all costs, including attorneys' fees, incurred by E?ZPass and all entities providing E-ZPass services to collect any monies clue under the terms of this Agreement. MODIFICATIONS E-ZPass may change the terms of this Agreement at any time by advance written notice. You agree to new terms when you use your tag subsequent to the effective date of the new terms. The invalidity of any term or terms of this Agreement shall not affect any other term of this Agreement, which shall remain in full force and effect. GOVERNING LAW This Agreement shall be governed by and construed in accordance with the laws of the State of New York. You agree to inform E-ZPass of any changes to the information provided by you in your E-ZPass Application. NON-DISCLOSU RE Customer Account Information will not be disclosed to third parties without your consent except as permissible by law and the policies of E-ZPass and the entities providing E-ZPass services. INQUIRIES AND CORRESPONDENCE SCHEDULE OF FEES Cost of tag if damaged, lost or stolen: Interior Tag $22.50 Exterior Tag $28.30 Returned check fee: $15.00 Tag misuselvlolation administrative fees: Up to $50.00 per incident Violations: PO Box 149003 Staten Island, NY 10314-9003 Agplications6 and Returned Tags: Box 149006 Staten Island, NY 10314-9006 Payments: PO Box 149002 Staten Island, NY 10314-9002 Correspondence: PO Box 14900 4 Staten Island, NY 10314- 9004 APPENDIX R TAG VALIDATION MATRIX Account Inventory Financial Status Status Status Active " " " " " " " " N/A Non Active3 Active " " " " " Lost Stolen 2 Other Inventory All GOOD OR AUTO PAY LOW BALANCE BAD REVOKED WARNING REVOKED FINAL CLOSED N/A N/A N/A N/A N/A Active " " " " Active " " " GOOD OR AUTO PAY LOW BALANCE BAD REVOKED WARNING REVOKED FINAL " " Any Status " " GOOD OR AUTO PAY " " " " " " " " LOW BALANCE BAD REVOKED WARNING REVOKED FINAL " " Any Status " " GOOD OR AUTO PAY " " " " " " " " LOW BALANCE BAD REVOKED WARNING REVOKED FINAL " " Any Status " " GOOD OR AUTO PAY " " " " " " " " LOW BALANCE BAD REVOKED WARNING REVOKED FINAL " " Any Status Active " " Active " " N/A N/A N/A Active Active N/A Suspended " N/A Active " GOOD OR AUTO PAY " " " " " " " " LOW BALANCE BAD REVOKED WARNING REVOKED FINAL Active Active N/A Plan MTA EXCL. 1 TBM General MTA / TBM Std, Bus, or 'No Plan' OOOVOO OOOVOO " OOOMOO OOOMOO " IWOROO IWOROO " IWOROO IWOROO " LWOROO LWOROO " IWOROO IWOROO " LWOROO LWOROO " SWOROO SWOROO " IWOROO IWOROO " ROOOOO ROOOOO " IWOROO IWOROO Exceptions -- Non-Revenue MTA Non-Rev / Financial Plan OOOVOO OOOVOO “ OOOVOO OOOVOO “ OOOVOO OOOVOO “ OOOVOO OOOVOO “ OOOVOO OOOVOO MTA Non-Rev OOOVOO OOOVOO Only PA Non-Rev OOOVOO OOOVOO /Financial Plan " OOOMOO OOOMOO " IWOROO IWOROO " IWOROO IWOROO " LWOROO LWOROO PA Non-Rev IWOROO IWOROO Only NYSTA NonRev /Financial OOOVOO OOOVOO Plan " OOOMOO OOOMOO " IWOROO IWOROO " IWOROO IWOROO " LWOROO LWOROO NYSTA NonIWOROO IWOROO Rev Only NYSBA NonRev /Financial OOOVOO OOOVOO Plan " OOOMOO OOOMOO " IWOROO IWOROO " IWOROO IWOROO " LWOROO LWOROO NYSBA NonIWOROO IWOROO Rev Only MTA -- Special Plans MTAF Only OOOVOO OOOVOO GOVT Only OOOVOO OOOVOO RIO Only OOOVOO OOOVOO NYSTA -- Special Plans Commercial IWOROO IWOROO Only " IWOROO IWOROO Coml w/ Bus. OOOVOO OOOVOO Plan " OOOMOO OOOMOO " IWOROO IWOROO " IWOROO IWOROO " LWOROO LWOROO Speed Suspended Any Plan or "No IWOROO IWOROO Plans" PANYNJ NYSTA NYSBA ITAG File OOOVOO OOOMOO OOONOO OOONOO LIOROO IIOROO LIOROO SIOROO IIOROO RIOOOO IIOROO 1 2 3 3 4 4 4 4 4 4 4 1 2 3 3 4 4 4 4 4 4 4 1 2 3 3 4 4 4 4 4 4 4 OOOVOO OOOMOO OOONOO OOONOO LIOROO 1 2 3 3 4 1 2 3 3 4 1 2 3 3 4 OOONOO 3 3 4 OOOV8O 1 1 1 OOOV8O OOOV8O OOOV8O OOOV8O 2 3 3 4 2 3 3 4 2 3 4 4 OOOV8O 3 3 4 OOOVOO 1 1 1 OOOMOO OOONOO OOONOO LIOROO 1 1 1 1 2 3 3 4 2 3 3 4 OOONOO 1 3 4 OOOVOO 1 1 1 OOOMOO OOONOO OOONOO LIOROO 2 3 3 4 1 1 1 1 2 3 3 4 OOONOO 3 1 4 OOONOO OOONOO OOONOO 3 3 3 3 3 3 4 4 4 OOONOO 1 3 4 OOONOO 3 3 4 OOOVOO 1 1 1 OOOMOO OOONOO OOONOO LIOROO 1 1 1 1 2 3 3 4 2 3 3 4 OOONOO 3 3 3 1 - Triborough Bridge Manhattan Plaza 2 - "Other" Inventory Status includes Retained, Damaged, Returned Defective, Shipped to Vendor, Test, Returned, Sold, Disposed/Destroyed and Expired. 3 - "Non Active" Account Status includes Pending, New, Closed, and Suspended. Appendix R Release Version 6/05 Appendix S This appendix contains the specifications for each of the data interfaces that shall be transferred between the NYCSC and each of the Authorities. The table below lists each of the files that contain the various interface files. Appendix File Name Number S1 NYSTA-NYSBA Interface File S1A S2 NYSTA Reconciliation Interface File Specification PANYNJ Interface File Specification S3 TBTA Interface File Specification S3A TBTA M-Toll Interface File Specification Description • • • • • • • • • Tag Validation Files Transaction Files Transaction Exception Files Image Files Image Reject Files Commercial Transaction Files M-Tolls Transaction Files M-Tolls Exception Files Reconciliation File • • • • • • • • • • • Tag Status Files Transaction Files Image Files Transaction Reconciliation Files Tag Status Files Transaction Files Violation Image File Header Transaction Reconciliation Files – VCSC Revenue Summary File – CHR DCSC File MTOLL Transaction File Revised 3/21/2005 Appendix 81 NYSBA File Formats Version 1.3 June 6, 2005 Table of Contents Table of Contents .......................................................................................................................... ii 1. Overview ...................................................................................................................................1 2. Tag Validation File ..................................................................................................................2 2.1 Purpose............................................................................................................................................. 2 2.2 Conventions ..................................................................................................................................... 2 2.3 Format.............................................................................................................................................. 2 3. Transaction File .......................................................................................................................4 3.1 3.2 3.3 3.4 Purpose............................................................................................................................................. 4 Conventions ..................................................................................................................................... 4 Notes / Issues ................................................................................................................................... 4 Format.............................................................................................................................................. 4 4. Transaction Exception File .....................................................................................................6 4.1 4.2 4.3 4.4 Purpose............................................................................................................................................. 6 Conventions ..................................................................................................................................... 6 Notes / Issues ................................................................................................................................... 6 Format.............................................................................................................................................. 6 5. Image Files................................................................................................................................8 5.1 5.2 5.3 5.4 Purpose............................................................................................................................................. 8 Conventions ..................................................................................................................................... 8 Notes / Issues ................................................................................................................................... 8 Format.............................................................................................................................................. 8 6. Image Reject Files ....................................................................................................................9 6.1 6.2 6.3 6.4 Purpose............................................................................................................................................. 9 Conventions ..................................................................................................................................... 9 Notes / Issues ................................................................................................................................... 9 Format............................................................................................................................................ 10 7. Commercial Transaction File ...............................................................................................11 7.1 7.2 7.3 7.4 Purpose........................................................................................................................................... 11 Conventions ................................................................................................................................... 11 Notes / Issues ................................................................................................................................. 11 Format............................................................................................................................................ 11 8. Reconciliation Files ................................................................................................................13 Revision History Name Date Reason For Changes Version Parry/Jacobson Jacobson Parry/Jacobson Jacobson 11/29/01 5/21/04 12/9/04 6/6/05 Initial Revision Updated Updated to include M-TOL Updated to include toll class changes 1.0 1.1 1.2 1.3 Appendix S1 - NYSTA-NYSBA Release Version 6/05 1. Overview The New York State Thruway Authority (NYSTA) electronically transfers a number of datafiles to and from the New York E-ZPass Customer Service Center (NYCSC) on a daily basis. These files include: ‰ ‰ ‰ ‰ ‰ ‰ ‰ ‰ ‰ Tag Validation File Transaction File Transaction Exception File Image Files Image Reject File Commercial Transaction File Reconciliation Files M-Tolls Transaction File M-Tolls Exception File NYSTA also transmits data between the New York State Bridge Authority (NYSBA) and the NYCSC. Transactions from NYSBA are incorporated into NYSTA’s daily transaction files before they are sent to the NYCSC. Data is currently transmitted between NYSTA and the NYCSC using TCP/IP-based remote copies. Appendix S1 - NYSTA-NYSBA Release Version 6/05 2. Tag Validation File 2.1 Purpose Daily file generated by the NYCSC that contains the NYSTA and NYSBA tag status for every tag. 2.2 Conventions Filename Format YYYYMMDDSS.TAGN-GZ, where SS is the file version ASCII datafile compressed using Gzip NYSTA and NYSBA 1 2:30AM 2:30AM Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time 2.3 Format Header Record Format Data Element Record Start Number of Records File Date File Time Serial Number Position 1 2-9 10-17 18-23 24-25 Size 1 8 8 6 2 Good NYSTA Tags Low NYSTA Tags Zero NYSTA Tags Lost NYSTA Tags Good NYSBA Tags Low NYSBA Tags Zero NYSBA Tags Lost NYSBA Tags 26-32 33-39 40-46 47-53 54-60 61-67 68-74 75-81 7 7 7 7 7 7 7 7 Detail Record Format Data Element -----------Left Bracket Group ID Agency Id Serial # Acct Type Position -------1 2-4 5-7 8-15 16-17 Size ---1 3 3 8 2 Appendix S1 - NYSTA-NYSBA Valid Values H 00000000-99999999 yyyymmdd hhmmss 01-99 (must match serial number in file name) 0000000-9999999 0000000-9999999 0000000-9999999 0000000-9999999 0000000-9999999 0000000-9999999 0000000-9999999 0000000-9999999 Valid Values -----------[ 065 001 - 127 01 - Private Account 02 - Commercial Account 03 - Business Account Release Version 6/05 NYSTA Tag Status Low Limit High Limit TWY Account Number Multiplan Hex Str 18 19-21 22-24 25-33 34-41 1 3 3 9 8 NYSBA Tag Status Right Bracket 42 43 1 1 1-Good,2-Low,3-Zero,4-LSSR '08 ','25A' '09 ','B2 ' Left justify,space filled If Acct Type = 01 then 00000001-GIC 00000002-GIR 00000004-NREM 00000008-NRL 00000010-NRTH 00000020-NRV 00000040-NY 00000080-TP12 00000100-TZC 00000200-TZPL 00000400 - NRC 00000800-NYSBA Discount 00001000 – NYSBA Discount 00002000 – HAC 00004000 – BRC 00008000 – CLC 00010000 – MTRC 00020000 – MHM 00040000 – YKC 00080000 – Business and Commercial 00100000 - NYNRLB Else if Acct Type=02 then 00000001 -Commercial Plan Else if Acct Type=03 then 00000001 -Business Plan 1-Good,2-Low,3-Zero,4-LSSR ] Trailer Record Format Data Element End Record Code Position 1 Size 1 Valid Values E Appendix S1 - NYSTA-NYSBA Release Version 6/05 3. Transaction File 3.1 Purpose This file contains all E-ZPass transactions collected in NYSTA and NYSBA lanes that are sent to the NYCSC for posting against customer accounts. 3.2 Conventions Filename Format Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time YYYYMMDDSS.TXN ASCII file NYSTA and NYSBA 1 10 AM 10 AM 3.3 Notes / Issues • NYSBA does not generate this file directly; rather, data from their detailed lane transaction files and NYSTA detailed lane transaction files are compiled into a TXN file by NYSTA processing 3.4 Format Header Record record_type_code record_count file_date file_time file_serial Detail Record record_type_code transaction type etc_entry_date etc_entry_time etc_entry_plaza_id etc_entry_lane etc_entry_data_source etc_app_id etc_type etc_group_id etc_agency_id etc_tag_serial_num lane_serial_number Appendix S1 - NYSTA-NYSBA Position 1 2-8 9-16 17-22 23-24 Size 1 7 8 6 2 Valid Values H 9999999 YYYYMMDD HHMMSS 01 - 99 1 2 3-10 1 1 8 [ B,C,E,X,P,T YYYYMMDD 6 HHMMSS "xx " or "xxx" "xxx" T="Tckt", E="EZPass" 0,1 0,1,2,3 065 001 - 127 00000001 - 99999999 00 – 32000 17-19 20-22 23 24 25 26-28 29-31 32-39 40-44 11-16 3 3 1 1 1 3 3 8 5 Release Version 6/05 read performance lane_mode collector_id veh_class from tag_twy class read_tag_class_veh_type read_tag_class_veh_axles read_tag_class_etc_veh_weight read_tag_chass_rear_tires write_tag_class_veh_type write_tag_class_veh_axles write_tag_class_etc_veh_wght write_tag_chass_rear_tires ind_veh_class(from collector) validation_status etc_viol_observed etc_image_captured etc_revenue_type etc_read_agency_data etc_write_agency_data etc_pre_write_trx_num etc_post_write_trx_num etc_ind_veh_axles etc_ind_axle_offset etc_veh_speed etc_exit_date etc_exit_time etc_exit_plaza_id etc_exit_lane_id etc_buffered_flag txn_serial_number 45-46 47 48-52 53-54 55-56 57-58 59 60 61-62 63-64 65 66 67-68 69 70 71 72-73 74-84 85-92 93-97 98-102 103 104-105 106-107 108-115 116-121 122-124 125-127 128 129-140 2 1 5 2 2 2 1 1 2 2 1 1 2 1 1 1 2 11 8 5 5 1 2 2 8 6 3 3 1 12 char etc_record_term 141 1 End Record record_type_code 1 E Appendix S1 - NYSTA-NYSBA 00 – 99 1,3,4-(ETC/ATIM) 00000 - 99999 00 – 09, 2L-4L, 2H-7H, 5S-7S 00 - 31 00 - 15 0<=7000, 1>7000 lbs 0=single,1=dual rear 00 - 31 00 - 15 0<=7000, 1>7000 lbs 0=single,1=dual rear 00 – 09, 2L-4L, 2H-7H, 5S-7S 1-4 0="no", 1="yes" 0="no", 1="yes" 00 - 05 00000 - 65535 00000 - 65535 0-9 -2 to +4 00 - 99 YYYYMMDD HHMMSS "xx " or "xxx" "xxx" "B"uffered,"R"egular Alpha-numeric code which uniquely identifies each transaction ] Release Version 6/05 4. Transaction Exception File 4.1 Purpose Transactions in the daily transaction file rejected by the NYCSC are put in this file and returned to NYSTA. 4.2 Conventions Filename Format Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time YYYYMMDDSS.XTXN ASCII data file NYSTA and NYSBA 1 Anywhere between 9 am – 1 pm By 1PM 4.3 Notes / Issues • • Transactions from this file are manually corrected and resubmitted in the YYYYMMDDSS.TXN file. NYSBA does not use this file directly. From this file, YYYYMMDDSS_BA.XTXN is created by NYSTA processes if there are any transactions that belong to NYSBA. The YYYYMMDDSS_BA.XTXN is manually sent to Bridge Authority for review. NYSTA corrects and resubmits any rejected BA transactions. 4.4 Format Header Record record_type_code record_count file_date file_time file_serial Detail Record record_type_code transaction type etc_entry_date etc_entry_time etc_entry_plaza_id etc_entry_lane etc_entry_data_source etc_app_id etc_type etc_group_id Appendix S1 - NYSTA-NYSBA Position 1 2-8 9-16 17-22 23-24 Size 1 7 8 6 2 Valid Values H 9999999 YYYYMMDD HHMMSS 01 - 99 1 2 3-10 1 1 8 [ B,C,E,X,P,T YYYYMMDD 6 HHMMSS "xx " or "xxx" "xxx" T="Tckt", E="EZPass" 0,1 0,1,2,3 065 17-19 20-22 23 24 25 26-28 11-16 3 3 1 1 1 3 Release Version 6/05 etc_agency_id etc_tag_serial_num lane_serial_number read performance lane_mode collector_id veh_class from tag_twy class read_tag_class_veh_type read_tag_class_veh_axles read_tag_class_etc_veh_weight read_tag_chass_rear_tires write_tag_class_veh_type write_tag_class_veh_axles write_tag_class_etc_veh_wght write_tag_chass_rear_tires ind_veh_class(from collector) validation_status etc_viol_observed etc_image_captured etc_revenue_type etc_read_agency_data etc_write_agency_data etc_pre_write_trx_num etc_post_write_trx_num etc_ind_veh_axles etc_ind_axle_offset etc_veh_speed etc_exit_date etc_exit_time etc_exit_plaza_id etc_exit_lane_id etc_buffered_flag txn_serial_number 29-31 32-39 40-44 45-46 47 48-52 53-54 55-56 57-58 59 60 61-62 63-64 65 66 67-68 69 70 71 72-73 74-84 85-92 93-97 98-102 103 104-105 106-107 108-115 116-121 122-124 125-127 128 129-140 3 8 5 2 1 5 2 2 2 1 1 2 2 1 1 2 1 1 1 2 11 8 5 5 1 2 2 8 6 3 3 1 12 char etc_record_term 129 1 End Record record_type_code 1 E Appendix S1 - NYSTA-NYSBA 001 - 127 00000001 - 99999999 00 – 32000 00 – 99 1,3,4-(ETC/ATIM) 00000 - 99999 00 – 09, 2L-4L, 2H-7H, 5S-7S 00 - 31 00 - 15 0<=7000, 1>7000 lbs 0=single,1=dual rear 00 - 31 00 - 15 0<=7000, 1>7000 lbs 0=single,1=dual rear 00 – 09, 2L-4L, 2H-7H, 5S-7S 1-4 0="no", 1="yes" 0="no", 1="yes" 00 - 05 00000 - 65535 00000 - 65535 0-9 -2 to +4 00 - 99 YYYYMMDD HHMMSS "xx " or "xxx" "xxx" "B"uffered,"R"egular Alpha-numeric code which uniquely identifies each transaction ] Release Version 6/05 5. Image Files 5.1 Purpose These files contain images of vehicles violating through NYSTA dedicated E-ZPass lanes. 5.2 Conventions Filename Format Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time PLZLLLSSSSS1.JJJ, where PLZ is the plaza, LLL is the lane, SSSSS is the image number, and JJJ is the Julian day of the year (for example, 24x08x000311.324) JPG – each image includes a picture of the front and rear license plate NYSTA Average 7000 a day Starts at 5:30 am Start at 5:30 am 5.3 Notes / Issues 5.4 Format Header: Y M D H M S I L P 1 X TT XX YYYYMMDDHHMMSSIIIIILLLPPP1XTTXX = 31 bytes Year Month Day Hour Minute Second Lane controller serial transaction number (1-32000) Lane Plaza ICC number is always 1 for no Space or letter “A”, “B”, “H” Indicated axles or tag axles from AVC AVC axles Example 200104031122332999903E24X1 200104031122332999903E55X1A0305 Appendix S1 - NYSTA-NYSBA Non-AVC image Image due to AVC mismatch Release Version 6/05 6. Image Reject Files 6.1 Purpose This file contains a list of all NYSTA violation image files that the was unable to post to customer accounts, and the specific reason why these images could not be posted. 6.2 Conventions ename ormat ta ormat encies um i USE im nta es transmitt usiness a Current transmission time Aro 2AM transmission time 6.3 Notes Issues Each detail record contains a reject code for the front and rear image. Re'ect codes are de?ned as follows. Codes 50 and higher are the reject codes for the top image, whi codes 1?12 are reject codes for the bottom image. Reject Code Description short Long Description 0050 IMGREJECT IMAGE REJECTED 0051 IMGREJBRIT IMAGE REJECTED, TOO BRIGHT 0052 IMGREJDARK IMAGE REJECTED, TOO DARK 0053 IMGREJCORR IMAGE REIECTED, CORRUPT 0054 IMGREJALGN IMAGE REJECTED, CAMERA OUT OF ALIGNMENT 0055 IMAGE REJECTED, NO VEHICLE 0056 IMAGE REJECTED, PLATE BLURRY, OUT OF FOCUS OR CONTRAST IS LOW 0057 IMCREJNOTR IMAGE HAS NO MATCHING VIOLATION TRANSACTION 0058 IMAGE REJECTED, PLATE MISMATCH FRONT AND REAR LICENSE PLATES DO NOT MATCH 0063 IMGREISTAT IMAGE REJECTED. CAN NOT DETERMINE THE STATE OF THE PLATE 0064 IMGREJROFF IMAGE REJECTEDEMERGENEY VEHICLE - AMBULANCE, FIRE TRUCK. OR POLICE 0065 IMGREJWEAT IMAGE REJECTED. WEATHER CONDITIONS. INCLUDING A PLATE OBSTRUCTED BY SNOW 0066 IMGREJOBST IMAGE REJECTED. PLATE OBSTRUCTED Reject Code Description short Long Description 1 BRIT TOO BRIGHT 2 DARK TOO DARK 3 CORR CORRUPT 4 ALGN CAMREA OUT OF ALIGNMENT Appendix SI - NYSTA-NYSBA Release Version 6/05 5 RINV NO VEHICLE 6 RIPL PLATE BLURRY. OUT OF FOCUS OR CONTRAST IS LOW 7 NOTR IMAGE HAS NO MATCHING VIOLATION TRANSACTION RMMP PLATE MISMATCH 9 OBST PLATE OBSTRUCTED 10 STAT CAN NOT DETERMINE THE STATE OF THE PLATE 11 ROFF EMERGENCY VEHICLE 12 WEAT WEATHER CONDITIONS, INCLUDING A PLATE OBSTRUC 6.4 Format There is a header followed by detail records, as follows: HEADER FILE RECORD FORMAT Field Name Field Width in bytes Description 4 Always 5 Always 8 6 8 numeric values: 00000000?99999999 DETAIL RECORD FORMAT Field Name Field width in bytes Description left justi?ed, space- filled 5 left?justi?ed, space? filled 8 6 4 See above 4 See above LAN 17 See previous section on image ?lename format Appendix SI - NYSTA-NYSBA Release Version 6/05 7. Commercial Transaction File 7.1 Purpose This file contains transactions returned by the NYCSC for billing through NYSTA’s Commercial Account Postpaid System (CAPS). 7.2 Conventions Filename Format Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time YYYYMMDDSS.CTX ASCII NYSTA 1 -? Anytime Anytime 7.3 Notes / Issues At 00:05 NYSTA starts looking for ctx files. If any files are present, they are copied over to NYSTA and appended into one file (today’s date). The file is then processed. If there are no files, NYSTA keeps looking until 7:00 AM. If there are no files after 7:00 AM, NYSTA creates an empty file for that day and will not look for ctx files until the next day. 7.4 Format Header Record Format Data Element Record Start Number of Detail Records File Date File Time Serial Number Position 1 2-8 9-16 17-22 23-24 Size 1 7 8 6 2 Valid Values H 0000000-9999999 yyyymmdd hhmmss 01-99 (must match serial number in file name) Detail Record Format Data Element Record Start Transaction Type Entry Date Entry Time Entry Plaza Entry Lane Group Id Agency Id Tag Serial # Read Performance Lane Operation Mode Position 1 2 3-10 11-16 17-19 20-22 23-25 26-28 29-36 37-38 39 Size 1 1 8 6 3 3 3 3 8 2 1 Valid Values [ X,B,C yyyymmdd hhmmss “23 " or "25A" xxx 065 001 - 127 Appendix S1 - NYSTA-NYSBA 00-99 1 - ETC lane only Release Version 6/05 Collector Number Vehicle Class Indicated Vehicle Class ETC Validation Status 40-44 45-46 47-48 49 5 2 2 1 Indicated Vehicle Axles Indicated Axle Offset Speed Exit Date Exit Time Exit Plaza Exit Lane TWY Account Number Fare License Plate State License Plate Record Terminator 50 51-52 53-54 55-62 63-68 69-71 72-74 75-83 84-88 89-90 91-100 101 1 2 2 8 6 3 3 9 5 2 10 1 Commercial Trailer Record Format Data Element Position End Record Code 1 Appendix S1 - NYSTA-NYSBA Size 1 3 - Staffed ETC lane 4 - ETC lane w/ACM 00000 - 99999 00 – 09, 2L-4L, 2H-7H, 5S-7S 00 – 09, 2L-4L, 2H-7H, 5S-7S 1 - Good, 2 - Low Bal, 3 - Zero Bal 4 - Lost/Stolen, 5- No ETC Tag 0-9 -2, -1, +0, +1 to +4 00 - 99 yyyymmdd hhmmss "xx " or "xxx" "xxx" left justified, space filled "NY" or asterisks if not applicable left justify, space filled-asterisks if n/a ] Valid Values E Release Version 6/05 8. Reconciliation Files See attached E-ZPass Reconciliation Specification. 9. M-Toll Transaction File 9.1 Purpose When E-ZPass tags fail to read, toll collectors have the ability to manually enter vehicle or tag information which creates electronic transactions known as manual tolls or M Tolls. All electronic M Tolls that recorded electronically are sent to the NYSCSC in the MTXN file on a daily basis. 9.2 Conventions Filename Format Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time YYYYMMDDSS.MTXN ASCII NYSTA 1 10:00 AM 10:00 AM 9.3 Notes/Issues Note that each M Toll message will include either tag information or license plate information but not both simultaneously. M Tolls will only be generated from NYSTA ticketed section. 9.4 Format Header Record record_type_code record_count file_date file_time file_serial Position 1 2-8 9-16 17-22 23-24 Size 1 7 8 6 2 Valid Values H 9999999 YYYYMMDD HHMMSS 01 - 99 Detail Record record_type_code transaction type etc_entry_date 1 2 3-10 1 1 8 [ L ******** Appendix S1 - NYSTA-NYSBA Release Version 6/05 etc_entry_time etc_entry_plaza_id etc_entry_lane not used If tag number provided: etc_group_id etc_agency_id etc_tag_serial_num Else etc_group_id state code license plate number lane_serial_number not used lane_mode collector_id not used ind_veh_class(from collector) validation_status not used ind_veh_axles ind_axle_offset not used exit_date exit_time exit_plaza_id exit_lane_id not used transaction serial number 26-28 29-31 32-39 3 3 8 065 001 - 127 00000001 – 99999999 26-28 29-30 31-39 40-44 45-46 47 48-52 53-66 67-68 69 70-102 103 104-105 106-107 108-115 116-121 122-124 125-127 128 129-140 3 2 9 5 2 1 5 14 2 1 32 1 2 2 8 6 3 3 1 12 char etc_record_term 141 1 *** 2 character alphanumeric 9 character alphanumeric 00 - 32000 ** 1,3,4-(ETC/ATIM) 00000 - 99999 * filled 00 – 09, 2L-4L, 2H-7H, 5S-7S *, 1, 2, 3, 4 * filled 0-9 -2 to +4 ** YYYYMMDD HHMMSS "xx " or "xxx" "xxx" * Alpha-numeric code which uniquely identifies the txn ] End Record record_type_code 1 E 17-19 20-22 23-25 11-16 3 3 3 6 ****** "xx " or "xxx" *** *** 10. M Tolls Transaction Exception File 10.1 Purpose M Tolls transactions in the M Tolls transaction file rejected due to a syntax error (ex: field has an invalid value) by the NYCSC are put in this file and returned to NYSTA. 10.2 Conventions Filename Format Appendix S1 - NYSTA-NYSBA YYYYMMDDSS.MXTXN Release Version 6/05 Data Format Agencies that use this file Number of files transmitted daily Current transmission time Desired transmission time ASCII NYSTA 1 Anywhere between 9 AM – 1 PM By 1 PM 10.3 Notes/Issues • • • M Tolls transactions from this file are manually corrected and resubmitted in the YYYYMMDDSS.MTXN file. NYSBA does not use this file. All M Tolls should be returned in a Transaction Reconciliation File with the appropriate MTOL reconciliation code or other code. 10.4 Format Header Record record_type_code record_count file_date file_time file_serial Detail Record record_type_code transaction type etc_entry_date etc_entry_time etc_entry_plaza_id etc_entry_lane not used If tag number provided: etc_group_id etc_agency_id etc_tag_serial_num Else etc_group_id state code license plate number lane_serial_number not used lane_mode collector_id not used ind_veh_class(from collector) validation_status not used ind_veh_axles ind_axle_offset not used exit_date Appendix S1 - NYSTA-NYSBA Position 1 2-8 9-16 17-22 23-24 Size 1 7 8 6 2 Valid Values H 9999999 YYYYMMDD HHMMSS 01 - 99 1 2 3-10 1 1 8 [ L ******** ****** "xx " or "xxx" *** *** 17-19 20-22 23-25 11-16 3 3 3 6 26-28 29-31 32-39 3 3 8 065 001 - 127 00000001 – 99999999 26-28 29-30 31-39 40-44 45-46 47 48-52 53-66 67-68 69 70-102 103 104-105 106-107 108-115 3 2 9 5 2 1 5 14 2 1 32 1 2 2 8 *** 2 character alphanumeric 9 character alphanumeric 00 - 32000 ** 1,3,4-(ETC/ATIM) 00000 - 99999 * filled 00 – 09, 2L-4L, 2H-7H, 5S-7S *, 1, 2, 3, 4 * filled 0-9 -2 to +4 ** YYYYMMDD Release Version 6/05 exit_time exit_plaza_id exit_lane_id not used transaction serial number 116-121 122-124 125-127 128 129-140 6 3 3 1 12 char etc_record_term 141 1 End Record record_type_code 1 E Appendix S1 - NYSTA-NYSBA HHMMSS "xx " or "xxx" "xxx" * Alpha-numeric code which uniquely identifies the txn ] Release Version 6/05 Appendix NYS Thruway Authority Reconciliation Project File Specification for Transactional Reconciliation Version 1.3 06/06/05 Overview The New York State Thruway Authority (NYSTA) will develop an E-ZPass Reconciliation System (EZRS) which will reconcile each tag transaction from the time it is generated by the lane controller to its final disposition. The specification for the EZRS can be found in the following document: • Specification for Transaction Reconciliation – Draft Version 1.2 – 10/10/00 The purpose of this file specification is to describe changes and additions to data files that are required by the EZRS but independent of the Transaction Reconciliation specification. This file specification will become an appendix to the Transaction Reconciliation specification listed above. Two data files will be required for the EZRS: • • The Daily Transaction Data File originating from NYSTA The CSC Daily Reconciliation Data File originating from Lockheed Martin IMS Daily Transaction Data File NYSTA is currently transmitting a daily transaction (TXN) file to the CSC. The format of this file is described in below. Two changes will be made to this file by NYSTA to accommodate reconciliation: ‰ ‰ A txn_serial_number field will be added occupying positions 129-140. The etc_record_term field will be moved to position 141 from position 129. The txn_serial_number field is required to guarantee that each transaction can be uniquely identified, even if other fields in the transaction are missing or invalid. TXN File Attributes File Name Format File Location Timing of File Transfer Deletion of File Page 2 of 17 YYYYMMDDSS.TXN, where SS is a file version number between 01 and 99. NYEZ01::TCS$TO_LOCKHEED: Around 5AM daily NYSTA will use TCP/IP processes to copy the file from the NYSTA computer system to the CSC directory specified above. NYSTA will initiate the file transfer. The CSC will delete or rename the TXN file in the CSC directory after it has been processed. Release Version 6/05 TXN File Format The format of the TXN file is shown below, with modifications highlighted in Bold. Header Record Position Size Valid Values record type code 1 1 'H' record_count 2-8 7 9999999 file_date 8-16 8 YYYYMMDD file_time 16-22 6 HHMMSS file_serial 22-24 2 01 – 99 record_type_code 1 1 '[' transaction type 2 1 B,C,E,X,P,T etc_entry_date 3-10 8 YYYYMMDD etc_entry_time 11-16 6 HHMMSS etc_entry_plaza_id 17-19 3 "xx " or "xxx" etc_entry_lane 20-22 3 "xxx" etc entry data source 23 1 T="Tckt", E="E-ZPass" etc_app_id 24 1 1 etc_type 25 1 0,1,2,3 etc_group_id 26-28 3 065 etc_agency_id 29-31 3 001 – 127 etc_tag_serial_num 32-39 8 00000001 – 99999999 lane serial number 40-44 5 00 – 32000 Detail Record Page 3 of 17 Release Version 6/05 read_performance 45-46 2 00 – 99 lane_mode 47 1 1,3,4-(ETC/ATIM) collector_id 48-52 5 00000 – 99999 veh_class from tag_twy class 53-54 2 00 – 09, 2L-4L, 2H-7H, 5S-7S read tag class veh type 55-56 2 00 – 31 raed_tag_class_veh_axles 57-58 2 00 – 15 read_tag_class_etc_veh_weight 59 1 0<=7000, 1>7000 lbs read_tag_chass_rear_tires 60 1 0=single,1=dual rear write_tag_class_veh_type 61-62 2 00 – 31 write tag class veh axles 63-64 2 00 – 15 write tag class etc veh wght 65 1 0<=7000, 1>7000 lbs write_tag_chass_rear_tires 66 1 0=single,1=dual rear ind_veh_class(from collector) 67-68 2 00 – 09, 2L-4L, 2H-7H, 5S-7S validation_status 69 1 1–4 etc_viol_observed 70 1 0="no", 1="yes" etc image captured 71 1 0="no", 1="yes" etc_revenue_type 72-73 2 00 – 05 etc_read_agency_data 74-84 11 etc_write_agency_data 85-92 8 etc_pre_write_trx_num 93-97 5 00000 – 65535 etc post write trx num 98-102 5 00000 – 65535 etc ind veh axles 103 1 0–9 etc_ind_axle_offset 104-105 2 -2 to +4 Page 4 of 17 Release Version 6/05 etc_veh_speed 106-107 2 00 – 99 etc_exit_date 108-115 8 YYYYMMDD etc_exit_time 116-121 6 HHMMSS etc_exit_plaza_id 122-124 3 "xx " or "xxx" etc exit lane id 125-127 3 "xxx" etc_buffered_flag 128 1 "B"uffered,"R"egular txn serial number 129-140 etc_record_term 141 12 Alpha-numeric code which uniquely identifies the txn 1 ']' 1 'E' End Record record type code Page 5 of 17 1 Release Version 6/05 CSC Daily Reconciliation Data The CSC will provide Transaction Reconciliation File(s) (TRF) containing all transactions whose disposition was determined the previous day. Normally files would be generated on a daily basis, but is based on transaction activity on the CSC systems the previous day. File Name Format File Location Timing of File Transfer Transfer and Deletion of File YYYYMMDDSS.TRF, where SS is a file version between 01 and 99 NYEZ01::TCS$TO_NYSTWY: TBD. At least one file per day is required. NYSTA will use TCP/IP processes to copy the file from the CSC directory to NYSTA computer systems. NYSTA will initiate the file transfer. NYSTA will delete the file from the CSC directory after it has been processed. TRF File Layout Header Record Record_type_code Record_count File_date File_time File_serial Record_term Detail Record Record_type_code Txn_serial_number Debit_Credit_Flag Page 6 of 17 Position 1 2-10 11-18 19-24 25-26 27-28 Position Size Valid Values 1 9 8 6 2 2 ‘H’ 999999999 YYYYMMDD HHMMSS 01-99 CR, LF Size Valid Values 1 2-13 1 12 14 1 ‘D‘ Unique alpha-numeric code to identify this transaction A “+” indicates that the Posted_fare was debited to the customer’s account. A negative Release Version 6/05 Posted_fare 15-19 5 Violation_Fee 20-24 5 Revenue_agency_code 25-27 3 Recon_code 28-30 3 Recon_sub_code 31-33 3 Revenue_date 34-41 8 Page 7 of 17 sign “-“ indicates that the Posted_fare was credited to the customer’s account. Violation "+" indicates payment of either toll and/or fee. A "-" would indicate a reversal of a Violation payment Fare amount of trip ($). Rightmost 2 characters represent the cents, for example, 5.65 is represented as ‘00565’. Leading zeros. Violations - Toll paid or due. If toll is dismissed then the amount will be '00000'. Fee amount paid or due ($). Rightmost 2 characters represents the cents, for example, 5.65 is represented as '00565'. If Fee is dismissed then the amount will be '00000'. Three character IAG Agency or CSC code of the Account owning Agency/CSC. The transaction disposition code. See table below for details. The transaction sub code. This will have unique values for each Recon_code above. See table below for details. Date in YYYYMMDD format when toll is available to NYSTA. This is based on the date used to report the revenue to NYSTA. ¾ Will contain the POSTED DATE for transactions that post to Home Agency (NY CSC) Accounts. ¾ It will contain the ACK date for the Reconciliation File (ICRX file) for transactions that post to Accounts on Release Version 6/05 Record_term End Record Record_type_code Record_term 42-43 Position 1 2-3 2 Reciprocal Agencies. CR, LF Size Valid Values 1 ‘E’ 2 CR, LF File Usage Notes ™ Every transaction received in a TXN file will be reconciled based on its disposition. This includes all entry type transactions. ™ Separate TRF files will be generated for transactions from one TXN file, i.e. if transactions being reconciled on a given date are from different TXN files, then separate TRF files will be generated for each TXN file. ™ The TRF file name will match the TXN file that it corresponds to, except that the file type will be TRF. ™ Manually entered toll transactions (MTOLs) will also be sent to NYSTA in the same format. Since these were not received in any TXN file, they will be sent in a MRF (Manual Reconciliation File). Since these transactions are generated manually at the CSC, the TXN_SERIAL_NUMBER would be the unique ID generated by the CSC. This would be replaced with the number generated by the NYSTA system once the Manual Tolls are generated by NYSTA and send electronically to the CSC. ™ Transactions rejected by the CSC processing and returned to NYSTA in a XTXN file may be resent to the CSC after corrections. These corrected transactions would appear in a new TXN file but would carry the same TXN_SERIAL_NUMBER as the original transaction. This would help NYSTA track the proper transaction. ™ Transactions sent to NYSTA in TRF files which cannot be processed by the EZRS due to data validation errors will be returned to the CSC in an XTRF file. The format of the XTRF file is identical to the TRF file. The filename is identical as well, except that the file suffix will be XTRF instead of TRF. The CSC will correct transactions sent in the XTRF file, and then resend them to NYSTA in a new TRF file. ™ The fee and toll amount will be combined in Posted_fare until a Vector database change is made. Page 8 of 17 Release Version 6/05 Recon Code/ Recon Sub Code Mapping Appendix Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code ETOL Normal transactions 001 GIC Grand Island Commuter plan 001 (barrier/ticketed) posted Home GIR Grand Island Resident plan 002 Agency Account NYNREM Thruway Employee non-revenue 004 unlimited plan Thruway employee non?revenue 008 limited plan Thruway ?eet non-revenue 010 unlimited plan NYN RV Thruway non-revenue unlimited 020 plan STANDARD Standard revenue plan for Private 040 pre-paid Accounts NY12 Annual Permit Plan Private pre- 080 paid Accounts only. TZC Tappan Zee Commuter plan 100 TZPL Tappan Zee Car Pool plan 200 BUSINESS Standard revenue plan for 400 Business pre-paid Accounts COML Standard revenue plan for 800 Commercial post-paid Accounts NRC New Rochelle Commuter 110 YKC Yonkers Commuter 1 1 1 HAC Harriman Commuter 112 BRC Black Rock Commuter 113 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code CLC City Line Commuter 114 MTRC Discount 115 MHM Motorhome Discount 116 VTOL Tagged transactions identi?ed 002 Same Recon Sub Codes as for posted through the violation ETOL process. Includes barrier and ticketed transactions. ITOL Violation transactions identi?ed 003 Same Recon Sub Codes as for through image review and posted to ETOL Accounts. Include barrier and ticketed transactions. UTOL Ticketed transactions posted to 004 Same Recon Sub Codes as for Accounts after matching entry and ETOL exit at the CSC. XTOL Exit transaction posted to Account 005 Same Recon Sub Codes as for at maximum toll rate. No matching ETOL entry transaction found. MTOL Manually entered toll transaction. 006 Same Recon Sub Codes as for ETOL POST Reciprocity transaction posted 050 Same Recon Sub Codes as for successfully at Away Agency. ETOL PPST Reciprocity transaction posted 051 Same Recon Sub Codes as for successfully at Away Agency. ETOL Identi?ed by image review. NPST Not posted at reciprocal Agency, 052 Same Recon Sub Codes as for but amount owed. ETOL 10 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code QICTX Sent to Away Agency for posting 089 UNPR Unpostable reciprocity transaction. 100 TAGB Tag in invalid status at time of 001 See sub codes for details. transaction, eg. Lost/Stolen etc. ACCB Account in invalid state. 002 INSU Insuf?cient funds at transaction 003 date/time. Tried to post after 10 days after 004 Account was closed. OLDZ Transaction too old. Attempt to 005 post after 60 days from date of transaction. RJDP Duplicate transaction. Primarily 006 used for "skigreads". RINV Invalid Data 007 RJPL Rejected license plate transaction 008 11 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code QINV QATP rejects. These are returned 150 QINVEDATE Invalid entry date 001 in the XTXN ?le. QINVXDATE Invalid exit date 002 QINVPLAZA Invalid plaza/lane 003 004 QINVCLASS Invalid class 005 QINVMODE Invalid transaction mode 006 QINVNUMVAL 007 QINVTAGGRP Invalid tag group 008 QINVRECLEN Invalid record length 010 QINVAGENCY Invalid Agency pre?x on device 011 TAGBAD ATP rejects due various Tag 200 TAGINV Tag in inventory 001 related issues TAGLOST Tag marked Lost on the Account 002 TAGSTOLEN Tag marked stolen on the Account 003 TAGRETURNED Tag returned by the customer. No 004 longer on the Account. TAGDAMAGED Tag returned as damaged. No 005 longer on the Account INVTAG 006 ACCTBAD ATP rejects due to various Account 201 INVACC Invalid Account 001 related issues Account pending closure. 002 Transaction after date the Account was marked for closure. INVACPEND Invalid Account Status 003 INVACSUSP Account suspended 004 INVACCLOS Account closed 005 12 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code DUPL ATP reject due to duplicate 202 DUPL Duplicate transaction (same tag, 001 transaction date and time excluding valid tandem transactions that are 1 second apart) XLANE Rejected as a cross lane read 002 transaction POACHING Rejected ITOL transaction due to 003 another tagged transaction posted within 5 minutes OTHERREJ ATP reject due to other reasons 203 INVH 001 002 INVPLAZA Invalid plaza or lane 003 INVDATE Invalid date 004 INVAGENCY Invalid Agency pre?x on device 005 DISC Entry transactions discarded upon 210 DISC 001 match to a complete transaction or expired in Unmatched Handler. Transient Violation Status 289 REVIEWIMG Review of image required 51 SETTOREVIEW Image set to review 52 DMVREQUESTE Requested DMV for Name 53 Address CITE To be sent a citation 54 TBDA Transaction in VTOL File 55 LICA Transaction to be processed by 56 LICA SENTTOMHI First Notice - sent to mail house 61 13 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code First Notice Sent - Pending 62 payment or dismissal. Toll amount and fee expected should be in TRF File. SENTTOMHZ Second Notice - sent to mail 63 house OPENLZ Second Notice Sent - Pending 64 payment or dismissal. SENTTOMH3 Third Notice - sent to mail house 65 OPENL3 Third Notice Sent - Pending 66 payment or dismissal PAIDPARTI Partial payment paid upon ?rst 70 notice PAIDPARTZ Partial payment paid upon second 71 notice PAIDPART3 Partial payment paid upon third 72 notice DMV DMV related issues on violations 300 DMVREJTIMS TIMS rejected DMV request 001 NAMEADDRUN Name Address unavailable 002 NODMVAGRMT No agreement with DMV for state 003 NOPOSTACCT Violations that are unpostable to 301 NOPOSTACCT Unable to post violation to 001 Accounts Account. This could be due to the various reasons that tolls are unpostable to Accounts. The detailed breakdown is not currently available. 14 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code NOPOST30DAYS Violation transaction matches 002 Account. However no attempt was made to post as the transaction was older than the allowable limit, i.e. 90 days OPROCESS AUTHREJ Authority rejected violation. This 001 Violations that are not processed due to various conditions is done where violations are 302 generated due to equipment malfunction. UNPROCESS Unprocessable violations 002 NOIMAGE No image was received for this 003 transaction NOTXN No transaction associated with 004 image IMAGEREJ Image rejected during review 303 IMGREJECT Image rejected 001 IMGREJBRIT Image too bright 002 IMGREJDARK Image dark 003 IMGREJCORR Image corrupt 004 IMGREJALGN Camera out of alignment 005 No vehicle in picture 006 Image blurry 007 Front/Rear license plates do not 008 match IMGREJSTAT State of plate cannot be identi?ed 009 IMGREJROFF Emergency vehicle 010 15 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code IMGREJWEAT Plate not clear due to weather 011 conditions IMGREJOBST License plate obstructed 012 CITECLOS Notice was paid or dismissed 315 PAIDFULL Violation notice was paid in full 001 DOTV Paid toll, dismissed ?ne, first time 002 violation DNLM Dismissed fine, left toll in the lane 003 DNPC Dismissed ?ne, paid collector 004 DNRV Dismissed. Non-Revenue passage 005 at direction of Authority DSKP Dismissed skip-read/poaching 006 DCST Dismissed. Customer with valid 007 Account DCIF Dismissed. Customer with 008 insuf?cient funds DCSY Dismissed courtesy 009 DDMV Dismissed, plate problem 010 DISI Dismissed, image challenge 011 DISS Dismissed, stolen vehicle 012 DISSWRITEOF Dismissed, outstanding for over 6 013 months 16 Recon Code Mapping Recon Sub Code Mapping CSC Code Description Recon CSC Code Description Recon Code Sub Code DISSUNDS Paid toll and part of ?ne. 014 Remaining ?ne under $5.00 which was dismissed. DISSPREPAY Dismissed fee. Paid toll through 015 prepayment DIPC Dismissed due to plate change 016 TRXEXPDATE Dismissed. Transaction older than 017 6 months DISMISSED Dismissed Violation 018 17 APPENDIX T MINIMUM REQUIRED VIOLATION NOTICES # 1 Notice Name NYSTA 1st Offense Customer Notice Applicable Authorities NYSTA Purpose Triggering Event To notify customer Use of suspended of violation – use of or negative balance tag for suspended tag or negative balance account 2 NYSTA Notice of Delinquency for a customer NYSTA To notify customer of delinquency of amount Non payment • • • Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) 3 NYSTA Final Customer Notice NYSTA To notify customer of final notice – violation will be referred to a collection agency and/or legal action if not paid. Non payment • • • Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Appendix T Page 1 of 4 • • • Data Elements Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Release Version 6/05 APPENDIX T MINIMUM REQUIRED VIOLATION NOTICES # 4 Notice Name PANYNJ 1st Offense Customer Notice Applicable Authorities PANYNJ Purpose Triggering Event To notify customer Use of suspended of violation – use of or negative balance tag for suspended tag or negative balance account 5 PANYNJ Final Customer Notice PANYNJ 6 NYSTA 1st Non-Customer Notice NYSTA To notify the non customer that if fee is not paid, violation will be referred to a collection agency and/or legal action. To notify Noncustomer of nonpayment of toll Appendix T Page 2 of 4 • • • Data Elements Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) • • • Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Using an • “E-ZPass Only” • lane without an • E-ZPass or E-ZPass is not detected and the license plate is not on an E-ZPass account Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Non-payment Release Version 6/05 APPENDIX T MINIMUM REQUIRED VIOLATION NOTICES # 7 Notice Name NYSTA Notice of Delinquency for a Non-customer Applicable Authorities NYSTA Purpose To notify Noncustomer of delinquency of amount due to nonpayment Triggering Event Non payment 8 NYSTA Final Non-Customer Notice NYSTA To notify customer of final notice – violation will be referred to a collection agency and/or legal action if not paid. Non payment • • • Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) 9 PANYNJ 1st Non-Customer Notice PANYNJ To notify customer of violation Using an • “E-ZPass Only” • lane without an • E-ZPass or E-ZPass is not detected and the license plate is not on an E-ZPass account Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Appendix T Page 3 of 4 • • • Data Elements Customer Name Customer Address Violation Record (Violation number, plate, plaza, lane, date, fee amount, toll due, total amount due) Release Version 6/05 APPENDIX T MINIMUM REQUIRED VIOLATION NOTICES # 10 Notice Name PANYNJ Final Non-Customer Notice Appendix T Page 4 of 4 Applicable Authorities PANYNJ Purpose To notify the non customer that if fee is not paid, violation will be referred to a collection agency and/or legal action. Triggering Event Non-payment • • • Data Elements Customer Name Customer Address Violation Record (Violation number, plate or tag number, plaza, lane, date, fee amount, toll due, total amount due) Release Version 6/05 NYCSC- Negative Balance Collections Interface Document Table of Contents Table of Contents............................................................................................................ 1 1.1 Term Definitions..................................................................................................... 1 1.2 Collection Send File – New Accounts .................................................................... 3 1.2.1 Description...................................................................................................... 3 1.2.2 File Name........................................................................................................ 3 1.2.3 File Layout ...................................................................................................... 3 1.3 Collection Send File – Update Accounts ................................................................ 8 1.3.1 Description...................................................................................................... 8 1.3.2 File Name........................................................................................................ 8 1.3.3 File Layout ...................................................................................................... 8 1.4 Collection Posting (RCVD) File........................................................................... 12 1.4.1 Description.................................................................................................... 12 1.4.2 File Name...................................................................................................... 12 1.4.3 File Layout .................................................................................................... 13 1.5 Acknowledgement File – From Collection Collection Agency to CSC ............... 16 1.5.1 Description.................................................................................................... 16 1.5.2 File Name...................................................................................................... 16 1.5.3 File Layout .................................................................................................... 16 1.6 Acknowledgement File – From CSC to Collection Agency................................. 17 1.6.1 Description.................................................................................................... 17 1.6.2 File Name...................................................................................................... 17 1.6.3 File Layout .................................................................................................... 17 1.7 File Transmission.................................................................................................. 18 Appendix U Page 1 of 18 Release Version 6/05 1.1 Term Definitions Field is left-padded with spaces or zeros as indicated in the description column. Field is right-padded with spaces or zeros as indicated in the description column. A single character field. CHAR A field that will support alphanumeric and special characters supported under STRING Unicode. A sequence of digits representing the date (and in some cases the time also). DATE NUMBER A sequence of digits only. A sequence of digits only preceded by the + / - sign. SIGNED NUMBER This format represents a signed field in which the leftmost position is the sign 1,6,2 indicator. The next 6 digits indicate the integral part of a floating-point number. The last 2 digits indicate 2 positions to the right of the decimal. The decimal is not displayed on the field. LPAD RPAD Appendix U Page 2 of 18 Release Version 6/05 1.2 Collection Send File – New Accounts 1.2.1 Description 1. After an account has gone to RVKF (Revoked Final) status, the customer is given an additional number of days as directed by the Authorities (actual no. of days is parameter driven) to respond, failing which the account is sent for collections. The following sections describe the file name and structure for the header, detailed and trailer records of the file that will be sent to the collection agency. 2. A separate file will be created for each agency. There are three home agencies for EZPass New York – New York State Thruway, MTA B&T, and Port Authority of NY & NJ. An account could be associated with only one of the three agencies. So, a single run of the Collection Send batch job could potentially create up to three NEW files. 1.2.2 File Name 1. {AGENCY SHORT NAME, max 4 chars}_COLLNEW_{8-digit sequence no.}_MMDDYYYY.DAT 2. AGENCY SHORT NAME – E.g., NY for accounts belonging to New York State Thruway, TB for accounts belonging to MTA B&T, and PA for accounts belonging to Port Authority of NY & NJ. 3. 8-digit sequence no. – This will be a unique no. which will be determine the chronological order in which files should be processed by the recipient. This will be unique across all files (both NEW and UPD files) sent for collection. 4. MMDDYYYY – 2-digit month (MM), 2-digit day (DD), 4-digit year (YYYY) of the date the file was created. E.g., File name created on May 15, 2003 for New York State Thruway will have the format NY_COLLNEW_00000001_05152003.DAT 1.2.3 File Layout 1.2.3.1 Header Record 1. The header record will be a single line and will appear as the first line in the file. 2. The header record will start with an H as indicated in the field details below. All fields in the header record are mandatory. 3. The fields are length delimited and the length of each field is indicated in the table below. 4. All fields that do not fill the entire field will be padded with zeros or spaces as indicated under the Description column. Appendix U Page 3 of 18 Release Version 6/05 Field Field Length Data Format Description Name Type 1 Transaction CHAR Value Type 2 File Name 35 STRING See section 1.2.2 RPAD spaces. 3 File Creation 14 DATE Hours in 24?hour format Timestamp 4 File 8 NUMBER This sequence no. will be shared across Sequence both NEW and UPD ?les being sent to No. the collection agency. The fust ?le sent will have the sequence no. 00000001. The second ?le sent, which could be a NEW or UPD ?le will have the sequence no. 00000002 1.2.3.2 Detail Record 1. All detail records will begin with an denoting a new record. 2. The ?elds are length delimited and the length of each ?eld is indicated in the table below. 3. All ?elds, that do not ?ll the entire ?eld, or are optional, will be padded with zeros or spaces as indicated under the Description column. Field Field Name Length Data Optional Format Description Type Transaction Type 1 CHAR Value (New record) Account Number 16 STRING RPAD spaces Account Type 2 NUMBER LPAD zeros; Values 01 for Private Accounts, 02 for Commercial Accounts, 03 for Business Accounts. 4 Agency Code 4 STRING Values NY, TB, RPAD spaces 5 First Name 25 STRING RPAD spaces; Contact First Name for Business Accounts 6 Middle Name 25 STRING RPAD spaces; Contact Middle Name for Business Accounts 7 Last Name 25 STRING RPAD spaces; Contact Last Name for Business Accounts 8 Company Name 50 STRING RPAD spaces. Business accounts only. 9 Address Line 1 40 STRING RPAD spaces 10 Address Line 2 40 STRING RPAD spaces 11 City 28 STRING RPAD spaces Appendix Page 4 of 18 Release Version 6/05 12 State 2 STRING 13 Zip Code 6 STRING 14 ZipPlus4 4 NUMBER 15 Country 4 STRING 16 Day Phone 10 NUMBER Y No special characters. E.g., 2403141553 or spaces 17 Evening Phone 10 NUMBER Y No special characters. E.g., 2403141553 or spaces 18 Original Balance When Revocation Process Started 9 SIGNED NUMBER 19 Date Revocation Process Started 8 DATE 20 Tag Deposit Forfeited 9 SIGNED NUMBER RPAD spaces Y Spaces if not available. RPAD spaces 1,6,2 First field is sign indicator (-), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative balance of $75.25 is represented as 00007525 YYYYMMDD 1,6,2 This field will reflect the existing tag deposit for the account when it was revoked. First field is sign indicator (+), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a positive amount of $30.00 is represented as +00003000 21 Lost Tag Fees 9 SIGNED NUMBER 1,6,2 This field will reflect the lost tag fees charged to the account when it was revoked. First field is sign indicator (-), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative amount of $50.00 is represented as 00005000 22 Account Revocation Fee 9 SIGNED NUMBER 1,6,2 This field will reflect the account revocation fee that was charged to the account when it was revoked. First field is sign indicator (-), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative amount of $25.00 is represented as - Appendix U Page 5 of 18 Release Version 6/05 00002500 23 Account Balance After RVKF 9 SIGNED NUMBER 1,6,2 Current balance before account goes to RVKF status without any fees being applied. First field is sign indicator (-), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative balance of $90.25 is represented as 00009025 24 Date Went RVKF 8 DATE 25 Current Balance For Collection 9 SIGNED NUMBER YYYYMMDD 1,6,2 This reflects the most recent collection amount before account goes to collection agency. This amount is inclusive of all fees and credits applied. First field is sign indicator (-), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative balance of $188.25 is represented as 00018825 26 Violation Balance When Sent For Collection 9 SIGNED NUMBER 1,6,2 Current violation balance before account goes to collection agency. First field is sign indicator (+ / -), then LPAD zeros for remaining 8 NUMERIC fields. E.g., a negative balance of $15.25 is represented as 00001525 1.2.3.3 Trailer Record 1. The trailer record will be a single line and will appear as the last line in the file. 2. The trailer record will start with an E as indicated in the field details below. 3. All fields in the trailer record are mandatory. 4. The fields are length delimited and the length of each field is indicated in the table below. Appendix U Page 6 of 18 Release Version 6/05 All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Name Data Type Format Description 1 Transaction Type 1 CHAR Value 2 Total no. of 9 NUMBER LPAD zeros NEW transactions 3 Total dollar 12 SIGNED 1,9,2 First ?eld is sign indicator then amount - NEW NUMBER LPAD zeros for remaining 9 NUMERIC Transactions fields. a negative balance of $150,000.25 is represented as - 00015000025 Appendix Release Version 6/05 Page 7 of18 1.3 Collection Send File – Update Accounts 1.3.1 Description 1. After an account has gone to the collection agency, transactions on the account will be sent to the collection agency for them to adjust the proper balance for collection. This would include tag returns and other financial adjustments to pre-paid toll deposit – payments, adjustments (debits & credits), reversals, etc. The following sections describe the file name and structure for the header, detailed and trailer records of the file that will be sent to the collection agency. 2. A separate file will be created for each agency. There are three home agencies for EZ-Pass New York – New York State Thruway, MTA B&T, and Port Authority of NY & NJ. An account could be associated with only one of the three agencies. So, a single run of the Collection Send batch job could potentially create up to three UPD files. 1.3.2 File Name 1. {AGENCY SHORT NAME, max 4 chars}_COLLUPD_{8-digit sequence no.}_MMDDYYYY.DAT 2. AGENCY SHORT NAME – E.g., NY for accounts belonging to New York State Thruway, TB for accounts belonging to MTA B&T, and PA for accounts belonging to Port Authority of NY & NJ. 3. 8-digit sequence no. – This will be a unique no. which will determine the chronological order in which files should be processed. This will be unique across all files (both NEW and UPD files) sent for collection. 4. MMDDYYYY – 2-digit month (MM), 2-digit day (DD), 4-digit year (YYYY) of the date the file was created. E.g., File name created on May 15, 2003 for New York State Thruway will have the format NY_COLLUPD_00000002_05152003.DAT 1.3.3 File Layout 1.3.3.1 Header Record 1. The header record will be a single line and will appear as the first line in the file. 2. The header record will start with an H as indicated in the field details below. All fields in the header record are mandatory. Appendix U Page 8 of 18 Release Version 6/05 3. The ?elds are length delimited and the length of the ?elds is indicated in the table below. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Name ILength Type Format Description Data Transaction 1 CHAR Value Type File Name 35 STRING See section 1.3.2 RPAD spaces. File Creation 14 DATE Hours in 24?hour format Timestamp File Sequence No. 8 NUMBER This sequence no. will be shared across both NEW and UPD ?les being sent to the collection agency. The ?rst ?le sent will have the sequence no. 00000001. The second ?le sent, which could be a NEW or UPD ?le will have the sequence no. 00000002 1.3.3.2 Appendix Page 9 of 18 Detail Record All detailed records will begin with a denoting an UPD record. The ?elds are length delimited and the length of each ?eld is indicated in the table below. All ?elds, that do not ?ll the entire ?eld, or are optional, will be padded with zeros or spaces as indicated under the Description column. Fields 3 4 below will be used to adjust the collectible balance for the tag returns, payments, adjustments (debits credits) and reversals. It is possible that due to the net adjustment of the existing collectible balance with the amounts in ?elds 3 8: 4 the collectible balance becomes zero or positive. a. The collection agency will cease all collection proceedings on the account when this happens. The same day they will also report the account in an RCVD ?le with a zero or positive amount (preceded by a sign) indicating acknowledgement of the account moving out of collection status. The time lag between the determination of an account going zero or positive and the reporting back of such an account in a RCVD ?le should be minimized. Release Version 6/05 Data Field Field Name Optional Format Description Type 1 Transaction Type 1 CHAR Value (Update record) 2 Account Number 16 STRING RPAD spaces 3 Tag Return Amount 9 SIGNED 1,6,2 Amount being adjusted because of NUMBE a tag return after an account was sent to collection. First ?eld is a sign indicator then LPAD zeros for remaining 8 NUMERIC ?elds. a credit of the lost tag fee of $188.25 due to a tag return is represented as +00018825. 4 Other Adjustments to Pre-paid Toll Deposit 9 SIGNED 1,6,2 Amount being adjusted because of NUMBE any ?nancial transaction after an account was sent to collection payments, adjustments (debit or credit) or reversals. First ?eld is a sign indicator - then LPAD zeros for remaining 8 NUMERIC ?elds. a net credit of $188.25 due to a payment is represented as +00018825. Similarly, a net debit of $188.25 due to a reversal ofa check payment of the same amount is represented as 00018825. 1.3.3.3 Trailer Record 1. The trailer record will be a single line and will appear as the last line in the ?le. 2. The trailer record will start with an as indicated in the ?eld details below. 3. All ?elds in the trailer record are mandatory. 4. The ?elds are length delimited and the length of the ?elds is indicated in the table below. 5. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Name Length Data Type Format Description Transaction Type 1 CHAR Value 2 Total no. of UPD 9 NUMBER LPAD zeros transactions Appendix Page 10 of 1 8 Release Version 6/05 3 Total dollar amount – UPD Transactions Appendix U Page 11 of 18 12 SIGNED NUMBER 1,9,2 First field is sign indicator (-), then LPAD zeros for remaining 9 NUMERIC fields. E.g., a negative balance of $150,000.25 is represented as -00015000025 Release Version 6/05 1.4 Collection Posting (RCVD) File 1.4.1 Description 1. After the collection agency has reached a decision regarding an account, it will report the payments, dismissals and uncollectibles to CSC in a file for the agency to which the account belongs. 2. There will be separate files for each agency that the accounts being reported back belong to. Accounts will be rejected if they are not associated with the proper agency file. 3. If an account’s collectible balance becomes zero or positive the collection agency will report the account in an RCVD file with a zero or positive amount (preceded by a ‘+’ sign) indicating acknowledgement of the account moving out of collection status. a. For all such accounts the Payments, Dismissals and Uncollectibles fields will have zeros in them. The time lag between the determination of an account going zero or positive and the reporting back of such an account in a RCVD file should be minimized primarily because of the possibility of other financial transactions happening on the account that could change the current balance. The following describes the file name and structure that we will be receiving from the collection agency. 1.4.2 File Name 1. {AGENCY SHORT NAME, max 4 chars}_COLLRCVD_{8-digit sequence no.}_MMDDYYYY.DAT 2. AGENCY SHORT NAME – E.g., NY for accounts belonging to New York State Thruway, TB for accounts belonging to MTA B&T, and PA for accounts belonging to Port Authority of NY & NJ. 3. 8-digit sequence no. – This will be a unique no. which will determine the chronological order in which files should be processed. This will be unique across all files received from collection. 4. MMDDYYYY – 2-digit month (MM), 2-digit day (DD), 4-digit year (YYYY) of the date the file was created. E.g., File name created on May 15, 2003 for NY_COLLRCVD_00000003_05152003.DAT Appendix U Page 12 of 18 Release Version 6/05 1.4.3 File Layout 1.4.3.1 Header Record 1. The header record will be a single line and will appear as the ?rst line in the ?le. 2. The header record will start with an as indicated in the ?eld details below. 3. All ?elds in the header record are mandatory. 4. The ?elds are length delimited and the length of the ?elds is indicated in the table below. 5. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Length] Data Format Description Name Type 1 Transaction CHAR Value Type 2 File Name 35 STRING See section 1.4.2 RPAD spaces. File Creation 14 DATE Hours in 24-hour format Tirnestamp 4 File 8 NUMBER This sequence number will be unique Sequence for each ?le that is sent to CSC from No. the collection agency. The ?rst ?le will have the sequence no. 00000001, the second ?le will have the sequence no. 00000002, and so on. 1.4.3.2 Detail Record 1. All ?elds in this ?le are mandatory. If the collectible balance is negative then the sum total of ?elds 3, 4, 5 and 6 should be $0.00. If this condition is not satis?ed, the record will be rejected. 2. If an account's collectible balance becomes zero or positive the collection agency will report the account in an RCVD ?le with a zero or positive amount (preceded by a sign) indicating acknowledgement of the account moving out of collection status. a. For all such accounts the qunenfs, Dismissals and Uncollectibles ?elds will have zeros in them. The ?elds are length delimited and the length of the ?elds is indicated in the table below. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Appendix Release Version 6/05 Page 13 of18 Field Field Name ILength Data Type Format Description Transaction Type 1 CHAR Value Account Number 16 STRING RPAD spaces Current Balance For Collection 9 SIGNED 1,6,2 First ?eld is sign indicator NUMBER then LPAD zeros for remaining 8 NUMERIC ?elds. a negative balance of $188.25 is represented as ?00018825. If an account went zero or positive due to ?nancial transactions (such as a tag return, payment, adjustment (debit or credit) or reversal), then the account will be reported back in this ?eld with a sign preceding the current balance. The Payments, Dismissals and Uncollectibles ?elds will be reported with all Os for such accounts. 4 Payments 9 SIGNED 1,6,2 Payment made by the account NUMBER holder to the collection agency. First ?eld is sign indicator then LPAD zeros for remaining 8 NUMERIC ?elds. a positive balance of $188.25 is represented as +00018825 5 Dismissals 9 SIGNED 1,6,2 Amount that was written off after NUMBER mutual agreement between CSC and collection agency because of the inability to pay or some other reason. Handled on a case?by?case basis. First ?eld is sign indicator then LPAD zeros for remaining 8 NUMERIC ?elds. a positive balance of $188.25 is represented as +00018825 SIGNED 1,6,2 The account holder could not be NUMBER reached. So, the entire amount is a write-off. (D 6 Uncollectibles First ?eld is sign indicator then LPAD zeros for remaining 8 NUMERIC ?elds. a positive balance of $188.25 is represented as +00018825 7 Settlement Date 8 DATE 1.4.3.3 Trailer Record 1. The trailer record will be a single line and will appear as the last line in the ?le. 2. The trailer record will start with an as indicated in the ?eld details below. Appendix Release Version 6/05 Page 14 of18 3. All ?elds in the trailer record are mandatory. 4. The ?elds are length delimited and the length of the ?elds is indicated in the table below. 5. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the column. Field Field Name Length Data Type Format Description 1 Transaction 1 CHAR Value Type 2 Total no. of 9 NUMBER LPAD zeros transactions 3 Total amount 12 SIGNED 1,9,2 First ?eld is sign indicator then LPAD for payments NUMBER zeros for remaining 9 NUMERIC ?elds. a positive balance of $150,000.25 is represented as +00015000025 4 Total amount 12 SIGNED 1,9,2 First ?eld is sign indicator then LPAD for dismissals NUMBER zeros for remaining 9 UMERIC ?elds. a positive balance of $150,000.25 is represented as +00015000025 5 Total amount 12 SIGNED 1,9,2 First ?eld is sign indicator then LPAD for NUMBER zeros for remaining 9 NUMERIC ?elds. uncollectibles a positive balance of $150,000.25 is represented as +00015000025 Appendix Release Version 6/05 Page 15 of18 1.5Acknowledgement File From Collection Collection Agency to CSC 1.5.1 Description The collection agency will acknowledge the receipt of the SEND ?les (both NEW and UPD ?les) through acknowledgement ?les. The intent is to con?rm proper transmission of the SEND ?le and the ability to open, read and process the records in it. 1.5.2 File Name ?le name w/o .DAT extension being acknowledged}.ACK 1.5.3 File Layout 1. The record in the acknowledgement ?le will be a single line. 2. All ?elds in the trailer record are mandatory. 3. The ?elds are length delimited and the length of the ?elds is indicated in the table below. 4. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Name Length Data Format Description Type 1 Original File 35 STRING See Section 1.2.2 1.3.2 Name being Acknowledged 2 Original File 8 NUMBER Sequence Number 3 File Processing 2 NUMBER 00 Success, 01 Status Failure to read. 4 Acknowledgement 14 DATE File Creation in 24-hour format Timestamp 5 Total no. of 9 NUMBER LPAD zeros transactions from SEND ?le 6 Total dollar 12 SIGNED 1.9.2 First ?eld is sign amount from NUMBER indicator (-), then LPAD SEND ?le zeros for remaining 9 NUMERIC ?elds. a negative balance of $150,000.25 is represented as - 00015000025 Appendix Release Version 6/05 Page 16of18 1.6Acknowledgement File From CSC to Collection Agency 1.6.1 Description CSC will acknowledge the receipt of the RCVD ?le through an acknowledgement ?le. The intent is to con?rm proper transmission of the RCVD ?le and the ability to open, read and process the records in it. 1.6.2 File Name ?le name w/o .DAT extension being acknowledged}.ACK 1.6.3 File Layout 1. The record in the acknowledgement ?le will be a single line. 2. All ?elds in the record are mandatory. 3. The ?elds are length delimited and the length of the ?elds is indicated in the table below. 4. All ?elds that do not ?ll the entire ?eld will be padded with zeros or spaces as indicated under the Description column. Field Field Name Data Format Description Type 1 Original File Name 35 STRING See Section 1.4.2 being Acknowledged 2 Original File 8 NUMBER Sequence Number 3 File Processing 2 NUMBER 00 Success, 01 Failure to Status read. 4 Acknowledgement 14 DATE in File Creation 24?hour format Timestamp 5 Total no. of 9 NUMBER LPAD zeros transactions from trailer in RCVD ?le 6 Total amount for 12 SIGNED 1,9,2 First ?eld is sign indicator payments from NUMBER then LPAD zeros for remaining trailer in RCVD ?le 9 NUMERIC ?elds. a positive balance of $150,000.25 is represented as +00015000025 7 Total amount for 12 SIGNED 1,9,2 First ?eld is sign indicator dismissals from NUMBER then LPAD zeros for remaining trailer in RCVD ?le 9 NUMERIC ?elds. a positive balance of $150,000.25 Appendix Page 17 of18 Release Version 6/05 is represented as +00015000025 8 Total $$ amount for uncollectibles from trailer in RCVD file 12 SIGNED NUMBER 1,9,2 First field is sign indicator (+), then LPAD zeros for remaining 9 NUMERIC fields. E.g., a positive balance of $150,000.25 is represented as +00015000025 1.7 File Transmission CSC will put and get all files from designated directories, on the collection agency’s file server. A FTP process on NYEPS1 will connect to the collection agency’s file server once per day and move the files to / from their proper directories for further processing. Appendix U Page 18 of 18 Release Version 6/05 Appendix V Minimum Required Speeding Notices # Notice Name 1 NYSTA/PANYNJ Speed Warning Notice Individual Account 2 NYSTA/PANYNJ Additional Speed Warnings Individual Account 3 NYSTA/PANYNJ 60 Day Suspension Individual Account Appendix V Page 1 of 4 Applicable Authorities NYSTA/PANYNJ Purpose Triggering Event Data Elements To notify a customer of a speed infraction and warn them of possible suspension or revocation 1st speed infraction • • • Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) NYSTA/ PANYNJ To notify a customer of a speed infraction and warn them of possible suspension or revocation Additional speed events within 14 days of first speed violation • • • Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) NYSTA/PANYNJ To notify the customer of a speeding infraction and resulting suspension Speeding infraction • Account Number • Tag number • Infraction information (tag ID, plaza, lane, date, time, and speed) • Period of resulting suspension Release Version 6/05 Appendix V Minimum Required Speeding Notices # Notice Name 4 NYSTA/PANYNJ 180 day Speed Suspension Notice Individual Account 5 NYSTA/PANYNJ Speed Revocation Notice Individual Account 6 NYSTA/PANYNJ 60 Day Suspension Business Account Appendix V Page 2 of 4 Applicable Authorities NYSTA/PANYNJ Purpose Triggering Event Data Elements To notify the customer of a speeding infraction and resulting suspension Speeding infraction • Account Number • Tag number • Infraction information (tag ID, plaza, lane, date, time, and speed) • Period of resulting suspension NYSTA/PANYNJ To notify a customer that their privileges are revoked due to a speed infraction Speeding infraction • • • NYSTA /PANYNJ To notify the customer of a speeding infraction and resulting TAG suspension Speeding infraction • Account Number • Tag number • Infraction information (tag ID, plaza, lane, date, time, and speed) • Period of resulting suspension Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) Release Version 6/05 Appendix V Minimum Required Speeding Notices # Notice Name 7 NYSTA/PANYNJ Speed 180 day Suspension Notice – Business Account 8 Applicable Authorities NYSTA/ PANYNJ Purpose Triggering Event Data Elements To notify the customer of a speeding infraction and resulting TAG suspension Speeding infraction • Account Number • Tag number • Infraction information (tag ID, plaza, lane, date, time, and speed) • Period of resulting suspension NYSTA/PANYNJ NYSTA/ PANYNJ Speed 1 Year Suspension Notice – Business Account To notify a customer that their tag privileges are revoked for one year due to a speed infraction Speeding infraction • • • Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) 9 NYSTA/PANYNJ Speed Appeal Acknowledgement NYSTA/PANYNJ To advise of receipt of appeal and advise that the tag can be used until a determination is made on the appeal Customer appeal • • • Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) 10 NYSTA/PANYNJ Speed Appeal Request Denial NYSTA/ PANYNJ To advise of appeal determination Customer appeal • • • Account Number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) Appendix V Page 3 of 4 Release Version 6/05 Appendix V Minimum Required Speeding Notices # Notice Name Applicable Authorities Purpose Triggering Event Data Elements 11 NYSTA/PANYNJ Speed Appeal Request Accepted NYSTA/PANYNJ To advise of appeal determination Customer appeal • • • Account number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) 12 NYSTA/PANYNJ Speed Reduced to a Warning NYSTA/PANYNJ To advise of appeal determination Customer appeal • • • Account number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) 13 NYSTA/PANYNJ Speed Reduced Suspension NYSTA/PANYNJ To advise of appeal determination Customer appeal • • • Account number Tag number Speed violation transaction information (tag ID, plaza, lane, date, time, speed) Appendix V Page 4 of 4 Release Version 6/05 TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Enrollment All properly3 completed individual applications received by mail or web Account shall be processed and tags mailed 99% . 0.05% 0.10% 0.15% . . . . Maintenance/Accounts Within 3 busmess days of receipt of the application All requests for tags for existing accounts shall be processed and 0 Account 0 mailed within 2 business days of 99 A) Maintenance/Accounts 0'25 A) 0'35 0'80 A) receipt of the request Payments All payments received shall be depOSIted Into the Authorities .bank 100% . Account 045% 0.70% 1.6% accounts by close of next busmess Maintenance/Accounts day All payments received shall be credited to the customer?s account 0 Account 0 before the tag ?le is created for that 100 Maintenance/Accounts 0'75 1'10 2'60 A day Automatic replenishment requests shall be made to ?nancial institution(s) Account within 2 calendar days of when any 100% 0.75% 1.10% 2.60% customer?s account reaches the replenishment threshold Maintenance/Accounts TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Notice that a Credit Card used for auto replenishment was declined letters 0 Account 0 0 shall be issued within 1 business day 99 Maintenance/Accounts 0?65 0?90 2?25 of the ?nal decline4 Customer Statements Customer statements shall be mailed Account or emailed within 7 calendar days from 99.5% Maintenance Accounts 0.40% 0.70% 1.60% end of statement cycle Archived customer statements shall be Account sent to the customer within 5 business 95% Maintenance Accounts 0.10% 0.15% 0.30% days of request5 Customer Service All inquiries disputes received via the web, telephone, mail and walk-in 0 . . centers shall be resolved or responded biz/:1 ?33; 55 Maintergiicfevxzcounts 0.45% 0.70% 1.60% to within 5 business days of receipt at CSC All inquiries disputes received via the web, telephone, mail and walk-in Account centers that are responded to but not 99% 0.55% 0.75% 1.90% resolved within 5 business days shall then be resolved within 20 calendar days of receipt at CSC Maintenance/Accounts TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Call Center 80 of the total number of calls 80% answered per day by the CSR 5 shall (measured Account 0.85% 1.25% 290% be answered Within 45 seconds of dail Malntenance/Accounts being placed into the CSR queue 98% of the The Voice Response System shall be total hours available to customers 24 hours/day, 7 excluding Account 0 0 0 days/week excluding approved approved Maintenance/Accounts 0'75 1'10 2'60 scheduled maintenance scheduled maintenance Voice Response System shall respond to interactive customer speci?c inquiry 95% of the Account from the database within 4 seconds calls answered Maintenance Accounts 0.75% 1.10% 2.60% from when the customer requests the per month speci?c information Web 98% of the The Website shall be available to ?Maggi per customers 24 hours/day, 7 days/week excluding Account 075% 1.10% 2.60% excluding approved scheduled a rove Malntenance/Accounts maintenance pp scheduled maintenance Transaction Processing A manual toll not sent in a transaction Account ?le shall be processed within 3 97% 0.40% 0.70% 1.60% business days of receipt Maintenance/Accounts TABLE W-1 Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Threshold Relevant Price Category/Unit A tag status file shall be generated6 daily and received by the Authorities by 4 a.m. (IAG files shall be incorporated based on availability to meet standard) 98% Valid ETC lane or E-ZPass Plus transactions – NY Authorities’ transactions from NYCSC accounts shall be processed7 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) 0 - 5%1 Below Threshold 5 - 15%2 Below Threshold More than 15% Below Threshold Account Maintenance/Accounts 0.90% 1.40% 3.20% 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% Valid ETC lane or E-ZPass Plus transactions – Away account on a NY Authority facility shall be processed8 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% Away transactions – NY Authorities’ accounts traveling on an Away facility shall be processed9 within 24 hours of receipt 97% Account Maintenance/Transactions 0.80% 1.40% 3.00% NYSTA unmatched transactions shall be processed10 within 7 calendar days of receipt 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% TABLE W?l PERFORMANCE STANDARD Adjustment Threshold Relevant Price Category/Unit Adjustment Percentage (Reduction for Non-Compliance) - 5%1 Below Threshold 5 - 15%2 Below Threshold More than 15% Below Threshold NYSTA and PANYNJ license plate transactions shall be posted within 24 hours of identifying that the license plate belonged to a valid customer account 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% System The system shall be available to users during business hours 99.6% Account Maintenance/Accounts 0.90% 1 .40% 3.20% Reporting All the reports identi?ed in the SOW must be provided no later than: 0 Daily 2 business days after report date 0 Weekly 3 business days after report date . 7 business days after report date 0 Quarterly 7 business days after report date . Annual 10 business days after report date 95% Account Maintenance/Accounts 0.30% 0.40% 0.90% TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Speed Enforcement Processing Speeding notices shall be mailed eed enforcement within 3 business days of transaction processmg/Notices posting date Toll Violation Processing Toll evasion images11 shall be Toll Violation processed 12within 3 business days of 97% . 4.30% 6.40% 15.00% . Processmg/lmages receipt. Archived images shall be sent to the Toll Violation customer or the Authority within 5 95% . 1.40% 2.20% 5.00% . Processmg/lmages busmess days of request Toll evasion notices shall be sent within 3 business days from obtaining 0 Toll Violation 0 0 the name and address from DMV or 97 Processing/Notices 4'30 6'40 15'00 /0 the contractor's database Class Mismatch Processing Class mismatch images13 shall be Class Mismatch processed14 within 5 business days of 97% . 4.00% 6.00% 14.00% . Processmg/lmages receipt. Archived images shall be sent to the Class Mismatch 0 0 0 0 customer or the Authority Within 5 95 A) Processing /lmages 2.00 A) 3.00 /o 7.00 A) busmess days of request TABLE W-l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Class mismatch notices shall be sent Class Mismatch within 3 business days of class 97% . . 4.00% 6.00% 14.00% . . . Processmg/Notlces mismatch Images being processed Walk-In Centers Customers shall wait in line no longer than 10 minutes at a walk-In center 95% Walk-In Center 5% 10% 25% before reaching a servuce wmdow (Upstate Walk-In Centers) Customers shall wait in line no longer than 10 at a Wa'k'm. ?enter 95% Walk-in Center 10% 15% 35% before reaching a servrce wmdow (Downstate Walk-In Centers) 1 means greater than zero and up to and including 5.00 percent 2 5-15%? means greater than 5 percent and up to and including 15.00 percent 3 Properly shall mean applications that are fully completed by the customer. 4 See Section 2.3.4.8.1.2 regarding credit card authorization and declines. 5 This performance standard only applies to statements less than three years old. 6 Generated shall mean incorporating all NY tags with any other LAG agency tag ?les received in the proper format for the NY agency. 7 Processed shall mean posted. rejected. ?ltered and reconcilable to the agencies. 8 Processed shall mean ?ltering and sending a transaction ?le to an Away CSC. 9 Processed shall mean posting. rejecting and reconciling transactions. 1? Processed shall mean matching or posting as a max toll. 11 Any number of images related to a single toll evasion violation transaction counts as a single image and images do not include the QA review of unreadable images or the re-reviewed images associated with license plate numbers rejected by as not having a match. 12 Processed shall mean matching image with transaction. viewing image. and identifying plate number or rejecting image. 13 Any munber of images related to a single class mismatch transaction counts as a single image for purposes of Performance Standards. pricing. and pricing adjustments. 14 Processed shall include reviewing images. determining class and processing adjustment if necessary. Appendix W NYCSC Sample Price Adjustment Calculations Section 4 presents the pricing categories that will be used for payment of the selected NYCSC Contractor. There are five major categories applicable to ongoing operation: • • • • • Account Maintenance Speed Enforcement Processing Toll Violation Processing Class Mismatch Processing Walk-in Centers Section 4 provides required units that must be used by Proposers for each of these pricing categories in their Base Proposals; this information is included in Table 4-1. For Alternative Proposals, the Authorities expect the same concepts presented herein shall apply. However, for Alternative Proposals, it is incumbent on Proposers to indicate which Performance Standards and/or pricing categories still apply; which new standards and/or pricing categories are proposed to be added; what price units are relevant; and what adjustment thresholds and price reductions would be used. Section 2.3.1.6 lists the Performance Standard requirements for the NYCSC operation. Each of the Performance Standards is associated with one of the price categories listed in Table 4-1. For each of the Performance Standards, the Contractor shall measure and report actual performance on a monthly basis in conjunction with submitting invoices for payment, with such reports subject to audit at the discretion of the Authorities. Table W-1 lists an “Adjustment Threshold” for each performance standard. If the measured performance of every item meets or exceeds the thresholds, then no adjustment to the payment for that period is made. However, if the actual performance does not at least meet the threshold on any item, this triggers an automatic price adjustment and the payment for the applicable price category shall be reduced accordingly. Table W-1 also lists three possible “Adjustment Percentages”. One of these adjustment percentages shall be used to determine the amount of payment reduction, depending on how far the actual performance falls below the adjustment threshold. If the actual performance is above zero and up to and including, five percent below the threshold, the first adjustment percentage shall be used. If the actual performance is above five percent and up to, and including, fifteen percent below the threshold, a higher percentage is used. Finally, if the performance falls to more than fifteen percent below the threshold an even higher adjustment percentage is used. Applying this methodology results in the following possible adjustments: Appendix W Page 1 of 2 Release Version 6/05 Payment Reduction = (Total Payment Otherwise Due for Price Category/Unit) X (Adjustment Percentage) For example, assume the following hypothetical values: Price Category: Pricing Unit (sample): Total Active Accounts: Unit Price: Performance Standard: Adjustment Threshold: Actual Performance: Adjustment Percentage (0-5%) Adjustment Percentage (5-15%) Adjustment Percentage (>15%) Account Maintenance Active Accounts 1,000,000 $1.00 per active account “All requests for tags for existing accounts must be processed and mailed within 2 business days” 99% 97% 0.25% 0.35% 0.80% Thus, the total payment otherwise due for Account Maintenance based on the unit price active account (if there were no reductions) would be: (1,000,000 Active Accounts) X ($1.00 per active account) = $1,000,000.00 The payment reduction due to non-compliance would be: $1,000,000 X (0.25%) = $2,500.00 It follows that the unit price payment for Account Maintenance (based on active accounts) would be: $1,000,000.00 - $2,500.00 = $997,500.00 To further clarify, if the actual performance was measured to be 92%, the second adjustment percentage (0.35%) would be used (because the actual performance is 7% below the threshold), increasing the payment reduction to $3,500.00. Finally, if the performance fell to 80%, the third adjustment percentage (0.80%) would be used, increasing the payment reduction to $8,000.00. Note that only one adjustment is made to each item that falls below the threshold. In other words, the reductions are not cumulative. They are, however, larger as the extent of non-compliance increases. This calculation is to be repeated for each and every one of the Performance Standards for which the Contractor did not meet or exceed the Adjustment Threshold. It bears restatement that even though a Performance Standard has not been met, the work associated with that standard must still be accomplished in its entirety. Appendix W Page 2 of 2 Release Version 6/05 Appendix X NYCSC VRS Script Message numbers with an “H” prefix refer to those messages that will be read on Holidays in which the CSC is closed.” ACD GROUPS: 1 2 3 5 7 = General CSR’s = VRS = Business CSR’s = VRS = Violation CSR’s (000) MAIN MENU Thank You for calling E-ZPass New York. Please visit us at www.e-zpassNY.com for account information or to open an account online. Please choose from the following five options ƒ For account balance, press 1 (001, 100) ƒ To verify or update your credit card, change your payment method to credit card or make a one time credit card payment, press 2 (Go to 001, 212) ƒ If you are calling about a violation notice, press 3 (500) ƒ For information regarding E-ZPass Plus, E-ZPass NY Walk-In Center locations and where your E-ZPass can be used, press 4(400) ƒ For other E-ZPass account information or to speak with a Customer Service Representative, press 5 (010) ƒ To repeat these menu options, press star(*) If caller does not select an option within 5 seconds of the last recording, play ‘You have not selected an option’ and repeat the above menu. If an option is not selected after repeat, go to 010. Option 1 above will go to 001 prior to being routed to section 100. PIN is not required for option 1. Option 2 will go to 001 prior to being routed to the appropriate section of the script. Option 5 will not prompt for account number and password. User will be prompted for account number/password once a dynamic menu is selected in 010 (001) ƒ Please enter your account number, followed by pound. ƒ You entered ####, if this is correct press 1 – ƒ If this is incorrect, press 2 (001) Go to (100) for account balance only. For all other dynamic information, Go to (003) System interrogates database. If account number is not found, go to DB000, else, go to 003. (DB000) ƒ You have entered an invalid account number. ƒ Please hold while we transfer you to the next available CSR. (ACD Group 1) ƒ If call is after normal business hours NIGHT MESSAGE. (003) ƒ Please enter your 4 digit PIN followed by pound ƒ If correct, go to 010 If incorrect or no response two times, Go to 004 (004) ƒ To receive a PIN reminder letter in the mail, press 1 Appendix X Page 1 of 19 Release Version 6/05 Appendix X ƒ ƒ (005) ƒ ƒ ƒ ƒ ƒ To return to the main menu, press 9 (Go to 000) To speak with a Customer Service Representative, please hold and you will be transferred to the next available CSR (Transfer to ACD Group 1) Please enter your 5 digit zip code so that we can verify your mailing address. If the zip code entered does not match mailing address zip code, transfer to CSR. If the zip code entered matches the mailing address zip code – Generate a PIN Letter and continue Your request has been submitted. To return to the main menu, press 9 (Go to 000) SUB-MENU (010) – BUSINESS HOURS For quality assurance purposes, your call may be monitored or recorded.(This message will be played only upon transfer to a CSR) ƒ For recent payment information, PIN changes or commuter plan suspension, press 1 (go to 001, 003, 200). ƒ To report a lost or stolen tag or to request an additional tag press 2 (go to 001, 003, 300) ƒ To request tag strips, read prevention bags or screws for license plate tags, press 3 (Go to 001, 003, 330) ƒ If you need to speak with a Customer Service Representative, please hold while we transfer you to the next available agent. (‘0’ will be an invalid response. Do not allow customer to press 0 to reach a CSR. If caller has not pressed an option within 5 seconds, transfer to a CSR. ƒ To repeat these menu options, press star (*). ƒ To return to the main menu, press 9 (Go to 000) ƒ (play menu once unless customer opts to repeat it by pressing *) ƒ (Option 1, 2, and 3, if database is unavailable, go to DB000) ƒ (If rotary caller, on daytime play: Please hold while we transfer you to the next available Customer Service Representative (transfer to ACD group 1; If at any time after account information is pulled up, a customer opts to speak with a CSR through the menu options, individual and non-revenue account numbers should be routed to ACD Group1, and business and commercial post paid account numbers should be routed to ACD Group 3. NIGHT MESSAGE, MAIN MENU (N000) – AFTER NORMAL BUSINESS HOURS Please listen closely to the following message: ƒ For recent payment information, PIN changes or commuter plan suspension, press 1 (go to 001, 003, 200). ƒ To report a lost or stolen tag or to request an additional tag press 2 (go to 001, 003, 300) ƒ ƒ To request tag strips, read prevention bags or screws for license plate tags, press 3 (Go to 001, 003, 330) To repeat these menu options, press the star (*) key now. ƒ To return to the main menu, press 9 (Go to 000) ƒ (play menu once unless customer opts to repeat it by pressing *) Appendix X Page 2 of 19 Release Version 6/05 Appendix X ƒ At night, getting the hours from the business hours file, Dynamically play: You will need to speak with a Customer Service Representative, please contact us during our normal business hours, which are Monday through Friday 7:00 am to 7:00 pm, and Saturday 8:00 am to 2:00 pm) Options 1, 2 and 3 will prompt the caller to type in their account number followed by their PIN (003). Once the caller inputs options 1, 2, or 3, they should not be prompted to do so again when they move to any other option. If database is unavailable go to DB000) HOLIDAY MESSAGE (H000) (When it is a holiday, the following message is played): ƒ Thank you for calling the E-ZPass customer service center. In observance of (Insert Holiday), the E-ZPass Customer Service Center is closed. Please visit the E-ZPass website at www.e-zpassny.com (If the system is available, go to the Night Main -Menu (N000), Else go to the no database menu (DB000) DATABASE UNAVAILABLE MESSAGE (DB000) (When the database is unavailable, the following message is played): ƒ The system is currently unavailable, however, you may access E-ZPass General Information from the main menu. To access your account information, please try your call again later. We apologize for the inconvenience. ƒ For general information regarding the E-ZPass program, press 1 now (go to 400) ƒ If you need to speak with a Customer Service Representative, please press (0) zero now (go to ACD group 1) (100) Account Balance ƒ Scan the database for Replenishment or Nonreplenishment Account. ƒ If Non-Automatic Replenishment (103) ƒ Automatic Replenishment (102) (102) Credit Card Customers Your current available balance is $xx.xx. ƒ To repeat this information, press star(*) ƒ To return to the main menu press 9 (Go to 000) (103) ƒ ƒ ƒ ƒ ƒ ƒ Cash/Check Customers Your available balance is $xx.xx You must replenish your account when your balance is less than $xx.xx (threshold amount). Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance To repeat this information, press star() To return to the main menu press 9 (Go to 000) (200) Account Information – From Option 2 of the Main Menu ƒ If account is replenished manually, do not offer the option of updating credit card expiration date. ƒ For recent payment information, press 1(210) ƒ To change your PIN #, press 2 (250) If the account is a business account, do not offer the following option. ƒ To suspend a commuter plan, press 3 (240) ƒ To repeat these options press star (*). (200) ƒ To return to the main menu press 9 (Go to 000) (210) Check recent payment . This option enabled again on Only cash and check customers should hear the following message - We strongly recommend you use automatic replenishment with a credit card, because it is the easiest and most efficient payment method to assure an adequate account balance Appendix X Release Version 6/05 Page 3 of 19 Appendix X ƒ (If payment information is found and it is positive) Your most recent payment was made by (payment type) in the amount of $xx.xx on mm/dd/yyyy (If payment information is not found) We could not locate any recent payment information for this account. Please hold while we transfer you to the next available CSR ƒ To repeat press star(*) ƒ To return to the main menu, press 9 (Go to 000) (212)Credit Card Functionality ƒ System will identify whether the caller is a Credit card customer – If credit card customer: ƒ The credit card currently on your account is [credit card type]. ƒ The last four digits of the credit card are xxxx ƒ This credit card has an expiration date of mm/yyyy ƒ To update expiration date of your credit card, press 1 (Go to 223) ƒ To update the current credit card on your account, press 2 (Go to 218) ƒ To repeat these options, press star(*) ƒ To return to the previous menu, press # ƒ To return to the main menu, press 9 (Go to 000) If cash/Check customer, go to 214 (214)Cash/Check Customers ƒ To change your replenishment method to credit card, press 1 (Go To 226) ƒ To make a one-time payment by credit card, press 2 (Go To 234) ƒ To repeat these menu options, press star(*) ƒ To return to the main menu, press 9 (Go to 000) (218) Change credit card used for replenishment – Credit Card Type ƒ For Visa, Press 1(Go to 220) ƒ Mastercard, press 2 (Go to 220) ƒ American Express, press 3 (Go to 220) ƒ Discover, press 4 (Go to 220) ƒ To repeat these options, press star(*) ƒ To return to the previous menu, press # ƒ To return to the main menu, press 9 (Go to 000) (220) Change credit card used for replenishment – Credit Card Number ƒ Please enter the new credit card number now, followed by the # sign.(Go to 230) ƒ If no response, repeat the menu options ƒ If no response twice, transfer to a CSR (223) ƒ Please enter the new expiration date of your credit card, giving 2 numbers for the month, and 4 numbers for the year. For example, for July 2005, you would enter 0 7 2005. ƒ Please enter the date now. ƒ You entered xxxxxx, if this is correct press 1(225) ƒ If this is incorrect, press 2 (224) (224) ƒ ƒ ƒ ƒ ƒ Please re-enter the expiration date of your credit card now. You entered xxxxxx, if this is correct press 1(225) If this is incorrect, press 2 (224) If incorrect 2 times, transfer to ACD Group 1.You have entered an invalid expiration date. Please hold while we transfer you to the next available CSR. If customer is calling after normal business hours, go to NIGHT MESSAGE (225) ƒ Your credit card expiration date has been updated. ƒ To return to the main menu press 9 (001) ƒ To end this call, please hang up. Appendix X Page 4 of 19 Release Version 6/05 Appendix X (226)Change Replenishment Method To Credit Card – Select Credit Card Type Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance.Your credit card will be charged the replenishment payment when your account balance is [threshold amount]. ƒ For Visa, Press 1 (Go to 228) ƒ Mastercard, press 2 (Go to 228) ƒ American Express, press 3 (Go to 228) ƒ Discover, press 4 (Go to 228) ƒ To repeat these options, press star(*) ƒ To return to the previous menu, press # ƒ To return to the main menu, press 9 (Go to 000) (228)Change Replenishment Method To Credit Card – Enter Credit Card Number ƒ Please enter your credit card number now, followed by # (Go to 230) ƒ If no response, repeat the menu options ƒ If no response twice, transfer to a CSR (230)Change Replenishment Method To Credit Card – Enter Credit Card Expiration Date ƒ ƒ ƒ ƒ (231) ƒ ƒ ƒ ƒ ƒ Please enter the expiration date of your credit card, giving 2 numbers for the month, and 4 numbers for the year. For example, for July 2005, you would enter 0 7 2005. Please enter the date now. If the date entered is a valid date, go to 232 If the date entered is invalid, go to 230 To pay the minimum amount due, press 1(Go to 239) To pay an amount higher than the minimum amount due, press 2 (Go to 238) To repeat, press star(*) To return to the previous menu, press #(Go to 216) To return to the main menu press 9 (Go to 000) (232) ƒ ƒ ƒ The credit card information you entered is [credit card type], [credit card number], [credit card expiration date] If correct, press 1 (Go to 233) If incorrect, press 2 (Go to 226) (233) All credit card validations will be performed – Credit card type, credit card number and expiration date. If credit card information is valid: ƒ ƒ ƒ ƒ Your credit card information has been added. All future replenishment payments will be charged to your updated credit card information. Your account will be replenished whenever your account balance is [threshold amount]. To repeat, press star(*) To return to the previous menu, press # (Go to 212) To return to the main menu, press 9 (Go to 000) If cc information is invalid: ƒ The credit card information you entered is invalid. This transaction has not been processed. Please re-enter your credit card information. (Go to 226) (234)To Make a One-Time Payment – Credit Card Type Appendix X Page 5 of 19 Release Version 6/05 Appendix X Please note that the payment you are about to make is a one-time credit card payment. The credit card used for this payment will not be added to your account as a future payment method. ƒ ƒ ƒ ƒ ƒ ƒ ƒ For Visa, Press 1(Go to 235) Mastercard, press 2(Go to 235) American Express, press 3(Go to 235) Discover, press 4(Go to 235) To repeat these options, press star(*) To return to the previous menu, press # To return to the main menu, press 9 (Go to 000) (235)To Make A One-Time Payment – Enter Credit Card Number ƒ Please enter your credit card number now, followed by the # sign. (Go to 236) ƒ If no response, repeat the menu options ƒ If no response twice, transfer to a CSR (236) Make A One-Time Payment – Enter expiration Date ƒ ƒ ƒ ƒ Please enter the expiration date of your credit card, giving 2 numbers for the month, and 4 numbers for the year. For example, for July 2005, you would enter 0 7 2005. Please enter the date now.(Go to 237) If incorrect 2 times, transfer to ACD Group 1.You have entered an invalid expiration date. Please hold while we transfer you to the next available CSR. If customer is calling after normal business hours, go to NIGHT MESSAGE (237) System will validate that the credit card info is valid. ƒ If the credit card info is valid , - You entered [credit card type], [credit card number],[expiration date]. ƒ If this is correct, press 1 and continue ƒ If this is incorrect, press 2 (Go to 235) ƒ If the credit card info is invalid, You have not entered valid credit card information. (Go to 234) ƒ If the account has a negative balance - The minimum amount due must be [negative balance + replenishment amount]. If the amount entered is less than [negative balance + replenishment amount] ƒ Your account currently has a negative balance. The minimum amount due on your account is [negative balance + replenishment amount](Go to 231) ƒ If the account has a positive balance - The minimum amount due must be [replenishment amount]. If the amount entered is less than the replenishment amount, ƒ If the account has a positive balance - Your minimum replenishment amount is [replenishment amount] (Go to 231) (238) Please enter the amount you would like to pay in dollars and cents. For example, to enter twenty five dollars and fifty cents, press 2550. You entered xx.xx. If correct, press 1 If the account has a negative balance - The minimum amount due must be [negative balance + replenishment amount]. If the amount entered is less than [negative balance + replenishment amount] Go to 237) If the account has a positive balance - The minimum amount due must be [replenishment amount]. If the amount entered is less than the replenishment amount, go to 237 If the amount fits the criteria above and the transaction has been approved by the credit card processor, go to 239 If the credit card declines, Go to 246 If Incorrect, press 2 (Go to 238) Appendix X Page 6 of 19 Release Version 6/05 Appendix X (239) ƒ Your transaction is confirmed. Thank you for your payment in the amount of $xx.xx .If your account had a negative balance prior to this payment, please wait 24 hours before using the tags on this account. ƒ Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance ƒ To change your replenishment method to credit card, press 1 (Go to 226) ƒ To repeat, press star(*) ƒ To return to the previous menu, press # (Go to 216) ƒ To return to the main menu, press 9 (Go to 000) ƒ To end this call, please hang up. (240) Suspend Commuter Plan – NYSTA and NYSBA only ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ (241) ƒ ƒ ƒ ƒ ƒ (242) ƒ ƒ ƒ ƒ ƒ ƒ System will scan database for commuter plans. If a customer has more than one and less than 9 commuter plans, they will be provided with a menu of commuter plans they are enrolled in. Then the customer will choose what plan they would like to suspend. (If the customer is not enrolled in a commuter plan). Our records indicate that you are not enrolled in any plans that are eligible for suspension. To return to the Main Menu, press 9 (Go to 000) To speak to the next available CSR, press 0.(Transfer to ACD Group 1) (If a customer has multiple subaccount and the account contains the same plan type associated with two different subaccounts or the customer has more than 8 commuter plans) Please hold while we transfer you to the next available CSR, (transfer to ACD Group 1) If customer’s account contains multiple NYSBA Plans (241) If they only contain a single plan on their account, and it is a NYSBA plan (242) For all other commuter plans (242) If account is a business account, they should not be offered the Suspend Commuter Plan option Enter your 11 digit tag number now, You entered ###, if this is correct press 1 (242) If this is incorrect, press 2 (241) (If incorrect 2 times, transfer to ACD Group 1) We cannot locate that tag number, please hold while we transfer you to the next available CSR. If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE. Please enter the date you would like to begin your plan’s suspension, giving 2 numbers for the month and the day, then 4 numbers for the year. For example, if you wanted your plan to begin suspension on July 4, 2005, you would enter 07042005. Please enter the start date now. You entered a start date of ###, (system gives start date) if this is correct press 1 (2421) If this is incorrect, press 2 (242) (If incorrect 2 times, transfer to ACD Group 1) Please hold while we transfer you to the next available CSR. If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE. (2421) ƒ Please enter the date you would like to end your plan’s suspension, using the same method as the beginning date. ƒ The end date you entered is xxxx (system gives end date), If this is correct, press 1 (243) ƒ If this is incorrect, press 2 (2421) Appendix X Release Version 6/05 Page 7 of 19 Appendix X ƒ ƒ ƒ (243) ƒ ƒ ƒ ƒ (244) ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ (If incorrect 2 times, transfer to ACD Group 1) You have entered an invalid date. Please hold while we transfer you to the next available CSR. If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE (if start date < today’s date) You need to enter an end date occurring later than today’s date. Please re-enter your end date now. If the period is greater than 7 days (244) If the period is less than 7 days (245) (If incorrect 2 times, transfer to ACD Group 1) Please hold while we transfer you to the next available CSR. If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE Please hold during the brief silence, while your commuter plan suspension is being confirmed. Your suspension has been confirmed. Using your tag during the first week of suspension will result in a full fare toll posted to your account. After the first week of suspension, first use of the tag at the applicable plaza will end the suspension and reactivate the trip counter. Discounted tolls will then be posted to your account. To suspend another plan, press 2 (240) To suspend another tag, press 3 (241) To repeat, press star(*) To return to the main menu press 9 (Go to 000) To end this call, please hang up. (245) ƒ ƒ ƒ ƒ The period of time you have entered is less than one week. The plan must be suspended for a minimum of seven days. To reenter your suspension dates press 1 (242) To repeat, press star(*)To return to the main menu press 9 (Go to 000) (246) ƒ ƒ ƒ ƒ Your payment has not been approved by your credit card issuer. To use another credit card, press 1 (Go to 234) To return to the previous menu, press # (Go to 212) To return to the main menu, press 9 (Go to 000) (250) Change your PIN# ƒ ƒ Please enter your new 4 digit PIN now. Please enter your new PIN again to confirm your change. (2511) (2511) ƒ If they are the same (252) ƒ If they are different The two PIN#’s you entered are not the same. Go to (250) ƒ (If incorrect 3 times, transfer to ACD Group 1) You have entered an invalid PIN#. Please hold while we transfer you to the next available CSR. ƒ If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE. (252) ƒ ƒ ƒ Your PIN # has been changed. To return to the main menu press 9 (Go to 000) To end this call, please hang up. (300) To report a lost or stolen tag or to request an additional tag – From option 3 of the Main Menu ƒ To report a lost or stolen tag press 1. (310) ƒ To request an additional tag press 2 (320) ƒ To repeat these menu options, press star(*) Appendix X Release Version 6/05 Page 8 of 19 Appendix X ƒ To return to the main menu press 9 (Go to 000) (310) Reporting a lost or stolen tag This option was temporarily disabled on 4/9 for both individual and business accounts. This option was re-enabled for individual customers only on April 29, 2000. Still disabled for business customers. Per agency request at 1/29/03 meeting, re-enable lost/stolen functionality for business accounts. ƒ To deactivate your tag, enter the tag number now. (311) ƒ If you do not know your tag number press 0 for a customer service representative (ACD group 1) ƒ If customer is calling after normal business hours, go to NIGHT MESSAGE. ƒ To repeat, press star(*) ƒ To return to the main menu press 9 (Go to 000) (010) (311) ƒ ƒ ƒ ƒ You entered xxxx, if this is correct press 1 (312) If this is incorrect press 2 (310) If the Tag number is entered incorrectly 2 times, send to ACD group 1. You have entered an invalid tag number. Please hold while we transfer you to the next available CSR. If incorrect 2 times and the call are after normal business hours, go to NIGHT MESSAGE. (312) ƒ ƒ If this tag exists (313) If this tag does not exist (314) (313) ƒ ƒ ƒ ƒ ƒ ƒ To deactivate a lost tag, press 1 For private accounts, go to 319 To deactivate a stolen tag, press 2 For private accounts, go to 319 Business Accts – If the date of tag issuance is pre-vector, go to 319 For post vector business tag issuance – Go to 319 To repeat these menu options, press star(*) To return to the main menu, press 9 (Go to 000) (3132) ƒ ƒ ƒ ƒ ƒ ƒ (314) ƒ ƒ ƒ (315) ƒ ƒ ƒ ƒ ƒ Please hold during the brief silence while your tag status is being updated. Your tag has been deactivated and you are no longer liable for any tolls incurred by that tag. If you find your tag, DO NOT use it. Please return it to the address on your tag. If applicable, the assessed lost or stolen tag fee will be credited to your account when the tag is received at the Customer Service Center. If you would like to replace this tag press 1 (315) To repeat, press star(*) To return to the main menu press 9 (Go to 000) To end this call, please hang up. We cannot locate this tag number. (If during normal business hours) Please hold while we transfer you to the next available CSR. (Transfer to ACD group 1) If customer is calling after normal business hours, go to NIGHT MESSAGE. If account uses CC replenishment or Cash/Check Replenishment and the account balance is greater than tag deposit and replacement fee, Indiv. Acct. holders only - You are about to order a replacement tag. To continue, press 1 (Go to 316) To return to the main menu, press 9 (Go to 000) If account uses Cash/Check Replenishment and the account balance is less than tag deposit and replacement fee, Individual Account holders only (317) Business Acct. holders only, (Transfer to ACD Group 3) (316) ƒ Your request for a replacement tag is confirmed. ƒ You should receive your tag in the mail within x days. Appendix X Page 9 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ (317) ƒ ƒ ƒ (318) ƒ ƒ ƒ ƒ To repeat, press star(*) To return to the main menu press 9 (Go to 000) To end this call, please hang up. The balance in your account is insufficient to cover the replacement fee for a new tag. Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance (If during normal business hours) Please hold while we transfer you to the next available CSR. (Transfer to ACD Group 1).If customer is calling after normal business hours, go to NIGHT MESSAGE. The balance in your account is insufficient to cover the replacement fee for a new tag. Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance (If during normal business hours) Please hold while we transfer you to the next available CSR. (Transfer to ACD Group 1). If customer is calling after normal business hours, go to NIGHT MESSAGE (319) ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ For business accounts – retrieve the date that the tag was issued. If issued pre-Vector, debit the account for the currentlost/stolen tag fee. ‘Your tag will be deactivated and Your account will be debited [lost/stolen tag fee] For business accounts – retrieve the date that the tag was issued. If post-Vector, do not debit account and continue. For private accounts – ‘Your tag will be deactivated and your account will be debited [lost/stolen tag fee]. To continue, press 1 (Go to 3132) To repeat press star(*) To return to the previous menu, press # (Go to 300) To return to the main menu, press 9 (Go to 000) To end this call, please hang up. (320) To request an additional tag. This option was temporarily disabled for individual customers on 4/9/00. This option was re-enabled for individual customers on 4/29/00. Per agency request at 1/29/03 meeting, do not enable business account functionality for requesting an additional tag. ƒ If Business Account holder , You have requested an additional tag. Please hold while we transfer you to the next available CSR and go to ACD group3 ƒ If Individual Account has 4 tags or their account balance < tag deposit fee or non-revenue account or enrolled in a resident plan, go to ACD group 1 (321) ƒ If Account contains a NYSBA plan, or a Thruway Annual Permit Plan (321) ƒ You will need to request either an interior or exterior tag. Please note certain vehicles may require an exterior tag. In particular, if your windshield has a heated instant deicer or a reflective coating used to reduce heat from the sun, you will need an exterior tag. ƒ For an interior tag, press 1 (322) ƒ For an exterior tag, press 2 (322) ƒ To repeat these menu options, press star(*) ƒ To return to the main menu, press 9 (Go to 000) (321) ƒ If customer already has 4 active tags on the account You already have the maximum 4 tags on your account Please hold while we transfer you to the next available CSR. (Transfer to ACD group 1) ƒ If customer’s balance is not sufficient to cover the tag deposit Your current balance will not cover the tag deposit for an additional tag. ƒ We strongly recommend you use automatic replenishment with a credit card, because it is the easiest and most efficient payment method to assure an adequate account balance ƒ To repeat, press star(*) ƒ To return to the main menu, press 9 (Go to 000). ƒ If customer is calling after normal business hours, go to NIGHT MESSAGE Appendix X Release Version 6/05 Page 10 of 19 Appendix X (322) ƒ ƒ ƒ ƒ If account uses CC replenishment (3221) If account uses Cash/Check Replenishment and the account balance is greater than tag fee (3223) If account uses Cash/Check Replenishment and the account balance is less than tag fee (3222) If payment information is not found, transfer to a CSR (ACD Group 1) (3221) ƒ ƒ ƒ ƒ ƒ ƒ Your request for an additional tag is confirmed. You should receive your tag in x days. To request another tag, press 1(320) To repeat these menu options, press star(*) To return to the main menu press 9 (Go to 000) To end this call, please hang up. (3222) ƒ The balance in your account is less than the deposit fee for an additional tag. A $10 deposit is required for all cash and check customers. The $10 deposit fee is waived for all customers who replenish their accounts by credit card. ƒ To repeat, press star(*) ƒ To return to the main menu, press 9 (Go to 000). ƒ If customer is calling after normal business hours, go to NIGHT MESSAGE (3223) ƒ ƒ ƒ ƒ ƒ ƒ (323) ƒ ƒ ƒ ƒ Your request for an additional tag is confirmed. A $10 tag deposit is required for all cash and check customers. The $10 has been transferred from your prepaid account balance to the tag deposit. Automatic replenishment with a credit card is the easiest and most efficient payment method to assure an adequate account balance To repeat, press star(*) To return to the Main Menu, press 9 (Go to 000). You are about to submit a request for an additional tag. To continue requesting an additional tag, press 1 (Go to 3221) To return to the previous menu, press # (Go to 300) To return to the main menu, press 9 (Go to 000) (330) Request Supplies ƒ For tag strips, press 1 (Go to 332) ƒ For read prevention bags, press 2 (Go to 336) ƒ For Exterior tag screws, press 3 (Go to 342) ƒ To repeat these menu options, press star(*) ƒ To return to the main menu, press 9 (Go to 000) (332) Tag Strips ƒ Please enter how many sets of strips you are requesting now ƒ If the # of sets of tag strips entered exceeds 4(Go to 333) ƒ If the # of sets of tag strips is less than 4 –(Go to 339) ƒ To repeat, press star(*) ƒ To Return to the previous menu, press # (go to 330) ƒ To return to the main menu, press 9 (Go to 000) (333) ƒ You have exceeded the maximum request of four sets of tag strips. (go to 332) (336) Request Read Prevention Bags ƒ Please enter how many read prevention bags you are requesting now Appendix X Page 11 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ ƒ If the # of bags requested exceeds 4(Go to 338) If the # of sets of tag strips is less than or equal to the 4 –(Go to 339) To Return to the previous menu, press # (go to 330) To return to the main menu, press 9 (Go to 000) (338) ƒ The number of bags requested exceeds the maximum request of four bags.(Go to 336) (339) ƒ ƒ ƒ Please enter your 5 digit zip code so that we can verify your mailing address. If the zip code entered does not match mailing address zip code, transfer to CSR. If the zip code entered matches the mailing address zip code (Go to 340) (340) ƒ ƒ ƒ ƒ ƒ Your order has been confirmed. You will receive your supplies in the mail To return to the previous menu, press # (Go to 330) To return to the main menu, press 9 (Go to 000) To end this call, please hang up. (342) ƒ ƒ ƒ ƒ Please enter how many sets of screws you are requesting now Perform a system check for the number of active exterior tags on the account If the # of sets requested exceeds the number of active exterior tags on the account(Go to 344) If the # of sets requested is less than or equal to the number of active exterior tags on the account –(Go to 339) (344) ƒ (346) ƒ ƒ ƒ ƒ ƒ You only have [number of active exterior tags] active exterior tags on this account. You may only order [# of active exterior tags on this account] sets of screws. (go to 342) Your order has been confirmed. You will receive the screws in the mail. To return to the previous menu, press # (Go to 330) To return to the main menu, press 9 (Go to 000) To end this call, please hang up. (400) General Information – From Option 4 of the Main Menu ƒ For information on E-ZPass Plus, press 1 (Go to 410) ƒ For locations currently accepting E-ZPass, press 2(401) ƒ For E-ZPass locations, hours of operation, and mailing addresses, press 3 (430) ƒ To repeat these options press star(*) (400) ƒ To return to the main menu press 9 (Go to 000) (010) (401) ƒ ƒ ƒ ƒ ƒ ƒ (410) ƒ E-ZPass is accepted wherever you see the E-ZPass sign displayed Look for E-ZPass locations in New York, New Jersey, Pennsylvania, Maryland, Delaware, Massachusetts, and West Virginia and at the Peace Bridge at the Canadian Border. For specific locations accepting E-ZPass, please visit the E-ZPass NY website at www.e-zpassNY.com To repeat this information, press star(*) To return to the previous menu, press # (Go to 400) To return to the main menu, press 9 (Go to 000) E-ZPass Plus is a new service available to E-ZPass users who replenish their accounts with a credit card. As a member of E-ZPass Plus, you can now use your tag to pay for parking at the JFK International and the Albany Appendix X Page 12 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ ƒ International Airport. Simply pick up a ticket when entering the airport parking lot, turn it in when exiting and ask to pay with E-ZPass Plus. To change your replenishment method to credit card, press 1 (Go to 001 and then to 226) To repeat this information press star(*)(Go to 410) To return to the previous menu, press # (Go to 400) To return to the main menu, press 9 (Go to 000) (430) Locations, Hours of Operation, and Mailing Addresses. ƒ For Mailing Addresses, press 1 (431) ƒ For hours of operations and directions to Staten Island, press 2 (432) ƒ For Queens or Yonkers, press 3 (433) ƒ For Spring Valley or Buffalo, press 4 (434) ƒ For Albany, Syracuse, or Grand Island, press 5 (435) ƒ To repeat these options, press (*) star. (430) ƒ To return to the previous menu, press # (Go to 400) ƒ To return to the main menu, press 9 (Go to 000). (431) Mailing Addresses • For applications and returned tags, press 1(4311) • For payments, press 2 (4312) • For violations, press 3 (4313) • For general correspondence, press 4 (4314) • To repeat these menu options, press star(*) • To return to the previous menu, press # (Go to 400) • To return to the main menu, press 9 (Go to 000) (4311) ƒ Mail Applications and returned tags to: E-ZPass Customer Service Center PO Box 149001 Staten Island, NY 10314-9001 ƒ To repeat this information, press (*) star. (4311) ƒ To return to the previous menu, press # (Go to 400) ƒ To return to the main menu, press 9 (Go to 000) (4312) ƒ Mail payments to: E-ZPass Customer Service Center PO Box 149002 Staten Island, NY 10314-9002 ƒ To repeat this information, press (*) star. (4312) ƒ To return to the previous menu, press # (Go to 400) ƒ To return to the main menu, press 9 (Go to 000) (4313) ƒ Mail Violation Payments to: E-ZPass Customer Service Center PO Box 149003 Staten Island, NY 10314-9003 ƒ To repeat this information, press (*) star. (4313) ƒ To return to the previous menu, press # (Go to 400) ƒ To return to the main menu, press 9 (Go to 000) (4314) ƒ Mail general correspondence to: E-ZPass Customer Service Center PO Box 149004 Appendix X Page 13 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ Staten Island, NY 10314-9004 To repeat this information, press (*) star. (4314) To return to the previous menu, press # (Go to 400) To return to the main menu, press 9 (Go to 000) (432) Staten Island ƒ The Staten Island Customer Service Center is open Monday through Friday, from 7AM to 7PM and Saturday from 8AM to 12PM ƒ From the Staten Island Expressway or the Verrazano-Narrows Bridge, take the Bay Street or Lily Pond Avenue exit. Proceed north on Lily Pond Avenue towards Bay Street. At the 1st traffic light, make a left onto Bay Street. After approximately one and a half miles, make a right onto Willow Street. Drive through the security gate and make an immediate right. You will see our familiar purple sign. ƒ To repeat this information, press (*) star. (432 ƒ To return to the Previous menu, press # (430) ƒ To return to the Main Menu, press 9 (Go to 000) (433) ƒ For hours of operations and directions to Queens, press 1 (4331) ƒ For hours of operations and directions to Yonkers, press 2 (4332) ƒ To repeat these menu options, press star (*) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (434) ƒ For hours of operations and directions to Spring Valley, press 1 (4341) ƒ For hours of operations and directions to Buffalo, press 2 (4342) ƒ To repeat these options, press star (*) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (435) ƒ For hours of operations and directions to Albany, press 1 (4351) ƒ For hours of operations and directions to Syracuse, press 2 (4352) ƒ For hours of operations and directions to Grand Island, press 3 (4353) ƒ To repeat these options, press star (*) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (4331) Queens ƒ The Queens Service Center is open Monday through Friday, from 10 AM to 7PM and on Saturday from 8AM to 12PM ƒ The Queens Service Center is located at 19-02 Whitestone Expressway. Take the 20th Avenue exit from the th Whitestone Expressway. The Service Center is located on the northwest corner of the intersection of 20 Avenue and the Whitestone Expressway across from the Post Office. ƒ To repeat this information, press (*) star. (4331) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (4332) Yonkers ƒ The Yonkers Service Center is open Monday through Friday, from 10 AM to 7PM and on Saturday from 8AM to 12PM ƒ The Yonkers Service Center is located at 730 McLean Avenue. From the Major Deegan Expressway, take the McLean Avenue exit. Turn east onto McLean Avenue. The service center is located less than one-half mile from the exit on the left-hand side of McLean Avenue. ƒ To repeat this information, press (*) star. (4332) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (4341) Spring Valley ƒ The Spring Valley Service Center is open Monday through Friday from 9AM to 6PM Appendix X Page 14 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ ƒ The Spring Valley Service Center is located in Pascack Plaza. From the New York State Thruway, take exit 14. Turn right on Route 59 West. Turn right onto New Clarkstown Road. At the first traffic light, turn left onto Perlman Drive, then an immediate right into Pascack Plaza. The service center is at the end of the plaza on the left. To repeat this information, press (*) star. (4341) To return to the previous menu, press # (430) To return to the main menu, press 9 (Go to 000) (4342) Buffalo • The Buffalo Service Center is open Monday through Friday from 9AM to 5PM • The Buffalo Service Center is located in the Ellicot Square Building, Suite 101C, 295 Main Street, Buffalo, New York. • From the North- take 190 South to the Elm Street Exit. Go straight to the light and make a left turn onto Swan Street. Proceed for three blocks to the Ellicott Square Building. • From the South-take RT5 to the Skyway bridge. The first exit off the bridge is 190 South. Stay in the right lane. Take the Elm Street Exit. Proceed to the light and make a left turn onto Swan Street. Proceed three blocks to the Ellicott Square Building. • From Expressway 33 - Stay on 33 to the end. Veer to the left to Oak Street . Make a right turn onto Swan Street. Proceed for one Block to the Ellicott Square Building. • To repeat this information, press (*) star. (4342) • To return to the previous menu, press # (430) • To return to the main menu, press 9 (Go to 000) (4351) Albany ƒ The Albany Service Center is open Monday through Friday, from 9AM to 5PM ƒ The Albany Service Center is located in Executive Park, behind Stuyvesant Plaza, off Western Avenue. From the New York State Thruway, take exit 24. Use the Western Avenue/Route 20 turnoff as soon as you leave the toll plaza. At the first traffic light, make a left turn onto Western Avenue. At the 2nd traffic light, take a left onto Fuller Road. Turn left at the first light, which is the entrance to Executive Park. The Service Center is located in the second building on the right. ƒ To repeat this information, press (*) star. (4351) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (4352) Syracuse ƒ The Syracuse Service Center is open Monday through Friday, from 9AM to 5PM ƒ The Syracuse Service Center is located in the Lakeshore Drive-in Plaza. From the New York State Thruway, take exit 38. Go to the stop sign and make a right onto Route 57. Go to the first traffic light and bear left. Follow the signs for Old Liverpool Road. Approximately 200 yards on the right is the Lakeshore Drive-in Plaza. The Service Center is located in the plaza ƒ To repeat this information, press (*) star. (4352) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (4353) Grand Island ƒ The Grand Island Service Center is open Monday through Friday, from 3PM to 6PM ƒ The Grand Island Service Center is located next to the New York State Information Center inside the Burger King on Route 324. From Buffalo, take I-190 North to Exit 18-A. Bear left when exiting and go through the traffic signal to Burger King. From Niagara Falls, take I-190 South to Exit 20. Follow signs for Route 324 to Burger King. ƒ To repeat this information, press (*) star. (4353) ƒ To return to the previous menu, press # (430) ƒ To return to the main menu, press 9 (Go to 000) (500) Violations If you have received a notice of non-payment of a toll from the New York State Thruway or Port Authority and would like instructions on how to make a payment or if you need to check the current status of a violation; press 1 (510) ƒ Appendix X Page 15 of 19 Release Version 6/05 Appendix X ƒ ƒ ƒ ƒ ƒ ƒ If you have received a notice of non payment of a toll from the New York State Thruway but need further information; press 2 (600) If you have received a notice of non payment of a toll from the Port Authority but need further information; press 3 (660) If you have received a notice of non-payment of a toll from any other toll authority; press 4(720) To repeat these options, press star ( * ) To exit Violations and return to the E-ZPass main menu, press 9 (Go to 000) To speak with a customer service representative, press 0 (ACD Group 7) If customer calls, after business hours, go to night message (510) ƒ To make a payment on the web go to www.E-Zpassny.com and click on Violations. Please have your violation notice and credit card information available. ƒ To send a check payment, please make your check payable to the New York State Thruway or Port Authority depending on where the violation occurred and follow the payment instructions on the notice. Please be sure to include the bottom portion of the notice with your payment and write your violation transaction number and license plate on the front of your check. ƒ To check the status of a violation that you have already paid or appealed, please go to our website at www.EZPassny.com and have your violation notice information available ƒ If you wish to use our automated system to check a violation status, press 1. (520) ƒ To repeat these options, press star ( * ) ƒ To return to t he previous menu, press # (Go to 500) ƒ To exit Violations and return to the E-ZPass main menu, press 9 (Go to 000) ƒ To speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (520) Enter violation Number ƒ Your violation number is listed on the notice you received. ƒ If the violation notice begins with the letters T or C press 1 (530) ƒ If the violation notice does not begin with the letter T or C press 2 (720) ƒ To repeat these options, press star ( * ) ƒ To return to the previous menu, press # (Go to 500) ƒ To exit Violations and return to the E-ZPass main menu, press 9 (Go to 000) ƒ To speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (530) ƒ Please enter your notice number now. Do not enter the T or C and include the four digits after the dash. ƒ You entered ########, if this is correct; press 1 (540) ƒ If this is incorrect, press 2 (If incorrect 2x during business hours transfer to ACD Group 7).(530) ƒ You have entered an invalid notice number, please hold while we transfer you to the next available customer service representative. (ACD Group 7) If customer calls, after business hours, go to night message (540) Violation Status ƒ (If toll and fee are fully paid) Your violation has been paid. Thank you. ƒ If toll and fee are fully dismissed) Your violation has been dismissed in full. Thank you. ƒ (If none of the above) Your violation still has an outstanding balance of X dollars on the toll and Y dollars on the fee. ƒ If you would like instructions on how to make a payment; press 1 (510) ƒ If you would like to speak to a customer service representative; press 0 (ACD Group 7) If customer calls, after business hours, go to night message ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 2 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (600) NYSTA Violations ƒ If the notice you have received is for non payment of a toll on the New York State Thruway; press 1(610) ƒ If the notice you have received is for speeding through a New York State Thruway toll plaza press; 2(640) ƒ If you have received a NOTICE OF LIABILITY from the New York State Thruway; press 3 (650) Appendix X Release Version 6/05 Page 16 of 19 Appendix X ƒ ƒ ƒ To repeat these options, press star ( * ) To return to the Violations menu, press 1 (500) To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (610) Customer vs. Non-Customer ƒ If you are not an E-ZPass customer; press 1 (620) ƒ If you are an E-ZPass customer; press 2 (630) ƒ If you wish to appeal a toll evasion violation, fax us at 1 718 390 9772 or write to us at E-ZPass Customer Service Center, P.O. Box 149003, Staten Island New York 10314-9003, attention Violation Processing or ƒ Press 0 to speak to a customer service representative. (ACD Group 7) If customer calls, after business hours, go to night message (620) NYSTA Non-Customer Toll Evasion ƒ An E-ZPass notice resulted due to non-payment of the toll. E-ZPass lanes are for E-ZPass customers in good standing only. If this is the first incidence that you have received a notice, pay the toll by following the instructions on the notice and the administrative fee will be waived as long as payment is received within 15 days of the date of the notice. ƒ If this is not the first incidence in which you have received a notice pay the toll and administrative fee by following the instructions on the notice. ƒ Please be sure to include the bottom portion of the notice with your payment and write your violation transaction number and license plate on the front of your check. ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) ƒ If you wish to speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (630) NYSTA Customer Toll Evasion ƒ An E-ZPass notice of non-payment of a toll may have resulted due to insufficient funds in your account or your tag was not read at the time of the toll transaction. ƒ At all times please ensure that your account is adequately funded, your tag mounted in the appropriate location and all of your license plates updated on your E-ZPass account. ƒ If this is the first incidence that you have received a notice, pay the toll by following the instructions on the notice and the administrative fee will be waived as long as payment is received within 15 days of the date of the notice. ƒ If this is not the first incidence in which you have received a notice, pay the toll and administrative fee by following the instructions on the notice. ƒ Please be sure to include the bottom portion of the notice with your payment and write your violation transaction number and license plate on the front of your check. ƒ To become an E-ZPass member go to our website at www.E-ZPassny.com or Press 9 to return to the main menu to request an application (010) ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1(500) ƒ If you wish to speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (640) NYSTA Speed ƒ Your vehicle was detected traveling at a speed greater than the posted speed limit in the toll plaza. If you have received a notice other than a Warning notice and wish to appeal, follow the appeal instructions on the back of the notice. ƒ All Appeals must be made in writing and will not be taken over the phone. All appeals will be considered by the New York State Thruway and you will be informed of the decision in writing. ƒ Fax your Appeal to (718) 390-9772 Attention NYSTA SPEED APPEAL or Mail an Appeal to E-ZPass Customer Service Center; PO Box 149003, Staten Island New York 10314-9003, Attention NYSTA SPEED APPEAL. ƒ To repeat this information, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) Appendix X Page 17 of 19 Release Version 6/05 Appendix X (650) Notice of Liability (All NOL options will remain hidden until NOL’s are implemented). ƒ A Notice of Liability (NOL) can only be handled in person or via the mail at the address shown on the notice. You must contact the court indicated on the notice for any additional information. Failure to do so may result in additional legal action. ƒ To repeat this information, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (660) PANY&NJ Violations ƒ If the notice you have received is for non-payment of a toll at a Port Authority toll plaza, press 1 (670) ƒ If the notice you have received is for speeding through a Port Authority toll plaza; press 2 (700) ƒ If you have received a notice of collection from Allied Interstate, press 3 (710) ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (670) Customer vs. Non-Customer ƒ If you are not an E-ZPass customer; press 1 (680) ƒ If you are an E-ZPass customer; press 2 (690) ƒ If you wish to appeal a toll evasion violation, fax us at 1 718 390 9772 or write to us at E-ZPass Customer Service Center, P.O. Box 149003, Staten Island New York 10314-9003, attention Violation Processing or ƒ Press 0 to speak to a customer service representative. (ACD Group 7) If customer calls, after business hours, go to night message ƒ To repeat these menu options, press star * ƒ To return to the Violations menu, press 1 (500) ƒ To return to the E-ZPass main menu, press 9 (Go to 000) (680) PANY&NJ Non-Customer Toll Evasion ƒ An E-ZPass notice resulted due to non-payment of the toll. E-ZPass lanes are for E-ZPass customers in good standing only. If this is the first incidence that you have received a notice, pay the toll by following the instructions on the notice and the administrative fee will be waived as long as payment is received within 15 days of the date of the notice. ƒ If this is not the first incidence in which you have received a notice pay the toll and administrative fee by following the instructions on the notice. ƒ Please be sure to include the bottom portion of the notice with your payment and write your violation transaction number and license plate on the front of your check. ƒ To repeat this information, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) ƒ If you wish to speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (690) PANY&NJ Customer Toll Evasion ƒ An E-ZPass notice of non-payment of a toll may have resulted due to insufficient funds in your account or your tag was not read at the time of the toll transaction. ƒ At all times please ensure that your account is adequately funded, your tag mounted in the appropriate location and all of your license plates updated on your E-ZPass account. ƒ If this is the first incidence that you have received a notice, pay the toll by following the instructions on the notice and the administrative fee will be waived as long as payment is received within 15 days of the date of the notice. ƒ If this is not the first incidence in which you have received a notice, please pay the toll and administrative fee by following the instructions on the notice. ƒ Please be sure to include the bottom portion of the notice with your payment and write your violation transaction number and license plate on the front of your check. ƒ To become an E-ZPass member go to our website at www.E-ZPassny.com or ƒ Press 9 to return to the main menu to request an application (000) ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) Appendix X Release Version 6/05 Page 18 of 19 Appendix X ƒ If you wish to speak to a customer service representative, press 0. (ACD Group 7) If customer calls, after business hours, go to night message (700) PANY&NJ Speed ƒ Your vehicle was detected traveling at a speed greater than the posted speed limit in the toll plaza. If you have received a notice other than a Warning notice and wish to appeal, follow the appeal instructions on the back of the notice. ƒ All Appeals must be made in writing and will not be taken over the phone. All appeals will be considered by the Port Authority of New York or New Jersey and you will be informed of the decision in writing. ƒ Fax your Appeal to (718) 390-9772 Attention PANYNJ SPEED APPEAL or Mail an Appeal or Protest to E-ZPass Customer Service Center; PO Box 149003, Staten Island New York 10314-9003, Attention PANYNJ SPEED APPEAL. ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1(500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (710) Allied Interstate ƒ If you have received a notice from Allied Interstate, you must follow the instructions on the notice. If you need further information call 1 818 879 2948. All notices in collection must be resolved through this process. ƒ To repeat these options, press star ( * ) ƒ To return to the Violations menu, press 1 (500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) (720) Violation Notice from A Non-E-ZPass New York Agency ƒ If you have received a violation notice from a toll agency other than the New York State Thruway or the Port Authority, we do not have any information regarding that violation. You must contact that toll agency by following the directions on the notice. Thank you. ƒ To repeat, press star ( * ) ƒ To return to the Violations menu, press 1(500) ƒ To exit Violations and return to the E-ZPass main menu for other options; press 9 (Go to 000) Appendix X Page 19 of 19 Release Version 6/05 Appendix Y1 NYSBA Toll Schedule Class Axles 1 2 (3) 3 4 5 6 (3) 8 (2) Vehicles with 2 axles and no more than 4 tires Vehicles with 2 axles and 6 tires Vehicles with 3 axles Vehicles with 4 axles Vehicles with 5 axles Vehicles with 6 or more axles Vehicles with 2 axles and no more than 4 tires pulling a trailer (includes motorcycles) (possibly pulling a trailer) 2 $1.00 (1) $2.50 N/A N/A N/A N/A N/A 3 N/A $4.00 $4.50 N/A N/A N/A $1.50 4 N/A $5.50 N/A $6.00 N/A N/A $2.00 5 N/A $7.00 N/A N/A $7.50 N/A $2.50 6 N/A $8.50 N/A N/A N/A $9.00 $3.00 7 N/A $10.00 N/A N/A N/A $10.50 $3.50 8 N/A $11.50 N/A N/A N/A $12.00 $4.00 9 N/A $13.00 N/A N/A N/A $13.50 $4.50 10 N/A $14.50 N/A N/A N/A $15.00 $5.00 11 N/A $16.00 N/A N/A N/A $16.50 $5.50 12 N/A $17.50 N/A N/A N/A $18.00 $6.00 13 N/A $19.00 N/A N/A N/A $19.50 $6.50 14 N/A $20.50 N/A N/A N/A $21.00 $7.00 15 N/A $22.00 N/A N/A N/A $22.50 $7.50 (1) If patron subscribes to the Discount Plan, the toll is $0.50, subject to plan usage limitations. (2) For class 8, any axle count greater than the base number of axles (3) is tolled at $0.50 per axle. (3) For class 2 and class 6, any axle count greater than the base number of axles (2 for class 2, 6 for class 6) is tolled at $1.50 per axle. (4) There is no class 7 vehicle. Appendix Y1 Release Version 6/05 New York State Thruway Toll Schedule Class 2L E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 1.04 0.00 0.68 17 1.62 0.40 1.08 0.59 18 2.16 0.94 1.62 1.13 0.54 19 2.48 2.93 1.30 1.75 1.98 2.43 1.44 1.89 0.90 1.35 0.36 0.81 0.45 21 3.29 2.11 2.79 2.25 1.71 1.17 0.86 0.41 21B 4.32 3.10 3.78 3.29 2.70 2.16 1.85 1.40 1.04 B1 4.59 3.42 4.10 3.56 3.02 2.48 2.12 1.67 1.31 0.32 B2 4.91 3.73 4.41 3.87 3.33 2.79 2.43 2.03 1.62 0.63 0.36 B3 3.69 2.47 3.15 2.66 2.07 1.53 1.22 0.77 0.41 0.77 1.04 1.35 22 3.92 2.74 3.42 2.88 2.34 1.80 1.44 0.99 0.63 0.99 1.31 1.62 0.27 23 4.14 2.92 3.60 3.11 2.52 1.98 1.67 1.22 0.86 1.22 1.49 1.80 0.50 0.23 24 4.32 3.15 3.83 3.29 2.75 2.21 1.85 1.40 1.04 1.40 1.71 2.03 0.68 0.45 0.23 25 4.14 2.92 3.60 3.11 2.52 1.98 1.67 1.22 0.86 1.22 1.49 1.80 0.50 0.23 0.00 0.00 25A 4.64 3.42 4.10 3.60 3.02 2.48 2.16 1.71 1.35 1.71 1.98 2.34 0.99 0.72 0.54 0.32 0.00 26 5.04 3.82 4.50 4.01 3.42 2.88 2.57 2.12 1.76 2.12 2.39 2.70 1.35 1.13 0.90 0.72 0.41 0.41 27 5.31 4.14 4.82 4.28 3.74 3.20 2.84 2.39 2.03 2.39 2.70 3.02 1.67 1.44 1.22 0.99 0.72 0.72 0.32 28 5.72 4.54 5.22 4.68 4.14 3.60 3.29 2.84 2.43 2.84 3.11 3.42 2.07 1.85 1.62 1.44 1.13 1.13 0.72 0.45 29 6.30 5.13 5.81 5.27 4.73 4.19 3.83 3.42 3.02 3.38 3.69 4.01 2.66 2.43 2.21 2.03 1.71 1.71 1.31 1.04 0.59 29A 6.62 5.44 6.12 5.58 5.04 4.50 4.14 3.74 3.33 3.69 4.01 4.32 2.97 2.75 2.52 2.34 2.03 2.03 1.62 1.35 0.90 0.36 30 7.11 5.89 6.57 6.08 5.49 4.95 4.64 4.19 3.83 4.19 4.46 4.77 3.42 3.20 2.97 2.79 2.48 2.48 2.07 1.80 1.40 0.81 0.50 31 7.47 6.25 6.93 6.44 5.85 5.31 5.00 4.55 4.19 4.55 4.82 5.18 3.83 3.56 3.38 3.15 2.84 2.84 2.48 2.16 1.76 1.17 0.86 0.41 32 7.79 6.61 7.29 6.75 6.21 5.67 5.31 4.86 4.50 4.86 5.18 5.49 4.14 3.87 3.69 3.47 3.20 3.20 2.79 2.48 2.07 1.49 1.17 0.72 0.36 33 8.10 6.88 7.56 7.07 6.48 5.99 5.63 5.18 4.82 5.18 5.45 5.81 4.46 4.19 4.01 3.78 3.51 3.51 3.11 2.79 2.39 1.80 1.49 1.04 0.68 0.32 34 8.60 7.42 8.10 7.56 7.02 6.48 6.17 5.72 5.31 5.72 5.99 6.30 4.95 4.73 4.50 4.32 4.01 4.01 3.60 3.33 2.88 2.34 2.03 1.53 1.17 0.86 0.54 34A 8.69 7.51 8.19 7.65 7.11 6.57 6.21 5.81 5.40 5.76 6.08 6.39 5.04 4.82 4.59 4.41 4.10 4.10 3.69 3.42 2.97 2.39 2.07 1.62 1.26 0.95 0.63 0.15 35 8.82 7.65 8.33 7.79 7.25 6.71 6.35 5.94 5.54 5.90 6.21 6.53 5.18 4.95 4.73 4.55 4.23 4.23 3.83 3.56 3.11 2.57 2.25 1.76 1.40 1.08 0.77 0.23 0.18 36 8.87 7.69 8.37 7.83 7.29 6.75 6.39 5.94 5.58 5.94 6.26 6.57 5.22 5.00 4.77 4.55 4.28 4.28 3.87 3.56 3.15 2.57 2.25 1.80 1.44 1.13 0.81 0.27 0.18 0.15 37 8.96 7.74 8.42 7.92 7.34 6.80 6.48 6.03 5.67 6.03 6.30 6.66 5.31 5.04 4.86 4.64 4.32 4.32 3.96 3.65 3.24 2.66 2.34 1.89 1.53 1.17 0.86 0.36 0.27 0.15 0.15 38 9.09 7.87 8.55 8.06 7.47 6.93 6.62 6.17 5.81 6.17 6.44 6.75 5.40 5.18 4.95 4.77 4.46 4.46 4.05 3.78 3.38 2.79 2.48 1.98 1.62 1.31 0.99 0.50 0.41 0.27 0.23 0.15 39 9.59 8.37 9.05 8.55 8.01 7.47 7.11 6.66 6.30 6.66 6.98 7.29 5.94 5.67 5.49 5.27 5.00 5.00 4.59 4.28 3.87 3.29 2.97 2.52 2.16 1.80 1.53 0.99 0.90 0.77 0.72 0.68 0.54 40 10.13 8.95 9.63 9.09 8.55 8.01 7.70 7.25 6.84 7.25 7.52 7.83 6.48 6.26 6.03 5.85 5.54 5.54 5.13 4.86 4.41 3.87 3.56 3.06 2.70 2.39 2.07 1.53 1.49 1.35 1.31 1.22 1.08 0.59 10.40 9.18 9.86 9.36 8.78 8.24 7.92 7.47 7.11 7.47 7.74 8.06 6.75 6.48 6.30 6.08 5.76 5.76 5.40 5.09 4.68 4.10 3.78 3.33 2.93 2.61 2.30 1.80 1.71 1.58 1.53 1.44 1.35 0.81 0.27 42 10.85 9.63 10.31 9.81 9.23 8.73 8.37 7.92 7.56 7.92 8.19 8.55 7.20 6.93 6.75 6.53 6.26 6.26 5.85 5.54 5.13 4.55 4.23 3.78 3.42 3.06 2.79 2.25 2.16 2.03 1.98 1.94 1.80 1.26 0.72 0.50 43 11.07 9.90 10.58 10.04 9.50 8.96 8.60 8.15 7.79 8.15 8.46 8.78 7.43 7.20 6.98 6.75 6.48 6.48 6.08 5.76 5.36 4.77 4.46 4.01 3.65 3.33 3.02 2.48 2.39 2.25 2.25 2.16 2.03 1.53 0.95 0.72 0.27 44 11.21 10.03 10.71 10.17 9.63 9.09 8.73 8.28 7.92 8.28 8.60 8.91 7.56 7.34 7.11 6.89 6.62 6.62 6.21 5.90 5.49 4.91 4.59 4.14 3.78 3.47 3.15 2.61 2.52 2.39 2.39 2.30 2.16 1.67 1.08 0.86 0.41 0.15 45 11.61 10.44 11.12 10.58 10.04 9.50 9.14 8.69 8.33 8.69 9.00 9.32 7.97 7.74 7.52 7.29 7.02 7.02 6.62 6.30 5.90 5.31 5.00 4.55 4.19 3.87 3.56 3.02 2.93 2.79 2.79 2.70 2.57 2.07 1.49 1.26 0.81 0.54 0.41 46 12.20 10.98 11.66 11.16 10.58 10.04 9.72 9.27 8.91 9.27 9.54 9.86 8.55 8.28 8.06 7.88 7.56 7.56 7.20 6.89 6.48 5.90 5.58 5.13 4.73 4.41 4.10 3.60 3.51 3.38 3.33 3.24 3.15 2.61 2.07 1.80 1.35 1.13 0.99 0.59 47 12.60 11.38 12.06 11.57 10.98 10.44 10.13 9.68 9.32 9.68 9.95 10.26 8.96 8.69 8.46 8.28 7.97 7.97 7.61 7.29 6.89 6.30 5.99 5.54 5.13 4.82 4.50 4.01 3.92 3.78 3.74 3.65 3.56 3.02 2.48 2.21 1.76 1.53 1.40 0.99 0.41 48 13.01 11.79 12.47 11.97 11.39 10.85 10.53 10.08 9.72 10.08 10.35 10.67 9.36 9.09 8.87 8.69 8.37 8.37 8.01 7.70 7.29 6.71 6.39 5.94 5.54 5.22 4.91 4.41 4.32 4.19 4.14 4.05 3.96 3.42 2.88 2.61 2.16 1.94 1.80 1.40 0.81 0.41 48A 13.55 12.33 13.01 12.51 11.93 11.39 11.07 10.62 10.26 10.62 10.89 11.21 9.90 9.63 9.45 9.23 8.91 8.91 8.55 8.24 7.83 7.25 6.93 6.48 6.08 5.76 5.45 4.95 4.86 4.73 4.68 4.59 4.50 3.96 3.42 3.15 2.70 2.48 2.34 1.94 1.40 0.99 0.59 49 13.64 12.46 13.14 12.60 12.06 11.52 11.16 10.71 10.35 10.71 11.03 11.34 9.99 9.77 9.54 9.32 9.05 9.05 8.64 8.33 7.92 7.34 7.02 6.57 6.21 5.90 5.58 5.04 4.95 4.82 4.77 4.73 4.59 4.10 3.51 3.29 2.84 2.57 2.43 2.03 1.49 1.08 0.68 0.15 Class 2L Vehicles with two axles and a height of less than 7'6" 20 No. 56 57 57A 58 59 60 61 Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.15 56 0.27 0.15 57 0.54 0.45 0.32 57A 0.95 0.81 0.68 0.41 58 1.35 1.26 1.13 0.81 0.45 59 1.98 1.85 1.71 1.44 1.04 0.63 60 2.34 2.25 2.12 1.80 1.44 0.99 0.41 41 Appendix Y2 Page 1 New York State Thruway Toll Schedule Class 2H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 2.19 0.00 1.43 17 3.37 0.85 2.28 1.19 18 4.47 1.99 3.42 2.33 1.14 19 5.23 2.70 4.13 3.04 1.85 0.76 20 6.13 3.61 5.04 3.94 2.80 1.66 0.95 21 6.89 4.41 5.84 4.75 3.56 2.47 1.71 0.81 21B 8.88 6.41 7.84 6.75 5.56 4.47 3.71 2.80 2.04 B1 9.55 7.03 8.46 7.36 6.18 5.08 4.37 3.42 2.66 0.67 B2 10.21 7.69 9.12 8.03 6.89 5.75 5.04 4.09 3.33 1.33 0.71 B3 7.65 5.17 6.60 5.51 4.32 3.23 2.47 1.57 0.76 1.47 2.09 2.76 22 8.17 5.65 7.08 5.99 4.85 3.71 2.99 2.09 1.28 1.95 2.61 3.28 0.52 23 8.60 6.12 7.55 6.46 5.27 4.13 3.42 2.52 1.71 2.42 3.04 3.71 0.95 0.48 24 9.07 6.55 7.98 6.89 5.70 4.61 3.85 2.95 2.19 2.85 3.47 4.13 1.43 0.90 0.48 25 8.60 6.12 7.55 6.46 5.27 4.13 3.42 2.52 1.71 2.42 3.04 3.71 0.95 0.48 0.00 0.00 9.64 7.17 8.60 7.51 6.32 5.23 4.47 3.56 2.80 3.47 4.09 4.75 2.04 1.52 1.09 0.62 0.00 26 10.50 7.98 9.41 8.31 7.17 6.03 5.32 4.37 3.61 4.28 4.89 5.56 2.85 2.33 1.90 1.47 0.86 0.86 27 11.12 8.59 10.02 8.93 7.79 6.65 5.94 5.04 4.23 4.89 5.56 6.22 3.47 2.95 2.52 2.09 1.47 1.47 0.67 28 12.02 9.50 10.93 9.83 8.65 7.55 6.79 5.89 5.13 5.80 6.41 7.08 4.37 3.85 3.42 2.95 2.38 2.38 1.52 0.90 29 13.21 10.68 12.11 11.02 9.88 8.74 8.03 7.08 6.32 6.98 7.60 8.27 5.56 5.04 4.61 4.18 3.56 3.56 2.76 2.09 1.24 Class 2H Vehicles with two axles and a height of 7'6" or more 25A No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.25 56 0.52 0.29 57 1.14 0.95 0.67 57A 1.95 1.71 1.43 0.81 58 2.80 2.61 2.33 1.71 0.90 59 4.09 3.85 3.61 2.95 2.19 1.28 60 4.89 4.66 4.42 3.75 2.99 2.09 0.81 13.87 11.35 12.78 11.69 10.55 9.41 8.69 7.74 6.98 7.65 8.27 8.93 6.22 5.70 5.27 4.85 4.23 4.23 3.37 2.76 1.90 0.67 30 14.82 12.30 13.73 12.68 11.50 10.36 9.64 8.74 7.93 8.60 9.26 9.93 7.17 6.70 6.22 5.80 5.18 5.18 4.37 3.75 2.85 1.66 1.00 31 15.58 13.11 14.54 13.44 12.26 11.16 10.40 9.50 8.69 9.41 10.02 10.69 7.93 7.46 7.03 6.56 5.94 5.94 5.13 4.51 3.61 2.42 1.76 0.81 32 16.29 13.77 15.20 14.11 12.97 11.83 11.12 10.17 9.41 10.07 10.69 11.35 8.65 8.12 7.70 7.27 6.65 6.65 5.80 5.18 4.32 3.09 2.42 1.47 0.71 33 16.91 14.44 15.87 14.77 13.59 12.45 11.73 10.83 10.02 10.74 11.35 12.02 9.26 8.79 8.31 7.89 7.27 7.27 6.46 5.84 4.94 3.75 3.09 2.14 1.33 0.67 34 18.05 15.53 16.96 15.87 14.68 13.59 12.83 11.92 11.16 11.83 12.45 13.11 10.40 9.88 9.45 9.03 8.41 8.41 7.55 6.94 6.03 4.85 4.18 3.23 2.47 1.76 1.14 34A 18.19 15.67 17.10 16.01 14.87 13.73 13.02 12.11 11.31 11.97 12.64 13.30 10.55 10.02 9.60 9.17 8.55 8.55 7.74 7.08 6.22 5.04 4.37 3.37 2.61 1.95 1.28 0.25 35 18.48 16.00 17.43 16.34 15.15 14.01 13.30 12.40 11.59 12.30 12.92 13.59 10.83 10.36 9.88 9.45 8.84 8.84 8.03 7.41 6.51 5.32 4.66 3.71 2.90 2.23 1.57 0.48 0.33 36 18.57 16.05 17.48 16.39 15.20 14.11 13.40 12.45 11.69 12.35 12.97 13.63 10.93 10.40 9.98 9.55 8.93 8.93 8.08 7.46 6.60 5.37 4.70 3.75 2.99 2.28 1.66 0.57 0.38 0.25 37 18.72 16.19 17.62 16.53 15.39 14.25 13.54 12.59 11.83 12.49 13.11 13.78 11.07 10.55 10.12 9.69 9.07 9.07 8.27 7.60 6.75 5.51 4.89 3.90 3.14 2.47 1.81 0.71 0.52 0.25 0.25 38 18.95 16.48 17.91 16.82 15.63 14.54 13.78 12.87 12.11 12.78 13.40 14.06 11.35 10.83 10.40 9.93 9.36 9.36 8.50 7.89 6.98 5.80 5.13 4.18 3.42 2.71 2.09 0.95 0.81 0.52 0.43 0.29 39 20.05 17.52 18.95 17.86 16.72 15.58 14.87 13.97 13.16 13.82 14.44 15.15 12.40 11.88 11.45 11.02 10.40 10.40 9.60 8.93 8.08 6.89 6.22 5.23 4.47 3.80 3.14 2.04 1.85 1.57 1.52 1.38 1.09 40 21.23 18.71 20.14 19.05 17.91 16.77 16.06 15.15 14.35 15.01 15.63 16.34 13.59 13.06 12.64 12.21 11.59 11.59 10.78 10.12 9.26 8.08 7.41 6.41 5.65 4.99 4.32 3.23 3.04 2.76 2.71 2.57 2.28 1.19 41 21.71 19.23 20.66 19.57 18.38 17.29 16.53 15.63 14.82 15.53 16.15 16.82 14.06 13.59 13.11 12.68 12.07 12.07 11.26 10.64 9.74 8.55 7.89 6.94 6.13 5.46 4.85 3.71 3.56 3.28 3.18 3.04 2.76 1.71 0.52 42 22.66 20.18 21.61 20.52 19.33 18.24 17.48 16.58 15.82 16.48 17.10 17.77 15.06 14.54 14.11 13.63 13.02 13.02 12.21 11.59 10.69 9.50 8.84 7.89 7.13 6.41 5.80 4.66 4.51 4.23 4.13 3.99 3.71 2.66 1.47 1.00 43 23.18 20.66 22.09 21.04 19.86 18.72 18.00 17.10 16.29 16.96 17.62 18.29 15.53 15.06 14.58 14.16 13.54 13.54 12.73 12.11 11.21 10.02 9.36 8.36 7.60 6.94 6.27 5.18 5.04 4.70 4.66 4.51 4.23 3.18 2.00 1.47 0.52 23.47 20.94 22.37 21.28 20.14 19.00 18.29 17.39 16.58 17.24 17.86 18.57 15.82 15.30 14.87 14.44 13.82 13.82 13.02 12.35 11.50 10.31 9.64 8.65 7.89 7.22 6.56 5.46 5.27 4.99 4.94 4.80 4.51 3.47 2.28 1.76 0.81 0.29 45 24.32 21.80 23.23 22.14 21.00 19.86 19.14 18.19 17.43 18.10 18.72 19.38 16.67 16.15 15.72 15.30 14.68 14.68 13.82 13.21 12.35 11.12 10.45 9.50 8.74 8.03 7.41 6.32 6.13 5.84 5.80 5.61 5.37 4.28 3.09 2.61 1.66 1.14 0.86 46 25.51 22.99 24.42 23.32 22.14 21.04 20.33 19.38 18.62 19.29 19.90 20.57 17.86 17.34 16.91 16.48 15.87 15.87 15.01 14.39 13.54 12.30 11.64 10.69 9.93 9.22 8.60 7.51 7.32 7.03 6.94 6.79 6.56 5.46 4.28 3.80 2.85 2.33 2.04 1.19 26.32 23.84 25.27 24.18 22.99 21.90 21.14 20.24 19.48 20.14 20.76 21.42 18.67 18.19 17.77 17.29 16.67 16.67 15.87 15.25 14.35 13.16 12.49 11.54 10.74 10.07 9.45 8.31 8.17 7.89 7.79 7.65 7.36 6.32 5.13 4.66 3.66 3.18 2.90 2.04 0.86 48 27.17 24.70 26.13 25.03 23.85 22.71 21.99 21.09 20.28 21.00 21.61 22.28 19.52 19.05 18.57 18.15 17.53 17.53 16.72 16.10 15.20 14.01 13.35 12.40 11.59 10.93 10.26 9.17 9.03 8.69 8.65 8.50 8.22 7.17 5.99 5.46 4.51 4.04 3.75 2.90 1.71 0.86 28.31 25.79 27.22 26.17 24.99 23.85 23.13 22.23 21.42 22.09 22.75 23.42 20.66 20.19 19.71 19.29 18.67 18.67 17.86 17.24 16.34 15.15 14.49 13.49 12.73 12.07 11.40 10.31 10.17 9.83 9.79 9.64 9.36 8.31 7.13 6.60 5.65 5.13 4.89 4.04 2.85 2.00 1.14 49 28.55 26.03 27.46 26.36 25.22 24.08 23.37 22.42 21.66 22.33 22.94 23.61 20.90 20.38 19.95 19.52 18.91 18.91 18.05 17.43 16.58 15.34 14.68 13.73 12.97 12.30 11.64 10.55 10.36 10.07 10.02 9.83 9.60 8.50 7.32 6.84 5.89 5.37 5.08 4.28 3.09 2.23 1.38 0.25 44 47 48A Appendix Y2 Page 2 New York State Thruway Toll Schedule Class 3L E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 1.62 0.00 0.90 17 2.48 0.77 1.67 0.90 18 3.33 1.62 2.52 1.71 0.86 19 3.83 2.16 3.06 2.25 1.40 0.54 20 4.55 2.84 3.74 2.93 2.07 1.26 0.72 21 5.09 3.42 4.32 3.51 2.66 1.80 1.26 0.59 21B 6.57 4.86 5.76 5.00 4.10 3.29 2.75 2.07 1.49 B1 7.02 5.36 6.26 5.45 4.59 3.74 3.20 2.52 1.94 0.50 B2 7.52 5.85 6.75 5.94 5.09 4.23 3.69 3.02 2.48 0.99 0.54 B3 5.67 3.96 4.86 4.05 3.20 2.39 1.85 1.17 0.59 1.08 1.53 2.03 22 6.03 4.37 5.27 4.46 3.60 2.75 2.21 1.53 0.95 1.44 1.94 2.43 0.41 23 6.35 4.68 5.58 4.77 3.92 3.06 2.52 1.85 1.26 1.80 2.25 2.75 0.72 0.36 24 6.71 5.00 5.90 5.09 4.23 3.38 2.88 2.16 1.62 2.12 2.57 3.06 1.04 0.68 0.36 25 6.35 4.68 5.58 4.77 3.92 3.06 2.52 1.85 1.26 1.80 2.25 2.75 0.72 0.36 0.00 0.00 25A 7.16 5.45 6.35 5.54 4.68 3.87 3.33 2.61 2.07 2.57 3.02 3.51 1.49 1.13 0.81 0.50 0.00 26 7.74 6.08 6.98 6.17 5.31 4.46 3.92 3.24 2.66 3.15 3.65 4.14 2.12 1.71 1.40 1.08 0.63 0.63 27 8.24 6.53 7.43 6.62 5.76 4.91 4.41 3.69 3.15 3.65 4.10 4.59 2.57 2.21 1.89 1.53 1.08 1.08 0.50 28 8.87 7.16 8.06 7.25 6.39 5.58 5.04 4.37 3.78 4.28 4.73 5.22 3.20 2.84 2.52 2.21 1.76 1.76 1.13 0.68 29 9.77 8.06 8.96 8.15 7.29 6.48 5.94 5.27 4.68 5.18 5.63 6.12 4.10 3.74 3.42 3.11 2.66 2.66 2.03 1.58 0.90 Class 3L Vehicles with three axles and a height of less than 7'6" No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.20 56 0.41 0.23 57 0.86 0.68 0.50 57A 1.44 1.26 1.08 0.59 58 2.07 1.94 1.71 1.26 0.68 59 3.02 2.88 2.66 2.21 1.62 0.95 60 3.60 3.47 3.24 2.79 2.21 1.53 0.63 10.26 8.55 9.45 8.64 7.79 6.93 6.44 5.72 5.18 5.67 6.12 6.62 4.59 4.23 3.92 3.60 3.11 3.11 2.52 2.07 1.40 0.50 30 10.94 9.27 10.17 9.36 8.51 7.65 7.11 6.44 5.85 6.35 6.84 7.34 5.31 4.95 4.59 4.28 3.83 3.83 3.24 2.75 2.12 1.22 0.72 31 11.52 9.81 10.71 9.90 9.05 8.24 7.70 7.02 6.44 6.93 7.38 7.88 5.90 5.49 5.18 4.86 4.41 4.41 3.78 3.33 2.70 1.80 1.31 0.59 32 12.02 10.31 11.21 10.44 9.59 8.73 8.19 7.52 6.93 7.43 7.92 8.42 6.39 5.99 5.67 5.36 4.91 4.91 4.28 3.83 3.20 2.30 1.80 1.08 0.54 33 12.51 10.80 11.70 10.89 10.04 9.23 8.69 8.01 7.43 7.92 8.37 8.87 6.84 6.48 6.17 5.85 5.40 5.40 4.77 4.32 3.65 2.79 2.30 1.58 0.99 0.50 34 13.32 11.61 12.51 11.70 10.85 10.04 9.50 8.82 8.24 8.73 9.18 9.68 7.65 7.29 6.98 6.66 6.21 6.21 5.58 5.13 4.46 3.60 3.11 2.39 1.80 1.31 0.86 13.46 11.75 12.65 11.84 10.98 10.17 9.63 8.96 8.37 8.87 9.32 9.81 7.79 7.43 7.11 6.80 6.35 6.35 5.72 5.27 4.59 3.69 3.24 2.52 1.94 1.44 0.95 0.20 35 13.64 11.97 12.87 12.06 11.21 10.35 9.81 9.14 8.60 9.09 9.54 10.04 8.01 7.65 7.34 6.98 6.53 6.53 5.94 5.45 4.82 3.92 3.42 2.75 2.16 1.67 1.17 0.36 0.23 36 13.73 12.02 12.92 12.11 11.25 10.40 9.90 9.18 8.64 9.14 9.59 10.08 8.06 7.70 7.38 7.02 6.57 6.57 5.99 5.49 4.86 3.96 3.47 2.79 2.21 1.71 1.22 0.41 0.27 0.20 37 13.82 12.11 13.01 12.24 11.34 10.53 9.99 9.32 8.73 9.23 9.68 10.17 8.19 7.79 7.47 7.16 6.71 6.71 6.08 5.63 5.00 4.10 3.60 2.88 2.34 1.80 1.35 0.54 0.41 0.20 0.20 38 14.00 12.33 13.23 12.42 11.57 10.71 10.17 9.50 8.91 9.41 9.90 10.40 8.37 8.01 7.65 7.34 6.89 6.89 6.30 5.81 5.18 4.28 3.78 3.06 2.52 2.03 1.53 0.72 0.59 0.36 0.32 0.23 39 14.81 13.10 14.00 13.19 12.33 11.52 10.98 10.31 9.72 10.22 10.67 11.16 9.18 8.78 8.46 8.15 7.70 7.70 7.07 6.62 5.99 5.09 4.59 3.87 3.29 2.79 2.34 1.53 1.40 1.17 1.13 0.99 0.81 40 15.66 14.00 14.90 14.09 13.23 12.38 11.84 11.16 10.62 11.12 11.57 12.06 10.04 9.68 9.36 9.00 8.55 8.55 7.97 7.47 6.84 5.94 5.45 4.77 4.19 3.69 3.20 2.39 2.25 2.03 1.98 1.89 1.71 0.90 16.02 14.36 15.26 14.45 13.59 12.74 12.24 11.52 10.98 11.48 11.93 12.42 10.40 10.04 9.72 9.36 8.91 8.91 8.33 7.83 7.20 6.30 5.81 5.13 4.55 4.05 3.56 2.75 2.61 2.39 2.34 2.25 2.07 1.26 0.41 42 16.74 15.03 15.93 15.17 14.27 13.46 12.92 12.24 11.66 12.15 12.60 13.10 11.12 10.71 10.40 10.08 9.63 9.63 9.00 8.55 7.92 7.02 6.53 5.81 5.27 4.73 4.28 3.47 3.33 3.11 3.06 2.97 2.75 1.98 1.08 0.72 43 17.15 15.44 16.34 15.53 14.67 13.82 13.32 12.60 12.06 12.56 13.01 13.50 11.48 11.12 10.80 10.44 9.99 9.99 9.41 8.91 8.28 7.38 6.89 6.21 5.63 5.13 4.64 3.83 3.69 3.51 3.42 3.33 3.15 2.34 1.49 1.13 0.41 44 17.33 15.62 16.52 15.75 14.85 14.04 13.50 12.83 12.24 12.74 13.19 13.68 11.70 11.30 10.98 10.67 10.22 10.22 9.59 9.14 8.51 7.61 7.11 6.39 5.85 5.31 4.86 4.05 3.92 3.69 3.65 3.56 3.33 2.57 1.67 1.31 0.59 0.23 45 17.96 16.25 17.15 16.34 15.48 14.67 14.13 13.46 12.87 13.37 13.82 14.31 12.29 11.93 11.61 11.30 10.85 10.85 10.22 9.77 9.09 8.24 7.74 7.02 6.44 5.94 5.49 4.68 4.55 4.32 4.28 4.14 3.96 3.15 2.30 1.94 1.22 0.86 0.63 18.81 17.15 18.05 17.24 16.38 15.53 14.99 14.31 13.73 14.22 14.72 15.21 13.19 12.78 12.47 12.15 11.70 11.70 11.07 10.62 9.99 9.09 8.60 7.88 7.34 6.84 6.35 5.54 5.40 5.18 5.13 5.04 4.82 4.05 3.15 2.79 2.12 1.71 1.53 0.90 47 19.44 17.73 18.63 17.87 16.97 16.16 15.62 14.94 14.36 14.85 15.30 15.80 13.82 13.41 13.10 12.78 12.33 12.33 11.70 11.25 10.62 9.72 9.23 8.51 7.97 7.43 6.98 6.17 6.03 5.81 5.76 5.63 5.45 4.68 3.78 3.42 2.70 2.34 2.12 1.53 0.63 48 20.07 18.36 19.26 18.45 17.60 16.79 16.25 15.57 14.99 15.48 15.93 16.43 14.45 14.04 13.73 13.41 12.96 12.96 12.33 11.88 11.25 10.35 9.86 9.14 8.60 8.06 7.61 6.80 6.66 6.44 6.39 6.26 6.08 5.31 4.41 4.05 3.33 2.97 2.75 2.16 1.26 0.63 48A 20.93 19.22 20.12 19.31 18.45 17.64 17.10 16.43 15.84 16.34 16.79 17.28 15.26 14.90 14.58 14.27 13.82 13.82 13.19 12.74 12.06 11.16 10.71 9.99 9.41 8.91 8.42 7.61 7.47 7.29 7.25 7.11 6.93 6.12 5.27 4.91 4.19 3.83 3.60 2.97 2.12 1.49 0.86 49 21.06 19.40 20.30 19.49 18.63 17.78 17.24 16.56 15.98 16.47 16.97 17.46 15.44 15.08 14.72 14.40 13.95 13.95 13.37 12.87 12.24 11.34 10.85 10.13 9.59 9.09 8.60 7.79 7.65 7.43 7.38 7.29 7.07 6.30 5.40 5.04 4.37 3.96 3.78 3.15 2.30 1.67 1.04 0.20 34A 41 46 Appendix Y2 Page 3 New York State Thruway Toll Schedule Class 3H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 3.75 0.00 2.14 17 5.75 1.76 3.90 2.04 18 7.70 3.70 5.84 3.94 1.95 Class 3H Vehicles with three axles and a height of 7'6" or more 19 8.93 4.94 7.08 5.18 3.18 1.28 20 10.50 6.51 8.65 6.79 4.80 2.85 1.62 21 11.83 7.84 9.98 8.12 6.13 4.18 2.95 1.38 21B 15.01 11.02 13.16 11.26 9.26 7.36 6.08 4.51 3.18 B1 16.06 12.06 14.20 12.35 10.36 8.41 7.17 5.61 4.23 1.09 17.24 13.25 15.39 13.49 11.50 9.55 8.31 6.75 5.42 2.23 1.19 B3 13.16 9.17 11.31 9.41 7.41 5.51 4.28 2.66 1.33 2.19 3.28 4.42 22 14.01 10.02 12.16 10.31 8.31 6.37 5.13 3.56 2.19 3.09 4.13 5.32 0.90 23 14.77 10.78 12.92 11.07 9.07 7.13 5.89 4.28 2.95 3.85 4.89 6.03 1.66 0.76 24 15.53 11.54 13.68 11.78 9.79 7.89 6.65 5.04 3.71 4.56 5.65 6.79 2.38 1.52 0.76 25 14.77 10.78 12.92 11.07 9.07 7.13 5.89 4.28 2.95 3.85 4.89 6.03 1.66 0.76 0.00 0.00 16.58 12.59 14.73 12.87 10.88 8.93 7.70 6.08 4.75 5.65 6.70 7.84 3.47 2.57 1.81 1.09 18.00 14.01 16.15 14.30 12.30 10.36 9.12 7.51 6.18 7.08 8.12 9.31 4.89 3.99 3.28 2.52 1.47 1.47 19.10 15.10 17.24 15.34 13.35 11.45 10.21 8.60 7.27 8.12 9.22 10.36 5.94 5.08 4.32 3.56 2.52 2.52 1.09 28 20.62 16.58 18.72 16.86 14.87 12.92 11.69 10.12 8.79 9.64 10.69 11.88 7.46 6.60 5.84 5.08 4.04 4.04 2.61 1.52 29 22.66 18.67 20.81 18.95 16.96 15.01 13.78 12.16 10.83 11.73 12.78 13.97 9.55 8.65 7.93 7.17 6.13 6.13 4.66 3.61 2.09 B2 25A 0.00 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.40 56 0.86 0.48 57 1.95 1.57 1.09 57A 3.28 2.95 2.47 1.38 58 4.85 4.47 3.99 2.90 1.57 59 6.98 6.65 6.18 5.08 3.71 2.19 60 8.41 8.03 7.55 6.46 5.13 3.56 1.43 23.80 19.81 21.95 20.09 18.10 16.15 14.92 13.30 11.97 12.87 13.92 15.11 10.69 9.79 9.07 8.31 7.27 7.27 5.80 4.75 3.23 1.19 30 25.46 21.47 23.61 21.76 19.71 17.81 16.58 14.96 13.63 14.54 15.58 16.72 12.35 11.45 10.69 9.98 8.88 8.88 7.46 6.41 4.89 2.80 1.66 31 26.79 22.80 24.94 23.04 21.04 19.14 17.91 16.29 14.96 15.82 16.91 18.05 13.63 12.78 12.02 11.26 10.21 10.21 8.79 7.70 6.22 4.13 2.99 1.33 27.98 23.99 26.13 24.23 22.23 20.28 19.05 17.48 16.15 17.01 18.10 19.24 14.82 13.97 13.21 12.45 11.40 11.40 9.98 8.88 7.41 5.32 4.18 2.52 1.19 33 29.07 25.08 27.22 25.32 23.32 21.42 20.19 18.57 17.24 18.10 19.19 20.33 15.91 15.06 14.30 13.54 12.49 12.49 11.07 9.98 8.50 6.41 5.27 3.61 2.28 1.14 34 30.97 26.98 29.12 27.22 25.22 23.32 22.04 20.47 19.14 20.00 21.09 22.23 17.81 16.96 16.20 15.44 14.39 14.39 12.97 11.88 10.40 8.31 7.17 5.51 4.18 3.04 1.90 34A 31.26 27.26 29.40 27.55 25.51 23.61 22.37 20.76 19.43 20.28 21.38 22.52 18.15 17.24 16.48 15.72 14.68 14.68 13.25 12.21 10.69 8.60 7.46 5.80 4.51 3.33 2.23 0.40 35 31.78 27.79 29.93 28.03 26.03 24.08 22.85 21.28 19.95 20.81 21.90 23.04 18.62 17.77 17.01 16.25 15.20 15.20 13.78 12.68 11.21 9.12 7.98 6.32 4.99 3.80 2.71 0.81 0.52 36 31.87 27.88 30.02 28.12 26.13 24.23 22.94 21.38 20.05 20.90 21.99 23.13 18.72 17.86 17.10 16.34 15.30 15.30 13.87 12.78 11.31 9.22 8.08 6.41 5.08 3.94 2.80 0.95 0.62 0.40 37 32.16 28.17 30.31 28.41 26.41 24.46 23.23 21.66 20.33 21.19 22.28 23.42 19.00 18.15 17.39 16.63 15.58 15.58 14.16 13.06 11.59 9.50 8.36 6.70 5.37 4.18 3.09 1.19 0.90 0.40 0.40 38 32.59 28.59 30.73 28.88 26.84 24.94 23.70 22.09 20.76 21.61 22.71 23.85 19.48 18.57 17.81 17.10 16.01 16.01 14.58 13.54 12.02 9.93 8.79 7.13 5.84 4.66 3.56 1.66 1.38 0.86 0.76 0.48 39 34.44 30.45 32.59 30.69 28.69 26.79 25.51 23.94 22.61 23.47 24.56 25.70 21.28 20.43 19.67 18.91 17.86 17.86 16.44 15.34 13.87 11.78 10.64 8.98 7.65 6.51 5.37 3.52 3.18 2.71 2.57 2.33 1.85 40 36.48 32.49 34.63 32.73 30.73 28.83 27.55 25.98 24.65 25.51 26.60 27.74 23.32 22.47 21.71 20.95 19.90 19.90 18.48 17.39 15.91 13.82 12.68 11.02 9.69 8.55 7.41 5.51 5.23 4.75 4.61 4.37 3.90 2.04 41 37.29 33.30 35.44 33.58 31.59 29.64 28.41 26.84 25.46 26.36 27.41 28.60 24.18 23.28 22.56 21.80 20.76 20.76 19.33 18.24 16.72 14.68 13.54 11.88 10.55 9.36 8.27 6.37 6.08 5.56 5.46 5.18 4.75 2.90 0.86 42 38.95 34.96 37.10 35.20 33.20 31.30 30.07 28.45 27.12 27.98 29.07 30.21 25.79 24.94 24.18 23.42 22.37 22.37 20.95 19.86 18.38 16.29 15.15 13.49 12.21 11.02 9.93 8.03 7.70 7.22 7.13 6.84 6.37 4.56 2.52 1.66 43 39.81 35.81 37.95 36.10 34.11 32.16 30.92 29.36 27.98 28.88 29.93 31.11 26.70 25.79 25.08 24.32 23.28 23.28 21.85 20.76 19.24 17.20 16.06 14.39 13.06 11.88 10.78 8.88 8.60 8.08 7.98 7.70 7.27 5.42 3.37 2.52 0.90 44 40.33 36.34 38.48 36.58 34.58 32.63 31.40 29.83 28.50 29.36 30.45 31.59 27.17 26.32 25.56 24.80 23.75 23.75 22.33 21.23 19.76 17.67 16.53 14.87 13.54 12.40 11.26 9.36 9.07 8.60 8.46 8.22 7.74 5.89 3.85 3.04 1.38 0.52 45 41.75 37.76 39.90 38.00 36.01 34.11 32.87 31.26 29.93 30.78 31.87 33.01 28.60 27.74 26.98 26.22 25.18 25.18 23.75 22.66 21.19 19.10 17.96 16.29 15.01 13.82 12.73 10.83 10.50 10.02 9.93 9.64 9.17 7.36 5.32 4.47 2.80 1.95 1.47 46 43.80 39.80 41.94 40.04 38.05 36.10 34.87 33.30 31.97 32.82 33.92 35.06 30.64 29.78 29.02 28.26 27.22 27.22 25.79 24.70 23.23 21.14 20.00 18.34 17.01 15.82 14.73 12.83 12.54 12.07 11.92 11.69 11.21 9.36 7.32 6.51 4.85 3.99 3.47 2.04 47 45.22 41.23 43.37 41.52 39.52 37.57 36.34 34.72 33.39 34.30 35.34 36.53 32.11 31.21 30.45 29.74 28.69 28.69 27.22 26.17 24.65 22.56 21.42 19.81 18.48 17.29 16.20 14.30 14.01 13.49 13.40 13.11 12.68 10.83 8.79 7.93 6.32 5.42 4.94 3.52 1.47 48 46.69 42.70 44.84 42.94 40.95 39.05 37.81 36.20 34.87 35.72 36.81 37.95 33.54 32.68 31.92 31.16 30.12 30.12 28.69 27.60 26.13 24.04 22.90 21.23 19.90 18.76 17.67 15.77 15.44 14.96 14.87 14.58 14.11 12.30 10.26 9.41 7.74 6.89 6.41 4.94 2.95 1.47 48A 48.64 44.65 46.79 44.94 42.89 40.99 39.76 38.14 36.81 37.67 38.76 39.90 35.53 34.63 33.87 33.16 32.06 32.06 30.64 29.59 28.07 25.98 24.84 23.18 21.90 20.71 19.62 17.72 17.43 16.91 16.82 16.53 16.06 14.25 12.21 11.35 9.74 8.84 8.36 6.94 4.89 3.42 2.00 49 49.02 45.03 47.17 45.32 43.32 41.37 40.14 38.52 37.19 38.10 39.14 40.28 35.91 35.01 34.25 33.54 32.44 32.44 31.02 29.97 28.45 26.36 25.22 23.61 22.28 21.09 20.00 18.10 17.81 17.29 17.20 16.91 16.48 14.63 12.59 11.73 10.12 9.22 8.74 7.32 5.27 3.80 2.38 0.43 32 Appendix Y2 Page New York State Thruway Toll Schedule Class 4L E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 1.94 0.00 1.13 17 2.93 0.85 1.98 1.04 18 3.92 1.84 2.97 2.03 0.99 19 4.55 2.47 3.60 2.66 1.62 0.68 20 5.36 3.28 4.41 3.47 2.43 1.49 0.86 21 6.08 4.00 5.13 4.14 3.15 2.16 1.53 0.72 21B 7.83 5.76 6.89 5.94 4.91 3.92 3.29 2.48 1.80 B1 8.37 6.30 7.43 6.48 5.45 4.46 3.83 3.02 2.34 0.59 B2 8.96 6.88 8.01 7.07 6.03 5.04 4.41 3.60 2.93 1.17 0.63 B3 6.71 4.63 5.76 4.82 3.78 2.84 2.21 1.35 0.68 1.31 1.85 2.43 22 7.16 5.08 6.21 5.27 4.23 3.29 2.61 1.80 1.13 1.76 2.30 2.88 0.45 23 7.56 5.49 6.62 5.67 4.64 3.65 3.02 2.21 1.53 2.12 2.66 3.24 0.86 0.41 24 7.92 5.85 6.98 6.03 5.00 4.05 3.38 2.57 1.89 2.52 3.06 3.65 1.22 0.77 0.41 25 7.56 5.49 6.62 5.67 4.64 3.65 3.02 2.21 1.53 2.12 2.66 3.24 0.86 0.41 0.00 0.00 25A 8.46 6.39 7.52 6.57 5.54 4.59 3.92 3.11 2.43 3.06 3.60 4.19 1.76 1.31 0.95 0.54 0.00 26 9.23 7.15 8.28 7.29 6.30 5.31 4.68 3.87 3.15 3.78 4.32 4.91 2.52 2.07 1.67 1.31 0.77 0.77 9.77 7.69 8.82 7.88 6.84 5.85 5.22 4.41 3.74 4.32 4.86 5.45 3.06 2.61 2.21 1.85 1.31 1.31 0.59 28 10.53 8.46 9.59 8.64 7.61 6.62 5.99 5.18 4.50 5.09 5.63 6.21 3.83 3.38 2.97 2.61 2.07 2.07 1.35 0.77 29 11.57 9.49 10.62 9.68 8.64 7.70 7.02 6.21 5.54 6.17 6.71 7.29 4.86 4.41 4.05 3.65 3.11 3.11 2.39 1.85 1.08 Class 4L Vehicles with four or more axles and a height of less than 7'6" 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.25 56 0.45 0.27 57 0.99 0.81 0.59 57A 1.71 1.49 1.26 0.72 58 2.48 2.30 2.03 1.49 0.81 59 3.60 3.38 3.15 2.61 1.89 1.13 60 4.28 4.10 3.87 3.29 2.61 1.85 0.72 12.15 10.08 11.21 10.26 9.23 8.24 7.61 6.80 6.12 6.75 7.29 7.88 5.45 5.00 4.64 4.23 3.69 3.69 2.97 2.43 1.67 0.59 30 13.01 10.93 12.06 11.12 10.08 9.09 8.46 7.65 6.98 7.56 8.15 8.73 6.30 5.85 5.49 5.09 4.55 4.55 3.83 3.29 2.52 1.44 0.86 31 13.68 11.61 12.74 11.79 10.76 9.77 9.14 8.33 7.65 8.24 8.82 9.41 6.98 6.53 6.17 5.76 5.22 5.22 4.50 3.96 3.20 2.12 1.53 0.68 14.27 12.19 13.32 12.38 11.34 10.40 9.72 8.91 8.24 8.87 9.41 9.99 7.56 7.11 6.75 6.35 5.85 5.85 5.09 4.55 3.78 2.75 2.16 1.31 0.63 33 14.85 12.78 13.91 12.96 11.93 10.94 10.31 9.50 8.82 9.41 9.95 10.53 8.15 7.70 7.34 6.93 6.39 6.39 5.67 5.13 4.37 3.29 2.70 1.85 1.17 0.59 34 15.80 13.72 14.85 13.91 12.87 11.93 11.30 10.44 9.77 10.40 10.94 11.52 9.09 8.69 8.28 7.92 7.38 7.38 6.62 6.08 5.31 4.28 3.69 2.84 2.16 1.58 0.99 34A 15.98 13.90 15.03 14.09 13.05 12.06 11.43 10.62 9.95 10.53 11.07 11.66 9.27 8.82 8.42 8.06 7.52 7.52 6.80 6.21 5.45 4.41 3.83 2.97 2.30 1.71 1.13 0.25 35 16.25 14.13 15.26 14.31 13.32 12.33 11.70 10.89 10.17 10.80 11.34 11.93 9.54 9.09 8.69 8.33 7.79 7.79 7.02 6.48 5.72 4.68 4.10 3.24 2.57 1.98 1.40 0.45 0.27 36 16.29 14.22 15.35 14.36 13.37 12.38 11.75 10.94 10.26 10.85 11.39 11.97 9.59 9.14 8.73 8.37 7.83 7.83 7.11 6.53 5.76 4.73 4.14 3.29 2.61 2.03 1.44 0.50 0.32 0.25 37 16.43 14.35 15.48 14.54 13.50 12.51 11.88 11.07 10.40 10.98 11.52 12.11 9.72 9.27 8.87 8.51 7.97 7.97 7.25 6.66 5.90 4.86 4.28 3.42 2.75 2.16 1.58 0.63 0.45 0.25 0.25 16.65 14.58 15.71 14.76 13.73 12.74 12.11 11.30 10.62 11.21 11.75 12.33 9.95 9.50 9.09 8.73 8.19 8.19 7.47 6.93 6.17 5.09 4.50 3.65 2.97 2.39 1.80 0.86 0.72 0.45 0.41 0.27 17.60 15.52 16.65 15.71 14.67 13.68 13.05 12.24 11.57 12.15 12.69 13.28 10.89 10.44 10.04 9.68 9.14 9.14 8.42 7.83 7.07 6.03 5.45 4.59 3.92 3.33 2.75 1.80 1.67 1.40 1.35 1.17 0.95 40 18.63 16.56 17.69 16.74 15.71 14.72 14.09 13.28 12.60 13.19 13.73 14.31 11.93 11.48 11.12 10.71 10.17 10.17 9.45 8.91 8.15 7.07 6.48 5.63 4.95 4.37 3.78 2.84 2.70 2.43 2.39 2.25 2.03 1.08 41 19.08 16.96 18.09 17.15 16.16 15.17 14.54 13.73 13.01 13.64 14.18 14.76 12.38 11.93 11.52 11.16 10.62 10.62 9.86 9.32 8.55 7.52 6.93 6.08 5.40 4.82 4.23 3.29 3.11 2.84 2.79 2.66 2.43 1.49 0.45 42 19.89 17.82 18.95 18.00 16.97 15.98 15.35 14.54 13.86 14.45 15.03 15.62 13.19 12.74 12.38 11.97 11.43 11.43 10.71 10.17 9.41 8.33 7.74 6.89 6.21 5.63 5.09 4.10 3.96 3.69 3.65 3.51 3.29 2.34 1.31 0.86 43 20.34 18.27 19.40 18.45 17.42 16.43 15.80 14.99 14.31 14.90 15.44 16.07 13.64 13.19 12.83 12.42 11.88 11.88 11.16 10.62 9.86 8.78 8.19 7.34 6.66 6.08 5.54 4.55 4.41 4.14 4.10 3.96 3.74 2.79 1.76 1.31 0.45 44 20.61 18.54 19.67 18.68 17.69 16.70 16.07 15.26 14.54 15.17 15.71 16.29 13.91 13.46 13.05 12.69 12.15 12.15 11.39 10.85 10.08 9.05 8.46 7.61 6.93 6.35 5.76 4.82 4.64 4.41 4.32 4.19 3.96 3.02 1.98 1.58 0.72 0.27 45 21.33 19.26 20.39 19.44 18.41 17.42 16.79 15.98 15.30 15.89 16.43 17.01 14.63 14.18 13.77 13.41 12.87 12.87 12.15 11.61 10.85 9.77 9.18 8.33 7.65 7.07 6.48 5.54 5.40 5.13 5.09 4.95 4.68 3.78 2.70 2.30 1.44 0.99 0.77 46 22.37 20.29 21.42 20.48 19.44 18.45 17.82 17.01 16.34 16.92 17.46 18.05 15.66 15.21 14.81 14.45 13.91 13.91 13.19 12.65 11.88 10.80 10.22 9.36 8.69 8.10 7.52 6.57 6.44 6.17 6.12 5.99 5.72 4.82 3.74 3.33 2.48 2.03 1.80 1.04 47 23.09 21.01 22.14 21.20 20.16 19.22 18.54 17.73 17.06 17.69 18.23 18.81 16.38 15.93 15.57 15.17 14.63 14.63 13.91 13.37 12.60 11.52 10.98 10.13 9.45 8.82 8.28 7.29 7.16 6.89 6.84 6.71 6.48 5.54 4.50 4.05 3.24 2.79 2.52 1.80 0.77 48 23.85 21.78 22.91 21.96 20.93 19.94 19.31 18.50 17.82 18.41 18.95 19.53 17.15 16.70 16.29 15.93 15.39 15.39 14.67 14.13 13.37 12.29 11.70 10.85 10.17 9.59 9.00 8.06 7.92 7.65 7.61 7.47 7.20 6.30 5.22 4.82 3.96 3.51 3.29 2.52 1.53 0.77 48A 24.84 22.77 23.90 22.95 21.92 20.93 20.30 19.49 18.81 19.40 19.98 20.57 18.14 17.69 17.33 16.92 16.38 16.38 15.66 15.12 14.36 13.28 12.69 11.84 11.16 10.58 10.04 9.05 8.91 8.64 8.60 8.46 8.24 7.29 6.26 5.81 4.95 4.50 4.28 3.56 2.52 1.76 1.04 49 25.02 22.95 24.08 23.13 22.10 21.15 20.52 19.67 18.99 19.62 20.16 20.75 18.32 17.91 17.51 17.15 16.61 16.61 15.84 15.30 14.54 13.50 12.92 12.06 11.39 10.80 10.22 9.23 9.09 8.82 8.78 8.64 8.42 7.47 6.44 5.99 5.18 4.73 4.46 3.74 2.70 1.98 1.22 0.25 32 38 39 Appendix Y2 Page 5 New York State Thruway Toll Schedule Class 4H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 4.13 0.00 2.38 17 6.32 1.90 4.28 2.23 18 8.46 4.03 6.41 4.37 2.14 19 9.83 5.41 7.79 5.70 3.52 1.38 20 11.59 7.17 9.55 7.46 5.27 3.14 1.76 21 13.06 8.64 11.02 8.93 6.75 4.61 3.23 1.52 21B 16.72 12.30 14.68 12.64 10.45 8.31 6.94 5.18 3.71 B1 17.91 13.49 15.87 13.82 11.59 9.50 8.12 6.37 4.89 1.19 B2 19.19 14.77 17.15 15.11 12.87 10.74 9.41 7.65 6.18 2.47 1.28 B3 14.49 10.07 12.45 10.40 8.17 6.08 4.70 2.95 1.47 2.66 3.80 5.08 22 15.49 11.06 13.44 11.35 9.17 7.03 5.65 3.90 2.42 3.61 4.80 6.08 1.00 23 16.29 11.87 14.25 12.16 9.98 7.84 6.46 4.75 3.28 4.42 5.61 6.89 1.81 0.86 24 17.10 12.68 15.06 13.02 10.78 8.69 7.32 5.56 4.09 5.27 6.41 7.70 2.66 1.66 0.86 25 16.29 11.87 14.25 12.16 9.98 7.84 6.46 4.75 3.28 4.42 5.61 6.89 1.81 0.86 0.00 0.00 18.29 13.87 16.25 14.16 11.97 9.83 8.46 6.70 5.23 6.41 7.60 8.88 3.80 2.85 2.00 1.19 0.00 26 19.86 15.43 17.81 15.72 13.54 11.40 10.02 8.31 6.84 7.98 9.17 10.45 5.37 4.42 3.56 2.76 1.62 1.62 27 21.04 16.62 19.00 16.91 14.73 12.59 11.21 9.50 8.03 9.17 10.36 11.64 6.56 5.61 4.75 3.94 2.80 2.80 1.19 28 22.71 18.28 20.66 18.57 16.39 14.25 12.87 11.12 9.64 10.83 12.02 13.30 8.22 7.27 6.41 5.61 4.42 4.42 2.85 1.66 29 24.99 20.56 22.94 20.85 18.67 16.53 15.15 13.44 11.97 13.11 14.30 15.58 10.50 9.55 8.69 7.89 6.75 6.75 5.13 3.94 2.33 Class 4H Vehicles with four axles and a height of 7'6" or more 25A No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.45 56 0.95 0.52 57 2.14 1.76 1.24 57A 3.66 3.23 2.71 1.52 58 5.32 4.89 4.37 3.18 1.71 59 7.70 7.32 6.79 5.56 4.09 2.42 60 9.22 8.84 8.31 7.13 5.61 3.94 1.57 26.22 21.80 24.18 22.14 19.90 17.81 16.44 14.68 13.21 14.39 15.58 16.82 11.78 10.78 9.98 9.17 7.98 7.98 6.41 5.23 3.56 1.28 30 28.07 23.65 26.03 23.94 21.76 19.62 18.24 16.48 15.01 16.20 17.39 18.67 13.59 12.64 11.78 10.97 9.79 9.79 8.22 7.03 5.37 3.09 1.85 31 29.50 25.08 27.46 25.41 23.23 21.09 19.71 17.96 16.48 17.67 18.86 20.09 15.06 14.06 13.25 12.45 11.26 11.26 9.69 8.50 6.84 4.56 3.33 1.47 32 30.83 26.41 28.79 26.70 24.51 22.37 21.00 19.24 17.77 18.95 20.14 21.42 16.34 15.39 14.54 13.73 12.54 12.54 10.97 9.79 8.12 5.84 4.61 2.76 1.33 33 32.02 27.59 29.97 27.93 25.70 23.61 22.23 20.47 19.00 20.19 21.33 22.61 17.58 16.58 15.77 14.92 13.78 13.78 12.21 11.02 9.36 7.08 5.80 3.99 2.52 1.24 34 34.11 29.68 32.06 30.02 27.79 25.70 24.32 22.56 21.09 22.28 23.42 24.70 19.67 18.67 17.86 17.01 15.87 15.87 14.30 13.11 11.45 9.17 7.89 6.08 4.61 3.33 2.09 34A 34.44 30.02 32.40 30.35 28.12 25.98 24.65 22.90 21.42 22.56 23.75 25.03 19.95 19.00 18.19 17.34 16.20 16.20 14.63 13.44 11.78 9.50 8.22 6.41 4.94 3.66 2.42 0.45 35 35.01 30.59 32.97 30.88 28.69 26.55 25.18 23.42 21.95 23.13 24.32 25.60 20.52 19.57 18.72 17.91 16.72 16.72 15.15 13.97 12.35 10.02 8.79 6.98 5.51 4.23 2.99 0.90 0.57 36 35.10 30.68 33.06 31.02 28.79 26.70 25.32 23.56 22.09 23.28 24.42 25.70 20.66 19.67 18.86 18.00 16.86 16.86 15.30 14.11 12.45 10.17 8.88 7.08 5.61 4.32 3.09 1.05 0.71 0.45 37 35.44 31.01 33.39 31.30 29.12 26.98 25.60 23.85 22.37 23.56 24.75 26.03 20.95 19.95 19.14 18.34 17.15 17.15 15.58 14.39 12.73 10.45 9.22 7.36 5.94 4.61 3.42 1.33 1.00 0.45 0.45 35.91 31.49 33.87 31.78 29.59 27.46 26.13 24.37 22.90 24.04 25.22 26.51 21.42 20.47 19.67 18.81 17.67 17.67 16.10 14.92 13.25 10.97 9.69 7.89 6.41 5.13 3.90 1.81 1.47 0.95 0.81 0.52 39 37.95 33.53 35.91 33.82 31.64 29.50 28.12 26.36 24.89 26.08 27.27 28.55 23.47 22.52 21.66 20.85 19.67 19.67 18.10 16.91 15.30 12.97 11.73 9.93 8.46 7.17 5.94 3.85 3.52 2.95 2.85 2.57 2.04 40 40.19 35.76 38.14 36.10 33.87 31.73 30.40 28.64 27.17 28.31 29.50 30.78 25.70 24.75 23.94 23.09 21.95 21.95 20.38 19.19 17.53 15.25 13.97 12.16 10.69 9.41 8.17 6.08 5.75 5.23 5.08 4.80 4.32 2.28 41 41.14 36.71 39.09 37.00 34.82 32.68 31.30 29.55 28.07 29.26 30.45 31.73 26.65 25.65 24.84 24.04 22.85 22.85 21.28 20.09 18.43 16.15 14.92 13.06 11.64 10.31 9.12 7.03 6.70 6.13 6.03 5.70 5.23 3.18 0.95 42 42.94 38.52 40.90 38.81 36.62 34.49 33.11 31.35 29.88 31.07 32.25 33.54 28.45 27.50 26.65 25.84 24.65 24.65 23.09 21.90 20.24 17.96 16.72 14.87 13.44 12.11 10.93 8.84 8.50 7.93 7.84 7.55 7.03 4.99 2.76 1.85 43 43.89 39.47 41.85 39.76 37.57 35.44 34.06 32.35 30.88 32.02 33.20 34.49 29.40 28.45 27.65 26.79 25.65 25.65 24.08 22.90 21.23 18.95 17.67 15.87 14.39 13.11 11.88 9.79 9.45 8.93 8.79 8.50 7.98 5.99 3.71 2.80 1.00 44 44.41 39.99 42.37 40.33 38.10 36.01 34.63 32.87 31.40 32.59 33.73 35.01 29.97 28.98 28.17 27.31 26.17 26.17 24.61 23.42 21.76 19.48 18.19 16.39 14.92 13.63 12.40 10.31 10.02 9.45 9.31 9.03 8.55 6.51 4.28 3.33 1.52 0.57 45 46.03 41.61 43.99 41.90 39.71 37.57 36.20 34.44 32.97 34.15 35.34 36.62 31.54 30.59 29.74 28.93 27.74 27.74 26.17 24.99 23.32 21.04 19.81 17.96 16.53 15.20 14.01 11.92 11.59 11.02 10.93 10.64 10.12 8.08 5.84 4.94 3.09 2.14 1.62 46 48.26 43.84 46.22 44.13 41.94 39.81 38.43 36.67 35.20 36.39 37.57 38.86 33.77 32.82 31.97 31.16 29.97 29.97 28.41 27.22 25.56 23.28 22.04 20.19 18.76 17.43 16.25 14.16 13.82 13.25 13.16 12.87 12.35 10.31 8.08 7.17 5.32 4.37 3.85 2.23 47 49.83 45.41 47.79 45.74 43.51 41.42 40.04 38.29 36.81 38.00 39.19 40.42 35.39 34.39 33.58 32.78 31.59 31.59 30.02 28.83 27.17 24.89 23.61 21.80 20.33 19.05 17.86 15.77 15.44 14.87 14.77 14.44 13.97 11.92 9.69 8.74 6.94 5.99 5.46 3.85 1.62 51.44 47.02 49.40 47.36 45.13 42.99 41.66 39.90 38.43 39.62 40.76 42.04 36.96 36.01 35.20 34.34 33.20 33.20 31.64 30.45 28.79 26.51 25.22 23.42 21.95 20.66 19.43 17.34 17.05 16.48 16.34 16.06 15.58 13.54 11.31 10.36 8.55 7.60 7.03 5.46 3.23 1.62 48A 53.58 49.16 51.54 49.50 47.31 45.17 43.80 42.04 40.57 41.75 42.94 44.18 39.14 38.14 37.34 36.53 35.34 35.34 33.77 32.59 30.92 28.64 27.41 25.56 24.13 22.80 21.61 19.52 19.19 18.62 18.53 18.19 17.72 15.68 13.44 12.49 10.69 9.74 9.22 7.60 5.37 3.80 2.19 49 54.01 49.59 51.97 49.92 47.74 45.60 44.22 42.47 40.99 42.18 43.37 44.60 39.57 38.57 37.76 36.96 35.77 35.77 34.20 33.01 31.35 29.07 27.84 25.98 24.56 23.23 22.04 19.95 19.62 19.05 18.95 18.62 18.15 16.10 13.87 12.92 11.12 10.17 9.64 8.03 5.80 4.23 2.61 0.45 38 48 Appendix Y2 Page 6 New York State Thruway Toll Schedule Class 5H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 5.56 0.00 16X 3.33 Class 5H 17 8.55 2.47 5.80 2.99 18 11.45 5.32 8.65 5.89 2.90 19 13.30 7.17 10.50 7.74 4.75 1.85 20 15.63 9.54 12.87 10.12 7.13 4.23 2.38 21 17.62 11.54 14.87 12.07 9.12 6.22 4.37 2.00 22.66 16.57 19.90 17.10 14.11 11.26 9.41 7.03 5.04 B1 24.27 18.14 21.47 18.72 15.72 12.83 10.97 8.65 6.65 1.62 B2 25.98 19.90 23.23 20.43 17.43 14.58 12.73 10.36 8.36 3.33 1.76 B3 19.57 13.49 16.82 14.01 11.07 8.17 6.32 3.94 1.95 3.61 5.18 6.89 22 20.90 14.82 18.15 15.34 12.35 9.50 7.65 5.27 3.28 4.89 6.51 8.22 1.33 23 21.99 15.91 19.24 16.44 13.49 10.59 8.74 6.37 4.37 6.03 7.60 9.31 2.42 1.14 24 23.13 17.05 20.38 17.58 14.58 11.73 9.88 7.51 5.51 7.13 8.74 10.45 3.56 2.23 1.14 21.99 15.91 19.24 16.44 13.49 10.59 8.74 6.37 4.37 6.03 7.60 9.31 2.42 1.14 0.00 0.00 24.70 18.62 21.95 19.14 16.15 13.30 11.45 9.07 7.08 8.69 10.31 12.02 5.13 3.85 2.71 1.62 0.00 26 26.84 20.75 24.08 21.28 18.29 15.44 13.59 11.21 9.22 10.83 12.45 14.16 7.27 5.94 4.85 3.71 2.14 2.14 28.45 22.32 25.65 22.90 19.90 17.01 15.15 12.83 10.83 12.45 14.01 15.77 8.88 7.55 6.46 5.32 3.75 3.75 1.62 28 30.69 24.55 27.88 25.13 22.14 19.24 17.39 15.06 13.06 14.68 16.25 18.00 11.12 9.79 8.69 7.55 5.99 5.99 3.85 2.28 29 33.77 27.69 31.02 28.22 25.22 22.37 20.52 18.15 16.15 17.77 19.38 21.09 14.20 12.87 11.78 10.64 9.07 9.07 6.94 5.37 3.14 Vehicles with five axles and a height of 7'6" or more 21B 25 25A 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.60 56 1.28 0.71 57 2.90 2.33 1.66 57A 4.89 4.37 3.66 2.04 58 7.17 6.65 5.94 4.32 2.33 59 35.48 29.35 32.68 29.93 26.93 24.04 22.18 19.86 17.86 19.48 21.04 22.80 15.91 14.58 13.49 12.35 10.78 10.78 8.65 7.03 4.80 1.71 30 37.91 31.82 35.15 32.35 29.40 26.51 24.65 22.28 20.28 21.95 23.51 25.22 18.34 17.05 15.91 14.82 13.25 13.25 11.12 9.50 7.27 4.18 2.47 31 39.90 33.82 37.15 34.34 31.35 28.50 26.65 24.27 22.28 23.89 25.51 27.22 20.33 19.00 17.91 16.77 15.20 15.20 13.11 11.50 9.26 6.18 4.47 2.00 32 41.66 35.53 38.86 36.10 33.11 30.21 28.41 26.03 24.04 25.65 27.22 28.98 22.09 20.76 19.67 18.53 16.96 16.96 14.82 13.25 11.02 7.89 6.22 3.75 1.76 33 43.27 37.19 40.52 37.72 34.77 31.87 30.02 27.65 25.65 27.31 28.88 30.59 23.70 22.42 21.28 20.19 18.62 18.62 16.48 14.87 12.64 9.55 7.84 5.37 3.42 1.66 34 46.12 40.04 43.37 40.57 37.57 34.72 32.87 30.50 28.50 30.12 31.73 33.44 26.55 25.22 24.13 22.99 21.42 21.42 19.29 17.72 15.49 12.35 10.69 8.22 6.22 4.51 2.85 34A 46.55 40.47 43.80 40.99 38.00 35.15 33.30 30.92 28.93 30.54 32.16 33.87 26.98 25.70 24.56 23.47 21.90 21.90 19.76 18.15 15.91 12.83 11.12 8.65 6.70 4.94 3.28 0.60 35 47.31 41.23 44.56 41.75 38.76 35.91 34.06 31.68 29.69 31.30 32.92 34.63 27.74 26.41 25.32 24.18 22.61 22.61 20.47 18.91 16.67 13.59 11.88 9.41 7.41 5.70 4.04 1.24 0.76 36 47.45 41.37 44.70 41.90 38.95 36.05 34.20 31.83 29.83 31.45 33.06 34.77 27.88 26.60 25.46 24.37 22.80 22.80 20.66 19.05 16.82 13.73 12.02 9.55 7.60 5.84 4.18 1.38 0.95 0.60 37 47.88 41.80 45.13 42.32 39.33 36.48 34.63 32.25 30.26 31.87 33.49 35.20 28.31 26.98 25.89 24.75 23.18 23.18 21.04 19.48 17.24 14.11 12.45 9.98 7.98 6.27 4.61 1.76 1.33 0.60 0.60 38 48.55 42.46 45.79 42.99 40.00 37.15 35.29 32.92 30.92 32.54 34.15 35.86 28.98 27.65 26.55 25.41 23.85 23.85 21.76 20.14 17.91 14.82 13.11 10.64 8.65 6.94 5.27 2.47 2.00 1.24 1.09 0.71 39 51.30 45.17 48.50 45.74 42.75 39.85 38.00 35.67 33.68 35.29 36.86 38.62 31.73 30.40 29.31 28.17 26.60 26.60 24.46 22.85 20.62 17.53 15.87 13.40 11.40 9.64 8.03 5.18 4.75 3.99 3.85 3.42 2.76 40 54.34 48.21 51.54 48.78 45.79 42.89 41.04 38.71 36.72 38.33 39.90 41.66 34.77 33.44 32.35 31.21 29.64 29.64 27.50 25.89 23.66 20.57 18.86 16.44 14.44 12.68 11.07 8.22 7.79 7.03 6.89 6.46 5.80 3.04 41 55.58 49.49 52.82 50.02 47.03 44.18 42.32 39.95 37.95 39.57 41.18 42.89 36.01 34.68 33.58 32.49 30.88 30.88 28.79 27.17 24.94 21.85 20.14 17.67 15.72 13.97 12.30 9.50 9.03 8.31 8.12 7.74 7.08 4.32 1.28 42 58.00 51.91 55.24 52.44 49.50 46.60 44.75 42.37 40.38 42.04 43.61 45.32 38.43 37.15 36.01 34.91 33.35 33.35 31.21 29.59 27.36 24.27 22.56 20.09 18.15 16.39 14.77 11.92 11.50 10.74 10.59 10.17 9.50 6.75 3.71 2.47 43 59.33 53.24 56.57 53.77 50.78 47.93 46.08 43.70 41.71 43.32 44.94 46.65 39.76 38.43 37.34 36.20 34.63 34.63 32.54 30.92 28.69 25.60 23.89 21.42 19.48 17.72 16.06 13.25 12.78 12.07 11.88 11.50 10.83 8.08 5.04 3.75 1.33 44 60.04 53.96 57.29 54.48 51.49 48.64 46.79 44.41 42.42 44.03 45.65 47.36 40.47 39.19 38.05 36.96 35.39 35.39 33.25 31.64 29.40 26.32 24.61 22.14 20.19 18.43 16.77 13.97 13.54 12.78 12.59 12.21 11.54 8.79 5.75 4.51 2.04 0.76 45 62.18 56.09 59.42 56.62 53.68 50.78 48.93 46.55 44.56 46.22 47.79 49.50 42.61 41.33 40.19 39.09 37.53 37.53 35.39 33.77 31.54 28.45 26.74 24.27 22.33 20.57 18.91 16.10 15.68 14.92 14.77 14.35 13.68 10.93 7.89 6.65 4.18 2.90 2.19 46 65.22 59.13 62.46 59.66 56.67 53.82 51.97 49.59 47.60 49.21 50.83 52.54 45.65 44.32 43.23 42.09 40.52 40.52 38.38 36.81 34.58 31.45 29.78 27.31 25.32 23.61 21.95 19.10 18.67 17.91 17.77 17.39 16.67 13.97 10.93 9.64 7.22 5.89 5.18 3.04 47 67.36 61.27 64.60 61.80 58.85 55.96 54.10 51.73 49.73 51.40 52.96 54.67 47.79 46.50 45.36 44.27 42.70 42.70 40.57 38.95 36.72 33.63 31.92 29.45 27.50 25.75 24.13 21.28 20.85 20.09 19.95 19.52 18.86 16.10 13.06 11.83 9.41 8.08 7.36 5.23 2.19 48 69.54 63.46 66.79 63.98 60.99 58.14 56.29 53.91 51.92 53.53 55.15 56.86 49.97 48.69 47.55 46.46 44.89 44.89 42.75 41.14 38.90 35.82 34.11 31.64 29.69 27.93 26.27 23.47 23.04 22.28 22.09 21.71 21.04 18.29 15.25 14.01 11.54 10.26 9.50 7.36 4.37 2.19 48A 72.44 66.35 69.68 66.88 63.94 61.04 59.19 56.81 54.82 56.48 58.05 59.76 52.87 51.59 50.45 49.35 47.79 47.79 45.65 44.03 41.80 38.71 37.00 34.53 32.59 30.83 29.21 26.36 25.94 25.18 25.03 24.61 23.94 21.19 18.15 16.91 14.44 13.16 12.45 10.31 7.27 5.08 2.95 49 73.01 66.92 70.25 67.50 64.51 61.61 59.76 57.43 55.43 57.05 58.62 60.37 53.49 52.16 51.06 49.92 48.36 48.36 46.22 44.60 42.37 39.28 37.57 35.15 33.16 31.40 29.78 26.93 26.51 25.75 25.60 25.18 24.51 21.76 18.72 17.48 15.06 13.73 13.02 10.88 7.84 5.70 3.52 0.62 10.40 9.88 9.17 7.55 5.56 3.28 60 12.49 11.92 11.21 9.60 7.60 5.32 2.09 Appendix Y2 Page 7 New York State Thruway Toll Schedule Class 6H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 6.89 0.00 16X 10.59 3.13 7.17 3.71 18 14.16 6.70 10.74 7.27 3.61 19 16.48 8.98 13.02 9.60 5.89 2.33 20 19.38 11.92 15.96 12.49 8.84 5.27 2.95 21.85 14.39 18.43 14.96 11.31 7.74 5.42 2.47 28.03 20.57 24.61 21.14 17.43 13.87 11.59 8.65 6.18 B1 29.97 22.51 26.55 23.13 19.43 15.87 13.54 10.64 8.17 2.00 B2 32.11 24.65 28.69 25.22 21.57 18.00 15.68 12.78 10.26 4.13 2.14 24.27 16.81 20.85 17.39 13.68 10.12 7.84 4.89 2.42 4.37 6.37 8.50 22 25.89 18.43 22.47 19.00 15.34 11.78 9.45 6.51 4.04 5.99 7.98 10.12 1.66 23 27.27 19.81 23.85 20.38 16.72 13.16 10.83 7.93 5.46 7.36 9.36 11.50 3.04 1.43 24 28.69 21.18 25.22 21.80 18.10 14.54 12.21 9.31 6.84 8.79 10.74 12.87 4.42 2.80 1.43 27.27 19.81 23.85 20.38 16.72 13.16 10.83 7.93 5.46 7.36 9.36 11.50 3.04 1.43 0.00 0.00 25A 30.64 23.13 27.17 23.75 20.05 16.48 14.20 11.26 8.79 10.74 12.68 14.82 6.37 4.75 3.37 1.95 0.00 33.25 25.79 29.83 26.36 22.66 19.10 16.82 13.87 11.40 13.35 15.34 17.48 8.98 7.36 5.99 4.61 2.66 2.66 35.25 27.79 31.83 28.36 24.65 21.09 18.81 15.87 13.40 15.34 17.34 19.48 10.97 9.36 7.98 6.60 4.66 4.66 2.00 28 38.00 30.54 34.58 31.11 27.46 23.89 21.57 18.67 16.20 18.10 20.09 22.23 13.78 12.16 10.74 9.36 7.41 7.41 4.80 2.80 29 41.85 34.39 38.43 34.96 31.26 27.69 25.41 22.47 20.00 21.95 23.94 26.08 17.58 15.96 14.58 13.21 11.26 11.26 8.60 6.65 3.85 4.04 Class 6H 17 Vehicles with six axles and a height of 7'6" or more 21 21B B3 25 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.75 56 1.57 0.90 57 3.61 2.90 2.04 57A 6.08 5.37 4.51 2.52 58 8.93 8.22 7.36 5.32 2.85 59 12.92 12.21 11.35 9.36 6.84 4.04 60 15.49 14.77 13.92 11.88 9.41 6.60 2.57 43.99 36.48 40.52 37.10 33.39 29.83 27.50 24.61 22.14 24.04 26.03 28.17 19.71 18.10 16.72 15.30 13.35 13.35 10.74 8.74 5.99 2.14 30 47.03 39.57 43.61 40.14 36.43 32.87 30.59 27.65 25.18 27.12 29.07 31.21 22.75 21.14 19.76 18.38 16.44 16.44 13.78 11.78 9.03 5.18 3.09 31 49.45 41.99 46.03 42.56 38.90 35.29 33.01 30.07 27.60 29.55 31.54 33.68 25.22 23.56 22.18 20.81 18.86 18.86 16.25 14.25 11.45 7.65 5.51 2.47 32 51.63 44.17 48.21 44.75 41.04 37.48 35.20 32.25 29.78 31.73 33.68 35.82 27.36 25.75 24.37 22.99 21.04 21.04 18.38 16.39 13.63 9.79 7.70 4.66 2.19 33 53.68 46.22 50.26 46.79 43.08 39.52 37.24 34.30 31.83 33.77 35.72 37.86 29.40 27.79 26.41 25.03 23.09 23.09 20.43 18.43 15.68 11.83 9.74 6.70 4.23 2.04 34 57.19 49.68 53.72 50.30 46.60 43.04 40.71 37.81 35.34 37.29 39.24 41.37 32.92 31.30 29.93 28.50 26.55 26.55 23.94 21.95 19.19 15.34 13.25 10.17 7.74 5.56 3.52 34A 57.71 50.25 54.29 50.83 47.12 43.56 41.28 38.33 35.86 37.81 39.81 41.94 33.44 31.83 30.45 29.07 27.12 27.12 24.46 22.47 19.71 15.87 13.78 10.74 8.27 6.13 4.09 0.75 35 58.66 51.20 55.24 51.78 48.07 44.51 42.23 39.28 36.81 38.76 40.71 42.85 34.39 32.78 31.40 30.02 28.07 28.07 25.41 23.42 20.66 16.82 14.73 11.64 9.22 7.03 4.99 1.52 0.95 36 58.85 51.39 55.43 51.97 48.26 44.70 42.42 39.47 37.00 38.95 40.90 43.04 34.58 32.97 31.59 30.21 28.26 28.26 25.60 23.61 20.85 17.01 14.92 11.83 9.41 7.22 5.18 1.71 1.14 0.75 37 59.33 51.87 55.91 52.44 48.78 45.22 42.89 40.00 37.53 39.43 41.42 43.56 35.10 33.44 32.06 30.69 28.74 28.74 26.13 24.13 21.33 17.53 15.39 12.35 9.93 7.74 5.70 2.19 1.66 0.75 0.75 38 60.18 52.72 56.76 53.30 49.59 46.03 43.75 40.80 38.33 40.28 42.23 44.37 35.91 34.30 32.92 31.54 29.59 29.59 26.93 24.94 22.18 18.34 16.25 13.21 10.74 8.55 6.51 3.04 2.47 1.57 1.38 0.86 39 63.60 56.10 60.14 56.72 53.01 49.45 47.12 44.22 41.75 43.65 45.65 47.79 39.33 37.72 36.34 34.91 32.97 32.97 30.35 28.36 25.60 21.76 19.62 16.58 14.16 11.97 9.93 6.41 5.89 4.94 4.75 4.28 3.42 40 67.36 59.90 63.94 60.47 56.76 53.20 50.92 47.98 45.51 47.45 49.40 51.54 43.08 41.47 40.09 38.71 36.77 36.77 34.11 32.11 29.36 25.51 23.42 20.33 17.91 15.72 13.68 10.21 9.64 8.74 8.50 8.03 7.17 3.80 41 68.92 61.42 65.46 62.04 58.33 54.77 52.44 49.54 47.07 48.97 50.97 53.11 44.65 43.04 41.66 40.23 38.29 38.29 35.67 33.68 30.92 27.08 24.94 21.90 19.48 17.29 15.25 11.73 11.21 10.26 10.07 9.60 8.74 5.32 1.57 42 71.92 64.46 68.50 65.03 61.37 57.81 55.48 52.54 50.07 52.01 54.01 56.15 47.69 46.03 44.65 43.27 41.33 41.33 38.71 36.72 33.92 30.12 27.98 24.94 22.52 20.33 18.29 14.77 14.25 13.30 13.11 12.59 11.78 8.36 4.61 3.04 43 73.53 66.07 70.11 66.64 62.99 59.42 57.10 54.20 51.73 53.63 55.62 57.76 49.31 47.69 46.27 44.89 42.94 42.94 40.33 38.33 35.53 31.73 29.59 26.55 24.13 21.95 19.90 16.39 15.87 14.92 14.73 14.25 13.40 9.98 6.22 4.66 1.66 44 74.43 66.97 71.01 67.55 63.89 60.33 58.00 55.05 52.58 54.53 56.53 58.66 50.21 48.55 47.17 45.79 43.84 43.84 41.23 39.24 36.43 32.63 30.50 27.46 25.03 22.85 20.81 17.29 16.77 15.82 15.63 15.11 14.30 10.88 7.13 5.56 2.52 0.90 45 77.09 69.63 73.67 70.21 66.55 62.94 60.66 57.71 55.24 57.19 59.19 61.32 52.87 51.21 49.83 48.45 46.50 46.50 43.89 41.90 39.09 35.29 33.16 30.12 27.65 25.51 23.47 19.95 19.43 18.48 18.29 17.77 16.96 13.54 9.79 8.22 5.18 3.56 2.66 46 80.85 73.39 77.43 73.96 70.25 66.69 64.41 61.47 59.00 60.94 62.94 65.08 56.57 54.96 53.58 52.20 50.26 50.26 47.60 45.60 42.85 39.00 36.91 33.87 31.40 29.26 27.22 23.70 23.13 22.23 22.04 21.52 20.71 17.29 13.54 11.97 8.93 7.32 6.41 3.75 47 83.55 76.05 80.09 76.67 72.96 69.40 67.12 64.17 61.70 63.65 65.60 67.74 59.28 57.67 56.29 54.91 52.96 52.96 50.30 48.31 45.55 41.71 39.62 36.53 34.11 31.92 29.88 26.41 25.84 24.89 24.70 24.23 23.37 20.00 16.20 14.68 11.64 10.02 9.12 6.46 2.71 48 86.21 78.75 82.79 79.33 75.67 72.06 69.78 66.83 64.36 66.31 68.31 70.44 61.99 60.33 58.95 57.57 55.62 55.62 53.01 51.02 48.21 44.41 42.28 39.24 36.77 34.63 32.59 29.07 28.55 27.60 27.41 26.89 26.08 22.66 18.91 17.34 14.30 12.68 11.78 9.12 5.42 2.71 48A 89.82 82.36 86.40 82.94 79.28 75.67 73.39 70.44 67.97 69.92 71.92 74.05 65.60 63.94 62.56 61.18 59.23 59.23 56.62 54.63 51.82 48.02 45.89 42.85 40.42 38.24 36.20 32.68 32.16 31.21 31.02 30.50 29.69 26.27 22.52 20.95 17.91 16.29 15.39 12.73 9.03 6.32 3.61 49 90.54 83.08 87.12 83.65 79.99 76.38 74.10 71.16 68.69 70.63 72.63 74.77 66.31 64.65 63.27 61.89 59.95 59.95 57.33 55.34 52.54 48.74 46.60 43.56 41.14 38.95 36.91 33.39 32.87 31.92 31.73 31.21 30.40 26.98 23.23 21.66 18.62 17.01 16.10 13.44 9.74 7.03 4.32 0.75 Appendix Y2 Page 8 New York State Thruway Toll Schedule Class 7H E-ZPass No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 8.22 0.00 16X 12.64 4.04 8.55 4.42 18 16.91 8.32 12.83 8.69 4.28 19 19.62 11.02 15.53 11.40 7.03 2.76 20 23.13 14.54 19.05 14.92 10.50 6.27 3.52 26.08 17.48 21.99 17.86 13.44 9.22 6.46 2.99 21B 33.39 24.80 29.31 25.22 20.81 16.53 13.82 10.31 7.36 B1 35.77 27.17 31.68 27.55 23.13 18.91 16.15 12.64 9.69 2.38 B2 38.33 29.74 34.25 30.12 25.70 21.42 18.72 15.20 12.26 4.94 2.57 B3 28.98 20.38 24.89 20.76 16.34 12.11 9.36 5.84 2.90 5.23 7.55 10.12 22 30.92 22.33 26.84 22.71 18.29 14.01 11.31 7.79 4.85 7.13 9.50 12.07 1.95 23 32.54 23.94 28.45 24.32 19.95 15.68 12.92 9.45 6.51 8.79 11.16 13.68 3.61 1.66 24 34.20 25.61 30.12 25.98 21.57 17.34 14.58 11.07 8.12 10.45 12.78 15.34 5.27 3.33 1.66 32.54 23.94 28.45 24.32 19.95 15.68 12.92 9.45 6.51 8.79 11.16 13.68 3.61 1.66 0.00 0.00 36.53 27.93 32.44 28.31 23.89 19.67 16.91 13.40 10.45 12.78 15.11 17.67 7.60 5.65 3.99 2.33 39.66 31.07 35.58 31.45 27.08 22.80 20.05 16.58 13.63 15.91 18.29 20.81 10.74 8.79 7.13 5.51 3.18 3.18 42.04 33.44 37.95 33.82 29.45 25.18 22.42 18.95 16.01 18.29 20.66 23.18 13.11 11.16 9.55 7.89 5.56 5.56 2.42 28 45.36 36.77 41.28 37.15 32.73 28.50 25.75 22.23 19.29 21.61 23.94 26.51 16.44 14.49 12.83 11.16 8.84 8.84 5.70 3.33 29 49.92 41.33 45.84 41.71 37.34 33.06 30.31 26.84 23.89 26.17 28.55 31.07 21.00 19.05 17.39 15.77 13.44 13.44 10.26 7.89 4.61 4.51 Class 7H 17 Vehicles with seven or more axles and a height of 7'6" or more 21 25 25A 0.00 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.90 56 1.90 1.05 57 4.28 3.47 2.42 7.27 6.41 5.37 2.99 58 10.64 9.79 8.74 6.37 3.42 59 15.39 14.58 13.54 11.16 8.17 4.80 60 18.43 17.62 16.58 14.20 11.21 7.84 3.09 52.44 43.85 48.36 44.22 39.81 35.58 32.82 29.36 26.41 28.69 31.07 33.58 23.51 21.57 19.90 18.29 15.96 15.96 12.78 10.40 7.13 2.52 30 56.10 47.50 52.01 47.88 43.46 39.24 36.48 32.97 30.02 32.35 34.68 37.24 27.17 25.22 23.56 21.90 19.57 19.57 16.44 14.06 10.74 6.18 3.66 31 57A 59.00 50.40 54.91 50.78 46.41 42.13 39.38 35.91 32.97 35.25 37.62 40.14 30.07 28.12 26.46 24.84 22.52 22.52 19.33 16.96 13.68 9.07 6.60 2.95 32 61.61 53.01 57.52 53.39 48.97 44.70 41.99 38.48 35.53 37.86 40.19 42.75 32.63 30.73 29.07 27.41 25.08 25.08 21.95 19.57 16.25 11.69 9.17 5.51 2.61 33 64.03 55.44 59.95 55.81 51.40 47.17 44.41 40.90 37.95 40.28 42.61 45.17 35.10 33.16 31.49 29.83 27.50 27.50 24.37 21.99 18.72 14.11 11.59 7.98 5.04 2.47 34 68.21 59.62 64.13 59.99 55.58 51.35 48.59 45.08 42.13 44.46 46.79 49.35 39.28 37.34 35.67 34.01 31.68 31.68 28.55 26.17 22.90 18.29 15.77 12.16 9.22 6.65 4.18 34A 68.88 60.28 64.79 60.66 56.24 51.97 49.26 45.74 42.80 45.08 47.45 50.02 39.90 38.00 36.34 34.68 32.35 32.35 29.21 26.84 23.51 18.95 16.44 12.78 9.88 7.27 4.85 0.90 35 69.97 61.37 65.88 61.75 57.33 53.11 50.35 46.84 43.89 46.22 48.55 51.11 41.04 39.09 37.43 35.77 33.44 33.44 30.31 27.93 24.65 20.05 17.53 13.92 10.97 8.41 5.94 1.81 1.14 36 70.21 61.61 66.12 61.99 57.57 53.34 50.59 47.07 44.13 46.46 48.78 51.35 41.28 39.33 37.67 36.01 33.68 33.68 30.54 28.17 24.89 20.28 17.77 14.16 11.21 8.65 6.18 2.04 1.38 0.90 37 70.82 62.23 66.74 62.61 58.19 53.91 51.21 47.69 44.75 47.03 49.40 51.97 41.85 39.90 38.29 36.62 34.30 34.30 31.16 28.79 25.46 20.90 18.38 14.73 11.83 9.22 6.79 2.61 1.95 0.90 0.90 38 71.77 63.18 67.69 63.60 59.19 54.91 52.20 48.69 45.74 48.02 50.40 52.92 42.85 40.90 39.28 37.62 35.29 35.29 32.16 29.78 26.46 21.90 19.38 15.72 12.83 10.21 7.79 3.61 2.95 1.85 1.62 1.00 39 75.86 67.26 71.77 67.64 63.22 59.00 56.24 52.73 49.78 52.11 54.44 57.00 46.93 44.98 43.32 41.66 39.33 39.33 36.20 33.82 30.54 25.94 23.42 19.81 16.86 14.30 11.83 7.70 7.03 5.89 5.65 5.08 4.09 40 80.37 71.78 76.29 72.15 67.74 63.46 60.75 57.24 54.29 56.57 58.95 61.51 51.40 49.45 47.83 46.17 43.84 43.84 40.71 38.33 35.01 30.45 27.93 24.27 21.38 18.76 16.34 12.16 11.50 10.40 10.17 9.55 8.60 4.51 41 82.22 73.63 78.14 74.01 69.59 65.31 62.61 59.09 56.15 58.43 60.80 63.37 53.25 51.30 49.69 48.02 45.70 45.70 42.56 40.19 36.86 32.30 29.78 26.13 23.23 20.62 18.19 14.01 13.35 12.26 12.02 11.40 10.45 6.37 1.85 42 85.83 77.24 81.75 77.62 73.20 68.92 66.22 62.70 59.76 62.04 64.41 66.98 56.86 54.96 53.30 51.63 49.31 49.31 46.17 43.80 40.47 35.91 33.39 29.74 26.84 24.23 21.80 17.62 17.01 15.87 15.63 15.06 14.06 9.98 5.51 3.66 43 87.73 79.14 83.65 79.52 75.15 70.87 68.12 64.65 61.70 63.98 66.36 68.88 58.81 56.86 55.24 53.58 51.25 51.25 48.12 45.74 42.42 37.86 35.34 31.68 28.79 26.17 23.75 19.57 18.91 17.81 17.58 16.96 15.96 11.92 7.41 5.56 1.95 44 88.83 80.23 84.74 80.61 76.19 71.96 69.21 65.69 62.75 65.08 67.40 69.97 59.90 57.95 56.29 54.63 52.30 52.30 49.16 46.79 43.46 38.90 36.39 32.73 29.83 27.27 24.80 20.62 20.00 18.86 18.62 18.05 17.05 12.97 8.50 6.65 3.04 1.09 45 92.01 83.41 87.92 83.79 79.37 75.10 72.39 68.88 65.93 68.21 70.59 73.15 63.03 61.13 59.47 57.81 55.48 55.48 52.35 49.97 46.65 42.09 39.57 35.91 33.01 30.40 27.98 23.80 23.18 22.04 21.80 21.23 20.24 16.15 11.69 9.83 6.18 4.28 3.18 46 96.47 87.88 92.39 88.26 83.84 79.56 76.86 73.34 70.40 72.68 75.05 77.62 67.50 65.60 63.94 62.27 59.95 59.95 56.81 54.44 51.11 46.55 44.03 40.38 37.48 34.87 32.44 28.26 27.65 26.51 26.27 25.70 24.70 20.62 16.15 14.30 10.64 8.74 7.65 4.47 47 99.66 91.06 95.57 91.44 87.02 82.79 80.04 76.57 73.58 75.91 78.28 80.80 70.73 68.78 67.12 65.50 63.18 63.18 59.99 57.62 54.34 49.73 47.22 43.61 40.66 38.10 35.67 31.49 30.83 29.74 29.50 28.88 27.88 23.85 19.33 17.48 13.87 11.92 10.88 7.70 3.23 102.89 94.29 98.80 94.67 90.25 85.98 83.27 79.75 76.81 79.14 81.46 84.03 73.91 72.01 70.35 68.69 66.36 66.36 63.22 60.85 57.52 52.96 50.45 46.79 43.89 41.33 38.86 34.68 34.06 32.92 32.68 32.11 31.11 27.03 22.56 20.71 17.10 15.15 14.06 10.93 6.46 3.23 48A 107.16 98.57 103.08 98.94 94.57 90.30 87.59 84.08 81.13 83.41 85.79 88.30 78.23 76.29 74.67 73.01 70.68 70.68 67.55 65.17 61.85 57.29 54.77 51.11 48.21 45.60 43.18 39.00 38.33 37.24 37.00 36.39 35.39 31.35 26.84 24.99 21.38 19.48 18.38 15.20 10.74 7.55 4.32 49 108.02 99.42 103.93 99.80 95.43 91.15 88.40 84.93 81.99 84.27 86.64 89.16 79.09 77.14 75.53 73.86 71.54 71.54 68.40 65.98 62.70 58.14 55.62 51.97 49.07 46.46 44.03 39.85 39.19 38.10 37.86 37.24 36.24 32.21 27.69 25.84 22.23 20.28 19.24 16.06 11.59 8.41 5.18 0.90 48 Appendix Y2 Page 9 TA-6314OE (04/2005) SCHEDULE OF E-ZPASS TOLLS AT FIXED TOLL BARRIERS New York State Thruway Authority Max 15I 2005 - New - . Buffalo Black Class Yonk rs Ta an Zee Brid e2 rin Valle 3 Harrlman - lsla Rochelle1 PP . 