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REQUIREMENTS RESPONSE LOCATION FORM Vendors must identify the location (Section and Page) where each requirement is addressed within their proposal. Evaluators will review the information at the location provided on this form. Evaluators WILL NOT search through the proposal to find your response to requirements. REQUIREMENT ITN

Page Vendor’s Response Section

Vendor’s Response Page

5.1 Americans with Disabilities Act 16 5.2 Diversity 16 5.3 Discriminatory Vendor List 16 5.4 Convicted Vendor List 16 5.5 Suspended Vendor List 17 5.6 List of Prohibited Investments (Scrutinized Companies)

17

5.7 Federal Excluded Parties List 17 5.8 Registration with Florida Department of Management Services (FDMS) MYFLORIDAMARKETPLACE

17

5.10 Licensing by Department of State 18 5.12 Conflicts of Interest/No Prior Involvement

18

5.13 Organizational Conflicts of Interest 19 5.14 Confidential Information 19 5.15 Copyrighted Material (Waiver) 21 5.17 Reply Duration 21 6.1 Vendor Certification 22 6.3 Authorized Signature 22 6.4 Work Site and Location 22 6.5 Confidentiality of Information 23 6.6 Security Requirements 23 6.7 Subcontracts 23 7.1 Contractor 24 7.2 Commercially Available Software 24 7.10.1 SDU Contractor Compensation 26 7.10.2 Transaction Rate 26 7.10.3 Baseline Compensation 26 7.10.4 Reimbursable Costs 26 7.10.4.1 Original Receipts 26 7.10.4.2 IRS Regulations 26 7.12 Insurance Requirements 28 7.12.1 Commercial General Liability Insurance

29

7.12.2 Property Insurance 29 7.12.3 Worker’s Compensation Insurance 29 7.13.1 Surety Bond 29 7.13.2 Fidelity Bond 29 8.5.1 Accounting and Administrative Controls

34

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8.5.2 No change to current systems 34 8.5.3 Telephone Systems 8.7.7 Telephone Lines

34 35

8.5.4 State of the Art Equipment 34 8.5.5 Compliance with Title IV-D Requirements 34 8.6 Project Plan and Schedule 34 8.6.1 Planning Phase,4/14/13 to 6/30/14 35 8.6.2 Transition Phase, 6/30/14 to 8/31/14 35 8.6.3 Operations and Maintenance Begins 9/1/14

35

8.7 Facilities 35 8.7.1 Location within 15 miles of CS Offices in Tallahassee

35

8.7.2 Facilities Layout 35 8.7.3.1 Fire Alarm System 35 8.7.3.2 Fire Suppression Equipment 35 8.7.3.3 Burglar Alarm 35 8.7.3.4 Hold-Up/Panic Alarm 35 8.7.3.5 Proximity Card Access System 35 8.7.3.6 CCTV System 35 8.7.4 Reception35 Area 35 8.7.5 File Area/Housing 35 8.7.6 Furnishings 35 8.7.8 Space for DOR Staff 35 8.8.1 Staffing, Management 36 8.8.2 Staffing Plan 36 8.8.3 Project Manager, Resume 36 8.9.1 Project Manager, Responsibility/Hours 36 8.9.2 Project Manager Experience 8.10 Criminal Background Checks 36 8.11 Operations, Policies and Procedures 36 8.12 Operational Reporting 36 8.12.1 Mail Report 36 8.12.2 Receipts Report 36 8.12.3 Receipts By Category Report 37 8.12.4 Disbursements by Disbursement Method Report

37

8.12.5 Monthly Debit Card Information Report

37

8.12.6 Percent Disbursed by SDU Case Type Report

37

8.12.7 Paper %, Electronic % by SDU Case Type Report

37

8.12.8 IV-D Disbursement % by Disbursement Method Report

37

8.12.9 Suspense by Reason Report 37 8.12.10 Resolved Suspense by Reason Report

37

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8.12.11 Suspense Aging by Reason 38 8.12.12 Suspense Undistributable Processing Report

38

8.12.13 Customer Service Report 37 8.12.14 System Access and Security Report 38 8.12.15 Federal Reporting 38 8.12.15.1 Federal Reporting Data in Electronic

