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EXHIBIT C

State of Vermont Bidder Response Form

State of Vermont Bidder Response Form

Request for Proposal Name:

Department of Liquor and Lottery Licensing and Enforcement System

RFP Template Revised: March 8, 2019 Exhibit C - Contract Template Revised: December 12, 2018

Exhibit C

Vendor Instructions:

Provide the information requested in this form and submit it to the State of Vermont as part of your Request for Proposal (RFP) response. All answers must be provided within the form unless otherwise specified.

Important: This form must be completed and submitted in response to this RFP for your proposal to be considered valid. The submission must also include the ten (10) additional artifacts requested within this form (denoted by underlined green font).

1.1 See the RFP for full instructions for submitting a bid. Bids must be received by the due date and at the location specified on the cover page of the RFP.

Direct any questions you have concerning this form or the RFP to:

Stephen Fazekas, Technology Procurement AdministratorState of Vermont

Office of Purchasing & Contracting109 State Street

Montpelier VT 05609-3001E-mail Address: [email protected]

1.2


mailto:[email protected]

1.3 Part 1: VENDOR PROFILE

1. Complete the table below.

Item Detail

Company Name: [insert the name that you do business under]

Physical Address: [if more than one office – put the address of your head office]

Postal Address: [e.g. P.O Box address]

Business Website: [url address]

Type of Entity (Legal Status):

[sole trader/partnership/limited liability company or specify other]

Primary Contact: [name of the person responsible for communicating with the Buyer]

Title: [job title or position]

Email Address: [email]

Phone Number: [landline]

Fax Number: [fax]

2. Provide a brief overview of your company including number of years in business, number of employees, nature of business, and description of clients. Identify any parent corporation and/or subsidiaries.

3. Is your organization currently or has it previously provided solutions and/or services to any agency or entity of the Vermont State government? If so, name the State entity, the solution and/or services provided, and the dates.

4. Provide a Financial Statement* for your company and label it Attachment #1 . A confidentiality statement may be included if this financial information is considered non-public information. This requirement can be filled by:

A current Dun and Bradstreet Report that includes a financial analysis of the firm; An Annual Report if it contains (at a minimum) a Compiled Income Statement and

Balance Sheet verified by a Certified Public Accounting firm; or Tax returns and financial statements including income statements and balance sheets for

the most recent 3 years, and any available credit reports.

*Some types of procurements may require bidders to provide additional or specific financial information. Any such additional requirements will be clearly identified and explained within the RFP, and may include supplemental forms in addition to this Bidder Response Form.

5. Disclose any judgments, pending or expected litigation, or other real potential financial reversals, which might materially affect the viability or stability of your company or indicate below that no such condition is known to exist.

6. Provide a list of three references similar in size and industry (preferably another governmental entity).

References shall be clients who have implemented your Solution within the past 48 months.


Reference 1 Detail

Reference Company Name: [insert the name that you do business under]

Company Address: [address]

Type of Industry: [industry type: e.g., government, telecommunications, etc.]

Contact Name: [if applicable]

Contact Phone Number: [phone]

Contact Email Address: [email]

Description of system(s) implemented:

[description]

Date of Implementation: [date]

Reference 2 Detail








[description]


Reference 3 Detail








[description]


1.4 PART 2: VENDOR PROPOSAL/SOLUTION


1. Provide a description of the technology solution you are proposing.

2. Provide a description of the capabilities of the technology solution you are proposing.

3. If a proprietary software is being proposed, provide a description of the:A. Standard features and functions of the software:

B. The software licensing requirements for the solution:

C. The standard performance levels: Hours of system availability: System response time: Maximum number of concurrent users: Other relevant performance level information:

4. Give a brief description of the evolution of the system/software solution you are proposing. Include the date of the first installed site and major developments which have occurred (e.g. new versions, new modules, specific features).

5. List the total number of installations in the last 3 years by the year of installation.

6. Provide the total number of current users for the proposed system and indicate what version they are using.

7. Have you implemented the proposed solution for other government entities? If so, tell us who, when, and how that implementation went?

8. Provide a Road Map that outlines the company’s short term and long term goals for the proposed solution/software and label it Attachment #2.

9. Provide a PowerPoint (minimum of 1 slide and maximum of 10 slides) that provides an Executive level summary of your proposal to the State. Label it Attachment #3.

10. Does your proposed solution include any warranties? If so, describe them and provide the warranty periods.

11. Describe any infrastructure, equipment, network or hardware required to implement and/or run the solution.

12. What is your recommended way to host this solution?

13. Describe how your solution can be integrated to other applications and if you offer a standard-based interface to enable integrations.

14. Respond to the following questions about the solution being proposed:

Vendor Response/ExplanationQuestion Yes or

NoA. Does the solution use Service Oriented

Architecture for integration?


B. Does the solution use a Rules Engine for business rules?

C. Does the solution use any Master Data Management?

D. Does the solution use any Enterprise Content Management software?

E. Does the solution use any Case Management software?

F. Does the solution use any Business Intelligence software?

G. Does the solution use any Database software?

H. Does the solution use any Business Process Management software?

I. Is this a browser-based solution and if so what browsers do you support?

J. Does the solution include an API for integration?

1.5


1.6 PART 3: FUNCTIONAL REQUIREMENTSThe worksheet table attached lists the State’s Functional Requirements. Indicate the “Availability” for each requirement for your proposed solution. Use the “Vendor Comments” column to provide any additional information or explanations.

A - Feature is available in the core (“out-of-the-box”) solution. D - Feature is currently under development (indicate anticipated date of availability in the Vendor comments column). C - Feature is not available in the core solution but can provided with customization. N - Feature is not available.

Attachment 10 - Part 3: Functional Requirements

1.7 PART 4: NON- FUNCTIONAL REQUIREMENTSThe tables below list the State’s Non-Functional Requirements. Indicate if your proposed solution complies in the “Comply” column.

Yes = the solution complies with the stated requirement.No = the solution does not comply with the stated requirement. N/A = Not applicable to this offering.

Describe how the requirement is met in the “Vendor Description of Compliance” column.

4.1 Hosting ID #

Non-Functional Requirement Description Comply

Vendor’s Description of Compliance

H1 Any technical solution must be hosted in a data center.

H2 Any hosting provider must provide for back-up and disaster recovery models and plans as needed for the solution.

H3 Any hosting provider will abide by ITIL best practices for change requests, incident management, problem management and service desk.

4.2 Application SolutionA1 Any solutions vendor must provide for the

backup/recover, data retention and disaster recovery of a contracted/hosted application solution.

A2 Any solutions vendor must provide for application management and design standard of all technology platforms and environments for the application solution (Development, Staging, Productions, DR, etc.)


ID #

Non-Functional Requirement Description Comply

Vendor’s Description of Compliance

A3 Any solutions vendor must engage the State of Vermont using Service Level Agreements for system and application performance, incident reporting and maintenance.

A4 The State owns any data they enter, migrate, or transmit into the solution and the vendor shall allow the State to pull or copy this data at any time free of charge.

A5 As a contract deliverable, the vendor shall supply an up-to-date data dictionary that represents all data respective of the solution it will provide. The data dictionary must contain the following attributes:

1. The technology (RDBMS platform) that hosts the data source, i.e. Oracle, SQL Server, MySQL, DB2, etc.

2. The location where the data source is hosted

3. Thorough descriptions of each table in the data source

4. Thorough descriptions of each column within each table in the data source. In addition to business definitions, column descriptions must include the following detail: schema names; file group names (if applicable); data types; lengths; primary and foreign key constrains; applied formatting; applied calculations; applied aggregations; NULL-ability; default values.

4.3 SecurityAs a solution vendor, you must have documented and implemented security practices for the following and have a process to audit/monitor for adherence. Indicate “Yes” or “No” in the “Comply” column or “N/A” if the requirement is not applicable to this offering. Use the “Vendor Description of Applicable Security Processes” column to describe how you meet the requirement and the “Audit/Monitor” column to indicate how you monitor for compliance.


ID #

Non-Functional Requirement Description

Comply Vendor’s Description of Applicable Security Processes

Audit/Monitor Process

S1 Input validationS2 Output encodingS3 Authentication and

password managementS4 Session managementS5 Access controlS6 Cryptographic practicesS7 Error handling and

loggingS8 Data protection from

unauthorized use, modification, disclosure or destruction (accidental or intentional).

S9 Communication security

S10

System configuration

S11

Database security

S12

File management

S13

Memory management

S14

Fraud detection

S15

General coding practices

S16

POA&M management

S17

Risk Assessment Practices including but not limited to vulnerability assessment and pen testing

S18

Incident response planning and testing

S19

System Security Plan delivery

4.4 Other Non-Functional Requirements For each requirement listed, indicate if and how you comply or type “N/A” if it is not applicable to your offering.


ID # Non-Functional Requirement Description Comply Vendor’s Description of Compliance

CRM-01 Ability to pre-define a series of activities like tasks, appointments and calls that should be executed in a predefined sequence and applied to any entity.

CRM-02 Vendor will provide documentation that includes configuration workbook, release notes for newly introduced functionality, deployment checklists, governance process, and best practices for supporting State of Vermont's CRM platform

SF-01 Salesforce - VT ADS invested in the Salesforce platform for the enterprise wide approach and the proposed solutions using Salesforce CRM shall align with the existing Enterprise Object/Data Model (exhibit X)

SF-02 Salesforce - Provide architectural approach that aligns with the existing platform solution by leveraging existing modules or building new modules that can be reused by other projects or agencies. See ADS Platform Modules (exhibit X)

SF-03 Salesforce - All modules and components to be compatible with Salesforce Lightning Web Component (LWC). Vendor must demonstrate its experience and best practices with the LWC usage.

CRM-03 Provides a social, collaborative enterprise platform supporting portals and multiple communities.

CRM-04 Provides pre-built componentized enabling elements on pages that can be composed into external facing portals

CRM-05 Vendor will outline supported desktop, laptop, mobile versions, browser versions, and operating system requirements

CRM-06 Vendor will develop standardized web services to leverage API and security protocols

CRM-07 Must leverage middleware (Mulesoft), or service bus integrations, as opposed to any point-to-point data integration

SF-04 Salesforce - Application must leverage existing VT ADS Inspection mobile app capabilities and be extended based on the DLL licensing needs

CRM-08 Solution must have achieved FedRAMP Authority to Operate (ATO) at the moderate impact level for Software as a Service and Platform as a Service.

CRM-09 Must configure a solution that will produce transactional data and reports, in alignment with the State Strategic Plan (exhibit X) and its associated taxonomies, that enhance efficiency in business operations, promotes transparency and accountability, and captures real-time outcome metrics at program, agency and statewide levels.

CRM-10 Vendor will leverage State of Vermont's Enterprise Data/Object Model (exhibit x) to


facilitate standardized reporting, ad hoc queries, list views and dashboards


CRM-11 Duplicate Management: The solution should provide a duplicate management capability to help maintain clean and accurate data.

CRM-12 Meta-data driven and allow for common meta-data use across differing lines of business and different instance/orgs

CRM-13 Custom fields: Create new fields that are immediately searchable and reportable in the application.