9 9 Clty Line1 Rock4 Bridges. Real: 911.1321: Beak Mk 2L 1.13 .68 3.60 3.1.80 .90 9.50 4.75 2.50 1.25 .90 .90 .90 .90 4L 2.25 1.13 11.25 5.63 3.75 1.88 1.13 1.13 1.13 1.13 2H 2.61 1.43 . 12.25 6.13 4.25 2.13 1.43 1.43 1.43 1.43 3H 3.33 1.66 17.00 8.50 6.75 3.38 2.14 2.38 2.38 1.66 4H 4.04 2.14 20.25 10.13 6.75 3.38 2.38 2.61 2.61 2.14 5H 6.41 3.33 27.00 13.50 11.00 5.50 3.33 4.04 4.04 3.33 6H 7.13 3.56 33.75 16.88 12.25 6.13 4.04 4.51 4.51 3.56 7H 7.84 4.04 40.50 20.25 13.50 6.75 4.51 5.23 5.23 4.04 Special Commercial 4.51 2.25 27.00 13.50 8.25 3.85 2.61 2.89 2.89 2.25 Rate 5 1 Round-trip toll collected northbound; no toll collected on southbound trips. 2 Round-trip toll collected southbound; no toll collected on northbound trips. The Class 2L toll applies to E-ZPass customers without the Tappan Zee Bridge commuter or carpool plans. Peak toll rates apply weekdays 6AM - 10AM. (Vehicles will be charged up to the Peak toll rate during this period). Off Peak rates apply at all other times. For more Information, see Incentive Pricing Toll Schedules. 3 Round-trip toll collected northbound for passenger vehicles hauling a trailer and all other vehicles in Classes 3L through no toll collected on southbound trips. Peak toll rates apply weekdays 3PM - 7PM. (Vehicles will be charged up to the Peak toll rate during period). Off Peak rates apply at all other times. For more information, see Incentive Pricing Toll Schedules. 4 Round-trip toll collected southbound; no toll collected on northbound trips. 5 Special E-ZPass discount applies to quali?ed non-tandem commercial vehicles such as: tractor trailers less than or equal to 48 ft., single unit trucks or auto transporters. The E-ZPass AnnUal Permit Plan is NOT Valid ait these'Barriers. ?2mmuusLEEm? Commuter Plans are available to customers with 2 axle passenger vehicles who open an individual E-ZPass account and enroll In one or more commuter plans for the above bridges and barriers. See New York State Thruway Special Commuter Discount Plans for details. Appendix Y2 Page 10 Appendix Y2 New York State Thruway Toll Schedule Annual Permits No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 0.00 (0.68) 0.00 17 0.59 (0.53) 0.15 0.00 18 1.08 (0.09) 0.59 0.15 0.00 19 1.44 0.27 0.95 0.41 0.00 0.00 20 1.89 0.72 1.40 0.86 0.32 0.00 0.00 21 2.25 1.08 1.76 1.22 0.68 0.15 0.00 0.00 21B 3.24 2.07 2.75 2.21 1.67 1.13 0.77 0.45 0.45 B1 3.56 2.38 3.06 2.52 1.98 1.44 1.08 0.63 0.45 0.00 B2 3.87 2.70 3.38 2.84 2.30 1.76 1.40 0.95 0.59 0.00 0.00 B3 2.61 1.44 2.12 1.58 1.04 0.50 0.15 0.00 0.00 0.45 0.45 0.45 22 2.88 1.66 2.34 1.85 1.26 0.72 0.41 0.00 0.00 0.45 0.45 0.54 0.00 23 3.06 1.89 2.57 2.03 1.49 0.95 0.59 0.18 0.00 0.45 0.45 0.77 0.00 0.00 24 3.29 2.07 2.75 2.25 1.71 1.17 0.81 0.36 0.00 0.45 0.68 0.99 0.00 0.00 0.00 25 3.06 1.89 2.57 2.03 1.49 0.95 0.59 0.18 0.00 0.45 0.45 0.77 0.00 0.00 0.00 0.00 25A 3.56 2.38 3.06 2.52 1.98 1.44 1.13 0.68 0.27 0.68 0.95 1.26 0.00 0.00 0.00 0.00 0.00 26 3.96 2.79 3.47 2.93 2.39 1.85 1.49 1.08 0.68 1.04 1.35 1.67 0.32 0.15 0.00 0.00 0.00 0.00 27 4.28 3.06 3.74 3.24 2.70 2.16 1.80 1.35 0.99 1.35 1.67 1.98 0.63 0.36 0.18 0.00 0.00 0.00 0.00 28 4.68 3.51 4.19 3.65 3.11 2.57 2.21 1.76 1.40 1.76 2.07 2.39 1.04 0.81 0.59 0.36 0.15 0.15 0.00 0.00 29 5.27 4.09 4.77 4.23 3.69 3.15 2.79 2.34 1.98 2.34 2.66 2.97 1.62 1.40 1.17 0.95 0.68 0.68 0.27 0.00 0.00 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.00 56 0.00 0.00 57 0.00 0.00 0.00 57A 0.00 0.00 0.00 0.00 58 0.32 0.23 0.15 0.00 0.00 59 0.90 0.81 0.68 0.36 0.00 0.00 60 1.31 1.22 1.08 0.77 0.41 0.00 0.00 5.58 4.41 5.09 4.55 4.01 3.47 3.11 2.66 2.30 2.66 2.97 3.29 1.94 1.71 1.49 1.26 0.99 0.99 0.59 0.27 0.00 0.00 30 6.03 4.86 5.54 5.00 4.46 3.92 3.56 3.15 2.75 3.11 3.42 3.74 2.39 2.16 1.94 1.76 1.44 1.44 1.04 0.77 0.32 0.00 0.00 31 6.39 5.22 5.90 5.36 4.82 4.28 3.92 3.51 3.11 3.47 3.78 4.10 2.75 2.52 2.30 2.12 1.80 1.80 1.40 1.13 0.68 0.15 0.00 0.00 32 6.75 5.53 6.21 5.72 5.13 4.59 4.28 3.83 3.47 3.83 4.10 4.41 3.11 2.84 2.66 2.43 2.12 2.12 1.76 1.44 1.04 0.45 0.15 0.00 0.00 33 7.07 5.85 6.53 5.99 5.45 4.91 4.59 4.14 3.74 4.14 4.41 4.73 3.38 3.15 2.93 2.75 2.43 2.43 2.03 1.76 1.35 0.77 0.45 0.00 0.00 0.00 34 7.56 6.39 7.07 6.53 5.99 5.45 5.09 4.64 4.28 4.64 4.95 5.27 3.92 3.69 3.47 3.24 2.97 2.97 2.57 2.25 1.85 1.26 0.95 0.50 0.15 0.00 0.00 34A 7.65 6.48 7.16 6.62 6.08 5.54 5.18 4.73 4.37 4.73 5.04 5.36 4.01 3.78 3.56 3.33 3.06 3.06 2.66 2.34 1.94 1.35 1.04 0.59 0.23 0.00 0.00 0.00 35 7.79 6.61 7.29 6.75 6.21 5.67 5.31 4.86 4.50 4.86 5.18 5.49 4.14 3.92 3.69 3.47 3.20 3.20 2.79 2.48 2.07 1.49 1.17 0.72 0.36 0.15 0.00 0.00 0.00 36 7.83 6.61 7.29 6.80 6.21 5.72 5.36 4.91 4.55 4.91 5.18 5.54 4.19 3.92 3.74 3.51 3.24 3.24 2.84 2.52 2.12 1.53 1.22 0.77 0.41 0.15 0.00 0.00 0.00 0.00 37 7.88 6.70 7.38 6.84 6.30 5.76 5.45 5.00 4.59 5.00 5.27 5.58 4.23 4.01 3.78 3.60 3.29 3.29 2.88 2.61 2.16 1.62 1.31 0.81 0.45 0.15 0.00 0.00 0.00 0.00 0.00 38 8.01 6.84 7.52 6.98 6.44 5.90 5.54 5.09 4.73 5.09 5.40 5.72 4.37 4.14 3.92 3.74 3.42 3.42 3.02 2.75 2.30 1.71 1.40 0.95 0.59 0.27 0.00 0.00 0.00 0.00 0.00 0.00 39 8.55 7.33 8.01 7.52 6.93 6.39 6.08 5.63 5.27 5.63 5.90 6.21 4.91 4.64 4.46 4.23 3.92 3.92 3.56 3.24 2.84 2.25 1.94 1.49 1.08 0.77 0.45 0.00 0.00 0.00 0.00 0.00 0.00 40 9.09 7.92 8.60 8.06 7.52 6.98 6.62 6.17 5.81 6.17 6.48 6.80 5.45 5.22 5.00 4.77 4.50 4.50 4.10 3.78 3.38 2.79 2.48 2.03 1.67 1.35 1.04 0.50 0.41 0.27 0.27 0.18 0.15 0.00 41 9.32 8.14 8.82 8.28 7.74 7.20 6.84 6.44 6.03 6.39 6.71 7.02 5.67 5.45 5.22 5.04 4.73 4.73 4.32 4.05 3.60 3.06 2.75 2.25 1.89 1.58 1.26 0.72 0.68 0.50 0.50 0.41 0.27 0.00 0.00 42 9.81 8.59 9.27 8.78 8.19 7.65 7.34 6.89 6.53 6.89 7.16 7.47 6.12 5.90 5.67 5.49 5.18 5.18 4.77 4.50 4.10 3.51 3.20 2.70 2.34 2.03 1.71 1.22 1.13 0.99 0.95 0.86 0.72 0.23 0.00 0.00 43 10.04 8.82 9.50 9.00 8.46 7.92 7.56 7.11 6.75 7.11 7.43 7.74 6.39 6.12 5.94 5.72 5.45 5.45 5.04 4.73 4.32 3.74 3.42 2.97 2.61 2.25 1.98 1.44 1.35 1.22 1.17 1.13 0.99 0.50 0.00 0.00 0.00 44 10.17 8.95 9.63 9.14 8.60 8.06 7.70 7.25 6.89 7.25 7.56 7.88 6.53 6.26 6.08 5.85 5.58 5.58 5.18 4.86 4.46 3.87 3.56 3.11 2.75 2.39 2.12 1.58 1.49 1.35 1.31 1.26 1.13 0.63 0.15 0.00 0.00 0.00 45 10.58 9.36 10.04 9.54 8.96 8.46 8.10 7.65 7.29 7.65 7.92 8.28 6.93 6.66 6.48 6.26 5.99 5.99 5.58 5.27 4.86 4.28 3.96 3.51 3.15 2.79 2.52 1.98 1.89 1.76 1.71 1.67 1.53 0.99 0.45 0.23 0.00 0.00 0.00 11.12 9.94 10.62 10.08 9.54 9.00 8.64 8.24 7.83 8.19 8.51 8.82 7.47 7.25 7.02 6.84 6.53 6.53 6.12 5.85 5.40 4.86 4.50 4.05 3.69 3.38 3.06 2.52 2.48 2.30 2.30 2.21 2.07 1.58 0.99 0.77 0.32 0.15 0.00 0.00 47 11.52 10.35 11.03 10.49 9.95 9.41 9.05 8.64 8.24 8.60 8.91 9.23 7.88 7.65 7.43 7.25 6.93 6.93 6.53 6.26 5.81 5.22 4.91 4.46 4.10 3.78 3.47 2.93 2.84 2.70 2.70 2.61 2.48 1.98 1.40 1.17 0.72 0.50 0.36 0.00 0.00 11.93 10.75 11.43 10.89 10.35 9.81 9.45 9.05 8.64 9.00 9.32 9.63 8.28 8.06 7.83 7.65 7.34 7.34 6.93 6.66 6.21 5.63 5.31 4.86 4.50 4.19 3.87 3.33 3.24 3.11 3.11 3.02 2.88 2.39 1.80 1.58 1.13 0.90 0.77 0.36 0.00 0.00 12.47 11.29 11.97 11.43 10.89 10.35 9.99 9.59 9.18 9.54 9.86 10.17 8.82 8.60 8.37 8.19 7.88 7.88 7.47 7.20 6.75 6.21 5.90 5.40 5.04 4.73 4.41 3.87 3.83 3.65 3.65 3.56 3.42 2.93 2.34 2.12 1.67 1.44 1.31 0.90 0.32 0.00 0.00 49 12.60 11.38 12.06 11.57 10.98 10.44 10.13 9.68 9.32 9.68 9.95 10.31 8.96 8.69 8.51 8.28 8.01 8.01 7.61 7.29 6.89 6.30 5.99 5.54 5.18 4.82 4.50 4.01 3.92 3.78 3.74 3.65 3.56 3.02 2.48 2.25 1.76 1.53 1.40 0.99 0.45 0.15 0.00 0.00 46 48 48A Appendix Y2 Page 11 New York State Thruway Toll Schedule Class 2L - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 1.15 0.00 0.75 17 1.80 0.45 1.20 0.65 18 2.40 1.05 1.80 1.25 0.60 19 2.75 1.45 2.20 1.60 1.00 0.40 20 3.25 1.95 2.70 2.10 1.50 0.90 0.50 21 3.65 2.35 3.10 2.50 1.90 1.30 0.95 0.45 21B 4.80 3.45 4.20 3.65 3.00 2.40 2.05 1.55 1.15 B1 5.10 3.80 4.55 3.95 3.35 2.75 2.35 1.85 1.45 0.35 B2 5.45 4.15 4.90 4.30 3.70 3.10 2.70 2.25 1.80 0.70 0.40 B3 4.10 2.75 3.50 2.95 2.30 1.70 1.35 0.85 0.45 0.85 1.15 1.50 22 4.35 3.05 3.80 3.20 2.60 2.00 1.60 1.10 0.70 1.10 1.45 1.80 0.30 23 4.60 3.25 4.00 3.45 2.80 2.20 1.85 1.35 0.95 1.35 1.65 2.00 0.55 0.25 24 4.80 3.50 4.25 3.65 3.05 2.45 2.05 1.55 1.15 1.55 1.90 2.25 0.75 0.50 0.25 25 4.60 3.25 4.00 3.45 2.80 2.20 1.85 1.35 0.95 1.35 1.65 2.00 0.55 0.25 0.00 0.00 25A 5.15 3.80 4.55 4.00 3.35 2.75 2.40 1.90 1.50 1.90 2.20 2.60 1.10 0.80 0.60 0.35 0.00 26 5.60 4.25 5.00 4.45 3.80 3.20 2.85 2.35 1.95 2.35 2.65 3.00 1.50 1.25 1.00 0.80 0.45 0.45 27 5.90 4.60 5.35 4.75 4.15 3.55 3.15 2.65 2.25 2.65 3.00 3.35 1.85 1.60 1.35 1.10 0.80 0.80 0.35 28 6.35 5.05 5.80 5.20 4.60 4.00 3.65 3.15 2.70 3.15 3.45 3.80 2.30 2.05 1.80 1.60 1.25 1.25 0.80 0.50 29 7.00 5.70 6.45 5.85 5.25 4.65 4.25 3.80 3.35 3.75 4.10 4.45 2.95 2.70 2.45 2.25 1.90 1.90 1.45 1.15 0.65 Class 2L Vehicles with two axles and a height of less than 7'6" No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.15 56 0.30 0.15 57 0.60 0.50 0.35 57A 1.05 0.90 0.75 0.45 58 1.50 1.40 1.25 0.90 0.50 59 2.20 2.05 1.90 1.60 1.15 0.70 60 2.60 2.50 2.35 2.00 1.60 1.10 0.45 7.35 6.05 6.80 6.20 5.60 5.00 4.60 4.15 3.70 4.10 4.45 4.80 3.30 3.05 2.80 2.60 2.25 2.25 1.80 1.50 1.00 0.40 30 7.90 6.55 7.30 6.75 6.10 5.50 5.15 4.65 4.25 4.65 4.95 5.30 3.80 3.55 3.30 3.10 2.75 2.75 2.30 2.00 1.55 0.90 0.55 31 8.30 6.95 7.70 7.15 6.50 5.90 5.55 5.05 4.65 5.05 5.35 5.75 4.25 3.95 3.75 3.50 3.15 3.15 2.75 2.40 1.95 1.30 0.95 0.45 32 8.65 7.35 8.10 7.50 6.90 6.30 5.90 5.40 5.00 5.40 5.75 6.10 4.60 4.30 4.10 3.85 3.55 3.55 3.10 2.75 2.30 1.65 1.30 0.80 0.40 33 9.00 7.65 8.40 7.85 7.20 6.65 6.25 5.75 5.35 5.75 6.05 6.45 4.95 4.65 4.45 4.20 3.90 3.90 3.45 3.10 2.65 2.00 1.65 1.15 0.75 0.35 34 9.55 8.25 9.00 8.40 7.80 7.20 6.85 6.35 5.90 6.35 6.65 7.00 5.50 5.25 5.00 4.80 4.45 4.45 4.00 3.70 3.20 2.60 2.25 1.70 1.30 0.95 0.60 34A 9.65 8.35 9.10 8.50 7.90 7.30 6.90 6.45 6.00 6.40 6.75 7.10 5.60 5.35 5.10 4.90 4.55 4.55 4.10 3.80 3.30 2.65 2.30 1.80 1.40 1.05 0.70 0.15 35 9.80 8.50 9.25 8.65 8.05 7.45 7.05 6.60 6.15 6.55 6.90 7.25 5.75 5.50 5.25 5.05 4.70 4.70 4.25 3.95 3.45 2.85 2.50 1.95 1.55 1.20 0.85 0.25 0.20 36 9.85 8.55 9.30 8.70 8.10 7.50 7.10 6.60 6.20 6.60 6.95 7.30 5.80 5.55 5.30 5.05 4.75 4.75 4.30 3.95 3.50 2.85 2.50 2.00 1.60 1.25 0.90 0.30 0.20 0.15 37 9.95 8.60 9.35 8.80 8.15 7.55 7.20 6.70 6.30 6.70 7.00 7.40 5.90 5.60 5.40 5.15 4.80 4.80 4.40 4.05 3.60 2.95 2.60 2.10 1.70 1.30 0.95 0.40 0.30 0.15 0.15 10.10 8.75 9.50 8.95 8.30 7.70 7.35 6.85 6.45 6.85 7.15 7.50 6.00 5.75 5.50 5.30 4.95 4.95 4.50 4.20 3.75 3.10 2.75 2.20 1.80 1.45 1.10 0.55 0.45 0.30 0.25 0.15 39 10.65 9.30 10.05 9.50 8.90 8.30 7.90 7.40 7.00 7.40 7.75 8.10 6.60 6.30 6.10 5.85 5.55 5.55 5.10 4.75 4.30 3.65 3.30 2.80 2.40 2.00 1.70 1.10 1.00 0.85 0.80 0.75 0.60 40 11.25 9.95 10.70 10.10 9.50 8.90 8.55 8.05 7.60 8.05 8.35 8.70 7.20 6.95 6.70 6.50 6.15 6.15 5.70 5.40 4.90 4.30 3.95 3.40 3.00 2.65 2.30 1.70 1.65 1.50 1.45 1.35 1.20 0.65 41 11.55 10.20 10.95 10.40 9.75 9.15 8.80 8.30 7.90 8.30 8.60 8.95 7.50 7.20 7.00 6.75 6.40 6.40 6.00 5.65 5.20 4.55 4.20 3.70 3.25 2.90 2.55 2.00 1.90 1.75 1.70 1.60 1.50 0.90 0.30 42 12.05 10.70 11.45 10.90 10.25 9.70 9.30 8.80 8.40 8.80 9.10 9.50 8.00 7.70 7.50 7.25 6.95 6.95 6.50 6.15 5.70 5.05 4.70 4.20 3.80 3.40 3.10 2.50 2.40 2.25 2.20 2.15 2.00 1.40 0.80 0.55 43 12.30 11.00 11.75 11.15 10.55 9.95 9.55 9.05 8.65 9.05 9.40 9.75 8.25 8.00 7.75 7.50 7.20 7.20 6.75 6.40 5.95 5.30 4.95 4.45 4.05 3.70 3.35 2.75 2.65 2.50 2.50 2.40 2.25 1.70 1.05 0.80 0.30 44 12.45 11.15 11.90 11.30 10.70 10.10 9.70 9.20 8.80 9.20 9.55 9.90 8.40 8.15 7.90 7.65 7.35 7.35 6.90 6.55 6.10 5.45 5.10 4.60 4.20 3.85 3.50 2.90 2.80 2.65 2.65 2.55 2.40 1.85 1.20 0.95 0.45 0.15 45 12.90 11.60 12.35 11.75 11.15 10.55 10.15 9.65 9.25 9.65 10.00 10.35 8.85 8.60 8.35 8.10 7.80 7.80 7.35 7.00 6.55 5.90 5.55 5.05 4.65 4.30 3.95 3.35 3.25 3.10 3.10 3.00 2.85 2.30 1.65 1.40 0.90 0.60 0.45 46 13.55 12.20 12.95 12.40 11.75 11.15 10.80 10.30 9.90 10.30 10.60 10.95 9.50 9.20 8.95 8.75 8.40 8.40 8.00 7.65 7.20 6.55 6.20 5.70 5.25 4.90 4.55 4.00 3.90 3.75 3.70 3.60 3.50 2.90 2.30 2.00 1.50 1.25 1.10 0.65 47 14.00 12.65 13.40 12.85 12.20 11.60 11.25 10.75 10.35 10.75 11.05 11.40 9.95 9.65 9.40 9.20 8.85 8.85 8.45 8.10 7.65 7.00 6.65 6.15 5.70 5.35 5.00 4.45 4.35 4.20 4.15 4.05 3.95 3.35 2.75 2.45 1.95 1.70 1.55 1.10 0.45 14.45 13.10 13.85 13.30 12.65 12.05 11.70 11.20 10.80 11.20 11.50 11.85 10.40 10.10 9.85 9.65 9.30 9.30 8.90 8.55 8.10 7.45 7.10 6.60 6.15 5.80 5.45 4.90 4.80 4.65 4.60 4.50 4.40 3.80 3.20 2.90 2.40 2.15 2.00 1.55 0.90 0.45 48A 15.05 13.70 14.45 13.90 13.25 12.65 12.30 11.80 11.40 11.80 12.10 12.45 11.00 10.70 10.50 10.25 9.90 9.90 9.50 9.15 8.70 8.05 7.70 7.20 6.75 6.40 6.05 5.50 5.40 5.25 5.20 5.10 5.00 4.40 3.80 3.50 3.00 2.75 2.60 2.15 1.55 1.10 0.65 49 15.15 13.85 14.60 14.00 13.40 12.80 12.40 11.90 11.50 11.90 12.25 12.60 11.10 10.85 10.60 10.35 10.05 10.05 9.60 9.25 8.80 8.15 7.80 7.30 6.90 6.55 6.20 5.60 5.50 5.35 5.30 5.25 5.10 4.55 3.90 3.65 3.15 2.85 2.70 2.25 1.65 1.20 0.75 0.15 38 48 Appendix Y2 Page 12 New York State Thruway Toll Schedule Class 2H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 2.30 0.00 1.50 17 3.55 0.90 2.40 1.25 18 4.70 2.10 3.60 2.45 1.20 19 5.50 2.85 4.35 3.20 1.95 0.80 20 6.45 3.80 5.30 4.15 2.95 1.75 1.00 21 7.25 4.65 6.15 5.00 3.75 2.60 1.80 0.85 9.35 6.75 8.25 7.10 5.85 4.70 3.90 2.95 2.15 B1 10.05 7.40 8.90 7.75 6.50 5.35 4.60 3.60 2.80 0.70 B2 10.75 8.10 9.60 8.45 7.25 6.05 5.30 4.30 3.50 1.40 0.75 B3 8.05 5.45 6.95 5.80 4.55 3.40 2.60 1.65 0.80 1.55 2.20 2.90 22 8.60 5.95 7.45 6.30 5.10 3.90 3.15 2.20 1.35 2.05 2.75 3.45 0.55 23 9.05 6.45 7.95 6.80 5.55 4.35 3.60 2.65 1.80 2.55 3.20 3.90 1.00 0.50 24 9.55 6.90 8.40 7.25 6.00 4.85 4.05 3.10 2.30 3.00 3.65 4.35 1.50 0.95 0.50 9.05 6.45 7.95 6.80 5.55 4.35 3.60 2.65 1.80 2.55 3.20 3.90 1.00 0.50 0.00 0.00 10.15 7.55 9.05 7.90 6.65 5.50 4.70 3.75 2.95 3.65 4.30 5.00 2.15 1.60 1.15 0.65 11.05 8.40 9.90 8.75 7.55 6.35 5.60 4.60 3.80 4.50 5.15 5.85 3.00 2.45 2.00 1.55 0.90 0.90 27 11.70 9.05 10.55 9.40 8.20 7.00 6.25 5.30 4.45 5.15 5.85 6.55 3.65 3.10 2.65 2.20 1.55 1.55 0.70 28 12.65 10.00 11.50 10.35 9.10 7.95 7.15 6.20 5.40 6.10 6.75 7.45 4.60 4.05 3.60 3.10 2.50 2.50 1.60 0.95 29 13.90 11.25 12.75 11.60 10.40 9.20 8.45 7.45 6.65 7.35 8.00 8.70 5.85 5.30 4.85 4.40 3.75 3.75 2.90 2.20 1.30 Class 2H Vehicles with two axles and a height of 7'6" or more 21B 25 25A 0.00 26 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.25 56 0.55 0.30 57 1.20 1.00 0.70 57A 2.05 1.80 1.50 0.85 58 2.95 2.75 2.45 1.80 0.95 59 4.30 4.05 3.80 3.10 2.30 1.35 60 5.15 4.90 4.65 3.95 3.15 2.20 0.85 14.60 11.95 13.45 12.30 11.10 9.90 9.15 8.15 7.35 8.05 8.70 9.40 6.55 6.00 5.55 5.10 4.45 4.45 3.55 2.90 2.00 0.70 30 15.60 12.95 14.45 13.35 12.10 10.90 10.15 9.20 8.35 9.05 9.75 10.45 7.55 7.05 6.55 6.10 5.45 5.45 4.60 3.95 3.00 1.75 1.05 31 16.40 13.80 15.30 14.15 12.90 11.75 10.95 10.00 9.15 9.90 10.55 11.25 8.35 7.85 7.40 6.90 6.25 6.25 5.40 4.75 3.80 2.55 1.85 0.85 32 17.15 14.50 16.00 14.85 13.65 12.45 11.70 10.70 9.90 10.60 11.25 11.95 9.10 8.55 8.10 7.65 7.00 7.00 6.10 5.45 4.55 3.25 2.55 1.55 0.75 33 17.80 15.20 16.70 15.55 14.30 13.10 12.35 11.40 10.55 11.30 11.95 12.65 9.75 9.25 8.75 8.30 7.65 7.65 6.80 6.15 5.20 3.95 3.25 2.25 1.40 0.70 34 19.00 16.35 17.85 16.70 15.45 14.30 13.50 12.55 11.75 12.45 13.10 13.80 10.95 10.40 9.95 9.50 8.85 8.85 7.95 7.30 6.35 5.10 4.40 3.40 2.60 1.85 1.20 34A 19.15 16.50 18.00 16.85 15.65 14.45 13.70 12.75 11.90 12.60 13.30 14.00 11.10 10.55 10.10 5.30 4.60 3.55 2.75 2.05 1.35 0.25 35 19.45 16.85 18.35 17.20 15.95 14.75 14.00 13.05 12.20 12.95 13.60 14.30 11.40 10.90 10.40 9.95 9.30 9.30 8.45 7.80 6.85 5.60 4.90 3.90 3.05 2.35 1.65 0.50 0.35 36 19.55 16.90 18.40 17.25 16.00 14.85 14.10 13.10 12.30 13.00 13.65 14.35 11.50 10.95 10.50 10.05 9.40 9.40 8.50 7.85 6.95 5.65 4.95 3.95 3.15 2.40 1.75 0.60 0.40 0.25 37 19.70 17.05 18.55 17.40 16.20 15.00 14.25 13.25 12.45 13.15 13.80 14.50 11.65 11.10 10.65 10.20 9.55 9.55 8.70 8.00 7.10 5.80 5.15 4.10 3.30 2.60 1.90 0.75 0.55 0.25 0.25 38 19.95 17.35 18.85 17.70 16.45 15.30 14.50 13.55 12.75 13.45 14.10 14.80 11.95 11.40 10.95 10.45 9.85 9.85 8.95 8.30 7.35 6.10 5.40 4.40 3.60 2.85 2.20 1.00 0.85 0.55 0.45 0.30 39 21.10 18.45 19.95 18.80 17.60 16.40 15.65 14.70 13.85 14.55 15.20 15.95 13.05 12.50 12.05 11.60 10.95 10.95 10.10 9.40 8.50 7.25 6.55 5.50 4.70 4.00 3.30 2.15 1.95 1.65 1.60 1.45 1.15 40 22.35 19.70 21.20 20.05 18.85 17.65 16.90 15.95 15.10 15.80 16.45 17.20 14.30 13.75 13.30 12.85 12.20 12.20 11.35 10.65 9.75 8.50 7.80 6.75 5.95 5.25 4.55 3.40 3.20 2.90 2.85 2.70 2.40 1.25 41 22.85 20.25 21.75 20.60 19.35 18.20 17.40 16.45 15.60 16.35 17.00 17.70 14.80 14.30 13.80 13.35 12.70 12.70 11.85 11.20 10.25 9.00 8.30 7.30 6.45 5.75 5.10 3.90 3.75 3.45 3.35 3.20 2.90 1.80 0.55 42 23.85 21.25 22.75 21.60 20.35 19.20 18.40 17.45 16.65 17.35 18.00 18.70 15.85 15.30 14.85 14.35 13.70 13.70 12.85 12.20 11.25 10.00 9.30 8.30 7.50 6.75 6.10 4.90 4.75 4.45 4.35 4.20 3.90 2.80 1.55 1.05 43 24.40 21.75 23.25 22.15 20.90 19.70 18.95 18.00 17.15 17.85 18.55 19.25 16.35 15.85 15.35 14.90 14.25 14.25 13.40 12.75 11.80 10.55 9.85 8.80 8.00 7.30 6.60 5.45 5.30 4.95 4.90 4.75 4.45 3.35 2.10 1.55 0.55 44 24.70 22.05 23.55 22.40 21.20 20.00 19.25 18.30 17.45 18.15 18.80 19.55 16.65 16.10 15.65 15.20 14.55 14.55 13.70 13.00 12.10 10.85 10.15 9.10 8.30 7.60 6.90 5.75 5.55 5.25 5.20 5.05 4.75 3.65 2.40 1.85 0.85 0.30 45 25.60 22.95 24.45 23.30 22.10 20.90 20.15 19.15 18.35 19.05 19.70 20.40 17.55 17.00 16.55 16.10 15.45 15.45 14.55 13.90 13.00 11.70 11.00 10.00 9.20 8.45 7.80 6.65 6.45 6.15 6.10 5.90 5.65 4.50 3.25 2.75 1.75 1.20 0.90 46 26.85 24.20 25.70 24.55 23.30 22.15 21.40 20.40 19.60 20.30 20.95 21.65 18.80 18.25 17.80 17.35 16.70 16.70 15.80 15.15 14.25 12.95 12.25 11.25 10.45 9.70 9.05 7.90 7.70 7.40 7.30 7.15 6.90 5.75 4.50 4.00 3.00 2.45 2.15 1.25 47 27.70 25.10 26.60 25.45 24.20 23.05 22.25 21.30 20.50 21.20 21.85 22.55 19.65 19.15 18.70 18.20 17.55 17.55 16.70 16.05 15.10 13.85 13.15 12.15 11.30 10.60 9.95 8.75 8.60 8.30 8.20 8.05 7.75 6.65 5.40 4.90 3.85 3.35 3.05 2.15 0.90 48 28.60 26.00 27.50 26.35 25.10 23.90 23.15 22.20 21.35 22.10 22.75 23.45 20.55 20.05 19.55 19.10 18.45 18.45 17.60 16.95 16.00 14.75 14.05 13.05 12.20 11.50 10.80 9.65 9.50 9.15 9.10 8.95 8.65 7.55 6.30 5.75 4.75 4.25 3.95 3.05 1.80 0.90 48A 29.80 27.15 28.65 27.55 26.30 25.10 24.35 23.40 22.55 23.25 23.95 24.65 21.75 21.25 20.75 20.30 19.65 19.65 18.80 18.15 17.20 15.95 15.25 14.20 13.40 12.70 12.00 10.85 10.70 10.35 10.30 10.15 9.85 8.75 7.50 6.95 5.95 5.40 5.15 4.25 3.00 2.10 1.20 49 30.05 27.40 28.90 27.75 26.55 25.35 24.60 23.60 22.80 23.50 24.15 24.85 22.00 21.45 21.00 20.55 19.90 19.90 19.00 18.35 17.45 16.15 15.45 14.45 13.65 12.95 12.25 11.10 10.90 10.60 10.55 10.35 10.10 8.95 7.70 7.20 6.20 5.65 5.35 4.50 3.25 2.35 1.45 0.25 9.65 9.00 9.00 8.15 7.45 6.55 Appendix Y2 Page 13 New York State Thruway Toll Schedule Class 3L - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 1.80 0.00 1.00 17 2.75 0.85 1.85 1.00 18 3.70 1.80 2.80 1.90 0.95 19 4.25 2.40 3.40 2.50 1.55 0.60 20 5.05 3.15 4.15 3.25 2.30 1.40 0.80 21 5.65 3.80 4.80 3.90 2.95 2.00 1.40 0.65 21B 7.30 5.40 6.40 5.55 4.55 3.65 3.05 2.30 1.65 B1 7.80 5.95 6.95 6.05 5.10 4.15 3.55 2.80 2.15 0.55 B2 8.35 6.50 7.50 6.60 5.65 4.70 4.10 3.35 2.75 1.10 0.60 B3 6.30 4.40 5.40 4.50 3.55 2.65 2.05 1.30 0.65 1.20 1.70 2.25 22 6.70 4.85 5.85 4.95 4.00 3.05 2.45 1.70 1.05 1.60 2.15 2.70 0.45 23 7.05 5.20 6.20 5.30 4.35 3.40 2.80 2.05 1.40 2.00 2.50 3.05 0.80 0.40 24 7.45 5.55 6.55 5.65 4.70 3.75 3.20 2.40 1.80 2.35 2.85 3.40 1.15 0.75 0.40 25 7.05 5.20 6.20 5.30 4.35 3.40 2.80 2.05 1.40 2.00 2.50 3.05 0.80 0.40 0.00 0.00 25A 7.95 6.05 7.05 6.15 5.20 4.30 3.70 2.90 2.30 2.85 3.35 3.90 1.65 1.25 0.90 0.55 0.00 26 8.60 6.75 7.75 6.85 5.90 4.95 4.35 3.60 2.95 3.50 4.05 4.60 2.35 1.90 1.55 1.20 0.70 0.70 27 9.15 7.25 8.25 7.35 6.40 5.45 4.90 4.10 3.50 4.05 4.55 5.10 2.85 2.45 2.10 1.70 1.20 1.20 0.55 28 9.85 7.95 8.95 8.05 7.10 6.20 5.60 4.85 4.20 4.75 5.25 5.80 3.55 3.15 2.80 2.45 1.95 1.95 1.25 0.75 29 10.85 8.95 9.95 9.05 8.10 7.20 6.60 5.85 5.20 5.75 6.25 6.80 4.55 4.15 3.80 3.45 2.95 2.95 2.25 1.75 1.00 Class 3L Vehicles with three axles and a height of less than 7'6" No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.20 56 0.45 0.25 57 0.95 0.75 0.55 57A 1.60 1.40 1.20 0.65 58 2.30 2.15 1.90 1.40 0.75 59 3.35 3.20 2.95 2.45 1.80 1.05 60 4.00 3.85 3.60 3.10 2.45 1.70 0.70 11.40 9.50 10.50 9.60 8.65 7.70 7.15 6.35 5.75 6.30 6.80 7.35 5.10 4.70 4.35 4.00 3.45 3.45 2.80 2.30 1.55 0.55 30 12.15 10.30 11.30 10.40 9.45 8.50 7.90 7.15 6.50 7.05 7.60 8.15 5.90 5.50 5.10 4.75 4.25 4.25 3.60 3.05 2.35 1.35 0.80 31 12.80 10.90 11.90 11.00 10.05 9.15 8.55 7.80 7.15 7.70 8.20 8.75 6.55 6.10 5.75 5.40 4.90 4.90 4.20 3.70 3.00 2.00 1.45 0.65 32 13.35 11.45 12.45 11.60 10.65 9.70 9.10 8.35 7.70 8.25 8.80 9.35 7.10 6.65 6.30 5.95 5.45 5.45 4.75 4.25 3.55 2.55 2.00 1.20 0.60 33 13.90 12.00 13.00 12.10 11.15 10.25 9.65 8.90 8.25 8.80 9.30 9.85 7.60 7.20 6.85 6.50 6.00 6.00 5.30 4.80 4.05 3.10 2.55 1.75 1.10 0.55 34 14.80 12.90 13.90 13.00 12.05 11.15 10.55 9.80 9.15 9.70 10.20 10.75 8.50 8.10 7.75 7.40 6.90 6.90 6.20 5.70 4.95 4.00 3.45 2.65 2.00 1.45 0.95 14.95 13.05 14.05 13.15 12.20 11.30 10.70 9.95 9.30 9.85 10.35 10.90 8.65 8.25 7.90 7.55 7.05 7.05 6.35 5.85 5.10 4.10 3.60 2.80 2.15 1.60 1.05 0.20 35 15.15 13.30 14.30 13.40 12.45 11.50 10.90 10.15 9.55 10.10 10.60 11.15 8.90 8.50 8.15 7.75 7.25 7.25 6.60 6.05 5.35 4.35 3.80 3.05 2.40 1.85 1.30 0.40 0.25 36 15.25 13.35 14.35 13.45 12.50 11.55 11.00 10.20 9.60 10.15 10.65 11.20 8.95 8.55 8.20 7.80 7.30 7.30 6.65 6.10 5.40 4.40 3.85 3.10 2.45 1.90 1.35 0.45 0.30 0.20 37 15.35 13.45 14.45 13.60 12.60 11.70 11.10 10.35 9.70 10.25 10.75 11.30 9.10 8.65 8.30 7.95 7.45 7.45 6.75 6.25 5.55 4.55 4.00 3.20 2.60 2.00 1.50 0.60 0.45 0.20 0.20 38 15.55 13.70 14.70 13.80 12.85 11.90 11.30 10.55 9.90 10.45 11.00 11.55 9.30 8.90 8.50 8.15 7.65 7.65 7.00 6.45 5.75 4.75 4.20 3.40 2.80 2.25 1.70 0.80 0.65 0.40 0.35 0.25 16.45 14.55 15.55 14.65 13.70 12.80 12.20 11.45 10.80 11.35 11.85 12.40 10.20 9.75 9.40 9.05 8.55 8.55 7.85 7.35 6.65 5.65 5.10 4.30 3.65 3.10 2.60 1.70 1.55 1.30 1.25 1.10 0.90 40 17.40 15.55 16.55 15.65 14.70 13.75 13.15 12.40 11.80 12.35 12.85 13.40 11.15 10.75 10.40 10.00 9.50 9.50 8.85 8.30 7.60 6.60 6.05 5.30 4.65 4.10 3.55 2.65 2.50 2.25 2.20 2.10 1.90 1.00 41 17.80 15.95 16.95 16.05 15.10 14.15 13.60 12.80 12.20 12.75 13.25 13.80 11.55 11.15 10.80 10.40 9.90 9.90 9.25 8.70 8.00 7.00 6.45 5.70 5.05 4.50 3.95 3.05 2.90 2.65 2.60 2.50 2.30 1.40 0.45 42 18.60 16.70 17.70 16.85 15.85 14.95 14.35 13.60 12.95 13.50 14.00 14.55 12.35 11.90 11.55 11.20 10.70 10.70 10.00 9.50 8.80 7.80 7.25 6.45 5.85 5.25 4.75 3.85 3.70 3.45 3.40 3.30 3.05 2.20 1.20 0.80 43 19.05 17.15 18.15 17.25 16.30 15.35 14.80 14.00 13.40 13.95 14.45 15.00 12.75 12.35 12.00 11.60 11.10 11.10 10.45 9.90 9.20 8.20 7.65 6.90 6.25 5.70 5.15 4.25 4.10 3.90 3.80 3.70 3.50 2.60 1.65 1.25 0.45 44 19.25 17.35 18.35 17.50 16.50 15.60 15.00 14.25 13.60 14.15 14.65 15.20 13.00 12.55 12.20 11.85 11.35 11.35 10.65 10.15 9.45 8.45 7.90 7.10 6.50 5.90 5.40 4.50 4.35 4.10 4.05 3.95 3.70 2.85 1.85 1.45 0.65 0.25 45 19.95 18.05 19.05 18.15 17.20 16.30 15.70 14.95 14.30 14.85 15.35 15.90 13.65 13.25 12.90 12.55 12.05 12.05 11.35 10.85 10.10 9.15 8.60 7.80 7.15 6.60 6.10 5.20 5.05 4.80 4.75 4.60 4.40 3.50 2.55 2.15 1.35 0.95 0.70 46 20.90 19.05 20.05 19.15 18.20 17.25 16.65 15.90 15.25 15.80 16.35 16.90 14.65 14.20 13.85 13.50 13.00 13.00 12.30 11.80 11.10 10.10 9.55 8.75 8.15 7.60 7.05 6.15 6.00 5.75 5.70 5.60 5.35 4.50 3.50 3.10 2.35 1.90 1.70 1.00 47 21.60 19.70 20.70 19.85 18.85 17.95 17.35 16.60 15.95 16.50 17.00 17.55 15.35 14.90 14.55 14.20 13.70 13.70 13.00 12.50 11.80 10.80 10.25 9.45 8.85 8.25 7.75 6.85 6.70 6.45 6.40 6.25 6.05 5.20 4.20 3.80 3.00 2.60 2.35 1.70 0.70 48 22.30 20.40 21.40 20.50 19.55 18.65 18.05 17.30 16.65 17.20 17.70 18.25 16.05 15.60 15.25 14.90 14.40 14.40 13.70 13.20 12.50 11.50 10.95 10.15 9.55 8.95 8.45 7.55 7.40 7.15 7.10 6.95 6.75 5.90 4.90 4.50 3.70 3.30 3.05 2.40 1.40 0.70 48A 23.25 21.35 22.35 21.45 20.50 19.60 19.00 18.25 17.60 18.15 18.65 19.20 16.95 16.55 16.20 15.85 15.35 15.35 14.65 14.15 13.40 12.40 11.90 11.10 10.45 9.90 9.35 8.45 8.30 8.10 8.05 7.90 7.70 6.80 5.85 5.45 4.65 4.25 4.00 3.30 2.35 1.65 0.95 49 23.40 21.55 22.55 21.65 20.70 19.75 19.15 18.40 17.75 18.30 18.85 19.40 17.15 16.75 16.35 16.00 15.50 15.50 14.85 14.30 13.60 12.60 12.05 11.25 10.65 10.10 9.55 8.65 8.50 8.25 8.20 8.10 7.85 7.00 6.00 5.60 4.85 4.40 4.20 3.50 2.55 1.85 1.15 0.20 34A 39 Appendix Y2 Page 1 New York State Thruway Toll Schedule Class 3H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 3.95 0.00 2.25 17 6.05 1.85 4.10 2.15 18 8.10 3.90 6.15 4.15 2.05 Class 3H Vehicles with three axles and a height of 7'6" or more 19 9.40 5.20 7.45 5.45 3.35 1.35 20 11.05 6.85 9.10 7.15 5.05 3.00 1.70 21 12.45 8.25 10.50 8.55 6.45 4.40 3.10 1.45 21B 15.80 11.60 13.85 11.85 9.75 7.75 6.40 4.75 3.35 B1 16.90 12.70 14.95 13.00 10.90 8.85 7.55 5.90 4.45 1.15 18.15 13.95 16.20 14.20 12.10 10.05 8.75 7.10 5.70 2.35 1.25 B3 13.85 9.65 11.90 9.90 7.80 5.80 4.50 2.80 1.40 2.30 3.45 4.65 22 14.75 10.55 12.80 10.85 8.75 6.70 5.40 3.75 2.30 3.25 4.35 5.60 0.95 23 15.55 11.35 13.60 11.65 9.55 7.50 6.20 4.50 3.10 4.05 5.15 6.35 1.75 0.80 24 16.35 12.15 14.40 12.40 10.30 8.30 7.00 5.30 3.90 4.80 5.95 7.15 2.50 1.60 0.80 25 15.55 11.35 13.60 11.65 9.55 7.50 6.20 4.50 3.10 4.05 5.15 6.35 1.75 0.80 0.00 0.00 17.45 13.25 15.50 13.55 11.45 9.40 8.10 6.40 5.00 5.95 7.05 8.25 3.65 2.70 1.90 1.15 18.95 14.75 17.00 15.05 12.95 10.90 9.60 7.90 6.50 7.45 8.55 9.80 5.15 4.20 3.45 2.65 1.55 1.55 20.10 15.90 18.15 16.15 14.05 12.05 10.75 9.05 7.65 8.55 9.70 10.90 6.25 5.35 4.55 3.75 2.65 2.65 1.15 28 21.70 17.45 19.70 17.75 15.65 13.60 12.30 10.65 9.25 10.15 11.25 12.50 7.85 6.95 6.15 5.35 4.25 4.25 2.75 1.60 29 23.85 19.65 21.90 19.95 17.85 15.80 14.50 12.80 11.40 12.35 13.45 14.70 10.05 9.10 8.35 7.55 6.45 6.45 4.90 3.80 2.20 B2 25A 0.00 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.40 56 0.90 0.50 57 2.05 1.65 1.15 57A 3.45 3.10 2.60 1.45 58 5.10 4.70 4.20 3.05 1.65 59 7.35 7.00 6.50 5.35 3.90 2.30 60 8.85 8.45 7.95 6.80 5.40 3.75 1.50 25.05 20.85 23.10 21.15 19.05 17.00 15.70 14.00 12.60 13.55 14.65 15.90 11.25 10.30 9.55 8.75 7.65 7.65 6.10 5.00 3.40 1.25 30 26.80 22.60 24.85 22.90 20.75 18.75 17.45 15.75 14.35 15.30 16.40 17.60 13.00 12.05 11.25 10.50 9.35 9.35 7.85 6.75 5.15 2.95 1.75 31 28.20 24.00 26.25 24.25 22.15 20.15 18.85 17.15 15.75 16.65 17.80 19.00 14.35 13.45 12.65 11.85 10.75 10.75 9.25 8.10 6.55 4.35 3.15 1.40 32 29.45 25.25 27.50 25.50 23.40 21.35 20.05 18.40 17.00 17.90 19.05 20.25 15.60 14.70 13.90 13.10 12.00 12.00 10.50 9.35 7.80 5.60 4.40 2.65 1.25 33 30.60 26.40 28.65 26.65 24.55 22.55 21.25 19.55 18.15 19.05 20.20 21.40 16.75 15.85 15.05 14.25 13.15 13.15 11.65 10.50 8.95 6.75 5.55 3.80 2.40 1.20 34 32.60 28.40 30.65 28.65 26.55 24.55 23.20 21.55 20.15 21.05 22.20 23.40 18.75 17.85 17.05 16.25 15.15 15.15 13.65 12.50 10.95 8.75 7.55 5.80 4.40 3.20 2.00 34A 32.90 28.70 30.95 29.00 26.85 24.85 23.55 21.85 20.45 21.35 22.50 23.70 19.10 18.15 17.35 16.55 15.45 15.45 13.95 12.85 11.25 9.05 7.85 6.10 4.75 3.50 2.35 0.40 35 33.45 29.25 31.50 29.50 27.40 25.35 24.05 22.40 21.00 21.90 23.05 24.25 19.60 18.70 17.90 17.10 16.00 16.00 14.50 13.35 11.80 9.60 8.40 6.65 5.25 4.00 2.85 0.85 0.55 36 33.55 29.35 31.60 29.60 27.50 25.50 24.15 22.50 21.10 22.00 23.15 24.35 19.70 18.80 18.00 17.20 16.10 16.10 14.60 13.45 11.90 9.70 8.50 6.75 5.35 4.15 2.95 1.00 0.65 0.40 37 33.85 29.65 31.90 29.90 27.80 25.75 24.45 22.80 21.40 22.30 23.45 24.65 20.00 19.10 18.30 17.50 16.40 16.40 14.90 13.75 12.20 10.00 8.80 7.05 5.65 4.40 3.25 1.25 0.95 0.40 0.40 38 34.30 30.10 32.35 30.40 28.25 26.25 24.95 23.25 21.85 22.75 23.90 25.10 20.50 19.55 18.75 18.00 16.85 16.85 15.35 14.25 12.65 10.45 9.25 7.50 6.15 4.90 3.75 1.75 1.45 0.90 0.80 0.50 39 36.25 32.05 34.30 32.30 30.20 28.20 26.85 25.20 23.80 24.70 25.85 27.05 22.40 21.50 20.70 19.90 18.80 18.80 17.30 16.15 14.60 12.40 11.20 9.45 8.05 6.85 5.65 3.70 3.35 2.85 2.70 2.45 1.95 40 38.40 34.20 36.45 34.45 32.35 30.35 29.00 27.35 25.95 26.85 28.00 29.20 24.55 23.65 22.85 22.05 20.95 20.95 19.45 18.30 16.75 14.55 13.35 11.60 10.20 9.00 7.80 5.80 5.50 5.00 4.85 4.60 4.10 2.15 41 39.25 35.05 37.30 35.35 33.25 31.20 29.90 28.25 26.80 27.75 28.85 30.10 25.45 24.50 23.75 22.95 21.85 21.85 20.35 19.20 17.60 15.45 14.25 12.50 11.10 9.85 8.70 6.70 6.40 5.85 5.75 5.45 5.00 3.05 0.90 42 41.00 36.80 39.05 37.05 34.95 32.95 31.65 29.95 28.55 29.45 30.60 31.80 27.15 26.25 25.45 24.65 23.55 23.55 22.05 20.90 19.35 17.15 15.95 14.20 12.85 11.60 10.45 8.45 8.10 7.60 7.50 7.20 6.70 4.80 2.65 1.75 43 41.90 37.70 39.95 38.00 35.90 33.85 32.55 30.90 29.45 30.40 31.50 32.75 28.10 27.15 26.40 25.60 24.50 24.50 23.00 21.85 20.25 18.10 16.90 15.15 13.75 12.50 11.35 9.35 9.05 8.50 8.40 8.10 7.65 5.70 3.55 2.65 0.95 44 42.45 38.25 40.50 38.50 36.40 34.35 33.05 31.40 30.00 30.90 32.05 33.25 28.60 27.70 26.90 26.10 25.00 25.00 23.50 22.35 20.80 18.60 17.40 15.65 14.25 13.05 11.85 9.85 9.55 9.05 8.90 8.65 8.15 6.20 4.05 3.20 1.45 0.55 45 43.95 39.75 42.00 40.00 37.90 35.90 34.60 32.90 31.50 32.40 33.55 34.75 30.10 29.20 28.40 27.60 26.50 26.50 25.00 23.85 22.30 20.10 18.90 17.15 15.80 14.55 13.40 11.40 11.05 10.55 10.45 10.15 9.65 7.75 5.60 4.70 2.95 2.05 1.55 46 46.10 41.90 44.15 42.15 40.05 38.00 36.70 35.05 33.65 34.55 35.70 36.90 32.25 31.35 30.55 29.75 28.65 28.65 27.15 26.00 24.45 22.25 21.05 19.30 17.90 16.65 15.50 13.50 13.20 12.70 12.55 12.30 11.80 9.85 7.70 6.85 5.10 4.20 3.65 2.15 47 47.60 43.40 45.65 43.70 41.60 39.55 38.25 36.55 35.15 36.10 37.20 38.45 33.80 32.85 32.05 31.30 30.20 30.20 28.65 27.55 25.95 23.75 22.55 20.85 19.45 18.20 17.05 15.05 14.75 14.20 14.10 13.80 13.35 11.40 9.25 8.35 6.65 5.70 5.20 3.70 1.55 48 49.15 44.95 47.20 45.20 43.10 41.10 39.80 38.10 36.70 37.60 38.75 39.95 35.30 34.40 33.60 32.80 31.70 31.70 30.20 29.05 27.50 25.30 24.10 22.35 20.95 19.75 18.60 16.60 16.25 15.75 15.65 15.35 14.85 12.95 10.80 9.90 8.15 7.25 6.75 5.20 3.10 1.55 48A 51.20 47.00 49.25 47.30 45.15 43.15 41.85 40.15 38.75 39.65 40.80 42.00 37.40 36.45 35.65 34.90 33.75 33.75 32.25 31.15 29.55 27.35 26.15 24.40 23.05 21.80 20.65 18.65 18.35 17.80 17.70 17.40 16.90 15.00 12.85 11.95 10.25 9.30 8.80 7.30 5.15 3.60 2.10 49 51.60 47.40 49.65 47.70 45.60 43.55 42.25 40.55 39.15 40.10 41.20 42.40 37.80 36.85 36.05 35.30 34.15 34.15 32.65 31.55 29.95 27.75 26.55 24.85 23.45 22.20 21.05 19.05 18.75 18.20 18.10 17.80 17.35 15.40 13.25 12.35 10.65 9.70 9.20 7.70 5.55 4.00 2.50 0.45 Appendix Y2 Page 15 New York State Thruway Toll Schedule Class 4L - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 2.15 0.00 1.25 17 3.25 0.95 2.20 1.15 18 4.35 2.05 3.30 2.25 1.10 19 5.05 2.75 4.00 2.95 1.80 0.75 20 5.95 3.65 4.90 3.85 2.70 1.65 0.95 21 6.75 4.45 5.70 4.60 3.50 2.40 1.70 0.80 21B 8.70 6.40 7.65 6.60 5.45 4.35 3.65 2.75 2.00 B1 9.30 7.00 8.25 7.20 6.05 4.95 4.25 3.35 2.60 0.65 B2 9.95 7.65 8.90 7.85 6.70 5.60 4.90 4.00 3.25 1.30 0.70 B3 7.45 5.15 6.40 5.35 4.20 3.15 2.45 1.50 0.75 1.45 2.05 2.70 22 7.95 5.65 6.90 5.85 4.70 3.65 2.90 2.00 1.25 1.95 2.55 3.20 0.50 23 8.40 6.10 7.35 6.30 5.15 4.05 3.35 2.45 1.70 2.35 2.95 3.60 0.95 0.45 24 8.80 6.50 7.75 6.70 5.55 4.50 3.75 2.85 2.10 2.80 3.40 4.05 1.35 0.85 0.45 25 8.40 6.10 7.35 6.30 5.15 4.05 3.35 2.45 1.70 2.35 2.95 3.60 0.95 0.45 0.00 0.00 9.40 7.10 8.35 7.30 6.15 5.10 4.35 3.45 2.70 3.40 4.00 4.65 1.95 1.45 1.05 0.60 0.00 26 10.25 7.95 9.20 8.10 7.00 5.90 5.20 4.30 3.50 4.20 4.80 5.45 2.80 2.30 1.85 1.45 0.85 0.85 10.85 8.55 9.80 8.75 7.60 6.50 5.80 4.90 4.15 4.80 5.40 6.05 3.40 2.90 2.45 2.05 1.45 1.45 0.65 28 11.70 9.40 10.65 9.60 8.45 7.35 6.65 5.75 5.00 5.65 6.25 6.90 4.25 3.75 3.30 2.90 2.30 2.30 1.50 0.85 29 12.85 10.55 11.80 10.75 9.60 8.55 7.80 6.90 6.15 6.85 7.45 8.10 5.40 4.90 4.50 4.05 3.45 3.45 2.65 2.05 1.20 Class 4L Vehicles with four or more axles and a height of less than 7'6" 25A 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.25 56 0.50 0.30 57 1.10 0.90 0.65 57A 1.90 1.65 1.40 0.80 58 2.75 2.55 2.25 1.65 0.90 59 4.00 3.75 3.50 2.90 2.10 1.25 60 4.75 4.55 4.30 3.65 2.90 2.05 0.80 13.50 11.20 12.45 11.40 10.25 9.15 8.45 7.55 6.80 7.50 8.10 8.75 6.05 5.55 5.15 4.70 4.10 4.10 3.30 2.70 1.85 0.65 30 14.45 12.15 13.40 12.35 11.20 10.10 9.40 8.50 7.75 8.40 9.05 9.70 7.00 6.50 6.10 5.65 5.05 5.05 4.25 3.65 2.80 1.60 0.95 31 15.20 12.90 14.15 13.10 11.95 10.85 10.15 9.25 8.50 9.15 9.80 10.45 7.75 7.25 6.85 6.40 5.80 5.80 5.00 4.40 3.55 2.35 1.70 0.75 15.85 13.55 14.80 13.75 12.60 11.55 10.80 9.90 9.15 9.85 10.45 11.10 8.40 7.90 7.50 7.05 6.50 6.50 5.65 5.05 4.20 3.05 2.40 1.45 0.70 33 16.50 14.20 15.45 14.40 13.25 12.15 11.45 10.55 9.80 10.45 11.05 11.70 9.05 8.55 8.15 7.70 7.10 7.10 6.30 5.70 4.85 3.65 3.00 2.05 1.30 0.65 34 17.55 15.25 16.50 15.45 14.30 13.25 12.55 11.60 10.85 11.55 12.15 12.80 10.10 9.65 9.20 8.80 8.20 8.20 7.35 6.75 5.90 4.75 4.10 3.15 2.40 1.75 1.10 34A 17.75 15.45 16.70 15.65 14.50 13.40 12.70 11.80 11.05 11.70 12.30 12.95 10.30 9.80 9.35 8.95 8.35 8.35 7.55 6.90 6.05 4.90 4.25 3.30 2.55 1.90 1.25 0.25 35 18.05 15.70 16.95 15.90 14.80 13.70 13.00 12.10 11.30 12.00 12.60 13.25 10.60 10.10 9.65 9.25 8.65 8.65 7.80 7.20 6.35 5.20 4.55 3.60 2.85 2.20 1.55 0.50 0.30 36 18.10 15.80 17.05 15.95 14.85 13.75 13.05 12.15 11.40 12.05 12.65 13.30 10.65 10.15 9.70 9.30 8.70 8.70 7.90 7.25 6.40 5.25 4.60 3.65 2.90 2.25 1.60 0.55 0.35 0.25 37 18.25 15.95 17.20 16.15 15.00 13.90 13.20 12.30 11.55 12.20 12.80 13.45 10.80 10.30 9.85 9.45 8.85 8.85 8.05 7.40 6.55 5.40 4.75 3.80 3.05 2.40 1.75 0.70 0.50 0.25 0.25 38 18.50 16.20 17.45 16.40 15.25 14.15 13.45 12.55 11.80 12.45 13.05 13.70 11.05 10.55 10.10 9.70 9.10 9.10 8.30 7.70 6.85 5.65 5.00 4.05 3.30 2.65 2.00 0.95 0.80 0.50 0.45 0.30 19.55 17.25 18.50 17.45 16.30 15.20 14.50 13.60 12.85 13.50 14.10 14.75 12.10 11.60 11.15 10.75 10.15 10.15 9.35 8.70 7.85 6.70 6.05 5.10 4.35 3.70 3.05 2.00 1.85 1.55 1.50 1.30 1.05 40 20.70 18.40 19.65 18.60 17.45 16.35 15.65 14.75 14.00 14.65 15.25 15.90 13.25 12.75 12.35 11.90 11.30 11.30 10.50 9.90 9.05 7.85 7.20 6.25 5.50 4.85 4.20 3.15 3.00 2.70 2.65 2.50 2.25 1.20 21.20 18.85 20.10 19.05 17.95 16.85 16.15 15.25 14.45 15.15 15.75 16.40 13.75 13.25 12.80 12.40 11.80 11.80 10.95 10.35 9.50 8.35 7.70 6.75 6.00 5.35 4.70 3.65 3.45 3.15 3.10 2.95 2.70 1.65 0.50 42 22.10 19.80 21.05 20.00 18.85 17.75 17.05 16.15 15.40 16.05 16.70 17.35 14.65 14.15 13.75 13.30 12.70 12.70 11.90 11.30 10.45 9.25 8.60 7.65 6.90 6.25 5.65 4.55 4.40 4.10 4.05 3.90 3.65 2.60 1.45 0.95 43 22.60 20.30 21.55 20.50 19.35 18.25 17.55 16.65 15.90 16.55 17.15 17.85 15.15 14.65 14.25 13.80 13.20 13.20 12.40 11.80 10.95 9.75 9.10 8.15 7.40 6.75 6.15 5.05 4.90 4.60 4.55 4.40 4.15 3.10 1.95 1.45 0.50 44 22.90 20.60 21.85 20.75 19.65 18.55 17.85 16.95 16.15 16.85 17.45 18.10 15.45 14.95 14.50 14.10 13.50 13.50 12.65 12.05 11.20 10.05 9.40 8.45 7.70 7.05 6.40 5.35 5.15 4.90 4.80 4.65 4.40 3.35 2.20 1.75 0.80 0.30 45 23.70 21.40 22.65 21.60 20.45 19.35 18.65 17.75 17.00 17.65 18.25 18.90 16.25 15.75 15.30 14.90 14.30 14.30 13.50 12.90 12.05 10.85 10.20 9.25 8.50 7.85 7.20 6.15 6.00 5.70 5.65 5.50 5.20 4.20 3.00 2.55 1.60 1.10 0.85 46 24.85 22.55 23.80 22.75 21.60 20.50 19.80 18.90 18.15 18.80 19.40 20.05 17.40 16.90 16.45 16.05 15.45 15.45 14.65 14.05 13.20 12.00 11.35 10.40 9.65 9.00 8.35 7.30 7.15 6.85 6.80 6.65 6.35 5.35 4.15 3.70 2.75 2.25 2.00 1.15 47 25.65 23.35 24.60 23.55 22.40 21.35 20.60 19.70 18.95 19.65 20.25 20.90 18.20 17.70 17.30 16.85 16.25 16.25 15.45 14.85 14.00 12.80 12.20 11.25 10.50 9.80 9.20 8.10 7.95 7.65 7.60 7.45 7.20 6.15 5.00 4.50 3.60 3.10 2.80 2.00 0.85 48 26.50 24.20 25.45 24.40 23.25 22.15 21.45 20.55 19.80 20.45 21.05 21.70 19.05 18.55 18.10 17.70 17.10 17.10 16.30 15.70 14.85 13.65 13.00 12.05 11.30 10.65 10.00 8.95 8.80 8.50 8.45 8.30 8.00 7.00 5.80 5.35 4.40 3.90 3.65 2.80 1.70 0.85 48A 27.60 25.30 26.55 25.50 24.35 23.25 22.55 21.65 20.90 21.55 22.20 22.85 20.15 19.65 19.25 18.80 18.20 18.20 17.40 16.80 15.95 14.75 14.10 13.15 12.40 11.75 11.15 10.05 9.90 9.60 9.55 9.40 9.15 8.10 6.95 6.45 5.50 5.00 4.75 3.95 2.80 1.95 1.15 49 27.80 25.50 26.75 25.70 24.55 23.50 22.80 21.85 21.10 21.80 22.40 23.05 20.35 19.90 19.45 19.05 18.45 18.45 17.60 17.00 16.15 15.00 14.35 13.40 12.65 12.00 11.35 10.25 10.10 9.80 9.75 9.60 9.35 8.30 7.15 6.65 5.75 5.25 4.95 4.15 3.00 2.20 1.35 0.25 32 39 41 Appendix Y2 Page 15 New York State Thruway Toll Schedule Class 4H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 16X 4.35 0.00 2.50 17 6.65 2.00 4.50 2.35 18 8.90 4.25 6.75 4.60 2.25 10.35 5.70 8.20 6.00 3.70 1.45 20 12.20 7.55 10.05 7.85 5.55 3.30 1.85 21 13.75 9.10 11.60 9.40 7.10 4.85 3.40 1.60 21B 17.60 12.95 15.45 13.30 11.00 8.75 7.30 5.45 3.90 B1 18.85 14.20 16.70 14.55 12.20 10.00 8.55 6.70 5.15 1.25 B2 20.20 15.55 18.05 15.90 13.55 11.30 9.90 8.05 6.50 2.60 1.35 B3 15.25 10.60 13.10 10.95 8.60 6.40 4.95 3.10 1.55 2.80 4.00 5.35 22 16.30 11.65 14.15 11.95 9.65 7.40 5.95 4.10 2.55 3.80 5.05 6.40 1.05 23 17.15 12.50 15.00 12.80 10.50 8.25 6.80 5.00 3.45 4.65 5.90 7.25 1.90 0.90 24 18.00 13.35 15.85 13.70 11.35 9.15 7.70 5.85 4.30 5.55 6.75 8.10 2.80 1.75 0.90 25 17.15 12.50 15.00 12.80 10.50 8.25 6.80 5.00 3.45 4.65 5.90 7.25 1.90 0.90 0.00 0.00 19.25 14.60 17.10 14.90 12.60 10.35 8.90 7.05 5.50 6.75 8.00 9.35 4.00 3.00 2.10 1.25 20.90 16.25 18.75 16.55 14.25 12.00 10.55 8.75 7.20 8.40 9.65 11.00 5.65 4.65 3.75 2.90 1.70 1.70 27 22.15 17.50 20.00 17.80 15.50 13.25 11.80 10.00 8.45 9.65 10.90 12.25 6.90 5.90 5.00 4.15 2.95 2.95 1.25 28 23.90 19.25 21.75 19.55 17.25 15.00 13.55 11.70 10.15 11.40 12.65 14.00 8.65 7.65 6.75 5.90 4.65 4.65 3.00 1.75 29 26.30 21.65 24.15 21.95 19.65 17.40 15.95 14.15 12.60 13.80 15.05 16.40 11.05 10.05 9.15 8.30 7.10 7.10 5.40 4.15 2.45 Class 4H Vehicles with four axles and a height of 7'6" or more 19 25A 0.00 26 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.45 56 1.00 0.55 57 2.25 1.85 1.30 57A 3.85 3.40 2.85 1.60 58 5.60 5.15 4.60 3.35 1.80 59 8.10 7.70 7.15 5.85 4.30 2.55 60 9.70 9.30 8.75 7.50 5.90 4.15 1.65 27.60 22.95 25.45 23.30 20.95 18.75 17.30 15.45 13.90 15.15 16.40 17.70 12.40 11.35 10.50 9.65 8.40 8.40 6.75 5.50 3.75 1.35 30 29.55 24.90 27.40 25.20 22.90 20.65 19.20 17.35 15.80 17.05 18.30 19.65 14.30 13.30 12.40 11.55 10.30 10.30 8.65 7.40 5.65 3.25 1.95 31 31.05 26.40 28.90 26.75 24.45 22.20 20.75 18.90 17.35 18.60 19.85 21.15 15.85 14.80 13.95 13.10 11.85 11.85 10.20 8.95 7.20 4.80 3.50 1.55 32 32.45 27.80 30.30 28.10 25.80 23.55 22.10 20.25 18.70 19.95 21.20 22.55 17.20 16.20 15.30 14.45 13.20 13.20 11.55 10.30 8.55 6.15 4.85 2.90 1.40 33 33.70 29.05 31.55 29.40 27.05 24.85 23.40 21.55 20.00 21.25 22.45 23.80 18.50 17.45 16.60 15.70 14.50 14.50 12.85 11.60 9.85 7.45 6.10 4.20 2.65 1.30 34 35.90 31.25 33.75 31.60 29.25 27.05 25.60 23.75 22.20 23.45 24.65 26.00 20.70 19.65 18.80 17.90 16.70 16.70 15.05 13.80 12.05 9.65 8.30 6.40 4.85 3.50 2.20 34A 36.25 31.60 34.10 31.95 29.60 27.35 25.95 24.10 22.55 23.75 25.00 26.35 21.00 20.00 19.15 18.25 17.05 17.05 15.40 14.15 12.40 10.00 8.65 6.75 5.20 3.85 2.55 0.45 35 36.85 32.20 34.70 32.50 30.20 27.95 26.50 24.65 23.10 24.35 25.60 26.95 21.60 20.60 19.70 18.85 17.60 17.60 15.95 14.70 13.00 10.55 9.25 7.35 5.80 4.45 3.15 0.95 0.60 36 36.95 32.30 34.80 32.65 30.30 28.10 26.65 24.80 23.25 24.50 25.70 27.05 21.75 20.70 19.85 18.95 17.75 17.75 16.10 14.85 13.10 10.70 9.35 7.45 5.90 4.55 3.25 1.10 0.75 0.45 37 37.30 32.65 35.15 32.95 30.65 28.40 26.95 25.10 23.55 24.80 26.05 27.40 22.05 21.00 20.15 19.30 18.05 18.05 16.40 15.15 13.40 11.00 9.70 7.75 6.25 4.85 3.60 1.40 1.05 0.45 0.45 38 37.80 33.15 35.65 33.45 31.15 28.90 27.50 25.65 24.10 25.30 26.55 27.90 22.55 21.55 20.70 19.80 18.60 18.60 16.95 15.70 13.95 11.55 10.20 8.30 6.75 5.40 4.10 1.90 1.55 1.00 0.85 0.55 39 39.95 35.30 37.80 35.60 33.30 31.05 29.60 27.75 26.20 27.45 28.70 30.05 24.70 23.70 22.80 21.95 20.70 20.70 19.05 17.80 16.10 13.65 12.35 10.45 8.90 7.55 6.25 4.05 3.70 3.10 3.00 2.70 2.15 40 42.30 37.65 40.15 38.00 35.65 33.40 32.00 30.15 28.60 29.80 31.05 32.40 27.05 26.05 25.20 24.30 23.10 23.10 21.45 20.20 18.45 16.05 14.70 12.80 11.25 9.90 8.60 6.40 6.05 5.50 5.35 5.05 4.55 2.40 41 43.30 38.65 41.15 38.95 36.65 34.40 32.95 31.10 29.55 30.80 32.05 33.40 28.05 27.00 26.15 25.30 24.05 24.05 22.40 21.15 19.40 17.00 15.70 13.75 12.25 10.85 9.60 7.40 7.05 6.45 6.35 6.00 5.50 3.35 1.00 42 45.20 40.55 43.05 40.85 38.55 36.30 34.85 33.00 31.45 32.70 33.95 35.30 29.95 28.95 28.05 27.20 25.95 25.95 24.30 23.05 21.30 18.90 17.60 15.65 14.15 12.75 11.50 9.30 8.95 8.35 8.25 7.95 7.40 5.25 2.90 1.95 43 46.20 41.55 44.05 41.85 39.55 37.30 35.85 34.05 32.50 33.70 34.95 36.30 30.95 29.95 29.10 28.20 27.00 27.00 25.35 24.10 22.35 19.95 18.60 16.70 15.15 13.80 12.50 10.30 9.95 9.40 9.25 8.95 8.40 6.30 3.90 2.95 1.05 44 46.75 42.10 44.60 42.45 40.10 37.90 36.45 34.60 33.05 34.30 35.50 36.85 31.55 30.50 29.65 28.75 27.55 27.55 25.90 24.65 22.90 20.50 19.15 17.25 15.70 14.35 13.05 10.85 10.55 9.95 9.80 9.50 9.00 6.85 4.50 3.50 1.60 0.60 45 48.45 43.80 46.30 44.10 41.80 39.55 38.10 36.25 34.70 35.95 37.20 38.55 33.20 32.20 31.30 30.45 29.20 29.20 27.55 26.30 24.55 22.15 20.85 18.90 17.40 16.00 14.75 12.55 12.20 11.60 11.50 11.20 10.65 8.50 6.15 5.20 3.25 2.25 1.70 46 50.80 46.15 48.65 46.45 44.15 41.90 40.45 38.60 37.05 38.30 39.55 40.90 35.55 34.55 33.65 32.80 31.55 31.55 29.90 28.65 26.90 24.50 23.20 21.25 19.75 18.35 17.10 14.90 14.55 13.95 13.85 13.55 13.00 10.85 8.50 7.55 5.60 4.60 4.05 2.35 47 52.45 47.80 50.30 48.15 45.80 43.60 42.15 40.30 38.75 40.00 41.25 42.55 37.25 36.20 35.35 34.50 33.25 33.25 31.60 30.35 28.60 26.20 24.85 22.95 21.40 20.05 18.80 16.60 16.25 15.65 15.55 15.20 14.70 12.55 10.20 9.20 7.30 6.30 5.75 4.05 1.70 48 54.15 49.50 52.00 49.85 47.50 45.25 43.85 42.00 40.45 41.70 42.90 44.25 38.90 37.90 37.05 36.15 34.95 34.95 33.30 32.05 30.30 27.90 26.55 24.65 23.10 21.75 20.45 18.25 17.95 17.35 17.20 16.90 16.40 14.25 11.90 10.90 9.00 8.00 7.40 5.75 3.40 1.70 48A 56.40 51.75 54.25 52.10 49.80 47.55 46.10 44.25 42.70 43.95 45.20 46.50 41.20 40.15 39.30 38.45 37.20 37.20 35.55 34.30 32.55 30.15 28.85 26.90 25.40 24.00 22.75 20.55 20.20 19.60 19.50 19.15 18.65 16.50 14.15 13.15 11.25 10.25 9.70 8.00 5.65 4.00 2.30 49 56.85 52.20 54.70 52.55 50.25 48.00 46.55 44.70 43.15 44.40 45.65 46.95 41.65 40.60 39.75 38.90 37.65 37.65 36.00 34.75 33.00 30.60 29.30 27.35 25.85 24.45 23.20 21.00 20.65 20.05 19.95 19.60 19.10 16.95 14.60 13.60 11.70 10.70 10.15 8.45 6.10 4.45 2.75 0.45 Appendix Y2 Page 16 New York State Thruway Toll Schedule Class 5H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 5.85 0.00 16X 3.50 Class 5H 17 9.00 2.60 6.10 3.15 18 12.05 5.60 9.10 6.20 3.05 19 14.00 7.55 11.05 8.15 5.00 1.95 20 16.45 10.05 13.55 10.65 7.50 4.45 2.50 21 18.55 12.15 15.65 12.70 9.60 6.55 4.60 2.10 23.85 17.45 20.95 18.00 14.85 11.85 9.90 7.40 5.30 B1 25.55 19.10 22.60 19.70 16.55 13.50 11.55 9.10 7.00 1.70 B2 27.35 20.95 24.45 21.50 18.35 15.35 13.40 10.90 8.80 3.50 1.85 B3 20.60 14.20 17.70 14.75 11.65 8.60 6.65 4.15 2.05 3.80 5.45 7.25 22 22.00 15.60 19.10 16.15 13.00 10.00 8.05 5.55 3.45 5.15 6.85 8.65 1.40 23 23.15 16.75 20.25 17.30 14.20 11.15 9.20 6.70 4.60 6.35 8.00 9.80 2.55 1.20 24 24.35 17.95 21.45 18.50 15.35 12.35 10.40 7.90 5.80 7.50 9.20 11.00 3.75 2.35 1.20 23.15 16.75 20.25 17.30 14.20 11.15 9.20 6.70 4.60 6.35 8.00 9.80 2.55 1.20 0.00 0.00 26.00 19.60 23.10 20.15 17.00 14.00 12.05 9.55 7.45 9.15 10.85 12.65 5.40 4.05 2.85 1.70 0.00 26 28.25 21.85 25.35 22.40 19.25 16.25 14.30 11.80 9.70 11.40 13.10 14.90 7.65 6.25 5.10 3.90 2.25 2.25 29.95 23.50 27.00 24.10 20.95 17.90 15.95 13.50 11.40 13.10 14.75 16.60 9.35 7.95 6.80 5.60 3.95 3.95 1.70 28 32.30 25.85 29.35 26.45 23.30 20.25 18.30 15.85 13.75 15.45 17.10 18.95 11.70 10.30 9.15 7.95 6.30 6.30 4.05 2.40 29 35.55 29.15 32.65 29.70 26.55 23.55 21.60 19.10 17.00 18.70 20.40 22.20 14.95 13.55 12.40 11.20 9.55 9.55 7.30 5.65 3.30 Vehicles with five axles and a height of 7'6" or more 21B 25 25A 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.60 56 1.35 0.75 57 3.05 2.45 1.75 57A 5.15 4.60 3.85 2.15 58 7.55 7.00 6.25 4.55 2.45 59 10.95 10.40 9.65 7.95 5.85 3.45 60 13.15 12.55 11.80 10.10 8.00 5.60 2.20 37.35 30.90 34.40 31.50 28.35 25.30 23.35 20.90 18.80 20.50 22.15 24.00 16.75 15.35 14.20 13.00 11.35 11.35 9.10 7.40 5.05 1.80 30 39.90 33.50 37.00 34.05 30.95 27.90 25.95 23.45 21.35 23.10 24.75 26.55 19.30 17.95 16.75 15.60 13.95 13.95 11.70 10.00 7.65 4.40 2.60 31 42.00 35.60 39.10 36.15 33.00 30.00 28.05 25.55 23.45 25.15 26.85 28.65 21.40 20.00 18.85 17.65 16.00 16.00 13.80 12.10 9.75 6.50 4.70 2.10 32 43.85 37.40 40.90 38.00 34.85 31.80 29.90 27.40 25.30 27.00 28.65 30.50 23.25 21.85 20.70 19.50 17.85 17.85 15.60 13.95 11.60 8.30 6.55 3.95 1.85 33 45.55 39.15 42.65 39.70 36.60 33.55 31.60 29.10 27.00 28.75 30.40 32.20 24.95 23.60 22.40 21.25 19.60 19.60 17.35 15.65 13.30 10.05 8.25 5.65 3.60 1.75 34 48.55 42.15 45.65 42.70 39.55 36.55 34.60 32.10 30.00 31.70 33.40 35.20 27.95 26.55 25.40 24.20 22.55 22.55 20.30 18.65 16.30 13.00 11.25 8.65 6.55 4.75 3.00 34A 49.00 42.60 46.10 43.15 40.00 37.00 35.05 32.55 30.45 32.15 33.85 35.65 28.40 27.05 25.85 24.70 23.05 23.05 20.80 19.10 16.75 13.50 11.70 9.10 7.05 5.20 3.45 0.60 35 49.80 43.40 46.90 43.95 40.80 37.80 35.85 33.35 31.25 32.95 34.65 36.45 29.20 27.80 26.65 25.45 23.80 23.80 21.55 19.90 17.55 14.30 12.50 9.90 7.80 6.00 4.25 1.30 0.80 36 49.95 43.55 47.05 44.10 41.00 37.95 36.00 33.50 31.40 33.10 34.80 36.60 29.35 28.00 26.80 25.65 24.00 24.00 21.75 20.05 17.70 14.45 12.65 10.05 8.00 6.15 4.40 1.45 1.00 0.60 37 50.40 44.00 47.50 44.55 41.40 38.40 36.45 33.95 31.85 33.55 35.25 37.05 29.80 28.40 27.25 26.05 24.40 24.40 22.15 20.50 18.15 14.85 13.10 10.50 8.40 6.60 4.85 1.85 1.40 0.60 0.60 38 51.10 44.70 48.20 45.25 42.10 39.10 37.15 34.65 32.55 34.25 35.95 37.75 30.50 29.10 27.95 26.75 25.10 25.10 22.90 21.20 18.85 15.60 13.80 11.20 9.10 7.30 5.55 2.60 2.10 1.30 1.15 0.75 39 54.00 47.55 51.05 48.15 45.00 41.95 40.00 37.55 35.45 37.15 38.80 40.65 33.40 32.00 30.85 29.65 28.00 28.00 25.75 24.05 21.70 18.45 16.70 14.10 12.00 10.15 8.45 5.45 5.00 4.20 4.05 3.60 2.90 40 57.20 50.75 54.25 51.35 48.20 45.15 43.20 40.75 38.65 40.35 42.00 43.85 36.60 35.20 34.05 32.85 31.20 31.20 28.95 27.25 24.90 21.65 19.85 17.30 15.20 13.35 11.65 8.65 8.20 7.40 7.25 6.80 6.10 3.20 41 58.50 52.10 55.60 52.65 49.50 46.50 44.55 42.05 39.95 41.65 43.35 45.15 37.90 36.50 35.35 34.20 32.50 32.50 30.30 28.60 26.25 23.00 21.20 18.60 16.55 14.70 12.95 10.00 9.50 8.75 8.55 8.15 7.45 4.55 1.35 42 61.05 54.65 58.15 55.20 52.10 49.05 47.10 44.60 42.50 44.25 45.90 47.70 40.45 39.10 37.90 36.75 35.10 35.10 32.85 31.15 28.80 25.55 23.75 21.15 19.10 17.25 15.55 12.55 12.10 11.30 11.15 10.70 10.00 7.10 3.90 2.60 43 62.45 56.05 59.55 56.60 53.45 50.45 48.50 46.00 43.90 45.60 47.30 49.10 41.85 40.45 39.30 38.10 36.45 36.45 34.25 32.55 30.20 26.95 25.15 22.55 20.50 18.65 16.90 13.95 13.45 12.70 12.50 12.10 11.40 8.50 5.30 3.95 1.40 44 63.20 56.80 60.30 57.35 54.20 51.20 49.25 46.75 44.65 46.35 48.05 49.85 42.60 41.25 40.05 38.90 37.25 37.25 35.00 33.30 30.95 27.70 25.90 23.30 21.25 19.40 17.65 14.70 14.25 13.45 13.25 12.85 12.15 9.25 6.05 4.75 2.15 0.80 45 65.45 59.05 62.55 59.60 56.50 53.45 51.50 49.00 46.90 48.65 50.30 52.10 44.85 43.50 42.30 41.15 39.50 39.50 37.25 35.55 33.20 29.95 28.15 25.55 23.50 21.65 19.90 16.95 16.50 15.70 15.55 15.10 14.40 11.50 8.30 7.00 4.40 3.05 2.30 46 68.65 62.25 65.75 62.80 59.65 56.65 54.70 52.20 50.10 51.80 53.50 55.30 48.05 46.65 45.50 44.30 42.65 42.65 40.40 38.75 36.40 33.10 31.35 28.75 26.65 24.85 23.10 20.10 19.65 18.85 18.70 18.30 17.55 14.70 11.50 10.15 7.60 6.20 5.45 3.20 47 70.90 64.50 68.00 65.05 61.95 58.90 56.95 54.45 52.35 54.10 55.75 57.55 50.30 48.95 47.75 46.60 44.95 44.95 42.70 41.00 38.65 35.40 33.60 31.00 28.95 27.10 25.40 22.40 21.95 21.15 21.00 20.55 19.85 16.95 13.75 12.45 9.90 8.50 7.75 5.50 2.30 48 73.20 66.80 70.30 67.35 64.20 61.20 59.25 56.75 54.65 56.35 58.05 59.85 52.60 51.25 50.05 48.90 47.25 47.25 45.00 43.30 40.95 37.70 35.90 33.30 31.25 29.40 27.65 24.70 24.25 23.45 23.25 22.85 22.15 19.25 16.05 14.75 12.15 10.80 10.00 7.75 4.60 2.30 48A 76.25 69.85 73.35 70.40 67.30 64.25 62.30 59.80 57.70 59.45 61.10 62.90 55.65 54.30 53.10 51.95 50.30 50.30 48.05 46.35 44.00 40.75 38.95 36.35 34.30 32.45 30.75 27.75 27.30 26.50 26.35 25.90 25.20 22.30 19.10 17.80 15.20 13.85 13.10 10.85 7.65 5.35 3.10 49 76.85 70.45 73.95 71.05 67.90 64.85 62.90 60.45 58.35 60.05 61.70 63.55 56.30 54.90 53.75 52.55 50.90 50.90 48.65 46.95 44.60 41.35 39.55 37.00 34.90 33.05 31.35 28.35 27.90 27.10 26.95 26.50 25.80 22.90 19.70 18.40 15.85 14.45 13.70 11.45 8.25 6.00 3.70 0.65 Appendix Y2 Page 17 New York State Thruway Toll Schedule Class 6H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 7.25 0.00 16X 11.15 3.30 7.55 3.90 18 14.90 7.05 11.30 7.65 3.80 19 17.35 9.45 13.70 10.10 6.20 2.45 20 20.40 12.55 16.80 13.15 9.30 5.55 3.10 23.00 15.15 19.40 15.75 11.90 8.15 5.70 2.60 29.50 21.65 25.90 22.25 18.35 14.60 12.20 9.10 6.50 B1 31.55 23.70 27.95 24.35 20.45 16.70 14.25 11.20 8.60 2.10 B2 33.80 25.95 30.20 26.55 22.70 18.95 16.50 13.45 10.80 4.35 2.25 25.55 17.70 21.95 18.30 14.40 10.65 8.25 5.15 2.55 4.60 6.70 8.95 22 27.25 19.40 23.65 20.00 16.15 12.40 9.95 6.85 4.25 6.30 8.40 10.65 1.75 23 28.70 20.85 25.10 21.45 17.60 13.85 11.40 8.35 5.75 7.75 9.85 12.10 3.20 1.50 24 30.20 22.30 26.55 22.95 19.05 15.30 12.85 9.80 7.20 9.25 11.30 13.55 4.65 2.95 1.50 28.70 20.85 25.10 21.45 17.60 13.85 11.40 8.35 5.75 7.75 9.85 12.10 3.20 1.50 0.00 0.00 25A 32.25 24.35 28.60 25.00 21.10 17.35 14.95 11.85 9.25 11.30 13.35 15.60 6.70 5.00 3.55 2.05 0.00 35.00 27.15 31.40 27.75 23.85 20.10 17.70 14.60 12.00 14.05 16.15 18.40 9.45 7.75 6.30 4.85 2.80 2.80 37.10 29.25 33.50 29.85 25.95 22.20 19.80 16.70 14.10 16.15 18.25 20.50 11.55 9.85 8.40 6.95 4.90 4.90 2.10 28 40.00 32.15 36.40 32.75 28.90 25.15 22.70 19.65 17.05 19.05 21.15 23.40 14.50 12.80 11.30 9.85 7.80 7.80 5.05 2.95 29 44.05 36.20 40.45 36.80 32.90 29.15 26.75 23.65 21.05 23.10 25.20 27.45 18.50 16.80 15.35 13.90 11.85 11.85 9.05 7.00 4.05 4.25 Class 6H 17 Vehicles with six axles and a height of 7'6" or more 21 21B B3 25 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.75 56 1.65 0.95 57 3.80 3.05 2.15 57A 6.40 5.65 4.75 2.65 58 9.40 8.65 7.75 5.60 3.00 59 13.60 12.85 11.95 9.85 7.20 4.25 60 16.30 15.55 14.65 12.50 9.90 6.95 2.70 46.30 38.40 42.65 39.05 35.15 31.40 28.95 25.90 23.30 25.30 27.40 29.65 20.75 19.05 17.60 16.10 14.05 14.05 11.30 9.20 6.30 2.25 30 49.50 41.65 45.90 42.25 38.35 34.60 32.20 29.10 26.50 28.55 30.60 32.85 23.95 22.25 20.80 19.35 17.30 17.30 14.50 12.40 9.50 5.45 3.25 31 52.05 44.20 48.45 44.80 40.95 37.15 34.75 31.65 29.05 31.10 33.20 35.45 26.55 24.80 23.35 21.90 19.85 19.85 17.10 15.00 12.05 8.05 5.80 2.60 32 54.35 46.50 50.75 47.10 43.20 39.45 37.05 33.95 31.35 33.40 35.45 37.70 28.80 27.10 25.65 24.20 22.15 22.15 19.35 17.25 14.35 10.30 8.10 4.90 2.30 33 56.50 48.65 52.90 49.25 45.35 41.60 39.20 36.10 33.50 35.55 37.60 39.85 30.95 29.25 27.80 26.35 24.30 24.30 21.50 19.40 16.50 12.45 10.25 7.05 4.45 2.15 34 60.20 52.30 56.55 52.95 49.05 45.30 42.85 39.80 37.20 39.25 41.30 43.55 34.65 32.95 31.50 30.00 27.95 27.95 25.20 23.10 20.20 16.15 13.95 10.70 8.15 5.85 3.70 34A 60.75 52.90 57.15 53.50 49.60 45.85 43.45 40.35 37.75 39.80 41.90 44.15 35.20 33.50 32.05 30.60 28.55 28.55 25.75 23.65 20.75 16.70 14.50 11.30 8.70 6.45 4.30 0.75 35 61.75 53.90 58.15 54.50 50.60 46.85 44.45 41.35 38.75 40.80 42.85 45.10 36.20 34.50 33.05 31.60 29.55 29.55 26.75 24.65 21.75 17.70 15.50 12.25 9.70 7.40 5.25 1.60 1.00 36 61.95 54.10 58.35 54.70 50.80 47.05 44.65 41.55 38.95 41.00 43.05 45.30 36.40 34.70 33.25 31.80 29.75 29.75 26.95 24.85 21.95 17.90 15.70 12.45 9.90 7.60 5.45 1.80 1.20 0.75 37 62.45 54.60 58.85 55.20 51.35 47.60 45.15 42.10 39.50 41.50 43.60 45.85 36.95 35.20 33.75 32.30 30.25 30.25 27.50 25.40 22.45 18.45 16.20 13.00 10.45 8.15 6.00 2.30 1.75 0.75 0.75 38 63.35 55.50 59.75 56.10 52.20 48.45 46.05 42.95 40.35 42.40 44.45 46.70 37.80 36.10 34.65 33.20 31.15 31.15 28.35 26.25 23.35 19.30 17.10 13.90 11.30 9.00 6.85 3.20 2.60 1.65 1.45 0.90 39 66.95 59.05 63.30 59.70 55.80 52.05 49.60 46.55 43.95 45.95 48.05 50.30 41.40 39.70 38.25 36.75 34.70 34.70 31.95 29.85 26.95 22.90 20.65 17.45 14.90 12.60 10.45 6.75 6.20 5.20 5.00 4.50 3.60 40 70.90 63.05 67.30 63.65 59.75 56.00 53.60 50.50 47.90 49.95 52.00 54.25 45.35 43.65 42.20 40.75 38.70 38.70 35.90 33.80 30.90 26.85 24.65 21.40 18.85 16.55 14.40 10.75 10.15 9.20 8.95 8.45 7.55 4.00 41 72.55 64.65 68.90 65.30 61.40 57.65 55.20 52.15 49.55 51.55 53.65 55.90 47.00 45.30 43.85 42.35 40.30 40.30 37.55 35.45 32.55 28.50 26.25 23.05 20.50 18.20 16.05 12.35 11.80 10.80 10.60 10.10 9.20 5.60 1.65 42 75.70 67.85 72.10 68.45 64.60 60.85 58.40 55.30 52.70 54.75 56.85 59.10 50.20 48.45 47.00 45.55 43.50 43.50 40.75 38.65 35.70 31.70 29.45 26.25 23.70 21.40 19.25 15.55 15.00 14.00 13.80 13.25 12.40 8.80 4.85 3.20 43 77.40 69.55 73.80 70.15 66.30 62.55 60.10 57.05 54.45 56.45 58.55 60.80 51.90 50.20 48.70 47.25 45.20 45.20 42.45 40.35 37.40 33.40 31.15 27.95 25.40 23.10 20.95 17.25 16.70 15.70 15.50 15.00 14.10 10.50 6.55 4.90 1.75 44 78.35 70.50 74.75 71.10 67.25 63.50 61.05 57.95 55.35 57.40 59.50 61.75 52.85 51.10 49.65 48.20 46.15 46.15 43.40 41.30 38.35 34.35 32.10 28.90 26.35 24.05 21.90 18.20 17.65 16.65 16.45 15.90 15.05 11.45 7.50 5.85 2.65 0.95 45 81.15 73.30 77.55 73.90 70.05 66.25 63.85 60.75 58.15 60.20 62.30 64.55 55.65 53.90 52.45 51.00 48.95 48.95 46.20 44.10 41.15 37.15 34.90 31.70 29.10 26.85 24.70 21.00 20.45 19.45 19.25 18.70 17.85 14.25 10.30 8.65 5.45 3.75 2.80 46 85.10 77.25 81.50 77.85 73.95 70.20 67.80 64.70 62.10 64.15 66.25 68.50 59.55 57.85 56.40 54.95 52.90 52.90 50.10 48.00 45.10 41.05 38.85 35.65 33.05 30.80 28.65 24.95 24.35 23.40 23.20 22.65 21.80 18.20 14.25 12.60 9.40 7.70 6.75 3.95 47 87.95 80.05 84.30 80.70 76.80 73.05 70.65 67.55 64.95 67.00 69.05 71.30 62.40 60.70 59.25 57.80 55.75 55.75 52.95 50.85 47.95 43.90 41.70 38.45 35.90 33.60 31.45 27.80 27.20 26.20 26.00 25.50 24.60 21.05 17.05 15.45 12.25 10.55 9.60 6.80 2.85 48 90.75 82.90 87.15 83.50 79.65 75.85 73.45 70.35 67.75 69.80 71.90 74.15 65.25 63.50 62.05 60.60 58.55 58.55 55.80 53.70 50.75 46.75 44.50 41.30 38.70 36.45 34.30 30.60 30.05 29.05 28.85 28.30 27.45 23.85 19.90 18.25 15.05 13.35 12.40 9.60 5.70 2.85 48A 94.55 86.70 90.95 87.30 83.45 79.65 77.25 74.15 71.55 73.60 75.70 77.95 69.05 67.30 65.85 64.40 62.35 62.35 59.60 57.50 54.55 50.55 48.30 45.10 42.55 40.25 38.10 34.40 33.85 32.85 32.65 32.10 31.25 27.65 23.70 22.05 18.85 17.15 16.20 13.40 9.50 6.65 3.80 49 95.30 87.45 91.70 88.05 84.20 80.40 78.00 74.90 72.30 74.35 76.45 78.70 69.80 68.05 66.60 65.15 63.10 63.10 60.35 58.25 55.30 51.30 49.05 45.85 43.30 41.00 38.85 35.15 34.60 33.60 33.40 32.85 32.00 28.40 24.45 22.80 19.60 17.90 16.95 14.15 10.25 7.40 4.55 0.75 Appendix Y2 Page 18 New York State Thruway Toll Schedule Class 7H - Cash No. 17 18 19 20 21 21B B1 B2 B3 22 23 24 25 25A 26 27 28 29 29A 30 31 32 33 34 34A 35 36 37 38 39 40 41 42 43 44 45 46 47 48 48A 49 50 Interchange Newburgh I-84 New Paltz Kingston Saugerties Catskill Coxsackie Hudson-Renss. I-90 Taconic Parkway Canaan Selkirk Albany (Downtown) Albany Schenectady E. Schenectady I-88 Schenectady W. Amsterdam Fultonville Canajoharie Little Falls Herkimer Utica Westmoreland-Rome Verona-Rome Canastota Syracuse I-481 Syracuse E. Syracuse I-81 Electronics Parkway Syracuse - Liverpool Syracuse W. I-690 Weedsport Waterloo Geneva Manchester Canandaigua Rochester E. I-490 Rochester I-390 Leroy I-490 Batavia Pembroke Depew Buffalo I-290 15 16E 8.65 0.00 16X 13.30 4.25 9.00 4.65 18 17.80 8.75 13.50 9.15 4.50 20.65 11.60 16.35 12.00 7.40 2.90 20 24.35 15.30 20.05 15.70 11.05 6.60 3.70 27.45 18.40 23.15 18.80 14.15 9.70 6.80 3.15 35.15 26.10 30.85 26.55 21.90 17.40 14.55 10.85 7.75 B1 37.65 28.60 33.35 29.00 24.35 19.90 17.00 13.30 10.20 2.50 B2 40.35 31.30 36.05 31.70 27.05 22.55 19.70 16.00 12.90 5.20 2.70 30.50 21.45 26.20 21.85 17.20 12.75 9.85 6.15 3.05 5.50 7.95 10.65 22 32.55 23.50 28.25 23.90 19.25 14.75 11.90 8.20 5.10 7.50 10.00 12.70 2.05 23 34.25 25.20 29.95 25.60 21.00 16.50 13.60 9.95 6.85 9.25 11.75 14.40 3.80 1.75 24 36.00 26.95 31.70 27.35 22.70 18.25 15.35 11.65 8.55 11.00 13.45 16.15 5.55 3.50 1.75 25 34.25 25.20 29.95 25.60 21.00 16.50 13.60 9.95 6.85 9.25 11.75 14.40 3.80 1.75 0.00 0.00 38.45 29.40 34.15 29.80 25.15 20.70 17.80 14.10 11.00 13.45 15.90 18.60 8.00 5.95 4.20 2.45 41.75 32.70 37.45 33.10 28.50 24.00 21.10 17.45 14.35 16.75 19.25 21.90 11.30 9.25 7.50 5.80 3.35 3.35 44.25 35.20 39.95 35.60 31.00 26.50 23.60 19.95 16.85 19.25 21.75 24.40 13.80 11.75 10.05 8.30 5.85 5.85 2.55 28 47.75 38.70 43.45 39.10 34.45 30.00 27.10 23.40 20.30 22.75 25.20 27.90 17.30 15.25 13.50 11.75 9.30 9.30 6.00 3.50 29 52.55 43.50 48.25 43.90 39.30 34.80 31.90 28.25 25.15 27.55 30.05 32.70 22.10 20.05 18.30 16.60 14.15 14.15 10.80 8.30 4.85 4.75 Class 7H 17 Vehicles with seven or more axles and a height of 7'6" or more 19 21 21B B3 25A 0.00 26 27 No. 56 57 57A 58 59 60 61 29A Erie Section Interchanges Blasdell Hamburg Eden-Angola Silver Creek Dunkirk-Fredonia Westfield Ripley 55 0.90 56 2.00 1.10 57 4.50 3.65 2.55 7.65 6.75 5.65 3.15 58 11.20 10.30 9.20 6.70 3.60 59 16.20 15.35 14.25 11.75 8.60 5.05 60 19.40 18.55 17.45 14.95 11.80 8.25 3.25 55.20 46.15 50.90 46.55 41.90 37.45 34.55 30.90 27.80 30.20 32.70 35.35 24.75 22.70 20.95 19.25 16.80 16.80 13.45 10.95 7.50 2.65 30 59.05 50.00 54.75 50.40 45.75 41.30 38.40 34.70 31.60 34.05 36.50 39.20 28.60 26.55 24.80 23.05 20.60 20.60 17.30 14.80 11.30 6.50 3.85 31 62.10 53.05 57.80 53.45 48.85 44.35 41.45 37.80 34.70 37.10 39.60 42.25 31.65 29.60 27.85 26.15 23.70 23.70 20.35 17.85 14.40 9.55 6.95 3.10 32 64.85 55.80 60.55 56.20 51.55 47.05 44.20 40.50 37.40 39.85 42.30 45.00 34.35 32.35 30.60 28.85 26.40 26.40 23.10 20.60 17.10 12.30 9.65 5.80 2.75 33 67.40 58.35 63.10 58.75 54.10 49.65 46.75 43.05 39.95 42.40 44.85 47.55 36.95 34.90 33.15 31.40 28.95 28.95 25.65 23.15 19.70 14.85 12.20 8.40 5.30 2.60 34 71.80 62.75 67.50 63.15 58.50 54.05 51.15 47.45 44.35 46.80 49.25 51.95 41.35 39.30 37.55 35.80 33.35 33.35 30.05 27.55 24.10 19.25 16.60 12.80 9.70 7.00 4.40 34A 72.50 63.45 68.20 63.85 59.20 54.70 51.85 48.15 45.05 47.45 49.95 52.65 42.00 40.00 38.25 36.50 34.05 34.05 30.75 28.25 24.75 19.95 17.30 13.45 10.40 7.65 5.10 0.90 35 73.65 64.60 69.35 65.00 60.35 55.90 53.00 49.30 46.20 48.65 51.10 53.80 43.20 41.15 39.40 37.65 35.20 35.20 31.90 29.40 25.95 21.10 18.45 14.65 11.55 8.85 6.25 1.90 1.20 36 73.90 64.85 69.60 65.25 60.60 56.15 53.25 49.55 46.45 48.90 51.35 54.05 43.45 41.40 39.65 37.90 35.45 35.45 32.15 29.65 26.20 21.35 18.70 14.90 11.80 9.10 6.50 2.15 1.45 0.90 37 74.55 65.50 70.25 65.90 61.25 56.75 53.90 50.20 47.10 49.50 52.00 54.70 44.05 42.00 40.30 38.55 36.10 36.10 32.80 30.30 26.80 22.00 19.35 15.50 12.45 9.70 7.15 2.75 2.05 0.90 0.90 38 75.55 66.50 71.25 66.95 62.30 57.80 54.95 51.25 48.15 50.55 53.05 55.70 45.10 43.05 41.35 39.60 37.15 37.15 33.85 31.35 27.85 23.05 20.40 16.55 13.50 10.75 8.20 3.80 3.10 1.95 1.70 1.05 39 79.85 70.80 75.55 71.20 66.55 62.10 59.20 55.50 52.40 54.85 57.30 60.00 49.40 47.35 45.60 43.85 41.40 41.40 38.10 35.60 32.15 27.30 24.65 20.85 17.75 15.05 12.45 8.10 7.40 6.20 5.95 5.35 4.30 40 84.60 75.55 80.30 75.95 71.30 66.80 63.95 60.25 57.15 59.55 62.05 64.75 54.10 52.05 50.35 48.60 46.15 46.15 42.85 40.35 36.85 32.05 29.40 25.55 22.50 19.75 17.20 12.80 12.10 10.95 10.70 10.05 9.05 4.75 41 86.55 77.50 82.25 77.90 73.25 68.75 65.90 62.20 59.10 61.50 64.00 66.70 56.05 54.00 52.30 50.55 48.10 48.10 44.80 42.30 38.80 34.00 31.35 27.50 24.45 21.70 19.15 14.75 14.05 12.90 12.65 12.00 11.00 6.70 1.95 42 90.35 81.30 86.05 81.70 77.05 72.55 69.70 66.00 62.90 65.30 67.80 70.50 59.85 57.85 56.10 54.35 51.90 51.90 48.60 46.10 42.60 37.80 35.15 31.30 28.25 25.50 22.95 18.55 17.90 16.70 16.45 15.85 14.80 10.50 5.80 3.85 43 92.35 83.30 88.05 83.70 79.10 74.60 71.70 68.05 64.95 67.35 69.85 72.50 61.90 59.85 58.15 56.40 53.95 53.95 50.65 48.15 44.65 39.85 37.20 33.35 30.30 27.55 25.00 20.60 19.90 18.75 18.50 17.85 16.80 12.55 7.80 5.85 2.05 44 93.50 84.45 89.20 84.85 80.20 75.75 72.85 69.15 66.05 68.50 70.95 73.65 63.05 61.00 59.25 57.50 55.05 55.05 51.75 49.25 45.75 40.95 38.30 34.45 31.40 28.70 26.10 21.70 21.05 19.85 19.60 19.00 17.95 13.65 8.95 7.00 3.20 1.15 57A 45 96.85 87.80 92.55 88.20 83.55 79.05 76.20 72.50 69.40 71.80 74.30 77.00 66.35 64.35 62.60 60.85 58.40 58.40 55.10 52.60 49.10 44.30 41.65 37.80 34.75 32.00 29.45 25.05 24.40 23.20 22.95 22.35 21.30 17.00 12.30 10.35 6.50 4.50 3.35 46 101.55 92.50 97.25 92.90 88.25 83.75 80.90 77.20 74.10 76.50 79.00 81.70 71.05 69.05 67.30 65.55 63.10 63.10 59.80 57.30 53.80 49.00 46.35 42.50 39.45 36.70 34.15 29.75 29.10 27.90 27.65 27.05 26.00 21.70 17.00 15.05 11.20 9.20 8.05 4.70 47 104.90 95.85 100.60 96.25 91.60 87.15 84.25 80.60 77.45 79.90 82.40 85.05 74.45 72.40 70.65 68.95 66.50 66.50 63.15 60.65 57.20 52.35 49.70 45.90 42.80 40.10 37.55 33.15 32.45 31.30 31.05 30.40 29.35 25.10 20.35 18.40 14.60 12.55 11.45 8.10 3.40 48 108.30 99.25 104.00 99.65 95.00 90.50 87.65 83.95 80.85 83.30 85.75 88.45 77.80 75.80 74.05 72.30 69.85 69.85 66.55 64.05 60.55 55.75 53.10 49.25 46.20 43.50 40.90 36.50 35.85 34.65 34.40 33.80 32.75 28.45 23.75 21.80 18.00 15.95 14.80 11.50 6.80 3.40 48A 112.80 103.75 108.50 104.15 99.55 95.05 92.20 88.50 85.40 87.80 90.30 92.95 82.35 80.30 78.60 76.85 74.40 74.40 71.10 68.60 65.10 60.30 57.65 53.80 50.75 48.00 45.45 41.05 40.35 39.20 38.95 38.30 37.25 33.00 28.25 26.30 22.50 20.50 19.35 16.00 11.30 7.95 4.55 49 113.70 104.65 109.40 105.05 100.45 95.95 93.05 89.40 86.30 88.70 91.20 93.85 83.25 81.20 79.50 77.75 75.30 75.30 72.00 69.45 66.00 61.20 58.55 54.70 51.65 48.90 46.35 41.95 41.25 40.10 39.85 39.20 38.15 33.90 29.15 27.20 23.40 21.35 20.25 16.90 12.20 8.85 5.45 0.90 Appendix Y2 Page 19 2 Broadway Michael C. Ascher New York. NY 10004 President 646-252-7000 Tel 646-252-7902 TTY Bridges and Tunnels Addendum No.1 PSC-05-2741 E-ZPass New York Customer Service Center Services Question 1 Please provide soft copies in MS Word of the following forms so that they may be completed in an electronic format. Pricing Matrix Vendor Responsibility Questionnaire AA2 AA3 TS-4 Supplement AA4 Contractor Disclosure of Contacts Form BBQ Contractor Disclosure of Prior Non?Responsibility BB3 SD20 NYS Taxation Finance Contractor Certification BB4 Prohibition of Inappropriate Lobbying Dec 2004 BB5 MBE-WBE Forms Answer I Of the requested forms. only the following forms are available in non-pdf format, which are attached hereto in their available format(s) (either Excel or MS Word): 2 Pricing Matrix Vendor Responsibility Questionnaire AA2 TS-4 AA3 Supplement AA4 TS-6 BBS MBE-WBE Forms (note that these forms are amended from the version released with the initial RFP) MTA Bridges and Tunnels (legal name, Triborough Bridge and Tunnel Authority) is an agency of the Metropolitan Transportation Authority. State of New York. Peter S. Kalikow. Chairman Addendum 1 (Cont?d) Question 2 Is Appendix a complete listing of all current subcontracts 3" party support agreements in place? If not, can that be provided? Answer 2 Appendix provides information on agreements that the Authorities have with vendors, other than the contractor currently operating the to provide E-ZPass related services to the Authorities. Appendix does not provide information relative to any subcontracts that the contractor currently operating the may have entered into, nor will that information be provided. Question 3 Please provide a break-out (by of the heads/staf?ng (both temporary and permanent) in each facility (and total of heads for the existing operation contacts). Answer 3 Please refer to Attachment A for staf?ng information. Question 4 What is the current price being paid under the existing operation contract(s)? Answer 4 For calendar year 2004, NYSTA, TBTA and PANYNJ collectively paid $57,082,024 for the operation of the (note that NYSBA costs are included as part of the NYSTA contract). Question 5 Are banking costs/fees (credit card, ACH, check cashing, lock box, bank accounts, armored car services, etc.) to be included in Phase 2/3 pricing or will these costs be handled as a pass- through back to the Authorities? Answer 5 Lock box and armored car services costs should be included in each Proposer?s Phase 2/3 pricing for the appropriate price unit and category. Credit card, ACH, check cashing, and bank account fees will be paid directly by the Authorities and should not be included in the PrOposers? Phase 2/3 pricings. Page 2 of 5 Addendum 1 (Cont?d) Question 6 Should the costs for hardware maintenance/repair (equipment replacement, equipment repair, spares replenishment, etc.) be included in Phase 213 pricing or will these costs be handled as a pass?through back to the Authorities (or under a separate hardware maintenance agreement)? Answer 6 The costs for hardware maintenance/repair (equipment replacement, equipment repair, spares replenishment, etc.) should be included in each Proposer?s Phase 2/3 pricing. Question 7 The ?hours of operation? are listed in Appendix but, it is unclear if the back-of?celcall-in center needs to be open from 7am -7pm and Sam-12pm Saturday. What are the expected hours of operation for the back-office/call-in center? Answer 7 The first row in Appendix identi?es the required call-in center hours of operation. A Proposer?s back of?ce hours of operation should be based on the Proposer's plan to meet all the performance requirements set forth in the RFP. The hours of operation for system processing are addressed in Section 2.3.3.1, as follows: ?The Contractor shall provide data processing system operations 24 hours a day, seven days a week, excluding any pre-approved scheduled maintenance.? Question 8 Does Appendix identify the total number of walk-in centers required under the contract? mm Yes, Appendix includes the total number of walk-in centers required under the coutract. Question 9 In Appendix 2, page 2 of 3, for each item/unit 5 boxes are provided for pricing inputs. What should be entered in each of these boxes? Answer 9 Proposers must enter unit prices only in the ?rst four boxes in each row of the matrix. Please refer to Footnote 2 in Appendix for an explanation of why there is no need to ?ll in the ?fth box. Each box ?lled in should contain the proposed price per unit, with the specific units listed on the left side of Page 2 of Appendix Z. Page 3 of 5 PSC-05-2741 Addendum 1 (Cont?d) Question 10 Should the postage costs for tag distribution be included in the phase 213 pricing or will these costs be handled as a pass-through back to the Authorities? Ansx?l? Proposers should factor current postage rates into all applicable Phase 2/3 pricing units/categories for all years. Any incremental postage costs caused by an increase in postage rates in future years will be treated as a direct cost pass-through to the Authorities for those year(s) in which the postage rate increases occur. them; Will all the items listed in Appendix be provided to the selected Proposer at no cost? Also, if additional furnishings are required, are those costs the responsibility of the selected Proposer? Answer 11 The items listed in Appendix are the property of the Authorities and will be provided at no cost to the selected Proposer at their current locations at the conclusion of the incumbent contractor's Operations. Any costs associated with relocating these items will be borne by the selected Proposer. Each Proposer must assess all furnishings it will require to operate the in accordance with all of the requirements of the RFP and include all of these costs as a lump sum Phase 1 or 2 price and/or a Phase 2/3 unit price. Question 12 Is the selected Proposer required to pay all communication costs (Tls, 800#s, IVR, standard phone lines)? If so, can the Authorities provide a list of the types and quantities of communication lines including standard phone lines, etc in each facility and total of lines for the existing operation contracts? ME The selected Proposer is required to pay all communication costs. The current contractor has fourteen (14) T-l lines, which equates to 336 trunk lines for the call-in center. Proposers should include in their proposals sufficient communication lines to meet all of the requirements of the RFP. Page 4 of5 Addendum 1 (Cont?d) ue 1 Will the selected Proposer be required to use Chase Merchant Services for credit card processing? If so, is this cost a pass?through item? Answer 13 Currently, all Authorities have agreements in place with Chase Merchant Services for credit card processing, which are anticipated to continue after the new contract is in place. Therefore, all proposals must re?ect this business model. However, Proposers are encouraged to submit alternative proposals with different solutions for credit card processing if they believe they can demonstrate that such alternatives would be bene?cial to the Authorities. As noted in Answer 5, credit card processing fees are paid directly by the Authorities. Additional Information for Proposers 1) Replace Appendix BBS with the attached Revised Appendix BB5. 2) Replace the Appendix AA2 with the attached Revised Appendix AAZ (eliminated the duplicate TS-4 Supplement). Please ?nd attached a copy of the attendance sheet for the people attending the pro-proposal conference held on July 08, 2005. Please be governed accordingly in the submission of your proposal. Sincerely, 1T ELM Gore E~ZPass New York Customer Service Center Procurement Coordinator Page 5 of 5 Attachment A Staten Island/Spring Valley Processing Center The following functions are performed at these two locations: Staffing Summary Management, Finance, Call Center, Correspondence Processing, Violation Processing, Tag Distribution, Lockbox Filled Positions Permanent Temps Total Program Manager 1 0 1 Managers 1 2 0 1 2 Supervisors 1 8 0 1 8 Work Leader 46 0 46 Customer Service Representatives 155 77 232 21 0 21 Clerks 208 30 238 Total 461 1 07 568 Filled Positions Walk In Centers Permanent Temps Total Staten Island Supervisor 1 1 Workieader 3 3 Cashiers 12 2 14 Total 16 2 1 8 Queens Supervisor 1 0 1 Workleader 3 0 3 Cashiers 12 3 1 5 Total 16 3 1 9 Yonkers Supervisor 0 0 0 Workleader 3 0 3 Cashiers 8 2 1 0 Total 1 1 2 1 3 Spring Valley Supervisor 1 0 1 Workleader 0 0 0 Cashiers 3 1 4 Clerks 4 0 4 Total 8 1 9 Albany Supervisor 1 0 1 Workleader 1 0 1 Cashier 2 0 2 Clerk 1 1 Total 5 0 5 Syracuse Supervisor 1 0 1 Workleader 1 0 1 Cashier 2 1 3 Clerk 1 0 1 Total 5 1 6 BuffaloIGrand Island Supervisor 1 0 1 Workleader 1 1 Cashier 4 2 6 Clerk 1 0 1 Total 7 2 9 Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE 1. VENDOR IS: PRIME CONTRACTOR El SUB-CONTRACTOR 2. LEGAL BUSINESS NAME 3. IDENTIFICATION NUMBERS a) FEIN b) DUNS 4. Doing Business As (if applicable) COUNTY FILED: 5. WEBSITE ADDRESS (if applicable) 6. ADDRESS OF PRIMARY PLACE OF BUSINESSIEXECUTIVE OFFICE 7. TELEPHONE NUMBER 8. FAX NUMBER 9. ADDRESS OF PRIMARY PLACE OF OFFICE 10. TELEPHONE NUMBER 11. FAX NUMBER IN NEW YORK STA TE, if different from above 12. PRIMARY PLACE OF BUSINESS IN NEW YORK STATE IS: 13. AUTHORIZED CONTACT FOR THIS QUESTIONNAIRE Owned El Rented Name If rented, please provide landlord?s name, address, and telephone number below: Title Telephone Number Fax Number e?mail l4. BUSINESS ENTITY IS (please check appropriate box and provide additional information): a) [3 Business Corporation Date of Incorporation State of Incorporation? h) El Sole Proprietor Date Established c) El General Partnership Date Established d) Not-for?Pro?t Corporation Date of Incorporation State of Incorporation* Charities Registration Number e) Limited Liability Company (LLC) Date Established 0 El Limited Liability Partnership Date Established g) El Other - Specify: Date Established Jurisdiction Filed (if applicable) If not incorporated in New York State, please provide a copy of authorization to do business in New York. 15. PRIMARY BUSINESS ACTIVITY - (Please identify the primary business categories, products or services provided by your business) 16. NAME OF COMPENSATION INSURANCE CARRIER: 17. LIST ALL OF THE PRINCIPAL OWNERS AND THE THREE OFFICERS WHO DIRECT THE DAILY OPERATIONS OF THE VENDOR (Attach additional pages if necessary): a) NAME (print) TITLE b) NAME (print) TITLE c) NAME (print) TITLE d) NAME (print) TITLE Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE A DETAILED EXPLANATION IS REQUIRED FOR EACH QUESTION ANSWERED WITH A AND MUST BE PROVIDED AS AN ATTACHMENT TO THE COMPLETED QUESTIONNAIRE. YOU MUST PROVIDE ADEQUATE DETAILS OR DOCUMENTS TO AID THE CONTRACTING AGENCY IN MAKING A DETERMINATION OF VENDOR RESPONSIBILITY. PLEASE NUMBER EACH RESPONSE To MATCH THE QUESTION NUMBER. 18. Is the vendor certi?ed in New York State as a (check please): DMinority Business Enterprise (MBE) DWomen?s Business Enterprise (WBE) [Disadvantaged Business Enterprise Please provide a copy of any of the above certi?cations that apply. Yes 19. Does the vendor use, or has it used in the past ten (10) years, any other Business Name, FEIN, or other than those listed in items 2-4 above? List all other business name(s), Federal Employer Identification Number(s) or any names and the dates that these names or numbers were/are in use. Explain the relationship to the vendor. Yes UNI) 20. Are there any individuals now serving in a managerial or consulting capacity to the vendor, including principal owners and of?cers, who now serve or in the past three (3) years have served as: a) l3) d) An elected or appointed public of?cial or of?cer? List each individual?s name, business title, the name of the organization and position elected or appointed to, and dates of service. A full or part?time employee in the New York State Thruway Authority/Canal Corporation or as a consultant, in their individual capacity, to the List each individual ?s name, business title or consulting capacity and employment position with applicable service dates. If yes to item #20b, did this individual perform services related to the solicitation, negotiation, operation and/or administration of public contracts for the contracting agency? List each individual?s name, business title or consulting capacity and the consulting/advisory position with applicable service dates. List each contract name and assigned contract number. An of?cer of any political party organization in New York State, whether paid or unpaid? List each individual ?s name, business title or consulting capacity and the of?cial political party position held with applicable service dates. Yes Yes El Yes Yes DNO UNO Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE 21. Within the past ?ve (5) years, has the vendor, any individuals serving in managerial or consulting capacity, principal owners, of?cers, major stockholder(s) (10% or more of the voting shares for publicly traded companies, 25% or more of the shares for all other companies), af?liate or any person involved 1n the bidding or contracting process: a) 1. 2. 9. been suspended, debarred or terminated by a local, state or federal authority in connection with a contract or contracting process; been disquali?ed for cause as a bidder on any permit, license, concession franchise or lease; .entered into an agreement to a voluntary exclusion from bidding/contracting; had a bid rejected on a New York State contract for failure to comply with the MacBride Fair Employment Principles; had a low bid rejected on a local, state or federal contract for failure to meet statutory af?rmative action or requirements on a previously held contract; . had status as a Women?s Business Enterprise, Minority Business Enterprise or Disadvantaged Business Enterprise denied, de? certi?ed, revoked or forfeited; . been subject to an administrative proceeding or civil action seeking speci?c performance or restitution in connection with any local, state or federal government contract; been denied an award of a local, state or federal government contract, had a contract suspended or had a contract terminated for non- responsibility; or had a local, state or federal government contract suspended or terminated for cause prior to the completion of the term of the contract? UYes No b) been indicted, convicted, received a judgment against them or a grant of UYES UNO immunity for any business-related conduct constituting a crime under local, state or federal law including but not limited to, fraud, extortion, bribery, racketeering, price-?xing, bid collusion or any crime related to truthfulness and/ or business conduct? c) been issued a citation, notice, violation order, or are pending an administrative hearing or proceeding or determination for violations of: 1. WP 749.?? federal, state or local health laws, rules or regulations, including but not limited to Occupational Safety Health Administration (OSHA) or New York State labor law; state or federal environmental laws; unemployment insurance or workers? compensation coverage or claim requirements; Employee Retirement Income Security Act federal, state or local human rights laws; civil rights laws; federal or state security laws; El Yes No Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE 8. federal Immigration and Naturalization Services (INS) and Alienage laws; 9. state or federal anti-trust laws; or 10. charity or consumer laws? For any of the above, detail the situation(s), the date(s), the name(s), title(s), address(es) of any individuals involved and, if applicable, any contracting agency, specific details related to the situation(s) and any corrective action(s) taken by the vendor. 22. In the past three (3) years, has the vendor or its af?liates1 had any claims, judgments, injunctions, liens, ?nes or penalties secured by any governmental agency? Indicate if this is applicable to the submitting vendor or affiliate. State whether the situation(s) was a claim, judgment, injunction, lien or other with an explanation. Provide the name(s) and address(es) of the agency, the amount of the original obligation and outstanding balance. If any of these items are open, unsatis?ed, indicate the status of each item as ?open or ?unsatis?ed. Yes 23. Has the vendor (for pro?t and not-for pro?t corporations) or its af?liatesl, in the past three (3) years, had any governmental audits that revealed material weaknesses in its system of internal controls, compliance with contractual agreements and/or laws and regulations or any material disallowances? Indicate if this is applicable to the submitting vendor or affiliate. Detail the type of material weakness found or the situation(s) that gave rise to the disallowance, any corrective action taken by the vendor and the name of the auditing agency. El Yes 24. Is the vendor exempt from income taxes under the Internal Revenue Code? Indicate the reason for the exemption and provide a copy of any supporting information. Yes 25. During the past three (3) years, has the vendor failed to: a) ?le returns or pay any applicable federal, state or city taxes? Identify the taxing jurisdiction, type of tax, liability year(s), and tax liability amount the vendor failed to ?le/pay and the current status of the liability. b) ?le returns or pay New York State unemployment insurance? El Yes Yes Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE Indicate the years the vendor failed to ?le/pay the insurance and the current status of the liability. 26. Have any bankruptcy proceedings been initiated by or against the vendor or its Yes N0 affiliatesI within the past seven (7) years (whether or not closed) or is any bankruptcy proceeding pending by or against the vendor or its af?liates regardless of the date of ?ling? Indicate if this is applicable to the submitting vendor or af?liate. If it is an af?liate, include the affiliate ?s name and FEIN. Provide the court name, address and docket number. Indicate if the proceedings have been initiated, remain pending or have been closed. If closed, provide the date closed. Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE 27. Is the vendor currently insolvent, or does vendor currently have reason to Yes N0 believe that an involuntary bankruptcy proceeding may be brought against it? Provide ?nancial information to support the vendor?s current position, for example, Current Ratio, Debt Ratio, Age of A ccounts Payable, Cash Flow and any documents that will provide the agency with an understanding of the vendor?s situation. 28. Has the vendor been a contractor or subcontractor on any contract with any Yes New York State agency and/or with the in the past ?ve (5) years? List the agency name, address, and contract effective dates. Also provide state contract identification number, if known. 29. In the past ?ve (5) years, has the vendor or any af?liateslz Yes a) defaulted or been terminated on, or had its surety called upon to complete, any contract (public or private) awarded; b) received an overall unsatisfactory performance assessment from any government agency on any contract; or c) had any liens or claims over $25,000 ?led against the ?rm which remain undischarged or were unsatis?ed for more than 90 days Indicate if this is applicable to the submitting vendor or af?liate. Detail the situation that gave rise to the negative action, any corrective action taken by the vendor and the name of the contracting agency. 1 "Af?liate" meaning: any entity in which the vendor owns more than 50% of the voting stock; any individual, entity or group of principal owners or of?cers who own more than 50% of the voting stock of the vendor; or any entity whose voting stock is more than 50% owned by the same individual, entity or group described in clause In addition, if a vendor owns less than 50% of the voting stock of another entity, but directs or has the right to direct such entity's daily operations, that entity will be an "af?liate" for purposes of this questionnaire. Appendix STATE OF NEW YORK VENDOR RESPONSIBILITY QUESTIONNAIRE State of: ss: County of: CERTIFICATION: The undersigned: recognizes that this questionnaire is submitted for the express purpose of assisting the in making a determination regarding an award of contract or approval of a subcontract; acknowledges that the may in its discretion, by means which it may choose, verify the truth and accuracy of all statements made herein; acknowledges that intentional submission of false or misleading information may constitute a felony under Penal Law Section 210.40 or a misdemeanor under Penal Law Section 210.35 or Section 210.45, and may also be punishable by a ?ne and/or imprisonment of up to ?ve years under 18 USC Section 1001 and may result in contract termination; and states that the information submitted in this questionnaire and any attached pages is true, accurate and complete. The undersigned certi?es that he/ she: has not altered the content of the questions in the questionnaire in any manner; has read and understands all of the items contained in the questionnaire and any pages attached by the submitting vendor; has supplied full and complete responses to each item therein to the best of his/her knowledge, information and belief; is knowledgeable about the submitting vendor?s business and operations; understands that the will rely on the information supplied in this questionnaire when entering into a contract with the vendor; and is under duty to notify the of any material changes to the vendor?s responses herein prior to the State Comptroller?s approval of the contract. Name of Business Signature of Owner/Of?cer Address Printed Name of Signatory City, State, Zip Title Sworn to before me this day of 20 Notary Public Print Name Signature Date RFP INFORMATION TO BE FURNISHED BY A PROPOSER (Note: For purposes of this questionnaire, the term "Consultant" refers both to a proposer and to the firm awarded the contract) 1. Identity of consultant ("Consultant"): A. Consultant's Full Legal Name: B. Consultant's form of legal entity (corporation, partnership, joint venture, sole proprietorship, etc.) C. State or country under whose laws Consultant is organized: D. Consultant's federal taxpayer identification number: Consultant's mailing address: F. Consultant's street address (complete only if different than II. Consultant representations and obligations and questions which must be answered: A. The following provisions set forth: i) Consultant representations and obligations (Part which: apply to Consultant's proposal; and are deemed incorporated into the contract between the Consultant and Authority if the contract is awarded to Consultant. If any representation is not accurate and complete at the time Consultant signs this form, Consultant must, as part of its proposal, identify the provision and explain the reason in detail in the space provided in Part 111. ii) Questions which Consultant must answer as part of its proposal (Part IV) and (Part V). Standard 2 (Rev 3117/04) B. If during the performance of this Contract, either of the following occurs, Consultant shall give notice in writing of the situation to the Authority's Vice President, Procurement and Materials, and thereafter cooperate with the Authority's review and investigation of such information. i) Consultant has reason to believe that any representation or answer to any question contained in this form was not accurate or complete at the time this form was signed; or ii) events occur or circumstances change so that an answer to any question in Part IV is no longer accurate or complete. In the Authority's sole discretion, the following shall constitute grounds for the Authority to take remedial action up to and including immediate termination of the Contract for convenience without payment for profit and overhead for work not performed if: i) Consultant fails to notify the Vice President, Procurement and Materials as required by above; ii) Consultant fails to cooperate with the Authority's request for additional information as required by above; Consultant, a Consultant director, officer, principal, or managerial employee or owner of a 10% or more interest in Consultant, is convicted of a crime involving a public contract; or iv) significant concerns about the Consultant's integrity are raised based upon an evaluation of the events underlying any other determination, or an indictment or other allegation, that Consultant or a Consultant director, of?cer, principal, or managerial employee or owner of a 10% or more interest in Consultant, is involved in a criminal or other unlawful activity. C. The Authority reserves the right to inquire further with resPect to Consultant's responses; and Consultant consents to such further inquiry and agrees to furnish all relevant documents and information as requested by the Authority. Any response to this document prior or subsequent to Consultant's proposal which is or may be construed as unfavorable to Consultant will not necessarily automatically result in a negative finding on the question of Consultant's responsibility or a decision to terminate the Contract if it is awarded to Consultant. Consultant Representations: If for any reason a representation on this questionnaire is not accurate and complete as of the time Consultant signs this form, in the space below Consultant must identify the provision and explain the reason in detail. If additional space is needed, add additional sheet(s) to this document. If this space is left blank, Consultant shall be deemed to have represented and warranted the accuracy and completeness of the representations on this questionnaire: Standard 2 (Rev 3H7KJ4) A. Statement of non?collusion as required by Section 2878 of the Public Authorities Law: (If this statement is not accurate or complete, Consultant must explain in the space provided above): By submission of this proposal, the undersigned proposer and each person signing on its behalf certi?es, and in the case of a joint proposal each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief: B. The prices in this proposal have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other proposer or with any competitor. Unless otherwise required by law, the prices which have been quoted in this proposal have nOt been knowingly disclosed by the proposer and will not knowingly be disclosed by the proposer prior to opening, directly or indirectly, to any other proposer or to any competitor; and No attempt has been made or will be made by the proposer to induce any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition. A proposal shall not be considered for award nor shall any award be made where and above have not been complied with, provided, however, that if in any case the proposer cannot make the foregoing certification, the proposer shall so state and shall furnish with the proposal a signed and notarized statement which sets forth in detail the reasons therefor. Where and above have not been complied with, the proposal shall not be considered for award nor shall any award be made unless the Vice President, Procurement and Materials of the Authority, or designee, determines that such disclosure was not made for the purpose of restricting competition. The fact that a proposer (1) has published price lists, rates, or tariffs covering items being procured, (2) has informed prOSpective customers of proposed or pending publication of new or revised price lists for such items, or has sold the same items to other customers at the same prices being proposed, does not constitute, without more, a disclosure within the meaning of and above. Statement of no?con?ict of interest: (If this statement is not accurate or complete, Consultant must explain in the space provided above) Standard mus-4 2 (Rev 3117104) No appointed or elected of?cial, member or other officer or employee of the City or State of New York, or of the Metropolitan Transportation Authority or MTA's affiliates and subsidiaries which consist of the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro-North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority, and Metropolitan Transportation Authority Card Company: i) is interested, directly or indirectly, in any manner whatsoever in or in the performance of the Contract or in the supplies, work, or business to which it relates or in any portion of the profits thereof; or ii) has been or will be offered or given any tangible or intangible consideration in connection with this proposal/Contract. Consultant covenants that neither Consultant nor, to the best of Consultant's knowledge after diligent inquiry, any director, officer, owner or employee of Consultant has any interest nor shall they acquire any interest, directly or indirectly, which would con?ict in any manner or degree with the faithful performance of the Contract hereunder. In the event Consultant has no prior knowledge of a con?ict of interest as set forth in and above and hereafter acquires information which indicates that there may be an actual or apparent violation of any of the above, Consultant shall bring such information to the attention of the Authority's Vice President, Procurement and Materials. Consultant shall thereafter cooperate with the Authority's review and investigation of such information, and comply with any instructions it receives from the Vice President, Procurement and Materials in regard to remedying the situation. C. The following statements apply to any bid, proposal, or contract between Consultant and the City or State of New York, any other state, any public authority or other public entity, the United States goVernment, the Metropolitan Transportation Authority and MTA's affiliates and subsidiaries which are the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro?North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company. (If this statement is not accurate and complete, Consultant must explain in the space provided above.) Consultant has not been declared not responsible. Consultant has not been debarred, suspended, or otherwise disqualified from bidding, proposing, or contracting. Standard RFPITS-4 2 (Rev 3117M) (C) Consultant is not and has not been a defaulter, as principal, surety or otherwise. The governmental or other public entity has not requested or required enforcement of any of its rights under a surety agreement on the basis of a Consultant default or in lieu of declaring Consultant in default. Consultant is not in arrears upon a contract or debt. There is no proceeding pending relating to Consultant's responsibility, debarment, suspension, or qualification to receive a public contract. Statements a, b, c, d, and above also apply to: i) Consultant's parent, subsidiaries and affiliates (if any); ii) any joint venture (including its individual members) and any other form of partnership (including its individual members) which includes Consultant or Consultant's parent, subsidiaries, or affiliates; Consultant's directors, officers, principals, and managerial employees and any person or entity with a 10% or more interest in Consultant; iv) any legal entity controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or managerial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant; or v) any parent, subsidiary or affiliate of any legal entity controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or managerial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant. D. Consent to the jurisdiction of New York courts and to service of process: (C) If Consultant is not organized under the laws of the State of New York Consultant consents to the jurisdiction of the Courts of the State of New York and to the jurisdiction of any federal court located within the City of New York, with respect to any matter pertaining to Consultant's proposal and, if the Contract is awarded to Consultant, to the Contract. Consultant agrees that service of process in any judicial or administrative action may be made upon it by certified mail, return receipt requested, sent to the mailing address for Consultant speci?ed above. Consultant agrees that any judicial or administrative action or proceeding commenced by Consultant against the Authority shall only be commenced in a state or federal court or agency located within the City of New York. IV. Questions which must be answered "Yes" or "No" (In the event of a "Yes", the Authority reserves the right to inquire further with respect thereto.) Standard 2 (Rev 3117/04) To the best of your knowledge after diligent inquiry, in connection with the business of Consultant or any other firm which is related to Consultant by any degree of common ownership, control, or otherwise, do any of the following statements apply to: i) Consultant; ii) Consultant's parent; any Consultant subsidiary or affiliate; iv) any joint venture (including its individual members) or any other form of partnership (including its individual members) which includes Consultant or Consultant's parent, subsidiaries, or affiliates; v) any legal entity, or parent, subsidiary or affiliate of any legal entity, controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or managerial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant; or vi) any person who is a director, officer, principal, or managerial employee, or person or entity with a 10% or more interest in any of the aforesaid: A Has been convicted by plea or verdict of guilty of, or pleaded nolo contendere to, a misdemeanor or felony in any federal, state or local court. B. Have pending before any state or federal grand jury or court an indictment or information for the commission of a crime which has not been favorably terminated. C. Is the subject of a pending investigation by any grand jury, commission, committee or other entity or agency or authority of any state or the federal government in connection with the commission or alleged commission of a crime. D. ls currently disqualified from selling or submitting bids/proposals to or receiving awards from or entering into any contract with any federal, state or local governmental entity, any public authority or any other public entity. E. Within the past ?ve years, has refused to testify or to answer any question concerning a proposal or contract with any federal, state, or local governmental entity, any public authority or any other public entity when called before a grand jury or other committee, agency or forum which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither the person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. Standard a (Rev 3/17104) F. 15 currently disqualified from selling or submitting a proposal to, or receiving an award from, or entering into any contract with any public entity or public authority within the State of New York because, within the past five years, such entity or person refused to testify or to answer any relevant question concerning a transaction or contract with the State of New York, any political subdivision of the State of New York, or a public authority or a public department, agency or official of the State of New York or of a political subdivision of the State of New York, when called before a grand jury or other state or local department, commission or agency which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither that person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. V. Additional questions: (Instructions for questions (V) A. through E. the Proposer must answer all questions.) A. List the name and business address of each person or legal entity which has a 10% or more ownership or control interest in Consultant. B. List the name and business address of each director and principal officer of Consultant. C. For each of the following contracts, provide a brief description of the work performed, the contract number, the dollar amount at award and at completion, date completed, and the name and telephone number of the owner's representative: (3) Each contract completed during the last three years or, if less than three contracts have been completed during the last three years, list the last three contracts completed. Each contract completed by you during the last three years or, if less than three contracts have been completed in the last three years, list the last Standard mns4 2 (Rev 31170:) three contracts completed, for which liquidated damages or penalty provisions were assessed against you for failure to complete the work on time or for any other reason. D. List each contract which, during the last three years, the person/entity contracting with you: i) terminated for default; ii) sued to compel performance; sued to recover damages, including, without limitation, upon an alleged breach of contract, misfeasance, error or omission or other alleged failure on your part to perform as required by your contract; or iv) called upon a surety to perform the work. E. List all consultant employees: who are currently employees of Metropolitan Transportation Authority or any MTA subsidiary or affiliate (New York City Transit Authority, Manhattan and Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Triborough Bridge and Tunnel Authority, Metro?North Commuter Railroad, Long Island Rail Road, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company). who within the past two years have been MTA or MTA subsidiary or affiliate employees who were involved on behalf of Consultant with the preparation of this proposal or would be involved in the performance of the contract if it is awarded to Consultant. F. Provide certified financial statements for your last three fiscal years. If you do not have certified financial statements, provide financial statements sworn to by your firm's chief financial officer. If you are unable to provide any such statements, provide other information which will enable the Authority to evaluate and determine whether you have sufficient financial resources to enable your firm to perform the Contract. G. Does Consultant have a subsidiary or affiliate? YES NO H. Is Consultant a subsidiary of another entity? YES NO Standard 2 (Rev 7104) I. Does Consultant, any director, officer, principal or managerial employee of Consultant, or any person or entity with a 10% or more interest in Consultant have an interest of 10% or more in any other ?rm or legal entity? I. If the answer to G, orI is "Yes", would Consultants answers pertaining to Parts and IV above be the same for each such parent, subsidiary, affiliate, firm or legal entity? K. Pursuant to Public Authorities Law ?2879 (5) The Triborough Bridge and Tunnel Authority may not enter into a contract with a "foreign business enterprise", as defined in New York State's Public Authorities Law ?2879 (5), which has its principal place of business located in a "discriminatory jurisdiction", as defined in New York State's Public Authorities Law ?2879 (5), contained on the list prepared by the Commissioner of Economic Development. The following states are included on the list of discriminatory jurisdictions: Alaska, Hawaii, Louisiana, South Carolina, West Virginia, and Wyoming. The following questions pertaining to New York State's Public Authorities Law ?2879 (5) will be answered by the proposer. In the event that additional information is required, the Authority reserves the right to inquire further with respect to the responses provided to questions and below. Instructions to Proposer: If the proposal is for construction services, the proposer will answer only question If the proposal is not for construction services, the proposer will answer both questions and ?Construction services? shall mean the acquisition, erection, building, alteration, repair, improvement, increase, enlargement, extension, installation, reconstruction, renovation or rehabilitation of a project; and the engineering, consulting, architectural, legal, fiscal and economic and environmental investigations and studies, surveys, designs, plans, working drawings, specifications, procedures and other actions incidental thereto and claims arising therefrom. (Contract Manager - check applicable space) This proposal is is not for ?construction services?, as defined above. Is the commodity substantially produced, or is the service substantially performed in New York? Standard 2 (Rev 31' 17:04) (A commodity is substantially produced and a service is substantially performed in New York State if 51% or more of the value of the commodity or service is produced, assembled or performed in New York State.) YES ]NotCertain[] Where is the proposer?s ?principal place of business? located? (Principal place of business is generally considered to be the enterprise?s main office, where the regular meeting of its board of directors occur, and where the company?s business is managed, conducted and directed, regardless of where the administrative departments or the physical property of the business is located.) L. Familial Relationships Each Bidder/Proposer must disclose any familial relationship* between an Authority employee and any director, of?cer or shareholder owning 10 percent or more of any class of stock of the bidder or any related or affiliated companies. *familial relationship is defined as: "Any person related by blood, marriage or partnership status including but not limited to spouse, domestic partner, child, parent, sibling, aunt, uncle, cousin, niece, nephew, grandparent or grandchild." Does such a relationship exist (Check "Yes" or as appropriate.) YES N0 If you answered above, please insert in the space provided, below the name of the Authority Employee, name of the bidders/proposers director, officer or shareholder and the relationship of the two parties. Name of Name of Director, Officer, Authority Employee or Shareholder Relationship Standard 2 (Rev 3/1704) 10 Proposer must sign here: Standard 2 (Rev 3137.04) Il VERIFICATION AND ACKNOWLEDGMENT STATE OF COUNTY OF On the day of 2004, before me personally came and appeared by me known to be said person, who swore under oath as follows: 1. He/she is of (Print title) (Print name of ?rm) 2. He/she is duly authorized to sign this questionnaire on behalf of said firm and duly signed this document pursuant to said authorization. 3. The answers to the questions set forth in this questionnaire and, except as set forth in the stated exceptions in Part the representations set forth in this questionnaire, are true, accurate and complete. 4. He/she acknowledged and understands that the questionnaire includes provisions which are deemed included in the contract if awarded to the ?rm. Sworn to before me the day of 2004 Notary's stamp and signature. Standard (Rev 3117104) 12 3? RFP INFORMATION TO BE FURNISHED BY A PROPOSER (Note: For purposes of this questionnaire, the term "Consultant" refers both to a proposer and to the firm awarded the contract) 1. Identity of consultant ("Consultant"): A. Consultant's Full Legal Name: B. Consultant's form of legal entity (corporation, partnership, joint venture, sole proprietorship, etc.) C. State or country under whose laws Consultant is organized: D. Consultant's federal taxpayer identification number: Consultant's mailing address: F. Consultant's street address (complete only if different than II. Consultant representations and obligations and questions which must be answered: A. The following provisions set forth: i) Consultant representations and obligations (Part which: apply to Consultant's proposal; and are deemed incorporated into the contract between the Consultant and Authority if the contract is awarded to Consultant. If any representation is not accurate and complete at the time Consultant signs this form, Consultant must, as part of its proposal, identify the provision and explain the reason in detail in the space provided in Part 111. ii) Questions which Consultant must answer as part of its proposal (Part IV) and (Part V). Standard 2 (Rev 31'17104) B. If during the performance of this Contract, either of the following occurs, Consultant shall give notice in writing of the situation to the Authority's Vice President, Procurement and Materials, and thereafter cooperate with the Authority's review and investigation of such information. i) Consultant has reason to believe that any representation or answer to any question contained in this form was not accurate or complete at the time this form was signed; or ii) events occur or circumstances change so that an answer to any question in Part IV is no longer accurate or complete. In the Authority's sole discretion, the following shall constitute grounds for the Authority to take remedial action up to and including immediate termination of the Contract for convenience without payment for profit and overhead for work not performed if: i) Consultant fails to notify the Vice President, Procurement and Materials as required by above; ii) Consultant fails to cooperate with the Authority's request for additional information as required by above; Consultant, a Consultant director, officer, principal, or managerial employee or owner of a 10% or more interest in Consultant, is convicted of a crime involving a public contract; or iv) significant concerns about the Consultant's integrity are raised based upon an evaluation of the events underlying any other determination, or an indictment or other allegation, that Consultant or a Consultant director, of?cer, principal, or managerial employee or owner of a 10% or more interest in Consultant, is involved in a criminal or other unlawful activity. C. The Authority reserves the right to inquire further with respect to Consultant's responses; and Consultant consents to such further inquiry and agrees to furnish all relevant documents and information as requested by the Authority. Any response to this document prior or subsequent to Consultant's proposal which is or may be construed as unfavorable to Consultant will not necessarily automatically result in a negative finding on the question of Consultant's responsibility or a decision to terminate the Contract if it is awarded to Consultant. 111. Consultant Representations: If for any reason a representation on this questionnaire is not accurate and complete as of the time Consultant signs this form, in the Space below Consultant must identify the provision and explain the reason in detail. If additional space is needed, add additional sheet(s) to this document. If this space is left blank, Consultant shall be deemed to have represented and warranted the accuracy and completeness of the representations on this questionnaire: Standard 2 (Rev 3117104) A. Statement of non-collusion as required by Section 2878 of the Public Authorities Law: (If this statement is not accurate or complete, Consultant must explain in the space provided above): By submission of this proposal, the undersigned proposer and each person signing on its behalf certi?es, and in the case of a joint proposal each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief: B. The prices in this proposal have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other proposer or with any competitor. Unless otherwise required by law, the prices which have been quoted in this proposal have not been knowingly disclosed by the proposer and will not knowingly be disclosed by the proposer prior to opening, directly or indirectly, to any other proposer or to any competitor; and No attempt has been made or will be made by the proposer to induce any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition. A proposal shall not be considered for award nor shall any award be made where and (0) above have not been complied with, provided, however, that if in any case the proposer cannot make the foregoing certification, the proposer shall so state and shall furnish with the proposal a signed and notarized statement which sets forth in detail the reasons therefor. Where and above have not been complied with, the proposal shall not be considered for award nor shall any award be made unless the Vice President, Procurement and Materials of the Authority, or designee, determines that such disclosure was not made for the purpose of restricting competition. The fact that a proposer (1) has published price lists, rates, or tariffs covering items being procured, (2) has informed prospective customers of proposed or pending publication of new or revised price lists for such items, or has sold the same items to other customers at the same prices being proposed, does not constitute, without more, a disclosure within the meaning of and above. Statement of no-con?ict of interest: (If this statement is not accurate or complete, Consultant must explain in the space provided above) Standard RFPITSA 2 (Rev 3117104) (C) No appointed or elected official, member or other officer or employee of the City or State of New York, or of the Metropolitan Transportation Authority or MTA's affiliates and subsidiaries which consist of the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro?North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority, and Metropolitan Transportation Authority Card Company: i) is interested, directly or indirectly, in any manner whatsoever in or in the performance of the Contract or in the supplies, work, or business to which it relates or in any portion of the profits thereof; or ii) has been or will be offered or given any tangible or intangible consideration in connection with this proposal/Contract. Consultant covenants that neither Consultant nor, to the best of Consultant's knowledge after diligent inquiry, any director, officer, owner or employee of Consultant has any interest nor shall they acquire any interest, directly or indirectly, which would con?ict in any manner or degree with the faithful performance of the Contract hereunder. In the event Consultant has no prior knowledge of a con?ict of interest as set forth in and above and hereafter acquires information which indicates that there may be an actual or apparent violation of any of the above, Consultant shall bring such information to the attention of the Authority's Vice President, Procurement and Materials. Consultant shall thereafter cooperate with the Authority?s review and investigation of such information, and comply with any instructions it receives from the Vice President, Procurement and Materials in regard to remedying the situation. C. The following statements apply to any bid, proposal, or contract between Consultant and the City or State of New York, any other state, any public authority or other public entity, the United States government, the Metropolitan Transportation Authority and MTA's affiliates and subsidiaries which are the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro?North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company. (If this statement is not accurate and complete, Consultant must explain in the space provided above.) Standard RFPITS-4 2 szsox (Rev 3117104) Consultant has not been declared not responsible. Consultant has not been debarred, suspended, or otherwise disqualified from bidding, proposing, or contracting. D. IV. Standard 2 (Rev 3117/04) (C) (6) (3) Consultant is not and has not been a defaulter, as principal, surety or otherwise. The governmental or other public entity has not requested or required enforcement of any of its rights under a surety agreement on the basis of a Consultant default or in lieu of declaring Consultant in default. Consultant is not in arrears upon a contract or debt. There is no proceeding pending relating to Consultant's responsibility, debarment, suspension, or qualification to receive a public contract. Statements a, b, c, d, and above also apply to: i) Consultant's parent, subsidiaries and affiliates (if any); ii) any joint venture (including its individual members) and any other form of partnership (including its individual members) which includes Consultant or Consultant's parent, subsidiaries, or affiliates; Consultant's directors, officers, principals, and managerial employees and any person or entity with a 10% or more interest in Consultant; iv) any legal entity controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or managerial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant; or v) any parent, subsidiary or affiliate of any legal entity controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or managerial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant. Consent to the jurisdiction of New York courts and to service of process: (C) If Consultant is not organized under the laws of the State of New York Consultant consents to the jurisdiction of the Courts of the State of New York and to the jurisdiction of any federal court located within the City of New York, with respect to any matter pertaining to Consultant's proposal and, if the Contract is awarded to Consultant, to the Contract. Consultant agrees that service of process in any judicial or administrative action may be made upon it by certified mail, return receipt requested, sent to the mailing address for Consultant specified above. Consultant agrees that any judicial or administrative action or proceeding commenced by Consultant against the Authority shall only be commenced in a state or federal court or agency located within the City of New York. Questions which must be answered "Yes" or "No" (In the event of a "Yes", the Authority reserves the right to inquire further with respect thereto.) To the best of your knowledge after diligent inquiry, in connection with the business of Consultant or any other firm which is related to Consultant by any degree of common ownership, control, or otherwise, do any of the following statements apply to: i) Consultant; ii) Consultant's parent; any Consultant subsidiary or affiliate; iv) any joint venture (including its individual members) or any other form of partnership (including its individual members) which includes Consultant or Consultant's parent, subsidiaries, or affiliates; v) any legal entity, or parent, subsidiary or affiliate of any legal entity, controlled, or 10% or more of which is owned, by Consultant, or by any director, officer, principal or manage-rial employee of Consultant, or by any person or entity with a 10% or more interest in Consultant; or vi) any person who is a director, officer, principal, or managerial employee, or person or entity with a 10% or more interest in any of the aforesaid: A Has been convicted by plea or verdict of guilty of, or pleaded nolo contendere to, a misdemeanor or felony in any federal, state or local court. B. Have pending before any state or federal grand jury or court an indictment or information for the commission of a crime which has not been favorably terminated. C. Is the subject of a pending investigation by any grand jury, commission, committee or other entity or agency or authority of any state or the federal government in connection with the commission or alleged commission of a crime. D. Is currently disqualified from selling or submitting bids/proposals to or receiving awards from or entering into any contract with any federal, state or local governmental entity, any public authority or any other public entity. E. Within the past ?ve years, has refused to testify or to answer any question concerning a proposal or contract with any federal, state, or local governmental entity, any public authority or any other public entity when called before a grand jury or other committee, agency or forum which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither the person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. Standard 2 5250K (Rev 3/17104) F. Is currently disqualified from selling or submitting a proposal to, or receiving an award from, or entering into any contract with any public entity or public authority within the State of New York because, within the past five years, such entity or person refused to testify or to answer any relevant question concerning a transaction or contract with the State of New York, any political subdivision of the State of New York, or a public authority or a public department, agency or official of the State of New York or of a political subdivision of the State of New York, when called before a grand jury or other state or local department, commission or agency which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither that person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. V. Additional questions: (Instructions for questions (V) A. through E. the Proposer must answer all questions.) A. List the name and business address of each person or legal entity which has a 10% or more ownership or control interest in Consultant. B. List the name and business address of each director and principal officer of Consultant. C. For each of the following contracts, provide a brief description of the work performed, the contract number, the dollar amount at award and at completion, date completed, and the name and telephone number of the owner's representative: Each contract completed during the last three years or, if less than three contracts have been completed during the last three years, list the last three contracts completed. Each contract completed by you during the last three years or, if less than three contracts have been completed in the last three years, list the last 5mm 2 (Rev 3/17/04) three contracts completed, for which liquidated damages or penalty provisions were assessed against you for failure to complete the work on time or for any other reason. D. List each contract which, during the last three years, the person/entity contracting with you: i) terminated for default; ii) sued to compel performance; sued to recover damages, including, without limitation, upon an alleged breach of contract, misfeasance, error or omission or other alleged failure on your part to perform as required by your contract; or iv) called upon a surety to perform the work. E. List all consultant employees: who are currently employees of Metropolitan Transportation Authority or any MTA subsidiary or affiliate (New York City Transit Authority, Manhattan and Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Triborough Bridge and Tunnel Authority, Metro-North Commuter Railroad, Long Island Rail Road, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company). who within the past two years have been MTA or MTA subsidiary or affiliate employees who were involved on behalf of Consultant with the preparation of this proposal or would be involved in the performance of the contract if it is awarded to Consultant. F. Provide certified financial statements for your last three fiscal years. If you do not have certified ?nancial statements, provide financial statements sworn to by your firm's chief financial officer. If you are unable to provide any such statements, provide other information which will enable the Authority to evaluate and determine whether you have sufficient financial resources to enable your firm to perform the Contract. G. Does Consultant have a subsidiary or affiliate? 7 YES NO H. Is Consultant a subsidiary of another entity? YES NO Standard 2 (Rev 3l1'1'l04) t?f I. Does Consultant, any director, officer, principal or managerial employee of Consultant, or any person or entity with a 10% or more interest in Consultant have an interest of 10% or more in any other ?rm or legal entity? J. If the answer to G, or I is "Yes", would Consultants answers pertaining to Parts 111 and IV above be the same for each such parent, subsidiary, affiliate, firm or legal entity? K. Pursuant to Public Authorities Law ?2879 (S) The Triborough Bridge and Tunnel Authority may not enter into a contract with a "foreign business enterprise", as de?ned in New York State's Public Authorities Law ?2879 (5), which has its principal place of business located in a "discriminatory jurisdiction", as defined in New York State's Public Authorities Law ?2879 (5), contained on the list prepared by the Commissioner of Economic Development. The following states are included on the list of discriminatory jurisdictions: Alaska, Hawaii, Louisiana, South Carolina, West Virginia, and Wyoming. The following questions pertaining to New York State's Public Authorities Law ?2879 (5) will be answered by the proposer. In the event that additional information is required, the Authority reserves the right to inquire further with respect to the responses provided to questions and below. Instructions to Proposer: If the proposal is for construction services, the proposer will answer only question If the proposal is not for construction services, the proposer will answer both questions and ?Construction services? shall mean the acquisition, erection, building, alteration, repair, improvement, increase, enlargement, extension, installation, reconstruction, renovation or rehabilitation of a project; and the engineering, consulting, architectural, legal, fiscal and economic and environmental investigations and studies, surveys, designs, plans, working drawings, specifications, procedures and other actions incidental thereto and claims arising therefrom. (Contract Manager - check applicable space) This proposal is is not for ?construction services?, as defined above. Is the commodity substantially produced, or is the service substantially performed in New York? Standard 2 (Rev 3/17/04) (A commodity is substantially produced and a service is substantially performed in New York State if 51% or more of the value of the commodity or service is produced, assembled or performed in New York State.) YES NO Not Certain Where is the proposer?s ?principal place of business? located? (Principal place of business is generally considered to be the enterprise?s main office, where the regular meeting of its board of directors occur, and where the company?s business is managed, conducted and directed, regardless of where the administrative departments or the physical property of the business is located.) L. Familial Relationships Each Bidder/Proposer must disclose any familial relationship* between an Authority employee and any director, officer or shareholder owning 10 percent or more of any class of stock of the bidder or any related or af?liated companies. *familial relationship is defined as: "Any person related by blood, marriage or partnership status including but not limited to spouse, domestic partner, child, parent, sibling, aunt, uncle, cousin, niece, nephew, grandparent or grandchild." Does such a relationship exist (Check "Yes" or as appropriate.) YES NO If you answered above, please insert in the space provided, below the name of the Authority Employee, name of the bidders/proposers director, officer or shareholder and the relationship of the two parties. Name of Name of Director, Of?cer, Authority Employee or Shareholder Relationship Standard 2 (Rev 31'17104) 10 Proposer must sign here: Standard 2 (Rev 3/1104) 11 VERIFICATION AND ACKNOWLEDGMENT STATE OF COUNTY OF On the day of 2004, before me personally came and appeared by me known to be said person, who swore under oath as follows: 1. He/she is of (Print title). (Print name of firm) 2. He/she is duly authorized to sign this questionnaire on behalf of said firm and duly signed this document pursuant to said authorization. 3. The answers to the questions set forth in this questionnaire and, except as set forth in the stated exceptions in Part the representations set forth in this questionnaire, are true, accurate and complete. 4. He/she acknowledged and understands that the questionnaire includes provisions which are deemed included in the contract if awarded to the ?rm. Sworn to before me the day of 2004 Notary's stamp and signature. Standard 2. (Rev 31' 17/04) 12 -4 lement RFP Disclosure of Contacts Form Failure to complete and submit the form shall result in a determination of non- responsiveness and disqualification of the proposal. (Note: For purposes of this questionnaire, the term "Consultant" refers both to a proposer and to the firm awarded the contract) This form shall be completed and submitted with your pr0posal. Failure to complete and submit this form shall result in a determination of non-responsiveness and disquali?cation of the bid, proposal or offer. If at the time of submission of this form, the speci?c name of a person authorized to attempt to influence a decision on your behalf is unknown, you agree to provide the specific person?s information when it is available. You also agree to update this information during the negotiation or evaluation process of this procurement, and throughout the term of any contract awarded to your company pursuant to this proposal. Name of Consultant: Address: Name and Title of Person Submitting this Form: Is this an initial filing in accordance with Section 11, paragraph 1 of E0 127 or an updated filing in accordance with Section 11, paragraph 2 of E0 127? (Please circle): Initial ?ling Updated ?ling The following person or organization was retained, employed or designated by or on behalf of the Consultant to attempt to influence the procurement process* (attach additional sheets if necessary): Name: Address: Telephone Number: Place of Principal Employment: Occupation: Does the above named person or organization have a financial interest in the procurement? (Please circle) Yes No (*Proposers must disclose the identity of each and every person retained, employed or designated to influence the procurement process in connection with the subject Standard 2 (Rev 3/!7/04) procurement, including but not limited to negotiators, subconsultants, project managers, participants in oral presentations and any other person or organization who may be reasonably expected to initiate contact on behalf of the proposer with the Authority?s Point of Contact. The Consultant shall attach additional sheets, as necessary, with the above information to identify all persons or organizations retained, employed or designated by or on behalf of the Consultant to attempt to in?uence the procurement process.) Standard 2 (Rev 3II7104) Consultant Disclosure of Prior Non-Responsibility Determinations Name of Consultant: Address: Name and Title of Person Submitting this Form: Has any covered agency or authority made a finding of non-responsibility regarding the Consultant in the last five years? (Please circle): (Note: ?Covered agency or authority? shall mean any State department, of?ce or division, or any board, commission or bureau thereof, and any public benefit corporation, public authority or commission at least one of whose members is appointed by the Governor, and shall include the State University of New York and the City University of New York.) No Yes If yes, was the basis for the finding of the Consultant?s non-responsibility due to the intentional provision of false or incomplete information required by Executive Order Number 127? (Please circle): No Yes If yes, please provide details regarding the finding of non-responsibility below. Covered Agency or Authority: Year of Finding of Non-Responsibility: Basis of Finding of Non-Responsibility: Standard (Rev 3/17/04) TS-6 RESPONSIBILITY QUESTIONNAIRE INFORMATION TO BE FURNISHED BY A PROPOSED SUBCONSULTANT 1. Identity of subconsultant ("Subconsultant"): A. Subconsultant's Full Legal Name: B. Subconsultant's form of legal entity (corporation, partnership, joint venture, sole proprietorship, etc.) C. State or country under whose laws Subconsultant is organized: D. Subconsultant's federal taxpayer identification number: Subconsultant's mailing address: F. Subconsultant's street address (complete only if different than II. Subconsultant representations and obligations and questions which must be answered: A. The following provisions set forth: i) Proposed subconsultant representations and obligations (Part which: apply to proposed subconsultant's proposal; and are deemed incorporated into the contract between the Subconsultant and Consultant if the contract is awarded to Consultant. If any representation is not accurate and complete at the time proposed subconsultant signs this form, proposed subconsultant must, as part of its proposal, identify the provision and explain the reason in detail in the space provided in Part 111. ii) Questions which proposed subconsultant must answer as part of its proposal (Part IV) and (Part V). B. If during the performance of this Contract, either of the following occurs, proposed subconsultant shall give notice in writing of the situation to the Consultant and the Authority's Vice President, Procurement and Materials, and thereafter cooperate with the Authority's review and investigation of such information. i) proposed subconsultant has reason to believe that any representation or answer to any question contained in this form was not accurate or complete at the time this form was signed; or ii) events occur or circumstances change so that an answer to any question in Part IV is no longer accurate or complete. In the Authority's sole discretion, the following shall constitute grounds for the Authority to take remedial action up to and including directing the Consultant to immediately terminate the subcontract for convenience without payment for profit and overhead for work not performed if: i) proposed subconsultant fails to notify the Vice President, Procurement and Materials as required by above; ii) proposed subconsultant fails to cooperate with the Authority's request for additional information as required by above; proposed subconsultant, a proposed subconsultant director, officer, principal, or managerial employee or owner of a 10% or more interest in proposed subconsultant, is convicted of a crime involving a public contract; or iv) significant concerns about the proposed subconsultant's integrity are raised based upon an evaluation of the events underlying any other determination, or an indictment or other allegation, that proposed subconsultant or a proposed subconsultant director, officer, principal, or managerial employee or owner of a 10% or more interest in proposed subconsultant, is involved in a criminal or other unlawful activity. C. The Authority reserves the right to inquire further with respect to proposed subconsultant's reSponses; and proposed subconsultant consents to such further inquiry and agrees to furnish all relevant documents and information as requested by the Authority. Any response to this document prior or subsequent to proposed subconsultant's proposal which is or may be construed as unfavorable to proposed subconsultant will not necessarily automatically result in a negative finding on the question of pr0posed subconsultant's responsibility or a decision to direct the Consultant to terminate the subcontract if it is awarded to proposed subconsultant. Subconsultant Representations: If for any reason a representation on this questionnaire is not accurate and complete as of the time proposed subconsultant signs this form, in the space below proposed subconsultant must identify the provision and explain the reason in detail. If additional space is needed, add additional sheet(s) to this document. If this space is left blank, proposed subconsultant shall be deemed to have represented and warranted the accuracy and completeness of the representations on this questionnaire: A. Statement of non-collusion as required by Section 2878 of the Public Authorities Law: (If this statement is not accurate or complete, proposed subconsultant must explain in the space provided above): By submission of this proposal, the undersigned proposer and each person signing on its behalf certi?es, and in the case of a joint proposal each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief: The prices in this proposal have been arrived at independently without collusion, consultation, communication or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other proposer or with any competitor. Unless otherwise required by law, the prices which have been quoted in this proposal have not been knowingly disclosed by the pr0poser and will not knowingly be disclosed by the proposer prior to opening, directly or indirectly, to any other proposer or to any competitor; and No attempt has been made or will be made by the proposer to induce any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition. A proposal shall not be considered for award nor shall any award be made where and above have not been complied with, provided, however, that if in any case the proposer cannot make the foregoing certification, the proposer shall so state and shall furnish with the proposal a signed and notarized statement which sets forth in detail the reasons therefor. Where and above have not been complied with, the proposal shall not be considered for award nor shall any award be made unless the Vice President, Procurement and Materials of the Authority, or designee, determines that such disclosure was not made for the purpose of restricting competition. The fact that a proposer (1) has published price lists, rates, or tariffs covering items being procured, (2) has informed prospective customers of proposed or pending publication of new or revised price lists for such items, or has sold the same items to other customers at the same prices being proposed, does not constitute, without more, a disclosure within the meaning of and above. - B. Statement of no-conflict of interest: (If this statement is not accurate or complete, proposed subconsultant must explain in the space provided above) (C) No appointed or elected official, member or other of?cer or employee of the City or State of New York, or of the Metropolitan Transportation Authority or MTA's affiliates and subsidiaries which consist of the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro?North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority, and Metropolitan Transportation Authority Card Company: i) is interested, directly or indirectly, in any manner whatsoever in or in the performance of the Contract or in the supplies, work, or business to which it relates or in any portion of the profits thereof; or ii) has been or will be offered or given any tangible or intangible consideration in connection with this proposal/Contract. Proposed subconsultant covenants that neither proposed subconsultant nor, to the best of proposed subconsultant's knowledge after diligent inquiry, any director, officer, owner or employee of proposed subconsultant has any interest nor shall they acquire any interest, directly or indirectly, which would conflict in any manner or degree with the faithful performance of the Contract hereunder. In the event proposed subconsultant has no prior knowledge of a con?ict of interest as set forth in and above and hereafter acquires information which indicates that there may be an actual or apparent violation of any of the above, proposed subconsultant shall bring such information to the attention of the Consultant and the Authority's Vice President, Procurement and Materials. Proposed subconsultant shall thereafter cooperate with the Authority's review and investigation of such information, and comply with any instructions it receives from the Consultant in regard to remedying the situation. The following statements apply to any bid, proposal, or contract between proposed subconsultant and the City or State of New York, any other state, any public authority or other public entity, the United States government, the Metropolitan Transportation Authority and MTA's affiliates and subsidiaries which are the New York City Transit Authority, Manhattan Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Metro-North Commuter Railroad, Long Island Rail Road, Triborough Bridge and Tunnel Authority, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company. (If this statement is not accurate and complete, proposed subconsultant must explain in the space provided above.) Proposed subconsultant has not been declared not responsible. Proposed subconsultant has not been debarred, suspended, or otherwise disqualified from bidding, proposing, or contracting. Proposed subconsultant is not and has not been a defaulter, as principal, surety or otherwise. The governmental or other public entity has not requested or required enforcement of any of its rights under a surety agreement on the basis of a proposed subconsultant default or in lieu of declaring proposed subconsultant in default. Proposed subconsultant is not in arrears upon a contract or debt. (0 There is no proceeding pending relating to proposed subconsultant's responsibility, debarment, suspension, or qualification to receive a public contract. Statements a, b, c, d, and above also apply to: i) pr0posed subconsultant's parent, subsidiaries and affiliates (if any); ii) any joint venture (including its individual members) and any other form of partnership (including its individual members) which includes proposed subconsultant or proposed subconsultant's parent, subsidiaries, or affiliates; proposed subconsultant's directors, officers, principals, and managerial employees and any person or entity with a 10% or more interest in pr0posed subconsultant; iv) any legal entity controlled, or 10% or more of which is owned, by proposed subconsultant, or by any director, officer, principal or managerial employee of proposed subconsultant, or by any person or entity with a 10% or more interest in proposed subconsultant; or v) any parent, subsidiary or affiliate of any legal entity controlled, or 10% or more of which is owned, by proposed subconsultant, or by any director, officer, principal or managerial employee of proposed subconsultant, or by any person or entity with a 10% or more interest in proposed subconsultant. IV. Questions which must be answered "Yes" or "No" (In the event of a "Yes", the Authority reserves the right to inquire further with respect thereto.) To the best of your knowledge after diligent inquiry, in connection with the business of proposed subconsultant or any other firm which is related to proposed subconsultant by any degree of common ownership, control, or otherwise, do any of the following statements apply to: i) proposed subconsultant; ii) proposed subconsultant's parent; any proposed subconsultant subsidiary or affiliate; iv) any joint venture (including its individual members) or any other form of partnership (including its individual members) which includes proposed subconsultant or proposed subconsultant's parent, subsidiaries, or affiliates; v) any legal entity, or parent, subsidiary or affiliate of any legal entity, controlled, or 10% or more of which is owned, by proposed subconsultant, or by any director, officer, principal or managerial employee of proposed subconsultant, or by any person or entity with a 10% or more interest in proposed subConsultant; or vi) any person who is a director, officer, principal, or managerial employee, or person or entity with a 10% or more interest in any of the aforesaid: A. Has been convicted by plea or verdict of guilty of, or pleaded nolo contendere to, a misdemeanor or felony in any federal, state or local court. Have pending before any state or federal grand jury or court an indictment or information for the commission of a crime which has not been favorably terminated. Is the subject of a pending investigation by any grand jury, commission, committee or other entity or agency or authority of any state or the federal government in connection with the commission or alleged commission of a crime. Is currently disqualified from selling or submitting bids/proposals to or receiving awards from or entering into any contract with any federal, state or local governmental entity, any public authority or any other public entity. Within the past ?ve years, has refused to testify or to answer any question concerning a proposal or contract with any federal, state, or local governmental entity, any public authority or any other public entity when called before a grand jury or other committee, agency or forum which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither the person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. Noll Is currently disqualified from selling or submitting a proposal to, or receiving an award from, or entering into any contract with any public entity or public authority within the State of New York because, within the past five years, such entity or person refused to testify or to answer any relevant question concerning a transaction or contract with the State of New York, any political subdivision of the State of New York, or a public authority or a public department, agency or official of the State of New York or of a political subdivision of the State of New York, when called before a grand jury or other state or local department, commission or agency which is empowered to compel the attendance of witnesses and examine them under oath, upon being advised that neither that person's statement nor any information or evidence derived from such statement will be used against that person in any subsequent criminal proceeding. V. Additional questions: (Instructions for questions (V) A. through E. the Proposer must answer all questions.) A. List the name and business address of each person or legal entity which has a 10% or more ownership or control interest in proposed subconsultant. B. List the name and business address of each director and principal officer of proposed subconsultant. C. For each of the following contracts, provide a brief description of the work performed, the contract number, the dollar amount at award and at completion, date completed, and the name and telephone number of the owner's representative: (3) Each contract completed during the last three years or, if less than three contracts have been completed during the last three years, list the last three contracts completed. Each contract completed by you during the last three years or, if less than three contracts have been completed in the last three years, list the last three contracts completed, for which liquidated damages or penalty provisions were assessed against you for failure to complete the work on time or for any other reason. D. List each contract which, during the last three years, the person/entity contracting with you: i) terminated for default; ii) sued to compel performance; sued to recover damages, including, without limitation, upon an alleged breach of contract, misfeasance, error or omission or other alleged failure on your part to perform as required by your contract; or iv) called upon a surety to perform the work. E. List all Proposed Subconsultant employees: who are currently employees of Metropolitan Transportation Authority or any MTA subsidiary or affiliate (New York City Transit Authority, Manhattan and Bronx Surface Transit Operating Authority, Staten Island Rapid Transit Operating Authority, Triborough Bridge and Tunnel Authority, Metro-North Commuter Railroad, Long Island Rail Road, Metropolitan Suburban Bus Authority and Metropolitan Transportation Authority Card Company). who within the past two years have been MTA or MTA subsidiary or affiliate employees who were involved on behalf of proposed subconsultant with the preparation of this proposal or would be involved in the performance of the subcontract if it is awarded to proposed subconsultant. F. Does proposed subconsultant have a subsidiary or affiliate? YES NO G. Is proposed subconsultant a subsidiary of another entity? YES NO H. Does proposed subconsultant, any director, officer, principal or managerial employee of proposed subconsultant, or any person or entity with a 10% or more interest in proposed subconsultant have an interest of 10% or more in any other firm or legal entity? I. If the answer to F, or is "Yes", would proposed subconsultants answers pertaining to Parts 111 and IV above be the same for each such parent, subsidiary, affiliate, firm or legal entity? The undersigned agrees to furnish the TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY additional or supplemental information concerning financial and/or technical qualifications, when and as required. (Exact Name of Individual, Firm or Corporation) (CORPORATE SEAL) By (Name and Title) =?The statement must be signed on this page. The proposed subconsultant, if a partnership or corporation, must sign this statement in the exact firm or corporate name as it appears in its partnership agreement or certificate of incorporation. NOTE: If the proposed subconsultant is a corporation and this proposal is signed by an Officer other than the President or a Vice President, the proposed subconsultant shall furnish a certified copy of by law or resolution authorizing said Officer to sign, unless same has previously been furnished to the Authority. VERIFICATION AND ACKNOWLEDGMENT STATE OF COUNTY OF On the day of 2004, before me personally came and appeared by me know to be said person, who swore under oath as follows: 1. He/she is of (Print title) (Print name of ?rm) 2. He/she is duly authorized to sign this questionnaire on behalf of said firm and duly signed this document pursuant to said authorization. 3. The answers to the questions set forth in this questionnaire and, except as set forth in the stated exceptions in Part the representations set forth in this questionnaire, are true, accurate and complete. 4. He/she acknowledged and understands that the questionnaire includes provisions which are deemed included in the contract if awarded to the firm. Sworn to before me the day of 2004 Notary's stamp and signature. PSC-05-2741 REVISED CONTRACT NO. and TITLE: CONTRACT VALUE AMOUNT OF TOTAL CONTRACT PRICE THAT IS ATTRIBUTABLE TO WORK PERFORMED IN NEW YORK STATE: 3 UTILIZATION PLAN FORM (Form 15A.1) INSTRUCTIONS: See Chapter 11, Article 11.06 of Section 3. This form must be submitted with the proposal. Name, Address. Telephone Number of (including Indicate if Description of Work, Products Agreed Dollar of name of contact person, Federal or Social Security Number) MBE and/or Amount of Work Performed Projected Start and or Services to be provided in New York Completion Date WBE Subcontract State If the Proposer/Bidder is a corporation, partnership, or joint venture, this form must be signed respectively, by the president of the corporation, a general partner, or the president/general partner of one of the joint ventures. If it is signed by anyone else, you must include appropriate proof (such as certi?ed copy of the by-laws, partnership agreement or joint venture agreement) which con?rms that the person signing this form is authorized to do so. By signing below, the ProposerfBidder authorizes the Authority to verify all information provided on this form. AUTHORIZED SIGNATURE: ADDRESS: TELEPHONE NUMBER: FEDERAL IDENTIFICATION NUMBER: DATE: Revised 15-A2 Form (June 2000) Addendum 1 REVISED REQUEST FOR TOTAL OR PARTIAL WAIVER OF PURSUANT TO UTILIZATION PLAN FORM (Form 15A.2) ACTOR: Contract Number: Total Contract Dollar Value: A Proposer/Bidder/Contractor failing to achieve the MBEIWBE goal(s) as speci?ed in the Centract Documents must submit this form (Request for Total or Partial Waiver of Goal(s) -Form 15A.2) and the documentation of good faith efforts Speci?ed in Part II of this form, at the time provided for the submission of the Utilization Plan (Form 15A.l), or if the contract is already awarded. as soon as the Contractor realizes that it will not achieve a goal, or prior to ?nal payment on the contract whichever is sooner. PART I. REQUEST FOR WAIVER OF If the Proposer/Bidder/Contractor is requesting a total waiver of one or both goals, Section A must be completed. If the proposer/contractor is requesting a partial waiver of one or both goals, Section must be completed. In requesting a partial waiver, the Proposer/Bidder/Conn'actor must specify MBE andJor WBE goal percentage(s) it is committed to achieving. lW'ver I, . hereby request a total waiver of the: (Name of Proposer/Bidder/C ontractor) (Check the appropriate box or boxes) MBE goal as speci?ed in the Contract Documents WBE goal as speci?ed in the Contract Documents I, hereby request a partial waiver of the: (Name of Proposer/Bidder/Contractor) (Check the appropriate box or boxes) (3 MBE goal as speci?ed in the Contract Documents WBE goal as speci?ed in the Contract Documents I, commit to achieving an MBE goal of (Name of Proposer/Bidder/Contractor) I. . commit to achieving an WBE goal of (Name of Proposer/Bidder/Contractor) Revised 15-A2 Form (June 2000) Addendum 1 REVISED PART II. GOOD FAITH EFFORTS DOCUMENTATION W: AProposer/Bidder/Contractor requesting a request for a total or partial waiver of MBE and/or WBE goal(s) must submit with this form. full and detailed explanation and documentation which speci?cally identi?es the Proposer/Bidder/Contractor's efforts to obtain participation on this Authority contract. The Proposer/Bidder/Contractor must provide the information and support documentation speci?ed in Part II of this form (SEE REVERSE SIDE OF THIS FORM), and any other information it believes will assist the Authority in its review of the Request for Total or Partial Waiver of Goal(s). The names of general circulatiou. trade association and women-oriented publications in which bids were solicited for purposes of complying with goal requirements established for minority and women-owned business enterprise participation; (2) The dates bid solicitations for minority and women?owned business participation were published in any of the publications named pursuant to paragraph (1) and the text of the bid solicitations; (3) A list of minority and women-owned business enterprises appearing in the State Directory which were solicited in writing to provide bids for purposes of complying with the contract goal requirements for minority and women-owned business enterprise participation; (4) Proof of dates on which such solicitations were made in writing and copies of solicitations made, or a sample copy of the solicitation if an identical solicitation was made of all minority and women-owned business enterprise; (5) Copies of responses made by minority and women-owned business enterprises to solicitations made by the contractor; (6) A description of any contract documents, plans, or speci?cations made available to minority and women-owned business enterprises for purposes of soliciting their bids. and the dates and manner in which these documents were made available; (7) Documentation of any negotiations between the contractor and minority and women-owned business enterprise participation; (8) A statement setting forth the contractor's basis for requesting a partial or total waiver; (9) Written discussion of the relevance of the following items to. the contractor's request for a partial or total waiver of contract goal(s) speci?ed in the Contract Documents: a) The number and types of minority or women-owned business enterprises located in the region in which the contract is to be performed: b) The total dollar value of this coutract; c) The scope of work to be performed; d) The project size; e) The project term; t) The availability of other business enterprises located in the region; g) The ?nancial ability of minority and women-owned business enterprises located outside the region to perform on the contract 10) Identify terms and conditions offered to minority and women-owned business enterprises, and compare how those subcontract terms and conditions compare to those offered in the ordinary course of the contractor's business and to other subcontractors of the contractor. Revised Form (June 2000) Addendum 1 REVISED ll) Identify efforts made by the contractor to reasonably structure the contract scope of work for purposes of subcontracting with minority and women-owned enterprises; 12) Identify actions taken to contact and assess the ?nancial ability of minority and women-owned business enterprises located outside of the region in which the contract scope of work is to be performed; and 13) Any other information determined relevant by the Authority (if and when requested) or the contractor. By signing this form. the person individually and on the behalf of the Proposer/Bidder/Comractor represents to the Authority that the information supplied to the Authority is truthful, accurate, complete and not misleading. Authorized Signature: Title: FirmlCompany Name: Address: Telephone Number: Date: Revised 15-A2 Form (June 2000) Addendum 1 BE PARTICIPATION REPORT (Form 15A.3) INSTRUCTIONS: After the award of a contract. this Form 15A.3 must be ?led by the 15th of each month to report actual Contract Title: Contract umber: Prime Contractor: Start Date: Total payments to Prime to date: 5 Total amount invoiced to date: Amount of last payment to Prime: Date of last payment to Prime: Total MBE payments to date: 5 Contract Projected Total value of MBE subcontracts: MBE 96 of Prime contract (as amended): WBE of Prime contract (as amended): REPORT FOR MONTH ENDING Contract Value Amount (as amended) 5 NYS Work 5 MBE Goal: Completion Date: Complete: Total value of WBE. subcontracts: Total of WBE payments to date: 5 participation by NYS certi?ed ?rms during the preceding month. WEE Goal: REVISED Work Status this Report Active. Inactive or Name of Subcontractor and Complete Description of Work Performed Tera] Payments to Date Date Amount of Payment for this Report Projected 96 Completion of Work Date Complete Subcontract Start Date Subcontract Amount (as amended) Copy of Subcontract Agreement ?led with Authority (Yes or No) CI Active CI Inactive C1 Complete Cl Active CI Inactive CI Complete Cl Active CI Inactive El Complete Cl Active 0 Inactive El Complete CI Active CI Inactive CI Complete IF NECESSARY, USE A SEPARATE SHEET 1. Did any of the WEB subcontractors rent/lease equipment from the prime contractor or an af?liate company during the report period? If yes, explain the arrangement, including a description of the equipment and the cost. 2. Did any of the subcontractors utilize employees or former employees of the prime contractor or an af?liate company during the report period? Did any of the WEB subcontractors subcontract any portion of its work to a during the report period? If yes. explain fully. La.) 4. Has the scope of work or the subcontract amount for any of the MNVBE subcontractors changed since the last report? If yes, explain fully. YES NO By signing this form, the person individually and on the behalf of the Contractor represents to the Authority that the information contained herein is truthful, accurate, complete and not misleading. AUTHORIZED SIGN ATURE: TITLE: Revised l5-A3 Form (June 2000) DATE: PSC-05-2741, Addendum 1 REVISED Intent to Perform as Subcontractor/Subconsultant (FORM 15A.4) INSTRUCTIONS: See Chapter 11, Article 11.06 of Section 3. This form must be submitted with the proposal by each proposed MBEJWBE subcontractor. CONTRACT NUMBER CONTRACT TITLE NAME OF PRIME The undersigned intends to perform work in connection with the above project as (check one): A subcontractor A suboonsultant A second tier subcontractor (if required to meet the goal) Note; Pursuant to NY Executive Law Article MBEJWBE ?rms projected to participate in the MBEJWBE Program must be certified as a by the Empire State DeveIOpment Corporation (ESDC) in order for the firm?s participation to be credited towards an MBE or WBE goal. Only ?rms certified by ESDC utilized to meet an MBE or WBE goal. The current MBEIWBE certification status of the proposed has been con?rmed by the Bidder/Proposer. The proposed MIBIUWBE has submitted proof of its certification to the Bidder/Proposer. SUBCONTRACT AMOUNT The undersigned is prepared to perform the following described work andlor supply the material listed in connection with the above project. Note; If applicable, please indicate the amount and percentage of work you intend to subcontract out to other subcontractors/vendors and the namets) of said known subcontractors/vendors (both MBEJWBE and ?rms). The undersigned intends to enter into a formal agreement for the above work with the named bidder/proposer conditioned upon the named bidder?s/proposer?s being awarded contract by the MTA or any of its af?liated agencies. By Date Name of MBEJWBE Firm Name Title of Authorized Signatory Signature of Authorized Representative Please Type or Print Pddendun i Project/RFP Title: Location of Contract: ContractorfFirm Name STAFFING PLAN REVISED Check applicable categories: (1) Staff Estimates include: (2) Type of Contract :3 Contract! Project Staff :3 Construction Consultants Address County ZIP Total Work Force 13 Commodities City Ci Subcontractors Cl Services/Consultants State ZIP Total Anticipated Work Force Federal Owupatlonal Category Total Number of Employees Black (Not of Hispanic Origin) Hispanic Native American! Alaskan Native Asian or Pacific Islander Male Female Male Female Male Female Male Female Male Female Total Percent Minority Employees Total Percent Female Employees OfficialslAdmin Professionals Technicians Sales Workers Of?ce Clencel? Craft Workers Operatives Laborers Service Workers TOTALS Company Official's Name Company Official's Signature Telephone Number i Title Date I Staffing Plan (3/99) PSC-05-2741, Addendum 1 REVISED CONTRACT NO. and TITLE: CONTRACT VALUE AMOUNT OF TOTAL CONTRACT PRICE THAT IS ATTRIBUTABLE TO WORK PERFORMED IN NEW YORK STATE: 55 UTILIZATION PLAN FORM (Form 15A.1) INSTRUCTIONS: See Chapter 11, Article 11.06 of Section 3. This form must be submitted with the proposal. Name, Address, Telephone Number of (including Indicate if Description of Work, Products Agreed Dollar of MBEIWBE .j name of contact person, Federal or Social Security Number) MBE and/or Amount of Work Performed Projected Start and or Services to be provided in New York Completion Date WBE Subcontract State If the Proposer/Bidder is a corporation, partnership, or joint venture, this form must be signed respectively, by the president of the corporation, a general partner, or th )resident/general partner of one of the joint ventures. If it is signed by anyone else, you must include appropriate proof (such as certified copy of the by-laws, partnership agreement oint venture agreement) which confirms that the person signing this form is authorized to do so. By signing below, the Proposer/Bidder authorizes the Authority to verify a .nformation provided on this form. AUTHORIZED SIGNATURE: ADDRESS: NUMBER: FEDERAL IDENTIFICATION NUMBER: DATE: {evised 15-A2 Form (June 2000) REQUEST FOR TOTAL OR PARTIAL WAIVER OF PURSUANT TO BE UTILIZATION PLAN FORM (Form 15A.2) Contract Number: Total Contract Dollar Value: A Proposer/Bidder/Contractor failing to achieve the BE goal(s) as specified in the Contract Documents must submit this form (Request for Total or Partial Waiver of Goa1(s) -Form 15A.2) and the documentation of good faith efforts speci?ed in Part II of this form, at the time provided for the submission of the Utilization Plan (Form 15A.1), or if the contract is already awarded, as soon as the Contractor realizes that it will not achieve a goal, or prior to final payment on the contract whichever is sooner. PART I. REQUEST FOR WAIVER OF INS If the Proposer/Bidder/Contractor is requesting a total waiver of one or both goals, Section A must be completed. If the proposer/contractor is requesting a partial waiver of one or both goals, Section must be completed. In requesting a partial waiver, the Proposer/Bidder/Contractor must specify MBE and/or WBE goal percentage(s) it is committed to achieving. Section A - Total Waiver of Goalts) I, - hereby request a total waiver of the: (Name of Proposer/Bidder/Contractor) (Check the appropriate box or boxes) (3 MBE goal as specified in the Contract Documents (3 WBE goal as specified in the Contract Documents Section - Partial Waiver of Goals) I, hereby request a partial waiver of the: (Name of Proposer/Bidder/Contractor) (Check the appropriate box or boxes) (3 MBE goal as specified in the Contract Documents WBE goal as specified in the Contract Documents 1, commit to achieving an MBE goal of (Name of Proposer/Bidder/Conlractor) I, commit to achieving an WBE goal of (Name of Proposer/Bidder/Contractor) Revised F?nrm (Inne- 7mm PART II. GOOD FAITH EFFORTS DOCUMENTATION AProposer/Bidder/Contractor requesting a request for a total or partial waiver of MBE and/or WBE goal(s) must submit with this form, full and detailed explanation and documentation which speci?cally identi?es the Proposer/Bidder/Contractor's efforts to obtain BE participation on this Authority contract. The ProposerfBidder/Contractor must provide the information and support documentation speci?ed in Part II of this form (SEE REVERSE SIDE OF THIS FORM), and any other information it believes will assist the Authority in its review of the Request for Total or Partial Waiver of BE Goal(s). (1) (2) (3) (4) (5) (6) (7) (8) (9) 10) The names of general circulation, trade association and women-oriented publications in which bids were solicited for purposes of complying with goal requirements established for minority and women-owned business enterprise participation; The dates bid solicitations for minority and women-owned business participation were published in any of the publications named pursuant to paragraph (1) and the text of the bid solicitations; list of minority and women-OWned business enterprises appearing in the State Directory which were solicited in writing to provide bids for purposes of complying with the contract goal requirements for minority and women-owned business enterprise participation; Proof of dates on which such solicitations were made in writing and copies of solicitations made, or a sample copy of the solicitation if an identical solicitation was made of all minority and women-owned business enterprise; Copies of responses made by minority and women-owned business enterprises to solicitations made by the contractor; A description of any contract documents, plans, or specifications made available to minority and women-owned business enterprises for purposes of soliciting their bids, and the dates and manner in which these documents were made available; Documentation of any negotiations between the contractor and minority and women-owned business enterprise participation; A statement setting forth the contractor?s basis for requesting a partial or total waiver; Written discussion of the relevance of the following items to the contractor's request for a partial or total waiver of contract goal(s) speci?ed in the Contract Documents: a) The number and types of minority or women-owned business enterprises located in the region in which the contract is to be performed: b) The total dollar value of this contract; c) The scope of work to be performed; d) The project size; 6) The project term; t) The availability of other business enterprises located in the region; g) The financial ability of minority and women-owned business enterprises located outside the region to perform on the contract Identify terms and conditions offered to minority and women-owned business enterprises, and compare how those subcontract terms and conditions compare to those offered in the ordinary course of the contractor?s business and to other subcontractors of the contractor. Revised 14-A9. F'nrm (Inna 9.000) 11) Identify efforts made by the contractor to reasonably structure the contract scope of work for purposes of subcontracting with minority and women-owned enterprises; 12) Identify actions taken to contact and assess the financial ability of minority and women-owned business enterprises located outside of the region in which the contract sc0pe of work is to be performed; and 13) Any other information determined relevant by the Authority (if and when requested) or the contractor. By signing this form, the person individually and on the behalf of the Proposer/Bidder/Contractor represents to the Authority that the information supplied to the Authority is truthful, accurate, complete and not misleading. Authorized Signature: Title: Firm/Company Name: Address: Telephone Number: Date: Revised (hima 7.000) BE PARTICIPATION REPORT (Form 15A.3) REPORT FOR MONTH ENDING INSTRUCTIONS: After the award of a contract, this Form 15A.3 must be ?led by the 15th of each month to report actual participation by NYS certified MB FJWBE firms during the preceding month. Contract Contract Contract Value Number: Title: Amount (as amended) 3 NYS Work 3 Prime Contract Projected MBE Goal: Contractor: Start Date: Completion Date: Complete: WBE Goal: Total payments to Prime to date: Total value of MBE subcontracts: Total value of WBE subcontracts: Total amount invoiced to date: 33 MBE of Prime contract (as amended): WBE of Prime contract (as amended): Amount of last payment to Prime: 55 Total MBE payments to date: 3 Total of WBE payments to date: 5 Date of last payment to Prime: Copy of BE Work Status this Report Subcontract Name of MBEWBE Subcontractor and Active, Inactive or Protected Date Amount Total Subcontract Agreement ?led Des tion of Work Performed Complete Subcontract Completion of Work of Payment for this Report Payments Amount Authority 1? Start Date Date Complete to Date (as amended) (Yes or No) Active Inactive C1 Complete Cl Active Inactive Cl Complete Cl Active Inactive C1 Complete CI Active CI Inactive CI Complete 13 Active Inactive C1 Complete IF NECESSARY, USE A SEPARXTE SHEET 1. Did any of the subcontractors rent/lease equipment from the prime contractor or an af?liate company during the report period? If yes, explain the arrangement, including a description of the equipment and the cost. 2. Did any of the subcontractors utilize employees or former employees of the prime contractor or an af?liate company during the report period? 