38

8.12.15.1.1 Federal IV-D, Non IV-D

38 8.12.15.1.2 Federal Undistributed IV-D and

38

8.12.15.1.3 Federal Cost Allocation Data

38 8.12.16 Ad Hoc Reporting 38 8.14 Quality Assurance Monitoring 41 8.15 Quality Control 41 8.16 Production Schedule 41 8.17 Audits and Financial Operations 42 8.17.1 Access (Non Systems) 42 8.17.2 Access (Systems) 42 8.17.3 Proprietary Rights (Materials) 42 8.17.4 Proprietary Rights (IT) 42 8.17.5 Full Access to Staff 43 8.17.6 Interference 43 8.17.7 Annual Audit 43 8.18 Change Orders 43 8.19 Centralized Disbursement Unit Services 43 8.20.1.1 “As Built” System Blueprint & Code 43 8.20.1.2 Functional Specs, Process Flows,

43

8.20.1.3 Commonly Used Software Products 44 8.20.1.4 Ability to add new data sources 44 8.20.1.5 Minimize Data Redundancy 44 8.20.1.6 Incorporate Changes 44 8.20.1.7 Data Retention 44 8.20.1.8 Change Activities 44 8.20.1.8.1 Use Existing System Documents 44 8.20.1.8.2 Analysis/Proposed Solution 44 8.20.1.8.3 Timelines 44 8.20.1.8.4 Separate Environments 44 8.20.1.8.5 User Testing 44 8.20.1.8.6 Emergency Solutions 44 8.20.1.8.7 Version Control 45 8.20.1.8.8 System Documentation Updates 45 8.20.1.8.9 Software Configuration Plan 45 8.20.1.8.10 Issue and Change Management 45 8.20.1.8.11 System Issues Lists/Status 45 8.20.1.9 Delivery and Installation Schedule 45 8.20.1.10 Handling of Previous SDU vendor

45

8.20.1.11 Database Housing Parent Change

45 8.20.1.12 Equipment and Software

45

8.20.1.13 Escrow Agent 45 8.20.1.14 Site Preparations 46 8.20.2.1 SDU Database (Includes 8.20.2.1.1 thru 8.20.2.1.13)

46

8.20.2.2 SDU Database Availability 46

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8.20.2.3 SDU Database Update Capability 46 8.20.2.4 System Availability (24/7/365)

46

8.20.2.5 System Availability and Volume 47 8.20.2.6 System Availability Monitoring 47 8.20.2.7 System Preventive Maintenance 47 8.20.2.8 Hardware Operation (MTBF by Manufacturer)

47

8.20.2.9 Hardware Operation (MTBF by Component Information)

47

8.20.2.10 System Information Reports 47 8.20.2.11 Physical Access and Security Logs

47

8.20.2.12 Annual SSAE 16 (SAS70) Report 47 8.20.2.13 Auditable System History 47 8.20.2.14 System Availability Report 47 8.20.2.15 Backup and Restoration 47 8.20.2.15.1 System Back-Ups 47 8.20.2.15.2 Disaster Recovery Plan 47 8.20.2.15.3 Back-up/Recovery Procedures 47 8.20.2.15.4 Development and Testing 48 8.20.2.15.5 Unattended Back-Ups 48 8.20.2.15.6 On-Line Back-Up and Automatic Recovery

48

8.20.2.15.7 Database Mirroring 48 8.20.2.15.8 Contingency Plan 48 8.20.2.16 SDU Database Functionality 48 8.20.2.17 Minimization of Database Errors 48 8.20.2.18 Notes/Comments Functionality 48 8.20.3.1 Hosting Site 48 8.20.3.2 Purchase and Maintenance of Equipment

48

8.20.3.3 LAN Infrastructure and Support 48 8.20.3.4 RPO Period 49 8.20.3.5 State of the Art Equipment 49 8.20.3.6 Mail Equipment 49 8.20.4.1 Secure Servers for File Transfer 9 8.20.4.1.1 File transfer Security Standards 49 8.20.4.1.2 User Credentials 49 8.20.4.1.3 Acceptance Testing/Productions File Processing

49

8.20.4.1.4 File Formats 49 8.20.4.2 EFT/EDI Formats 49 8.20.4.3 Data File Creation 49 8.20.5.1 CAMS System Interface 49 8.20.5.2 CLERK System Interface 49 8.20.6.1 Public WEB Site 50 8.20.6.2 Link to DOR/CS WEB Site 50

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8.20.6.3 Compliance with DOR Procedures

50 8.20.6.4.3 Access/Print Ability for Receipt Images

50

8.20.6.4 WEB Site Application Approval 50 8.20.6.4.1 Access to CS Information 50 8.20.6.4.2 Access to Collection/Disbursement Information

50

8.20.6.4.3 Access/Print Ability for Receipt Images

50

8.20.6.4.5 WEB Based Employer Debit Authorization Functionality

50

8.20.6.4.6 Accepts On-Line Credit Cards 50 8.20.6.4.7 Accepts One-Time or Recurring Payments

50

8.20.6.4.8 On-Line Enrollment for Debit Card Program

50

8.20.6.4.9 Direct Deposit for Request Ability 50 8.20.6.4.10 On-Line Enrollment in Direct

50

8.20.6.5 Security Standards 50 8.20.6.6 Levels of Access 51 8.20.6.7 Validation Controls 51 8.20.6.8 Log-On/Data System Response Times

51

8.20.7.1 Compliance with State and Federal Security Procedures and Requirements

51

8.20.7.2 Florida Information Technology Resource Policies and Procedures

51

8.20.7.3 Confidentiality and Integrity of Department Data

51

8.20.7.3.1 Data At Rest Encryption 51 8.20.7.3.2 Data In Transit Encryption 51 8.20.7.3.3 Risk Management (IT) 51 8.20.7.3.4 Network Security 51 8.20.7.3.5 Physical Security (IT) 51 8.20.7.3.6 Network Access 51 8.20.7.4 System Security 51 8.20.7.4.1 Restricted Access (Internal and External)

51

8.20.7.4.2 Access Rights to Records and Fields

51

8.20.7.4.3 Unauthorized Access Prevention 52 8.20.5 State of Florida Information Technology

52

8.20.7.5.1 §282.318, F.S. Compliance 52 8.20.7.5.2 §817.5681, F.S. Compliance 52 8.20.7.5.3 Chapter 71A-1(1), F.A.C.

52

8.20.7.5.4 System Dedicated to SDU use

52 8.20.7.6 SDU Physical Security 52

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8.20.7.7 SDU Security 52 8.20.7.8 Need Only, Limited Access 52 8.20.7.9 Staff Disclosure of Child Support

52

8.20.7.10 Information Confidentiality 53 8.20.7.11 Notificationn of Disclosure and

53

8.21 System Sucrity Plan 53 8.21.1 Compliance, Florida Statutes, ComplianceComputer Related Offenses.

53

8.21.2 Compliance, Federal/State

53 8.21.3 Physical Safety of Data 53 8.21.4 Cooperation with Department 53 8.21.5 Restricted Access to Personal Data 53 8.21.6 Improvements/Modifications from

53

8.21.7 Staff/Subcontractor Staff Signed

53 8.21.8 Confidentiality Training 53 8.21.9 Notification of Misuse or Unauthorized Access

53

8.22 Safeguarding Federal Tax Information

53 8.23 Emergency Preparedness 53 8.24 Disaster Recovery 54 8.25 Plans and Transition Requirements 54 8.26.1 Tasks, Staff, Hours, Milestones, Decision Points and Critical Paths for

54

8.26.2 Use of Sub-Contractors, Critical Path Dependencies, Mitigation efforts

54

8.26.3 Identification of Department Participation in Activities

54

8.26.4.1 Transition of Inbound Electronic Payments

54

8.26.4.2 Transition of Outreach, Notices and Other Communication

54

8.26.4.3 transition of Outbound Electronic Disbursements

54

8.26.4.4 Factors, Communications, Timelines, Milestones for Transition

54

8.26.4.5 Critical decision points, risk factors associated with those decision points and

54

8.27.1 Staffing, Adjustments and Information 55 8.27.2 Low and Peak Demand Periods 55 8.27.3 Separation of Duties 55 8.27.4 Staffing for Special Requirements 55 8.28.1 Training for Department Staff (Initial) 55 8.28.2 Training for SDU Partners (Initial) 55 8.28.3 Training Methodologies 55 8.28.4 Training Materials (on-Going Training)

55

8.28.5 Trainer’s Experience 55

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8.28.6 Trainer’s Familiarity with Department

55 8.28.7 Train-the-Trainer 55 8.28.8 Training Costs 55 8.29.1 Communications Plan 55 8.29.1.1 Contractor Staff List 55 8.29.1.2 Monthly Contact List Updates 55 8.29.1.3 Communication Protocols 55 8.29.1.4 Clear Expectations 56 8.29.1.5 Bi-Weekly System Updates 56 8.29.1.6 System Changes, Testing, Strategy and Prioritization Strategy

56

8.29.1.7 Immediate Coordination and Communication

56

8.29.1.8 Advanced Notice on Policy Changes

56 8.29.2 Use of Department’s Operational Incident Report form

56

8.29.2.1 Operational Incident Report Form – Delayed/Incomplete Receipt Processing

56

8.29.2.2 Operational Incident Report Form – Delayed/Incomplete Disbursement Processing

56

8.29.2.3 Operational Incident Report Form – Duplicate Receipts or Duplicate Disbursements

56

8.29.2.4 Operational Incident Report Form – Hardware/Software Malfunctions

56

8.29.2.5 Operational Incident Report Form – Identified Customer Service Complaints

56

8.29.2.6 Operational Incident Report Form – IVR Issues

56

8.30 Transfer of Employer Infomration 56 8.31 Transfer of Existing Suspense Items 57 8.31.1 Operations Turn Over Plan 57 8.31.2 Contractor Cooperation in End of Contract Transition

57

8.32.2.1 Transition of WEB Site 57 8.32.2.2 Transition of Inbound Electronic Payments

57

8.32.2.3 Transition of Outbound Electronic Disbursements

57

8.32.2.4 Transition of Bank Account Information Required to Clear Outstanding

57

8.32.2.5 Transition of bank account information for customers receiving payments by Direct Deposit

57

8.32.2.6 Transition of account information for customers with an open debit card account

57

8.32.2.7 Transition of bank account information for other states receiving payments by EFT/EDI

57

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8.33.1.1 Details of automation of mail handling and processing

57

8.33.1.2 Department’s Refund Procedures 57 8.33.1.2.1 Processing of Correspondence 57 8.33.1.2.2 Suspicious Package Handling 57 8.33.1.2.3 e-Mail Responses 57 8.33.1.2.4 Mailroom Monitoring 58 8.33.1.2.5 Secured Mailroom 58 8.33.1.2.6 No Damage to Mail 58 8.33.1.2.7 Restrictive Endorsements 58 8.33.1.3 Correspondence Accompanying Payments

58

8.33.1.4 Mail Imaging 58 8.33.1.5 Imaging Backup and Recovery Plan 58 8.33.2 High Speed Sorting Equipment 58 8.33.2.1 Sorting By Attributes 58 8.33.2.2 Daily Mail Processing Report 58 8.33.2.3 Misdirected Mail 58 8.33.2.4 Returning Mail 58 8.34.1 Mail Received at PO Boxes 58 8.34.2 Retain PO Boxes 58 8.34.3 Mail Pick-Up Schedule 58 8.34.4 Mail Pick-up and Delivery 58 8.34.5 Registered, Certified, Special Delivery, Other Special Handling Mail

58

8.34.6 Special Handling Log 59 8.34.7 Lockbox 59 8.34.8 Mail/Receipt Processing 59 8.34.9 Exception Processing 59 8.34.10 Pulls 59 8.34.11 Reporting Process Problems 59 8.34.12 Employer Support 59 8.34.13 Information for Employers 59 8.34.14 Electronic Receipts File, Bank Deposits

59

8.35.1 Processing Paper Payments 59 8.35.2 Payments and Payment Identification Screening

59

8.35.2.1 Agreement of numeric and written check amounts.

60

8.35.2.2 Post-dated negotiable instruments 60 8.35.2.3 Stale-dated negotiable instruments. 60 8.35.2.4 Checks with no signature. 60 8.35.2.5 Blank or incorrect payee line. 60 8.35.2.6 Dollar amount discrepancy between check and source document.

60

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8.35.2.7 Payment Coupon or Employer Case Identification Information received without a payment.

60

8.35.2.8 Payment received without Payment Coupon or Employer Case Identification Information

60

8.35.2.9 Altered dollar amount on payment instrument.

60

8.35.2.10 Foreign currency. 60 8.35.2.11 Persons owing support to a child(ren) with multiple cases to ensure proper posting to appropriate cases.

60

8.35.3 High Dollar Payment Processing 60 8.35.4 Foreign Currency Forms and Procedures

60

8.35.5 Processing Electronic and Paper Foreign Payments

60

8.35.5.1 Identification of Foreign Currency 60 8.35.5.2 Current Exchange Rate 60 8.35.5.3 Conversion to US Dollars 60 8.35.5.4 SWIFT Account 60 8.35.6 Separate Lockbox for Repayments 60 8.35.7 Audit Train for Payment Instrument Transfers Between Units

60

8.35.8 Payor Feedback on Errors 60 8.36.1 EFT/EDI Receipts 60 8.36.2 EFT/EDI Receipts 60 8.36.2.1 EFT/EDI Education and Outreach 60 8.36.2.2 EFT/EDI Employer Assistance 60 8.36.2.3 EFT/EDI Employer Assistance 61 8.36.2.4 EFT/EDI Receipts Formats 61 8.36.2.5 No Interruption in Current EFT/EDI Customers

61

8.36.2.6 Representative for All OCSE EFT/EDI Conference Calls

61

8.36.3 Payments from Money Transfer Agents

61

8.36.4 Credit/Debit Card Payments 61 8.36.5 Over the Counter Receipts 61 8.36.5.1 OTC Payment Data Entry to SDU System

61

8.36.5.2 OTC Deposits to Bank Account 61 8.36.5.3 Daily Verification of OTC Processing

61

8.36.6 EFT/EDI Processing Same Day 61 8.36.7 Other Electronic Payment Alternatives

61

8.37.1 Suspense Processing, Research and Resolution

61

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8.37.1.1 Working with Department and SDU

61 8.37.1.2 Suspense Processing Plan 61 8.37.1.2.1 Suspense Research Activities 61 8.37.1.2.2 On-Line Access to Suspense Files 61 8.37.1.2.3 CAMS System Use for Suspense 61 8.37.2. Misapplied Payment Process Accounted For

61

8.37.2.1 Accept Financial Responsibility for Misapplied Payment Researchs

62

8.37.2.2 Misapplied Payment Procedures 62 8.37.2.3 Misapplied Corrections within 1 Day 62 8.37.2.4 Accept Financial Respinsibility for Misapplied Payment Fund Losses

62

8.37.2.5 Misapplied Funding/Loss Reporting 62 8.37.3.1 Rejected Check Criteria and

62

8.37.3.2 Rejected Payment Resoluntion, 1 Business Day

62

8.37.3.3 Annual Review of Reject Criteria and Procedures

62

8.38.1.1 Batch Processing, Batch Size 62 8.38.1.2 Batch Processing, Equal Batches 62 8.38.1.3 Batch Processing, Batch Header 62 8.38.1.4 Batch Processing, Batch ID Number 62 8.38.1.5 Batch Processing, Batch Card 62 8.38.2 Batch Processing, Suspense Items 63 8.38.3 Batch Processing, Batch Balancing 63 8.38.4 Batch Processing, Entry of Payments into SDU System Daily

63

8.38.5 Batch Processing, Daily Batch to Deposit Reconciliation

63

8.38.6 Batch Processing, Daily Batch Balancing Activites

63

8.38.7 Batch Processing, Daily Collection FIle 63 8.39.1 Bank Deposits, Interest Bearing Account

63

8.39.2 Bank Deposits, Qualified Public

63 8.39.3 Bank Deposits, Same Day as Receipt 63 8.39.4 Bank Deposits, Next Business Day Deposit for Foreign Payments

63

8.39.5 Bank Deposits, Image Cash Letter Capability

63

8.40.1 Disbursement, NACHA Compliant EFT Capability

63

8.40.2 Disbursement, Daily Disbursement File Processing

63

8.40.3 Disbursement, Notification/Operational Incident Report for Incomplete Disbursements

63

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8.41.5.1 Check File Requirements - Check Stub Information

64

8.41.5.2 Check File Requirements - Pre-Sort Ability

64

8.41.5.3 Check File Requirements - Bar Code

64

8.41.5.4 Check File Requirements – Zip Code Bundling

64

8.41.6 Check Format – Detachable Stub 64 8.41.6.1 Check Format –Payor Name(s) 64 8.41.6.2 Check Format - Payee Name 64 8.41.6.3 Check Format - Check Date. 64 8.41.6.4 Check Format – Depository Number(s)

64

8.41.6.5 Check Format – Check Amount 64 8.41.6.6 Check Format – Check Number 64 8.41.6.7 Check Format – Case Amounts 64 8.41.6.8 Check Format – Payor SSN 64 8.41.6.9 Check Format – Receipt Date/Withholding Date