CRM-14 Vendor will configure data quality monitoring views and develop methods for cleansing any data quality issues and train state system administrators to perform such activities (ie. duplicate contacts/accounts/records and matching logic and process for remediation)

CRM-15 Must provide a multi-tenant, hosted cloud development platform with the CRM license which allows the state to build out additional functionality and extend the CRM applications to meet additional business processes and requirements for the future.

CRM-16 All Customizations Protected Across All Upgrades: Application should be architected in such a way that upgrades to the application don’t cause any customizations to stop working.

CRM-17 Provides out-of-the-box, pre-built visual components to easily create apps through a declarative drag and drop framework

CRM-18 Solution should provide capability to search external content across external search engines.

CRM-19 100% multi-tenant, cloud application. No additional software or infrastructure costs are required to enable the service to operate beyond an internet browser or mobile device.

CRM-20 The system will provide auditing and internal capabilities to generate audit logs.

CRM-21 Provide access to event log files to track system usage trends and user behavior such as who is logging in and from where, what pages users are viewing, and what reports users are running and exporting.

CRM-22 Provide ability to track the changes that users make to field values in the system.

CRM-23 Application Response Times: Vendor must offer response times that can be expected from the application. Vendor must also offer approximated transaction loads/ numbers of transactions through your service.

CRM-24 CRM - Cloud Platform SaaS components are natively integrated with no special integration required to connect or sync data.

CRM-25 CRM - Must have previous experience in implementing licensing application in the cloud CRM tool with preference given for prior experience working with a state liquor and


beverage control agency


SF-05 Salesforce - Must direct and support release management activities using the State's Azure DevOps tool, in alignment with the state release model for continuous implementation & integration, and train state staff in such activities, including creating and executing automated test cases, formal deployment process, tracking and performing UAT activities, tracking use cases& requirements, and reporting issues while also leveraging SFDC ability to track changes for audit purposes

CRM-26 Mobile Applications shall support offline capabilities; limited to essential business process for field work. i.e. fillable form fields which sync-up with cloud platform when device is back online.

CRM-27 Solution is mobile enabled out of the box on any device (no custom coding or programming required).

SF-06 Salesforce - Vendor must demonstrate willingness and ability to support multi-state collaborative approach where states may share their independently developed modules/capabilities with each other. Vendor must support Vermont's strategic planning efforts to collaborate with partner states however, no specific requirements for reusability for the DLL project have been identified Note: Please describe how vendor will support this vision for sharing modules with other states.

CRM-28 Analytics and Reports: Provide standard and custom configurable reports and dashboards to analyze quality, effectiveness, satisfaction, issues, and overall performance. Reports and Dashboards can roll up from individuals to full management hierarchy, with drill-down capability.

CRM-29 Vendor will provide security policy for consultants' access to State of Vermont systems, and abide by security requirements set forth by State of Vermont, including data access/environment access and time frame specifications for access

CRM-30 Must provide vulnerability assessment and test results within the cloud technology upon request

CRM-31 Single Sign on: Application must use LDAP and be able to integrate with multiple Active Directory services and be multi domain aware. User login credentials cannot be stored in the application. Application provides the option to require a combination of password identification with PIN.

CRM-32 Must have flexible, limited use customer portal user access and identity management

CRM-33 SOC 1 Compliance: SaaS service is compliant with SOC 1.

CRM-34 Assure the software does not contain any of the


Open Web Application Security project (OWASP) top 10 vulnerabilities: https://www.owasp.org/index.php/Main_Page


CRM-35 Application shall support configurable field level security controls

CRM-36 Sharing and Reporting: The reporting engine and the Dashboards should strictly adhere to the rules set up in the sharing model and to any field-level security in place.

CRM-37 Must demonstrate ability to configure page layouts and record types associated with user role and security model, supporting segmentation of data and ease of use in the context of a shared statewide org Note: Please submit full written response to this requirement

SF-07 Salesforce - Must demonstrate ability to implement DLL capabilities within the larger context of the State's continuous integration/development model utilizing independent development environments where code is developed/tested/approved prior to migration to subsequent environments (Q/A, UAT) and eventually to the state's single production org Note: Please submit full written response to this requirement

CRM-38 Subscription/License cost must include multiple automatic upgrades to the CRM application per year without any re-configuration or costs for the state.

CRM-39 Available quickly and directly through a web browser, with no software to download or hardware to install.

CRM-40 Highly secure environment that is compliant with Federal security guidelines and holds a FedRAMP Moderate Authority to Operate (ATO) for SaaS and PaaS

CRM-41 Business Intelligence analytics must be compliant with FedRAMP ATO

CRM-42 Self-paced online training modules for the following user roles shall be available at no additional cost: -Administrator (Intro & Advanced) -Security& RBAC -Developer (Intro & Advanced) - Integration Architect

SFPL01 Salesforce - Contractor must demonstrate an understanding of the constraints of a single org architectural strategy and summarize their design strategy & methodology

SFPL02 Salesforce - Contractor shall have at least 5 years of Salesforce implementation experience in the public sector and have at least 5 Salesforce certified technical staff members exclusively dedicated to implementing on the Salesforce platform.

SFPL03 Salesforce - Contractor shall assign, and provide the resume of, at least one


technical staff person who has 2 or more years direct experience utilizing Salesforce DX to support CI/CD development methodologies. Preferably in the government sector.


SFPL04 Salesforce - Contractor shall assign to the project at least one project management resource familiar with hybrid waterfall/agile development methodologies. Preferably with experience in the government sector.

SFPL05 Salesforce - Contractor shall familiarize themselves with Vermont’s CRM Platform governance model. Please see exhibit – Vermont CRM Participating Agreement. Contractor must assist the state to reinforce and refining the concepts addressed in the Participating Agreement

SFPL06 Salesforce - Contractor shall perform discovery/design sessions and develop user stories. User stories must be approved by all project stakeholders prior to commencing formal development sprints.

SFPL08 Salesforce - Contractor shall perform tasks associated with the entire Salesforce SDLC using the state’s Azure DevOps platform, integrated with native SF tools, to enable continuous integration and deployment, including but not limited to:o Azure Pipelines to build and deploy

code with embedded approval processes:

o Git for source control of codeo Azure Boards for tracking work, code

defects, and issues using Kanban and Scrum methods

o Azure Artifacts to integrate package sharing into CI/CD pipelines

o Project DashboardsAzure Test Plans using tools to test apps, including manual/exploratory testing and continuous testing.

SFPL09 Salesforce - Develop automated test scripts that provide validation of all major capabilities which can be rerun as part of CD/CI process. Update prior automated test scripts as needed.

SFPL10 Salesforce - Assess and refine overall Data/Object Model based on existing


development, new development and long-term strategy for extensibility and sustainability. Including but not limited to:

Contact and Account model review and updates as needed

Preference for configuration vs. code

SFPL11 Salesforce - Contractor shall describe similar projects completed with other state governments to implement a single org Salesforce architecture with a proven model for managing common contacts and accounts across disparate business use cases. Please provide sample data model for common contacts and accounts.

4.5 Data ComplianceVendors and their solutions must adhere to applicable State and Federal standards, policies, and laws based on the type of data that will be stored, accessed, transmitted and/or controlled by the solution. If the “Type of Data” column is checked below, respond “Yes” or “No” in the “Comply” column and provide an explanation on how you comply in the “Vendor’s Description of Compliance” column.

Type of Data Applicable State & Federal Standards, Policies, and Laws

Comply Vendor’s Description of Compliance

☒ Publicly available information

NIST 800-171

☒ Confidential Personally Identifiable Information (PII)

State law on Notification of Security Breaches State Law on Social Security Number Protection State law on the Protection of Personal Information National Institute of Standards &

Technology: NIST SP 800-53 Revision 4 “Moderate” risk controls

Privacy Act of 1974, 5 U.S.C. 552a . ☒ Payment Card Information

Payment Card Industry Data Security Standard (PCI DSS) v 3.2

☐ Federal Tax Information

Internal Revenue Service Tax Information Security Guidelines for Federal, State and Local Agencies: IRS Pub 1075

☐ Personal Health Information (PHI)

Health Insurance Portability and Accountability Act of 1996: HIPAA

The Health Information Technology for Economic and Clinical Health Act HITECH

Code of Federal Regulations 45 CFR


https://www.govinfo.gov/app/collection/cfr/2017/title45

https://www.irs.gov/privacy-disclosure/safeguards-program

https://legislature.vermont.gov/statutes/fullchapter/09/062

https://legislature.vermont.gov/statutes/fullchapter/09/062

95.621



Type of Data Applicable State & FederalStandards, Policies, and Laws

Comply Vendor’s Descriptionof Compliance

☐ Affordable Care Act Personally Identifiable Information (PII)

Internal Revenue Service Tax Information Security Guidelines for Federal, State and Local Agencies IRS Pub 1075

Minimum Acceptable Risk Standards for Exchanges MARS-E 2.0 (Scroll down the page)

☐ Medicaid Information

Medicaid Information Technology Architecture MITA3.0

Code of Federal Regulations 45 CFR 95.621

☐ Prescription Information

State law on the Confidentiality of Prescription Information

☐ Student Education Data

Family Educational Rights and Privacy Act: FERPA

☐ Personal Information from Motor Vehicle Records

Driver’s Privacy Protection Act (Title XXX) (“DPPA”) 18 U.S.C. Chapter 123, §§ 2721 – 2725

☐ Criminal Records Criminal Justice Information Security Policy: CJIS

☐ Other:

1.84.6 State of Vermont Cybersecurity Standard 19-01

Vendor shall certify by checking the box below the Solution shall not include, incorporate, rely on, utilize or be supported by any products or services subject to the limitations provided under State of Vermont Cybersecurity Standard 19-01, which Contractor acknowledges has been provided to it, and is available on-line at the following URL: https://digitalservices.vermont.gov/cybersecurity/cybersecurity-standards-and-directives .

☐ Contractor hereby certifies that in connection with the Request for Proposal, none of the applicable products or services will be included in or used to support State systems in a manner prohibited under the Standard.

1.9


https://digitalservices.vermont.gov/cybersecurity/cybersecurity-standards-and-directives

https://digitalservices.vermont.gov/cybersecurity/cybersecurity-standards-and-directives

https://www.congress.gov/bill/103rd-congress/house-bill/3355/text



https://www.cms.gov/CCIIO/Resources/Regulations-and-Guidance/



1.10 PART 5: IMPLEMENTATION/PROJECT MANAGEMENT APPROACH

1. Describe the approach you would recommend for project managing this engagement.

2. Provide a list of the standard project management deliverables that you would normally produce for this type of engagement.

3. Provide a proposed list of project phases, major milestones, and an implementation time-line. Label this Attachment #4.

4. What types of difficulties have other clients experienced with implementation of the proposed solution?

5. Describe the experience and qualifications of the Project Manager you would offer as the resource for this engagement. Provide a copy of their resume and label it Attachment #5.


PART 6: TECHNICAL SERVICES

1. Describe the technical services included in your proposal (e.g., business analysis, configuration, testing, implementation, etc.).