3. Did any of the subcontractors subcontract any portion of its work to a during the report period? If yes, explain fully. 4. Has the scope of work or the subcontract amount for any of the WEB subcontractors changed since the last report? If yes, explain fully. YES NO By signing this form, the person individually and on the behalf of the Contractor represents to the Authority that the information contained herein is truthful, accurate, complete and not misleading. AUTHORIZED SIGNATURE: TITLE: DATE: PSC-05-2741, Addendum 1 REVISED Intent to Perform as Subcontractor/Subconsultant (FORM 15A.4) INSTRUCTIONS: See Chapter 11, Article 11.06 of Section 3. This form must be submitted with the proposal by each proposed subcontractor. CONTRACT NUMBER CONTRACT TITLE NAME OF PRIME The undersigned intends to perform work in connection with the above project as (check one): A subcontractor A subconsultant A second tier subcontractor (if required to meet the goal) NEIL: Pursuant to NY Executive Law Article 15-A, firms projected to participate in the Program must be certified as a by the Empire State Development Corporation (ESDC) in order for the firm?s participation to be credited towards an MBE or WBE goal. Only firms certi?ed by ESDC utilized to meet an MBE or WBE goal. The current certi?cation status of the proposed has been confirmed by the Bidder/Proposer. The proposed has submitted proof of its certi?cation to the Bidder/Proposer. SUBCONTRACT AMOUNT The undersigned is prepared to perform the following described work and/or supply the material listed in connection with the above project. Note; If applicable, please indicate the amount and percentage of work you intend to subcontract out to other subcontractorslvendors and the name(s) of said known subcontractors/vendors (both and BE ?rms). The undersigned intends to enter into a formal agreement for the above work with the named bidder/proposer conditioned upon the named bidder?s/proposer?s being awarded contract by the MTA or any of its af?liated agencies. By Date Name of Firm Name Title of Authorized Signatory Signature of Authorized Representative Please Type or Print Project/RFP Title: Location of Contract: STAFFING PLAN Contractor/Firm Name Check applicabie categories: (1) Staff Estimates include: (2) Type of Contract :1 Contract! Project Staff [3 Construction Consultants Address County ZIP CI Total Work Force CI Commodities City El Subcontractors CI Services/Consultants ZIP Total Anticipated Work Force Total Number of Employees Federal Occupational Category Black (Not of Hispanic Origin) Hispanic Asian or Paci?c Islander Native American! Alaskan Native Male Female Male Female Male Female Male Female Male Female Total Percent Minority Employees Total Percent Female Employees Officials/Admin Professionals Technicians Sales Workers foice Clerical Craft Workers Operatives Laborers Service Workers TOTALS Company Officiai's Name Title Company Official's Signature Date Telephone Number Staffing Plan (3/99) PSC-05-2741, Addendum 1 REVISED Intent to Perform as Subcontractor/Subconsultant (FORM 15A.4) INSTRUCTIONS: See Chapter 11, Article 11.06 of Section 3. This form must be submitted with the proposal by each proposed subcontractor. CONTRACT NUMBER CONTRACT TITLE NANIE 0F PRIME The undersigned intends to perform work in connection with the above project as (check one): A subcontractor 57:1 A subconsultant A second tier subcontractor (if required to meet the goal) Pursuant to NYS Executive Law Article 15-A, firms projected to participate in the Program must be certi?ed as a by the Empire State Development Corporation (ESDC) in order for the firm?s participation to be credited towards an MBE or WBE goal. Only firms certified by ESDC utilized to meet an MBE or WBE goal. T: The current certification status of the proposed has been con?rmed by the Bidder/Proposer. The proposed has submitted proof of its certification to the Bidder/Proposer. SUBCONTRACT AMOUNT The undersigned is prepared to perform the following described work and/or supply the material listed in connection with the above project. EDIE. If applicable, please indicate the amount and percentage of work you intend to subcontract out to other subcontractors/vendors and the name(s) of said known subcontractors/vendors (both and BE ?rms). The undersigned intends to enter into a formal agreement for the above work with the named bidder/proposer conditioned upon the named bidder?s/proposer?s being awarded contract by the MTA or any of its affiliated agencies. By Date Name of Firm Name Title of Authorized Signatory Signature of Authorized Representative Please Type or Print Appendix Pricing Matrix Phase 1 - Lump Sum Milestone 0301-th Specim milestone for payment Total Phase 1 Payments Proposed Payment Phase 2 - Lump Sum Milestone 0301-wa Specify milestone for payment Total Phase 2 Payments Proposed Payment Appendix Page 1 of 3 Phase 2 3 unit pricing? 5 6-10 1-3 Account Maintenance per active E-ZPass customer account per home transaction (toll and nontollAdditional Mailings per item stuffed per envelope mailed per e?mail sent Speed Enforcement Processinc per notice mailed I Toll Evasion Processing per image reviewed 3 per notice mailed JV I Class Mismatch Processing per image reviewed 3 per envelope mailed I I Ir Walk-in Centers Staten Island Queens Yonkers Albany Syracuse per item location Spring Valley Buffalo Appendix 2 Page 2 of 3 i Phase 3 - Lump sum for disaster recovery/business continuity E: Extra Work Job Title (Proposer to list titles) per hour by job title I I: Note: See Table 4?1 of Section 4 for more details Proposers may include break points at which different unit prices would apply, based on volume of units 2 Proposers shall include pricing only for years 1 through 5; thereafter (for years 6?10 and, if applicable, for the three additional extension years), pricing will be escalated each year on the basis of different price indices, as follows: - For upstate walk-in centers, the unit price will be escalated using the Consumer Price index for urban wage earners (CPI-W) for small cities, including shelter. - For downstate (New York City area) walk-in centers, the unit price will be escalated using the CPI-W for the New York City region, including shelter. - All other prices will be escalated using the for the relevant geographic area as determined by the location where the services are performed. 3 For pricing purposes, any number of images related to a single toil violation or class mismatch transaction counts as a single image and images do not include the QA review of unreadable images or the re-reviewed images associated with license plate numbers rejected by DMV's as not having a match. 4 For any price category that includes mailing, Proposers shall assume current postage rates for all years of their pricing submissions. Any increase in postage rates shall be treated as a direct cost pass?through to the Authorities in such future year(s) as postage rates may increase. Appendix 2 Page 3 of 3 2 Broadway Michael C. Ascher New York. NY 10004 7 President 646-252?7000 Tel 646-252-7902 TTY Bridges and TUnnels August 8, 2005 Addendum No.2 . PSC-05-2741 7 A E-ZPass New York Customer Service Center Services i To all Prospective proposers, you are hereby noti?ed of the following questions and changes to the referenced Solicitation. It is noted that the Authorities are responding to all questions received in sequential order. Please refer to Addendum 1 for the answers to Questions 1-13. 7 Question 14 What is the present level of seCurity, both surveillance and personnel, at each facility? Answer 14 Currently, security guards are required at the Queens, Staten Island, and Yonkers walk-in centers. However, Proposers should determine those security measures that they believe are necessary to meet the requirements of the RFP and include such measures in their proposals. Question 15 Are DMV fees to be included in the contractor?s costs, or will these be paid/covered by the Authorities? Answer 15 DMV fees are to be included in the contractor?s costs and Proposers should include such costs in their PhaseZ/Phase 3 pricings. Question 16 . Are the Authorities using (or planning to use) a 3rd party ?Lockbox? supplier for payment/violation processing? Answer 16 The present contractor is responsible for the security of funds received for payment/violation processing. Proposers should include appropriate provisions lockbox operations) for the security of funds and the costs of such security measures in their proposals. MTA Bridges and Tunnels (legal name, Tn'borough Bridge and Tunnel Authority) is an agency of the Metropolitan Transportation Authority, State 01 New York, Peter S. Kalikow, Chairman i'if'iltiti: (Addendum No. 2 Cont?d) Question 17 Can the bond in the amount of Phase 1 and Phase 2 plus one year of operational cost, as requested in Section 3 of the RFP at Chapter 5 (Insurance), Article Paragraph B, be terminated upon achieving Final Acceptance? Answer 17 No, the bond must remain in place for the entire term of the Agreement. Question 18 In Section 3 of the RFP, Chapter 5 (Insurance), Article Paragraph C, requires a bond in the amount of credit card payments in process equivalent to three (3) days of receipts. How long will this bond be in place and what would be the approximate amount/value? Answer 18 This bond must be in place for the entire time of the Agreement. There will be separate bonds for each of the three Authorities, in the following approximate amounts: NYSTA: $3.75 million (this amount includes NYSBA) PAN YNJ $2.5 million TBTA: $7.4 million Question 19 In Section 3 of the RFP, with regard to Article Wage and Hours Provisions, please advise if this procurement is considered a Public Work contract covered by Article 8 of the New York State Labor Law. Answer 19 By its terms, Article 8 of the New York State Labor Law applies to the employment of laborers, workmen and mechanics on a public work project. Each Proposer must determine the applicability of the law based on how it proposes to perform the work to operate the NY CSC. Question 20 Will the Authorities supply a copy of the existing policies and procedures manuals? Answer 20 The Authorities have determined that the existing policies and procedures manuals contain proprietary information and cannot be provided. Page 2 01'3 - (Addendum No. 2 Cont?d) Question 21 Will the Authorities supply a sample copy of all regular existing customer mailings including all notices, letters, statements, and invoices as applicable? Answer 21 The Authorities are in the process of assembling the requested samples and will provide them when they are available to all parties that have requested a copy of the RFP. However, Proposers are referred to Appendices J, K, M, 0, T, and for the data content required for all customer communications and notices. Please be governed accordingly in the submission of your proposal. Sincerely, E?ZPass New York Customer Service Center Procurement Coordinator Page 3 of 3 2 Broadway Michael C. Ascher New York. NY 10004 President 646-252-7000 Tel 646-252-7902 TTY Bridges and Tunnels August 22, 2005 Addendum No.3 E-ZPass New York Customer Service Center Services To all Prospective pmposers, you are hereby notified of the following questions and changes to the referenced Solicitation. It is noted that the Authorities are responding to all questions received in sequential order. Please refer to Addendum 1 for the answers to Questions 143, Addendum 2 for the answers to Questions 14 through 2] and this Addendum 3 addresses Questions 22 through 59 and 28 modi?cation or objections to the terms and conditions. Part 1 Answers to Questions 22 through 59 Question 22 Can you provide the percentages and weights for each of the evaluation criteria? Answer 22 That information is not disclosed during the procurement process. Question 23 Are the Authorities using (or planning to use) a Tim-party ?Lockbox? supplier for payment/violation processing? Answer 23 This question is the same as Question 16 and was answered in Addendum 2. MTA Bridges and Tunnels (legal name, Triborough Bridge and Tunnel Authority) is an agency of the Metropolitan Transportation Authority. State of New York, Peter S. Kalikow, Chairman Question 24 What are the Authority observed holidays and are the walk?in centers closed on these holidays (including the CSC back?of?ce)? Answer 24 Each Authority has a different holiday schedule. In 2005, holidays that have been or will be observed at the are as follows: January 1 for New Year?s Day (observed on Friday, December 31") January 17 for Martin Luther King Day February 21 for President?s Day May 30 for Memorial Day July 4 for Independence Day September 5 for Labor Day October 10 for Columbus Day November 8 for Election Day November 11 for Veterans Day November 24 for Thanksgiving December 25 for Christmas (observed Monday, December 26*) Proposers can expect that a holiday schedule similar to that for 2005 will apply to future and walk-in center operations. The holiday schedule for the back of?ce shall be determined by the Proposer based on its ability to meet all requirements set forth in the RFP. Question 25 What is the square footage of the Staten Island walk-in center? Answer 25 The total square footage of the Staten Island walk-in center is approximately 2670 sq ft. Question 26 What are the beginning and ending dates of each Authority?s fiscal year? Answer 26 All of the Authorities have fiscal years coinciding with the calendar year, i.e. January 15' through December 31". Question 27 How large is the production database? Can you provide record size and record length? Answer 27 That information cannot be provided at this time. Question 28 Are we expected to provide access to all archived data? Answer 28 Yes, the Contractor is required to provide access to all archived data in accordance with the requirements set forth in the RFP. Question 29 How large is the archive database? What versions of the database can we expect to convert from? Answer 29 Information on the size of the archive database cannot be provided at this time. However, Proposers are advised that the database is in Oracle 7.1-123. Question 30 What format is the archive data in? Has the schema changed, from archive to archive? Answer 30 Information regarding the format of the archived data cannot be provided at this time. For the purpose of proposal preparation, Proposers should assume that all archived data are in a single database schema. Question 31 Will we be provided the Data Base specifications, data dictionary, entity-relationship diagrams and all relevant information at Notice to Proceed? Answer 31 At Notice to Proceed, the Authorities will provide all information necessary for the transfer of necessary data to the selected Contractor. Question 32 Your present Succession Plan states: ?During the performance of the CSC Operations Program contract, ACS will meet at least once a year with NYSTA and MTA to discuss recommendations for changes in the content, scope and provisions within this Succession Plan to ensure it will fully meet the current requirements of succession." Can we get the notes of those meetings? Answer 32 The requested material cannot be provided at this time. However, Proposers are advised that there have been no changes in the content, scope, and provisions of the Succession Plan included as Appendix to this RFP. Question 33 In reference to Section 2.4.1, page 2-123, 4"1 paragraph: Are Agencies restricted from viewing each other?s data on the application level only, or on both levels, application and administration levels? Answer 33 Authorities shall have access to data from other Authorities through the Contractor-supplied application software. Controls shall be put in place to prevent any access by any other means by anyone (including Authorities). Question 34 RFP Section 3, Terms and Conditions, Article 5.01 Insurance, Section B, Insurance, Page 3-21. The bond form referred to in Section does not seem to have been provided with the RFP. Can the Authorities please verify that annually renewable bonds will be acceptable for this contract? In addition, can the Authorities please make the form available? Answer 34 Annually renewable bonds will be acceptable. The form of the bond will be made available in the next addendum. Question 35 RFP Section 3, Terms and Conditions, Article 3.04, Compensation for Extra Work, Page 3-14. Can the Contractor assume that this provision applies only to sub-contractors named in the proposal and not vendors? If not, will the Authorities consider permitting the Prime Contractor to apply a ?ve (5) percent overhead/processing fee to work performed by subcontractors/vendors? Answer 35 See attached revised Article 3.04 ?Compensation for Extra Work?. Question 36 RFP Section 3, Terms and Conditions, Article 6.01, Proprietary Rights, Page 3-22. The RFP asks for ownership of any inventions, ideas, designs and methods developed by the Contractor and any subcontractors speci?cally for the Authority. In Article 4.43, Software Ownership, it is clear that the Contractor retains ownership in proprietary applications used to provide services to the Authority. Would the Authority please clarify that Authority Owned Inventions are limited to those works which are developed speci?cally, and paid for by, the Authority? Answer 36 The Authority Owner Inventions are those works which are developed speci?cally and paid for by the Authority. Question 37 RFP Section 3, Terms and Conditions, Article 11.06, Utilization Plan, Page 3-48. Subsection A states that Proposers must submit both the Utilization Plan Form (15A.1) and the Intent to Perform as a Subcontractor/Subconsultant Form (Form with the proposal response. However, only the following forms are provided in Appendix BB5, Forms: Form 15A.1 Utilization Plan Form; Form 15A.2 Request for Total or Partial Waiver of Goals and Form 15A.3 Participation Report. Will the Authorities please confirm whether or not Form 15A.4 was included in Appendix If not, can the Authorities please provide the form? Answer 37 The initial RFP did not include Form 15A.4. However, that Form was provided as part of Addendum 1. Massif; RFP Section 1.9.2 and RFP Section 4.4, Proposal Contents and Cost Saving Ideas/Altemative Proposals, Pages 1?7 and 4-5. In Section 1.9.2 the Authorities state that proposal parts ?must be submitted separately for each Base Proposal and each Alternative Proposal." In Section 4.4 of the RFP it appears that alternative proposals shall show only differences and justi?cations from the base proposal. If there is no change to a particular section or sub?section from the base proposal, can the Proposer simply ?point back? to the base proposal or does the entire section need to be repeated? Answer 38 Each proposal, whether Base or Alternative, must be submitted as a stand-alone proposal for evaluation. Preposers may include identical sections in different proposals, as applicable, but may not simply refer back to sections in the Base proposal. mamas) SOW Section 2.1.2.1, System Development Page 2?7 and SOW Section 2.4.2, Hardware Requirements, Page 2-124. Section 2.1.2.1 of the RFP states: ?Hot standby processing facilities for all computer resources? and SOW Section 2.4.2 states ?This redundancy shall include all major computing equipment?. It is our understanding that this requirement is meant to provide a second geographically separated site from the primary data center, which will contain a full replica of the servers, storage, networks, applications and databases to be able to take over all processing in the event of failure of one or more components at the primary data center site. This also implies that the design should provide adequate replication technologies to keep the secondary site fully with the primary site at all times (except when the primary site is down) to enable the secondary to take over all system processing from the primary with minimal or no downtime. Will the Authorities confirm this understanding as being fully representative of what is intended for redundancy and hot standby? Answer 39 The Authorities con?rm that this understanding would be compliant with the requirements of the RFP in terms of redundancy and hot standby. Question 40 SOW Section 2.1.2.1, System Development, Page 2-7. This section states: communication lines supplied by more than one commercial carrier.? Does this requirement pertain to data communication lines only or does it also apply to all telephone lines? Answer 40 The requirement for communication lines provided by more than one commercial canier applies to data communication lines. For non?data communication lines, Proposers must include in their proposals solutions that will meet the functional, performance, and disaster recovery/business continuity requirements of the RFP. er? SOW Section 2.2, Phase 2 Transition, Page 2?11. The Statement of Work appears to be silent with regard to how much historical data is required to be converted (on-line) from the incumbent?s current database. Will the Authorities please con?rm that they wish the Contractor to convert data that complies with the Data and Document Retention Requirements in Appendix For example: Five years of ?nancial history, one year of violation images, five years of violation notice history, 10 years of tag history, etc. If this assumption is incorrect, will the Authorities please provide the requested periods of time for each type of data record listed in Appendix to be converted? Answer 41 The Authorities confirm that they require the Contractor to convert data that complies with the Data and Document Retention Requirements in Appendix G. Question 42 SOW Section 2.2, Phase 2 Transition, Page 2-11. Is it correct to assume that the Authorities wish the Contractor to mail out second and third violation notices to violators who have already received a 1? notice under the incumbent?s current system? Answer 42 Yes, it is correct to assume that the selected Contractor will be responsible for mailing out second and third violation notices to violators who have already received a first notice under the incumbent contractor?s current system to the extent that violators have not responded to the first notice, as per Section 2.3.6.7.3 of the Statement of Work. Question 43 SOW Section 2.3.1.2, Staffing, Page 2?16. It is our understanding that, under the current contract, drug testing and background checks are conducted on all new employees as a condition of employment and are conducted on employees randomly thereafter. Given the sensitive nature of the data, do the Authorities wish to continue this practice? Answer 43 The Authorities will answer this question in a subsequent addendum. Question 44 SOW Section 2.3.4.4, Communications with Customers, Page 2?43. Do the Authorities wish to continue having customer materials applications, user guides and stationary) printed in a two-color format? Answer 44 As stated in Section 2.3.4.4 of the RFP, the Contractor will be responsible for the design (including format) of customer communication materials, subject to the approval of the Authorities. There are no pre?detennined format requirements. uesti 4S SOW Section 2.3.4.5, Mail and E-mail Processing, Page 2?44. It is our understanding that the current CSC contract treats postage as a pass-thru expense and it is not burdened with either contractor overhead or pro?t. This would apply to mailings such as, but not limited to: customer statements, transponder mailings, credit card notices, violation notices, etc. In order to continue recognizing these savings, will the Authorities consider modifying the RFP to require this treatment for postage? Answer 45 The treatment of postage in the Base proposal must conform to the instructions in the RFP at paragraph 1, page 4-3, relating to Table 4-1. However, a Proposer may elect to submit an Alternative proposal with modified treatment of postage costs for mailing if it believes that such modi?cation can be demonstrated to bene?t the Authorities. Question 46 SOW Section 2.3.4.7, Call Center, Page 2?46. Do the Authorities wish to continue the cunent New York State contract for toll-free telephone service with If not. may the Pr0poscr select the service provider? Answer 46 Pr0posers are not required to use the toll-free telephone services of MCI. A Pr0poscr may select any toll-free telephone service provider that meets all of the requirements of the RFP. Question 47 SOW Section 2.3.4.7, Call Center, Page 2-46. This section requires that ?Customers must be able to obtain information regarding E-ZPass and/or their accounts via a toll-free telephone number.? Does the requirement for toll-free telephone access also apply to all violation calls? Answer 47 Pr0posers are referred to the RFP Appendix X, VRS Script, for the minimum requirements for violation calls. As a clarification, the VRS Script includes options which must be available to callers using the toll-free number, with both customers and non-customers (including violators) using the same toll?free number. Question 48 SOW Section Payment Handling Procedures, Page 2-65. Does a hand-off to the armored courier satisfy the time requirement for deposit of funds? Answer 48 No, the funds must be deposited in the bank within the stated time requirement. Question 49 SOW Section 2.4.2, Hardware Requirements, Page 2?124. The RFP states, ?Proposers shall provide a full and complete description of all hardware that will be utilized for the However, the RFP is silent on who will own this hardware. With the exception of the assets listed in Appendix E, can the Contractor assume that it will own all assets computer hardware, ancillary equipment, furniture, etc.) throughout the term of the contract and beyond? If no, who will own which piece(s) of equipment and at what point of time during the contract? Answer 49 The Contractor can assume it will own all assets other than those listed in Appendix E, except in the event of default as outlined in Chapter 8 or in the event of termination for convenience as outlined in Article 2.13. Question 50 SOW Section 2.4.3.1.5, Website Functions, 2?126. Do the Authorities wish for violators to have the ability to make payments via the website? Answer 50 It is not a requirement for violators to have the ability to make payments via the website. However, Proposers can propose this functionality as part of their Base or Alternative proposals. QM SOW Section 2.4.3.1.5, Website Functions, Page 2-126. The current E-ZPass New York Website includes the option for a customer to view the account?s toll history, financial transaction history, non-financial transaction history and E-ZPass Plus transaction history. The functionality was not listed in the RFP as required. Do the Authorities wish to continue to have this information available to customers? Answer 51 The Authorities do require that all functionality currently offered by the E-ZPass New York website continue under the new Contract, which includes the following: 1. Website Access A. Account Number/Tag B. PIN or password IV. Account Information A. Account Balance B. Address (including Phone C. Last Replenishment 1. Method 2. Amount 3. Credit Card Number 4. Date of Last Replenishment D. Latest Tolls (minimum 3 Tolls) Account History A. E-ZPass T011 and Financial Information (minimum3 Months) B. E-ZPass Plus History C. Non-Financial History 1. Search for Non-Financial History by Date Update Personal Information A. Address 1. Address 2. Day Phone 3. Evening Phone B. Add/Update Credit Card 1. Shows Current Information a. Current Replenishment b. Current Credit Card on File (Last 4 Digits) c. Credit Card Expiration Date 2. New Replenishment Method a. Credit Card Type b. Credit Card Number c. Expiration Date 3. Update Expiration Date Only C. Add Credit Card Information (Check Customers Only) D. One Time Payment by Credit Card Cash/Check) Payment Amount Credit Card Type Credit Card Number Credit Card Security Code Cardholder Name 6. Billing Address E. One Time Payment Via Credit Card (Credit Card Customers) 1. Payment Amount 2. Automatically Fills In Card Type from the Account 3. Automatically Fills In Credit Card Number from the Account 4. Automatically Fills In CC Expiration Date From the Account 5. Displays Billing Address on the Account F. Update Password VI. VII. 1. Current Password 2. New Password 3. Retype New Password G. Statement Delivery Maintenance 1. Delivery Type (Mail, E-Mail, ?No Statement?) 2. Frequency ?No Statement?) 3. E?Mail Address VehiclelTag Maintenance A. Report Tags Lost/Stolen 1. Tag Number 2. Tag Status 3. Account Name B. Vehicle Maintenance Plate Number State Make Model IAG Code Account Name . Country C. Request to Add Tags 1. Account Name 2. IAG Code 3. Tag Type (Interior, Exterior) E-Pass Plus A. Non?Toll Parking 1. Opt In 2. Opt Out Additional Functionality A. Log ?in Screen 1. Account Number 2. Password] PIN B. Violations 3. Ability to check violation status by entering violation number and license plate number C. E?ZPass On the Go 4. Activate pre-packaged tags distributed at offsite locations (as per Section 2.3.4.3 of the RFP) a. Open a New Account b. Add a Tag to an Existing Account Roads and Travel Conditions Terms and Conditions Hyperlinks Ask Us (Frequently Asked Questions) Contact Us 5. Allows Customers to E-Mail Questions and Receive a Response Via E-Mail momma Questign? SOW Section 2.4.4.1, Physical Connections, Page 2-162. It is our understanding from the requirements of this section that the Contractor shall provision and include costs of the initial provisioning as well as ongoing operational costs for the telecommunication interconnects between the primary and secondary toll data processing sites to each of the Authorities? locations, the E?ZPass Plus facilities, and to the IAG network. It is also our understanding that the Authorities expect two connections (a primary and a back-up) of equal capacity, but provided by two different telecom providers to the primary data center and a separate connection to the secondary data center for redundancy. Furthermore, it is also our understanding that the Contractor will only be responsible for network connectivity equipment at the Contractor?s end, for each of these network connects and the equipment required at the Authorities? end will be provided by the Authorities. Please confirm that our understanding is accurate or provide clarification if this is inaccurate. Answer 52 The Authorities con?rm that this understanding is accurate. Question 53 Appendix AA, Cover Page. The cover letter refers to Supplement 1, 2 There appears to be no reference to the term Can the Authorities please clarify that these refer to the State of New York Vendor Responsibility Questionnaires in Appendix Answer 53 The correct reference for Appendix AAI is the State of New York Vendor Responsibility Questionnaire, not BP Supplement 1, 2, 3. Question 54 Appendix AA3, TS-4 Supplement. There appears to be two identical TS-4 Supplement forms. One begins on page 13 and one begins on page 1. Can the Authorities please con?rm whether the Proposer needs to ?ll out only one or both the forms? Answ 4 Proposers must complete only one TS-4 Supplement form. Proposers are advised that the duplicate pages at the end of TS-4 (Appendix AA2) were eliminated in the attachments to Addendum 1. Question 55 Appendix D, Summary of E-ZPass New York Leases, Page 2. It would appear that some of the current walk?in centers are located outside the ?corridor of operations? as speci?ed in the RFP. Do the Authorities wish the walk-in facilities in the Grand Island, Syracuse and Buffalo areas to remain? Answer 55 The Authorities require that walk-in centers remain in Grand Island, Syracuse, and Buffalo as indicated in Appendix D. Question 56 Appendix Z, Pricing Matrix, 2 of 3. Will the Authorities please confirm that an ?item stuffed? will be a single page, single sided, one color document, no greater than 8" 11? in size? If this is not correct, will the Authorities please provide additional information relative to the description of a stuffed item? Answer 56 Proposers should assume that an item stuffed will be a single 8 1/2 by 11 inch document. However, items to be stuffed will be provided by the Authorities or paid for separately. Proposers should provide a price per item stuffed that re?ects the Proposer?s cost for stuffing the item into customer statements. Appendix 2, Pricing Matrix, Page 2 of 3. Will the Authorities please con?rm that for the Initial Contract Term, the unit prices quoted for Year 1 and Year 2 are to be a single number? Answer Yes, Proposers should provide a single number re?ecting the unit prices proposed for Year 1 and Year 2. Question 58 Appendix Z, Pricing Matrix, Page 3 of 3. Will the Authorities please clarify what amount is to be included for Phase 3 Lump Sum for disaster recovery/business continuity? Is this Year 1, or all 10 years of the Initial Term? Answer 5? The Lump Sum amount for disaster recovery/business continuity should cover developing and initially implementing the elements of the proposed Disaster Recovery/Business Continuity Plan. However, costs for keeping Disaster Recovery and Business Continuity plans in a state of readiness throughout the term of the project should be included in Phase 2/3 unit pricing. Question 59 Appendix 2, Pricing Matrix, Page 3 of 3. Will the Authorities please confirm that the per hour by job title? for Extra Work is to be a fully loaded rate and include such items as: salary, fringe bene?ts, contractor overhead and pro?t? Answer? Yes, the per hour by job title? for Extra Work is to be a fully loaded rate and include such items as: salary, fringe bene?ts, contractor overhead and profit. . . . . Item 1. Page 1-5, Article 1.7.3 ?Objections to Terms and Conditions? Contractor may elect to submit an Alternate Proposal. Therefore, Contractor requests the following sentence be added to article 1.7.3: ?In the event Contractor elects to submit an Alternate Pr0posal as well, the Contractor may request unique terms and conditions or revisions to the RFP terms in its Alternate Proposal if such terms are unique and required to implement the Alternate solution.? Response 1 - All proposals must be based upon the terms and conditions contained in the RFP, as amended by subsequent RFP addenda. Item 2. Page 3-7, Article 2.09 ?Extension of Time? This provision grants the Contractor a time extension if the cause of delay is beyond the Contractor?s control and/or without his fault. In such an event, Contractor should also be reimbursed his actual and reasonable cost to continue to staff the CSC, should a significant delay occur which prevents Contractor from processing any or all of the transaction categories required by the contract. Contractor suggests the following subparagraph be added to article 2.09: In the event a delay or suspension of the work occurs for more than (to be negotiated) days, due to a Force Majure situation or any situation that does not involve the fault and/or negligence of the Contractor and which prevents the Contractor from processing the Transactions/Invoices required by this contract, the Authorities will accept and Change Order request from Contractor in accordance with article 2.11 below, for the reasonable actual costs incurred by Contractor and its Subcontractors to continue to operate the CSC during the delay or suspension of the wor Response 2 Article 2.09 ?Extension of Time? remains unchanged. However, Contractor would be compensated for actual work performed pursuant to the Agreement during such time period. Item 3. Pages 3-10 through 3-12, Article 2.13 "Termination for Convenience by the Authority/Suspension of Work? Contractor will have a significant reoccurring and non-reoccurring investment in the project that will not be recovered from Transactional compensation if the project is suspended or terminated early. This issue of suspension is addressed in comment 2. above. With respect to early termination for convenience, Contractor requests the following changes to this provision: The last sentence of the ?rst paragraph is changed to read: ?In the event the Authority exercises its right to postpone, suspend, abandon or terminate this Agreement, the Authority will provide the Contractor with at least ninety (90) davs written notice. (2) Add new to subparagraph b. as follows: actual and reasonable termination costs, to include employee, lease, subcontractor and demobilization termination costs?. Response 3 See Attached Revised Article 2.13 ?Termination for Convenience By The Authority/Suspension of Work?. Item 4. Pages 3-13 and 3-14, Article 3.04 ?Compensation for Extra Work? Contractor requests that Subcontracted extra work entail a 5% markup for the administration, management and the assumption by Contractor for risks and costs not assumed by the Subcontractors- Response 4 See attached Revised Article 3.04 ?Compensation for Extra Work?. Item 5. Page 3-14, Article 3.06 ?Monies Withheld? This provision would allow the Authorities to withhold payment of any invoiced amount. at any time, for any reason, for any length of time; in the Authorities sole discretion as to what is ?reasonable grounds.? Contractor requests the following changes to this provision: time??aeed?fer?perfemanee?er- Pigllowing reasonable notice to Contractor and reasonable time to ur the tra tor ha fled to 6 arm to the uirements 0 this contract' or b. A meritorious claim exists or?wil-l?enist?against the Contractor or the Authority arising out of the negligence of the Contractor or the Contractor?s material breach of any a material provision of this Agreement, then the Authority may withhold payment hereunder in an amount not greater than the amount at the claim relating to Contractors work. Any amount so withheld may be retained by the Authority for such period as it may deem advisable to protect the Authority. but tn no case longer than claim resolution. against?any?l-Gss Response 5 Article 3.06 ?Monies Withheld? remains unchanged. Item 6. Page 3-15, Article 4.01 ?Software License? Contractor requests the following changes to this provision: The Contractor shall provide to the Authority an unlimited, perpetual, universal, irrevocable, non? exclusive License to use, duplicate modify, disclose andlor permit any other persons) or entity(ies) providing services to the Authority to use all such Eqm-pment?and Contractor Software needed to operate the New York Customer Service Center, including the associated specifications, technical data and other documentation needed for such operations {hereinafter referred IQ as Contractor CSC Spitwarg). The Authority or its designee may continue to use this Contractor CSC Software under this License for an indefinite period of time, including beyond the term of this Agreement. This License shall cover the full definition of Gonteaetor owned?Software, including components directly owned ancll-oic developed by the Contractor solely for this by?anHu-beontsaetors. The Contractor shall provide the Authority with such License upon execution of this Agreement, however, release of the software and vesting of the license shall be subject to the Escrow Agreement. b. For Third Part Software the Contractor shall rovide to the Aut inventory of all Third-Party Software necessary to run the Customer Service Center. Contractor shall make commercially reasonable efforts to enter into software license agreements for such Third-Party Software which allow Contractor to assign said license to the Authority at the expiration or termination of this Agreement. Where allowed by the Third Party Software license Contractor 5 al assi a' 'c nse uthorit iration or termination of this Agreement. Following the expiration or termination of this Agreement, upon the Authority?s acceptance of assignment of the Third- Party Licenses, the Authority shall be solely responsible for all obligations under said licenses including but not limited to all license fees and maintenance. Response 6 See attached Revised Article 4.01 ?Software License". 7 - 4 2 i 99 The Contractor requests the following changes to this provision: ?The License to Contractor CSC Software shall allow the Authority to use and reproduce the Contractor CSC Software on any and all equipment configurations of whatever make, manufacture and/or model, owned, controlled or contracted for, by the Authority or entities controlled by, under common control with, or organizations which may hereafter be formed by the Authority or which may assume the responsibilities of the Authority or any successors of the Authority, in connection with the Services provided by or to the Authority including maintenance. Such License to antractor CSC Software shall specifically include, but not be limited to, the right of the Authority to use and/or disclose, in whole or in part, the technical documentation and Software, including object-code provided hereunder, to any person or entity outside the Authority for such person's or entity's use for the sole pugpose o_fin furnishing any and/or all of the Services?. Response 7 See attached Revised Article 4.02 ?Scope of Software License?. Item 8. Page 3-16, Article 4.03 ?Software Ownership? The Contractor requests the following changes to this provision: The License to Contractor CSC Sottwam that the Contractor provides to the Authority shall include a warranty clearly expressing that it possesses all rights, title and interests in the Software, and all portions thereof, or otherwise has the right to grant to the Authority the License for the Software. This warranty shall cover Contractor . Subject to the terms of any applicable Third Party software license and as provided elsewhere in this Agreement, nothing in this Agreement shall preclude the Authority from providing to any other persons, or entity(ies), nor any such persons, or entity(ies) from using, any of the Equipment and/or Software provided hereunder, and the associated specifications, technical data and other documentation relating thereto, solely in connection with providing goods or Services to the Authority. Response 8 - See attached Revised Article 4.03 ?Software Ownership?. Im. e3-7 ril45? n? Contractor requests the following sentence of the second paragraph of this provision: ?In the event-the Contractor revises or supplements any of the information deposited or creates additional information, the Contractor will deposit a complete set of such revised, supplemented, or additional information with the above named escrow agent within thirty (30) days of such revision, supplement or addition and shall indicate with each deposit which documents mid which pages have been revised, supplemented or added since the last deposit.? be replaced with the following sentence: ?Contractor shall update the escrow account deposit semiannually with any revisions, supplements or additions made to the deposited material since the previous deposit. Contractor shall indicate with each deposit, as applicable, which documents and which pages have been revised, supplemented or added since the last deposit.? Response 9 See Attached Revised Article 4.05 ?Escrow Agreement?. Item 10. Pages 3-18 3-21, Article 5.01 ?Insurance? Contractor requests that this provision be changed to reflect Industry Standard insurance wording as follows: The Contractor must All insurance required by this Agreement shall be obtained at the sole cost and expense of the Contractor, and maintained with insurance carriers that are licensed to do business in New York State, are acceptable to the Authority, and have an AM. Best Rating of ?secure? or at a minimum A-. The Contractor shall The Contractor shall furnish the Authority with WWO a standard ACORD form certi?cate of insurance executed by a All certi?cates and policies shall provide for 30 days? written notice to the Authority prior to the cancellation, non?renewal, or material altered-ea change of any insurance policies referred to therein. Such notice shall be sent by Berti-?ed mail to: [Designated Authority Contact Name and Address]. Wontractor shall be responsible for any deductible or self- insured retention it may can): on its insurance. Failure to maintain the required insurance and provide proof of such coverage, in the form of a standard certi?cate of insurance, to the Authority may, By requiring insurance, the Authority does ?not represent The Contractor shall immediately ?le with the Authority?s Insurance Division notice of any occurrence likely to result in a claim against the Authority, and, where applicable, shall also ?le with the Insurance Division detailed sworn proof of interest and loss within sixty (60) days from the date of loss or reported loss. The speci?c types and amounts of insurance that the Contractor must provide pursuant to this Agreement are as follows: 1. Commercial General Liability (CGL) with a combined single limit for Bodily Injury, Personal Injury, and Coverage shall provide and encompass at least the following: a. Independent Contractor; b. Contractual Liability covering the liability of the parties arising from the performance of services under this Agreement by Contractor subject to the terms, conditions and exclusions of the policy; 7 c. Products Liability Completed Operations; (1. CGL coverage written on an occurrence form; Waiver of Subrogation; The Authority shall be named as an Policy or policies must include a provision or be The CGL policy(ies) and {3'00th i. 2. Business Automobile and-Truck Liability Insurance with limits of liability of $2,000,000 each aeeu?eaee accident on a combined single limit basis for claims for bodily injuries (including death) to persons and for damage to property arising out of the Contractor?s ownership, Valuable Papers Insurance insuring all plans, designs, drawings, specifications, and documents produced or used under this contract by Contractor. The bene?ts of all Valuable Papers Insurance shall be made to extend earpiece-1y to the Authority as loss payee as their interests may appear. 3. All Risk Crime Insurance Policy/Fidelity Bond Insurance for a minimum amount of $10, 000, 000 per occurrence loss and $20,000,000 aggregate coverage of the Authority funds. The full policy limits shall include Computer Theft We coverage. This policy shall include ajoint loss payee provision or endorse the following: ?It is hereby understood and agreed that a loss covered hereunder involving property of the New York State Thruway Authority or the Triborough Bridge and Tunnel Authority or the Port Authority of New York and New Jersey while in the care, custody or control of the Contractor shall be payable by the Company to the first named insured and the New York State Thruway Authority, the Triborough Bridge and Tunnel Authority and the Port Authority of New York and New Jersey.? This policy coverage shall also include theft of the Authority funds while in the care, custody, or control of the Contractor or dishonest acts by the Contractor?s employee WOW or by any such employees of Contractor working in collusion. Contractor shall require its subcontractors to maintain similar coverage at subcontractors? expense. Workers? Compensation and Disability Insurance with 6. Professional Liability Insurance with coverage of not less than $1,000,000 per claim. If such policy is 7. Such additional insurance policies Response 10 See attached Revised Article 5.01 ?Insurance?. Item 11. Page 3-24, Article 6.04 ?Procurement of Agreement? Contractor requests the following changes to this Provision: c. For an intentional breach or violation of such representations and warranties, the Authority shall have the right to find the Contractor 1n default and to s__eek recovery all monies paid hereunder and the Contractor shall not snake claim for or be entitled to recover, any sure or sums due hereunder?- Response 11 Article 6.04 ?Procurement of Agreement? remains unchanged. Item 12. Page 3-25, Article 6.06 ?Ethics? Contractor requests the following changes to this Provision: ?During the term of this Agreement, the Contractor shall not knowingly engage any person who is or has been at any time in the employ of the Authodty-er?New??ork?State, without the consent of the Authority.? Response 12 Article 6.06 ?Ethics? remains unchanged. Item 13. Page 3-26, Article 7.01 ?Risk of Loss? and page 3-34, Article 8.04 ?Actual Damages? These provisions require the Contractor to accept unlimited liability. ACS has a fiduciary obligation to it shareholders to place reasonable limits of liability in all contracts. Further, disclosure under recently implemented Sarbanes Oxley regulations make it very dif?cult for AC8 to accept unlimited liability, particularly for estimated lost revenue. Although some contracts entered into prior to the acquisition by ACS did not contain such limits, ACS policy essentially precludes it from entering into contracts with unlimited liability. Consequently, ACS requests that the actual damage provisions, to include lost revenue, set out in a. of Article 7.01 and b. and d. of Article 8.04 contain a reasonable upset limit, and that both provisions exclude liability for other incidental, consequential, indirect, punitive or special damages. In addition, Contractor requests the following changes to Article 7.01: a. The risk of loss of funds or deposits within Contractor?s control and possession and due the Authority including but The risk of loss or damage to any property of the Authority arising out of or alleged-te-have?arisen?eut?ef or in connection with Response 13 See attached Revised Article 7.01 ?Risk of Loss?. Item 14. Page 3-27 Article 7.03 ?Patent and Copyright Indemnification? Contractor requests the following changes to this provision: The Contractor represents and warrants that: it is and will be the sole owner of all works employed in providing Services pursuant to this Agreement, other than preexisting works and Authority Owned Inventions, including, but not limited to, programs, documentation, Equipment, Software, analyses, firmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like; 9162-) it has and will have full and sufficient right to assign or grant the rights and/or licenses granted pursuant to this Agreement for all works employed to provide Services pursuant to this Agreement including preexisting works. Contractor further warrants and represents Wall elements of the works employed to provide Services pursuant to this Agreement, including all preexisting worksThe Contractor shall be liable and responsible for any and all claims made against the Authority for infringement of patents, copyrights, trademarks, service marks, trade secrets or any other third party proprietary rights, by the use or supplyingpy the Contractor of any programs, documentation, If the Authority be enjoined from using any of the facilities which form the subject matter of this Agreement, and as to which the Contractor is to indemnify the Authority against proprietary rights claims, the Authority may, at its option and without thereby limiting any other right it may have hereunder or at law or in equity, require the Contractor to supply, temporarily or permanently, facilities not subject to such injunction and not infringing any proprietary rights and if the Contractor shall fail to do so, the Contractor shall, at its expense, remove all such facilities and refund the cost thereof to the Authority and otherwise equitably adjust compensation and take such steps as may be necessary to ensure compliance by the Authority with such injunction, to the satisfaction of the Authority. Ihe feregeing indemnification shall enly apply to claims which ag?se fpem the Aethe?ty?s use of any programs, decumentation, Equipment, Softwme, analyses, firmware, tools, artieles, appliances, structures, materials, deviees, applications, methods, ways, processes said ui nt 3 ftwa tc. i a directed or intended bv the Contractor. Further. as a condition of Contractor's indemni?cation under this Article 7.03, Contractor shall have full control over the defense and settlement of any indemnified claim provided that any such resolution does not excuse Contraeter free] eemplying with subsection below." Response 14 See attached Revised Article 7.03 ?Patent and Copyright Indemnification?. Item 15. Page 3-33, Article 8.02 ?Notice of Default-Chance to Cure, Termination? It is not reasonable to expect or require the Contractor to cure a default ?immediately.? Therefore, Contractor requests the first two sentences of this provision be changed as follows: ?If, in the determination of the Authority, an Event of Default occurs, the Authority may so notify the Contractor (?Default Notice?) in writing specifying the basis (es) for such default, and advising the Contractor that such default must be cured immediately within ten (10) working days, or this Agreement with the Authority may be terminated. The Authority may?in?its?sele?diseretiemw shall allow the Contractor to rectify the default to the Authority?s reasonable satisfaction within a seven?Wten (10) working day period.? Response 15 See attached Revised Article 8.02 ?Notice of Default - Chance To Cure, Termination?. Item 16. Page 3-34, Article 8.04 ?Actual Damages? See item 10. above. Contractor requests the following changes to this provision: The Contractor acknowledges a b. The Contractor shall reimburse the Authority for any revenue, which the-Authority identi?es-as-leaving have been lost due to the fault of the Contractor. The Authority may choose, in its sole discretion, to recover such lost revenue from the Contractor by deducting such amounts from payments otherwise due and owing from the Authority to the Contractor. Lost revenue is limited to iaeludes funds or deposits within Contractors control and d. The Contractor shall reimburse the Authority for the actual value of all transactions which are 30 days beyond receipt and not posted to an account. The Authority may choose, in its sole discretion to recover such lost revenue from the Contractor by deducting such amounts from payments otherwise due and owing from the Authority to the Contractor. Moreover, tThe Contractor is obligated to notify the Authority about transactions that are not processed within 5 days of Response 16 Article 8.04 ?Actual Damages? remains unchanged at this time. Item 17. Page 3-35, Article 8.06 ?No Damages For Delay? See comment 1. above. The CSC is staffed with several hundred full time people dedicated 100% to this project. In the event of signi?cant delay, suspension of work, or other hindrances that prevent Contractor from processing transactions that are not due to Contractor fault or negligence, Contractor should be compensated for actual and reasonable costs incurred during the period. Consequently, Contractor requests the following sentence be added to this provision: ?However, in the event of project delay or suspension of the work, or other hindrance not due to Contractor fault or negligence that prevents Contractor from processing Transactions/Invoices, Contract may submit a Request for Compensation per Article 3.04." Response 17 Article 8.04 ?No Damages for Delay? remains unchanged. Item 18. Page 3-35, Article 8.08 ?Set-Off Rights? It is not reasonable or Industry practice for a client to be able to withhold monies due Contractor under this or any other Authority Contract for any reason, without limitation. Consequently, Contractor requests this provision be changed as follows: ?The Authority shall have the rights of set? off. These rights shall include, but not be limited to, the Authority' 3 option to withhold for the purposes of set- off any monies due to the Contractor under this Agreement up to Agreement? the total estimated amount at issue, plus any amounts due and owing to the Authority Wee?reason under this contract including, without?imam monetary penalties, adjustments, or _fees. Any such set- off by the Authorities shall require the A?horities to ?rst provide Contractor with prior written notice setting out the specifics of the reason for the proposed set-off and giving Contractor a reasonable tim and to cure.? Response 18 - Article 8.08 ?Set?Off Rights? remains unchanged. Item 19. Page 3-41, Article 10.03 ?Non-Assignment? Contractor requests this provision be changed as follows: "This Agreement may not be assigned by the Contractor nor may its right, title or interest therein be assigned, transferred, conveyed, subcontracted, sublet or otherwise disposed of without the previous consent, in writing, of the Authority, whigh shall not be unreasonably withheld. and any attempts to assign the Agreement without the Authority?s written consent are null and void.? Response 19 See attached Revised Article 10.03 ?Non-Assignment?. Item 20. Pages 3-42 and 3-43, Article 10.09 ?Press Release or Other Public Communication? Contractor needs the ability to communicate general information, otherwise available to the public. as to the contract to other companies, non-pro?t professional groups and other organizations which are not associated with press releases, without obtaining written permission in every situation. With this clarification, Contractor would agree to this provrsron. Response 20 Article 1009 ?Press Release or other Public Communication? remains unchanged. Item 21. Page 3-43, Article 10.11 ?Most Favored Customer? Contractor can accept this provision with the following changes to the second and third sentences: ?Assuming comparable cpnditions, i.e. same or veg; similar compensatipn method, [ransactign volumes, geographically similar location. and contract risk acceptance terms and conditions. the Contractor represents that all-9f the prices gal warranties, benefits?and?ether?terms?being provided hereunder are equal to or better than the terms being offered by the Contractor to any other customers. If the Contractor provides Services to the Authority which it did not specifically create for the Authority and which it offers to its current customers, the Contractor represent that all of the prices and benefits and Other terms, considered cpllectively, associated warranties, with those Services are equal to or better than the terms being offered by the Contractor to its other customers.? Response 21 - Article 10.11 Most Favored Customer? remains unchanged. Item 22. Page 3-58, Article 13.01 ?Claims for Money Damages? Contractor requests the ?rst sentence by changed to read: ?In the event the Contractor claims or intends to claim or intends to claim compensation for any damage or loss sustained by reason of any act, neglect, fault or default of the Authority which is known to the Contractor at the time, the Contractor- shall furnish a written notice to the Project Manager setting forth the nature of the claim and the extent of the known damage sustained within 30 working days of the incurrence of such loss or damages." Response 22 - Article 13.01 Claims for Money Damages" remains unchanged. Item 23. Page 3-64, Article 14.01 ?Certifi?ation Of No Investigation? Contractor requests that the first sentence of this provision be changed as follows: ub'ect to the Vendor Res onsibili uestionnaire in ormatt'on re uired the RFP and proviigdw ith Contra a'gmr PrQQosal. Bby bidding on this Contract, each Bidder and each person signing on behalf of any Bidder certi?es Response 23 See attached Revised Article 14.01 ?Certi?cation of No Investigation?. Item 24.: In reference to Article 4.03 It is understood that the Authority wishes to exercise certain rights concerning the software to be provided, as further detailed in Article 4.02. However, contained in the standard license agreement (attached), are further protections to the proprietary software concerning voiding warranty, (Sec. 5.2), should the Authority or its designated third parties modify the code; and protection from disclosure with the use of Non-Disclosure Agreements executed by Authority-designated third parties, (Section 4). It is not the intention to restrict the Authority's usage of the software in the performance of this work, but it is the intention to protect corporate investment in its development. Will such license terms as in the document attached be acceptable to the Authorities? Rationale: Please note this is consistent with RFP Appendix C, page 2.4.10-17 and that several of the Authorities have previously agreed to this license. Response 24 The attached license terms are not acceptable to the Authorities. However please be advised there is a Revised Article 4.02 ?Scope of Software Licenses? which is included in this addendum. Item 25. Articles 7.01 and 7.02 It is our interpretation that these Articles only refer to acts of Contractor or our subcontractors. We would also like to point out that if the Authorities limit the risk to those acts caused by negligence or omissions there would be a positive impact on cost and price. Response 25. - See attached Revised Article 7.01 ?Risk of Loss?. Article 7.02 ?Contractor?s Liability and Indemnification? remains unchanged. Item 26. - The Draft Agreement is currently silent on Force Majure. Please consider the addition of the following language in the resultant Agreement: Except as otherwise expressly provided herein, neither party hereto shall be considered in default in the performance of its obligations hereunder to the extent that such performance is prevented or delayed by any cause, existing or future, which is not within the reasonable control of such party including, but no limited to, acts of God or the public enemy, fires, earthquakes, explosion, riots, strikes (not including strikes of the Contractor?s staff personnel), or war, terrorist acts, or inclement weather, where the party whose performance was delayed did not otherwise cause or contribute to the cause of the delay or not prevent, when able to prevent, such delay. Notwithstanding the foregoing, the failures of any of the Contractor?s suppliers, Subcontractors, or the like shall not excuse the Contractor?s performance except to the extent that such failures are due to any cause without the fault and outside the reasonable control of such Suppliers, Subcontractors, or the like including, but not to, acts of God or the public enemy, fires, explosion, riots, strikes (not including strikes of the Contractor?s staff personnel), or war, terrorist acts, or inclement weather. Response 26 Please refer to Section 3 of the RFP, Chapter 8, Article 8.07 ?Force Majure?. Item 27. ARTICLE 4.01 SOFTWARE LICENSES Reference b. TransCore would prefer to have the following phrase inserted in this Article: ?Contractor shall provide to the Authority. . Rationale: Third Party Software Licenses are often COTS and their terms are not negotiable. Response 27 See attached Revised Article 4.01 ?Software Licenses?. Item 28. ARTICLE 7.02 LIABILITY AND INDEMNIFICATION The Contractor would like to see the following language added: Contractor?s total liability to Authority and all liabilities arising out of or related to this contract, from any cause or causes, and regardless of the legal theory, including breach of contract, warranty, negligence, strict liability, or statutory liability, shall not, in the aggregate, exceed $3 million. Rationale: Proposed language puts parameters around overall liability and there would be a positive impact on cost and price. Response 28 The Authorities will answer this question in a subsequent addendum. The RFP Articles listed below are deleted in their entirety and replaced with revised Articles as set forth in the attached: 1. Article 213 ?Termination For Convenience By The Authority/Suspension Of Work?. 2. Article 3.04 ?Compensation For Extra Work. 3. Article 4.01 ?Software Licenses". 4. Article 4.02 ?Scope of Software Licenses?. 5. Article 4.03 ?Software Ownership". 6. Article 4.05 ?Escrow Agreement?. 7. Article 5.01 ?Insurance?. 8. Article 7.01 ?Risk of Loss?. 9. Article 7.03 ?Patent and Copyright Indemni?cation?. 10. Article 8.02 ?Notice of Default Chance to Cure Termination. 11. Article 10.03 ?Non?Assignment?. 12. Article 14.01 ?Certification of No Investigation (Criminal or Civil Anti-Trust), Indictment, Conviction, Debarrnent, Suspension, Disqualification and Disclosure of Other Information?. Please be governed accordingly in the submission of your proposals. Sincerely, Gore E-ZPass New York Customer Service Center Procurement Coordinator PSC-05-2741 REVISED Addendum N0. 3 REVISED ARTICLE 2.13 TERMINATION FOR CONVENIENCE BY THE OF WORK The Authority shall have the right, in its sole discretion, to postpone, suspend, abandon or terminate this Agreement at any time and for any reason, and such action shall in no event be deemed a breach of contract; this includes the Authority?s right to terminate this Agreement in the event the Authority finds that the certification made by the Contractor in accordance with New York State Executive Order Number 127, signed by Governor George Pataki on June 16, 2003, was intentionally false or intentionally misleading. In the event the Authority exercises its right to postpone, suspend, abandon or terminate this Agreement, the Authority will provide the Contractor with forty-five (45) days prior written notice. a. The Contractor shall, upon receipt of such notice, unless otherwise directed by the Authority: i. stop work on the date specified in the notice (the ?Effective Date?); ii. take such action as may be necessary for the protection and preservation of the Authority?s materials and property, including data and other aspects of the Contractor?s performance which are not completed; cancel orders; iv. assign to the Authority and deliver to the Site or any other location designated by the Authority any non-cancelable orders for material and equipment that is not capable of use except in the performance of Services pursuant to this Agreement and has been speci?cally fabricated for the sole purpose of this Agreement and not incorporated in the Services; v. take no action which will increase the amounts payable by the Authority under this Agreement; and vii. take all steps necessary to assure a smooth transition of Services to a new contractor or the Authority. b. In the event that the Authority exercises its right to postpone, suspend, abandon or terminate this Agreement, the Authority will pay the Contractor?s actual cost or the fair and reasonable value, whichever is less, of: i. the Services completed in accordance with this Agreement up to the Effective Date; ii. non-cancelable material and equipment that is not capable of use except in the performance of Services pursuant to this Agreement and has been . REVISED Addendum No. 3 specifically fabricated for the sole purpose of this Agreement but not incorporated in the Services; and reasonably incurred non?cancelable labor and lease obligations not chargeable to the transition service. c. In no event shall any payments under this Article exceed the compensation for such items pursuant to Chapter 3 of this Agreement. d. The amount due hereunder shall be offset by all payments already made to the Contractor. e. All payments made pursuant to this Article shall be accepted by the Contractor in full satisfaction of all claims against the Authority arising out of the postponement, suspension, abandonment, or termination, including consequential damages. f. All payments pursuant to this Article are subject to audit. g. Upon such a postponement, suspension, abandonment or termination, the Contractor must within ten (10) days deliver to the Authority all records, documents and data pertaining to Services rendered under this Agreement. h. Throughout the term of this Agreement and any extensions thereof, the Contractor must report to the Authority any material changes in the Contractor?s initial vendor responsibility disclosure. The Authority shall have the right to terminate this Agreement at any time in the event the Authority ?nds that the Contractor is non-responsible or has failed to accurately disclose vendor responsibility information. REVISED ARTICLE 3.04 COMPENSATION FOR EXTRA WORK The Authority and the Contractor may agree, in writing, on a lump sum or other compensation for Extra Work. In the event that no such agreement is reached. compensation shall be increased by the sum of the following amounts and such amounts only: a. the actual net cost in money of the labor (including premiums for workers? compensation insurance, taxes, vacation allowances and union dues and assessments required to be paid by the employer on the basis of such labor costs) and material required for such Extra Work, and b. fifteen percent of the amount under above. PSC-05-2741 REVISED Addendum No. 3 If the Extra Work is performed by a subcontractor, in lieu of the amounts under and above, compensation shall be in the amount the Contractor has paid the subcontractor plus a 5% mark-up. No Extra Work shall be performed by a subcontractor without the prior written approval of the Project Manager. REVISED ARTICLE 4.01 SOFTWARE LICENSES a. The Contractor shall provide to the Authority an unlimited, perpetual, universal, irrevocable, non-exclusive License to use, duplicate, modify, disclose and/or permit any other person(s) or entity(ies) providing services to the Authority to use all such Software (except for third party software addressed in paragraph below) needed to operate the New York Customer Service Center, including the associated specifications, technical data and other documentation needed for such operations, and all such Equipment in the event of default. The Authority or its designee may continue to use this Software under this License for an inde?nite period of time, including beyond the term of this Agreement. This License shall cover the full definition of Software, including components directly owned and/or developed by the Contractor as well as components owned and/or developed by any subcontractors. The Contractor shall provide the Authority with such License upon execution of this Agreement. b. For Third Party Software, the Contractor shall provide to the Authority unlimited, perpetual, irrevocable, non-exclusive Licenses to use Third Party Software to operate the New York Customer Service Center. The Contractor shall secure such Licenses from the providers of such Third Party Software, and ensure that such Licenses are transferable to and assignable by the Authority. REVISED ARTICLE 4.02 SCOPE OF SOFTWARE LICENSES a. The License shall allow the Authority to use and reproduce the Contractor Software on any and all equipment configurations of whatever make, manufacture and/or model, owned, controlled or contracted for, by the Authority or entities controlled by, under common control with, or organizations which may hereafter be formed by the Authority or which may assume the responsibilities of the Authority or any successors of the Authority, in connection with the Services provided by or to the Authority including maintenance. Such License to Contractor Software shall speci?cally include, but not be limited to, the right of the Authority to use and/or disclose, in whole or in part, the technical documentation and Software, including object code provided hereunder, to any person or entity outside the Authority for such person?s or entity?s use in furnishing any and/or all of the Services provided hereunder exclusively for the Authority or entities controlling, controlled by, under common control with, or af?liated with the Authority, or organizations which may hereafter be formed by or become affiliated with the Authority. No such equipment, documentation or related information shall be deemed to have been given in con?dence and any statement or legend to the contrary shall be void and of no effect. The Authority and such person(s) or entities the Authority has provided with the Software shall have the right to modify the Software for use in connection with providing goods and/or services to the Authority. The Authority and such person(s) or entities the PSC-05-2741 REVISED Addendum No. 3 Authority has provided with the Software shall be able to utilize the Software without payment of a License fee. b. For Third Party Software, the Contractor shall obtain suf?cient Licenses to perform the functions of the New York Customer Service Center at all locations and accommodate changing requirements. REVISED ARTICLE 4.03 SOFTWARE OWNERSHIP a. The License the Contractor provides to the Authority for Contractor Software shall include a warranty clearly expressing that it possesses all rights, title and interests in the Software, and all portions thereof, or otherwise has the right to grant to the Authority the License for the Software. This warranty shall cover Software owned and/or developed by the Contractor as well as Software owned and/or developed by its subcontractors and suppliers. b. For Third Party Software, the Contractor shall maintain copies of the License Agreements it obtains from such Third Party Software providers. The Contractor shall also maintain the computer programs, disks and documentation for all Third Party Software it obtains. Such Third Party License Agreements shall include, to the extent commercially available, the rights to use and assign such License to the Authority. c. Except as otherwise provided in Article or elsewhere in this Agreement, the Contractor (and its subcontractors and suppliers) shall retain all proprietary rights in and to all Equipment and Software used to provide the Services except to the extent such Equipment and Software have been customized to satisfy the Statement of Work. (1. Nothing in this Agreement shall preclude the Authority from providing to any other person(s) or entity(ies), nor any such person(s) or entity(ies) from using, any of the Equipment and/or Software provided hereunder, and the associated specifications, technical data and other documentation relating thereto, in connection with providing goods or Services to the Authority. REVISED ARTICLE 4.05 ESCROW AGREEMENT Within forty-five (45) days from the Authority?s initial acceptance of any Equipment and/or Software required in the Statement of Work, the Authority, an escrow agent, and the Contractor shall enter into an escrow agreement as set forth in Appendix CC. Pursuant to the terms of such escrow agreement, the Contractor will deposit without charge to the Authority all information necessary to operate and maintain the Equipment and use the Software. All such information shall be deposited with the following escrow agent PSC-05-2741 REVISED Addendum No. 3 Information so deposited shall include but not be limited to source and object code, control ?les, utilities, and packages, operating systems, data base systems and network packages. In the event the Contractor revises or supplements any of the information deposited or creates additional information, the Contractor will deposit a complete set of such revised, supplemented, or additional information with the above named escrow agent within thirty (30) days of such revision, supplement or addition and shall indicate with each deposit which documents and which pages have been revised, supplemented or added since the last deposit. In the event the Contractor updates and/or modifies the system specifications, drawings, source code, object code or any other associated documentation, a complete set of such revised documentation will be deposited with the above named escrow agent within thirty (30) days of such revision and the Contractor shall indicate with each deposit which pages have been changed since the last deposit. The Contractor shall be responsible for payment of all costs arising in connection with the maintenance of the escrow referred to in this Article throughout the term of this Agreement, including extensions if applicable. The Authority shall be responsible for all costs arising in connection with the maintenance of the escrow referred to in this Article beyond the term of this Agreement, or, in the event there are extensions of this Agreement, beyond the term of such extensions. REVISED ARTICLE 5.01 INSURANCE A) The Contractor must procure prior to commencement of any work under this Agreement, and maintain until this Agreement is completed, insurance in the kinds and in the amounts specified below. All insurance required by this Agreement shall be obtained at the sole cost and expense of the Contractor, and maintained with insurance carriers that are licensed to do business in New York State, are acceptable to the Authority, and have at least an AM. Best Rating of ?secure? or The Contractor shall require that any approved subcontractors hired carry insurance with the same limits and provisions set forth herein. The Contractor shall furnish the Authority with certificate(s) of insurance in a form acceptable by the Authority, executed by a duly authorized representative/underwriter of the insurance company, showing compliance with the Authority?s insurance requirements set forth herein. If the Contractor obtains coverage from more than one company, the Contractor must submit a separate certi?cate for each insurance company providing coverage. All certificates and policies shall provide for 30 days? written notice to the Authority prior to the cancellation, non-renewal, or material change of any insurance policies referred to therein. Such notice shall be sent by certified mail to: (Designated Authority Contact Name and Address). PSC-05-2741 REVISED Addendum No. 3 If insurance policies utilized for Authority projects contain Deductibles or Self Insured Retentions (SIRS), they must be declared as such with applicable levels on the certi?cate of insurance. The Authority has the option to accept or reject the Deductibles or SIRS, or to impose additional security or other requirements. The Contractor shall provide certified copies of insurance policies for all insurance coverage required herein within 10 business days of the Authority?s request for said copies. Failure to provide such certified copies may, in the sole discretion of the Authority, result in the delay of payments under or the cancellation of this Agreement. Failure of the Authority to demand such certificates, policies or other evidence of full compliance with these insurance requirements or failure of the Authority to identify a de?ciency from evidence that is provided shall not be construed as a waiver of the Contractor?s obligation to maintain such insurance. Failure to maintain the required insurance and provide proof of such coverage to the Authority may, in the Authority?s sole discretion, result in termination of this Agreement. If the Contractor fails to maintain the required insurance, the Authority shall have the right, but not the obligation, to purchase said insurance at the Contractor?s expense. The Contractor agrees that all premiums, costs and expenses associated with such purchase, or the recovery of those purchase amounts by the Authority, shall be deducted from the Contractor?s payments under this Agreement, or by any other lawful means, including deduction from any other current or future contract with the Authority. By requiring insurance, the Authority does not represent that certain coverage and limits will necessarily be adequate to protect the Contractor, and such coverage and limits shall not be deemed a limitation on the Contractor?s liability under the indemnities granted to the Authority under this Agreement. The Contractor shall immediately file with the Authority's Insurance Division notice of any occurrence likely to result in a claim against the Authority, and, where applicable, shall also file with the Insurance Division detailed sworn proof of interest and loss within sixty (60) days from the date of loss or reported loss. The specific types and amounts of insurance that the Contractor must provide pursuant to this Agreement are as follows: 1. Commercial General Liability (CGL) with a combined single limit for Bodily Injury, Personal Injury, and Property Damage of at least three (3) million dollars ($3,000,000) each occurrence and aggregate. The limit may be provided through a combination of primary and umbrella/excess liability policies. Coverage shall provide and encompass at least the following: PSC-05-2741 Addendum No. 3 REVISED a. Independent Contractor; b. Blanket Written Contractual Liability covering the liability of the parties arising from the performance of services under this Agreement by Contractor, its subcontractors and suppliers, subject to the terms, conditions and exclusions of the policy; c. Products Liability Completed Operations; d. CGL coverage written on an occurrence form; e. Waiver of Subrogation; f. The Authority shall be named as an Additional Insured under the CGL policy, including but not limited to premise- operations and products-completed operations. g. Policy or policies must include a provision or be endorsed to be primary as respects coverage afforded the Additional Insured and such policy shall be primary to any other insurance maintained by the Authority. Any other insurance maintained by the Authority shall be excess and not contribute with the Contractor?s or Subcontractor?s insurance, regardless of the ?other? insurance clause(s) contained in the Authority?s own policy of insurance. h. The CGL policy(ies) and certi?cate of insurance shall contain cross-liability language providing severability of interests so that coverage will respond as if separate policies were in force for each insured. Business Automobile Liability Insurance with limits of liability of $2,000,000 each accident on a combined single limit basis for claims for bodily injuries (including death) to persons and for damage to property arising out of the Contractor?s ownership, maintenance or use of any owned, leased, hired or non-owned motor vehicle. If hazardous waste is to be transported across state lines by the Contractor, then the Contractor shall comply with the Motor Carrier Act of 1980. Addendum No. 3 REVISED Valuable Papers Insurance insuring all plans, designs, drawings, specifications, and documents produced or used under this Agreement by Contractor. The benefits of all Valuable Papers Insurance shall be made to extend expressly to the Authority as loss payee as its interests may appear. All Risk Crime Insurance Policy/ Fidelity Bond Insurance for a minimum amount of $10,000,000 per occurrence and $20,000,000 aggregate (with a $50,000 deductible) coverage of the Authority funds. The full policy limits shall include Computer Theft coverage. This Policy shall include a joint loss payee provision or endorse the following: ?It is hereby understood and agreed that a loss covered hereunder involving property of the New York State Thruway Authority or the Triborough Bridge and Tunnel Authority or the Port Authority of New York and New Jersey while in the care, custody or control of the Contractor shall be payable by the Company to the first named Insured and the New York State Thruway Authority, the Triborough Bridge and Tunnel Authority and the Port Authority of New York and New Jersey.? This policy coverage shall also include theft of the Authority funds while in the care, custody or control of the Contractor or dishonest acts by the Contractor?s employees or its subcontractors? employees, or by any such employees of Contractor working in collusion. Contractor shall require its subcontractors to maintain similar coverage at subcontractors? expense. Employee fidelity insurance with a limit of liability of not less than $2,000,000 per each occurrence. The policy shall name the Authority as ?Loss Payee?. Workers? Compensation and Disability Insurance with limits as required by law. Professional Liability Insurance with coverage of not less than $1,000,000 per occurrence. If such policy is a ?claims made? policy, all renewals thereof during the life of this Agreement shall include ?prior acts coverage? covering at all times all claims made with respect to Contractor?s performance under this Agreement, including any subsequent supplements thereto or modifications thereof for the entire duration thereof. Such additional insurance policies necessary to obtain required permits or otherwise comply with applicable laws, ordinances, or regulations regarding the performance of the Services. 7 REVISED Addendum No. 3 B) Prior to the Notice to Proceed, the Contractor shall furnish a performance bond in an amount equal to the lump sums for both Phase 1 and Phase 2 plus one year of operational cost as security for the faithful performance of the Services and also a payment bond for labor and material in an amount equal to the lump sums for both Phase 1 and Phase 2 plus one year of operational cost as security fer the payment of all persons performing labor or furnishing materials in connection with this Agreement, each bond in the number required by the Authority and executed by the Contractor and by a surety or sureties approved by the Authority and shall be effective from the date of the Notice to Proceed to the date of final completion of this Agreement. The execution of the bonds must be duly proved before delivery of bonds in the form essential to entitle a deed to be recorded in the State of New York, and full affidavits of justi?cation of the sureties must be- added. The form of each bond to be furnished is annexed to this Agreement. Prior to the Notice to Proceed, the Contractor shall submit such bond or in lieu of the bonds, a letter from an acceptable surety or sureties, which satisfactorily establishes to the Authority that such surety will issue the necessary bonds. C) The Contractor shall furnish bonding for credit card payments in process equivalent to three (3) days receipts. REVISED ARTICLE 7.01 RISK OF LOSS The Contractor assumes the following distinct and several risks, whether they arise from acts or omissions (whether negligent or not) of the Contractor or of any of its subcontractors and suppliers, excepting those risks which arise from negligent acts or omissions of the Authority. a. The risk of loss of funds or deposits due the Authority including but not limited to revenue generated from electronic toll collection, credit card payments, fees, violation payments and transactions submitted to the Contractor for processing, or any other revenue the Contractor is contractually required to collect; and (ii) all documents and records relating to all ?nancial transactions in the Contractor?s possession arising out of or alleged to arise out of or in connection with the performance of Services pursuant to this Agreement. b. The risk of loss or damage to any property of the Authority arising out of or in connection with the performance of Services pursuant to this Agreement; the risk of loss or damage to any prOperty of the Contractor?s agents, employees, and subcontractors arising out of, or alleged to have arisen out of, or in connection with the performance of Services pursuant to this Agreement. c. The risk of loss for all Tags, including any and all costs related to lost, improperly issued, stolen, improperly stored, or otherwise damaged Tags, from the time the Tags are received by the Contractor until furnished to any customer. P80054741 REVISED Addendum No. 3 d. The risk of loss for any Tags returned by customers from the time the Tags are received by the Contractor. REVISED ARTICLE 7.03 PATENT AND COPYRIGHT INDEMNIFICATION a. The Contractor represents and warrants that: (1) it is and will be the sole owner of all works employed in providing Services pursuant to this Agreement, other than preexisting works and Authority Owned Inventions, including, but not limited to, programs, documentation, Equipment, Software, analyses, ?rmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like; (2) it has and will have full and sufficient right to assign or grant the rights and/or licenses granted pursuant to this Agreement for all works employed to provide Services pursuant to this Agreement including preexisting works; (3) all elements of the works employed to provide Services pursuant to this Agreement other than preexisting works have not been and will not be published under circumstances that would cause a loss of proprietary rights therein; and (4) all elements of the works employed to provide Services pursuant to this Agreement, including all preexisting works, do not and will not infringe upon or violate any patents, copyrights, trademarks, service marks, trade secrets, any other intellectual property rights, or similar rights of any person or entity, nor has any claim (whether or not embodied in an action, past or present) of such infringement been threatened or asserted, nor is such a claim pending against the Contractor or, insofar as the Contractor is aware, against any entity from which the Contractor has obtained such rights. b. The Contractor shall be liable and responsible for any and all claims made against the Authority for infringement of patents, copyrights, trademarks, service marks, trade secrets or any other third party proprietary rights, by the use or supplying of any programs, documentation, Equipment, Software, analyses, firmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like, in the course of performance or completion of, or in any way connected with, the Services, or the Authority?s continued use of such materials. The Contractor shall indemnify the Authority against and save it harmless from all loss and expense incurred in the defense, settlement or satisfaction of any claims in the nature of patent, copyright, or other proprietary right infringement arising out of or in connection with the Authority?s use, pursuant to this Agreement, of patentable subject matter or patented material, compositions of matter, manufactures, apparatus, appliances, processes of manufacture or types of construction, or copyrighted matter or other matter protected as intellectual property. If the Authority be enjoined from using any of the facilities which form the subject matter of this Agreement, and as to which the Contractor is to indemnify the Authority against proprietary rights claims, the Authority may, at its option and without thereby limiting any other right it may have hereunder or at law or in equity. require the Contractor to supply, temporarily or permanently, facilities not subject to such injunction and not infringing any proprietary rights and if the Contractor shall fail to do so, the Contractor shall, at its expense, remove all such facilities and refund the cost thereof to the Authority and otherwise equitably adjust compensation and take such steps as may be necessary to ensure compliance by the Authority with such injunction, to the PSC-05-2741 REVISED Addendum No. 3 satisfaction of the Authority. The foregoing indemni?cation shall apply to claims which arise from the Authority?s use of any programs, documentation, Equipment, Software, analyses, ?rmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like, where such use is as directed or intended by this Agreement or licensed granted thereunder. Contractor may direct, in consultation with the Authority, the defense and settlement of an indemnified claim which arises pursuant to this Article, provided that any such resolution does not excuse Contractor from compliance with all other provisions of this Agreement. c. In the event that any work employed to provide Services pursuant to this Agreement, or portion thereof, is held to constitute an infringement and its use is or may be enjoined, the Contractor shall have the obligation at the Authority?s option to: i. modify, or require that the applicable subcontractor or supplier modify, the alleged infringing work at its own expense, without impairing in any respect the functionality or performance thereof that is non?infringing; or ii. procure for the Authority, at the Contractor?s expense, the rights provided under this Agreement to use the infringing work. d. The Contractor shall be solely responsible for determining and informing the Authority whether a prospective supplier or subcontractor is a party to any litigation involving patent or copyright infringement, service mark or trademark violation, or proprietary rights claims or is subject to any injunction which may prohibit it from providing Equipment and/or Software hereunder. The Contractor shall enter into agreements with all suppliers and subcontractors at its own risk. The Authority may reject any Equipment, Software, Service or work which it believes to be the subject of any such litigation or injunction, or if, in the Authority?s judgment, use thereof would delay the Services, or be unlawful. PSC-05-2741 REVISED Addendum No. 3 REVISED ARTICLE 8.02 NOTICE OF DEFAULT - CHANCE TO CURE 7 TERMINATION If, in the determination of the Authority, an Event of Default occurs, the Authority . may so notify the Contractor (?Default Notice?) specifying the basis(es) for such default, and advising the Contractor that such default must be cured immediately or this Agreement with the Authority may be terminated. The Authority may, in its sole discretion, allow the Contractor to rectify the default to the Authority?s reasonable satisfaction within a ten (10) working day period. The Authority may grant an additional period to cure of such duration as the Authority shall deem appropriate without waiver of any of the Authority?s rights hereunder, so long as the Contractor has commenced curing such default and is effectuating a cure with diligence and continuity during such ten (10) day period or any other period which the Authority prescribes. The Default Notice shall specify the date the Contractor is to discontinue all Services (the ?Termination Date?), and the Contractor shall thereafter discontinue the Services upon the Termination Date. REVISED ARTICLE 10.03 NON-ASSIGNMENT This Agreement may not be assigned by the Contractor nor may its right, title or interest therein be assigned, transferred, conveyed, subcontracted, sublet or otherwise disposed of without the previous consent, in writing, of the Authority, which consent shall not be unreasonably withheld, and any attempts to assign the Agreement without the Authority?s written consent are null and void. REVISED ARTICLE 14.01 CERTIFICATION OF NO INVESTIGATION (CRIMINAL OR CIVIL ANTI-TRUST), INDICTMENT, CONVICTION, DEBARMENT, SUSPENSION, DISQUALIFICATION AND DISCLOSURE OF OTHER INFORMATION Subject to the Vendor responsibility Questionnaire information required by the RFP and provided with Contractor?s proposal, by bidding on this Contract, each Bidder and each person signing on behalf of any Bidder certifies, and in the case of a joint bid each party thereto certi?es as to its own organization, that the Bidder and each parent andlor af?liate of the Bidder has not a. been indicted or convicted in any jurisdiction; b. been suspended, debarred, found not responsible or otherwise disquali?ed from entering into any contract with any governmental agency or been denied a government contract for failure to meet standards related to the integrity of the Bidder; c. had a contract terminated by any governmental agency for breach of contract or for any cause based in whole or in part on an indictment or conviction; (1. ever used a name, trade name or abbreviated name, or an Employer Identification Number different from those inserted in the Bid; PSC-05-2741 REVISED Addendum No. 3 e. had any business or professional license suspended or revoked or, within the five years prior to bid opening, had any sanction imposed in excess of $50,000 as a result of any judicial or administrative proceeding with respect to any license held or with respect to any violation of a federal, state or local environmental law, rule or regulation; f. had any sanction imposed as a result of a judicial or administrative proceeding related to fraud, extortion, bribery, bid rigging, embezzlement, misrepresentation or anti?trust regardless of the dollar amount of the sanctions or the date of their imposition; and g. been, and is not currently, the subject of a criminal investigation by any federal, state or local prosecuting or investigative agency and/or a civil anti-trust investigation by any federal, state or local prosecuting or investigative agency. September 14, 2005 Addendum No. 4 E-ZPass New York Customer Service Center Services To all prospective Proposers, you are hereby notified of the following questions, answers and changes to the referenced Solicitation. It is noted that the Authorities are responding to all questions received in sequential order. Please refer to Addendum 1 for the answers to Questions 1?13, and Addendum 2 for the answers to Questions 14 through 21. Addendum 3 addressed Questions 22 - 59 and 28 modification or objections to the terms and conditions. This Addendum 4 addresses Question 21 from Addendum No. 2, Questions 34 and 43 from Addendum No. 3 and one objection to the terms and conditions. Question 21 Will the Authorities supply a sample copy of all regular existing customer mailings including all notices, letters, statements, and invoices as applicable? Answer 21 Samples of existing customer mailings are attached to this Addendum. Question 34 RFP Section 3, Terms and Conditions, Article 5.01 Insurance, Section B, Insurance, Page 3-21. The bond form referred to in Section does not seem to have been provided with the RFP. Can the Authorities please verify that annually renewable bonds will be acceptable for this contract? In addition, can the Authorities please make the form available? Answer 34 Annually renewable bonds will be acceptable. Please see the attached bond forms. Question 43 SOW Section 2.3.1.2, Staf?ng, Page 2-16. It is our understanding that, under the current contract, drug testing and background checks are conducted on all new employees as a condition of employment and are conducted on employees randomly thereafter. Given the sensitive nature of the data, do the Authorities wish to continue this practice? PSC-05-2741 REVISED Addendum No. 4 Answer 43 The Authorities reserve the right to at any time require background checks of all individuals assigned to this contract either through an Authority?hired approved screening agency or an Authority approved agency hired by the Contractor, pursuant to requirements to be communicated by the Authorities. The Contractor will be reimbursed for the net cost of such screenings conducted by a Contractor?hired agency. Item 28. ARTICLE 7.02 LIABILITY AND INDEMNIFICATION The Contractor would like to see the following language added: Contractor?s total liability to Authority and all liabilities arising out of or related to this contract, from any cause or causes, and regardless of the legal theory, including breach of contract, warranty, negligence, strict liability, or statutory liability, shall not, in the aggregate, exceed $3 million. Rationale: Proposed language puts parameters around overall liability and there would be a positive impact on cost and price. Response 28 Please see attached revised Articles 7.01, 7.02, 7.03. The RFP Articles listed below are deleted in their entirety and replaced with revised Articles as set forth in the attached: 1. Article 7.01 ?Risk Of Loss?. 2. Article 7.02 ?Contractor?s Liability and Indemni?cation 3. Article 7.03 ?Patent and Copyright Indemnification?. The deadline to submit proposals is hereby changed from September 19, 2005 to September 26, 2005. Please be governed accordingly in the submission of your proposals. Sincerely, i< 7? 11.? Ly 11 Gore E-ZPass New York Customer Service Center Procurement Coordinator Master Legal (Revised PSC-05-2741 REVISED Addendum No. 4 REVISED ARTICLE 7.01 RISK OF LOSS The Contractor assumes the following distinct and several risks without limitation, whether they arise from acts or omissions (whether negligent or not) of the Contractor or of any of its subcontractors and suppliers, excepting those risks which arise from negligent acts or omissions of the Authority. a. The risk of loss of funds or deposits due the Authority including but not limited to revenue generated from electronic toll collection, credit card payments, fees, violation payments and transactions submitted to the Contractor for processing, or any other revenue the Contractor is contractually required to collect; and (ii) all documents and records relating to all financial transactions in the Contractor?s possession arising out of or alleged to arise out of or in connection with the performance of Services pursuant to this Agreement. b. The risk of loss or damage to any property of the Authority arising out of or alleged to have arisen out of or in connection with the performance of Services pursuant to this Agreement; the risk of loss or damage to any property of the Contractor?s agents, employees, and subcontractors arising out of, or alleged to have arisen out of, or in connection with the performance of Services pursuant to this Agreement. c. The risk of loss for all Tags, including any and all costs related to lost, improperly issued, stolen, improperly stored, or otherwise damaged Tags, from the time the Tags are received by the Contractor until furnished to any customer. d. The risk of loss for any Tags returned by customers from the time the Tags are received by the Contractor. REVISED ARTICLE 7.02 LIABILITY AND INDEMNIFICATION a. The Contractor shall be responsible for all damage to life and property due to negligent or otherwise tortious acts, errors, or omissions of the Contractor or its subcontractors or suppliers in connection with its Services under this Agreement without limitation. Further, it is expressly understood that the Contractor shall defend, indemnify and hold harmless the Authority and/or the State of New York, as their interests may appear, and their respective directors, of?cers, employees and agents, from and against claims, suits, actions, damages and costs of every name and description, including attorneys? fees and court costs, occurring on account of, arising out of, or in connection with the negligent performance of the Services by the Contractor, its subcontractors and suppliers and their respective of?cers, agents and employees, or the quality of goods provided pursuant to this Agreement. Such indemnity shall not be limited by reasons of enumeration of any insurance coverage herein provided. However, the Contractor shall not be required to indemnify the Authority for that portion of any claim, suit, action, damage or cost which arises due to the negligent act or omission of the Authority and shall not be required to indemnify the State of New York for that portion of any claim, suit, action, Master Ugal (Revised 8/2/05) PSC-05-2741 REVISED Addendum No. 4 damage or cost which arises due to the negligent act or omission of the State. Contractor shall not be liable for any consequential, indirect or special damages except to the extent such damages have been identi?ed in this Agreement as being ?without limitation? including, but not limited to, losses as set forth in Article 7.01, intellectual property infringement as set forth in Article 7.03 and personal injury and property damage as set forth in this Article. The provisions of this Article shall survive the expiration or termination of this Agreement. b. The Contractor agrees that the rights and remedies provided herein shall not be exclusive and are in addition to any other rights and remedies provided by law or this Agreement. 0. In the event that any damage shall occur to any part of the Authority?s toll collection system on account of Equipment, Software or Services provided by the Contractor or its subcontractors or suppliers, the Authority shall have the right to cause such damage to be repaired and to charge the expense of such repairs to the Contractor; such sum may be deducted from any monies due or to become due to the Contractor hereunder or under any other agreement between the Contractor and the Authority. (1. The Contractor?s defense, indemnification and hold harmless obligations hereunder shall in no way be diminished, waived or discharged by the Authority?s recourse to any other remedy provided for hereunder, at law or in equity. e. No member, of?cer, or employee of the Authority shall be liable personally hereunder or by reason hereof. REVISED ARTICLE 7.03 PATENT AND COPYRIGHT INDEMNIFICATION a. The Contractor represents and warrants that: it is and will be the sole owner of all works employed in providing Services pursuant to this Agreement, other than preexisting works and Authority Owned Inventions, including, but not limited to, programs, documentation, Equipment, Software, analyses, ?rmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like; (2) it has and will have full and suf?cient right to assign or grant the rights and/or licenses granted pursuant to this Agreement for all works employed to provide Services pursuant to this Agreement including preexisting works; (3) all elements of the works employed to provide Services pursuant to this Agreement other than preexisting works have not been and will not be published under circumstances that would cause a loss of proprietary rights therein; and (4) all elements of the works employed to provide Services pursuant to this Agreement, including all preexisting works, do not and will not infringe upon or violate any patents, copyrights, trademarks, service marks, trade secrets, any other intellectual property rights, or similar rights of any person or entity, nor has any claim (whether or not embodied in an action, past or present) of such infringement been threatened or asserted, nor is such a claim pending against the Contractor or, insofar as the Contractor is aware, against any entity from which the Contractor has obtained such rights. Master Legal (Revised 82/05) PSC-05-2741 REVISED Addendum No. 4 b. The Contractor shall be liable and responsible without limitation for any and all claims made against the Authority for infringement of patents, copyrights, trademarks, service marks, trade secrets or any other third party proprietary rights, by the use or supplying of any programs, documentation, Equipment, Software, analyses, firmware, tools, articles, appliances, structures, materials, devices, applications, methods, ways, processes and the like, in the course of performance or completion of, or in any way connected with, the Services, or the Authority?s continued use of such materials. The Contractor shall indemnify the Authority against and save it harmless from all loss and expense incurred in the defense, settlement or satisfaction of any claims in the nature of patent, copyright, or other proprietary right infringement arising out of or in connection with the Authority?s use, pursuant to this Agreement, of patentable subject matter or patented material, compositions of matter, manufactures, apparatus, appliances, processes of manufacture or types of construction, or copyrighted matter or other matter protected as intellectual property. If the Authority be enjoined from using any of the facilities which form the subject matter of this Agreement, and as to which the Contractor is to indemnify the Authority against proprietary rights claims, the Authority may, at its option and without thereby limiting any other right it may have hereunder or at law or in equity, require the Contractor to supply, temporarily or permanently, facilities not subject to such injunction and not infringing any proprietary rights and if the Contractor shall fail to do so, the Contractor shall, at its expense, remove all such facilities and refund the cost thereof to the Authority and otherwise equitably adjust compensation and take such steps as may be necessary to ensure compliance by the Authority with such injunction, to the satisfaction of the Authority. c. In the event that any work employed to provide Services pursuant to this Agreement, or portion thereof, is held to constitute an infringement and its use is or may be enjoined, the Contractor shall have the obligation at the Authority?s option to: i. modify, or require that the applicable subcontractor or supplier modify, the alleged infringing work at its own expense, without impairing in any respect the functionality or performance thereof that is non-infringing; or ii. procure for the Authority, at the Contractor?s expense, the rights provided under this Agreement to use the infringing work. (1. The Contractor shall be solely responsible for determining and informing the Authority whether a prospective supplier or subcontractor is a party to any litigation involving patent or copyright infringement, service mark or trademark violation, or proprietary rights claims or is subject to any injunction which may prohibit it from providing Equipment and/or Software hereunder. The Contractor shall enter into agreements with all suppliers and subcontractors at its own risk. The Authority may reject any Equipment, Software, Service or work which it believes to be the subject of any such litigation or injunction, or if, in the Authority?s judgment, use thereof would delay the Services, or be unlawful. Master Legal (Revised PSC-05-2741 REVISED Addendum No. 4 Performance and Payment Bonds Triborough Bridge and Tunnel Authority Master Legal {Revised 8/2/05) FORM OF PERFORMANCE BOND CONTRACT Know All Men by These Presents, That of (hereinafter called the ?Contractor?) and (hereinafter called the ?Surety?), are held and ?rmly bound unto The TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (hereinafter called the ?Authority?) in the sum of dollars lawful money of the United States of America, to be paid to the Authority, for which payment well and truly to be made, the Contractor and the Surety to hereby bind themselves jointly and severally and their, and each of their executors, administrators, successors and assigns ?rmly by these presents. Master Legal (Revised 8/2/05) FPB-1 FORM OF PERFORMANCE BOND WHEREAS, the Contractor is seeking to enter, or has entered, into a contract known as Contract PSC-05-2741, a copy of which Contract is annexed to and hereby made a part of this bond as though herein set forth in full: NOW, THEREFORE, the conditions of this obligation are such that if the Contractor, his or its representatives or assigns, shall well and faithfully perform the said contract and all modi?cations, amendments, additions and alterations thereto that may hereafter be made, according to its terms and its true intent and meaning, including repair and/or replacement of defective work and guarantees of maintenance for the periods stated in the Contract, and shall fully indemnify and save harmless the Authority from all cost and damage which it may suffer by reason of failure so to do, and shall fully reimburse and repay the Authority for all outlay and expense which the Authority may incur in making good any such default, and shall protect the Authority against, and pay any and all amounts, damages, costs and judgments which may or shall be recovered against the Authority or their of?cer or agents or which the Authority may be called upon to pay any person or corporation by reason of any damages arising or growing out of the doing of said work, or the repair or maintenance thereof, or the manner of doing the same, or the neglect of the said Contractor, or his (their, its) agents or servants, or the infringement of any patent rights by reason of the use of any materials furnished or work done as aforesaid or otherwise, then this obligation shall be null and void, otherwise to remain in full force and effect. The Surety, for value received, hereby stipulates and agrees, if requested to do so by the Authority, to fully perform and complete the Project to be performed under the Contract, pursuant to the terms, conditions, and covenants thereof, if for any cause, the Contractor fails or neglects to so fully perform and complete such Project. The Surety further agrees to commence such work of completion immediately upon written notice thereof from the Authority and to complete such Project within such time as the Authority may The Surety, for value received, for itself and its successors and assigns, hereby stipulates and agrees that the obligation of said surety and its bond shall be in no way impaired or affected by any extension of time, modi?cation, omission, addition, or change in or to the said Contract or the Project to be performed thereunder, or by any payment thereunder before the time required therein, or by any waiver of any provisions thereof, or by any assignment, subletting or other transfer thereof or of the Project to be performed or any monies due or to become due thereunder; and said surety does hereby waive notice of any and all of such extensions, modi?cations, omissions, additions, changes, payments, waivers, assignments, subcontracts and transfers, and hereby expressly stipulates and agrees that any and all things done and omitted to be done by and in relation to assignees, subcontractors, and other transferees shall have the same effect as to said Surety as though done or omitted to be done by or in relation to said Contractor. Master Legal (Revised 82105) FPB-2 FORM OF PERFORMANCE BOND IN WITNESS WHEREOF, the Contractor and the Surety have hereunto set their hands and seals, and such of them as are corporations have caused their corporate seals to be hereunto af?xed and these presents to be signed by their proper of?cers, this day of 2005 (Seal) (Contractor) (L.S.) By President Attest: Secretary (Seal) Surety By If the Contractor is a partnership, the bond should be signed by one of the partners in the ?rm name. If the Contractor is a corporation, the bond should be signed in its correct corporate name by a duly authorized of?cer, agent. or attorney-in-fact. There should be executed an appropriate number of counterparts of the bond corresponding to the number of counterparts of the Contract. Master Legal (Revised 8/2/05) FPB-3 FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A CORPORATION STATE OF ss. COUNTY OF On this day of 2005 before me personally came to me known, who, being by me duly sworn, did depose and say that he resides at that he is the of the corporation described in and which executed the foregoing instrument; that he knows the seal of said corporation; that one of the seals af?xed to said instrument is such seal; that it was so af?xed by order of the directors of said corporation, and that he signed his name thereto by like order. Notary Public Master Legal (Revised 812/05) FPB-4 FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF PARTNERSHIP STATE OF )ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be one of the members of the ?rm of described in and who executed the foregoing instrument and he acknowledged to me that he executed the same as and for the act and deed of said ?rm. Notary public Master Legal (Revised 8/2/05) FPB-5 FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF AN INDIVIDUAL STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be the person described in and who executed the foregoing instrument and acknowledged that he executed the same. Notary Public Each executed bond should be accompanied by appropriate acknowledgments of the respective parties; appropriate duly certi?ed copy of Power of Attorney or other certi?cate of authority where bond is executed by agent, of?cer or other representative of Contractor or Surety; a duly certi?ed extract from By-Laws or resolutions of Surety under which Power of Attorney or other certi?cate of authority of its agent, of?cer or representative was issued, and duly certi?ed copy of latest published ?nancial statement of assets and liabilities of Surety. Af?x Acknowledgments and Justi?cation of the Surety. Master Legal (Revised 8/2l05) FORM OF PAYMENT BOND CONTRACT PSC-05-2741 Know All Men by These presents, That ,of (hereinafter called the ?Contractor?) and (hereinafter called the ??Surety?), are held and ?rmly bound unto The TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (hereinafter called the Authority), in the sum of dollars lawful money of the United States of America, to be paid to the Authority, for which payment well and truly to be made, the Contractor and the Surety do hereby bind themselves jointly and severally and their, and each of their executors, administrators, successors and assigns ?rmly by these presents. Master Legal (ReVised 8/2/05) FPB-7 FORM OF PAYMENT BOND WHEREAS, the Contractor is seeking to enter, or has entered, into a contract know as Contract PSC-05-2741, a copy of which Contract is annexed to and hereby made a part of this bond as though herein set forth in full: NOW, THEREFORE, the conditions of this obligation are such that if the Contractor, his or its representatives or assigns and other subcontractors to whom work under this Contract is sublet and his or their successors and assigns shall pay or cause to be paid all lawful claims for Wages and compensation for labor performed and services rendered by all persons engaged in the prosecution of the Project under said Contract, and any amendment or extension thereof or addition thereto, whether such persons are agents, servants or employees of the Contractor or of any such subcontractor, including all persons so engaged who perform the work of laborers or mechanics at or in the vicinity of the site of the Project regardless of any contractual relationship between the Contractor or subcontractors, or his or their successors or assigns, on the one hand and such laborers or mechanics on the other, but not including of?ce employees not regularly stationed at the site of the Project; and Materials and supplies (whether incorporated in the permanent structure or not), as well as vehicles, fuels, oils, implements or machinery furnished, used or consumed by said Contractor or any subcontractor at or in the vicinity of the site of the Project in the prosecution of the Project under said Contract and any amendment or extension thereof or addition thereto; then this obligation shall be void; otherwise to remain in full force and effect. This bond is subject to the following additional conditions, limitations and agreements: The Contractor and Surety agree that this bond shall be for the bene?t of any materialman or laborer having a just claim, as well as the Authority itself. All persons who have performed labor, rendered services or furnished materials and supplies as aforesaid, shall have a direct right to action against the Contractor and his, its or their successors and assigns, and the Surety herein, or against either or both of any of them and their successors and assigns. Such person may sue in his own name, and may prosecute the suit to judgment and execution without the necessity of joining with any other person as party plaintiff. The Contractor and Surety agree that neither of them will hold the Authority liable for any judgment for costs or otherwise, obtained by either or both of them against a laborer or materialman in a suit brought by either a laborer or materialman under this bond for moneys allegedly due for performing work or furnishing material. The Surety or its successors and assigns shall not be liable for any compensation recoverable by an employee or laborer under the Worker?s Compensation Law. Master Legal (Revised FPB-8 FORM OF PAYMENT BOND In no event shall the Surety, or its successor or assigns, be liable for a greater sum than the amount of his bond or be subject to any suit, action or proceeding hereon that is instituted by any person, ?rm, or corporation hereunder later than two years after the complete performance of said Contract and ?nal settlement thereof. The Contractor, for himself and his successors and assigns, and the Surety, for itself and its successors and assigns, do hereby expressly waive any objection that might be interposed as to the right of the Authority to require a bond containing the foregoing provisions, and they do hereby further expressly waive any defense which they or either of them might interpose to an action brought hereon by any person, firm or corporation, including subcontractors, material men and third persons, for work, labor, services, supplies or material performed, rendered, or furnished as Master Mega] (Revised 8.12105) FPB-9 FORM OF PAYMENT BOND aforesaid upon the ground that there is no law authorizing the Authority to require the foregoing provisions to be placed in this bond. And the Surety, for value received, for itself and its successors and assigns, hereby stipulates and agrees that the obligation of said Surety, and its bond shall be in no way impaired or affected by any extension of time, modi?cation, omission, addition, or change in or of the said Contract or the Work to be performed thereunder, or by any payment thereunder before the time required therein, or by any waiver of any provision thereof, or by any assignment, subletting or other transfer thereof or of any part thereof, or of any work to be performed or any monies due or to become due thereunder and said Surety does hereby waive notice of any and all of such extensions, modi?cations. omissions, additions, changes, payment, waivers, assignments, subcontracts and transfers, and hereby expressly stipulate and agrees that any and all things done and omitted to be done by and in relation to assignees, subcontractors, and other transferees shall have the same effect as to said Surety as though done or omitted to be done by or in relation to said Contractor. Master Legal (Revised 8/2105) FPB-1O FORM OF PAYMENT BOND IN WITNESS WHEREOF, the Contractor and the Surety have hereunto set their hands and seals, and such of them as are corporations have caused their corporate seals to be hereunto af?xed and these presents to be signed by their proper of?cers, this day of 2005 of (Seal) (Contractor) By President Attest: Secretary (Seal) Surety By If the Contractor is a partnership, the bond should be signed by one of the partners in the ?rm name. If the Contractor is a corporation, the bond should be signed in its correct corporate name by a duly authorized officer, agent, or attorney-in-fact. There should be executed an appropriate number of counterparts of the bond corresponding to the number of counterparts of the Contract. Master Legal (Revised SIZIOS) FPB-11 FORM OF PAYMENT BOND ACKNOWLEDGEMENT OF CONTRACTOR, IF A CORPORATION STATE OF )ss. COUNTY OF On this day of 2005 before me personally came to me known, who, being by me duly sworn, did depose and say that he resides at that he is the of the corporation described in and which executed the foregoing, instrument; that he knows the seal of said corporation; that one of the seals af?xed to said instrument is such seal; that it was so af?xed by order of the directors of said corporation, and that he signed his name thereto by like order. Notary Public Master Legal (Revised 812/05) FPB-12 FORM OF PAYMENT BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A PARTNERSHIP STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be one of the members of the ?rm of described in and who executed the foregoing instrument and he acknowledged to me that he executed the same as and for the act and deed of said ?rm. Notary Public Master Legal (Revised @2105) FPB-13 FORM OF PAYMENT BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A INDIVIDUAL STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be the person described in and who executed the foregoing instrument and acknowledged that he executed the same. Notary Public Each executed bond should be accompanied by appropriate acknowledgments of the respective parties; appropriate duly certi?ed copy of Power of Attorney or other certi?cate of authority where bond is executed by agent, of?cer or other representative of Surety; a duly certi?ed extract from By-Laws or resolutions of Surety under which Power of Attorney or other certi?cate of authority of its agent, of?cer or representative was issued, and duly certi?ed copy of latest published ?nancial statement of assets and liabilities of Surety. Af?x Acknowledgments and Justi?cation of the Surety. Master Legal (Revised 812/05) FPB-14 Performance and Payment Bonds Port Authority of New York and New Jersey Master Legal (Revised 8/21?05) FORM OF PERFORMANCE BOND CONTRACT PSC-05-2741 Know All Men by These Presents, That of (hereinafter called the ?Contractor?) and (hereinafter called the ?Surety?), are held and ?rmly bound unto The PORT AUTHORITY OF NEW YORK AND NEW JERSEY (hereinafter called the ?Authority?) in the sum of dollars lawful money of the United States of America, to be paid to the Authority, for which payment well and truly to be made, the Contractor and the Surety to hereby bind themselves jointly and severally and their, and each of their executors, administrators, successors and assigns ?rmly by these presents. Master Legal (Revised 812/05) FORM OF PERFORMANCE BOND WHEREAS, the Contractor is seeking to enter, or has entered, into a contract known as Contract PSC-05-2741, a copy of which Contract is armexed to and hereby made a part of this bond as though herein set forth in full: NOW, THEREFORE, the conditions of this obligation are such that if the Contractor, his or its representatives or assigns, shall well and faithfully perform the said contract and all modi?cations, amendments, additions and alterations thereto that may hereafter be made, according to its terms and its true intent and meaning, including repair and/or replacement of defective work and guarantees of maintenance for the periods stated in the Contract, and shall fully indemnify and save harmless the Authority from all cost and damage which it may suffer by reason of failure so to do, and shall fully reimburse and repay the Authority for all outlay and expense which the Authority may incur in making good any such default, and shall protect the Authority against, and pay any and all amounts, damages, costs and judgments which may or shall be recovered against the Authority or their of?cer or agents or which the Authority may be called upon to pay any person or corporation by reason of any damages arising or growing out of the doing of said work, or the repair or maintenance thereof, or the manner of doing the same, or the neglect of the said Contractor, or his (their, its) agents or servants, or the infringement of any patent rights by reason of the use of any materials furnished or work done as aforesaid or otherwise, then this obligation shall be null and void, otherwise to remain in full force and effect. The Surety, for value received, hereby stipulates and agrees, if requested to do so by the Authority, to fully perform and complete the Project to be performed under the Contract, pursuant to the terms, conditions, and covenants thereof, if for any cause, the Contractor fails or neglects to so fully perform and complete such Project. The Surety further agrees to commence such work of completion immediately upon written notice thereof from the Authority and to complete such Project within such time as the Authority may The Surety, for value received, for itself and its successors and assigns, hereby stipulates and agrees that the obligation of said surety and its bond shall be in no way impaired or affected by any extension of time, modi?cation, omission, addition, or change in or to the said Contract or the Project to be performed thereunder, or by any payment thereunder before the time required therein, or by any waiver of any provisions thereof, or by any assignment, subletting or other transfer thereof or of the Project to be performed or any monies due or to become due thereunder; and said surety does hereby waive notice of any and all of such extensions, modi?cations, omissions, additions, changes, payments, waivers, assignments, subcontracts and transfers, and hereby expressly stipulates and agrees that any and all things done and omitted to be done by and in relation to assignees, subcontractors, and other transferees shall have the same effect as to said Surety as though done or omitted to be done by or in relation to said Contractor. Master Legal (Revised 812/05) FORM OF PERFORMANCE BOND IN WITNESS WHEREOF, the Contractor and the Surety have hereunto set their hands and seals, and such of them as are corporations have caused their corporate seals to be hereunto af?xed and these presents to be signed by their proper of?cers, this day of 2005 (Seal) (Contractor) (L.S.) By President Attest: Secretary (Seal) Surety By -- If the Contractor is a partnership, the bond should be signed by one of the partners in the ?rm name. If the Contractor is a corporation, the bond should be signed in its correct corporate name by a duly authorized of?cer, agent. or attorney-in?fact. There should be executed an appropriate number of counterparts of the bond corresponding to the number of counterparts of the Contract. Master Legal (Revised 8/2l05) FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A CORPORATION STATE OF ss. COUNTY OF On this day of 2005 before me personally came to me known, who, being by me duly sworn, did depose and say that he resides at that he is the of the corporation described in and which executed the foregoing instrument; that he knows the seal of said corporation; that one of the seals af?xed to said instrument is such seal; that it was so af?xed by order of the directors of said corporation, and that he signed his name thereto by like order. Notary Public Master Legal (Revised 8?2105) FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF PARTNERSHIP STATE OF )ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be one of the members of the ?rm of described in and who executed the foregoing instrument and he acknowledged to me that he executed the same as and for the act and deed of said ?rm. Notary public Master Le gal (Revised 8/2/05) FORM OF PERFORMANCE BOND ACKNOWLEDGMENT OF CONTRACTOR, IF AN INDIVIDUAL STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be the person described in and who executed the foregoing instrument and acknowledged that he executed the same. Notary Public Each executed bond should be accompanied by appropriate acknowledgments of the respective parties; appropriate duly certi?ed copy of Power of Attorney or other certi?cate of authority where bond is executed by agent, of?cer or other representative of Contractor or Surety; a duly certi?ed extract from By?Laws or resolutions of Surety under which Power of Attorney or other certi?cate of authority of its agent, of?cer or representative was issued, and duly certi?ed copy of latest published ?nancial statement of assets and liabilities of Surety. Af?x Acknowledgments and Justi?cation of the Surety. Master begal (Raised SIZIOS) FORM OF PAYMENT BOND CONTRACT PSC-05-2741 Know All Men by These presents, That ,of (hereinafter called the ?Contractor?) and (hereinafter called the ?Surety?), are held and ?rmly bound unto The PORT AUTHORITY OF NEW YORK AND NEW JERSEY (hereinafter called the Authority), in the sum of dollars lawful money of the United States of America, to be paid to the Authority, for which payment well and truly to be made, the Contractor and the Surety do hereby bind themselves jointly and severally and their, and each of their executors, administrators, successors and assigns ?rmly by these presents. Master Legal (Revised BJZIOS) FPB-9 FORM OF PAYMENT BOND WHEREAS, the Contractor is seeking to enter, or has entered, into a contract know as Contract a copy of which Contract is annexed to and hereby made a part of this bond as though herein set forth in full: NOW, THEREFORE, the conditions of this obligation are such that if the Contractor, his or its representatives or assigns and other subcontractors to whom work under this Contract is sublet and his or their successors and assigns shall pay or cause to be paid all lawful claims for Wages and compensation for labor performed and services rendered by all persons engaged in the prosecution of the Project under said Contract, and any amendment or extension thereof or addition thereto, whether such persons are agents, servants or employees of the Contractor or of any such subcontractor, including all persons so engaged who perform the work of laborers or mechanics at or in the vicinity of the site of the Project regardless of any contractual relationship between the Contractor or subcontractors, or his or their successors or assigns, on the one hand and such laborers or mechanics on the other, but not including of?ce employees not regularly stationed at the site of the Project; and Materials and supplies (whether incorporated in the permanent structure or not), as well as vehicles, fuels, oils, implements or machinery furnished, used or consumed by said Contractor or any subcontractor at or in the vicinity of the site of the Project in the prosecution of the Project under said Contract and any amendment or extension thereof or addition thereto; then this obligation shall be void; otherwise to remain in full force and effect. This bond is subject to the following additional conditions, limitations and agreements: The Contractor and Surety agree that this bond shall be for the bene?t of any materialman or laborer having a just claim, as well as the Authority itself. All persons who have performed labor, rendered services or furnished materials and supplies as aforesaid, shall have a direct right to action against the Contractor and his, its or their successors and assigns, and the Surety herein, or against either or both of any of them and their successors and assigns. Such person may sue in his own name, and may prosecute the suit to judgment and execution without the necessity of joining with any other person as party plaintiff. The Contractor and Surety agree that neither of them will hold the Authority liable for any judgment for costs or otherwise, obtained by either or both of them against a laborer or materialman in a suit brought by either a laborer or materialman under this bond for moneys allegedly due for performing work or furnishing material. The Surety or its successors and assigns shall not be liable for any compensation recoverable by an employee or laborer under the Worker?s Compensation Law. In no event shall the Surety, or its successor or assigns, be liable for a greater sum than the amount of his bond or be subject to any suit, action or proceeding hereon that is instituted by any person, ?rm, or corporation hereunder later than two years after the complete performance of Master Legal (Revised 312/05) FPB-9 FORM OF PAYMENT BOND said Contract and ?nal settlement thereof. The Contractor, for himself and his successors and assigns, and the Surety, for itself and its successors and assigns, do hereby expressly waive any objection that might be interposed as to the right of the Authority to require a bond containing the foregoing provisions, and they do hereby further expressly waive any defense which they or either of them might interpose to an action brought hereon by any person, ?rm or corporation, including subcontractors, material men and third persons, for work, labor, services, supplies or material performed, rendered, or furnished as Master Legal (Revised 8/21?05) FPB-9 FORM OF PAYMENT BOND aforesaid upon the ground that there is no law authorizing the Authority to require the foregoing provisions to be placed in this bond. And the Surety, for value received, for itself and its successors and assigns, hereby stipulates and agrees that the obligation of said Surety, and its bond shall be in no way impaired or affected by any extension of time, modi?cation, omission, addition, or change in or of the said Contract or the Work to be performed thereunder, or by any payment thereunder before the time required therein, or by any waiver of any provision thereof, or by any assignment, subletting or other transfer thereof or of any part thereof, or of any work to be performed or any monies due or to become due thereunder and said Surety does hereby waive notice of any and all of such extensions, modi?cations. omissions, additions, changes, payment, waivers, assignments, subcontracts and transfers, and hereby expressly stipulate and agrees that any and all things done and omitted to be done by and in relation to assignees, subcontractors, and other transferees shall have the same effect as to said Surety as though done or omitted to be done by or in relation to said Contractor. Master Legal (Revised FPB-9 FORM OF PAYMENT BOND IN WITNESS WHEREOF, the Contractor and the Surety have hereunto set their hands and seals, and such of them as are corporations have caused their corporate seals to be hereunto af?xed and these presents to be signed by their proper of?cers, this day of 2005 of (Seal) (Contractor) By President Attest: Secretary (Seal) Surety By If the Contractor is a partnership, the bond should be signed by one of the partners in the ?rm name. If the Contractor is a corporation, the bond should be signed in its correct corporate name by a duly authorized of?cer, agent, or attorney-in-fact. There should be executed an appropriate number of counterparts of the bond corresponding to the number of counterparts of the Contract. Master Legal (Revised 8(2105) FPB-9 FORM OF PAYMENT BOND ACKNOWLEDGEMENT OF CONTRACTOR, IF A CORPORATION STATE OF )ss. COUNTY OF On this day of 2005 before me personally came to me known, who, being by me duly sworn, did depose and say that he resides at that he is the of the corporation described in and which executed the foregoing, instrument; that he knows the seal of said corporation; that one of the seals af?xed to said instrument is such seal; that it was so af?xed by order of the directors of said corporation, and that he signed his name thereto by like order. Notary Public Master Legal (Revised 8/2105) FPB-9 FORM OF PAYMENT BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A PARTNERSHIP STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be one of the members of the ?rm of described in and who executed the foregoing instrument and he acknowledged to me that he executed the same as and for the act and deed of said ?rm. Notary Public Master Legal (Revised 8/2/05) FPB-Q FORM OF PAYMENT BOND ACKNOWLEDGMENT OF CONTRACTOR, IF A INDIVIDUAL STATE OF ss. COUNTY OF On this day of 2005 before me personally appeared to me known and known to me to be the person described in and who executed the foregoing instrument and acknowledged that he executed the same. Notary Public Each executed bond should be accompanied by appropriate acknowledgments of the respective parties; appropriate duly certi?ed copy of Power of Attorney or other certi?cate of authority where bond is executed by agent, of?cer or other representative of Surety; a duly certi?ed extract from By-Laws or resolutions of Surety under which Power of Attorney or other certi?cate of authority of its agent, of?cer or representative was issued, and duly certi?ed copy of latest published ?nancial statement of assets and liabilities of Surety. Af?x Acknowledgments and Justi?cation of the Surety. Master Legal (Revised 812/05) FPB-9 Performance Bond New York State Thruway Authority Master Legal (Revised 812/05) FAITHFUL PERFORMANCE BOND Bond #2 Know all men by these presents: That (hereina?er ?Principal"), and of (hereina?er ?Surety?) are held and ?rmly bound unto the New York State Thruway Authority (hereinafter ?Authority?) in the full and just sum of Dollars .00) good and lawful money of the United States of America, to the payment of which said sum of money, well and truly to be made and done, the said Principal binds itself, its heirs, executors, administrators and assigns, jointly and severally, and the said Surety binds itself, its successors and assigns, jointly and severally, ?rmly by these presents. Signed and dated this day of 20? Whereas, said Principal is party to a certain written agreement with the Authority entitled ,Contract (hereinafter "Contract?), for bearing the date of the day of which Contract is incorporated by reference into this Performance Bond as indicated below. Now, therefore, THE CONDITION OF THIS OBLIGATION IS SUCH that if the said Principal shall well, truly and faithfully perform its obligations set forth in, and in accordance with, the Contract, and all work associated with such obligations, and commences and completes its obligations set forth therein, and all work associated therewith, during the term of the Contract, then this obligation shall be null and void; otherwise it shall remain in full force and effect. In the event of a failure of performance by the Principal of any of its obligations, and associated work, under the Contract, the Surety shall remedy such failure of performance by the Principal by one of the following, subject to advance written approval of the Authority: Arrange for the Principal to perform and complete obligation(s) and associated work; or Undertake itselfto perform and complete the obligations and associated work, through its quali?ed agents or through quali?ed independent contractors; or Obtain bids or negotiated proposals from quali?ed contractors acceptable to the Authority to enter into an agreement to perform and complete the Principal?s obligations, and associated work, under the Contract; arrange for an agreement to be prepared for execution by the Authority and by the contractor selected with the Authority's concurrence, which agreement shall be secured with a payment and performance bond executed by a quali?ed surety and in a form satisfactory to the Authority; and make available as work progresses suf?cient ?lnds to pay the cost of completion of the Principal's obligations, and associated work, under the Contract, but not exceeding (including other costs and damages for which the Surety may be liable hereunder) the amount set forth in the ?rst paragraph hereof; or Tender payment to the Authority of the amount for which the Surety may liable. It is understood and agreed that should the Surety for any reason be required to ful?ll its obligations hereunder, the responsibilities of the Surety to the Authority shall not be greater than those of the Principal under the Contract and the responsibilities of the Authority to the Surety shall not be greater then those of the Authority under the Contract. To the limit of the dollar amount of this Performance Bond, as stated above, the Surety is obligated for all of the Principal?s obligations, and associated work, under the Contract. The Surety agrees that the obligations of the Surety under this Performance Bond shall be in no way impaired or a?ected by any winding up, insolvency, bankruptcy, or reorganization of the Principal. The Surety hereby waives notice of any reduction or extension of time made by the Authority, and herby agrees that no change, extension, alteration, deduction or addition in or to the terms of the Contract or any plans, speci?cations Master Legal (Revised 812/05) FPB-1 or sc0pe of services accompanying same shall in any way affect the obligations of the Surety on the Performance Bond. [Seal] Principal By Master Legal (Revised 812/05) FPB-2 5.0 TECHNICAL PROPOSAL ACS offers a solution that nmkes?r" nse HIGHLIGHTS of the Anthorities? investment in Vector while introducing new te-of-the-art technologies to carry New 0 ACS understands the scope of work so there will York through the next 13 years. no learning curve or transition risk -- we can make this claim because we have partnered with the New York agencies since the beginning of Having been the pioneers of ETC in the 1990?s, the Authorities have reached a ACS proposes a solution that leverages investments made, keeps technology current, pinnacle after years Of Phenomenal maintains high levels of customer service, and growth and success. While at this peak, prepares the Authorities for the future the Authorities are preparing themselves . We have spent much time managing for yet another exciting advancement of unprecedented growth, we are now in the position the highly popular program. to manage performance and offer the introduction Taking that next step represents a Of new cutting edge technologies complex set of challenges to face and ranfgigg an ETC CSC l5 "Ot like managing ha - . an . xception processing is extensive -- deCISlOllS to make. procedures and the system must be designed with these exceptions in mind . er Investments?Millions . There are signi?cant risks for a new contractor to 0f dollars have been invested in build such a complex system on-time and without the existing system. How can that ?nancial or customer/media facing glitches investment be be? applied and re? . The ACS management team has more than 100 111 the years to come? years of combined experience on New York alone. They understand the Keeping Cment_FaSt'Paced numerous subtle nuances that vary from advancement of technology will Authority to Authority continue to be the norm in the industry. What is the most cost-effective and risk-free way to upgrade technology as it becomes obsolete over time? Minimizing New York takes in over $1.3 billion a year in tolls. How should the Authorities approach upgrading its system without jeopardizing that revenue or the tracking of that revenue? 0 Maintaining Service?E-ZPassSM New York has approximately three million customer accormts and handles over 1.2 million transactions every day. How can the customer service programs and systems be enhanced without adversely impacting the cun?ent high levels of customer service? 0 Thinking Future?Advances are taking place in the field of customer service in the areas of work?ow management, computer?telephony integration and advanced ?dashboard? reporting (succinct compilation of key information). How can the Authorities position themselves to quickly and cost?effectively provide for these customer service enhancements? ?2005 ACS, Inc. 5.0-1 AC 5m With a mix of proven systems, comprehensive services, and experienced staff, AC8 has exactly the right solution to meet these complex challenges. We have grown up? with the Authorities and have the intimate knowledge necessary to address the requirements of the Scope of Work. No other team can offer the same combination of extensive solutions, experience with large scale operations, or leadership in delivering. We offer a ?best value" solution by putting our knowledge to work while capitalizing on new technologies. ACS Understands the Scope The Authorities know that companies will submit hundreds of pages of details about what products and services they might be able to provide; hundreds of pages that include system specs, drawings, and charts; himdreds of pages filled with promises based on assumptions and, in some cases, guesses. Those proposals oftentimes lose sight of the entire scope of the project. They often times can miss the mark on what is really critical. This project is very clear to AC8, as it should be. AC8 has proudly served as partner since 1993, TBTA's partner since 1994, partner since 1997 and partner since 1998. Given these years of working together, AC8 is the one company most able to accurately define the solutions described in the Statement of Work. Our relationships with the Authorities? staffs have developed over years and, thus, we have a deep understanding of how each Authority likes their work to be conducted. Most importantly, AC8 best understands what inlpact change might have on customers. This thorough understanding is critical for success on this program and to take this program to the next level. What does this mean for the Authorities? It means that they can rest assm?ed that proposal is all-inclusive. There will not be any exceptions, missing features, forgotten details, or to-be-added later costs. We tmderstand the requirements and understand how to deliver these requirements. Unlike other proposals that Will likely miss requirements because of a lack of understanding the requirements at the very detailed level, our proposal is complete because of our thorough understanding of the Authorities requirements. Finally, AC8 is not only able to meet each and every requirement in the RFP, but is also in a position to step back and assess what can be done beyond the requirements. We welcome this opportunity to move from managing the growth of the progranl to now bringing to bear the resources to significantly inlprove performance and deliver beyond the requirements. Overview of the Solution AC8 is very proud of its long relationship with the New York Authorities working to customize Vector (and its predecessor legacy systems) to meet all of the current requirements necessary to manage its transaction processing, customer accounts, financials and Violations transactions. Each of the Authorities has been instrumental in helping define and shape Vector today: 5.0-2 ?2005 ACS. Inc. s. s. TBTA and casual use interoperability solution which was in place long before industry reciprocity was defined 0 TBTA driving enrolhnent by eliminating tokens and making the only method for discounts NYSTA's integration of post paid and pre paid account management 0 introduction to the TBTA legacy service center resulting in the first multi? agency CSC joining the NYSTA CSC to offer ETC and tag specific discount plans 0 TBTA's proactive, customer friendly tag swap prograin? the first of its kind 0 addition of an annual permit plan as an electronic toll process 0 Express implementation on the Outerbridge Crossing 0 TBTA implementing automation of the manual toll process which previously was paper and labor intensive NYSTA's implementation of the unmatched handler process for the closed portion of the Thruway and NYSTA implementations of Plus at the area airports introduction of retail tags We hope the Authorities will continue to provide such critical input for future Vector versions as well. However, we are not satisfied with the status quo. ACS strives to continually to inlprove upon its successful performance record. Given the tremendous growth of the program, we have spent much time managing that growth and introducing new and necessary features like those mentioned above. This RFP gives us the needed opportunity to step back and assess a solution that will fit and support the Authorities for 13 years to come. Our solution is a planned, deliberate approach to the future. We understand, as we hope the Authorities do, that no technology system is perfect. As Vector has grown with the Authorities, we have faced and addressed numerous challenges: from implementing image review for NYSTA in 1993 to providing class mismatches for TBTA in the summer of 1996 to introducing tag specific discomlt plans for NYSBA in 1999 to implementing tag swap for the in the spring of 2003 to many more in which the Authorities have shared. Yet, we know that other challenges still exist today. For example, we have developed literally hundreds of reports for Authority review and internal management?reports that provide all the necessary information and meet all of the requirements. Yet, the reports are not as graphic or as easy to use as we would like. They do not run as fast as we would like. However, we strongly believe that the solution offered in this proposal will address these challenges and others faced by the program today. The base of om? solution is the fulfillment of the ?Technology Roadinap? presented to the Authorities last year. Our Roadmap is a multi-year effort that is nearly two-thirds of the way ?2005 ACS, Inc. 5.0-3 complete. We View this fulfillment as an evolution of the current system. This solution allows the Authorities to capitalize on a significant system investment by supplementing it with: A COTS replacement for the front end powered by Siebel for more efficient service center staffing and for increased resources to make system development changes faster and more timely A new backend database structure for increased system stability and better system performance - a move from Oracle to Oracle 10C 0 An update of base technologies for long lasting system support and stability a move from a Forte SQL environment to a IZEE platform These three fundamental changes shown in Exhibit 5.0-1 bring with them many additional benefits for the Authorities. Four key benefits are as follows: 1. By integrating a COTS customer service front end into the Vector system, we are able to capitalize on many call center best practices that will bring more transparency to the system allowing for better, deeper oversight from the Authorities. 2. By backing up our development team With that of Siebel?s we will be able to make changes faster and roll out upgrades in a tiinelier fashion. 3. The efficiencies established by both a more stable backend structure and a more advanced front end will result in operational cost savings for the Authorities. 4. By changing our platform, our technology is better aligned with emerging industry standards and therefore Will be well supported. 5.0-4 ?2005 ACS, Inc. 5. Exhibit 5.0-1. ?2005 ACS, Inc. and easier to implement gradually. The ACS architecture uses modular building blocks, making changes less risky 5.0-5 . . . 1 - Call Center/ - Fax EmaIl WEB IVR Applmion Customer I Interaction Functions . (COTS CRM) I .I . .. i CTI/Umversal Queues ,o SOMIBUV a) a) .C CL Common Workflow Shared Universal Data Model ?8 Common Batch Framework Fl Business Processing Logic . (Customers) Device Account Transaction Transaction Violation IAG Inventory Management Processing Reconciliation Enforcement Reciprocity Non-Toll suodeu External Interfaces -.1 Collection Non-Toll . . Credit Card Host/Funancnal Services Mail House DMV Access ACH Network System Services Architecture Upgrades 5. Our solution is carefully crafted to retain key components of Vector (see Exhibit While the customer service application may be the most Visible component of Vector, it is but one piece of the system. While our focus, as discussed below, is to leverage best-in-class service and offer a COTS solution to this module, we are maintaining our multi-year year investment in the Vector functions associated with transactions, violations, and importantly, financials. These components control many of the most critical functionality of the system including posting home and away transactions, discount plan calculations, check and credit card handling, settlement, reconciliation, image review and noticing to name a few. Our solution concentrates on two key pieces of Vector but lets us offer the best value by retaining many New York customizations developed over the past 13 years. Key Solution Components Enhancements Gra hlcal 3 (T Workflow Query Database Vector Framework Customer Service (Enhanced by SiebeIT') Reporting Exhibit 5.0-2. 126NYEZP 5.0-6 @2005 ACS, Inc. A s. A New Vector Customer Service Front End Powered by Siebel?Driven by reduced telephone rates and a rise of service oriented businesses, the call center industry has gone through a tremendous growth explosion over the last 10 years. Unlike when we started the New York program, managing call centers has become its own industry and one now supported by specific software companies that solely address the needs of this high volume relationship business. While we strongly believe that our transaction engine, our financial systems and our Violations enforcement programs are hands down the best in the industry, we believe that it is time to use the talent and tools of those companies that concentrate solely on customer service systems to enhance our front end. We have selected Siebel as our partner to provide the toolkit for the next enhanced version of Vector, Vector 4.0. Siebel is the recognized leader in call center solutions ?Gartner rates Siebel the industry leader by far. Siebel is a $1.3 billion company with over 4000 call center customers supporting over three million live CSRs (?seats?). Their customers include IBM (60,000 seats), Bank of America (25,000 seats), and Cisco (40,000 seats) to name a few. They have 16 US. patents and, importantly, more than 1,700 full-time employees engaged in the product design and development process. We feel confident that they will bring lasting resources to bear that can keep abreast of this changing industry. Siebel and ACS have worked together to craft a very cost effective solution: Graphical User Interface part of our solution, we will implement new user screens based on Siebel's highly scalable, easily customizable application. A new interface brings with it a host of benefits including: 0 Significantly improved ability to make changes and customize quickly on demand 0 Detailed, graphical real time statistics and dashboards for better Authority governance 0 Built in analytics data warehouse 0 Fully Web-based application for easier upgrading and easier Authority access 0 More streamlined layout for better, faster customer service 0 Better communication with specific work groups letting CSRs know of a plaza problem or notifying tag room employees of an expected or late shipment) 0 ?Scripting? for customer service consistency and improved speed 0 Instant on?line help to CSRs for higher first call resolution Computer Telephony Integration (CTI) ties together the telephone system and the computer system to allow for ?pop screens? where customer information is presented to the CSR before the call is answered. CTI is a fully functional, validated, integrated, out-of?the? box solution that is part of Siebel's software. It allows for handling, queuing, routing, and tracking. CTI is a considerable cost saving measure because it: Cuts call length 5 percent to 10 percent 0 Increases telephone calls per CSR to allow for more efficient staffing 0 Provides faster service to the customer ?2005 ACS, Inc. 5.0-7 5m Workflow?The Staten Island CSC currently receives over 100,000 pieces of incoming mail, including 15,000 emails each month. Siebel offers the ability to have this mail directed electronically. ACS will purchase high speed scanners that will capture the true image of the correspondence. Once they are entered in they system and routed to a CSR they can be data? entered, responded to, or escalated. Response templates allow for quick, easy and custom replies. Importantly, work?ow business logic allows for mail to be handled as a customer communication so that CSRs see all customer interactions in one central place regardless of the channel call, e?mail, mail). A CSR can immediately verify that a Violation dispute was dismissed or that a new statement was sent out. Work?ow reduces operational costs and call volmnes by effectively processing high volumes in an efficient, consistent and professional manner. Other benefits include: 0 Creation of an electronic trail of paper for real?tiine reporting and managing a supervisor can tell in the middle of the day if CSRs are behind in answering incoming mail something that is challenging in a paper?based environment) 0 Exception handling improvements through routing and escalation protocols 0 Improved email response capabilities for faster, more consistent communications 0 Providing the cornerstone for an Activity Based Compensation payment model where workers are paid per piece" rather than hourly 0 Giving the CSR a more complete View of the customer where he she can see the inbound letter, e?mail, etc. New Database Architecture?The database architecture adopted in 1996 was selected for performance and scalability. believe it has served us well, especially given the scalability that was required. However, we recognize that now is the time to change and that system performance and reliability need to be increased. We want to mitigate obsolescence and better align ourselves with the emerging industry standards that we expect to carry us through the next 13 years and where technical expertise is readily available. The databases supporting the New York program will now be Oracle Corporation's ?agship - Oracle 10G. This solution was deployed, with excellent results, for the Bay Area Toll Authority (BATA) in San Francisco. This architecture will significantly improve system performance and stability. The first few months of operation at BATA has resulted in a virtually downtime free operation. In addition, because we have already performed the migration for BATA, we believe this to a low risk, lower cost solution. This solution will allow us to: Integrate more closely posting and reconciliation to meet the 24 reconciliation requirement in the RFP and to streamline reconciliation by reducing the number of steps involved 0 More easily manage the hot standby and offline query database since Oracle 10G is built with this type of use in mind 0 Archive as an on-line activity instead of from partitioned data tables providing more timely and faster archives 5.0-8 ?2005 ACS. Inc. s. s. The databases are being implemented as Oracle Real Application Clusters (RAC). Oracle RAC is a cluster database with a shared cache architecture that overcomes the limitations of traditional shared?disk approaches to provide highly scalable and available database solutions for business applications. The RAC ensures that the New York program will be immune to single server failures and that enhancing capacity is a matter of adding relatively inexpensive servers to the application infrastructure rather than costly and disruptive system upgrades. Offline Query Database?VVhile our current production database supports the bulk of necessary interactions, we agree with the Authorities for the need of an offline query database. This database, an Oracle 10g instance as well, will be maintained Via Oracle Replication which ACS has successfully used at several implementations, including Port Authority of New York and New Jersey for the Airport Central Host system. With Oracle 10g's advanced features and the Siebel Analytics component that we have included in our proposal, the data analysis capabilities are being given a very significant upgrade. We believe that this solution will not only provide significantly faster report running but will also improve system performance by freeing up the production database to process transactions, Violations and their associated financials. Ultinrately, with a new enhanced, Vector we strongly believe we will have a better performing, lower cost operation. But that is not all. In addition, when we combine the analytic component of the Siebel front end with a new backend offline query database, we will have the ability to better apply statistical quality control (SQC) in order to detect subtle variations in patterns that might indicate fraud or undetected system errors. Thus, this creates a cycle of continuous improvement. Implementation As part of our solution we are proposing a new location on Staten Island for oru? CSC. We plan to relocate to the Teleport, located off the South Avenue exit of I-278. While our current facility has served us well, it has grown out of necessity with the progranr. It was originally opened in September 1995 for the TBTA who at the tinre had roughly 10,000 accounts and 21,000 transponders in use. Moreover, projected growth was anticipated to be 187,000 transponders. Now, ten years later, the facility is supporting four authorities, nearly three million accounts and over six million transponders. We have accommodated this renrarkable success, but our departments have spread onto three non?congruent ?oors. Ultimately, we believe that a move to a new location will give us the opportunity to provide a more efficient layout and work?ow and provide the flexibility for continued growth in the progranr. Our new service center will be designed specifically for the largest ETC program in the world New York. ACS has a deep commitment to Staten Island and, thus we have chosen to remain there in a new facility. As we demonstrated in Newark, New Jersey, we believe in helping economically challenged areas by offering employment opportunities and encouraging our staff to give to the community. We recognize that we are one of the largest employers on the island and we are proud that our employees participate in numerous local fundraising and ?2005 ACS, Inc. 5.0-9 5m charity events to help support Staten Island. (Detailed in Proposal Section 5.1, Customer Service). Importantly, in addition to providing a better fitting facility for our service center, a move to a new location will allow us to deliver the aforementioned solution in a fail?safe environment during the Transition Phase. We Will use the Teleport as a mirror image of the existing operation in order to fully test the enhancements of Vector. By doing so we can provide a ?real? test environment where real data can be processed end to end in an applied operational environment and thus, significantly negating risk. A new facility will also accommodate and expedite the cutover process. The facility will be built out to accommodate staff, the new system, and all processes and procedures. Therefore, we can offer a cutover weekend instead of months of a risky and complicated transition. By following this weekend approach, we can give four more months to Phase 1 (as described in RFP Figure 2?1) for development of enhanced functionality, but more importantly, for full testing. Any other vendor will be ?stretched? to develop all of the specialized functionality required by New York, conduct proto?type testing, cutover testing, and be ready to accept operational responsibility in nine months. ACS believes that our carefully planned schedule will help the Authorities to minimize risk, leverage its investments already made, and get new and enhanced system features as soon as possible. The following table outlines the major implementation milestones required to deliver the new enhanced Vector, new functionality as required by the RFP g. hot standby and system redimdancy, class mismatch notice and fee structure, tag reader interface, an offline query database etc. as well as the move to the new facility. Our transition plan, described in Proposal Section 5.1, Transition Preparation ensures continuity of service, completion before the expiration of our cm?rent contract, and a short cutover period that reduces the impact on customers and the Authorities. - . I . Phase Milestone Date Description Phase 1 Notice to 1/2006 Terms of a contract have been ?nalized such that ACS can Proceed (NTP) begin implementation. Phase 1 Mobilization 1/15/06 - To reduce schedule risk, ACS will meet with the Authorities as Period 2/10/06 soon as possible to establish the project management approaches that will be employed for reporting status, agreeing on requirements, and conducting day-to-day interactions. In addition, during the mobilization period. ACS will begin mobilizing the named transition team. Phase 1 Vector 1/1/2006 - During this phase, ACS programmers and development staff Development 5/31/2006 will integrate the Siebel toolkit and build the new Vector GUI and work?ow modules. In addition, redundant databases will be purchased and programmed; new database structure will be implemented. Phase 1 Site 2/1/2006 - ACS will enter into a lease with the Teleport and necessary Finalization 3/31/2006 facility vendors as well as negotiate with the existing facility to provide a contingency plan. 5.0-10 @2005 ACS. Inc. S. EM - . I . Phase Milestone Date Description Phase 1 Facility 5/1/2006 - ACS will build out the new facility to maximize call center Buildout 9/30/06 ef?ciency while allowing for growth. Phase 1 Protype 6/1/06 - Comprehensive testing is a key risk mitigator in our approach. Testing 7/31/06 The new facility will act as a laboratory environment and demonstrate all required system functionality with no risk of affecting the actual operation. We will also test all aspects of disaster recovery/business continuity. system redundancies, and back-up capabilities. Phase 1 Cutover/DR 8/1/06 - ACS will demonstrate that the system is stable and provides Testing 10/31/06 all functionality required. This period will also include a full disaster/recovery/business continuity simulation and test back- up capabilities. Phase 1 User/Authority 10/1/06 - Authority staff and ACS staff will be trained on the new Vector Training 11/30/06 front end. Special training will be held for reports and new reporting functionality. Phase 2 Cutover 12/1/06 - While systems will be previously installed in the new facility. 12/4/06 ACS will use a weekend to move all necessary of?ce materials, reroute the phone calls and re-test all components. Phase 2 Operational 2/1/07 - After submitting a OAT testing plan, time system performance Acceptance 3/31/07 will be measured and reported to the Authorities for review to Testing benchmark the program?s operation and ensure the CSC as a whole complies with all functional and performance requirements. Conclusion As the contractor, ACS offers a proven system which delivers all critical functionality. Om? enhanced version of Vector, Vector 4.0, will build on an established transaction engine, a robust Violation enforcement program and sormd financial systems to ensure that every penny is accounted for. Our IAG experience remains munatched in compliance, processes, file handling and settlement. In addition, unlike some of our competitors, we will continue to offer an integrated CSC and VPC. We know this is an important aspect of customer service because our employees live and work in New York. They use the toll facilities every day and therefore tulderstand the customer?s perspective. Ulti111ately, while we believe that good technology is an essential component, the success of a project itself revolves not around behind-the-scenes systems, but direct interactive customer sen/ice. l'Ve have an - experienced management team in place that fully I L) I (y understands all the nuances and complexities of the $111411: program but, more importantly, how to deliver ETC specific customer service. We were recently certified by The Center for Purdue University for call center excellence. The Qu-?i?y Executive Summary of the Purdue report described our Purdue unwmuy awarded by Benchmarkportal New York call center as ?a superior organization,? an extremely well run center? and ?one ?2005 ACS, Inc. 5.0-11 5m II of the best run centers I have seen. As will be demonstrated in our technical proposal, we have leveraged this know-how to develop new, innovative solutions while maintaining this risk-free stable enviromnent. 