64

8.41.6.10 Check Format – FIPS Number 64 8.41.6.11 Check Format – Medical Support Indicator

64

8.41.6.12 Check Format – Other State Case Number

64

8.41.6.13 Check Number – Florida Case Number

64

8.41.6.14 Check Format – Disbursement Description

64

8.41.7 Department Defined Check Stock 64 8.41.8 Escheatment Policy 64

8.40.4 Disbursement, Required Direct Deposit, Debit Card, Paper Check and EFT/EDI

63

8.40.5 Disbursement, Daily SDU Disbursment File and Print FIle

63

8.40.6 Disburement, Disbursement Transaction Details Stored in SDU Database

64

8.40.7 Disbursement, Daily Disbursement Method Change File

64

8.40.8 Disbursement, Voids and Void File 64 8.41.1 Disbursement Checks; Check Stock 64 8.41.2 Disbursement Checks; Daily Check File 64 8.41.3 Disbursement Checks; Department Defined Checks

64

8.41.4 Disbursment Chechs; Electronicalyy Generated Signature

64

8.41.5 Disbursement Checks; Check File Requirements

64

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8.42.1 Mail Time 65 8.42.2 Voiding Checks 65 8.42.3 Stop Payments 65 8.43.1 Database Update - Voided Check 65 8.43.2 Database Update – New Addresses 65 8.43.3 Database Update – Address Deactivation

65

8.43.4 Daily Address Update File 65 8.44.1 Lost, Stolen, Forged Check Processing (Time Limits)

65

8.44.2 Enrollment in Direct Deposit/Debit Card Program After Lost, Stolen, Forged Check

65

8.44.3 Lost, Stolen, Forged Check

65 8.44.3.1 Lost, Stolen, Forged Check Procedures – Quality and Customer Service

65

8.44.3.2 Lost, Stolen, Forged Check Procedures – Timely Resolution

65

8.44.3.3 Lost, Stolen, Forged Check Procedures – Mandatory Enrollment in Direct Deposit/Debit Card Program

65

8.45.1 Direct Deposit; Transfer of Direct Deposit Account Information

65

8.45.1.1 Direct Deposit Program Description 65 8.45.1.2.1 Direct Deposit Program - Maintain Current Direct Deposit Program

66

8.45.1.2.2 Direct Deposit Program - Development and Processing of New Forms

66

8.45.1.2.3 Direct Deposit Program - Research and Problem Solving Activities

66

8.45.1.2.4 Direct Deposit Program - Maintain Account Information

66

8.45.1.2.5 Direct Deposit Program - Market Research and Customer Outreach.

66

8.45.1.2.6 Direct Deposit Program – returned Direct Deposits

66

8.45.1.2.7 Direct Deposit Program – Resolve Transmission Issues with Bank

66

8.45.1.3 Direct Deposit – Maintain Direct Deposit Account Information

66

8.45.1.4 Direct Deposit – Receive, Store Use Direct Deposit Account Information for People Due Support from Prior Contractor

66

8.45.1.5 Direct Deposit – Maintain Bank Account Information for Other States

66

8.45.1.6 Direct Deposit – Receive, Store, Use Direct Deposit Information for Other States from Prior Contractor

66

8.46.1 Debit Card Description 66

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8.46.2 Debit Card - Accounts, Initial Debit Cards

66

8.46.3 Debit Card – Access to Payments Via ATM’s, Banks and Retail Establishments

66

8.46.4 Debit Card – Current Debit Card Payee Files and Enrollment Information Mailings

66

8.46.5 Debit Card - Free Debit Card 66

8.46.6 Debit Card - Escheatment Policy 66

8.46.7 Debit Card – Address Updates, Deactivations, Daily Address File

67

8.46.8 Debit Card – Marketing and Customer Outreach

67

8.46.9 Debit Card – Exceptions File 67

8.46.10 Debit Card – Visa or MasterCard Affiliation

67

8.46.11 Debit Card – Policy Change Notification

67

8.46.12 Debit Card – Fees 67

8.46.13 Debit Card – Informational and Instructional Materials

67

8.46.14 Debit Card – Fraud File 67

8.46.15 Debit Card – Fund At Settlement Methodology Option

67

8.46.16 Debit Card – Processing Returned Debit Cards

67

8.46.16.1 Debit Card – Payee Address Update, Card Provider

67

8.46.16.2 Debit Card – Payee Address Update, SDU Database

67

8.46.16.3 Debit Card – Address Updates, Daily Address File

67

8.46.16.4 Debit Card - Debit Card – Payee Address Update to Card Provider Daily

68

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8.47 Disbursements to Foreign Countries 68 8.48.1 Banking Operations – Bank Accounts 68

8.48.2 Banking Operations – EFT/EDI and Paper Check Receipts Transfer to State Treasury Accounts

68

8.48.3 Banking Operations – Interest Paid to Department Monthly

68

8.48.4 Banking Operations – Final Banking Structure Review Submission

68

8.49 ACH/EFT Plan 68

8.50.1 Escrow Account – Responsibility for Financial Losses

68

8.50.2 Escrow Account – Funding 68

8.50.3 Escrow Account – Establishment Deadline

68

8.50.4 Escrow Account – Failure to Fund Escrow Account

68

8.50.6 Escrow Account – Account Closeout 69

8.51.1 Positive Pay – Exceptions Research, Bank Notification

69

8.51.2 Positive Pay – Documentation and Reporting

69

8.51.3 Positive Pay – Nil Report 69

8.51.4 Positive Pay – Processing According to UCC

69

8.51.5 Positive Pay –“Unauthorized” is Default Response

69

8.52.1.1 Account Activities – Transfers 69

8.52.1.2 Account Activities – Performance of Banking Activities and Reconciliations

69

8.52.1.3 Account Activities – Transfer Reporting

69

8.52.1.4 Account Activities – Bank Statements/Reconciliations

69

8.52.2.1 Account Activities – Adjustments and Adjustment Database

69

8.52.2.2 Account Activities – Adjustment Reporting

69

8.52.3.1 Account Activities – Returned Items, Recollection Account

70

8.52.3.2 Account Activities – Returned Items, Bank Fees

70

8.52.3.3 Account Activities – Returned Items, Maintain Information on Balances and Collection Activity

70

8.52.3.4 Account Activities – Returned 70

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Items, RDI Recoveries and Notification Debit Transactions on Daily Misapplied/NSF File

8.52.3.5 Account Activities – Returned Items, RDI Recoveries and Notification Credit Transactions on Daily Misapplied/NSD File

8.52.3.6 Account Activities – Returned Items, Generate and mail collection letters.

70

8.52.3.7 Account Activities – Returned Items, Access to RDI Status and Tracking Information

70

8.52.3.8 Account Activities – Returned Items, Database to Flag Cases with Past RDI

70

8.52.3.9 Account Activities – Returned Items, Create an Automated Process to Identify and Reject Future Payments Remitted on the Same Account

70

8.52.3.10 Account Activities – Returned Items, Department Notification of Bank Account Errors

70

8.52.4.1 Account Activities – Voided Disbursements, Establish and Maintain Voided Check Process

70

8.52.4.1.1 Account Activities – Voided Disbursements, Void Checks Only When In Contractor’s Possession

70

8.52.4.1.2 Account Activities – Voided Disbursements, Image All Voided Checks

70

8.52.4.1.3 Account Activities – Voided Disbursements, Enter Voids Into ADU System

70

8.52.4.1.4 Account Activities – Voided Disbursements, Assign Appropriate Void Codes

70

8.52.4.1.5 Account Activities – Voided Disbursements, daily Void File

70

8.52.5 Account Activities – Establish and Manage Stop Payment Process

70

8.52.5.1 Account Activities – Stop Payments, Image All Stop Payment Requests

70

8.52.5.2 Account Activities – Stop Payments, Place Stop Payment on Checks Not in the Contractor’s Possession

70

8.52.5.3 Account Activities – Stop Payments, No Stop Payments and Voids on Same Check

70

8.52.5.4 Account Activities – Stop Payments, Assign Appropriate Stop Payment Code

70

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8.52.5.5 Account Activities – Stop Payments, Include Stop Payments in Daily Void File

70

8.52.6.1 Account Activities – Stale Dated Checks, Establish and Manage a Stale Dated Check Process

70

8.52.6.2 Account Activities – Stale Dated Checks, Enter Stale Dated Check Information Into the SDU System

71

8.52.6.3 Account Activities – Stale Dated Checks, Assign Appropriate Stale Date Code

71

8.52.6.4 Account Activities – Stale Dated Checks, Include Stale Date Check Information on Daily Void File

71

8.52.7.1 Account Activities – Forgeries, Processing Forgeries

71

8.52.7.2 Account Activities – Forgeries, File Forgeries with Bank

71

8.52.7.3 Account Activities – Forgeries, Department Notification

71

8.52.8 Account Activities, Provide Copies of Disbursed Checks

71

8.53 Account Activities – Reconciliation, Accounting for All Transactions

71

8.53.1 Account Activities – Reconciliation, Bank to Book Balancing, Monthly Reconciliation

71

8.53.2 Account Activities – Reconciliation, Bank to Book Balancing, Data Provided to Department

71

8.53.3 Account Activities – Reconciliation, Bank to Book Balancing, Daily File Reconciliations

71

8.53.4 Account Activities – Reconciliation, Bank to Book Balancing, Weekly Bank Account Reconciliations

71

8.53.5 Account Activities – Reconciliation, Bank to Book Balancing, Retain Documents

71

8.53.6 Account Activities – Reconciliation, Bank to Book Balancing, Specific Reconciliations

72

8.53.6.1 Account Activities – Daily Reconciliations

72

8.53.6.2 Account Activities – Bank Account Error Notification

72

8.53.6.3 Account Activities – Maintain Online Account Records

72

8.54 Account Activities – Reconciliation, Bank to Book Balancing, Receipts Reconciliation

72

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8.55 Account Activities – Reconciliation, Bank to Book Balancing, Disbursement Reconciliations

72

8.56 Account Activities – Reconciliation, Bank to Book Balancing, Returned Items Reconciliation

72

8.57 Account Activities – Reconciliation, Bank to Book Balancing, recoupment Reconciliation

72

8.58.1 Customer Service – Establish Customer Service Functions

72

8.58.2 Customer Service – Web Site 72

8.58.2.1 Customer Service – Toll Free Integrated Voice Response System

72

8.58.2.2 Customer Service – Call Center 72

8.58.2.3 Customer Service –Referrals To Department’s Call Center

73

8.58.2.4 Customer Service – WEB Site 73

8.58.2.5 Customer Service – Parent and Employer Education Materials

73

8.58.2.6 Customer Service – Alternate Communications Methods, Text and e-Mail

73

8.59.1 IVR – Provide and Maintain and IVR 73

8.59.1.1 IVR – Plain Language Menu 73

8.59.1.2 IVR – IVR Availability 73

8.59.1.3 IVR – ADA Compliance 73

8.59.1.4 IVR – Develop Scripting 73

8.59.1.5 IVR – Update Capability 73

8.59.1.6 IVR – Local, National and International Incoming Call Capability

73

8.59.1.7 IVR – IVR Availability 73

8.59.1.8 IVR – English and Spanish Capability

73

8.59.1.9 IVR – Maintenance, Upgrades and Revisions

73

8.59.1.10 IVR – Reports 73

8.59.1.11 IVR – Ad Hoc Reporting 73

8.59.1.12 IVR – Expansion Ability 73

8.59.2 IVR – IVR Information Accuracy 73

8.59.3 IVR – Notification of Problems 73

8.59.4 IVR – Downtime Log 74

8.59.5 IVR – Immediate Opt-Out Option 74

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8.59.6 IVR – Inaccurate Information Correction

74

8.60.1 Customer Call Center – Respond Timely

74

8.60.2 Customer Call Center – Call transfers 74

8.60.3 Customer Call Center – Address Updates

74

8.60.4 Customer Call Center – Expansion Ability

74

8.60.5 Customer Call Center –Hours of Operation

74

8.60.6 Customer Call Center – Costs 74 8.61 Obligor/Employer Education 74 8.61.1 Obligor/Employer Education – Materials

74

8.61.2 Obligor/Employer Education – Education Campaigns, Mailings, Public Awareness Programs

74

8.62.1 Text Messaging and e-Mail 74 8.62.2 Options on WEB Site 74 8.62.3 User’s Option to Stop Text and e-Mail Service

74

8.63.1 Call Monitoring – Department Staff On Site Access

75

8.63.2 Call Monitoring – Department Staff Access to Monitor Calls

75

8.63.3 Call Monitoring – Capturing In-Bound Call Statistics

75

8.63.4 Call Monitoring – Retain Call Recordings

75

8.64 Information Requests 75

8.65.1 Complaints - Operational Incident Reports

75

8.65.2 Complaints – Customer Service Incident Log

75

8.65.3 Complaints – Responding to Complaints

75

8.66.1.1 Escalated Incidents – Referral to Designated Contact (Contractor)

75

8.66.1.2 Escalated Incidents – Referral to Designated Contact (Department)

75

8.66.1.3 Escalated Incidents – Referral to Designated Contact (SDU Partners)

75

8.66.1.4 Escalated Incidents – Complaints from Legislator’s or Other Public Official’s Offices.

75

8.66.2 Escalated Incidents – Contractor Designated Contact

76

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8.66.3 Escalated Incidents – Escalated Contact to Correct Inaccuracies

76