2. Provide a list of the standard deliverables for the technical services described above.

3. Provide a description of the roles/services/tasks the State will be expected to cover as part of this engagement. Describe any additional roles/services/tasks that are optional, but would be beneficial for the State to provide.

4. Describe your typical conversion plan to convert data from existing systems to your proposed solution (if applicable).

5. Describe and attach your typical Implementation Plan (label it Attachment #6), which shall include planning for the transition to maintenance and operations.

6. Describe the experience and qualifications of the technical resources proposed for this engagement. Provide their resume(s) and label them Attachment #7.

7. Describe the training that is included in your proposal.

8. Describe the system, administrator, and/or user documentation that is included in your proposal.

9.


PART 7: MAINTENANCE AND SUPPORT SERVICES

1. Provide answers to the questions below regarding your company’s Maintenance and Support Services:

Questions Vendor ResponseService: Customer Phone &/or Email SupportWhat is the method for contacting technical support?What are the hours of operation for support?What is the turnaround time for responses?What is the escalation process for support issues?Who comprises the support team and what are their qualifications?Define your response resolution metrics and how you capture and report them.Service: Incident/Security Breach Notification and ProcessDescribe your identification and notification process for security breaches.Service: Data ManagementDescribe how data is stored, retained and backed-up (including frequency).Service: HostingDescribe the hosting service and associated service levels.


Questions Vendor ResponseService: Scheduled Maintenance/DowntimeWhat is the frequency of scheduled maintenance and downtime?What is the notification process for scheduled maintenance and downtime?Describe how “maintenance” updates are tested with customers prior to installing them in their live environments. Service: System UpgradesAre software upgrades provided as part of the software support contract? Describe your software upgrade process.How often are new versions released?Is documentation and training provided for system upgrades? Are there additional costs for upgrades and/or new releases?Describe how and when the State will have an opportunity to test system upgrades/releases prior to live installation.Describe how the State will validate post installation and how changes will be backed out in the event that a problem is encountered.


Questions Vendor ResponseService: Bug Fixes and Minor EnhancementsDescribe the frequency and process for providing, testing, and installing bug fixes and minor enhancements.Service: Disaster RecoveryDescribe the disaster recovery services included in this proposal for any non-state hosted services.What is your standard RPO and RTO?Describe the plan your company has in place for its own disaster recovery of any sites that may be involved in support of this proposal.

2. Describe any other services not mentioned in the above list that are included in your standard Service Level Agreement (SLA) and include a copy of your SLA with your response to this RFP. Label the SLA Attachment #8.

3. Describe how adherence to your service levels is measured and what remedies you would provide the State when performance doesn’t meet the standard?

4. Provide a description of your support proposal for the 5 years post implementation as Attachment #9.


1.11 PART 8: PRICING

1. Submit pricing for your proposed solution in the table below. Fill in only the lines that are applicable to your proposal. Insert lines for additional costs, but do not delete or rename any lines in the Table. Total each column and provide a total of all columns in the “Total Implementation, plus 5 Year Costs” box on the next page.

Cost TypeOne Time

(Implementation)

Year 1 Year 2

Year 3 Year 4 Year 5

Software Enterprise Application: License Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Maintenance &/or License Fee Add-Ons $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

Subscription cost $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Storage Limitations and/or Additional Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

Database Software: License Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Middleware Tools: License Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Operating System Software: License Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

Upgrade Costs for Later Years $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Solution Support $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Maintenance Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Implementation ServicesProject Management $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Requirements $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Design (Architect Solution) $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Development (Build, Configure or Aggregate)/Testing $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

System Testing $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Defect Removal $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Implement/Deploy or Integrate $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Quality Management $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

Cost TypeOne Time

(Implementation)

Year 1 Year 2

Year 3 Year 4 Year 5

Implementation Services ContinuedTraining $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

Telecom $0.00Bandwidth $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

$0.00 $0.00 $0.00 $0.00 $0.00 $0.00Hardware $0.00Computing Hardware $0.00 $0.00 $0.00 $0.00 $0.00 $0.00


Storage and Backup Hardware $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Network Hardware $0.00 $0.00 $0.00 $0.00 $0.00 $0.00Facilities/Data Center $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

Hosting $0.00Hosting Fees $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

$0.00 $0.00 $0.00 $0.00 $0.00 $0.00

Total Base Costs $0.00

Total Implementation plus Five Year Costs $ 0.002. Describe any assumptions you have made in relation to the above cost and pricing information.

3. Provide pricing information for any volume discounts that are available based on the number of software licenses purchased or support years purchased.

4. Provide pricing for any Functional Requirements marked as “C” (feature is not available in the core solution, but can be provided with customization).


PART 9: TERMS AND CONDITIONS

In deciding which Bidders to shortlist, the State will take into consideration each Bidder’s willingness to meet the State’s contract terms and conditions. Indicate any objections or concerns to the State’s stated contract terms and conditions provided in the RFP. Add lines to the table below as needed.

Important: Bidders will be bound to all contract terms and conditions provided in the RFP, except as set forth in the table below, and only if and to the extent expressly agreed to by the State and incorporated in writing in a resulting contract. Note that exceptions to the State’s contract terms and conditions may cause rejection of the proposal or the State’s inability to execute a contract with the selected bidder.

Clause Location

Concern Proposed Verbiage

[indicate RFP, exhibit, attachment or addendum, section & page number]

[briefly describe your concern about this clause]

[describe your suggested alternative wording for the clause or your solution]








PART 10: AUTHORIZED COMPANY SIGNATUREI am authorized to submit a proposal to the State of Vermont in response to this RFP on behalf of my organization. The information provided as part of my organization’s response is a true and accurate representation of my organization’s ability to meet the State of Vermont’s business needs as expressed in this RFP.

Signature:

Full name:

Title:

Company:

Date:


Checklist:

o Complete this Bidder Response form in its entirety

o Required Attachments

1. Provide a Financial Statement* for your company and label it Attachment #1 (described on page

3)

2. Provide a Road Map that outlines the company’s short term and long-term goals for the proposed

solution/software and label it Attachment #2 (described on page 5)

3. Provide a PowerPoint (minimum of 1 slide and maximum of 10 slides) that provides an Executive

level summary of your proposal to the State. Label it Attachment #3 (described on page 5)

4. Provide a proposed list of project phases, major milestones, and an implementation timeline. Label

this Attachment #4 (described on page 19)

5. Provide a copy of your proposed project manager's resume and label it Attachment #5 (described

on page 19)

6. Provide a copy of your typical Implementation Plan and label it Attachment #6 (described on page

20)

7. Provide resume(s) for your proposed technical resources and label them Attachment #7 (described

on page 20)

8. Provide a copy of your SLA with your response to this RFP. Label the SLA Attachment #8

(described on page 23)

9. Provide a description of your support proposal for the 5 years post implementation as Attachment

#9 (described on page 23)

10. Functional Requirements Matrix label as Attachment #10


Attachment #10 – Functional Requirements

The table below lists the State’s Functional Requirements. Indicate the “Availability” for each requirement for your proposed solution. Please use the separate Excel workbook to complete this section.

A - Feature is available in the core (“out-of-the-box”) solution. D - Feature is currently under development (indicate anticipated date of availability in the Vendor comments column). C - Feature is not available in the core solution but can provided with customization. N - Feature is not available.

List of codes for the State's priorities.MH - Must HaveSH - Should HaveNTH - Nice To Have


Class Identifier DLL Requirement DLL Prior

ityMH-SH-NTH

Availability

Vendor Comments

3.1 Workflow Management

3.1.1 Automate Business Process

3.1.1.1 The Solution shall automate business processes, providing automated alerts, notifications, task delegation and escalation, and setting status and data based on events, tasks or changes to data.

MH


3.1.2 Workflow Status

3.1.2.1 The Solution shall automatically capture, set, trigger workflow status changes based on business process steps, and task completion.

MH


3.1.3 Task, Workflow Notification

3.1.3.1 The Solution shall notify users when tasks are assigned, completed, or when data or workflow status changes. Users are able to set preferences to filter which events they receive notifications for. Users can elect to receive notifications via email in addition to their system “inbox”.

MH


3.1.4 View Tasks

3.1.4.1 The Solution shall provide all internal and external solution roles with a task queue or inbox that lists all tasks and notifications. The Solution shall provide users with the ability to filter/search that list, or sort by date or other criteria. Users are able to set a status on a task to “In Progress” or “Completed”.

MH


3.1.4 View Tasks

3.1.4.2 Internal Manager users shall be able to view all of their team’s tasks.

MH


3.1.5 Customize Workflows

3.1.5.1 The Solution should provide Solution Administrator the ability to customize a workflow that is in progress, to create and assign a new task, set new alerts or data, or delete tasks manually without impacting overall workflow.

SH


3.1.6 Manage Business Rules

3.1.6.1 The Solution shall provide Solution Administrator with the ability create business rules, and configure and manage these rules via configuration screens, linking these rules into workflows (to allow standardized approach to implementing decision-based logic within workflows across the organization.)

MH

3.1 3.1.7 Task 3.1.7.1 The Solution might provide Solution NTH RFP Template Revised: March 8, 2019 Exhibit C - Contract Template Revised: December 12, 2018

Workflow Management

Escalation Administrator with the ability to configure task escalation duration. Solution shall automatically escalate tasks that are not completed within required timeframe to Staff User’s Manager.


3.1.8 Task Reminders

3.1.8.1 The Solution might send (configurable) automated reminders for tasks due at a (configurable) date and time, or start of (or completion of) a task or process event or other configurable condition.

NTH


3.1.9 View Workflow Status

3.1.9.1 The Solution shall provide selected internal roles with ability to view all, or select workflows with status, drilling down into task ownership and status. The Solution shall provide the ability to view a Staff User’s workflows and tasks, or a managerial view of their teams’ workflows and tasks.

MH


3.1.10 Manage Workflows

3.1.10.1 The Solution shall provide the Solution Administrator with a flexible user interface to create new workflows, or modify workflows, test and deploy.

MH



3.1.10.2 The Solution shall provide the Solution Administrator with the ability to create a totally new (or renewal) license type application workflow.

MH



3.1.10.3 The Solution might provide a means to process certain license applications using a special workflow where the town is given the option to review and/or approve the application before DLL begins with its application vetting process. This special work should be a configurable option by town and by license type.

NTH


3.1.11 Verify Workflows

3.1.11.1 The Solution might provide the Solution Administrator with the ability to modify, test and rollout changes to workflows without impacting workflows that are in-progress, or set to go into effect at a future date.

NTH


3.1.12 Activate, Expire Workflows

3.1.12.1 The Solution might provide the Solution Administrator with the ability to set an active date and expiration date for a workflow, or version of a workflow.

NTH


3.1.13 Audit Workflow Execution

3.1.13.1 The Solution might provide the Solution Administrator with the ability to determine which version of a workflow was executed for a given business process or licensee at a given point of time.

NTH



3.1.14 Trigger Workflow With Form

3.1.14.1 The Solution shall provide a mean to allow the Solution Administrator to configure a form submission that triggers a defined workflow.