5.0-12 ?2005 ACS, Inc. s. 5.1 Phase 1?Transition Preparation RFP Proposer Instnictions: The Proposer shall describe in detail how it would prepare for transition to a new system, including all activities required of the Proposer, the Authorities, the existing contractor, and any other involved parties to ensure a successfull transition. This description shall include a proposed schedule; key deliverables; project milestones for system development, critical design review, and testing; speci?c test cases/scripts; and all other elements the Proposer deems necessary to effect a smooth cutover of operations to a new contract. The Proposer shall indicate clearly when it will he ready to start cutover to the new system, with the understanding that the current CSC contract expires in December 2006. The Authorities assume that the selected Proposer will provide all of the resources and material necessary for transition to a new system; therefore, Proposers must indicate cleariy in their proposal submissions any such materials or resources that they would not provide. Given the unique challenges of the transition to a new operation, the Proposer shall identify staff that would be dedicated speci?cally to the transition preparation phase and how responsibilities would be handed off as part of transition to a new operation. Proposers should utilize Appendix C, Succession Plan, as background information. Proposers shall note that the Authorities currently have the CSC facilities as described in Appendix D. The leases are not in the Authorities' names but can be assigned to the new Contractor if necessary. Facilities shall comply with the geographical restrictions described in Section 1.91. Since the ACS Vector system is already in use today at the New York Customer Service Center HIGHLIGHTS and already delivers almost all of the required functionality, our proposed approach is nrore of an 0 Implementation of the Vector upgrade than it is a transition. This upgrade will Roadmap Wi" leverage the substantial substantially enhance the hardware, software, and 2:133:22? already made by the facilities to protect against obsolescence, introduce important new capabilities, increase operational ef?ciency, and improve customer service. . The next generation Vector product will provide a solid foundation for the next 13 years . Build-out of a new ?showcase" In tlus section, ACS demonstrate our complete Customer Service Center on Staten understanding of the methods necessary for Island completing the requested by . A dedicated Transition Team staffed E?ZPass New York. Our shared frmdamental goal with senior level employees all of is to upgrade the current New York whom have substantial infrastructure while ensuring the continuity of New York experience service for the New York customer base 0 A Cutover Plan that signi?cantly with minimal service disruptions. Additionally, reduces impact to bOth the customers given that ACS systems are currently in use by and the Authorities New York, ACS is able to identify special opportunities to minimize risks and minimize costs that might otherwise be associated with a large-scale systems and operational transition to entirely new systems, new software, and a new staffing organization that are untried and untested in an environment as complex as New York. The lowest risk option Our plan for the evolution of the current customer service operation is straightforward and consists of three basic elements: 1. The existing systems infrastructure is aging and is unsuitable as a platform for the next 13 years. We must upgrade the systems platforms to make use of the latest technologies that will be fully supported over the life of the contract and beyond. ?2005 ACS, Inc. 5.1-1 5m Use HP's midrange Unix and Windows Servers, that are based upon the very latest processor technology, to replace the aging Alpha class servers that are approaching the end of their supported life Replace the aging telephony platform with a modern system that can be fully integrated with Vector Implement an improved network infrastructure that will eliminate already identified performance bottlenecks Apply a new storage infrastructure that will better support the hot standby and reporting database requirements 2. The Vector software application is reliant on some third?party products that are reaching end of life. In addition, significant advances in Customer Relationship Management (CRM) software introduce new options to improve operational efficiencies. We must upgrade the Vector software platform to eliminate dependencies on software products that are becoming obsolete and at the same time leverage a commercially available CRM product that provides important feature enhancements that will increase operational efficiency. Migrate to the Unix operating system to provide greater platform independence and stability Convert to the Oracle 10 series database from the current Oracle RDB to benefit from improved throughput, high availability features, and better support Replace the Vector front?end applications (CSR user interface, Web, fax, e- mail) with the Seibel CRM product to introduce new functionality that will significantly improve service center efficiency and employee productivity tracking, and provide improved reporting capabilities Adapt Vector application modules that are still dependant on the Forte environment to use Java as an alternative for long-lasting system support and stability 3. Build out a new facility, one that is designed from inception to support an operation as large and complex as New York, the largest regional ETC operation anywhere in the world. The Authorities are already aware of the plans ACS has been making with respect to the hardware and software upgrades. Commonly referred to as the ?Vector Roadnlap,? ACS has made presentations that clearly indicate the development path we have chosen?migrating to HP Integrity servers running Unix, converting to Oracle from Oracle RDB, and moving away from Forte to Java. This development effort has already started, and we have completed two of the three essential roadmap elements. In June of this year, ACS deployed for the BATA Regional Customer Service Center, the most recent version of Vector, (Vector 3.0) that runs on the HP Platform under Unix and implements the conversion from Oracle RDB to Oracle 9i. This successful deployment and the outstanding performance of the system fully validate our design choices. It also provides us with the confidence to know that we can complete the 5.1-2 ?2005 ACS. Inc. s. A s. remaining elements of the roadmap on schedule and be ready for Authority testing in August 2006. New York will benefit from the work ah?eady completed and will further benefit from the development efforts already underway to complete the Vector roadmap (presented to the Authorities in 2004) implementation. Substantial increases in functionality will follow as we inlplement a modified Customer Relationship Management (CRM) package, and our dependence on Forte will be eliminated as we complete the transition to Java. The final element of our upgrade approach is our proposal to relocate our operation from the current facility to a new facility at the Teleport on Staten Island. The existing facility has grown enormously since the inception of the program. Originally selected as a site to support a program that would issue 187,000 transponders, this facility now supports more than 3.4 million customers. The facility has undergone a number of significant expansion programs over time to support the growth, but is operating at less than optimal efficiency due to the design tradeoffs forced upon us by the layout of the facility itself. It is for this reason that we have chosen to take this opportunity to build out a new ?showcase? facility, designed from the outset to support a four million customer operation. The facility will continue to be located on Staten Island, guarantying continued enlployment to all of our highly qualified and experienced staff and, as the fourth largest employer on the Island, continued support of the local economy. All of the tasks necessary to implement our transition approach will be completed before our current contract expires in December 2006. However, our schedule to accomplish the tasks differs from the one contained within the RFP because we are the current vendor. A high- level overview of the schedule timeline is shown in Exhibit 5.1-1. Since we are operating the CSC today, we can substantially reduce the time that the Authorities have allocated to Phase 2, Transition, the cutover period when operations are gradually transferred from one operator to another. ACS is proposing to install the CSC hardware and software platform and build?out the new CSC facility in parallel without impacting the existing CSC, then perform a cutover to the new CSC over a three?day period. The cutover approach we are proposing is not new or untested. It is precisely the approach that we have adopted in our other successful operational transitions, most recently for the Bay Area Toll Authority (BATA) Regional CSC transition in California. The remainder of this section explains in greater detail our approach to Phase 1, Transition Preparation. Additional detail on our approach to cutover can be found in Proposal Section 5.2, Transition. ?2005 ACS, Inc. 5.1-3 A c? s. 5.1-4 ?2005 ACS, Inc. the design, development, and testing phases. Exhibit 5.1-1. ACS can offer a signi?cant/y shorter cutover period and, therefore, dedicate more time to 041.NYED 3/2006 Treneltlon Plan Approved 1/2006 Notice To Proceed (NTP) Commence Cutover 1 2/4/2006 Cutover Complete 12/1/2006 2/1/2007 Start OAT 3/31/2007 Complete OAT I I 2/20063/2006 4/20065/20066/20067/2006 8/2006 9/200610/200611/20061 I I Deve opment 6/1/2006 - 7/31/2006 Integration Testing 8/1/2006 - 10/31/2006 Cutover/DR Testing Fac ty Test ng 2/1/2006 - 3/31/2006 5/1/2006 - 9/30/2006 Facility Buildout Site Finalization 10/1 /06 - 12/1/06 User/Agency Training 1/2/2006-12/1/2006, Transition Preparation 12/2006 - 4/2001 Ongoing Operation? 12/1/2006 - 12/4/2006 Transition Transition Timeline 5. SI 5.1 .1 Program Administration Tasks We have selected Susan Davis to serve in the crucial role of Transition Manager with responsibility/for the successful transition to the new platform, application and facility. No one in the ACS organization is more qualified to perfonn in this role. To best succeed in any transition the Transition Manager should understand what is being transitioned from, the point of origin, and is being are transitioned to, the destination. Additionally, the Transition Manager should have first-hand experience managing transitions of similar size and complexity to that of New York. Ms. Davis is the perfect candidate for the role of Transition Manager. Her relevant qualifications include: Involvement in since the inception of the progranl in 1992 In-depth tmderstanding of the current business rules, and more importantly, the rational for their development 0 Project Manager for the NYSTA and MTA service operations for four years 0 Implementation Manager when joined the MTA CSC in 1997 Inlplementation Manager for the New York consolidation 0 Transition Manager for the New Jersey project when ACS assumed operational responsibility for the New Jersey CSC from the previous vendor More recently, Ms. Davis has been involved in the identification and implementation of various product and operational improvement projects that include work?ow management, reporting, and disaster recovery. She possesses a unique blend of program experience, understanding of the latest products and services that ACS has to offer, and proven transition management skills that ideally qualify her for this ianortant role. Ms. Davis Will be fully supported by a skilled transition team who Will be dedicated to the project for the duration of Phases 1 and 2. The Transition Team is stocked with subject matter experts, each of whom brings unique skills to the team. In addition, she will also be fully supported by senior ACS executives from our Transportation Solutions division. These executives will ensure that the Transition Team receives the corporate support necessary to guarantee project success. A complete description of our Transition Tean1 is fully described in Proposal Section 5.1.1.3 Transition Team. As Transition Team Manager, Ms. Davis is empowered to control the transition progress and outcome through use of a variety of management controls that utilize informational tools and program directives. Some of these tools are listed below as examples. ?2005 ACS, Inc. 5.1-5 EM Contract Specifications?The Authorities? requirements are based upon a performance specification that requires the end item equipment and systems to perform to specific reliability, availability, and maintainability goals. The Authorities' specifications drive the ACS design specification, control the design of the CSC system, and provide a means to measure progress. Policies and Procedures?AC8 has specific policies and procedures which apply company-wide to all operations. Software development and hardware integration are accomplished with specific guidelines and authorized tools. Procedural manuals are developed from the contract specifications of each of the Authorities and combined with system operational procedures and ACS policies to define specific program related processes to be utilized by employees on-the-job. Policies and procedures ensure uniformity of performance, compliance, and a means of measuring performance to standards. Management Plans?Management Plans are developed to manage functional aspects of the Authorities? requirements to ensure that schedules are met, conforming systems are delivered, operational goals are achieved that meet reliability, availability, and maintainability goals. Management plans are fully developed and implemented by the Transition Team during the development process to ensure compatibility with the system design solution. Quality Planning?Quality Assurance (QA) will develop planning documentation for inspection criteria, test, and acceptance to be used in evaluating and measuring and systems performance. The resulting planning becomes inspection entries in the specific work instructions and test plans implemented in the development and production phases and carries over into the review of performance in the operational phase. Testing? The use of testing throughout the development and transition processes will confirm hardware and software functionality and reliability at the and system levels and verify performance during the operational acceptance. Project Performance to Schedule?The transition manager will report performance to the Authorities based upon the Master Progranr Schedule that supports the Statement of Work (SOW) specified phases of the contract. Our tracking process is based upon a work breakdown structure superimposed on a critical path chart. Program Status Reviews?During the transition activities and after achieving full operational capability, the transition team manager and program manager will conduct regularly scheduled status reviews with the Authorities. These sessions will review schedules, assess performance, and develop corrective actions as required to ensure satisfactory performance meeting contract requirements. In addition, these reviews will provide a forum for recommending changes in policies and procedures and systems to enhance capability, developing efficiencies, and reducing costs. ACS will conduct technical review sessions, as needed, during the regularly scheduled status meetings to address any design or transition issues the Authorities or ACS may have. Testing Milestones Formal testing events appear on the Master Program Schedule. Specific adnrinistrative tasks are described in more detail in the following sections. 5.1-6 ?2005 ACS. Inc. s. 5.1 .1 .1 Transition Plan ACS offers a transition plan that is specifically designed to provide as much time in the scliedulefor design, testing, and training as possible, minimize customer service disruptions, and eliminate unnecessary risksBene?t How ACS will Deliver Increased time available for design, By reducing the cutover period from a minimum of 120 days development, and most importantly, testing to three days, four months of additional time will be available for exhaustive testing of the system prior to cut-over. Testing and training will not impact existing By implementing a new system and building-out a new operations facility in parallel with the existing operation, we will create an ideal environment for testing all of the required functionality and training the existing employees without any impact on daily operations. Testing or training on existing systems or facilities would signi?cantly impact ongoing operations. No complex reconciliation between two Only one CSC platform will be operating at any time. different CSC platforms Running two different platforms with two operators concurrently will introduce signi?cant reconciliation issues. Minimal impact to the customer base Systems will only be off-line for a short period of time over a weekend. Fail-safe contingency planning The existing CSC will remain fully intact until cutover is successfully completed. Any phased cutover to another operator would degrade the capabilities of the existing CSC and thus require a remobilization should it be necessary. Overview The Transition Plan is a critical element to the successful system migration by ACS of the current Customer Service Center hardware, software, and facility, onto a significantly enhanced and fault tolerant hardware platform, the next evolution of our Vector software application, and a new ?showcase? facility designed from the outset to support an operation as large as New York. The required schedule from time of contract award until the cutover is a challenge that must be properly assessed, planned, and implemented. Transition does not merely describe the final aspect of assuming operational capability for a new system, but encompasses all actions from contract award through development and installation until operational acceptance by the Authorities. It requires a total commitment by the successful contractor. The systems have to switch over into the new mode of operation in a seamless fashion providing existing functionality and additional features to carry it through the next decade. The transition period, from expected NTP to the date of current contract expiration, is only 12 months. As the incumbent service center provider, we are the best vendor positioned to successfully migrate the operation in this time period with the least transition risk. For a new ?2005 ACS, Inc. 5.1-7 5m vendor to accomplish the development of a system, achieve the parallel testing of the system and its many interfaces, build and train management and staff, educate the Authorities as to their particular way of processing, convert from the existing systems, and then pull off an extraordinarily complex cutover and meet the contract performance standards is a "stretch" that significantly increases the program risk for the Authorities. The replacement of a proven high?volume, multi?agency, regional system with new, unproven software and the nranagement and staffing of a CSC operation with largely unseasoned staff would truly place the Authorities customer service in jeopardy. ACS recognizes that the steps taken during transition must be as non-disruptive as possible to current operations. System testing must not interrupt the production data ?ow. Customer Service Representatives and other staff training must not interfere with the existing CSC operation customer contacts and the Authorities' revenue flow. The entire transition must be transparent to the motoring public. At the time of contract award, ACS will already be the service center provider for the Authorities. We will have the ability to manage the transition to a new platform, running our latest version of Vector, in state?of?the? art facilities seamlessly precisely because we will be in control of all of the variables in the process. We will build?out a complete facility, acquire the new platform, and load the new Vector product without disrupting any item in the existing CSC. Such an approach permits exhaustive prototype and cutover testing and comprehensive staff retraining well in advance of December 2006, the end of the current contract. This approach will be non-disruptive to the online system or the production back-end because we intend to develop additional progranuning to replicate ETC transactions, violation transactions, and service center activity and pass that data to the parallel system. This process will continue until cutover testing, and ultimate implementation of the new software on the new production processor. This is the safest and the most controlled process and one that only the can offer. The Transition Plan outlines the management and technical processes along with the policies and procedures to be used by ACS to achieve operational capability for the New York CSC Operations Program within the required contract schedule. The Transition Plan is complemented by the Program Management Plan to achieve and sustain full operational capability for the new CSC Operation. Within 60 days of NTP, ACS will submit the Final Transition Plan for approval by the Authorities. In order to effectively develop a quality Transition Plan, the ACS Transition Team will conduct meetings with the Authorities, the Authorities? contractors, any other contractor(s) designated by the Authorities, and all other involved parties. ACS has developed a comprehensive, well-planned approach to ensure the smooth transition to the new New York Customer Service Center operation. Our extensive knowledge and depth of understanding of the current operations environment as the current service center provider with the specialized skills and talents of each assigned member of the ACS Transition Team, offers a minimal risk transition path that effectively responds to the needs of this complex program. This minimal risk path is enhanced by the following ACS capabilities. 5.1-8 ?2005 ACS, Inc. s. Knowledge of Existing Operations?In our current position as service center provider for the New York Customer Service Center, ACS has gained signi?cant experience and in?depth, detailed knowledge of the operations and system requirements of the Authorities. Our CSC experience, management expertise, and system solution provide the most cost-effective, lowest-risk solution for the Authorities. As the transition to a new CSC operation will occur within the same geographic area (Staten Island) and with essentially the same personnel that are currently staffing and managing the existing operation, the likelihood of unexpected problems, delays due to learning curves, and unplanned events or surprises are significantly reduced or eliminated. Centralized Data Center Operations? Since the current Customer Service Systems are currently operating out of the ACS Data Center in Tarrytown, New York, the transition process to a parallel system within the same data center becomes a more secure, controlled process which is far less prone to failures that could otherwise occur. This is a secure facility designed to meet the needs of a modern data center, with clean power and good access to comnumication networks, as required for the New York CSC Operations. This type of transition significantly simplifies the process and reduces potential risk for the system, equipment, environment, and personnel. Parallel Testing and Acceptance?As part of the transition approach, ACS will accomplish parallel processing activity that will verify the new system performance prior to cutover. We have envisioned parallel processing to be within the scope of the cutover tests as defined within this transition plan. It is essential that such an analysis and verification of the results be completed before actual cutover to the new CSC operations. Experienced Transition Team?We View a flexible and responsive CSC operation as a requirement that is met by our transition strategy and supported by our transition teanl. Key components of this strategy are providing transition team members from our existing line of business staff who are experienced in this operational environment, providing designated Authority liaison staff functions. Rapid Cutover?Our cutover approach differs markedly from that outlined in RFP. Because we are the incumbent contractor we have substantially more ?exibility in how we implement the all-important cutover. The RFP outlines a 120?day phased approach where operational responsibility is gradually transferred from one operator to another. We are proposing to reduce significantly the cutover period which will result in an additional four months in the schedule for design, development integration, and most inlportantly prototype and cutover testing. Since we are the existing operator, and control all elements of the cutover, we can implement a rapid ?three-day? migration. Such an approach will free the Authorities from the difficulties associated with reconciliation between two CSC operations and systems, and minimize impacts to the user base. Om? CSC operational and transition experience combined with our proven commitment and ability to provide comprehensive design and integration services, hands?on program ?2005 ACS, Inc. 5.1-9 management, and thorough training ensures that we will provide a superior, low-risk transition for the Authorities. The remainder of this section provides more detail on the major activities necessary to effect the transition, specifically: 0 Development of progress schedule ?Proposal Section 5.1.1.2 0 Review of existing operations and succession plan 0 Development of policies and procedures ?Proposal Section 5.1.1.5 0 Transfer and disposition of equipment, materials, assets, and facilities from existing operations 0 Acquisition, installation, and/or setup of other required equipment, materials, assets, and facilities ?Proposal Section 5.1.1.6 0 Establishment of required agreements with subcontractors, leaseholders, and Suppliers? Proposal Section 5.1.1.8 0 Staff recruitment and training ?Proposal Section 5.1.1.4. 0 System development?Proposal Section 5.1.2.1 0 Developing procedures and materials 0 Testing and acceptance ?Proposal Section 5.2.1.3 0 Customer communications 0 Contingency plan?Proposal Section 5.1.2.5 0 Detailed cutover plan?Proposal Section 5.1.2.4 0 Detailed disaster recovery/business continuity plan- Proposal Section 5.3.1.8 Post-cutover evaluation of ongoing operations 5.1 .1 .2 Program Management ACS is providing an experienced transition team, separate from our current operations team who will continue to focus on delivering customer service for New York. Our dedicated team is comprised of individuals with in-depth knowledge and experience of the New York program and the complexities of managing a regional program of this size, the largest ETC system in the world. The team will be led by Susan Davis who brings 22 years of experience and who has been involved in the program since its inception in 1993. QUINHH 5.1-10 ?2005 ACS, Inc. s. Ms. Davis has managed nunlerous transitions. She will ensure that our transition plan is complete and is maintained as a living document updated on a regular basis to encompass changes and revisions). In addition, she will work closely with the Authorities, contractors, developers, and other relevant staff to ensure that all deliverables are delivered on schedule. Finally, Ms. Davis will ensure that communication regarding the transition and any new functionality procedures are delivered in a timely manner. She will supply the Authorities with a contact list of all key personnel and hold regularly scheduled meetings to provide the Authorities with updates, obtain necessary approvals, and elicit feedback/ input. 5.1 .1 .3 Transition Team Under the leadership and focal point of the Ms. Davis, ACS will form an experienced and highly qualified Transition Team responsible for developing the Final Transition Plan, including the detailed Master Program Schedule, and conducting transition activities until initial operational acceptance is attained. This team is subject to the approval of the Authorities in conjunction with contract award. The organization structure of the ACS Transition Team focuses on project management, systems and software design and implementation, finance and reconciliation, facilities, operations, and quality assurance and testing. The Transition Team organization structure is depicted in Exhibit 5.1?2. The Transition Team removes the day?to?day requirements of transition from the current CSC operating staff in the existing facility; however, close coordination is maintained to ensure that the new system and facility will optimally support the operational needs of the program and staff, when implemented. ?2005 ACS, Inc. 5.1-11 Exhibit 5.1-2. ACS has a highly 5.1-12 all aspects of the current E-ZPass ?33. New York operation. ali?ed and experienced transition team, uniquely familiar with @2005 ACS, Inc. A c? s. Intera ncy Overs ACS Execut ye 0mm ttee Overs gm Pro' at Mane I9 ge Trans on Team I I E-Z?ass" New York ProIect Manager Manager I Program Manager Project Manager Susan Davls I I Halon Barton Project Manager I I I System Software Irm ementat on Imp ementat on I Susan Sawyer Sarlsh Kolangara I nance QA Ce :ter 0 at ons 0032?:ng- Tags Operat ons nance I I Jack Hoffman Glen Poloncsak E-ZPass?" New York CSC Transition Team I Ex st ng E-ZPass New York CSC Opera! ons Team Fac tes System Archtect Darin Henderson Naresh Manlkath and Test ng Qua ty Assurance I Cindy Poggl I EZPass New York CSC Trans ton Team S. Upon contract award the Transition Team will be activated. Proposed individual team members with assigned functional responsibility are identified in the table shown below. The identified team members exercise functional responsibility and will be augmented by additional personnel resources as required to accomplish the transition functions. Resumes for the proposed team may be reviewed in Proposal Section 4.2.6, Key Personnel. A final submittal of the proposed Transition Team composition to the Authorities for review and approval will occur as part of the detailed transition plan submittal within 60 days of contract award. TRANSITION TEAM MEMBERS AND FUNCTIONAL RESPONSIBILITY Transition Team Member Current ACS Company Position Susan Davis Transition Team Manager Project Manager Natesh Manikoth Vector System Architect Director, Technology Solutions Satish Kolangara Software Implementation Project Manager Susan Sawyer Systems Implementation Director. Shared Services Jack Hoffman Operations Assistant Director, Operations Glen Poloncsak Finance Director, Financial Controls Darin Henderson Facilities Director. Facilities Cindy Poggi Quality Assurance/Control Director, and Testing ACS recognizes that the Authorities will designate their members of the Transition Teanl. The Transition Team composed of ACS and the Authorities will meet on a regularly weekly basis to provide status and to resolve problems or issues related to the transition. Consolidated schedules for all participants will be developed to ensure total integration of transition efforts and a common baseline. To more effectively manage the transition process, ACS has established a responsibility matrix for each major sub-section of the Transition Plan. The responsibility matrix identifies primary and secondary functional responsibility and accormtability for each major section. The responsibility mat1ix links the Transition Team to the Transition Plan. As the final Transition Plan and Schedules are completed, the frurctional responsibility matrix will be updated to accurately re?ect responsibility within the Transition Teanl. The Transition Team Manager will remain fully accountable for all transition tasks. The preliminary Transition Functional Responsibility Matrix follows. ?2005 ACS, Inc. 5.1-13 Em; TRANSITION FUNCTIONALITY RESPONSIBILITY MATRIX Responsibility Assignment 5; 2% 2?5 3 0 Transition Task Formation of Transition Team 00 00 00 00 Development of Progress Schedule Review of existing Operations and Succession plan Updated Policies and Procedures 0 0 0 0 0000 Transfer and disposition of equipment, materials, 9 etc from existing operations 00000 Acquisition installation and setup of new CSC 9 9 system and facility 0 00000 0 Establishment of required agreements 00 00000 0 Staff recruitment/training System development 00 00 Testing and acceptance Customer communications Contingency Plan Development of Cutover Plan Updated Disaster Recovery/Business Continuity Plan Post-cutover evaluation 0 9 9 0 00000 00 0000 00 0 0000 00 000000 0 0 Primary Responsibility 9 Secondary Responsibility 5.1-14 @2005 ACS. Inc. A s- 5.1 .1 .4 Staff Recruitment and Training As the operator of the existing New York CSC, ACS has a full complement of highly qualified and fully trained staff. The majority of management positions are currently filled with highly skilled individuals who have ah?eady proven themselves to both Authority and ACS management in one of the most demanding customer service environments. will be designing and implementing important operational enhancements to the system during Phase 1 of the program, and the changes will require a short amount of staff retraining so that all personnel are fully familiar with the user interface improvements. ACS is confident that we can dedicate staff to the important task of retraining without impacting existing operations. We also expect that we will be able to reduce the training duration for new hires. The improvements that we are making to Vector with the implementation of the new CRM front-end will include advanced call scripting and online help. Additional information on staffing, including a proposed organization chart and staffing plan can be found in Proposal Section 5.3.1.2, Staffing. Further details on our comprehensive training can be found in Proposal Section 5.3.1.3, Training. 5.1.1.5 Policy and Procedure Development During Phase 1, Transition Preparation, ACS will review the current Policies and Procedures Manual to ensure that it correctly re?ects all current practices in the CSC. lack Hoffman, the operational representative on the Transition Team, has primary responsibility for this task. Mr. Hoffman served as Operations Manager in the New York CSC for eight years and has an unmatched understanding not only of the policies and procedures, but why they are designed in such fashion. The existing Policies and Procedures Manual includes background information on specific policies and procedures for each of the New York member Authorities together with information that is of a more general natures such as Toll Authorities that except contact information for other agency CSCs etc. The current manual is exceptionally detailed and provides the specific information necessary to perform all of the CSC operational tasks described in detail in the SOW. Where appropriate, the existing manual includes detailed data, functional and process ?ow diagrams that describe how transactions are processed and applied to customer accormts, and the operational workflow. 5.1 .1 .6 Service Center Facilities ACS will obtain approval from the Authorities for all CSC and walk?in facilities it will operate. We plan to move the main customer service center and its walk-in facility from its current Staten Island location to the Teleport, also located on Staten Island, and the primary telecommunication facility available on the Island. (More detail on this location can be found in Proposal Section 5.3.4.7.) The Teleport is a more modern facility with space available to ?2005 ACS, Inc. 5.1-15 5m accommodate a can center specifically designed to support a program as large as New York. By staying on Staten Island, we are fully confident that we can retain our highly trained and experience employee base that currently serve the program 87 percent of whom live on Staten Island. ACS will ?build out? this facility during Phase 1 and prior to the beginning of cutover testing. Finally, ACS takes security seriously. We are committed to keeping all our employees and their functions, such as customer data, remittance processing, tag inventory and distribution, central computing, and communications safe and secure. We will work to ensure that physical and system access controls guard against theft, unauthorized use, fraud, viruses, and misuse of the Vector system and data. Our standard security includes card access systems, caJneras, alarm systems, environmental controls, fire suppression, data security, multi?level software security, as well as full and incremental backups. We have already worked closely with the Authorities to determine appropriate security precautions, and we will continue to supply secm?ity guards and security panes separating the cash from the customers at the Queens, Yonkers, and Staten Island walk?in facilities. We understand that the Authorities often visit the site not only for meetings but to monitor progress and performance. We will provide private office space for use by visiting Authority personnel at our Teleport-located CSC. 5.1 .1 .7 Deliverable Documentation As the incumbent service provider, ACS, with significant Authority input, has developed plans, policies, procedures, manuals, and system documentation that detail all aspects of the current operation. This suite of existing documentation will form the formdation for the project deliverable documentation and will be updated to re?ect the inlportant system and functionality enhancements that will be introduced. ACS will submit all deliverables in accordance with the SOW and at the time specified in the Master Program Schedule. Deliverable documentation is identified in the following table. 5.1-16 ?2005 ACS. Inc. s. DELIVERABLE DOCUMENTATION SCHEDULE RFP Deliverable Reference Name 2.1.1 . Transition Plan 1 Within 60 days of NTP ACS has existing, fully tested Transition Plans that will be modi?ed to re?ect the speci?c requirements of this transition. Transition Plans have been developed and successfully executed for E-Z New York, New Jersey DRPA, DRBA, and the BATA regional CSC. 2.1.1.2 . Program 1 Phase 1 and 2 will be ACS will deliver a phase speci?c Management delivered within 14 days of Program Management Plan. A Plan NTP. Phase 3 Program Management Plan exists for the current operation and will be updated to re?ect changes driven by the new system and location. The Phase 1 and 2 Program Management Plan will expand upon the outline already provided in Proposal Section 5.1.1.2. 2.1.1.4 . Organization 1 Within 14 days of NTP ACS has a fully developed Chart and Organization and Staf?ng plan Staf?ng Plan which can be found in Proposal Section 5.3.1.2. The plan discusses changes in current operational staf?ng to support training on the new system together with ongoing Phase 3 operations. Transition Team staf?ng for Phases 1 and 2 is discussed in Proposal Section 5.1.1.3. 2.1.1.5 . Policies and 1 At least 60 days prior to ACS has developed a Procedures cutover comprehensive Policies and Procedures manual in support of the current New York contract. This manual will be updated to re?ect changes driven by the RFP by system enhancements, and location. 2.1.2.2 . CDR 1 60 days after NTP ACS has developed system, report, Documentation and user documentation for the Vector Platform. The Vector Functional Description Document (FDD). Reports Description, and User Guides will all be updated to re?ect changes driven by the RFP and the Vector Roadmap. These updated documents will form the basis of the CDR submittal. 2.1.2.3 . Detailed Test 1 Test Phase speci?c ACS has a full suite of test scripts Plans testing plans will be that have been developed to delivered at least 30 days support exhaustive functional testing in advance of Prototype, of the Vector platform. ACS will Phase MilestoneIDependency Comment Phase 3 will be delivered at least 30 days before cutover ?2005 ACS, Inc. 5.1-17 Em; DELIVERABLE DOCUMENTATION SCHEDULE Re::;ce Phase Milestone/Dependency Comment Cutover, and Operational update and add to the existing Acceptance test phases scripts to re?ect all changes to the system driven by enhanced functionality. Phase speci?c plans will be developed for Prototype. Cutover, and operational tests. 2.1.2.4 . Detailed 1 60 days prior to cutover ACS has developed and executed Cutover Plan cutover plans for New York, New Jersey DRPA, DRBA, and BATA. A preliminary cutover plan is described in Proposal Section 5.2. 2.1.2.5 . Contingency 1 60 days prior to cutover ACS has developed Contingency Plan Plans to accompany all of our successful operational transitions/migrations. 2.3.1.8 Disaster 1 90 days prior to start of ACS has an existing and tested Recovery/ cutover Disaster recovery/Business Business Recovery Plan. The current plan Continuity Plan will be updated to re?ect changes necessary as a result of the important Data/System redundancy features built into the new system. Disaster recovery will be tested during prototype. cutover. and operational acceptance testing. 2.3.1.9 Succession 3 1 year after start of ACS has a fully developed Plan operations (Phase 3) Succession Plan. The plan will be updated to re?ect program changes and will be updated annually throughout the term of the contract. 2.3.4.2.4 0 Tag Swap Plan 1 30 days prior to cutover The existing TAG Swap testing speci?cation will be updated if required and delivered prior to cutover testing so that system functionality can be veri?ed. 2.3.7 . Prototype 1 Proposal Section 5.3.7 ACS has an existing Vector Reports Reporting Tasks Reports Description Document Vector Reports which will be updated to re?ect Description Document will Changes in the system. be provided as part of the CDR Contract . Escrow 3 Within 30 days of Initial ACS will develop and deliver a 4.05 Agreement System Acceptance comprehensive Escrow Agreement within 30 days of Initial Systems Acceptance. Quality Assurance will review and monitor deliverable requirements throughout their development and inlplementation, making required inspections and reviews to ensure that software, hardware, and docunlentation comply With the contract requirements and are suitable for their intended use. Deliverables will be submitted in accordance with the 5.1-18 ?2005 ACS. Inc. approved schedules which will provide a minimum of 15 days for Authority review and approval. 5.1.1.8 I Required Agreements Setting up agreements with subcontractors, suppliers, and State DMVs (Departnnent of Motor Vehicles) is a time?consuming process, often requiring contract negotiations and the development of complex hardware and software interfaces. Most of these agreements and interfaces must be in place prior to the start of prototype testing so that the functionality of the system can be fully validated. It will be extremely challenging for another vendor to have all of the necessary agreements and interfaces in place, and it is a certainty that all of tasks associated with the establishment of these agreements will be critical path items. The importance of this is clearly understood by the Authorities. REQUIRED AGREEMENTS Agreement Agreement Party Agreement In Place Software/Hardware Interface Property Leases Staten Island (Teleport) Yonkers Walk-in Silverstein Properties McLean Plaza In Negotiation Yes Spring Valley Walk-in Pascack Industries Yes Queens Walk-in Pistilli Brothers Yes Buffalo Walk-in Ellicott Group Yes Albany Walk-in Stuyvesant Plaza Yes Syracuse Walk-in Lakeshore Drive Yes Banking TBTA and PANYNJ JP Morgan/Chase Yes All Hardware/Software NYSTA Bank of America Yes '"terfac?s P'ace and functioning. ACS has reporting privileges Credit Card Processor Visa and Mastercard Chase Merchant Services Yes All Hardware/Software American Express American Express Yes Interfaces place and functioning. ACS has Iscover Iscover ar es reporting privileges DMVs All Required States Yes Hardware/Software interface in place and functioning Mail House Yes Hardware/Software interface in place and functioning Printing Services Applications, Guidebooks. Park Lane Graphics Yes ?2005 ACS, Inc. 5.1-19 Wm REQUIRED AGREEMENTS Agreement Software/Hardware Agreement Agreement Party In Place Interface Correspondence, Three Sons Graphics Yes Envelopes. Forms. Wait- PRWT Services. Yes time Cards, Batch Headers, Ink Stamps Collection Agency Port Authority Allied Interstate Yes Hardware/Software interface TBTA OSI, Inc Yes in place and functioning System Integrators TBTA Transcore/Caseta Yes Port Authority ACS Yes Hardware/Software interface NYSTA NYSTA Yes in place and functioning Security ADT Yes Grif?n Security Yes Couriers Tag/Mail Delivery ITS Courier Yes Armored Car Service Brinks Yes Janitorial Cintas Yes Suburban Pest Yes White Stone Windows Yes ABC Cleaning Yes Apple Maintenance Yes Tag Disposal Services Heritage Environmental Yes ACS plans to continue the majority of agreements with its current subcontractors and suppliers. However, contingent on the Authorities approval, our intention is to enter into a new lease agreement with the Teleport. We will also update our hardware and software support agreements to cover an expanded Oracle platform, new HP functionality, and Siebel support. For any new agreements, ACS will be responsible for the consideration of any legal and financial issues associated with the negotiation of these agreements. We will continue to obtain the Authorities' approval for all subcontractors. We recognize that it is our responsibility to provide all services during the term of the contract (including any extensions) and that the utilization of subcontractors does not relieve us of this responsibility. ACS is fully responsible for meeting all of the required performance standards, and we will make sure that all negotiated agreements and subcontracts contain the same standards, where appropriate. 5.1-20 @2005 ACS. Inc. S. SI 5.1 .2 Development Tasks The ACS development approach will build upon the significant functionality already included in our HIGHLIGHTS Vector product, further leveraging the substantial investment already made by the New . New and enhanced functionality? York Authorities. builds on a solid development foundation During the previous seven years, ACS and the Development bandwidth is Authorities have expended considerable effort in the development of the Vector system. The current Seibel CRM system has successfully handled the phenomenal WIthashortened cutover period, four 810W 1 1n popu arity 0 1e ass iogiain an additional months are available in the today handles the customer service needs of nearly schedule for development and three million account holders, and accurately extensive testing accounts for $2.7 billion in Authority toll revenues. Our system development approach is carefully crafted to retain many of the key elements of the existing Vector system including the robust transaction engine, integrated violation processing functionality, and the financial modules that accurately account for the Authorities revenues. Our focus will directed to the significant Vector product improvements that we have highlighted earlier and that are explained in greater detail tlu?oughout this proposal, namely: 0 An enhanced ?Web?based" graphical user interface for all users of the system 0 Computer telephony integration (CTI) to increase operational efficiency 0 Implementation of work?ow software to improve quality and reduce operational cost 0 New database architecture developed around the Oracle 10 database to increase performance and provide new high?availability features 0 Significantly enhanced reporting capabilities with the implementation of a tailored offline query database The approach we are proposing will also substantially enhance our development bandwidth. By selecting the industry-standard Siebel CRM product, internal development staff can focus on New York program specific elements because other major enhancements such as CT I, workflow, and advanced user interfaces are all part of this commercial off-the-shelf (COTS) package. Our detailed design choices will be fully described and documented in a review process prior to the conunencement of any development activity. Since we are building upon the Vector platform and our design approach builds upon rather than replaces proven elements of our application, both ACS and the Authorities can concentrate on the new features and enhancements that will be introduced rather than analyze basic functionality. The Authorities already know that the Vector System correctly handles all of the complex ?2005 ACS, Inc. 5.1-21 5m discount plans, mismatch processing, unmatched handler, violation toll posting, toll and non?toll processing, inter-agency financial reconciliation, and the complex interfaces to each Authority host systems. Instead the time can be better spent validating the design of the off? line reporting capabilities, hot?standby and fault tolerance, the enhanced user interfaces, Web functionality, new fee structures for unmounted tags and class mismatches, interfaces to the tag programmer, and new financial reporting codes. \Nhen the design has been approved and the new system has been completed, ACS will conduct exhaustive integration testing to ensure that all current functionality remains unchanged. ACS has an existing regression test plan that can be used as a baseline to verify current functionality. Once the regression testing is satisfactorily completed, enhanced functionality and new features will be thoroughly tested prior to Prototype and Cutover testing that will be witnessed and approved by the Authorities. Our transition approach includes the establishment of entirely new systems and a new facility. Exhaustive testing can be conducted without any impact to the existing operation, and the tlu?ee-day cutover approach apportions an additional three months to the development and testing schedule. 5.1.2.1 System Development The ACS Team has carefully examined the New York Customer Service Center RFP and has developed a sound technical solution and a comprehensive program to fulfill each of the Authorities? requirements, objectives, and expectations. Our Vector system combines a mixture of existing functionality and procedures with new functionality in a flexible and efficient manner to improve operational efficiency and therefore economies to the Authorities. The system solution developed is based upon the operational knowledge gained with the existing operations and known requirements for future enhancement. The new CSC Operations system will be fully compliant with all requirements of RFP Statement of Work. The step?by-step approach of design, development, testing, data transfer, submittal and acceptance of deliverables, documentation, software deposits into escrow, quality assurance, and implementation are each described in subsequent paragraphs. Data Transfer and Cutover Testing are included as part of the test program described in Proposal Section 5.1.2.3, Test Program. The Final Transition Plan will describe in complete detail all of the steps to be performed during the transition and cutover phases. Fundamental system design elements of the ACS approach to ensure successful, robust systems consists of the rigor and discipline which incorporate: system specifications; design reviews; configm?ation management with software, hardware, and documentation; testing; and quality assurance. The system development process ACS will follow for the New York CSC program mirrors the required transition activities. The specific system development transition activities include: 5.1-22 ?2005 ACS, Inc. s. s. 0 Review of existing CSC operation 0 Transfers from existing CSC operations 0 Acquisition/ installation/ setup of equipment, materials, assets, facilities 0 Design 0 Development 0 Data Migration 0 Testing and acceptance 0 Documentation 0 Escrow deposit 0 Quality Assurance The New York program is clearly a mission critical application for all of the Authorities, and the RFP is clear in identifying the importance of redundancy features and the avoidance of single points of failure that are required of the new CSC platform. The RFP specifically references: 0 ?Hot? standby processing facilities for all computer resources 0 Redundant, databases 0 Back-up communication lines supplied by more than one commercial canier To meet these important requirements we have chosen to duplicate the databases housed at the primary Data Center (Tarrytown, New York) at a geographically separated disaster recovery datacenter managed by SunGard, a leader in business continuity, at their Philadelphia, MegaCenter. Database and file information will be continuously between datacenters using advanced replication techniques provided by Oracle (for all database information) and by the storage system (for all files such as violation images, transaction files, application software etc.). In addition to replicating the storage systems, we will provide backup at SunGard for all servers in case of disaster and provide redundant telecommunication links provided by different providers will be established between the CSC and the primary datacenter. Thus, offering the Authorities a comprehensive redundant solution. A full description of our system design that demonstrates the redundancy features of the proposed CSC system can be found in Proposal Section 5.4.2, Hardware Requirements, and our testing program includes a full demonstration of the disaster recovery capabilities. ACS will also include as part of the system development activities a detailed analysis of any data conversion required as a result of newly introduced functionality. It is expected that the data migration tasks will be minimal as almost all of the fimctionality is currently accommodated under the existing database design. The same cannot be said by any other proposer, as our own recent transition expelience demonstrates. In both New Jersey and BATA (Bay Area Toll Authority) the data migration activities were extraordinarily complex, ?2005 ACS, Inc. 5.1-23 requiring not only a detailed understanding of the existing database design, but also the development of intricate conversion programs and countless hours of exhaustive testing. A data migration plan Will be developed and fully tested during cutover testing as described in Proposal Section 5.1.2.3, Test Program. The review of the existing Vector documentation, the design modifications requested by the RFP, and the Vector RoadJnap provides the input to the design team for the Critical Design Review (CDR). 5.1 .2.2 Design Reviews ACS has developed detailed functional, report, and user documentation for the Vector Platform. The Vector Functional Description Document (FDD), Reports Description, and User Guides will all be updated to re?ect changes driven by the RFP and the Vector Roadnlap. These updated documents will form the basis of the CDR submittal. The design and CDR review process is shown in Exhibit 5.1-3. The CDR documentation package will be delivered to Authorities 30 days after Notice to Proceed (NTP). ACS will hold a Critical Design Review 60 days after NTP at a mutually agreed upon location convenient to all parties. Any meeting costs associated with the CDR (facilities, equipment etc) will be covered by ACS. Given the level of detail of the current docunlentation and the updates that must be made to re?ect important new functionality, it is expected that the CDR will take two days and will focus on all of the new functionality requested in the RFP together with the enhanced operational capabilities being proposed. All issues or changes identified during the CDR will be logged by QA staff, and a list Will be provided to Authority staff. ACS uses an online web- based project management tool to track problems and issues from detection through to final resolution. To better facilitate the tracking of open issues to completion, ACS will provide on-line access to designated Authority representatives to our internal tracking system. The CDR documentation package will be updated to re?ect the changes identified and will be resubmitted to the Authorities for approval prior to the start of any software development or testing activity. 5.1-24 ?2005 ACS. Inc. A s. momma" Mm some men JowoA . UGO m1 mesa MA Lassa Ms pontoon 0.0 E-ZPass?? New York Design Review Approach (00:1) uogmosea leuomuns :oweA MBUOIWM eeyeonou asap 0 (PM WW8 0 comm now 6a; 0 ?900 8mm MON 0 005 6m pqmoumn . pan-ma Mono :3 mm dill-DAMN MSW 0 WHO 0 Exhibit 5.1-3. The critical design review will focus on new functionality and enhancements as a review of the core functionality already exists. 5.1-25 . ?2005 ACS, Inc. 5m 5.1.2.3 Test Program Shortly after design review approval ACS will commence acquisition and installation of all required hardware systems. Hardware will be installed at the Tarrytown Datacenter, the SunGard Philadelphia disaster recovery site, and in the new Teleport CSC. When complete, a fully production?ready platform will exist for testing purposes. This approach provides significant advantages in that testing will have no impact on current operations and the final production hardware will be exhaustively exercised prior to cutover. As each program has unique testing requirements dictated by the varying environmental, design, and other conditions, ACS develops separate detailed test plans for each program, covering both Vector product-required and customer-required tests. Exhibit 5.1-4 details the ACS transition testing strategy. The ACS Transition Team will work closely with program and Authority personnel to ensure that all functional requirements are fully tested and validated, and we welcome Authority participation in all phases of the testing program. All testing will be conducted on the final production hardware and will be performed at the new customer service center. Testing will have no impact on current operations. ACS employs a large group of technical QA personnel at its Transportation Technology Center who have experience working on numerous ETC projects throughout the United States. These dedicated QA professionals have responsibilities that span a variety of roles and responsibilities. One of the many responsibilities of the QA personnel is developing comprehensive test scripts and plans. The Test Plan is an essential part of providing the customer with a roadmap for how tests will be performed. The plan will highlight both the methodology, and the functional and performance tests required for Prototype, Cutover, and Operational (system acceptance) testing. The plan will also document the proposed schedule for these tests and the procedures and documentation for submitting the written test results. It documents thoroughly the modules that have successfully passed and those that experienced deficiencies and need to be reworked. Some specific objectives of the plan are: 0 Provide direction for the management and technical efforts necessary to support testing activities 0 Communicate the nature and extent of the tests necessary to provide a basis for evaluation, verification, and acceptance of the system 0 Coordinate and schedule testing events in an efficient and effective manner for all ACS project team members and our partners at the Authorities 0 Outline the ACS team?s approach for testing 5.1-26 ?2005 ACS, Inc. 5. ?2005 ACS, Inc. 5.1-27 and fully verify data migration. Exhibit 5.1-4. Different test plans will be developed at each phase of testing to exercise all functionality 043NYEZP o2~0wy Wu" Data Migration Plan Vector 4.0 Critical Design Review (CDR) COR Approval Document Development and Vector Re ression Testing ri'pts In ration est Disaster Recovery! Btsiness Continuity Plan I Detailed Cutover Plan Cutover Testing Scripts 12/4/2006 Outover Compton Phase 1. Transition Preparation I Phase 2. Transition I New York Transition Testing Approach 5m As part of the test plan, the following detailed information will be provided: 0 All test personnel responsibilities are clearly defined 0 Test scripts and test scenarios are identified for all applicable software, hardware and integration test requirements and include: Definition of terms Requirements for compliance Method of data collection Criteria for data validation 0 An established process for docmnentation and resolution of noted discrepancies is in place 0 Test data from the existing system is acquired and available 0 An audit process is identified and established to allow follow?up and vem'fication for the successful resolution of test deficiencies The test plan will thoroughly describe the processes to be adopted in fully demonstrating the disaster recovery capabilities, the backup and restore architecture and component level redundancy for critical components. The disaster recovery tests, will be conducted by first ensuring that the Data Vault (as described in Proposal Section 5.3.1.8) is with the primary data center and then a full disaster recovery exercise will be conducted at SunGard?s Philadelphia facilities. For component level redundancy verification, individual servers that are part of a redundant set will be taken offline during the test demonstrating that the system will continue performing production activities as designed. Full backup and restore tests will be conducted and verification performed on the restored data to ensure that the backup and restore process protected the Authorities' data according to the parameters laid out in the RFP. The Transition Team QA representative will have primary responsibility for the internal review and approval of all test scripts developed for each of the specific test phases. Test scripts will be based on the existing test suite already used to test Vector releases, updated to test all new functionality. 5.1.2.4 Detailed Cutover Plan ACS is proposing a cutover strategy that is very different from the process outlined in the RFP. Rather than follow a 120-day phased migration, ACS is proposing a ?3-day? cutover of existing operations to the new facility. This is an approach that we have followed before, most recently in California for the Bay Area Toll Authority (BATA) Regional CSC. Our plan has been constantly refined based upon our experiences and lessons learned from our other successful transitions in Maryland, our successful New Jersey transition, and the cutover that we executed when DRPA was transitioned from a legacy system into New Jersey It has proven to be an effective approach that minimizes inconvenience to 5.1-28 ?2005 ACS, Inc. s. s. the customer base and eliminates complex reconciliation issues that occur When two systems and operations operate in parallel. The Cutover Plan will be included Within the Final Transition Plan for the approval of the Authorities. Further information regarding the Cutover Plan can be found in Proposal Section 5.2, Phase 2, Transition. 5.1 .2.5 Contingency Plans A Contingency Plan requirement is necessary to protect the Authorities from system shutdown, loss of customer service, and loss of revenues that could arise from failure of the contractor to successfully complete transition prior to the end of the contract term for existing contractor provided services. While we consider this to be very low risk, we have taken this into consideration in designing our transition approach. ACS will continue required services imder a contingency situation with the existing organization, management, and staff. The ACS Transition Plan contemplates a parallel cutover effort to the new customer service system and facility. The existing ACS facility, systems, infrastructure, and staff will all renlain intact and available, and continue to provide the currently provided functionality and services at the existing CSC until cutover is successfully completed. The Contingency Plan is the only deliverable required to support the contingency requirement. This plan will be included as part of the final Transition Plan for the approval of the Authorities. 5.1 .3 System Operation Tasks As the incumbent, ACS is currently performing all system operational tasks. We have the staff and data center facilities to continue the administration, monitoring, configuration management, secm?ity, and back-up of all systems. We recognize that some system changes will be needed to address new functionality introduced in this RFP. For exanlple, While the current disaster recovery elements of the disaster recovery business continuity plan have been fully tested, the RFP requires a more stringent fault tolerance. We Will retest the system to meet these standards during prototype, cutover and operational testing. We will include the necessary test cases to confirm that each aspect of the system operation is in place and is functional. A full description of how we currently perform all of the system operation tasks, together with the important improvements that we Will introduce to address modifications to our system architecture, can be found in Proposal Section 5.3.3, System Tasks. ?2005 ACS, Inc. 5.1-29 EM 5.1 .4 Customer Service Tasks Since ACS plans to keep the CSC on Staten Island, we expect very little, if any, turnover in staff. Therefore, we expect our CSC to remain fully staffed through cutover and be able to continue the full array of customer service tasks from tag handling and application processing to communications, mail processing, violations, etc. Any new staff hired will complete full and thorough training. However, with the introduction of an enhanced Vector, we do plan to offer additional training on the front-end of Vector so that CSRs are fully prepared prior to cutover. A typical startup for any new contractor would typically require an extensive training course that not only covers use of the system, but also significant instruction is all facets of the New York program to include the complex business rules that have been developed. Similar in nature to our existing new?hire training it would require approximately 120 hours of instruction. In contrast, ACS as a fully trained and experienced workforce in place, and it is anticipated that any retraining would take approximately 16 hours. In addition, our intent is for communication to be seamless and for customer materials to remain with the same look and feel content, format, and method of distribution) We do recognize that some minor adjusunents will be needed such as acceptance of ACH and change of address for Staten Island walk-in center and a limited amount of communication will be required during the transition period. We will submit our recommendations and communication format to the Authorities for approval. A more complete description of how we will perform all of the customer service tasks can be found in Proposal Section 5.3.4, Customer Service Tasks. 5.1 .5 Finance Tasks Experienced ACS financial staff will continue to ensure the security of the Authorities revenues by continuing to adhere to strict payment process, closeout, and deposit procedures. As the incumbent, we expect little change to our current financial procedures but we will be strengthening our financial controls and introducing improved QA processes to further ensure the integrity of Authority revenues and mitigate financial risk. We recognize that as part of this RFP, ACH will be added to the current list of payment methods. The addition of ACH, introduction of new financial status codes, introduction of new reports, and any other new processes that effect finance will be thoroughly tested and those test results will be submitted to the Authom'ties for approval. ACS has existing agreements and interfaces in place with the necessary banks and credit card clearing operations, and therefore no redevelopment is anticipated. As we will be continuing our existing agreements with the current financial institutions and will use the already established accounts, it is not anticipated that any funds transfer and resultant complex reconciliation will be required. An in-depth discussion of our financial procedures and the improvements that we are proposing can be formd in Proposal Section 5.1.5 Financial Tasks. 5.1-30 @2005 ACS, Inc. s. A s. 5.1 .6 Data Processing Tasks As the present contractor, ACS has umnatched qualifications to design and inrplement all of the hardware, software, and telecommunication necessary to perform data processing and, importantly, to continuously validate that data. As explained earlier, the transaction processing features of the current Vector system will remain largely unchanged, but we will be upgrading to the new Oracle database platform and will fully test all data processing tasks during exhaustive prototype and cutover testing. We will not commence cutover until all functions are proven stable and the Authorities have given their approval. A complete description of the complex data processing tasks that Vector already performs, demonstrating that it ah?eady meets all of the data processing requirements can be found in Proposal Section 5.3.6 Data Processing Tasks. 5.1 .7 Reporting Tasks To date, ACS has developed more than 150 reports for inclusion in Vector that cover every aspect of the CSC operation. Many of these reports have been developed in close collaboration with individual Authorities to address unique business needs. However, it is our collective experience that no amount of ?canned? reports can ever provide all of the information required in an appropriate format nor the understanding of terms and data that are necessary to ensure fiscal and operational responsibility. The importance of ad?hoc capability can never be overlooked and this is emphasized in the RFP with the requirement for a dedicated reporting database to support more complex data mining activity. We also acknowledge that some of the report formats that have been developed are not ideal, and see this proposal as a perfect opportunity to address this weakness. The Vector 4.0 product will significantly enhance and improve upon the reporting interface. Significantly improved reporting capabilities will be available as we leverage the additional capabilities of Oracle 10, the Seibel CRM analytic toolkit, the full capabilities of the Actuate reporting package, and the carefully designed reporting database. All of the new standard reports will be included as part of the formal design review process for the approval of the Authorities, and will be thoroughly tested during prototype testing with sample data, and with actual data from the current production system during cutover testing. A complete description of the improved reporting package can be found in Proposal Section 5.3.7, Reporting Tasks. ?2005 ACS, Inc. 5.1-31 Page left intentionally blank 5.1-32 ?2005 ACS. Inc. A s. s. 5.2 Phase 2?Transition RFP Proposer Instructions: This phase involves implementation of what the Contractor developed in Phase 1. In a best case scenario, this phase will last approximately 120 days. However, given the complexity of CSC operations, it is possible that it will take a longer period of time. Therefore, the Proposers response to this section shall emphasize how it will monitor and troubleshoot CSC operations as it assumes responsibility for CSC functions. As with Transition Preparation, the Authorities assume that the selected Proposer will provide all of the resources and material necessary during the transition to a new system; therefore, Proposers must indicate clearty in their proposal submissions any such materials or resources that they would not provide. Due to the fact that we are operating the today, we can substantially reduce the time that HIGHLIGHTS the Authorities have allocated to Phase 2? Transition. . Our approach minimizes the impact to the customer base?systems will be only be ACS is proposing to install the CSC hardware and of?ine over one weekend software platform, and build-out the new CSC The Authorities willhothave to deal .With complex reconcrliatron Issues that Will facility in parallel without impacting the existing occur if operations are being conducted on CSC, then perform a cutover to the new CSC over a two different CSC platforms three?day period. Such an approach Will provide . Four additional months are available in the more time in Phase 1 for both prototype and SChedU e for design, development, and cutover testing, eljJninate complex reconciliation testing . Full prototype and cutover testing can be issues that would occur during a cutover, - . . . performed With no impact on the exrsting and further reduce the risk assocrated With a New York CSC operation transition Of this type. . Failsafe contingency planning?the existing CSC is fully intact until cutover is Purpose complete The objective of the Cutover Plan will be to identify and schedule all operational and system conversion tasks that need to be completed to transition the existing Staten Island CSC to the new Teleport CSC. The goal of a successful transition is to transfer the CSC operations and systems with as little impact as possible to the customer service provided to the New York customers. In addition, the customer must be informed of the transfer of walk-in services from the current facility to the new facility and the mechanisms for accomplishing this task will also be documented in the plan. Customer Service Center transition begins with the closing of the current Staten Island CSC to the public at 7:00 p.111., on Friday, December 1, 2006, and will end with the opening of the new CSC at the Teleport location on Monday December 4, 2006, at 7:00 a.m. It is assumed that the existing CSC will not be opened on Saturday December 2, 2006 in order for the staff to ?move in? to the new CSC. Transition activities, however will begin as early as Monday, November 27, 2006 and will continue through December 4, 2006, to ensure that the current system can successfully the transfer all of all database information for which it will have responsibility prior to the actual cutover. The majority of Phase 2 Transition activities will take place between Friday, December and Monday, December 4th. Schedule A high level overview of the three-day transition tiineline is shown in Exhibit 5.2-1. ?2005 ACS, Inc. 5.2-1 Cutover Schedule Overview Friday 00:00:00 Saturday 12/2/06 00:00:00 Sunday 12/3/06 00:00:00 Monday 12/4/06 00:00:00 Tarrytown takes incremental backup of Staten Island CSC Database for 12/12/06 Staten server completes al overnight jobs 07:00:00 All normal CSC fmctions includhg WEB. etc. processed In Staen island CSC 19:00:00 Final TAG lrwentory recorded Tarrytown stops all lobs on Staten Island Server and manually runs CC Rebil and enerates f'nal and Tag talus Tag Status File delivered to Transition Tean Tarrytown takes find ful database backup of Staten Island CSC database All image files archived database backup datdaase backup applied to Telepon database (with appropriate conversion) and all violation 'mage ?les 08:00:00 Scheduled iobs process transaction ?les for 12/15 07:00:00 07:00:00 JAlldall reportsrunatStaten Practicn Island L'd 009195 (blivered '0 cornpletgnilgln:mags Transition Teen for review dteck-out tests Tarrytown ap ies incremental backtp from taten Island database to Telepon database 12:00:00 GO. NO GO Decision Tarrytown perfomis a oontroled run of one transaction ?le from each agency on Teleport Server All wdk-in facilities reconfigured to use new CSC server and Web?tamed application Telepon Server generates tirst and Tag Status fled CSR's vdldae Onlhe, Web, and NR in ?nd stess test Tarrytown opens trmsaction file gates to receive transaction files from al agencies. both home and away JAI Agencies direct host ?les to Teieport CSC server Start first run of scheduled iobs in production Scheduled jobs process transaction ?les tor 12/13 and 1 14 JACS send ICLPs and to away agencies Final transfer of telephones, Walk-l fa I ll oorrplet Staten Island CSC closes to final Max:118?. printer: IVR. ngit Fax, Network Pm": etc.) and rmon to Transition eam grumg'xdoee?g JTeleportBackOiliceOpens rqaon to open I that orilne testing JAI E-ZPass" New York Wak- in faclilles (pen 19:00:00 23:59:59 I Key: Current CSC, - Tarrytown Activity I WNYEZP Exhibit 5.2-1. ACS has a tried and tested cutover plan that provides an hour-by-hour breakdown of the tasks necessary to effect a seamless transition. 5.2-2 ?2005 ACS, Inc. A A s. Contact List and Escalation Process ACS will lead the final cutover; however, the Phase 2 Transition Plan will be developed and agreed upon by ACS and the Authorities. It is assumed that all represented in this migration plan will perform all the tasks as described. Final Cutover is scheduled for a weekend and all responsible parties identified for each task must be available and guarantee to make a good?faith effort to complete the tasks identified and agreed to in the plan. All parties play a critical role in the success of the final cutover to the new CSC. The Transition Team Manager will identify all critical parties involved in the cutover. A call- in number will be established during the cutover weekend for status updates with all parties or on call as needed. The resolution and escalation process will be designed to resolve any issue that could impact the final cutover or opening of the CSC on Monday, December 4, 2006. A final status call will be held on noon, Simday, December 3, 2006, which is noted on the schedule as a Go/No-Go Decision. The purpose of this call is to ensure that we are on schedule and that there has not been a critical issue that would prevent us from going forward with the opening of the new CSC. The reason for this decision point is to allow sufficient time to revert back to existing operations should this be required. A decision guideline matrix will be included as part of the Cutover Plan. Assumptions An assumptions section will be included in the Cutover Plan that will detail the specific ACS requirements, and the requirements, decisions, and considerations that the Authorities must make prior to cutover. This section of the Cutover Plan will be updated and revised as business decisions are made, and the plan will be updated to re?ect the impacts of such decisions. Migration Activities The migration activities section of the Cutover Plan will detail all of the specific actions that must be taken to effect a successful and seamless transition to the new facility and will cover in detail the following topics: 0 Customer account access 0 Customer account processing 0 Customer inquiries complaints 0 Payment replenishment processing 0 Tag inventory 0 Customer correspondence 0 Financial ?2005 ACS, Inc. 5.2-3 Em; Tag status files Toll transaction files Violation processing Final data migration Facilities and training TelecomJnunications An extract of the detailed migration activity matrix that we used during the New Jersey transition is shown in the following table. EXTRACT FROM NEW JERSEY MIGRATION PLAN Topic Action Last Activity First ACS Activity Comments 5.1 Tag Requests There shall be no pending tag requests forwarded to ACS. JPMC shall stop receiving tag requests as of: 3/14/03 19:00:00, to insure that tag distribution will be completed by JPMC. ACS will begin processing tag requests 3/25/03 at 7:00:00. 3/14/03 19:00:00 3/25/03 07:00:00 5.2 Tag Inventory JPMC shall transfer all tags in inventory in Secaucus to ACS CSC. Partial tag inventory transfer can start on: 3/14/03. Four tag programmers to be transferred to ACS CSC on 3/10/03. Balance of tags in Secaucus not distributed by JPMC will be transferred to ACS on 03/25/03. Remaining Tag Programmers to be transferred to ACS CSC on 3/24/03 after Go/No-Go decision has been made. 3/10/03 3/10/03 Quantity of tags to remain at JPMC after of 3/10/03 is TBD. NJ Agencies will provide instructions for the Allentown Inventory to JPMC. 5.3 Returned Tags JPMC shall process all the return tag requests that can be completed by 3/14/03 19:00:00. JPMC shall manually log all information for any return tags received at the Secaucus CSC between 3/17 and 3/21. Manual logs and associated returned tags shall be transferred to ACS daily per the manual process via designated courier. ACS shall begin process tag returns on 3/25/03. 3/14/03 19:00:00 3/25/03 07:00:00 5.2-4 ?2005 ACS. Inc. s. s. Contingency In the unlikely event that either a major system and or conversion issue should arise during the course of cutover activities, a point in time will be chosen to make a formal roll back decision. Should ACS decide to go forward at that time, the permanent transition of data and voice communication Will begin, and IP addresses will be changed. Prior to this time, no data or voice communications lines should be disconnected nor internal data or voice systems disabled. In the event of contingency, all CSC staff will be instructed to report to work at their current location on Monday morning. Transition Team staff members will be available to report to the existing locations on to verify that all existing processes are functioning correctly. 5.2.1 Program Administration Tasks The ACS Transition Team will remain fully assigned to the project until the completion of the initial operational test. The same team that that managed the transition preparations will execute the cutover to the CSC. The entire Transition Team led by Ms. Susan Davis, together with the necessary system development staff will be present onsite during the final cutover period. Resources will be situated at the appropriate facilities to include the new CSC location, the Tarrytown Data Center, the current CSC, and the Rockville Development Center. Senior management will also be available to ensure that the Transition Team is fully supported by the full capabilities of the ACS organization. All current CSC staff will be required to report to the new CSC location on the cutover weekend to complete final system check-out and testing to ensure that all final terminal, Web, and telecommunications have been successfully transitioned. 5.2.2 Development Tasks The System Development Team Will remain fully committed to the project during Transition and Initial Operational Acceptance. System development personnel will be onsite at the new CSC facility, in the Tarrytown Data Center, and at our Transportation Technology Center on a 24 hours a day, seven days a week schedule during the three-day cutover. Should any modifications to the system be required dun'ng cutover or Initial Operational Acceptance, the Transition Team QA representative will ensure that all QC and testing procedures be followed. No modifications will be applied to the production environment until the authorities have provided the necessary approval. Detailed information regarding our QC procedures can be found in Proposal Section 5.3.3.3, System Configuration Management. ?2005 ACS, Inc. 5.2-5 5.2.3 System Operation Tasks ACS will be fully prepared and staffed to implement all system operation tasks. As stated previously, please refer to Proposal Section 5.3.3, System Operation Tasks, for a detailed description. 5.2.4 Customer Service Tasks We will be fully prepared and staffed to implement all customer service tasks. As stated previously, please refer to Proposal Section 5.3.4, Customer Service Tasks, for a detailed description. 5.2.5 A Finance Tasks ACS will be fully prepared and staffed to implement all finance tasks. As stated previously, please refer to Proposal Section 5.3.5, Finance Tasks, for a detailed description. 5.2.6 Data Processing Tasks We will be fully prepared and staffed to implement all data processing tasks. As stated previously, please refer to Proposal Section 5.3.6, Data Processing Tasks, for a detailed description. 5.2.7 Reporting Tasks We will be fully prepared and staffed to inlplement all reporting tasks. As stated previously, please refer to Proposal Section 5.3.7, Reporting Tasks, for a detailed description. 5.2.8 Testing and Acceptance Thirty days after the completion of the three-day cutover, ACS will commence the Operational Acceptance Testing (OAT). OAT Will demonstrate that the new CSC platform performs accurately and completely and that performance standards are met. During the first 90 days, ACS will also conduct the disaster recovery test to demonstrate that the operational platform can switch over to the ?hot?standby? platform with the minimal operational disruption. We fully expect that the new CSC platform will meet all of the required operational, functional, and performance goals and will receive Initial Operational Acceptance after 90 days. This confidence is based upon the additional time in om? schedule that will be allocated 5.2-6 @2005 ACS, Inc. A s. A s. to cutover testing, testing that will use parallel data received from the current CSC to verify functionality, and validate results against the cmrent system. During the operational test period, the Transition Team QA representative will constantly review reports generated by the system and operational staff to verify performance, functionality, and compliance with operational performance standards. These reports will then also be reviewed with Authority personnel to demonstrate compliance with all requirements. In addition, the advanced features of Siebel CRM and the additional reporting capabilities will afford the Authorities far greater transparency and visibility into the operation of the CSC, providing near real-tiine access to the operation. Further details on the tools and methods used to monitor quality and performance can be found in the following proposal sections: 0 5.3.1.5, Quality Assurance 0 5.3.1.6, Performance Standards and Monitoring 0 5.3.7, Reporting Tasks When initial acceptance has been granted, the final act of the Transition Team will be the operational evaluation of the new CSC. The team will ensure that all of the necessary mechanisms are in place to manage the ongoing operation in accordance with the requirements of the SOW. The Transition Team will detail their findings in a report to the Authorities, requesting approval for any changes the team should recommend. Any approved changes will then be re?ected in the appropriate documentation. When the CSC operation has demonstrated compliance with all requirements of the SOW and has met all performance standards for a period of 12 months, Final Operational Acceptance will be granted. ?2005 ACS, Inc. 5.2-7 Page left intentionally blank 5.2-8 ?2005 ACS. Inc. A s- 5.3.1 .3 Training RFP Proposer Instructions: The proposal shall outline the method(s) by which training will be provided for both and Authority personnel. Proposals shall include the following information: course subjects, a course outline, course materials to be developed, time frames for preparing the courses, instructors, training session duration for each course, and location(s) where training will take place. Additionally, the Proposer shall describe in?house training requirements necessary to prepare Contractor personnel to use the equipment, leam techniques, and procedures required to effectively operation the facilities, the types of courses, the Contractor personnel who will receive such training, and a list of ongoing training programs that will be required and how new employees will receive initial training. The Proposer shall indicate any professional certi?cations required of its managerial and supervisory staff. For cost proposal purposes, Proposers shall assume that 25 Authority personnel (split into four classes) will be trained by the Contractor. Well-structured, experience-based employee training is a cornerstone of the high quality of service provided to the Authorities for the last 13 years. Staff supporting today?s New York program are experts in customer service processing. They have undergone extensive training in program operations, policies, system interfaces, customer service techniques, reporting, and other core modules. All new employees learn the complete set of skills they need to be adequately prepared to fulfill their roles. Our proven methodologies applied to the current CSC have contributed to the success of the program, and that has been demonstrated by the positive customer satisfaction survey results received through past years. We know that our employees' interaction with the customer is a direct re?ection on the Authorities. Thus, we take great care to ensure that our staff is very conscious of the sensitivity required to fully meet the needs of the Authorities and their customers. And, provide the Authorities the support and training they need. Training Methodology The objective of training is to ensure that the combined support staff working on the project is fully trained in customer service skills, individual job requirements, and the policies and procedures of the Authorities program. To determine the effectiveness of all training modules presented, participants' performance and program performance indicators are monitored. Results are shared with the training department and any trends identified are immediately translated into refresher training com?ses or individual one on one training sessions. AC8 staff has ah?eady undergone all of the necessary training needed to assist the New York customers. Other proposers will have to conduct extensive new hire training in order to support the New York program, the Authorities and its customers. ACS knows the massive effort required in providing such training, as we were the company that Chase had to transition to for the New Jersey program. It took ACS five weeks to train 250 New Jersey staff from all departments during the transition period not including weeks of training preparation. Existing ACS staff has been thoroughly trained to perform their job responsibilities for the New York program. The Authorities selection of the incumbent for the new @2005 ACS, Inc. 5.3.1-49 contract will minimize the hours required to properly train the staff. The existing staff knows the New York program the history, the business rules, the policies and procedures and most importantly has developed great working relationships with the Authorities. Because the New York staff is intimately familiar with program rules, emphasis will be placed on the operational and system improvements that will be introduced during the new contract. Vector will be enhanced to provide CRM workflow solutions and new functionality to streamline efficiencies and CSR and system performance. All staff and the Authorities will be training to fully familiarize them with the user interface improvements. In addition, we will offer new Reports Training for Authority staff. The training will include full use of Actuate and its? tools as well as new reports to be found in Siebel analytics. Trainers will describe not only how to retrieve scheduled reports but more importantly how to run ad hoc reports. In addition, trainers will teach how to download into excel, how to select date ranges and specific fields, and how to graphical display information. ACS is accustomed to preparing and conducting training modules for staff in production environments without impacting normal operations or incurring additional costs in hiring temporary staff to backfill front line positions while training occurs. In the 13 years that ACS has supported the program, we have successfully delivered training to our entire program staff while maintaining efficient levels of customer service the ongoing operation demands with existing staff already in place on the program. The improvements that will be made to Vector with the implementation of the new CRM front-end will also include advanced call scripting and on-line help functionality. We expect that the training duration for new hires will be reduced and made more efficient with the addition of these tools. CSR call processing time will also be lowered with the use of the call scripting tool. All of our CSC personnel learn New York business rules and receive refresher training as changes develop. All training materials are subject to the Authorities approval and modifications. All Authorities are welcome to observe, monitor and participate in all training sessions to ensure that ACS is providing the training expected. Training Methods for Employees and Authorities Courses: Description, Materials, Instructors, Duration, and Location AC8 believes in a blended learning solutions approach to training staff. Classroom, on the job, on-line training modules and carefully crafted materials are used to educate program staff and prepare them to perform their duties. ACS training staff creates highly effective training modules with measurable results. Materials are customized by the training staff to specifically address new functionality, system enhancements, new procedures or changes in business rules. These materials must be clear, easy?to?read and quite understandable in order for course topics to be absorbed by the training recipient. 5.3.1-50 ?2005 ACS, Inc. s. The local Training Department will continue to consist of three experienced Trainers and a highly seasoned Training Supervisor. Complimenting the local training staff is our corporate training support, offering specialized trainers and on-line self paced training courses to assist in the growth and development of our program staff. The Training unit will report directly to the Human Resource Manager. AC8 believes that consolidating this unit with the Human Resources function will broaden our ability to quickly identify employee training needs based on feedback gathered directly through employee interviews, surveys and suggestion box comments. Our professional training staff will build upon on the current program training plan to provide a fresh training approach to enhance materials and learning abilities for CSRs, supervisors, management and Authority personnel. These materials were crafted together with the Authorities, defining their business rules coupled with proven processes. In addition, small training initiatives may be accomplished by written or oral communications from managers or supervisors distributed to the front line staff. a new button in Vector is added) Being the current CSC operator means that ACS has experience?based knowledge of New York operations. We know the Authorities, know their requirements and business rules, and know their expectations. We have the most effective and efficient training plan design, which has been obtained through 13 years of experience. In developing and implementing a training program, we: 0 Ensure that both the Authorities and ACS staff have a solid understanding of all subject areas, relevant roles, and skills that will enable them to perform their expected functions 0 Train in a timely, flexible manner that focuses on not only the required information but also the concerns raised by participants and based on actual practice 0 Provide training in a wide variety of topics, including the New York progran1, violation rules, dealing with customers, handling disputes, communicating effectively, and other core customer service skills 0 Take a proactive and comprehensive approach consistent with current ACS?run facilities 0 Provide participants with high-quality support materials that will continue to assist them in the office after the conclusion of training sessions A @2005 ACS, Inc. 5.3.1-51 0 Educate the Authorities staff on the operational procedures of the AC3managed CSC and Walk?In centers as needed Our organization has always been and will continue to be committed to delivering high quality and results?oriented training services. ACS expects its entire staff at all levels to act responsibly, responsively, and to be accountable to our customers. Training helps us to expect the unexpected and to respond confidently and decisively. Everyone in our organization is committed to delivering high quality training and services. ACS will evaluate the Authorities learning requirements and align training programs accordingly. Our mission is to provide outstanding, ?exible, and educationally sound training solutions to our employees. We are dedicated to providing an exceptional experience both in and out of the traditional classroom setting. In-House Training Requirements Necessary to Operate the Facility State of the Art Training Center The bulk of the training instruction will be conducted in a classroom enviromnent, where all employees will be provided with training materials necessary to perform their duties effectively. Such materials include the ACS employee guidebook and training manuals specific to the New York program. The classroom training environment is one in which the trainees are encouraged to participate by interactive approaches in training. Using an interactive approach to training helps maintain the interest of the participants. A state of the art training center will be designed for use on the new contract. The proposed training facility will have the capacity for 24 attendees; therefore, more employees will be trained in a shorter period of time. The existing training facility used by the training staff to conduct all training sessions is limited in space and allows for a comfortable training environment for approximately 18 individuals. The training room is equipped with 18 PCs, which are placed on desks configured for two and four attendees as a group. To facilitate the training, the training room has a projector, projector screen, speakers and a conference telephone. In order to provide Visuals to the trainees, ACS uses giant ?ip charts and an easel to display them. We mlderstand the important part that training plays in operating a successful program for the Authorities. ACS understands the Authorities learning requirements and aligns training programs to the Authorities business objectives. It is especially critical that trainees are provided with a state?of?the?art training facility to enhance the learning experience. We will provide the Authorities with a new and improved training facility. The training facility that ACS is proposing will contain the following improved equipment: 0 Each seat will have its own recessed monitor within the desk 0 Ability to listen in on live calls 5.3.1-52 ?2005 ACS, Inc. 5. . Networked projector Projector screen 0 Television with VCR combination 0 Multiple Whiteboards Easels 24 seats The configuration of the desks described above will allow all attendees full visibility throughout the training facility for an improved learning experience. It is important to note that although the primary puipose of the facility is to provide new hire and refresher training, the training area will also be used for the following pmposes as well: 0 Each seat will also contain a telephone, which will be used to place additional CSRs in the event that the Call Center experiences a spike in telephone calls. This particular set up will be especially beneficial during the summer months in which the call center experiences high call volumes. 0 Each PC will have internet access for employees to participate in online training courses provided by ACS. Training Approach Our blended learning solutions approach combines classroom, on the job, online training modules and instructive training materials to introduce course subject content to training participants. Com?ses are carefully tailored for the designated recipient and delivered to multi-level audiences. The table below will outline specific course subjects, the duration of the classes, the method of training to deliver the course content and tailored course for each level participant. TRAINING APPROACH Course Subjects Duration Method of Participants Training CSR IManagement Authorities New Hire Training 10 days Classroom, On The Job Training Classroom Training 5 days On The Job Training 5 days Refresher Training 4 6 hours Classroom, (duration varies by topic) On The Job Training Train the Trainer 1 day Classroom. On The Job Training Ethics Training 4 hours On-Iine ?2005 ACS, Inc. 5.3.1-53 A s- Em; WW TRAINING APPROACH Course Subjects Duration Method of Participants Training CSR lManagement Authorities Civil Treatment for 1 day Classroom, Managers On-line Legal Compliance 2 days On-Iine ACS On-line Courses Managing Customer 2 days Driven Process Improvements Professional Telephone 1.25 days Skills How to Excel at Customer 5 days Service Frontline Call Center Skills 2 days On-Iine Customer Service Agent 2 days Skills Auditing 2 days e-Business for Customer 1.5 days Relationship Management HR Certi?cation Program 2 days HR Workplace 4.5 days Fundamentals blended training approach will include training for various important course contents that will include training, skills training, supervisory training and hulnan resource training. The course descriptions table below provides the reader With details regarding each category of training, course description, duration and trainer for each com?se. COURSE DESCRIPTIONS Training E-ZPass?? New Hire (80 hours 10 days) ACS TRAINER An overview of the New York program, emphasizing Vector account management and agency policy and procedure relevant to customer service representatives. E-ZPass?? Refresher (8 hours /4 days) ACS TRAINER An accelerated review of the New York program, emphasizing a more well rounded view of CSC operations and the relationship between departments Skills Training Intro to Excel and Word (3 hours] half day) ACS TRAINER Basic modules designed to introduce participants to Excel spreadsheets, formulas, formatting, graphs and the toolbar as well as Word formatting, tables. headers and footers and the toolbar. Angry Customer/Customer Service (4 hours I half day) ACS TRAINER This module teaches the skills CSRs will need to diffuse volatile situations and deal with irate customers. It also reviews customer service etiquette principles. 5.3.1-54 ?2005 ACS, Inc. Wr? COURSE DESCRIPTIONS Supervisory Training Team Leader 101/Peer to Worklead (8 hours I 1 day) ACS TRAINER This module provides new workleaders with an understanding of the big picture, their personal professional success, duties and responsibilities, leadership characteristics, your in?uencing style, developing a personal action plan, professional image and Supervisor/Workleader - Coaching/Feedback (8 hours I 1 day) ACS TRAINER This module is intended to improve employee performance and strengthens relationships through principles of modeling, giving and receiving feedback and coaching. Human Resources Training ACS 8. You/Orientation (2 hours I partial day) HUMAN RESOURCES REPRESENTATIVE This module will familiarize the employee with the corporate structure and organization. It will explain the scope of ACS businesses and the relationship it shares with SLS, T38 and the project. Open Enrollment (2 hours I partial day) HUMAN RESOURCES REPRESENTATIVE This HR module will walk employees through their 2005 bene?t selections and review the ACS and project policies governing attendance, time management and days off. Managing Diversity (3 hours partial day) HUMAN RESOURCES REPRESENTATIVE This module focuses on how to avoid assumptions or stereotypes, de?ne things carefully and come to a consensus on meanings. The participants provide examples to show understanding of how to use inclusive language, focus on abilities, not disabilities. The training courses provided to ACS staff on the New York program provides the employee with a comprehensive and detail oriented training geared at program knowledge, skills, management and human resource training. New Hire Initial Training New hire training provides an overview of the New York program, emphasizing Vector accomrt management and Authority policies and procedures relevant to Customer Service Representatives. New hires are typically hired in groups of 10-20, mandating a training class where new hires are trained concurrently. The new hire training program has a diu?ation of two work weeks, in which trainees participate in a classroom setting for one week and spend the remaining week performing on the job training, while working side by side with seasoned CSR's. The CSR that will be working with the new hires will be responsible in evaluating the skills and knowledge of the new hire that has been assigned to them. Only after the new hire has passed such an evaluation are they assigned to working on their own. ACS considers excellent customer service to be a top priority. As a result, a substantial portion of our training program is devoted to customer service. The following chart depicts a comprehensive new hire training syllabus that we developed through years of experience on the New York program. ACS will continue to expand upon the syllabus and make revisions to include any new functionality and business rules that are implemented by the Authorities. The exact curriculimr will be submitted to the Authorities for approval. For each identified training area, we will analyze the knowledge base and experience level of the anticipated audience. ?2005 ACS, Inc. 5.3.1-55 ACS provides extensive new hire training with a diu?ation of two weeks in order to ensm?e that the staff is adequately prepared to fulfill and exceed the Authorities expectations. ACS CSR NEW HIRE TRAINING CURRICULUM ?mm Training Methods Day 1 Orientation: To familiarize employees with the organization's history and services and give employees an orientation to the project. Getting to know you Superior orientation Program Tour Picture taking and headset disbursement Call Center coaching ACS Trainer CSRs (buddy system) Day 2 1 Day Lecture Discussion Tour Call Center coaching interaction Program Overview: To familiarize employees with the New York program, customer service expectations and operations. Teaches employees importance of attitude, active listening skills and the importance of showing empathy. Important numbers Proper protocol for customer service Skills required to succeed and Excel Agency details CSC details Account types Tag costs Applications Toll charges Vehicle reference codes ACS Trainer CSR 1 Day Lecture Group discussion Role play Individual activities Call Center coaching interaction Payments and Plans: To teach employees the business rules related to opening accounts and plan selection Minimum pre-paid start up amount Suspension restoration of plans Start up amount for open accounts Plan type overview Plan descriptions Day 3 ACS Trainer CSR 1 Day Lecture Discussion Hands-on Call Center coaching interaction Lane Equipment: . ETC transaction ACS Trainer 3 Hours . Tour To introduce overview CSR . Powerpoint employees to ETC . Lane equipment presentation technology overview . Lecture Violation . Call Center Enforcement coaching System interaction . Group activity for lane equipment 5.3.1-56 @2005 ACS, lnc. Violations: To teach employees each one of the Authorities business rules regarding violations Toll Evasion Speed suspensions Class mismatch ACS CSR NEW HIRE TRAINING CURRICULUM ?mm mining Methods Day 4 and 5 ACS Trainer 7 Hours Lecture Discussion Self-Service: . Voice Response ACS Trainer 2 Hours . Lecture To introduce the System . Discussion employees to . Website overview . Hands-on automated . Demo customer service and the functionality available on both the website and voice response system. Special Authority . What is ACS Trainer 4 Hours . Lecture Programs Plus CSR . Discussion . Review osfM . Call center E-ZPass Plus coaching Programs interaction . Plus FAQ's Quick reference chan Airport parking rates Tag Swap de?nitions Segment dates important numbers Policy for returning old tags ?2005 ACS, Inc. 5.3.1-57 ACS CSR NEW HIRE TRAINING CURRICULUM ?mw Training Methods Day 6 Odds and Ends: To teach employees about various important processes that affect the customer everyday. Account revocation Periodic evaluation Port Authority/ MTA $1 Surcharge the Go" overview Loca?ons Manual rebill Account inquiry ACS Trainer CSR Half Day Lecture Demo Call center coaching interaction Business Unit: To introduce the employees to the specialized Business Unit and postpaid commercial business rules and procedures. Introduction to business/ commercial accounts IAG Codes Tag Leasing Program Business Commercial Tag Swap Toll Rates Call Center Policy and Procedure Taxi/Limo (TLC) Accounts Close Account Procedure ACS Trainer CSR 1 Day Lecture Call center coaching interaction Vector: 0 Find ACCOUM ACS Trainer 1 Day . Lecture To provide in- Demographics CSR . Discussion depth training of . Non-Tolls . Demo the Vector :ystem, . Replenishments . Hands-On proper wor . Vehicles - - procedures, . Device Maintenance . 21:33:? operational and Plans . business rules, . Notes Powerpoint program use and . Violations presentation roles and . Call center responsibilities of coaching researching FinanCIal interaction customer 0 Non'FInanCIaI accounts. HISIOW . Toll History . Consolidated History . Device History . Trips& Suspensions . EPS History . Tag Requests . Replacement tags . Making a deposit 5.3.1-58 @2005 ACS, Inc. ACS CSR NEW HIRE TRAINING CURRICULUM ?mm mining Methods Day9 Logging In: . Windows ACS Trainer 4Hours . Discussion . Vector CSR . Demo . Telephone system . Hands-on . Call center coaching/ interaction Correspondence: . Customer ACS Trainer lDay - Interactive Unresolved Inquiry activities . Business tag . Lecture request form . Hands-on . Statement inquiry form . NYSTA NYSBA Facility dispute form . Toll Evasion dispute form . FedEx Request . Manual replenishment form . Account change request form . Quali?cation codes . PIN Matrix Toll Rates: . Special plan rates ACS Trainer Half Day . Lecture by Authority . Hands-on New Management staff is also required to participate in the new hire training in order to gain an understanding of the New York program. Each and every new hire will receive a well-prepared training manual, which has been approved by Authority Project Managers and AC8 Management. We encourage the Authorities to provide feedback to AC8 regarding the content of the training materials. Refresher Training There are some circulnstances that will require refresher training for all front line staff and Management team members. Such circumstances would include a toll increase or the implementation of new business rules as a result of added enhancements. In order to minimize the disruption of services at the CSC, AC8 ensures that refresher training is split into small training groups that are the least disruptive to service provided by the New York CSC. Furthermore, we ensm?e that the CSC is adequately staffed diu?ing the hours that the refresher training causes are conducted. Refresher training occurs as necessary to ensure that all staff is informed of all new program changes in a timely manner. ?2005 ACS, Inc. 5.3.1-59 AC8 has abundant experience in facilitating refresher training. AC8 has provided refresher courses to in many instances, Without disruption to the operation: 0 NYSTA toll increase 0 TBTA toll increase 0 toll increase 0 NYSTA's new commuter plans and classification changes 0 PANYNI's elimination of commuter plan suspension 0 TBTA's tag swap program The Training Department develops training materials that are pertinent to the refresher training programs. All such training materials will first be approved by AC8 Department Managers and ultimately the Authorities. In order to provide the CSC staff with the best training possible, all Management staff is required to participate in a pre-training class presentations a training dry run? to provide valuable feedback to the trainers regarding content, presentation and training techniques. Training materials and presentation will be adjusted according to Management feedback. Train the Trainer The ?Train the Trainer' technique will be utilized to engage our key persomlel in a fast and effective training program. Key personnel, in turn, will be responsible for training the appropriate staff just as effectively and expeditiously as they have also been trained. By combining classroom instruction and on?the?job learning approaches, our training program maintains the constant objective of excellent customer service. On-the-Job Training Although classroom training and Train the Trainer are an integral part of training, just as important is the on?the-job training provided to the employees. Upon completion of classroom training, each employee is required to participate in on-the-job training. Employees will use the ?buddy system', where each new hire buddies up with a seasoned employee that has been selected to mentor the new hire. The mentor evaluates the new hire after five days and provides Management with their evaluation. Depending on the outcome of the on-the-job training, the new employee will be placed on the phone to answer customer calls or may be more appropriately placed in a Department that does not directly deal with customers when the need arises. All of this depends on the trainees customer service skill set. Online Courses AC8 offers its employees a web?based, self paced interactive Center for Learning. The Center for Learning is organized into six key skill areas, providing over 200 online courses, which are critical to supporting the achievement of business strategies: 5.3.1-60 ?2005 ACS, Inc. s. s. 0 Sales and Client Operational Performance 0 Leadership and Professional development 0 Technical Performance 0 Project Management 0 Corporate Compliance 0 Business Process and Call Center Our goal is to enable and assist our employees to further strengthen their areas of expertise and improve skills that enhance their ability to be successful at ACS. Outstanding training will result in better customer service for our customers, satisfied clients and increasingly satisfied employees. ACS assures the Authorities that The Center for Learning (Powered by SkillSoft?) will scale its services to meet the ever-changing educational needs of the ACS staff operating the New York program. As a global leader in the e?Learning industry, SkillSoft? has the experience and commitment to provide solutions that benefit the staff?s developmental needs. All staff will have access to areas such as, but not limited to, the following: 0 Business Strategy and Operations 0 Finance, HR and Administration 0 Management and Leadership 0 Customer Facing Skills 0 Business and Professional Development 0 Software Development 0 OS Server Technologies 0 Web Design 0 Project Effectiveness 0 Customer Service 0 Desktop Computing Any employee interested in completing online courses in the above or other areas have the ability to review the ACS online course catalog. The online course catalog provides a description and duration of the course. ACS takes pride in providing its employees with valuable resources for education. As a result, there is not a limit imposed as to the number of online courses that may be completed. ?2005 ACS, Inc. 5.3.1-61 E-Z Reference Complex Authority business rules for multi-Authority programs create the need for on-line, easily accessible program information and business rules. Every New York employee, particularly those with direct customer interaction, uses Reference, a readily available online tool that each CSR on the current contract is provided on their desktop (Exhibit This tool reduces the amount of paper job aides that usually are outdated the moment they are created and assists the front line CSR with providing accurate and timely information to Authority customers. The E-Z Reference tool provides the CSR with assistance in various areas such as: 0 Individual and business account plans 0 Vehicle classes and rates 0 Customer materials 0 Violations and light sequences in the lanes 0 Statements and letters 0 Authority specific information Walk-in center locations and directions 0 Web site and voice response system fm1ctionalities Also included in Reference is an online maximum toll calculator and a NYSTA Annual Permit Plan calculator, which performs a calculation on whether it is cost efficient for the customer to enroll in a NYSTA plan. Reference will be incorporated into the Vector 4.0 system?s online help tool, which will be powered by Siebel. 5.3.1-62 ?2005 ACS, Inc. s. s. E-Z Reference a lull booth for Retort-ore (Version 3.5) mroeznsremwmatapicnunmm Plan types Pickatopic. .. Plug Questions to qualifynlan need ?2ng Baglg Plan New MT A Rates Commuter DiscourlPlans Port thorl Car 0 I 0mmut ountPlar rt ri hi I ri PI Tappan Zee Bridqe CommuterPlan an rid ar 00! Comm ter Plan Permit Plan uw Gan I I Thruway New Rochelle Commuter Plan nk omm er Plan Thruway Harriman Commuter Plan Thruway Black Rock Commuter Plan Thruway Bullalo City Line Commuter Plan cl Pl Thruwax Motor Home Digouanlan NYSBA Discount Plan Residential Discount plans MTA Resrdent Sticker Prouram MTA Staten Island Resident Plan kaw a hann I ident Plan Thruway Grand Island Resident Plan 031mm Exhibit 5.3.1-14. E-Z Reference provides readily available program information to better assist the customer with their inquiries. Ethics Training A professional ethics program is a sound business practice. It reassures our clients, fellow employees, and customers that we take the integrity of our business very seriously. Within AC8, we expect the behavior and actions of our executives, managers, and employees to be ethical and trustworthy. By developing and enforcing a formal program, we share this message with the rest of the world. New hire ethics training is a challenging four hour on- ?2005 ACS, Inc. 5.3.1-63 line class which requires multiple tests to be passed correctly before an employee is able to proceed. We provide all employees with the resources necessary to complete online ethics training classes. In the event that an employee does not have Internet access, ACS designates a computer workstation in the training area with Internet access to allow them to complete the training requirements. ACS will continue to enforce this practice on the new contract. Every new employee must complete a new hire ethics certification and training requirements during their orientation period. New hires must complete the ethics training requirement within the first 90 days of employment and receive more than a 70 percent complete rate in order to receive course credit. In addition, all employees must complete an annual ethics requirement each subsequent year they are employed by our organization. This yearly requirement includes completion of the annual ACS Ethics training module. During this training, employees are asked to read and certify that they understand the ACS Code of Ethical Business Conduct. The employee must pass each module in this training to receive credit. Data Privacy Training In addition to ethics, data privacy is another critical component in corporate standards to safeguard our clients' information, our employees' information, and to ensure that we comply with all applicable laws and regulations regarding data privacy and protection. Topics covered in the data privacy online training include privacy resources and privacy training. Legal Compliance Training We make Legal Compliance training mandatory online for those employees who may encounter legal issues in their day-to-day business dealings. This includes all employees manager or above. Our Legal Compliance Training covers many basic legal principles and offers guidance that will help minimize the likelihood of Violating the law. One of our most important assets is our reputation. How we conduct our business directly impacts the reputation of the corporation. It is imperative that we conduct business ethically and in compliance with all laws. This training helps our employees achieve those goals. Each management level employee is required to complete the Legal Compliance Training every year. The number of actual courses required depends on the level of Management and how likely an employee is to encounter legal issues in their everyday responsibilities and dealings with employees. The training is roughly 10 hours long length is dependent on level within the ACS organization. Each Legal Compliance course lasts approximately one and a half hours and the senior level management on the New York program typically is required to complete multiple Legal Compliance Courses. For example, Helen Barton, the New York Program Manager, was required to complete nine such courses in 2005. 5.3.1-64 ?2005 ACS, Inc. s. s. Civil Treatment for Managers (CTM) Civil Treatment for Managers (CTM) is a course that focuses on fair employment practices and is part of outreach to create and maintain a safe, professional work environment for all employees. It is required training for individuals who manage others. Individuals must take the course within the first 90 days of becoming a supervisor or manager, either as a newly hired or acquired employee or through a promotion. The four?hour online course is available online through the ACS Center for Learning (CPL) Web site. The full-day, facilitator-led session is available periodically in key locations and upon request and has recently been completed by all of the New York \Norkleaders, Supervisors, Assistant Managers, and Program Manager. Following are the course objectives for the CTM training: 0 Understanding how professional, fair conduct relates to and furthers the mission of the business 0 Defines when and how conduct, behavior, and performance governed by ACS policy and the law 0 Identifies when the manager has the responsibility to take action to address workplace issues 0 Uses management guidelines to ensure fair and equal treatment in the workplace Development, Delivery and Maintenance of Training Manuals Modifications to the training plan will be shared with the Authorities and will be developed with the Authorities guidance and approval. The training supervisor will oversee modifications, enhancements, and additions to the curriculum and the use of an on-line, Web based project management tool will be used to publish the training plan document. Authority Personnel Training It is important that Authority personnel working closely with the Vector system are well trained in all user interfaces as well as report generation. The Authorities will be trained on both report generation against the offline database as well as the Ad Hoc reporting system that will be part of the enhanced Vector product. As part of this contract, ACS will also offer Authority personnel new in?depth Actuate training to facilitate access to scheduled reports and make running ad hoc queries easier. The training will include topics such as: downloading into excel, selecting date ranges, graphical displays of reports, creating ad hoc reports, and data analysis. ?2005 ACS, Inc. 5.3.1-65 We are prepared to provide training to 25 designated Authority personnel split into four classes. ACS will await an approved listing of Authority personnel to be trained from each Authority Project Manager. We would prefer to offer training to each Authority in the Staten Island state of the art training facility since all required equipment and software access is already in place. However, if necessary, ACS is can deliver training on site using Authority training equipment. The Authorities are encouraged to participate, monitor and provide feedback in all training courses developed for the new hire as well as refresher training courses. ACS understands and appreciates that the Authorities will assist in Training activities by allowing access to their facilities to help facilitate the learning process for ACS support staff. Offering a staff member the chance to observe first hand, traffic flowing tlu?ough the lanes is a one of kind experience that will ultimately help customer service representatives perform their job functions more efficiently. Four Major Categories of Training ACS will provide training that will address all operational needs for the New York program. Four major categories of training will be addressed program wide. The categories include: 1 Customer Service Center Operations 2 Policies and Procedures 3. System Training 4 Reports Our customized training program includes modules designed to address imique departmental needs across the program. Every employee in each functional area will be trained using relevant training materials applicable to their specific job function. The departments receiving specialized training include: Call Center, Correspondence, Finance, Violations, Tag Handling, Information Technology, and Human Resources. The policies and procedures in place for all ACS system processes in place to execute all Authority business rules will be referenced during specific training sessions. Policies and procedures relevant to specific business units will be delivered to training participants to ensure consistency in processing and understanding of current business policies. Our Account Management system, Vector, is an integral part of ACS providing world class customer service to members. Its ease-of-use and enhanced GUI interface systems will assist customer service representatives in performing their jobs. Therefore it is pertinent that ACS trainers prepare and present a clear and instructive training module on the Vector system. Collection of data during account open and maintenance processes enables the Authorities to access pertinent program information that will help define procedures for the future or 5.3.1-66 ?2005 ACS, Inc. s. s. report on revenue management. We will provide training to designated ACS and Authority members on report generation and production. Professional Certifications ACS recruits well educated, experienced professionals to lead front line staff, monitor systems and perform analysis. Different job functions may require professional certifications to be a prerequisite to being hired in order to perform specific job functions. For example, as noted above in the Civil Treatment for Managers (CIM) Training section, ACS requires course completion for individuals who manage others. Other examples may include technology certifications, such as lVIichelle Turchio being a Microsoft Certified Professional, proving she received proper training to work on LAN systems across the program. Human resource functions require specific training be provided to HR professionals to ensure compliance with EEOC and labor laws. HR professionals are expected to hold a HR Certification in order to provide guidance and implement corporate policies throughout the program, just as Anna Frattalone holds. Similarly, ACS encourages employees who spend a majority of their time in project management to receive special certificates. Recently, Satish Kolandara, project manager, received a Project Management Professional (PMP) certificate. Finally, our developers are Certified Software Development Professional and in addition many of our developers hold certificates in their specific programming areas g. Forte, Java, etc.). 5.3.1 .4 Policies and Procedures ACS understands that creating and updating the policies and procedures manual is an integral part of operating an effective Customer Service Center. Management and the Authorities talk to the organization through policies, procedures, and tasks. Clearly written policies and procedures bring consistency into the operation and help employees make informed decisions. They describe what, who, when, and how to carry out the directions of the Authorities. The policies and procedures manual is the roadinap to various processes for the CSC operations. It is utilized by all departments for training and quality assurance purposes and is often requested by Authority auditors to ensure that proper procedures are in place and being followed. The manual incorporates Authorities business rules and proven technological and operational processing solutions. A collaborative effort between ACS and the Authorities on today's contract produced a policies and procedures manual covering each department and every activity performed within them. By having most of these contents in place, we will be able to offer the Authorities a comprehensive docunrent for the new contract that will require very few edits, saving the Authorities much review tinre translating into cost savings. l/V believe docunrent maintenance is key to ensuring accurate and timely information is shared with progranl staff and the Authorities. Department managers are required to ?2005 ACS, Inc. 5.3.1-67 provide up-to-date revisions as changes occur. The Authorities can be assured that they will have access to the revised document on an annual basis, as requested in the RFP. In fact, designated ACS management staff will have access to an online document management tool in which real time changes will be published and accessible to designated team members. This tool will also maintain version control of the policies and procedures manual. At the progranrs inception, ACS created initial policies and procedures in Microsoft Word and provided binders to the Authorities and maintained them thereafter. Beginning in 2003, ACS created an initial policies and procedures manual in a PDF format, with bookmarks for easy navigation to over 500 pages of policies and procedures. Going forward, ACS will continue to provide an electronic format and enhance the existing electronic policies and procedures manual. Our manual will remain a very detailed source of information. For example in Exhibit 5.3.1 15, a copy of the NSF (Insufficient Funds) policy is displayed. In addition, at the Authorities request, ACS will provide the IVIicrosoft Word version of the document for Authority editing to be used internally at the Authorities locations. The PDF files and Microsoft Word files will be delivered to the Authorities on a A designated staff member in every department is responsible for keeping track of changes and ensuring that proper revisions and updates are submitted to the staff member within the department responsible for updating the manual. All designated policy and procedure writers from each department will submit any revisions, updates and amendments to the Business Analyst responsible for final review and submission to the Authorities. Upon policy or procedure changes, the CSC staff is notified of the applicable changes tlu?ough an office-wide memorandum. In the future, notification can be made Via the ticker scroll available in Vector 4.0. In many circumstances, policy and procedure changes result in a refresher-training course to communicate the updates to the staff that needs to be informed. All training materials and manuals are updated as policy and procedural changes become effective. All training materials are current with the existing policies and procedures. Content of Policies and Procedures ACS gathers policies and procedures from each Department within the New York CSC and creates the manual with the responsibilities and steps necessary for the employees to perform their everyday tasks. The policies and procedures manual is categorized by Department. Each Deparhnent section contains detailed individual functions performed by that Deparhnent and the necessary procedures and business rules associated with performing each function. The table of contents, Exhibit 5.3.1?16 is categorized by Deparhnent and each process within that department. 5.3.1-68 ?2005 ACS, Inc. 5. Sample Page of Policy and Procedure Manual EM A E-ZPass NY Finance Policies and Procedures 2003 . Exceptron NSF Check Processing Although the speci?c procedures may vary from agency to agency, the basic NSF processing guidelines are the same for each agency. The agencies' banks return uncollected funds, insuf?cient funds, and ?stop payment? chedts, along with a corresponding debit memo, to the Main Processing Center. These checks are collectively referred to as NSF ched(s. The Reconciliation Coordinator ensures that each retumed check number and check amount matches to the appropriate daily bank activity statement received via fax from each agency?s bank. The statement date is the bank date and all returned checks for a given bank date are collected. The returned checks and debit memos, along with a copy of the bank statement, are provided to the NSF Coordinator for processing. The NSF Coordinator compares each physical check to the description on the corresponding debit memo as a control procedure to ensure that all returned checks, which appear on each bank statement, are accounted for. Each chedr is then stapled to its corresponding debit memo. In cases where multiple checks are listed on a single debit memo, additional copies of the supporting debit memo are made to attach to each check. Holes are punched into the checks? ABA routing and account numbers to permanently "void? the check and prevent the possibility of re-depositing the check. The returned check, along with the debit memo, is ?led by agency in binders. The following speci?c information is then gathered for each check, from the back of the returned check, by researching in Vector and from the bank statement, and the information is then recorded on the debit memo. It is important to make note of the E-ZPass account number to establish a relationship between the returned check and the E-ZPass customer. Customer?s name and address E-ZPass account number E-ZPass reference number - The E-ZPass reference number is the same as the Vector transaction number that appears when the check posts to the account Date processed Bank reference number E-ZPass account balance After this information is gathered from Vector and the bank statement, the E-ZPass account in Vector is debited by the NSF Coordinator and recorded on the debit memo. Vector NSF Check Processing Once the above information is obtained, the NSF Coordinator processes the check reversal in Vector: Under the Financial Button, in the Reversals Tab, recent ?nancial transactions appear, including the original transaction date and reference number. The NSF Coordinator double clicks on the transaction needing to be reversed, ?checks? the Charge NSF Fee box, and presses the Adjust button. Under the Account Maintenance Button, in the Notes Tab, the NSF Coordinator notates the account. The note will typically include the check number, the amount, and the reason for the retum NSF, uncollected funds, stop payment). After the account is debited and the notes are entered, the information is entered into the Access NSF database (see below). Finance Page 1 ACS PROPRIETARY INFORMATION - FOR NYSTA USE ONLY Exhibit 5.3.1-15. The policies and procedures manual is very detailed. Above is a sample of ?map the NSF funds page of the over 500 page manual. ?2005 ACS, Inc. 5.3.1-69 MNYEZP Exhibit 5.3.1-16. The Policies and Procedures Manual is categorized by Department and sub-categorized by each process within that department for easy accessibility by the users. 5.3.1-70 ?2005 ACS, Inc. In the event that the CSC may have to deviate from the policies and procedures, ACS will docmnent and report the deviation to the Authorities within five business days. In addition, if we feel that changes are required to the policies and procedures manual prior to the annual submission, ACS will submit the revisions to the Authorities for review and final approval prior to the annual revision. 5.3.1 .5 Quality Assurance RFP Proposer Instructions The Proposer shall descr be fully what quality assurance program it would use to monitor quality of all aspects of CSC operations. The Proposer shall clarify how its quality assurance program is to be performed within its eXisting program management structure, including the person(s) with primary responSIbility for the quality assurance program, the procedures to be followed, the lines of authority to be established, and the methods of communication to be used The Proposer shall indicate how the results of its quality assurance efforts Will be reported to the Authorities on an ongoing basis The New York Quality Assurance mission is to ensure that our primary service objectives are achieved by adherence to the principles of quality management. Through continuous evaluation, testing, and reporting, according to a defined Quality Assurance Plan, we will provide the Authorities with a quality-driven program. In today's business environment, across all industries, the need for a fully developed, proactive Quality Assurance (QA) program has become a necessity. Organizations are being held to higher standards publicly and are being held accountable legally and financially. There is now a need to be more proactive in identifying potential issues in their infancy. Stricter govenmlental mandates, like the Sarbanes-Oxley Act, have put pressure on organizations to step up to the plate and take full accountability for the financial activities occurring within the organization. Service provider contracts have increasing requirements for vendors to undergo SAS 70 reviews and be in compliance with standards set forth by the International Organization for Standardization. As a result, organizations are investing unprecedented resources into their QA and internal audit programs. The paradignl shift from the traditional ?financial? audit to a ?whole organization" audit is in place. I?Vith this in mind, AC8 recognizes the need to continually improve upon the QA program that was developed and modified over the years for the New York program. Although we currently have a QA plan that covers the entire CSC operation, we will be broadening and deepening the scope of this plan to incorporate more aspects of established processes, such as tag handling and assignment, which may pose a risk to the Authorities? revenues and assets. We will also be placing more emphasis on the review of internal controls, asking the following questions: 0 Are the current controls the most effective for the process or task? 0 Are there sufficient controls at all steps in a process? 0 What controls need to be added or strengthened? 0 Why did control breakdowns occur? 0 How can control breakdowns be prevented? @2005 ACS, Inc. 5.3.1-71 0 Can manual controls be replaced by automated controls? Are necessary system restrictions in place? 0 Does the segregation of duties exist at all necessary points in a process ?ow? 0 Is the proper reporting of deviations occurring? To accomplish this, ACS will be adding additional staffing levels, both in the Operations and Quality Assurance departments, to ensure that the necessary resources are in place to supervise, monitor, review, test, and report on the state of the CSC. The following sections describe our methodology and the mission of our expanded QA department. We will also discuss our QA plan for the New York program, including reporting to the Authorities and reporting Within our organization. Quality Assurance Methodology As the current provider for the CSC, understands the complexity of the processes necessary to make the New York program run. The multi-agency, multi-location structure, as well as the ever-increasing number of customer accounts, transponders, and transactions, requires a continuous, proactive QA program to ensru?e: 0 Delivery of contracted services within the tiineframes established by the Authorities (Authority requirements) 0 Providing superior customer service at all customer points of contact (customer satisfaction) 0 Safeguarding Authority assets and revenue in all CSC and system processes (Authority revenue). To achieve these three primary objectives, which are the drivers of our overall QA Plan, ACS has modeled the CSC program on the quality management principles that form the basis of the standards defined by the International Organization for Standardization. The quality management principles behind ISO 9000, as this group of standards is known, range from customer focus, to process and system approaches to management, to encouraging continual improvement. The application of these principles is evident in many areas of the CSC Satish Kolangara, the Senior Project Manager for New York in Rockville, Maryland, Transportation Technology Center, is a trained ISO 9000 auditor, and he has been providing ISO 9000 guidance in system development efforts for the New York project. Mr. Kolangara has also participated in several surveillance audits in firms who sought to obtain ISO 9000 certification. The following table outlines the eight quality management principles and activities within the CSC that demonstrate the adoption of these principles. 5.3.1-72 ?2005 ACS, Inc. 5. ISO 9000 QUALITY MANAGEMENT PRINCIPLES Principle CSC Application Customer Clearly de?ning and documenting the Authorities? expectations with regard to Focus customer service Establishing a training department and developing training modules for all services provided at the CSC Prioritizing and escalating customer feedback issues Measuring customer satisfaction through customer surveys Provide Setting goals for all project departments and employees Leadership Conducting all business within an ethical framework Encouraging employee contributions and recognizing superior performance Involvement of People Holding departmental meeting to discuss issues and share knowledge Promoting staff from within the CSC Involving staff in testing new functionality Support employee-sponsored task forces Process Managing related activities and resources, such as tag swap and tag distribution, as Approach a process Measuring the performance of critical functions by various project departments Establishing clear lines of responsibility and accountability in the Program Management. Data Processing, Finance, Customer Services, Systems, and Development areas Systems Holding program design with all project departments when developing Approach new functionality Following structured functionality implementation process - unit testing, Quality Assurance testing, operations testing, and production veri?cation Continual monitoring of system performance Documenting processes and procedures for all tasks within the CSC Continual Continual monitoring, assessment, and feedback of CSR performance Improvement Conducting annual staff performance evaluations Measuring and evaluating error rates to improve performance Fact-Based Verifying data accuracy and reliability by reconciling subsidiary reports to primary Decision reports, and primary reports to source data Making Generating reports and queries to enable fact-based decision making Working with Developing long-term relationships with subcontractors and suppliers (PRWT, ADM, Suppliers and Superior) Working with subcontractors and suppliers on joint development efforts Instilling ACS core principles and values across all subcontractors and suppliers It is within the framework of these eight quality management principles that the QA staff will conduct scheduled and unannounced internal audits of processes and procedures Within the CBC. These audits will also focus on the identification, 1emediation, and prevention of process and system deficiencies, such as those that wele recently identi?ed during an internal investigation. While this incident lesulted in the enhancement of internal and system controls, it has reminded AC8 staff that we must be continually proactive in detecting internal control and system lapses. This incident has also resulted in a renewed commitment by AC5 to offer the Authorities a sound and comprehensive Quality Assurance plan for the New York program, ?2005 ACS, Inc. 5.3.1-73 Quality Assurance Department For the New York program, ACS is proposing an expanded QA Department. The Quality Assurance Manager, Gary Lescota, will continue to report directly to the CSC Program Manager, Helen Barton. Mr. Lescota will lead a staff of five Quality Assurance as depicted in the organization chart in Exhibit 5.3.1?17 below. Quality Assurance Department The additional QA analyst positions will be filled by audit professionals with specialized audit training and broadened skill sets. trained in reports preparation and daily performance monitoring will augment staff trained in operational and financial audits. Quality - - Quality Quality Will perform departmental audits at the Assurance Assurance Assurance main processing center and at all walk-in Financial Audit P?gqli'g?gce centers, as well audits of the services Analyst (1) (3) Analyst (1 provided by our contracted partners. 031.NYEZP Exhibit 5.3.1-17. The expanded QA Department will Although the QA staff conducts audits have specializing in ?nancial and and reviews according to the A Plan, operational audits, as well as in performance monitoring and reporting. they are also involved in assessmg departmental productivity and recommending process improvements to obtain cost efficiencies throughout the program. Currently, the QA staff is working closely with in developing a Business Continuity and Disaster Recovery Plan for the project. Once ?nalized, these plans will be maintained by the Operations department and monitored by the QA Department. In addition, the QA staff also supports system testing and recovery operations, including successful testing of system recovery at the SunGuard facility in Philadelphia, During calendar year 2004, New York QA Department performed over 550 audits and reviews of project processes, CSR productivity, and financial transactions. In addition, we supported the Authorities' audit departments in over 51 audit initiatives. ACS has worked extensively with the Authorities' internal and external auditors and we have the required knowledge of the program and processes to support all Authority audits. In 2003, the Authorities requested that ACS engage the services of an independent auditor to perform a SAS 70 Type II Audit of the New York program. The QA department, in coordination with all program department managers, successfully prepared documentation requested by auditors from the ML. Weekes 8: Company to complete the audit in less than 40 days. The SAS 70 Audit scope encompassed the control environments at the main processing center, the Rockville, Maryland Transportation Technology Center, as well as the Tarrytown, New York data center. This audit and the subsequent 2004 SAS 70 audit uncovered no material findings across all areas of the program's control environment. As a result of this audit, ACS has received an unqualified opinion on the design and effectiveness of the internal controls as they relate to control objectives identified for these operations. As 5.3.1-74 ?2005 ACS, Inc. A s. A required by the Authorities, we will continue to conduct annual SAS 70 Type audits to ensure continued compliance. Quality Assurance Plan ACS understands that the key to a successful QA program is the development and implementation of a proactive QA plan. This QA plan is based on our QA methodology, using ISO 9000 standards as our guidelines, and is driven by our three primary objectives adherence to Authority requirements, customer satisfaction, and preservation of Authority revenue. The QA plan must encompass all areas of the CSC operation, with a focus on the assessment, through testing, of internal controls. The QA program must also be integrated into every aspect of service delivery to ensure day-to-day adherence to service and performance standards. The table below illustrates a modified Quality Assurance plan that we will be using for the Authorities? New York program. This QA plan includes the scheduled auditing and reporting of all CSC back office operations to ensure that both policy and procedtu?es are adhered to and that necessary internal controls are in place and are effective. The QA department currently follows a daily, weekly, quarterly, annual, and ?as needed" schedule to allow ample review of all departments and processes, including call center, correspondence, violations, finance, lockbox, tag swap inventory distribution, and all walk?in centers. QUALITY ASSURANCE PLAN FOR NEW YORK Essential Operations Account Toll Postings Review High Customer satisfaction, Authorities' Daily revenue Statement Production Statistics High Customer satisfaction, Authorities' Daily Review requirements Operations and Reciprocity Report High Authorities' requirements Daily Monitoring Adherence to Performance Standards High Authorities? requirements Daily (SOW) Daily Statistics Report Preparation High Authorities' requirements Daily/ Weekly Weekly Highlights Report Preparation High Authorities? requirements Weekly Correspondence Department, review High Customer satisfaction, Authorities' Weekly/ includes: requirements 0 Reports/production logs Inbound/outbound mail 0 Adjustments/MTOLs 0 CSR settlements ?2005 ACS, Inc. 5.3.1-75 . Essential Operations Impact Risk Issues Schedule Violation Department, review includes: High Customer satisfaction, Authorities? Weekly/ 0 Image Review reports/logs requirements. Authorities' revenue . System processes 0 Image quality Mail Production Department, review High Customer satisfaction. Authorities' Weekly/ includes: requirements 0 Reports 0 Outbound mail Lockbox, review includes: High Customer satisfaction. Authorities' Weekly/ . Mail production log requirements. Authorities' revenue 0 Applications processed 0 Payments processed Returned mail 0 Unidenti?ed accounts 0 Clerk settlements] reconciliations Call Center, review includes: High Customer satisfaction. Authorities' Weekly/ 0 Productivity report card, requirements phone stats 0 Staff scheduling 0 Account maintenance transactions Business Correspondence Department, High Customer satisfaction. Authorities' Weekly/ review includes: requirements. Authorities' revenue 0 Check receipt log 0 CSR daily work folders Walk-In Center, review includes: High Customer satisfaction. CSR Weekly/ 0 CSR settlements performance. revenue 0 Over/Short log . Bank deposits Finance, review includes: High Customer satisfaction. Authorities' Weekly/ 0 Deposit/bank statement requirements. Authorities' revenue reconciliation . Refund/NSF processing 0 Chargeback responses 0 Transaction reconciliation Q13 reconciliation Tag Swap/Distribution, review High Customer satisfaction. Authorities' Weekly/ includes: requirements. Authorities' revenue 0 Account selection 0 Outgoing mail (tags) 0 Incoming mail (tags) Tag Inventory Audits High Authorities? assets. Authorities? Semi- . Reconcile physical count to revenue Annual reports/records 5.3.1-76 ?2005 ACS. Inc. s. Medium Impact Messenger Service Performance I Med Authorities? assets, Authorities? As Security review: revenue Required 0 Observe mail pickup transport and delivery Unannounced mail house audit: Med Authorities' revenue, contract As . Observe outgoing mail/dates compliance, customer satisfaction Required 0 Sample statements, correspondence, violations Correspondence Department and Med Customer satisfaction, CSR Daily Business Correspondence review: performance 0 Sampling CSR completed work for accuracy Tag File Review (POPS report) Med Customer satisfaction, Authorities? Daily revenue Overnight Delivery Service Vendors Med Authorities' revenue, customer Weekly (quarterly prep work) satisfaction Safety/Security Survey (conducted by Med Authorities? revenue, regulatory Operations, monitored by GA) compliance Review Call Center Monitoring Logs Low Customer satisfaction, CSR Daily performance Review Production Reports Low Customer satisfaction, CSR Daily performance, Authorities' requirements Additional Reouirements Review Departmental QA Processes High Authorities' requirements, ACS As requirements required Authority audit oversight and response High Authorities? requirements, ACS (51 audits per year) requirement SAS 70 audit oversight, audit follow- High Authorities? requirements As up, and Authority review required Maintenance of Manuals High Authorities? requirements As (conducted by Operations, monitored required by GA) Authority Requested Audits High Authorities? requirements Quarterly Tag Disposal Audit High Authorities' requirements Semi- Annual Large Print Orders I Forms Review High Customer satisfaction As required Training Manuals Review High Customer satisfaction, CSR As performance required ACS Initiatives and Administration High ACS corporate requirements As . Ethics training required 0 Annual performance reviews 0 staff meetings Special Projects/Ad Hoc Requests TBD Authorities' requirements, ACS As requirements required The above QA Plan demonstrates our understanding of the complexity of the New York program. Reviews are scheduled for nearly every area and process occurring Within the CSC. Adherence to this aggressive QA schedule Will be made possible with the ?2005 ACS, Inc. 5.3.1-77 expansion of the QA department. As tasks or processes change, the QA Plan will be updated to reflect these changes, and additional reviews can be added at the Authorities? request. Reporting and Communication The results of the QA Department's audits and reviews will be documented in reports, and will be discussed with both the Progranl Manager and applicable members of the management team. If system or software issues are involved, the project manager from the development team is also involved in these discussions. If any findings are identified within an audit, the applicable department manager is required to provide the QA Department with a follow-up response and corrective action plan within 10 days. As required, each audit report will be included in an electronic quarterly report to be delivered to the Authorities. Under the current contract with the Authorities, the QA Department is scheduled to submit audit reports on a quarterly basis. Due to 1mforeseen increases in workload, primarily due to the increasing munber of external audits and involvement of key personnel in an extensive investigation, the quarterly reports have been delayed. However, the expansion of the QA departJnent, referenced above, will remedy this situation. During the course of a QA audit or review, if a deficiency regarding an internal control is found, the department manager must address the deficiency immediately. The recent investigation into activities at one of the walk?in locations uncovered a series of internal control breakdowns. This issue has rmderscored the importance of implementing, testing, and evaluating internal controls throughout the New York project. This issue has also brought the commitment from AC8 corporate offices to conduct independent internal control reviews of the New York program. AC8 recommends holding regularly scheduled QA meetings with the Authorities to review service objectives, activities, performance trends, and opportunities for improvement. These meetings can be held as stand?alone meetings or as part of overall project status meetings. We value the Authorities' opinion and direction and, by working together, we can ensure the providing of continuous quality service on the New York program. In summary, AC8 will improve upon our Quality Assurance progranr for the Authorities. The foundation of this progranr is based on our three primary objectives adherence to Authority requirements, customer satisfaction, and preservation of Authority revenue. Our QA plan is driven by these objectives within the franrework of the ISO 9000 quality management principles. We believe that this program will lead to continuous improvement in the quality of the services we provide. At AC8, we are committed to the quality management of the Authorities' program. 5.3.1-78 ?2005 ACS, Inc. 5. 5. EM 5.3.1 .6 Performance Standards and Monitoring RFP Proposer Instructions The Authorities have developed Performance Standards for the they belleve are reasonable and achievable, based on actual expenence Proposers shall af?rm that they Will be able to comply With these standards. ACS is committed to a process of continuous monitoring of CSC and system perfomtance to ensure compliance with Authority-defined performance standards, efficiency of operations, and achievement ofobjectives within the CSC. An important aspect of Quality Assurance program is the monitoring and reporting of CSC and system performance against Authority?defined performance standards. ACS understands that these standards establish a measurable baseline for ensuring contractor compliance, performance, and accountability. For the contractor, meeting these achievable standards requires operations and systems that are efficient, capable of handling unanticipated increases in volume, and the ability to reallocate resources when and where needed. Under the current New York contract, our QA staff plays a critical role in ensuring that contract standards are met. They continually monitor performance, analyze results, and communicate findings in order to improve performance. Findings may result in the retraining of staff, reallocation of resources, or modification of work?ows. At times, standards were met by enhancing system processes or fine tuning the scheduling of system jobs. We are continually refining and enhancing our processes as we reassess old methods and adopt new methods and technologies that strengthen our ability to monitor and maintain required service level and performance standards. New Performance Standards In the RFP, the Authorities? have identified 31 new performance standards. A review of current performance against these new standards reveals that we are already in compliance with the nlajority of them. For those standards where we were not in compliance, we performed analyses to determine what actions needed to be taken to become fully compliant. Our analyses show that full compliance will come with the implementation of redundant system technology, the improved processing capabilities of the enhanced Vector system, and modifying our compensation program to a performance-based program for certain staff positions. The table (based on RFP Table 2-1) that follows provides a comparison of our current performance to these new standards and shows the actions that ACS will be taking to ensure full compliance. ?2005 ACS, Inc. 5.3.1-79 ACHIEVING THE PERFORMANCE STANDARDS Service Element Authorities? Performance Standard Current Performance Against New Standard How ACS Will Achieve the Standard MailMIeb Within 3 Within 2 Standard currently being achieved applications business days of business days processed and receipt of receipt tags mailed Existing account Within 2 Within 2 Standard currently being achieved additional tag request mailings business days of receipt business days - most mailings occur within 1 business day Payment Depos?s By close of next business day By close of 2n business day This change in the standard will be achieved by changing the deposit clerks? shifts. The deposit clerks will now reconcile and prepare deposits same business day at the end of cashier/clerk shifts, for pick-up and delivery by armored courier to the Authorities? bank accounts next business day. Payment Credits Before tag ?le Before tag ?le Standard currently being achieved creation creation Automatic Within 2 Within 2 Standard currently being achieved Replenishment calendar days of calendar days Requests account of account reaching reaching threshold threshold Credit Card Within 1 Within 1 Standard currently being achieved Decline Notices business day of business day of ?nal decline ?nal decline Statement Within 7 Within 7 Standard currently being achieved Mailings calendar days calendar days - from end of most statement cycle statements mailed by 5th calendar day Archived Within 5 Within 5 Standard currently being achieved Statement business days of business days Mailings request of request (statements 3 years old) rvice Responses to or resolution of all Web, telephone, mail, and walk-in center inquiries and disputes Within 5 business days of receipt Customer Se 80% within 3 business days of receipt 100% within 7 business days of receipt In order to achieve this standard, all inquiries and disputes received will be routed and queued within 1 business day using work?ow software. In addition. we will cross train staff to allow movement between skills to better manage clerk staf?ng with regard to volume ?uctuations. A letter or e-mail will be sent to each customer notifying them of the determination that was made account updated. credit issued/denied. item is pending further review) or if additional information is required from the customer) 5.3.1-80 @2005 ACS, Inc. ACHIEVING THE PERFORMANCE STANDARDS Authorities? Current Service Element Performance 9 How ACS wm Achieve the Standard Standard Against New Standard In the event that additional information is required. a letter will be sent to the customer asking for the additional information, but the inquiry will be considered resolved until the customer responds and the response by the customer will be treated as a new inquiry. Resolution of all Within 20 Compliant Standard currently being achieved Web, telephone, calendar days of mail, and walk-in receipt center inquiries and disputes not resolved within 5 business days of receipt CSR Calls 80% within 45 Compliant - Standard currently being achieved Answered seconds of being average of 22 placed in the seconds CSR queue Voice Response Availability 24 99% availability Performance will be improved through redundant System hours/day, 7 system technology and improved monitoring by Availability days/week, the Tarrytown data center escalation procedures. excluding approved scheduled maintenance Voice Response System Response Time Manual MTOL Processing (not in transaction ?le) VRS response to speci?c customer inquiry from database within 4 seconds of request Within 3 business days of receipt Compliant average of 3 seconds Standard currently being achieved Transaction Processing Compliant Standard currently being achieved Home Agency Tag Validation Files Received by the Authorities by 4 am. Compliant for TBTA and NYSTA. currently scheduled at 4:30 am. for PANYNJ By changing the transmission time of the scheduled job for PANYNJ, we will become fully compliant with this standard. Processing of Home on Home valid ETC lane or Plus transactions (excluding PANYNJ class mismatch and NYSTA Within 24 hours of receipt, transactions must be posted or rejected, ?ltered, and reconciled to the Authorities Within 24 hours for processed and posted For Plus Compliant Lane transactions for New York customers on New York facilities are currently being processed and posted within 24 hours of receipt. The reconciliation of these transactions back to the Authorities is currently taking longer than 24 hours from receipt. By modifying the scheduling of jobs and internal system reconciliation processes, we will be able to meet the Authorities? standard. ?2005 ACS, Inc. 5.3.1-81 ACHIEVING THE PERFORMANCE STANDARDS Authorities? IAachf Current Service Element Performance 9 9mm? How ACS Will Achieve the Standard Standard Against New Standard unmatched transactions) On other ETC programs utilizing the Vector system, processes have been modi?ed so that home on home transactions are processed. posted, and reconciled within a 24 hour period. Processing of Within 24 hours Majority within Lane transactions for Away customers on New Away on Home of receipt. 24 hours York facilities are generally being processed and valid ETC lane or transactions sent to Away CSCs in ?les within 24 hours Plus must be ?ltered For of receipt. transactions and sent to an Plus (excluding Away CSC Compliant The system will be modi?ed to assure standard is PANYNJ class met consistently. mismatch and NYSTA unmatched transactions) Processing of Within 24 hours Majority within Incoming ?les are generally processed and Home on Away of receipt, 24 hours for transactions are posted/rejected within 24 hours valid ETC lane transactions ETC of receipt of the ?les. transactions must be posted or rejeqted and The system will be modi?ed to assure standard is reconcrled met consistently. NYSTA Within 7 Within 14 This change in the standard will be achieved by Unmatched calendar days calendar days modifying the maximum time frame that the Transaction system will search for matching transactions. Processing NYSTA and Within 24 hours Majority within Automatic scheduling of violations processing and PANYNJ License of identi?cation 24 hours ?le distributor jobs at suf?cient intervals during the Plate of valid customer day to insure all processed images belonging to Transaction home agency customers are posted within Posting 24hours. System/Web System Available during 99.54% Performance will be improved through the Availability business hours Compliant implementation of redundant system technology and maintaining suf?cient bandwidth. Web site Available 24 99.73% Performance will be improved through the Availability hours/day, 7 Compliant implementation of redundant system technology days/week and maintaining suf?cient bandwidth. Providing of all reports identi?ed in the Statement of Work All reports provided no later than indicated business days after report date: Daily - 2 days Weekly - 3 days - 7 days Quarterly 7 days Annual - 10 days Averages: Daily 2 days Weekly - 2 days 7 to 10 days Quarterly - 7 to 10 days Annual 45 days? Finance Improved data/?le reconciliation (see above) will lead to earlier available reports. Currently, reconciliation delays are responsible for delayed report availability. In addition, an enhanced reporting infrastructure backed by Siebel will provide data faster and more ef?ciently. 5.3.1-82 @2005 ACS, Inc. ACHIEVING THE PERFORMANCE STANDARDS Authorities? Current Service Element Performance How ACS wm Achieve the Standard Against New Standard Standard SpeedNiolations Speed Notices mailed Compliant Standard currently being achieved Enforcement within 3 business days of posting date Processing Toll Within 3 Within 12 to 14 This requirement will be achieved through Evasion Images business days of receipt business days of receipt improved system performance and the implementation of activity-based compensation for image review clerks. Archived Image Sent to customer or Within 3 to 5 Standard currently being achieved Mailing Authorities within 5 business days business days of Compliant request Toll Evasion Sent within 3 Compliant Standard currently being achieved Noticing business days from obtaining demographic information from DMV or customer database Processing Class Mismatch Images Within 5 business days of receipt Within 12 to 14 business days of receipt This standard will be achieved through improved system performance via an integrated Vector image review solution. The implementation of activity-based compensation for image review clerks will result in improved productivity. Archived Image Mailing Sent to customer or Authorities within 5 business days of request Within 3 to 5 business days Compliant Standard currently being achieved Class Mismatch Noticing Customer Wait Time Sent within 3 business days of class mismatch image processing Wait time in line not to exceed 10 minutes To achieve this standard, class mismatch ?les generated will be transmitted to the mail house within 24 hours of receipt. The ?les will be processed within 1 business day. Sample statements will be sent to the Violation Not Applicable Processing Center via e-mail for approval. These sample ?les will be approved the same day as received. Upon approval, notices will be mailed the following day. This requirement will be tracked through the Daily Class Mismatch Noticing Statistics Report. Walk-In Center Compliant Standard currently being achieved ?2005 ACS, Inc. 5.3.1-83 Monitoring Performance Quality Assurance will monitor actual performance against the standards set forth by the Authorities through the daily Performance Standards Tracking Report. This new report, included as Exhibit 5.3.1-18, will be compiled from various data sources, including Actuate Reports, Production Logs, Call Management System Reports, and System Availability Reports. The Performance Standards Tracking Report will include the service categories listed in the table above, and will compare actual performance to the Authorities? standards. The report will be updated and analyzed daily by QA staff. Variances between actual performance and each standard will be identified and escalated to the appropriate department manager or development staff for remedial action. If a standard is not met, the report will also indicate the cause of non-compliance. The source documents used to prepare this report will be maintained at the CSC for Authority review. 5.3.1-84 @2005 ACS. Inc. A s- Performance Standards Tracking Report 150.NYEZP Exhibit 5.3.1-18. The Daily Performance Standards Tracking Report lists the standards established by the Authorities and clearly shows rolling performance for each standard for each day?s activity. An explanation will be provided for any variances noted. @2005 ACS, Inc. 5.3.1-85 A EM Performance Standards Tracking Report (Cont?d) 150.NYEZP Exhibit 5.3.1-19. The Daily Performance Standards Tracking Report (cont?d). 5.3.1-86 ?2005 ACS, Inc. A For the Authorities, ACS will prepare a sununary of the Performance Standards Tracking Report, included as Exhibit 5.3.1-20, summarizing performance against the standards. Both the daily and reports, prepared using Excel software, will be available through a Web?based reporting tool for intra?month Authority review. The final report will be distributed to the Authorities along with the invoice, as required in RFP Appendix W. The report will be used to prepare the Performance Standards Pricing Adjustment report, referred to in Proposal Section 5.3.7.9, Reporting Requirements for Invoicing and Cost Sharing. ?2005 ACS, Inc. 5.3.1-87 A s- EM Performance Standards Tracking Report Exhibit 5.3.1-20. The Performance Standards Tracking Report also lists the standards established by the Authorities, but provides performance in summary fashion. This report will be used to prepare the Performance Standards Pricing Adjustment Report. . [5.3.1-88 ?2005 ACS, Inc. A 5. ?2005 ACS, Inc. 5.3.1-89 Exhibit 5.3.1-21. The Performance Standards Tracking Report (cont?d). REPORT ON PERFORMANCE STANDARDS - August 2005 SERVICE ELEMENT STANDARD Mon. 8/1 Tues. 812 Wed. Thurs. Fri. Sat. 80 814 8/5 8/6 Resrlt INFORMATION TECHNOLOGY Tag status fie incorporating all NY tags with al other IAG agency fies received in the proper format for the NY agency Generated dairy and delivered to Authorities by 4 a m. Compliant Compliant Compliant Valid ETC lane or E-ZPass Plus transactions. NY Authorties transactions from (Home on Home). except for PANYNJ class mismatch and NYSTA unmatched transactions Within 24 hours of receipt Compliant Compliant Compliant Valid ETC lane or E-ZPass Plus transactions. Away Account on a NY Authorty facibty iAway on Home). except for PANYNJ class mismatch and unmatched transactions 24 hours of receipt Compliant Compliant Compliant Away Transactions- NY Authorities accounts traveling on an away faciKy (Home on Away) Withn 24 hours of receipt Compliant Compliant Compliant Matching or posting NYSTA unmatched transactions as max tols Processed within 7 calendar days of receipt Compliant Compiant Compliant NYSTA and PAHYNJ license plate transactions where plate belongs to a vahd customer account Posted within 24 hours of identifyng Compliant Comoiant Compliant OPERATING SYSTEM System availability during business hours 100% 98% 99% 98% WEB Availabilty 24/7 excluding scheduled maintenance 100% Compliant Complant Compliant REPORTING Daily Reports 2 business days after report date Compliant Compliant Compliant Weekly Reports 3 bushess days after report date Reports 7 business days after report date Quarterty Reports 7 busrness days after report date Annual Reports 10 business days after report date SPEED FNFORCEMFNI PROCF SSING PERFORMANCE Within 3 busness days of Speeding Notices transaction posting date AIION PROCP SSING PERFORMANCE STANDARDS Toll evasron images Wthin 3 business days of recent Compliant Complant Compliant Compliant Compbant Compliant REPORTING Within busness days of request Compliant Compliant Compliant Toll evas-on notices- after obtaining the name and address from the DMV or system database CLASS MISMATCH PROCESSING PERFORI. Class mismatch images Within 3 business days of obtaning information ANCE STANDARDS 5 business days of recent Compliant Cormliant Compliant Compliant Compliant Compliant Archive images sent to customer and Authority Wthin 5- business days of request Compliant Compliant Compliant Class mismatch notices Within 3 business days of images being processed CENTER PERFORMANCE STANDARDS Customer waiting time in walk-in Center before reaching a services window or - 10 minutes Compliant Compliant Compliant Compliant Cormliant Compliant Performance Standards Tracking Report (Cont?d) 5m At ACS, we are confident that we will achieve the performance levels required by the Authorities. We have over 13 years experience in assessing CSC and system performance for the New York Authorities, and taking corrective action, when necessary, to ensure compliance with Authority requirements. Our QA staff will be responsible for the timely preparation and distribution of this report, just as they have been providing the daily statistics and weekly highlights reports to the Authorities over the years. 5.3.1 .7 Marketing and Promotion RFP Proposer Instructions: The Proposer shall describe what resources in the area of marketing and promotion the Contractor could provide or make readily available should the Authorities require such activities as Extra Work under this contract. ACS has successfully ianlemented marketing programs for clients throughout the country, including nearby New Jersey and Maryland, that have resulted in increased ETC enrolhnent rates and better customer service satisfaction. We have an experienced public relations professional on-staff with over 12 years experience in both the public and private sectors, that oversees all marketing and public relations activities. In addition, ACS has ongoing relationships with public relations firms all over the country including New York that bolster marketing capabilities. We believe that the most successful marketing efforts are rooted in a spirit of partnership between client and agency. As partners with the Authorities, the ACS Team will work, as requested, to conceive and develop comprehensive strategies and implement successful campaigns. Some marketing objectives or extra work may include the following: increasing em?olhnent, encouraging consumers to change their driving patterns, educating them on as a convenient, safe and desirable alternative and to create realistic expectations of ensuring that customer concerns are handled quickly and courteously. We envision using a combination of communications, marketing and advertising tools to reach any goals set by the Authorities. Such tools may include the following: Earned media 0 Crisis conununications 0 Creative development 0 Print, radio, and billboard planning, placement, and buying 0 Public relations 0 Direct marketing 0 Internet 0 Placard and creative advertising 0 Research and surveys 5.3.1-90 ?2005 ACS, Inc. 5. s. 0 Trade shows 0 Public meetings 0 Event marketing Marketing Experience with Clients ACS has worked with its ETC clients and its public relations agencies collaboratively for over 10 years to affect driving behavior, create a safe, convenient and courteous environment and develop both formal and informal tools that track customer patterns. New York ACS has enjoyed a 10-year working relationship with New York and was chosen to launch the first implementation in 1993. Marketing strategies have taken many forms over the years. For instance, in the last several years we have worked with the Authorities to mail a multi?question customer satisfaction survey to users. This past February the New York State Thruway announced survey results that showed that 93 percent of New York customers surveyed said they are happy with customer service, a 2.3 percent improvement since 2001. Such surveys are a positive and relatively low?cost research tool to measure performance, as well as a good way to use earned media to encourage potential customers to enrol]. More recently, in August 2005, we worked with NYSTA to develop a mini-marketing canlpaign to promote the sale of retail tags at the New York State Fair in Syracuse. ACS has partnered with IMPS, a New York based public relations firm, to larmch a two-week radio campaign and promote the sale of tags at the fair through value-added promotions. Maryland We have worked with Maryland on several successful marketing campaigns over the last five years. We worked collaboratively with Maryland's marketing director on radio ads, billboards and magazine advertisements that received positive client and customer feedback. In 2004 Maryland saw an increase in users. In the last extension of the contract, the marketing budget dranlatically increased and outside agencies were chosen and hired to assist in the implementation of Maryland?s marketing Vision. An overall strategy was developed to increase enrollment and to strengthen the understanding of the various commuter plans. In addition, we launched retail tags in Maiyland and added to the marketing budget to specifically roll?out the retail tags throughout the summer season. Television, radio, billboards, brochures, newspaper and magazine ads and trade show strategies made up the overall marketing program that continues in our current contract. The diversity of 1narketing tactics helped to ensure that the message reached the intended audience of drivers age 18?65. In addition, ACS provided guidance and assistance with trade show support through recommendations of display companies, providing pricing quotes and sample items and assisting staff at events. ?2005 ACS, Inc. 5.3.1-91 New Jersey ACS and the New Jersey client successfully implemented a marketing campaign that utilized radio advertising. Because of the powerful New York/ New Jersey radio stations we chose to put the bulk of monies set aside for marketing on a major radio campaign focused at increasing enrollment and introducing a new and improved program. Although it is difficult to estimate an increase in enrolhnent due to a marketing campaign because there are so many factors that can affect Why customers enroll, we did see an over three percent increase in New Jersey enrollment following the radio ads. At the one-year mark of introducing the new program in New Jersey, Governor McGreevey issued a news release that stated, ?customer satisfaction is on the rise to previously unprecedented levels and added that more than 160,000 new accounts have been opened in the last year.? Following the radio campaign New Jersey saw a 16 percent increase in users. The expertise of ACS and its public relations partners make a strong and highly capable team to build, iinplenlent and execute any type of additional marketing and promotion that the Authorities may request. ACS also has the experience to ensure that it will be a successful and comprehensive marketing campaign. 5.3.1 .8 Disaster Recovery] Business Continuity Plan RFP Proposer Instructions: Proposers shall have included how they would develop and test a DisasterRecovery/Business Continuity Plan as part of their Technical Responses to Section 2.1, Transition Preparation. The selected Proposer shall be required to develop and test this Plan during Phase 1, Transition Preparation, based on recovery time objectives for different aspects of operations as listed in this section. Technical responses to this section of the Statement of Work shall describe the Proposer's general approach for meeting the recovery time objectives included in this section, and the Proposer?s approach to periodic testing of its DisasterRecovery/Business Continuity Plan. Proposers shall note any redundancies designed into the system (as described in Section 21.2.1 and 233.5 of the Statement of Work) which can he used for disaster recover/business continuity purposes. Proposers shall provide information on their experience in the areas of disaster recovery and business continuity in their responses to Section 1.9.2.4 of this RFP. The Authorities have requested a combination of disaster recovery and business continuity services. ACS will provide a hotsite location with a specified array of hardware and networking capabilities necessary to restore New York to normal operations well within the stipulated recovery time specifications. In addition, we will provide detailed information on the approach to meet the recovery time objective specified by the RFP. Since it is becoming more common to see the terms ?Disaster Recovery? and ?Business Continuity? used interchangeably, our understanding of the business requirements presented in the RFP is based upon the following definitions of these two important terms: 5.3.1-92 ?2005 ACS, Inc. A TERM DEFINITION Disaster Recovery The term used to describe procedures that provide a plan for duplicating computer operations after a catastrophe occurs. such as a ?re or earthquake. The Disaster Recovery Plan includes routine off-site back-up as well as a procedure for activating necessary information systems at an alternate location. Business Continuity Infrastructure, sta?ing, and processes to resume business operations when a site is unusable. Usually disaster recovery of IT equipment is a major subset of Business Continuity; however the focus of Business Continuity is on maintaining the ability to execute critical business functions with or without IT equipment. The ACS solution includes the innovative use of the services of SunGard, the industry leader in Disaster Recovery and Business Continuity. ACS is taking advantage of a new configuration that has arisen as the next step in the evolution of disaster recovery ?Dedi-Shared.? Dedi? Shared combines the advantages of a dedicated solution with the cost and support advantages of a shared solution. Dedi-Shared is an internal recovery facility within a recovery site. For New York, ACS has exclusive rights to an area of dedicated ?oor space within SunGard?s Philadelphia Recovery MegaCenter. By installing equipment dedicated to ACS and by providing port access to SunGard?s vast amount of shared resources within a hotsite, we are able to adjust the level of dedicated risk and shared risk at any time. The key element of a Dedi-Shared location is the use of a Data Vault which is the dedicated AC9 space provided at the facility as depicted in Exhibit 5.3.1?22. Disaster Recovery Structural Overview Da ter (Tar . NY) SunGard Business Continuity Site Dis Tape (Carlstadt, NJ) Pool SunGard Pool Disaster Site (Philadelphia, PA) ISNYEZI Exhibit 5.3.1-22. ACS is leveraging SunGard to provide a dedicated, yet shared, environment in order to maximize risk-mitigation while providing a cost-effective solution. ?2005 ACS. Inc. 5.3.1-93 AC 5m The Data Vault will be used to provide a fully redundant data store for the New York databases as well as the application data. For New York, the Data Vault, while geographically separated from the main Data Center in Tarrytown, New York, will still be part of the dedicated AC8 environment. Thus, we are able to take advantage of Sungard's significant network capacity to facilitate the design of replication solutions. The contents of the Data Vault are updated through an data replication mechanism. The Data Vault and the production servers at our Tarrytown Data Center together form the logical production environment. This configuration, with redundant servers at Tarrytown and the Data Vault provide the Authorities with an extremely high degree of data protection in the event of a disaster. In the case of a disaster, the Disaster Recoveiy services from SunGard will be invoked to provide the full complement of servers that are part of the production environment at the primary data center as shown in Exhibit 5.3.1-23. 5.3.1-94 ?2005 ACS, Inc. s. Full Protection for New York Data Customer Account Access Customer Service Agent Customer Account Access Extranet Frame-relay ii Extranet Frame-relay Internet WEB Reciprocity Drop Boxs Load Load . Balancer Balancer 0 Internet DMZ Extranet DMZ Clear Commerce Load Load Load Balancer Balancer Balancer Universal Active Siebel Siebel Siebel Gateway/ Gateway] Queuing 70 Address Cleanse Data Vault and Tarrytown DR Data Center Data Center SunGard SAN Array [1 Exhibit 5.3.1-23. Partnering with SunGard, a leader in disaster recovery, ACS is able to offer ?hot? standby data recovery capabilities through a Data Vault as well as full disaster recovery for the entire system. ?2005 ACS, Inc. 5.3.1-95 Page left intentionally blank 5.3.1-96 @2005 ACS, Inc. A s. s. There are several advantages to a Dedi-Shared location. These include lower network costs, the ability to support solution sets, as well as leveraging of resources for both data protection as well as recovery. The ability to leverage Sungard shared resources for DR exercises reduces the cost of the solution. In addition, using Sungard and ACS personnel for DR exercise planning and execution and for actual event support is a significant advantage. ACS has designed a three level recovery solution, the first level is a strong technology backbone that includes mirroring of data to redundant servers located in the back?up Data Center (SunGard Philadephia). As a transaction is written to the main Vector system located in the Tarrytown Data Center, the same transaction is written to a second server located in a geographically separate Data Center. The second level of the solution is for the main customer service center to be located in Staten Island. The Staten Island CSC will be protected by a hotsite workplace recovery contract using the ACS business partner SunGard. The third level of recovery involves the multiple walk-in centers. ACS will leverage the continuity solution in place for the walk-in centers that relies on reciprocal agreements between other nearby walk-in centers, or in the case Where there is not a nearby walk-in center, Authority offices. By using a three level solution, ACS is able to provide the highest level of redundancy on the most critical components. ACS will meet all specified RFP requirements: 0 Prepare a detailed disaster recovery business continuity plan for approval 90 days prior to the start of cutover. 0 Test all plans one month prior to cutover and every six months thereafter. The Authorities will be invited to observe each test, and will receive a report detailing the results of the tests within 10 days of the test. 0 All system and procedural documentation will be updated at least once per year, and after each major system or hardware change. 0 The current business continuity plan will be reviewed at least quarterly by the projects Quality Assurance Group with updates delivered to all stakeholders, including agency contacts. SunGard SunGard is the premier provider of information Availability Services. SunGard Availability Services is the unparalleled leader in providing comprehensive, dependable and cost effective information availability solutions. SunGard now offers disaster recovery services throughout the world covering more than 28 computing platforms in over 70 state?of?the?art facilities. SunGard's recovery facilities total more than 3,000,000 square feet and offer state-of-the-art recovery configurations, testing capabilities, network services, internet hosting, high availability/ vaulting options, and extensive work group recovery area. The following is an impressive list of facts about SunGard Disaster Recovery services: ?2005 ACS, Inc. 5.3.1-97 5m 0 Over 12,000 Subscriber Tests per year 0 More than 1,600 disasters successfully supported! 0 More than 8,000 subscribers 0 Average of 35 disaster ?alerts? per month at no cost to subscribers 78 simultaneous recoveries during the World Trade Center disaster Acs and SunGard ACS will use SunGard's Continuous Availability solutions to service the New York disaster recovery requirements. This service offering includes hotsite disaster recovery services using equipment at a SunGard location. On an almost daily basis, we are engaged executing a disaster recovery test at a Serard hotsite someplace in the country. ACS is one of the largest disaster recovery testing organizations in the world, annually conducting over 220 tests at SunGard hotsite facilities for both Commercial and Government clients. This level of disaster recovery testing has taught us many important lessons in planning and executing disaster recovery tests. ACS manages approximately 220 tests per year for our commercial clients at SunGard facilities. Some of the Fortune 50 companies that use ACS for disaster recovery are: American International Group (American General), GE, and Bank of Anrerica. ACS Experiences with Disaster Recovery ACS recognizes the importance of effective business continuity and disaster recovery planning, and has learned from direct experience the complexities of effectively executing a disaster recovery plan. We developed plans for projects of all sizes with a variety of recovery objectives including continuous service to our clients and their customers. Our solution for the New York progranr is defined as a three part disaster recovery and Business Continuity solution consisting of the following components: 0 ACS will establish a Data Vault for the New York system in SunGard?s Philadelphia Mega Center. The Data Vault will have current copies of all production databases if the primary New York system located in Tarrytown, New York is non?operational, either as a result of system maintenance or a disaster situation. 0 We have contracted with SunGard to provide an operational site in the case that the facility is non-operational during a disaster situation. 0 ACS will continue to use reciprocal agreements where walk?in centers recover by redirecting customers and executing business at near?by stores, or agency offices. On June 25, 2005, ACS experienced a major disaster situation that effected the ACS operations of the New Jersey system and the DRBA, DRITBC, and NHDOT system. Vthle AC8 was able to recover the DRBA, DRITBC, and NHDOT system within the stipulated 72 horns, the New Jersey system was not recovered Within that time period. It required an 5.3.1-98 ?2005 ACS, Inc. s. A s. additional 72 houis. The reason for the delay was the difficulties encountered in reconstituting the system to its effective state at the time of the disaster. As a result of these issues, ACS has applied the lessons learned from this situation to the current New York systems, as well as for planning for the future of New York. The lessons learned have been applied in the following ways: 0 Ensure back?ups are completed successfully every day 0 Ensure that all system components are truly redundant On September 11, 2001, when the World Trade Center in New York City was destroyed, the Data Center systems that host the program for the Port Authority of New York and New Jersey (PANYNJ) located in the WTC were destroyed. As the operator of those systems for PANYNJ, ACS was responsible for disaster recovery. ACS mobilized staff to review plans, strategize logistics, secure vendor assistance, dispatch staff, and begin recovery. The recovery strategy was to use redundant Data Center systems and networks in place nearby on Staten Island. Back?up data was to be retrieved from New Jersey. We had proactively negotiated fast?response provisions with equipment vendors that allowed for replacement equipment to be shipped the next day. Once the assessment of the situation was completed, ACS proceeded to implement the disaster recovery plan. We were able to gain access to back-up facilities by evening and rebuilt the systems that had been destroyed in the World Trade Center. Those systems were up-and?running within 48 hours and allowed continuity of operations for the Port Authority of New York and New Jersey (PANYNJ). ACS Experiences with Business Continuity While we have extensive experience designing and executing traditional disaster recovery plans that focus on restoring IT equipment, the discipline of Business Continuity is relatively new. ACS has worked in partnership with the New York Authorities to evaluate and select a vendor who would develop a Business Continuity Program for New York. The New York project staff have been very involved in assisting the vendor and have learned a great deal about Business Continuity Planning. ACS plans to maintain the momentum of this recent project and continue to maintain the Business Continuity Plans recently delivered. ACS recognizes the following as a list of events or situations that could trigger activation of business continuity procedures: 0 Fire 0 Flood 0 Loss of electricity 0 Loss of communications 0 Equipment failure ?2005 ACS, Inc. 5.3.1-99 5m Localized vs. Regional (weather, earthquake) events 0 Terrorist threats 0 Computer virus' 0 Internal threats (current or former employees) 0 Proximity to major metro areas, railways, ?ight paths (as a result of a catastrophic event) The decision to declare a disaster condition resides with a predefined list of key staff referred to as the Incident Management Team" Each role on the Incident Management Team has a primary and an alternate contact. Emergency contact information for all members of the Incident Management team is docunrented in the facility Business Continuity Plan which is stored in multiple locations. It is important to realize that every situation has a unique context and while there are guidelines for declaring a disaster and initiating recovery the decision should not be automatic. It is equally important that the process for gathering decision makers is quick and well-defined. The decision to declare a disaster should be carefully considered. The key components of the existing New York Business Continuity Plan are the Incident Management Team (IMT), and the Executive Management Team (EMT). Each role on each team has a pre?defined lead person and an alternate who would be contacted if a potential disaster recovery situation occurred. If a serious emergency situation has already occurred which has caused injury, loss of life, or damage to premises or equipment, then the Incident Management Team (IMT) will be mobilized immediately. The IMF needs to perform a damage assessment. The MT Leader will determine if it is necessary to contact the Executive Management Team and the Authority contacts to propose that the Leader declare a disaster. Criteria for determining whether a potential disaster situation exists could include the following: Is there an actual or potential threat to human safety? 0 Is there an actual or potential serious threat to the facility or equipment? 0 Is there likely to be a need to collaborate with public authorities or the emergency services? 0 Will the current situation likely result in time sensitive business operations being impacted? How long does the assessment teanr think that business operations will be impacted? If the answers to any of the above questions are positive and the anticipated time is greater than the time sensitive Recovery Time Objectives (RTOs) then the IMT may be required to activate the Business Continuity Plan and notify the work area recovery vendor, the Executive Management Team, lead Agency contacts and Business Partners. 5.3.1-100 ?2005 ACS, Inc. s. General Recovery Approach The disaster recovery plan that AC5 will provide for the program will allow customer service operations to continue as stipulated in the following table as specified in the RFP. AC8 reads the requirement as a ?not to exceed? and will make every effort, should the need arise, to recover in less then the maximum RTO specified. The following table, as defined in the RFP, stipulates the recovery time objective requirement for each system function. We have added a summary of the recovery approach for each operation. FUNCTION RECOVERY TIME ACS OBJECTIVE RECOVERY APPROACH Operations System, including but limited to: 72 hours Data will be restored onto . Tag file transmission redundant systems housed In a geographically separate Data 0 Transaction processing Center. The redundant system . Web Servers provides the capability to switchover within a minimal time 0 CSR access to all screens and window functions 0 Remote access by Authorities to all screens and functions 0 Statement production Call center 72 hours The Call Center will be restored at a SunGard ?workplace recovery" location Payment processing 72 hours Payment processing will be restored at the SunGard workplace recovery location Carlstadt, NJ) Phone-based transactions 72 hours Phone based transactions will be restored on replacement equipment Walk-in centers 72 hours Walk-in traf?c will be redirected to the nearest store, or Authority of?ce Tag distribution 5 business days Tag distribution will be restored at the SunGard workplace recovery location Tag swap 5 business days Tag swap will be restored at the SunGard workplace recovery location Correspondence 5 business days If a system problem repaired or replaced hardware on site. If a CSC problem, recovered at the nearest available SunGard workplace recovery site Reporting 5 business days lf a system problem repaired or replaced hardware on site. If a CSC problem. recovered at the nearest available SunGard workplace recovery site Carlstadt, NJ) ?2005 ACS, Inc. 5.3.1-101 FUNCTION RECOVERY TIME ACS OBJECTIVE RECOVERY APPROACH Violations Speed and class mismatch processing 5 business days If a system problem - recovered in at the back-up Data Center. If a CSC problem, recovered at the nearest available SunGard workplace recovery site Finance Revenue reconciliation 5 business days The business function would be recovered at the nearest available SunGard Workplace recovery site Carlstadt, NJ) It is the case that as the Recovery Time Objective shortens the cost of the recovery solution rises. The 72-hour recovery time objective specified in the RFP is a reasonable balance between cost, risk, and customer impact. There is resilience built into the ACS solution that would allow the lanes to operate without the back end systems for a period of time. Additionally, revenue to the Authorities would be delayed by an outage, and not permanently lost. The proposed solution for disaster recovery ensm?es that the 72-hour recovery time objective can be comfortably achieved because: 0 The databases and application data is continuously between the prinlary and backup site. The backup databases are production ready. 0 The verification of the production data at the backup site can be executed in parallel with the activities necessary to bring the DR systems online. 0 The backup data replications servers will be switched to handle production activity and will have the base configuration necessary to handle the time critical applications such as tag status file generation. 0 The latest application versions will be maintained at the backup site and tinte? consuming activities such as retrieval of backup tapes from an offsite storage will not be necessary to activate the application servers. ACS Methodology for Developing Plans ACS customers? benefit from an array of disaster recovery services designed to maximize system availability and minimize service disruption in the event that critical components of the infrastructure are rendered inoperable. These services include: Back?up and secm?e offsite storage of data and applications 0 Disaster avoidance based on system and infrastructure redundancy 0 Development, With Authom'ty participation, of a customer-specific disaster recovery plans 5.3.1-102 ?2005 ACS, Inc. A s. 0 Annual updates of DR plans 0 Bi-annual testing of the DR plan We understand the overall mission of designing and implementing a comprehensive Business Continuity Plan and have an existing methodology in place for managing such a program. ACS appreciates the specific technical and procedural challenges with executing Data Center disaster recovery tests at the redundant site location in Philadelphia in order to insure disaster recovery readiness, as well as disaster recovery tests using the SimGard Workplace Recovery site in Carlstadt, The ACS Team is committed to supporting New York in its mission to provide a reliable, repeatable, and quick response to a serious disaster scenario. Each component in our methodology represents a Vital piece of our holistic approach to providing disaster recovery and business continuity to our customers. In addition, our proven best practices for infrastructure and platform design, business continuity, security management, system maintenance, and application operations ensure that ACS clients receive comprehensive and reliable solutionsits proven methodology for managing disaster recovery projects. ACS has a dedicated team of professionals who specialize in what we call Continuous Availability Services (CAS). CAS is an ACS group specifically formed to manage disaster recoveiy operations for ACS. This team manages and executes more disaster recovery tests using SunGard facilities than any other SunGard customer, and is engaged when a disaster occms to manage the disaster recovery. The templates we use to manage approximately 220 tests annually will be made available to New York and will be the basis for the documents and procedures we will suggest to the New York when building Exercise Plans, and reporting on Exercise Results. An overview of the ACS methodology for Business Continuity Planning consists of a planning and analysis phase (Steps 1?3 in the graphic), a plan development phase (Steps and an ongoing maintenance phase (Steps 5?6 in a cycle of continuous improvement). This process has been modified to compliment the work done with KPMG to develop the current New York Business Continuity Plan which is now completed. The existing Business Continuity plans will be only minimally affected by the move of the to a new location, and given the use of a redundant production system, with data being copied to a geographically separate back-up Data Center, the systems will be even more ?disaster- proof.? Our methodology includes staff awareness and training, a four step Implementation and Testing methodology, as well as an audit and readiness assessment component as part of ?Plan Maintenance.? Our normal processes and procedures comply with the New York requirements that specify planning, training, and testing services. Exhibit 5.3.1-25 provides a high level diagram of the ACS methodology. ?2005 ACS, Inc. 5.3.1-103 ACS Disaster Recovery Methodology A Ml. Planning Analysis 1 .Flisk Analysis 2. Business Impact Analysis 3.Continuity Strategies 4.Select Continuity Strategies 5. Write Business Continuity Plan 6. Staff Awareness Training 7. Implement Test Develop Exercise Plan 8. Audit Compliance Readiness Execute Document Track Issues PblishE c' rtCad . xerlse epo If I Exhibit 5. 3.1-25. Disaster Recovery methodology ensures that plans are updated regularly and tested so that risk is mitigated" A Planning and Preparation Planning and Preparation activities continue throughout the life of the contract. ACS believes in a cycle of continuous improvement as shown in our business continuity planning methodology. There is a continuous cycle of working with the Business Continuity plan that includes: Conducting Staff Awareness and Training Activities, Testing the Plan, Auditing Compliance with the Plan, and finally, Updating the Plan, based upon observations and lessons learned. 5.3.1-104 @2005 ACS, Inc. A Plan updates include appropriate updates to the hotsite Inventory based upon changes in the con?guration Exhibit 5.3.1-26 provides a diagram of the planning and preparation steps. Planning and Preparation of the Business Continuity Plan 7. Implement Test Develop Exercise Plan Execute Document Track Issues Publish Exercise Report Card Exhibit 5.3.1-26. This Planning and Preparation are key ingredients for successful business continuity in the case of disaster.. Testing of Recovery Plans ACS will work with New York to identify specific test objectives, schedule staff to participate in the test, and document test plans and schedules using our Exercise Plan Template. Exhibit 5.3.1-27 provides a diagram of the implementation and testing steps. ACS will continue to maintain training and awareness materials delivered by KPMG as part of the recent Business Continuity Program for New York. The goal of testing is to reduce the amount of time it takes for staff to execute recovery plans through repetition and capturing lessons learned. ACS will work closely with Authority contacts to select reasonable recovery objectives for each specific test. In addition to the hardware recoveries, ACS will ensure the Incident Management and Executive Management teams both rehearse their activities as defined in the current business continuity plans. 5.3.1-105 ?2005 ACS. Inc. A s- Implementation and Testing Steps A 7. Implement Test Develop Exercise Plan Execute Document Track Issues Publish Exercise Report Card Exhibit 5.3.1-27. Testing is a critical element of avoiding risk. 307.NYEZP ACS will also execute the plan, document, and track any issues during the exercise, and provide a written report on the exercise within ten days of the test. Evidence of our success in the area of testing can be found in Exhibit 5.3.1-28. This exhibit is a letter provided by the MFA congratulating ACS for the terri?c job done in the testing of the current New York system. ACS has successfully tested the recovery of New York using SunGard, and had active client participation during that successful event. We welcome client observation and participation in all activities. Exhibit 5.3.1-28 shows a letter received by ACS regarding the disaster recovery testing of the current New York system. 5.3.1-106 @2005 ACS, Inc. A s. Disaster Recovery Testing Reference Letter Memorandum Metropolitan Transportation Authority State of NM Date: September 23. 2003 WA) To: Angelo Ccrbonc. Deputy Chief Financial Officer. Baal?; b? From: Melquisedee (Mike) Prado. Asst. Auditor General. Technology Audit Division. MTA Re: Bridges Tunnels - Environment ACS Tarrytown Data Center Disaster Recovery Drill of July I243. 2003 Audit Project As part of our 2003 Audit Plan, we reviewed the ?rst disaster recovery drill conducted by ACS Computing (ACS) for the New York F. Zpasn Environment. This drill took place at the Sungard Disaster Recovery Facility in Philadelphiaon July 12-13. 2003. The main data facility for New York E-ZPass IS at the ALS Data Center located tnTan'ytown. New York. Under the contract With MTA Bndges Tunnels. the Port Authonty and the NYS 'ihnrway Authority. ACS is required to conduct periodic disaster recovery drills for the Tarrytown Data Center and the data communications network necessary to support the business operations. Accordingly. the objectives of this drill were to restore and test the lioZPass 'farrytown environment (VMS operating environment. the E-ZPass databases, the Vector application. the E-ZPass website) and all communications from the Customer Service Center in Staten island and the development center in Rockville. MD. The scope of our review was to assess the reliability and completeness of this drill. Overall. the drill was successful and the drill objectives were met within 48 hours. Contractual Disaster Recovery Agreement - We reviewed the contractual disaster recovery requirement and arrangements with the backup sitc (Sungard). Accordingly. in preparation for the drill we confimied that ACS had in place a formal recovery team. detailed recovery instructions. and comprehensive test scripts for user testing. We con?rmed that during the drill. the restoration of the software and databases would be done using tape backups stored at the iron Mountain offsite storage facility located in New Jersey. Also. we validated that ACS personnel at Staten island and Rocktille were scheduled to perform user testing for the most critical functionaliltes ofthc applications. as well as data communications. 0 Drill Preparation - We renewed the written recovery mobilization plan. detailed technical restoration procedures and the written user test plan. in summary: The documented mobilization plans and restoration procedures were complete. easy to follow and provided appropriate checkpoints. Restoration procedures were prepared for each technical process: VMS operating system. Windows NT operating system. Oracle database and the Vector Exhibit 5.3.1-28. Disaster Recovery Testing Reference Letter. (Page 1 of 2) @2005 ACS. Inc. 5.3.1-107 Disaster Recovery Testing Reference Letter application Our review of these procedures noted that they were complete. clearly written and contained appropriate operator checkpoints to facilitate early identification of potential problems during the drill. The user test plan identified most of the critical user functions and included appropriate data from all three Authorities. The user test plan consisted of both real transactions to be entered from the customer service center by multiple operators and a separate regression test to ensure that all critical functions were tested offsite. Overall, no exceptions were noted. Drill Performance We observed the performance of the drill at the Sungard Facility. including the regression testing of the Vector application. All platforms. databases and critical applications were restored in considerably less time than expected. In addition. we performed independent regression testing on the restored website. Overall, no exceptions were noted. Cl Port-Drill Review - After the drill. we attended a post-(hill disaster recovery meeting on August 6. 2003 and reviewed the issues log and test results provided by AC8 to determine if the drill objectives were met. ACS prepared a well-organized package of the results includinga subjective self-assessment of each aspect of the drill. a complete issues log. a completed schedule showing estimated and actual times. reconciliation of reports and before and a?er screen shots evidencing file updates. Management requested that the next Disaster Recovery drill for E-ZPass include testing of the re-bill function. Our review was conducted in accordance with the Standards of the Institute of Internal Auditors (llA). These Standards encompass such matters as the independence of MTA Audit Services. objectivity. pro?ciency of staff, the professional care that they should exercise. the scope and performance of work activities and the management of the internal auditing function. Our review included examining on a test basis. evidmee-sumiorting transactions in the operating records and applying other procedures, as we considered necessary under the circumstances. it also included assessing the judgments and decisions made by management. We believe that our review provides a reasonable basis for our conclusions and overall opinion. Jerrold Truh. Director. performed this review. We appreemte the support provided by Badges Tunnels and '8 Management during the course of our review. If you have any questions or need additional information. please contact me at (640) 2524203. or Jerrold Truh ?(646) 252-1236. c: P. Spinelli. Auditor General. MTA D. Morctli. Chief Financial Officer. W. ?ibn?. Chief Technology Officer. R. Oliveri. Assistant Auditor General. MTA Audit Division, MTA J. Klapper, Director, I-Z-Zi?ass Customer Service Center. R. Seheirtman. l-l-Zl?ass Manager. Account Administration and Tech. Coordination. 8&1' J. John. Director. Audit Division. MT A J. Trub. Director, Technology Audit Division. MTA File - Exhibit 5.3.1-28. Disaster Recovery Testing Reference Letter. (Page 2 of 2) 5.3.1-108 ?2005 ACS, Inc. s. Redundancy Designed into Systems ACS hardware configurations are designed with business continuity in mind. Each platform has built-in redundancy with power supplies and RAID technology for the SAN environment. This design philosophy is intended to reduce the probability of having to execute disaster recovery. Our Tarrytown, New York Data Center, where the Vector hardware platforms are located, provides a fully fault?tolerant infrastructure with the following features: All routers, switches, and firewalls are redundant. Fail over of any device is immediate and notification of said event is logged and distributed. Load balancers are used to distribute traffic for one Web site among many Web servers. This prevents a web server from being over used serving Web pages and allows transparent fail over if one Web server were to stop working. Internet access through two separate communication carriers provides redundancy in case one carrier has a network outage. All hardware platforms are configured with redundant processors, power supplies and mirrored RAID drives. The RAID drives provide for a higher level of redundancy because RAID entails the instillation of several disk drives into a single housing. Effectively, the data that would typically be written to a single disk drive would be written to two and thus if one fails, there is back-up. To ensure orderly shutdown of systems in the event of a power failure, ACS installs UPS (Uninterrupted Power Supply) units in the Data Center. Systems installed in Staten Island, including the phone system, will be configured with redundant power supplies. The entire LAN equipment room is designed to run on Uninterruptible Power Supply (UPS) power with a battery back-up. The battery time will be extended beyond the typical 30 minutes, ensuring higher levels of availability. In the event of a catastrophic event at the Tarrytown Data Center that would preclude further computer processing for New York for at least an interim period, the SrmGard Recovery Services will be initiated and the SunGard Philadelphia Mega Center would become the primary system site. Given the fact that data is being fully replicated in the dedicated Data Vault housed in the SunGard?s facilities, the recovery process Tarrytown back-up generator. and operational restart will be completed well within the 72-hour RFP requirement. All efforts will converge to produce a working replacement electronic toll collection system within a very short timeframe. After sufficient inspection and testing, the computing ?2005 ACS, Inc. 5.3.1-109 5m enviromnent will be made available to project staff for resumption of services. The initial focus will be on recovery of the most critical processes, such as tag status file creation and transaction posting, followed by the restoration of other critical processes. The recovery teams understand that processes need to be covered in order of their importance to the business needs of New York. Back-up Recovery and Media Management All hardware systems are equipped with appropriate devices to create tape back-up sets. Data Center staff design appropriate back-up schemes and tape rotation cycles to meet both industry standard best practices and specific client requirements. Batch jobs are scripted to create the required tape back-up sets for each system in an automated fashion. These batch jobs are scheduled and monitored for successful completion by Production Control staff in the Tarrytown Data Center. All production application and database files are routinely backed up. ACS standard back-up procedures consist of a full back-up of the system once a week, and a daily incremental back-up on all other days. The Data Center maintains a contract with the well?known Iron Mountain Company for vaulting tapes off?site as required to support restoration and disaster recovery requirements. Services under this contract include daily pick?up of tapes from the Data Center and regular return of tapes vaulted off?site upon expiration. Should the need to restore operations at an alternate location arise, Iron Mountain guarantees delivery of all requested tapes to the off? site location as quickly as conditions allow. The Data Center employs modern, state-of-the-art tape back-up hardware capable of backing up very large amounts of data in relatively short time periods. ACS has invested in the latest technology such as tape silos and robotics in order to automate this process and reduce the chances of human error. The integrity of back-up tape sets is tested on at least a quarterly basis as part of the ACS effort to comply with the Sarbanes-Oxley Act. The tape library at the Tarrytown Data Center, contains in excess of 100,000 tapes, and is maintained in a secure and environmentally controlled area within the Data Center. Only authorized ACS employees have access to the tape storage area and the tape media stored within it. There are two levels of security, including proximity card readers and biometric scanning equipment, necessary for anybody to pass successfully into the Data Center area, and the area is monitored 24-hours a day by onsite staff and remotely viewed security cameras. Media and Data Management is carried out by a collaboration of specialists from the Computer Operations, Network Operations, System Administration and Database Administration staffs, System administrators are responsible for ensuring that agreed-upon service levels are met, for example they might monitor the amount of free space on a particular system. Similarly, database administrators are responsible for ensuring that the required levels of free table space and other database capacities are maintained. Computer Operations is responsible for ensuring that minimum specified levels of blank tapes are available. In addition, Computer Operations is responsible for the full life cycle nranagement of tape media, maintaining a full audit trail for all such tape media, and for 5.3.1-110 @2005 ACS. Inc. s. s. ensuring that tapes designated to be sent off-site are picked up by the vaulting vendor at the appointed time. The minimum standard is to send off-site tapes to the vault on a daily basis. Media retention times are in accordance with established tape rotation cycles and client requirements. For New York, ACS will fully comply with RFP requirements by providing a hotsite for the New York Systems at a geographically separate Data Center located in Philadelphia. This hotsite will house a complete replica of the New York production databases and application data. There are two scenarios in which the backup site becomes the primary system: First, given RFP requirements that require system maintenance to not force the system to a non?operational state, the secondary system will become the primary while system maintenance is performed on the Tarrytown based system. Second, would be a disaster situation impacting the Tarrytown-based system. Hotsite Facilities The ACS solution includes a back-up Data Center which will house a fully redundant system that provides Data Vault services. For the Staten Island CSC, ACS will use the SunGard hotsite services referred to as an ?end user recovery? or ?workplace recovery' location. The will have the use of 195 Telephones and PC workstations located in the SunGard Carlstadt, New Jersey Recovery Center workplace recovery center. ACS is well aware there is more to a CSC then just computers and phones. ACS will structure the workplace recovery contract to ensure there is enough extra space for mail handling and other non-technical business functions to also occur at the recovery site. Any SunGard workplace recovery site is connected to the SunGard Global Network, with LAN bridging. Should any recovery site be unavailable in an actual disaster, SunGard will provide the sanle contracted capabilities at the next nearest location. All SunGard locations have sophisticated LAN networks which are tailored to each client's specific needs. As data is being restored on the primary hosts, a separate team of network engineers will ensure that connectivity within the sites is established. The end?user recovery locations have office space for 195 staff employees, with desks, chairs, PCs, and telephones. They are also equipped with copiers, faxes, printers, PBX, and LAN bridging to connect to the ACS Tarrytown Data Center. For any actual event or disaster occurring at the will have immediate access to the hotsite, and all contracted components. The full operational capability, as described in the RFP, will be available for staff within 72 hours of a declaration of a disaster. This 72?hour window is necessary for SunGard technical staff to stage the specific equipment as well as to stop any ongoing tests. Actual declared disasters always bump subscriber tests. Using our network expertise, any of the SunGard locations can be connected to the ACS Tarrytown Data Center. ?2005 ACS, Inc. 5.3.1-111 Recovery Requirements Should a disaster occru?, the following requirements govern the timing and sequence of activities. ACS understands that these ?recovery time objectives? could change and will work with the Authorities to insure the disaster recovery plans correctly match business needs. REQUIREMENT Within 72 hours of disaster declaration. establish communications to the Call Center Within 72 hours of disaster declaration, establish walk-in centers at specified locations Within 72 hours of disaster declaration. establish the communication and network necessary to support phone based transactions Within 72 hours of disaster declaration, establish local area network environment for 195 PC5, Window Sewers. and networked printers at the hotsite. Within 72 hours of disaster declaration, provide ?rewall and Cisco VPN access to support inbound client and FTP using a secure networking technology. Within 72 hours of disaster declaration, establish the network necessary to complete tag ?le transmission, web services, statement production, and remote access for authorized Authorities Within 5 business days of disaster declaration, establish facilities to enable tag distribution and swap Within 5 business days of disaster declaration. establish an environment to process correspondence and reporting Within 5 business days of disaster declaration. establish facilities to enable violations, speed, and class mismatch processing Within 5 business days of disaster declaration, establish facilities to complete revenue reconciliation (:56 Recovery The first hours of a disaster are critical to ensure that the public is well informed and confident in the services provided by the Preparations for the Disaster Recovery Plan test entail many teleconmrunications elements. Recordings both on the VRU at the and also at the telecommunications providers switch will provide for a professional and immediate responds to any disaster. Within one hour, a telephone recorded message will inform callers that there is a reduced level of service; customers will also learn that the service is experiencing difficulties that will soon be corrected. Likewise, a recording will be programmed to be activated during fire drills and other short?term service disruptions letting customer know that the service interruption is a temporary inconvenience. Due to the unpredictable nature of disasters, AC8 will program an additional message at the time of the incident that relays the anticipated time for customers to resunre calling the must be included in this emergency recording. As specified, in the event of the need to recover operations at an alternative site from the ACS has contracted with SunGard to provide a workplace recovery site. The is covered by a SrmGard ?l/Vorkplace Recovery' contract. A SrmGard workplace recovery contract provides employees with a PC workstation, phone, desk, and access to standard office equipment such as copiers and fax machines. 5.3.1-112 @2005 ACS, Inc. s. As described throughout this proposal, the server environment is housed in oru? Staten Island CSC with the computing environment hosted at our Tarrytown, Data Center. The plan for recovering New York processing capabilities is described below. In the event of a disaster involving the the Incident Manager or designated representative would inform the Continuing Availability Services (CAS) in Dallas, Texas of the intent to declare a disaster. CA8 is an ACS group specifically formed to manage disaster recovery operations for ACS, and is a corporate resource available to all ACS programs to supplement existing staff. Our CAS take direction from the New York Incident Management and Executive Management teams. The CAS would investigate the situation and, if necessary, alert SunGard of our need for workplace recovery services rmder the ACS contract. Exhibit 5.3.1-29 provides a flow chart of the process followed when a disaster occurs. Once a decision has been made to implement the Business Continuity Plan, the Data Center disaster recovery team would also be placed on notice and appropriate technical personnel would be dispatched to the SunGard workplace recovery facility. These staff members would begin work immediately, along with appropriate SunGard technical staff, to re-route telecomnumications connectivity from the SunGard workplace recovery facility to the Tarrytown Data Center. Assignment of IP addresses to equipment and configuration of routers, hubs, and switches as required would be carried out. The CSC disaster recovery team would assemble, assess the impact to operations, and estimate the minimum duration of the disruption. The results of the impact assessment would be reviewed against the list of critical and high priority processes. Additional equipment, materials, supplies, and personnel not ah?eady at the alternate workplace site would be acquired. Efforts would be coordinated to produce a working replacement CSC capability for critical and high priority processes within the shortest possible tiinefranle. After sufficient inspection and testing, this capability will be made available to project staff for resunrption of services. As the time when the replacement capability draws near, additional operations staff will be dispatched to the designated disaster recovery site to enable processing to resume. The initial focus will be on recovery of the most critical processes. Other, less critical processes will be recovered over a somewhat longer period of time. The disaster recovery plan will ensure recovery of system operations and services in the event of a major facility or simple equipment trunk line failure. The plan prepares ACS employees to react to a wide variety of scenarios. To ensure plan flexibility, the plan is not designed as a list of specific steps to take in reaction to specific scenarios. Rather it is a tool which our nranagement and staff will utilize in order to expedite a recovery of services as efficiently and effectively as possible to maximize the level of service to New York customers. ?2005 ACS, Inc. 5.3.1-113 The plan provides for ways to contact all employees. It is assumed that a disaster can occur at anytime, day or night. It can occur on weekdays or weekend, federal holidays, anytime. Business Continuity Plan Overall Flow Notify Primary Contacts and Incident Management Team Emergency Services Assess Impact of Minor?> Make Repairs Emergency A Major Mobilize Executive Management Team Notify Personnel Families Handle Media Decision to Declare Disaster Nc Deploy Business Recovery Team and Recovery Activities Exhibit 5.3.1-29. This exhibit provides a ?ow chart depicting the process ?ow followed during a disaster. 5.3.1-114 ?2005 ACS, Inc. s. For that reason, alternative ways to contact employees are necessary. Additionally, redundancy in the management team is necessary due to vacations and other such contingencies. In the AC Disaster Recovery Plan, everyone is replaceable and personnel redundancy is a key mantra. The personnel that are employed at the call center are knowledgeable about the program?s processes and procedures. For this reason, in case of a site disaster the employees cannot be easily replaced by quickly-trained replacements at a remote call center site. For this reason, ACS aims to provide a nearby back-up facility for the employees. SunGard's nearby Carlstadt, New Jersey center will allow the quick recovery of customer service operations. Alternatively, in the event that circumstances prevent this, ACS plans to develop process ?ow docunrentation and a knowledgebase of solutions that will provide for training of new Call Center CSRs if deemed necessary. ACS has developed and tested disaster recovery plans in conjunction with hotsite and availability services provider SunGard. This hotsite scenario will provide for a very quick resumption of services provided to New York customers. ACS also partners with staffing agencies that provide employees at a number of locations. This is critical as it is experience that not all employees wish to continue their employment at a customer care center if it requires a commute to a new location. Our temporary contracts will provide us with employees to meet and many times exceed the service level requirements put forth in the RFP. Data Center Disaster Recovery Overview The Data Center maintains an effective disaster recovery plan designed to be activated in the event of a catastrophic event at the Data Center. This plan covers all systems housed at the Data Center and is organized by operating system platform. For example, there are separate sections of the Disaster Recovery Plan for NT, and Mainframe systems. Additionally, there is a separate section for Wide area Data Communications (WAN) technologies. Specialists from each discipline are responsible for updating the technical details of their sections of the master plan Whenever changes are implemented. Best practices warrant that to the extent possible, risks are identified and mitigated. The Data Center has excellent fire protection and air conditioning systems. In addition, most aspects of the physical environment are monitored in an automated fashion, problems are immediately noted and alerts sent to the computer operations staff on duty. By monitoring environmental factors proactively the risk of a negative impact to the Data Center, even in a severe event, is reduced. Since the New York solution Will be using a Data Vault configuration located at a geographically separate Data Center, the New York project?s reliance on the Tarrytown Data Center is greatly reduced. Once a decision is made to run the project using the back?up hardware, technical staff will execute the steps of redirecting network traffic from the CSC, walk?in centers, and agency offices to the back?up Data Center and will bring the full complement of servers online in rapid order. ?2005 ACS, Inc. 5.3.1-115 The same methodology for decision making shown in Exhibit 5.3.1-29 would be followed. Technical aspects of existing continuity and recovery plans would be modified to re?ect the use of the back?up system. Once the primary system is recovered, the process would be reversed to re-establish the Tarrytown Data Center host as the primary and network traffic would be redirected to the normal state. Walk-In Center Disaster Recovery Overview Documented evacuation procedures exist for every location that include a specific gathering location for all staff a safe distance from the walk-in center. Evacuation procedures also include securing cash and supervisory offices to the extent staff safety is not impacted. Once staff have evacuated, the Incident Management team is convened, which includes Program leadership. An assessment is made of the local situation and a decision is made whether to redirect customers and key staff to an alternate location. Web sites and phone systems would be updated to notify the public if a location is to be temporarily closed and signage would be placed at the affected location. There are no systems located in the walk?in centers that can not be easily replaced as the key data is stored on systems located at the Data Center(s) which could be accessed by any Vector PC with proper network access and appropriate user ID and passwords. Alternate locations for each walk-in center are predefined and would be clearly documented in the business continuity plans. 5.3.1 .9 Succession Plan RFP Proposer Instructions: Proposers shall submit a proposal assuming that the Authorities will have the immediate and automatic right to assume or use the Contractors assets and any other elements required for uninterrupted CSC functions assignment of leases on facilities, Contractor-developed operating software and programs, etc) in the event that the agreement is not renewed or is terminated for' convenience, or that the Contractor is declared in breach of contract. The Proposer's Technical Response shall describe how the Contractor's data processing operations would continue under the Authorities' control; how all aspects of customer service, including walk-in customer service centers would be assumed by the Authorities or the Contractor's designated successor; and how account data would he turned over to the Authorities or the Contractor's designated successor. Proposers are advised that the incumbent contractor's succession plan is included as Appendix of this RFP. ACS recognizes the importance of uninterrupted service in the event that operations are turned over to another vendor or to the Authorities at the end of the contract. ACS will cooperate with appropriate parties during all transitions to ensure that all the Authorities needs are met. We understand that the customer still expects responsive service and that the Authorities cannot permit an interruption of revenue flow. We realize the necessity of maintaining CSC operations and high levels of customer satisfaction during transition to a successor. ACS has experience in-depth transition experience. Our objective, whether acquiring or succeeding, is always to accomplish the transition in a seamless manner to ensure continuing service. We believe in regarding any successor organization in the same manner we expect when we are the successor organization. We understand first?hand through our experience in succeeding the New 5.3.1-116 ?2005 ACS. Inc. A s. Jersey that full cooperation and disclosm?e are key to an on time, on budget succession. We will provide a Succession Plan Within one year of the start of Phase 3 as detailed in the RFP. The plan Will include: 0 Transfer of customer account data 0 Transfer of assets, including equipment, inventories of tags and other materials and supplies 0 Transfer of system hardware and software 0 Identification of any contractual agreements which are asqunable by the Authorities, including but not limited to leases, maintenance agreements and subcontracts 0 Staffing and training required to actually accomplish the succession Our preliminary Succession Plan is described in the table below. SUCCESSION PLAN PRINCIPLES Requirement Preliminary Plan Transfer of customer account data We will work with the designated successor and the Authorities to assess the most ef?cient mechanism for data transfer. Any customer account data retained on ACS systems will be destroyed if requested. Physical documents of customer account data (stored applications) fall under the below category of assets/supplies. Transfer of assets, including equipment, inventory of transponders and other materials and supplies All relevant equipment and items will be assessed and inventoried before transition. Transfer of transponders. for example, includes the transfer of the physical units themselves as well as our count of which tags and how many, and the signing of the party receiving the tags that our count is accurate. A schedule for transfer of assets will be mutually agreed-upon but will take place as close as possible to the new contract start date. ensuring uninterrupted service. Transfer of system hardware and software All hardware and software provided at contract start will be returned to the Authorities at the end of the contract, unless otherwise decided by the Authorities and ACS. Identification of any contractual agreements which are assumable by the Authorities, including but not limited to leases and maintenance agreements Such agreements will be identi?ed with ample lead time to ensure that the actual transfer takes place within the appropriate timeframe for a successful operations transition. Leased facilities shared with other entities will not be transferred. Staffing and training required to actually accomplish the succession Staf?ng and training roles will be mutually negotiated among the concerned parties in advance of the succession. All parties will need to contribute appropriate resources. especially the entity to which control is being transferred, to ensure a smooth start-up. Customer communication regarding changes in policy, procedures and forms Customer impact will be minimized by the continuity of policies and procedures as well as use the same forms, phone numbers, etc. whenever possible. For unavoidable changes?for example. if a change in the customer service phone number is required?ample lead time for changeover and a second level of transitioning arranging for the old phone number to be forwarded to the new one) will be pursued. Customers will be noti?ed of changes with ample lead time to accommodate these changes. ?2005 ACS, Inc. 5.3.1-117 5m All hardware and software provided at contract start by the Authorities will be returned to the Authorities at the end of the contract, unless otherwise decided by the Authorities and ACS. To provide the Authorities with streamlined operational efficiencies and economies of scale, we may share ACS owned assets with other entities, thus, those assets would remain with ACS. Data Processing Continuity Our objectives for the transfer of data processing to a successor are as follows: 0 All data processing operations will continue to provide the same levels of service, performance reporting and system security as provided under the current contract 0 Testing is supported to ensure smooth transition 0 The change in responsibility for data processing operations will be conducted so that the customers cannot detect the transfer ACS will manage the transfer of data processing operations to the direct control of the Authorities or a successor. All records, documents, data, systems and program software will be turned over to the successor organization well in advance of the agreed upon transition date. Additionally, ACS will provide instruction to the Authorities and successor technical staff on the Source Code Management scheme, Change Control Methodology, Acceptance Testing Procedm?es and Scheduling and Production Control functions. We believe this would properly prepare a successor to manage the data processing enviromnent. However, as stated above, the Authorities or the successor would need to provide the hardware necessary to run the system. ACS can provide all specs available on hardware pieces necessary to run the system. In addition, our engineers will work closely with the technical staff of the Authorities or the successor to provide needed data on issues such as equipment capacity and network traffic to allow the successor organization to reconfigure the computer facilities and redesign the network. If preferred by the Authorities, ACS is also open to selling certain equipment assets to the Authorities or successor at a negotiated price based upon market value at the time of termination. ACS also wishes to offer to the Authorities that ACS can continue data processing operations for a fee on an interim or long term basis even though all other aspects of support may have ceased. Ultimately, seamless data transfer will be accomplished through a detailed task list to support the needs of the successor. Key tasks will include: 0 Data Processing Operations Center Walk-through 0 Detailed Analysis of Data Processing Operations 0 Data Processing Operations Turnover Plan 5.3.1-118 @2005 ACS. Inc. 5. s. Customer Service Continuity ACS fully understands the importance of customer service support and will take all necessary actions to ensure a smooth transfer to the successor organization. Our activities will be based upon the following objectives: 0 No reduction in the use of CSC by customers during and after the transition 0 The change in responsibility for the CSC is completely invisible to the customer 0 Telephone numbers for the CSC will be retained and made available to the successor organization 0 Customer Service support will continue even though other aspects of the support may have ceased due to selective termination We will continue to fully support, operate, staff and manage all operations as required to support the transition to a successor. In om? detailed succession plan, we will compile the tasks necessary to ensure continuity. Key tasks will include: CSC Walk-through Walk?in Center Walk?throughs 0 Detailed Analysis and Review of Operations with Successor Organization 0 Customer Service Center Inventory ACS will turnover leases or provide lease contact information for any walk?in Centers that are in non-AC8 shared facilities. In addition, any signage or materials supplied by the Authorities, or no longer needed by ACS, will be handed over to the successor organization. Uninterrupted service and superior performance are the goals for our succession approach. Customer Account Data Transfer We fully mlderstand the critical significance of complete, accurate customer account data and will provide all necessary account data and accomlt records to the successor organization. All the activities of ACS in the transfer of customer account data will be designed to meet the following objectives: 0 Preserve the high standards of data integrity that have been developed during execution of the current contract 0 Ensure that customer service is nlaintained without any disruption or lessening of effectiveness 0 Transfer the responsibility for establishment and maintenance of customer account data to the successor ?2005 ACS, Inc. 5.3.1-119 5m ACS is committed to providing all of the customer account data to continue the customer service center operations. We will work with the successor organization to develop file specs for the complete transfer of all data. Any customer account data retained on ACS systems will be destroyed if requested. In addition physical documents of customer account data (sorted applications) will be transferred to the new contractor or destroyed. Finally, we believe that cooperation with the following items is critical in order to nlaxiinize the efficiency of the succession. ACS will provide: 0 Access to documents and personnel familiar with the operations to assist the successor in completely understanding the business rules, daily functions, and service volumes 0 Doqunentation and complete training on reconciliation and financial procedures 0 Final reconciled operations and financial reports 0 Access to a complete inventory of all inheriting assets and program materials, including maintenance supplies and equipment 0 Opportunity to interview and offer employment to staff 5.3.1-120 ?2005 ACS, Inc. s. 5.3.2 Development Tasks well-established release methodology to HIGHLIGHTS manage system changes ensures continuous improvement to operations and smooth . Our proven Software Development implementation. Life Cycle methodology will ensure successful implementation and In a dynamic progranr such as New York, operations of systems that satisfy change is the only constant. The ability of the strategic and business - ob'ectives successful vendor to understand the system development priorities of the Authorities and to Multi-agency priority setting have the necessary experienced personnel on hand to ?"0th an Integrated tackle complex system changes is paramount. Ongoing system changes can include substantial M'x ?f Q?fthe'She'f components-and . productIVIty tools to Improve delivery enhancements such as tag swap and retail tag yc es distribution that allows a planned approach to development as well as complex toll structure changes for which the dates are predetermined and A development team enhanced by the system has to be ready without a hitch. This 1?700 Siebel developers section describes system development Evolutionary development ensures . . . . that ACS continues to incorporate approach that ensure a high?qualrtv operating . . . SM features to meet agency needs. This platform for the next decade of New is notaone?time banking platform York?s success. development exercise . Dedicated technical project team Over the years, ACS, working closely with the Authorities? personnel, has developed a disciplined approach to plan feature additions to the upcoming Vector releases. The use of the build-planner as a development-planning tool has helped ensure a methodical evaluation of priorities and to balance resource use. Cru?rently, ACS plans four releases a year with enhancements for our Vector product for our major clients. All software defects are fixed out of cycle as expediently as possible. We propose to take this proven process forward and deliver outstanding service to the Authorities. We are confident that we can build on the existing process and significantly improve service tlu?ough: 0 Reduction in complexity and adoption of tools that improve productivity?As part of the Vector Roadmap, Vector 4.0 will move from the current development platform to Java 2 Platform Enterprise Edition (IZEE). IZEE defines the standard for developing component-based, multi-tier enterprise applications. Adoption of the JZEE platform ensures that development of key components will now be assisted by advanced tools that significantly enhance programmer and tester productivity. 0 Key transition to commercial-of?the-shelf components?The user interface layer of Vector 4.0 is being enhanced with Siebel?s advanced CRM suite. The integration of the COTS layer, with built-in advanced call center and related online reporting capabilities, ensures rapid development and deployment of changes to Vector online functionality. ?2005 ACS, Inc. 5.3.2-1 AC 0 Data analysis significantly aided by query database ?The introduction of the offline data store that will form the platform for queries and statistical analysis will have a significant beneficial impact on usage of development resources for such tasks. Currently a substantial portion of developers efforts are focused at answering ad?hoc data analysis questions either from the CSC operations management or the Authorities. 0 Further investments in automated testing?The current adoption of Rational Robot to test onljne Vector functionality is being deepened with the drive to test background processes through the same tool. This will free up testing resources and at the same time appreciably improve the quality of the product. 5.3.2.1 Ongoing System Requirements RFP Proposer Instructions: The Proposer shall describe what resources and methods it will use to make changes to the system after cutover. Some development work may be required to meet the requirements of this Statement of Work such as anything required to achieve Initial and Final Operational Acceptance, as defined in Section 2.2.8, and as included in Section 2.3.2.1. Other work may he outside the scope of the current Statement of Work, Section 2.3.2.2 Development Tasks associated with achieving Operational Acceptance and meeting ongoing system requirements shall be included in the unit pricing described in Section 4.2 of this RFP. A dedicated New York Team will be supplemented by over 160 system professional staff at Transportation Technology Center to deliver on ongoing system requirements through a well-proven Software Development Methodology. Ever since NYSTA first went live with ETC in 1993, the systems supporting the Authorities? program have undergone constant evolution to support major progrant enhancements?speed enforcement, time?of?day pricing, token elimination (increased volumes), tag swap, retail tag distribution?to name a few. ACS has supported the Authorities in their energetic drive to improve and enhance the progranl. expects that the New York program will continue to be the standard bearer for change in this arena and that the systems that support the program will continue to evolve in the future, much the same way that they have evolved over the past. While it has sometimes been a challenge to meet the ambitious program changes, ACS commits to improving our program delivery mechanisms and resom?ces to meet these commitments. As highlighted in the preceding section, we are building on our proven process and improving om? delivery capabilities in significant ways. Resources Ensuring Availability of Technical Resources For its continued success, a program such as New York should be able to draw on a deep and experienced pool of technical resources. The experience has to be both with the tools and platforms that form the basis of the supporting system and with the unique requirements of the Authorities? progranls. ACS is enhancing our ability to support the Authorities with our talented pool of technical resources. By focusing on labor saving unprovements throughout the various activities of our delivery cycle, the available resources will now be more productive and at the same time be able to ensure that the delivery commitments are met with the highest quality products. 5.3.2-2 ?2005 ACS. Inc. s. Dedicated Team?The New York program will have a dedicated team of systems personnel assigned to it. The team will be led by Satish Kolangara and will comprise of a DBA, an assistant technical project lead, requirements who will perform requirements gathering and verification, development support staff, report and data and QA personnel. While a loose team structure exists to support the current program, with the new proposal, ACS is formalizing and strengthening some of the reporting relationships to ensure more accountability and certainty in delivery. This dedicated attention to the Authorities? system needs will ensure that changes are delivered in time and system support is provided in a highly focused fashion. Exhibit 5.3.2-1 shows the organizational structure of the system delivery and support staff. Software and System Support Organization Project Mana 2? Assistant Project Manager Exhibit 5.3.2-1. A dedicated team will ensure that New York is provided with a commitment to system delivery. Platform Change?The change to the development platform for significant portions of Vector will result in huge productivity gains. Not only will the developers be able to leverage proven components, but also the development tools and supporting infrastructure will enhance the quality of the work products. J2EE developers are more readily available and have more training and professional education avenues than our existing tool, JZEE also is a significantly advanced platform in various areas and has preexisting components for development artifacts that currently have to be coded from scratch. Since J2EE is more of a commodity platform than it also has a whole ecosystem of supporting tools for modeling and design, code pro?ling, automated code reviews and bug detection. The developers will now be able to devote a greater portion of their time to actually implementing the Authorities' business rules than on mundane system functions. System Enhancements?In current release methodology, the most time-consuming system enhancements are the ones that are made to online Vector ?mctionality. The deliberate release methodology related to online changes is necessary because of the time and effort involved in testing the system for regression. With the adoption of Siebel CRM suite as a mechanism to enhance the Vector user interface layer, this type of development now will be . ?2005 ACS, Inc. 5.3.2-3 substantially streamlined. The changes to the user interface layer will in many instances now be a matter of configuration and not one of modification of the underlying code. The impact of this change in approach will profoundly affect our ability to deliver changes more rapidly. Offline Database?The provisioning of an of?ine data store, as required by the Authorities? RFP, will have a major beneficial impact on our ability to use the technical resources effectively. Currently, the online transaction processing database supports a majority of the queries requested by the Authorities or ACS operations staff. The online transaction- processing database is optimized for transaction processing and ad-hoc queries, if performed without significant care, can have a deleterious effect on the system performance. Hence a considerable amount of developer time is spent in fashioning the queues and managing the execution of these queries on the production systems. With the introduction of the of?ine data store and Siebel Analytics to analyze the data, the ad-hoc queries will be mostly the realm of users from the Authorities and CSC operations. This will free up developer resources to focus on other system enhancement tasks. Automated Testing?The adoption of Rational Robot within our development and delivery process helped us to deliver higher quality products to the Authorities over the past few years. Currently the test automation has primarily focused on online functionality with only partial coverage of the batch processes. ACS is investing significantly in improving the test automation in all parts of Vector. This is helping us reduce the time set aside for system verification and thus shortening our delivery cycles. The combination of a dedicated team, advanced tools, modified platform, and additional investments in automation will ensm?e that the Authorities? requirements to make system changes after cutover are met in a timely fashion. Methods Ensuring a High-Quality Product ACS will continue to use our proven System Development Life Cycle (SDLC) methodology in developing quality, secure, and reliable systems for the New York project. As illustrated in Exhibit 5.3.2?2, the methodology followed by ACS in systems development is a proven process. While the facet of the development process most familiar to the Authorities is the build-planner, the underlying processes, which support the deployments of new releases, cover all phases of systems development. A dedicated project team, a large team of core developers, an independent QA group, and thorough change management processes all combine to deliver high quality software. The project management process will be enhanced from by the introduction of an online project management tool. This will ensm?e that there is complete Visibility into issues and that the interested Authority staff members can track progress of the resolution of specific issues online. The online project management tool will also provide additional operational metrics to continuously improve our system delivery. 5.3.2?4 ?2005 ACS. Inc. s. System Development Life Cycle for Ongoing System Requirements I Initiation Phase Operations and Maintenance Phase 0 Vector Version 3.xx (Current Version) Rqulrements Test Phase hase 0 Design 0 CM builds 0 Design Inspection production release 0 uirements Ogelopment 00d? inspection . Sieg?rr::lel:fm . Program Manager 0 Requirements Configuration 0 QA Testing coordinates release Inspections . . Defects identified and . 2:22:22 Masew 9 0 Phase Review Construction 0 QA Certifies Release Deployment Phase 0 Phase Review Phase I 9 Future Vector Versions 275NYEZP Exhibit 5.3.2-2. ACS follows a systematic process for Vector enhancements during the operations and maintenance phase. Changes made to the system during ongoing operations will follow a rigorous change management process. The change management is a documented and audited process that ensures that all software and system changes made to the New York program are reviewed and approved by the appropriate personnel. The change management processes supporting the New York program is part of the regular SAS70 audits of the supporting processes. The process also includes a change control board at our production data centers that acts as independent verifying authority managing promotion of Vector and layered product releases to production. ?2005 ACS, Inc. 5.3.2?5 5.3.2.2 Potential Future Requirements RFP Proposer Instructions: The Proposer shall keep the potential requirements described in this section in mind in planning and developing all systems associated with customer service operations. The Proposer shall indicate what provisions, for flexibility its systems will include that will allow for expansion of operations to incorporate the following potential future requirements. In the case of Expansion to Other Agencies, Section 2.3.2.2.1, the Proposer shall explain how it would expand operations and/or systems to accommodate other agencies and identify impacts on the Authorities' operations. The systems and services described in this proposal are all ?exible and adaptable to handle future expansions in breadth and depth of the scope detailed in the RFP. As a long term partner of the Authorities in their growth with the ETC program, ACS has adapted and grown our systems to meet the ever expanding needs of New York. The sections below describe in greater detail some of the possibilities associated with future requirements. 5.3.2.2.1 Expansion to Other Agencies As the largest provider of ETC processing services in the country, ACS has built a transaction-processing platform that is extremely ?exible in adapting to the growth of a program. In 2001, ACS decided to establish a Transportation Service Center that acts as ETC hosting service for small toll agencies. For authorities that seek a rapid introduction of ETC programs but want to still retain their agency identity and business rules, the Transportation Service Center is an ideal model. The infrastructure is ah?eady in place, the configurable Vector platform can adapt to the needs of the agency, and rapid start-ups from Delaware River Joint Toll Bridge Commission to the recent New Hampshire CSC are examples of this model. The key, enabling factor behind this success is the Vector platform that can accommodate additional agencies, with their own business rules, onto existing implementations with minimal integration effort. A variety of options exist within Vector to add new Agencies to an existing configuration: 0 A completely standalone system with combined operations ?If an authority wants to enjoy the scale advantages of combined operations but want to retain the flexibility of ?owning? their systems (and all related benefits such as separate tag identifier, specific branding in all customer correspondence, etc.) A shared infrastructure but with separate instances of the database and the application running on the same set of servers variation of the above option. This reduces the start-up costs and provides some scale efficiency in ongoing operations. 0 A merged system and operations with distinct identity for the Authority. In the Transportation Service Center currently operated by ACS at Newark, DRBA, DRITBC, and New Hampshire all operate on the same set of servers and databases, but retain complete independence on all processing. As far as the agencies are concerned, they see three separate systems since the data is fully segregated. 0 A merged system and operations where the data from multiple agencies is mingled and the operations are merged as well. Selective business processes retain agency identity (owns their accounts, separate violations, separate business rules etc.). This is 5.3.2?6 ?2005 ACS. Inc. s. s. the model in use for New York. This provides full system and operational scale efficiencies while retaining the identity of the Authority. 0 A complete merger of system and operations DRPA merged operations with the highest degree of efficiency in scale and yet gets full support for financial and revenue processing. 0 Fully leveraging on an existing Authority?s system NYSBA through NYSTA) is the lowest cost option for any agency to enter into processing. The availability of the proven Vector platform and its track record in adding agencies to existing implementations (ACS was the first to facilitate such an agency shared platform with operating through the TBTA service center in 1997) ensures that ACS can easily accommodate the addition of new or E?ZPassSM-compatible agencies into the New York program. The scale advantages of combining the operations of multiple agencies are difficult to achieve through standalone operations. Significant efficiencies of scale may be obtained by merger of existing programs as well. As the CSC provider to a majority of the agencies, ACS can facilitate such mergers that will accrue significant benefits to the Authorities. ACS stands ready to offer this service if called upon to do so. 5.3.2.2.2 Expansion to Plus As described throughout this proposal, ACS has been providing electronic payment systems (EPS) integration and service center solutions for transportation agencies across the country since 1993. We have played a critical role in the development, operation, and success of ACS designed the first version of the reciprocity software required to apportion electronic payments among the participating toll agencies. reciprocity has evolved into an outwardly seamless network of toll authorities providing a single method of payment and our Vector system has been an integral part of this evolution. In fact, Vector is the only service center software compliant with the IAG Facility Operator specification and capable of processing Plus non?toll transactions. As reciprocity requirements expand and new toll authorities join the network, ACS continues to lead the implementation and testing of new software and advise the Authorities on new initiatives. ACS designed and developed the interface specifications and middleware required to link the in-lane processing of Plus parking transactions at JFK International, Newark Liberty International, and LaGuardia airports to the New York CSC. This service was initiated at JFK in December 2002 and became operational at all three airports during 2003. In the spirit of reciprocity, this service was also expanded during 2003 to accommodate customers in both the New York and New Jersey service center programs. Subsequently other Service Centers supported by ACS have added this capability for Plus reciprocity. Plus has been well received by customers, as recent data indicates that over 367,000 parking transactions are processed at these three airports each month via Plus, representing a 38 percent penetration. ?2005 ACS, Inc. 532-? Deployment We also are fully prepared to assist both public and private sector parking operators in deploying Plus through the services described below. 0 Systems integration?AC8 will coordinate with the providers of the resident revenue control systems and guide the development of the system interfaces required to enable AVI antenna and readers to interact with the resident revenue control systems (RC8). We have already accomplished this with some of the leading RC8 suppliers. This interface not only needs to detect the presence of an transponder but also needs to establish transponder validity and help complete the transaction with or without manual intervention. An interface between the resident RCS server and existing AC8 middleware will be required to establish a point of distribution of transaction and account and device validity information between the facility and the appropriate customer service center. 0 Site design and system installation? If required, AC8 technical staff will conduct site visits at an operator's facilities to develop engineering plans for technology installation requirements. ACS technical staff will oversee the installation of the required equipment at the facilities and guide the physical integration of technology with the resident RCS. Municipal and Commercial Off-Street Parking The similarities in collecting tolls and parking fees are many, as are the benefits of using technology to collect these revenues. We believe that municipal and commercial operators of off?street parking facilities offer a greater target market for non?toll opportunities than airport parking operators. To use for parking fee collection at airports and other parking facilities, existing parking revenue control systems have to be integrated with lane technology and with the customer service centers for calculating the parking fees and posting against the customers' accounts. We believe that the parking operators would be willing to bear the costs of deployment, if reasonable. We have developed two different approaches for implementing Plus at off-street parking facilities ??method?of-payment" and One of these two options would be implemented based on operator preference and/ or facility geometry. In both scenarios, the RC8 server will transfer Plus transactions to a data aggregator for eventual transmission to the CSC. The data aggregator serves as a collection, distribution and storage point for data. The capabilities of the data aggregator allow us to provide operators with parking-specific reports to supplement the ETC?based reports already generated by our customer service center. Through this process, parking payment transactions are applied to customer accounts and parking activity would be included in accountholder statements. 5.3.2?8 ?2005 ACS. Inc. 5. s. Parking Operator Recruiting ACS State and Local Solutions (now ACS Government Solutions) was founded in 1982 as a service provider to municipal parking management programs. Throughout our more than 23 years of experience in parking, we have developed an unparalleled network of public sector parking managers and private operators. We are active in IPI and the National Parking Association, as well as state parking associations in the region. We are well positioned to promote the concept of using Plus for parking fee collection and to recruit operators to enroll in such a program. Sports and Entertainment Venue Plus Parking Parking fee collection at sports and entertainment venues is typically cash-based. Collecting cash not only slows throughput into the facility, it presents parking attendants with the temptation to misappropriate funds. Plus parking payment could address both of these problems. Sports and entertainment venues and amusement parks could enhance their operations and customer service by implementing Plus parking. There are many opportunities to be pursued for the application of technology in the non-toll arena?airport parking, commercial and mimicipal parking, sports and entertainment venues, and retail establishments. ACS is the only vendor positioned to provide these services as soon as the Authorities provide the approval. We have developed the necessary system architecture and IAG?compliant software that is necessary to take full advantage of the enormous potential inherent in the vast customer base. 5.3.2.2.3 Other Future Business Opportunities While the future evolution of and related technologies is hard to predict, ACS has several initiatives underway to ensm?e that we are strong partner for the New York Authorities who have consistently been visionaries and leaders in the adoption of technologies that improved the lives of the toll road user. ACS is the owner of a highly capable smart card processing platform called CardTouchTM, a system ACS recently acquired to strengthen our smart card?related service offerings. CardTouchTM, which was designed specifically for smart card processing, is a secure transaction processing platform designed to provide fully automated financial clearinghouse services that supports both purse?based and accormt?based stored value payment schema. The system has audited benchmark results that attest to its high transaction processing capacity and reliability. The CardTouchTM platform was used as the platform for the ORANGES (Orlando Regional Alliance Next Generation Electronic payment System) project in Orlando, Florida. ORANGES was a Federal Transit Administration (FTA) sponsored project to test the use of smart cards for inter?modal payment of tolls, transit, and parking, cardTouchTM was used to perform the clearinghouse function across all agencies and participants. ACS is an active participant in the technology committees of IBTTA and APT A and closely tracks all standards initiatives that may in?uence the future direction of electronic payments ?2005 ACS, Inc. 5.3.2?9 for transportation services. Very few other vendors are so focused on this specific market to be a reliable partner to the Authorities as the electronic payment market continues to evolve. 5.3.2?10 ?2005 ACS, Inc. s. SI 5.3.3 I System Tasks well-established system methodology supports the administration, management and monitoring of the New York system environment to ensure perfommnce. With the growth of the New York customer base, and additional system enhancements, such as tag swap, IAG 1.51 non?toll processing, and retail tag distribution, the required system infrastructure to run the has grown remarkably complex. It is essential that the successful vendor have the capability to understand the management needs of this complex system and have the necessary experienced personnel on hand to tackle the complex system management tasks. This management HIGHLIGHTS . experience providing Data Centers in support of our many government and commercial clients provides a deep knowledge base to support New York?s system management requirements 13 years of experience managing the New York system eliminates complex transitions to new systems and new processes experienced staff has acquired the unique skills required to manage complex multi-agency ETC system and support processing section describes system management reqwrements methodology and processes that will ensure a high performance system platform for the next 13 years of -ZPass$M New York ?s success. Over the years, ACS has developed a disciplined approach to support the complex system management needs of the New York system. From the introduction of new IAG agencies to implementing new software and systems, ACS has worked closely with the Authorities to ensure that the New York system is managed to ensure a high level of performance. As with all complex systems, difficult issues have surfaced that have caused ACS and the authorities to develop joint resolution plans, but we have continued to evolve our system management approach to prevent the reoccm?rence of these issues. We have worked hard at developing a high level of transparency with the Authorities to insure that issues are discussed openly and a successful resolution acceptable to the Authorities and ACS is achieved. By building on our existing system management experience, ACS will continue to insure that the New York system enviromnent, including system hardware, peripherals, applications, security, and conununication provides the high quality of performance expected by New York customers as the system grows and evolves to provide additional features and functions. Through the past 13 years of running the we have learned about the NY?specific aspects of this program. This knowledge is invaluable in managing the system. For exanlple, we understand the sensitivities to data security and privacy, so we know when not to provide customer data to inquiries, and we know when to go the extra mile to help the Authorities accommodate a subpoena for an investigation. As another example, we understand that Internet activity peaks between 10:00 a.m. and 12:00 noon, so system workload should be balanced appropriately. We imderstand in depth the various timetables for each Authority?s individual processing, so our batch production jobs are timed to meet @2005 ACS 5.3.3-1 each Authority different deliverables for such things as new tag validation files, pick of violations images, and transaction ?les. 5.3.3.1 System Administration RFP Proposer Instructions: Proposers shall describe how they will perform each of the system administration tasks described in this section. ACS currently has seven world-class data centers with Enterprise Conunand Centers (ECCs) in the United States and one in Bangalore, India. These facilities offer 24 hours a day, seven days a week access to skilled operations help desk teams, and systems programmers who work together to deliver practices and procedures established to support and monitor our clients processing environment. These teams work with technical support teams to deliver a level of experience, competency, and service that meets or exceeds our clients processing requirements. Our processing centers represent sole operations support for hundreds of clients, on UN, 2/ OS, 08/390, VM, UNIX, VMS, Linux, NT and various other architectures. ACS data centers are protected with strict physical and logical security controls and are environmentally protected by sophisticated control systems. BS 15000 Certi?cation BS 15000 is the first worldwide standard specifically aimed at IT Service Management. It describes an integrated set of management processes for the effective delivery of services to ACS clients. The ACS Hillsboro data center received an accreditation imder the BS 15000 Certification Scheme on March 10, 2005 by the KPMG Audit plc. ACS is the first company in the United States to achieve this certification. ACS has committed to have all ACS data centers receive BS 15000 certification by mid-2006. BS 15000 is aligned with and complementary to the process approach defined within the IT Infrastructure Library (ITIL) from The Office of Government Commerce (OGC). BS 15000 consists of two parts: BS 15000?1, which is the formal specification and defines the requirements for an organization to deliver managed services of an acceptable quality for its customers. The scope of BS 15000-1 includes: 0 Requirements for a management system 0 Planning and implementing service management 0 Planning and implementing new or changed services 0 Service delivery processes 0 Relationship processes 0 Resolution processes 0 Control processes 0 RBICBSC 5.3.3?2 ?2005 ACS A s. ACS Data Centers For New York, our Tarrytown, New York data center will provide primary support for the New York system environment, and SunGard?s Philadelphia, disaster recovery center will be the location of the redundant site. As required, other ACS data center resources can be utilized to provide additional levels of support. Listed below are specific details for the Tarrytown location, as well as summary information for other ACS data centers in the United States. Tarrytown, New York Our Tarrytown facility is 69,000 square and is an ACS Government Solutions data center that supports 200 . . contracts and 585 offices in the United States, Canada, and abroad?Ulm' unlimhw Tarrvtown hosts mainframe and nudrange servers that i - . We! include AS 400$, Alpha, Sun, NT, Novell, Linux, and BSD UNIX machines. 21 I Voice systenls include Host Siemens digital, Isotec and Avaya S8700 IP telephony, automated call distribution (ACD), interactive voice response (IVR) systems, IEX Call Center Scheduling software, and call center Call Management Software (CMS) solutions on either a shared basis or a dedicated basis. Comnumication systems consist of multiple fiber-optic cables from Verizon, ConEd Communications (CBC) and MCI, and 2,000 copper connects from Verizon. The predominant carrier is Frame Relay, with additional circuits provided by MCI, Quest, ConEd, Lightpath and Verizon. Supported protocols include Async, Bisync, Start?Stop, SDLC PU-2, SDLC PU-4, IP, IPX, DecNet, and Connectivity also is provided to special?purpose networks such as Wireless, IBM Information Network, AAMVN ET, and Hughes VSAT connectivity. A 13Mb/ sec connection to the Internet is hosted by ISPs such as WorldCom/ UUNET, and InterNap. BGP and EIGRP routing exists in a two-layer redundant firewall infrastructure using dual Nokia IP with firewalls run by CheckPoint software. Dual Sun 220R servers run Gatmtlet firewall software. A Cisco Intrusion Detection System (IDS) provides detection of and protection against imauthorized entry and Denial-of-Service attacks. Physical security includes an onsite 24 hours a day, seven days a week security force, with CCTV and Schlage Proximity access control systems for the building. The center has a second level of access control via Bio-Matrix handprint and PIN code readers at the entrance to the data center ?oor. More restricted readers as a second-level authentication are at the computer and NOC room doors. An onsite security force patrols the campus and each building, clocking in at watch stations throughout the facility. ?2005 ACS 5.3.3-3 Tariytown Data Center Statistics: Average MIPS 325 DASD Terabytes 40 Total Square Feet 69,000 Tape Drives 127 Robotic Tape Silos 8 Onsite Tape Storage 60,000 Daily Tape mounts 1,500 - Offsite Tape Storage 5,000 Number of Midrange and Wintel Servers ?444 Network Circuits 386 Manageable Hubs 50 - Routers 40 LAN Segments 60 The Tarrytown data center received SAS 70 certification from an external auditing company in February of 2005. A SAS 70 certification is widely recognized because it represents that a service organization has been through an in-depth audit of their control activities, which include controls over information technology and related processes. In addition, ACS engaged PricewaterhouseCoopers to audit the Tarrytown Data Center to ensure that our financial systems meet the requirements of Section 404 of the Sarbanes?Oxley Act of 2002. ACS will to conduct ongoing steady state testing to ensure continuous compliance with Sarbanes-Oxley. Pittsburgh, The Pittsburgh facility has 133,000 square feet of space and provides system and network monitoring, server and network engineering services, and help desk support. The Pittsburgh data center?s mainfranle processing is based on CMOS architecture. The data center contains DASD storage, tape drive, and robotic tape silo devices. The midrange environment contains a variety of NT, HP, TPM, IBM 400, 6000, NCR, Tandem, and DEC platforms. Operating systems supported include Windows NT, 08/ 400, AIX, Solaris, Nonstop Operating System, and VMS. South Carolina The client data center is 62,000 square feet and support platforms that include z/ OS and Linux. Supported devices include Robotics B20, IBM Shark, Amdahl DASD, IBM 3590, and Amdahl Spectris. CPUs onsite include IBM 9672/ RC6, IBM 9672/ R46, IBM 20641C4, and IBM 9672-RA6. Midrange systems include AS400 7,470 Batch CPW and 550 Interactive CPW, RS 6000 and DEC. Charlotte, North Carolina The Charlotte Voice Center of Excellence (VCOE) data center is 47,900 square feet and provides network services to North America and includes gateways to additional locations 5.3.3?4 @2005 ACS A s. s. worldwide. The networks, which consist of terrestrial links, are integrated with voice and data services. The Charlotte data center mainframe environment currently provides processing power using IBM CMOS processors, DASD, tape drives, robotic tape devices (STK silos and IBM ATLs), IBM 3590 Magstar tape technology, and virtual tape system (VTS). More than 210,000 tapes complement this processing enviromnent. Dallas, Texas The Dallas data center, which resides at the corporate headquarters, is a single-tenant, single- access facility comprising 611,000 square feet and is designated as an ACS Enterprise Command Center (ECC). The Dallas ECC monitors distributed and mainframe environments, ensuring that online systems, applications, and database are available and that the data center and systems hardware are problem-free for batch processing. Standard operational procedures are in place for logging, notifying and escalating all incidents that affect processing. The Dallas ECC also provides managed services, including 24 hours a day, seven days a week system and network monitoring, server and network engineering services, help desk support, network operations and engineering, scheduling, disaster recovery, desktop management services, performance reporting, audits, and other services. The ECC also provides Web hosting services on site of existing infrastructures or for remote sites. Eagan, Minnesota The Eagan data center is 330,862 square feet and supports services that include production server hosting, WAN homing and Internet access. Hillsboro, Oregon Hillsboro is BS 15000 accredited client data center supporting development server hosting and WAN and Internet access. The Hillsboro facility has 78,485 square feet of space and contains 396 TB of DASD, 185 tape drives and eight robotic tape silo devices. This facility?s midrange capabilities include Hewlett?Packard (models N, L, K, RP,and Superdomes) and Sun Microsystems models 200, 420, 3500, 6500, and V880). l\/Iidrange operating systems supported include Sun Solaris, 08/400, NT4, and Windows 2000 and 2003. Data Center Administration ACS specializes in delivering consistent and reliable system performance and support. By consolidating our Data Center management across the entire ACS business rmits, best practices and standards are being leveraged to give our clients the best services possible. We have highly qualified support staff located in the local operating environment as well as in our hardware and software support centers that adhere to strict maintenance schedules and meet all required response times. Our support centers have effective maintenance schedules based on the particular size of the databases and the transactional volumes. We will use our experience in maintaining the New York ETC hardware and software systems to ensure the maintenance schedules and routines are thorough and fully support all operations. ?2005 ACS 5.3.3?5 The data center resources will be responsible to provide the following services: 0 Preventive and remedial nlaintenance 0 Manage hardware and third party software vendor support 0 Maintenance logs and reports Through the data center, ACS will provide 24 hours a day, seven days a week help desk support that provides technical and database expertise to the field staff. As part of system administration, ACS will provide services supporting the following: 0 System monitoring and recovery 0 System configuration management 0 System and data security 0 System back-up and archiving Details on each of these topics are covered in the following sections. 5.3.3.2 System Monitoring and Recovery RFP Proposer Instructions: Proposers shall describe in detail how they will monitor the operation of the system and all related communications. Methodologies for'recovery from hardware and software failure shall be described, as well as how the Proposer would work with the Authorities to resolve issues related to dif?culties with transfer of data ?les. ACS has been successful in providing industry ?best of class? services and response to a multitude of organizations. The Tarrytown, New York Data Center and Network Operation Center will provide primary support for the systems and comntunication. As a full- service data center it provides an integrated production environment that provides optimum conditions for systems and applications to be installed, maintained, and operated. ACS will also leverage additional resources at the ACS Transportation Technology Center in Rockville, where experienced Engineering and Software Development personnel are available to assist with any issues. The technical experts hold a firm understanding of each of the separate sub systems within Vector, which will assist in supporting the throughout the life cycle of the progrant. System Monitoring System monitoring is performed on all system components and is provided by the methods and frequencies described in the following table. 5.3.3-6 ?2005 ACS A s. MONITORING NOTIFICATION SYSTEM MONITORING FREQUENCY METHOD METHOD Network resources 24 7 Orion Network Automated Performance Monitor Batch jobs and schedules 24 7 CA Unicenter Autosys Automated availability 24 7 Teletone Automated Web site availability 24 7 Site Scope Automated Data transmission from agencies 24 7 Site Scope Automated to ACS Oracle database 24 7 Oracle Automated Anti-virus activity 24 7 McAfee EPO Automated and VirusScan Vulnerability scans Quarterly Critical Watch Automated In addition, the Tarrytown Data Center conducts a Performance and Capacity Management progrant for all systems that reside in the data center. System administrators and database administrators are responsible for carrying out regular performance reviews of the systems they are responsible for and conduct regular performance monitoring and tuning activities. Inforlnation from the performance monitoring and tuning activities will be used to predict points at which capacity upgrades will be necessary to continue to meet performance and sen/ice level criteria, thus initiating appropriate upgrades or technology refreshes. Tlu?ee such metrics monitored daily are: 0 CPU utilization which is maintained at a level below 75 percent 0 Memory utilization, which is never allowed above 90 percent 0 Disk storage usage, tracked for individual storage types at program specified thresholds If the metrics for these categories fall within the noted metric range, no action is taken. If not within range, a performance analysis will be conducted looking at other elements of operation paging etc., possibly leading to a hardware or software recommendation - depending on the results of the analysis. This occurs swiftly as ACS strives to maintain uptime at greater than or equal to 99 percent depending on client guidelines, scheduled downtime etc., and is derived from reported outages through Remedy reporting and tracking system, with a full report available to the client. DBAs will routinely monitor production databases for free space, fragmentation, and ?2005 ACS 5.3.3-7 other conditions necessary to maximize availability and efficiency. As required, data archiving in accordance with customer?defined requirements Will be carried out to archive or migrate data to alternate media for safe storage. All production processes that run on the hosts are controlled with scheduling and monitoring. Batch production processes are scheduled and controlled by staff in the Tarrytown Production Control group. Complete batch production schedules are developed on a system or application basis in accordance of specific client processing requirements, data availability, resource availability, and the schedule dependencies on other batch processes. The Tarrytown Network Operations Center monitors Web sites and interactive voice response systems for uptime, response time, and security. They also monitor routers and switches for up/ down status and data circuits for up down status and If? congestion. In addition, the Network Operations Center provides regular testing of back?up circuits, circuit utilization. .1 Procedures The ACS Tarrytown Data Center maintains a service desk that provides a 24 hours a day, 7 days a week capability for high quality problem identification, centralized problem logging and tracking, and problem resolution with a focus on excellent customer service. The Service Desk uses the Remedy suite of tools for logging and tracking to resolution any and all encountered problems. Once a problem arrives at the Service Desk every attempt is made to initially resolve the problem prior to conclusion of the initial call. When this happens, both the problem and the resolution are logged into a tracking system, remedy, and the trouble ticket is closed. However, When immediate closure is not possible because additional analysis actions are required or the problem must be escalated to technical staff, the problem is logged in the Remedy system, escalated to the next level of problem resolution and will remain open until resolution has been accomplished. A severity level for the incident is determined based on the impact of an incident on the IT environment and the urgency of resolution. The Service Desk staff maintains a set of escalation procedures and a list of contacts to be called based on length of time problem has been opened or severity of the problem. If a problem cannot be immediately resolved, the severity of the problem is assessed and escalated. Should a problem persist, it will be further escalated as necessary lmtil it is resolved. The Service Desk Manager updates escalation procedures on a basis. Incident management metrics are tracked and reported on using Remedy. Senior Data Center management reviews incidents with high severity on a daily basis. Senior Data Center management reviews all incidents on a basis. A report will be provided to that includes incident metrics. 5.3.3-8 ?2005 ACS A s. 5. 5.3.3.3 System Configuration Management Proposer Instructions: Proposers shall fully describe the formal con?guration management procedures to be put into practice in order to meet the requirements below and in Section 2.4. Best practices such as a formal Configuration Management are common practice at Transportation Technology Center and our Enterprise Data Centers. Such discipline is essential for providing the high quality of service needed in such critical 24 hours a day, seven days a week programs as that of the New York program. professional and dynamic Configuration Management (CM) organization is highly skilled at configuration control and status accounting. The configuration management approach is based on extensive experience with providing CM support for large ETC customers, allowing us to track and monitor progress and changes in all areas of those projects, and has been audited successfully under both Sarbanes?Oxley and SAS70 guidelines. configuration management team identifies and defines system items, organizes versions, manages changes, builds releases, records and reports the status of items, validates that system configuration items are accurate and complete. The Rockville Transportation Technology Center (TTC) supports configuration management through release planning, configuration control, and status accounting. The TTC follows a software development life cycle that includes the following phases: 0 Requirements 0 Construction 0 Test 0 Deployment During the requirements phase Vector change requests, new development, enhancements, and software fixes) are elicited from the Authorities. Upon obtaining requirements, a scope verification and technical feasibility and solution meeting is conducted by the TTC and the operations through Deliver Integration Meetings (DIM) meetings. Once scope is verified/ approved by Authorities, a Development Request (DR) is created in a configuration management tool, Razor. DRs are tracked through the entire software development life cycle (SDLC) by the TTC project teanl. In addition, Razor is configured to ensure up-to-date permissions for the various functional organizations to advance a DR through the software development life cycle called ?states' in Razor. Exhibit 5.3.3-1 maps the DR life cycle to TTC's SDLC. ?2005 ACS 5.3.3-9 DRs created in Razor are labeled for a specific release that has been agreed upon and approved by the Authorities. At this point development efforts can begin which moves a DR into the construction phase. Once development is complete, turnover to CM by development includes review and test results. Testing is completed for all changes that affect the Vector production software application. Test results are noted on the Change Request form, and documented in the Razor system with either the actual results attached or a link as to where the results are stored. After TTC QA certifies test complete, TTC, CM builds an implementation release, and delivers it to ACS Tarrytown Data Center Change Control group. TTC follows the change control policy documented below, and provides a change control request for every release that includes release notes and test results. Exhibit 5.3.3?2 shows a standard change request. 5.3.3-10 ?2005 ACS A s. A s. Development Request (DR) Lifecycle Submitted Open or No Action Project - Prioritize DR Manager I . Prowde I I GO I I Review I Move DR to Close I RequIrements I I I I State Submit DR I I I I Submitted State State in I I Go I Software I A2 I ins Development I Open beg Relexe Plannily Negotiation: I I I Pass rated and I I Applied to Configuration I I Resolve Issues with I VDR M23310 I I $325213: DR Management I I I I FIxReady and Release field I I Completed State I I I I Is populsted Quality I I I I I 0A Testhg moves I Assurance I I I I DR toTested State Fall Integration Submit Release I Customer I I I I Notes to Customer Exhibit 5.3.3-1. The Development Request Iifecycle as de?ned by TTDC System Development Lifecyle. MANYED @2005 ACS 5.3.3?1 1 Page left intentionally blank. 5.3.3-12 @2005 ACS A Change Request Form ACS SLS Change Request - ETC A 4869 Submitter Siohnson Requestor jlutz Expedite Yes Emergency N0 CR Type Dynamic Category Appliwtion LOB TSS Priority Low Status Technical Approval Asset pm; Start 8/10/05 10:00 am End 8/10/05 10:15 am Sub LOB TSS-ETC NY lmplementors Level 1 Support and Change Control Group Rockville Change Control Break Fix No Description New York Vector Release 2.16.84 for NYEPS1 Expedite Reason NYSTA has not received their image reject ?les since July 5th. These ?les are sent to the client daily and is affecting their ability to lessen the nurrber of rejects Change Control Turnover the following ?le from :1vector$stage_dir to vector$exe_dir: Instructions Production Control Instructions Level1 Level 1 to perform unzip, distribute_apps. install_apps on NYEPS1 for the following application: Instructions DBA Instructions VMS Instructions Other Instructions Backout Procedure Re?distribute and install prior version of Forte applcation, Delete latest version of executable EXE to rollback one prior VMS version. NYEP31 08:16 26.46 Impact Little or No Risk Reason for Change NYSTA has not received their image reject ?les since July 5th. These ?les are sent to the client daily and is affecting their ability to lessen the number of rejects. There are vehicle present in t_vehicle table which are duplicate and assigned to one account. Notice generation needs to be ?xed to select the latest one. Requirements See attached document v2.16.84.doc Tested By Rajesh Kurnar Developed By Rockville Development Test Plan See attached docunent v2.16.84.doc Test Results Test Results attacched and Verify Development to perform controlled runs; review output of Scheduler Job 172 Comments 08/09l05 17:42 54 - jlutz: Testing Veri?ed jlutz - 8/9/2005 5:45:11 PM Ops Procedure See ETC Tab for Level 1 and Change Control Instructions Outage N0 Asset List Forte Bounce N0 Technical Group Manager ilutz Electronically Approved Yes CAB approved No CRM or Program Manager mhitchcock Electronically approved N0 Submitted 08/09/05 17:18:40 Site Manager Electronically approved No HD Ticket Exhibit 5.3.3-2. Standard change request form for submittai to the Change Advisory Board. 5. ?2005 ACS, Inc. 5.3.3-13 5m Release notes are created for all Vector changes, regardless of the initiating event. They are distributed to the Change Advisory Board (CAB) with each and every change request. See Exhibit 5.3.3?3 for an exanlple of a current release note, however, AC8 understands that in order to meet the RFP requirement going forward release notes will detail the testing performed prior to implementation. RELEASE NOTES EXAMPLE Vector Area of Impact Description Dev. Req. New Access to Large CR 140: When attempting to retrieve an account Development Accounts using a given license plate, NYSTA and CSC users CSC DR 11504 Account Maintenance currently have dif?cultly because all vehicles are [Vehicle Maintenance loaded for that given account. New Access to Large CR 140: NYSTA and the CSC have reported Development Accounts extensive delays in the Account Maintenance CSC DR 11505 Account Maintenance functions of VECTOR, speci?cally in vehicle and /Vehicle Maintenance device maintenance. CSC 12349 Manual Toll MTOL Input screen showing zeros when lane ID is Processing not entered. CSC - 12389 Financial History This issue is related to users being unable to retrieve Financial History with errors occurring which indicate: ?Attempt to invoke method which is invalid for DataValue object with Null Value? CSC 12467 Tag Check In Check For straggler box. check in and check out Out procedures and processes are not functioning correctly. CSC - 12471 Customer Request This issue is related to problems with CRM where Management status? are open because of category changing and CSR's not being able to view anything in the Other category because of roles. SOZ-NYEZP Exhibit 5.3.3-3. Typical release notes provided for each software Development Request delivered for a release. The TTC organization meets with ACS Tarrytown Change Control teant during the Change Advisory Board meetings to review change requests. If approved, the change is implemented. If not unexpected system downtime is required), the TTC organization informs the project management and corrective action is taken accordingly. Change Control Policy All changes?including fixes, updates, enhancements, new application development, application modifications, hardware changes, network configuration changes and upgrades?follow processes for the distribution of release notes, approvals, and quality control to ensm?e testing. These processes are detailed below. Change control is the process by which ACS Tarrytown management, ACS account team members and ACS client relations management initiate, review, and approve changes 5.3.3-14 ?2005 ACS, Inc. A planned for the TTDC environment?both system and application. This policy is the result of continuous process improvement initiatives, lessons learned, and SAS 70 compliance. All changes must go through the Change Control process and adhere to the policies. No change is approved without providing testing information verifying the change. No change is implemented without all required levels of approval, as defined below the only exceptions are the Quick Change and the Break/ Fix. The approvals for these change events are described in the change event description. The TTDC Change Management policy requires that all approvals must be obtained prior to the installation or implementation of the change activity. In addition, the following approval criteria must be met in order to implement a change: Authorities approve all changes prior to test effort. No technical Lead approves change without confirming Authorities approved the change. No technical Lead approves Without confirming appropriate testing. No CRM approves unless the Technical Lead has already approved and Data Center resources are on board for the change. No Site Executive approves Without Technical Lead approval and CRM approval and the risks are fully understood and a back out plan is in place. No change is closed until Client Acceptance has taken place in Remedy. Change events descriptions include: Dynamic ?Dynainic changes can be performed dynamically which means no system or outages are required. These change requests must be tested and approved during the normal change management cycle before they can be implemented. Event-Driven?Event-driven requests require an event such as a system or outage to occur. These change requests must be tested and approved during the normal change management cycle before they can be implemented. They are pre?planned, and coordinated by the Project Manager and the Customer Relationship Manager. Break/Fix?Break/ fix situations are considered emergencies requiring immediate action. The change is first done to restore the situation and the Change Request is then submitted for the record. . The change request can be completed as soon as the system has been stabilized. This type of situation is controlled by situation management and a conference call is normally opened during this type of situation With approvals given on that call. The situation manager must ensure that the appropriate change request is completed following a Break Pix emergency. The approvals will be considered the acknowledgement that the change has occurred to address the Break Fix situation. Expedite?Expedited requests are short notice requests that cannot wait to go through the normal change management cycle due to client requirements. They must follow normal testing and approval process including TTDC site management 5. ?2005 ACS, Inc. 5.3.3?15 approval. These are not quick changes or Break/ fix changes. They may be either Dynamic or Event Driven. Expedited changes must be approved prior to implementation. An expedited change must meet the following criteria: Any change request that cannot wait another full change management cycle before being implemented. Requires immediate or urgent implementation to a production environment, regardless of platform and OS enviromnent, but the consequence of not implementing the change may may not impact the system availability. 5.3.3.4 System and Data Security RFP Proposer Instructions: Proposers shall describe the methodologies they will employ to protect system communications, programs and data. Proposers shall descr be how access and other security arrangements will he monitored, and how the Proposes will protect customer data from unauthorized disclosure and use. Proposers must request a copy of the New York State Of?ce of Cyber Security and Critical Infrastructure Coordination Cyber Security Policy (PUB-002), Information Security Policy from the Procurement Coordinator and af?nn their ability to comply with this policy, as such policy may he amended, modi?ed, or superseded. ACS will comply with the provisions of Cyber Security Policy P03-002 issued by the New York State Office of the Cyber Security and Critical Infrastructure Coordination. ACS reviewed V2.0 of this document dated April 4, 2005 and validated the internal ACS system, data, network and application security procedures which would govern the management of the Data Center Operations supporting New York. We recognize that the policy will be amended and modified from time to time based on new security threats and changes in the security environment. We will continue to monitor the modifications to the published policy and take necessary steps to remain compliant. The key elements of security compliance include: 0 Compliance with secruity requirements of multiple state clients 0 Understanding federal regulations on confidentiality and privacy of case information 0 Understanding New York owns all New York data 0 Will implement a formal structured process for handling user account requests and terminations 0 Extensive and redundant firewalls in place 0 Deployment an automated anti?virus solution 0 Filters e?mail for viruses and restricts suspicious attachments As a leading provider of security management and consulting to state and federal government, as well as public and private sector business, ACS is well positioned for safeguarding the information, revenue, and confidentiality of the citizens of New York as they interact with the New York staff or systems. Chief Security Office, John Menich oversees the compliance of the various business units with the established security policies and procedures. This is in line with Cyber Security Policy For the purposes 5.3.3?16 ?2005 ACS, Inc. s. s. of the security compliance, the program manager for New York, will be the information owner as required by the policy. These responsibilities remain in place regardless of equipment failure, natural disasters, or other calamities. The physical and logical security of assets of New York will be supported by state? of?the?art technology and guidelines as established by New York and ACS. With such technology and guidelines, ACS will maintain the security and integrity of information by ensuring that processing of all information maintains the strictest confidence. ACS typically implements security in layers to achieve the appropriate defensive-depth to any environment or solution. To be able to assure proper security of any enviromnent, the environment must be well understood and have any logical or physical exposures identified. Our regulatory control normally mandates that risk analysis be performed regularly at all ACS-owned facilities. This assures that, as facilities grow and change, any resulting exposures are identified and quickly mitigated. We advise that a qualitative risk analysis be performed shortly following contract award. ACS recommends that its Director of Enterprise Security run the analysis and locally manage the mitigation of any found exposures. Perimeter security is necessary to assure that trusted environments are protected from outsider access yet provide a high level of availability for legitimate business functions. Firewalls help to provide this perimeter defense. ACS has examined and evaluated many different types and generations of firewalls for performing specific purposes. Firewalls are described in more detail in Proposal Section 5.3.3.4.1, Commrmication Secru?ity. ACS requires an automated anti-Virus technology to monitor data coming in and out of the system. This software package would require hands-off administration and updating to assure that as current Viruses are identified, all systems remain protected. Additionally, all e?mail gateways must also contain an automated anti?virus technology to inspect all e?mail messages for Viruses and remove infected messages to avoid introduction into the protected network environment. Network intrusion detection systems (NIDS) can provide 24 hours a day, seven days a week monitoring and notification of network security violations. ACS monitors all Internet infrastructures for abuse in both ingress and egress traffic using intrusion detection tools. These tools must be of hybrid detection technology offering both pattern matching and statistical anomaly-based protection schemes in order to ensure that both static and known attack signatures are identified, and that the system understands normal traffic ?ow and can identify abuse of network protocol. More on the proposed use of NIDS is discussed in Proposal Section 5.3.3.4.4, Security Incident Handling. Strong managerial practices are a key to strong secru?ity. Trust is a difficult element to establish in security. In addition to physical security measures ACS performs background checks on all employees having medium to high levels of system and facility access prior to hire. This enables AC8 to know that the individuals who perform sensitive work are true professionals in their respective discipline. ACS does not employ known computer criminals or hackers for positions involving security or expanded levels of access. ?2005 ACS, Inc. 5.3.3?17 To protect the facility from having all secmity functions handled by one individual, we recommend that all physical security functions be managed by a facility supervisor or manager. It is very unhealthy in an organization for one individual to possess high levels of access to all environments. This separation of duties would then help to ensure that coercion must take place should security of an enviromnent be compromised. The need for coercion makes the chance of detecting criminal behavior more possible and raises the likelihood that such behavior will be intercepted. All ACS facilities are protected with physical security and required access authorization, environmental monitoring and control, closed circuit television facility monitoring, and uninterrupted power supplies. Physical security in the Tarrytown data center includes an onsite 24 hours a day, seven days a week secm?ity force, with closed circuit televison monitoring and Schlage Proximity access control systems for the building. The center has a second level of access control Via Bio-Matrix hand print and PIN code readers at the entrance to the data center floor. More restricted readers as a second-level authentication are at the computer and NOC room doors. An onsite security force patrols the campus and each building, clocking in at watch stations throughout the facility. We use the McAfee Active Virus Scan (AVS) Suite to provide comprehensive protection of all Windows-based computing systems. This software is utilized on all Leased or owned ACS equipment as well as on non-AC8 computing equipment, such as that which is maintained by ACS for its clients. In the event that the standard McAfee AVS software is incompatible with a system, ACS will use another industry recognized commercial anti-virus software product. As an example, a powerful solution for UNIX systems is Sophos Anti?Virus. AC8 information computing systems, including workstations and servers, must utilize an approved anti-virus software application to protect the host system, resources, and information from any damage that may result from the receipt of malicious code. All instances of anti-virus software installed on computing systems must be active and enabled at all times. At no time may any personnel disable or suspend the state of the software from monitoring and checking a system for malicious code. In addition, instances of installed anti-virus software must be configured to constantly scan and monitor, in real-time, its host computing system from the ingress of malicious code. This includes all communications ports and ingress packets utilizing those ports, boot records, and all external resources maintained by the host system such as disk and tape drives. Finally, it is also important to protect external interfaces, remote access locations, and communication links. ACS has a robust solution for this communication infrastructure using a combination of Internet firewalls, proxy servers, and host?based anti?Virus software scanning all incoming and outgoing mail. Remote access to ACS network resource always occurs via a secure Virtual Private Network (VPN) connection, allowing convenient access that is very secure through the use of an RSA token that is with a verification device on the host. 5.3.3-18 ?2005 ACS, Inc. s. s. Taken as a whole the techniques employed above represent best practices in the industry for protection of New York's computing resources and the data associated with New York program. 5.3.3.4.1 Communication Security AC8 has extensive experience in designing and operating highly robust and secure communications using local and wide area networks. \Ne provide the highest level of security in communication using the state-of?art technology solution. AC8 follows its policy of ?security is the first priority while designing any conununication strategy.? Communication Security AC8 provides a multi?tiered approach to implementing its network security. This solution presents a comprehensive and thorough approach to protecting and assuring the integrity of services offered. Comnlunication security is ensured using but not limited to the first step of configuration from highly technical group, perimeter security, state-of-the-art firewalls, Cyber Incident Awareness and Response program, physical security, local access controls, and 24 hours a day, seven days a week monitoring. 0 Configurations?AC8 configures all of its equipment with security in mind. All servers are configured to eliminate the possibility of extraneous services from being abused by cyber criminals. Additionally, all systems are monitored and patched with the latest secun'ty patches and updates. 0 Perimeter Security?The first layer of security is implemented at all areas of possible exposure, utilizing routers with onboard firewall software to perform stateful inspection of packets prior to reaching the first-tier firewalls. This includes preventing connection-based attacks, such as DOS (Denial of Service) and other forms of resource intensive attacks. 0 Firewalls?AC8 deploys carrier grade firewalls at specific points in its network architecture. All firewalls are fault tolerant and configured to provide a maximum of security and availability while providing the flexibility required by our clients. To assure that an optimal level of security is achieved by our firewall solutions, we standardize specific brands of firewalls for deployment based on the type of situation to better exploit the capabilities and of that particular firewall. 0 Cyber Incident Awareness and Response?The AC8 Tarrytown Data Center maintains an awareness program that involves maintaining full awareness of emerging potential security threats such as Viruses, denial of service, and other risks. The Data Center maintains an internal awareness program through contacts within AC8 for the purpose of notification and response. This network is used to alert all portions of AC8 of emerging security risks, to successfully manage and respond to any cyber incidents that occur. ?2005 ACS, Inc. 5.3.3?19 0 Physical Security?The ACS Tarrytown data center is located two stories below ground and encased in three feet of solid concrete on all sides. The facility is continually nranned with a live security force and the perimeter is patrolled regularly. Physical space within the data center is logically separated and protected by biometric scanners for limited access into areas of high sensitivity, such as the computer vault and the NOC. Security is monitored at all times by the placement of closed circuit television cameras equipped with video recorders. 0 Local Access Control?The ACS Tarrytown Data Center maintains logical access controls to all systems and data. All users requiring access to systems, applications, and data must obtain management authorization in accordance with established policies and procedures. This governance mandates best practices, such as minimum password length, periodic expiration, and renewal. Monitoring?ACS enforces its network security with the implementation of state-of- the-art network intrusion detection monitoring. Network infrastructure is continuously monitored for the presence of hacking attempts, unauthorized access, and malicious code. Such monitoring occurs not only at the perimeter of its managed networks, but also at key points within the ?trusted" areas. In the unlikely event that an attack penetrates our perimeter security, alarms are set off alerting our NOC (Network Operations Control) staff to the intrusion. Staff trained to respond to such incidents are on-site and on-duty, around the clock. Network Segmentation Conunrmication links to each New York Authority have been established from Data Center located in Tarrytown. T1 connections with an ISDN back?up line are designed to ensure fail?over scenario. Vector will allow access to Authority personnel only after obtaining the proper authentication. ACS understands the needs to access reports real time by agencies immediately after generation. We maintain separate area for each Authority and provides access to the corresponding area to View reports belonging to the respective agency. Access to the Authority staff specified area is maintained by the system administrator. Procedure to ensure user authorization is supplied after proper documentation and obtaining appropriate approvals from agencies as defined and agreed by the Authorities. Another area of communication is to provide the secured access to all the members of IAG agencies for exchange of files. ACS with its experience over the years has established the drop box mechanism for exchanging the files with IAG agencies. ACS ensures following for secured communication; 0 Drop box with separate area for each IAG agency 0 Member IAG will have access to only specific directory location to drop files 0 Member IAG Agency will supply appropriate documentation to obtain access to drop the files. ACS will process and supply the user access after obtaining approvals from New York Agencies 5.3.3-20 ?2005 ACS. Inc. s. s. Firewall that allows access to only authenticated IAG agencies 0 As a part of the standard ACS IAG testing plan, the communication between the Drop box and IAG agency will be thoroughly tested 0 In addition, the ACS NOC staff around the clock with professionals will monitor the drop box accesses with procedures and take the necessary action as appropriate with escalations as needed to the Agencies All of the above connects will terminate to appropriately sized industry standard routers and switches as appropriate. All external connection will be secured using the firewall. 5.3.3.4.2 Control for Internal and External System Access ACS understands that the full responsibility for the controlling access to system resources will lie with us. The access to data is strictly based on the user's role and the needs of that role. Policies governing the construction and modification of passwords are a key element of IT security. solution for New York will employ password?protection utilities provided by several of the project?s key technology vendors (Hewlett Packard, Oracle, Microsoft). ACS has read all the guidelines listed in RFP SOW Section 2.3.34.2 and intends to fully comply with the New York requirements. Two key steps comprise the solution for information access: authentication of the person as a legitimate known user, and authorization of the person to perform certain system functions based on his her role in the system. Vector performs both of these steps. First, Vector compares the user?s ID and password against the known ID password combinations stored on a host computer. After having authenticated the user, Vector looks up the role assigned to that user ID and assigns the user a set of read and write privileges associated with that role. The host computer system will log the time, modifying ID, modified ID of all additions, and modifications to the password file on the host system. Regular change reports will be generated, reviewed, and retained for auditing purposes. Vector will log all application level security changes. 5.3.3.4.3 Protection of Customer Data ACS recognizes the need to protect customer data and will comply with the Internet Privacy Policy defined in Appendix of the RFP, and will handle customer and accormt data in accordance with each Authority's privacy policies and Article 6.03 of the Terms and Conditions. Vector is designed to insure that customer data is protected, and that all privacy considerations are met to insure customer security of data. Various design and development ?2005 ACS, Inc. 5.3.3?21 techniques, including and shaded displays are employed to protect customer account holder information. ACS has been deemed to be Level 2 compliant for Visa Mastercard CISP security requirements. We have deployed the ClearCominerce solution to support credit card transaction processing. This solution has been certified by every major credit card provider to insm?e that customer data is properly protected. 5.3.3.4.4 Security Incident Handling ACS recognizes the requirement for an incident handling procedure and has established a procedure to address all facets of an incident, including the following: 0 Definition of roles and responsibilities 0 Definition of communication ACS has established a Cyber Incident Response Team (CIRT) to provide a coordinated effort capable of performing a tactical response in the event that a computer-based incident is identified within ACS. CIRT Team Descriptions and Responsibilities Red Team The Red Team is comprised of Chief level IT n1anagement who oversee teclmology operations within the IS group and the ACS SLS technology infrastructure. Duty: Members of the Red Team include CIO and CT 0 level personnel who have complete jurisdiction over the recommended actions to be taken by the CIRT in the event of a security incident. All impacting decisions must be approved by the Red Teanl prior to implementation. All CIRT responses must ultimately include notification of the Red Team. Orange Team The Orange Team is comprised of VP, Director, and manager level IT management responsible for high-level technology and security operations Within the IS organization and the ACS SLS teclmology infrastructure. This includes nlarshal level members of the ACS POSSE (Point of Service Security Enforcement). Duty: Members of the Orange Team are responsible for overseeing the overall CIRT response process, which includes all tactical operations performed. In the event that members of the Red Team cannot be contacted, the Orange Teanl assumes full responsibility for the CIRT response. 5.3.3-22 ?2005 ACS. Inc. A s. s. Yellow Team The Yellow Team is comprised of lead IT managers and administrators of specific technology areas within the organization. This includes deputy level members of the ACS POSSE. Duty: Members of the Yellow Team are responsible for performing the initial assessment of reported events, as well as the escalation of incidents. Additionally, Yellow Team members will be responsible for carrying out all processes and procedures devised by the CIRT, to respond an incident. Security incidents are Classified as: Event?A situation that appears to be suspicious or ?out of the norm? for an operating environment. 0 Incident?A confirmed event that is imminent or has impacted the security of the operating environment. 0 Non-incident?An event that is misidentified and is an abnormality or error for an operating environment. No threat exists. The identification of an event indicates that some type of situation has occurred that is out of the norm. Many times events are not as they seem and require a quick and effective response to identify if an event that has occurred is an actual incident, which requires a response from the CIRT, or is a non-incident that has been misidentified. Events may be identified by ahnost anyone within the ACS organization, and will be reported to the ACS Service Desk, which operates 24 hours a day, seven days a week is the starting point for the escalation of all incidents. The following procedures have been established: 0 The ACS Service Desk is contacted The Service Desk contacts the appropriate CIRT Yellow Team members 0 The CIRT Yellow Team identifies the event and either confirms or denies the event is an actual incident 0 Yellow Team reports status to Service Desk 0 If confirmed, the Service Desk initiates a conference call for all responders and contacts the appropriate Orange Team member 0 The Orange Team begins its assessment and determines an initial course of action with the Yellow Team 0 The Service Desk contacts the appropriate Red Team member 0 Teams discuss the status with the Red Team and approval of the prescribed course of action is received 0 Upon approval, the plan is implemented ?2005 ACS, Inc. 5.3.3?23 Incident Response Process ?The process of successfully responding to, and resolving, a computer security incident is defined in six steps. Each of the six steps has a specific purpose and, upon completion, will allow the team to move on to the next step. Preparation?This process must occur prior to any incident. It involves the preparation of the team so that when an incident occurs, the team is ready. Identification?This is the process of identifying an event and the escalation of the event to an incident status, thus activating the CIRT. Containment?Containment of an incident helps to assure that the threat or exposure is prevented from spreading further within an operating environment, or propagated to other environments. Eradication ?The process of eradicating an incident works to assure that once identified and contained, the threat or vuhierability is removed. Recovery?The recovery process brings the environment back to a business?as?usual mode of operation. Follow-up ?The follow up process completes the docmnentation of the incident, achieves consensus with those involved, and discusses any ways to improve the process in the future. 5.3.3.5 System Back-up and Archiving Back-up Management ACS recognizes the need to provide automatic back-up procedures and off-site storage of back-up media to ensure that all New York data and applications in the system are protected and retrievable in the event any error or condition 1' corrupts or contaminates an active file. Hi 1' The design of the back?up architecture takes into account the need to minimize impacts on the production system given the 24 hours a day, seven days a week nature of the New York systems and the availability of the hot- standby copy. ACS has taken care to review all possible technical options and has invested in additional hai dware and software to provide safe and adequate back?ups. The following steps will be taken to meet this requirement: 0 All of the critical production data including the database and the applications will be backed up onto a second set of disks on the SAN using SAN snapshot technology. 5.3.3-24 ?2005 ACS, Inc. s. s. The snapshot software keeps this snapshot copy in with the primary storage at all times when it is connected to the primary. This snapshot can be then detached from the primary for extended durations to either retain a disk back?up for a specified period of time, before it is attached back to the primary data set to be again. This on disk snapshot once detached will be presented to the back?up servers to back-up this snapshot of data to tapes for offsite storage. 0 Tape back?ups taken from the snapshot of the production data (as mentioned above) ensure that the production servers, storage systems and processes are not affected by the back-up process. 0 Given that all of the data is replicated to the Data Vault at the Disaster Recovery site located in the Philadelphia, an additional copy of the production data is available at all times. 0 All New York systems at the Tarrytown, New York, data center and the Customer Service Center locations will be equipped with appropriate devices to create tape back-up sets. Information Technology staff will design appropriate back- up schemes and tape rotation cycles to meet industry standard best practices. 0 Using a combination of Veritas Netback-up and Oracle RMAN, AC8 will put in place the required scripts to back-up the database and other parts of the application onto tape. Production Control staff will then schedule and monitor these batch jobs for successful completion. 0 typical back?up approach is to complete a full back-up once a week, and incremental back-ups every day. These tapes will then be sent offsite and rotated on a 30?day window. It is important that the back?up tapes be protected from damage after they have been created. ACS will store the back?up tapes in an onsite fireproof safe until they can be safely shipped offsite. Matching current procedures employed by ACS on behalf of New York, AC8 will move back-up tapes on a regular basis to an offsite location to provide protection against catastrophic loss of the primary location (Tarrytown). The above techniques ensure that there is a local copy on disk (within the data center) for fast restores and data on tapes in offsite storage for long term and protection from multi-site failures. With the fully redundant set of systems and data replicated to the Disaster Recovery location, it is expected that a full restore from tape will not be required under most circumstances. However should the need to restore operations at an alternate location arise, ACS will deliver the back?up tapes to the alternate location as quickly as conditions allow. Taken together, the hardware, software, and experienced staff, ensure that back?ups are done in the most reliable and efficient manner. To insure that the data that is backed-up is valid and verified, ACS will perform periodic tests of all back-up capabilities at least once every three months following the successful cutover. This will include testing the procedures and random restoration of specific files. One of these tests will include at least one restoration of the complete production database ?2005 ACS, Inc. 5.3.3?25 each year onto a spare set of disks at the data center. The copy of the Vector application would be pointed to this restored copy and random checks conducted to ensure that the restored data is valid and matches the point in time that the back?up was taken. Archiving Vector solution will hold all New York data for at least the minimum duration required by the contract or law as specified in the RFP Appendix G. In most cases Vector will exceed those requirements. The Vector application that supports Customer Service and Violation enforcement functions will be configured to support the data retention requirements of New York. Some of these retention requirements may be expanded by the need to have additional data to improve Customer Service operations at the CSC or for improved self-service operations such as Web and IVR. The Vector solution supports archiving as follows: 0 Data is maintained in the production database as specified per the RFP archive requirements. 0 For data that is required to be maintained onsite for quick retrieval, data is moved on a basis to the associated history tables that are part of the production database and retained as required per the RFP archive requirements. This ensures that this data is still online and available for easy access. 0 For data that can be put into offline storage (per defined data retention requirements), data is moved from the online or history table to a back-up tape and is stored at the offsite storage facility. This will ensure that data is saved for future retrieval. However due to the slow nature of the storage technology and the fact that most of this would need to be imported into a database before it can be accessed by users, the time required for this would be longer. The archiving design that is employed by ACS in this Oracle based environment takes advantage of all of the features and technologies available in the Oracle database engine to perform most of the archival operations in an online fashion with little or no disruption to production operations. For example, most of the transactional and periodic data, e.g. toll transactions on accounts will be partitioned by time (month of posting) so that the partition can simply be exported (for long term retention) and then dropped. This operation can be done online without shutting down the database or application. The current implementation of Vector for BATA uses this methodology for transaction archival with great effect. By incorporating archival strategies into the design of the application and database, the ACS solution ensures that New York CSC operations are not affected during the archival process and that data is available as described above based on the criticality of data. 5.3.3-26 ?2005 ACS. Inc. 5. 5.3.4 Customer Service Tasks RFP Proposer Instructions: Proposers shall specify how they will achieve high levers of customer service and ensure a positive public perception of E-ZPass. Proposers shall indicate which independent customer service standards or certi?cations they will adopt for their operations. Proposers shall describe how they will encourage, wherever possible, the use of the website and e-mail over other forms of communication in providing customer service. Proposers shall follow the additional instructions provided at the beginning of Sections 2.3.4.1 through 2.3.4.1.1, and refer to data processing and system requirements for customer service tasks in Sections 2.3.6 and 2.4, respectively. Customer service is primary business. In HIGHLIGHTS our Transportation Solutions line of business, we manage eight ETC customer service centers . A new user interface computer-telephony and 24 walk-in centers. We have designed our integration, workflow: and new report systems and processes specifically to meet the capabilities with enhanced version needs of toll authorities and the complexities of Vector associated with them. . . An ACS Team of professronals already In . . . . place, trained, and ready to continue AC5 takes the 0t representing providing the full range of customer service the Authorities to the driving public very functions seriously and strives to make every customer interaction a positive experience, maintaining a high level of customer service. These interactions come in many ways, including: . A integrated team with a single point- of-contact for all functions, from account maintenance to violations to tag handling . A commitment to meeting and exceeding performance standards 0 aJking into a local service center to make a . An understanding that customers are the Authorities? customers and how the are Callmg the 800 number to 35k a handled is a re?ection on the agendes question . . . . Management of nearly six million toll Writing, e?mailmg 01' taxmg an mquuy accounts nationwide and opening over to the main processing center 500,000 ETC accounts each year backed by the tools and the systems to deliver best-in- . Receiving mail class customer service requesting some updated information 0 Using properly programmed tags in the lanes 0 Inquiring about a violation 0 Accessing the Web site 24 hours a day, seven days a week We have worked closely with the New York Authorities to develop the policies and procedures that are followed in providing customer service to the customers. Recent surveys conducted by NYSTA and TBTA show that public perception of in New York is extremely high and we are very proud of that fact. We believe that the planned system enhancements will raise this level of customer satisfaction even higher. ?2005 ACS, Inc. 5.3.4?1 5m As the current customer service provider for the Authorities, ACS performs the full range of ETC functions, including operation of the customer service center and the eight walk?in center facilities, violation processing, paynlent reconciliation, IAG reciprocity, customer correspondence, etc. ACS equipped the main customer service center on Staten Island and each walk?in center with full customer service functionality. Our services include transponder inventory and distribution, application processing, account set?up and nlaintenance, transaction processing, remittance processing, credit and debit card replenislunent, discount plan pricing, statement invoice distribution, an interactive website, and telephone as well as walk-in customer service. In short, ACS is a full-service service center provider for the Authorities. We provide our employees the tools to deliver information to the customers, accurately and in a timely manner. In additions, our technical and system enhancements for the customer service center build on the of our existing ETC program for greater efficiency and a higher standard of customer service. Achieving High Levels of Customer Service 9 Our status as the Authorities' current service center operator means big benefits our successful ETC program allows us to avoid the complications and risk of creating an entirely new one. Rather than simply rely on these successes, however, ACS intends to use this proposal as an opportunity to improve our customer service operations, continue cutting costs and giving better value. We are enhancing Vector in order to improve customer service while lowering costs. The new look and feel of Vector will increase functionality on the Web and NR, offer workflow improvements within the main service center, and provide new reporting capabilities. Key customer service enhancements include: 0 New Graphical User Interface?The front end of Vector is being replaced. While screens will be laid out in a similar fashion with tabs), we will have new added fimctionality to improve service. This includes the ability to carry key customer information from tab to tab so CSRs do not have to ?toggle" back to the account page. We also plan to conduct CSR surveys to more ergonomically lay out information on the screens. This will be an ongoing annual process. In the enhanced Vector screen changes are easier to make like moving objects in PowerPoint or shifting sheets in Excel). In addition, a scroll or ticker will run at the bottom of Vector screens alerting of real?time traffic information such as ?Broken down vehicle at the Verrazano, Lane Scrolls more importantly give real time call center performance stats so CSRs can see average talk ti111e, wait time, calls in queue. Authorities will be able to View this information as well?complete visibility into the CSC, even remotely. These messages are easily configurable and can be customized by 5.3.4-2 ?2005 ACS, Inc. s. department. Thus, we will have the ability to provide the CSRs and, in turn, the customers, with more real-time information. 0 Improved Handling of Customer Correspondence ?Work?ow is a key feature in the enhanced version of Vector. ACS has implemented work?ow improvements across several of our business units to significant results. All customer correspondence violations, disputes, change of information, letters, etc.) will be scanned. Essentially, CSRs will see the appropriate Vector screen on the top part of their monitor and the image of the correspondence on the bottom part of their monitor. They will be able to scroll through the correspondence, including multiple-page documents. There will also be user-friendly ?buttons" to allow workers to escalate issues and/ or ask for help. This provides a host of benefits: More timely processing of correspondence since CSRs do not have to go pick up ?batches" but merely click the ?next? button on their screen. In addition, managers, including the Authorities, will be able to see a full View of correspondence and its state in its lifecycle (waiting to be processed, in queue, processed, escalated, etc). We currently gather this information at the end of the day. Now with the ability to analyze it in real time, we can improve turnaround. More efficient staffing because workloads can be better managed a CSR may log?in at the beginning of their shift and see they have 100 new accounts to open, 45 Violation disputes to handle or 15 account adjustments to process.) Allows AC5 to institute Activity Based Compensation (ABC) where workers are compensated by piece versus by time. We have instituted this practice in many projects company-Wide, including recently in the tag room of New Jersey with excellent results. Department efficiency goes up as employee morale goes up because the can go home early, once they have reached their quota. Employee productivity goes up as employees realize a direct relationship between their output and their pay. 0 CTI?Computer-Telephony Integration or CT I, provides CSRs with what in the call center industry is called ?pop screens.? The CTI solution we are offering has built in integration with Avaya, om? phone hardware provider, for a low-cost implementation. CSRs will be able to see customer information when the call is transferred to them versus having to ask the customer to provide their account or transponder information (which adds time to the call). They will also have the ability to transfer the screen, along with the call, to a supervisor. Industi'y estimates indicate a savings of between 10 and 20 seconds per call. For New York, this becomes a significant savings. Our CRSs currently receive roughly 225,000 calls a month. Our average talk time is 3.3 n1inutes, or 200 seconds. Conservatively, if we cut that call length by 10 seconds, we save the equivalent of 11,250 calls per month, 135,000 calls a year or five percent, not including wrap time savings. In addition, since CTI provides the ability to transfer the screen with the call, there will be additional time savings for leads and supervisor escalations. Ultimately, CTI will enable us to increase the number of telephone calls per CSR, decrease average call times, and provide more effective customer service. ?2005 ACS, Inc. 5.3.4?3 5m Improved Reporting Capabilities?Discussed in more detail in Proposal Section 5.3.7, Reporting Tasks, ACS is significantly upgrading our reporting capabilities. All customer service statistics, now currently captured in the Call Management Systenl, will be displayed in Vector along with key information from the offline database. Pre?built analytics that tie directly to Avaya will help display critical, real-time information. Thus, our service will become much more transparent to the Authorities. Authority staff will be able to log into Vector in the middle of the day and see exactly how many calls are in queue and what the average wait time is. Exanlple graphics can be found in Proposal Section 5.3.4.7, Call Center. Importantly, since all correspondence information will be captured with workflow metrics, real- time reports will be available to report on these departJnents as well. In addition, with more report information, and better graphical displays of information, we will be able to apply statistical quality control (SQC) in order to detect subtle variations in patterns that might indicate fraud, undetected system errors or simply suggest a better method of inlproving call?handling. Finally, with the addition of an offline query database that duplicates project data in a format specifically designed for ad? hoc querying and on-denland reporting capabilities, reports will be faster to run and have no impact on service center on-line functions. Enhanced E-mail Response?We recognize the Authorities' desire to increase e-mail and website traffic, which is discussed later in this section. One part of increasing e- mail usage is to provide better tools to handle incoming e-mail when it arrives. Thus, we are upgrading our e-majl response capabilities to further reduce operational costs by more effectively processing high volumes of inbound e-mail. Improved response templates will allow CSRs to more quickly and easily compose custom replies. CSRs can also take advantage of new auto-response and auto-suggest capabilities. The addition of a natural language processing engine features auto-response capabilities to interpret customer questions, locate correct responses, and send out accurate responses to imnlediately answer customer questions Without CSR involvement. For instance, if a customer requests the addition of a tag to their account and requests that their credit card be updated, the CSR is able to immediately handle the request and the system automatically generates an e-mail response to the customer with both answers pre-populated. By applying such capabilities to analyze unstructured e- mails, we can provide intelligent e-mail routing and self-learning capabilities to continuously improve response accuracy. A 360 Degree Customer View?Improvements in customer service will be recognized not only through faster, more easily viewable information but also due to the ability to associate digitized docunlents with specific customer accounts. Thus, CSRs will be able to ?see? the letter a customer sent in along with any notes input by a previous CSR. In addition, within the enhanced Vector, inbound e-mail processing will be based on the same business logic used for routing other types of customer communications, allowing CSRs to see all customer interactions (calls, correspondence, Violation images, e-mail) in one central place regardless of the communication channel. 5.3.4-4 ?2005 ACS. Inc. s. A Ensuring Positive Public Perception At ACS, we know that the customers we greet or talk to on the phone are the Authorities? customers and how we handle them is a direct re?ection on each Authority. ACS employees are properly trained in all policies, provided regularly scheduled refresher training as needed, and taught the skills necessary to deliver excellent customer service? whether they face the customers directly in the walk?in centers, on the phone in the call center, or Via mail, e?inail or fax in the processing center. They are keenly aware that they are always representing the Authorities and are professional in their demeanor and appearance. We recognize that no matter how well we serve the customer, some customers will be difficult and challenging. Successfully handling these customers helps ensure a positive public perception and avoids potentially embarrassing escalations. We train our CSRs specifically to handle such incidents. We train them to: 0 Listen to the Customer?Leads to a better understanding of the customer's concern 0 Manage Expectations Upfront?Tell the customer upfront what is ahead of them especially if they will have a wait?tiine if the issue is complex 0 Give Reasons Why in Simple Terms?Customers are far more cooperative when they are told why something happened 0 Acknowledge the Customer's Patience?Tell the customer that their cooperation is appreciated Finally, we realize that the labor market on Staten Island is higher than other areas allowed in the RFP, but we are deeply committed to the community and encourage our employees to contribute to the community. It is one of the reasons we have chosen to remain on Staten Island. The majority of our 438 Staten Island service center employees live on the island, and ACS as a company is deeply committed to the area. As in Newark, New Jersey, we believe in helping economically challenged areas by offering employment opportunities. We are currently the fourth largest employer on Staten Island (behind the hospital, college and port). Each year, our employees participate in local fundraising and charity events to help support Staten Island. Some of our recent employee functions include: 0 Collecting food for the Staten Island homeless through Project Hospitality; our employees collected enough food to feed 25 families as well as donated school supplies for needy children. 0 Hosting a bake sale and a book drive to raise money and books for two local day care centers on Staten Island (New Morning Day Care and Celebration Day Care Center). Our call center employees raised $250 which we used to purchase two gift cards to Barnes and Noble and collected 75 books. 0 Raising $750 to donate to the Staten Island Aids Task Force; employees from all eight locations contributed to provide case management for over 1200 Staten Islanders living with HIV AIDS, and to offer support to their families. ?2005 ACS, Inc. 5.3.4?5 5m Donating money to the Seamen?s Society for Children and Families to go towards providing supplies for their Education Bound Program. 0 Raising money for the Staten Island Sri Lanka Disaster Relief Fund; we raised $1,100, as well as collected supplies that were needed such as candles, medicine, canned food, clothes, etc. Donating $1,800 for the Staten Island chapter of Alzheimer Awareness which was raised from all eight service centers. We believe the combination of how our employees conduct themselves on the job and what they are willing to contribute on their free time will help ensure a continued positive public perception for the Authorities. Independent Evaluations We recognize and welcome the opportunity to be evaluated by a non-partisan third party organization. Recently, after a rigorous and detailed audit of the call center, the Center of Customer Driven Quality at Purdue University identified the New York CSC as a Call Center of Excellence (Exhibit and rated it one of the top call centers in the nation. The executive summary of the report summarized our call center as: Call Center of Excellence Certification Center cf 0 superior organization" 0 An extremely well run center? 0 And one of the best run call centers I have seen? Subject to the Authorities? approval, we plan to utilize Purdue?s evaluation in the future on an rcellellce annual basis, as it provides us with important mmwm?m' . The Centerlor benclunark mtormatron and concrete ways to ('uunmov-den mrduc improve service and quality assurance through technology and monitoring tools. In addition, AC5, With over 60 contact and Exhibit 5.3.4.1. Purdue University?s Center support centers worldwide, has recently been of Customer Driven Quality certi?cation of awarded the prestigious Call Center Industry :1;ng call center as a Call Advisory Council's (CIAC) Pacesetter Award. Joining eight other global corporations to receive this award, ACS's contact centers are recognized as industry leaders committed to the delivery of superior service and as a role model to the industry. Receipt of this award includes management certification tlu?ough the CIAC certifying body. This certification includes extensive training in four areas of study: 1. People management 2. Operations management 5.3.4-6 ?2005 ACS. Inc. 5. 3. Customer relationship management 4. Business and leadership management The training culminates with an exam and an assessment and a 360 degree review from peers, management, and subordinates. This certification process will be repeated every three years, ensuring that call center management maintains a current working knowledge of center operations. Finally, we recognize the continuation of Authority conducted customer surveys. Again, we have been pleased with the results of the recent surveys: 94% found service to be favorable 97% found statements accurate and favorable 94% found walk-in centers a positive experience But, we also value them for their constructive feedback. Customers indicated such things as that they want easier navigation on the VRS and only half are aware they can move tags from one vehicle to another within the same class. Addressing feedback helps us to improve customer service. ?2005 ACS, Inc. 5.3.4-7 Accepting the Call Center of Excellence Certification -enterq 3? mace? enr - 'vl Exhibit 5. 3.4-2. The New York service center management team and Authority representatives accept the certi?cation from Purdue University. Pictured from left to right are: John Riccardi and Marilyn Mattei, PANYNJ, Michael Wilson, TBTA, Helen Barton, ACS Service Center Program Manager, Joe Perez, ACS Call Center Manager, Ron Scheinman, TBTA, and Fran O?Connor, ACS ETC Vice President. Encouraging the Web site and E-Mail AC 5 has made great strides over the years to increase website and e? mail usage. We unde1 stand, as the Autho1ities do, that bv doing such we am able to diive down costs and pass along the savings to the Aut1101ities. In addition, Web and e? mail often p1ovide customels with faste1 and mo1e consistent infonnation. We currently have e-mail addresses for 688,000 of our customers and it is increasing every day. we hope that this will sewe as a strong base upon which to build and give the Authorities a new avenue in which to communicate information to their customers. Currently most of these customers receive statements Via e?mail. We encom?age the Authorities to consider sending correspondence via e?mail, such as credit card update letters. ACS can provide a link on the e?mail to the V'Veb site, which will, in turn, increase Web site usage. Savings would therefore be realized on the front end (sending out the letter) and on the backend (processing the information when it comes in). We will be happy to discuss sharing these savings with the Authorities. 5.3.4-8 ?2005 ACS, Inc. Our Web site traffic continues to grow. As depicted in Exhibit 5.3.1-3, across a host of measures customers continue to use the web more and more. We have continually added functionality to the Web such as: adding/ changing credit card numbers, switching from cash to credit card replenishment and showing the most recent toll transactions. As detailed later in Proposal Section 5.3.4.6, Web Processing, we will be introducing new functionality to the web to further increase penetration. We are constantly seeking ways to increase usage. For eannple, for New Jersey we have recently added paying for violations over the Web with great success. ACS hopes the Authorities will consider similar new functionality. We will continue to encourage customers to use the Web through: 0 Statement messages 0 VRS recordings 0 CSR scripts for both the phone and walk-in centers 0 Call-outs in customer communications such as applications 0 Plaza banners and displays If the Authorities desire, we can launch a more wide spread marketing campaign to increase usage with ideas such as the ?First 250 customers to sign up this month receive an E-ZPass t-shirt,? or the ?First 100 customers to sign up receive a behind the scenes tour of the Holland Tuimel,? or ?Sign up for e-mail statements and save $1 today.? We are also willing to discuss passing on cost savings to the Authorities with initiatives such as these. ?2005 ACS, Inc. 5.3.4-9 Promoting Web Usage WBD Account Inquiries Web Account Updates (in millions) (in millions2000 2001 2002 2000 2004 2005 2000 2001 2002 2003 200: 2005 Web Enrollments Web Credit Card Updates 500.000 140.000 ?00.000 . 130.000 400-000 120.000 9 "0.000 100000 250500 200.000 90.000 150.000 80.000 ?Dim . 70.000 50.000 0 9 2000 :00! 2002 2003 2004 2005 2000 2001 2002 2003 2004 2005 '30 Exhibit 5.3.4-3. ACS will continue to promote self-service web usage for the Authorities? customers. Customer Service Performance Standards and Monitoring All tasks performed within the service center, as well as all automated functions, are measured and analyzed to ensure that the established performance standards are met and/ or exceeded. Regularly scheduled reports are provided to the Authorities depicting volumes, throughput, and response times for each of these functions. We recognize the specific requirements called out for customer service (including call center and the walk-in centers as discussed in their respective sections). Specifically, for customer service we recognize that all inquiries and disputes received by any means shall be resolved or responded to Within five business days of receipt. We also will ensure that any inquiry or dispute responded to but not resolved Within five business days will be resolved within 20 calendar days of receipt. Whenever possible, ACS also looks to established industry standards to serve as a benchmark for New York levels of service. The additional capabilities for tracking operations data within the enhanced VectorTM analytics coupled with Actuate?s improved 5.3.4-10 @2005 ACS. Inc. s- graphing and trending functionality will capture system, operations and staff performance results. Finally, all performance standards will be captured on a single report and delivered to the Authorities for their review. Thus, making monitoring of performance more transparent. More information can be found in Proposal Section, 5.3.1.6, Performance Standards and Monitoring. 5.3.4.1 Walk-in Customer Service Centers RFP Proposer Instructions: The Proposer shall identify the locations where it proposes to operate walk-in customer service centers within the geographic vicinity of existing sites as indicated in Appendix D. ACS knows that the public's opinion of is directly related to their customers? experiences at walk?in service centers and we are dedicated to consistently providing superior customer service. All walk-in centers will remain either in their current location or, in the case of the Staten Island facility, moved to an alternate location, the Teleport, with improved services, such as: 0 Additional customer parking that is convenient, with easy entry and exit 0 Convenient direct access from major Staten Island roadways 0 Improved communication infrastructure, including fiber optic cable Currently, each conveniently located center is designed with a lobby area where customers can fill out applications and wait for the next available clerk. Parking is readily available at each location and all facilities are ADA compliant. ACS maintains convenient hours of operation for each facility, at the direction of the Authorities. WALK-IN CENTERS HOURS OF OPERATION Staten Island Monday Friday 7 AM -7 PM Saturday 8 AM 12 PM Queens Monday - Friday 9 AM 7 PM Saturday - 8 AM - 12 PM Yonkers Monday Friday 9 AM 7 PM Saturday 8 AM - 12 PM Spring Valley Monday Friday 9 AM 6 PM Albany Monday Friday 9 AM 5 PM Syracuse Monday - Friday 9 AM - 5 PM Buffalo Monday Friday 9 AM 5 PM Grand Island Monday Friday 3 PM 6 PM ?2005 ACS, Inc. 5.3.4-11 s- ACS will continue to work closely with the Authorities, as needed, to establish full service walk?in centers that are convenient to the population of users across the state. Should any of the Authorities wish in the future to expand walk?in centers, ACS offers a nationwide network of commercial real estate brokers, assistance with site selection and a full service design team to ensure that every facility is well?signed, highly Visible to both driving and pedestrian traffic, and easily accessible for all customers. walk?in service centers are truly full service facilities, handling over 70,000 customers per month and permitting customers to: 0 Open new accounts 0 Update existing accounts with vehicle, demographic, or plan changes 0 Make payments for both accormts and violations 0 Request and receive new or replacement transponders 0 Close accounts 0 Receive both general and account-specific information Every walk-in center offers customers supplies such as applications, tag-mounting strips, and read-prevent bags. The staff in each location is fully trained to handle all customer inquiries and disputes. A supervisor or team lead is always available to assist a customer, when necessary. ACS staffs and trains each walk?in center to ensure that all pertinent performance standards are met or exceeded. All customers will be handled, as they are today, within 10 minutes of entering the facility, meeting or exceeding the performance standard. All inquiries or disputes will be attempted to be resolved during the customer's Visit, but in the event that additional account review is needed, resolution or a response will occur within five business days. All inquiries or disputes will be fully resolved within 20 calendar days of the customer request. Upon Authority request, a guard is provided to ensure an orderly flow of customers to the service windows in Staten Island, Queens and Yonkers. Each location is fully alarmed and a courier service is contracted to pick up and deliver all cash and check receipts to the bank. Each facility also maintains a stock of transponders and procedures are in place to transfer tags as needed from the Staten Island Service Center. Tag programmers are also available at each of the walk-in centers, allowing the local staff to program specific tags as needed. In addition to maintaining these walk?in service centers, ACS has walk?in center transition experience. We successfully moved the Queens, Yonkers and Buffalo offices while nlaintaining full service to the customers they serve. The Queens and Yonkers facilities were more than doubled in size, in response to customer needs. Working closely with contractors, vendors and telecommunications providers resulted in a smooth transition from one location to another. At request, ACS also established a temporary walk-in center to serve the local Rockaway, Queens, community for approximately 90 days. 5.3.4?12 ?2005 ACS, Inc. s. ACS strives to always provide walk-in service centers that are pleasant, professional, and productive. Customers should expect to walk out of each service center having all of their questions answered and requests handled in a timely manner. 5.3.4.2 Tag Handling RFP Proposer Instructions: Proposers shall describe how they will provide all tag handling activities, including tag inventory, testing, and stocking (Section 2.3.42.1); security (Section returns and replacements (Section 2342.3); and tag swaps (Section 2.3.4.24). Proposers shall contact the tag manufacturer (See Appendix B) for its recommended speci?cations and procedures for tag storage, warranty claims, and integrated tag reader operation. In the ease of tag swaps, Proposers shall assume that a separate contractor is responsible for the actual disposal of tags but that the Contractor is responsible for all other aspects of the tag swap process, in accordance with the Tag Swap Guidelines provided. ACS is currently responsible for managing over 10 million tags on various electronic toll collection projects throughout the United States. We have developed and streamlined tag handling procedures using best practices and cutting edge technology, which enables us to effectively achieve our high standard of customer service to our customers, the Authorities, and in turn to the Authorities' customers, the driving public. The combination of an integrated online inventory tracking system, site security, and physical inventory procedures protects the Authorities? financial investment in the transponders and ensures transponders are appropriately accounted for. ACS welcomes the Authorities? request to integrate the Mark IV tag reader/ programmer into Vector, our account and inventory management system. enhanced version of Vector will use the integrated tag reader progranuner to tie testing and encoding of a tag to the tag's history in Vector. This will enable the service center to easily identify when a tag was tested, the results of that test and the programmed IAG class of the tag. Vector, designed to track transponders and manage customer accounts, has been the formdation to our inventory management and tag handling technique. This system tracks transponders from receipt from the manufacturer to customer issuance and transponders returned back from customers and finally to disposal. At any given point in time, we can identify where a tag resides and what status it is in. Our inventory management system provides the following key features that lend itself to effective and efficient tag handling: 0 Ability to keep track of new transponders purchased by the Authorities 0 Using a batch process, automatically assigns tags to customer requests using FIFO (first in first out) 0 Ability to manually assign transponders 0 Ability to View the history of a transponder ?2005 ACS, Inc. 5.3.4-13 0 Automatically prevent tag assignment mismatch 0 Ability to determine IAG class of transponder in Vector 0 Ability to place a transponder returned by a customer back into inventory for re? assignment 0 Track the replacement of defective and failed tags by the manufacturer by entering specific failure codes and updating transponder replacement date and, if applicable, the replacement number 0 Generate reports listing serial number ranges with specific inventory status codes for physical inventory purposes We have also developed processes to track and account for physical inventory, returned tags, tags returned to manufacturer as defective for warranty purposes, tags that will be disposed, tags that are considered non?reissuable and tags that will be refurbished for re-issuance. ACS will fully comply with the Authorities' requirement to replace tags already in circulation and, as needed, order, stock and inventory, test, encode and distribute tags to customers. Using Vector, our online management system and our physical inventory procedures, we are confident in our ability to accurately and efficiently manage tag handling for the Authorities. 