MH

3.2 User Account Management

3.2.1 Manage Passwords

3.2.1.1 The Solution shall provide Registered Users with the ability to securely reset their password without having to request support from Staff Users (i.e., self-service password reset).

MH



3.2.1.2 The Solution should provide Registered Users with the ability to create and store security questions. The Solution shall use this information for self-service password reset functionality.

SH



3.2.1.2 The Solution should use two factor authentication to verify a user's identify (e.g., send an SMS text message with security code that expires after a period of time).

SH



3.2.1.3 The Solution should provide a means to determine if an unauthorized person is trying to access a Solution user account and present them with a security question or challenge before they are allowed to login.

SH



3.2.1.4 The Solution might integrate with SOV O365 solution such that Staff Users could be automatically logged into the Solution when they are already logged into O365 (i.e., single sign-on integration with O365).

NTH


3.2.4 Manage Profile & Preferences

3.2.4.1 The Solution shall provide a Registered Users with the ability to manage their personal profile data (e.g., primary email address, phone, address, etc…).

MH


3.2.4 Manage Profile & Preferences

3.2.4.2 The Solution might provide Registered Users with the ability to set their user account preferences (e.g., select type of notifications that are to be automatically sent out).

NTH

3.3 Contact (CRM related) & Email Management

3.3.1 Manage Company Details

3.3.1.1 The Solution shall provide a means to collect and manage company information such as: company type, company name , owner names, officer names, stockholder names, director names, member names, partner names, and majority (US Citizens) status.

MH

3.3 Contact (CRM

3.3.1 Manage Company

3.3.1.1a The Solution shall provide DLL Technician Users a mean to set a company "Don't Issue Flag" that would prevent the

MH


related) & Email Management

Details issuance of any new licenses or permits to any licensee associated with the company.


3.3.1 Manage Company Details

3.3.1.2 The Solution shall provide Solution Admin with a means to add new company data fields. The Solution shall allows this data to be updated automatically (via new license application or renewal workflows) and manually by Staff Users.

MH


3.3.2 Manage Licensee Details

3.3.2.1 The Solution shall provide a means to collect and manage licensee information such as: DBA name, town code and DLC investigator, location of premises, description of premises, mailing address, lessor name and address (if applicable), insurance and training seminar information.

MH


3.3.2 Manage Licensee Details

3.3.2.2 The Solution shall provide Solution Administrators with a means to add new licensee data fields that can be optionally updated automatically (e.g, from a license application workflow process or external API) and manually by Staff Users.

MH


3.3.3 Manage Individuals Details

3.3.3.1 The Solution shall provide a means to collect and manage individual information such as: name, address, phone number, licensee employer name, and training seminar information.

MH


3.3.3 Manage Individuals Details

3.3.2.2 The Solution shall provide Solution Administrators with a means to add new individual data fields that can be optionally updated automatically (e.g, from a license application workflow process or external API) and manually by Solution Users or integrated systems.

MH


3.3.4 Search 3.3.4.1 The Solution shall provide Staff Users the ability to search for individuals, licensees, or companies with a minimum number of mouse-clicks.

MH

3.3 Contact (CRM related) &

3.3.4 Search 3.3.4.2 The Solution shall provide Staff Users the ability to search by (at a minimum) individual, licensee, and company contact details, license or permit type, license or

MH


Email Management

permit expiration date, email address, phone number, or SOV property SPAN ID.


3.3.5 Activity Notes

3.3.5.1 The Solution shall provide Staff Users with the ability to enter notes regarding call or office visit of a Registered User, with details on the inquiry or topic, and a description of the interaction and any follow up actions.

MH


3.3.5 Activity Notes

3.3.5.2 The Solution shall automatically log all contact inquiry meta-data such as date and time for audit tracking purposes.

MH


3.3.6 Email 3.3.6.1 The Solution shall provide Staff Users a means to send emails to Solution users and automatically save these emails in the Registered User's activity detail records.

MH


3.3.6 Email 3.3.6.2 The Solution shall provide Staff Users with access to historical user email communications for reporting, auditing, or enforcement purposes.

MH


3.3.6 Email 3.3.6.3 The Solution should provide bulk email functions that allows selected internal user roles (e.g., DLL Technician, Director\Manager, Solution Admin, etc...) to send bulk emails to Solution User groups that can be scheduled, sent on-demand, or triggered by an event or condition. All bulk emails should be saved in the Registered User's activity detail records.

SH


3.3.6 Email 3.3.6.4 The Solution might use the DLL preferred mail service (e.g., Mail Chimp) to send bulk email.

NTH

3.3 Contact (CRM

3.3.6 Email 3.3.6.5 The Solution might support the ability to send to 10,000 unique email addresses in one operation.

NTH


related) & Email Management3.4 Document Management

3.4.1 Create, Send Documents

3.4.1.1 The Solution shall provide Staff Users with the ability create, customize and email documents to registered Solution users.

MH

3.4 Document Management

3.4.1 Create, Send Documents

3.4.1.2 The Solution shall support audit tracking by storing the document template version number, customized content, the date and time the document was sent, methods used, and the user who created and sent the document.

MH


3.4.2 Edit Documents

3.4.2.1 The Solution shall provide Staff Users with the ability to edit and save a new version of a document, and send it to another user.

MH


3.4.3 View User Documents

3.4.3.1 The Solution shall provide Staff Users with the ability to view all documents associated to a Registered User’s profile.

MH


3.4.3 View User Documents

3.4.3.2 The Solution shall provide user interface view options to sort the views chronologically, by license type, and by case.

MH


3.4.4 Review Documents

3.4.4.1 The Solution should provide DLL Director\Manager Users the ability to review and provide feedback on selected documents, as requested by Staff Users.

SH


3.4.5 Upload Documents

3.4.5.1 The Solution shall provide Registered External Users with the ability to upload one or more objects (e.g., documents) using drag-and-drop, or browse-and-pick user interface capabilities.

MH


3.4.5 Upload Documents

3.4.5.2 The Solution shall associate the upload content to the User’s identity, and contain date-timestamp of upload.

MH


3.4.6 Categorize Uploads

3.4.6.1 The Solution shall provide Registered External Users with the ability to identify the object type being uploaded.

MH


3.4.6 Categorize Uploads

3.4.6.2 The Solution shall use State-configured picklist of supported object types.

MH



3.4.7 Search Documents

3.4.7.1 The Solution shall provide Staff Users with the ability to search objects (e.g., documents).

MH



3.4.7.2 The Solution shall provide the ability to scope the search at varying levels (e.g., system-wide, by document type, by license type). In support of this search capability, the Solution shall perform full-text indexing of all object content (e.g. document fields, keywords, meta data).

MH



3.4.7.3 The Solution should maintain a Search History per Staff User that allows the Staff User to essentially instantiate a previous search action without having to re-type the search parameters.

SH



3.4.7.4 The Solution might provide support for typeahead results that are pickable by the Staff User.

NTH



3.4.7.5 The Solution might provide support for Boolean operators and wildcard in the search string.

NTH


3.4.8 Integrated Document Scanning

3.4.8.1 The Solution shall provide support for Staff Users to scan and attach hardcopy documents and images to a Licensee record, and generate a workflow task for a Staff User to review and take an action for a scanned object.

MH

3.5 Records Management

3.5.1 Lifecycle Records Management

3.5.1.1 The Solution shall manage the lifecycle of records from creation to disposition in accordance with record retention schedules and related state information management standards and best practices.

MH


3.5.1 Lifecycle Records Management

3.5.1.1a Note: these record management policies and associated schedules are to be derived from the DLL's Records Management Policies and Procedure.

MH


3.5.2 Auditability

3.5.2.1 The Solution should record all actions and ensure unalterable audit/history functionality and reporting.

SH

3.6 Case (Investigation) Managem

3.6.1 Case Management

3.6.1.1 The Solution shall provide Staff Users with the ability to:

MH


ent3.6 Case (Investigation) Management


3.6.1.1a Open a new case; MH

3.6 Case (Investigation) Management


3.6.1.1b Assign a case to specific Staff User; MH



3.6.1.1c Select a Case Team (e.g., investigor user, DLL Tech user, and DLL Cousel user);

MH



3.6.1.1d Send case related email communications to a Staff User, Case Team and other stakeholders (e.g., licensee, complaint submiter):

MH



3.6.1.1e Close a case; MH



3.6.1.1f The Solution should provide Staff Users with the ability to classify a case type (e.g., complaint, civil or criminal), and prioritization (i.e., severity) of the case.

SH


3.6.2 Case Role-Based Access

3.6.2.1 The Solution should use SOV-configured role-based rules to provide access to any case status and details.

SH


3.6.3 Case Tracking

3.6.3.1 The Solution shall log all Registered User activities, user communications, user-related notifications, and user-affected business content changes along with the date and time of occurrence.

MH


3.6.3 Case Tracking

3.6.3.2 The Solution shall provide role-based access to view and manage these logs.

MH

3.6 Case (Investiga

3.6.4 Case Follow-up

3.6.4.1 The Solution shall provide Staff Users with the ability to record, track, provide

MH


tion) Management

progress updates, and manage follow-up case conditions and actions.


3.6.4 Case Follow-up

3.6.4.2 The Solution shall provide Licensee User with the ability to view and manage follow-up conditions, requested supporting material or evidence or other actions, and view the status of their case and follow-up actions.

MH


3.6.5 Case Relationships

3.6.5.1 The Solution shall provide DLL Technician and the Director of Investigator Users with the ability to link related cases. The Solution shall also provide all Staff Users with an ability to search for, and view, related cases.

MH


3.6.6 Case Notifications

3.6.6.1 The Solution shall provide Staff User a means to configure standard case related notification emails that are automatically generated and sent to case team and selected stakeholders (e.g., complaint submitter, selected Licensee) when the case is created and\or when the case status changes.

MH

3.7 Reporting and Queries

3.7.1 Data Query

3.7.1.1 The Solution shall provide State-configured role-based access to the Solution’s business content (i.e., documents, objects, and data) when Staff Users are directly querying databases or running Solution reports.

MH


3.7.1 Data Query

3.7.1.2 The Solution shall provide query access at the level of business objects, business data, messaging objects.

MH


3.7.1 Data Query

3.7.1.3 The Solution shall provide support for Boolean functions, wildcards, content filters and results sorting.

MH


3.7.1 Data Query

3.7.1.4 The Solution shall provide the ability to save and re-use queries.

MH


3.7.1 Data Query

3.7.1.5 The Solution shall provide type-ahead lookup of search results.

MH


3.7.2 Export Data

3.7.2.1 The Solution shall provide the ability, in all components, to import and export data at any time in a variety of standard formats, including at a minimum fixed length, delimited, csv, cXML, text, PDF, Microsoft

MH


Word, and Microsoft Excel without additional charges to the SOV.


3.7.3 Graphical Reports

3.7.3.1 The Solution should provide Staff Users with the ability to generate graphical reports.

MH


3.7.4 Automated Reporting

3.7.4.1 The Solution shall provide Staff Users with the ability to schedule the execution and distribution of standard reports and saved queries.