5.3.4.2.1 Tag Ordering, Testing and Stocking/Inventory ACS has developed an integrated, automated device inventory management system in Vector that can be used to handle purchase orders; receiving, tracking, and assigning of transponders; and provide accurate inventory reports. The device inventory management system has been designed to track a tag from inception to issuance including a full tag history. Vector supports the tracking of tags by types such as interior, exterior, license plate, and color. Vector also tracks all new inventory by device and purchase order number. A key component of the inventory management system is the purchase order capture functionality, as shown in Exhibit 5.3.44. ~44 was? 3 - 13.! ?13.1er 431-3 '78 5.3.4-14 ?2005 ACS. Inc. s. System I unclluns ApplILohun Nu! Flo Folders Heb ?998?th uroumm CW Ed Pacheco 0:60! We PuduneOlda Recetvc Tog Check Out/In Sho Receive Tag: Shogun Tag: Uiderth Agency SM r13 Local-on Slaw: Puchaze Order Type Tole! Clideied Olden WEST NEW YOPK STATE SPRING VALLEY Closed NONE SOTII 1135 [[1555 STATE STATE BRIDGE 00:de NONE 3000 1080 W655 STATE STATE Closed NONE 2000 7211 0722 NEW YORK STATE MAIN PROCESSING CTF. Cloud NONE 1830 07326 NEWYORK STATE MAIN PROCESSING CTR NONE 501) 18% 0828sz NEW STATE THE WAY ALBANY Closed NONE 560 112$ NIB NEW YORK STATE STATE 00:01 NONE 20000 4600 ?Its STATE NEWYORK STATE THHUWAY Cloud NONE woo 92a 10): STATE STATE THRUWAY Clozed NONE 40:0 920? lad STATE MAIN PROCESSING CTF Cloud NONE 10303 2369 Tub NEWYUHK. 5 TAT MAIN I Llozed NONE TU) (?34 STATE NEW YORK STATE THRUWAY Outed I 503 147 Urdu No Agemy Sh?o To Location Sldu: P0 Type 3 lNe-n 3 3 Told Ordered OrdoIArnonl Total Received II a II l?ml [209 I 27. 206 4'5 om 04 use? I .vzcroa 10? MEZP Exhibit 5.3.4-4. Tag history is tracked in Vector beginning at the Purchase Order Capture screen. This function allows AC8 to keep a history of all purchase orders and the quantity of tags associated with each purchase order in a format that can be easily audited. The device inventory management system in Vector allows for the accountability of transferring tags from one service center to another, assignment of tags out of inventory and placing tags back into inventory. Vector controls the access to these modules using employee roles and restrictions. In addition, Vector provides inventory reports on a regularly scheduled basis that are used to reconcile tag inventory. ACS has the ability to easily generate system reports on demand of all tag orders by device type (interior, exterior), color (ivory, blue, yellow etc.), tag number and Agency. Exhibit 5.3.4-5 depicts the tag inventory report, 823, which is used to reconcile tag inventory. 5' ?2005 ACS, Inc. 5.3.4?15 5m Tag Inventory by Color Report (823) Fit-1?0" 07 553004 Tag Inventory By ColorAnd Device Status Numb? 533 Time lJ'iJ l8 Reporting AI: of? 06-34 '2o<.1 Agency: 8&1" Stores 1Mal; DAMAGED EXTEPJCE. 50 :3521 13-omzaoor 5mm. 0 is a t- 15 mungDRAIJCE 3-3510BLAH: 56 I 21.245 ?1?3 Simon -curacy armor a 4.950 a a a a 4959 as a a I a m: mam 72; 20959 :51 a 35 u: a c- 3320 6 2' 39.933956 CREE 2571011. (I .35010.249.01! 190 .uu L043 I 90 0 I 0 RETAINED pram219.109 303 7.30in?YE?? Exhibit 5.3.4-5. The Tag Inventory by Color Report provides detailed tag inventory information by Authority and store. ACS has been successful in forecasting the tag inventory needs for many of our clients. Our inventory management system, coupled with tag issuance reports, is heavily relied on to forecast future demands. Through reports we analyze current issuance rates (taking into consideration lost, stolen, replacement tags and commercial account orders), past issuance history, new initiatives, special projects and the proactive tag swap requirements. The system tracks tags that are re?furbished and placed back into inventory for re?issuance. The refurbishment of tags has reduced the need for new tag purchases and has become an added value to the Authorities. Once our recommendation for tag purchases is determined and a tag order is placed, ACS keeps track of the order by communicating with the vendor, ensuring a timely delivery. Upon receipt, ACS updates the purchase order with an entry into Vector, which monitors all purchase orders. Once tags are received, verified and entered into Vector, a series of events takes place to ensure proper accountability and storage. Prior to tag assignment and distribution to customers, tags are tested on the Mark IV tag reader to confirm the programmed IAG class. device nlanagement system in Vector fully accounts for all tags in their various statuses and can determine where a tag 5.3.4-16 ?2005 ACS, Inc. 5. currently resides, tracking tags from their initial receipt to issuance. Within Vector, the device management system is integrated with the account management system, allowing AC8 to effectively manage and track tags that are both assigned to customer accounts and those that are not. Our database, which has been customized to suit the needs of the Authorities, already incorporates and utilizes the tag statuses outlined by the Authorities. The Vector database can be queried to generate reports to resolve issues and support audits. ACS understands the Authorities' need to add change requirements and assures the Authorities that Vector can meet those demands. ACS understands the importance of inventory control and has been successful in managing and accounting for over 10 million tags. We have developed standard operating procedures that work. We recognize the Authorities? requirement to conduct physical inventory. ACS conducts daily cycle counts of all physical inventory and has developed a reconciliation process to account for our beginning balance and ending balance of all physical tags. Exhibit 5.3.4?7 depicts the Inventory Reconciliation Report that is used daily, to reconcile tag inventory. Every walk-in center that houses inventory is required to conduct daily counts and reconcile tag inventory, which is rolled-up into a weekly report that is matched-up to the Tag Inventory by Color report (82B). ?2005 ACS, Inc. 5.3.4-17 Sample of Physical Tag Inventory Report Eozpass New York Service Center Schedule of Physical Tag Inventory with 4 Month Average on a Per Week Basis July 15, 2005 MTA BRIDGES AND TUNNELS BLACK LICENSE PLATE TAGS Apr Starting Inventory 12.930 11.259 9,848 8.983 Stragglers Returned to Inventory 542 150 821 750 Tags Transferred to Tag Swap (Decrease in Inventory) - - - - Tags Transferred from Tag Swap (Increase in Inventory) - - - - Tags Transferred between CSCs (Does not affect TotaITags Issu - 300 - - Deliveries Received - - - - Total Tags Issued 2,213 1,561 1,686 1,502 Closing Inventory (Last Friday of the Month) 1125 9.848 8,983 8.231 0n-Site New Tags 8 Stragglers, Straggler Tested of as 07/15/05 550 400 300 - -. RPM Warehouse Off.Site, DNR as of 07/15/05 6.719 - - RPM Warehouse Off-Site. Expired as of 07/15/05 1.443 - - - On-Site Pending Mark IV, Returned Defective as of 07/15/05 761 761 834 834 Total Tags Available to be Issued (Excludes Stragglers) 11,259 9,848 8,983 8,231 Average Monthiy Issued Inventory On Hand Projection, Tags in Inventory (months) 6.46 5.60 4.96 4.14 Projection with Straggler Tags Cleaned 8 Not Cleaned (month) 6.46 5.91 5.18 4.29 BLUE INTERIOR TAGS Apr Starting Inventory 1.978 1,596 2,414 2,322 Stragglers Returned to Inventory 5 - - - Tags Transferred to Tag Swap (Decrease in Inventory) - - - - Tags Transferred from Tag Swap (Increase in Inventory) 1.000 2.000 1,000 - Tags Transferred between CSCs (Does not affect Total Tags Issu - 1.000 500 - Deliveries Received - - - - Total Tags Issued 1,432 1,182 1,092 718 Closing Inventory (Last Friday of the Month) 1,596 2,414 2,322 1.604 On-Site New Tags 8 Stragglers. Straggler Tested of as 07/15/05 6.333 6.333 - - 2191/15/95. $1.355 5.31.5. 1999 RPM Warehouse Off-Site. DNR as of 07/15/05 - - - - RPM Warehouse Off-Site. Expired as of 07/15/05 4.950 - - - On-Site Pending Mark IV. Returned Defective as of 07/15/05 8 8 8 8 Total Tags Available to be Issued (Exciudes Stragglers) 1,596 2,414 2,322 1,604 Average Issued Inventory On Hand Projection, Tags in Inventory (months) 1.39 2.01 1.86 1.27 projection with Straggler Tags Cleaned Not Cleaned (month) 11.59 11.76 1.86 10.45 ImllYE?? Exhibit 5.3.4-7. The Schedule of Physical Tag Inventory Report provides the Authorities with the information required to maintain sufficient inventory levels, comparing tag issuance volumes to inventory on hand and scheduled deliveries from the manufacturer. 5.3.4-18 ?2005 ACS, Inc. Daily Closing Physical Tag Inventory Report It! mum amp"); 1' 5; ?Hum go milieu-25 . 5? 0 Mt??m ?lcliua strangle: no I ., -t;vl. 9'15; 2 0 Jury. r, roar-nu. Ann Nrna'.C and Par.? Tag uniaxv .- ?muinl henna. raw-Jan, 1 cm. '8 Tran-fer rut can .., Inventory herul?wt i an. TY :l revel 3 Nk? U1 llnuarluh; 'lhl new?; en, :3 Ear pa reg any: mum-nu a [kid AMI-3 a Mun-.3 vacuum Straw-r: 2 ?Uokl ?4190)? pix-AVG 1 In! hho) 1V anal int-u Hominy shawl" ?lea Mime - ml! IN .1451 (Inc! 1 n9 'ao Inlay-t- luvs Como VLLQI Io- Yux Saw? color Una-i 63 Quantum: on lPlcu'n Interior in Iafm (710: 390-0077 Inlet In: I - NJ 101.NYEZP Exhibit 5.3.4-8. Every location that maintains tag inventory must take a daily physical count of all tags, including all tags received and issued or transferred, reporting that information on the Daily Closing Physical Tag inventory Report. The report enables the service center to physically match?up the physical inventory counts to the system count. If the physical inventory is different, the Operations Manager is advised on the inventory reconciliation report. A speci?c tag detail report is generated by location, tag type, color, serial number and Authority, that will be used to compare the physical tag ?2005 ACS. Inc. 5.3.4?19 5m nmnbers to the tag nmnbers as reported by Vector. This process identifies those specific tag(s) that are missing, bringing the physical and system inventory into agreement. 5.3.4.2.2 Tag security Security can be defined as "the state of being free from unacceptable risk". ACS understands the Authorities? needs and has developed stringent security policies to protect their assets. Since 1995, ACS has been successful in storing and securing transponders for various operations throughout the United States. Our facilities are environmentally safe and secure, and have specific policies and procedures to ensure that every tag is guarded. Some elements involved in physically securing, controlling and monitoring New York tags include: 0 Security cameras that record the storage facility where all tags are stored 0 Key card access system, which limits who can enter the tag storage facility 0 Control alarm system with 24-hour monitoring 0 On-site supervision to ensure accountability of tags moving in and out of facility 0 Daily cycle counts 0 Periodic physical tag audits conducted by internal QA department and the Authorities? representatives ACS is serious about the security of tags, continually striving to improve our methods by leveraging best practices from across all ACS operations. If improvements can be made, immediate action is taken to implement those best practices. We accept the responsibility of ultimate accountability for transponders received from the manufacturer, which is why no stone is left tmturned when it comes to security and accountability of tags. When tags are received from the manufacturer, there are guidelines that must be adhered to by our employees. The combination of manual procedures and the Vector inventory Inanagement system has proved to be a winning approach in the ability to control tags. Some of the controls that are important to highlight are: 0 Vector?s tracking system for new purchase orders 0 Manual verification process of tag receipts 0 Limited access of employees who can activate a tag in Vector No one employee is singly responsible for receiving new inventory tlu?ough tag assignment and distribution 0 Daily tag reconciliation Unannounced audits by our internal quality assurance department 5.3.4-20 ?2005 ACS, Inc. Every employee who has responsibility for tag assignment has a Vector ID that allows them to perform specific tasks. Vector controls what an employee can do through ?roles.? This security measure limits what an employee can do and see in the Vector database. All tag related functions are clearly segregated within the overall operations. ACS is better able to manage the security of tags by performing tag assignment and distribution separately from where tags are stored. Customer service and other non?tag related functions are performed in different areas. This allows service center management to hold each department accountable for tags. Before tags are released from inventory to the tag assignment and distribution unit or transferred to any other service center or deparhnent, the inventory unit must have the receiving department sign a tag release form. These forms are tracked and used to reconcile physical inventory on a daily basis. Once a tag has been assigned to an accormt and packed in a tag kit for distribution to the customer, it is placed in a bin for pick-up by the post-office. This process ensures that only restricted personnel have access to these bins. Team leads and the tag supervisor have responsibility to QA each bin to make certain that bins remain secure, tags have been packed appropriately, accounted for and include the correct postage. A sampling of each day?s tag kits goes through this QA process thus ensuring mitigation of risks associated with mail distribution. ACS is a reliable and trusted partner to our clients. We understand the Authorities' concern regarding tag security and assure the Authorities that we are capable and confident in our ability to effectively secure and account for your tags. 5.3.4.2.3 Tag Returns and Replacement ACS currently has an established process in place to handle tags that are returned to the service center and to replace tags on customer accounts, as needed. With the support of the Authorities, ACS is proud of the fact that with the support of the Authorities, we were the first to establish a process to reissue returned tags. When a tag is returned to the service center, the following process is followed: 0 Tag is placed in the appropriate status in Vector 0 Customer is charged appropriately, if necessary 0 Tag is removed from customer accomrt 0 Customer account is noted 0 Tag is forwarded to tag inventory unit for testing 0 A determination is made if tag is re-issuable, non-reissuable, defective under warranty or expired 0 Tag is moved to the appropriate category for further processing ?2005 ACS, Inc. 5.3.4-21 If the tag inventory group determines a tag can be re-issued, it is then forwarded to the tag refurbishment unit who starts the cleaning process, which involves replacing the mounting strips, removing dirt, scratches and marks from the tag. Before the tag is forwarded on for further processing, a quality check is performed by a team lead to approve the cleanliness of the tag. The tag is then forwarded to the programming and testing unit who reprograins the tag back to its original IAG class and tests the tag once again. If the tag has been assigned to another account and a toll posting from the previous account holder is generated, then Vector identifies who the previous account holder is by validating the date of the toll posting and matching that date to the last account the tag resided on, and posts the toll accordingly. The tag refurbishment process has proven to be very successful for the Authorities and will continue to be a cost reduction factor in ordering new inventory. ACS will work with the Authorities to identify a tlu?eshold number that would identify what tag can be re-issued to prevent issuing tags that would normally be included in the proactive swap. Expired and non?reissuable tags are handled in the same manner. Vector tracks these tags by status and tag number. When a tag is returned to the service center, the tag inventory unit identifies how it should be processed. Tags that cannot be refurbished or reissued are marked for disposal. The tag department places these tags in expired status until a disposal date is determined by the Authorities. Vector does not allow any tag that has been placed into expired status to be reactivated on to an account. The tag department also monitors returned tags by the predetermined expired threshold number and is able to identify a tag that should be removed from circulation. The combination of the Vector system restrictions and threshold monitoring assures the Authorities that no tag that has been designated for disposal can be reassigned to a customer?s account. The evaluation process for returned tags also identifies tags that need to be replaced by the manufacturer. Tags that are still within the warranty period are identified, tested and returned to the manufacturer. AC8 uses equipment from the manufacturer, which is now integrated into Vector, to test the tags. A log file is created, capturing when the tag was tested, the serial number of the tag and the results of the test. We have developed a process that enables the service center to return the tag to the manufacturer with the log file that will result in the Authorities receiving the appropriate credit for that tag. ACS also tracks all returned tags to the manufacturer in Vector by placing all tags that are defective under warranty to defective status. This allows for proper tracking and accountability of every tag that is returned. As always, ACS notifies the Authorities of all issues relating to tag inventory. 5.3.4.2.4 Tag Swap ACS is in the tmique position to be the only vendor with proven experience in managing a large-scale proactive tag swap. The New York project has proactively swapped 5.3.4-22 @2005 ACS. Inc. s. 5. nearly three million tags to date. ACS has the demonstrated ability to provide customized tag swap programs that meet the needs of diverse customer groups. The Authorities? tag swaps have encompassed many types of customers, including private, business, commercial, ?eet, and non?revenue accounts. With the experience and knowledge gained in implementing tag swap programs, ACS is confident that Vector will continue to handle all Authority tag replacement requirements smoothly and efficiently. Since 2002 ACS has successfully swapped 2,784,954 tags for the New York Authorities as follows: 0 1,667,708 TBTA tags 0 566,286 NYSTA tags 0 550,960 tags The Tag Swap program was formed in January 2002 for the purpose of replacing devices that reached an age of five and one half years old. The tags were originally thought to work for about seven to ten years, however tags began failing at about five years. In a proactive response to this problem, TBTA, NYSTA, and decided to replace the dying tags to prevent traffic issues caused by poor tag reads in the lanes. Failing tags have caused customers to receive toll Violations or get caught in a gated lane, creating an inconvenience and a negative impression of the successful program. Since implementing the tag swap program, customer-based Violations have dropped considerably, raising customer confidence in the program. ACS created a comprehensive tag swap program to meet the tag replacement needs of the E- New York Customer Service Center. Our integrated inventory management system, Vector, tracks the device characteristics of all tags including purchase order date, owning Authority, serial number, tag type, date of birth, status, and device history. Through Vector, ACS identifies tags that are ready for replacement based on the parameters identified by each Authority ?currently five and one half years. ACS provides regular forecasting reports and queries to aid the Authorities in managing the inventory and resource requirements needed to meet their tag swap goals. Based on Authority requirements, Vector has the capability of selecting either a sub-set of tags (tags that have reached five and one half years) on an accormt scheduled for tag swap or all tags on an account, including those not yet eligible for replacement (sibling tags). This ?exibility provides each Authority with a customizable solution that will limit the level of interruption to the customer as well as effectively manage the cost of conducting the tag swap process. ?2005 ACS, Inc. 5.3.4-23 5m Currently, the TBTA and Port Authority programs support a one-time interruption policy that calls for the replacement of all active tags on an account, including the sibling swap tags. This approach reduces the opportunity for the customer to mail back the wrong tag. The New York State Thruway program supports a primary tags?only swap policy that limits the swap to the eligible tags that meet the five and one half year requirement and have also demonstrated toll activity within a specified period of time. This approach reduces the initial expense and inventory requirements needed to conduct the tag swap process. ACS has successfully implemented both approaches and remains flexible in providing for the specific needs of each Authority. Additionally, we have implemented a successful tag swap program for the Maryland project. We remain committed to providing innovative tag management solutions for each of our New York Authorities and with an enhanced Vector inventory management system integrated with Mark IV, the tag swap programs will prove to be even more convenient and cost effective for each of the Authorities. ACS will continue to support the current tag swap initiatives already in motion and remain ?exible to each Authority?s changing needs. We value the trust that our clients place in us, and strict procedures have been established to protect the property of the Authorities. Proactive Tag Selection - Private Tag Swap On a designated day of the month, Vector identifies tags to be swapped based on the five and one half year criteria. A tag swap identifier is added to the customer demographics screen in Vector along with the Swap ID date. For Private swap, selected accounts are divided into three segments, each to be processed separately during the upcoming month. Exhibit 5.3.4-9 is the Vector report of all accounts that meet the swap selection criteria and, in addition, an exception report is also generated for those accormts that do not meet the criteria. 5.3.4-24 ?2005 ACS. Inc. s. s. ?2005 ACS, Inc. 5.3.4-25 segment within each month, fr om in! Exhibit 5.3.4-9. Vector?s Tag Swap Summary Report tracks the statuses of all tags selected for swap by tial selection to their ?nal return or the charge of lost tag fees. Report Date 08.18.12.005 '1'2mc 22:17:33 Swap Month: May, 2005 Agency: MTA Total Accounts Swap Tags Sibling 'I?ags Total Tags Eligible Total Tags Assigned Tag Swap Summary Report As of: 08/18/2005 Swa . t2 3,841 4,868 1,863 6,731 6,706 Report Number 89T Account Type: Private Date Accts. identi?ed: 4/25/2005 Swa ment 3.834 4,480 2,439 6,919 6,906 Imam 11.516 13.508 6.982 20.490 20.428 Scheduled Mail Date Tags Returned 16-May-2005 5,422 23-May-2005 5.428 30-May-2005 5,566 16.416 Percent Returned 79.27% 80.64% 80.45% 80.12% Tags not Returned, Fees Pending 0 0 0 0 Unassigned Tags 0 0 0 0 Accounts with Lost Tags 121 161 129 411 Scheduled Date to Charge Fees 29-] 06-Jul-2005 13-Jul-2005 Tags Charged Lost Tag Fee Sold Tags Not Charged Fees 1,394 0 1,278 0 1,340 0 4.012 *Eligible Tags Not Swapped 24 25 I3 62 Variance 0 0 ?l?ags with Credited Lost 'I'ag Fees 80 37 133 Total Tags not Swapped (03's Returned) Tags not Swapped 776 92 885 2.521 92 *Tags put into Lost/StoleanetumchRetained before replacement tags assigned Tags selected but not assigned Server . czactuath Uscr;AdmiuislIator Completed At 08/180075 22'34'52 Started At 03/189005 7270002 Execution Time .- 2090 Seconds Visible page 1 Tag Swap Summary Report 5m During account and tag selection the following conditions are considered: 0 Private accounts with non?revenue plans are excluded from selection. Non?revenue accounts will be handled via a direct customer service outreach program to ensure the needs of non-revenue customers are addressed. 0 Accounts must have a good financial status at the time of selection. 0 Accounts can have a tag specific plan. 0 At least one tag on the identified account must have a "date of birth" at or below the current threshold tag nunlber for TBTA and Port Authority Accounts. For NYSTA accounts, the tags must fall Within the current or previously identified inventory range authorized by NYSTA for tag swap. 0 If the customer pays by credit card, the account can have a negative balance as long as the financial status is 0 Accounts with a statement delivery status of will not be selected as these accounts are considered suppressed due to delivery address issues. Tags that do not meet the requirements for the respective Authority are considered exceptions and will be rechecked in the subsequent selection process to see if their status has changed. Understanding that not all tags returned to the New York Service Center during the tag swap process will be pm'mary swap tags, Vector has the capability of discerning between prinlary swap tags that should be set to expired status, non?primary tags that should be recycled and reissued, and tags that are approaching the expiration age and therefore should not be reissued. The enhanced Vector system also has the capability of organizing expired tags into logical stores that aid in their tracking and management as they move from their expired to disposed statuses. This ?exibility will allow the Authorities to readily know how many tags are pending disposal as well as how many tags have been disposed to date. Based on a rolling paranleter, which could be either a date of birth or a threshold tag number, Vector will, at regular intervals (90 days), reset the boundary limit for tags that should not be re?issued. Tag Swap Customer Notification Process Customer service is the primary driving force behind the proactive tag swap initiative and as such, effective customer comnumication is of the utmost importance to ensure the program?s success. Accomlt holders who have tags that are identified for tag swap will receive a series of three letters that will introduce, facilitate, and guide them through the tag swap program. 5.3.4-26 ?2005 ACS, Inc. 5. A 5. 0 Each tag swap customer receives an introductory letter (first letter), Exhibit 5.3.4?10, explaining the nature and reason for the tag swap. The focus of the letter is on the assurance of continued high quality service and provides the customer advanced notice of the tags identified and the time in which they should expect to receive their replacement tags. 0 Seven days following the first letter, the customer receives a replacement tag kit that includes their replacement tags, return shipping materials, and a profile letter that details the tags that were identified for swap as well as their new replacement tag numbers. The letter includes detailed instructions for mailing back their old tags and covers the tag return deadlines and penalties for not returning the old tags. 0 Following the profile and tag kit mailing, the customer receives a reminder post card. The post card reminds the customer to return the tags if they have not done so ah?eady. Customers who fail to return tags within the specified swap period are assessed a fee for each tag not returned. The fee amount assessed for failure to return a tag is based on the tag value designated by the Authorities. In all cases, fees charged are based on the tag type, stated cost of the tag, and business rules established by the Authorities. Vector also has the capability of capturing account and plan types that may be subject to different fee schedules based on account status and rules designated by each Authority. ?2005 ACS, Inc. 5.3.4-27 5m Tag Swap Introductory Letter w. PATGSP NewYorlrServlce Center P.O. Box 149011 Staten Island. NY mason August 29, 2005 Dea' E-ZPass Customer: E-ZPass has been saving its customer time and money tor years. To make sure you continue to receive uninterrupted service througi the toll plaza, we at E-ZPass would like to replace your old tags - at no cost to you. Within the next week to ten days, you will be receiving an E-ZPass Tag Kit by mail to replace your current tag(s). To better serve you, we will use this opportunity to replace every tag on your E-ZPass account, regardless of the date issued. to ensure contiruous and quality E-ZPass service. The following tags are currently assigned to your account 00500766099 00500558203 Your E-ZPass Tag Kit will provide you with a new E-ZPass tag(s) and a prepa'd envelope to mail your older tag to the E-ZPass Customer Service Center. A lost tag fee of $23.00 (interior tags) or $29.40 (exterior tags) will be charged to your account for older tags not retumed within 15 days of receiving your new tag(s). Your participation and cooperation will be very 'rnportant in helping us maintain the high level of service that you expect from E-ZPass. We look fonuard to serving you and cont'nuing to improve your travel through the success of the E-ZPass program. E-ZPass New York Customer Service Center E-ZPass Customer Service Box 149011, Staten Island. NewYork 10314-9011 Website: Telephone: (8655) 1-800-772-7935 Fax: 718390-9772 tw? YEP Exhibit 5.3.4-10. Every customer selected for tag swap receives a letter of introduction before the receipt of their new tags, advising them of the reason for the swap and their responsibility to return their original tags. This is an example of the letter currently sent to the customers. 5.3.4-28 ?2005 ACS. Inc. Swap Tag Kit Mailing Customers who are identified to have their tags swapped receive a tag replacement kit. The tag kit consists of: 0 Exhibit 5.3.4?11, A profile letter detailing the customer's old and new tags, deadlines, and penalties A new replacement tag for each tag being swapped 0 Shipping materials to mail back their old tags Return Swap Tag Processing Although customers will be instructed to mail their tags, some customers find walk?in centers a convenient place to conduct all of their business. In order to ensure returned tags are processed efficiently, returned swap tags are not accepted over the counter in the walk?in centers. Customers are instructed to insert the return tag package into the drop box (located in all service centers). Walk in centers then send those tags directly to the Tag Swap Department for processing on Staten Island. Customers have 45 days to return old tags. Customers who return tags within the specified time do not incur any fees. Customers who fail to return their old tags within 45 days can have their tags deactivated and accormt debited for the cost of each tag not returned, based on the tag type. The charging process is managed though the Vector inventory management system. Vector provides a Swap Control screen (Exhibit 5.3.4?12) that allows the service center to cut off all tags not returned, by mailing segment. Vector can initiate this functionality in either an automated mode that runs on a predefined schedule or in a manual mode that provides the Authority ?exibility in assessing fees. 5.3.4-29 ?2005 ACS, Inc. A s- 5m Tag Swap Customer Profile 1 New York Service Ce-n'ter John Doe 123 Main Street Anytown. CT 12345 August 29, 2005 John Doe 123 Main Street Anytown. CT 12345 Dear MTA Bridges and Tumels E-ZPass Customer: Enclosed is/are your new E-ZPass tag(s). Ettectlve immediately, they are to be used as replacement for the tag(s) that you have been using until now. We have identi?ed the following old tag(s) assigned to your account: Original Tag(s): Replacement Tag(s): 00123456 00087654 00234567 00876543 00345678 00765432 Please take a moment to insert these old E-ZPass tag(s) in the enclosed prepaid envelope and return it to the E-ZPass Customer Service Center as soon as possible. You must return your old tag(s) within 15 days of receiving your new tag or be charged the lost tag fee of $23.00 (interior tags) or $29.40 (exterior tags) - our cost - for each tag assigned to your account that is not returned. If your old tag(s) are not returned, they will be deactivated and will not operate in any toll lane. so please send them back as soon as possible. It you attempt to use a deactivated tag at MTA Bridges and Tunnels facilities, the gate will remain down and you will be required to pay the full toll in cash. We look forward to serving you and continuing to improve your travel through the success of the E-ZPass program. E?ZPass New York Customer Service Center E-ZPass Customer Service Center. PO. Box 149008. Staten Island New York 10314-9008 Exhibit 5.3.4-11. Sample of Customer Pro?le currently send to customers. (Page 1 of 2) 5.3.4?30 ?2005 ACS. Inc. s. s. IMPORTANT RULES TO REMEMBER Thank you for joining E-ZPass and the New York Customer Service Center. We are committed to providing you the best possible service. To ensure your E-ZPass experience is truly a positive one, it is imperative that you remember a few simple rules. 1. UPDATE YOUR LICENSE PLATES You must maintain a current listing of all the vehicles that utilize E-ZPass. This will prevent you from receiving a violation notice in the event that your tag is not read Updating your license plates is easy with our online account service. 1115mm Access Login to your account (Account and PIN). Click on Vehidefl?ag Maintenance. and Vehicle Maintenance to provide E-ZPass with updated icense plate information. 2. ALWAYS MOUNT YOUR TAG E-ZPass tags must be mounted according to instructions provided to you. You must not hold the tag or place the tag on the dashboard while traveling through an E-ZPass lane. Holding your tag is unsafe and can result in your tag not reading. This can result in violations and administrative fees up to $50 per occurrence and may delay your trip unnecessarily. If you need additional adhesive strips for mcunting your tag call 1-800-333-8655 and press 5 and follow the prompts. You will need your account number available. The E-ZPass tag label should be facing you with the arrows pointing up. Adhere the tag to the inside upper portion of your windshield at least one inch to the right of the center support of the minor and at least one inch below the tinted section of the windshield. Some vehicles may have additional options that will not allow the tag to function correctly if mounted as directed. The tag may need to be mounted on the left side of the rear view mirror as opposed to the right in order for the tag to function correctly. 3. OBEY THE POSTED SPEED LIMIT IN E-ZPASS LANES Among the provisions of your E-ZPass agreement was that you must approach and pass through an 'E-ZPass Only" lane at the posted speed limit. Failure to do so could result in suspension or revocation of your E-ZPass privileges. The safety of our employees and the traveling public is critical to the Toll Agencies and to the success of the E-ZPass program. Thank you again for joining E-ZPass and Following these three simple rules will maximize you' E-ZPass experience. and limit potential problems that could occur. Exhibit 5.3.4-11. Sample of Customer Pro?le currently send to customers. (Page 2 of 2) 110.NYEZP @2005 ACS, Inc. 5.3.4-31 Vector Swap Control Screen ETC Account Management Application - Device Assignment He Folders Help as g? as m. rm mi AcctMant Fnancial sson Histo'v Reports Close Ext -f Dewce Assq?ment Device Infonnotson Device Return Swap Cot'hd I [Year Month Segment ChargeFeeDate LastProcessDate DaysDelay Approved] V2066 i: _3 row?0382015; C70 +1 2 I lzoosls '1 Ioeneizoos, :o A, 2005 1' 4 3 oorozrzoos ommoos 2065 I 4 2 osrzsizoos 37m7yzms I 2005 I 4 .r?osnaizoos emorzoos i zoos 3 7 meiozrzoos perm/zoos 70 l_2w5?l 3 {0412mm}: Reef 3 I W232 were i 229?: _3 I wages: 93303005 [?2005 2 2 [?53izsizoos 'oalzorzoos 9 {zoosl 2 0312112005 qurzorzoos Ll Agency Accomt Type NEW YORK rmuwnv 3; :anate Ll litE' 'i ii? 2 . .2?amc . Address ??39 12:17 pM 1H NVEZP Exhibit 5.3.4-12. Vector allows Tag Swap Department management to deactivate tags selected for swap that have not been returned, either by a predetermined aging schedule or manually by the original swap segment date, using the Swap Control screen. Tags returned to the service center are removed from customers? accounts and sorted based on the condition and status of the tag. Tags may fall into two initial categories, Expired (ready for disposal) or Returned (to be recycled). The return process is managed via Device Return Within Vector (Exhibit Vector efficiently sorts and removes tags from customer accomlts. The processing clerk needs only to scan the tag?s serial number barcode into the screen (up to ?fty at a time) and Vector handles the rest, efficiently removing the tags from the customer?s account. 5.3.4-32 ?2005 ACS. Inc. A s. s. Device Return Screen ETC Account Management Application - Device Assignment File Folders Help I 622 t? E3 a i had room: Acct Mm Fnancial gm ristorv Reports Close Ext {l Device Assoment Devuce lnformat'm Device ileum Swap Control Device List Box List No. Status Box No. Box No. ?ags .-- I i 00805418858 RETURNED nla . 00805511600 REILRNED nla I 00305511so1pEru2~E0 m'a 00805510735 RETURMD OIL i I Device No. Device Status Box No. t?J Save i l-r?lruochonsmd l? 1120200512051? I ld'Startl 2 Microsoft Excel v} UDSSO3 ll. . Address ?g 12:15 pM Exhibit 5.3.4-13. Tags returned to the service center are handled efficiently in Vector Device Return screen, allowing the clerk to designate the tags either for disposal or re-issue. Reactive Swapping Manual Toll Swap Based on in-lane procedures and bad tag reads in the lane, TBTA compiles a file of tag numbers that require replacement prior to the proactive tag swap process. Vector has the capability of receiving these files through an automated process and adding the identified tags to the tag swap process. If the account status is good, a replacement tag is assigned to the account and a profile letter is generated. Under this process only the identified tag is swapped. The customer receives a tag kit that includes the profile letter, replacement tags, and shipping materials to return the tag to the service center. The profile letter advises the customer to return their tags Within a specified number of days as well as outlines the tag fee penalties for failing to do so. At the Authorities? direction, Vector can track the rettu?n of tags designated for Manual Toll Swap and automatically deactivate and charge tags not returned within 30 days. @2005 ACS, Inc. 5.3.4-33 5m Special Swap Provisions - TBTA Franchise Bus Accounts ACS will develop an action plan to handle TBTA Franchise Bus Tags and similarly situated accounts that require a more hands?on approach over the fully automated process now in production. The action plan includes the following items: 0 ACS will develop a team of customer service representatives who will coordinate all phases of the Franchise Bus Swap initiative. 0 Franchise Bus customers will receive a customer service outreach call in place of a first letter, introducing them to the tag swap program. 0 Franchise Bus Companies will receive a profile letter similar to the profile currently used to accommodate business and commercial tag swap accounts. The business and commercial account profile is designed to handle any quantity of tags targeted for swap. 0 All Franchise Bus Tags will be replaced with yellow roof-mounted tags, regardless of the tag type of the old tags being replaced. 0 Franchise Bus Companies will not be charged for replacement tags; however, this policy may be subject to change by TBTA. The profile letter will detail the customer?s old and new tag numbers, return tag deadlines, as weH as penalties for not returning tags within the specified deadline. Franchise Bus Companies will not receive a reminder post card but instead will have their tag swap fully coordinated through direct customer service outreach. Upon confirmation from TBTA, the newly enhanced Vector system can acconunodate account or plan-level tag swaps and provide an account?level mechanism to cut off all Franchise Bus tags not returned by the specified deadline (30 days). Franchise Bus customers who fail to return their tags will be subject to cut off and tag fee schedules determined bV TBTA. Special Swap Provisions?Non-Revenue Accounts Understanding the sensitivity that is necessary whenever handling the Authorities' Non- Revenue accounts, ACS will incorporate strict controls to maintain a high level of security. ACS will use a tag swap process comparable to that used for the Franchise Bus tag swap process mentioned above to manage the identification and replacement of non-revenue tags. ACS will develop a team of customer service representative, who will coordinate, with the cooperation of the service center?s Non-Revenue Analyst, all phases of the non?revenue tag swap initiative. The non?revenue action plan and procedure will include: Non?revenue customers identified for tag swap will have their tags replaced free of charge and in accordance with Authority-defined business rules. 5.3.4-34 @2005 ACS, Inc. s. 0 Non?Revenue customers who report their tags as lost or fail to return their tags will be charged the applicable tag fees. Lost fee refund decisions will be made by each Authority. Non?Revenue Private individual accounts will receive a profile letter similar to the profile letter used for private tag swap customers. 0 Non?Revenue fleet customers Will receive a profile letter similar to the profile currently used to accommodate business and commercial tag swap accounts. The business and commercial account profile is designed to handle any quantity of tags targeted for swap. The profile letter will detail the customer?s old and new tag nunlbers, return tag deadlines, as well as penalties for not returning tags within the specified timefraine. Business/Commercial Tag Swap?Tag Selection Given the size and complexity of business and postpaid commercial accounts, ACS will continue to deliver a tag swap program specifically geared to meet the needs of business and commercial customers. Using Vector, AC8 identifies business and commercial tags eligible for swap based on the business rules defined by the Authorities. The tag selection process queries business and commercial accounts on a basis to determine the quality and quantity of tags that meet the tag swap age or range requirements. Business and conunercial accounts selected for tag swap are handled as one segment per Authority each month. This allows for the production time involved in programming tags and assembling tag kits. A report is generated from Vector of all accounts that meet the criteria and an exception report is also generated for accounts that do not meet the criteria for swap selection. Similar to the private swap process, business and commercial customers receive three letters. 0 The first letter introduces the customer to the swap process and explains why the tag swap process is beneficial to the smooth operation of their business. The first letter also contains a complete listing of the tags identified for swap and explains the penalties for failing to return the identified tags. 0 The second letter is the tag swap profile letter. The profile letter arrives with the tag kit within 30 days following the introduction letter and contains detailed instructions on how to replace and return their tags. The letter also outlines the deadline for returning tags as well as the penalties associated with failing to do so. 0 The profile also contains a tag?by?tag breakdown of the customer?s old and new tags and provides such information as the IAG vehicle reference number and tag color and mounting type. Providing detailed information enhances the efficiency by which the customer Inanages the tag swap process. Vector has managed thousands of business profiles to date and is efficient at processing multiple page length profiles required for business and commercial accounts. ?2005 ACS, Inc. 5.3.4-35 5m 0 Business and commercial customers receive a reminder letter in place of a post card. Business and commercial customers often ignore post card-type mailings and dismiss them as junk mail. These customers are more likely to take notice of a business letter addressed to the company. The reminder letter arrives 30 days following the profile letter and advises the customer that their tags have been shipped and that the deadline for returning the tags expires shortly. The letter also reminds the customer of the penalties assessed if tags are not returned as well as provides service center contact information in the event they have not received their tags. The main objective of the business and commercial tag swap process is to efficiently get the new tags into the hands of the customer and the old tags back to the service center with minimal interruption to the customer's business. To accomplish this objective, Business and Commercial tag swap customers each receive a customized tag kit containing a profile letter, replacement tags, and return shipping materials. Unlike private accounts, business and commercial accounts are not limited to four tags per account and could have as many as several thousand tags per account. ACS has worked diligently to control shipping costs and negotiated deep shipping discounts with Federal Express. Working with FedEx, ACS developed a customized shipping program for business and commercial accounts that covers the various shipping needs of business and commercial customers. For business customers who have relatively small accounts, the US. Postal Service, in combination With our Tyvek packaging program, remains the most cost effective shipping solution. Electronic Tag Swap Lists ACS recognizes the importance of business and commercial accounts to the overall success of the New York program and has developed additional tools to assist customers with the smooth management of the tag swap process. Business and commercial accounts often have accounts with other toll authorities and often share their New York tag information with those authorities in order to obtain toll discounts. To improve what would otherwise be a cumbersome process, Vector creates electronic tag swap lists that customers can easily share with other toll authorities. Master Swap Lists In order to provide an additional opportunity for proactive customer service, Vector creates an electronic master list of all accounts selected for swap in a given month. A separate list is available to each Authority and provides the opportunity to identify customers Who may need additional consideration or help in managing the tag swap process. 5.3.4?36 ?2005 ACS, Inc. EM 5.3.4.3 Application Processing/Tag Encoding and Distribution RFP Proposer Instructions: Proposers shall describe how they will handle customer application processing and tag distr bution assuming the practices and procedures currently used in operations are retained, as described in this Statement of Work. However, the Authorities encourage Proposers to submit Alternative Proposals to suggest other innovative methods for issuing tags to customers, which could replace or complement existing methods. Since the introduction of ACS has worked with the Authorities to develop innovative processes to handle high volunle and high profile tasks, in an efficient and cost? effective manner. ACS has successfully addressed major operational challenges involving application processing and tag distribution. FORMER CHALLENGE ACS INNOVATIVE SOLUTION Private applications mailed in envelopes resulted in additional expenses for printing and mailing as well as labor costs upon receipt at the service center. ACS designed a self-mailer application that is less expensive to print and mail because there are no envelopes that add weight. The self mailer is easier to open upon receipt in the service center. resulting in both ef?ciency and cost-effectiveness. Customer requests for tags were far greater than originally planned resulting in the labor- intensive manual assigning of the tags to accounts. ACS developed a batch process in Vector that assigns the next tag right out of the inventory box ful?lling tag requests and adding ef?ciency to a daily high volume task. Stand alone mailing labels generated for use on outgoing tags could result in incorrectly addressed tag kits and additional labor costs ACS designed the Account Pro?le to include an integrated mailing label, avoiding incorrectly mailed tag kits and providing cost savings. in the service center. Going forward, ACS continues to look for new opporttmities to improve efficiency and cost-effectiveness throughout the New York project. Most customers first interact with by filling out the application and then receiving their tags, along with an account profile and guidebook. ACS worked closely with the Authorities and designed these documents with the customer in mind. The application was designed for ease of use, to minimize customer errors while filling it out. The account profile was designed to provide the customer their account and tag information and contact information in an easy to read format. The guidebook was designed to be informational and sized for convenient storage in a glove compartment. Whether the application is received via fax, mail or in person, the data has to be entered into Vector for the new account to be established. In the walk?in center the clerk transcm'bes the customer's information into Vector, processes the payment and assigns and issues any requested tags. Within the lockbox, the clerk enters the demographic, vehicle, and plan information and applies the payment. Tags are requested and Vector assigns the ?2005 ACS, Inc. 5.3.4-37 5m appropriate tags in a batch assignment overnight. Clerks in the tag inventory departnnent then match the assigned tags to the generated account profile and prepare the tag kit that is to be mailed to the customer. All applications that are received via walk?in, fax or mail are scanned into Vector and the inlage of the original application is associated with the newly established account and is readily available as needed. Customers who open their accounts via the Web will be entering their data directly into the Vector database. All accounts must include the appropriate payment that must be processed as the account is opened. The account profile is included with all new tags that are either mailed to the customer or handed to the customer if they are at the walk-in center. The profile includes an integrated address label that is used to mail the tag kit. ACS recognized the Authorities' requirement to store applications for one year online, six months on site and maintain archives until the customer closes the account. ACS understands the importance of keeping applications. We cm?rently scan all applications and attach electronic images of the application to the account. Thus, if a CSR has an issue with a recently opened account, he/ she can immediately View the application and resolve the issue. We believe this to be value?added for the Authorities beyond the requirement as it saves time for the customer and for our staff. With over 6.1 million tags active on accounts, a process that may include a small percentage of tags incorrectly programmed due to the complexity of the IAG vehicle classes could mean large volumes and major problems in the lanes. Tags are assigned and issued to accormts, based on the vehicle information that the customer provides. A major enhancement to Vector includes a full interface to the Mark IV tag programming function. This new interface ensures that the tag that is assigned to the account is programmed exactly as requested. Currently, without this interface, a tag is programmed for a particular vehicle type and that tag number is then separately assigned to the account. Vector will now include the programming function and bring together the requested vehicle type and the properly programmed tag. Account ownership dictates which Authority's tag is assigned to the account. An account may be assigned to an Authority based on various factors including place of residence or a particular plan included on the account. The policy of the Authority will decide if a fee is to be charged or if a deposit is to be accepted or waived. ACS realizes the importance of timely responses to customer inquiries. Applications that are received and not properly filled out must be returned to the customer within two business days, with instructions for proper handling. As per the established performance standards, additional tags that are issued to existing accounts must be mailed within two business days of the original request and tags issued to new accormts must be mailed within three business days of receipt of the completed application. ?On the Go? Ratall Tag Program ACS has worked closely with NYSTA to establish a successful retail tag program called ?On the Go.? Initially, during Phase One of the program in 2004, over 10,400 tags were sold in four Thruway travel plazas and processed in manual mode at the service center. This volmne represented four percent of the total tags issued by the New York State Thruway 5.3.4?38 ?2005 ACS, Inc. s. A s. during that period. Phase Two went into effect on June 1, 2005, and as of mid-August, 2005, an additional 8,350 tags were distributed to ten retailers of which 4,900 tags have been sold in a more automated environment. This represents six percent of the total tags issued by the New York State Thruway during the same period. Tags for this progranl are prepackaged in a blister pack for retail sale outside of the service centers. ACS and the New York State Thruway Authority designed and printed an informational brochure to introduce customers to the ?On the Go? program (Exhibit and have distributed it at the retailers that are selling the tags. ?2005 ACS, Inc. 5.3.4-39 5.3.4-40 @2005 ACS, Inc. A c? S. retailers. Page 1 of 2) The ?On the Go? retail brochure is available to customers through the participating Exhibit 5. 3. 4-14. How E-ZPass Works Your E-ZPass Tag is the key to your use of the E-ZPass System Your Tag (A) contains a chip with computeri7ed information identilying your account. As your velm: e enters and exrts toll plazas. the lag intormation Is read by an overhead antenna in the E?ZPass facility The proper information is recorded in your E?ZPass account A traffic signal (C) turn green indicating a successful transaction. Other Ways To Get E-ZPass ONLINE FOR AN APPLICATION Call 1-800-333-8655 Press 5 and ask the Custuner Service Representative to mail you an application VISIT OUR SERVICE CENTERS Albany i1 Par?. DIIVU Syracuse Flam in 2- NY Klimt Buffalo 2H5. .Slrr-r' F'lun?l 9:74.111 Shim 101C Hum-ll?. NY 14:73.3 Grand Island Island Bl-?c Grand Is an: N: 14762 Spring Valley 17' F?crls'm Drive, Spring Valley NV 10977 Yonkers rir Yorkers NV ?0704 Staten Island 1 Frlgewa?er Plaza 1? Floor Slater: l5 aid, NY 177.05 Queens 19 02 i?r: 3 Ellis? Coll-kg: Polrl fx?r' 11155;! A muti- mm rammed PASSENEHI ?On the Go? Retail Brochure c? S. ?2005 ACS, Inc. 5.3.4-41 retailers. (Page 2 of 2) The ?On the Go? retail broch Exhibit 5. 3.4-14. ure '5 Iable to customers through the partic ipat mg E-ZPass On-the-Go ZPass On-the-Go is a new innovative way to obtain an E-ZPass Tag FJPass On-the-Go allows the busy traveler to open an E-ZPass account without ?lling out an application or waiting in line You also receive a 10% discount on all Thruway tolls. It's as E-Z as 1-2-3 1. Stop at a partrcipating Travel Plaza and purchase the prepackaged account kit for $25 00. 04' Complete your current Thruway trio usrng the toll ticket received on entry (Tag mus remain in foil pouch until you have exited). Mount Tag on windshield. 3, VisitwtwevpassNY corn or will 800-697-1554 to ragister your Tag within 48 heurs of its first use. Once the Tag is registered. the full $25.00 will be credited to your E?ZPass account for you to use. E-ZPass Frequently Asked Questions How do I put more money on the Tag after the initial $25.00? .?hen you register your Tag, you Le prompted to select one of two replenishment methods; 1. Credit Card with Automatic Replenishment The easies way to pay When your prepaid balanw reaches a certain level. your E-ZPass account will automatically be replenished. No lag deposrt is required. 2. Check or Cash Replenishment You can replenish your account by mailing in a check or max'e a cash payment at one of out eight curiver'ient walk-in centers listed on the back of this brochure. A Tag deposit of $10.00 is required with this replenishment option Where can I use E-ZPass? New York Virginia Massachusetts New Jersey Maine Delaware Maryland West Virginia iComirig Soon: Illinois, New Hampshire) Can give an E-ZPass On-the-Go Tag as a Gift? Yes. An ZPass On-the-Go Tag is an excellent gift idea for arty occasion. You can buy the Tag and give it to anyone to register at a later date Does E-ZPass On-the-Go cost extra? No. there !8 no additional cost tor getting an ZPas-s Tag at an On?the-Go location. The lull $25 payment is credited to your E-ZPass account once the Tag is registered. Can I add an On-the-Go Tag to my existing E-ZPass account? Yes. as long as your existing Tag was issued by the NYS Thruway Authority. This can be determined by verifying that your exrsting lag number begins with 004. lithe Tag does not begin with 004. then you may not add this Tag to the account What if I have more than one vehicle? Each E-ZPuss account can have up to 4 lags or extra mounting strips will be provided it you want to move your E?ZPass lag between vehicles. However, all vehicles that use the same Tag must be the same vehicle type and the Tag must he mounted correctly on the windshield. Can I use an On-the-Go Tag for Airport parking? Yes when you register the Tag and choose credit card with automatic replenishment you are automatically enrolled in E-ZPass Plus. ZPass Plus allows you to usn your Tag to pay for parking at JFK LaGuardia Newark and Albany Airport parking tacililies Will I get an E-ZPass statement? Yes. Your Statement Will detail all trips by date. location and tolls, as well as any payments made, E-ZPass On-the-Go Tags are now available at the following Travel Plaza Gift Shops: New Baltimore Travel Plaza - exits 218 3 22 at 'nileocist 127 norm. and Guilderland Travel Plaza 7 00A - 3 cu PM. Between 9:015 25 8 2-1 a: milecos: t53 eastbowc) Port Byron Travel Plaza M. - 9 00 M. {Between OXHS 41 8 40 a: mum/:51 to Scottsville Travel Plaza 7:00 I?lel. 10:00 PM exit-5 47 8- 46 at L051 356- eastbound) Pattersonville Travel Plaza 7:00 A.M. -10:90 PM. :Detweon exits 26 at 27 at milepost 168 westbound?, Chittenango Travel Plaza Between mitt: 34 S. 34 d. n: r?lf?rn??. (on westbour't- Seneca Travel Plaza PM. (wits 8? 45 at ?truest 350 westbound) Angola Travel Plaza 7:30 AM -10 30 PM. exrls 57A 5 5-3 at ?It west 3.47 east and vie-sit: bend) Clarence Travel Plaza 7.0mm. -930 PM. tart-ween exits 48A X. $.71 :it n' (31091?; ?t:o ?0n the Go? Retail Brochure 5m 5.3.4-42 ?2005 ACS. Inc. A c? 5. directly for their tag shipments. Exhibit 5.3.4-15. Retailers who have been approved by the Authoriti to sell tags are invoiced Staten Island NY 10305 E-ZPass New Vork Customer Service Cent? 1 Edgcwatcr Paza. Suite 308 INVOICE #671 DATE: August 23,2005 To: Ship To: YORK STATE THRUWAY AUTHORTY 200 SOUTHERN BLVD. ALBANY. NY 12201 DATE I QUANTITY DESCRIPTION UNIT PRICE AMOUNT (38'23/2035 5c t-zpassm Il?e so $2540 Tags TOTAL DUE The sale and ofthe orcduct and/0' somcos l'r?is mo are abject to 2P5;s New standard sales te'ms a?d cmditrrn: listed the. 3-7Pax's (Indira-Go sales ir? eflect a the time the or servi:e was Ordered. Any variance from those terms and :onditions Nili be e?fecrive only i agreed to by tte hew Yer-c Slate Thruway i?utl?only pnor tolhe tine that tn: pchusl ur sew u: :s A $25.30 fee \"ill be assesscd for any checks returned ?cr non poy?rent and a me ?cc cf 33:; per says may be assessed on any anai-: Tota Balance me when payment 15 woe than 28 days del?n:uen: Flease suhn-it check 0- .?vlmev Order to The New ark Slate Thruway Auhonty :tto F-73FISS New York Cuslxner Se'v ce Center 1 Edgewater Plaza. Suite 305 Staten Island. NY 13305 THANK YOU FOR YOUR ?On the Go? Retail I their tags at pre?established prices. This program is Imique because the service center must manage and invoice a group of pre- authorized retailers. These retailers are authorized by the Authorities and are invoiced for The retailers sell the tags to customers who must register them online or via a dedicated 800 number within the call center. ACS has two customer service representatives trained and dedicated to the ?On the Go? program, available to answer questions from both the customers and the retailers. Importantly, the retailers can also use the website to reorder tags. Policies have been established to minimize security and financial risks, by deactivating tags that have never been registered, once purchased, or have used up all of their pre? established value. Retailers have the ability to log into the ?On the Go? link on the New York Web site as shown in Exhibit 5.3.4?16. There, they have the ability to see their account information, the status of their account, and to place and track orders. ?On the Go? Web Support l? 1. '36lindu' from an option bylaw Customer lam! xx Registration I 2 mm ng?fll'mr fl." (- 3.1393" nun/w]! Ml'dh" .1 lull in! Exhibit 5.3.4-16. Retailers have the ability to see their account information and place and track orders. Under Phase Two, customers purchase a tag at a retail store for $25. The $25 purchase price includes $15 in pre-paid tolls and a $10 tag deposit. The tag is active for use without it being assigned to an account. Upon first use, the customer must register the tag within 14 days. If the customer fails to do so, or uses $15 or more in tolls, the tag is then rendered inactive and thus invalid at all facilities that accept Once the customer registers the tag it will be reactivated and valid in the lanes. To register a tag, customers log into the New York website and select the ?On the Go? link. Once there, the customer has the option to register the purchased tag to an existing New York State Thruway Authority account or to establish a new account. When registering the tag to an existing accormt, any funds remaining on the purchased tag are transferred to the existing account. In either case, the customer then receives confirmation of their ?2005 ACS, Inc. 5.3.4-43 5m transaction displaying the initial accormt balance, initial tag deposit, tolls associated to the ?On the Go? tag, and their current pre?paid toll balance. In the service center, customer service representatives have the ability to access the same website, as well as a separate website that is only for in-house use. Access to this separate website is secure and only available to customer service representatives with specific permissions. There, the ?On the Go? CSR has the ability to: 0 Establish a new retailer 0 Update information for an existing retailer 0 Place and track orders 0 Fulfill or cancel pending orders 0 Pay invoices 0 Register tags on behalf of the customer ACS looks forward to discussing the expansion of the ?On the Go" retail program with the Authorities and to incorporate the experience from ACS Maryland project Where we are involved in the selection of the retailers. 5.3.4.4 Communication with Customers RFP Proposer Instructions: Proposers shall descr be how they can optimize the production, inventory, handling and distribution of all customer materials. In addition, Proposers shall indicate how they will encourage the use of the website and e-mail over other forms of communication in providing customer service. ACS has worked with the Authorities to develop customer service materials that provide necessary information to potential new customers and to keep existing customers well-informed about their accounts. New customers fill out their applications correctly and have many of their questions answered because of the clear and concise information provided in printed materials such as applications and guidebooks and in electronic format via the Web. We use every opportunity of customer interaction to remind customers about Web functionality. Producing and Distributing Materials Our graphic design teanl has developed applications and customer guidebooks that have been successfully used for years, for both private and business accounts. These documents have been updated as policies have changed. staff coordinates the design of these materials with the Authorities, the graphic artist, and the printer, guiding each through multiple draft stages to the final approved blue line. Both the graphic artist and printer that work with ACS have years of experience preparing these types of materials. 5.3.4-44 ?2005 ACS. Inc. A 5. Working as a team ensures an optimal turnaround from initial design to receipt of the finished products, resulting in efficiencies for the cost of materials as well as storage space. Storage space is optimized because inventory levels are tracked based on the volume of applications, guidebooks being distributed, and the turnaround time for the print run. Examples of applications and guidebooks can are shown in Exhibit 5.3.4-17, Exhibit 5.3.4-18, Exhibit 5.3.4?19, and Exhibit 5.3.4-20. The Private Application E-Pee: NY Customer Service center 5k 3' mum, New York Service Center a . I For 2-nxle individually owned/leased vehicles 7,000 lbs. max gross weight (vehicle load) and single rear tires (includes RV's and pickup trucks with dual reartirm). I Dr apply for E?ZPass on the internet with your credit card by visiting the website at - I Access our website or call to change an existing E-ZPass account, if you are a Business Customer. or do not own/lease a vehicle. 1. APPLICANTS PERSONAL be I Personal Beati?cation Ill-niece LastNune Fistllarne Ml I I I I Mullng Address (Provide home edi?ces It a Reside! Dlscoure Plan) m. Oly em leCode Day Phone Evening Phone RegrleermiMomrly) Donotsendasmernerl 2.VEHIOLE 1L - 4 . .mnw-enmune?ee-em VdideTmm: v-Van rre-nvmnaures I - Mounycle - Plclorp anck IS- RV dual rur tires PS - duel rear tlres Lleenee Plete Number (Flee-e mar-1y) see Vehicle The code Veer like Motel . mm - - . mm- D. Corrmuterl?eellent Dleeorllt Plans The dolhrernount Included on the attached lot of Em A. Number ol Tag: (?mil 4) Flare Is the mhlmum prepeld amount for tha plan. Multhle requests for tag speci?c plars must he hated Not: For certain whldee. you may recelve err exrqlor mg. IMO: ?90 NW Md RMWBIWU 0W residents autamlodh team did! um resident dewunt See pm 8. Tee Depoelt Due n? Haw-rust you select dealt card peymart (Option 1 below) 3 your deposit ls mired. . rr you career dredr/csh (antlonzhelolv) 3 add a 810.00 rdundeble depoell for exh tag chided. mum E. at: on 825 (Up to4uge) 3 $50 (3 or 4 rage) he tone amount from ededed pbrre rel not cover the ?rst months charges.) G. (Million (Dillon 1 - Credit Card with Automatic Replenishment El 2- Check or Cash Replenishment Wham-1hrType: Dvrsa DMestercard DAmerlan Express Dorscover mg: I urthoriee 52m. to immed' drIge my cred tcerrl the total anoint dreen 'n I'ne G. Wm nry mud uneunt (been. to or below the mieniehrnent ll? gain! lorrny noun. mm to Me and my ointment emeunt. I u-rhretandend nm and! drew- erll eon'nrn until my rue-9 Incurntil Orrn'nnd orl revel. Ilil euttmim?on in vrriu'ru, uh I feilm mm or require repleurnln. a noun edmirielmieeheor Pm '3 9? Plue eherge. I errll'reriee to charge my edit cerd the wreprine amount incurred under the term at reernerrt. I eulhorize in in rqnlenehment "Wm diecretien to main new intormeu'on about nerd. indudru norm numbere end aviation MI. from the rrerriel imiurticn my nerd. DO NOT Curr-our equine on. 113.NYEZP Exhibit 5.3.4-17. The private application is designed to provide the customer the tools to learn about the program and ?ll out the application correctly. ?2005 ACS, Inc. 5.3.4-45 The Private Account Guidebook Individual Guidebook To The Quick And yo? '9 flee To Fey 1qu ?my 9- hour Waco "?rum lane 7 Wu~ ?3656/88805?1? ?9 Ila/7,00, 1 1 5.NYEZP Exhibit 5.3.4-18. The private account guidebook includes policy information, frequently asked questions, locations of New York service centers and toll facilities, and the account holder terms and conditions. 5.3.4-46 ?2005 ACS. Inc. A The Business Application 5kg? VEHICLE REFERENCE CHART Use this chart to determine the appropriate vehicle reference number required for each vehicle. lnsert the vehicle reference number on pages 3 and 5 for each vehicle you are requesting a tag for. 2 axles, 6 tires (up to 7,000 lbs.) 2 axles, 6 tires (over 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 3 axles, 6 tires (over 7,000 lbs.) 3 axles, 8 or 10 tires (up to 7,000 lbs.) 3 axles, 8 or 10 tires (over 7,000 lbs.) 2 axles, 4 tires (up to 7,000 lbs.) 328 2 axles, 4 tires (over 7,000 lbs.) 330 2 axles, 6 tires (up to 7,000 lbs.) 329 2 axles, 6 tires (over 7,000 lbs.) 331 3 axles, 6 tires (up to 7,000 lbs.) 332 3 axles, 6 tires (over 7,000 lbs.) 334 3 axles, 8 or 10 tires (up to 7,000 lbs.) 333 3 axles, 8 or 10 tires (over 7,000 lbs.) 335 c6533 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7,000 lbs.) 394 2 axles, 4 tires (up to 7,000 lbs.) 72 2 axles, 6 tires (up to 7,000 lbs.) 393 3 axles, 6 tires (up to 7,000 lbs.) 76 2 axles, 6 tires (over 7,000 lbs.) 395 3 axles, 6 tires (up to 7,000 lbs.) 396 3 axles, 6 tires (over 7,000 lbs.) 398 3 axles, 8 or 10 tires (up to 7,000 lbs.) 397 3 axles, 8 or 10 tires (over 7,000 lbs.) 399 2 axles, 2 tires (up to 7,000 lbs.) 4 axles, 8 tires (up to 7,000 lbs.) 400 2 axles, 3 tires (includes trikes or 4 axles, 8 tires (over 7,000 lbs.) 402 a sldecar up to 7,000 lbs.) 4 axles, 10 or more tires (up to 7,000 lbs.) 401 4 axles, 10 or more tires (over 7,000 lbs. 403 2 axles, 4 tires (up to 7,000 lbs.) 2 axles, 4 tires (over 7.000 lbs.) 2 axles, 4 tires (up to 7,000 lbs.) 456 2 axles, 6 tires (up to lbs.) 2 axles, 4 tires (over 7,000 lbs.) 458 2 axles' 6 tires (over 7'm0 lbs) 2 axles, 6 tires (up to 7,000 IDS.) 457 3 axles' 6 ?res (up to 7.000 IDS.) 2 axles, 6 tires (over 7,000 IDS.) 459 3 axles, 5 tires (over 7,000 lbs.) 3 axles, 6 tires (up to 7,000 lbs.) 460 3 axles, 8 or 10 tires (up to 7.000 ms 3 axles, 6 tires (over 7,000 lbs.) 462 3 axles, 8 or 10 tires (over 7,000 lbs.) 3 axles, 8 or 10 tires (?910 7.000 451 3 axles, 8 or 10 tires (over 7,000 lbs) 463 4 axles, 8 tires (up to 7,000 lbs.) 464 4 axles, 8 tires (over 7,000 lbs.) 466 4 axles, 10 or more tires (up to 7,000 lbs.) 465 2 axles, 4 tires (up to 7.000 lbs.) 4 axles, 10 or more tires (over 7,000 lbs.) 467 2 axles, 4 tires (over 7,000 lbs.) Note: - The weight limit of 7,000 lbs. noted throughout this CHART re?ects the goss vehicle weig1t(GVW) on the vehicle registration. - Other trucks and tractor trailer oomb'nations are listed on the reverse side. - Should your vehicle not conform to one of the descrip- tions listed, contact the E?ZPass Customer Service Center at 1-800-333-TOLL (8655). Exhibit 5.3.4-19. The business application provides customers the information needed to open an business account of any size, from one vehicle to a large ?eet. included in the business application is a chart that describes all vehicles from cars and to buses, trucks, and tractor trailers, and ensures that customers request the correct programmed transponders for their needs. ?2005 ACS, Inc. 5.3.4-47 117.NYEZP Exhibit 5.3.4-20. The business account guidebook provides the business owner with usage and policy information, as well as, account terms and conditions. 5.3.4-48 ?2005 ACS. Inc. The first point-of?contact that every new customer receives from is the designed Account Profile (Exhibit An Account Profile is the welcome letter that is included with the tag kit. ACS designed an integrated mailing label within the Account Profile that is, used for the mailing the tag kit to the customer. This design improvement resulted in operational efficiencies, as well as cost savings, eliminating the generation of a separate mailing label. The Account Profile provides contact information should the customer need to reach out to the Service Center. It also confirms the customer's demographic, vehicle, and payment information that has been captured in Vector, as well as the newly assigned account number, tag information, and any plan information associated with the account. A Profile is also included whenever tags are added to an account. ?2005 ACS, Inc. 5.3.4-49 5m The Account Profile August 16. 2005 Dear E-ZPass Customer Welcome to the E?ZPess Program. Listed betowis your account information. Please verily that ALL information on this sheet is correct. Incorrect license plate lntorma ton could result in Violation notices. It any of this informatton IS Incorrect. ease call the E-ZPass Customer Service Center at 1-800-333-TOLL (8655) to speak to a Customer Servrce Representative. You must return the stub at botnom Within 20 days. For general and account information. please take advantage of our automated phone system by dialing 1-800-333-TOLLI8655) or our website at Please have your account or tag number and PIN it ready. AocountNumber - No.0llntericr Tags: 5 No.3?Vehtctes: 3 No.0l Plans: 2 No.0tExterio'Tags 0 Malling Address- Day Telephone Number: Night Telephone Number: Statement Type EMAIL E-mail Address: MrEZPasseaolcom Tags Vehlcles a9 Number a9 Color Tag Specr to an Vehlcle Type ate Number Gate of ehlcle Make . ehicle Model 00501 IVORY Automobile (23x; 32er FORD WINDSTAR 1998 005010 IVORY Automobile r2ax; SBJI NJ MERCURY NONE SARI 1994 005010 IVORY Automobile (23x) PECSEE Nu NONE CAVALIER 1998 005010 wow NONE This tag number applies to a tag specilic plan. Please reler to the 'Ta? Sgecilic Plan? colurm tor this tag number and ensure that the tag is used In the vehicle that corresponds tc the tag speCilic plan selected. Tags are trans era to ONLX among vehicles ot the same Vehicle Type. Plans Selected: PA Carpool Basic Replenishment Method: VISA Credit Card Number: Expires: Jul-2008 Account Opening Date: 10/13/1995 Clerk ID: 179 Of?ce Use Only 319854 Return This Portlon Account Number: Credit Card Number Customer Name Paymert Method? VISA Pinam till In your Fxpiration Dale. I, . Month Year I hereby authc'mo to charge this credit card the mil mmont omomt cl $30.00 . Whenever my prepaid tot. balance :5 810 00 or bolero. I authorize to cnerge my credit card or mt that re?ects my average Icll usage I understand and agree that such charges ?it continue mm accent is termnated or I revoke his authorization in wnt.ng. Sn and I tail to return ny tags or are a replacrmenr or I nun an aurinistralrve too. I authorru E-Il?ass to charge my credit card the appropriate amount incurred under the lens at my agreement. Payment ol the required deposus an sanctum constitute my oorun'enr to use E-ZPesslor toil ?sedge subject to all applicable tems and conotions. I understand and agree ttul by using to cross: E-lPass tacilvtros. the resulting loll charges will be med trom my Druoad E-ZPass eocwnz. undorsla?td Md agree that I have read. undergone and accept no tm an: my anal-cation witch m1hrs!om 0:201 what are parts oi my agreement. Cardholder Signature Required Date Attention: Because your account was opened without your original sr' nature. you and rerum this stub in the enclosed envelope, within 20 days as signed authorization for automatic replenishment. You be conve ed to a cash customer and Wt? be charged a tag deposit 0? tag Cost rf your Signature rs not received in the Customer Service Center within 20 days. 114.NYEZF Exhibit 5%3'4'21' The Account Pro?le, or welcome letter, is the ?rst point-of-contact for new E-ZPass customers and is included with the tag kit. 5.3.4?50 ?2005 ACS. Inc. A Regular conununication with customers is critical to maintaining a positive public opinion of ACS has worked with the Authorities to design an easy-to-read statement that is available via mail, e-mail, and Statements are issued on either a or basis and include starting and ending balances, as well as a summary of all debits and credits. As noted in Exhibit 5.3.4.?22, the customer can view their complete transaction information in posting order with a daily running account balance. Statements are also used to notify customers of any changes in policy by means of messages printed within the body of the statement or by the inclusion of an informational insert. ACS has also designed a process to provide customers with copies of archived statements up to three years old. Archived statement requests can be designated to be forwarded directly to the customer or to the service center to be used for accormt analysis. In addition, Archived statements are mailed to the customers within five business days of the request, ensuring that the performance standard is met or exceeded. ACS works closely with the Authorities to design forms and customer contact letters that keep all customers well?informed about their accounts. All communications are designed with the customer in mind and provide the necessary information in an easy-to-read format. Customer communications include both automated correspondence that is generated by a change in the customer's account and pre?printed forms that need to be completed by the customer. We maintain optimum levels of inventory for all pre?printed forms through coordination between the Authorities and the printer, ensuring that there is always enough stock for customer needs, keeping in mind the lead time for the design approval, the printing and the shipping of materials to the Service Center. Changes in forms and introduction of new forms are developed with the Authorities as needs arise. ACS has experience distributing all commimications required by the RFP. Recently, at the direction of the Authorities, account replenishment reevaluation letters were eliminated and any changes to customer replenishment amounts are now reported to the customers via their statements. These letters can be re-introduced if needed. Current customer communications include: NYSTA Annual Permit Plan Renewal Application 0 TBTA Resident Program Applications for Staten Island and Rockaway TBTA Staten Island and Rockaway Resident Notices 0 TBTA Staten Island and Rockaway Resident Missing Information Notices 0 TBTA Staten Island and Rockaway Resident Removal Notices ?2005 ACS, Inc. 5.3.4-51 The Customer Statement side I 012 008 New V0111 Service Center [0.3011 149004 Statement Date: 03/22/05 Account Number Agency: MTA Bridges 81 Tunnels Authorty Activity For: 06/21 /05-08/20105 Replenishment Method: MASTERCARD Repenmmen' mount: 350'?) 10312 [1 DD 0 l] ?1 PLEASE READ CAREFULLY ?r Account Number - . . New York Servnce Center Amw'lv 1:01. 06/2105 08/20/05 Side 1 of2 Tag Danes-t: $0.00 Main. My joined E-ZPass. offerlng you the convenience of using your EZPass on the Maine Turnpike. in addition E-ZPass ls accepted In New You. New Jersey, Maryland. Delaware. West Virginia. and Masucntsetu. Tm summer. 5 E-ZPass I: also belno Introduced In New Hampslire. Lool for the E-ZPass signs for tussle-free a 5? POSTING mmsacnon TAG ENTRY 5101A7A in?: Pl AJA Lmreimas pun Aumu'r M7103 0928205 113803757641 WABET VNB M6 19-43 1 5410 sug 07.07/05 07/077015 110003757041 unset VNB 07.107 13:56 SlReadeul 1 goo $305 5 01/0005, 07/10/00 11709110111110? - $50.00 559101 a 07/111051 07/101115 00803757041 Hues? VNB 07110 19 2: 1 so :0 55500 07/1 1/5. (17111705 1101109047015 ?man Vne 01m 19 :15 1 $4 In $51125 07112701 07711705 008037570? mABu VNB 07-111 1000 5112139012111 1 54 110 545$ own/1:0 07110100 Muse? vne 07/10 1541 aim-com 1 54,110 34000 E- 07119'05 07119.05 ?1003757641 1.1171551 881? 07.110 16 .23 Ban: 1 $4.00 $309; 07201:. 07119100 00003757541 011713111 881 0.1/19 21 20 8501c 1 5100 $3235 07/20/05 07/111105 008037578? MtAesT VNB 07/19 21 :53 SlRasldenl 1 54.00 52785 07721105 07/2005 00003757041 MYABGT VNB 01/20 19 54 51139111111111 1 54 00 $9305 0772145 0712105 Acct Some- Foe 51 00 $2205 07725705 07% 00803757641 um!? VNB 07724 1.1.14 Sl?a?denl 1 s: 110 0002/02. mom-05 ?0103757641 mung? we 01m 1:1 55 gunman. 1 54 no uni 06/041051 WOODS Progu You D_og $50 00 $62 45 __06/08/05 00/00/05 00003757041 911mm 05 0000 22.40 am 1 54700 35045 woe/05 00/013705 00803757641 (SP BER 0006 1530 San: 01 5035 synod woe/0:1 001011706 00603?5/641 run- 13 0505 15 07 NM 0000 15-20 811911: 111 $1 95 55015 00109105 00:06:05 110803757041 run: raw 0006 2110 1:1 011700 22433 east.- 01 51 95 $5420 01907105 0060875764! VNB 0007 21.10 SlRasdanl 1 54 110 519-10 PREPAID YOLL BALANCE Winning $19.15 let. om Fees $10.05 Hymnal? ?100.00 Ending 649.?) 5me Customer Service Center: 9.0. 8011 149004, Staten Island, New York 10314-9004 Website: Phone: TDDITTY: 1-800-772-7935 Fax: 1-718390-9772 1 18.NYEZP Exhibit 5.3.4-22. The easy-to-read customer statement is available by mail or e-mail and on for business customers. 5.3.4?52 ?2005 ACS, Inc. 5. TBTA Staten Island Resident Car Pool Ticket Book Order Form and Resident Certification 0 Credit Card Authorization Form 0 Close Account Form 0 Credit Adjustment Notice 0 Credit Card Decline Letter 0 Credit Card Expiration Letter 0 Returned Check Notice 0 Application or Account Closure Missing Information Letter 0 Password PIN Letter 0 Request for Change of Account Information Form 0 Account Profile Keeping the customers properly informed about their accormts means controls must be in place to ensure that communications are both timely and correct. ACS monitors the volunles and dates for all automated correspondence and statements. Every day, a dedicated analyst reviews that all data is correct, voliunes are as anticipated and the mailing is completed in a timely manner. Statement files are compared to the previous run of those comparable files 60 days earlier and are then confirmed from point of generation, to transmission to the mailhouse, and on to the printing and mailing from the mailhouse. ACS mails all statements within seven calendar days from the end of the statement cycle, ensuring that the associated performance standard is met or exceeded. Encouraging the Web and E-mail ACS strongly believe in encouraging use of the New York Web site. Web designers at ACS have developed a successful New York Web site that handles over 1.5 million home page hits and over 1.7 million interactive account inquiries every month. It allows customers to open new accormts and update existing accounts online, 24 hours per day, seven days per week. The Web site includes downloadable versions of the applications and guidebooks, as well as links to the toll authorities that accept a ?Contact Us? screen, and a screen to check the status of New York violations. When a customer calls or walks into the Service Center, ACS staff is trained to encourage the customers to use the Web site and its usage has grown each year as more and more customers have chosen to receive their statements in electronic format, via e?mail. Currently over 450,000 customers receive their statements electronically. All printed communications to the customers include the New York Web site and special Web site messages are included regularly on customer statements. Signs have been posted above toll booths at various bridges and tunnels, and in the walk-in centers reminding the customers of the Web site address. The New York Web site address ?2005 ACS, Inc. 5.3.4-53 has been added this year for the first time to the shirts that the employees will wear at the New York State Fair. With Authority approval, ACS can develop a marketing program to expand the use of the Web site by using innovative means such as customer contests, strategic link placement on other Web sites, and through various advertising channels. For more information on the Web site see Proposal Section, 5.4.3.1.5, Web site. 5.3.4.5 Mail and E-mail Processing RFP Proposer Instructions: Proposers shall describe if, where, and how mail processing activities are planned to be centralized. Proposers shall also indicate what degree of mail automation is recommended and how such automation will improve responsiveness to customers, reduce labor requirements, and provide cost ef?ciencies. Proposers shall detail the operation of any proposed automated systems for the generation and transmission of mail/e-mail. Proposers shall describe how they will promote the use of on?line or e-mail communications. ACS provides full service mail processing for New York, using efficient automated processes within the service center, a state of the art, high volume mailhouse, and a respected and professional relationship with the US Post Office in Staten Island. Vector provides the foundation for all efficient account management functions in the service center. Global Document Solutions (GDS), formerly ADM, is a nationally recognized full service mailhouse that has always been able to handle the increased volumes and responsibilities of New York. ACS has worked closely with the Staten Island Post Of?ce and, after ten years of cooperation, is their largest customer. Promoting Online Communications Getting more customers to the New York Web site is the goal of the entire ACS Team. The Web site address is included on all documents and correspondence. Customers who receive paper statements are reminded that the Web site is also available. Signs have been put up along the Thruway, at the bridges and tunnels, and in the walk-in centers reminding the customers of the Web site. CSR's have been trained and provided scripts to ask customers if they have an e-mail address and if they would like to add it to their account and sign up for e?mail statements. ACS, with Authority approval, will provide automated customer correspondence via e?mail rather than the slower and more costly paper correspondence. Recognizing that use of the New York I/Veb site is the most convenient option for the customer and most cost?effective means for the Authorities, ACS and the Authorities have developed the policies to increase the use of the Web site and electronic communication with the driving public, via statement delivery and customer contact. Available 24-hours a day, seven days a week, the Web site provides the customer the opportunity to review or update their account, make a payment, or communicate with the service center. In 2004, the ability to contact the service center was expanded from a generic ?Contact Us? screen that needed manual handling once in the service center, to an automated process that requests customer specific input and ?ows the inquiry to the appropriate CSR for processing. In just a few months, the correspondence department has handled over 90,000 incoming e-mails through this improved process. Additional functionality will continue to be added based on customer needs. 5.3.4-54 ?2005 ACS, Inc. s. Maximizing Mail Ef?ciency Automated processes that ACS put in place allowed the Staten Island service center to successfully handle over 826,600 pieces of incoming mail in 2004. The secure lockbox is equipped with state of the art equipment to efficiently move high volumes. 0 Mail is opened using two automated Opex Model 51 mail extractors that: Slice open envelopes of varying sizes without damaging the contents Use sensors to ensure that an envelope has been completely emptied of its contents, before the empty envelope is whisked to a garbage bin Can process up to 4,500 pieces of mail per hour 0 Two Unisys DP250 remittance processors are used to process check payments. The DP250 is a high speed machine that: Uses OCR (optical character recognition) technology to confirm the handwritten dollar value of each check and compare it to the payment stub that the customer has returned Uses MICR (magnetic ink character recognition) technology to capture information from the stub Endorses the back of the check Encodes the front of the check for routing purposes at the bank Scans an image of the check for future reference Sorts the checks and stubs based on function (customer replenishments or Violation payments) and to the correct Authority, for preparation and deposit at the appropriate bank Maintaining two mail extraction machines and two remittance processors within the lockbox provides the redundancy necessary to ensure that the automated processes will continue in the event that one of the machines is unavailable for any reason. GDS is the mailhouse that has partnered with ACS since 1995 on the New York project and other projects across the country. GDS, in business since 1906, is located in lower Manhattan and has a national customer base. It is a completely vertical operation, providing full?service electronic and print-based communications. The facility is a high volume design and print shop, publisher, mailhouse, and fulfillment center that works closely with ACS, ensuring a quick turnaround from receipt of files to mail?out to the customers. In addition, GDS works closely with the US. Postal Service to provide the latest mailing technology at the most advantageous postage rates. As has grown, GDS has provided: . ?2005 ACS, Inc. 5.3.4?55 0 Statement design and delivery 0 Introduction and expansion of secuie electronic statements via e?mail 0 Automated correspondence with uniform envelope design to streamline the mail stream 0 Violation and speed notices Ful?llment of customer requests for supplies, such as read?prevent bags and mounting strips Working closely with management at the Staten Island Post Of?ce, we have established dedicated Post Office boxes for applications, payments, correspondence, violations and tags. The reason for this segregation is to assist in the expeditious processing of all incoming mail, in which the first step is a high level sort performed by the Post Of?ce. All mail is picked up daily at the Post Of?ce by our private courier and delivered to the Staten Island CSC. Once at the service center, the mail is opened and sorted in our mail processing department, which is located within our secure lockbox. All mail is opened using the Opex 51 mail extractors and sorted, batched and routed for processing. Mail is initially sorted into applications, payments (replenishment and violations), correspondence (letters Without payments) and tags. The enhanced version of Vector includes new ef?ciencies for this department, the result of full imaging capability for incoming correspondence. The department will work in a virtually paperless environment, handling correspondence in a scanned electronic format and replying to e?mail requests via e?mail. We provide the functions outlined as follows, but not limited to: 0 Processing open accounts 0 Processing check and credit card payments for both replenishments and violations 0 Ful?lling customer Requests for applications, guidebooks and -ZPass$M supplies 0 Ful?lling requests for additional transponders 0 Performing customer account updates 0 Closing accounts upon request 0 Resolving disputed tolls and violation notices ACS understands the importance of controls for tracking both incoming and outgoing mail, faxes, and e-mail and measures all volumes for daily receipts and processing. While the individual tasks may seem basic and repetitious, proper execution assures success. Our success in mail operations is based on adherence to a rigid set of procedures, the best equipment available, and a well-trained staff. 5.3.4?56 ?2005 ACS, Inc. 5. 5.3.4.5.1 Incoming Mail and E-mail Processing Customers contact when they have a need for additional information or some maintenance on their account. Handling customer inquiries in a professional and expeditious manner is the hallmark of customer service policy. We recognize that the most efficient and cost effective means of handling incoming correspondence is in a paperless environment, driving more and more customers to electronic communication and converting paper correspondence to digital images. Vector currently provides the flow of e?mails from the New York Web site directly to the appropriate CSR for processing that particular request. The enhanced version of Vector will continue the progress with scanned applications, correspondence, and faxes, available and retrievable within the account. This will result in a smooth ?ow of work Within the correspondence department that is easily measurable. ACS defines incoming mail as any and all incoming US. Post Office mail, fax transmissions from the dedicated customer service fax line, e-mail inquiries submitted by customers tlu?ough the New York Web site, and any Customer Unresolved Inquiries (CUI) submitted by the call center and walk-in centers. New York mail is picked up daily from the main Staten Island Post Office by courier and delivered to the Staten Island service center lockbox for processing. Mail is pre- sorted into applications, Violations, replenishment payments, correspondence, and tags, the result of having separate Post Office boxes. ACS's subcontracting partner, PRWT, oversees the lockbox operation for New York. PRWT has extensive nationwide experience in the management of lockbox operations. Within the lockbox, 1nail is received, opened, and sorted, and applications and replenishment and violation payments are processed. The lockbox includes a mail opening area that uses state-of?the-art Opex equipment for mail extraction, as discussed in Proposal Section 5.3.4.5. The initial sort of the incoming mail is distributed as follows: Mail to be processed within the Lockbox: Replenishment payments 0 Violation paynlents Returned mail from the post office 0 applications 0 Thruway Aimual Permit Plan sales renewals To be distributed to other departments for processing: ?2005 ACS, Inc. 5.3.4-57 Violation correspondence to be distributed to the Violations Department 0 Tag returns to be distributed to the Tag Swap or Tag Return Departments 0 General correspondence (letters without payments) to be distributed to the Correspondence Department Our Lockbox Department maintains a report for all incoming mail and is used to ensure that all work is accounted for and processed in a timely manner. Applications that are received and processed within the lockbox include private and business applications, TBTA applications for Taxi (TLC) accounts, and retiree accounts. Received applications are checked for completeness and accuracy, and accomits are opened in Vector. All processed applications are scanned using state of the art software linking an image of the application, in addition to any supporting documents, to the account in the enhanced version of Vector. ACS strives to meet or exceed the established performance standard, processing all applications within three business days of receipt. Check payments are received in the lockbox and then sorted for processing as account replenishinents or violation paynlents. The payments are batched for processing by the Unisys DP250 remittance processors, as described previously. These machines read the returned stub, confirm the amount of the check, endorse the back of the check, encode the front of the check for processing at the bank, and take an image of every check. The image is used for checks that may be miidentified or disputed. Checks that are unacceptable or incomplete are forwarded to return mail processors and returned to the customer for additional information or alternate method of payment. Procedures are in place to ensure that all replenishment payments are processed on the date of receipt, as per the established performance standard. In addition, TBTA Staten Island Resident and Rockaway/ Broad Channel Resident Sticker Applications (subsequent to the Correspondence Department determination of eligibility) are processed in the lockbox. The lockbox is also responsible for the logging and processing of all mail that may be incomplete and needs to be returned to the customer. ACS recognizes that account opening and payment processing have specific requirements with regard to the necessary environment and skill sets required by the CSRs. The lockbox requires employees to have exceptional data processing skills, while the Correspondence Department requires employees to have analytical skills. All mail other than applications, payments, tags, and Violation correspondence is forwarded to the correspondence department for processing. The correspondence is further sorted for expeditious processing by CSRs by category, both for business and private customers. The categories include, but are not limited to: 0 Credit card updates 0 Replenishment updates 5.3.4?58 ?2005 ACS, Inc. 5. s. 0 Demographic changes 0 Tag requests 0 Commuter plan additions Commuter plan disputes Toll disputes 0 Fee disputes (such as statement fee, $1.00 PA or TBTA fees) 0 TBTA Staten Island Resident and Rockaway/ Broad Channel Resident Sticker and plan eligibility validations 0 Close account requests 0 Bankruptcy Subpoena requests 0 Statement inquiries NYSTA ?On the Go? retail tag sales inquiries 0 Manual toll processing 0 Payment disputes Accormt revocation disputes 0 PA Special Exception toll debits Retained tags from TBTA gated facilities 0 Credit card disputes The enhanced version of Vector includes scanned images of any received correspondence, available upon access to the appropriate account. All correspondence will be processed in a Virtually paperless environment. The correspondence will be scanned, queued to the correct CSR for processing, and then stored within the account information. This online processing of correspondence will also allow for an efficient means of measuring all volumes and daily CSR tlu?oughput. ACS is prepared to meet the performance standard of resolving or responding to all inquiries within five business days. There are certain types of requests that require additional research a credit card dispute) and others that may require the passage of time to mitigate the risk to the New York Authorities closed account processing requiring refunds need a certain nunrber of days to lapse to ensure that all tolls post and applicable fees are applied to the account, prior to issuing These inquiries will be resolved within 20 calendar days of receipt, not to exceed 5 percent of all inquires. In addition to the mail described above, customers have the ability to submit inquiries Via the NY Web site. This ability to communicate, customer to CSR, is seamless Via e-mail through Vector, adding efficiencies in processing. The customers can use Vector e-mail tlu?ough the Contact Us? screen on the Web site. ?2005 ACS, Inc. 5.3.4-59 5m The Contact Us? component has been designed to handle both customer and non-customer requests. Non-customer requests are handled differently and the prospective customer is provided with general categories, as opposed to customer requests, which are account specific. Customer and non?customer requests arrive Via a Web form. Each request has a ?request mode". Responses are delivered via e?mail, but could also be generated in other ways such as printed correspondence or combined electronic and paper correspondence. Each response has a specific ?response mode? and status. Received e-mails, depending on status, are included in the request list used by CSRs to select their work. Current statuses are: STATUS E-MAIL DESCRIPTIONS New A new request. Open The request has been retrieved at least once by a CSR for the purpose of responding to it. There may be a partial response, but it is not ?nished. It may or may not currently be being worked on. Locking is provided so that only one CSR can work on a request at a time, but status is not the locking mechanism. Resolved The request has been worked on, the response is complete, but the response has not yet been delivered. Closed A request whose response has been delivered. These requests are archived. Escalated The request gets escalated. This allows escalation to management prior to responding to the customer. Reviewable The response is complete, but approval is necessary or desired before sending. The request with this status is automatically moved to an escalated category. Each request is categorized and then sorted into work queues for CSR processing. All requests are initiated by customers via a Web e-mail form and the e-mail history is associated with the account. The configurable categories may include: 0 Personal, demographic, or vehicle information 0 Credit card updates 0 Tags 0 Violations Toll disputes 0 Web site issues 0 Close accounts 0 Other The category field is configurable based on Authority requirements. When a customer selects a category, a ?screening page? appears with suggestions of issues that may be resolved by the customer themselves over the Web or that may require contact with the service center. The intent is to minimize customer resolution time and the ainomlt of inbound e?mail. For example, if a customer chooses the ?Tags? category, they could be 5.3.4-60 ?2005 ACS. Inc. presented with instructions to request additional tags via the Web, instructions for ordering additional tag mounting strips, etc. At the bottom of the screening page, a button directs the customer to the Web e?mail form in the event their question or issue is not satisfied by the information contained in the screening page. The Web e?mail form captures customer name, account number, e-mail address, and a free?form message box as required entries. The CSR e?mail response is in the form of a direct e?mail to the customer?s return e?mail address, as entered into the form. CSR permission roles are mapped to categories, so that CSRs can be restricted to View or modify only requests of specific categories, based on their responsibilities. Pre-scripted responses are available to the CSRs, allowing responses to be standardized or to provide the customer with an attachment of a standardized form that the customer may need to complete based on their request close account form). The pre-scripted responses are configtu?able based on New York?s requirements. CSRs designated to responding to customer e-mails View the actual e-mails within Vector. Customer e?nlails are contained in one main repository, with e?mails sorted by associated category and received date and time stamps. ?Open? e?mails those being actively replied to) are not available to another CSR. The intent is to prevent multiple replies. E-mails that have been processed and replied to are removed from the main repository and available on the account in Vector. Received emails and replies become part of account history and are stored online in accordance with established policies for storing written correspondence. Replies that are part of the online account histor'y identify the CSR who handled the response. Exhibit 5.3.4.-23 displays a screen within Vector that shows the number of customer e-mails that are received through the New York Web site. Vector, designed and built to New York Authority specifications, has been the tool for data management and, with the enhancements for new functionality and workflows, it will continue to be the tool for the future. ?2005 ACS, Inc. 5.3.4-61 Customer Requests for Information Screen ustome Req uest Ma nageme 2005-07-27 2005-07-27 2005-07-28 2005-07-28 2005-07-28 70 15-07-78 15:00. . . 4 STATEMENT STATEMENT STATEMENT STATEMENT STATENENT Request Category: STATEMENT NEW-LOCKED NEW-LOCKED NEW-LOCKED NEW-LOCKED NEW 46083353 66679208 73070468 65214158 1 7073909 From Emai papab?snet.net daleglitch@yah. .. moms". anamakrramsn. . . . I received email today from "E-ZPass Customer subject E-ZPass statement. Was it from you or spam? Dear E-ZPass thomer, Thank you for ushg E-ZPass. Change Name PAUL FA CARL BR DALE GL2 JAMES NOBUHIS Exhibit 5.3.4-23. Vector tracks and routes to the appropriate CSR all incoming e-maii requests trom the Web site through the Customer Requests for Information screen. 5.3.4-62 @2005 ACS. Inc. A 5.3.4.5.2 Outgoing Mail and E-mail Processing Outgoing mail from New York is the primary direct communication with most customers. AC5 understands the importance of providing correct mailings in a timely manner and its direct relationship with the pnblic?s perception of New York customers count on AC8 to keep them in touch regarding their accounts. Whether it is account access via the Web or telephone, correct messages in the lanes, or conmlunication via mail or e-mail, the delivery to the customer must be correct and timely. Outgoing correspondence is generated, transmitted and distributed daily. The mailhouse that has partnered with ACS since the inception of GDS, has provided the support and expertise to ensure that the ever?increasing volumes of outgoing mail are printed and mailed in the most efficient manner. GDS uses the most up to date software and hardware technology, approved by the US. Post Office, to accomplish this. In an average month, the mailhouse sends out over 1.5 million pieces of correspondence: 0 1.38 million statements, of which 33 percent are via e?mail 0 169,000 pieces of customer correspondence 0 12,000 supplies, such as read-prevent bags and mormting strips 0 2,800 new account applications ACS recognizes the standard to have customer statements mailed or e-mailed within seven calendar days from end of statement cycle and that archived statements shall be sent Within five business days of request. Vector generates a file for each of the automated correspondence notices that are to be mailed. These may be the result of completed batch processes, online requests from CSRs and customer requests through the New York Web site. These files are transmitted to the mail house, GDS, for processing. GDS processes the following types of correspondence for New York: 0 Statements (mail, e-mail, disk) 0 Credit card due to expire letters 0 Credit card decline letters 0 PIN and password reminders 0 Account revocation letters (warning and final) 0 Thruway Annual Permit Plan renewal letters 0 Bounced e-mail letters 0 Application requests A ?2005 ACS, Inc. 5.3.4-63 materials (read?prevent bags, tamper?proof screws, tag mounting strips) 0 Other special mailings as needed For each job, ACS submits a control file to GDS to confirm the number of counts in each file, copying the service center. GDS sends an e-mail with the file name and the number of records received to the service center, and, after a quality assurance review, receives confirmation that the quantities are accurate and to be processed. They process the files and send sample letters and statements to the service center in an electronic format. The samples also go through a QA review for completeness and accuracy and are then approved to be mailed. ACS maintains daily statistical reports for all items mailed, confirming volumes and mail dates. 5.3.4.6 Web Processing RFP Proposer Instructions: Proposers are encouraged to suggest methods to automate and route inquiries received via the website and to provide otherfunctions on the website not speci?ed below (eg, live help). Proposers shall indicate which industry- accepted standards they will adopt. For E-ZPass website performance. New York has a self?service Web site with a comprehensive set of capabilities including customer enrollment, account maintenance, account transaction and payment history and customer request managenlent?far more information than any of our competitors. In some of our recent implementations, we have also added advanced capabilities in support of Violations processing such as paying a violation on the Web. This section describes performance and availability monitoring and some advanced capabilities for customer interaction, such as Web chat and automated e-mail response. The detailed Web capabilities are described in Proposal Section 5.4.3.1.5, Web site. The New York Web site will be maintained with up-to-date and current security technology. The Web site will use the SSL (Secure Socket Layer) or protocol that data transmitted from the browser to the Web site. ACS authenticates online business and sensitive data with an SSL Certificate provided by the globally recognized VeriSign Secure Site Seal. The customer screens are being enhanced with the introduction of a COTS CRM component from Siebel. The Siebel product has significant features that take the Web based customer experience to a new level. This includes better e-mail response, Web chats and universal queues for customer interaction management at the customer service center. The RFP indicates a requirement for automatic redirection of customers to the appropriate Web sites based on their area of residence. The Vector enabled Web sites already redirect customers seeking to establish ETC accounts to the relevant sites based on their residence states, this will be modified for zip codes as required by the RFP. 5.3.4-64 ?2005 ACS, Inc. 5. 5. More Ef?cient E-mail Response With the addition of Siebel to the Vector product, we will be able to improve oru? handling of e-mail response. Currently the handles over 15,000 e-mails a month. Siebel?s pre- built e-mail response is a complete management system that helps service centers reduce operational costs and call volumes by effectively processing high volumes of inbound e-mail. The enhance Vector will allow the to respond to inbound e?majl in a more efficient, consistent, and professional manner. More important, inbound e?mails are handled based on the same business logic used for routing other types of customer comnrunications so that CSRs see all customer interactions in one central place regardless of communication channel. CSRs will be able to scan their inbound e-mail queues and instantly view related customer, accormt issues, service requests, or previous communications as well as any attachments. Response templates will allow CSRs to quickly and easily compose custom replies. Also, by applying a Siebel ?Smart Answer? capability, CSRs may analyze e-mails, provide intelligent e-mail routing and, continuously improve response accuracy. For instance, e?mails will be scanned and analyzed to determine if the e-mail is for a tag related issue (say the e-mail is a request for an additional tag, the system will scan for tag number based on tag number structure) and is an account nunrber is also present, the request is queued as a tag related query. In responding to such a query, the CSR is able to correctly classify the request, respond to the customer?s request for an additional tag and notify the customer about the status of the request all in the same session. CSRs can also take advantage of the auto response and autosuggest capabilities. Through Siebel, Vector will be able to leverage linguistic analysis techniques and content analysis algorithms, thereby eliminating time-consuming analysis and manual processing of customer e-mail. The natural language processing engine features auto response capabilities to interpret customer questions, locate correct responses, and send out accurate responses to imnrediately answer customer questions without CSR involvement, if desired. The enhanced Vector will also provides auto suggest capabilities that can assist agents in responding to customer inquiries by analyzing the customer request and recommending responses for agent approval. Web Chats The Web is an ever?expanding means of customer service. With enhanced Vector, ACS is able to offer Web chat as an additional means of customer interaction. Forrester Research Inc. forecasts the steady growth in the use of live chat in customer service. They site that 30 percent of online buyers used live chat for customer service. Customers who have authenticated themselves by logging into the system using their account number and password can initiate the Web chat sessions. By restricting the chat sessions to inbound, authenticated customer requests the quality control on such interactions can follow processes adopted for other methods of customer contact. The Web sessions will be managed through a universal queuing mechanism such that suitably trained CSRs can respond to either inbound phone calls, Web chat request, or in the absence of such real time pending requests, address other customer queries that have been generated via regular mail fax, or e?mail. The ?2005 ACS, Inc. 5.3.4-65 universal queuing mechanism will maximize efficiency while simultaneously providing the capability to define queues based on skill levels. Whether customers are visiting an the Web site, communicating by e-mail, or seeking to chat real-time with a customer service representative, our solution will ensure the ability to deliver differentiated, knowledgeable, exceptional customer service. Web site Monitoring Web performance monitoring verifies Web uptime and measures the performance of non- transactional Web sites periodically from different point of presence. A monitoring service will provide: 0 Web performance monitoring and uptime verification from different Web points of presence 0 Test the URL and all objects to determine which images or JavaSc1ipt elements affect Web performance 0 Provide transfer times including load time estimations at various bandwidth rates using heuristic metrics 0 Provide detailed reports on page load times, uptime, and location specific load times at various data rates for easy diagnosis of system problems 0 Provide alerts when problems are detected with the application, such as slow Web page load times, connectivity issues or content errors While standards are still merging in Web site performance monitoring, we recommend using the methodology adopted by Keynote Systems Inc. (http:/ Keynote is emerging as the industry standard in availability monitoring. A full study of the impact of sluggish response on different transactions is a more complicated measurement exercise. By a judicious mix of third party monit01ing for availability and selected transaction performance monitoring, we plan to continuously verify the effective availability of the system. 5.3.4.7 Call Center RFP Proposer Instructions: Proposers shall indicate where they propose to operate a Call Center. Proposers shall refer to instructions in Section 1.9.1 regarding Call Center location requirements for both Base and Alternative Proposals. One of the assets owned by the Authorities is equipment for an automated telephone voice response system (VRS). If a Proposer plans to use phone equipment other than that currently owned by the Authorities (see Appendix E), the Proposer shall give a. full description and explain how the use of this other equipment can provide a better value to the Authorities. The Proposer shall describe the mechanism by which it will provide the Authorities with verification that it is meeting the specified Performance Standards, as well as all requirements of the Statement of Work related to Call Center activity. Our call center solution combines proven procedures, leading?edge technology, redundant comntunication lines, and knowledgeable staff to ensure successful resolution of all inquires. Trained professionals familiar with staffing large phone volumes, complex operating 5.3.4-66 ?2005 ACS, Inc. A s. 5. procedures that vary by Authority and performance service requirements are key components for our success. The customers that come into New York walk?in centers or call are the Authorities? customers and we understand the image we portray is a re?ection on each of the Authorities. Sound customer service practices are built on the following principals to which we closely adhere: 0 Providing experienced training resources 0 Extensive measuring of performance daily statistic reports, call monitoring, payment turnaround time, abandonment rates, pending items reports, individual productivity) 0 Hiring and training effective customer service professionals proven interview process) 0 Establishing procedures to respond to customer concerns escalation policies, correspondences) 0 Establishing procedures to monitor/ track responses to customer concerns phone and mail resolution trackers) There are several key ACS vs. THE INDUSTRY mdlcafors that We pay Close Key Metric ACS Industry Average attention to in the call 01 1. 1 . 1 Abandonment Rate 1%(2004) and 5.32% centei14% (2005) abandonment rate (the 15! Call Resolution 92% 74% percent of callers that hang - . Average Speed of Answer 18 seconds 32 seconds up bef01e leaching a CSR). We believe that good VRS Usage 51% 8% customer service is the ability to answer customer calls on the initial call to avoiding a repeat call and an misatisfied caller. ACS achieved a 92 percent first call resolution rating following the Purdue University Audit performed by Benchmark Portal in 2005. This far exceeded the industry average of 74 percent. The industry average from Piu?due University for abandoned calls is 5.32 percent. During 2004 and 2005 the New York call center abandonment rates were was one percent and 1.4 percent, respectively. Call Center Location -- WW, ACS proposes to locate the call center at the Teleport on Staten Island pictured on the right. While our current facility has served us well, it has grown out of necessity with the program. It was originally opened in September 1995 for the MTA who at the time had roughly 10,000 accounts and 21,000 transponders in use. Now, ten years later, it is supporting four authorities, nearly three million accounts and over six ?2005 ACS, Inc. 5.3.4-67 million transponders. Thus, our departments have spread onto three non-congruent ?oors. Ultimately, we believe that a move to a new location will give us the opportunity to provide a more efficient layout and workflow and provide the ?exibility for continued growth in the program. Our new service center will be designed specifically for the largest ETC program in the world New York. We plan to move the current Staten Island walk?in center as well. The Teleport is conveniently located off the South Avenue exit of 1?278, Staten Island Expressway, providing easier access for customers. The complex is specifically located between South Avenue and Victory Boulevard, a main Staten Island thoroughfare. Importantly, the complex also has much more available short term parking for the 23,000 customers who visit the walk?in center each month. (Currently, cars are often lined up before they find a parking spot.) Exhibit 5.3.4?24 shows the Teleport location at the intersection of the Staten Island Expressway and the West Shore Expressway (down the street from the popular West Shore Plaza). New Staten Island Teleport Service Center Location Rockland Av- Sm Island ?Oatmeal Heights MI: mm Exhibit 5.3.4-24. The CSC will remain on Staten Island, moving to a brand new facility conveniently located for walk-in customers just olf the South Avenue exit of the Staten lsland Expressway. While the final ?oor plan may be revised, a preliminary layout of the facility is illustrated in Exhibit 5.3.4?25. 5.3.4-68 ?2005 ACS, Inc. A s. Sample Teleport Service Center Layout 047l?v?m?(3le \&18 135.NYEZP Exhibit 5.3.4-25. Based on our experience designing, implementing and operating service center facilities, ACS offers a right-sized facility conducive to high security and optimal work?ow. ?2005 ACS, Inc. 5.3.4-69 A The Teleport also offers additional advantages from a facilities cost perspective: 0 Space availability to accommodate New York growth 0 Electric rate are the lowest in the region since the Port Authority purchases power at the New York State Power Authority rate and delivers it to tenants cost plus delivery charge. 0 Ceilings are 16 feet high permitting up to a 24-inch raised computer ?oors 0 Freight elevator with 8,000 pound capacity and loading dock for transponder deliveries 0 Extensive security infrastructure in place as well as 24 hours a day, seven days a week Port Authority Police protection 0 Professional communication staff on?site 24 hours a day, seven days a week 0 Card access building security system 0 Generous, convenient and secure parking 0 Wired with fiber optic cable 0 1000 KW Caterpillar Generator available Call Center Equipment ACS is proposing a new phone system for the Teleport facility. The rational for a new system is two-fold. First, the current system will be eight years old at the start of the new contract, fully depreciated and at the end of its life. We believe that a refresh of the equipment is necessary to keep pace with the over five million calls we currently receive each year and to provide the Authorities with the latest technologies and reporting packages. Second, by purchasing new equipment, we can provide a fail-safe phone environment during our move to the Teleport. All phones will be tested in advance and the VRS scripts developed and rurming on the new system. Thus, during the move to the new location VRS downtime should be extremely limited. We have designed, installed, and maintains voice response systems in virtually all of our customer service centers. We have built VRS functionality that is comprehensive and easily navigated by program accormtholders. ACS will easily configure the new VRS to provide access to automated functions 24 hours per day, seven days per week. When surveyed the customer's ability to use self-services features is a key ingredient in their satisfaction. Industry average of VRS usage versus live agent is around eight percent. E- New York VRS usage for 2004 as well as 2005 was an average of 51 percent. Remarkably, this average remained high even when customers had a choice to go directly to a CSR. This indicates that many New York customers are willing and able to take care of their needs without a live agent. 5.3.4-70 ?2005 ACS, Inc. s. Additionally, users will have the ability to speak directly to a CSR between the hours of 7 am. to 7 Monday through Friday, and 8 a.m. to 12 pm. on Saturdays, excluding holidays. We will continue to use the nunlber for customer continuity. The ACD and IVR systems that will be used for this project and their respective functionalities are described in Proposal Section 5.4.3.1.4, Call Center. Meeting Call Center Performance Standards We have performance standards in all of our existing contracts and understand that complying with them is key to a successful partnership with our clients. As a premier provider of telephone customer service, ACS as a company answers more than 500,000 calls each day. We currently manage eight call center facilities dedicated to electronic toll collection systems. In 2004, we handled over 10 million toll-related incoming telephone calls, with 44 percent successfully resolved using the IVR system. Over five million of these calls are answered by our New York staff alone. With volumes of this magnitude we hold our service centers to very high standards and expect nothing less going forward. Our ultimate objective is to satisfy a customer?s request for service on the first call in a highly professional manner. A large part of that is establishing policies and procedures that are well defined; empowering customer service representatives (CSR) to resolve disputes on the first call; and installing effective communications technology that optimizes operational flexibility. l/V recognize the call center performance standards in place in the RFP. As displayed in the table below, we exceed those standards today and always strive to improve our performance each year. MEETING THE PERFORMANCE STANDARDS Performance Standard Current ACS How ACS Will Meet How ACS Will Measure Performance for the Standard the Standard 80% of the total calls . 2004: 89% of ACS will staff the center CMS (Call Management answered per day by the all calls were appropriately and utilize System) will be used to CSRs shall be answered answered within call center staf?ng measure daily phone within 45 seconds of being 45 seconds. software to allow for statistics placed into the CSRs queue lunches, breaks, vacation, sick and other time off. The Voice Response System 0 July 2004 Prudent maintenance Network Services in shall be available to June 2005: the ensures maximum Tarrytown monitor and customers 24 hours/day, 7 VRS was uptime; vendor service track all database and VRS days/week excluding available contracts specify uptime. All reports will approved scheduled 99.62% response and repair show actual downtime and maintenance (98% of the times non-maintenance total hours threshold). downtime ?2005 ACS, Inc. 5.3.4-71 MEETING THE PERFORMANCE STANDARDS 5m Performance Standard Current ACS How ACS Will Meet How ACS Will Measure Performance for the Standard the Standard The Voice Response System 0 2005: call Adequate traf?c lines CMS (Call Management shall respond to interactive consistently between the VRS and System) will be used to customer specific inquiry responded to in the Vector database will measure daily VRS from the database within 4 under 3 ensure that the four performance and will report seconds from when the seconds second requirement is statistics. customer requests the met. specific information (95% of the calls answered per month threshold). Standards such as these are not limited to the We meet similar service requirements in our other call centers. For instance for New Jersey in 2004 we answered 88.6 percent of calls in 45 seconds; our VRS uptinle in 2004 was 99.4 percent; and our VRS consistently responds within one second. We welcome these standards as they are industry best practices and are the result of high?quality customer service. As shown in the vs. the Industry? table in the beginning of this section and certified by Purdue University, a leading certifier of call centers, the consistently outperforms the industry. In order to meet and often exceed both the Authorities standards and that of the industry, we monitor call center activity on an on-going basis. Joe Perez, our call center manager, and his team constantly monitor the activity of the service center through our CMS (Call Management System) software. In this manner they are able to View the entire operation (how many calls are in queue, how many CSRs are available, etc.) as well as drill down into an individual?s activity. For example, in Exhibit 5.3.4?26, managers can see that there are 177 agents staffed (top left of graphic) and that for this day 98 percent of the calls are Within service level and that only one call is waiting in queue (bottom right of graph). 5.3.4-72 ?2005 ACS. Inc. S. A 5. Staffing and Service Level Analysis Status Lustomer Servuce - Report Edit Formal: Took Options Help Spli?SkilI: Customer Saving Agents Staffed: 117 Skill State: Agem Name State Time Level 3 ROGERS, LISA ACDIN 1 8 Agent Status for a ZAHNDAUBREY AUX 53:32 a NAXELAANNAIRD ACW :02 7 9 a zucxen, CINDY AUX 5:02 8 CORBETT, LORRA AUX 91:1 213 - SMITH, 1 a HALL. ERIC RING 1 a I a I g/ ALMEDIA, ERNEST ACW 1 8 AUX RING ANDUJAR, 1 3 OTHER 3 BROOKS. LYNETTEAUX l] PHILLIPS, MELANHACW 1 a 0 1 8 MADDEN- 0 Within Service Level: 93 1 3 Calls Wamng; 1 8 TURDO.VICTORIA AUX CONWAY, MARYAN AVAIL CI OldestCalI WaItIng: :00 MOCTEZUMA, GEOACDIN 1 3 Avg Snead N193 =04 a WHYTE, KELLYANPAUX 0 A00 Calls: 121 a ZENIOU, LESLIE AUX 0 Avg Time; 3:18 HOWARD, OORDE AUX Aban Cans: a AUX Aw AbanTime: Double Click To Flun Formal Chart Thresholds: Eln Exhibit 5.3.4-26. By analyzing real time data, ACS is able to adjust staf?ng to ensure standards are met. in the future, the Authorities will have the ability to see this information in real time as well. Additionally, our team is able to see individual performance in Exhibit 5.3.4?27. One can see how much time an agent has spent waiting for calls (AVIL), how much time they have spent on the phone (ACD), the amount of time they have spent on after call work (ACW). It gives a clear break down of the CSRs entire day to help us coach their performance. For example, if we see a CSR with a large amount of after-call work we coach them on how to be more efficient or help them to understand the process better. ?2005 ACS, Inc. 5.3.4-73 Monitoring Agent Performance i Aucnl information Report - CONWAY. . .1le Rupert Edit Format Tools Options Heb Rgent: CONWAY, State Time I AVAI. :00115 Active SplittSkill: AUX Reason: Top Skill Log_ln_Skill Preference: ACD Calls: Move DirectAaent Skill' DirectAgent Calls: LVL 5 N0 SplittSkIll Level Percent Log_ln_8kil 1 Customer Semice 3 Cust_Svc_Backup 8 Violations 9 Login ID: 2419 Extn: 3472 Agent Time Spent Interval AGO Staffed Time: :11:13 Threshold: 0n IENYEZP Exhibit 5.3.4-27. ACS actively manages the call center through real time CSR analysis and follow-up coaching based on performance. Finally, we expect that with the addition of CH (computer?telephony) integration, our staffing will become more efficient. With CT I, a ?pop screen" indicates to a CSR who is calling and actually pulls up their account information. Studies have shown that CTI can cut call by 15 to 20 seconds. CSRs do not need to wait while customers look up their account information) By employing, CTI we will pass along cost savings to the Authorities through more ef?cient staffing. Monitoring with an Enhanced Vector With the upgraded version of Vector and the addition of our new front end integrated into the Avaya phone system, the authorities will be able to monitor call center statistics in a near real time manner and in a graphical format. We will use Siebel's Customer Service Analytics which comes with numerous out?of?the?box graphical displays of standard call center information. Authorities will be able to access this 5.3.4-74 @2005 ACS, Inc. A s- A s. information from their desktops through a Web interface. Exhibit 5.3.4?28, a sample Siebel dashboard, shows the following items: 0 Service levels 0 Call volumes 0 Call components (talk time, hold time, etc) 0 Maximum delays 0 Abandonment rates 0 KP15 (Key Performance Indicators) such as handle time, queue time, average time to abandon, etc Importantly, as users, Authorities will be able to select time and date ranges to monitor performance. The graphs are also interactive so that the Authorities can ?click? on a bar and drill down into more detail on a specific item. Siebel Call Center Dashboard Center and-Agent sic-MI haw: Administrator! - issue?s 2?1: .91 - - --. . Comm Conlovvmomanco 3.9mm ?Corie! ?Conn anthem 455;. 0mm 5530mm? "7 You Dunner Mann Week 0?0 "l 2? 200? 99mm 2 r: 3 Conan Comer Group um Contact Comer Loo-non home Go Lonlatl (.rnlw Suwu?o (.Pnu-v all Voluuw onlau fwmago [In Pellmmance [I?ll Pedounance 1'11 Pellounonct- n?w?by 2.5?8 Carer OWN-01W 80me 10??mede WW. 'r 2 1 .Il? .Iln .Ilit . . .w H. . 0 N~uvn vou- I '1 'kll _ua,l ,ua.a? ,ua?I ,ua, .I-A A . I Lava)? in. noma- I Una-mn- "Au-rm - v??n n- .u - I Arquvr'v Exhibit 5.3.4-28. The enhanced Vector front end will allow Authority staff to easily select date ranges and monitor a variety of call center metrics. lnfonnation will be displayed graphically for easeof use. ?2005 ACS, Inc. 5.3.4-75 Beyond agent analytics, the enhanced Vector will also show overall call center analytics which will aid ACS in managing work?ow. ACS and the Authorities will easily be able to see the number of incoming e?mails, how many of been answered and backlog. Similar, displays will show image review statistics as well as correspondence information. With the work?ow component of the enhanced Vector, all correspondence will be scarmed. This means more real-time information will be available to the Authorities and management in the Vector analytics section. A manager will be able to see how many violation disputes were received, how many have been dismissed or escalated and how many remain for review. This will not be the totals provided at the end of the day (current process), but will be available real-time throughout the day as shown in Exhibit 5.3.4?29. Enhanced Workflow Monitoring u. [unheard rout-v 'n r' (winner. Soles inn-Lon i?Jl'l Q?mll .n {lusty ENI- ?Oh Intelligence Dashboard Customer Service Welcome, Soebel Analytics Mmamuraton Zn' - wasCustcmevE-cenenze i Cummakdm 3' Some-Rum ChamoEmacnannots Veu Quarter Month Week Date .. .. . . (.34 3? Sew-eer- u: a Go 006"?" a can 1: 2004 01 and v: 02.: t: 2004 Wackot Customer Contact [xpuriunw Customer Service Resolution KPH Sen-:0 um ?ou Colvn'm 2 Roz! 5:92: c'?'slse? "ton: :amovwe r: 10?3?? 5-5- Ccm?wu". "co'ne 12? Lear. :u {are be! lc'I't-co' $51: 2 A-ernetod 3:9? Eur-:2 0mm ?cc in! rev-e I 0? Cost: SR: 3 Lens: Qumtcr Gate Sums: "rce'? H3: Era-Vat?! -2 00'3?: 2 0! mete com-ledanar.515 an: IMO 3? the 03015-213 please 7 0' mcle cots-ted 3031356 an: ?15th mm Senate Resc-Iuhon please loll-DA the HM lal'oa the hm Mica t: the Contact B'eab :onn page celcw to the Snare page IVR Performance 11 I Customer ialiy I 0' Cu: Enfe'rg UR he.? (Afar-r9 0' :ns ?Inste'rec Dual 9' Mi Lou new I 0' Con Its-cut: NR 50.? '3 -ct: Iatcw's "arc '1 c? Can "rater?? c' L's! Dvsc.c' Cutcner ant-c For mite detailed raise an: ms cal unto me mumme .cue ce?crmanre an: menus please trllaw the Inc teen is the LR Channe: c326 Exhibit 5.3.4-29. Authorities will be able to monitor other workloads beyond calls such as e-mail volumes, open correspondence items (SRs) and NR stats. Additionally, by using work?ow to route documents electronically we will facilitate the escalation of customer unresolved inquiries (CUIs) to the appropriate department (and/ or Authority) for quicker resolution. Since each item is tracked (and automatically escalated if not worked upon), it significantly reduces, if not eliminates, correspondence getting lost 5.3.4-76 ?2005 ACS, Inc. A 5. between departments and provides a full audit trail accounting for every update made from the time the item was opened. While we turder?stand that performance indicators are the measure of our performance, it is the drivers of those indicators such as operational design, clear policies and procedures, individual monitoring and feedback loops - that ACS continually refines to ensure continued program success. ACS will continue to provide fully trained CSRs in order to deliver the highest level of customer service and customer satisfaction. Our CSRs are adept at identifying trends or systemic conditions and quickly escalate issues to program management who will contact the Authorities, if necessary. The call center organization will continue to be a Workleader?Supervisor hierarchy, providing customers with irmnediate recourse when call escalation is needed. Managers are also always available for escalated calls to ensure that no call goes uru?esolved. We will introduce all new procedures into our procedures manual, which is the foundation of both the training program and daily operations. Clear procedures govern all aspects of customer support, including conflicts regarding timing or posting of customer payments, lost/ stolen reports, demographic changes, violation transactions, and fee assessment. Additionally, ACS also has the ability to implement urgent and short-lived procedures as required by the Authorities implementation of the dollar fee. For more information see Proposal Section 5.3.1.4, Policies and Procedures. Continuous Feedback CSR performance will continue to be monitored on a pre-determined schedule to ensure we are providing our customers with the best possible experience. Each CSR will be monitored a minimum of eight times a month and once a month we will perform ?tracer? reports for individual CSRs. These tracers report on all of the CSRs activity from the start of their shift through end of tour, and looks for compliance, proper use of notes, correct use of qualification codes, average speed of answer, talk time, etc. The information we collect is passed onto the CSR in a couching and cormseling session, and used for training purposes if required. Since we have these sessions regularly they are viewed as constructive feedback unlike some call centers where CSRs are only counseled when they receive poor marks. In addition, as required by the RFP we will install software to allow the Authorities to monitor customer calls offsite. We encom?age this feedback from the Authorities as well as look forward to continued mystery ?shops? that the Authorities currently conduct. ?2005 ACS, Inc. 5.3.4-77 Our feedback loop extends beyond CSRs to overall workflow as well as the tracking of call types. At the end of each call, each CSR qualifies the call by assigning a pre-defined qualification code. This allows for tracking types of customer inquiries and is often an early indicator of a service related problem. Each call received at our facility is coded with specific qualifier codes grouped in the following categories . (among others): DOING THE RIGHT 0 General requests . . .. MYSTERY . g? ., suoppzn - . ?it OF THE WEE 0 Account mqunes ., WINNER 0 Account disputes Violations suspensions 0 Complaints By tracking calls in this manner, the Authorities and ACS are better able to understand customer trends that in turn help to ensure efficient and appropriate staffing and if necessary update the automated system. Qualifier codes are reported to the Authorities. Currently, these are reported outside of the system, but with the new enhanced Vector this information will be integrated into the customer account database and available real time. Finally, our staff will work directly with the Authorities to closely monitor and report any deviation from these performance standards. The Authorities will receive documentation which compares our actual performance with the applicable Performance Standard. AC8 will collect and report on all CSC activities on a daily, weekly, or event basis, depending on the particular activity. Om? staff is responsible for completing reports for the Authorities as required. We strongly believe that one of the key reasons for our success in the industry is our commitment to vigorous tracking, reporting and measuring. This was verified during the certification of New York Call Center as a Center of Excellence. 5.3.4.8 Customer Account Management RFP Proposer Instructions: Proposers shall familiarize themselves with current customer materials and programs in use by the Authorities, as described in the Statement of Work. Proposers shall descrbe how they will perform all account management activities included in all subsections below. Proposers shall describe how they will customize account management for the various customer types, special account plans, and Authority-speci?c customer programs. A reliable and customized customer account uranagement systenr that supports all complexities of the New York Authorities? business rules is an essential element to the delivery of first class customer service. Vector, proven customer account management system, has fully integrated all systems, processes, account types, and plans that meet Authorities? objectives. Upgraded with advanced features to ensure greater flexibility and enhanced functionality, Vector will be used to support the future New York contract, offering the ability to increase productivity and e?iciencies across the program. ACS understands the complex infrastructure of the New York program, having cultivated it from its inception to its current status as the largest and most 5.3.4-78 ?2005 ACS. Inc. A s. EM sophisticated electronic toll collection program in the world. No other electronic toll collection program can boast of the array of customer service offerings and account management processes that New York can. ACS is honored to have been able to partner with the New York Authorities to help accomplish these goals. After months of planning for the consolidation of the Authority programs in 1999, the Authorities and ACS designed clear and concise customer materials that explained the many benefits of the New York program. The application materials were critical to the program success as they needed to be easy to read to allow for effortless customer enrollment. Once Authority business rules were established, programming in Vector was completed and the customer materials were designed to re?ect the Authority account and basic and commuter plan initiatives. When the programs consolidated, the Vector system was used by skilled customer service professionals to manage new or existing customer accounts. Proven by the almost 3.5 million accormts open today, the Authorities' vision came to fruition?application materials were clear and instructive and a fully flexible and scalable customer account system, Vector, was provided by ACS making account management easy. Managing Complexity Through years of program growth and change, the Vector product has evolved into a system that now offers a variety of customer account types including individual, prepaid business, and postpaid commercial accounts with 46 different New York Authority plans. The offerings form the basis of our customized account management system that fulfills all the Authorities' requirements. That, in conjunction with commitment to innovative processing performed by skilled personnel, enables AC8 to meet the Authorities' shared program objectives as well as each Authority specific customer program. ACS currently manages multiple accomlt types including individual, prepaid business and post paid commercial, each having unique characteristics that support the Authorities? policies governing toll collection. The Vector application ensures that all accounts are assigned the appropriate Authority designation depending on account type, geographic location, and plan selection. Explicit controls are in ., place to prevent breaches in Authority policies, such as not allowing commuter or resident discount plans on prepaid business accounts, or distinguishing between sold ?2005 ACS 5.3.4-79 and leased tags when assessing the tag fee to prepaid business and commercial postpaid accounts. Aside from the basics of general plans such as the standard plan, business plan, and commercial plan which apply basic discounts according to account type, ACS developed and implemented sophisticated plans based on complex Authority business rules such as: Resident discount plans based on the geographic location of the account and subject to eligibility rules enforced by the Customer Service Center (TBTA Staten Island, Rockaway, and Thruway Grand Island) Account-based commuter plans subject to varied Unused Commuter Trip rules (Port Authority Staten Island Bridges, Tappan Zee Bridge, Thruway Grand Island, New Rochelle, Yonkers, Harriman, Black Rock, and Buffalo City Line) Tag specific commuter plans each needing to be linked to a specific tag assigned to the account (NYSBA, Thruway Annual Permit, and Motor Home) Carpool plans requiring three or more occupants in a vehicle (Port Authority and Thruway Tappan Zee Bridge) Franchise Bus plans allowing discounted toll crossings to specified business accounts (TBTA) Non-Revenue plans offering Authority specific employee and retiree discounts to present and past Authority employees TBNREM, PANREP, NYNREM) The combination of multiple accormt types and 46 accormt plans form the requisite custom application that drives much of the functionality shared by the Authorities in their joint programs. Through the delivery of the existing account types and plans in support of today?s contract, ACS has proven that we can handle the complexity the RFP requires. Backend processes and features, which are critical to the account management process, were built and deployed into production. These processes include: Automatic Credit Card Rebill Initial and Quarterly Accormt Evaluation Varied statement methods and frequencies Automated Correspondence Account Revocation and Closure Manipulation of Tag Statuses Account Suspension Fee Assessment 5.3.4-80 so As part of the account n1anagement process, the above batch processes needed to be accurate, timely and offer explicit indicators to customer service representatives, as well as customers, so they understood the status of the accounts. processes, combined with clear customer communication materials, paved the way to a successful account management program. If given the opportunity to run the future program, we will continue to offer the Authorities the confidence in system processing and customer account handling that we do today. Delivering Functionality Program evolution created the necessity for new functionality to be introduced to address specific Authority initiatives, such as replacing transponders that have failing batteries, to avoid any negative impact to the customer?s experience. ACS was instrumental in participating with future planning of these enhancements with the Authorities based on our experience and the patterns and trends identified through our interaction with the entire customer base. Through our partnership, we were able to introduce unique initiatives like the New York private and business tag swap programs, swapping out more than 3,000,000 tags to date, as well as the recently implemented tag leasing program, which significantly changed the way the Authorities issued tags to prepaid business and postpaid commercial accounts. ACS is very proud of the close working relationship we have developed with the Authorities. It has contributed to offering better products, resulting in superior service. These joint initiatives include new functionality, creation of customer materials, IVR scripting, Web design and more. ACS has always and will continue to stand ready to accommodate Authority specific programs and ad?hoc initiatives. Each Authority's individual identity is nlanifested in the custom programs designed, implemented, and managed by ACS. We are also committed to achieving high client satisfaction ratings. When new Authority initiatives require enhanced functionality and carefully planned deployment on publicly annormced schedules, ACS remains quick to support these initiatives and help the Authorities achieve their goals. This commitment can be evidenced when reviewing many of the custom applications that were implemented successfully into production. To name a few: 0 Evasion Violation and Speed Enforcement, Commercial Account processing, HELP Account, Albany Airport, and Retail Tag Sales 0 ?Toll Evasion Violation and Speed Enforcement, Negative Balance and Violation Collections, $1.00 Fee, and congestion pricing 0 TBTA?Resident Sticker, Tag Retention, TLC Website, Class l\/Iismatch, Negative Balance Collections, Manual Toll Entry, and $1.00 Fee Not only must the progranuning be carefully planned and implemented, but the entire ACS program staff must be trained on all new functionality in order to properly service ?2005 ACS 5.3.4-81 A customers. Without interfering with program operations, we have proven repeatedly that our ability to conduct new hire and refresher training courses to accomplish deployment of new functionality or change in business rules is unmatched. Training modules have been tailored specifically for the New York program and skilled, dedicated trainers teach program staff at all levels. ACS will continue to offer training programs related to specific program needs as well as conducting personal development sessions to build upon existing employee skill sets in an effort to continue to invest in our employees. For more on training see Proposal Section, 5.3.1.3., Training. While the above listing is by no means meant to reflect all the initiatives accomplished during 13 year relationship with the Authorities, it clearly demonstrates our ability and success in helping the Authorities achieve their individual account management objectives. We enhance our operations through constant evaluation and are committed to seeking innovative solutions that ultimately result in improved customer service backed by accurate account management. unique understanding of the Authorities various New York account management requirements is presented in detail in the following pages. This plan will specifically layout account management philosophy for the following activities: 0 Individual Customers Prepaid Business Customers Postpaid Commercial Customers 0 Account Plans, including special discount account plans and non?revenue plans 0 Authority-Specific Programs 5.3.4.8.1 Individual Customers Maintenance of Account Balances ACS has the experience required in maintaining customer account prepaid balances. We have handled the maintenance of account balances for the Authorities since 1992 and have created the quarterly and periodic evaluation processes to ensure that the customer's toll usage is evaluated and adjusted based on account plan, usage level and selected payment method. Periodic and quarterly evaluations are critical functions of the New York program. These processes dn've the payment amount and frequency of both the customer and the automatic replenishment process. ACS, in the creation of the periodic and quarterly evaluation processes helped the Authorities achieve two objectives: improve customer service by establishing a barometer for the customer to use in determining their replenishment amount and frequency as well as reduce cost 5.3.4-82 associated directly with payment processing and related processes. It is crucial to understand the importance and the complexity of the quarterly and periodic evaluation processes currently used to adjust customer replenishment amounts. Due to the complexities of the processes, ACS and the Authorities worked very closely to establish the business rules that are in place today. The business rules governing the evaluation processes are intricate and were finalized in multiple discussion meetings between ACS and the Authorities to reach the existing specifications. The collaboration of ACS and the Authorities resulted in the efficient processes that we are proud of today. The periodic and quarterly evaluation processes are multi-faceted - the replenishnrent amount is adjusted based on account type, the mininrunr replenishment amount, and the threshold amount. Refer to Exhibit 5.3.4?30 for a sumrnarization of the business rules that are in effect today. It is essential that the quarterly and periodic evaluation processes are accurate and tinrely. demonstrated expertise exists in the processes that are in place today and fulfill all of the Authorities requirements. For the New York program alone in 2005, ACS averages over 275,000 accormts evaluations per month resulting in more than 157,000 replenislmrent changes to customer accounts per month. The integrity of the periodic and quarterly evaluation processes enables AC8 to significantly reduce costs which we in turn have passed on to the Authorities. By achieving an average replenishment frequency of once per month ACS significantly reduces credit card processing as well as payment processing, telephone charges and labor costs associated with phone and walk?in inquiries Why was my credit card charged twenty times in one month?). AC8 in its continued effort to seek cost savings for its clients recommended converting the long standing process of sending periodic and quarterly evaluation letters to instead notifying customers of the change in replenishment Via a statement message on the next statement following the evaluation. This change alone reduced mailing cost by more than $800,000 per year. Vector Quarterly Evaluation Process The periodic and quarterly evaluation processes are completely automated batch jobs that are scheduled to run daily. All customer accounts' toll, non-toll usage and financial transactions are reviewed and the replenishment amormt and threshold are adjusted accordingly. The two processes are independent on one another. The periodic replenishment process seeks candidate accounts 35 days after their account open date, while the quarterly evaluation process picks up accounts every 90 days thereafter. The level for which an account adjusts up or down is determined by the Authorities and can be modified at their discretion. A transaction record is inserted into Vector history, which indicates an account replenishment evaluation occurred. The history record displays the date of the evaluation as well as whether the replenishment amount decreased, increased or was unchanged. ?2005 ACS 5.3.4-83 The customer's prepaid account is replenished by the customer whenever the account reaches the minimum established threshold for the customer?s account plan, usage level and method of payment. experience in developing the quarterly and periodic evaluation process for the Authorities provides us with the capability to adjust the evaluation process based on guidelines specified by the Authorities. 5.3.4-84 Individual Account Quarterly Evaluation Business Rules '00 O.- Minimum Threshold Amount Rebill Threshold Amount Rebill Amount Plans (Note 1) Credit Card Non-Credit Card Credit Card Non-Credit Card Individual Accounts Individual Accounts Standard/All Other $25.00 Greater of $10.00 or 50% Of Rebill Greater of $25 or Greater of $10.00 50% Of Rebill (Includes 'No Plan' 25% of Rebill Amount Amount Usage or 25% of Rebill Amount on Acct) Amount Legacy Accounts $15.00 Greater of $10.00 or Greater of $10.00 or Greater of $15 or Greater of $10.00 Greater of $10.00 25% of Rebill Amount 50% Of Rebill Usage or 25% of Rebill or 50% Of Rebill Amount Amount Amount PASI $50.00 Greater of $10.00 or 50% Of Rebill Greater of $50 or Greater of $10.00 50% Of Rebill 25% of Rebill Amount Amount Usage or 25% of Rebill Amount Amount Only $5.00 Greater of $2.00 or 50% Of Rebill Greater of $5 or Greater of $2.00 or 50% Of Rebill 25% of Rebill Amount Amount Usage 25% of Rebill Amount Amount NY12 Only $25.00 Always $0.00 Always $0.00 Greater of $25 or Always $0.00 Always $0.00 Usage Non Revenue Only $25.00 Always $0.00 Always $0.00 Not to be Evaluated Sticker Only $25.00 Always $0.00 Always $0.00 Not to be Evaluated - Minimum Rebill amount required when opening or modifying an account via the Vector Account Maintenance] Replenish screen. It may exceed this amount and if so the Threshold Amount calculation follows suit. Exhibit 5.3.4-30. ACS effectively handles quarterly evaluation business rules based on minimum rebiII amount, replenishment method and plan type. @2005 ACS 5.3.4-85 The periodic and quarterly evaluation processes currently observes the business rules we describe. As successfully performed in the past, ACS will make adjusunents to either process in order to accommodate changes in the Authorities? business rules at the Authorities request. Account Financial Status We will continue to nlaintain up?to?date and accurate account balance information for all New York customers. Payments and account adjustments are applied in real time and toll and non?toll account debits are applied 24 hours a day, seven days a week through the rigorous ATP process. Customers have many ways to inquire about their balance. They are encouraged to and can obtain their account balance information from the VRS and website any time day or night, in addition to speaking to a CSR during business hours or referring to their statement. maintenance of accurate account balances is the driver of maintaining accurate and up-to-date financial status information. The existing New York program already maintains the majority of the account financial statuses required by the Authorities. The existing accomlt financial statuses in the account financial status table are: 0 Good 0 Low Balance 0 Bad 0 Revoked Warning 0 Revoked Final 0 Closed Pending The financial status' currently in place are a result of the evolution of the New York program. ACS was asked by the Authorities to design and implement the Revocation process which resulted in today's multi-phase program where accounts more negative for 30 days or more receive a Revoked Warning letter advising them to pay their negative balance. Then based on the Authorities business rules, accormts that are in a Revoked Warning status for as many days as the Authorities determine, escalate to a Revoked Final status. At that point, the account is debited a $25.00 Revoked Account fee, the tags are deactivated (set to a Lost status) and the account is debited the corresponding tag fees. Finally, a Revoked Final letter is automatically generated and sent to the customer advising of their new negative balance (Equal to their previous negative balance plus minus Revoked Account fee minus the tag fee(s)) with instructions on how to make payment and a notice that their account may be forwarded to collections. We also worked with the Authorities to develop a Collections interface. ACS built a custom application to interface with the collections 5.3.4-86 ?2005 ACS so A vendor of their choice. This process enabled each Authority to collect What otherwise would have gone rmcollected. ACS looks forward to incorporating the new statuses required by the Authorities: 0 Auto Pay ?Any account secured by credit or debit card or ACH regardless of the prepaid toll balance will re?ect an ?Auto Pay? account financial status 0 Collections?Any account that has been sent to a collection agency will have an account status of lCollections' 0 Collections Legal All accormts that have been referred for legal action 0 Closed Indicates that the account has been closed Outgoing Correspondence We currently handle all of the outgoing correspondence outlined in Exhibit 5.3.4-31 in addition to several other forms of automated and adhoc correspondence currently employed by the New York program. In addition, we are also very pleased of oru? recently implemented Customer Response Management (CRM) system that was specifically designed to reduce costly outbomrd mail correspondence and improve response time to customer inquiries received via the New York Web site. ACS delivers correspondence that is both Authority?specific in support of their Authority specific programs or policies and used by all of the Authorities in support of the New York program in general. At a minimum, we will generate and mail the correspondence in Exhibit 5.3.4-31 as it does today. At the Authorities direction, ACS is readily capable to develop additional automated or manual correspondence, revise the existing correspondence and or deliver outgoing correspondence to the New York customer via electronic mail. Currently, we handle over 18 million pieces of mail to customers on an annual basis. ACS also has worked with Authorities and mailhouse in order to strategically group certain types of correspondence in order to gleam the greatest postal discounts. We follow the rules defined by the Authorities in delivering correspondence to the customer. The correspondence currently in place is generated by a triggering event and uray be generated for a specific Authority or all Authorities. ACS and the Authorities collaboratively have developed correspondence based on the Authorities needs. At a minimum, the following correspondence is in existence today and will easily be available in the future, as is or modified at the Authorities direction. ?2005 ACS 5.3.4-87 Customer Communications C) Current ACS Customer Communications 0 Annual Permit Plan Renewal Application 0 Account Closure Form 0 Staten Island Rockaway Resident Program 0 Replenishment Amount Evaluation Notice 0 Resident Application Vehicle Owner 0 Password/PIN Notice Certi?cation Form 0 Credit Card Authorization Form 0 Pro?le Notice 0 Staten Island Resident Car Pool Ticket Book 0 Request for Change of Account Information Order Form 0 Sticker Certi?cation 0 Rockaway Resident Notice 0 Close Account request Form 0 Staten Island Resident Notice 0 Credit Adjustment Notice Staten Island/Rockaway Resident Missing Information Notice 0 Credit Card Decline Notice Rockaway Resident Missing Information Notice 0 Credit Card Expiration Notice 0 Staten Island/Rockaway Resident Removal Notice 0 Returned Check Notice 0 Staten Island/Rockaway Resident Program Application 0 Missing Information Letter 0 Staten Island Resident Removal Notice 084.NYEZP Exhibit 5.3.4-31. ACS has demonstrated the ability to effectively coordinate 18 million pieces of outgoing customer correspondence. The correspondence outlined above has all been created collaboratively by ACS and the Authorities. The majority of the correspondence is automated; therefore, file generation programming has ah'eady been developed and is currently in place. Little or no programming will have to be done to meet the Authorities requirement in continuing to generate the correspondence items in RFP Appendix M. 5.3.4-88 @2005 ACS A For each type of automated correspondence ACS performs a detailed reconciliation from file generation to payment of the applicable mailhouse invoice associated with that file. Dedicated staff records the information captured in the control file to data provided by the mailhouse. All discrepancies are researched and resolved. Once the quantity is validated a representative sample file is generated by the mailhouse for validation by our staff. If the integrity of the sample file in imquestioned, we then instruct the mailhouse to laser print the file and mail. Strict quality controls are applied both on the ACS side and the mailhouse side to ensure that the file is turned around within the tinleframe agreed between the Authorities and ACS. Additionally, ACS currently responds to customer inquiries and requests and utilizes correspondence not specifically mentioned in RFP Appendix M. The following correspondence that is not mentioned in RFP Appendix will still be available to the Authorities in the future should they opt to utilize them: 0 Account revocation letters 0 Bounced e-mail letters 0 Application labels Private and business 0 Tag swap letters 0 Violation notices Chargeback response form As previously mentioned, in addition to the traditional methods of receiving customer requests (mail, fax, phone-in), the New York program is currently receiving an average of approximately 600 daily electronic customer requests and inquiries via the New York Web site, and responding by using om? customer response management system. Although still in its infancy, this tool has already proven to be both a cost savings (by replacing paper outgoing correspondence with e-mail responses) and a customer service improvement (by cutting down on response time). ACS, through Vector, is also able to create adhoc automated correspondence that can address customer issues not captured in RFP Appendix M. Additionally, ACS is committed to meeting the Authorities needs as they develop perform outreach initiatives. The following is a snlall sampling of special mailings that we coordinated in the last year: 0 Customer Satisfaction Sm'vey TBTA Travel Pattern Survey ?2005 ACS 5.3.4-89 0 $1.00 Fee Letter 0 TBTA $1.00 Fee Statement Insert 0 Staten Island Sticker Recertification Letter Application 0 Rockaway Sticker Recertification Letter Application 0 Tag Leasing and Tag Swap Letter 0 NYSTA Toll Increase Statement Message In addition, ACS is able to target a particular segment of the customer base for the purpose of special mailings, statement inserts or statement messages. For more information on outgoing correspondences see Proposal Section, 5.3.4.52, Outgoing Mail and E-mail Processing. Negative Balance Accounts As the current contractor operating the New York CSC, ACS designed and implemented Account Revocation, the fully automated process currently in place which notifies delinquent customers whenever their account balance is not being properly maintained. Once again, we worked hand-in?hand with the Authorities to design notices that would encourage customers either to modify their behavior or be subject to escalation. In order to address the Authorities unique requirements, 10 different notices were created. 0 Revoked Warning All Authorities Revoked Final All Authorities Revoked Warning Non Revenue All Authorities Revoked Warning Commercial Thruway Authority However Account Revocation is not simply a letter campaign. It is a complex process that allows the Authorities to individually select how far they wish to pursue their customers that do not manage their accounts responsibly. Account Revocation process is a fully functional program in place for well over two years. As described previously in the Financial Status section, accounts more negative than -$14.99 for 30 days or more receive a Revoked Warning letter advising them to pay their negative balance. Then based on the Authorities business rules, accounts that are in a Revoked Warning status for as many days as the Authorities determine then escalate to a Revoked Final status which at that point several things happen. The account is debited a $25.00 Revoked Account fee, the tags are deactivated by being set to a Lost status and the account is debited the corresponding tag fees and finally a Revoked Final letter is automatically generated and sent to the customer advising of their new negative balance equal to their previous negative balance plus minus Revoked Account 5.3.4-90 ?2005 ACS so A fee minus the tag fee(s), with instructions on how to make payment and notice that their account may be forwarded to collections. ACS has in place a custom application that can be used by any or all of the Authorities and interface with the Collections vendor of their choice. The three Authorities have different iterations of the Account Revocation process in place today. 0 TBTA sends Revoke Warning and Revoke Final letters to both their Individual and Prepaid Business accounts, and then sends to Collections all customer accounts that do not bring their account to the minimum replenishment amount within a certain timefraine. They also send Revoke Warning letters to their Non- Revenue Accounts, but do not escalate further. 0 sends Revoke Warning and Revoke Final letters to both their Individual and Prepaid Business accounts, and then sends to Collections all customer accounts that do not bring their account to the minimum replenishment amount within a certain tiineframe. They also send Revoke Warning letters to their Non?Revenue Accounts, but do not escalate further. 0 NYSTA sends Revoke Warning and Revoke Final letters to both their Individual and Prepaid Business accounts, but at the present time does not escalate to Collections; however ACS, in anticipation of the Thruway?s potential decision to escalate to Collections, can readily do so. NYSTA also sends Revoke Warning letters to their Non-Revenue accounts and Postpaid Commercial Accounts, but do not escalate further. ACS has proven systems and processes in place to address all the requirements the Authorities have specified for the treatment of negative account balances. Payment Processing ACS successfully processes approximately 1.8 million credit cards, 40,000 cash and 60,000 check replenishment payments on a basis for the New York program. In addition, Vector has already been programmed to handle the ACH payment option for the Delaware River Joint Toll Bridge Conlmission and the Delaware River Port Authority customers. All cash and check payments are posted the same day that the payment is received. Credit card replenishment payments are posted upon authorization from the credit card processor. The next tag validation file created following the posting of the paylnent reflects the updated account financial status in order to prevent a Violation from occurring the next instance in which the customer passes through an lane. We currently accept the required forms of payment: cash, checks, money orders, Visa, MasterCard, American Express, Discover and debit cards displaying the Visa or ?2005 ACS 5.3.4-91 MasterCard logo. We will continue to promote automatic replenishment, the Authorities preferred method of payment. In 1998, we processed 1.2 million credit card replenishment transactions and currently process approximately 1.8 million per month. The automatic replenishment rate for the New York program in 1998 was 83 percent. The 2004 automatic replenishment rate rose to 93 percent and again rose to 94.7 percent in July 2005. ACS took the initiative to promote credit card replenishment and we are proud of our successful efforts. Examples of actions we took to increase the number of accounts being replenished by credit card are: 0 Implementing credit card updates and paynlents development cost to the Authorities 0 CSR training to ask customers to switch to credit card replenishment 0 Statement messages encouraging credit card replenishment 0 Messages regarding credit card replenislmlent printed on statement and correspondence envelopes 0 Statement inserts promoting switching to credit card Vector has already been programmed to handle the ACH payment option for the DRITBC and DRPA customers. New payment transaction types of ?Checking? and ?Savings? have been created and Vector payment screens already display the American Banking Association (ABA) routing number field that would be required to process ACH transactions. 5.3.4-92 ?2005 ACS A s. Credit Card Replenishment Growth Rate 1999 2000 2001 2002 2003 2004 2005 Year ElNon-Revenue ElCash ICheck ICredit Card 085.NYEZP Exhibit 5.3.4-33. Credit card replenishment has steadily increased from an 83 percent automatic replenishment rate in 1999 to a 94.7 percent rate in July 2005 ACS currently promotes automatic replenishment in all customer materials. Special buck slips as well as statement and envelope messages have been printed in the past to encourage customers to replenish their accounts via automatic replenishment by credit card. In addition, the website and VRS include messages to steer customers to automatic replenishment. We will continue to promote the automatic replenishment method in the manners stated above. In addition, by the Authorities request, ACS would be prepared to conduct a special mailing or e?mail message to customers that do not have automatic replenishment, in an effort to encourage them to convert. Cash and check customers have the ability to convert their payment method to credit card via the Web and VRS. Finally, to discourage credit card customers from switching to a cash or check replenishment, the Web site and VRS do not provide the option of switching from credit card replenishnlent to a cash or check replenishment. Cash/Check Customers Cash and check customers are required to replenish their account when the prepaid account balance reaches or falls below the replenishment threshold specified by the agencies. Customers that do not replenish their account prior to the account balance reaching the replenishment threshold will receive a ?Low Balance' message in the lane, indicating that they must make a payment immediately. ACS provides the New York customer with various ways to make cash or check payments on their account. We accept cash and check payments at all of the walk- in center locations and check payments by mail. AC8 provides the customers with @2005 ACS 5.3.4?93 separate designated Inajling addresses for replenishment and Violation payments and will continue to do so in the future. Where feasible, the walk-in centers in existence for the current New York program have the convenience of payment drop boxes, in which payments are collected and posted to the customer account within the same day. In the case of the recently installed Grand Island walk-in center drop box, payments may be applied the next business day if the payment is received after business hours. ACS is not proposing any change to the drop box procedure unless otherwise specified by the Authorities. All payments posted to the customer accounts are re?ected in the Payment Detail Reports (PDRs) generated for each clerk (live or system) processing payments in the lockbox, walk?in centers and VRS locations on a daily basis, in both summary and detail formats. All cash check customers, including those who have a zero account balance, are mailed a detailed statement with a payment coupon and a pre-addressed return envelope on the account opening anniversary date, unless the account has no financial activity for the period. If the account does not have financial activity for the entire statement period, the statement will be suppressed. Although the customer does not receive the statement, it will still be generated in the statement file in the event that the customer requests an archived or on-demand statement in the future. Credit Card Customers Due to the vast majority of customers replenishing their account by credit card as well as the importance for the Authorities to promote such payments, credit card payments are accepted at all walk-in center locations, the New York Web site, and Voice Response System (VRS). All such payments are re?ected in the Payment Detail Reports (PDRs), which are broken down by each location, with the Web site and VRS each being reported a separate ?store" location. When the customer account balance falls below the specified threshold amount, the account is identified and selected for the automatic replenislunent process. All accounts that are identified for replenishment are sent to the credit card processor for authorization via the automatic replenishment process Within two calendar days of reaching the replenishment threshold. The credit card processor transmits a return file. The file identifies the accounts that have been authorized and those that have been declined. If the transaction was approved by the processor, the payment is applied to the customer account and inserted as a financial transaction record. Customers are notified via the posted transaction reflected on their next statement. If the payment was not approved, the replenishment transaction is re-transmitted for approval the day after the first declination. If the transaction declines two consecutive times, a financial transaction 5.3.4-94 ?2005 ACS so A record is inserted into the Vector financial history table, noting that the credit card on file declined. In addition, one day after the final declination, ACS generates and mails a Credit Card Decline Letter. The letter notifies the customer of the following: The credit card on file was not approved for replenishment payment 0 An alternate payment method must be provided 0 If alternate payment is not provided within a predetermined amount of time, the account is converted to a Cash account. Once converted to cash the business rules governing tag deposits are applied to the account depending on the account type. ACH ACS has the experience in successfully implementing ACH processing for the and DRPA ETC projects. For recurring ACH payments, the process is different from credit card replenishment. When accounts with checking or savings payment types are selected for replenishment, a batch file is created and the customers' accounts are credited at that time. The batch file is then sent to CMS for processing and the Authorities' bank accounts will receive next day credit. As with check payments, an ACH transaction may be returned (rejected) due to insufficient funds or stop payment request, among other reasons. A rejection file will be sent by CMS and processed through Vector. All payments rejected will be reversed from the customers' accounts and the payment type will be automatically converted to ?Cash.? If the Authorities elect to do so, a rejected ACH transaction fee can be applied, similar to an NSF check fee. Upon the second consecutive ACH declination, an ACH Decline Letter, provided in Exhibit 5.3.4-34, is generated and mailed to the customer one day after the final declination. The customer is notified of the following: The ACH number provided has declined payment 0 Updated ACH or alternate payment information is requested 0 Any fees that will be charged to the account due to non?sufficient bank funds ?2005 ACS 5.3.4-95 ACH Decline Letter E-ZPass Aocourt #1 <> Bank Account Ending With; IMMEDIATE DIRECT DEBIT UPDATE REQUIRED Del! First Nun.- Last Nam: 110mm, yunbankdeclinedthednrge A CustomSelvioeCaitent Visitanwebsiteatm?mwee Mailsbelow) oral] (8655) to provideaeditcud infanmion account Anyatuip?ouse Replaiishnmioptiu Optionl: E?ZPonctNo <> Corditicns, I Accmn Owns?) Signtme ?Dah or Saving: Account No 01.160112: Gnngeyour ?IBsrrE 1 Access 2 dickontbe 3 4 5 Clidt Rebil?,aita mfayaniecads Exhibit 5.3.4-34. The ACH Decline Letter is generated and mailed to the customer after two consecutive attempts to process a payment. Online ACH payments and one-time ACH payments though the IVR or the Web site will be processed using a check verification service, such as Telecheck. Customers will provide their checking or savings account number, along with their bank?s ABA number, in order to initiate a one?time e?check payment. Most check verification services, like Telecheck, rely on large databases of check writers to determine Whether or not to authorize a transaction. Payment for e?check transactions usually occurs Within 5.3.4-96 ?2005 ACS s. two business days. E-check payments are becoming more popular with consmners and ACS will work with the Authorities to select a provider who offers the best value and service for the New York program. Additional details regarding the ACH process can be found in Proposal Section 5.35.1.1, Revenue Handling Requirements. Customer Fees We understand the importance of the Authorities requirement to assess and collect customer fees based on the fee schedule in RFP Appendix I (listed below). We assessed 5.8 million fee transactions totaling $24 million dollars in 2004. In addition, ACS has processed 6.0 million fee transactions and collected $18 million dollars for the Authorities within the first six months of 2005. We further understand that the fee schedule may change at any time and is fully capable of updating the fee schedule in a timely manner, as the fee table is entirely configurable to allow for modifications to the fee schedule. ACS currently assesses and collects the fees listed below for the Authorities, but is not limited to: 0 Lost Stolen Tag (interior) 0 Lost Stolen Tag (exterior) Damaged Defaced Tag (interior) 0 Damaged Defaced Tag (exterior) 0 Tag Retention (TBTA) Returned Check 0 Paper Statement 0 Service Fee (PANYNI) 0 Service Fee (TBTA) 0 Commercial Business Tag Fee 0 Account Revocation Fee 0 NSF Check Fee 0 Toll Evasion Violation Fees (NYSTA and PANYNI) We are responsible for assessing and collecting all customer fees as established by the Authorities. ACS handles the fee assessments, whether they apply to all Authorities or a specific Authority. All fees that are assessed to the customer are collected from the @2005 ACS 5.3.4-97 customer by deduction from the customer's prepaid balance with the exception of violation fees. ACS understands that the Authorities may have the need to add, modify or eliminate fees. We have developed the tranconfiguration table, which contains the fee amount and has configurable parameters, which makes it relatively simple to update with new fees or eliminate existing fees. We will continue to ensure that all customer materials that are affected by fee changes are revised and available to customers on the effective date of the change or as directed by the Authorities. Such revisions include applications, guidebooks, terms and conditions and any correspondence containing fee amounts. ACS revised the individual application, individual guidebook, and individual tenns and conditions for the service fee that and TBTA implemented. The implementation of the service fees occurred separately, therefore, ACS has made the revisions affected by the service fee more than once. Anecdotally, in May 2005, ACS coordinated the revisions that were required as a result of the NYSTA toll increase. At that time, the individual application, individual guidebook, and terms and conditions were again updated to re?ect the changes, which included new commuter plans, new terms and conditions, and a total redesign of the individual application format to acconunodate the number of plans that were added. For detailed information regarding the steps taken to make revisions to customer materials, refer to Proposal Section 5.3.44, Communications with Customers. In addition, ACS implemented the same changes to the Web enrollment portion of the Web site to allow customers to select the new NYSTA commuter plans. Web site and Voice Response System It is important to note that ACS also handles the updates of the customer materials on the New York Web site and Voice Response System (VRS) as well. We will revise the Web site PDF and HTML files once the customer materials have been finalized and ensm?es that the New York Web site is updated to re?ect the new Inaterials on the evening prior to the effective date of the change to ensure that all customers are receiving up?to?date customer materials and information regarding the program. In addition to revising the documents and files mentioned, ACS also coordinates the same changes to the fees for the recordings on the New York VRS. Customer Statements ACS has the experience to provide the Authorities with a statement generation process that is accurate, efficient and cost effective. ACS generates approximately two million statements on a basis for the New York program alone. We generate 5.3.4-98 ?2005 ACS s. A or statements, paper, e-mail or disk statements, or suppress statement generation altogether on an account?by?account basis regardless of the account type. Statements are generated based on anniversary date, which is determined by the account open date. As previously noted, statement generation capabilities exist for all individual account types, revenue and non-revenue. At the Authorities direction, ACS has the ability of requiring non-revenue customers to opt for e-mail statements. An statement serves as a regular record of toll and financial activity for the customer. An accurate and efficient statement affects ahnost all phases of the program by minimizing costs, increasing customer confidence and reducing incoming calls. ACS has designed a fully reconcilable, operationally sound process of generating and mailing customer statements, using a professional mailhouse. Included in this process are a sen'es of controls to verify that every New York customer has been mailed an accurate statement on the designated anniversary date. These controls are detailed later in this section. Follow?up inquiries to the service center are minimized with complete, accurate and easy-to-read statements (See Exhibit Authorities and ACS have worked together to develop several iterations of customer statements with the dual goals of clan'fying the presentation data for the customer and reducing the production and mailing costs associated with statement generation. AC8 will continue to work with the Authorities in determining the content and format of the statements, envelopes and any enclosures to be included in the statement. We will proceed with statement changes only after the Authorities have approved all aspects of the statement. ACS currently reports and will continue to report detailed information on each statement. 0 CSC address and telephone number 0 Authority name 0 Statement date 0 Account number 0 Activity period 0 Replenishment method 0 Replenishment amount 0 Tag deposits 0 Posting date 0 Transaction date 0 Facility location? Where the transaction occurred ?2005 ACS 5.3.4-99 0 Lane number Where the transaction occurred 0 Amount charged for each transaction 0 Non-Toll Plus) transactions less than $20 posted to the account and deducted from the prepaid balance. 0 Non-Toll Plus) transactions greater than $20 that have been charged directly to the credit card used for replenislmlent and are not deducted from the prepaid balance. 0 Plan 0 Opening balance 0 Replenishment transactions 0 Other charges fees or adjustments 0 Summary in dollars of all account activity represented in the statement 0 Closing balance ACS sends individual account statements via conventional mail or e-mail (for customers that supplied e-mail addresses for this purpose). The information presented on the customer statement does not differ based on the statement type selected. At the agencies direction, ACS has the capability of sorting the customer statements by criteria defined by the agencies, such as, but not limited to, payment type and zip code. For customer convenience, cash and check replenishment accounts receive a paynlent stub and a return envelope. E?mail statements are provided on a basis to those customers electing to receive their statement Via e?mail. Customers opting for e?mail statements will not be assessed a statement fee. Customers that receive their statement Via U. 8. Postal Service will receive their statement on a basis. The customer may opt for a statement, however, an annual fee will be charged to the customer account. ACS will continue to assess fees for statements based upon the Authorities business rules. The New York CSC currently promotes e-mail statements to its customers with every customer interaction, Whether by phone or in person at the walk-in centers. CSRs have been provided with a script in which they encourage e-mail statements. ACS has initiated e-mail statement campaigns among the CSRs several times and has seen significant increases in customers receiving e-mail statements. The enhanced Vector will provide a ?scripting? tool, in which electronic copies of all desired scripts will be stored and will lead the CSRs tlu?ough a series of questions based on customer response to a previous question. The CSRs will no longer have to read the script on paper. They will be prompted with a series of questions to ask the customer, which will provide them with the correct responses based on the stored script. Implementing such a scripting tool will create consistent responses to the customer as well as reducing incorrect responses to a customer?s request. 5.3.4-100 ?2005 ACS so New York Customer Statement Side i at 2 005 m? Now tori Service Congr P.O. Box ?900? Staten lsllid. NY 103103004 Statement Date: 08/22/05 Account Number: Agency: MTA Bridges Tunnels Authority AcliVity For: 05/21/0508120105 Roplonishmont Method: MASTERCARD "ep'emshmemmom $50-00 PLEASE READ CAREFULLY ?00mm Aocmml Number - New York Service Center Activity - 03/20?05 Side 1 012 Tag Deposn: 50-00 Main recently lolm offering ya: the convenience at using your E-ZPass on the Maine Turnpike. In addition. E~ZPass is acoapin in New York. Now Jon-y. Maryiina. Pmmyiimia, Dotmro. Virginia. West Vlrginil. lid Massacnumn. This sum. E-ZPass is also hing nitrous-ad In Maw Look for the E-ans slam for hassle-inc 90er ms mussel ENIRV ex" 7 ["545 (WI ?575, I CF WWE, 06mins 0619005 008037576? we (5'26 19-43 Sl?esmm 1 $4.50 $14 as 97.37.53 mus magi ?557 JMN 1355 Sigma-M 54 070905 07102-05 Puma roii 550 00 559 as eggs omosrsmi Mme We muo sums I use gait 0mm; 0711 ms W15 we own i225 i 50 55025 07/1106 07?! 1/05 0090375764! ?75887 VND 07:" ?2 DC Elanaidcnl 1 ?5 ?5 ornms 07116-05 MtAaai we (W16 15.? snamm ?l 54 so 54065 0mm 0mm91/2005 om 905 005037575? wrest Bet am9 age 835:: i no :32 0112005 lm73/Ml MIMI VNU 01119 2? 33 Sluwn?l 82! B3 aiizi/os 0123935 ggagmwuc v98 ogguasi Sl?eggm i so $2105 vim/tn aim-us ?:1an ii no 5:40:54 070.59: omens 001037575" ?near vua arm in 14 no 5119.; 0903/05 0mm: 00503757?) Miriam VNB 07m itisa snaumm 1 an no 45 W96 09905 mag fol-m goo ?24; 060505 omens 00305757641 05206 27A: 8:5: I 54 00 gas moses wows ommsn GSP see was ism Bast. so 35 $53.10 moses cameos 00303757641 mm 13 0am 15:07 itiw name 151! an: 01 51.95 15 000905 0319605 mp 1? 0m 22-10 13 WW 2235 .B?c 0? 51% $54.20. omens ownos 00503757641 Mm? v~a am? 2i :0 Slam-?I 1 )4 no jig 40 PREPAID TOLL BALANCE waning aneo nus Tub. Non-Toll: and Foot mos "mm-remn- 5100.00 Ending mm mm Cusbmc Sonic. Cantor: PO. Box 140004. sultan island. New York 1031?4004 Website: Phone: 1-800333-TOLL18855) 1-800-772-7935 Fax: 1-718490-9772 Exhibit 5.3.4-36. The Authorities and ACS have worked together to develop several iterations of customer statements with the goal of clarifying the presentation data. The redesign of the customer statement in 2002 reduced the production and mailing costs associated with statement generation. @2005 ACS 5.3.4-101 Global Document Solutions (GDS), E_mai Statements formerly ADM, is the current mailhouse handling all printing and mailing of customer statements, as well as e-mail statements for the New York program. For e?mail delivery, the mailhouse sends the customer a l/Veb site link (good for 30 days), at which the customer can View their online statement. Alternatively, customers can access the New York Web interface and use the display history function to View their Exhibit 5.3.4-37. E-maii statements have risen to 30 percent of statements sent. ACS will continue transactions from the last 12 months. to promote e-mail statements as the preferred method for receiving statements. GDS offers a comprehensive range of print and mail fulfilhnent services. Their print and mail fulfillment center is located in New York City. Currently, GDS is responsible for the printing and mailing of customer statements, all automated correspondence and Violation notices. ACS has developed an excellent working relationship with ODS and staff from both companies work as a team. Archived Statements ACS successfully processes requests for archived statements. The New York CSC has the ability to request an archived statement up to three years prior to the time that the statement is being requested. The archived statement process (Exhibit 5.3.4?38) is an automated process in which the request is sent directly to the mail house for statement generation and mailing. 5.3.4-102 @2005 ACS A Archived Statement Sample so.? I 092 008 Yum aunt: cum PO. Box Slum hum. IV Statement Dale: 07/13/05 Account Numbel 7073(3648 Aclrvity For: Reptemsnment Method. MASTERCARD Renlents?xmem Amml? S70 00 MDC I00 LLBAIC 373 MANHAHLAN STREEYO STATEN ISLAND. NY 10307 0 ?6 1 Account Number: 702230648 New York Service Center MW 03?08?05 05/0705 Sde I of 2 napom $000 ARCHIVE a 9715mm Wm M. swam I DAN. )All $1411. 1 PIRAJOMEIYM out 1 ?Mi. PLAN CI, MANNY Mww? 00" 03-_gxm wows may; mm; I315 PAW . $293 mum roman- . 00-: are. 19onzm WIIM gynmI aux mm It" PAW-mus :20 run ?"905 Jam Fem-u out an: PA Simon-I I pp page a 1915.9). 01. LC 1? WI ?0 53.90 mums ovum mum; Egg? was an _I14_e_ I gm 5?31. ?2er ?Elma Imv?l I750 F6 MW 3? IV mos _cso up: 91:99. 91.5.1 9 ?$11 (a 3: Jan-gt I EFL 919.92. mm memogang 9: I 1g mug; _unm 15x cum -ohm $500) on 933.9% 9mm mug; _rmy'u_ 5g Quinn?save: ovum mom Ion mum.- can I :la_ MI - nine 35an mm owns mug-- mm: _oqx gtw_ .Iu_ I so so so_ Ina-:5 9mm _qu-w r9913; (no: _Igg I so so 00 ?19.19? 31379; mug: my}; my com 1.329 I In 5.1! ?0 mm 0mm: muons mum; egg! Io an FA 58mg? I :9 so. u. on ?km_ muggy mg lilo I my: mane mug-Ii Homo QQI mm ll 515100 @145 Im' a. lung; m1. II Pg gm?, 3 S7 a $79.31. 033391 2mg. w! 799 '55ng cu cum I92: PA m? 1.750 9514306 wusm _otch asp) 5mm :4 (0 sz 20 95916- o-ouus mm mm noun, on: own oo I-A song? I its to warm. _gmm mug" 08x Is FA sum: I gg 1mg we?ve __Q?_v6?96 m'uyv on: oanoo gigging-mm 0:39 in ro_4 own-:5 moms 0mm mu mm; mm vI_ :9 sump: I s? 9: gm 20 _ou_n.cs mos oax won >4 suing-II I 9 :o owe-.5 _qu?u Pg: 3?0 09_ ?a ?Jim rmvm_ DUI I ?2 12170 gang-a \n 'mt _wn gang :4 3' }:ka I 51' 25. .122 was mum/?LI ijn. 095 _o_Il_Ig I75: I Jijt oI 10> obscene:- IANYNJ 40m ow; ., 40? rm 50m goo _quaL Customs: Service ?new: 9.0 Box 140064. Staten bland. New Yon 10314- 9004 Websib: Phone: Inc-712.7935 Fox: 1-718m-9772 1 Exhibit 5.3.4-38. The ability to generate archived statements allows ACS to better service customers. ?2005 ACS 5.3.4-103 A 5m On-Demand Statements The On-Demand Statement generated at the at the customer?s request can be automatically generated and capture a chronological listing of posted toll and financial transactions on an account for a defined period of time up to two years prior to the date the request is made. Requests for information that is prior to the two?year Window can be retn'eved from archives. On-Demand Statement Rm? 0831,2005 qumg Perdem: 0632/2005 '10: 0831/2005 T111 13 56 32 Tm Glam Catwary/ Sub th Lane Pm Lane Etcrx Toll. Date The Po?niDate Catn?ir Entry Entry Ext Ext status Amt: Sabmnt Balance 061373005 190539 06/10/2005 19! 7 52 55 $129 40 06/103005 1723.15 06/113005 mm. on 1 5500 512310 06/113005 09 5229 06/12/2005 TOLL an a 1 5400 51.1940 00313005 11-13-14 06/123005 7101.1. an a 1 54110 $11540 06/193005 20-30-13 06/193005 1911 7 $060 $1.14 90 06/18/2005 20 30 47 06/19/2005 1101.1. GI 1 $400 $110 90 06/193005 1914 49 06303005 3 7 54.75 510605 06/193005 23 -36 36 06303005 191: 7 s4 :5 $101 30 06/193005 23 40 .49 06303005 '06353005 01 25 34 06363005 70 1.1. 1 s4 00 $93 30 0636/2005 14 4941 0636/2005 101.1. El 9 1 $4.00 58930 06353005 19 36-31 06363005 7101.1. 911 a 1 $400 595 30 21 50 45 0636/2005 101.1. an a 1 $490 $0130 0636/2005 194925 06373005 mm. in! 9 1 $400 $7730 0730/2005 15-34 34 07333005 07303005 192539 07333005 mm. 1111 1 51 13 5'72 17 07333005 16 5944 07343005 1101.1. 1111 1 s1 13 571114 07/12/2005 094649 07/123005 7101.1. 7911 1 $490 $6704 07/103005 22 -32 57 07/123005 07/183005 190427 07/19/2005 7 $050 $62? 07/193005 23-1031 07/193005 mm. 01! 1 $400 55944 07363005 2025 44 07373005 3 7 s4 20 $54 24 07373005 11 33 36 07393005 19' 7 s4 20 $50 04 07373005 11 .42 02 07393005 071303005 0127-14 07/30/2005 1101.1. GI 17 1 $400 54204 07313005 12.1935 09313005 3 7 $4.75 $37 29 07313005 23 5237 0031/2005 mm. GI 1 5400 s33 29 End of qu: 089.NYEZP Exhibit 5.3.4-39. On-demand statements can be generated automatically by device number or for all devices on an account for a speci?ed time period. Statement Messages At the Authorities request, ACS routinely includes a message on customer statements in order to notify customers of important information. Statement messages are incorporated into both paper and email statements. ACS has the capability to provide the statement message for all statements or a portion of statements based on selected criten?a defined by the Authorities, such as acc01mt type, zip code, agency owner, etc. Statement messages run for a pre-determined amount of time selected by the Authorities. In addition, multiple statement messages can be mm at the same time. In addition to a message being displayed at the end of a statement, the ACS statement generation process has the capability of inserting a buck slip or statement stuffer with inlportant messages into the statement. The Authorities provide AC8 with the message 5.3.4-104 @2005 ACS s. 5m for insertion and the buck slip will be coordinated with the mail house. The Authorities have the option of selecting the size and color of the paper as well as the font type and size. Email statement customers receive their statement message in electronic fonnat. The electronic statement displays the statement message at the end of the statement as well. In the event that a statement requires a buck slip or insertion, AC5 creates a PDF file of the message and provides a link to the PDF file from within the statement itself. The e- mail statement message advises the customer that an important message is included with the statement and the PDF link is included in the body of the e-mail statement message as well as within the statement itself. Statement Suppression ACS suppresses statements in two circumstances. If the customer specifically opts to suppress or not receive their statement, the statement will not be mailed to the customer. Although the statement will not be mailed to the customer, it is still generated for archived statement purposes in the event that the customer requests the statement at a later date. The suppression of statements results in cost savings that ACS passes on to the Authorities. There are significant costs associated with the generation, printing, and mailing of customer statements and ACS is pleased to have the option to do so, while eliminating the statement costs realized by the Authorities. In addition, statements are suppressed in the event that the customer does not have any financial activity for the statement period. Again, although the customer will not be mailed a statement, it will still be generated for archival purposes. There are circumstances that will ?un?suppress? a statement that has been suppressed, such as the implementation of the $1 per month service fee. Since a fee represents a financial transaction, a statement is no longer suppressed. In the future, if the Authorities desire, we would be pleased to implement the option of continuing suppression for those accounts that are assessed only the $1 per month fee in the statement period. Statement Reports ACS has developed statement reports that are used in the correspondence reconciliation process. We generate a file that is transmitted to the mailhouse. The mailhouse generates and mails the statements. The mailhouse provides ACS with a control file, which indicates the number of statements generated and nailed by statement type. We compares the ACS creation file to the mailhouse control file to reconcile the ACS files to the control files. In the event the totals do not reconcile, an ACS dedicated staff member resolves the discrepancy directly with the mailhouse point-of-contact. ?2005 ACS 5.3.4-105 Customer Inquiries, Complaints, and Discrepancies Customer inquiries, complaints and discrepancies that are unable to be resolved at the first point of contact in the call center or walk-in centers are manually tracked through Customer Unresolved Inquiry (CUI) forms in conjunction with an entry in Vector notes indicating that the customer has requested an adjustanent or have a dispute. The CUI is written up and passed through the appropriate department for review and resolution. Upon receipt by the processing department all CUI are sorted, counted and batched by type- Customer inquiries, discrepancies and complaints arrive from the customer either by telephone, walk?in, Web or e?mail. The inquiries that arrive Via the website queue up in CSR queues in Vector. Designated CSRs have been assigned to work the queue and resolve the inquiries or requests. Once the inquiry enters into the system, it has a status of NEW, which will automatically be distributed to a queue for resolution. OPEN requests those being actively replied to) are not available to another CSR. Intent is to prevent multiple replies. The existing functionality has various statuses throughout the resolution process as displayed in Exhibit 5.3.4-40. Just a few of the statuses are NEW, OPEN, REVIEW, ESCALATED, RESOLVED and CLOSED. INhen the request has been worked on, the response is complete, but not yet delivered, the status will be upgraded to RESOLVED, in the event that supervisor review is mandated. CSRs have the ability to route the inquiry to a supervisor in the event that an inquiry requires escalation, thus creating a status of ESCALATED. A request is CLOSED once the response has been provided to the customer. Each request has a "request mode." Responses are delivered via e-mail, but could also be generated in other ways such as written correspondence, combined e- mail and written correspondence. 5.3.4-106 ?2005 ACS A Customer Inquiry Resolution 091 .NYHP Exhibit 5.3.4-40. Statuses help track the customer inquiry and discrepancy resolution process. Inquiry statuses change as the customer inquiry follows the workflow process through its resolution, providing an audit trail every step of the way. The enhanced Vector will contain a work?ow solutions tool in which all inquiries, correspondence and disputes will be tracked from inception to resolution. Not only will the new tool track the reconciliation of conflicts regarding timing and locations of tolls, additional fees and the timing and mount of payments, but also it will be used to track each and every facet of account management functions. All customer communication that is received at the CSC will be scanned, linked to the existing account and available onljne for future reference, thus eliminating the need to retain the documents on?site. Each CSR that will use the workflow solutions tool to respond to customers will be assigned a category for which they will be responding to depending on their job responsibilities. For instance, a category of ?credit card updates? would be directed to the queue of a CSR in the Correspondence Department. @2005 ACS 5.3.4-107 Pre?developed responses and form attachments will be available in order for a CSR to accelerate generating standard responses or to provide the customer with an attachment of various forms that the customer may need to complete based on their request close account form). The responses are configurable based on the Authorities requirements. e-mail response is in the form of a direct e-mail to the customer?s return e-mail address as provided by the customer. Internal Processing of Correspondence in the Enhanced Vector With the enhanced version of Vector, the CSR designated to respond to customer requests will View the actual requests within Vector. Customer requests and disputes will be contained in one main repository with the inquiries sorted by associated category with received date time stamps. The ability to read and respond to the inquiries will be assigned on an individual CSR basis, while transferring inquiries to another CSR in case the original CSR handling an e-mail request is not available out due to sickness) will also be provided. E?mails that have been replied to will be removed from the main repository. Received e?mails and replies will become part of account history and will be stored online in accordance with established policies for storing written correspondence. Replies that are part of the online account history will identify responding CSR. Electronic response and tracking of customer inquiries, complaints and discrepancies enhances the audit abilities of the CSC in reviewing performance, resolutions and response times to all correspondence. ACS is confident that the Authorities will be pleased with the new customer inquiry and resolution tracking functionality that we are proposing with our worktlow solutions system. ACS acknowledges and understands the Authorities requirement for an automated system to track resolution of all correspondence regardless of the method in which it has been received. We are pleased to offer such an automated system for telephone, walk? in, e?mail and Web site correspondence, inquiries and disputes. All disputes regarding payments and fees as well as the timing and location of tolls will be logged and tracked. In order to control the adjustments being made to an account, only designated staff will have the security permissions to perform such adjustments. Furthermore, a daily adjustments and reversals report will be printed, in which all Supervisors will review for their staff on a daily basis in order to ensure that the are following proper guidelines in performing adjustment transactions. After approval from the Autho?ties, ACS will provide the with guidelines for adjustments, which will allow reasonable judgment handling by the CSR. 5.3.4-108 ?2005 ACS s. Follow Up On Request in CSR Queue All requests that have been routed to the CSR queue will be listed in chronological order based on the receipt date and time in each CSRs queue. The older items will display at the top of the list with a reminder to the CSR that the items must be addressed. The CSRs desktop will include a ?ticker? that will display the performance statistics. The CSR will have the ability to review how many requests they have responded to in how long of a period of time. A ?ticker? will also provide averages and other performance?based statistics on the bottom of CSR screens. On-Iine Files We will provide the capability to access on?line files and scanned correspondence that contain records of the customer activities for a time period of one year from the date being requested in order to facilitate real-tinre response to telephone inquiries regarding statements. Providing a year of history will allow the CSC to expedite the request in a timely manner, without further actions required. Audit Trail ACS Will provide complete audit capabilities. Management will have the ability to determine the correspondence received, the correspondence sent by the CSC, the CSR working on resolving the inquiry and response time, as well as the steps taken to resolve the issue. All activities regarding handling customer inquiries, complaints and discrepancies through the above-mentioned module will have a complete audit trail for each and every activity at every stage of every status. ACS will have the ability to review specific inquiries and will be able to determine exactly what steps were taken to resolve. The audit trail will be available online for a minimum of six months and archived for a minimrun of one year. In addition to the online audit trail, AC5 will have the capability of reviewing each CSR and their activities through the resolution process Via the ad?hoc reporting system. Ad-Hoc Reports As a new feature in Vector 4.0, ACS offers the Authorities the ability to run ad-hoc queries to report on the activities of work?ow solutions, resolutions and any specific data that is required by the Authorities. The Ad-Hoc reports will be run on an of?ine atabase, which will not present production issues with running the reports. The Authorities will have the capability to develop ad-hoc reports pertinent to the information that they are interested in. Ad?Hoc reporting may be used to audit a specific CSR or audit a speci?c category of inquiries, etc. The data elements that are captured in Vector for each transaction will be available in the reporting system, providing the Authorities and ACS the flexibility of quickly retrieving the data requested. For more information on reports, Please refer to Proposal Section, 5.3.7, Reporting Tasks. ?2005 ACS 5.3.4-109 Live Statistics The Vector system that ACS is proposing will also contain a ticker scroll at the bottom of the screen so that various statistics may be displayed. An example of such a statistic for this particular function would be the number of requests received per day and the number of responses awaiting reply. The ?ticker? will be used through various departments of the CSC and will be completely configurable based on requirements. For instance, the call center staff will be able to view real?tiine phone statistics scrolling at the bottom of the screen. Among the data that may be displayed, but not limited to just this data, would be nmnber of calls in the queue, the number of agents on the phone, wait time, and abandoned rate. Correspondence CSRs assigned to the worktlow solutions tool will have the ability to View the number of requests they have in their queue, and the number of requests they have responded to dining the day. Detailed information regarding improved reporting capabilities and live statistics are further explained in Proposal Section 5.3.4 Customer Service Tasks. Closing Accounts and Accounts in Default AC8 processes account closure requests in accordance with requirements while maintaining the courteous and professional level of service provided to all New York customers dm?ing the account maintenance phase. The account closure and reftmd procedures we have developed serving the Authorities ensure efficient adherence to their policies and business rules. Vector supports customer account closures that ACS processes at the customer's or the Authorities written request. The written request from a customer aids us in facilitating an accurate audit trail for all account closures processed. ACS understands that account closures may also be requested by the Authorities in the event that customers have violated terms and conditions or upon determination that the account is uncollectible based on agreed upon standards established with the Authorities. In addition, we will handle account closm?es when all tags on the account have been returned, the account has a zero balance and there has not been any toll activity for ten days. In the event that the customer must complete certain steps prior to account closure return all tags), the account closure request will remain in a pending status until all actions by customer have been completed. A complete audit trail for the account closure activities will be available in Vector for review. Request Account Closure The current account closure request process requires the customer to complete a Close Account request form in which several criteria must be met. The minimum requirements for termination of an account are as follows: 5.3.4-110 ?2005 ACS s. All tags must be accounted for as either returned, retained, expired, lost or stolen status 0 Any outstanding balances must be resolved, either by payment from the customer or by credits posted to the account as in the case of a Toll or Fee Dispute that is decided in the customer?s favor All outstanding open violations must either be paid by the customer or dismissed by the Violations Department 0 All unused Commuter Discount Plan trip charges resulting from incomplete cycles that have passed their cycle completion date must be given sufficient time to post to the account prior to closing operations department processes all requests for account closure by the customer and by the Authorities. Customer account closure refund requests are documented on a Close Account Refund Request form. This form acts as a checklist, ensuring that established criteria for closing the accormt have been met, and requires that the CSR attach supporting documentation to meet this request. The form records the receipt and disposition of tags, reason for closing account, forwarding address (if any), and balance clue where applicable. In the event that tags are not returned with the account closure request, ACS sends the customer a Missing Information letter advising the customer that they must return their tags or they will be charged for the tag. The processing CSR validates the request, checking for the appropriate receipt of tags and payment. Tags are inspected for damage. If the tags are deemed to be re-issuable, they are re-statused to and then re-issued into tag inventory for 30 days to ensure that all of the tolls have been posted to the original accormt prior to being assigned to a new account. If the tags are not re?issuable, they are appropriately re-statused based on their condition. Vector captures an array of ml-reissuable tag statuses such as and If the customer is unable to or will not be returning the tags, the tags are re-statused as LOST. In either scenario, during the close account process, if a tag is not received or not received in working condition, Vector autonlatically debits the account for the tag fee. The CSR notes the request to close in the customer account in Vector and puts the account in a ?closed pending? status pending the final settlement of all matters associated with the account. The ?closed pending? status invalidates the account and is subsequently re?ected in all future tag files. INhen the customer indicates a change in address, the CSR updates the account record to re?ect the forwarding address. If the account has a balance, the CSR requests a refund through the automated refund process. Once the refund is issued to the customer or all criteria have been met, the account is put into its final status of ?Closed?. ?2005 ACS 5.3.4-1 11 Web Account Closure ACS is pleased to offer the Authorities the ability to allow customer account closure on the New York Web site. With the added functionality, more customers may move to close their accormt via the Web as it is self-service and the request is immediately received for processing. If the Authorities approve, the process would work as follows: Upon account and password validation, the following criteria will be veri?ed: All tags are inactive and returned All violations are satisfied Account does not have a negative balance If the criteria has been met by the customer: All commuter plans will be removed from the account Customer will be asked to validate their address Customer is prompted to answer if they are sure that they Wish to close the account (explains What will happen upon closure) Customer will see a pop-up screen that states account was closed and that once all outstanding tolls and fees have been applied, any refimd will be issued via the last valid method of payment (in the event it was cash payment, a check will be issued) Account will be suspended allowing some updates to be done, but tag status changes, tag swap, and plan additions, will not be allowed After 10 business days, account is automatically set to a closed status The automated refund process that the account closure request will follow is detailed in Proposal Section 5.3.5.1.1, Revenue Handling Requirements In the event that the criteria mentioned earlier in this section is not validated, the following will occur: Customer will receive a pop-up screen with instructions on how to handle the criteria that was not verified Examples of such instructions may consist of: Reporting tags lost or stolen if they are not in customer's possession Making a one?tiine payment to clear the negative balance or pay outstanding violations. If customer chooses not to close the account, a pop?up will appear notifying that the customer is responsible for any other fees, charges including unused 5.3.4-112 ?2005 ACS A comnluter plan trips imtil the account is closed. The account remains open and no plan changes are made. As with any other process that requires statistics and reporting capabilities, ACS will provide the following to the Authorities with the Web account closure feature: 0 Daily stats on closed requests as well as accounts actually closed 0 Daily rejects for credit card refunds 0 Daily PDR for Web for credit card refunds 0 statistics on accounts closed Processing Customer Refunds We handle reflmding customer accomlt balances with the same superior level of customer service provided during the life of the accomlt. ACS understands that superior customer service also extends to closing customer accounts and is therefore proposing an automated refund process, which will eliminate most of the manual interventions currently in place today. The ACS Finance Department will review all customer account refund requests when the close account/ refund request form is received from the operations department. They will research the customer?s account to determine if a refund is due on the balance, less any applicable fees. Our Finance Department will confirm that there is no chargeback or NSF check activity pending on the account. We have established a refund processing procedure with controls that protect client's revenue. These controls, which are applied to the current New York program, include: 0 Documentation of all pertinent actions on a close account refund request form 0 Segregation of processing duties 0 Supervisory review and approval prior to refund processing 0 System-administered limits, via Vector, to eliminate the possibility of over- refunding a customer Under the new work?ow process within Vector, packets of paperwork associated with a refund transaction will no longer be required. The customer request will be scanned into Vector and reside with the customer account information already existing in the system. An electronic refund request will be routed from staff in the Correspondence Unit to staff in the Finance Department, receiving all necessary approvals along the way. ?2005 ACS 5.3.4-1 13 ACS recognizes the requirement the refunds be issued to customers 15 business days from the date of accormt closing and that any remaining balance (including unreturned tag fees) shall be paid, refunded or written off. For complete details regarding the proposed automated refund process refer to Proposal Section 5.3.5.1.1, Revenue Handling Requirements. Handling of Accounts with Negative Balances Being the prime contractor for the New York program, AC8 understands the Authorities requirement to collect revenue on accounts that have a bad, revoked warning, or revoked final account status and is committed to working with the Authorities in obtaining as much earned revenue as possible. ACS handles account with negative balances based on business rules provided by the Authorities. Although the Authorities have defined the timeframe and dollar thresholds, the rules shall be adjusted at the discretion of the Authorities. There are tlu?ee categories for account with a negative balance; bad, revoked warning, and revoked final. After an account has been in a revoked final status and the customer has not made the necessary payments, the account will eventually be placed in either a ?Collections' or ?Collections Legal' status indicating that the accoxmt has been referred for collections or legal action. Bad Account Status An account is placed in a bad account is designated as such when an account is negative $15.00 or less. This applies to cash and check replenishment customers only. An account in this state is considered invalid. All tags associated with this type of account are invalid in the tag validation file; therefore, the tags will be invalid at all facilities. The account remains in ?bad? status for up to 30 days. After 30 days, the account is escalated to a status of revoked warning. Revoked Warning Status An account in a revoked warning status is designated as such when the account is negative $15.00 or less and in ?bad? status for 30 or more consecutive days but less than 60 consecutive days. ACS generates a revoked warning letter and mails it to the account holder, which informs the customer that the account will be revoked and subject to collections if the balance is not satisfied within 10 days of the date on the letter. The tags associated with this account remain invalid at all facilities. Again, this applies to cash and check replenislunent customers only. The account is still active for payment, address changes, vehicle updates, credit card updates, etc. Revoked Final Status An account placed in a revoked final status is designated as such when an account is negative $15.00 or less for 60 or more consecutive days. ACS transfers any tag deposits to the prepaid balance. AC8 again generate a letter, the revoked final letter, and mails it 5.3.4-114 ?2005 ACS s. A to the accormt holder, notifying the account holder of the account status and advising that the account is now in a revoked final status and will be sent to collections. All tags are placed into ?lost? status and the customer is charged accordingly for the cost of the tag ($25.00 for interior and $32.00 for license plate tags). If the tags are returned the lost tag fee is refunded. The account holder is also being charged a $25.00 non?refundable revocation fee. The account is inactive for address changes, vehicle updates, credit card updates, etc. The only transactions that are performed are financial (payments, credits, debits, etc.), tag return, and notes. At this point, any minimum use discount plan is automatically suspended and the customer is charged any required minimum tolls. The license plate remains on the account and any violations that have occurred identifying the license plate of a revoked final account is treated as a non?customer violation and follows the non-customer violator process. Customers that replenish via credit card are not considered negative unless the credit card replenislunent process has failed to receive authorization on two consecutive attempts. If the credit card failed the second time, the account is now considered a cash check customer and follows the same rules as described above. Communication Methods After the account has been placed in a revoked final status, a statement message is printed on the next customer statement advising that the account has been revoked and the tag deposits have been forfeited. In addition, the statement itemizes the final transactions fees associated with the revocation process. A final statement is sent to the customer, even if the statement was in a suppressed status. Accepting Payments On behalf of the Authorities, ACS accepts payments on an account that is in a revoked fnal status. However, the account will still remain in a revoked final status. We have the ability to re-open the account and reverse the lost tag fee if the customer meets the following criteria: 0 Customer returns the tag 0 The account has not been sent to collections 0 Balance has been replenished to one month?s worth of tolls If applicable, tag deposit has been paid 0 Account revocation fee of $25 is paid 0 All outstanding Violations have been paid ?2005 ACS 5.3.4-1 15 Although it is not typical that the account revocation fee would be reversed, ACS ensures that reversal capability will exist in the event that the Authorities authorize a reversal. Such a reversal is itemized in the reversals and adjustments report. Closing Account AC8 follows the account closure process for accounts that are in a revoked final status if: 0 The account has not been sent to collections 0 Balance has been brought back to zero 0 All outstanding violations have been paid Opening New Accounts for Customers in a Revoked Status Once an accomlt has been placed into a revoked final status, all license plates on the account remain on that account. In the event that a customer in a revoked final status attempts to open a new account with a license plate that exists on the revoked final account, the customer will be stopped from opening the account. The customer will not be able to open an account by mailing an application to the CSC or on the New York Web site. Negative Balance Reports ACS provides the agencies with two weekly negative balance reports, Negative Balance Report (18A) and the Top 50 Negative Balance Report (183). The 18A reports the following information and is broken down by Authority: 0 Account number 0 Current balance 0 Account type 0 Account status 0 Pay Type 0 Date balance became negative 0 The number of days account has had a negative balance 0 Customer name, address and phone number In an effort to collect as much revenue for the Authorities as possible, staff in the Manual Rebill department review the ISA report, Negative Balance Report and attempt to replenish the accounts that have credit card numbers on file. 5.3.4-116 ?2005 ACS A Report 183, and the Top 50 Negative Balance Report, are also available to the Authorities with the following information: 0 Account number 0 Current balance 0 Account type 0 Account status 0 Number of days with a negative balance 0 Start date of negative balance 0 A summary is provided at the end of the report. Sununary includes: - Total negative balance due Average negative balance - Maximum number of days Minimum nmnber of days Average number of days Collection of Bad Debts ACS has worked very closely with the Authorities in establishing collection guidelines and procedures, closing accounts and assigning them to a collection agency as directed. After 45 consecutive days being in a revoked final status, the account is sent to collections for each Authority. Each Authority has contracted separate collection agencies. ACS sends a file to the collection agency with the revoked accoxmt information. The accomlt remains in Revoked Final status with the same CSR permissions, but the demographics screen displays the date and dollar anlount sent to collections. At the point that a payment is made or tag returned at the CSC, an update file is sent to collections so that they can update their records and either reduce the amount to be collected or cease collections al together. If the customer makes a payment to the collection agency, the collection agency sends a file to ACS and the account is updated in Vector to re?ect the payments that were made and the date that the payment was made. The return codes transmitted from the collection agency indicate whether the account is paid in full, paid in part, or remains uncollectable. Once the account is back from collections and paid in full, the accormt is automatically set to ?closed?. Any account in collections can not be reactivated. Refund Processing In the event that a customer makes payment to the collection agency as well as sending a payment to the CSC, ACS manages the refund process to return the overpayment to the ?2005 ACS 5.3.4-1 17 customer. The collection file that is transmitted to AC8 provides payment details. ACS reviews the file for the payment information and follows up with the collection agency if necessary. The Correspondence Department completes a Refund Request Form and submits it to the Finance Department. The Finance Department requires copies of both checks?the one sent to collection and the one sent to the CSC. Copies of the front and back of the checks must be provided. Once the copies are provided, the paperwork is processed and the automated refund request procedure will be followed. In the event that the payment to the CSC was made in cash, the customer must provide a copy of the cash receipt from the walk-in center. Accepting Payments In the event that an account has gone to collections and customer makes a payment to the CSC, ACS deposits the check and provides a copy of the deposit slip to the Authority. In addition, AC8 provides details to the Authority with account number, total payment received, toll amormt, fee amormt, name and address of customer. Tag Invalidation ACS has handled tag status changes on customer accounts since 1998 and has also implemented automated means for customers to report their tags lost or stolen 24 hours a day, seven days a week. The automated means implemented resulted in approximately 275,000 tag related updates in 2004 and 145,000 for the first half of 2005. The New York customer has several methods in which a tag may be reported lost or stolen. It is important to note that all methods described below result in a real- time update to the database when reporting the tag lost or stolen. The customer is charged a lost or stolen tag fee. The updated tag status reflects in the next tag validation file that is downloaded to the lanes. Tag Status Changes Following are the methods in which a customer may report their tag lost or stolen: On the Phone?VVhen a customer calls the 800 number and opts to speak with a CSR, they advise the CSR that their tag or tags have been lost or stolen. The CSR immediately updates the account in Vector to reflect the change in the tag status. The CSR advises the customer that they should not use the tag if they find it in the future. In addition, the customer is advised that the account is charged the applicable fee for lost and stolen tags. If the tag is found in the future, the customer is advised that they should return it to the CSC and the lost or stolen tag fee will be reversed. customer also has the option to report their lost or stolen tag via the VRS. Upon account number and PIN validation as well as selecting the option to report tags lost or stolen, the customer is prompted to enter the tag number for the tag that has been either lost or stolen. The VRS repeats the tag number to the customer in order to confirm 5.3.4-118 ?2005 ACS s. that the tag number entered is correct. Vector performs a check on the customer?s account to ensure that the tag number entered actually exists on that particular account. If the tag number is valid for the account, the customer is asked whether the tag was lost or stolen and the VRS advises the customer of the option nmnbers for each tag status. Once the tag status has been updated to lost or stolen, the customer is advised that the tag should not be used in the event that it is found and that the applicable lost or stolen tag fee has been charged to their account. The customer will have to return the tag to the CSC in the event that it has been reported lost or stolen and found at a later date. After being returned to the CSC, the applicable lost or stolen tag fee will be reversed. If the tag number is not valid for the account, the customer is prompted to enter the tag number again. After several attempts to enter the tag number are unsuccessful, the customer is transferred to a CSR, who will handle the request on the phone. New York Web site?The customer has the option of using the New York Web site to report their tag lost or stolen. The customer logs in to their account using their account nunlber and password. Upon validation, the customer accesses the Tag/ Vehicle Maintenance portion of the Web site. The customer is presented with a list of tags currently on the account and their corresponding statuses. The customer has the ability to select a tag nu1nber and report it lost or stolen. Upon submitting the request to report the tag lost or stolen, the customer proceeds to a screen that advises of the lost or stolen tag fee that is deducted from the account. Once the tag status has been updated to lost or stolen, the customer is advised that the tag should not be used in the event that it is f01md and that the applicable lost or stolen tag fee has been charged to their account. The customer will have to return the tag to the CSC in the event that it has been reported lost or stolen and found at a later date. After being returned to the CSC, the applicable lost or stolen tag fee will be reversed. Walk-In Center?A customer also has the ability to visit one of the walk?in centers to report their tag lost or stolen. The clerk handling the request performs the tag status change and advises the customer that a lost or stolen tag fee has been charged to the account. The customer is also advised not found at a later date. If the tag is found, the customer is told to return it to CSC and the lost or stolen tag fee will be reversed. Tag Validation File Once the customer successfully reports a tag lost or stolen, the next tag validation file reflects that the tag is invalid in the lanes. Tags that are invalid in the tag validation file are retained at TBTA facilities, resulting in a $25 tag retention fee. ?2005 ACS 5.3.4-1 19 Replacement Tags The same methods that are described above for reporting a tag that is lost or stolen also provide the New York customer with the convenience of being able to request replacement tags immediately after the tag has been reported lost or stolen. On the Phone?The CSR asks the customer if they would like a replacement tag. If the customer opts for a replacement tag, the CSR ensures that the cash or check customer has sufficient funds to cover the tag deposit. If the funds are not sufficient, the customer is asked to make a paynlent at a walk?in center. If the paynlent is made at a walk?in center, the customer will receive the tag at that time and will be told not to use it for 24 hours. If the funds are sufficient to cover the tag deposit, the CSR issues a request for a replacement. Credit card replenishment customers are issued a replacement tag if a valid credit card number and expiration date exists on the account. Replacement tags are mailed to the customer within two days of the request. VRS?hnnlediately after successfully reporting a tag lost or stolen, the customer is prompted on whether or not they would like to request a replacement tag. If the cash or check customer has a balance in the acc01mt sufficient to cover the tag deposit, the replacement request is confirmed. Credit card replenishment customers are issued a replacement tag if a valid credit card number and expiration date exists on the account. Replacement tags are mailed to the customer within two days of the request. New York Web site?Immediately after successfully reporting a tag lost or stolen, the customer is prompted on whether or not they would like to request a replacement tag. If the cash or check customer has a balance in the account sufficient to cover the tag deposit, the replacement request is confirmed. Credit card replenishment customers are issued a replacement tag if a valid credit card number and expiration date exists on the accomlt. Replacement tags are be mailed to the customer within two days of the request. Account Suspension Offering the Authorities the ability to involuntarily and voluntarily suspend accounts assists the Authorities in suspending those customers that warrant suspension as well as providing the New York customer with the convenience of being able to voltmtarily suspend their own commuter plans. As the prime contractor for the current New York program, AC5 already provides the suspension functionality required of the Authorities in Vector and the Voice Response System (VRS). ACS is pleased to offer voluntary plan suspension on the New York Web site as well. The customer will have the capability to select which conmluter plan they would like to suspend as well as start and end dates for the suspensions, which will be in accordance with NYSTA's and business rules for suspending accounts voluntarily. 5.3.4-120 ?2005 ACS s. Voluntary Suspension The existing New York program allows commuter plan suspension performed by the CSR handling the customer request and on both the Web site and Voice Response System (VRS). Based on the Authorities business rules, all of NYSTA's as well as one NYSBA conunuter plan are eligible for commuter plan suspension. and TBTA do not have any commuter plans that have suspension eligibility. In the event that the Authorities elect to add commuter plans in the future that will be eligible for suspension, ACS will be prepared to append them to the list of eligible plans for suspension. There are certain rules that apply to suspending a commuter plan. They are currently as follows: 0 plan suspension must be for a minimum of one week. 0 Customer can suspend conunuter plans at a maximum of four times per year. 0 First use of the commuter facility after suspension end date will activate the commuter plan 0 Customer cannot use the commuter plan facility before the end date of the suspension. Doing so will result in a full fare toll. Involuntary Suspension At the direction of the Authorities, ACS has and will continue to have the capability of suspending accounts involuntarily due to violation enforcement purposes or lane speed enforcement. Vector system supports the full cycle of the speed enforcement process: speed Violation validation, suspension, revocation and customer dispute, and disposition handling. Speed enforcement is based on customer accounts for private accounts and at the tag level for commercial and business accormts. Speed enforcement rules in Vector are driven by the Authorities business rules and typically involve vehicle speed thresholds at lanes including or excluding different account types. Vector has a user interface for setting speed thresholds and various other configurations for speed enforcement and only authorized personal can access this interface. Vector speed enforcement also supports ?Automatic Suspension? and ?Fast Speed" enforcement; both features are configurable when required. All speed limits and thresholds are set to match the Authorities business rules. Additionally, Vector provides a screen for customer service representatives to use in servicing Violations. ?2005 ACS 5.3.4-121 Automatic Suspension ETC customers traveling through home agency facilities are subject to automatic suspension for speeding. Speed violators who speed in an Authority-specified range of rate of speed are automatically suspended for 60 days (assuming there are no further outstanding speed suspensions for the accormt). If the account ah?eady has an outstanding suspension, a new violation meeting the auto-suspension criteria escalates the suspension level. Fast Speed Speed violations in excess of an Authority specified threshold are included on the Fast Report (Report VIN). The CSC delays processing these as speed violations until it can be verified that the lane equipment responsible for recording the speed was accurate at the time the violation occm?red. Vector sets the transaction status to Transactions in FAST status are not considered for escalation of Violation notices. If the speed is determined to have been correct, then an automatic suspension of 60 days applies. If the speed is incorrect then Vector ignores the Violation for escalation purposes. Vector Speed Notice User Interface Batch processing in Vector can be set up to run daily or weekly, as needed, to generate notices. Each infraction of the Violation will have a separate notice and no fee is associated with these notices. Speed suspended tags are invalid at all IAG facilities. This information is sent from the home agency to all IAG facilities at regular intervals. Customers attempting to use a suspended tag or account receive a toll violation notice. 5.3.4.8.2 Prepaid Business Customers ACS has the experience required to open and maintain prepaid business accormts. Due to the differences between individual and business accounts, we have created a specialized business unit to handle the requests and inquiries of the customers belonging to this group. Our staff in the business unit have been specially trained to handle the complexity of business accounts and ensure excellent and personalized customer service to the prepaid business customer. Maintenance of Account Balances We maintain the prepaid business account balances in much the same manner as individual accounts with a few key differences. 5.3.4-122 ?2005 ACS s. ACS currently opens business accounts and bases the required opening accomlt balance for prepaid business accounts on the number of tags, number of passenger vehicles, and the number of axles being registered on the account as well as any projected usage provided by the customer. We are prepared to add calculation criteria (Plan type) to the business account open process at the Authorities request. The business rules for the quarterly and periodic evaluations are different. The rules for business account evaluations are depicted in Exhibit 5.3.4-41. ACS is prepared to follow the business rules previously described, or will make adjustments to the current rules based on the Authorities request. @2005 ACS 5.3.4-123 A Prepaid Business Account Quarterly Evaluation Business Rules Vector Online ules - Ooen or Chance Account Evaluation Rules Minimum Threshold Amount Threshold Amount Amount Plans Credit Card Non-Credit Card Credit Card Non-Credit Card Business Accounts Business Accounts Business Plan Greater of 250/ Of ebill (Includes 'No $50 25% Of Rebill Amount 50% Of Rebill Amount $50 or 50% Of Rebill Amount . Amount Plan on Acct) Usage Commercial Accounts Commercial Accounts Greater of . Business Plan $50 25% Of Rebill Amount 50% Of Rebill Amount $50 or gin/2:31: 50% Of Rebill Amount Usage Post Paid Only $25 Always $0.00 Always $0.00 Not to be Evaluated Exhibit 5.3.4-41. Matrix of the existing prepaid business account business rules by replenishment method that the Authorities have speci?ed and ACS uses in the evaluation processes. 5.3.4-124 ?2005 ACS s. Account Financial Status Account financial statuses for prepaid business accounts are handled in the same manner as the individual account, detailed in Proposal Section 5.3.4.8.1, Individual Customers. Outgoing Correspondence Outgoing correspondence for the prepaid business customer is handled in the same manner as individual accounts, detailed in Proposal Section 5.3.4.8.1. Negative Balance Accounts Negative balance accounts for the prepaid business customer are handled in the same manner as the individual account, detailed in Proposal Section 5.3.4.8.1. Payment Processing The Authorities requirements for payment processing for prepaid business customeis are the same as those identified for individual customers detailed in Proposal Section 5.3.4.8.1. Customer Fees With the exception of the tag leasing fees, all fee collections and assessment of the prepaid business customer fees will be handled in the same manner as individual accounts, detailed in Proposal Section 5.3.4.8.1, Individual Customers. At the Authorities request, ACS provided the Authorities with the business account tag leasing fee functionality that is in existence today. We have the experience and knowledge of the entire set of business rules to collect and assess the tag leasing fee. charge all new prepaid business customers with a tag fee for each active tag assigned to the account. In addition, ACS provides credits for tags previously purchased (under the rules that preceded the tag fee) that are within the tag warranty period. ACS has complete data available regarding the business accounts that were opened prior to the implementation of the tag leasing fee. Vector account history indicates specifically whether a tag was purchased, if tag deposits were charged prior to the tag purchasing implementation. In the event that tags that had a tag deposit applied are returned or exchanged at the direction of the Authorities, ACS applies the refundable tag deposit toward the prepaid toll balance for the business account. In the event that a customer returns tags without requesting a replacement or closes the account, ACS issues a refund for previously collected refundable tag deposits as approved by the Authorities. ?2005 ACS, Inc. 5.3.4-125 Customer Statements The prepaid business account statement process is identical to the individual account statement process with the following exceptions: Prepaid business customers receive their statement on a basis 0 Prepaid business customers are not assessed a six dollar statement fee 0 Prepaid business customers have the option of requesting their statement on compact disc, which will contain the statement in a spreadsheet format. As indicated in the Individual Customers section of the response, ACS has demonstrated our ability to coordinate special messages for customers via statements inserts and buckslips. Exhibit 5.3.4-42 provides an illustration of a statement insert that was created by ACS and distributed to business customers through insertion into the statement. In addition, we currently maintain the Taxi and Limousine Commission (TLC) web stand- alone server for TBTA, which allows the TLC customer to retrieve and download transactions g. statements) in Excel format. ACS will work with the Authorities to provide enhanced customer service to specific customer segments, such as prepaid business, postpaid commercial and non?revenue customers that have special data needs, such as downloading transactions from the Web site in Excel format. The business customer statement is a more complex and lengthier statement than the statement provided to the individual accountholder. Providing the business accountholder with the ability to review and download transactions on the web is essential, as they will have the ability to manipulate the spreadsheet to accommodate their specific reporting needs. 5.3.4-126 ?2005 ACS, Inc. A 5? developed an easy-to-read statement insert that provided the customer with an explanation of statement elements. ?2005 ACS, Inc. Exhibit 5.3.4-42. With the implementation of the complex tag leasing fee for business accounts, ACS 5.3.4-1 27 Dear Valued To better serve you, we have prepared a sample statement explaining how the E- SS tag fee will be displayed on your E-ZPass statement. Please take a moment to read the following explanation and if you have any questions regarding your statement, 0? or ustomer, please call the E-ZPass New York Customer Service Center at 1-800-333-8655. Side 1 012 mamm- SilementDatet 01/02/05 murmur 101103000 Ammt 13mm Fa: 12/01/04- 01/01/05 0 Mod 1155mm 0 SAME 123 31.47500 Fa all 1.!!er that tit MYCITYN1156 customer has purchased that are still within the warranty period (5 years), a credit of 50 :53 0000001 cents per tag will be provided New York Service Center Accord W: 121450709 to the customer This account For 12/01/04-01/01/05 . . . . Sidetd2 I Deposit: 30m has 10 rntenor tags the Tag For 50 cents will be charged for every inten'cr tag on the accormt In the statement example provided, there are 26 interior tags on the account Therefore, a fee of $13 00 has been charged warranty and [ms been cm. pit curred and cut! or Into none-time payment orlm. lush/bl owl/chub. ?mo-1pm "Yum credit? 35 Indiyllh'yotlidl Elm "minim NIKE-DC v-lu llal-m-?lml 0020/ 1mm norm/1 $161141 1mm 1mm nak- 31.11101 Forall exterior and lice/8e 12020 122101 110mm ?05k 11.10.41 122201 122201 VGFEECI-IIT 1500 $151241 plate ms that the customer 0/2201 0/2201 TIGFECREXT nan 110001 has purchased that are 1/0201 mam normal/1r 1050 1161141 within the wammy palod (3 12% 04 1312 04 1M 26! Will? our 132 226 1 $1 Ill 31519.41 12201 122201 1041216! NIT 1 $50 515591 1 years): acnedit 01.50 039131)? 12/204 122201 041m 111511 12 1212 an alarm tag Will beprovrdedtothe 12/2104 1210404 run/Hum customer This account has 1 exterior tag and 1 license plate tag within the warranty period and has been credited 50 cents 1?0-11 for each Exturlor and License Plate Tag Fee 50 carts will be charpd for every exterior or license plate tag on the account In the statement example provimd, thereare erdaior tag and licarse plate tag on the account There?ne, a fee ofSO cents has been charpd for each How-To-Read Your Statement Insert 5 Customer Service Center: PO. Box 149004. Staten Island. New York 10314?9004 Website; Phone: 14004724935 Fax: 14104908772 Customer Inquiries, Complaints, and Discrepancies responsibilities for handling inquiries, complaints and discrepancies for prepaid business customers are the same as those identified for individual customers at the Authorities direction, detailed in Proposal Section 5.3.4.8.1. Closing Accounts and Accounts in Default Based on the Authorities direction, ACS handles the prepaid business account closures and accounts in default in the same manner as individual accormts previously described in Proposal Section 5.3.4.8.1, Individual Customers with the exception of tags that have been purchased by the prepaid business customer are not required to be returned to the CSC. Handling of Accounts with Negative Balances At the Authorities direction, the handling of prepaid business accounts with negative balances are handled in the same manner as individual accounts, detailed in Proposal Section 5.3.4.8.1, Individual Customers. Collection of Bad Debts At the Authorities direction, the collection of bad debts for prepaid business accounts will be handled in the same manner as an individual account as previously noted in our response. Tag Invalidation As directed by the Authorities, responsibilities regarding the tag invalidation process for prepaid business accormts is the same as those identified for individual accormts, described in detail in Proposal Section 5.3.4.8.1. Account Suspension Offering the Authorities the ability to invohmtarily suspend specific tags on commercial and prepaid business account types assists the Authorities in suspending those customers that warrant suspension. Differences between the individual and prepaid business account in handling account suspension are: 0 Commercial and prepaid business accounts that have been involuntarily suspended are suspended at a tag level, not an account level. The violation and speed escalations are based on an individual tag. 0 Commercial and prepaid business accounts do not have the voluntary suspension capability as accounts of such type are not eligible for conmluter discount plans. Detailed individual acc01mt suspension information can be found in Proposal Section 5.3.4.8.1. 5.3.4-128 ?2005 ACS, Inc. s. SI 5.3.4.8.3 Postpaid Commercial Accounts involvement in account management responsibilities for postpaid commercial accounts is limited at NYSTA's direction. ACS will provide the NYSTA operations staff with access to Vector so that they may continue to maintain, open and close accounts. All NYSTA staff that has Vector access will have the permissions necessary to perform manual updates to tag statuses for Postpaid Commercial accomlts, totaling approximately 3,400 accounts. CSRs that are part of the specialized business tmit at the CSC have been specially trained to understand the complexities of the Postpaid Commercial accounts and its rules. CSRs have the knowledge necessary in answering customer questions regarding opening up a Postpaid account and the eligibility criteria. Although the CSRs are instructed to provide Postpaid Commercial customers with NYSTA's Operations Department telephone nunlber, all CSRs employed by the business unit imderstand the complexities and business rules of the Postpaid Commercial accormt. Any tag requests for a postpaid commercial customer is processed by Commercial Tag Department once received. Tags are mailed directly to Postpaid Commercial customers from the Commercial Tag Department. Tags sent back by postpaid Commercial customers are tested, prograimned and replaced by the Commercial Tag Department as well. A master record is kept in the database of all Commercial account tag statuses and is updated with each and every tag status change as it occurs. Toll transactions inc1u?red by the Postpaid Commercial account holder are identified and processed by NYSTA internally. NYSTA's Accounts Receivable Unit handle all internal invoicing and statement functions, which handle all tag fees, transaction billing and payments. Any customer service and telephone inquiries Will be handled by operations office. Accormt data will be maintained in the Vector database for all to View. When directed by NYSTA, Postpaid Commercial reports Will be generated. When a CSR receives a call from a commercial acc01mt holder or a potential commercial accormt holder, and a prepaid business plan does not exist on the account, the caller Will be referred directly to Operations Department. ?2005 ACS, Inc. 5.3.4-129 Postpaid Commercial Accounts with Prepaid Business Plan A Prepaid Business plan is a plan that is added to an existing postpaid commercial account to enable the postpaid commercial account holder to use their tags on facilities other than NYSTA facilities. When the Business Plan is added, the postpaid commercial customer receives a separate statement from New York showing their toll usage on all other facilities besides NYSTA. The prepaid business plan will be managed by ACS, however, the Postpaid Commercial portion of the account will still be handled by NYSTA's Operations office. The prepaid business account statement will follow the same rules detailed in Proposal Section 5.3.4.8.2. 5.3.4.8.4 Account Plans Unlike other ETC operators, ACS understands that New York has a unique and complex set of discount plans. ACS has demonstrated the ability to handle plans of various categories in support of the services the Authorities strive to deliver to their customers which encourage patronage by providing toll discounts to various users. We had already developed, implemented and manages 46 different special account plans for the NY Authorities. There are two standard plans, one post paid plan, two sticker plans and 41 discount plans. (NYSTA has 17 discount plans; TBTA has 16 discount plans; has six discount plans; and NYSBA has two discount plans.). Only ACS has the experience to manage this complex set of plans. ACS understands each and every one of the plans and has intimate knowledge of the business rules governing each of the Authority?s special account plans. This is a complex business that has grown over time which would require significant programming by another contractor. ACS currently meets all the Authorities' plan requirements. ACS developed 46 discount plans are based on the Authorities specifications. These plans generally fall into two categories: special acc01mt plans and non-revenue plans. Each account and or tag may have one or more discount plans associated with but only in accordance with strict business rules. Vector has all the built in controls that prevent the illogical or inappropriate assignment of a discount plan to a certain account or tag. For example, while a private account may have a resident plan, a car pool plan and a number of commuter plans, it could not have a franchise bus plan because, by definition, that plan type is incompatible with a private account. In the same vain some plans are Authority specific and can only be associated with that Authority?s tag as in most non-revenue plans. ACS has all the system application, customer materials, policies and procedures in place to support all of the Authorities' intricate discount plan offerings. Special Account Plans Aside from the basics of general plans such as the standard plan, business plan and comnlercial plan (which apply basic discounts according to account type), ACS developed and implemented sophisticated plans based on complex Authority business rules such as: 5.3.4-130 ?2005 ACS, Inc. A s. 0 Resident discount plans based on the geographic location of the account and subject to eligibility rules enforced by the CSC g. TBTA's Staten Island and Rockaway, and NYSTA's Grand Island) 0 Account-based commuter plans subject to varied Unused Commuter Trip rules (e.g Staten Island Bridges and Tappan Zee Bridge; Grand Island, New Rochelle, Yonkers, Harrinlan, Black Rock, and Buffalo City Line) 0 Tag specific commuter plans each needing to be linked to a specific tag assigned to the account g. NYSBA, Annual Permit, and Motor Home) 0 Carpool plans requiring 3 or more occupants in a vehicle and NYSTA Tappan Zee Bridge) 0 Franchise Bus plans allowing discounted toll crossings to specified business accounts g. TBTA) 0 Government Plan allowing certain municipal agencies to pay by purchase order 0 Non-Revenue plans offering Authority specific employee and retiree discounts to present and past Authority employees TBNREM, PANREP, NYNREM) The special account plans provide additional discounts to residents of a specific geographical area, commuters and carpoolers. We have the ability and will continue to have the ability to add, modify or eliminate these plans. There have been many instances since 1998 in which the Authorities have requested modifications to plans, addition of plans and the elimination of plans. ACS has successfully implemented each of the Authorities requests regarding plan changes and toll increases. At the Authorities? direction, ACS can add new plans and modify existing plans as it has done time and time again throughout our relationship with the Authorities. We will readily be able to: 0 Add new plans recently implemented tag specific and motor home plans from the NYSTA) Discontinue plans the Port Authorities All Bridges Plan was eliminated when the George Washington Bridge discormt was eliminated) 0 Modify plans the Rockaway Resident plan required that a subsidized accormt be debited for a newly introduced rebate) ACS has demonstrated their capacity to implement new toll rates, add and or eliminate plans, revise customer materials and update the New York Web site and VRS with applicable changes. We have worked with each of the Authorities to ensure that every one of their toll increases was implemented smoothly. Most recently, We successfully implemented seven new plans for NYSTA, concurrently with toll increase in May 2005. The plans comprised of commuter, and ?2005 ACS, Inc. 5.3.4-131 motor home discount plans. In addition, in March 2005, two months prior to toll increase, AC8 implemented toll increase. In 2001, AC8 concurrently implemented a combination of changes for including the complex congestion pricing, a toll increase, the elimination of the Port Authority All Bridges Plan (PAAB), and the elimination of the voluntary suspension for the Port Authority Staten Island Bridges (PASI) plan. AC8 will continue administering the special account plans and their respective terms and conditions, as we do today. Each of the special account plans is unique as far as the number of trips required, plan cycle and suspension rules. Upon each change to accormt plans, AC8 efficiently coordinates the production of customer materials, such as applications and guidebooks. We coordinate the printing of materials associated with special account changes. In addition, AC8 updates the New York Web site and VRS with all new materials and terms and conditions. New HTML and PDF files are also created to re?ect the changes in the special account plans. The new hire and refresher training courses are updated to re?ect the changes in the special account plans. All materials used in training are updated with applicable changes pointed out to trainees. E-Z Reference, an online training tool used by C8Rs also is revised to reflect all of the changes that have resulted from the addition, modification or elimination of special account plans. Exhibit 5.3.4-43 displays the E-Z Reference links to help guide CSRs and ensure accurate communication of information. The training staff conducts refresher training com?ses prior to production changes for all staff in order to familiarize them with the changes. 5.3.4-132 ?2005 ACS, Inc. A s. s. Plan types a topic. .. E-gPass Plus Questions to quality plan need Nag MTA TollRates Commuter Dlscourl Plans Port Authority Carpool Commuter Discount Plar Port Authonty Staten Island Bridqes Plan Tannan Zee Bridqe Commuter Flam Tapnan Zee Brrdue Carpool Commuter Plan Thruway Annual Permit Plan Thruway Grand Island Commuter Plan Thruway New Rochelle Commuter Plan a nker ommuter Plan Thruway Commuter Plan Thruway Black Rock Commuter Plan Thruway Bultalo City Line Commuter Plan cl r'co ntPIn Thruway Motor Home Discount Plan NYSBA DiscountPlan Residential Discount Plans MTA Resrgent Program MTA Staten Island Resulent Plan Roctraway Broad Channel Resident Plan Thruway Grand Island Resident Plan 093.NYEZP Exhibit 5.3.4-43. E-Z Reference is available on each CSRs desktop for online help associated with all aspects of the New York program and business rules. As displayed above, the CSR has plan information and requirements at their ?ngertips to readily assist the customer with plan inquiries. All policies and procedures with reference to account plans are amended to include the revised details of the special account plans. In addition, AC8 distributes a memorandum to all staff advising of the details of the changes in the special account plans. Non-Revenue Plan Handling As part of the account opening process and the appropriate authorizations from the Authorities, ACS is responsible for assigning non?revenue plans to those customers that have been approved by the Authorities. ACS has a designated non?revenue analyst that oversees ?2005 ACS, Inc. 5.3.4-133 all of the non-revenue process and ensru?es that all responsibilities are handled appropriately. We recognize the importance of properly handling the non?revenue accounts and the security that is required in maintaining the non?revenue account management system. ACS does not perform any account functions without the appropriate authorizations from the Authority issuing the non?revenue account or plan. We only accepts such authorizations in writing. The non?revenue analyst matches the signatures of the Authorities approvers to each and every application and change requested to the account. Non-Revenue Applications In order to maintain consistency and an expertise in the Authority-specific non-revenue programs, ACS has a designated non-revenue analyst that handles only non-revenue requests and oversees the entire non-revenue process within the CSC. By designating a non- revenue analyst with the responsibilities required of the non?revenue programs, it allows us to easily track requests for new accounts and tag requests and allows the personalization in the service that we provide to the non?revenue accounts for the Authorities. We have the experience and personalized service required in handling employee, retiree, disabled veteran, and ?eet non-revenue accounts. ACS is not proposing any changes to the non- revenue process unless otherwise directed by the Authorities. We currently processes and will continue to process applications for non-revenue customers using the internal Authority forms located in RFP Appendix Q. ACS handles the applications and account opening function for each of the Authorities. Each Authority has different business rules regarding their Authority-specific plans and ACS has become very familiar with all aspects of the non-revenue programs and plans. Non?revenue accounts are opened only with the written approval of TBTA, NYSTA, NYSBA or For control purposes, these accounts are opened when authorized applications are received from the Authorities are received Via mail, fax or in person. Each one of the Authorities has a designated approver for the opening of non?revenue accounts. In the event that the designated approver has not approved an application, the application will be handled as an exception and returned to the Authority for review and approval. All NYSTA non-revenue applications must go through Operations Office to be signed before being submitted to AC8 for account opening. Any applications that do not have the proper signatures will be returned to NYSTA for review. Since NYSBA does not have non-revenue applications, NYSBA will contact the non-revenue analyst to establish non-revenue accormts for its employees. If a non-revenue account holder does not establish a prepaid balance (revenue plan), the tag is only be valid according to the limits of the specific non?revenue plan as defined by the Authority. With a prepaid balance and a completed application from the account holder, the account functions as an individual account, with non-revenue usage at designated locations for designated tags and revenue usage at the remaining locations. Once established as a revenue account, the customer is treated as an individual account holder as previously outlined. 5.3.4-134 ?2005 ACS. Inc. s. Before issuing tags, the non-revenue analyst verifies proper Authority authorization signatures). All non-revenue account applications are stored separately from the other account types. The separate storage allows for easy access to the applications as needed. Tag Distribution When the non-revenue account is opened and or an additional tag is requested, the account is sent to the mail-in tag assignment queue. The tags are assigned the same day as they are processed. Once the tags are assigned, account profiles are generated. All tags that are issued are reported to the appropriate Authority. Once tags are assigned to the non?revenue account, a tag kit is prepared. The kit(s) is sent overnight to the appropriate Authority for distribution or US. Postal Service at the Authorities discretion. The clerk handling the process ensures that the profile is matched with the corresponding tag assigned to the account. The sticker from the profile is be affixed to the Tyvek envelope. The tag is inserted inside the read prevention bag and the profile is inserted inside the Tyvek envelope, along with the guidebook. Once all of the contents of the tag kit are included, the package is sealed. The tag kits are sent to the Authorities internal mailing address for distribution to the proper individuals or directly to the individuals at the Authorities discretion. Account Management ACS performs all of the tasks that are required of the Authorities as they relate to account management for non?revenue accounts. We maintain a separate account for each individual requesting a tag for non-revenue use. Based on the Authority that is issuing the non-revenue plan, the customer's account is opened with a non-revenue plan administered by that Authority and the plan that the Authority has authorized non-revenue usage for. ACS designates the accormt as a non-revenue account type, thus providing capability of reporting on a specific non-revenue account plan or the non-revenue account type. ACS crurently maintains the non-revenue ?eet plans for each Authority as well, allowing multiple tags for such plan types. Furthermore, ACS provides the capability of assigning a license plate to a specific vehicle, therefore, providing the Authority with the ability to track usage for a specific fleet vehicle. Each non?revenue plan provides limits as to where the non?revenue customer is authorized to travel as a non-revenue customer. In the event that the non?revenue customer must travel outside of the designated limits, the customer will be required to also enroll in a revenue plan and provide a credit card for replenishment for the revenue usage. The limits signify the non-revenue plazas to include naming specific barrier plazas individually as well as ranges of travel plazas along the NYSTA ticketed portion of the Thruway. ?2005 ACS, Inc. 5.3.4-135 The revenue usage portion of the account follows the same rules as the individual account type, therefore, ACS has the ability to track payments and account balances. Customer Fees At the Authorities direction, ACS will suppress any tag deposit fees for non-revenue account plan. Other fees will be dismissed or assessed at the Authorities discretion. Statements At direction, ACS suppresses all non-revenue account statements, unless the account has revenue plans and activity within the statement period as well. In the event that the account contains revenue plans with revenue activity within the statement period, the non?revenue account holder receives a statement that details both the revenue and non? revenue transactions. ACS is prepared to generate a statement for such transactions at either a or frequency. At TBTA and direction, ACS does not suppress all non-revenue account statements. If TBTA and choose to suppress the statements at a later date, we will be prepared to do so. Closing Accounts As directed by the Authorities, ACS closes non-revenue accounts when an Authority employee leaves the Authority, he she is no longer entitled to a non?revenue account). Requests for closing non?revenue accounts require a written authorization form from the account holder, an account in good standing, and a returned tag in good condition. The tag is deactivated upon receipt of the tag from the account holder. If the account holder also has a revenue plan and funds in the account, a refund is issued in the same form of payment as the replenishment method on the account. At this point, the refund process follows the same process as the individual account refund process, but will be handled as urgent. Tag Invalidation If a non?revenue customer reports a tag lost or stolen, the tag becomes invalid once the tag status is updated in the tag validation file and the appropriate Authority is notified accordingly. At the Authorities discretion, the customer is assessed a lost stolen tag fee. If the customer wishes to replace the lost stolen tag, the replacement must be requested in writing from the Authority that has issued the non-revenue plan to the customer. 5.3.4.8.5 Authority-Specific Customer Programs ACS has the expertise required in implementing and maintaining Authority?Specific Customer Progranls. ACS has proven om' aptitude in managing various types of functions 5.3.4-136 ?2005 ACS, Inc. s. A s. that specifically apply to an individual Authority. Just a few of the Authority-Specific functionality that ACS has implemented for the existing New York program are: 0 retail tag sales 0 unmatched handler postpaid comntercial Web access 0 TBTA's TLC Web site 0 retained tags 0 class mismatch Purchase Order 0 Non?Revenue account Web access 0 peak/ off?peak pricing 0 PANYNI's collections (Negative balance and violations) Franchise Buses At the inception of the original program, the TBTA required that ACS devise a way to accommodate a franchise bus program that it had internally and with eight private bus companies using TBTA facilities. Franchise buses use TBTA facilities at varying discounted rates depending on their agreement with the Authority. Initially unique account types were designed that satisfied the requirements thus enabling the accormts to gleam the toll discomlts intended for them by the TBTA. With the introduction of Vector, ACS introduced an alternate solution that would continue to meet the Authorities requirements but would be compatible with the new modular structure of Vector. As a result eight new plan types were born. Each has unique characteristics that satisfies the relationship each company has with the TBTA. In doing so the franchise bus program required little additional maintenance different than that of any other prepaid business account -- with the exception of having a unique plan that entitles that company to very specific discounts at varying TBTA facilities. As required by the TBTA: 0 ACS collects prepaid tolls equivalents equal to one month worth of tolls as a condition for establishing this type of account 0 ACS collects a refundable deposit or non?refundable fee, as directed by TBTA, for all tags issued to the designated bus companies 0 Statements are produced for these customers within seven calendar days of the end of the statement cycle ?2005 ACS, Inc. 5.3.4-137 0 ACS suspends franchise discounts for any or all companies for failure to maintain balances 0 ACS receives and tracks all payments from this special customer group on behalf of TBTA, except for purchase orders 0 Account usage is reviewed quarterly and adjusted for the required prepaid balance as needed to re?ect one month?s worth of tolls TBTA Resident Sticker Plan ACS can demonstrate the ability to integrate and implement solutions for the Authorities for non transponder requirements such as the sticker plan. We effectively designed and implemented the TBTA Resident Sticker plan for Staten Island and Rockaway residents in 1996. This plan is unlike any other plan. It is a unique opportunity the Authorities developed to ensure that all customeis are entitled to discounted passage even if they opt not to use The Resident Sticker program entitles users to use TBTA carpool discount tickets in cash lanes. ACS specifically designed the Vector application to address this type of requirement by having the ability to handle ?devices? verses transponders. (Note: ACS has used Vector to handle transit cards in a similar capacity). As a result, ACS can offer the versatility and complexity required by a requirement such as the TBTA resident sticker program. These customers need not have an account. Applications and renewals are accepted by mail only. Due to the success of the program, unless TBTA requests otherwise, ACS proposes to use the same processes, policies and procedures in place today. The CSC issues stickers to eligible residents upon request, instead of or in addition to the tags. Stickers are issued to residents every two years and residents are re-certified tlu?ough an automated process in which ACS accesses the New York State Department of Motor Vehicles database of vehicles registered in Staten Island and Rockaway zip codes. Replacement stickers are not issued unless the customer passes the re?certification process. In the last year, ACS successfully reached out to over 100,000 Rockaway and Staten Island residents and recertified and reissued their resident stickers. Sticker Eligibility Criteria Resident stickers are only issued to those residents that provide proof of residency and meet the following criteria: 0 The vehicle must be registered to a valid resident address in Staten Island or Rockaway/ Broad Channel 0 Proof of residency indicating the applicants name and address is required. This shall be in the form of a photocopy of a vehicle registration. If the vehicle registration does not indicate the customer name and Staten Island/ Rockaway and Broad Channel address, a copy of a current utility bill or driver?s license indicating the customer 5.3.4-138 ?2005 ACS, Inc. s. SI name and Staten Island/ Rockaway and Broad Channel address is required along with the registration 0 Conunercial vehicles are not eligible for this plan Securing Resident Stickers and Preprinted Sticker Stock The Main Processing Center secures all resident stickers as well as the preprinted resident sticker stock according to the same inventory procedures used to safeguard the tags. After printing resident stickers, the sticker is immediately placed in an envelope and mailed to the customer. A single clerk is responsible for the stickers from printing to mailing to the customers. Additional CSRs are cross?trained for back?up purposes. The lockbox supervisor designates the clerk assigned to process stickers. Though the resident sticker stock costs a fraction of what an tag does, the potential loss to TBTA from the misappropriation and misuse of resident sticker stock is significant. If resident sticker stock is misappropriated, an undeserved discount on TBTA facilities might occur. ACS will continue to secure the stock in the sanre manner as the tag inventory is secured. Resident sticker stock will continue to be signed out to the sticker assignment CSRs just as tags are and each sheet of stock will be tracked. The process for securing the tag inventory is discussed in the Tag Inventory Section. Tracking Resident Sticker Production Each sheet of sticker stock is printed with a sequential control number. To ensure that each sticker is accounted for, the clerk generating the sticker writes the license plate, control number and the system generated sticker number on a Resident Sticker Control Log. Each week the production or service center supervisor reviews the control log to verify that all stock is accounted for. Each month the supervisors reports sticker use to a designated Quality Assurance representative. Managing Sticker Stock Levels The tag distribution supervisor tracks the sticker inventory on a Sticker Inventory Log. When the stock drops below a certain threshold (determined by TBTA), the tag distribution supervisor notifies management so that additional stock can be ordered. The Main Processing Center distributes resident stickers to Staten Island and Rockaway/ Broad Channel residents who request them and who meet TBTA eligibility criteria for participation in the resident discormt program. Eligible residents need not participate in the program to obtain stickers. Establishing, Printing and Distributing Resident Stickers Resident stickers are produced by a laser printer on preprinted stock. The walk-in service centers accept applications for sticker discounts and forward to Lockbox for processing. Resident sticker requests are opened in the same fashion as an application. ?2005 ACS, Inc. 5.3.4-139 Stickers are printed with a system generated sticker number, the vehicle license plate, and an expiration date. Stickers are distributed in the same manner as the tags. For account holders who wish to receive additional stickers, they must establish residency for as many additional vehicles as stickers they are requesting. Residency Discounts ACS also manages special residency programs linked to the account that provide local residents with additional savings. SIR-Staten Island Residents provides a discount for Staten Island residents utilizing the Verrazano?Narrows Bridge. The discount is over 33 percent of the one?way toll. RR-Rockaway/Broad Channel Residents?The customer is automatically charged $1.00 per trip on the Marine Parkway and Cross Bay Bridges. The toll on the Cross Bay Bridge is fully rebated. (Customer must live in one of the following area codes: 11691, 11692, 11693, 11694, 11695, and 11697 to be eligible for the Rockaway/ Broad Channel Resident Plan.) The Grand Island Resident (GIR) ?The discount plan provides a reduced fare of nine cents for residents of Grand Island. This is over an 86 percent savings from the regular rate of 68 cents. 5.3.4.9 Customer Service Tasks for Violations Processing ACS knows that the proper handling of the customer service aspects of to" evasion violations processing is key to enforcement of the Anthorities? program rules and of maintaining the pnblic?s con?dence in the program whether they are a customer or non-customer. We are in the unique position of having handled all of the Authorities? violation customer service tasks since 1992, and While ACS currently supports NYSTA and toll evasion, we would easily integrate TBTA should they adopt this genre of enforcement. Our Violation processing experience and associated customer service tasks are unmatched by any competitor in the industry. ACS has been meeting the Authorities' requirement to identify and handle toll evasion Violations for customer violations associated with an invalid customer (home or away) and customers for over thirteen years. We are proud of the customer service tasks it currently performs for the Authorities and looks forward to bringing new to the process that will continue to improve on efficiency and goodwill. The very first opportunity to address toll evasion Violation customer service issues happens without the customer ever knowing. ACS makes sure that it employs every means of avoiding a violation notice and posts the toll. This approach is intrinsic to the process. By eliminating false or unnecessaiy notices, negative public opinion is avoided and revenue 5.3.4-140 @2005 ACS. Inc. s. s. recovery is maximized. The toll posting can either by tag look-up on the account or from plates that match the plates on an account after image review. In both the cases, the toll is posted if the customer account is in good standing with a sufficient account balance. The toll can be posted to an account even at a later stage (after DMV look-up for instance) if it can be determined with certainty that the transaction belongs to a customer account. This is accomplished by an intelligent name and address matching process. The next opportunity to reduce customer service issues is the violation notice itself. The noticing phase significantly impacts all the dependent processes that follow it. Accurate, timely notices mitigate disputes and encourage payment. Unique notices are created for customers and non-customers in order to provide the Authorities the ability to treat each population separately. The Authorities can opt for different escalation paths and noticing frequencies in order to apply more a benevolent policy to customers versus non-customers. ACS will continue to work closely with the Authorities to develop strategically worded notices that give the recipient explicit instructions for payment or dispute. We can also provide a Vector feature to print image on the first notice. This has proven to cut back on disputes in other ACS violation processing programs such as New Jersey We use an integrated customer service solution in handling complaints and inquiries regarding toll evasion violations. Dedicated call center, correspondence, and lockbox employees are trained to troubleshoot and resolve issues using the Vector application which has full?Hedge violation processing functionality that includes dispute resolution, appeal and adjudication, and payment processing ?2005 ACS, Inc. 5_3_4-141 Vector Violation Management [it Attount Account Maintenuxe :2 @glm AKIW . comm mm: waits NmTol mm Vehicles mam Mom News Notes WIN MW TIMUWY swam Meow [my mm mm mm mm unarmed [mama Emma: I vI mlmom. 7532Imleo an ton-tr 99.155975 mmfmoom wou?- law :1 Immtm Immtm I [Taiwan _l mu . . mm 1? Mt? minnows [m [commissioned [-150.00 [smool ml 5.00 mus [ms [0595:2005 w; earns/20:: [mm [room I ma Woo I 3.00 l' 1200506031336 [mucus Wloemrzoos [325ml ml 3.00] $.00 l' Imum ImusW [Erasmus . oemsmoelnem [425.00 3.00] $.00 him i" . lb am Lam suita- mm up mom mm? 1 [wulcquoo Iospomos [mm INJ 3.00 0994 $30.00 [0710412005 [om .: 1 In: 561302003 [mm WI $.00 0994 $35.00 [0110412005 [0901 2 [roulcwulos [mam In: [maul 3.00 09:? sao.oo o7palzoos [com - 2 IFEE Icwulos l05l27l2306 [new [Fa?l semi mo 09m [$25.00 ?wzms [594 3 [roulcwu [mm WI $.00 oven I $30.00 lemmas [open L1 [1 I1 [4 15513-1371th I M29.m10l158; ?scum-:27D Exhibit 5.3.4-44. The Vector software provides a toll noticing module that provides New York with violation processing ?exibility. In order to defray the cost of Violation processing and to provide convenient automated solutions, ACS is proposing multiple improvements to the Vector customer interaction layer both at the CSC as well as through the Web. Vector is being enhanced significantly with the introduction of the Siebel CRM suite, as is described later in the proposal in detail. The Siebel CRM components enable tight integration with the phone and Web through CH and integrated e?mail response, providing an improved front?end interface with advanced scripting capabilities that make CSR training easy. In addition to the considerable upgrade of the user interface, a notable improvement in productivity will be facilitated by the introduction of the new workflow component. ACS has developed an imaging application that integrates with the account management system to transform paper documents into digital docmnents. This system will certainly improve upon all of the customer service tasks associated with customer correspondence from application to disputes, thus facilitating general and violation handling of inquiries and complaints. As documents are scanned, they can be categorized into different types and the system recognizes the defined fields, such as application number or account number in a defined region. The ability to associate notes with the scanned documents is provided. Any imaged document can be retrieved and Viewed on any workstation. Users can search the document 5.3.4-142 ?2005 ACS. Inc. A s. s. by various criteria such as date, document type, account number or violation number. This enhanced document management solution will significantly improve customer service and reduce the resolution times associated with difficult customer service inquiries that require escalation. Additionally, ACS is prepared to offer an improved and intuitive Web user interface for violation notice processing. Users can make payments, view image of the license plate that is associated to the notice, dispute the violations, and make a violation toll post to his/ her New York account. These features are currently being used by our client BATA, and can easily be configured for the New York program with minimal effort. We will continue to work side-by-side with the Authorities to establish the policies and procedures to support changes in their programs and to improve upon customer service and revenue recovery. The business rules provided by the Authorities in conjunction with the controls ACS requires, drive the level of authorization a particular employee has in the adjudication process. In order to prevent unauthorized activity, Vector users are assigned roles that give them access to specific functionality. For example, the CSR role is for the most part a ?read only? role that prohibits account adjustments and payments, while the violation correspondence CSR has access to the screens that allow for violation dismissals and account adjustments but not payments. Since the ACS solution for violation processing is integrated with our customer account management, callers use a single ?800? number. Callers are directed by the Interactive Voice Response (IVR) system to the appropriate queue. When the caller chooses the violations queue, the caller reaches a CSR dedicated to Violations issues within the general CSC. Currently, ACS answers over 40,000 Violations related calls per month in support of the New York program. The Call Center is the first point of contact and critical to the management of violation related customer service. ACS trains all CSRs to handle violation related calls, but special dedicated staff are assigned each day to a dedicated queue to ensure rapid handling. The CSR is responsible to assess the nature of the customer inquiry or complaint quickly and refer the caller accordingly or escalate tlu?ough the appropriate channels. Our CSRs follow guidelines established by the Authorities: Instruct callers on making payments through the Web site or mail or at an applicable walk-in center 0 Take the necessary information for applicable customer violations to be posted as tolls 0 Put the violation in an Appeal status, thus stopping the escalation process during dispute adjudication or pending payment 0 Explain the origin of customer and non-customer violations 0 Instruct callers on dispute submission 0 Take applicable disputes over the phone and escalate for processing ?2005 ACS, Inc. 5.3.4-143 0 Access violation images through Vector for review with the caller Dismiss certain tolls and fees according to agency guidelines Issues that require investigation and research received by the Call Center are routed to a specialized unit called the Violations Processing Unit (VPU) located within the CSC. The VPU has a mature staff that is able to quickly identify and resolve issues based upon the depth of knowledge and experience gained during their support of the NYSTA and toll evasion violation enforcement programs. The integration of the VPU Within the CSC provides a seamless interface for the customer and reduces processing cycle tinre. This model also permits the Call Center staff face-to-face access to the Violations Processing Unit to resolve any time critical issues that may occur. The VPU receives in excess of 3,500 customer inquiries from the Call Center per month in addition to an average 25,000 inquiries received by fax, mail and from the New York Web site. The ACS employees working in the Violation Processing Unit receive special training on Violation processing and are capable of analyzing complicated violation issues and adjudicating disputes according to Authority guidelines. As required by the Authorities, AC8 currently performs the following violation customer service tasks: 0 Receive all escalated inquiries and complaints from the call center 0 Review violation images, toll history, tag properties and liaison with Authority personnel to resolve customer complaints and inquiries 0 Research and resolve all business, commercial and non-revenue violation issues 0 Research and resolve 1midentified and misapplied violation payments 0 Make appropriate account adjustments to debit tolls and fees where applicable 0 Adjudicate disputes and send determination letters to each violator As discussed in Proposal Section 5.3.1, Program Administration, do to new work?ow tools, the correspondence CSRs in the VPU will be merged with CSRs from other departments to achieve greater efficiencies. Certain CSRs will still be dedicated to violations correspondence, but additional CSRs will be cross trained to handle violations correspondence as well as other types of correspondence. The Authorities also require that ACS systems and processes be ?exible enough to accommodate customers who are in collection. At times a customer may errantly pay both the collections provider and the customer service center for the same violation. The Vector system already allows for full reftmd capability when this condition occurs. A customer will contact the Authority or the customer service center and request a refund. ACS will interface directly with the collections provider or the Authority to confirm the dual receipt of payment and then reverse the payment, creating a credit balance in the accormt and then perform a refund payment transaction, which adjusts the balance to zero. A refund check is generated and sent to the customer. 5.3.4-144 ?2005 ACS, Inc. s. s. ACS currently exceeds the Authorities requirement regarding customers who send in violation payments to the customer service center after the Violation has gone to collection. During the implementation of Violations collections pilot, Vector had the ability to accept a payment to the Violation once it was in collections and then transmit the data to the collections provider. Once the collections functionality was redefined, the previously described functionality was disabled. Instead, a procedure was implemented to accept the payment in the lockbox, deposit it into the Authority?s checking account and update the collections provider via an entry on a spreadsheet accompanied by the deposit slip. After several months of proceeding in this manner, it was determined that this was not the optimal solution and an updated automated interface was developed that allows the payment to be received at the customer service center, applied to the customer account and then transmitted electronically to the collections provider to update their records. This enhancement was performed for both violations and negative balance collections and was a significant improvement over the more manual process. It is recommendation to continue with this automated version. We work closely with each Authority to determine their adjudication policies. Then reference tools are developed and made available to all processing CSRs to ensure consistency. Additionally, the Vector application has been designed to automatically perform friendly tasks assumed to require human intervention, such as: 0 Automatic dismissal of Violation fees for payments received on first notices within a certain number of days 0 Satisfaction of the tolls first when applying a payment to multiple Violations Every action performed in the violations processing rmit is accompanied by a determination letter that provides feedback on what action was taken by the VPU or provides instruction on what action needs to be taken by the customer. The VPU is currently sending more than 10,000 determination letters per month. Determination letters, are currently being done in Microsoft office. Going forward, ACS will integrate these letters into the automated letters module of Vector so that they are codified on the system and available to CSC staff for reference. ACS is currently proposing the following new functionality to handle current ?Home" and ?Away" customer issues which, if implemented, will improve customer service to those ?ou and mc ease toll evenue ecove 7 to the A tho ?res 0 In the event that an Away customer receives a violation due to not having their license plate on their home account ACS is proposing a status change to Hold and a request that the customer add the vehicle to his her home account within a predetermined amount of days. During this time period, the back?end process keeps looking for this plate in the ICLP file and, when found, the transaction is sent to the respective IAG Agency through ICTX file for posting. 0 Vector has established two distinct processes in the Violation remittance payment processing to handle Home and Away customer disputes. Home customers furnish ?2005 ACS, Inc. 5.3.4-145 their account details on the back of the notice. The remittance-processing machine reads this information and generates a file with all the corresponding details. This information feeds a violation batch process that debits customer's account with the Toll due amount on the notice and dismisses the fee amount. This toll amount would show up as ITOL on customer's account statement. Away agency customers have to furnish their tag and account information and have to pay the toll amount by check, and then the fee amount is waived autonlatically. Another feature unique to Vector (as designed collaboratively between ACS and the Authorities) is the functionality where Authorities may request to put a particular account from going to notice escalation or to collections. This feature helps the Authorities by flagging an account and would prevent any further Violation processing on this account except first notice. This gives the Authorities the ability to control certain accounts that have high Visibility. AC8 ah?eady has an established post office box for Violation payments separate than that of replenishment payments. When unidentified payments occur, the characteristics of the payment are evaluated to best guess what it was intended for. It is then recorded for later reference and deposited. Once an inquiry comes in for a missing payment, these records are searched and when matched, a payment is applied via an account adjustment. 5.3.4.1 0 Customer Service Tasks for Class Mismatch ACS understands the importance of charging customers the correct toll and has processed class mismatch (CLMM) violations for one Authority or another since 1995. The Vector application has fully configurable CLMM violation functionality complete with an escalated noticing module. We lookforward to moving TBTAfrom their current platform to Vector, re-iutroduciug to CLMM review, and integrating NYSTA when their lane technology supports thisform of enforcement. Our experience in handling toll evasion violation processing and its associated customer service tasks is equally parallel with our CLMIVI processing experience. ACS is currently processing class mismatch violations for TBTA. We also processed class mismatch Violations for the Port Authority from 1997 through 2001. ACS enjoys collaborating with the Authorities to find solutions resulting in improved efficiency. Currently, we process over 280,000 images per month for the TBTA CLMM program. We worked with the TBTA in the fall of 2004 to improve their capture rate of images by changing the delivery method of images to a fully automated process by sending images via the network instead of on flopticals. In addition, TBTA upgraded their lane equipment. This effort has resulted in the TBTA capturing more images, as prior to this change the average volume was just over 200,000 images. Going forward all image review will be performed in Vector. The Vector application is completely configurable and is programmed to perform all the aspects of class mismatch processing from image review and toll adjustment to noticing and dispute resolution. 5.3.4-146 @2005 ACS. Inc. s. A s. Violations occ1u? when the AVC lane class detects a vehicle class that is different than the AVI transponder class. These violations can occur as a result of either a malfunction of the AVC equipment in the lane to capture the proper vehicle class or the use of an i111properly programmed transponder in the vehicle. The lane equipment captures images for transactions in which a class mismatch occurs and forwards these images to the CSC for human review to determine the proper vehicle classification. ACS will review each image presented and adjust the toll, if appropriate, in accordance with each Authority's unique requirements. For TBTA class mismatches, an initial toll will be posted to the customers account based upon the ?default class" with an adjusunent made after image review. If the image reviewer cannot determine the vehicle class it will be scored as no change and no adjushnent will be made. Adjustments will be shown on the customer?s statement as an individual line item. Due to timing issues this adjustment may appears on the statement subsequent to the statement containing the initial posted toll. As it has done previously for ACS will review images prior to posting the toll and will post an adjusted toll. The image will be presented for review to the Inlage Review CSR, showing the default class. The CSR will make one of three choices, agree with the class, change the class or reject the image. If there is agreement with the class there will be no adjustment made to the initial toll for TBTA and a toll will be posted for the Changes to the default class will result in an adjustment, debit or credit, to the initial toll posting for TBTA. Any changes to the default class for the will result in a toll posted for the class that was chosen by the image reviewer. All TBTA adjustments will be made automatically by Vector by debiting or crediting the customers account for the difference between the default class and the reviewed class. In addition, if the infraction occurs in a facility by a non-customer the correct toll information will be sent through the Toll Evasion sub-process for evasion noticing. ACS provides Actuate reports that provides details on activity. These reports are based on the user defined period. 0 Report 44A details occurrence by plaza and lane 0 Report details CLMM adjustments down to the account and tag level 0 Report 35A details rejected transactions by reason by plaza and lane The process in general has never prompted many people to dispute, but as the noticing portion is rolled out, a significant increase in inquiries and disputes can be expected. 0 ACS is prepared to perform all the required customer service tasks required by the Authorities. We will work closely with each Authority to determine how they want us to respond to customer inquiries and how they want AC8 to handle complaints and inquiries when class misnlatches have resulted in an adjustment to the toll posted to their account. ?2005 ACS, Inc. 5.3.4-147 0 Call center CSRs will have access to images to adjudicate disputes on the phone wherever possible. 0 Any dispute that cannot be resolved by the Call Center will escalate to the VPU for research and adjudication. The VPU will liaison with the Authorities whenever needed. 0 Any account adjustment that needs reversing due to error, policy or simply as a courtesy will be performed by the VPU, according to guidelines previously established with the Authorities. In addition to the current level of management, noticing will now be added to the process. Notices for the will have at a minimum of one transactions and a maximum of five transactions per notice. Notices Will be unique to each agency and will contain only CLMM incurred on their respective facilities. Each Authority will have its own logo displayed in the upper right corner of the notice. The CLMM noticing process has the potential of six levels beginning with a warning, with each ensuing infraction escalating at a $10 fee increment to the top level of $50. This suggests there will a minimum of six masks, one for the warning and five each incremental charge. The mask can be Authority specific in order to support any Authority specific requirements or unique rules. AC8 agrees to send notices within three business days of images being processed. As ACS does with all automated correspondence and noticing, a dedicated staff member will have the responsibility for monitoring the process and reconciling the process from notice creation through invoice payment to the mail house. Doing so helps maintain the integrity of the process and ultinlately cuts down on customer service issues. 5.3.4.1 1 Customer Service Tasks for Infraction Processing ACS either currently handles or has done the groundwork to handle all of the customer service tasks for infraction processing required by the Authorities. ACS supports both NYSTA and in their speed enforcement programs. We process non-customer violations for the use of a lost/stolen/invalid tag for NYSTA and and process retained tags for TBTA under the same circumstances. ACS stands ready to implement the unmounted tag processingfor TBTA. Speeding Infractions The violation of speed limits at toll plazas presents a potential safety hazard for personnel working in the lanes. ACS has a mature program of notice escalation and sanctions, as a result of speed violations and is managed by the VPU. This program provides a uniform, consistent and scaleable application that provides for a basic threshold, an excessive speed threshold and a notice suppression threshold. 5.3.4-148 @2005 ACS. Inc. s. s. The flexibility within the speed enforcement progranr allows the agency to manipulate the thresholds to have lane speci?c speeds at the accormt level. This can be especially effective in order to manage a specific customer set or permit a specific customer a greater speed through the lanes. In addition to the automatic process Vector provides the flexibility to for Authorities to manually address speed issues. NYSTA currently uses the manual speed functionality to administer speed for their Commercial Customers on their facilities. ACS actively works with the Authorities to identify issues that impact customer service and can create cost savings. For example, ACS reviewed speed infractions at facilities over a period of six months and found that the key violators were private accormts holders, who were averaging two to three miles per hour (MPH) over the basic speed threshold of 25 MPH. The recommendation was to reset the basic threshold to a higher for private and non-revenue accounts to reduce the number of notices that were issued. The resetting of the basic threshold to 29 occurred in February 2005 and resulted in speed noticing dropping from an average 325 notices a day to an average of 75. This resulted in a savings on mailing costs as well as reducing the number of accounts tags that were being suspended. As with toll evasion, AC5 first tries to mitigate potential customer service issues by ensuring that the notices issued are accurate and timely. We will continue to revise notices with the Authorities in an effort to get people to change their behavior. In addition, we also agrees to notice within three days of the transaction posting date. ACS takes speed infraction processing very seriously and abides by all Authority guidelines regarding customer tasks, appeal and adjudication. We currently respond to more than 2,500 speed related inquiries per month. 0 The call center is trained to explain the speed enforcement process to customers but cannot take action against an account other than to note it. CSRs must advise customers that their appeals must be in writing for Authority adjudication. The VPU receives all speed appeals that the customers are required to submit in writing. Once an appeal is received, the VPU will reset the infraction to an appeal status and log the appeal. Once the infraction is set to appeal Vector will automatically generate an acknowledgement of receipt of appeal stating the customer can continue to use their account/ tag and they will be notified in writing of the decision. This letter is printed out and logged in the VPU. The VPU currently processes over 1,500 acknowledgement letters per month for NYSTA and the The appeals, along with the logs, are sent to the respective agency for a decision. For NYSTA this information is sent to one of four New York divisions, Albany, Buffalo, Syracuse and Tarrytown based on where the transaction occurred and for it is sent directly to 1 Madison Avenue. 0 Once a decision is made by the agency and entered into Vector, a disposition letter is automatically generated by Vector and printed out in the VPU. This letter is logged and then mailed the customer. ?2005 ACS, Inc. 5.3.4-149 Vector Speed Infractions mamm?lgls a. Hail? Ex! Durwa?cs Nontol mm Re?nish Vanities mam comm Plans Notes MW Minutes mm mm mun. Multitu- mm. mm mm :1 [5253193 moses [soon :1 rqu-rvm . Prue . WW I mum-tn I lam Imjrxogla jSpee?tevd 1m IMaiu 51% Nome 52035085411967 CW 12 35 1&1? 12 29 OOEN (3125. 08 i OOEN (Em/3005103.. 05127, I rue-Iowan [mum 'l gum? 3 My lasts-Lenwmm I ?25200510535. 162.NYEZP Exhibit 5.3.4-45. This screen provides CSRs with real-time information to review speed infractions and answer all customer questions and concerns. When a customer?s account is suspended, all associated discount plans will be suspended, any prepaid toll balance or deposits will not be refunded, and if the customer uses a tag under suspension will generate a toll evasion notice. Use of Lost/Stolen/Invalid Tag The use of a Lost/ Stolen/ Invalid tag at NYSTA and triggers the non?customer toll evasion violation process discussed previously. However, a completely different chain of events occurs when an New York customer attempts to cross a TBTA gated facility and a lost/ stolen/ invalid tag is detected. First, the barrier gates Will not rise. This Will require an intervention by a Bridge and Tunnel Officer TBTA (BTO) to determine if the tag is in a lost/ stolen/ invalid status. If this determination is made the ETC will collect the toll and retain the tag. The customer is issued a receipt for the tag which they will need to produce in order to obtain another tag. The customer can mail this receipt to the CSC for issuance walk-in center to obtain a replacement tag. Replacement tags will be issued only to accounts that have been put into a good financial status by the customer. 5.3.4-150 ?2005 ACS. Inc. s. s. The retained tags are boxed at the TBTA facility and forwarded to the CSC for processing. The CSC will take the following steps to process the retained tag, ensuring that customers who reported the tag lost/ stolen before it was retained are not penalized. The correspondence unit performs the following: Validate if the tag was assigned to an account 0 For tags on active account, the status of the tag at the time of the transaction is validated A configurable retained fee is charged, $25.00, to the account 0 Accounts that were previously charged Lost Stolen fee will be reversed The tag is marked in the system to be returned and based on the age of the tag, it is either set to expired or put back in inventory to be reissued In the event the tag is damaged or defaced the account holder is charged with configurable damaged tag fee, $32 for exterior tags, and $25 for interior tags 0 Notes the account for the above activity Currently ACS processes over 4,000 retained tags per month for the TBTA. ACS agrees to process the retained tag Within three business of receipt at the CSC. All call center, correspondence and walk-in staff members are trained on the policies that dictate tag retention and the ensuing actions that must occur to make the account Whole again. The customer is advised on how to make payment and retrieve their tag. Only in the event that the account or tag was in an invalid status in error, will the staff at the CSC approve the waiving of a retained tag fee, otherwise Authority approval must be obtained. Use of an Unmounted Tag When an New York accomlt holder enters the TBTA gated facility with an unmounted tag and it fails to read tag, it results in a failure to raise the gate. This customer action is commonly referred to as a ?waver." This creates unnecessary delays in the lane and requires an intervention by the ETC to assist the motorist. In the case Where the tag is found to be operable, a Notice of Administrative Fee is issued and transaction information like transaction date time, transponder nmnber, vehicle class, license plate and facility is logged. This information is sent in an electronic batch file to the CSC for further processing. In the current system, these transactions are received in the manual toll file for transaction posting and manual logs for data entry into the system requiring administrative fee charges. The administrative fee charge is termed as a WTOL in the Vector System. The current file specification allows TBTA to inform the CSC of the problem identified by BTO at the time of ?intervention? with the customer. The current MTOL electronic file specification will be enhanced to capture the adJninistrative fee details like Serial number of the Notice of Administrative Fee and the process of charging the administrative fee will be performed in batch mode as compared to the current manual entry. ?2005 ACS, Inc. 5.3.4-151 Transactions received in the manual toll file undergo file level validations and data integrity checks are performed. The transaction processing rules for these transactions using either transponder or license plate Will follow the business rules as specified in the Proposal Section 5.4.3.2.1., Business Rules. Any transaction received in manual toll file with a problem code of (Tag Waver) will be charged $10 as required in RFP Appendix I. This fee is configurable as directed by the TBTA. The fee will be charged to the New York account only when the transaction is successfully posted to the account. The charge will appear on the customer?s statement and in Vector, as a single line item. This fee amount will be reflected in the financial reports along with other fees collected in the system. Transactions that fail to post to the account due to standard account toll posting exception logic Will be reported on the Umnounted Tag Reconciliation Report. Fees will be posted to accounts in good, low balance, bad or revoked warning. Fees will not be posted to accounts that are a status of revoked final, collections, collections?legal, or closed status. We will work with the Authority to determine their business rules regarding dispute processing for Unmounted Tag infractions. Regardless of the ?violation" type, ACS will apply its best practices gleamed from years of violation processing on the New York program and many others by: 0 First, attempting to dissuade the behaviors that result in the ?violation? through customer commtmication such as statement messages 0 Attempting to remediate situations internally avoiding, the ?violation? such as in ITOL posting and capturing the license plate data from the DMV and swapping tags before they fail 0 Preparing accurate customer communications and send them out in a timely manner 0 Creating automated interfaces to instruct customer and non-customers on the actions they should take or for them to self manage the situation 0 Training front line staff in the call center and walk?in centers to troubleshoot disputes to the best of their ability Without compromising the integrity of the process or impacting the productivity of their units 0 Training specialists to review situations that can?t be resolved at the first point of contact and adjudicate them according to Authority guidelines 0 Advising customers of the disposition of their dispute in conjunction with Authority guidelines 5.3.4-152 ?2005 ACS, Inc. s. EM 5.3.5 Finance Tasks RFP Proposers Instructions: The Proposer will include a description of the ?nancial management organization and staff and job descriptions which show how each position relates to the ?nance tasks for which the Contractor will he respons ble. Proposers shall provide additional details speci?c to individual tasks in their responses to Sections 2.3.5.1, 2.3.5.2, and 23.5.4, including all subsections thereof. The experience ofACS?finaucial management team, HIGHLIGHTS along with our ongoing commitment to ensuring the security of the Authorities? revenues, provide the Authorities with a proven solution for the complexity of their financial transaction processing needs. . Experienced staff dedicated to client and customer service . Added Vector functionality to improve customer service . Improved QA process to identify and The ACS finance staff is committed to providing the . . . . mitigate ?nancral risk very best in financial services to our clients, as well as providing superior customer service to the Authorities? customers. Over the years, we have worked hand-in?hand with the Authorities to improve the services offered, reduce financial risk and exposure, and decrease both direct and indirect costs to the Authorities. We take pride in the financial services that we offer and our ability to tailor processes to meet the needs of the Authorities. During 2003, for example, we successfully migrated over 60,000 customers from TBTA to and we implemented a negative balance write?off process for NYSTA Within a few weeks. At times, this joru?ney has been a learning process for all involved. From processing collection checks to reduce a vendor's backlog, to meeting with credit card processors and associations to reduce fees, ACS was there for the Authorities, and we will continue to be there. . Strengthened ?nancial controls to further ensure the integrity of Authority revenues Over the past several years, financial functionality in the changed to incorporate several programs designed to ensure the security of Authority revenues. The Positive Pay program for the Refund Accormt, the I-Vault program for NSF check processing, and the charge back recovery program were all added to further ensure the security and preservation of Authority revenues. Some programs, like the elimination of American Express credit card decline letters, improved customer service and also resulted in substantial cost savings to the Authorities. By modifying the automated replenishment program to accommodate the growing number of electronic payment transactions, AC8 succeeded in improving the Authorities revenue ?ow while reducing the revenue risk inherent in credit debit card declines. All of these programs demonstrate our ongoing commitment to providing the finest in financial services to the Authorities. Improved Financial Functionality Since 1999 Expanded Tlu?oughput of the Automated Rebill Process 0 Elimination of American Express Credit Card Decline Letters 0 Chargeback Processing ?2005 ACS, Inc. 5.3.5-1 5m Chargeback Debit Credit Transactions Chargeback Recovery Reversal Program Chargeback Reporting 0 Refund Account Positive Pay Program 0 NSF Check I-Vault Program 0 Online Payments through New York Web site 0 Online Payments through IVR Image-based Invoicing Process 0 Negative Balance Write-Off Program 0 Restricted Access to Credit Card Data in Vector There is still more, however, that needs to be done. The inherent complexity of the tasks occurring in a multi-agency CSC are magnified within the financial accounting system. The segregation of customer accounts, Authority revenues, and adjustments are critical for the proper accounting of Authorities? liabilities and revenues. ACS understands that the financial accounting system and processes must have the capability of allocating payments across multiple agencies. Rather than continuing with our manual inter?agency adjustment process, ACS will be modifying Vector to accommodate a single payment across multiple agencies. With the addition of inter?agency transaction codes to the transaction configuration table, a customer will be able to remit a single payment, for example, for a TBTA replenishment and a NYSTA Violation. Although the payment will be deposited into bank account, Vector will properly account for the payment for both TBTA and NYSTA. This transaction will appear on the liability balance report (Q13) as an amount Due from TBTA, Due to Many more improvements are also planned for Vector. ACH payment acceptance, establishing a direct connection to American Express, and eliminating the second approval attempt on credit cards for certain decline codes, such as a lost or stolen card, will be incorporated into Vector financial functionality. Refund checks will be processed faster due to the integration of Vector and QuickBooks and, as required by NYSTA and an NSF check fee will be imposed on returned Violation check payments. These are exciting changes that will improve customer service and reduce costs to the Authorities. Additional Financial Functionality After 2006 Cross-Agency Transaction Revenue Allocation Codes 0 Direct Connection to American Express 0 ACH Payment Processing 0 Integration of Vector and QuickBooks for Check Refunds 0 NSF Fee Assessment on Returned Violation Checks 5.3.5?2 ?2005 ACS, Inc. 5. s. 0 Credit Card Payment for Violation Tolls Fees 0 Elimination of Second Approval Attempt for Certain Credit Card Decline Codes All of these process improvements, however, will not be fully realized without the right people in the right positions. finance staff is comprised of a team of knowledgeable banking and electronic toll collection professionals, many who have been with the since Vector implementation in 1999. These staff members were selected for their financial knowledge, as well as their customer and client service abilities. Through the term of the current contract, many of these staff members have been trained to perform in more than one role. This cross?training allows AC8 to provide the Authorities and their customers with continuous, superior service. The organization chart in Exhibit 5.3.5-1 outlines the financial roles and reporting structure for the finance staff in the Financial Management Organization Finance Manager Senior Financial Financial Processes Analyst Assistant Assistant Finance Finesse Manager Manager evenue. tic Reconciliation Prorgegssaigg and and Exceptions Reciprocity I l?;I Jr. Reciprocity Jr. Reciprocity Refund and Deposit and Analyst IAG Anaiyst Home Chargeback Reconciliation Transactions Agency Supervisor Smervisor and Transactions Settlement and Settlement Exhibit 5.3.5-1. The above organization chart for the Financial Management Department shows a clear reporting structure and staff positions responsible for each of the critical ?nancial tasks. The table below provides a brief job description of the roles in the above organization chart. Further detail of the responsibilities of these roles is contained in subsections to follow. ?2005 ACS, Inc. 5.3.5-3 EM FINANCIAL MANAGEMENT JOB DESCRIPTIONS Role Job Description Finance Manager Overall responsibility for Financial Management staff and activities Reports to program manager Primary point of contact with Authorities regarding ?nance functions Monitors system ?nancial processes and interfaces with development and technical support groups Assistant Finance Manager Oversees management of Deposit, Reconciliation. Exception Processing, Refunds Back-up to ?nance manager Handles second level of escalations from customers Supervisors Day-to-day supervision of Deposit, Reconciliation, Exception Processing, Refunds Back-up to assistant ?nance manager Handles ?rst level of escalations from customers Deposit Perform recount of cashier and lockbox payment processor work Coordinators Prepare deposit for each Authority Reconcile daily store activity Reconciliation Coordinators Reconcile daily deposit activity, at Authority level, to Vector reports and bank statements Prepare daily and summary reconciliations for the Authorities Reconcile credit card fees NSF Check Coordinators Receive returned checks through l-Vault program or regular mail Identify customer account, reverse check payment, and apply fee Prepare customer returned check advice Refund Coordinators Review refund packets submitted for processing Process check and credit card refunds Maintain returned refund check log and reissue to customers Charge Back Coordinators! Collections Coordinator Receive inquiries and charge back noti?cations from credit card processors Investigate claim and respond to processor with documentation Proceed with recovery/reversal program for lost chargebacks Senior Transaction Processing Analyst Monitors toll transaction processing and reconciliation Maintains Actuate report folders Interfaces with Authorities and IAG member agency contacts Junior Transaction Processing Reconcile transaction reports to home agency ?le transmissions Prepare settlement packages for Authorities Perform variance analyses ACS recognizes that the security of revenues is of Vital importance to the Authorities. To strengthen controls over financial transactions, an Audit position will be added to the Quality Assurance (QA) Department with the speci?c pmpose of reviewing project-Wide financial transactions. This position will be filled by an Audit professional and testing Will prinlarily cover cashier transactions, daily closeouts and settlements, deposit and reconciliation, and account adjushnents. The results of these audits will be reported to the program manager, as well as to the Authorities. The testing of financial controls and 5.3.5?4 ?2005 ACS, Inc. recommending/ implementing improvements will help to further mitigate risk in the handling of and accounting for the Authorities? revenues. 5.3.5.1 Revenue Handling, Distribution, and Reconciliation RFP Proposer Instructions: The Proposer will include a response to the Revenue Handling, Distribution, and Reconciliation section that demonstrates the Proposer's approach to providing the necessary revenue management and control functions required, as described in Sections 2.3.5.1.1 through 23.5.1.3. The proposal will include a description of security protocols that control authorized use and access as they relate to and provide ?nancial control. The Proposer shall describe the processes it proposes to use for each reconciliation process required, including transaction reconciliation, service center reconciliation, credit card reconciliation, and bank accounts reconciliation. In 2004, ACS processed nearly $1.5 billion in payments for the Authorities. We have been able to handle volumes of this magnitude primarily because of the design of the Vector system. Other proposers may not truly understand the complexity in processing and, more importantly, reconciling payments of this magnitude. Vector was developed not only for the collection and processing of electronic transactions, but for the management of customer payments, as well. Vector logic ensures the proper classification of all transactions, such as prepaid toll payments, tag deposits, fees, and adjustments, as well as the segregation of all transactions by agency. This capability, combined with a series of manual and system controls, provides the Authorities with a fully auditable paynlent processing, funds distribution, and reconciling solution. In the subsections that follow, we will describe in detail our methods for collecting, processing, depositing, and reconciling payments and other financial activity occurring within the We will highlight the many controls that we have in place to safeguard the Authorities? revenues. We will also discuss changes to our processes to offer the Authorities and their customers improved service in a multi-agency customer service center environment. 5.3.5.1 .1 Revenue Handling Requirements One of the most important functions of the is to securely handle and accurately account for all payments received through the lockbox, at the walk-in locations, through the IVR and the New York Web site, as well as electronic payments through the automated replenishment process. As the current contractor for the Authorities, ACS has developed and refined many of the system processes required by the Authorities. We have implemented controls to safeguard the processing of all payment types, as well as to maintain the confidentiality of customer payment information. The subsections that follow will describe our payment and refund handling processes in detail. @2005 ACS, Inc. 5.3.5?5 EM Payment Handling Procedures Checks To ensure the security of and accountability for the Authorities? funds, AC8 Will adhere to established funds handling procedures, commencing with the receipt of mail in the lockbox. Designated staff opens all incoming mail and records the cormt of each type received (applications, replenishment payments, violation payments, etc.) in the dedicated, secured lockbox facility located Within in Staten Island. This lockbox facility has 24? hour security camera surveillance, and entry is restricted to a limited number of employees gianted access thiough a security ca1d access system. Once inside the lockbox, user IDs and passwo1ds are requi1ed to access the Vector system, and passwords must be changed at pre-determined intervals. Within the system, access is also restricted to a ?need-to?use? basis. The LAN administrator establishes employee roles on Vector based on an employee?s job description. This security feature prevents, for example, a payment processing clerk from processing a refund, and also prevents a refund clerk from accessing the payments module. These security measm?es, among others, Will provide the Authorities with the assurance that their funds and customer accomit information are being handled in a secure, controlled environment. For replenishment and Violation payments, payment processing clerks process checks and money orders submitted with a remittance stub through the Authorities' DP250 remittance processors on the day of receipt. Checks are reviewed to ensure that all fields are completed and that the written anlount agrees to the numeric amount. These payments are encoded with the dollar amount of the check or money order, endorsed with the specific Authority?s bank account information and customer account number, and credited to customer's account, or applied against outstanding violations, on the same day. The automated endorsement feature ensures proper segregation of these payments when each Authority's deposit is prepared. Payments without a payment stub and account openings are manually processed through the Vector online payment screen. At the conclusion of each payment clerk's shift, an online, financial closeout for all payment types is performed on Vector. This closeout ensures that financial transactions recorded on Vector reconcile to the checks and money orders on hand. DPZSO activity is reconciled to system processing reports. Any out?of?balance condition is immediately researched and resolved. All closeouts are verified online by supervisory personnel, who perform a quantity and dollar amount recount of all documents. System security controls will not allow any user to log in for a shift if a prior shift has not been successfully closed out. All closeout documentation, including checks and money orders, is secured in a combination safe in the lockbox facility until the deposit is prepared. The process ?ow diagram in Exhibit 5.3.5?2 provides a high?level summary of the payment processing steps in the Lockbox. 5.3.5?6 ?2005 ACS, Inc. s. S. ?2005 ACS. Inc. 5.3.5-7 route to arrive at the same result?payment updates to customer accounts. 3.5-2. The process ?ow for check payments in the Iockbox can take an automated or manual Exhib it5. 148mm Receipt of Payments in Lockbox Perform Additiona Search in Vector Post Payment to Unidentified Account and Access Database Record Received Check Count in Production Log Locate Account In Vector Post Payment to Customer Account in Vector Record Processed Count in Production Log Processed through DP250 Remittance Processor erk/Processor End-of-Shift Reconci iation Supervisory Review and Approva Transfer of Payments to Deposit erk Lockbox Payment rocessmg 5m Walk-in center check and money order handling procedures are similar to the online payment procedures followed in the lockbox. Cashiers apply payments to customer?s accounts, and the checks or money orders are endorsed with the account?owning Authority?s bank account information and the customer?s account number. Customers receive an online receipt evidencing their transaction. At the close of a cashier's shift, an online, financial closeout for all payment types, including cash and credit card payments, is also performed and verified by supervisory personnel. NSF Checks After deposit, checks may be returned by the depository banks for insufficient funds, among other reasons. Images of returned checks, originally deposited into the TBTA and deposit accounts, are downloaded from the IP Morgan Chase I-Vault Web site. Physical returned checks, originally deposited into the NYSTA deposit account, are received through the mail. Upon receipt, NSF check coordinators identify the associated or violation account and reverse the check payment on Vector. The financial status on Vector may change based on the adjusted account balance as compared to the account threshold. An NSF fee is currently applied to customer accounts if a replenishment or account opening check payment is returned unpaid. As required by the Authorities, Vector will be modified to assess an NSF fee on returned violation payments, as well. For all returned check payments, a notice is sent to the customer or violator advising of the returned payment and recommending that immediate payment be made. Upon the Authorities? request, NSF fees can be dismissed from a customer?s account. Vector has been modified to prevent customers from repeatedly presenting checks that will not be honored by their bank. After two returned check occurrences within a one?year period, Vector imposes an Check Lock?, which automatically rejects check payments from the DPZSO batch check payment process. For manual payments, an indicator appears on the payment screen notifying cashiers and payment processors that a ?lock" has been placed on the account. This lock renlains in place for one year from the date of the second occurrence. Customers that have a ?lock" placed on their account can still remit payment by any other payment method. Cash Cash handling procedtu?es in the walk-in centers are subject to additional controls beyond the controls for checks and money orders. In 2004, ACS handled over $34 million in cash payments for the Authorities. Before applying payment to customer accounts, cashiers inspect large denomination bills for authenticity and subject these bills to counterfeit detection measures. After payment is applied to the customer account, the customer receives a receipt evidencing the cash transaction. As part of their closeout documentation, cashiers must record the number of bills in their cash drawer by denomination on a cash handling sheet. This cash handling sheet is prepared by the cashier, verified by their supervisor, and re-verified once the funds are turned over to the deposit clerk. Cash transactions are also included in the Vector online, financial closeout that all cashiers must perform. 5.3.5?8 ?2005 ACS, Inc. s. s. For cash paylnents that are received through the mail in Staten Island, the lockbox supervisor is immediately notified and the cash amount is recorded in a payment receipt log. These funds are counted in the lockbox and then turned over to the supervisor of the Staten Island walk-in center. The supervisor signs the payment receipt log evidencing the transfer of funds. This transfer is necessaiy because all cash deposits are handled through the walk? in sites, not the Main Processing Center. Deposits ACS fully tmderstands the Authorities? requirement that funds must be segregated and deposited separately into each Authority?s cash/ check and credit card deposit accounts. Vector Payment Detail Reports (PDRs) break down all financial transactions by Authority, payment type, and payment method. This reporting enables om? deposit coordinators to accurately segregate funds and to deposit cash, check, and money order payments to the correct Authority account. Credit card funds are deposited directly by the credit card processors into the Authorities credit card deposit account. Deposit clerks are located at the Main Processing Center, as well as at each walk-in center. These staff members do not have the authority to conduct any financial transactions on Vector. By design, this policy will ensure a segregation of duties and allow for an independent recount of daily financial activity. The deposit clerks reconcile all financial activity to the daily PDR for each staff member and at the sununary level. The deposit clerks also ensure that all checks and money orders are properly endorsed before preparing the deposit for pick?up by an armored courier service. ACS is currently contracted with Brinks, Inc. for armored courier services at all New York service center locations, with the exception of the NYSTA Grand Island walk?in center. For this location, we are contracted with Loomis Fargo, formerly AMSA. AC8 proposes to solicit estimates for consolidated service from several of the larger armored courier service providers in the New York area, including Brinks, CDC, and D1mbar. ACS will select the courier who will provide the best service to the Authorities, with the Authorities' approval. Before releasing funds to a representative of the selected courier service, ACS staff ensures that photo identification is presented and matched with existing photo arrays of authorized representatives of the courier service. The cash check money order deposits will be delivered next business day to Bank of America for NYSTA and JP Morgan/ Chase Bank for TBTA and in compliance with all applicable banking regulations and laws. At all critical points in ACS processes, manual and/ or system docunlentation is maintained to evidence the transfer of funds responsibility. Batch headers are used to document the number of checks money orders transferred from the mail sorters to the payment processors. Payment processors document this count by use of the online closeout screens. Deposit clerks, as part of their recount, document the number of items being deposited on their deposit tickets. Armored couriers sign logs indicating the date and time of their pick- ups. For electronic funds, system reports document the ?ow of electronic payments, from the point of account inclusion/ authorization request through the settlement of the funds. As a result of these procediu?es, a complete audit trail is created for the transfer of funds responsibility within ACS, and from AC8 to the Authorities? banks. ?2005 ACS, Inc. 5.3.5?9 5m Credit Card The bulk of customer payments in the are made by credit or debit card, and Vector accepts MasterCard, Visa, American Express (AIVIEX), and Discover as methods of electronic payment. AC8 will use the Authorities? existing merchant identification numbers for processing automated replenishinents, as well as processing online payments through the Vector online payment screens, the New York Web site, and the IVR. All revenues derived from credit and debit card transactions will be credited directly to the Authorities? deposit accounts. To protect the security of customer account information, files exchanges between ACS and the credit card processor are transmitted through secured data lines and access to Vector screens displaying credit or debit card information is limited to staff on a ?need-to-use? basis. Using the ClearComJnerce software platform, ACS will submit electronic payments to Chase Merchant Services (CMS) for the authorization and settlement of these transactions. The use of ClearCominerce will ensure compliance with future processor file specification changes and allow flexibility in sending transactions directly to Anlerican Express. All payment transactions submitted to CMS are compliant with the processor?s Address Verification System (AVS) requirements. The daily, automated replenishment process Will create an authorization request file for all credit and debit cards when customer account balances reach their established threshold. This request file will be submitted to CMS, and upon receipt of the response file from CMS, ACS will post payments to customer accounts for transactions that were approved. Declined transactions will be resubmitted in the next authorization request file. We comply with the Payment Card Industry (PCI) standards established by Visa and MasterCard, and adopted by the other card brands, to ensure the protection of the critical financial and identity data that is captured and or stored by the Vector system. ACS is proposing to enhance the automated replenishment process in two ways. First, rather than submitting all declined accounts for a second approval attempt, AC5 proposes to eliminate accounts with certain decline codes, such as lost stolen card, expired expiration date, and invalid accormt number, from the next authorization request file. Accounts receiving these decline codes will never receive an approval. By initiating the declined credit card process one day sooner, the customer will receive notification earlier and the potential for revenue loss to the Authorities due to negative balances will be diminished. The second enhancement that ACS proposes is a direct connection to AMEX. By sending AMEX credit card transactions directly to AMEX, bypassing CMS, the transaction processing fee ianosed by CMS will be eliminated. This represents a direct cost savings to the Authorities. Automated Clearing House (ACH) ACS proposes to use CMS for the authorization and settlement of all recurring and one?tiine ACH payment transactions. As previously noted, CMS currently provides credit debit card processing services to the Authorities. By extending these services to include ACH, we will 5.3.5?10 ?2005 ACS. Inc. s. s. be leveraging the existing communication structure, as well as established relationships with this vendor, to offer this new service to the Authorities' customers. Offering ACH as a payment option will allow customers to use a checking or savings account to replenish their account. Vector has ah?eady been programmed to handle this paynlent option for the Delaware River Joint Toll Bridge Commission and the Delaware River Port Authority customers. New payment transaction types of ?Checking" and ?Savings? have been created. In fact, existing New York Vector payment screens already display the American Banking Association (ABA) routing number field that would be required to process ACH transactions. Customer materials, such as applications and correspondence, will be modified to include ACH as a payment option, and the required ABA routing and checking savings account number fields. For recurring ACH payments, the process is different from credit card replenishment. When accomlts with checking or savings payment types are selected for replenishment, a batch file is created and the customers? accounts are credited at that ti111e. The batch file is then sent to CMS for processing and the Authorities' bank accounts will receive next day credit. As with check payments, an ACH transaction may be returned (rejected) due to insufficient funds or stop payment request, among other reasons. A rejection file will be sent by CMS and processed through Vector. All payments rejected will be reversed from the customers' accounts and the payment type will be automatically converted to ?Cash". If the Authorities elect to do so, a rejected ACH transaction fee can be applied, similar to an NSF check fee. Online ACH payments and one-time ACH payments tlu?ough the IVR or the Web site will be processed using a check verification service, such as Telecheck. Customers will provide their checking or savings account number, along with their bank?s ABA number, in order to initiate a one?time echeck payment. Most check verification services, like Telecheck, rely on large databases of check writers to determine whether or not to authorize a transaction. Payment for echeck transactions usually occurs Within two business days. E?check payments are becoming more popular with consumers and ACS will work with the Authorities to select a provider who offers the best value and service for the New York program. The financial reconciliation of all payment methods listed above will be discussed in Proposal Section 5.3.5.1.3, Reconciliation Processes and Procedures. Refund Handling for Cash and Check Customers ACS imderstands that superior customer service must also extend to the closing of customer accounts and the prompt refunding of customer balances. We have well-established operational procedures designed to process customer refunds in a timely manner without compromising Authority revenue. Under the new work?ow process within Vector, packets of paperwork associated with a refund transaction will no longer be required. The customer request will be scanned into Vector and reside with the customer account information already existing in the system. The refund request will be routed from staff in the Correspondence Unit to staff in the Finance Department, receiving all necessary approvals ?2005 ACS, Inc. 5.3.5?11 along the way. This new process will result in faster refunding to customers, eliminate paperwork, and enable management to see the number of refund requests in the queue for each stage in the refund process. Controls in Vector will still limit access to the Disbursements screen, from which refunds are processed, to those staff members authorized to process refunds. Vector also prevents refunding any more than the customer's account balance. Because each customer account is owned by a specific Authority, refunds are automatically segregated according to the Authority of ownership on all financial reports. These procedures and controls apply to all refund payment types. The process ?ow diagram in Exhibit 5.3.5-3 depicts the current refund process from the point that a refund enters the Finance Deparmlent. 5.3.5?12 ?2005 ACS. Inc. s. S. ?2005 ACS, Inc. 5.3.5-13 Exhibit 5.3.5-3. The above process ?ow diagram shows the processes and controls over customer check and credit card refunds in the Financial Management Department. Request Routed to Appropriate Authority for Approva Approved Refund Request Received through Workf ow Refund Processed from Correspondence In Vector by Department Refund Coordinator Rejected Refund Check is Generated through Request Routed Back Quickbooks, Reviewed. to Correspondence And Signed by the Department Supervisor through Workt ow Credit Card Refund Automatica Submitted to Processor and Sett ed through Vector Refund Check is Mai ed to the Customer Check is Submitted to Assistant Manager or Finance Manager a for Second Signature I49.NYEZP Refund rocessmg EM Check refunds will be issued for customers who replenished their accomlt either by cash, check, or ACH payment. The existing Refund Account, in name at Bank of America, will continue to be used to issue check refunds to customers. This account, funded initially by the Authorities, will be replenished on a quarterly basis based on each Authority?s usage during the preceding quarter. ACS will maintain a secure check stock for the Refund Account and dual signers will be required on checks exceeding $100.00, up to the 1mm authorized by the Authorities. To ensure segregation of duties, a staff member processing refunds on Vector will not have signing authority on the Refund Account. Check refund requests in excess of the limit established by the Authorities' will be referred to the appropriate Authority for approval. As required by the Authorities, refimd checks and closing statements will be mailed to customers within five days of the final account closm?e. Diu?ing the course of a quarter, larger check refunds for Commercial or Business accormts may be required. Rather than deplete an Authority's Reftmd Account balance, ACS will request pre-funding for these refunds from the appropriate Authority. ACS currently uses QuickBooks to print refund checks and to reconcile the Refund Account balance. We are proposing to integrate refund processing on Vector with the QuickBooks program. This integration will eliminate the redundancy of typing customer demographic and refund information into QuickBooks, but will still allow the use of QuickBook?s reconciliation program for the Refund Account. The Refund Account will be reconciled by a staff member who does not process refunds. We will continue to use Bank of America's Positive Pay program for the Refund Accomlt. This program provides additional security over the funds in the account by authorizing the bank to only make payment on check numbers amom1ts provided to them Via data file. By doing so, the risk of Authority revenue loss due to check tampering or theft of account information is mitigated. Refund Handling for Credit Card Customers Credit and debit card refunds will be issued for customers who replenished their account by MasterCard, Visa, AMEX, or Discover. As with check refunds, Vector liJnits the refund amount to the customer?s account balance, thereby preventing over?refunding. The same work?ow review and approval process in place for check refunds also apply to credit debit card refunds. In addition, prior to issuing a credit/ debit card refund, an Access database containing charge back data is searched to ensure that there are no pending charge backs associated with the card account. ACS will ensure that credit debit card refunds in excess of $500 for individual accounts and $1000 for business conunercial accounts are referred to the appropriate Authority for approval prior to processing. As credit/ debit card refunds are netted against daily sales activity, the reconciliation of card refunds is included as part of the overall daily reconciliation of each Authority?s credit debit card activity. As required by the Authorities, a daily refund report containing the card type, credit card number, expiration date, and refund amount will be provided. Current expiration dates are not required for American Express recurring payments, so the expiration dates reported for AMEX transactions will most likely be expired dates. 5.3.5?14 @2005 ACS, Inc. s. SI Refund Handling for ACH Customers The will process check refunds to those customers who have replenished their accormt using ACH as their payment method. Refer to Proposal Section 5.3.5.112, Refund Handling for Cash and Check Customers. 5.3.5.1 .2 Revenue Distribution As discussed in Proposal Section 5.3.5.1.1, Revenue Handling Requirements, Vector automatically designates payment transactions according to the Authority owning the accomrt or the Authority on which a violation occurred. Vector reporting follows suit and segregates transactions according to Authority. As a result, deposit coordinators can easily prepare separate deposits for each Authority. The following sections will describe how ACS will continue to handle the distribution of revenues among the Authorities. Distribution of Prepaid Tolls and Tag Deposits Vector was designed, in part, for the management of the Authorities' prepaid toll and tag deposit balances. From the inception of an account in the prepaid toll and tag deposits maintain separate identities. There are separate transaction codes within Vector that ensure these funds are never co- mingled. At the detail level, customer accounts maintain separate ?buckets? for toll deposits and tags deposits, and at the aggregate Authority level, separate liability balances are also maintained. Toll deposit and tag deposit funds may be exchanged when adding a tag to an account or converting an account from cash to credit card payment type. Even for these exchange transactions, additional transaction codes control the ?ow of funds. All toll deposit and tag deposit activity is reported on a daily basis in the Payment Detail Report by Transaction Type (PDR 58) and on a basis in the Revenue Reconciliation Report VVhen a tag is assigned to an Authority?s customer account in Vector, all activity associated with that tag follows the account - all toll transactions and tag fees post to the accormt to which that tag is assigned. Even after a tag is deactivated, or removed from an accormt, the history of that tag remains with the account to which it was assigned. As a result, tags which had been ?sold?, tags assigned with a deposit, or tags assigned Without a deposit, can be determined by reviewing the history of the customer account. The Authorities? current policy is to waive tag deposits for accormts with credit card as a replenishment type. This waiver can also be extended, if the Authorities require, to those accounts that replenish by ACH. @2005 ACS, Inc. 5.3.5?15 EM Distribution of Violation Processing Fees and Associated Tolls In Vector, violation tolls and fees are recorded, upon noticing, as separate accounts receivable (A R) transactions for the Authority where the violation occurred. Because these are recorded as A transactions, they are automatically segregated on Vector from transactions affecting the Authorities' prepaid toll liability balances. The segregation of these transactions also ?ows through to the processing of all payments for Violation tolls and fees. As a result, the deposit, reconciliation, and reporting of Violation A activity is separate and distinct from the reporting of other financial activity for the Authorities. Vector logic ensures that violation payments will first be applied to the outstanding toll amormt and then the balance of the payment will be applied to the violation fee. With the addition of inter-agency transaction codes on Vector, payment for a violation can be made from a customer's prepaid toll balance and the revenue will be properly allocated to the Authority on which the violation occurred. Unidentified violation payments are discussed in the Proposal Section entitled Unidentified Revenue below. Distribution of Miscellaneous Other Fees To accommodate the Authorities' customers who are eligible to participate in the discount plans, residency plans, and annual permit plan offered by the ACS has designed Vector to easily account for these transactions. Initially, unused commuter trip fees and permit plan sales are debited from a customer?s prepaid toll balance and residency rebates are credited to a customer?s prepaid toll balance, regardless of their account owner. At month-end, the Revenue Reconciliation Report (the Q13) and subsidiary reports summarize the amounts due to and due from each of the New York Authorities for these plans. The Authorities then determine the time frame for settlement of these funds. Financial Adjustments The majority of financial adjustments processed in the fall within a few major categories: 0 Returned check payments 0 Incorrect payment postings 0 Tag fees and reversals Toll disputes 0 Credit card charge backs Dismissal of violation tolls fees 0 Refunds 5.3.5?16 ?2005 ACS. Inc. s. Vector provides the functionality to either ?reverse? a same-day payment for the exact dollar anlount of the original transaction or to ?adjust? a transaction on a subsequent day. With both reversals and adjustments, because the adjustment is processed within the customer?s account, the original transaction data is maintained. This includes the account-owning Authority, the Authority revenue owner, and the transaction type. For reversals, only the user who initiated the transaction is able to reverse the transaction. The authorization to process adjustnlent transactions is limited to specific users of Vector based on the type of adjustment. The following chart shows roles in Vector and the type of adjustments that particular roles can perform. These adjushnents limits were developed in consultation with the Authorities. Role A A Adjustment Type Authorization Limit Call Center CSR Lost/Stolen Tag Fees Fee amount, dependent upon tag type (CSR initiates transaction by changing tag status - fee is imposed by Vector) Cashier Transaction Reversal Toll Dispute Dismissal of Violation Fee Waiver of UUCT fees Amount of original transaction One toll (for Max Tolls, Workleader may adjust up to $20 and Supervisor may adjust up to $50) and certain residency toll disputes Fee amount, provided toll is paid within Authority established timeframe One cycle (Workleader may waive 2 cycles, Supervisor may waive 3 cycles) Payment Processor Transaction Reversal Amount of original transaction Adjustments CSR Toll Dispute Payment Adjustment Waiver of NSF, UUCT, Statement, Account, Revocation, For adjustments within six months of transaction date: Up to $150.00 Up to $300.00 with Workleader approval Up to $1,000.00 with Supervisory approval Above $1,000.00 with Managerial approval For adjustments beyond 6 months of transaction date: Any amount with Authority approval Up to $200.00 with Worklead approval Up to $1,000.00 with Supervisory approval Over $1,000.00 with Managerial approval Any amount with Authority approval Fee amount, with Authority approval Authority may give standing waiver instructions on certain fees as a one-time courtesy Lost/ Stolen/Retained Tag Fees Charge Back Charge back debit or . . . Coordinator credit Amount of onglnal transaction NSF Coordinator NSF check Amount of original transaction, plus imposition of NSF check fee ?2005 ACS, Inc. 5.3.5-17 5m A A A Role Adjustment Type Authorization Limit Violations CSR Dismissal Of ?01am" toll Amount of original transaction, with Authority approval and/or fee Refund Coordinator Refund Up to customer account balance. in accordance with limits set by Authority Returned Tag Clerk getf?qegutsalg $962,322? Fee amount (clerk initiates transaction by changing tag ep 9 status - fee or reversal is performed by Vector) The processing of many of the adjustment types listed above will be handled through the new workflow process in Vector. Adjustment requests will be entered into the workflow by an initiating CSR. The transaction will then be routed to the appropriate unit or department for review and necessary approvals. As with refunds, this process will reduce the amount of time required to process an adjustment, eliminate paperwork, and enable management to see the number of pending adjustment requests at each stage in the process. The QA staff will utilize the query database to perform more in-depth reviews of adjustment transactions. These reviews Will include a focus on transactions falling outside the range of normal activity, including excessive adjustment count, significant dollar amormt, and the initiator/ processor/ approver. The QA staff will ensure adherence to ACS and Authority policies. The currently abides by the dispute resolution guidelines set forth by the IAG member agencies. Currently, there are five approved reasons to credit a ?home" customer for an ?away" toll. ACS has created transaction codes within Vector to ensure proper tracking, reporting, and, ultimately, settlement of eligible disputed transactions across programs. The Vector system allows selected CSRs to choose the corresponding reason for a toll credit and that data is then detailed on the IAG 6A Disputed Toll Report. ACS has also developed the IAG 6B and IAG 6C Disputed Toll Reports which detail toll credits to home agency customers that are not eligible for reimbursement from an away agency. The reasons for these credits are approved, however, by the Authorities. Unidentified Revenue To maintain control over replenishment and violation payments received that cannot be applied to customer accounts due to insufficient or absent customer account information, ACS proposes continuing to use the established Unidentified Accounts on Vector. ACS considers these accounts, in the name for replenishment payments and violation payments, and in NYSTA's name for NYSTA violation payments, to be the best mechanism for tracking unidentified payments that are deposited and for subsequently processing adjustment transactions. Credit Card Charge Backs As part of commitment to ensuring the integrity of the Authorities' toll revenue, we have developed a standardized credit and debit card charge back response and recovery 5.3.5-18 @2005 ACS, Inc. S. s. prograJn that is currently followed in the All credit and debit card inquiries and charge backs from Visa and MasterCard issuing banks, American Express and Discover Card are responded to with documentation to support the validity of the charge. This documentation may include copies of the customer agreement, the customer account statement, or customer correspondence authorizing the use of the credit or debit card. We have been successful in winning charge back disputes by educating our counterparts at CMS, American Express and Discover Card about the program so they can render a proper decision. ACS charge back staff also reaches out to customers to determine the reason for their dispute. Usually, this intervention results in the customer rescinding their dispute. However, if a charge back is not reversed by the bank or processor, after customer notification, ACS will reverse the payment that was applied to the customer account. To more effectively track these reversals, we created Charge Back Debit and Charge Back Credit transaction codes on Vector, as well as the Charge Back Reversal report. Our charge back program has proven effective in reducing the number of repetitive, unsubstantiated disputes filed by customers. 5.3.5.1 .3 Reconciliation Processes and Procedures As the current contractor for the New York Service Center, ACS will continue to support all phases of toll transaction and financial reconciliation related to the New York program. We have demonstrated to the Authorities that we have the capability to handle high transaction volumes while providing our clients with accru?ate reporting. The combination of system and manual controls, along with established reconciliation procedures, allow us to offer a reconciliation system that meets the needs of the Authorities. Transaction Reconciliation ACS understands that the processing and reconciliation of toll transactions are one of the most important functions in any electronic toll collection system. If toll transactions are not posted accurately or in a timely manner, revenue loss could result. From the ti1ne that ACS receives toll transaction files from the Authorities, a variety of Vector controls and system reports are in place to ensure accuracy throughout the posting and reconciliation processes. The following system checks, at both the file and transaction level, ensure that valid data is received and processed. File Validation?For every toll transaction file that is received, Vector validates that the number of the appropriate Authority is contacted to confirm the file cormt. To monitor the processing of incoming transaction files, the File Monitoring Report as shown in Exhibit 5.3.5?4 will be used. This report summarizes file reconciliation at a higher level than the Transaction Reconciliation Report. ?2005 ACS, Inc. 5.3.5?19 File Monitoring Report YORK E-Z PASS ReportDate 05/11/2004 File Monitoring ReponNumba' Time 1208206 Repou?nchtiodme: 04/10/2004 To: 05/100004 AGENCY YORK STATE Date Xfer Trx. File Name Input Received (H) CSC Input Reconciled (E) CSC (H) Di?s. Total 11) 0 c5? 1: 1: 1' (H133 041100.004 1466381 20040410011617: 600,185 378,980 39,197 11 9,329 427,517 260,668 378,900 39,197 11 6,906 45,694 0 0 0 2,423 2,423 0411172004 1467409 20040411011417: 67,047 256,501 28,833 16 6,316 291,666 165,381 256,501 28,833 16 4&0 2.970 0 0 1,696 1,696 0471272004 1468368 20040412011117: ?5,68 252,372 34,798 5 5,838 290,013 172,670 252,372 34,798 5 4,217 291,192 0 0 1,621 1,621 WHOM-4 1469282 ?404130134131 36,536 7 8,1177 437,38 263,649 392,? 36,536 7 5,954 435,185 0 0 0 2,053 2,053 041/141?? 1470383 ?404140131131 ?4,377 3% 31,026 11 7,812 427,417 256,9? 33,568 31,026 11 5,951 425,56 0 0 0 1,361 1,861 0015/2004 1471438 ?4041501? ?74,353 375,117 28,170 41 7,589 410,017 263,336 375,117 28,170 41 5,61) 0 0 0 1,919 1,919 047'167?2w4 1472430 20040416011117: 444? 