MH


3.7.5 User Dashboards

3.7.5.1 The Solution shall provide Staff Users with a default role-specific dashboard. The Solution shall provide the Staff User’s inbox, current tasks, and workflows in progress or due to start on the role-specific dashboard.

MH


3.7.5 User Dashboards

3.7.5.2 The Solution shall provide Staff Users with the ability to customize and save their preferred dashboards.

MH


3.7.6 Executive Dashboard

3.7.6.1 The Solution shall provide Executive Users with the ability to view dashboards that contain State-configure KPIs such as:

MH



3.7.6.1a Number of licenses by license type; MH



3.7.6.1b Number of open cases; MH



3.7.6.1c Number of cases year-to-date; MH



3.7.6.1d Upcoming renewal count by license type;

MH



3.7.6.1e Customer satisfaction performance; NTH



3.7.6.1f Infrastructure cost trending (e.g., license realization cost ratios);

NTH

3.7 Reporting

3.7.6 Executive

3.7.6.1g Applications received MH


and Queries

Dashboard



3.7.6.1h Licenses issued / days to process MH



3.7.6.1i Cases closed / days to process MH



3.7.6.1j Applications pending in various stages

MH



3.7.6.1k Cases pending in various stages MH


3.7.7 Executive Reports

3.7.7.1 The Solution shall provide Executive, Director\Manager, and Business Office Users with the ability to produce Legislative performance reports (on demand).

MH


3.7.7 Executive Reports

3.7.7.2 The Solution shall provide a means to display or report on license processing volume and related total revenue, by license type.

MH


3.7.8 Director\Manager Reports

3.7.8.1 The Solution shall provide Director\Manager Users with the ability to view workload metrics of their staff.

MH


3.7.8 Director\Manager Reports

3.7.8.2 The solution shall provide a filterable (e.g. by type) report(s) showing work in progress license and permit applications and the calculated average time that the DLL is taking to process the applications excluding application states where the DLL is waiting on the Applicant to provide more information or documentation.

MH


3.7.9 Case (investigation) Management Reports

3.7.9.1 The Solution shall provide Staff Users with the ability to report on the status of a case, view resources allocated to a case, and show a global view of all active or historic cases. The Solution shall provide the ability to filter by criteria including license type, demographic, town, and date range.

MH


3.7.10 Compliance & Enforcement Reports

3.7.10.1 The Solution shall provide Investigator Users with the ability to view Director\Manager Reports, view Case Management Reports, and the ability to view the number of ongoing investigations,

MH


number of investigations by license type, status summary of cases, aging of cases, and metrics of time to close a case.


3.7.11 Inspection Reports

3.7.11.1 The Solution shall provide Investigator Users with the ability to view Director\Manager Reports, view Case Management Reports, and the ability to view metrics related to inspections conducted or violations.

MH


3.7.12 Business Office Reports

3.7.12.1 The Solution shall provide Business Office Users with the ability to perform ad-hoc queries and reports to identify payments by payment and license type for a given date range, along with the ability to easily reconcile with the payment engine.

MH


3.7.12 Business Office Reports

3.7.12.2 The Solution shall provide the Business Office User with views of revenue generated to -date by license type for a given year, reviews fees by business type for the Legislature, and revenue by business type over time.

MH


3.7.13 Compliance Report

3.7.13.1 The Solution shall provide a report that provides an investigator with a listing of remaining required Tobacco Compliance check for their geographic areas (i.e., towns) that she covers.

MH


3.7.13 Compliance Report

3.7.13.2 The Solution shall provide Investigator Users with the ability to view Director\Manager Reports, view Case Management Reports, and the ability view metrics related to compliance check for any DLL license type.

MH


3.7.14 Power BI Integration

3.7.14.1 The Solution shall provide means to be configured as a data source for Microsoft's PowerBI solution so that existing PowerBI reports used primarily by C&E will continue to work and can be generated in a more automated manner.

MH

3.8 Solution Administration

3.8.1 Manage Forms

3.8.1.1 The Solution shall provide an Solution Administrator (Admin) User with the ability to create new forms either entirely, or by copying and customizing a similar form.

MH


3.8.1 Manage Forms

3.8.1.2 The Solution shall support forms with:


3.8.1 Manage Forms

3.8.1.2a Activation and expiration dates; SH



3.8.1 Manage Forms

3.8.1.2b Content the external Registered and Staff Users needs to review and explicitly accept (e.g. electronic signature or verification);

MH


3.8.1 Manage Forms

3.8.1.2c Change tracking for audit purposes; MH


3.8.1 Manage Forms

3.8.1.2d That generate a unique form ID when form is saved.

MH


3.8.1 Manage Forms

3.8.1.3 The Solution shall provide a software upgrade and release process that does not impact any business functionality and content (e.g., forms, workflows) that are currently in progress.

MH


3.8.1 Manage Forms

3.8.1.4 The Solution shall provide Solution Administrator Users with the ability to edit and delete forms.

MH


3.8.1 Manage Forms

3.8.1.5 The Solution shall provide the ability to maximize form standardization by allowing forms to have shared sub-component blocks (i.e., reused across multiple forms).

MH


3.8.1 Manage Forms

3.8.1.6 The Solution should provide the ability to reuse decision blocks, and leverage business rules for decision logic within the form.

SH


3.8.1 Manage Forms

3.8.1.7 The Solution shall provide the ability for questions and sections of a form to be hidden, if not required based on the decision logic.

MH


3.8.1 Manage Forms

3.8.1.8 The Solution shall provide the ability for the Solution Administrator User to:


3.8.1 Manage Forms

3.8.1.8a Set default values for fields, or pre-populate data values based on certain criteria;

MH


3.8.1 Manage Forms

3.8.1.8b Set a field as required or optional; MH


3.8.1 Manage Forms

3.8.1.8c Set validation rules or data ranges; MH



3.8.1 Manage Forms

3.8.1.8d Set standardized rules for fields; MH


3.8.1 Manage Forms

3.8.1.8e Configure standard dropdown lists; MH


3.8.1 Manage Forms

3.8.1.9 The Solution should integrate with Merge Mobile's FastField to provide means to be configured as a data source so that existing Fastfield forms will continue to work.

SH


3.8.1 Manage Forms

3.8.1.9a The Solution should integrate with Merge Mobile's FastField to provide a means to allow the data entered into a submitted FastField forms to be automatically extracted, translated, and loaded into the Solution.

SH


3.8.1 Manage Forms

3.8.1.10 The Solution shall provide the Solution Admin a means to configure online application prerequisites and constraints for each license or permit application type.

For example: a) the same business entity cannot be licensed as a manufacture or distribution and a seller (Class 2 license), b) to apply for a Caterer's License you must hold a Class 1 or Class 1 & 3 license, and c) to apply for a solicitor license you cannot hold a Class 1, 2, or 3 license).

MH


3.8.2 Manage Templates

3.8.2.1 The Solution shall provide an Solution Administrator User with the ability to create, read, update, and delete (archive) document and email templates.

MH



3.8.2.2 The Solution shall provide the ability pre-populate content and data.

MH



3.8.2.3 The Solution should use a standard naming convention for all templates.

SH



3.8.2.4 The Solution shall use a versioning system that versions each template change (structure-related or content-related) and is stamped with a version number for auditing purposes.

MH

3.8 Solution

3.8.2 Manage

3.8.2.5 The Solution should provide an Solution Administrator User with the ability

SH


Administration

Templates to revert to any version of a template.



3.8.2.6 The Solution shall provide the ability to have form fields prepopulated by scanning a bar or QR code.

MH



3.8.3.1 The Solution shall provide an Solution Administrator User with the ability to create new workflows, update existing workflows, and decommission existing workflows.

MH



3.8.3.2 The Solution shall provide an Solution Administrator User with the ability to modify, test and release workflows without impacting workflows that are in-progress, or scheduled to go into effect.

MH



3.8.3.3 The Solution shall provide a versioning system that versions each workflow and stamps it with a version number for auditing purposes.

MH



3.8.3.4 The Solution should provide an Solution Administrator User with the ability to revert to any version of a workflow.

SH


3.8.4 Manage Fees, Rules

3.8.4.1 The Solution shall provide an Solution Administrator User with the ability to assign a license fee, based upon license or permit type.

MH



3.8.4.2 The Solution shall provide an Solution Administrator User with the ability to apply selected fees automatically at application, renewal, or for specific online requests.

MH



3.8.4.3 The Solution shall provide an Solution Administrator User with the ability to configure all fee rules and behaviors.

MH



3.8.4.4 The Solution should provide a versioning system that versions each fee value (and associated rules and algorithms) and stamps it with a version number for auditing purposes.

SH



3.8.4.5 The Solution should provide an Solution Administrator User with the ability to revert to any version of a fee.

SH



3.8.4.6 The Solution might provide an Solution Administrator User with the ability to define optional start and end dates for each fee.

NTH




3.8.4.7 The Solution should support a tiered pricing structure for the same license where more is charged when more resources are needed to process the application (e.g., charge more for a future non-standard renewal that requires a new background check).

SH


3.8.5 Manage license and permit

3.8.5.1 The Solution should provide Staff Users with the ability to create new license and permit types without and vendor assistance to support future legislative changes.

SH



3.8.5.2 The Solution might provide Staff Users with the ability to notify selected users roles of changes or activities with respect to a license type.

NTH



3.8.5.3 The Solution shall provide authorized Staff Users with the ability to view, create, and update existing licenses and permits.

MH



3.8.5.4 The Solution should provide authorized Staff Users with the ability to manage business rules on license and permit requirements and restrictions with no vendor help such as whether or not another license is required, whether or not a valid training seminar certificate is required, whether or not the license or permit is renewable.

SH



3.8.5.5 The Solution shall provide authorized Staff Users with the ability to create license certificate PDF files that include machine readable barcodes that a modern smartphone can read.

MH



3.8.5.6 The Solution should provide authorized Staff Users with the ability to generate and distribute a bundle of license renewal applications for all or selected towns.

SH



3.8.5.7 The Solution shall provide authorized Staff Users with the ability to generate and distribute pre-populated license renewal applications directly to Licensee for selected License types.

MH


3.8.6 Manage Training Records

3.8.6.1 The Solution shall provide an means of generating and storing DLL Training Certificates.

MH

3.8 Solution

3.8.6 Manage

3.8.6.2 The Solutions shall provide a means for DLL C&E staff to determine that a Seller

MH


Administration

Training Records

or Server is certified (i.e., has taken and passed DLL training and the certification has not expired).



3.8.6.3 The Solution might provide a means to automatically receive training class registration data from the SOV In-person Seminar Registration System, and then create a class roster from this data that an Instructor can use to: a) add/update licensee affiliation (if applicable), b) add/update attendee email address, c) record attendance, d) record if attendee passed or failed, and e) record attendee's final exam grade.

NTH



3.8.6.4 The Solution shall provide a mean to let DLL Training staff upload the SOV In-person Seminar Registration data (currently it's Excel worksheet), and then automatically create a class roster from this data that an Instructor can use to: a) add/update licensee affiliation (if applicable), b) add/update attendee email address, c) record attendance, d) record if attendee passed or failed, and e) record attendee's final exam grade.

MH



3.8.6.5 The Solution shall provide a means to allow DLL training staff to submit an in-person class roster and have this action: a) record the roster data, b) auto generate PDF training certificates, and c) auto distribute certificates when attendee email exist.

MH



3.8.6.6 The Solution should provide a means to automatically receive training related data (e.g., registration information, completion status, completion outcome (i.e., pass or fail), and final exam grade) from the SOV Online Learning Management System (LMS), and then perform these actions: a) record the training data, b) auto generate training certificates, and c) auto distribute certificates.

SH



3.8.6.7 The Solution should provide a means to let DLL training staff upload the SOV Online LMS passing attendee Excel worksheet and then perform these actions: a) record the training data, b) auto generate training certificates, and c) auto distribute certificates.

MH

3.8 Solution

3.8.6 Manage

3.8.6.8 The Solution should provide a means to allow 3rd systems to query for current list

SH


Administration

Training Records

of public Licensee data (e.g., number, location, DBA etc...) so that attendee can easily affiliate themselves with their employers (i.e., DLL Licensee).



3.8.6.9 The Solution shall provide a means to allow DLL Training Staff to update seminar attendee related data.

MH


3.8.7 Manage Security

3.8.7.1 The Solution shall provide Solution Administrator a means to assign multiple security permissions to a user account (tiered security).

MH



3.8.7.2 The Solution shall provide Solution Administrators with a means to enabled or disabled the public viewing (e.g., private companies are not required to disclose their tax ID) of selected company data fields.

MH



3.8.7.3 The Solution shall provide Solution Administrators with a means to enabled or disabled the public viewing (e.g., private companies are not required to disclose their tax ID) of selected licensee data fields.

MH



3.8.7.4 The Solution shall provide Solution Administrators with a means to enabled or disabled the public viewing (e.g., home address collected for DLC training registration) of selected individual data fields.

MH


3.8.8 Manage New Solution Features

3.8.8.1 The Solution should provide the SOV a means to elect to turn on or off any new functionality or feature provided in future releases, upgrades and updates.

SH


3.8.9 Manage Notifictions

3.8.9.1 The Solution should provide the ability to establish a master list of available alerts.

SH



3.8.9.2 The Solution should provide the ability to assign alert recipients by individual, group, or role.

SH



3.8.9.3 The Solution should log sent notification messages in Registered User's activity details.

SH



3.8.9.4 The Solution should provide Staff Users with access to sent user notification messages for reporting, auditing, or enforcement purposes.

SH



3.8.10 Manage Branding

3.8.10.1 The Solution shall provide a means to configure SOV branding including, at a minimum, all Public facing components, component entry/landing pages, dashboards and printed versions of Solution generated documents.

MH


3.8.11 Track User Activity

3.8.11.1 The Solution shall automatically log user actions and record important meta-data such as action name, username, workflow details (if applicable), and date-timestamp.

MH



3.8.11.2 The Solution shall provide Staff Users with access to historical user activity detail records for reporting, auditing, or enforcement purposes.

MH



3.8.11.3 The Solution should provide Staff Users role-based access to user activity tracking information.

SH


3.8.12 Track Historic Data Values

3.8.12.1 The Solution shall save historic data values when data values change. The Solution shall store these events along with the username who made the change, workflow information, date-timestamp.

MH


3.8.12 Track Historic Data Values

3.8.12.2 The Solution should provide Staff Users role-based access to business data tracking information.

SH


3.8.13 Share DLL Content

3.8.13.1 The Solution should provide the Solution Administrator a means to create and share dynamic Solution content such as a PDF report of suspended licenses with DLL's website.

SH



3.8.13.2 The Solution shall provide an Solution Administrator User with the ability to define which data and reports are accessible via the Public Portal (section 3.9), and provides the ability to de-select or redact all data and content that is protected under State and DLL privacy statutes and rules.

SH



3.8.13.3 The Solution should provide Staff Users a means to edit, manage and publish to the Public Portal (section 3.9) a DLL calendar that lists events such as board meetings, DLL related public forum discussions, and license application or renewal deadlines.

MH



3.8.14 Manage Distribution List

3.8.14.1 The Solution should provide Solution Administrator Users with the ability to configure the routing of complaints to Staff Users.

MH


3.8.14 Manage Distribution List

3.8.14.2 The Solution should provide Solution Administrator Users with the ability to configure the routing of questions and comments to Staff Users.

MH

3.9 Online Services for Guest and Registered Users - The Public Portal

3.9.1 View DLL Calendar

3.9.1.1 The Solution should provide all Solution Users a means to easily view a DLL curated calendar of events.

MH


3.9.2 View Public DLL Data and Reports

3.9.2.1 The Solution shall provide all Solution Users a means to view public data and reports (e.g. listing of licenses by type or location, listing of active applications by license type, listing of suspended licenses, a dashboard of recently issued citation).

MH


3.9.3 Search Public Licensee Data

3.9.3.1 The Solution shall provide all Solution Users with the ability to search for public licensee or permit holder information (e.g., DBA name, listing of Licensee's licenses and permits, license or permit status, enforcement action decisions, etc...), that is not protected by State and DLL privacy statutes and rules.

MH



3.9.3.1a The Solution shall provide all Solution User with the ability to refine or filter their searches (e.g., by license number, by license type, by license status, by town, by data range.

MH



3.9.3.1b The Solution shall provide near real time access to public licensee or permit holder information.

MH

3.9 Online Services

3.9.3 Search Public

3.9.3.2 The Solution might allow all Solution Users the ability to search for public DLL

NTH


for Guest and Registered Users - The Public Portal

Licensee Data

related information (e.g., company ownership over time, citations at property over time, licenses held at property over time) by SPAN (School Property Account Number).


3.9.4 Complaints, Questions, and Comments

3.9.4.1 The Solution shall provide all Solution Users with the ability to submit complaint, questions, or comments online.

MH



3.9.4.2 The Solution shall provide a means to categorize submissions (e.g., liquor complaints, lottery complaint, liquor questions, lottery comments)

MH



3.9.4.3 The Solution shall provide a means to route submission types to a specific user, or a shared Solution inbox (e.g., DLL-support), or all users with a selected Solution role (e.g. DLL Tech).

MH



3.9.4.4 The Solution shall request but not require that Guest Users making a submission share their name, email address and a phone number.

MH



3.9.4.5 The Solution should provide a means to store all complaints, questions, and comments for future reference, and link them to a Registered User's account if applicable.

SH

3.9 Online Services for Guest and

3.9.5 User Decision Support Tools

3.9.5.1 The Solution might provide Registered Users with decision support tools that help them determine by business type (i.e., restaurant, bar, store, manufacturer of

NTH


Registered Users - The Public Portal

product X, wholesaler or product Y, distributor of product Z) a complete list of licenses and permits that the Licensee and their employees (i.e., "Individuals") are required by SOV.

3.10 Online Services for Registered Users

3.10.1 Apply for License

3.10.1.1 The Solution shall provide Registered Users with the ability to apply for multiple licenses and permits online, unassisted by Staff Users.

MH



3.10.1.2 The Solution shall automatically apply an application fee according to configurable rules.

MH



3.10.1.3 The Solution shall verify all data entered, according to the validation rules set up on the application form by the Solution Administrator User.

MH



3.10.1.3a The Solution shall verify that the Registered User has all required prerequisite licenses when a selected license or permit application has dependencies on holding other licenses.

MH



3.10.1.4 The Solution shall apply configurable administrative rules to application form fields for each DLL license type and ensure that all required initial questions and supporting material is provided prior to accepting the application and payment.

MH



3.10.1.5 The Solution shall provide the ability to require self-declaration of good standing with the Vermont Tax and Child Support departments.

MH



3.10.1.6 The Solution shall provide the ability for Registered Users to accept application terms, sign the application electronically, pay online, generate a receipt, print a copy of the application, and download a copy of the license or permit application.

MH

3.10 3.10.1 3.10.1.7 The Solution shall provide the MH RFP Template Revised: March 8, 2019 Exhibit C - Contract Template Revised: December 12, 2018

Online Services for Registered Users

Apply for License

ability of new license or permit applications to trigger a new application workflow, and alert the associated Staff User.



3.10.1.8 The Solution shall provide the ability for Registered Users to view the status (e.g., on hold - waiting for applicant to submit additional documents) of their pending license or permit application if approval is not immediate.

MH



3.10.1.9 The Solution might provide a means to process a split payment for certain DLL license types where part of the payments might go to the town where the license is issued and the other part might go to the SOV DLL.

Note: The town payment should be process when the town accepts the application and the SOV DLL payment should be processed with DLL accepts the initial application as complete.

SH



3.10.1.10 The Solution shall auto save a work-in-progress application and also give the Registered User Applicant the option to save their work so that they can return at a later time to complete the application without having to start over.

MH


3.10.2 Get Notifications

3.10.2.1 The Solution shall provide registered Registered Users with the ability to automatically receive reminder emails and\or SMS text message notifications on DLL training seminar re-certification deadlines.

MH



3.10.2.2 The Solution shall provide Registered Users with the ability to automatically receive reminder emails and\or SMS text message notifications for license renewal deadlines.

MH



3.10.2.3 The Solution shall provide Registered Users with the ability to automatically receive reminder emails and\or SMS text message notifications for new applications that are in pending status awaiting additional information from the license or permit Applicant.

MH

3.10 Online

3.10.3 Renew

3.10.3.1 The Solution should provide Registered Users with the ability to renew

SH


Services for Registered Users

License their license during the renewal period as well as renew after the renewal period expires, calculating late fees and penalties.


3.10.3 Renew License

3.10.3.2 The Solution shall calculate the fee based on pre-configured fee renewal logic.

MH



3.10.3.3 The Solution shall provide Registered Users with the ability to pay online, generate a receipt and copy of the renewal, and download a copy of the renewal.

MH



3.10.3.4 The Solution shall provide the ability of renewals to trigger the renewal workflow, and alert Staff Users.

MH



3.10.3.5 The Solution shall provide the ability to add or remove individuals to the license and attach any required change request supporting documentation.

MH



3.10.3.6 The Solution shall provide the ability for Registered Users to view the status (e.g., on hold - waiting for applicant to submit additional documents) of their pending license renewal application if approval is not immediate.

MH


3.10.4 Register with Solution

3.10.4.1 The Solution shall provide a means for Solution Users to register with the Solution creating a unique user account and password.

MH



3.10.4.2 The Solution shall provide a means to configure a set of user profile fields that can be optionally configured as optional. Fields that are designated as mandatory must be entered and pass all validation rules as part of the registration process.

MH

3.10 Online Services for


3.10.4.3 The Solution should try to determine if an account already exists for the Solution User. The Solution should not rely solely upon email addresses because they

SH


Registered Users

are often linked to place of employment and thus change frequently.



3.10.4.4 The Solution might pre-populate data that is required on a DLL application which was previously entered buy a business agent or licensee employee into the Secretary of State (SOS) business registration system.

NTH



3.10.4.4a The Solution might integrate with the SOS Business Portal solution in a near-real time manner when it is determined that the business will require one or more DLL liquor or lottery licenses.

NTH


3.10.5 Manage Licensee Profile

3.10.5.1 The Solution shall provide registered Licensee Users with the ability to manage or view their:



3.10.5.1a Demographic data (e.g., income or revenue);

MH



3.10.5.1b Contact details (e.g., business address);

MH



3.10.5.1c List of active Servers and their DLL training status;

MH



3.10.5.1d In-house training activity (i.e., when Licensee Trainer trains their own employees) - This entails reporting the same information that DLL submits using an in-person training roster (see 3.8.6.6).

MH



3.10.5.1e All other information that is required or pertains to their license(s) such as company type, DBA, Federal ID number, names of managers or directors, etc.

MH



3.10.6 Request License Reinstatement

3.10.6.1 The Solution might provide licensees, whose license or permit was revoked, with the ability to submit a request to have their license reinstated.

NTH


3.10.6 Request License Reinstatement

3.10.6.2 The Solution might provide the ability for a request to reinstate a license to trigger a workflow to review the request with the DLL Board, and inform the licensee of the board decision.

NTH


3.10.7 Review License, Permits, and Certificates

3.10.7.1 The Solution shall provide Licensee Users with the ability to view, print or download a savable PDF/A version of their licenses and permits.

MH



3.10.7.2 The Solution shall provide Registered Users with the ability to view, print or download a savable PDF/A version of their DLL Training Certificate.

MH



3.10.7.3 The Solution shall provide Licensee Users with the ability to view, print or download a savable PDF/A version of their employee's DLL Training Certificate.

SH


3.10.8 Notify (Report To) DLL

3.10.8.1 The Solution shall provide the ability for manufacturers, distributors, and nonprofit companies to report required DLL related product sales.

MH



3.10.8.2 The Solution shall provide the ability for manufactures to report planned events (serving their products) on their premises.

MH



3.10.8.3 The Solution shall provide the ability distributors to report planned sampling activities.

MH

3.10 Online

3.10.8 Notify

3.10.8.4 The Solution shall provide the ability for distributors to report product

MH


Services for Registered Users

(Report To) DLL

returns.


3.10.10 Pay DLL

3.10.10.1 The Solution shall provide the ability for DLL Licensees, Permit holders, Sellers, and Servers (all Registered Users), to pay DLL related fees online, including citations and provide the options to view, print, and download a receipt.

MH


3.10.10 Pay DLL

3.10.10.1a The Solution should provide the ability to accept Compliance and Enforcement citation terms, sign a citation electronically including the option to print or download a copy of the "paid in full" and signed citation.

MH


3.10.10 Pay DLL

3.10.10.2 The Solution shall allow the Registered User to pay for multiple fees, licenses, and permits in one transaction (i.e., shopping cart functionality).

MH


3.10.10 Pay DLL

3.10.10.3 The Solution shall accept all major credit cards for online payment.

MH


3.10.10 Pay DLL

3.10.10.4 The Solution shall offer ability to detect and prevent credit card fraud and charge backs.

MH


3.10.10 Pay DLL

3.10.10.5 The Solution should accept eCheck for online payment.

SH


3.10.10 Pay DLL

3.10.10.6 The Solution should offer ability to validate in near real-time that sufficient funds exist to cash an eCheck payment (i.e., provide means to prevent or reduce bounced checks).

SH

3.10 Online Services for

3.10.12 Send Secure Messaging

3.10.12.1 The Solution shall provide all Registered Users with the ability to send secure messages to configurable list of Staff Users or to all users of a selected roles (e.g.,

MH


Registered Users

DLL Tech). These messages should be visible from the Staff User's Solution inbox and identify the user that sent the message. The Solution shall track all messaging, for audit purposes.

3.11 Manage Licensing Process

3.11.1 Manage New Application

3.11.1.1 The Solution shall provide Staff Users with the ability to review new license or permit applications and determine if the application meets administrative and qualitative requirements. This review might not be required for all new applications and will be determined by the configured workflow for each license and permit type.

MH



3.11.1.2 The Solution shall automatically check license or permit application prerequisites and constraints and provide clear validation error messages to the Applicant when prerequisites and constraints are not met.

MH



3.11.1.3 The Solution shall provide a means to disable Solution features based on a user's systems role (e.g., a Server should not be able to manage the Licensee profile of their licensee employer or non-profit users should not see features that are only applicable to licensees).

MH



3.11.1.4 The Solution shall provide Staff Users with the ability to place the application in pending status if the application is deemed “not complete”, and optionally initiate a workflow to request additional information, corrections or other action from the licensee.

MH



3.11.1.5 The Solution shall provide Staff Users the ability to route selected applications through managerial review and approval. The Solution shall provide this ability in the New Application workflow.

MH



3.11.1.6 The Solution shall provide a means to ensure that all required documents for a license or permit application are submitted by the applicant before the license or permit is issued.

MH



3.11.1.7 The Solution might provide address verification functionality to confirm the name and address provided are current with a high degree or accuracy.

NTH



3.11.1.8 The Solution shall provide Staff Users with a visual checklist that itemizes the key new license or permit application processing steps, and also clearly identify

MH


what has been completed and what remains outstanding for any selected application.



3.11.1.9 The Solution should automatically confirm that a new license application payment has cleared before any license or permit is issued (e.g., ensure eCheck clears).

SH



3.11.1.10 The Solution shall provide Staff Users with the ability to set a "do not issue" flag for an individual seeking a solicitor's permit that allows the permit process to proceed but prevents the issuance of the permit until the flag has been cleared by Staff Users.

MH



3.11.1.11 The Solution shall require that at least one Licensee User to hold a valid DLL Training Certificate before issuing a new license.

MH


3.11.2 Manage Fee Rules

3.11.2.1 The Solution shall provide Business Office Users with the ability to manage fee amounts for each license or permit type.

MH



3.11.2.1a The Solution might provide Business Office Users with the ability to manage the fee application rules for each license or permit type.

Example: charge X if renewal has no changes by Y if renewal requires extra work like a new background check.

NTH



3.11.2.2 The Solution shall provide the ability to associate activation and expiration date to each fee type.

MH



3.11.2.3 The Solution should provide the ability to configure the logic to determine an application fee.

SH



3.11.2.3a The Solution shall provide the ability to prorate a fee considering the date of license expiration and expected date of issue.

MH


3.11.3 Manage Renewal

3.11.3.1 The Solution shall provide Staff Users with the ability to automatically review non-standard (i.e., application has a material change such as change in ownership) renewal applications.

MH

3.11 Manage

3.11.3 Manage

3.11.3.2 The Solution shall provide the ability to have managerial review and

MH


Licensing Process

Renewal approval of a non-standard renewal. The Solution shall provide this ability in the License Renewal Workflow.



3.11.3.3 The Solution shall require that at least one Licensee User hold a valid DLL Training Certificate before issuing a license renewal.

MH



3.11.3.4 The Solution shall provide the option to batch generate renewal bundles grouped by town for selected Class 1 & 2 licenses and Outdoor Consumption Permits (OCP).

MH



3.11.3.5 The Solution shall provide Staff Users with a visual checklist that itemizes the key renewal processing steps clearly identifying what has been completed and what remains outstanding for any selected renewal application.

MH



3.11.3.6 The Solution shall automatically confirm that a renewal application payment has cleared before any renewed license or permit is issued (e.g., ensure eCheck clears).

MH



3.11.3.7 The Solution shall provide Staff Users with the ability to set a "do not issue" flag for a corporation (company) and/or licensee that allows the renewal process to proceed but prevents the issuance of any license renewal for given corporation and/or licenses until the flag has been cleared by Staff Users.

MH



3.11.3.8 The Solution shall provide Staff Users with the ability to place the renewal application in pending status if the application is deemed “not complete”, and optionally initiate a workflow to request additional information, corrections or other action from the licensee.

MH



3.11.3.9 The Solution shall provide a means to ensure that all required documents for a license renewal are submitted by the applicant before the license or permit is issued.

MH


3.11.4 Manage Payment

3.11.4.1 The Solution should provide the ability to automatically reconcile online license and permit payments with SOV bank account and automatically create SOV Vision AR ledger entry with no manual steps or data entry.

SH

3.11 Manage

3.11.4 Manage

3.11.4.2 The Solution shall provide Business Office Users with the ability to generate

MH


Licensing Process

Payment payment-related reports using downloaded data from DLL online payments engine vendor.


3.11.5 Block Renewal

3.11.5.1 The Solution shall provide Staff Users with the ability to block online renewal capability for configurable types of Licensees (e.g., have had a case brought against them, have had a certain level of conditions to meet during their license period.)

MH


3.11.5 Block Renewal

3.11.5.2 The Solution should provide Executive Users (i.e., DLL Counsel) with the ability to enforce rules such as require an interview or discussion with Staff Users before the individual can start the online renewal workflow.

SH


3.11.6 Configure license expiration date

3.11.6.1 The Solution shall provide the ability to configure the license or permit expiration date to be either on a fixed date or a fixed duration (e.g., + 6 months, + 1 year) from the date of issue.

MH


3.11.7 Configure license effective date

3.11.7.1 The Solution might provide the ability to configure a license or permit effective date to be a date in the future.

NTH


3.11.8 Lottery Solution Integration

3.11.8.1 The Solution should automatically push licensee application and licensee state data (ideally in a near real-time basis) to the new planned Lottery Gaming solution.

SH



3.11.8.2 The solution should provide a near real-time way to check SOV tax compliance for new Lottery agent applications.

SH



3.11.8.3 The solution should provide a near real-time way to check child support, compliance for new Lottery agent applications.

SH



3.11.8.4 The solution should provide a near real-time way to check criminal restitution compliance for new Lottery agents applications.

SH

3.12 Manage Inspection Process

3.12.1 View Historical Inspection Reports

3.12.1.1 The Solution shall provide Staff Users with the ability to view historical inspection information (e.g., prior inspection details, violations) for a licensee.

MH


3.12.2 View Inspection Calendar

3.12.2.1 The Solution might provide Investigator Users with the ability to view (in list or map format) their upcoming scheduled inspections for a given timeframe and location(s).

NTH



3.12.2 View Inspection Calendar

3.12.2.2 The Solution might provide Manager Users with the ability to view (in list or map format) the upcoming scheduled inspections for a configured set of users (e.g., Investigators).

NTH


3.12.3 Schedule Inspections

3.12.3.1 The Solution might provide Investigator Users with the ability to schedule a new inspections.

NTH


3.12.4 Generate Inspection Itinerary

3.12.4.1 The Solution might provide Investigator Users with the ability to generate an inspection itinerary by selecting licensee locations that are due for an inspection in an upcoming period (e.g., next month, or a date range), or along a route, or in a specific town.Note: Ideally the determination of what is "due of an inspection" should be driven by an algorithm (which currently exist).

NTH


3.12.5 Complete Inspection

3.12.5.1 The Solution shall provide Investigator Users with the ability to fill an inspection form (i.e., while logged into the Solution) and offline (i.e., while logged out of the Solution).

MH



3.12.5.1a The Solution shall support the use of mobile devices to fill out inspection forms.

MH



3.12.5.2 The Solution shall provide the ability to automatically synchronize itself to offline form when user re-connects to the Internet.

MH



3.12.5.3 The Solution shall provide Investigator Users with the ability to access Solution content (e.g., list of licensee) while working off-line.

MH


3.12.6 Attach Inspection Artifacts

3.12.6.1 The Solution shall provide Investigator Users with the ability to attach objects (e.g., documents, images, audio, video) to a form and immediately upload while online (i.e., logged into the Solution) or save with the form while offline (i.e., logged out of the Solution).

MH


3.12.6 Attach Inspection Artifacts

3.12.6.1a The Solution shall provide the ability to automatically upload form content and attached objects that were saved while offline when the user reconnects to the Solution.

MH

3.12 Manage

3.12.6 Attach

3.12.6.2 The Solution shall use a standard naming convention for all stored objects

MH


Inspection Process

Inspection Artifacts

along with meta data that identifies the date, location, licensee, and type of business object.


3.12.7 Manage Violations, Conditions

3.12.7.1 The Solution shall provide Investigator Users with the ability create, edit and delete violations or conditions for a licensee.

MH



3.12.7.2 The Solution shall provide Investigator Users with the ability to track status, and/or a plan to resolve violation.

MH



3.12.7.3 The Solution might provide Investigator Users with the ability to create a task for a follow-up inspection at a future date.

NTH


3.12.8 Generate Communications

3.12.8.1 The Solution shall provide Investigator Users with the ability to generate communications (of documents and email) from Solution templates.

MH



3.12.8.2 The Solution shall provide Investigator Users the ability to customize the communications that was based on a Solution template.

MH



3.12.8.3 The Solution shall log and retain details of all communications.

MH


3.12.9 Inspection Reminders

3.12.9.1 The Solution should provide Investigator Users with the ability to create workflow tasks and generate reminders for upcoming inspections.

SH


3.12.10 Track Time, Expense

3.12.10.1 The Solution shall provide Investigator Users with the ability to track feul usage and related meta data (e.g., location, odometer, feul price) associated with inspections.

MH

3.13 Manage Enforcement Process

3.13.1 Manage Complaints

3.13.1.1 The Solution shall provide a means for newly submitted complaints to trigger a workflow with the following steps:

MH



3.13.1.1a Solution automatically opens a case and assigns to Director\Manager of Investigations (automatically sending a notification to this user);

MH

3.13 Manage Enforcem


3.13.1.1b Director\Manager of Investigation will have a means to triage the complaint where he\she will link the complaint to a

MH


ent Process

specific licensee or permit holder if applicable and determine next steps.



3.13.1.1c Director\Manager of Investigation will have a mean to close case and personalize a standard close complaint case email response to complaint submitter when their email address is available;

MH



3.13.1.1d Director\Manager of Investigation will have a mean to assign the case to an Investigator based on the associated licensee location (if available) and\or the team’s current workload;

MH



3.13.1.1e Investigator will have a mean to update the status of their cases, send email communications to complaint submitter (if known) and associated licensee, and add case notes as needed during their investigation;

MH



3.13.1.2 The Solution should provide Investigator Users with the ability to generate USPS letters that inform the complaint submitter (if address known) and licensee of: a) the complaint, b) updates to the status of the case, and c) DLL action(s) that will be taken (if any) to address the complaint.

NTH


3.13.2 Manage Investigations

3.13.2.1 The Solution shall provide Investigator Users with the ability to schedule interviews or enter activity data for a given investigation.

MH



3.13.2.2 The Solution shall provide Investigator Users with the ability to create reports (activity updates) and upload reports into the Solution.

MH



3.13.2.3 The Solution shall support investigative case and\or report reviews with DLL Counsel and Director\Manager Users (i.e., to decide if a licensee should be prosecuted.)

MH



3.13.2.4 The Solution shall provide Investigator Users with access to Solution case content when offline at remote sites.

MH

3.13 Manage Enforcem

3.13.3 Upload Media

3.13.3.1 The Solution shall provide Investigators Users with the ability to upload varied media type objects (e.g., graphics,

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ent Process

video, and audio) and associate the objects to a case.


3.13.4 Manage Prosecution

3.13.4.1 The Solution should provide DLL Counsel Users with the ability to assign a different DLL Counsel User to prosecute the case.

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3.13.5 Create Documents

3.13.5.1 The Solution shall provide DLL Counsel Users with the ability to personalized communication documents created using Solution Templates (e.g., notice of hearing).

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3.13.5 Create Documents

3.13.5.2 The Solution shall provide the ability for these documents to be retained by the Solution, for audit purposes.

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3.13.6 Review Licensee

3.13.6.1 The Solution shall provide DLL Counsel and Investigator Users with the ability to view the full licensee record.

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3.13.6 Review Licensee

3.13.6.2 The Solution shall provide DLL Counsel and Investigator Users with the ability to view the full audit trail (i.e., log) of all changes, activities, and communications for a licensee’s record. The Solution shall provide the ability to view the audit trail in reverse-chronological order.

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3.13.7 Release Records

3.13.7.1 The Solution shall provide the ability to release a configurable set of information to the public (e.g., DLL Board meeting minutes). The Solution shall achieve this release by publishing to the DLL website and\or making the information available in the Public Portal area of the Solution.

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3.13.8 Pre Meeting Notices

3.13.8.1 The Solution shall provide DLL Board Admin or Docket Clerk Users with the ability to prepare DLL Board meeting agendas and when finalized publish them to DLL Website and/or the Public Portal area of the Solution.

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3.13.9 Manage Board Meetings, Actions

3.13.9.1 The Solution shall provide DLL Tech or DLL Board Admin Users with the ability to document and publish DLL Board meeting notes, create task\actions, and assign these task\actions to Staff Users.

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3.13 Manage Enforcement

3.13.9 Manage Board Meetings,

3.13.9.2 The Solution shall provide DLL Tech or DLL Board Admin with the ability to share draft meeting minutes and when approved publish meeting minutes to DLL Website

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Process Actions and/or the Solution's Public Portal.3.13 Manage Enforcement Process

3.13.10 Manage condition or orders, Follow-up

3.13.10.1 The Solution shall provide DLL Tech and Docket Clerk Users with the ability to enter: settlement agreement, stipulations, conditions, flag for follow-up monitoring, or follow-up inspections, or audit prior to renewal.

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3.13.10.2 The Solution shall provide Licensee Users with the ability to view/report updates, as required for conditions or stipulations.

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3.13.10.3 The Solution shall provide a workflow that ensures the appropriate monitoring for compliance is conducted by Staff Users, including support for escalation when licensee is out of compliance or target dates are not met. The Solution shall allow for integrated tracking of conditioned licensees, including monitoring, submission of required reports and proof of compliance.

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3.13.11 Inactivate, Revoke License

3.13.11.1 The Solution shall provide Docket Clerk Users with the ability to revoke a license, based upon adjudication or board decision. The Solution shall block the licensee from applying and renewing online, until the block is removed.

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3.13.11 Inactivate, Revoke License

3.13.11.2 The Solution shall provide stakeholders and/or systems (POS system, and wholesale distributors, SOV taxes, etc..) with automated notifications of suspended and revoked licenses.

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3.14 User Success and Experience

3.14.1 Self-service Help

3.14.1.1 The Solution shall provide integrated, context-sensitive heIp.

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3.14.1.1a The Solution should provide the ability for user to direct their help searches to within a contextual area of help content, and across all of the help content.

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3.14.1.2 The Solution shall provide the following documentation:

3.14 User Success


3.14.1.2a Solution Architecture Overview targeted at SOV IT Manager and Solution

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and Experience

Admin;



3.14.1.2b Getting Started Guide targeted at external user roles (i.e., seller-server, licensee, DLL board, anonymous guest, licensee trainer, solicitor, and non-profit);

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3.14.1.2c DLL User Guide targeted at internal user roles (Executive, Manager, License Technician, Investigator, Docket Clerk, Solution Administrator, Business Office, and Education);

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3.14.1.3 The Solution should provide a Staff User configurable and Solution User searchable self-service support Knowledge Base (KB).

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3.14.1.3a The KB should support a WYSIWYG content editor, with support for binary object uploads (e.g., document templates, PDFs);

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3.14.1.3b The KB should support cross-linking to Help system content;

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3.14.1.3c The KB should support full-text indexing of KB content;

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3.14.2 DLL Staff Support

3.14.2.1 The Solution shall allow DLL Staff to search for, view and download a copy of valid DLL Training Certificates (they periodically expire) where the DLL Training attendee may not be a registered users of the Solution.

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3.14.2 DLL Staff Support

3.14.2.2 The Solution should strategically integrate Staff User customer service access methods (e.g., email & phone) into the help and Knowledge Base functionality.

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3.14.3 Data Entry

3.14.3.1 The Solution should support auto-fill or auto-complete while typing in free text search mode.

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3.14 User 3.14.3 Data 3.14.3.2 The solution should auto save data SH RFP Template Revised: March 8, 2019 Exhibit C - Contract Template Revised: December 12, 2018

Success and Experience

Entry entered by Solution Users on a periodic basis.


3.14.3 Data Entry

3.14.3.3 The Solution shall automatically pre-populate fields (e.g., address) that a Registered User previously entered into the Solution either during the current login session or a previous login session.

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3.14.3 Data Entry

3.14.3.4 The Solution shall provide ‘Spell Check’ functionality when entering text information.

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3.14.4 Notifications & Reminders

3.14.4.1 The Solution should allow at a minimum that ability to send email notifications (alerts) for configurable list of solution events by solution areas (e.g. change in user record and change is application status).

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3.14.4.2 The Solution should allow the ability to send email notification(s) from the Solution with subject line description of action item requiring recipient to log in to access the main alert content.

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3.14.4.3 The Solution might remind Registered Users upon login to complete additional required license or permit applications.

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3.14.4.4 The Solution might nudge Registered Users after completing any required license application to complete additional required license or permit applications.

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3.14.5 Attachments

3.14.5.1 The Solution should allow attachment functionality in all of the Solution areas with the ability to import and export documents in their native file formats and should not restrict the size of any single or set of documents.

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3.14.5 Attachments

3.14.5.2 The Solution should search for attachments by file name and description.

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3.14.6 Mobile

3.14.6.1 The Solution shall allow Web browser based interfaces that will be mobile adaptive and responsive such that application pages automatically sense and adjust onscreen content to be readable and usable on mobile devices.

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3.14.7 Browser Support

3.14.7.1 The Solution shall support all modern browsers that have over 2% market share as reported by organizations such as StatCounter (see https://en.wikipedia.org/wiki/Usage_share_of_web_browsers or http://gs.statcounter.com/browser-market-share#monthly-201811-201811-bar).

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3.14.8 Concurrent Users

3.14.8.1 The Solution shall support at a minimum 1000 concurrent users with no noticeable degradation in application response time.

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