38,308 16 9,109 ?2,340 270,717 444? 38,3? 16 6,645 0 0 0 2,464 2,464 WHOM 14734Tl ?404170131171 Mm 4M5 38,995 18 9,220 474,978 316,138 426,345 38,995 18 6,752 472,110 0 0 0 2,4? 2,468 04/180004 14745? 20040418011117: 509,362 2m,663 31,064 6 6,598 33,131 18L031 m,663 6 4,838 316,571 0 0 0 1,7? 1,760 00192004 1475619 20040419011117: 461,915 257,567 32,097 4 6,009 295,677 166,718 37,567 32,097 4 4,333 294,001 0 0 1,676 1,676 04002004 1476722 20040420011717: 695,691 398,142 33,232 11 8,329 439,714 755977 398142 33,232 11 6,123 437,500 0 0 2,206 2,206 09212004 1477972 20040421011011 745,094 416,502 32,758 14 8,224 49,490 287,596 416,502 32,758 14 5,982 455,56 0 0 2,242 2,242 0472772004 1479117 2004042201er 737,496 421,191 33,558 30 8,177 462,956 269,540 421,191 33,558 30 5,881 460,660 0 0 0 2,296 2,36 04/23/2004 1400164 20040430118171 747,3:3 431,415 35,261 14 8,798 475,400 271,875 431,415 35,261 14 6,317 473907 0 0 0 2,481 2,481 04/242004 1481284 20040424011517: 752,561 442,488 40,636 16 8,952 02,092 260,469 442,488 40,636 16 6,404 48,544 0 0 0 2,548 2,548 04/25/2004 1m 20040425011817: 545,923 304,079 33,230 6 6,715 344,030 201,893 304,979 33,230 6 4,600 841,915 0 0 2,115 2,115 6472qu 1433534 20040426011117: 471,113 264,515 34,214 3 5,721 304,454 166,660 264,515 34,214 3 3,954 362,6? 0 0 0 1,767 1,767 0472772004 1484492 20040427011617: 00,726 396,896 31,034 18 8,382 436,306 254,396 396,896 31,034 18 5,766 438,714 0 0 0 2,616 2,616 04/282004 1485738 20040428011417: 717,300 419,517 31,858 10 8,333 459,710 257,582 419,517 31,858 10 3,465 454,050 0 0 0 4,868 4,868 04/29/2004 1486997 WIMIX 132,6. 428,790 33,117 9 8,121 470,037 262,571 428790 33,117 9 5,760 mm 0 2,361 2,361 0473072004 1487768 20040430011617: 740,431 434,377 35,052 14 9,283 470,726 261,705 434,377 12,377 14 6,583 458,351 0 22,675 0 2,700 25,375 0570172004 1489171 33405010114131 450,439 40,466 43 8,954 ?m 262,78] 450,439 40,466 43 5,701 0 0 0 3,253 3,253 05711272004 1490286 20040502011517: 5322a 304,165 31,481 8 6,571 342,225 190,043 304,165 31,481 8 4,260 339,914 0 0 2,311 2,311 0903/2004 1491157 20040503011mt nun 262,695 31,366 7 5,408 299,476 239,735 262,695 10,515 7 3,432 276,649 0 20,851 0 1,976 2,827 05/04/2004 1492009 20040504011117: 699,091 401,717 30,873 28 8,061 440,679 258,412 401,717 23,197 28 4,409 43,451 0 7,676 0 3,652 11,328 Semzouctnatd Usa:Administntot Vistblepage of 2 SmtedA1105/11/2004 12 04:58 CompletedAt:05/llf2004 12 08:10 ExecutionTime: 192 Seconds Exhibit 5.3.5-4. The File Monitoring Report provides a status of incoming ?le reconciliation at a summary level. Transaction Validation?At the transaction level, each data field within the transaction is validated for acceptable values. Transactions identified as invalid are written to an exception file for audit purposes and for subsequent reporting. Toll Posting?Once the above validations are performed, Vector will then sort toll transactions, post transactions to home agency customer accounts, create inter-agency transaction files in accordance with the IAG specifications, and send violation transactions to the Vector Violations sub?system for processing. The basis for the monitoring of the Vector transaction reconciliation process is the Transaction Reconciliation Report. This report, included as Exhibit 5.3.5-5, can be generated by ?le ID or collection date for every home agency transaction file received and processed by ACS. The report identifies the nunlber of transactions received in a given file and provides a breakdown of transactions posted by plaza and by tag-owning agency, along with a series of reject reasons. Vehicles without tags (toll evaders) and vehicles with invalid or unauthorized tags are indicated 5.3.5?20 ?2005 ACS, Inc. EM on the Transaction Reconciliation Report. Non-revenue transaction activity is reported on the Non?Revenue Tag Use Report, included in Proposal Section 5.3.7, Reporting Tasks. Transaction Reconciliation Report (Q15) NEW YORK E-Z PASS Report Date 07/280005 Transaction Reconciliation Report Report Number Q15 Time 13:43 39 Reporting Period Front 04/21/2005 To: 04/21/st AGENCY PORT AUTHORITY or NY 6 NJ l-?lLElD Ins-7965 nu: NAME 26658421636423.2912 TorrAI. REGIVED mom LANE IN THIS nu: :2mm 83 GWL GWP qu HT LT oax 905 Total Received 9.785 8,055 49,110 1&7? 33,835 34.7.1 40,7? 33,333 0 Han: Apnq 8.206 24.128 39.334 16.989 30.184 25,311 30,532 28,419 0 203,103 1,559 4.927 9.845 1,747 8,451 9.390 16.230 5,414 0 57.563 Pcatcd 151 963 3.607 5.142 3.947 833 2.168 607 0 17.418 TOLL 148 957 3.547 5.100 3,912 824 2.158 604 0 17,250 VTOL IMAGE 150 MTOL 0 UTOL MTA Posted 4,904 14,764 15,411 5.920 14.199 13.505 12.654 15.702 0 97.059 TOLL 4.870 14 672 15,186 5.869 14.085 13.390 12.615 15.584 0 96.271 VTOL IMAGE 689 MTOL 0 Feared 2,942 7,723 19,103 5,628 10,969 10,325 14,696 11,731 0 83,317 TOLL 2.921 7.673 16.898 5,586 10,896 10,227 14,624 11,676 0 82,701 VTOL IMAGE 562 MTOL UTOL 0 0 NJ - LP- Posted 1 521 4.441 9 397 1.687 7,356 6.913 15.432 5,098 0 53.845 MTOL Other Ag-ciu Posted 37 481 441 80 1,090 466 769 314 3.658 MTOL 0 can?5623 new 96 341 272 62 633 177 267 152 2.060 No Pat 90 Day: 0 0 lon?Stoien Accomt build rim 0 0 hulid Date invalid 1.3 1 1 'V?Tnmtim pout134 hnlid Clan/Plan 1 1 Tnngeut 0 Dupitcm Rawrd 1 1 013mm 0 0 Violltial Rejects 90 325 260 59 600 139 236 146 1.855 011m Rejcaed Cloud Actor" 0 0 Na Posted 0 1 1 hsuf?ident Funk Rimmed 0 0 on." IAG Aglcies 1 1 2 Clad hsuf?ident Funk 0 1 1 0 2 Tag named 0 111-11 0 163 278 761 207 350 385 485 194 2.783 Class Minn-Itch 0 Toll and2.483 Ngltive 300 Speeding 0 ?1 ande 9.662 26.777 48.398 18.529 38.285 34.316 46.277 33.639 0 257.683 0mm 103 276 781 267 350 385 485 194 2.783 Saver mcmteZ User: L855883 VIsible pag: of I Started At 07/28/2005 13:43:08 Completed At 07/28/2005 l3:43:42 Execution Time 34 Seconds 14.1.NYEZP Exhibit 5.3.5-5. The Transaction Reconciliation Report provides the Authorities with a snapshot of the status of transactions included in every home agency transaction ?le received by ACS. ?2005 ACS, Inc. 5.3.5?21 EM To further ensure the receipt of all transactions sent by the Authorities, AC8 receives an e- mail confirmation from the Authorities stating the number of transactions sent in a given file or for a given collection date. The transaction amount from the e?mail is compared to the Transaction Reconciliation Report received count. Any discrepancy is immediately reported to the appropriate Authority and the development group for investigation. Service Center Reconciliation ACS has developed reconciliation procedures to properly account for the Authorities revenue at critical points in the receipt, payment, and deposit processes. The service center reconciliation actually begins from the point when payments are received through the mail or at the walk-in locations. Control procedures for funds handling at these locations are discussed in Proposal Section 5.3.5.1.1, Revenue Handling Requirements. The following daily reconciliations are performed at each service center location to verify financial transaction processing and establish accormtability during the physical movement of funds in order to safeguard the Authorities? revenue. 0 Cashier/Payment Processor Online Closeout? online reconciliation of physical checks money orders authorizations to the Vector system. 0 Supervisory Verification?recount and online verification of cashier payment processor daily activity. 0 Deposit Reconciliation?recount and reconciliation of cashier/ payment processor daily activity to the Vector Payment Detail Report (PDR). This reconciliation is performed at the individual level and at the store level for each Authority. Discrepancies can arise at the cashier payment processor closeout or supervisory verification level. As an example, a cashier may record a $50 check payment as a cash payment, or Vice versa, and this results in an unreconciling condition between cash/ check payments on hand and What has been recorded in Vector. In this situation, a supervisor will generate a detailed PDR report and review all transactions to identify and correct the miscoded payment. At the cashier closeout level, cash overages or shortages may occur and will be reported on the Authom'ty summary reconciliations discussed in the Bank Accormt Reconciliation section that follows. Cash overages will be deposited into the bank account of the Authority that has the majority of the transactions at the location where the overage occurs. ACS monitors cashier cash overages and shortages on a continuous basis. Disciplinary action is taken against cashiers who are short $5.00 or more during a tour of duty, and repetitive shortages, regardless of dollar anlount, will result in termination of the employee. As required by the Authorities, ACS will reimburse the Authorities for any unrecoverable variances unaccormted for after 30 days, with the exception of bank errors. In the event of a bank error, ACS will advise the Authorities and follow tlu?ough to the resolution of the issue. For cash, check and money order deposits, the reconciliation consists of verifying all cash check/ money order financial activity from the summary PDR and deposit ticket receipts to the associated credits on the daily bank statement. Any discrepancies arising out of this reconciliation are immediately researched and reported to the Authority?s bank. 5.3.5-22 ?2005 ACS, Inc. s. s. Credit Card Reconciliation After the posting of all approved credit and debit card transactions, ACS will create a settlement file that includes all approved and posted transactions. This settlement file will be transmitted to CMS by 3:00 pm. EST in order to receive next business day credit for Visa and MasterCard transactions. American Express and Discover transactions are usually credited on the second business day after settlement. CMS, as well as American Express and Discover, wire settlement funds directly into the Authorities' deposit accounts. As discussed in Proposal Section 5.3.5.1.1, Revenue Handling Requirements, ACH transactions are credited next business day to the Authorities' accounts. For credit/ debit card and ACH payments, the reconciliation is a two-step process. First, all credit/ debit card and ACH activity from the summary PDR for online payments, batch replenislunents, and credit/ debit card refunds is veri?ed to the credit card processors' payment reports to ensure agreement. Next, the processors? payment reports are veri?ed to the associated credits on the bank account statement. Because delays of up to two business days may occur between the posting date of electronic transactions in Vector and the crediting of these funds to the bank account, PDR activity for one business date may be reconciled to several bank statement dates. Separate reconciliations are prepared for MasterCard/ Visa, American Express, Discover, and ACH activity. Any discrepancies arising out of these reconciliations are immediately researched and reported to the Authority's bank and or the credit card processors for resolution. A sample reconciliation for Discover Card activity is provided in Exhibit 5.3.5-6. ?2005 ACS, Inc. 5.3.5?23 5.3.5-24 ?2005 ACS, Inc. A c? s. each credit card payment type. Exhibit 5.3.5-6. The above report shows the results of the daily, as well as reconciliation of Discover Card online and automated replenishment activity. This reconciliation format is followed for 145W s33!- 8 08. 339393 glitch.? 993 Fig $089 =5 3 wag :3 3 reg .uuh?g ("Noam .3208 reg a wawa 5.3 3 5.3 .sh?g $09093 53! .30: 00-03! . 3.3.: 0.93 ?sh?s wag .88 5.3 w! 3 wgu ?88 If? :0.~$995 wig .3308 r?g an: m. 5.08.? :3 an ?09??98 shah. ear; ?9038 0:3 3 .88 0538a am. to 9.. 08a no Sr?qg .5968 Gauss 04.3 name my 99$ 39: 3 09% o2.?uh 8 Fig 8? 8 04.3 ?5:3 Shaw O. v.83 8 9?3 3. as v.33 Ngua 00$ ~=u8 ?43 8.$0653 15 an .3638 ?._4m8 .umlouu.g nag ~80 0; Russ Sara?s-Nam ?.u.m8 _9 awe 083 ~84 8 0543 N8. 8 063 .8 ~38 a; 5.438 9808? 8 33093 u. 9% ~98 a . Mow.hImua a .8 3 #9535 uh? c.3909 3.1; giggiaggai?1555 I drum-Ital! . macaw. 5 ii itch . {13.1.3 Bank Account Reconciliation s. Bank Accounts Reconciliation In the organizational structure of the Financial Management department, reconciliation coordinators are responsible for managing the reconciliation of the activity in each Authority?s two deposit accormts. Credits to the Authorities? accormts are comprised of cash/ check deposits, electronic funds settlements, and credit advices. Debits from these accounts include credit card and ACH fees, returned check and ACH payments, credit card charge backs, and bank?initiated debits. All debit and credit activity is reconciled on a daily basis to Vector PDR reports and to bank processor source docmnentation - deposit tickets, processors? payment reports for sales, credit card fees and charge backs, and bank debit and credit advices. Discrepancies arising out of the reconciliation of bank account activity to the Vector reports or to the processor reports are immediately researched and reported to the Authorities? banks and or the credit card processors for resolution. The results of the system-to?bank reconciliations are provided to the Authorities on a weekly or basis. A reporting package containing the bank account activity reconciliations, NSF check reconciliation, and credit card and ACH fee reconciliation are prepared for each Authority. 5.3.5.2 Financial Management and Controls RFP Proposer Instructions: The Proposer shall describe all methods and procedures it will implement to assure financial control and security in all aspects of operations. ACS understands and shares the Authorities' requirements for strict security controls over all aspects of the New York CSC operation. The Authorities have made a significant investment in the Vector software, system hardware, and other processing equipment and furnishings in use in the We house the Authorities? tag inventory, whose value exceeds $10 million, and process payment transactions approaching $1.5 billion annually. We also maintain documents that contain confidential customer data. To protect these investments and data, ACS has implemented a series of security measures, system controls, and reconciliation processes throughout all operations and all locations. Additional information on control procedures can be found in Proposal Section 5.3.1.5, Quality Assurance. Physical Security and Access The initial safeguarding mechanism for assets and documents housed in the service centers are the controls over physical access to the facilities. ACS utilizes many of the following security protocols at all locations: 0 Physical locks Cipher locks Swipe cards and readers 0 Combination safes ?2005 ACS, Inc. 5.3.5?25 5m 0 Alarm systems with motion sensors 0 24-hour surveillance cameras and recorders 0 Magnetic door sensors 0 Security guards where required 0 Armored couriers for transfer of deposits to banks At all facilities, ACS and subcontractor personnel are required to wear an ACS or subcontractor employee photo identification badge when on the premises. In addition, these facilities must also must maintain and enforce the usage of a visitor log. This log must document the visitation of all non?AC8 or subcontractor personnel. All Visitor logs include the following information: visitor's name, company, person being Visited, time in, time out, and the nature of the Visit. System Security and Access Once inside the service centers, the primary safeguard over access to the Vector system and customer data is the use of system User IDs and passwords, which must be changed at pre- determined intervals. When a User ID and password are used to access the system, Vector first validates the user's ID and password against the known password combination stored on the system. Once Vector authenticates a person as a legitimate known user, Vector then assigns the user a set of read write privileges associated with that user?s role. This restriction limits Vector functionality to a ?need-to-use? and ?need-to-see? basis. The LAN administrator is responsible for assigning a user's role based on the employee?s job description. The Vector system will log the time, modifying ID, modified ID of all additions, and modifications to the password file. Regular change reports will be generated, reviewed, and retained for auditing purposes. Access to Bank Accounts/Documents ACS access to the Authorities' deposit accounts is limited to deposit capability and receipt of daily and bank statements. Even within the financial management department, only personnel in deposit, reconciliation, and managerial roles have access to the activity in these accounts. All bank statements and banking correspondence are secured in locked file cabinets or desk drawers. Documents and reports that are not needed are shredded on site. Access to the ACS refund account is limited to personnel in refund and managerial roles. Refund check stock is maintained in a locked file cabinet in a manager?s office and dual signers are required in a log book when checks are removed from the check stock for printing. Financial Controls The controls over financial processes are, perhaps, the most critical in any funds handling and accounting operation. ACS recognizes that we have a fiscal obligation to the Authorities to ensure the security of their revenues and the integrity of the financial accounting system. To meet these ends, ACS follows the following procedures at all funds handling locations: 5.3.5-26 @2005 ACS, Inc. s. s. Logs for incoming payments 0 Logs for drop box payments 0 Counterfeit bill detection measures 0 Segregation of duties between cashiers payment processors and deposit clerks Segregation of duties between deposit clerks and reconciliation coordinators As mentioned in the introduction to the Finance Tasks section, an additional audit position will be added to the QA Department with the specific purpose of auditing financial controls and transactions. ACS believes that greater focus on the testing of operational and system financial controls is necessary based on the nunrber of transactions occurring within the CSC on any given day. Employees Although not required in the RFP, all ACS and subcontractor employees undergo a criminal background and credit check, as well as a drug screening for illegal and controlled substances prior to employment. Potential employees who fail to pass any of these screenings will not be offered employment. Upon hiring by ACS, every employee must sign a non-disclosure agreement. By signing this agreement, an employee agrees not to disclose or divulge ACS or client information or material that is of a confidential nature. Any employee who is found to have disclosed or divulged confidential information will be subject to dismissal. AH ACS staff employed at the will be bonded rmder our corporate blanket?type fidelity bond insurance. This insurance coverage, which names the Authorities as loss payees, provides insurance for any fidelity bond loss incurred as a result of an ACS employee's dishonesty with regard to the Authorities? property or customer payments. The fidelity bond Will be issued in the required amount, and will be renewed on its insurance anniversary date. ACS will provide the Authorities with evidence, in the form of a standard certificate of insurance, of initial coverage and upon renewal. The security and integrity of the operation plays an integral role in ability to deliver quality customer service. The public?s confidence in the service provided is one of the determining factors of the overall success of the Authorities program. Therefore, ACS feels obligated to reiterate our commitment to keeping all of the Authorities' assets, computing systems, customer data, and financial transactions safe and secure. We will work hard to consistently ensure that physical and system access controls guard against potential theft, unauthorized use, fraud, and misuse. 5.3.5.3 Cost Allocation RFP Proposer Instructions: No speci?c response to this section is required as part of the RFP process. Instead, the selected Proposer shall be required to collect and report information to support a cost allocation methodology to be provided by the Authorities. ACS will work with the Authorities to develop the software necessary to provide the data collection and the reporting necessary to support their cost allocation methodology. We ?2005 ACS, Inc. 5.3.5?27 have developed the software and reporting required for the allocation of shared Authority costs for the New York CSC, as well as for the New Jersey program. 5.3.5.4 Audits RFP Proposer Instructions: The Proposer shall agree to conduct SAS 70 Type ll audits on an annual basis. The Proposer shall identify any other internal audits it would plan to perform if selected as Contractor. ACS understands the importance to the Authorities of Inaintaining auditable records and conducting periodic audits. We consider annual and periodic audits appropriate for any CSC operation. ACS has worked with a variety of independent and internal auditors from our various client agencies and is proud of its professional relationship maintained with them. In 2003 and 2004, ACS engaged ML Weekes Company, PC, an independent audit firm specializing in audits of government contractor operations, to conduct SAS70 Type II audits of the Tarrytown Data Center, and Rockville Transportation Technology Center. As a result of these audits, ACS has received an tmqualified opinion on the design and effectiveness of the internal controls as they relate to control objectives identified for these operations. ACS will continue to have annual SAS70 Type audits conducted to ensure continued compliance and will provide the reports of such audits to the Authorities. Our external audit firm is Price aterhouse Coopers. They perform the year-end audits of financial statements. In addition, we have assigned dedicated personnel to document, test, and evaluate the internal controls that pertain to financial statement reporting to ensure compliance with the Sarbanes-Oxley Act. Within the CSC, the Quality Assurance department performs testing of many of the internal controls and processes related to customer service, account management, and financial transactions. These reviews have resulted in the strengthening of controls and the modification of procedures in order to ensure the security of customer data, client revenues, and adherence to performance standards. For more information on the mission of the Quality Assurance department, please refer to Proposal Section 5.3.1.5, Quality Assm?ance. Upon notification to progranl management, authorized representatives of the Authorities internal audit deparmlents and external auditors will have the right to conduct audits of, and have access to, the facilities and records. This provision will be included in agreements entered into with the subcontractors contracted to perform services for the New York program. ACS will permit the Authorities or its approved designees to use mutually agreed upon audit software to monitor and evaluate system processes and controls with respect to the Authorities? business processes. ACS will work with the audit staff during the audit process and, upon completion of the audit or procedural review, Our staff will discuss the results and potential remedies to be implemented, if any, with the audit staff and with the Authorities. All requests, from both internal and independent auditors, should be directed to program management. All ACS records applicable to performance under the New York agreement will be made available for a period of six years following the expiration or early termination of the 5.3.5-28 ?2005 ACS, Inc. s. contract. The records shall include Authorities? financial documents, electronic toll transaction data, customer account information, bank reconciliations, and other correspondence and memoranda directly pertinent to performance under the contract. Our books and records will be made available to the Authorities upon advance, reasonable request for examination. ?2005 ACS, Inc. 5.3.5?29 Page left intentionally blank 5.3.5-30 ?2005 ACS. Inc. A s. EM 5.3.6 Data Processing Tasks ACS has a fully developed transaction processing, reconciliation, and reporting system for toll and non-toll processing for the New York Anthorities? nnri Plus programs. At AC8, providing electronic payment processing HIGHLIGHTS and reciprocity solutions to om? transportation clients has become one of the primary businesses in our Transportation Solutions group since 1992. We have played a critical role in the deveIOpment, operation, and success of reciprocity has evolved into an outwardly seamless network of toll authorities providing a single method of payment and the Vector system has been an integral part of this evolution. \?Ve currently offer fully compliant solutions and end?to?end reciprocity services to 13 of the 20 operating agencies in the IAG, including the four New York Authorities. AC 8 was involved in four IAG specification upgrades, and we were the first vendor to implement the upgrade to 1.51d for the processing of Pins transactions. For the New York Authorities, AC 8 will continue to offer the processing and reporting capabilities of the Vector system for both toll and non?toll transactions, and we will continue to support IAG initiatives as directed by the Authorities. 5.3.6.1 Tag Validation File Generation RFP Proposer Instructions Proposers shall con?rm that they shall generate all requrred Tag Validation ?les according to the requrrements below and the assocrated Appendices ?2005 ACS, Inc. 5.3.6-1 EM 5.3.6.2 Transaction Processing RFP Proposer Instructions Proposers 5.3.6.3 Non-Toll Transaction Processing Plus) RFP Proposer Instructions Proposers shall describe how they process nontoll transactron Includrng how they ensure that EiZPass Plus and toll transaction do not Interfere each other ?2005 Acs, Inc. EM 0 as host for facility operator Aviation for the three major New York City metropolitan airports, John F. Kennedy International, LaGuardia, and Newark? Liberty International, for airport parking 0 NYSTA as host for facility operator Albany International Airport for airport parking 0 New Jersey (NJTA, NJHA, SITA) 0 Delaware River Port Authority 0 Maryland Transportation Authority 0 Delaware River and Bay Authority 0 Delaware River Ioint Toll Bridge Commission 0 Delaware Department of Transportation AC 8 customer service representatives have been well trained regarding the business rules of Plus and are able to handle all customer service issues arisin from these transactions. ?5.3.6-4 ?2005 ACS, Inc. 5.3.6.4 Intra-CSC Reciprocity (Tolls and Non-Tolls) RFP Proposer Instructions. Proposers shall describe how they w1 process Intra?CSC recnprocny transactions In 1993, AC processed the first transaction for NYSTA and managed their program out of the Spring Valley, New York CSC. In 1995, we processed the first transaction for TBTA and managed their program out of the Staten Island, New York, SC . This was the year that the initial seeds of Intra?CSC reciprocity were sown between NYSTA and TBTA. Now, 10 years later, ACS is processing Intra?C SC transactions for the four New York Authorities, managing the Authorities? programs out of the Staten Island and Spring Valley SC 5, and providing their customers with eight walk?in customer sewice centers. Without question, the NYC SC has certainly grown since that initial transaction in 1993, and AC 8 was there from the beginning. 5. ?2005 Acs, Inc. 5.3.6-5 5.3.6.5 Inter-CSC Reciprocity (Tolls and Non-Tolls) RFP Proposer Instructions, Proposer shall clearly Identify any data processing requirements assocrated inter?CSC recrprocal transactions as the volume of there transactions It expected to continue to increase as market share grows E?ZPass Pit/ff: expands, and agencres Implement E?ZPass Proposers shall respond to each Individual subsection below. what measures and Will be Implemented to accommodate expected growth In transaction volumes over the term of the contract AC performed this role during the start?ups for the hr'lassachusetts Turnpike Authority, the New Jersey Regional Consortium, the Maine Tru?npike Authority, and, most recently, the Illinois State Toll Highway Authority. 536-6 @2005 ACS, Inc. S. 5m Evolution of the IAG 5. ?2005 Acs, Inc. 5.3.6.5.1 IAG File Specifications 5.3.6.5.2 Exchange Tag Status Files ?2005 ACS, Inc. am We; Exchange and Reconciliation of Transaction and Correction Files 5.3.6.5.3 5.3.6.5.4 Acknowledgement Files 5.3.6.5.5 File Processing ?2005 Acs, Inc. A 5.3.6.5.6 Exchange of Other Files 5.3.6.5.7 IAG Report Specifications ?2005 ACS, Inc. 5. ?2005 Acs, Inc. 5.3.6.5.8 Settlement Process ?2005 ACS, Inc. 5. ?2005 Acs, Inc. EM Accommodations for Fees and Discount Plans Between 5.3.6.5.9 Agencies ACS understands that the Authorities cm?rentlv do not offer discount or conunuter )lans offered bV anV awav a enCV. Required Activities of Operator with Respect to Reciprocity 5.3.6.5.10 ?2005 ACS, Inc. 5m 5.3.6.6 Transaction Reconciliation (Toll and Non-Tolls) RFP Proposer Instructrons' Proposels shall describe what processes they Implement In order to fully reconcrle transactions accordmg to each Authonty's unique requrrements ?2005 Acs, Inc. EM 5.3.6.7 Toll Evasion Violations Processing ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5.3.6.7.1 Image Review Processing 5. ?2005 Acs, Inc. EM Image Matching ?2005 ACS, Inc. Image Review @2005 ACS, Inc. 5.3.6-23 ?2005 ACS, Inc. 5m 5.3.6.7.2 Department of Motor Vehicles (DMV) Processing 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. 5.3.6.7.3 Notices and Tracking of Violations ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. AC 5. ?2005 Acs, Inc. 5.3.6-33 Violation Inquiry Screen FAQ CONTACT US KEEPING THE BAY AREA MOVING I MY ACCOUNT HON moose I ?cums VIOLATIONS 8 muons mm ?0 Eb VIOLATIONS Violation Inquiry Did you receive a violation on one 01 the eight Bay Area toll bridges? You can resolve the violation mine by paying the balance due using a credit card. or you can submit a dispute. To pay you violdion by check. please lollow the instructions described on the violation notice or visit the FasTrakm Customer Service Center. Required fields are marked ?n bold. Violation Number License Plate License State CA VeriSign Secured vtawv . Note: If you are a first-time toll violator, you can have your toll evasion penalty dismissed by opening a FasTrak'" account. Click Here. Bay Area FasTrak'? Accoud Holders - If you are an accoud holder in good standng with Bay Area FasTrakm at the time of this violation, you received this notice because the vehicle was not listed on you account. Please proceed to submi a dispute along with your customer information. Conditioq? of Use Privacy 23 Security 2005 FasTrak'" 169.NYEZP Exhibit 5. 3. 6-8. Violation Inquiry Screen. 5.3.6-34 ?2005 ACS. Inc. s. s. Violation Inquiry Results Screen "0'3 FAQ CONTACT US a. KEEPING THE BAY AREA MOVING MY Am ION UP ABOUT m. I Tm FACILITIES VIOLATIONS I 1mm mun I050 El? VIOLATIONS Violation Inquiry Violation Inquil Results IJQGOI utmt IQ mm "?lled": Vbl?lbl "le Dvhwauhd cam 01 dip-t Io ubrm..x.. to home cledmmu olden. elm option: Pr,- suuM ?vlolalonn OI [noun :mcua 'vlolann n.1?opam vbmou nu plate DID-1 1k Imucmu GSCIDQO on Io wlomou mu 0! v3 rm Fme utm?l v: 5342!": noun; DO saxmnpamn 'Ia? CIU. mum manna all"! cutmu "Mimi. 0 all or. Irlfn: mat i on ?vIolallon No. Llcomo Plato a 11m sum: Foo Penalty Amt Duo [7 (26-Jan-05 052819 005 PARTIALLY MID $303 $130 33.00 [7 IS 4? OVEN $3.03 95m SID $20.00 [7 074005 C-DEN 9130 9500 son $28.00 [7 TIJTOTCIIHET-S own-05 5135? I305 OVEN '2 Sm $30.00 [7 Soloct Al Cpon violanon I Total Em: $33.00 iwzvlatmn Ophon: P011110 Vlolalon Tops/m IN mama) ml acudlcaldJelctM cleans-(u) anaemia-1 mom Amolltabctubpar. moo :1an 1m Vlolalon You cat (1pm avbmol Incl any me Ill It Plan :9 mm mm ctedholu) am aaclu [Input sokcbd ?vlolallom. No.1 alt In!? "mm? annuals-nuances Nd VDLIUI dipltt. Fuml'uncount Holden Pasha.? 'awomloum name ellgb! 0 mole abllubmon onllu. not have a Sauna pm pu Nmbel. adcuconlnuo. Account nun Dor Pm I I I It.? stat-mm -: ant-uh Falea ?oz-amt 170.NYEZP Exhibit 5.3. 6-9. Violation Inquiry Results Screen. ?2005 ACS, Inc. 5.3.6?35 Violation Detail Screen Hell FAQ . CONTACTUS KEEPING THE BAY AREA MOVING MY ACCOUNT HON I, ABOUT amass TOLL VIOLATIONS Fm sum ?0 Bo VIOLATIONS Violation Inquiry Violation Detail T0546577520 Vehicle Owner Information The following vehicle owner information was returned by the Department of Motor Vehicles. SAINT HELENA, CA 94574- Vehicle Owner Address Violation Information License Plate Date Time Facility Lane Status Amount - 01/080035 06:28.49 668 D2 PARTIALLY PAID Fee $.03 of License Plate Penalty $.03 Total Due $3.00 Back to Violation List Conditions oste I Privacy Security I (132' 2005 FasTlakT? 171.NYEZP Exhibit 5.3. 6-10. Violation Detail Screen. Users have the ability to pay all unpaid violations by selecting ?select all Violations.? This dynamically adds up the balance due and lets the user pay by credit card. Upon successful payment, a confirmation page is displayed and the same information is sent to the e?mail on file (see Exhibit 5.3.6-36 ?2005 ACS, Inc. EM Violation Payment Screen FAQ CONTACT US A KEEPING THE BAY AREA MOVING MY ACCOUNT SIGN UP ABOUT FASTRAK BRIDGES A TOLL FACILITIES vrou?nous FORMS 6 INSTRUCTIONS RELATED INFO {El-0 VIOLATIONS Violation Payment Enter Information. Required fields are marked I bold. Enter your credit card information and click Continue to verify your violation payment Card Type VISA Number Exp Date I Month I "fear ?03?"th Hot-t do I ?nd the Security Code? First Name MI. Last Name Cardholder Billing I Address Addregs Line 2 City. State 021. 3 55555 - 4444 Zip Email Address II ondttiort-E. ofU-se F'H'v'ali': EL. @2005 FaskaT? @2005 ACS, Inc. 5.3.6-37 AC [5.3.6-38 ?2005 ACS, Inc. EM Dispute Violation Screen A surm- KEEPING THE BAY AREA MOWNG MV arm U0 ABOUT FASTRM 0 Ton ?Cum?! immucnw MATEO Nil) 4910 VIOLATIONS Dispute Violation Dispute Your Violation Violation Information The ionowmg toll are being imputed. Violation No. License Plate Date 8. Time Facility Amt Due T054667 620 01080005 49 066 $3.00 07/07f2005 11'16 43 CAR $28.00 07079005 10:19 07 BAY $28.00 0710912005 16:43 S4 005 $30.00 you are disputing the because the vehicle was stolen, Ieasedhented. or sold imle t'ansterredi, ic-Iiow the instructions on the back of the violation notice and prom-Se a Signed Affidavit 0t Non-Liability. The ViolatiodsJ cannot be disputed oniine. I: you are disputing the Vi-z-Ietioru?s) fc-t any othei reason. ptovicte the ntormation below and click Continue. Your dispute be reViewed tor appropr ate follow-up action. It you are disputing multple Violations ditterent circumstances and dispute reasons. you must eubmrt separate Violation disputes. Required fields are Marked in bold. Reason for Dispute Please provide a complete explanation why you ate disputing the Violation. Your Contact Information First Name In! I. last Name um l? i? phone i_ . i? [Elm?non] 173.NYEZP Exhibit 5.3.6-12. Dispute Violation Screen. ?5 ?2005 ACS. Inc. 5.3.6-39 5.3.6.7.4 Collection Agency Interface ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5.3.6.8 Class Mismatch Processing RFP Proposer Instructions Proposers shall describe how they handle processing of vehicle mismatches Proposers are advrsed that only TBTA and PANYNJ currently requrre vehrcle classr?catlon mismatch but that NYSTA also anticipates dorng class mismatch during the term of the contract. In Proposers are advrsed that class mismatch he done selectively as directed by one or more of the Authorities Therefore, the Contractor must have the to handle class mismatch but that capability be utilized only as and when directed by one or more of the Authorities ?2005 Acs, Inc. 5.3.6.8.1 Mismatch Processing Rules ?2005 ACS, Inc. 5. ?2005 Acs, Inc. EM 5.3.6.8.2 Class Mismatch Processing Steps ?2005 ACS, Inc. 5.3.6.9 Infraction Processing 5.3.6.9,1 Speed Infraction/Lane Speed Enforcement Speed enforcement is used to maintain safe conditions in the plaza lanes for motorists and Authority employees. Each Authority dictates the speed threshold that must be surpassed in order to trigger the speed Violation. AC8 provides a speed Violation noticing system, which allows for variable speed thresholds by plaza, lane and account type. eed Functionalit Overview @2005 ACS, Inc. 5.3.6-47 A EM Speed Infraction Business Rules ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. 5.3.6.9.2 Use of Lost/Stolen/lnvalid Tag M?hen a holder travels on a TBTA gated facility with an invalid tag, the barrier gates do not raise. An invalid tag status is determined by the lane when tag is either lost or stolen or the account has a negative balance. These tags are retained and the motorist is required to pay the toll amount in cash. ?2005 ACS, Inc. 5.3.6.9.3 Use of Unmounted Tag 5. ?2005 Acs, Inc. 5.3.6.10 Bad Debt Processing The Vector system supports reportingfor botli account collections and violation collections. The reporting is designed to truck interfhce files between Vector and the collection agency. All collection into Vector are reported reports and reconciled. ?2005 ACS, Inc. @2005 ACS, Inc. 5.3.6-55 A Page left intentionally blank 5.3.6-56 ?2005 ACS. Inc. A s. EM 5.3.7 Reporting Tasks RFP Proposer Instructions Proposers shall provrde prototype reports as part of their proposal These prototype reports shall include all data items listed (in bullet format) in Sections 2 3 7 1 through 2 3 7,9 For the convenience of the Proposers, reporting requirements are grouped primarily by section of the Statement of Work Proposers shall describe how the Of?ine Database would work and how often it would be refreshed In addition Proposers shall prOVide a preliminary data dictionary for the proposed Offline Database Proposers are advrsed that this section of the Statement of Work addresses reporting needs of the Authorities. It is assumed that the Contractor may use additional reports for its own purposes to monitor ongorng operations of the CSC and that the Authorities Will have access to any such internal reports upon request To date, ACS has developed over 150 Vector reports. These reports provide data ranging from host system activity to transaction processing, andfrom CSCfinancial activity to IAG settlement. Many reports have been, and will continue to be, specially tailored to meet the Specific needs of tlie Authorities. Our substantial inventonr of proven Vector and Actuate reports is the direct result of years of collaboration With the Authorities as well as other industr}r partners. This has yielded a set of reports that are reliable and have stood the test of time. AC 8? breadth of ETC experience provides a direct benefit to the Authorities in functionally mature reports. Reporting for a large project is never an easy task. Data is derived from multiple sources and requires srmunarization, compilation, and easv?to?understand exhibition. V'Vith New York the challenge is even greater given the multi-Authoritv structure. Reports must ?@2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-1 7? Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-5 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-9 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-11 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Page left intentionally blank 5.3.7-14 Proprietary and Con?dential Information ?2005 ACS. Inc. A s. 5.3.7.1 Tag Handling/Distribution 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-18 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-20 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-21 5.3.7-22 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-23 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-25 5.3.7-26 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information @2005 ACS, Inc. AC 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-29 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-31 5.3.7-32 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-34 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-36 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-37 5.3.7-38 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Page left intentionally blank 5.3.7-40 Proprietary and Con?dential lnfonnation ?2005 ACS. Inc. A s. 5.3.7.2 Customer Service 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5' 5.3744 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-46 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5' 5.3748 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-51 5.3.7-52 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-53 5.3.7-54 Proprietary and Con?dential Information @2005 ACS, Inc. 5.3.7.3 Customer Account Management ACS will provide all of the customer account management functions to support the New York program reporting requirements. Our robust and proven reporting system will be used to track all accormt management activities occurring Within the program. All account management activity statistics that are provided in reports are categorized by location of Where the activity took place. In addition to the reports provided in this section, we will work with the Authorities, during the life of the contract to provide an}" additional enhancements required to provide the best possible reporting of account management activities. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-55 I Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-57 - C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-59 - C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-63 - C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-65 - C?s. V5.3.7-66 Proprietary and Con?dential Information @2005 ACS, Inc. S. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-67 - C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-69 - C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information C?s. V5.3.7-72 Proprietary and Con?dential Information @2005 ACS, Inc. S. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-73 - C?s. 5.3.7-74 Proprietary and Con?dential Information @2005 ACS, Inc. s. @2005 ACS, Inc. Proprietary and Con?dential Information C?s. Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information C?s. V5.3.7-78 Proprietary and Con?dential Information @2005 ACS, Inc. S. 5.3.7.4 Violation, Class Mismatch, and Infractions @2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information @2005 ACS, Inc. A @2005 ACS, Inc. Proprietary and Con?dential Information C?s. 5.3.7-82 Proprietary and Con?dential Information @2005 ACS, Inc. . A S. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-83. C?s. Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-85. C?s. Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information C?s. 5.3.7-88 Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-89. C?s. Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-91 . C?s. Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information C?s. Proprietary and Con?dential Information @2005 ACS, Inc. . A @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-95. C?s. 5.3.7-96 Proprietary and Con?dential Information @2005 ACS, Inc. . A S. @2005 ACS, Inc. Proprietary and Con?dential Information C?s. Proprietary and Con?dential Information @2005 ACS, Inc. A @2005 ACS, Inc. Proprietary and Con?dential Information C?s. 5.3.7-100 Proprietary and Con?dential Information @2005 ACS, Inc. . A S. 5.3.7.5 System Operations 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-101 5.3.7-102 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-103 5.3.7-104 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-105 5.3.7-106 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-107 Page left intentionally blank 5.3.7-108 Proprietary and Con?dential Information ?2005 ACS. Inc. A s. EM 5.3.7.6 Revenue Management and Reconciliation 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-109 5.3.7-110 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-111 5.3.7-112 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-113 5.3.7-114 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-115 5.3.7-116 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-117 5.3.7-118 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-119 5.3.7-120 Proprietary and Con?dential Information ?2005 ACS, Inc. 5.3.7.7 Management Summary 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-121 5.3.7-122 Proprietary and Con?dential Information @2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-123 5.3.7-124 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-125 5.3.7-126 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-127 5.3.7-128 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-129 5.3.7-130 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-131 5.3.7-132 Proprietary and Con?dential ?2005 ACS, Inc. @2005 ACS, Inc. Proprietary and Con?dential 5.3.7-133 5.3.7-134 Proprietary and Con?dential @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential 5.3.7-135 5.3.7-136 Proprietary and Con?dential @2005 ACS, Inc. EM 5.3.7.8 Performance Standards A 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-137 5.3.7-138 Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-139 5.3.7-140 Proprietary and Con?dential Information ?2005 ACS, Inc. EM 5.3.7.9 Invoicing and Cost Sharing A 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-141 5.3.7-142 Proprietary and Con?dential Information @2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.3.7-143 Page left intentionally blank 5.3.7-144 Proprietary and Con?dential Information ?2005 ACS. Inc. A s. s. 5.3.1 Program Administration The transfer of responsibility from the transition team to the ongoing operations management team will be seamless. Having a separate transition team will allow program management from the current operation to the new program to be 1minterrupted. As the incumbent contractor, ACS understands the need for smooth program operation and will not impact the current operation during the transition. We will form a transition teanl to ensure that normal operations will not be impacted. The transition manager, Susan Davis, will be the single point?of?contact between the Authorities, ACS, and the ongoing program management team. Ms. Davis is a leader in the ETC industry, has experience in multiple successful implementations, and specifically has previous progran1 management and implementation experience. Our team will be comprised of other ACS ETC professionals as discussed in Proposal Section 5.1, Phase 1 Transition Preparation, and will be complimented by the knowledge and experience of the CSC operations management team. The transition team will meet directly with the Authorities and will share any future policy changes, or system upgrades planned with the ongoing operations team. Frequent communication with the ongoing operations management team will guarantee that they will be fully aware of all planned upgrades, and ready for operations following completion of operational acceptance. ACS views this cutover as more of an upgrade to existing systems and a refinement of Authority policies as opposed to a full transition. We will not have to start from the ground up. Technology will be refreshed and the main processing center will be relocated within Staten Island. Our existing staff members are already intimately familiar with existing functionality in support of all four Authorities and with the enhancement of our proposed system upgrades, ACS program employees will easily be able to adapt. The upgrades will be implemented by the transition team and migrated smoothly over into the hands of the ongoing operations management team and front line staff members in a very structured and organized manner, with no disruptions to the existing program. The transition from implementation to operations will be transparent to customers and to the authorities. The ongoing operations management team will include members of the existing management team with some additions, providing a more organized management structure in accordance with the program size and offer an even stronger support team as compared to today?s environment. ?2005 ACS, Inc. 5.3.1-1 5.3.1.1 Program Management RFP Proposer Instructions: The Proposer shall describe how it would manage all activities and task areas required for ongoing operations. This description shall include the same elements required in the Contractor's Program Management Plan. Program Management ACS has designated Helen Barton as the single point of contact for ongoing Program Management and she will continue to work directly with each Authority contact. Ms. Barton will serve as the Program Manager for ongoing operations. With over 18 years of management, customer service and operations experience, the last eight years of her career has been dedicated to the ETC environment, supporting multiple program start ups, ongoing operations and the introduction of new functionality to new or existing programs. Ms. Barton has a strong backgrormd in people management as she currently oversees more than 600 staff members in support of the New York program. She is very familiar with all of the Authorities direct contacts and their team members and understands all program needs. Ms. Barton will not only serve as liaison between ACS and the Authorities, but will also provide program management support and subcontractor oversight. ACS will partner with PRWT Services, Inc. for image review, tag distribution and tag inventory processing; Superior Staffing Services, Inc. for supplying temporary help to assist with recruiting, hiring and supplemental staffing needs; and ADM Global Doc1mrent Solutions (GDS), formerly ADM, for print and mail functions in support of the program. PRINT and Superior will also be used in effort for AC5 to meet goals for the program On today?s progranr, while only NYSTA and TBTA have a goal, ACS works with these subcontractors to achieve these goals for all three authorities, including To date, ACS lras achieved over 8 percent of the 10 percent MBE goal and over 4.5 percent of the 5 percent BE goal. PRWT is an MBE provider and Superior Staffing Services, Inc. is a WBE provider. In today's New York CSC environment, all of these subcontractors are successfully used. Executive Oversight Committee While the Authorities have always had access to Senior Management team, an Executive Oversight Committee will be formed to ensru?e meetings are proactively held. This envirormrerrt will provide a formalized process to create a fortun to focus on the futru?e, and how to best serve the Authorities ongoing needs. This committee will meet with the Senior Authority staff members to solicit feedback and keep the Authorities abreast of on- going operations and issues. Due to the nature of our business, in general, we often only meet for problem resolution meetings. We hope to change this current practice by providing unfettered access to the ACS Executive Oversight Committee and that our team will proactively serve the Authorities better in the future. This team will be comprised of the following ACS senior managers: 5.3.1-2 ?2005 ACS, Inc. 0 Michael Huerta?Senior Vice President, Managing Director, Transportation Solutions 0 Jack Henneman Vice President, Transportation Services Division Director Rich Bastan Oper ations, T1 anspor tation Solutions Customer Service Improvements Committee ACS is committed to continuously identify innovative ways to unprove our customer service center operations company wide. Through the formation of the Customer Service Improvement Committee, ACS will make recommendations impacting all programs and task areas supporting ETC programs. Proposed improvements will be prioritized and presented to ACS Senior Management for evaluation and necessary ftmding for implementation. This committee will meet quarterly and will include: 0 Helen Barton ?Program Manager, New York 0 Karen Caruso?Previous New York Program Manager for six years and current Regional Director for the Bay Area Toll Authority 0 Susan Davis?Previous New York Program Manager for four years and current ETC Transition Manager ?Previous New York Operations Manager for eight years and current Assistant Director of Operations for New Jersey Natesh Manikoth? Director, Technology Solutions I ?Vice President, ETC Programs 0 Arun Patel?Previous New York Senior Reciprocity Analyst for three years and current Assistant Finance Manager for New Jersey This formalized environment will invite best practices from other programs to be introduced in similar operations. For example, if Karen Caruso implements correspondence worktlow processes on the BATA program, she can raise the process and share the results with the committee to determine feasibility in applying the best practice to all other progranls. ACS welcomes Authority participation as their in?depth progranl knowledge is invaluable to forming improved processes or changes in current business practices. Description of the Management Organization lA/e will provide a strong management team with more than 100 years of New York specific experience. The program management team will consist of the Program Manager and nine direct reports, including the following managers: Finance, Information ?2005 ACS, Inc. 5.3.1-3 Technology, Quality Assurance (QA), Violations, Customer Service, Tag Handling, and Human Resources; a Business Analyst, and an Administrative Assistant. Tomorrow's organization will look different than today?s program management team. All current managers contributing to today's successful program will be on the future team, along with some additions to further strengthen the already experienced group. Three new management positions will be added to the current organizational structure. These new positions include an Information Technology Manager to better coordinate all IT related functions; a Customer Service Manager to help better integrate front and back office functions; and a Production Control Manager, to continuously monitor the health of the production environment processes and database. In addition to these three new positions, there will be seven existing positions that will be modified to bring greater accountability and improved customer service. These positions include modifications to the existing System Design Manager, LAN Administrator, Finance Manager, Violations Manager, Operations Manager, Walk-in Assistant Manager, and Tag functions. Exhibit 5.3.1?1 shows the program management organization by function. 5.3.1-4 ?2005 ACS, Inc. s. 5. Program Management Mess Anatyst ?32:33? "Man Rnlnec Huum Resource Wm Mamger Anne ?nttaione Ing . Hanks Systems Design Networks Call Center Operations Wak in Center Manager Manager Manager Man or Manager Mana Brian Moore Michelle Turchio Recruiting Denise Cantos 003mm Exhibit 5.3.1-1. The organization chart re?ects the new reporting structure for program administration on the new New York contract. A discussion of this new structure follows. Information Technology (IT) Management When combining four Authorities? business rules and functionality, critical batch process and communication infrastructure in support of the program, it only makes sense to have an Information Technology Manager on the team. ACS will recruit for this position to find an experienced technology manager to provide enhanced support to the existing management structure, resulting in expedited product delivery, dedicated oversight of a more streamlined networks group, and improved and software development support. The IT manager will report directly to Ms. Barton, Program Manager, and will have three direct reports, including a System Design Manager, a Networks Manager and a Production Control Manager. ?2005 ACS, Inc. 5.3.1-5 Reporting directly to the IT manager, Brian Moore will continue serving as the System Design Manager. Mr. Moore has been in this role for over four years on the existing program and has an intimate understanding of all the New York complex business rules. V'Vorking directly with all foru? Authority project managers and their support teams, he has established a bond based on trust, integrity and knowledge base. Whether a request for new functionality, informational queries or investigation on production issues, Mr. Moore has always been a resource providing all of the Authorities answers and explanations to their inquiries. He will continue to operate in this manner on the new program, create system design specifications, and comintmicate all system changes to oru? Development Support Staff in lV'Iaryland. Mr. Moore will manage the change order process and support the authorities with any new requests, query needs and Actuate report fimctions. In addition, he will directly manage an IT Analyst, responsible for managing the Actuate reporting module and three supporting this a System Design Analyst; a Systems Test Administrator; and a new Products Implementation Analyst. The Products Implementation Analyst will compliment production support, be involved with implementation of new system functionality and work closely with the development team to implement product enhancements to improve operating efficiencies. In an effort to provide a more streamlined communications group, lVIichelle Tiu?chio's Ctu?rent role, LAN Administrator, will be modified to become the Networks Manager for the new program. This position will report directly to the Information Technology Manager. Serving in her cm?rent LAN administrator role, Ms. Tiu?chio's has been part of the New York management team for over eight years. She will continue to oversee the LAN environment, and will take on several new responsibilities, including IVAN, Voice, and Data networks. She will directly manage and be supported by two Network Customer Service Management The customer service provided to useis must always result in a positive experience for the customer whether the experience stems from Web, VRS, correspondence in pe1son or over the phone contacts. Regardless of the method which the customer chooses to interact with the Service Center, all responses ACS provides to the public must be consistent and represent a positive image for all foru? Authorities at all times. To ensure consistency in business rules, application of processes, and program knowledge, ACS will add new resom?ces in an effort to directly manage, consolidate and make more efficient the customer sewices group. A new manager will be appointed as Customer Service Manager, directly responsible for oversight of the Call Center, Operations Department, and all alk-in Centers. The Customer Service Manager will directly report to Ms. Barton, Program Manager, and provide flequent updates regarding all key areas of customer service to her. The Customer Service Manager will also conduct frequent client meetings to report customer service status and represent Ms. Barton whenever necessary. Creating this position will create a centralized, one?stop management position that is solely focused on providing superior customer service. ACS will recruit internally and externally to fill this senior position. 5.3.1-6 ?2005 ACS, Inc. EM Recently during the 18 months on the program, ACS created a new position in an effort to separately manage the Call Center Division due to the shear size of the department and nanber of incomin calls it supports. We recruited and hired a Call Center Manager, to accomplish this goal. He came to AC with over 25 years of relevant Call Center Management experience. - has brought the de )artinent to a new level and has )roven his abilities by recently receiving the - will continue to serve in the Call Center Manager position during the new contract and will continue to reach the goals of being an industiy certified call center. will report directly to the Customer Service Manager. On the current program, Denise Cantos, Operations Manager, has direct oversight of General and Business Correspondence, Tag Swap, VValk?in Centers, and indirect oversight of functions, which include tag inventory and distribution, and lockbox In an effort to add additional oversight to key program areas and streamline operations, ACS will modify this role as the Authorities know it to be today. Ms. Cantos Will remain the Operations Manager on the new program, but Will now be responsible for oversight of a consolidated comespondence department, now including tag swap, violations, general, and business correspondence, as well as the lockbox department. Ms. Cantos has been working in support of the New York contract for over 10 years in different capacities. She is very knowledgeable in all program aspects, Authority business rules and processes. An assistant manager and a department analyst will support Ms. Cantos in her new functional role as Operations Manager. the current MBE subcontractor for image review, lockbox and tag inventory and distribution, will support her with staffing for lockbox functions. To further strengthen the Customer Services Group, ACS will elevate the existing Assistant Operations Manager, \v'Valk?in Center, to VValk?in Center Manager. In response to our recent 1mforttmate experience with regard to fraudulent tag usage, ACS approached the Authorities requesting to elevate the Senior Supervisor of VValk-in Center position to Assistant Operations Manager, \?Valk?in Center. Due to the volume of cash, check, and credit card ?2005 ACS, Inc. 5.3.1-7 processing these stores currently do, with the added responsibilities of issuing customers iuiiquely progranuned tags, and the nunlber of pe0ple requin'ng oversight, these money handling enviromnents require strict oversight, application of consistent processes and procediu?es, close tracking of assets, including Authom'ty revenue and tags, and tight controls with measurable audit trails. Therefore, in the new contract, ACS will elevate even further the alk?in position to a manager level. 7110 currently serves as the Assistant Operations Manager of the Spring Valley location, will be promoted to VValk?in Center Manager. She will report directly to the Customer Services Manager, and oversee all eight walk in center sites and employees. Her cun?ent responsibilities include oversight of all Spring Valley employees and fimctions. Under the new contract, the Spring Valley service center functions will be rolled into the main )rocessing center functions, making that site solely a walk in center. will easily modify her current role from site manager to that which will become a much more visible and strong role, requiring frequent visits to all eight locations, measuring productivity, testing controls, and streamlining and implementing processes and procedures. Ms. V'Volfe Reid brings more than six years of relevant ETC expen?ence. She joined the New York teanl in the spring of 2005, promoted from the New Jersey program, where she selved in several different capacities. Prior to Ms. l-?Volfe Reid joining ACS, she worked on the New Jersey program prior to ACS taking over the contract. Finance Management With over eight years of relevant ETC experience and 13 years of financial Operations experience, Anne Marie Bressler, New York Finance Manager, has been acting in this capacity for nearly five years. Ms. Bressler works very closely with the Authorities and has implemented processes and procediu?es in an effort to streamline the invoice submission process for our cost plus program. In addition, she and her team are currently responsible for payroll processing and billing for more than 600 employees; budget and fiscal responsibilities for a $50 million annual sales contract; bank reconciliation for each agency; reciprocity between 20 IAG members; and transaction reconciliation tasks surmounting to reconciling an average of 50 million ETC transactions per month. She has worked directly with all Authority project managers and their supporting operations and finance staff and has gained a tremendous reputation, demonstrated by the many years of relationship building and by providing critical financial and operational program information to the Authorities. Ms. Bressler has always provided the Authorities with progressive recommendations in an effort to save money, time, or changes to existing policies. She has been a valuable asset to both ACS and the Authon?ties and will therefore retain her Finance Manager duties in the new structure. Ms. Bressler will continue to report directly to Ms. Barton, Progranl Manager. Her tasks will change as we adapt to the new pricing structure and move away from the cost plus environment. The invoice preparation and billing functions under the new contract will be rolled into om? corporate billing department, which will allow Ms. Bressler to focus on the 5.3.1-8 ?2005 ACS, Inc. financial functions specific to the New York program. Front-line staff will continue to handle all other critical financial operations functions as they do now. She will be supported by two Assistant Finance Managers. Violations Management In today's operation, the Violations Manager has direct oversight of the Violations correspondence imit, all systems processes related to Violation enforcement, and indirect oversight of the PRWT image review staff supporting toll evasion and class misnlatch processing. The consolidation of all correspondence functions imder one manager will allow the Violations Manager to focus more time on managing all system processes related to toll evasion, class mismatch and speed enforcement and providing more in?depth analysis of trends related to these processes. As the Authorities are aware, this position has recently become vacant and ACS is currently recruiting to fill it. We anticipate that the new Violations Manager will then transition to the new contract, as will all other managers. Tag Handling Management On the cm?rent contract, all tag handling functions, including tag inventory, distribution, return tags, and swap, are combined within the operations group. With over eight million tags issued since New York program inception, ACS believes that this group demands its own Tag Handling Manager. Therefore, on the new contract, we will add a Tag Handling Manager, that will report directly to the Program Manager. It makes sense to combine all tag handling functions under the direction of one manager. Tag reconciliation is just as inlportant as revenue and transaction reconciliation, since each tag has a significant dollar value associated with it. l/Villiam Hanks, current Tag Swap Assistant Manager, has in-depth knowledge of the tag handling processes cmrently supported by ACS and PRWT staff. He has been with ACS supporting the program for over eight years and has recently been in his current position as Assistant Operations Manager, Tag Swap, for over two years. Combining like functions with like fimctions helps achieve efficiencies, cost savings and increased productivity. During the time Mr. Hanks has been in his current role, he has brought tag room, tag swap, tag inventory and distribution functions under one roof. This has helped to leverage employee forces in an effort to meet program objectives. He continues to streamline processes that ultimately have achieved operational efficiencies and cost savings for the Authorities. Mr. Hanks has successfully managed the tag swap programs for all three Authorities and recently implemented the business tag swap functionality. As new enhancements to the programs are released, he and his staff continue to analyze functions and processes in an effort to achieve streamlined processes. As challenging issues arise, as did with the introduction of the business tag swap program, Mr. Hanks continues to step up to the plate ?2005 ACS, Inc. 5.3.1-9 by offering suggestions to the Authorities for increased customer service or changes to the current process or policy. PRWT has managed the tag inventory and distribution functions on the program since inception of New York. Within the ast year in particular, lVIr. Hanks and the program manager for the PRWT group, i, joined forces in an effort to close down outstanding inventory issues, support the Authority initiatives for the tag disposal program, distribute tags for new and existing account holders, and provide support for the retail tags sales program. ACS and will continue to work together under the new contract. Mr. Hanks will be promoted to Tag Handling Manager and oversee the tag inventory, distribution, retiu?n tag, and swap departments. Quality Assurance Management ACS has developed a Quality Assm?ance (QA) plan addressing all departments and functions which encompass the entire New York program. This plan was created by Gary Lescota, current QA Manager, and his QA team, which is comprised of two department The docmnent is a living document and, as each new piece of fimctionality is implemented or existing fimctionality is changed, the QA group updates the plan to reflect said changes to ensure all program aspects are being monitored. Mr. Lescota and his team have been supporting the activities in the QA Plan, annual SAS7O certifications, and many internal and external audits that both the Authorities and external auditors conducted frequently throughout the year. In fiscal year 2005 alone, the QA group performed over 550 audits and reviews of program processes and supported the Authorities' audit departments in over 51 audit initiatives. On the new contract, ACS will modify the existing Quality Assurance Plan and increase the level of testing needed across the entire program in accordance with 1809000 Standards. ACS will augment the existing staffing by adding three additional to strengthen the groups experience and provide additional coverage in high risk areas. The team will include one Performance Monitoring Analyst who will track program status, measuring actual performance against RFP requirements; one QA Financial Analyst, who will test data processes supporting transaction and revenue reconciliation reporting; and three QA who will audit operationally processes and reports. ACS will recruit internally and externally for the QA Financial Analyst and two additional QA Proposal Section 5.3.1.5, Quality Assurance, will detail our methodology in managing the QA program. Mr. Lescota will continue to manage the QA group on the new contract. Human Resources Management Recently, ACS received approval from the Authorities to hire an elevated Human Resource (HR) Manager to lead the local HR adJninistrative staff, as well as the facilities and training 5.3.1-10 ?2005 ACS, Inc. S. depar?tnrents. While ACS recruits for this position, since program inception, Ms. Anna Frattalone, current HR Associate Manager for the New York contract, serves in this capacity. Ms. Frattalone has been supporting HR functions for over 10 years on this program for all eight locations. She and her staff currently support more than 600 employees; perform new hire functions including recruiting, background and drug testing, and hiring activities; conducts employee investigations and local or Ethics Office lodged complaints; and coordinates the annual Performance Appraisal process and Ethics Training Compliance. She directly supports Ms. Barton, Program Manager, and all department managers and Superior Staffing Services, Inc. with regard to any employee issues. In addition, Ms. Fr?attalone ensures that fairness and consistency is applied to all employee issues and that compliance with EEOC and ACS policies and procedru?es is achieved. Ms. Frattalone will continue to operate as HR Associate Manager. In addition, ACS is recruiting for a candidate to oversee all HR, training, and facility activities, and Ms. Frattalone will report directly to this individual. This manager will support over 600 employees, eight locations, and be responsible for training, hiring, recruiting and counseling staff and all facility operations. The HR Manager will continue to report directly to the Program Manager. Program Management Support The scope of the New York program requires a dedicated Business Analyst to support the Progranr Manager and Authority initiatives. Vivian Raines has been supporting the in this capacity for over eight years. Ms. Raines focuses on cost savings initiatives, Web and VRS enhancements, and customer material maintenance. She performs studies in areas we seek to introduce efficiencies on the program and presents results in an effort to support implementation of new processes or frurctionality, and will continue to support the New York program on the new program and will continue to report directly to the Program Manager. Staf?ng Subcontractor Partnerships ACS uses a temporary service subcontractor to recruit dedicated, high- performing front-line staff members interested in finding a long term career with a successful company. The staffing agency used on the contract today, Superior Staffing Services, Inc., recruits, performs backgrormd and drug tests and issues prerequisite testing, including typing tests for accuracy and speed, and spelling tests. After a probationary period of time, ACS offers all top performing Customer Service Representatives a full-time position. Since 2001, there have been almost 300 Superior employees that were converted from temporary status to a permanent AC5 position. Prior to converting a temporary employee to a permanent ACS employee, the employee is rated in several different categories to ensure that the employee is well rormded in all areas, including timeliness, professional courtesy, knowledgeable in all authority business policies ?2005 ACS, Inc. 5.3.1-11 and program requirements, and accuracy in their work. Without achieving high scores on this review, no temporary employee is converted to an ACS employee. Employee issues that arise when working as a temporary employee are handled by Superior along with feedback from ACS management. ACS will continue to handle the recruiting process in this fashion on the new program by continuing to partner with Superior. Partnering with Superior helps us achieve Authority WBE goals on today's contract and will apply to the future contract as well. ACS also partners with PRWT on the New York program, and they supply production staff for tag distribution, tag inventory, lockbox, and image review functions. We have partnered with PRWT for over 10 years on this program and for 16 years on other ACS projects. Working with PRWT helps ACS achieve authority MBE goals. PRWT is a $78 million company, with over 1200 employees. With presence in over 16 different states, PRWT provides ACS their services on 20 contracts. They have a long standing relationship working with ACS for over 16 years and have proven successful in applying their staff and processes to the PRWT will continue to provide support on the new contract. They will provide resources for lockbox, image review, and tag functions. They will designate one point of contact for the new program that will deal directly with the ACS Operations and Violations Management team. Sean Persaud, PRWT Vice President, who has been involved with the contract since inception of the TBTA program in 1995, will have direct oversight responsibilities for these fiurctions. Notification of Management Changes The Authorities will be notified when any staff changes occur at the key management position level. This will include the Program Manager and all of the direct reports. ACS will not make any key management changes without the support and approval of the Authorities and will backfill key positions when there are staff promotions or transfers. Performance Standards, Reporting, and Tracking Our success in performance monitoring of all complex programs is based on frequent communication across the program and with the Authorities and includes operational performance reports used to monitor all performance standards. We provide performance reports for the current contract to the Authorities on a regular basis, and report reasons for any anomalies to the Authorities. Proposal Section 5.3.1.6 references in detail performance standards that ACS will meet and provide samples of what the performance reports will look like. Under the new contract, ACS will generate and distribute performance reports to the Authorities as per the requirements of the RFP, via an online project management Web based tool. This tool will act as a central repository that will allow the Authorities to access agendas, meeting minutes, action item task lists, and project activity tracking reports. User access will be controlled through system adnrinistration, and only designated Authority 5.3.1-12 ?2005 ACS. Inc. s. SI personnel will receive access to these documents. Restricting access to certain documents will ensure confidentiality of contractual issues and ensure version control is in place. One of the most significant features of the tool is Document Versioning. This enables full control and access to previous versions of a document that has been published. Locations Where Work will be Performed Main Processing Center ACS will be moving the nlain CSC processing center from 1 Edgewater Plaza to the Teleport located off South Avenue and Victory Boulevard in Staten Island. The Teleport will provide ACS with enough space for future growth, a much more up to date facility allowing the New York program employees to better enjoy their work environment, and a much more secure environment. All functions that are cm?rently supported on floors one, three and five in the 1 Edgewater Plaza location will be moved to the Teleport. This will include all of the functions currently supported in the Main Processing Center, which includes, the Walk?in Center, Tag Swap, Tag Inventory and Distribution, Correspondence, Finance, Violations, Call Center, QA, HR, and Program Administrative Departments. Walk-In Centers We will continue to operate all of the existing walk in centers from the same locations in operation today, with the exception of the Staten Island walk-in center, as noted above. The walk-in center locations include the following: Buffalo, Grand Island, Queens, Yonkers, Spring Valley, Syracuse, Albany, and Staten Island. The Staten Island walk?in center in the new contract will be serviced out of the Teleport facility. The Spring Valley service center will operate solely as a walk?in center and all of the other functions will be rolled into the main processing center in the Teleport. These functions include bringing the existing call center portion of the Spring Valley service center into the main body of call center employees, and merging the commercial tag distribution employees with the main group of employees in Staten Island. The Non-Revenue function currently located in the Spring Valley service center will also migrate to the new Staten Island facility and will work directly under the Operations Manager. 7 Data Center Our data center will continue to support the New York program from the Tarrytown New York facility. This facility will continue to handle production control and support, implementation of change requests and help desk functions. Tarrytown data center has been in existence for over 25 years and supports ?2005 ACS, Inc. 5.3.1-13 alJnost 200 contracts and 585 offices. The center has over 140 employees providing DBA, VMS, VRS, Web, and help desk functions. The data center has been SAS70 certified and has Disaster Recovery Plans in place ready to be executed in the event of a system or location problem. Transportation Technology Center Our Transportation Technology Center will be moving to a new location in Maryland, from the current Rockville location. The new office will be located in Germantown, Maryland and will continue to provide and New Development support for the New York program. This office has over 160 employees and supports nearly a dozen contracts of varying sizes. The expertise this group holds is uninatched?they have been supporting the programs for over 12 years and are intimately familiar with the Authorities? functionality and business rules. Mailhouse Subcontractor Partnership All program correspondence including Violation, speed, credit card decline, credit card expiration, statements and inserts, account revocation letters will be generated and mailed out from the current mailhouse ACS uses. The mailhouse is Global Documents Solutions (GDS), formerly ADM, and has been supporting this program for over 10 years. GDS was founded in 1906 and is a leading provider of electronic and print based customer communications. GDS mails out millions of pieces of New York related mail on the current program with little complication and have always been able to support new initiatives in a tight schedule to meet the authorities' requests. GDS is located in lower Manhattan and has long established relationships with the post office and the Authorities. ACS will establish a subcontractor agreement with GDS in support of the new contract structure. Identification of Resources As detailed above in this proposal section, ACS will use a combination of resources to meet all RFP Statement of Work requirements. ACS staff, combined with Temporary Staffing Service and PRWT, will provide a staff to support the New York. The program development and will be supported by the Germantown, Maryland ACS office and the data center will support the New York program from the Tarrytown, New York office. ACS will work with several subcontractors, which will include Superior Staffing Services, Inc., PRWT, and GDS. Description and Schedules for Authorities ACS will manage the program successfully on behalf of the Authorities but could not do so without the support and guidance from each of the Authorities. We will consult and meet 5.3.1-14 ?2005 ACS. Inc. A s. s. with the Authorities on a frequent basis, which will include no less than once every other week in person and daily via phone as needed. The Program Manager will consult directly with the Authority Project Managers and will ask the Authorities to identify and designate members of their staff authorized to discuss program tasks with ACS program management staff members. ACS will request the Authorities to document any change requests for functionality outside of this RFP Statement of ork, and receive board approval prior to asking AC8 to implement. We will also request the Authorities to provide any additional agenda items for upcoming planned program status meetings at least four business days prior to the meeting occurring. The Authorities shall also offer their comments to any minutes recorded following their publication and discussion during the next meeting session. Should the Authorities require any consultant or outside vendor not already established and associated with the new program, ACS will request the Authorities to have that entity sign an Non- Disclosure Agreement to protect the intellectual properties and proprietary data that ACS provides on the contract. 5.3.1 .1 .1 Authority-Specific Project Managers The ACS Program Manager and designated staff will communicate directly with each Authority?s Project Manager and or their designated staff members or third-party contacts. All contract discussions will be held between the Authority contacts and ACS Program Manager directly. Our program management team can easily handle multi?Authority discussions, engaging either all or individual Authority representatives. In today's environment, the ACS Program Manager frequently is in contact with each Authority Project Manager providing status updates, sharing information, publishing reports or handling contract issues. Each Authority contact today receives personalized service from the Program Manager or one of her designated management staff members. \Nhere appropriate, the ACS Program Manager refers issues to other members of the ACS support team and they will follow up with Authority designated members of the same function. An example of this activity includes the ACS Contracts Deparmlent dealing directly with Authority Contract staff members. We have built relationships at all levels within each of the Authority's organizations and these relationships have proven very successful in all Authority and ACS communications. ACS understands each of the Authorities combined and specific needs and through the years has structured relationships at all levels to continue to strengthen continued program support and communication. While ACS offers combined services to three separate Authorities, ACS is pleased with the individual Authority?specific attention we offer to the Authority contacts and their associates. ?2005 ACS, Inc. 5.3.1-15 Our existing management teanl has grown up with most of the Authority Project Managers and their support staff members, so transition to the new program will be seamless. Authority and ACS team members have shared many personal moments with each other through the years, from mourning the loss of team or family members or sharing the joy when additions to families or unions have occurred. These experiences demonstrate that relationships and bonds have been formed offering strong support and responsiveness for any Authority issue raised by the Project Managers. 5.3.1 .1 .2 Authorities? Interagency Management Oversight Frequent comJnunication between the ACS Program Manager and Transition Manager and each Authority Project Manager will occur in an effort to ensm?e that consistent policies are applied to the New York program. If we encounter any unclear request or application of a process or experiences any failure to receive a unanimous vote, ACS will request that the Authority Project Managers meet with AC8 to facilitate reaching a unaninlous decision on approach. Should we reach a roadblock where the Authorities cannot agree on final resolution, the Authorities' Executive Management team will be called upon to work with both ACS and Authority Project Managers until full agreement is reached. ACS is fully prepared to help facilitate any such discussion by participating in requested meetings with the Authorities and by providing materials outlining topics of discussion, including any and all details necessary in order to reach a conclusion. From years of experience that ACS and the Authority Project Members have shared when attending frequent Authority/AC8 Team status meetings, there have been rare occurrences where the groups could not reach final resolution to provide us direction on a policy or procedure. If ever such an impasse is reached, ACS will wait for Project Manager direction before proceeding with any task. Just as is handled today, these status update meetings will also be the formn in which any change order decisions are discussed. All change orders will be documented and approved by all three Authorities prior to ACS implementing any such change. Any item outside of this RFP Statement of Work will be considered a change order and must be executed in amendment format after consent is reached by all Authorities. We will continue to offer necessary details to include in specification documents each change order will require. Just as today, Brian Moore, the System Design Manager, and his staff, will work directly with each Authority Project Manager and or designee to finalize change order documents and functionality. Program walk through for each final specification will occur following the execution of Authority requested change orders. Should technical resources be necessary to help facilitate to the Authority change order discussion, we will coordinate all meetings on behalf of the Authority. 5.3.1-16 ?2005 ACS. Inc. 5. 5. 5.3.1 .1 .3 Notifications Regularly scheduled meetings will be held with ACS Program Management and Authority Project Managers and designated staff members. All meetings will be scheduled in advance and all required attendees will be contacted prior to the anticipated date to ensure schedule availability. Whether these meetings are in person or teleconferences, ACS will publish agenda?s at least one business day in advance of the scheduled meeting, and provide meeting minutes documented by the Business Analyst within five business days following the meeting. The minutes will be forwarded to all meeting attendees as well as any other Authority designated team member and conunents to the minutes will be incorporated after discussion and agreement occurs at the next meeting. On the contract today, AC8 participates in regularly scheduled program status meetings and provides well documented and accurate meeting minutes. We also provide task lists from each meeting to ensure that all issues are tracked by responsible party and through to closure. Agendas, minutes and task lists are currently published and are used as an outlet for status updates; facilitating discussions about important topics needing group review; or recreating history when reference documents are needed to refresh the group?s recollection of a discussion topic. ACS will continue to produce quality docmnents in the expected timefraine on the new contract. 5.3.1 .2 Staffing RFP Proposer Instructions: Proposers must include the following items in their proposals: 0 An organizational chart of key personnel 0 A description of the experience including a resume, capabilities, and other vital information for all individuals in key positions identi?ed on the Proposer's organizational chart 0 The names and addresses of all subcontractors proposed, including a description of the nature and extent of the work to he performed by each subcontractor and the names of key subcontract personnel. The Proposal must demonstrate the Proposer's approach to providing the necessary staffing required to perform the core functions of the The Proposal must include organization charts for all activities down to the lowest level. The Proposer shall indicate staffing levels at each location (based on operating hours indicated in Appendix D, Details on Existing Leases). The Proposer shall include job descriptions for each position and identify minimum requirements and prerequisites for each position. The Proposer shall identify applicable personnel policies for its staff performing the operations. The Proposer shall describe how it will conduct annual performance evaluations appropriate for a customer service environment. The Proposer shall describe how it will provide, for personnel security, as appropriate. The Proposer shall list personnel by title and indicate any bonding insurance, or indemni?cation to be provided (including dollar limits or coverages). The Proposer shall provide statistical information on its historical staff turnover rates. Continuity of expertise at all staff levels, a thorough understanding of each agency?s unique procedures and environment, and a devotion to continuous technological and procedural improvement make ACS a strong match for the New York program. ?2005 ACS, Inc. 5.3.1-17 Given the complexities inherent in the New York CSC operation, the benefits of an experienced, in?place staff cannot be overstated. While ACS is offering the Authorities a host of technology and workflow enhancements that will further support customer service and operational efficiencies, it is the consistency of expertise at all levels?managerial staff, support staff, and line staff?will prove invaluable to the continued success of operation. We propose a seasoned management and operations staff that have helped to build the and establish its successful history of services to New York drivers since operations began in 1993. Our in-place team knows New York's stakeholders, works with the Authorities every day, and will remain virtually unchanged at all levels? from Program Manager Helen Barton to our front?line staff and CSRs. Given our unique experience operating the existing staff will not face the same learning curve faced by the staff of a new contractor. Using our institutional knowledge of transaction and call volumes, ACS designed our staffing approach to meet the unique needs of the New York environment, including the ability to quickly adjust staffing levels to maintain compliance with all contract requirements and performance standards. Further, our in?place staff also allows us to minimize the use of temporary staff dun'ng ongoing operations. From our project manager to our tag swap supervisor, om' employees bring expertise to their positions. The remainder of this section responds to the staffing requirements and is divided into eight subsections: 0 Organizational charts and staffing levels of our proposed operation, including key personnel as well as individuals for each operational activity 0 Resumes for key personnel 0 Job descriptions for each position, including minimum requirements and prerequisites for each position (See Appendix 1) 0 Names and addresses of all subcontractors proposed, including a description of the nature and extent of the work to be performed as well as the name of key subcontractor personnel 0 Description of our annual performance evaluation approach 0 Overview of all applicable personnel policies 0 Personnel secm?ity, including bonding, insurance, or indemnifications requirements 0 Statistical information on our staff turnover rates Organizational Charts and Staffing Levels Thirteen years with New York has shown us that appointing staff members with demonstrated ETC and customer service qualifications is vital to operating an efficient and customer-friendly operation. For all but a few exceptions, our personnel are currently in- 5.3.1-18 ?2005 ACS. Inc. place at the CSC, processing transactions and handling inquiries every day. project team is led by one of most accomplished transportation customer service managers, Helen Barton. The remainder of the team consists of experienced project supervisors and staff who possess a thorough understanding of the and demonstrable knowledge of the unique nature of the New York environment. The organizational chart, shown in Exhibit 5.3.1?2, demonstrates our proposed key management personnel staff, as well as the company oversight assigned to the project. Each of these experienced mangers will be responsible for the efficient operations of each of their respective functional units, as demonstrated later in this section. 5.3.1-19 ?2005 ACS, Inc. s- Vice Preside)! Electronic __Qg?ection Managemen Oversight . Jack Henne 12m Senior Technical Program Manager Project ?mam" Mani ?Techricd Project Manger sadness Analyst $31? mm" Humm Resources Associate Manager Anna Frattalone MZNYEZP Exhibit 5.3.2-2. To ensure maximum effectiveness of ACS stafl; our functional managers establish clear lines of authority and our organization ensures that our service center maintains high-levels of operational ef?ciency and accuracy. Drawing on our understanding of the current ETC and customer service environment and the impact of the new technology on operational workflow, ACS designed a balanced organization and placed experienced employees who possess the requisite skill set in each functional area to ensure maximum processing efficiencies and uninterrupted services. Our organization for each of the key functional areas of the is shown in Exhibits 5.3.1?3 through 5.3.1-11. A summary of our estimated staffing levels depicted on 5.3.1-20 ?2005 ACS, Inc. A s. EM these charts is provided in the following table. As with all of our projects, AC8 will adjust our NYC SC staffing levels either up or down to ensure that our operation meets all performance requirements and is operating as efficiently as possible. STAFFING LEVELS Estimated ACS Job Staf?ng Levels 5. ?2005 Acs, Inc. EM STAFFING LEVELS Job Title Estimated ACS ?2005 ACS, Inc. STAFFING LEVELS Estimated ACS Job Title Staf?ng Levels 5. ?2005 Acs, Inc. 5m: Financial Management Organization Exhibit 5.3.1-3. Financial Management Organization A 5.3.1-24 ?2005 ACS, Inc. Quality Assurance Department Quality Assur Manager - Quality Quallty Quality Assurance Assurance PA?fsurance Financ' Aud' Analyst Analyst Analyst (B1 .NYEZP Exhibit 5.3.1-4. Quality Assurance Department A @2005 ACS. Inc. 5.3.1-25 Violations Department Exhibit 5.3.1-5. Violation Department 5.3.1-26 ?2005 ACS, Inc. A S. Tag Handling 029 NYEP Exhibit 5.3.1-6. Tag Handling @2005 ACS, Inc. 5.3.1-27 5m: Information Technology Informa Technol 'gy Managf 032.NYEZP Exhibit 5.3.1-7. Information Technology 5.3.1-28 ?2005 ACS, Inc. Call Center 025.NYEP Exhibit 5.3.1-8. Call Center @2005 ACS, Inc. 5.3.1-29 AC 5m: Operations Management Operations Department Analyst (1 024.NYEZP Exhibit 5.3.1-9. Operations Management 5.3.1-30 ?2005 ACS, Inc. A Walk-In Centers Supervisor (1) Supervisor (1) Supervisor (1) Supervisor (1) onkers Valley Albany Staten Island 026NYEZP Exhibit 5.3.1-10. Walk-In Centers @2005 ACS, Inc. 5.3.1-31 Em; Human Resources Human Fies'urcas Manag ?r Human Resources Supervrsor Facilities Supervisor Training Supervisor Exhibit 5.3.1 -1 1. Human Resources Key Personnel Resumes Our NY CSC management team has 101 years of combined experience supporting this project alone. This team is supported by equally experienced supervisory-level personnel as well as a staff of highly quali?ed operations staff. Resumes for our highly qualified key operations personnel as well as our experienced migration team are provided in Proposal Section 4.2.6, Key Personnel. A summary of our team?s experience is provided in the following table. Name/1' itle MANAGEMENT PERSONNEL Years at the Related Experience Helen Barton Project Manager Current Project Manager Anne Marie Bressler Finance Manager Current Finance Manager Gary Lescota Quality Assurance Manager Current Quality Assurance Manager Recruiting Violations Manager Currently recruiting to ?ll this position 5.3.1-32 ?2005 ACS, Inc. SI EM MANAGEMENT PERSONNEL Years at the Name/Title Related Experience William Hanks . Tag Handling . Manager Current Assistant Operations Mana er Recruiting . To be ?lled upon contract award Information Technology Manager Recruiting . To be ?lled upon contract award Customer Service Manager Brian Moore . Current System Design Manager System Design . Manager Michelle Turchio . Current Senior LAN Analyst Networks Manager . Recruiting . To be ?lled upon contract award Production Control Manager . Current Call Center Manager Call Center Manager . I Denise Cantos . Current Operations Manager Operations Manager . Current Assistant 0 erations Manager Walk-in Center . Manager Vivian Raines . Current Business Analyst Business Analyst . I Anna Frattalone . Current Human Resources Associate Manager Human Resources . Associate Manager I @2005 ACS, Inc. 5.3.1-33 s- 5m MANAGEMENT PERSONNEL Years at the Name/Title Related Experience . Currently serves as technical project manager for the New - Senior Technical York program Project Manager, Rockvi/le . Currently servsehs as a technical project manager for the New - Technical Project York E?ZPass program Manager, RockviI/e . AC 5.3.1-34 @2005 ACS, Inc. Job Descriptions ACS is providing the following job descriptions, found in Appendix 3, as a summary of the responsibilities and knowledge that is required of each member of the teanl. These descriptions, which were developed specifically for New York, are currently in use at our existing operations. NEW YORK JOB DESCRIPTIONS Program Management . Program Manager . Business Analyst . Administrative Assistant Finance . Finance Manager . Senior Financial Analyst . Assistant Finance Manager, Revenue, Reconciliation, and Exceptions . Assistant Finance Manager, Transaction Processing and Reciprocity . Refund and Chargeback Supervisor Deposit and Reconciliation Supervisor . Junior Reciprocity Analyst (IAG Transactions and Settlement or Home Agency Transactions and Settlement) . Refund Coordinator . Chargeback and Chargeback Collection Coordinator . Deposit Coordinator Reconciliation Coordinator . NSF Check Coordinator Quality Assurance . Quality Assurance Manager . Quality Assurance Analyst (Financial Analyst, Audit Analyst, and Performance Monitoring Violations . Violations Manager . Violations Analyst . Violations Supervisor . Violations Workleader Violations Representative (Class Mismatch Image Review and Toll Evasion Image Review) Tag Handling . Tag Handling Manager . Tag Handling Analyst . Tag Handling Supervisors . Tag Handling Workleaders . Tag Handling Representative (Inventory Control, Return Tag Handling, Straggler Processing, Tag Swap, Ful?llment, Manual Assignment, Mail/Postage) ?2005 ACS, Inc. 5.3.1-35 NEW YORK JOB DESCRIPTIONS Information Technology . Information Technology Manager . System Design Manager . Networks Manager . Production Control Manager . Senior System/Programmer Analyst . System Design Analyst . Vector Systems Test Administrator . New Product Implementation Analyst . Networks Analyst . Systems Analyst Customer Service . Customer Service Manager Call Center . Call Center Manager . Assistant Call Center Manager . Call Monitors . IEX Analyst . Call Center Supervisor . Call Center Workleader . Call Center Customer Service Representative Operations . Operations Manager . Operations Department Analyst . Assistant Operations Manager, Correspondence . Correspondence Supervisor . Lockbox/Filing Supervisor . Correspondence Workleader . Lockbox/Filing Workleader . Correspondence Customer Service Representative . Lockbox/Filing Customer Service Representative Correspondence Line Analyst Walk-in Center . Walk-in Center Manager . Walk-in Center Supervisor . Walk-in Center Workleader . Walk-in Center Customer Service Representative . Deposit Clerk Human Resources . Human Resources Manager . Human Resources Supervisor . Facilities Supervisor . Training Supervisor . Human Resources Assistant . Facilities Clerk . Receptionist . Trainer 5.3.1-36 @2005 ACS, Inc. Subcontractor Responsibilities As an experienced ETC customer service provider and prime contractor, ACS assembles best?in?field teams to provide coordinated service for om? service center operations. The New York Customer Service Center is no exception. We will continue to use many of the same subcontractors that are currently working on the operation. Each subcontractor?s roles and responsibilities on this project as well as any key personnel assigned are outlined in the table below. Because we excel in om? role as a prime contractor, om? team offers the benefits of multiple providers without the administrative headaches of multiple points of contact. A --. A Subcontractor Proposed Project Role PRWT Services, Inc. (MBE) 1835 Market Street, 8th Floor Philadelphia, PA 19103 Lockbox services Image review Tag distribution and inventory ADM/Global Document Mail house services Key Personnel Solutions 350 Hudson Street New York, NY 10014 Superior Staffing Services, 0 Inc. (WBE) 250 International Drive Williamsville, NY 14231 Staf?ng augmentation Annual Performance Evaluations ACS goes to great to monitor employee performance. Our current program at New York maintains a performance database where we track all production against required performance standards. Each employee?s output is compared to the required standards to produce a report of actual productive time on a daily basis. CSRs falling below standards are immediately tip?trained in the areas where inefficiencies are detected. We also use performance tracking to determine optimal staffing levels. Our perfonnance management approach makes the connection between the critical pieces of business strategy and lnunan performance strategy that will help achieve business goals. The ACS approach relies heavily on the belief that luunan performance is at the heart of business performance. In a constantly evolving industry, ACS must maintain the competitive advantage by aligning oru? people, processes, and technologies with om? strategic intent. This commitment to performance management will create a franlework for which our company is able to recognize and build human capital while enhancing overall hiunan performance. The key to performance management is in understanding the ongoing communication and planning that need to occur between employee and manager. Performance management is a powerful way to focus and accelerate our efforts to make the difference. ?2005 ACS, Inc. 5.3.1-37 In addition to ongoing performance tracking, AC8 also completes annual performance evaluations of all employees. Our annual performance reviews evaluate various competencies that support individual performance goals. In addition, managers are also evaluated on their relationships with the client. Our performance appraisal approach incorporates the following elements: Linking business objectives with individual leadership and performance goals 0 Identifying where and how employees can most positively affect business performance 0 Maximizing the benefit of hmnan skills, training, and productivity within the organization 0 Providing managers with the tools needed to communicate and develop employees continually all through the year 0 Measmiilg and motivating employees with programs that reward both performance and ability As a part of our annual evaluation process, standard employee evaluation form, shown in Exhibit 5.3.1?12, involves the review of each employee based on nine core competencies, shown in the following table. PERFORMANCE EVALUATION CORE COMPETENCIES Core Competency Description of Key Elements Quality of Work The accuracy and completeness of the employee's work, as well as neatness, promptness, and acceptability of work duties performed. Job Knowledge The degree of the employee's knowledge and application of technical, procedural, and operational know-how to get the job done, as well as knowledge of the role the position plays in the overall success of the group. The employee's ability to meet the technical requirements of his/her job and to understand trends and developments in his/her area of work. Performance Standards The employee?s ability to achieve established performance standards. Consider the quantity of work produced, consistency of work pace, ability to meet schedules and deadlines and meet work objectives, including efforts to improve group performance. Customer Service The employee's ability to provide service to the customers with whom his/her unit works, including the timeliness, accuracy and completeness of the information provided. The employee?s attitude, helpfulness, and follow through to resolve customer concerns or inquiries. Self Management The employee?s ability to ef?ciently perform assigned tasks with minimum direct supervision and make good use of his/her own time and available resources/facilities. The employee's ability to adhere to rules and regulations as well as dependability, attendance, and punctuality. Adaptability The employee?s ability to understand changes in priorities, tasks, and assignments and his/her ability to maintain effective job performance in changing work situations. Also the employee's ability to handle multiple tasks and responsibilities as well as efforts to make suggestions and identify solutions to improve work methods and effectiveness. 5.3.1-38 @2005 ACS, Inc. PERFORMANCE EVALUATION CORE COMPETENCIES Core Competency Description of Key Elements Communication The employee?s ability to use language effectively, clearly, and concisely in oral and written communications and the degree to which they are understood by others. The employee's ability to interact effectively with co-workers, other work units, customers, and managers to accomplish desired work objectives. Includes the ability to facilitate an environment of open communication and sharing. Personal Development The employee?s ability to create a positive impression through appearance, personal conduct, professional attitude, and technical competence. Includes efforts to improve his/her skills and to seek growth and learning opportunities. Work Ethic The employee?s ability to exhibit a positive and constructive attitude and ability to follow written and verbal instructions and to accept responsibility for his/her own work product. Includes the employee?s initiative, commitment, and enthusiasm in addition to how well the employee practices and promotes the ACS culture and core values. ?2005 ACS, Inc. 5.3.1-39 Annual Performance Appraisal "Hid . N25 Gal-"m? um 009NYEZP Exhibit 5.3.1-12. performance evaluation form incorporates the review of nine core job competencies that each address key skills required to work successfully in the 53.140 @2005 ACS, Inc. I A 315? s. s. Each of these core competencies is evaluated on a scale one to five. It is the responsibility of each employee?s manager to complete this evaluation and provide specific suggestions for improvement in each of these areas, as appropriate. Each of these core competencies addresses key skills needed to work successfully in the Depending on the individual?s job description and function, different competencies receive greater focus during the review process. Additionally, annual performance review incorporates the identification of individual career goals and creation of development actions to improve the individual?s productivity and performance. If applicable, this evaluation process also involves a review and evaluation of the previous year's goals and objectives for each employee. Upon completion of the performance review by an employee?s manager, the evaluation form is reviewed with the employee and incorporates any comments or questions raised by the employee. Finally, the completed and reviewed performance evaluation is signed by the employee, their manager, and their manager?s manager. Each of the participants also receives a copy of the performance appraisal form. The performance evaluation process for supervisors and managers incorporates additional competencies designed to evaluate these employee?s leadership and nlanagerial skills. For example, the following core competencies are incorporated into this evaluation process: 0 Management?The manager/ supervisor?s ability to assess and anticipate needs, set realistic goals and objectives, organize resources, schedule and coordinate staff to satisfactorily complete tasks and projects. Involves the ability to prioritize and focus his her own efforts on most important tasks as well as the employee?s ability to meet the systems (hardware, software, new technologies, etc.), operations, customer service, and other requirements of the contract unit project. 0 Customer Interface?The manager/ supervisor?s ability to create a positive i111pression through appearance, personal conduct, professional attitude, and technical competence. Also assess the individual's timeliness and responsiveness to customer needs and concerns and ability to exercise appropriate judgment in responses and actions. Involves the regularity and productivity of interactions with the customer. 0 Staff Development?The manager supervisor?s ability to fill vacancies, train, and re- train staff. Includes the ability to identify staff weaknesses and development needs; prepare, execute, and monitor plans. The ability to resolve employee/ personnel concerns and issues in a timely and effective. The manager's effort to personally seek skill improvement, growth, and learning opportunities. This evaluation approach in conjunction with standardized evaluation form is used to formal annual evaluations of all employees at the Additionally, we complete an informal review for new employees after 90 days. This methodology allows us to ensm?e that new CSC employees are performing at an appropriate service level and gives managers the ?2005 ACS, Inc. 5.3.1?41 opportunity to implement additional training sessions as necessary to ensure maximum efficiency of personnel. Other Personnel Policies The human resources (HR) management program implemented at the ensures that all employees conduct themselves in a manner that respects the integrity and dignity of employees, the Authorities, and other individuals with whom we do business. This ensures the highest standards of professional and ethical conduct and exemplifies the culture we intend to instill in our employees performing services under the New York contract. Our human resources supervisor is responsible for advising the project manager on employment law policy as well as corporate and New York employment policies. HR is responsible for incorporating New York employment requirements in the SOPs and ensuring the project staff policy addresses all of the Authorities? requirements. Our standard operating procedures address the development and maintenance of personnel records, termination procedures, employee performance tracking, hiring procedures, annual employee performance evaluations, and the tracking of awards and incentive programs implemented by ACS for this contract. We foster and encourage an open working environment that motivates a quality workforce. Using compensation packages, career development, educational assistance, awards and bonuses, training programs and activities designed to reward not only the employee but also the family, we consistently retain quality workers. To ensure that we maintain a high-quality workforce, ACS maximizes the use for permanent full-tiine employees. We will supplement this staffing with regular part?time employees, a classification that carries employee benefits (please see the benefits information provided below), and a limited number of part-time employees. This will serve to reduce turnover, maintain high morale, provide advancement opportunities, and mold our entire workforce into a team that will continue to provide high-quality service to the Authorities and their customers. ACS project management is also constantly monitoring employee time and attendance in addition to their productivity and customer service skills. When hired, all employees are given resources regarding the company policies and procedures as outlined in our Employee Guidebook. In addition to new hire and ongoing customer service training, all ACS employees are required to complete the ACS Annual Ethics Training Program. The following subsections provide details on personnel policies and performance evaluation approach. 5.3.1-42 ?2005 ACS, Inc. s. s. Benefits commitment to employees is re?ected in a comprehensive employee benefits program, offered to all full-time and part-time employees. We pride ourselves on our ability to offer all full-time and part-time employees a comprehensive benefits program. Some of the major features of this program include a choice of medical, dental and vision insurance providers, company?paid life insurance, participation in the ACS 401 matched contribution program, ACS?funded retirement plan, company?paid long term disability insurance, employee stock purchase plan, and tuition reimbursement. In addition, ACS provides paid vacation, holidays, and sick leave for all employees. benefit package provides a range of I-IMOs and PPOs to meet the needs of all employees. Being a subsidiary of a Fortune 500 company, ACS also provides competitive packages for a wide range of additional non-medical plans. We offer our employees competitive salaries for the job they perform in the region where they work. Our human resources staff is continually conducting salary assessments to gauge om' compensation levels against market indicators. Employee Incentive Program In order to retain the experience and qualified staff that currently operates the ACS has designed an employee incentive program to ensure increased employee morale and thus improved customer service?creating more efficient operations. Our incentive program is intended to provide employees the impetus to identify reductions in operating costs that do not negatively affect operations and to allow them to share in the cost savings of that result. These awards will be bonuses that encourage employee performance, thereby improving customer service and overall contract performance. To measure the success of the program, employees are provided performance standards by which they are measured, which can include customer courtesy, on the job safety, vehicle classification accuracy, cormting and deposit accuracy, appearance, work habits, etc. ACS provides several other financial rewards for employees who excel in the performance of their duties including ?Special Recognition Awards? such as ?Best Problem Solver? and ?Employee of the Year.? We also show our appreciation for the staff through picnics, pizza days at work, ice cream socials, and similar functions. Our best practices initiative includes the discussion, exchange, and implementation of programs that recognize employees and contribute to a positive environment. Activity-Based Compensation As mentioned earlier in our discussion of staffing levels and project organization, activity- based compensation (ABC) will be a new component of our retention progranl at the This compensation structure, currently in use at other ACS customer service centers, ensures that we attract and retain a well-qualified workforce. We continually assess compensation rates to ensure that they remain competitive. In addition to serving as a retention strategy, ABC also provides incentives for employees to maximize processing ?2005 ACS, Inc. 5.3.1?43 [-22:53 accuracy and individual productivity while decreasing overall labor costs, as shown in Exhibit 5.3.1?13. Activity?based compensation motivates our customer service center employees to strive for the highest level of accuracy and productivity, resulting in high retention levels of quality service center employees. In most of the CSC departments, ABC also provides the opportunity for ?exible schedules, providing a benefit that is highly valued by our employees. Activity-Based Compensation Levels Increase Em Wa Typ?l?ca Imam Time - 040.NYEZP Exhibit 5.3.1-13. ABC will provide New York employees with incentives for increasing their processing accuracy and individual productivity levels, thereby enhancing the overall level of service that ACS provides the Authority?s customers. Annual Ethics Training All employees are required on an annual basis to go through Ethics Training to ensure they are reminded of the current business practices and know the resources that are available to them. This annual training program is made available to ACS employees over the Web. To use this electronic training, employees simply complete the sign-on page and begin the online lessons and quizzes. The system tracks ?attendance" and issues a printed certificate upon completion. Progressive Disciplinary Practices ACS currently follows a progressive discipline path for all employees. The process is as follows. When an employee has performance issues, a manager begins verbal counseling and coaching with the employee. Additional training will be scheduled if deemed appropriate. If the employee does not show improvement, they are then given a series of written warnings. A narrative of the issue(s) will be documented and signed by both the A 5.3.1-44 @2005 ACS, Inc. s. employee and the work leader/ supervisor. If applicable, the disciplinary process continues with up to three additional documented actions after which time the CSR is terminated. It should be noted that while this is the process for lesser offenses, certain actions may lead directly to a final written warning and or termination. ACS believes customer service is a top priority, and consequently, hanging up, rude behavior, or arguing with a customer may result in an acceleration of the disciplinary process. Time and attendance and productivity are consistently monitored. Employees are given resources regarding the company policies and procedures that is outlined in the Employee Guidebook and is also located on Infobank, our Web-based portal for information about ACS, policies, procedures, programs, forms, and online tools. All employees are required on an annual basis to go through Ethics Training to ensru'e they are reminded of the current business practices and know the resources that are available to them. If the CSR has not performed satisfactorily, an employee meeting will be held. Screening and Hiring of New Employees Over the com?se of our partnership with New York, ACS has assembled a highly qualified operations staff that efficiently handles the current customer service and violations processing volumes. In hiring our operations staff, we select personnel who meet the following criteria: prior experience in a customer service environment, possession of the requisite skill set, and a proven work ethic. While we currently employ the personnel required to perform the vast majority of the customer service functions and have historically maintained an exceptionally low rate of staff turnover, we continually seek well-qualified staff for any openings that may arise. Pursuant to this goal, ACS: Appoints people based on demonstrated ability, experience, and training, and their potential to grow within their jobs 0 Performs thorough reference and background checks 0 Mandates new?hire drug screens 0 Recruits, promotes, compensates, reassigns, hires, and trains personnel in all job classifications without regard to race, religion, sex, sexual orientation, age, national origin, color, handicap, or veteran status All ACS applicants are subject to an interview and a thorough reference review. Applicants are required to submit a standard application. The application seeks information about possible past convictions, criminal involvement, and any other pertinent security-related matters. No hiring decisions are made without a thorough, satisfactory review of the employment application, an interview, and a complete reference check. Further, all new hires are required to complete a backgrormd check, drug screening, and ethics and confidentiality compliance declaration. ACS will continue these policies as conditions of employment with ?2005 ACS, Inc. 5.3.1?45 ACS, however, we also recognize that the Authorities reserve the right to at any time conduct background checks through their own hired agency. Once a candidate passes an initial screening, they will be required to take a competency exam in which they demonstrate an ability to perform mathematical computations, similar to What would be experienced in a customer service environment. In addition, their language (English and Spanish, as appropriate) writing skills and comprehension will be tested, as well as their ability to perform data entry functions. We use a telephone screening process designed to screen candidates before spending precious time on potentially non-productive interviews. The written questions are provided to the personnel screening the calls. In addition, we attach an application screening form to the application itself. This screen asks some of the same questions as the telephone screen: questions on availability, shift and location desired, and warnings of criminal backgromid checks and drug test. When returned, this form enables us to maintain a queue of pre- screened, semi?qualified candidates for future staffing needs. It also helps us further screen applicants for their ability to follow instructions, write legibly and gauge their understanding of the English and or Spanish language(s). Background Checks Although not required by the RFP, ACS believes in conducting background checks on candidates for employment prior to hiring. This check includes a social security verification and a criminal background check. Our standard practice includes a felony and misdemeanor, National Criminal Record File search, and the Social Security number verification. The results of these investigations are provided to the Transportation Solutions Human Resources Director?s office for evaluation. Stringent screening procedures are in place to ensure that any individual who poses a risk to the Authorities? assets, customer payments, and personal customer information, as well as to reputation, are not considered eligible for employment. We will continue this practice in the future along with any Authority-contracted background checks as well. Drug Testing We take the term ?Drug?Free Workplace? very seriously. Starting with the pre?employment testing period, ACS has adopted a zero-tolerance policy with regard to illegal drug use or possession. All candidates for employment must submit to a S?Panel Urine Test, which screens for a nmnber of controlled and illegal substances. The results of these screenings are provided to the Transportation Solutions Human Resources director's office and any candidate who has a ?positive? result is not extended an offer of employment. Upon hiring, new employees sign a statement attesting to their understanding of policy on illegal and controlled drugs in the workplace. Our annual ethics training also includes a module reinforcing zero-tolerance policy. After employment, any ACS employee found to be using or possessing illegal or controlled substances while on duty at an ACS or client location will be subject to immediate dismissal. Although not required by the RFP, ACS plans to continue this practice to ensure a Drug-Free Workplace. 5.3.1-46 ?2005 ACS, Inc. s. SI Appearance We believe in the need for the presentation of a professional appearance by all ACS staff. If an employee arrives for work not properly attired, it is our policy that the employee is asked to leave the work location and return properly dressed. Through positive feedback and cormseling of employees, ACS and subcontractor staff will present the best possible image to the Authorities and New York's customers. Timekeeping In order to accurately track operations staff, ACS will use the Kronos Tirnekeeper Central timekeeping system (Kronos). Kronos is currently used on both the New York and New jersey projects for over 1,000 ACS, subcontractor, and temporary employees. The Kronos system consists of hardware (time terminals) interfacing with software located on mrit managers? PCs. The terminals are connected to each other via data line. Employees are provided with swipe cards that contain a mrique bar code issued to each employee. These swipe cards are passed through a slot in the terminal to record the time in and time out for daily shifts, meals, and breaks. Kronos software captures time data to the nearest minute and calculates time worked to the nearest quarter-hour. Access to Kronos software will be restricted management personnel. A variety of reports are available to the Authorities, including employee detail and summary reports, for any period requested. All manual edits indicate the user ID of the manager who entered the adjustment. ACS timekeeping policy also requires that all manual adjustments be supported by a written explanation and maintained for audit purposes. The time worked for staff members at the stop-in locations can be entered into Kronos manually by a manager, based on the e-mail record of their time worked. The Authorities will continue to find Kronos to be a state-of-the-art timekeeping system that provides a complete and auditable record of labor hours expended on the project. Personnel Security and Bonding Insurance Upon hiring by ACS, every employee must sign a confidentiality agreement. By signing this agreement, an employee agrees not to disclose or divulge ACS or client information or material that is of a confidential nature. Any employee who is found to have disclosed or divulged confidential information will be subject to dismissal. We will ensure all new employees are aware of the security policy and will comply. ACS recommends that personnel files for the each of our functional unit managers will be established, maintained, and centralized by the project manager. The unit managers establish and maintain personnel files for all other staff positions. These files include the staff member?s resume, copy of their application for employment, copies of annual performance appraisals, and copies of any performance warnings issued. ?2005 ACS, Inc. 5.3.1?47 EM \"Ve imderstand the importance of ensuring the security of customers' account information and New York payments. Therefore, AC 8 personnel who perform fiulctions such as fimds handling, customer account management, inventory control, system software, computer operations, and data entry will be covered under our 520 million corporate blanket type fidelity bond insurance. This insru?ance covers all AC 8 employees for all losses related to employee dishonesty. For subcontractor ACS will require fidelity bond insm?ance of all its subcontractors as part of the subcontract agreement with limits in accordance with AC 5 normal business practices. Subcontractors will be required to include the Authorities as loss payee on subcontractor"s fidelity bond insurance policy. Staff Turnover Our recruiting efforts have been successful in selecting and retaining the best candidates, as evidenced by our high employee retention rate. For the New York, ACS has already staffed the with qualified, skilled CSRs and line staff who present a positive image to the Authorities? customers. AC8, with the input of the Authorities, STAFF KEY TO stands eager and willing to discuss programs to further increase staff retention and improve performance. Some of these programs could be reflected through quality assurance and monitoring for Specific performance characteristics. 5.3.1-48 ?2005 ACS, Inc. SI 5.4 Customer Service Center System Requirements hardware and software solution for New York is based on our industry-leading Vector platfonn?a complete customer service center system that has been custom developed speci?cally meeting all of the With an integrated from requirements for the New York program. Slebel, the Authorities gain d' t' No other solution is proven like Vector to properly :11: :rId perform all of the complex transaction processing work?ow automation, resulting in and customer service functions for this electronic improved system access and toll collection program. With this proposal, ACS is increased ef?ciencies across the offering to the New York Authorities the latest program. generation of this platform?Vector 4.0, which In continuing to use the Vector inc01 crates ecific erformance im rovements and platform, Authorities have peace Of 1? mind that their toll collection HIGHLIGHTS many enhancements in features. This proven transactions are being processed by a platform provides tremendous value to New York? proven system, with accurate and instead of testing another vendor?s solution that reliable results. rebuilds all of these functions built over the past 13 . With technology roadmap and years, the New York Authorities can work with ACS PVOPOSQI to deploy our next to focus on building and testing only the new generation Vector 4'0? the New York . . . - uthorltles get a best-of-breed functions for the future 0t solution that incorporates the latest environments, tools and increased In the world of computer hardware and software, 13 system performance. years is a very long time. In 1992, the Internet was still the domain of technical people using clunky dial-up access routines. Desktop computing was just getting ready for indows95 let alone or indowsXP. Internet Explorer didn?t exist. Client/ server architectures were still emerging. Digital Equipment Corporation was challenging IBM for supremacy in the industry. In the world of electronic toll collection, 13 years has also been a very long time. Original goals of 10 percent market penetration in the lifetime of a program are now reached in just one week of startup. Original goals of one million tags in a region have been multiplied times 10. Original concerns if one lane can be dedicated at a toll plaza have been replaced with concerns of Where to place multiple dedicated lanes. Customer access has migrated from walk?in centers to online Web sites. The IAG has grown from six agencies in three states to 22 agencies in 11 states. That first toll lane made operational in Spring Valley, New York is now joined by 2,500 other lanes. And, from a Port Authority contest, an employee?s suggestion of the name has grown from obscurity to the de facto brand name for an entire industry. Over these years, technology has changed a lot. has changed a lot. And, ACS has helped the New York Authorities keep up in these fast-paced, challenging, and exhilarating times. With this proposal, ACS is excited to have the potential opportunity to help the New York Authorities continue to meet this challenge for the next 13 years. ?2005 ACS, Inc. Proprietary and Con?dential Information 5.4-1 EM Evolutionary Approach Among the keys to the success of the program has been New York's evolutionary approach. This approach has had customer service as one of its primary focal points. This approach meant accommodating many new ideas, changes, features, and functions for This approach meant evolving the hardware and software solutions to keep running. ACS put together the first hardware and software system platform for back in 1992. These systenls supported the features and volunles of those early years. As the program evolved over time, new features were added. As volunles grew, hardware was upgraded. Reciprocity was begun by the New York Authorities, as they were the first four agencies among the entire IAG to become operational, as shown in Exhibit 5.4-1. Evolution of the IAG w: 555 ?5.55.53 "235$ 004 004 NYSTA New York State Thruway Ainliority Alp-1993 Staten Island. NY Acs 2.000.000 one 008 MTA Bridges Tmnels Oct-1995 Staten Island. NY ACS 3.100.000 005 005 PANYNJ Port Authoriy of New York 8. New Jersey Jun-1997 Siam Island. NY ACS 018 004 NYSBA New York State Bridge Autiroriy Feb-1998 Staten Island. NY Acs nIa 021 021 MassPike Massachusetts Turnpike Authority Oct-1998 Auburn, MA TransCore 700,000 007 022 SJTA South Jersey Transportation Authority Nov-1998 Newark, NJ ACS n/a 019 019 Delaware Department or Transportation Nov-1998 Dover, DE T?aJnlf?ge? 190,000 009 33: DRPA Delaware River Port Authority Aug-1999 Newark. NJ ACS 220,000 002 022 GSP Garden State Parkway (Division of NJTA) Dec-1999 Newark. NJ ACS n/a 024 024 WVPEDTA Devebpmem 8' Mar-2000 Charleston, wv TransCore 30,000 003 022 NJTA New Jersey Turnpike Authority Step-2000 Newark, NJ ACS 2,600,000 025 025 DRBA Delaware River and Bay Authority Jul-2001 New Castle, DE ACS 50,000 016 016 Maryland Transportation Authority Oct-2001 Baltimore. MD ACS 380,000 006 006 PTC Turnpike Commission Dec-2001 Harrisburg. PA TransCore 540,000 013 013 PBA 22:3: imgu?ulo 8? F?n Ede Jan-2002 Secaucus, NJ JPMC 20,000 029 029 Delaware River Joint Toll Bridge Commission Feb-2002 Newark, NJ ACS 70,000 027 022 BCBC Buriington County Bridge Commission Mar-2003 Newark, NJ ACS n/a O11.NYEZP Exhibit 5.4-1. As demonstrated by this timeline, IAG reciprocity began with the four New York Authorities in partnership with ACS. And, so, we built reciprocity capabilities into the system as the Authorities were writing the first chapter on how reciprocity would work. The New York Authorities were achieving the goal of ?One Tag, One Account" to use throughout the entire network. The rest of the industry watched, applauded, learned, and then copied this regional model approach. 5.4-2 Proprietary and Con?dential Information @2005 ACS. Inc. S. S. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information ?2005 ACS, Inc. S. ?2005 ACS, Inc. Proprietary and Con?dential Information Proprietary and Con?dential Information ?2005 ACS, Inc. 5. ?2005 ACS, Inc. Proprietary and Con?dential Information Page left intentionally blank 5.4-8 Proprietary and Con?dential Information ?2005 ACS. Inc. A s. EM 5.4. 1 General Requirements RFP Proposer Instructions The proposal shall prOVIde a detailed technical description of all hardware and software that Will be used or developed to provide the serVIces required herein The proposal should present enough detail to conVince the Authorities that the solution provide the required functions In many instances the Authorities do not have speCIfic requirements on the details of the applications software The Contractor is free to implement software and processes in whatever ways Will ensure compliance With the Performance Standards However. the Authorities offer the followmg list of operational characteristics as gmdance to the Proposers in preparation of their proposals Incorporation of some or all of these characteristics Will help to develop confidence on the part of the Authorities that the Proposers' system can meet the requnements Menu?driven user friendly system or graphical interface. 0 Double key entry where applicable and/or appropriate, 0 Modular system design to allow for cost effective and expeditious changes needed to effectuate program changes. 0 Security measures, including such features as user passwords, firewall software, intrUSion detection software and network security, 0 Audit trail, for all database changes, 0 Data redundancy (e disk shadowmg mirroring), 0 Data validation techniques and file transmissmn verification techniques in all data communications between all locations to assure validity of all user programs and data; 0 Storage of all data in a commerCIally available relational database that prowdes a Structured Query Language (SQL) for access; 0 InactiVity time?outs in application software, both user defined and system defined Proposers shall denote in their proposals whether they propose to use eqmpment from eXIsting assets (as described in Appendix E) or to purchase or lease from other sources The Proposer shall examine closely data included in the Background Assumptions (see Appendix A) in order to appropriately Size system hardware and software The Proposer shall describe fully how its system features Will meet or exceed all performance requirements of this Statement of Work ACS is confident that our hardware and software solution described in the following sections, along with our performance to date, will give the Authorities confidence that ACS is able to complete the full scope of the RFP. @2005 ACS, Inc. 5.4.1-1 AC [5.4.1-2 ?2005 ACS, Inc. EM 5.4.2 Hardware Requirements RFP Proposer Instructions Proposers shall provrde a full and complete description of all hardware that will be utilized for the The system description shall list all equrpment by manufacturer and model number. and shall include flowcharts, block diagrams. and other material necessary to fully describe the Proposer's solution The proposal shall contain a detailed description of how the Proposer has sized the hardware chosen for the proposed solution The Proposer shall provrde information estimating the useful life of each major component. including Information from the manufacturer concerning how long the equrpment remain under support This includes all hardware and software components, including operating systems. database servers, web servers, application development envrronments, and reporting packages ACS understands the importance of a correctly sized computing infrastructure to meet the processing and storage requirements of a program as demandng as New York. lVe are leveraging this understanding, together with our operational experience, data center capabilities, strategic vendor relationships, and appreciation of industry trends to identify hardware and systems that will deliver best value to the Authorities and meet all of the requirements identified in the RPP. The computing infrastructm?e, both hardware and software, that AC 8 has delivered for the current New York prograln was best of breed when the program was envisioned and implemented. The ?ZPass$M New York program was then, and continues to be, the largest regional ETC program in the world, experiencing substantial growth over the past 13 years. AC8 continuously strives to maintain the hardware and solution to deliver the best performance for the program and the Authorities, but it is evident that the infrastructm?e is aging, and the growth demands of the program continue to test the limits of the hardware and software solution currently in place. ACS has been consistently proactive in oru? review of the infrastructure, constantly evaluating newly available technolo 'es for their suitabilitv in the New York environment. ?2005 ACS 542-1 @2005 ACS 5. ?2005 ACS @2005 ACS 5. ?2005 ACS @2005 ACS AC S, @2005 ACS This page intentionally left blank 5.4.2-8 @2005 ACS A 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. AC [5.4.2-12 ?2005 ACS, Inc. EM 5.4.3 Software Requirements Veetor 4.0 meets or exceeds all of the software requirements stated in the RFP. 5. ?2005 Acs, Inc. 5.4.3.1 Service Center Operations Software Functions 5.4.3.1 .1 Tag Handling ?2005 ACS, Inc. 5. ?2005 Acs, Inc. AC [5.4.3-4 ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. AC 5. ?2005 Acs, Inc. 5.4.3-9 ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5.4.3.1 .3 4 Mail Processing Functions 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5.4.3.1 .4 Call Center Functions 5. ?2005 Acs, Inc. ?2005 ACS, Inc. 5.4.3.1 .5 Web Site Functions ?2005 Acs, Inc. A Web Site?General Information The \Veb site AC8 maintains for the Authorities todayr includes and will continue to include the following general information, which may be accessed by New York customers and non-customers. The user will be able to access each of these links from the Home Page: ?2005 ACS, Inc. EM Information?The Information static pages consist of all participating toll facilities and maps, New York plan descriptions, application, and guidebook downloads for both private and business accormts, New York customer service locations (hours of weration, addresses, and directions) and the list of vehicles that rec uire exterior ta 5. Road and Travel Conditions?The Road and Travel Conditions static pages consist of links to weather reports, traffic advisories, and roadwork schedules. The information provided on these Web pages will assist the customer in determinin whether they will be travelin on roads that may im )act their travel. Terms and Conditions?The Terms and Conditions Web pages exist for both private and business accormts, allowing both acc01mt types to easily View the terms and conditions for their accormt in either PDF or HTML formats, in compliance with NYS Office for Technology Policy ?Accessibility of New York State VVeb-based Intranet and Internet Information and A )lications?. Hyperlinks?The Hyperlinks Web page provides the customer with useful links that will direct them to the Authorities Web sites, neighboring transportation agencies, and various other transportation?related Web pages. The Hyperlinks HTML will be updated to include additional hyperlinks at the Authorities request. Ask Usl?The Ask Us! Web page will consist of New York customers most frequently asked related questions. The V'Veb page will have a list of the questions and the appr0priate responses. The customer will have the ability to submit an electronic inquiry to the in the event that a question is not answered in the Ask Us! Portion of the Web site. The customer's inquiry will be routed to a designated queue for electronic response back to the customer. Please refer to Ir'Veb Customer Relationship Management section for fiu?ther details. Internet Privacy Policy?Today?s New York Web site contains a link to the Authorities Internet Privacy Policy from the New York Home Page. ACS recognizes that it is critical for individuals and businesses to be confident that their privacy is protected when they visit the I'Veb site. AC8 shall continue to adhere to the New York Internet Privacy Policy and will update the Internet Privacy Policy whenever the Authorities deem necessary. There may be instances when the static content on the New York Web site require updates. Such instances may include changes to the customer materials, the addition of new participating toll facilities, changes in terms and conditions, etc. ACS has the proven ability ?2005 ACS. Inc. 5.4.3-29 to update all static content of the Web site as requested by the Authorities in a timely manner. Static content changes will continue to be implemented based on the Authorities needs. The Authorities will cominimicate the change requests to ACS. ACS will have the apprOpriately trained staff available to work with the agencies and the Web site developers to define and facilitate the change requirements in a timely manner. The staff that Will be assigned the task of maintaining the Web site will provide the authority requirements to the development staff and will perform all necessary regression and quality assurance testing in a test enviromnent. Once all static updates have been tested and approved, ACS will coordinate the implementation into the production Web site. Installing updated and new V'Veb static pages does not require a Web outage. Static content implementations are relatively simple and are typically installed Within minutes, independent of an online release, and followed up with thorough regression testing. Enrolling on the Web The Web site today offers the prosPective customer several options for Opening an accomit. The most efficient manner for a customer to open an account is to use the Sign Up Now link on the New York Home Page. Currently, after clicking Sign Up Now, the user is asked to enter their State of Residence. Based on the State of Residence, the New York V?Veb site directs the )ros )ective customer to the a n?o )riate a encv servicin the State of residence entered. Ii 0 open an account online, the customer can be required to receive their statement by e? mail in order to reduce the costs associated with sending paper statements via the United States Postal Service. The New York prospective customer will be presented with the New York Terms and Conditions. Only after the Terms and Conditions are accepted will the user be permitted to proceed with the enrollment. The customer will complete the information on the application, including name and address, plan and vehicle details, transponder request, and payment information. Payment must be made by ACH or credit cards endorsed by Visa, lVIastercard, American Express, or Discover Card. The Customer?s payment transaction is submitted online. Online payment authorization is submitted to the AC or credit card processor. If the charge is approved, the customer Will 5.4.3-30 ?2005 ACS, Inc. A s. be provided with a printable confirmation, which will include their account number. The customer will be advised that the tags will be sent in the mail. The tag assignment for accounts opened on the Web will be included in Vector?s daily batch tag assignment job. If the processor does not approve the payment, the customer will be advised that the charge was not approved. At this point, the customer may provide an alternate payment method and re?submit the application. Some potential customers may opt to download and print either a private or business application instead of online enrollment. These customers will click on the link to download the private or business application in PDF format. Once the application is printed, the customer will complete the application and send it to the New York Customer Service Center for processing. The application will be processed and tag kits will be mailed by the CSC. Account Specific Information on the Web New York accountholders currently have the ability to obtain and update specific accormt information on the New York Web site. ACS successfully provides the following Web functionality for existing customers: 0 View account balance 0 View replenishment method 0 View last replenishment payment 0 View commuter trips taken and remaining 0 Change address and email 0 Change password 0 Change statement delivery method 0 Change payment method to credit card 0 Update credit card number 0 Update credit card expiration date 0 Make a one?time credit card payment 0 Add, modify and delete vehicles 0 Report lost and stolen tags 0 Request additional tags Forgot password link 0 View toll and financial history for a four-month period 0 View non?toll history for a four?month period 0 View non-financial history for a four?month period ?2005 ACS, Inc. 5.4.3-31 0 View all accormt history by date range 0 View toll history by date range and or device number 0 Submit an electronic inquiry to the CSC via the New York V'Veb site 0 View Violation status 0 TLC V'Veb site The customer must have their accormt number and password in order to obtain accormt information on the secru?ed New York Web site. It is important to note, that all updates to acc01mts are real?time updates. The accormt updates are reflected in the accormt immediately, just as if the accormt was updated in Vector. er. The request for the reminder is inserted as a transaction record in non?financial history. Following is the account specific information that the accountholder has the ability to view: Account Status?Customer is able to View their account status on the Accormt Information \?Veb page. The accormt status field on the Accormt Information page advises the accormtholder whether their accormt is in a Good status. The Accormt Information Web page also displays the accormt balance, address, last replenishment payment, the last three toll transactions, and Commuter Trip Information. Statements ?The New York customer will have the ability to View online statements and usage for a 12?month period, as opposed to the current four?month limitation, and download that information to their PC or printer. There will be a link for each statement period, which will identify the date range for the statement period. In addition, the customer will have the ability to search on a date range and a specific tag number within the twelve?month period. Account History?Account history consists of financial, non?financial, and non?toll history. Financial history displays toll transactions, replenishment payments, and any adjustments. A sample account toll hist01y screen is shown in Exhibit 5.4.3-9. Financial and Non- Toll history for the last 12 months, as opposed to the existing four?month limitation, will be available, with a link for each period. The accormtholder will also have the ability to enter a specific 12?month date range by device munber for which they would like to view financial or non?toll history. All account history screens will contain a ?Printer?Friendly' button, allowing the customer to print out their transactions in a formatted manner. 5.4.3-32 ?2005 ACS, Inc. Account History - m? Hun! Account Info Account History Update Personal Info Vehicle/Tag ~iaintnnance E-ZPass plus and :nantia? him-or; DILI: Pi15%) Account Maintenance Active Accounts 1,000,000 $1.00 per active account “All requests for tags for existing accounts must be processed and mailed within 2 business days” 99% 97% 0.25% 0.35% 0.80% Thus, the total payment otherwise due for Account Maintenance based on the unit price active account (if there were no reductions) would be: (1,000,000 Active Accounts) X ($1.00 per active account) = $1,000,000.00 The payment reduction due to non-compliance would be: $1,000,000 X (0.25%) = $2,500.00 It follows that the unit price payment for Account Maintenance (based on active accounts) would be: $1,000,000.00 - $2,500.00 = $997,500.00 To further clarify, if the actual performance was measured to be 92%, the second adjustment percentage (0.35%) would be used (because the actual performance is 7% below the threshold), increasing the payment reduction to $3,500.00. Finally, if the performance fell to 80%, the third adjustment percentage (0.80%) would be used, increasing the payment reduction to $8,000.00. Note that only one adjustment is made to each item that falls below the threshold. In other words, the reductions are not cumulative. They are, however, larger as the extent of non-compliance increases. This calculation is to be repeated for each and every one of the Performance Standards for which the Contractor did not meet or exceed the Adjustment Threshold. It bears restatement that even though a Performance Standard has not been met, the work associated with that standard must still be accomplished in its entirety. Appendix W Page 2 of 2 Release Version 6/05 TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Enrollment All properly3 completed individual applications received by mail or web Account shall be processed and tags mailed 99% . 0.05% 0.10% 0.15% . . . . Maintenance/Accounts Within 3 busmess days of receipt of the application All requests for tags for existing accounts shall be processed and 0 Account 0 mailed within 2 business days of 99 A) Maintenance/Accounts 0'25 A) 0'35 0'80 A) receipt of the request Payments All payments received shall be depOSIted Into the Authorities .bank 100% . Account 045% 0.70% 1.6% accounts by close of next busmess Maintenance/Accounts day All payments received shall be credited to the customer?s account 0 Account 0 before the tag ?le is created for that 100 Maintenance/Accounts 0'75 1'10 2'60 A day Automatic replenishment requests shall be made to ?nancial institution(s) Account within 2 calendar days of when any 100% 0.75% 1.10% 2.60% customer?s account reaches the replenishment threshold Maintenance/Accounts TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Notice that a Credit Card used for auto replenishment was declined letters 0 Account 0 0 shall be issued within 1 business day 99 Maintenance/Accounts 0?65 0?90 2?25 of the ?nal decline4 Customer Statements Customer statements shall be mailed Account or emailed within 7 calendar days from 99.5% Maintenance Accounts 0.40% 0.70% 1.60% end of statement cycle Archived customer statements shall be Account sent to the customer within 5 business 95% Maintenance Accounts 0.10% 0.15% 0.30% days of request5 Customer Service All inquiries disputes received via the web, telephone, mail and walk-in 0 . . centers shall be resolved or responded biz/:1 ?33; 55 Maintergiicfevxzcounts 0.45% 0.70% 1.60% to within 5 business days of receipt at CSC All inquiries disputes received via the web, telephone, mail and walk-in Account centers that are responded to but not 99% 0.55% 0.75% 1.90% resolved within 5 business days shall then be resolved within 20 calendar days of receipt at CSC Maintenance/Accounts TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Call Center 80 of the total number of calls 80% answered per day by the CSR 5 shall (measured Account 0.85% 1.25% 290% be answered Within 45 seconds of dail Malntenance/Accounts being placed into the CSR queue 98% of the The Voice Response System shall be total hours available to customers 24 hours/day, 7 excluding Account 0 0 0 days/week excluding approved approved Maintenance/Accounts 0'75 1'10 2'60 scheduled maintenance scheduled maintenance Voice Response System shall respond to interactive customer speci?c inquiry 95% of the Account from the database within 4 seconds calls answered Maintenance Accounts 0.75% 1.10% 2.60% from when the customer requests the per month speci?c information Web 98% of the The Website shall be available to ?Maggi per customers 24 hours/day, 7 days/week excluding Account 075% 1.10% 2.60% excluding approved scheduled a rove Malntenance/Accounts maintenance pp scheduled maintenance Transaction Processing A manual toll not sent in a transaction Account ?le shall be processed within 3 97% 0.40% 0.70% 1.60% business days of receipt Maintenance/Accounts TABLE W-1 Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Threshold Relevant Price Category/Unit A tag status file shall be generated6 daily and received by the Authorities by 4 a.m. (IAG files shall be incorporated based on availability to meet standard) 98% Valid ETC lane or E-ZPass Plus transactions – NY Authorities’ transactions from NYCSC accounts shall be processed7 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) 0 - 5%1 Below Threshold 5 - 15%2 Below Threshold More than 15% Below Threshold Account Maintenance/Accounts 0.90% 1.40% 3.20% 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% Valid ETC lane or E-ZPass Plus transactions – Away account on a NY Authority facility shall be processed8 within 24 hours of receipt (except for PANYNJ class mismatch and NYSTA unmatched transactions) 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% Away transactions – NY Authorities’ accounts traveling on an Away facility shall be processed9 within 24 hours of receipt 97% Account Maintenance/Transactions 0.80% 1.40% 3.00% NYSTA unmatched transactions shall be processed10 within 7 calendar days of receipt 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% TABLE W?l PE RF ORMA NCE 5 TA NDA RD Adjustment Threshold Relevant Price Category/Unit Adjustment Percentage (Reduction for Non-Compliance) - 5%1 Below Threshold 5 - 15%2 Below Threshold More than 15% Below Threshold NYSTA and PANYNJ license plate transactions shall be posted within 24 hours of identifying that the license plate belonged to a valid customer account 97% Account Maintenance/Transactions 2.30% 3.40% 8.00% System The system shall be available to users during business hours 99.6% Account Maintenance/Accounts 0.90% 1 .40% 3.20% Reporting All the reports identi?ed in the SOW must be provided no later than: 0 Daily 2 business days after report date 0 Weekly 3 business days after report date . 7 business days after report date 0 Quarterly 7 business days after report date . Annual 10 business days after report date 95% Account Maintenance/Accounts 0.30% 0.40% 0.90% TABLE W?l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Speed Enforcement Processing Speeding notices shall be mailed eed enforcement within 3 business days of transaction processmg/Notices posting date Toll Violation Processing Toll evasion images11 shall be Toll Violation processed 12within 3 business days of 97% . 4.30% 6.40% 15.00% . Processmg/lmages receipt. Archived images shall be sent to the Toll Violation customer or the Authority within 5 95% . 1.40% 2.20% 5.00% . Processmg/lmages busmess days of request Toll evasion notices shall be sent within 3 business days from obtaining 0 Toll Violation 0 0 the name and address from DMV or 97 Processing/Notices 4'30 6'40 15'00 /0 the contractor's database Class Mismatch Processing Class mismatch images13 shall be Class Mismatch processed14 within 5 business days of 97% . 4.00% 6.00% 14.00% . Processmg/lmages receipt. Archived images shall be sent to the Class Mismatch 0 0 0 0 customer or the Authority Within 5 95 A) Processing /lmages 2.00 A) 3.00 /o 7.00 A) busmess days of request TABLE W-l Adjustment Percentage (Reduction for Non-Compliance) PERFORMANCE STANDARD Adjustment Relevant Price 1 2 Threshold Category/Unit 0 - 5% 5 - 15% More than Below Below 15% Below Threshold Threshold Threshold Class mismatch notices shall be sent Class Mismatch within 3 business days of class 97% . . 4.00% 6.00% 14.00% . . . Processmg/Notlces mismatch Images being processed Walk-In Centers Customers shall wait in line no longer than 10 minutes at a walk-In center 95% Walk-In Center 5% 10% 25% before reaching a servuce wmdow (Upstate Walk-In Centers) Customers shall wait in line no longer than 10 at a Wa'k'm. ?enter 95% Walk-in Center 10% 15% 35% before reaching a servrce wmdow (Downstate Walk-In Centers) 1 means greater than zero and up to and including 5.00 percent 2 5-15%? means greater than 5 percent and up to and including 15.00 percent 3 Properly shall mean applications that are fully completed by the customer. 4 See Section 2.3.4.8.1.2 regarding credit card authorization and declines. 5 This performance standard only applies to statements less than three years old. 6 Generated shall mean incorporating all NY tags with any other LAG agency tag ?les received in the proper format for the NY agency. 7 Processed shall mean posted. rejected. ?ltered and reconcilable to the agencies. 8 Processed shall mean ?ltering and sending a transaction ?le to an Away CSC. 9 Processed shall mean posting. rejecting and reconciling transactions. 1? Processed shall mean matching or posting as a max toll. 11 Any number of images related to a single toll evasion violation transaction counts as a single image and images do not include the QA review of unreadable images or the re-reviewed images associated with license plate numbers rejected by as not having a match. 12 Processed shall mean matching image with transaction. viewing image. and identifying plate number or rejecting image. 13 Any munber of images related to a single class mismatch transaction counts as a single image for purposes of Performance Standards. pricing. and pricing adjustments. 14 Processed shall include reviewing images. determining class and processing adjustment if necessary. APPENDIX E ESCROW AGREEMENT THIS ESCROW AGREEMENT (“Escrow Agreement”) is made and entered into by and among________________, located at __________________, a _____________________ corporation (“Company”); _______________________, located at _______________ a ________________________ corporation ("Agent"); and the New York State Thruway Authority, Triborough Bridge and Tunnel Authority or Port Authority of New York & New Jersey, as applicable (“Authority”) located at _______________________. WHEREAS, On __________, 2006, the Company entered into an agreement with the Authority (“Agreement”), under the terms of which the Company operates the E-ZPass New York Customer Service Center (“NYCSC”) for the Authority; and WHEREAS, pursuant to such Agreement the Company has granted to the Authority an unlimited, perpetual, universal, irrevocable non-exclusive License to use, duplicate, and modify all such Equipment and Software needed to operate the NYCSC; and WHEREAS, pursuant to such Agreement the Company has also agreed that in the event the Company is in default of any of its obligations under the Agreement, the Authority has the right to immediately take possession of all applicable Equipment and Software, and the applicable facilities that house such items, and operate the NYCSC; and WHEREAS, pursuant to such Agreement the Company has agreed to deposit into escrow with the Agent all information necessary to operate and maintain the Equipment and use the Software (“Documentation”), including source and object code on industry standard media and source code listings in human readable form (as well as the compliers, assemblers and associated tools and utilities used to render source code executable, to modify it and to examine it), control files, operating systems, data base systems, network packages, all test procedures for all tests, test data, test documentation and test results; and WHEREAS, the Agent has consented to act as Escrow Agent and to receive and hold the current version and any future versions of the Documentation. NOW THEREFORE, the parties hereto do agree as follows: 1) Capitalized Terms a) Capitalized terms used in this Escrow Agreement that are not otherwise defined shall have the meanings assigned to such terms in the Agreement. 2) Deposit of Documentation a) Within thirty 30) days of the execution of this Escrow Agreement, the Company shall deposit the current version of the Documentation with the Agent, without charge to the Authority. 1 02/26/2007 b) c) c) 3) If the Company revises or supplements any of the Documentation, the Company shall within thirty (30) days of such revision and/or supplement deposit with the Agent, without charge to the Authority, a complete set of such revised and/or supplemented Documentation and shall indicate with each such deposit which documents and pages thereof have been revised or supplemented since the last deposit. If the Company revises or supplements the system specifications, drawings, source code, object code or any other aspect of the Software, Company shall within thirty (30) days of such revision or supplement deposit with the Agent a complete set of revised Documentation to support such changes and indicate with each such deposit which documents and pages thereof have been revised or supplemented since the last deposit. Each time the Company revises or supplements the Documentation and/or Software, the Company shall also produce an inventory or manifest of the materials or documents shipped to the Agent, as well as a new inventory of all Documentation in escrow. This inventory shall accompany the Company’s shipment of revisions or supplements to the Agent and the Agent shall send copies of such inventory to the Authority. Disposition of Escrow a) For the purposes of this Escrow Agreement, an Event of Default shall include the meaning set forth in Article 8.01 of the Agreement, the Company’s failure to pay the Agent any fee due under this Escrow Agreement, and a condition of the Software that adversely affects the Authority’s ability to collect revenue through electronic toll collection. Agent shall notify the Authority within thirty (30) days of the Company’s failure to pay fees required hereunder. b) Notice of Default and Distribution of Documentation i) The Authority shall provide written notice to the Agent when it believes that an Event of Default has occurred. The Agent shall, within five (5) business days of receipt of such a notice, so notify the Company. ii) Upon receipt of a notice from the Agent specified above, the Company shall have seven (7) days to file with the Agent an affidavit executed by a responsible executive officer stating that an Event of Default has not occurred or that the Event of Default has been cured, supported by evidence satisfactory to the Authority. If the Company fails to file such affidavit within seven (7) days or files an affidavit that is not satisfactory to the Authority, then the 2 02/26/2007 Agent shall upon the eighth day deliver to the Authority the Documentation held by the Agent. 4) 5) c) Distribution by Consent The Agent shall promptly make distribution of all or any part of the Documentation at any time and from time to time upon receipt of written instructions signed by the Authority and the Company. d) Distribution Pursuant to Court Order The Agent shall distribute the Documentation at any time as directed by a final judgment of a court of competent jurisdiction with respect to which no appeal has been taken or allowed within the time provided by law. Said final judgment will be accompanied by an opinion of counsel for the presenting party to the effect that said judgment is final and not subject to appeal, and the Agent may rely on such legal opinion. The Agent a) The Authority and the Company hereby engage the Agent and the Agent hereby accepts such engagement subject to the terms and conditions of this Escrow Agreement. The Agent shall accept and hold the Documentation in a fireproof vault or similar facility at its offices until released as provided by this Escrow Agreement. b) The Agent may rely on documents which may be submitted to it in connection with its duties hereunder and which is believed by it, after reasonable investigation, to be genuine and to have been signed or presented by the proper party or parties. c) If the Company and the Authority shall be in disagreement about the interpretation of this Escrow Agreement, or about the rights and obligations, or the propriety, of any action contemplated by the Agent hereunder, the Agent may file an action in interpleader with any court of competent jurisdiction as provided herein to resolve the said disagreement. The Agent shall be indemnified by the Company for all costs, including reasonable attorney’s fees in connection with the aforesaid interpleader action. Term of the Agreement a) This Escrow Agreement shall commence upon execution and shall be for a term of 13 years, unless extended by mutual agreement of the parties. The Company shall pay the Agent all required escrow fees for the initial 13-year term. If the Authority wishes to continue this Escrow Agreement beyond the initial 13-year period, the 3 02/26/2007 Authority shall pay such escrow fees. All terms and conditions of this Escrow Agreement, including but not limited to the deposit with the escrow agent of any and all changes to the Documentation, shall remain in full force and effect whether the Authority or the Company is responsible for the payment of escrow fees. b) At the end of the 13-year term, the Agent shall deliver to the Company any and all Documentation contained in the escrow account. c) The Authority shall have the right to terminate this Escrow Agreement at any time upon the delivery of written notice to the Agent and the Company. In such event, the Agent shall deliver the Documentation to the Company as if the 13-year period had naturally expired. 6) Observance of Laws The Agent and the Company agree to observe all Federal, State and local laws, rules, regulations and policies, and to procure all necessary licenses and permits. 7) Amendments This Escrow Agreement may not be changed or modified in any manner except by a subsequent writing, duly executed by the parties hereto. 8) Jurisdiction This Escrow Agreement shall be governed by the laws of the State of New York. The parties agree that any and all claims asserted hereunder shall be heard and determined by a court of competent jurisdiction in the State of New York. 9) No Assignments Neither the Agent nor the Company may assign this Escrow Agreement, nor their rights, title or interest therein, without the prior written consent of the Authority. 10) Notices All notices, demands, waivers and other communications hereunder shall be in writing and shall be mailed, registered or certified (first class, postage paid), return receipt requested as follows: As to the Agent: As to the Company: 4 02/26/2007 As to the Authority: 11) General a) The Agent hereby represents that to the best of its knowledge neither it nor any of its personnel has been the subject of any investigation or been convicted or indicted for commission of any crime involving misconduct, corruption, bribery, or fraud in connection with any public contract in the State of New York or any other jurisdiction, except as has been specifically disclosed in writing to the Authority, and that, should any such conviction or indictment be obtained or any such investigation commenced prior to the expiration of the term hereof, regardless of the date of the occurrence giving rise to the subject matter of such conviction, indictment or investigation, it will be disclosed in writing to the Authority and the Company. b) No member, officer, or employee of the Authority shall be liable personally hereunder or by reason hereof. c) The Authority and the Company shall be entitled, upon reasonable notice to the Agent and during normal business hours, to inspect, under the supervision of an officer of the Agent and at the Agent’s facilities, the physical and technical status and condition of the Documentation. The party undertaking the inspection shall provide written notice of the pending inspection to the other party, seven (7) calendar days prior to the scheduled date of the inspection. d) Verification. The Company, the Authority and the Agent agree that an independent party may inspect the Documentation from time to time in order to verify its relevance, completeness, currency, accuracy and functionality and whether it is the Documentation as defined in and contemplated by this Escrow Agreement. Such independent party shall agree, prior to the time of inspection, not to disclose, divulge or otherwise make available any information gathered from such inspection. The Authority may select such third party subject to approval by the Company, which approval shall not be unreasonably withheld. The Authority shall pay for such verification. Nothing in this paragraph shall be interpreted to impose any additional obligation on the Company inconsistent with the terms of this Escrow Agreement. The Authority shall provide the Agent and the Company with reasonable notice of any verification. Any verification shall take place during the Agent’s regular business hours. The Agent shall 5 02/26/2007 incur no liability with respect to any loss, damage or destruction to the Documentation (proprietary data) incurred as a result of verification. e) Headings The headings are for convenience only and do not affect the meaning of this Agreement. 12) Liability The Agent and the Company shall be responsible for all damage to life and property due to their negligent or otherwise tortious acts, errors or omissions in connection with their services under this Escrow Agreement. Further, it is expressly understood that the Agent and the Company shall indemnify and save harmless the Authority and/or the State of New York, as their interests may appear, from claims, suits, actions, damages, and costs of every name and description resulting from the negligent performance of the services of the Agent or the Company or the quality of goods provided under this Escrow Agreement, and such indemnity shall not be limited by reasons of any insurance coverage. However, the Agent and the Company shall not be required to indemnify the Authority for that portion of any claim, suit, action, damage or cost which arises due to the negligent act or omission of the Authority and shall not be required to indemnify the State of New York for that portion of any claim, suit, action, damage or cost which arises due to the negligent act or omission of the State. The provisions of this section shall survive the expiration or termination of this Agreement. 13) No Waiver of Provisions The Authority’s failure to exercise or delay in exercising any right or remedy under this Escrow Agreement shall not constitute a waiver of such right or remedy or any other right or remedy set forth therein. No waiver by the Authority of any right or remedy under this Escrow Agreement shall be effective unless made in a writing duly executed by an authorized officer of the Authority, and such waiver shall be limited to the specific instance so written and shall not constitute a waiver of such right or remedy in the future or of any other right or remedy under this Escrow Agreement. 14) Independent Contractor The Company and the Agent are, and shall be in all respects, independent contractors in performing services under this Escrow Agreement, and nothing herein shall be construed to create a partnership, joint venture or agency relationship among them. In accordance with their status as independent contractors, the Company and the Agent covenant and agree that neither they nor their agents and/or employees will hold themselves out as or claim to be an officer or employee of the Authority, and that neither the Company not the Agent nor their agents and employees shall 6 02/26/2007 make any claim, demand or application to or for any right or privilege applicable to an officer or employee of the Authority, including, but not limited to Worker’s Compensation coverage, Unemployment Insurance benefits, Social Security coverage or Retirement System membership or credit. 15) Confidentiality The Agent and the Company shall not divulge, disclose or otherwise make available to third parties or use the Documentation except as provided in this Escrow Agreement or to otherwise assure the continual and proper operation of the Equipment and Software. 16) Entire Agreement This Escrow Agreement, along with the Agreement and any other appendices, attachments, schedules or exhibits, constitutes the entire understanding between the parties and there are no other understandings, expressed or implied, written or oral, except as set forth in the Agreement. Π IN WITNESS WHEREOF, the undersigned have duly executed this Escrow Agreement on the __________ day of __________, 2007 Company __________________________ By: _______________________________ Agent _____________________________ By: _______________________________ Authority __________________________ By: _______________________________ 7 02/26/2007 TA-W51343-9 (07/2005) New York State Thruway Authority • New York State Canal Corporation SUPPLEMENTAL INSURANCE CERTIFICATE This form supplements ACORD 25 (2001/08) CERTIFICATE OF LIABILITY INSURANCE If questions, contact the Authority's Insurance Compliance Section at (518) 436-2891 Contractor/Vendor/Policyholder: All Work under Thruway Authority/Canal Corporation Project/Agreement/Permit Number: (If Thruway Authority/Canal Corporation Permit, leave line blank unless Permit Number is known ) Complete/check appropriate boxes: I. Commercial General Liability (CGL) Insurance a. Does the General Aggregate apply to this Project/Agreement/Permit only? b. Does the CGL provide coverage for: Yes No N/A 1. Explosion, Collapse and Underground Hazards (XCU)? 2. Products & Completed Operations Liability? 3. Injury to Contractor's/Subcontractor's employees (Labor Law claims)? 4. Contractual liability for the indemnification language in this Project/Agreement/Permit? II. Owners/Contractors Protective Liability Insurance a. Is the New York State Thruway Authority ("Authority") the named insured? b. Is the New York State Canal Corporation ("Corporation") the named insured? III. Workers' Compensation a. Does Workers' Comp. cover operations in New York State and any other state(s) in which Project/Agreement/Permit operations will take place? b. Does Workers' Comp. apply to federally-regulated employment? c. Is Workers' Comp. from a New York State licensed insurance company? d. If sole proprietorship, partnership, or corporation with one or two shareholders, is Workers' Comp. coverage provided for owners? e. Is proof of Workers' Comp. and Disability Benefits provided on the appropriate forms? IV. Environmental Insurance (EI) (including Asbestos & Lead Abatement) Professional Liability Insurance (PLI) (including Errors & Omissions) a. Does EI cover the scope of services listed in the Project/Agreement/Permit? b. Do EI defense costs reduce liability limits? c. If EI is on a claims-made basis, what is the retroactive date? d. Does PLI cover the scope of services listed in the Project/Agreement/Permit? e. Do PLI defense costs reduce liability limits? If PLI is on a claims-made basis, what is the retroactive date? f. V. Mandatory Endorsements and Other Provisions a. Are the Authority/Corporation Additional Insureds by ISO endorsement CG 20 10 11 85 or its equivalent, under the CGL and Umbrella policies, as required? b. c. d. Are the policies endorsed to provide 30 days advance notice to the Authority/Corporation of termination/change? Does the CGL carry a Project Endorsement for this Project/Agreement/Permit? Do any of the above policies contain a Deductible (D) or Self-Insured Retention (SIR)? If Yes, indicate the specific policy, whether D or SIR, its amount, and whether it is on a per claim, per occurrence, or aggregate basis: It is understood that the Authority/Corporation has requested the CERTIFICATE(S) OF LIABILITY INSURANCE and this SUPPLEMENTAL INSURANCE CERTIFICATE as evidence of insurance coverage and compliance with the insurance specifications contained in the Agreement. The Authority/Corporation is relying on the representations of coverages in the policies described, except as noted in this SUPPLEMENTAL INSURANCE CERTIFICATE. I certify that I am an authorized agent or representative of each of the insurance companies providing insurance for the above named Policyholder, and I have the authority on behalf of each such insurer to execute this SUPPLEMENTAL INSURANCE CERTIFICATE and the CERTIFICATE(S) OF LIABILITY INSURANCE. Signed: Date: Authorized Representative Insurer's Employee Print Name: Insurer's Agent Title: Insurance Broker {supply letter(s) of authorization from Insurer(s)} Firm Name: Telephone: Mailing Address: Fax: E-mail: