Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
RFP Requirements
March 23, 2016
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Table of Contents
1
Background Context .................................................................................................................... 5
1.1
1.2
1.3
1.4
2
Professional Regulation – Present and Future .............................................................................. 8
2.1
2.2
2.3
3
Mission ..................................................................................................................................................... 8
Current State ............................................................................................................................................ 9
Future State ............................................................................................................................................ 10
Functional Requirements ........................................................................................................... 16
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
3.10
3.11
3.12
3.13
3.14
3.15
4
Introduction .............................................................................................................................................. 5
Biases and Stratagems.............................................................................................................................. 5
Enterprise Considerations ........................................................................................................................ 6
State Disclosures ...................................................................................................................................... 6
Workflow Management ......................................................................................................................... 16
User Account Management.................................................................................................................... 17
Contact Management............................................................................................................................. 18
Document Management ........................................................................................................................ 20
Records Management ............................................................................................................................ 21
Case Management.................................................................................................................................. 22
Reporting, Queries ................................................................................................................................. 23
Solution Administration ......................................................................................................................... 25
Public Portal............................................................................................................................................ 27
Online Services for Registered Users ..................................................................................................... 29
Manage Licensing Process ...................................................................................................................... 31
Manage Inspection Process .................................................................................................................... 33
Manage Enforcement Process................................................................................................................ 36
Manage Board Meetings, Governance................................................................................................... 38
User Success ........................................................................................................................................... 39
Non-functional Requirements .................................................................................................... 40
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
4.13
4.14
4.15
Strategic Enablement ............................................................................................................................. 40
Product Management ............................................................................................................................ 41
Infrastructure ......................................................................................................................................... 41
Architectural Tenets ............................................................................................................................... 42
Architecture Pattern ............................................................................................................................... 44
Architecture Conceptual View................................................................................................................ 44
Architecture Deployment View .............................................................................................................. 47
Deployment ............................................................................................................................................ 47
Scalability ................................................................................................................................................ 48
Integration Strategy................................................................................................................................ 49
Integration Points ................................................................................................................................... 49
Integration Design .................................................................................................................................. 54
Database Design ..................................................................................................................................... 55
Reliability ................................................................................................................................................ 57
Usability .................................................................................................................................................. 57
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Vermont Secretary of State
Office of Professional Regulation
4.16
4.17
4.18
4.19
4.20
4.21
4.22
4.23
4.24
4.25
5
Logging ................................................................................................................................................... 58
Capacity and Performance ..................................................................................................................... 59
Security ................................................................................................................................................... 61
Operations & Administration ................................................................................................................. 65
Reliability ................................................................................................................................................ 67
Disaster Recovery ................................................................................................................................... 69
Business Rules Engine............................................................................................................................. 69
Configuration Management ................................................................................................................... 70
User Platforms ........................................................................................................................................ 70
Data Conversion ..................................................................................................................................... 71
Implementation and Post-Implementation Requirements .......................................................... 72
5.1
5.2
5.3
5.4
5.5
6
Next Generation Licensing Platform
Request for Proposal - Requirements
Management .......................................................................................................................................... 72
Implementation Team ............................................................................................................................ 75
Quality Management.............................................................................................................................. 78
Maintenance, Support, Training ............................................................................................................. 82
Solution Documentation ........................................................................................................................ 84
Acquisition Options, Proposals ................................................................................................... 85
6.1
6.2
6.3
6.4
6.5
6.6
Trials ....................................................................................................................................................... 85
Approaches ............................................................................................................................................. 85
Proposal Content .................................................................................................................................... 86
Commercial Framework ......................................................................................................................... 86
Licensing, Ownership.............................................................................................................................. 87
Evaluation Criteria .................................................................................................................................. 89
7
Definitions and Terms ................................................................................................................ 90
8
Appendix A – Roles and Access .................................................................................................. 92
8.1
8.2
8.3
9
Internal Roles.......................................................................................................................................... 92
External Roles ......................................................................................................................................... 94
Groups .................................................................................................................................................... 95
Appendix B – (this Appendix is intentionally empty) ................................................................... 96
10 Appendix C – (this Appendix is intentionally empty) ................................................................... 97
11 Appendix D, Appendix E – Business Workflows .......................................................................... 98
12 Appendix F – Credential Counts by Board and Status ................................................................ 113
13 Appendix G – Professions Business Data .................................................................................. 114
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Revision History
Date
Change Summary
2015-10-05
Steve M., Add SIG
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
1 Background Context
1.1 Introduction
The Office of Purchasing & Contracting on behalf of the Vermont Secretary of State (State) is soliciting
competitive sealed proposals for the development, implementation, and maintenance of information
technology for the Office of Professional Regulation. If a suitable solution (the Solution) proposal (or
proposals) is received in response to this Request for Competitive Sealed Proposals (RFP) the State may
enter into a contract (the Contract) to have the selected vendor (the Contractor) perform all or part of
the work. The scope of work is defined in the requirements in sections 2 through Appendix G of this
document.
The mission of the OPR is public protection through effective professional licensure and enforcement.
OPR is responsible for the licensing boards and programs of approximately 46 professions and
occupations, created by the Vermont Legislature. OPR provides public protection through regulation of
over 60,000 licensees within those 46 professions, occupations, and entities, including over 200 license
types.
1.2 Biases and Stratagems
For Vendors considering participating in this RFP, the State’s major biases and strategies are:
 Organizational performance that:
o Is quality and results-oriented, versus process for the sake of process;
 Technology-related expenditures that:
o Spur commercial entities (in or outside of Vermont) or attain some other public-good
benefits, that might otherwise never be exploited;
 Partners (i.e., Vendors) who:
o Are dogged about making the State successful, while pursuing their contractual
commitments and commercial successes;
o Able to execute quickly and well, and are flexible (at a management level and in
technology delivery);
o Value managed service relationships anchored by sound, long-term contracts;
o Are exceptional in visioning, software engineering, product management and evolution,
and operations and support;
 Technology that:
o Enables the State to evolve it public service offerings with minimal vendor dependencies;
o Presents a low, total cost of ownership;
o Is open source software (OSS);
o Uses Amazon’s GovCloud infrastructure and its associated services;
o Exceeds the State’s enumerated requirements;
o Is forward-looking with large, vibrant, and engaged ecosystems around it;
o Has significant remaining engineer expansion (e.g., 8-10 years), and are open (by
evidence of existing horizontal and vertical APIs);
o Minimizes implementation risk;
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Office of Professional Regulation
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Request for Proposal - Requirements
1.3 Enterprise Considerations
The State of Vermont has a largely decentralized technology structure with most large Agencies and
Departments having their own IT resources. The Department of Information and Innovation (DII) serves
as the Enterprise IT organization for the State of Vermont, hosting various enterprise applications such
as email and Microsoft Office SharePoint Server (MOSS). DII includes the Enterprise Project
Management Office (EPMO) and the Office of the Enterprise Architect/CTO. The Commissioner of DII is
the State CIO. DII also manages the State’s WAN and all Telecommunications resources.
A vendor’s proposed solution shall ideally be “enterprise capable” and will be evaluated, in part, for its
ability to serve a broader purpose across the State enterprise. While it may not be possible to find a
“one size fits all” solution, the State will, to the extent possible, seek solutions with the broadest
applicability possible.
The State would like to enter into an enterprise contract and licensing terms that can serve the
immediate needs of the Vermont Secretary of State and can also be expanded to any other agencies or
departments that could utilize the solution. Part of the enterprise goal is to achieve whatever
economies of scale are possible in software license costs, support and maintenance costs, infrastructure
costs and combining implementation and training costs across entities where feasible.
1.4 State Disclosures
In the course of normal professional contact, and in the time leading up to the issuance of this RFP, the
State has had contact with vendors, consultants and products. The State characterizes the more
significant contacts as follows:
Vendor, Product
Contact
Accela
Provided NGLP RFI response that was consumed by the State;
BasicGov
Provided NGLP RFI response that was consumed by the State;
Deloitte
Provided NGLP RFI response that was consumed by the State;
GL Solutions
Provided proposed solution demo to the State;
Iron Data
State of Vermont technology partner (provider of e-License application);
Provided NGLP RFI response that consumed by the State;
Newgrange IT Consulting
State of Vermont technology partner (IT consultant); Assisted with creation of
aspects of this RFP; Not a bidder of the RFP;
Nerdery
State of Vermont technology partner (website developer); Provided NGLP RFI
response that was consumed by the State;
NuHarbor Security
State of Vermont technology partner (Security consultant); Assisted with
creation of aspects of the RFP; Not a bidder of the RFP;
PCC Technology Group
State of Vermont technology partner (provider of Business Services application
and Elections applications); Provided NGLP RFI response that was consumed by
the State; Provided proposed solution demo to the State;
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Vendor, Product
Contact
Pegasystems
Provided proposed solution demo to the State;
ServiceNow
Provided NGLP RFI response that was consumed by the State;
TruePenny
Provided NGLP RFI response that was consumed by the State;
Oracle (full technology
suite)
State of Vermont technology supplier; Most if not all products are licensed
elsewhere within state government and may be available for use by OPR;
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
2 Professional Regulation – Present and Future
2.1 Mission
OPR’s primary functions are to:







Identify and license qualified practitioners, businesses, and educational programs;
Conduct investigations and inspections to ensure compliance with generally accepted standards
of practice, conduct, or safety;
Communicate with licensed professionals and the public to effectively inform, verify, educate,
and advise;
Warn, reprimand, condition, suspend, or revoke licenses when generally accepted standards of
practice, conduct, or safety are not met;
Process license renewals of practitioners, individuals, and businesses;
Manage and properly account for all fees collected;
Administer the regulatory programs efficiently;
OPR meets its public protection goals through the performance of the following critical functions, within
the confines of its regulatory authority given by the Legislature in Title 3 of the Vermont Statutes
Annotated, Chapter 5, Subchapter 3 and in Title 26 of the Vermont Statutes Annotated, Chapters 1-93
(excepting Podiatry, Medicine and Surgery, Plumbers and Polygraph Examiners):
I.
Application and renewal (licensing)
II. Inspection
III. Enforcement (investigation, prosecution discipline, and post-discipline monitoring)
IV. Communications & Reporting
V. Legislation and Rule Making
VI. Administration
For detailed OPR-related information including statutes, rules and profession-specific information, refer
to https://www.sec.state.vt.us/professional-regulation.aspx.
For a detailed view of the current key attributes across OPR’s professions, refer to Appendix G –
Professions Business Data.
For a representative view of the OPR workflows, refer to Appendix D, Appendix E – Business Workflows.
(Note: these workflows were developed circa 2007, and may not fully represent the current business
process).
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
2.2 Current State
2.2.1
Organization
OPR is organized by business function, with separation between the Licensing and Enforcement units.
Licensing functions are managed by 8 Licensing Board Specialists and 2 Licensing Administrators, with
responsibilities divided across the 46 professions.

Licensing Board Specialists are the subject matter experts for a given profession. Their primary
responsibilities are:
o process new applications and renewals;
o respond to inquiries from licensees, professional organizations, or other States;
o present reports to the respective Boards;

Case managers handle complaints, and coordinate with the Enforcement units and the relevant
boards to manage cases.

The Enforcement unit enforces the rules and regulations for each profession. This unit consists
of investigators and prosecutors.
For a complete list of stakeholders, roles, and responsibilities refer to Appendix A – Roles and Access.
For a complete list of credentials and related information, refer to Status and Appendix G – Professions
Business Data.
2.2.2
Supporting Technologies
OPR’s business processes are supported by the following technologies:

Records Management system: State-licensed application “eLicense”, from Iron Data; eLicense
was implemented by the OPR in 2008. The application provides licensing, case management, and
enforcement, and public access to licensing records. The application is customized and
maintained by the OPR staff, along with support from Iron Data.

Document editing: Microsoft Office applications (MS Word, MS Excel), Adobe Acrobat;

Email: Microsoft Outlook operating over Exchange;

Document repository: AlfrescoOne Enterprise v4.2;

Website: Umbraco CMS;
2.2.3
Public Service Architecture
OPR’s public service functions are realized through the combination of business processes and
supporting technologies, see Figure 1.
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Figure 1.
2.3 Future State
2.3.1
Vision
OPR is a licensing regulation center of excellence (COE) in the State of Vermont. The OPR COE leverages
best practices and procedures to manage and govern all professions assigned to it by the Legislature.
The Legislature and state agencies look to the OPR for best practice guidance in the implementation of
the State’s professional licensing. OPR’s current business practices and supporting technologies are
limiters in the OPR’s ability to meet its current statutory responsibilities.
OPR will re-engineer its operations – this includes its organizational model, associated business
processes, and supporting technologies in order to achieve the following key business objectives (KBO):

KBO #1: On-board new professions easily and efficiently;
a) Implement a central mail receipt and scanning function/resource to streamline business workflow.
b) Eliminate paper processing entirely by requiring online submittals, and moving all paper submittals to
electronic form and storing in the system upon receipt. All verifications of licensure and licenses
should be provided electronically via the system.
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
c) Provide online services in addition to new applications and renewals, such as a chat session for
questions, or forms to accept online complaints.
d) Provide self-service functions for licensees to manage their own profile, account, and all information
related to their license, such as continuing education or professional work experience information,
etc. Ensure licensee understands and accepts responsibility for keeping their contact information up
to date.
e) Ensure that web content, professional information, and online services available to public users are
intuitive, easy to navigate and find, and fully functional. In addition, ensure that the licensee can
view the status of their application, renewal, or case. This will dramatically reduce call volume to staff
to address basic questions.

KBO #2: On-board new professions with a high degree of quality and consistency;
a) When future workflows have been designed, evaluate the balance of work effort associated with the
current fixed date renewal cycle per profession versus a 2 year renewal cycle based on prior license
issuance date.
b) Standardize business workflows across all professions, and cross-train staff on all professions
so that work can be delegated and balanced across all staff as needed, for peak processing
periods, and coverage for staff absences.
c) Standardize letter templates and forms, to the extent possible, across professions so there is
greater consistency at the data storage level, and within business processes.
d) Ensure that workflows are built to maximize business automation and efficiency, leveraging tasks,
alerts, notifications, escalations, reporting, etc.

KBO #3: Provide regulated professionals with self-service access to all required information;
a) Provide online applications for all professions, via an intuitive and easy to use web
application, where the licensee can easily verify that they have met all of the application
criteria, upload supporting documentation and pay licensing and renewal fees online.
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
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KBO #4: Provide profession boards with self-service access to all required information;
a) Provide access to all information they need to perform their oversight and governance
functions, and to plan strategically;

KBO #5: Provide self-service functions for licensees;
a) Provide ability to manage their own profile, account, and all information related to their
license, such as continuing education and professional work experience, and ensure
licensee understands and accepts responsibility for keeping their contact information up-todate;

KBO #6: Ability to create, extend, and maintain all of OPR’s required capabilities using business
modelling;
a) Provide the ability to create new business capability within the Solution without the need
for Vendor involvement and software development;
2.3.2
Capabilities
The following sections summarize the major types of capabilities required in the Solution. The Solution
and/or Vendor must meet these capabilities, and each of these capabilities are further defined in the
Functional Requirement and Non-functional Requirement sections of this RFP document.

Role-based Access
The Solution provides OPR with the ability to provision (via configuration) its organizational
access policy in the Solution’s as role-based access rules. The Solution uses these rules to control
access to all of the Solution’s capabilities and data. Data access is configurable across the
Solution’s entire data model. Key Solution roles (e.g., Administrator User) use a configuration
capability to manage these roles and associated capabilities.

Workflow and Task Management
The Solution’s Workflow engine provides the modelling and automation of business processes,
provides automated alerts, notifications, task delegation and escalation, and setting status and
data based on events or changes to data. (Note: the Workflow engine is assumed to be a
Vendor’s manifestation of a BPM engine under the hood.) Users of the Solution are able to
manually trigger notifications and create new tasks as needed for their business process.
The Solution’s Workflow engine provides a robust rules engine, that implements decision logic
within the workflow, and provides multiple pathways through a given business workflow. The
Workflow engine also provides reporting functionality, including an “inbox” to showcase tasks
and notifications or alerts. The Workflow engine provides a flexible query capability that allows
users and their managers to view the status of all tasks in a given workflow, or all workflows in
process, to manage their, or a team’s, workload.

Licensee Contact, Activity & Communications Management
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The Solution provides CRM-like capabilities including the ability to manage and record contact,
demographic, education and employment information of a licensee, and record all
communications and interactions with that licensee.
When a licensee contacts OPR, the Solution provides Staff with a search capability to quickly
search for the licensee in the Solution. The Solution also provides the capability for Staff to easily
enter a brief description of the nature of the contact, and note any actions taken, with a
minimum number of mouse-clicks.
The Solution provides integrated messaging such that communications (email, social media,
chat, etc.) with a licensee is tracked and available for reporting, auditing, or enforcement
purposes.
The Solution provides the capability to identify and resolve duplicate contacts, and to prevent a
Public User from creating multiple accounts, even when their email address has changed, or
they have moved to a different employer.
The Solution provides the capability to distribute bulk email. Bulk mail capabilities are
schedulable, and can be targeted to subsets of contacts in the Solution. The Solutions mailing to
be automatically triggered based upon OPR-defined business events or conditions (e.g.,
notification of legislative changes to legislature, reminders of upcoming renewals).

Document Management
The Solution provides document template capabilities that enable Staff to create documents
from a collection of State-customized templates. The Solution automatically pre-populates
document templates with as much Solution content as possible.
The Solution automatically stores documents that are emailed to individuals, and provides the
capability for licensees to upload documents (as required by their application or other inquiries,
such as continuing education or audit).
The Solution provides a variety of search capabilities of document content and associated
metadata. Search capabilities include scoping (i.e., Solution-wide or filtered). Filter capabilities
include license name (partial or full), license type, keywords, Boolean operations, and wildcards.
The Solution provides access to documents with the content that was originally submitted to the
Solution, regardless of whether a document-like object was received by the Solution, or the
document is constructed by the Solution with data derived from an online process. For example,
an application document rendered on-demand shows questions from the application form as of
the application date, with the content submitted by the User).
The Solution provides the capability to automate document archival, through the user of OPR
configurable policies and business rules. The Solution provides the ability to define levels of
archival with associated behaviors and destinations. For example, may choose different archival
actions and archival destinations, based upon profession-specific or content-specific business
policies

Records Management
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Request for Proposal - Requirements
The Solutions supports the State of Vermont Records Management policies and procedures, for
additional information refer to https://www.sec.state.vt.us/archives-records/about-us.aspx.
The Solution supports the following record schedules:
 OPR General Record Schedule (GRS): https://www.sec.state.vt.us/media/66869/GRS11811059_LicensingProfessionalServices.pdf.
 The Secretary of State’s office general schedule: https://www.sec.state.vt.us/archivesrecords/records-management/records-retention/general-record-schedules.aspx.
The OPR is currently reviewing its records management schedule for licensing, and plans to
create a schedule for enforcement prior to the start of the Solution implementation. These
procedural documents will be modified by the OPR during the Solution implementation, to
reflect future state workflows and procedures.
The Solution provides the capability to implement the OPR’s, and the State’s, records
management policies and schedules, with the same capabilities specified in the section
Document Management of this document.

Case Management
The OPR performs case management as a collaborative process of assessment, planning, and
coordination through communication and available resources. Case management occurs across
internal teams, and external individuals or organizations, to ensure that complaints that result in
formal cases are evaluated and managed according to the governing statutory rules and
regulations.
The Solution provides the capability to:
 Open and manage new cases;
 Share certain information and supporting documents with the investigative and
prosecution teams;
 Issue notifications and reminders for review meetings;
 Track hearing results;
 Assist with follow-up for mandated conditions and actions;
 Configure data privacy policies and behaviors. Policies can be managed by the OPR at
multiple levels of the Solution’s information hierarchy (e.g. dataum, data structure,
object, credential) Behavior rules can be managed by the OPR at multiple organization
levels and roles (e.g. Enforcement users could be configured for access to specific data
structures, and but not all data structures);
 Configure audit capabilities for individuals who had a case brought against them. The
audit capabilities include triggers to Staff to perform future audits (at random intervals,
or at the time of renewal.) Additional capability includes prevention of licensee renewal
until interviews, and other credential-related conditions are met. The Solution manages
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this entire process, and provides reports and views on: the status of a case, the resources
allocated to a case, and all cases (for the management team.)

Reporting and Dashboards
The Solution provides:
 Role-based query and reporting capabilities, across all data and objects managed by the
Solution.
 Licensee Users with the capability to manage their profile information.
 Public Users with the capability to query for a licensee, organization, and download a full
roster for a profession.
 Public Users from organizations (e.g. other states) with the capability to verify the
licensure of a licensee.
 Staff with a dashboard that reflects their current work tasks, workflows (e.g., inprogress, due to start.
 Board members with the capability to view all information required for upcoming board
meetings, documents or artifacts requiring their review, manage their tasks, and view
any permissible data for an open case that they are managing.
 Staff Managers with the capability to view the workload of their staff, and ability to
query all data that their staff have access to.
 Ad-hoc query with capabilities to: filter based upon values and Boolean operations,
schedule report creation, distribute reports to subscribers, create analytical reports and
create graphical reports.
 Staff with the capability to create new reports and customize existing reports, without
software development (i.e., no writing code, developing SQL queries) and without
vendor assistance.
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3 Functional Requirements
Note: requirement strength is expressed as follows:
“Shall” = is a must-have requirement;
“Should” = is a desirable requirement;
3.1 Workflow Management
Class
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Identifier
Requirement
3.1.1
Automate Business
Process
3.1.1.1
3.1.2
Workflow Status
3.1.2.1
3.1.3
Task, Workflow
Notification
3.1.3.1
3.1.4
View Tasks
3.1.4.1
3.1.5
Customize Workflows
3.1.5.1
3.1.6
Manage Business Rules 3.1.6.1
3.1.7
Task Escalation
3.1.7.1
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.
The Solution shall automatically capture, set, trigger workflow status changes based
on business process steps, and task completion.
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”.
The Solution shall provide 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”. Managers are able to view all of their team’s tasks or select individual’s
tasks.
The Solution shall provide Staff team members, or Managers, 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.
The Solution shall provide Staff 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.)
The Solution shall provide Staff 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.
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3.2 User Account Management
Vermont Secretary of State
Office of Professional Regulation
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3.1.8
Task Reminders
3.1.8.1
3.1.9
View Workflow Status
3.1.10
Manage Workflows
3.1.11
Verify Workflows
3.1.12
Activate, Expire
Workflows
The Solution shall 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.
3.1.9.1 The Solution shall provide the 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.
3.1.10.1 The Solution shall provide a flexible user interface to create new workflows, or modify
workflows, test and deploy.
3.1.11.1 The Solution shall provide 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.
3.1.12.1 The Solution shall provide the ability to set an active date and expiration date for a
workflow, or version of a workflow.
3.1.13
Audit Workflow
Execution
3.1.13.1 The Solution shall provide the ability to determine which version of a workflow was
executed for a given business process or licensee at a given point of time.
3.2.1
Create Account, Profile 3.2.1.1
3.2.2
Secure Messaging
3.2.2.1
3.2.3
Instant Messaging
3.2.3.1
3.2.4
Manage Passwords
3.2.4.1
3.2.5
Manage Preferences
3.2.5.1
The Solution shall provide Public Users with the ability to create a profile and to
manage their contact and profile information.
The Solution shall provide Public Users with the ability to send secure messages to
Staff Users. These messages should be visible from the Staff User’s inbox. The Solution
shall track all messaging, for audit purposes.
The Solution shall provide Public Users with the ability to log into the Solution and
“chat” with Staff Users, using instant messaging (IM). The Solution shall track IM
messaging, and provide traceability of messaging back to each IM user.
The Solution shall provide Public Users with the ability to create and store security
questions. The Solution shall use this information for self-service password reset
functionality.
The Solution shall provide Public Users with the ability to set their preferences for
automated notifications and reminders.
Page 17 of 114
Vermont Secretary of State
Office of Professional Regulation
3.3.1
Manage Licensee
Next Generation Licensing Platform
Request for Proposal - Requirements
3.3.1.1
3.3.1.2
3.3 Contact Management
3.3.1.3
3.3.2
Manage Contacts
3.3.2.1
3.3.3
Search Contacts
3.3.3.1
3.3.3.2
3.3.3.3
3.3.4
Manage Contact
Activity
3.3.4.1
3.3.4.2
3.3.5
Communication
Integration
3.3.5.1
3.3.5.2
3.3.6
User Activity Tracking
3.3.6.1
3.3.6.2
March 23, 2016
RFP #
The Solution shall provide the ability to configure customized licensee information
including: demographic, education, employment, criminal background checks
(obtained through Vermont and national systems) and historic license information.
The Solution shall support customized data on a profession level, or for a select set of
professions. The Solution allows this data to be updated automatically (via application
or renewal workflow processes) and manually by the licensee or Staff.
The Solution allows Staff to configure licensee-related attributes that enabled or
disabled from public viewing.
The Solution shall provide the ability of all other Solution roles (e.g., organizational
supervisors, board members, licensure verification specialists from other States, and
compliance officers at Vermont organizations) to manage their contact and profile
information.
The Solution shall provide Staff Users the ability to search for an individual or
organization in the Solution, with a minimum number of mouse-clicks.
The Solution shall support the following search criteria: name, profession, user
identifier, email address, phone number.
The Solution shall provide Staff Users with the ability to perform an advanced search,
to return one or more individuals or organizations depending on the search criteria.
Search filter logic shall include demographic, location or profession based information.
The Solution shall provide Staff Users with the ability to enter details of a call, or walkin to the office, with details on the inquiry or topic, and a description of the interaction
and any follow up actions.
The Solution shall automatically log all contact details such as date and time for audit
tracking purposes.
The Solution shall automatically integrate all licensee communications (such as email
and IM) including replies from Staff Users.
The Solution shall track this information and provide access to this information for
reporting, auditing, or enforcement purposes.
The Solution shall track all licensee-related activities including their username,
instances of the created or updated the information, workflow information, and date
and timestamp.
The Solution shall provide role-based access to this tracking information, in the form
Page 18 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
3.3.7
Notification Tracking
3.3.8
Business Data Tracking
3.3.9
Resolve Duplicate
Contacts
3.3.10
Resolve Duplicate
Organizations
3.3.11
Bulk Email Messaging
3.3.12
Bulk Email Service
3.3.13
Collect Surveys
Next Generation Licensing Platform
Request for Proposal - Requirements
of an audit trail view.
3.3.7.1 The Solution shall log (using data and time stamps associations) the issuance of
reminders, notifications and alerts, workflow information.
3.3.7.2 The Solution shall provide access to this tracking information, via one or more audit
trail views.
3.3.8.1 The Solution shall preserve historic data values when data values change. The Solution
shall store these events along with the username who made the change, workflow
information, date and timestamp.
3.3.8.2 The Solution shall provide access to this tracking information, in the form of an audit
trail view.
3.3.9.1 The Solution shall identify and resolve duplicate contacts.
3.3.9.2 The Solution shall prevent a Public User from creating multiple accounts, even when
their email address has changed, or they have moved to a different employer.
3.3.10.1 The Solution shall identify and resolve duplicate organizations.
3.3.11.1 The Solution shall provide bulk email functions that allow selected Staff Users to
schedule, or on-demand, or event trigger, or condition trigger and the send an email.
The Solution shall provide the ability to send to a filtered set of contacts for the
purpose of notification of legislative changes or reminder of upcoming renewals.
3.3.11.2 The Solution shall support the ability to send to 100,000 unique email addresses in
one operation.
3.3.12.1 The Solution shall use the State’s preferred mail service (Sendy over the SES service) or
other State-designated and approved equivalent for bulk email.
3.3.13.1 The Solution shall provide an automated mechanism (e.g., survey) to collect feedback
from a predetermined set of users either integrated with or separate from the
application or renewal process.
Page 19 of 114
Vermont Secretary of State
Office of Professional Regulation
3.4.1
Create, Send
Documents
Next Generation Licensing Platform
Request for Proposal - Requirements
3.4.1.1
3.4 Document Management
3.4.1.2
3.4.2
Edit Documents
3.4.2.1
3.4.3
Document Provenance
3.4.3.1
3.4.4
View User Documents
3.4.4.1
3.4.4.2
3.4.5
Review Documents
3.4.5.1
3.4.6
Upload Documents
3.4.6.1
3.4.6.2
3.4.7
Associate Documents
3.4.7.1
3.4.8
Categorize Uploads
3.4.8.1
3.4.8.2
March 23, 2016
RFP #
The Solution shall provide Staff Users with the ability create, customize and send
documents to Licensees and user types.
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.
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.
The Solution shall provide document provenance, using techniques such as
maintaining all documents (received and sent) in their original form, or generated by
the solution upon request. The objective is to accurately represent the data and
content that was originally communicated or submitted by a user. The provenance
shall be sufficiently accurate that it would be acceptable as authentic in a legal
context.
The Solution shall provide Staff Users and Board Users with the ability to view all
documents associated to a Public User’s profile.
The Solution shall provide GUI view options to sort the views chronologically, by
profession, and by case.
The Solution shall provide Board Users and Manager Users the ability to review and
provide feedback on selected documents, as requested by Staff Users.
The Solution shall provide Public Users with the ability to upload one or more objects
(e.g., documents) using drag-and-drop, or browse-and-pick GUI capabilities.
The Solution shall associate the upload content to the User’s identity, and contain
date-timestamp of upload, and the source device’s ID (i.e., IPaddress) of the source
device.
The Solution shall provide Public Users with the ability to associate supporting objects
(e.g., documents, photos) to a license application and license renewal.
The Solution shall provide Public Users with the ability to identify the object type
being uploaded.
The Solution shall use State-configured picklist of supported object types.
Page 20 of 114
3.5 Records Management
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
3.4.9
Search Documents
3.4.10
Integrated Document
Scanning
3.5.1
Lifecycle Records
Management
3.5.2
Auditability
3.5.3
Integration
Next Generation Licensing Platform
Request for Proposal - Requirements
3.4.9.1
The Solution shall provide Staff Users with the ability to search objects (e.g.,
documents).
3.4.9.2 The Solution shall provide the ability to scope the search at varying levels (e.g.,
system-wide, by document type, by profession, license credential, organization,
location). In support of this search capability, the Solution shall perform full-text
indexing of all object content (e.g. document fields, keywords, meta data).
3.4.9.3 The Solution shall 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.
3.4.9.4 The Solution should provide support for typeahead results that are pickable by the
Staff User.
3.4.9.5 The Solution shall provide support for Boolean operators and wildcard in the search
string.
3.4.10.1 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.
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.
Note: these record management policies and associated schedules are to be derived from the
OPR’s Records Management Policies and Procedure. These policies and schedules are currently
under development.
3.5.2.1 The Solution shall record all actions and ensure unalterable audit/history functionality
and reporting.
3.5.3.1 If Solution does not have records management functionality, the Solution shall
integrate with electronic records management systems as well as the State’s digital
preservation system for permanent records.
Page 21 of 114
Vermont Secretary of State
Office of Professional Regulation
3.6.1
Manage Case
Next Generation Licensing Platform
Request for Proposal - Requirements
3.6.1.1
3.6 Case Management
3.6.1.2
3.6.2
Administer Case
3.6.2.1
3.6.3
Review Case
3.6.3.1
3.6.4
Role-Based Access
3.6.4.1
3.6.4.2
3.6.5
Track Activities,
Communication
3.6.5.1
3.6.5.2
3.6.6.1
3.6.6
Designate Renewal
Audit
3.6.7
Limit Online Renewal
3.6.7.1
3.6.8
Manage Follow-up
3.6.8.1
3.6.8.2
March 23, 2016
RFP #
The Solution shall provide Staff Users with the ability to:
 Open a new case;
 Assign a case management team (or investigative team);
 Manage follow-up for stipulated conditions and actions;
 Close a case;
The Solution shall provide Prosecutor Users with the ability to classify a case type (e.g.,
summary, priority, criminal), and prioritization (i.e., severity) of the case.
The Solution shall use Staff User role-based rules to provide access to issue
notifications, reminders for review meetings, track hearing results, and assist with
follow-up activities for stipulated conditions and actions.
The Solution shall use State-configured role-based rules to provide the Case Manager
User with the ability to share selected information and supporting business objects
(e.g., documents) with the Investigation Users and Prosecution Users, or with select
Board Member Users for a review meeting.
The Solution shall use State-configured role-based rules to provide detail case
information to Investigative and Prosecutor Users.
The Solution shall use State-configured role-based rules to provide Staff Users and
Board Users with access to case status (Note: the case status indicates where the Case
Management is within the process, or outcomes of the case.)
The Solution shall log all Public User activities, user communications, user-related
notifications, and user-affected business content changes along with the date and
time of occurrence.
The Solution shall provide role-based access to view and manage these logs.
The Solution shall provide Case Manager Users and Prosecutor Users with the ability
designate a licensee for a future audit at time of renewal.
The Solution shall provide Case Manager Users and Prosecutor Users with the ability
to block and limit a licensee’s ability to renew online.
The Solution shall provide Case Manager Users with the ability to record, track,
provide progress updates, and manage follow-up conditions and actions.
The Solution shall provide Licensee User with the ability to view and manage follow-up
conditions, request supporting material or evidence or other actions, and view the
Page 22 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
3.6.9
Link Related Cases
3.6.9.1
3.7.1
Query, Report
3.7.1.1
3.7.1.2
3.7 Reporting, Queries
3.7.1.3
3.7.1.4
3.7.2
Export Data
3.7.1.5
3.7.2.1
3.7.3
Graphical Reports
3.7.3.1
3.7.4
Automated Reporting
3.7.4.1
3.7.5
User Dashboards
3.7.5.1
3.7.5.2
3.7.6
Board Member
Dashboard
3.7.6.1
status of their case and follow-up actions.
The Solution shall provide Prosecutor Users and Case Manager Users with the ability
to link related cases. The Solution shall also provide these users with an ability to
search for, and view, related cases.
The Solution shall provide State-configured role-based access to the Solution’s
business content (i.e., documents, objects, and data). The Solution’s access
mechanisms are query-like and fixed reports.
The Solution shall provide query access at the level of business objects, business data,
messaging objects.
The Solution shall provide support for Boolean functions, wildcards, content filters and
results sorting.
The Solution shall provide the ability to save and re-use queries and create userspecific reports.
The Solution shall provide type-ahead lookup of search results.
The Solution shall provide role-based ability to export State-configured views of
business data to Excel and CSV formats.
The Solution shall provide users with the ability to generate graphical reports.
The Solution shall provide the Staff Users with the ability to schedule the execution
and distribution of configured reports and queries.
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.
The Solution shall provide Staff Users with the ability to customize and save their
preferred dashboards.
The Solution shall provide Board Member Users with the dashboard abilities to:



3.7.7
March 23, 2016
RFP #
Executive Dashboard
3.7.7.1
View all information required for upcoming board meetings, including all relevant
business objects requiring their review;
Manage their tasks;
View any permissible data for open cases they are managing;
The Solution shall provide Executive Users with the ability to view dashboards that
contain State-configure KPIs such as:
Page 23 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements













March 23, 2016
RFP #
3.7.8
Executive Reports
3.7.9
Manager Reports
3.7.10
Case Management
Reports
3.7.11
Enforcement Reports
Number of licenses by profession;
Number of open cases;
Number of cases year-to-date;
Upcoming renewal dates by professions;
Customer satisfaction performance;
Customer service resolution times;
Other business performance exception indicators;
Infrastructure cost trending (e.g., license realization cost ratios);
Applications received;
Licenses issued / days to process;
Cases closed / days to process;
Applications pending in various stages;
Cases pending in various stages;
3.7.8.1
The Solution shall provide Management Users and Business Office Users with the
ability to produce Legislative performance reports (on demand).
3.7.8.2 The Solution’s shall present license volume and total revenue, by profession.
3.7.8.3 The Solution shall provide Executive Users with the ability to produce the OPR Annual
Report (https://www.sec.state.vt.us/professional-regulation/about-us/annualreports.aspx) and additional reports including time-series reports that enable analysis
of profession growth, cases by profession and violation type.
3.7.9.1 The Solution shall provide Manager Users with the ability to view workload metrics of
their staff, and the ability to query the Solution for all data that they are permitted to
view.
3.7.10.1 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 professions,
demographic, school, and date range.
3.7.11.1 The Solution shall provide Prosecutor Users and Investigator Users with the ability to
view Manager Reports, view Case Management Reports, and the ability to view the
number of ongoing investigations, number of investigations by profession, status
summary of cases, aging of cases, and metrics of time to close a case.
Page 24 of 114
3.8 Solution Administration
Vermont Secretary of State
Office of Professional Regulation
3.7.12
Inspection Reports
3.7.13
Business Office
Reports
3.7.14
Audit Support
3.8.1
Manage Application
Forms
Next Generation Licensing Platform
Request for Proposal - Requirements
3.7.12.1 The Solution shall provide Prosecutor Users and Investigator Users with the ability to
view Manager Reports, view Case Management Reports, and the ability view metrics
related to inspections conducted or violations, and details of costs/expenses for
inspections, or by profession for a given date range.
3.7.13.1 The Solution shall provide Business Office Users with the ability to perform ad-hoc
queries and reports to identify payments by payment type and profession for a given
date range, along with the ability to easily reconcile with the Authorize.Net payment
engine.
3.7.13.2 The Solution shall provide the Business Office User with views of revenue generated
to -date by profession for a given year, reviews fees by profession for the Legislature,
and revenue by profession over time.
3.7.14.1 The Solution shall provide support for an Auditor User role.
3.7.14.2 The Solution shall provide this role with temporary, read-only access to Stateconfigured reports, query data and business content - depending on the type of audit.
3.8.1.1 The Solution shall provide an Application Administrator User with the ability to create
new forms either entirely, or by copying and customizing a similar form.
3.8.1.2 The Solution shall support forms with:



3.8.1.3
3.8.1.4
3.8.1.5
3.8.1.6
3.8.1.7
March 23, 2016
RFP #
Activation and expiration dates;
Links to surveys (for use during the application process);
Content the Public User needs to review and explicitly accept (e.g. electronic
signature or verification);
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.
The Solution shall provide Application Administrator Users with the ability to edit and
delete forms. The Solution shall track all changes to a form and each new form is
versioned for auditing purposes.
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).
The Solution shall provide the ability to reuse decision blocks, and leverage business
rules for decision logic within the form.
The Solution shall provide the ability for Questions and sections of a form to be
Page 25 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
3.8.1.8
hidden, if not required based on the decision logic.
The Solution shall provide the ability for the Application Administrator User to:





3.8.2
Manage Templates
3.8.2.1
3.8.2.2
3.8.2.3
3.8.2.4
3.8.2.5
3.8.3
Manage Workflows
3.8.3.1
3.8.3.2
3.8.3.3
3.8.3.4
3.8.4
Manage Fees, Rules
3.8.4.1
3.8.4.2
3.8.4.3
March 23, 2016
RFP #
set default values for fields, or pre-populate data values based on certain
criteria;
set a field as required or optional;
set validation rules or data ranges;
set standardized rules for fields;
configure standard dropdown lists;
The Solution shall provide an Application Administrator User with the ability to create
and manage document and email templates.
The Solution shall provide the ability pre-populate content and data.
The Solution shall use a standard naming convention for all templates.
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.
The Solution shall provide an Application Administrator User with the ability to revert
to any version of a template.
The Solution shall provide an Application Administrator User with the ability to create
new workflows, update existing workflows, and decommission existing workflows.
The Solution shall provide an Application Administrator User with the ability to
modify, test and release workflows without impacting workflows that are in-progress,
or scheduled to go into effect.
The Solution shall provide a versioning system that versions each workflow and
stamps it with a version number for auditing purposes.
The Solution shall provide an Application Administrator User with the ability to revert
to any version of a workflow.
The Solution shall provide an Application Administrator User with the ability to assign
a license fee, based upon profession type.
The Solution shall provide an Application Administrator User with the ability to define
renewal fee algorithms and apply the results to a given profession type.
The Solution shall provide an Application Administrator User with the ability to define
Page 26 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
3.8.4.4
3.8.4.5
3.8.4.6
3.8.4.7
3.8.4.8
3.8.5
Onboard Profession
3.8.5.1
3.9 Public Portal
3.8.5.2
3.9.1
Content Management
3.9.1.1
3.9.2
Calendar of Events
3.9.2.1
3.9.2.2
3.9.2.3
3.9.3
March 23, 2016
RFP #
OPR Reports
3.9.3.1
a fee for those requesting a verification of licensure.
The Solution shall provide an Application Administrator User with the ability to apply
selected fees automatically at application, renewal, or for specific online requests.
The Solution shall provide an Application Administrator User with the ability to
configure all fee rules and behaviors.
The Solution shall provide a versioning system that versions each fee value (and
associated rules and algorithms) and stamps it with a version number for auditing
purposes.
The Solution shall provide an Application Administrator User with the ability to revert
to any version of a fee.
The Solution shall provide an Application Administrator User with the ability to define
optional start and end dates for each fee.
The Solution shall provide Staff Users with the ability onboard new professions
through configuration capabilities of the Solution (i.e., without Vendor assistance.)
The Solution shall provide Staff Users with the ability to notify designated users (e.g.,
Staff User, Business Office Users) of the profession and its corresponding fee schedule.
The Solution shall share content and integrate seamlessly with the OPR website CMS.
The Solution shall serve as the content system-of-record (SOR) and provide Staff Users
with the ability to maintain business content that describes the professional statutory
rules and regulations, professions, gives guidance, and provides reports for public
consumption.
The Solution shall provide a Public Portal capability that allows Staff Users the ability
to edit, manage and publish events related to board meetings, public forums, and key
dates.
The Solution shall provide Public Users with the ability to access the Calendar of
Events through the Public Portal.
The Solution shall provide Staff Users with the ability display this information on a
public calendar area of the Public Portal and automatically publish it to the OPR
website CMS.
The Solution shall provide a Public Portal capability that allows Public Users to view
data and graphical reports (e.g. number of licenses by profession, number of active
cases by profession or over a time series, percentage of nurses, total nurses by type,
Page 27 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
3.9.3.2
3.9.4
Submit Complaint
3.9.4.1
3.9.4.2
3.9.4.3
3.9.5
Search Licensee
3.9.5.1
3.9.5.2
3.9.5.3
March 23, 2016
RFP #
3.9.6
Search Organization
3.9.6.1
3.9.7
Download Roster
3.9.7.1
3.9.8
Conduct Decision
3.9.8.1
3.9.9
Request Licensure
3.9.9.1
application processing time to the example listed.)
The Solution shall provide an Application Administrator User with the ability to define
the data and graphical reports that are accessible via the Public Portal, and provides
the ability de-select all data and content that is protected under State and OPR privacy
statute and rules.
The Solution shall provide Public Users with the ability to submit a complaint online,
against a regulated professional.
The Solution shall require that the Public User submit their name, mailing address,
email address and other contact information.
The Solution shall verify the name and address, via an address data service (refer to
the Integration Points section of this document), and capture the device address (e.g.,
IP address) of the Public User. The Solution shall provide the ability to trigger the
Complaint workflow and create the appropriate tasks for Staff Users.
The Solution shall provide Public Users with the ability to search for licensee
information and view data that is not protected by State and OPR privacy statute and
rules. The Solution shall provide search by name, profession, phone number, and
location.
The Solution shall provide Public Users with a summary list of matches, and allow the
user to select a licensee to view their: public profile, current license status,
information from historic cases and complaints, and additional information that may
pertain to their license.
The Solution shall provide the Application Administrator User with the ability to
configure the Solution’s search results filters (e.g., Solution will be configured to filter
out address, phone, email, and place of employment for licensees that had previously
opted out from contact information disclosure.)
The Solution shall provide Public Users with the ability to search for an organization by
name, location, and type, and to view all licensees at that organization.
The Solution shall provide Public Users with the ability to download a selected roster
(i.e., all licensees of a profession) as an Excel or CSV file.
The Solution shall provide Public Users with the ability to search for conduct decisions
by profession and to view conduct decisions for a selected date range.
The Solution shall provide Public Users with the ability to submit a request to verify
Page 28 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Verification
3.9.9.2
3.9.9.3
3.9.10
Submit Feedback
3.9.10.1
3.9.10.2
3.9.10.3
3.9.11
Submit Question
3.9.11.1
3.9.11.2
3.9.11.3
3.9.12
Chat
3.9.12.1
3.10 Online Services for
Registered Users
3.9.12.2
March 23, 2016
RFP #
3.10.1
Apply for License
3.10.1.1
3.10.1.2
3.10.1.3
3.10.1.4
3.10.1.5
the licensure for a person registered in Vermont.
The Solution shall provide Public Users with the ability to complete this verification
process online, without assistance from Staff Users.
The Solution shall provide Application Administrator Users with the ability configure a
payment fee for the verification action.
The Solution shall provide Public Users with the ability to send feedback and
comments to the OPR.
The Solution shall provide Application Administrator Users with the ability to configure
the routing of Feedback messages to Staff Users.
The Solution shall store all feedback for future reference, and link the feedback to
registered user accounts.
The Solution shall provide Public Users with the ability to send questions to Staff
Users.
The Solution shall provide Application Administrator Users with the ability to configure
the routing of questions to Staff Users.
The Solution shall store all questions for future reference, and link the question to
registered user accounts.
The Solution shall provide Public Users with the ability to use IM to “chat” with Staff
Users.
The Solution shall store all chat session content for future reference, and link the Chat
session content to registered user accounts.
The Solution shall provide Public Users with the ability to apply for licenses online,
unassisted by Staff Users.
The Solution shall automatically apply an application fee according to configurable
rules.
The Solution shall verify all data entered, according to the validation rules set up on
the application form by the Application Administrator User.
The Solution shall apply configurable administrative rules for each profession and
ensure that all required questions and supporting material is provided prior to
accepting the application and payment.
The Solution shall provide the ability to require self-declaration of good standing with
the Vermont Tax and Child Support departments.
Page 29 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
3.10.2
Notifications
3.10.3
Renew License
3.10.4
Manage Account
Next Generation Licensing Platform
Request for Proposal - Requirements
3.10.1.6 The Solution shall provide the ability to configure that certain licensees for certain
applications submit an online survey. The Solution shall integrate the survey results
with the application, prior to the Public User submitting their license application.
3.10.1.7 The Solution shall provide the ability for Public Users to accept application terms, sign
the application electronically, pay online, generate a receipt, and generate copy of the
application, and download a copy of the application.
3.10.1.8 The Solution shall provide the ability of new applications to trigger a new application
workflow, and alert the associated Staff User.
3.10.1.9 The Solution shall provide the ability for Public Users to view the status of their
pending application if approval is not immediate, including staff review, board review,
or the need for additional information from the applicant.
3.10.2.1 The Solution shall provide registered Public Users with the ability to receive emails of
upcoming renewal notifications, reminders of pending requirements for exams,
reminders of continuing education, reminders of work experience requirements, and
reminders of conditions following a case.
3.10.3.1 The Solution shall provide Public Users with the ability to renew their license during
the renewal period as well as renew after the renewal period expires, calculating
continuing education hours, late fees and penalties.
3.10.3.2 The Solution shall provide enforcement of Public User profile verification and
demographic verification, or verification application information known to the
Solution.
3.10.3.3 The Solution shall calculate the fee based on pre-configured fee renewal logic.
3.10.3.4 The Solution shall provide Public Users with the ability to pay online, generate a
receipt and copy of the renewal, and download a copy of the renewal in the future.
3.10.3.5 The Solution shall provide the ability of renewals to trigger the renewal workflow, and
alert the configured Staff User.
3.10.4.1 The Solution shall provide Public Users with the ability to register for setup a new
account, and manage their personal profile and contact data for an existing account.
3.10.4.2 The Solution shall verify all demographic information to determine if an account exists
for the user. The Solution shall use a combination of personal data for this duplicate
check – the Solution should not rely solely upon email addresses because they are
often linked to place of employment and thus change frequently.
Page 30 of 114
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Manage Licensee Data
3.10.5.1 The Solution shall provide registered Public Users with the ability to manage their:








3.10.7
Request License
Reinstatement
3.10.8
Print License
3.10.9
Contact Information
Disclosure
3.11.1
March 23, 2016
RFP #
3.10.6.1 The Solution shall provide Public Users with the ability to place their license on hold in
order to de-activate it, for a period of time.
3.10.6.2 The Solution shall provide Public Users with the ability to request to reinstate the
license and then trigger a renewal, without the penalty fees associated with an
expired application that was not renewed within the defined renewal period.
3.10.6.3 The Solution shall provide the Administrator User with the ability to configure these
above behaviors and rules at a profession level.
3.10.7.1 The Solution shall provide former licensees, whose license was revoked by a board,
with the ability to submit a request to have their license reinstated.
3.10.7.2 The Solution shall provide the ability for this request to trigger a workflow to review
the request with the board, and inform the licensee of the board decision.
3.10.8.1 The Solution shall provide Public Users with the ability to print their license, and
generate a savable PDF/A version of their license.
3.10.9.1 The Solution shall provide Public Users with the ability to opt-out (i.e., hide) of public
disclosure of their demographic information, such as address, phone, email, and
current place of employment.
3.10.9.2 The Solution shall alter its public search results based upon the opt-out selections of
the Public User, and for opt-out conditions the Solution shall only return results that
indicate a confirmation of their current licensing status, and any case history.
3.10.9.3 The Solution shall provide Public Users with the ability to opt-out during the
application and renewal process, and separately from these processes.
3.11.1.1 The Solution shall provide Staff Users with the ability to review new applications and
L
i
c
e
n
s
i
n
g
Inactivate, Reinstate
License
3.11 M
a
n
a
g
e
3.10.6
Manage New
Demographic data;
Contact data;
Educational data;
Exam information;
Supervisory information;
Work experience and history information;
Continuing education, or transition-to-practice requirements
All other information that is required or pertains to their professional license.
P
r
o
c
e
s
s
3.10.5
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 31 of 114
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March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Application
determine if the application meets administrative and qualitative requirements.
3.11.1.2 The Solution shall provide Staff Users with the ability to place the application in
pending status if the application is deemed “not complete”, and Staff Users may
initiate a workflow to request additional information, corrections or other action from
the licensee.
3.11.1.3 The Solution shall provide Staff Users with the ability to generate temporary licenses,
for specific professions, without requiring additional manual data entry. The Solution
shall automatically expire the temporary license when the full license has been
approved.
3.11.1.4 The Solution shall provide the ability to route applications through managerial review
and approval. The Solution shall provide this ability in the New Application workflow.
Note: The OPR future vision is to have all applications, renewals and payments online. During the
transition period, the OPR staff will need to manage paper applications and payments, with
corresponding cash drawer reconciliation business process.
3.11.2
Manage Fee Rules
3.11.3
Manage Renewal
3.11.4
Manage Payment
3.11.5
Licensee Audit
3.11.2.1 The Solution shall provide Application Administrator Users with the ability to manage
the fee application rules, and fee amounts for each profession.
3.11.2.2 The Solution shall provide the ability to associate activation and expiration date to
each fee type.
3.11.2.3 The Solution shall provide the ability to configure the logic to determine a fee, using
configurable criteria related to the date of license expiration.
3.11.3.1 The Solution shall provide Staff Users with the ability to review renewal requests for
licensees who meet renewal application criteria.
3.11.3.2 The Solution shall provide the ability to have managerial review and approval of the
renewal. The Solution shall provide this ability in the License Renewal Workflow.
3.11.4.1 The Solution shall provide the ability to accept payments electronically.
3.11.4.2 The Solution shall provide Business Office Users with the ability to generate paymentrelated reports.
3.11.5.1 The Solution shall provide the ability to randomly select a State-configured predetermined percentage (e.g. 10%) of new applications for an audit, depending on the
profession type.
3.11.5.2 The Solution shall provide an Audit Workflow that triggers actions necessary to
automatically notify the licensee, and manage the audit process.
Page 32 of 114
3.12 Manage Inspection
Process
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
3.11.6
Block Renewal
3.11.7
Block Licensee
Information
3.12.1
Manage Inspection
3.12.2
Manage Inspection
Calendar
3.11.5.3 The Solution shall provide the ability to automatically include individuals in the audit,
if they have met configurable criteria (e.g. have a case opened in the last 12 months,
have conditions that required monitoring, or were pre-selected by Prosecutor Users or
Case Manager Users for a renewal audit).
3.11.6.1 The Solution shall provide Prosecutor Users and Case Manager Users with the ability
to block online renewal capability for configurable types of individuals (e.g., have had
a case brought against them, have had a certain level of conditions to meet during
their license period.)
3.11.6.2 The Solution shall provide Prosecutor Users or Case Manager Users with the ability to
enforce rules such as require an interview or discussion with Staff Users before the
individual can proceed with their online renewal.
3.11.7.1 The Solution shall provide Staff Users with the ability to mark a licensee’s profile with
an opt-out indicator when a licensee has requested their contact information be
hidden from public view, and will be configurable to allow a licensee to choose a
public profile and a private profile for Staff Users internal use only when a physical
address is required.
3.11.7.2 The Solution shall provide Staff Users with the ability verify the “hide” action is in
effect.
3.12.1.1 The Solution shall provide Staff Users and Board Users with the ability to view
inspection information of an organization and facility.
3.12.1.2 The Solution shall support the following types of information: date of last inspection,
prior inspection details, violations, and follow up actions.
3.12.2.1 The Solution shall provide Inspector Users with a calendar view of all organizations or
facilities that are due to have an inspection for a given timeframe.
3.12.3
View Inspection
Calendar
3.12.3.1 The Solution shall provide Inspector Users with the ability to search and display (in list
or map format) upcoming inspections for a given timeframe and location.
3.12.4
Generate Inspection
Itinerary
3.12.4.1 The Solution shall provide Inspector Users with the ability to select organizations or
facilities that are due for an inspection in an upcoming period (e.g., next month, or a
date range), along a route, and in a location.
3.12.4.2 The Solution shall provide the ability to add selections to an itinerary.
Page 33 of 114
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3.12.5
Schedule Inspections
3.12.6
Complete Inspection
3.12.7
Upload Artifacts
3.12.8
Organization Chart
3.12.9
Manage Violations,
Conditions
3.12.10 Manage Inspection
Forms
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
3.12.5.1 The Solution shall provide Inspector Users with the ability to schedule inspections. The
Solution shall provide the ability to view the schedule for a configured set of users
(e.g., managers).
3.12.6.1 The Solution shall provide Inspector Users with the ability to fill an inspection form
online (i.e., while logged into the Solution) and offline (i.e., while logged out of the
Solution.)
3.12.6.2 The Solution shall provide the ability to automatically synchronize itself to offline
form.
3.12.6.3 The Solution shall provide Inspector Users with the ability to access Solution content
while logged out of the Solution (i.e. remote sites).
3.12.7.1 The Solution shall provide Inspector Users with the ability to upload objects (e.g.,
documents, images) while online (i.e., logged into the Solution) and offline (i.e., logged
out of the Solution).
3.12.7.2 The Solution shall provide the ability to automatically upload objects when the user
reconnects to the Solution.
3.12.7.3 The Solution shall use a standard naming convention for all stored objects along with
meta data that identifies the date, location, facility or organization, and type of
business object.
3.12.8.1 The Solution shall provide Inspector Users with the ability to document and store
organization-specific details such as an organizational chart of managers, staff, and
their roles.
3.12.8.2 The Solution shall provide the ability to configure role-based access to this chart (e.g.,
other Staff Users, managers).
3.12.9.1 The Solution shall provide Inspector Users with the ability create, edit and delete
violations or conditions for a facility and an organization.
3.12.9.2 The Solution shall provide Inspector Users with the ability to track status, and plan to
resolve.
3.12.9.3 The Solution shall provide Inspector Users with the ability to create a task for a followup inspection at a future date.
3.12.10.1 The Solution shall provide Inspector Administrator Users with the ability create, edit
and delete inspection forms for a facility and an organization.
3.12.10.2 The Solution shall provide an Inspector Administrator User with the ability to create
Page 34 of 114
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
new forms either entirely, or by copying and customizing a similar form.
3.12.10.3 The Solution shall support forms with:


3.12.11 Create Templates
3.12.12 Generate
Communications
March 23, 2016
RFP #
Activation and expiration dates;
Content the Licensee User needs to review and explicitly accept (e.g.
electronic signature or verification);
3.12.10.4 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.
3.12.10.5 The Solution shall provide Inspector Administrator Users with the ability to edit and
delete forms. The Solution shall track all changes to a form and each new form is
versioned for auditing purposes.
3.12.10.6 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).
3.12.10.7 The Solution shall provide the ability to have reusable decision blocks, and leverage
business rules for decision logic within the form.
3.12.10.8 The Solution shall provide the ability for Questions and sections of a form to be
hidden, if not required based on the decision logic.
3.12.11.1 The Solution shall provide Inspector Administrator Users with the ability create, edit
and delete document and email templates.
3.12.11.2 The Solution shall provide the ability pre-populate content and data.
3.12.11.3 The Solution shall use a standard naming convention for all templates.
3.12.11.4 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.
3.12.11.5 The Solution shall provide Inspector Administrator Users with the ability to revert any
version of a template.
3.12.12.1 The Solution shall provide Inspector Users with the ability to generate
communications (of documents and email) from the Solution’s templates.
3.12.12.2 The Solution shall provide Inspector Users the ability to customize the
communications.
3.12.12.3 The Solution shall log and retain details of all facility and organization
Page 35 of 114
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3.12.15 Mobile Inspections
communications.
3.12.13.1 The Solution shall provide Inspector Users with the ability to create workflow tasks,
and generate reminders for upcoming inspections.
3.12.14.1 The Solution shall provide Inspector Users with the ability to track travel mileage and
expenses for each facility and organization on the Inspector User’s itinerary.
3.12.15.1 The Solution shall provide Inspector Users with the ability to:
 Search licensees;
 Use inspection forms;
 Upload content (in online/offline mode);
 Synchronize all content (e.g., documents, form data) when reconnected to the
Solution;
3.13.1
3.13.1.1 The Solution shall provide Public Users with the ability to submit new complaints. The
Solution shall then trigger a Complaint workflow with the following tasks:
3.12.13 Inspection Reminders
3.12.14 Track Time, Expense
3.13 Manage Enforcement Process
Next Generation Licensing Platform
Request for Proposal - Requirements
Manage Complaints
3.13.1.2
3.13.2
Manage Investigations
3.13.2.1
3.13.2.2
3.13.2.3
3.13.2.4
3.13.3
March 23, 2016
RFP #
Upload Media
3.13.3.1
 Investigation Administrator opens a case;
 Chief Investigator reviews the complaint;
 How to investigate the complaint;
 Assign an Investigator, based on the team’s current workload;
 Notify Chief Prosecutor User, based on complaint type.
The Solution shall provide Investigation Administrator Users with the ability to
generate letters that inform the complainant and licensee of the complaint, and if any
action will be taken, and the ability to inform complainant and licensees of the status
of a complaint
The Solution shall provide Investigator Users with the ability to schedule discovery
interviews for a given investigation, and enter activity data.
The Solution shall provide Investigator Users with the ability to create reports and
upload reports into the Solution.
The Solution shall support Investigative Report review with the Prosecutor, Chief
Investigator and Board User (i.e., to decide if a licensee should be prosecuted.)
The Solution shall provide Investigator Users with access to Solution content, when
offline at remote sites.
The Solution shall provide Investigators Users with the ability to upload varied media
Page 36 of 114
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
3.13.4
Manage Prosecution
3.13.4.1
3.13.5
Create Documents
3.13.5.1
3.13.5.2
3.13.6
Review Licensee
3.13.6.1
3.13.6.2
3.13.6.3
3.13.7
Block Interactions
3.13.7.1
3.13.7.2
3.13.8
Support Attorney,
Prosecutor Privilege
3.13.8.1
3.13.8.2
3.13.8.3
3.13.9
Manage Stipulations,
Follow-up
3.13.9.1
3.13.9.2
March 23, 2016
RFP #
type objects (e.g., graphics, video, and audio) and associate the objects to a case and
an investigation.
The Solution shall provide Chief Prosecutor Users with the ability to assign a Lead
Prosecutor User to case.
The Solution shall provide Prosecution Users with the ability to create and customize
communication documents for use with complainants, licensees, and facilities.
The Solution shall provide the ability for these documents to be retained by the
Solution, for audit purposes.
The Solution shall provide Prosecutor Users with the ability to view the full licensee
record.
The Solution shall provide Prosecutor 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.
The Solution shall provide forensically-sound retention of all interactions with a
licensee, including all online interactions.
The Solution shall provide Prosecutor Users with the ability to flag (i.e., red-light)
licensing files, in order to prevent inappropriate communications with discipline
respondents.
The Solution shall provide a vivid alert to all Staff Users who attempt to access
licensee record that is red-lighted.
The Solution shall provide configurable access controls for all enforcement-related
content (i.e., data).
The Solution shall provide Prosecutor Users with the ability to manage the
enforcement-related access controls.
The Solution shall provide Prosecutor Users with the ability to configure which
decision and status information is made visible, and to which user types (e.g. Staff
Users, Public Users).
The Solution shall provide Prosecutor Users with the ability to enter: stipulations,
conditions, flag for follow-up monitoring, or follow-up inspections, or audit prior to
renewal, etc.
The Solution shall provide Licensee Users with the ability to view/report updates, as
required for conditions or stipulations.
Page 37 of 114
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3.13.10 Inactivate, Revoke
License
3.14 Manage Board Meetings,
Governance
3.13.11 Release Records
March 23, 2016
RFP #
3.14.1
Manage License
Review
3.14.2
Manage Cases,
Complaints
3.14.3
Review Material
Next Generation Licensing Platform
Request for Proposal - Requirements
3.13.9.3 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.
3.13.10.1 The Solution shall provide Board Users with the ability to revoke a license, based upon
prosecution team recommendation, or stipulations that are mandated by the team.
The Solution shall block the licensee from applying and renewing online, until the
block is removed.
3.13.11.1 The Solution shall provide the ability to release a configurable set of information to
the public. The Solution shall achieve this release by publishing to the OPR website
and making the information available in the public licensee search function.
3.14.1.1 The Solution shall provide Licensing Board Specialist Users with the ability to identify
new applications, and new information (e.g., continuing education, work experience)
for review by Board Member Users.
3.14.1.2 The Solution shall provide Board Member Users with the ability to access the business
content in order to review, provide feedback, and provide approvals to actions, tasks,
documents, and activities. As part of the review workflow, the Solution shall provide
Board Member Users with the ability to assign tasks to Staff Users.
3.14.1.3 The Solution shall provide Board Member Users with ability to receive notifications of
new tasks to their “inbox”.
3.14.2.1 The Solution shall provide the ability to assign a Board Member User to the
investigative team, for a case.
3.14.2.2 The Solution shall provide the ability for all Board Member Users of a board, or
multiple members, to participate in the complaint process, case review process, and
hearing or decision making process. The Solution shall provide Board Member Users
with access to cases information and complaint information prior to the occurrence of
the review meeting and hearing.
3.14.3.1 The Solution shall provide Licensing Board Specialist Users with the ability to prepare
agendas and identify material for review at each board meeting.
3.14.3.2 The Solution shall provide Board Member Users with the ability to request online
access to the meeting information. The Solution shall provide Board Member Users
Page 38 of 114
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3.14.4
Manage Board
Meetings, Actions
Next Generation Licensing Platform
Request for Proposal - Requirements
3.14.4.1
3.15 User Success
3.14.4.2
March 23, 2016
RFP #
3.14.5
Strategic Planning
3.14.5.1
3.15.1
Self-service
3.15.1.1
3.15.1.2
3.15.1.3
3.15.2
Knowledge Base
3.15.2.1
3.15.2.2
with the ability to provide electronic feedback prior to the board meeting.
The Solution shall provide Licensing Board Specialists Users with the ability to
document feedback, create actions (with ability to manage those actions until
complete), and create tasks for Staff Users and Board Member Users.
The Solution shall provide Board Member Users with the ability to access board
meeting notes, and actions.
The Solution shall provide Board Member Users with the ability to perform ad-hoc
data queries, and generate reports that help inform their strategic plans.
The Solution shall provide integrated, context-sensitive HeIp.
The Solution shall provide the ability for user to direct their search to within a
contextual area of help content, and across all of the help content. The Solution shall
support Boolean operators and wildcards in the search string.
The Solution shall strategically integrate customer service access methods (e.g., IM,
email) into the help system.
The Solution shall provide the State with the ability to configure a Solution knowledge
base (KB) that is version controlled and follows the Solution’s releases.
The Solution shall provide the following KB capabilities:




WYSIWYG content editor, with support for binary object uploads (e.g.,
document templates, PDFs)
Cross-linking to Help system content;
Full-text indexing of KB content;
Searchability of KB content with support for Boolean operators and wildcards
in the search string;
Page 39 of 114
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Next Generation Licensing Platform
Request for Proposal - Requirements
4 Non-functional Requirements
Note: requirement strength is expressed as follows:
“Shall” = is a must-have requirement;
“Should” = is a desirable requirement;
4.1 Strategic Enablement
Class
March 23, 2016
RFP #
Identifier
Requirement
4.1.1
Public Service Platform
4.1.1.1
4.1.2
Information Digitization
4.1.2.1
4.1.2.2
The Solution shall provide the ability to “spin up” logically
separate instances (i.e., co-tenancy) of the Solution for future
public licensing-related service offerings.
The Solution shall enable the State’s digitization strategy to
eliminate paper end-to-end in its processes, and electronically
store representation of documents as a collection of constituent
elements. For example, a complete form (or license) that has
been issued by the Solution would be stored in the Solution as a
collection of discrete data elements that are rendered as a license
through a software layer (as opposed to storage of the license as
an object itself).
The Solution shall version each discrete data element that
comprises a business object, and the business object itself.
Page 40 of 114
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4.3 Infrastructure
4.2 Product Management
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.2.1
Community
4.2.1.1
The Vendor shall provide evidence of the existence of a vibrant,
active, and engaged community of customers and users who are
shaping the Solution and its roadmap.
4.2.2
Ecosystem
4.2.2.1
The Vendor shall provide evidence of the existence of an active
and engaged community of third-party developers and integrators
for the Solution.
4.2.3
Roadmap
4.2.3.1
4.3.1
Environments
4.3.1.1
The Vendor shall provide evidence of an active product
management function that demonstrates strong linkage between
the marketplace and internal engineering.
The Solution shall make use of Production, Stage, and Test
environments.
The Solution shall not share environments (i.e., no joint tenancy
on any level).
The Solution shall use the AWS GovCloud region for production,
and public regions for Stage and Test.
4.3.1.2
4.3.2
Cloud Regions
4.3.2.1
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4.4 Architectural Tenets
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.4.1
Cohesion
4.4.1.1
The Solution shall use standardized objects and methods for
messaging throughout the software stack.
4.4.2
Platform Lock-in
4.4.2.1
The Solution shall provide minimal dependencies that might
encumber:




4.4.3
Rapid Service Enablement
4.4.3.1
4.4.3.2
4.4.4
Engagement Technologies
4.4.4.1
4.4.5
Cloud Internals
4.4.5.1
4.4.6
Recurring Licensing
4.4.6.1
Future deployment options;
Future operating system or hardware choices;
Or otherwise limit scalability, or management;
e.g., runs on one operating system such as Windows or
Linux, or an over-dependence on non-standard APIs that
are not subject to public comment, or not based on
widely accepted protocols.
The Solution shall serve as a platform for the rapid enablement of
the requirements within this RFP and the evolution of public
services.
The Solution shall be realized using business process modelling
(BPM)-like capabilities and not any custom software by State and
Vendor.
The Solution shall provide the ability to selectively integrate the
following customer engagement technologies: traditional web
forms, mobile apps, email, instant messaging, QR codes, and bar
codes.
The Vendor shall provide evidence that the Solution is designed
from the inside-out to make use of cloud services versus third
party services. (e.g., messaging services instead of IQ would use
native cloud services.)
The Solution shall not require excessive long-term recurring
support and licensing costs to third party vendors. An example of
Page 42 of 114
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Office of Professional Regulation
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.4.7
Extensibility
4.4.8
DevOps
4.4.9
Privacy and Protection
4.4.10
Visionary
Requirement
an undesirable cost is a 20%+ support contract with database
vendor, particularly one that encumbers non-production as well
as production systems. Note: this requirement does not preclude
direct support and maintenance services by the Contractor.
4.4.7.1 The Vendor shall provide evidence of future extensibility along
key boundaries of the architecture, incorporation of legacy
applications, new extensions or otherwise unforeseen or changing
business requirements. Note: The State recognizes it is not
possible to anticipate all uncertainty, but preference is given to
proposals that include allowances for how future changes will be
applied. One such method is through the pervasive use of welldocumented REST API integration-points.
4.4.8.1 The Vendor shall provide evidence of how DevOps needs are
integrated into the fabric of the Solution (e.g., build-deploy tools,
or agent-like capability and control messaging between layers
thus enabling minimal ongoing DevOps support and
management).
4.4.9.1 The Vendor shall provide strong encryption in-transit, and at-rest,
for all State-designated business objects, business content, and
communication.
4.4.10.1 The Vendor shall demonstrate that the Solution design
(infrastructure and software) and embedded technologies
indicate product visioning and likelihood of long product life.
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Identifier
Requirement
4.5.1
Design
4.5.1.1
The Solution shall be designed and implemented using an MVC or
similar web framework.
4.6.1
Digitization Services
4.6.1.1
The Vendor should be capable of providing a Digitization Service
(or equivalent) that supports the State’s vision of a Business
Integration Center (BIC – refer to 4.11.6 Business Integration
Center for additional information) by performing configurable
content capture and storage, using OCR and ICR.
The Solution should provide the State with the ability to configure
the integration methods, and integration points, of the
Digitization Services content.
The Vendor should provide evidence of an Application services
layer (or equivalent) that performs the following:
4.6 Architecture Conceptual View
4.5 Architecture Pattern
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
March 23, 2016
RFP #
4.6.1.2
4.6.2
Application Services
4.6.2.1





HTML5, CSS3 support
Responsive UI design
RESTful API services, for internal and external integration
Load balanced (stateless)
Artifacts and interfaces supported include but are not
limited to:
o Desktop and tablet browsers;
Page 44 of 114
Vermont Secretary of State
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
o
o
o
o
o
o
4.6.3
Business Services
4.6.3.1
The Vendor should provide evidence of a Business services layer
(or equivalent) that performs the following functions:













4.6.4
Core Services
4.6.4.1
March 23, 2016
RFP #
Integration Services
4.6.5.1
Workflow Management;
Account Management;
Communications Management;
Document Management;
Records Management;
Case Management;
Reporting;
Solution Administration;
Public Access;
Licensing;
Inspections;
Enforcement;
Boards;
The Vendor should provide evidence of a Core Services layer (or
equivalent) that provides the following:



4.6.5
Mobile clients (future or limited immediate);
Email;
Web forms and pages;
PDF and other documents;
Search functionality;
End-user notifications and portal features
Business Rule Engine;
Workflow Engine;
Instrumentation (i.e., command, control and monitoring
functions);
The Vendor should provide evidence of an open SOA-like
Integration Services layer (or equivalent) and toolkit that provides
the following:
Page 45 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement


4.6.6
Business Process Models
4.6.6.1
4.6.6.2
4.6.6.3
4.6.6.4
March 23, 2016
RFP #
Consistent method for State-Partner integrations
defined within this RFP;
Ability for the State to create future integrations (over
standard protocols) without the need for code-level
development and without Vendor involvement;
The Solution shall use leading business process modelling
technology that enables the State to build, manage, and extend
the Solution without software development by the State and the
Vendor.
The Solution shall store its models in BPMN v2.0+ format.
The Solution shall provide the State with the ability to export
object models into other BPMN v2.0-compliant tools, where they
can be edited and exported and then re-introduced (imported)
back into the Solution.
The Solution shall provide the ability to version, tag, promote, and
demote all models and their associated elements.
Page 46 of 114
Vermont Secretary of State
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4.8 Deployment
4.7 Architecture Deployment View
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.7.1
4.7.1.1
Infrastructure Services








Load balanced;
HTTP application interface;
Web/HTML and REST/JSON support;
Standardized virtualized machine images;
AWS SNS HTTP notifications for intra-application
messaging;
AWS RDS Services for database support;
Effective use of AWS VPCs for security and architectural
flexibility;
Key Resource and Application monitoring, along with
corresponding alarms;
4.8.1
Server Separation
4.8.1.1
The Solution shall support the ability to co-locate and to
separately host the web servers, application servers and the
database servers.
4.8.2
Private Cloud
4.8.2.1
The Solution shall use AWS VPC to separate Solution elements
based on functional role.
The Solution shall constrain the exposure of VPCs, consistent with
AWS, Security and Solution best practices (e.g. the Solution shall
prevent direct public access to application server-related and
database server-related hosts.)
The Solution shall provide the ability to immediately and
transparently (to users) add, quiesce, and remove Application
server instances in response to usage conditions.
The Solution shall provide the ability to trigger the Application
server actions automatically via rules, and manually.
4.8.2.2
4.8.3
Application Server Scalability
4.8.3.1
4.8.3.2
March 23, 2016
RFP #
The Solution shall provide the following Infrastructure services
and capabilities:
Page 47 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.8.3.3
4.8.4
Database Scalability
4.8.4.1
4.9.1
Dynamic Scalability
4.9.1.1
4.9 Scalability
4.9.1.2
4.9.1.3
4.9.2
Load Balance Triggers
4.9.2.1
4.9.3
Load Balance Session State
4.9.3.1
4.9.3.2
March 23, 2016
RFP #
The Solution shall ensure that the addition, quiesce and removal
actions do not result in any loss of service, and do not negatively
affect any data integrity.
The Solution shall provide basic database replication, and enables
the State to move to a clustered (multiple write nodes) database
server configuration in the future.
The Solution shall provide the ability to automatically and
dynamically scale all services (including its web server instances,
application server instances, and database server instances, all
required AWS resources) using cloud configuration rules, in order
to meet or exceed the Solution’s SLA and performance
requirements.
The Solution shall provide the State with the ability to view to the
cloud configuration rules (i.e., conditions and actions).
The Vendor shall provide the State with monthly (or more
frequents) on Solution sizing, ceilings, and infrastructure resource
requirements.
The Solution shall provide the ability to automatically and
dynamically load balance in the event of resource failures or
congestion.
The Solution shall provide the ability to minimize server state
dependencies that would essentially pin a user session to a server
instance.
The Solution shall provide the ability to maintain all extended
session state information (e.g. support a wizard, shopping cart or
other extended transaction) in a data structure that is available to
any application server, regardless of the transaction’s point of
entry to the Solution.
Page 48 of 114
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Identifier
4.11 Integration Points
March 23, 2016
RFP #
Requirement
4.10.1.1 The Vendor shall provide evidence of the Solution’s SOA strategy
in terms of:
4.10 Integration
Strategy
Class
Next Generation Licensing Platform
Request for Proposal - Requirements





Distribution of services;
Integration of services;
Ease of maintenance;
Administration and security;
Protocols supported;
Note 1: The Integration requirements in this section are prefaced with a different requirement strength than the rest of
the document.
Note 2: Each integration should be priced separately, or have a budgetary estimate listed, along with any assumptions.
Requirements are phrased as “PURPOSE: <strength> - “, where <strength> is one of the following:
“Anticipated“ = in scope for NGLP or at some future time;
“Required” = in scope for NGLP;
“Future” = at some future time;
4.11.1
Content as a Service
4.11.1.1 PURPOSE: Required – Content as a Service (i.e., CaaS) or
Enterprise Content Management (ECM) integration. The Solution
abstracts the CaaS over the following ECMs and CMS’:
 Alfresco;
 Umbraco;
 SharePoint;
Currently the State is moving to AlfrescoOne version5.1, and
some SharePoint cloud services (refer to
www.azure.microsoft.com).
Contractor should describe how the Solution (operating as a
client) would leverage the State’s Umbraco CMS, Alfresco server
(over CMIS v1.1) and SharePoint as the CaaS for:
1. Store electronic forms;
2. Scan and store imaged documents;
3. Object content search;
Page 49 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4. Provides digital rights management;
5. www.sec.state.vt.us web content;
March 23, 2016
RFP #
4.11.2
Web Content Management
4.11.3
Social Security Verification
4.11.4
Enterprise Resource Planning
4.11.5
Payment Provider
4.11.6
Business Integration Center
4.11.2.1 PURPOSE: Required - Website (www.sec.state.vt.us) content and
object storage and retrieval using the Umbraco
(ww.umbraco.com) version 6+ web content management system.
Designed into and as part of the Solution’s CaaS.
4.11.3.1 PURPOSE: Anticipated - Enterprise Service Bus (ESB) integration
to facilitate the exchange of business content across the
enterprise. The ESB is Oracle’s product. The first SOA-like service
planned, is for OPR to perform Social Security Number (SSN)
verification. Forecasted availability of this service is 1HCY16.
Other service offerings will follow later in CY16 and beyond.
4.11.4.1 PURPOSE: Anticipated - Enterprise Resource Planning (ERP)
integration to State’s Vision solution (PeopleSoft) for ACH, CC, eCheck, cash-related transactions. The integration is for a
summary-level exchange of journal entries.
As of July 2015, the State’s current release of PeopleSoft (PS) uses
a flat file data exchange methodology. Some time in 1HCY2016
the PS Integration Broker could be available as an interface
approach and enable REST or Web Service-like access.
4.11.5.1 PURPOSE: Required - Payment Provider integration from State to
Authorize.net (http://www.authorize.net/).
4.11.6.1 PURPOSE: Future - Business Integration Center (BIC) (i.e., mail
processing center). The BIC is expected to be a combination of
people and technology services that receive all incoming USPS
mail destined for OPR.
4.11.6.2 The BIC will scan OPR business objects (mail) and send those
objects to the Solution through an automated interface. The
Solution is responsible for the electronic routing to the
appropriate roles (i.e., OPR staff), queuing and workflow triggers.
Page 50 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.11.7
State’s Attorney
4.11.8
Attorney General
4.11.9
Nurse License Verification &
License Lookup
4.11.10 Voice over IP
4.11.11 Boards
March 23, 2016
RFP #
Requirement
(Contractor budgets for this line item should include mail
processing and scanning.)
4.11.7.1 PURPOSE: Anticipated - Push of enforcement-related information
and cases.
4.11.8.1 PURPOSE: Anticipated - Push of enforcement-related information
and cases.
4.11.9.1 PURPOSE: Required - Push of content from the State to National
Council of State Boards of Nursing - NURSYS integration, refer to
https://www.nursys.com/.
4.11.10.1 PURPOSE: Future – Solution integration to the State’s Voice over
IP (VoIP) telephony service for Staff User “screen pop” based
upon caller information provided by VoIP.
4.11.11.1 PURPOSE: Anticipated - Nursing Board: Send Workforce data on
licenses issue, to Vermont Department of Health.
4.11.11.2 PURPOSE: Anticipated - Green Mountain Care Board (GMCB):
Send labor data from OPR to GMCB.
4.11.11.3 PURPOSE: Anticipated – State Agency of Administration, Director
of Healthcare Reform: Per Vermont Act 2013, No.79 Sec 44,53(a)
work force planning data collection. Today it is achieved through
self-reporting surveys.
4.11.11.4 PURPOSE: Anticipated - Midwives and Naturopath: Annual report
to State Department of Health on birth-related data.
4.11.11.5 PURPOSE: Anticipated – Appraisers Foundation and Appraisal
subcommittee: Send new licensee content to national
organization.
4.11.11.6 PURPOSE: Anticipated - National Practitioner Databank:
healthcare reporting from OPR to federal government on
discipline related to healthcare providers. Reporting is eventdriven.
4.11.11.7 PURPOSE: Future – Professional Engineers, http://ncees.org/
Page 51 of 114
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Identifier
Requirement
4.11.12 HIPDB
4.11.12.1 PURPOSE: Required – Lookup to Healthcare Integrity and
Protection Data Bank (HIPDB) – federal database of healthcare
providers.
4.11.13.1 PURPOSE: Required – Lookup of records in the National
Practitioner Data Bank (NPDB) – federal database of healthcare
providers.
4.11.14.1 PURPOSE: Required – Lookup of records in the National
Association of State Boards of Accountancy (database of
accountancy licensing and disciplinary information). Send a report
to Accountancy Licensing Database (ALD).
4.11.15.1 PURPOSE: Required - Data exchange by the OPR and Vermont
Department of Tax. Several interfaces are envisioned. Currently,
the Department of Tax holds compliance information on
individuals and entities in a variety of systems. OPR’s priority
(because of license volume) is with information related to
individuals, followed next by entities
DETAILS:
1. OPR sends bulk licensee data to Department of Tax via
secure FTP. The exchange active and inactive licensees, their
SSN, FN, LN, DOB, date of license renewal, date of license
expiration. The file format is a .txt and records are delimited
by pipe or caret characters.
2. OPR real-time query Department of Tax, via some form of a
web service. The query is result is binary value that will
indicate the individual or entity is “in compliance” with Tax or
“out of compliance”. Tax is undergoing system
implementation work and this interface is not expected to be
supportable on their end until 4QCY16.
Department of Tax sends Compliance objects to OPR. These
objects are signed letters from the Department of Tax indicating
they are out of compliance. OPR will consume these letters and
4.11.13 NPDB
4.11.14 NASBA
4.11.15 Department of Taxes
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 52 of 114
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Class
Identifier
Next Generation Licensing Platform
Request for Proposal - Requirements
Requirement
develop the logic to associate the letter to the license holder and
apply the appropriate business rules as to what that means to the
license holder.
4.11.16 Office of Child Support
4.11.16.1 PURPOSE: Required - Lookup of data from the State’s Office of
Child Support (OCS).
4.11.17 Judicial Bureau
4.11.17.1 PURPOSE: Required – Lookup of traffic violation-related events,
non-criminal and for compliance of fines.
4.11.18 Active Directory
4.11.18.1 PURPOSE: Required – Single sign-on (SSO) for State staff only. As
the first level of Identity and Access Management (IAM) the
Solution integrates with the State’s Active Directory database
using Active Directory Federation Services (ADFS) version 3+, over
SAML2.0.
4.11.18.2 For non-State staff, the Solution will provide user authentication.
4.11.19.1 PURPOSE: Required - Lookup of entity status, entity and trade
name via the State’s Corporations system. RESTful API lookup – of
the following data types: e.g., trade name, entity status, date of
incorporation, proper name and address - from Solution to the
Corporations system, could be triggered by Solution UI and
business rules.
4.11.20.1 PURPOSE: Future - Lookup of criminal background information in
the National Crime Information Center database.
4.11.21.1 PURPOSE: Future - Lookup of criminal background information in
the Vermont Crime Information Center database (VCIC).
4.11.22.1 PURPOSE: Future – Create a complaint in the Valcour Law
Enforcement system (http://www.crosswind.com/rms/).
4.11.23.1 PURPOSE: Anticipated – external integration of Solution’s
command control and management and monitoring functions into
the State’s management and monitoring application. Currently
the State uses PRTG (see https://www.paessler.com) for devicelevel monitoring. In the future it will be moving to a service-
4.11.19 Corporations System
4.11.20 NCIC
4.11.21 VCIC
4.11.22 Valcour
4.11.23 System Manager
March 23, 2016
RFP #
Page 53 of 114
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Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.11.24 OpenData
4.11.25 Vermont Department of
Health
4.12 Integration Design
management type application.
4.11.24.1 PURPOSE: Future - Publish of selected State data from Solution to
State’s OpenData site (https://data.vermont.gov/). This data
service is currently provided by Socrata.
4.11.25.1 PURPOSE: Required – Vermont Prescription Monitoring System
(VPMS) to complete form on VPMS when submitting a new application.
4.11.27 Vermont IAM
4.11.26.1 PURPOSE: Required – Lookup and use of address verification
service. Service design should allow for alternate service suppliers
to be swapped in without the driving active development and
expense to the State. Initial service suppliers could be Melissa
Data, the State’s E911 system, or Vendor-recommended address
service.
4.11.27.1 PURPOSE: Future – Authentication service anticipated by DII.
4.11.28 Vermont GIS
4.11.28.1 PURPOSE: Future – Lookup integration to Vermont GIS.
4.11.29 Vermont Digital Archives
4.11.29.1 PURPOSE: Future – Lookup of, and publish to, State’s future
digital archive solution.
4.12.1.1 The Solution should use REST-like APIs for all integrations.
4.12.1.2 The Solution should require that REST APIs be authenticated over
TLS/HTTPS, and authenticated and signed using OAuth2.0
standards.
4.12.2.1 The Solution should version all REST APIs.
4.12.2.2 The Solution should include the version as part of the request
path (e.g.
https://licensing.state.vt.us/lookup/api/v1/check_holder)
4.12.3.1 The Solution shall provide API documentation tools that
sufficiently enable 3rd parties to utilize the API, without the need
for Vendor training and consulting. The API documentation shall
be versioned alongside the code base of the Solution.
4.12.3.2 The Solution shall provide the following API documentation:
4.11.26 Vermont Address Service
March 23, 2016
RFP #
Requirement
4.12.1
Authentication
4.12.2
Versioning
4.12.3
Documentation
Page 54 of 114
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Class
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Request for Proposal - Requirements
Identifier
Requirement
4.13 Database Design







March 23, 2016
RFP #
4.12.4
Format
4.13.1
SQL
4.13.2
Storage
4.13.3
Read-only Replication
Date, time, and other format-specific expectations;
Error codes;
URL and Resource paths;
Parameters;
Methods supported;
Example request;
Example response;
4.12.4.1 The Solution should use JSON for the API data format, and may
support XML.
4.13.1.1 The Solution shall use a widely-adopted, OSS or commercial, SQL
database. Vendors may propose a NOSQL database but will have
to address how the database achieves full transactional integrity
(ACID), makes use of third party reporting, business intelligence
and ad-hoc data query requirements. Such a proposal must also
include a justification of the NOSQL selection over a SQL solution.
4.13.1.2 Vendors may propose a commercial SQL-based solution but must
justify licensing and support costs, and why a commercial SQL
solution would be more appropriate to the State than an OSS SQL
solution.
4.13.2.1 The Vendor shall describe the Solution’s design to storage and
management of transactional business data, business objects,
models, rules, business communication, and logs.
4.13.3.1 The Solution shall provide database replication, to support
separate read-only transactions.
4.13.3.2 The Solution should anticipate that read-only replicas are used for
routine reporting and data analysis, as well as episodic high
volume read requests that might occur as a result of special
events. An example of the latter is a sudden requirement to serve
a large number of external (public) read requests during following
a highly publicized news story.
Page 55 of 114
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Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.13.4
High Availability
4.13.5
Full-text Indexing and Search
4.13.6
Performance
4.13.4.1 The Solution shall provide 99.9% availability target for its
database service.
4.13.4.2 The Solution shall provide a mean time to recover (i.e., RTO) of
less than 60 minutes for the database service.
4.13.4.3 The Solution shall provide a maximum data recovery window, or
recovery point objective (i.e., RPO) is less than 60 minutes for the
database service.
4.13.4.4 The Solution shall not experience more than four unplanned
outage events for the database service within each calendar year,
with no more than a one hour duration per outage occurrence,
with no single outage resulting in more than one hour worth of
data loss.
4.13.5.1 The Solution shall provide full-text indexing support in
anticipation of functional requirements for auto-completion and
search functionality. All business-related content (e.g., data,
objects, logs) are candidates for indexing.
4.13.5.2 The Solution shall provide Staff Users with the ability to fully
search the application portion (versus system tables) of the
Solution database.
4.13.5.3 The Solution shall provide designated State roles with the ability
to manage the restriction of data (i.e., datasets and columns)
from search scope, for all Solution user types.
4.13.5.4 The Solution shall perform indexing on transactional data and
business objects. The Solution shall begin indexing immediately
upon object ingestion, and regardless of object size and type, but
the Solution’s indexing operation does not negatively affect
Solution user operations and does not inhibit other Solution realtime operations, services and performance objectives.
4.13.6.1 The Solution shall provide logging of long running queries, with
the intent of facilitating the identification and correction of
performance issues.
Page 56 of 114
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Office of Professional Regulation
4.15 Usability
4.14 Reliability
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.14.1
User Acknowledgement
4.14.2
Data Integrity
4.15.1
User Centered Design,
Personas
4.15.2
Responsive Design
4.15.3
Fixed Displays
4.15.4
Mobile Devices
4.15.5
Browser Platforms
Requirement
4.13.6.2 The Solution shall provide summaries and alerts to Vendor SysOps
staff at thresholds (extraordinary or informational) of operational
relevance. The Solution shall also provide this information using
the Solution’s Management and Monitoring application.
4.14.1.1 The Solution shall perform user acknowledgements (positive and
negative) to user-related actions inside a transaction wrapper.
4.14.2.1 The Solution shall provide against loss and data corruption by
automatically rolling back data updates in the event of a failure
anywhere in the transaction path.
4.15.1.1 The Vendor shall practice a User Centered Design (UCD) approach
for all State user types.
4.15.1.2 The Vendor shall develop a set of key personas at the outset of
the project.
4.15.1.3 The Vendor shall conduct usability testing with the key personas.
4.15.2.1 The Vendor shall implement a responsive UI design with a
common set of viewport widths, and incorporate a flexible
proportional layout.
4.15.3.1 The Solution shall support State desktop PC displays, for all user
types.
4.15.4.1 The Solution shall provide full user functionality on tablets,
smartphones and other mobile-like devices for all user types.
4.15.4.2 The Vendor should provide the State with iPhone and Android
applications for the Solution.
4.15.5.1 The Solution shall not use client-side installations or plugins or
anything similar for non-mobile browsers.
4.15.5.2 The Solution shall provide web access and mobile access
regardless of the user type.
Page 57 of 114
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Office of Professional Regulation
4.16 Logging
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.15.6
Handicap Accessibility
4.15.7
Autocomplete
4.15.8
Internationalization
4.16.1
Events and User Objects
4.16.2
System Objects
4.16.3
Tracing
4.16.4
Log Management
4.16.5
Log Viewer
4.15.6.1 The Vendor shall provide evidence that the Soluton meets
http://www.w3.org/WAI for desktops, web, and mobile.
4.15.7.1 The Solution shall provide auto-complete functionality where
applicable. For example, any user typing a town name can “tab
complete” from a dynamically presented set of Vermont towns.
4.15.8.1 The Solution shall support i18n and internationalization.
4.15.8.2 This Solution should support Spanish, French and potentially other
Western European language support.
4.15.8.3 The Solution should support language-specific user messaging
such as: errors, notifications, alerts and the ability to customize
and translate static content (without requiring modify to
application logic).
4.16.1.1 The Solution shall provide atomic-level logging of all object (e.g.,
system, configuration, application data) events, prior value set
and changed set
4.16.2.1 The Solution shall provide atomic-level logging of all system (e.g.,
setup) events, prior value set and changed set;
4.16.3.1 The Solution shall provide an integrated tracing capability (e.g.,
viewer) that integrates all object-related and event-related log
content into a single pane, for forensic and diagnostic purposes.
4.16.4.1 The Solution shall provide the ability to configurable the
granularity of all event and audit logs, based upon roles and
groups.
4.16.4.2 The Solution shall provide the ability to implement records policy
in automated rules for the maintenance and disposition (e.g.,
deletion, archiving) of all business content and associated logs.
4.16.5.1 The Solution shall provide role-based access to an integrated log
viewer that integrates all object-related and event-related log
content into a single pane, for forensic and diagnostic purposes.
Page 58 of 114
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Office of Professional Regulation
4.17 Capacity and Performance
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.17.1
Resource Growth Rate
4.17.2
Licensees and Types
4.17.1.1 The Solution shall provide auto-scalability of all infrastructure
instances, services, and resources across the Solution’s
deployment architecture stack and deployment configuration for
all State environments (i.e., Production, Stage, and Test).
4.17.1.2 The Vendor shall provide Solution pricing based upon the
requirements enumerated in this document. In addition, the
Vendor shall plan to collaborate with the State on all Solution
sizing models that supports the State’s current operational needs,
and supports “moderate” resource growth over the life of the
Solution. The Vendor and State shall use this model for
forecasting and validation of all capacity and performance-related
requirements.
4.17.1.3 The Vendor shall also provide support in the sizing model for
“aggressive” State forecasts of future resource demand and
consumption that resulting from OPR’s expansion of
responsibilities.
4.17.2.1 The Solution shall provide initial support for an estimated:


4.17.3
License Renewals
4.17.4
Payment Transactions
4.17.5
Organization Size
4.17.6
Concurrent Users
~60k active licensees (i.e., Public Users). ~90% of this set are
individuals and the remainder are institutions;
~200 license subtypes (i.e., Credential);
4.17.3.1 The Solution shall provide support for two year license renewal
cycles and an annual licensee renewal turnover of ~30k (~15k
lapsing and ~15k first-time licensees).
4.17.4.1 The Solution shall provide support for an estimated minimum of
~2,500 monthly payment transactions.
4.17.5.1 The Solution shall provide support for a current OPR staff size of
~40. Note: this user count does not include board members,
partners, and other non-public users.
4.17.6.1 The Solution shall provide support for the following estimates:

March 23, 2016
RFP #
~2-4 average concurrent Public User visitors per minute;
Page 59 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement



4.17.7
Peak Usage
4.17.7.1 The Solution shall provide support for variable usage patterns
with periodic acute and exponential spikes in visits and query
transactions for unplanned events.
4.17.7.2 The Solution shall provide automated scalability actions based
upon rules that account for profession-specific business events
(e.g., renewal periods that are staggered at the end of each
calendar month, depending on the profession and the number of
licensees up for renewal.)


4.17.8
User Response Time
Page Load Time
Peak: 200 simultaneous users, 1000 reads/hour, 400
updates/hour;
Special Event: 1,000 simultaneous users; 50,000
reads/hour; 1,000 updates/hour;
4.17.8.1 The Solution shall provide its response to any user input, for each
user platform type (i.e., web browser and mobile application) as
follows:


4.17.9
~100 peak concurrent Public Users, for a sustained period
of 48 hours;
~30-40 average concurrent Staff Users per minute;
~20-30 Non-public, non-staff users per minute;
< 3 seconds over a broadband (>= 1MBps) connection;
< 5 seconds over non-broadband (>= 56KBps) connection;
4.17.9.1 The Solution shall provide a maximum average complete page
load time for web browser platforms, as follows:
 < 3 seconds over a broadband (>= 1MBps) connection;
 < 5 seconds over non-broadband (>= 56KBps) connection;
4.17.9.2 The Solution shall provide a maximum average complete page
load time for mobile application platforms, as follows:

March 23, 2016
RFP #
< 3 seconds over a 3G+ connection;
Page 60 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.17.10 Public Objects
4.17.10.1 The Solution shall provide support for an estimated minimum
document objects of ~200,000 with an average size of 60K bytes.
4.17.11.1 The Solution shall provide support for ~600-1,000 annual
inspections. The Solution shall provide support for an estimated
2GB-8GB of inspection-related business objects (e.g. images,
video).
4.18.1.1 The Vendor shall provide evidence of successful testing to the
current OWASP Top 10 and inclusion of those tests in its ongoing
releases.
4.18.2.1 The Vendor shall provide evidence of a software assurance
practice equal or similar to OWASP OpenSAMM
4.18.3.1 The Solution shall comply, and provide evidence of compliance,
with the NIST 800-53:
4.17.11 Inspections
4.18.1
OWASP Top 10
4.18.2
OWASP OpenSAMM
4.18.3
NIST 800-53 v4
4.18 Security

4.18.4
March 23, 2016
RFP #
Controls Attestation
Access Control (AC) Family and specifically allow for
granular access control and ability to monitor user access
and activities;
 Audit and Accountability (AU) Family and specifically
allow for the ability to generate audit event logs with
timestamps;
 System and Communication (SC) Family and specifically
uses either a NIST 800-53 compliant encryption
mechanism for data being processed, transmitted, and
stored; OR leverages industry accepted, commercially
reasonable encryption mechanisms.
4.18.3.2 The Vendor shall be willing to participate in State-led incident
response processes that aid in the State’s compliance with the
NIST 800-53 Control Framework.
4.18.4.1 The Vendor shall provide the State with reports of security work
and controls to which the Vendor and Solution have been verified
against.
Page 61 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.18.5
Penetration Testing
4.18.6
Security Testing in QA
4.18.7
Security Scanning in QA
4.18.8
Authentication
Requirement
4.18.4.2 The Vendor shall provide the State with evidence of annual (or
some other frequency agreed to by State and Vendor) of Security
Risk Assessments. (Note: the Vendor and State could agree to selfassessment by Vendor in exchange for the State performance of
audits, penetrations tests and vulnerability scans.)
4.18.5.1 The Vendor shall allow the State to perform penetration testing
on a production-like instance and environment of the Solution.
4.18.6.1 The Vendor shall include State-approved security tests in the
Solution’s standard Dev->QA>release cycle.
4.18.7.1 The Vendor shall perform source code security scanning as part of
the Solution’s release process.
4.18.8.1 The Solution shall authenticate users as follows:

State employees (e.g., Staff Users, Application
Administrators, Prosecutor Users) are authenticated to
the State’s Active Directory via SSO;
 All other users (e.g., Board Member Users, partners,
Public Users) are authenticated to the Solution;
4.18.8.2 The Solution shall apply a user’s authentication and authorization
grants across all applications and services provided by the
Solution.
4.18.8.3 The Solution shall reduce opportunities to reverse engineer keys
by ensuring authentication key designs do not use publicly
available information.
4.18.8.4 The Solution shall provide the following minimum capabilities to
non-State employee users:




March 23, 2016
RFP #
Self-service credential management (i.e., State User
intervention is not required);
Two-factor authentication;
Profile creation and management;
Prevention of duplicate users;
Page 62 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
 Account lockout, driven by State-configured rules;
 Password reset, password modification
 Security question suite that is State-configured;
 Auditing of all account management actions;
Note: Vendors should anticipate future integration with a State of Vermont
public identity service, accessible via a RESTful API. The underpinning of this
service is an Oracle stack and will be aimed at non-State employee users.
4.18.9
Authorization
4.18.9.1 The Solution shall provide the Administrator User with the ability
to define and manage user: roles, groups, privileges, and explicit
authorization grants across all of the Solution’s applications,
functional capabilities, data structures, and data elements. The
Solution shall log and version all Authorization administrative
actions.
4.18.9.2 The Solution shall exceed OWASP requirements by ensuring:



March 23, 2016
RFP #
Public Users are limited to their account information;
API Users are restricted to information intended for the
API;
Guards are in place against privilege escalation attacks
(e.g., URL manipulation);
Page 63 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.18.10 Data Custodianship
4.18.10.1 The Solution shall exceed OWASP requirements by:






Performing log masking;
Performing data export masking;
Preventing PII leaks from logs;
Preventing PII leaks from data exports, downloads, and
REST APIs;
Authenticating data export access;
Auditing data export events;
Note: “public information” is defined State “Title 1 subsection 317(b).
Vermont statutes annotated”.
4.18.11 Auditing and Testing
4.18.11.1 The Solution shall Administrator Users with the ability to exceed
OWASP requirements by providing the ability to test and audit the
Solution’s security and data protection performance. The Solution
shall provide seamless integration all test and audit functions (and
results) into the Solution’s Operations and Administration (O&A)
functions.
4.18.11.2 The Solution shall provide log and audit for the following:
 Significant user account activity;
 Logins and logouts;
 Password resets;
 Application access by IPaddress, and user identifier;
 Data updates;
 Mass data exports;
4.18.11.3 The Vendor shall provide the following testing:




March 23, 2016
RFP #
Intrusion detection;
Penetration;
Cross-site scripting (XSS);
SQL injection;
Page 64 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement


Unified Ops Management
Console
4.19 Operations & Administration
4.19.1
March 23, 2016
RFP #
4.19.1.1 The Solution shall provide a single-pane view and point of control
of all Ops-related management and monitoring functions (up-anddown, and across the software architecture stack, inclusive of the
supporting AWS infrastructure services).
4.19.1.2 The Solution should provide exposure of the Ops Management
Console’s essentials capabilities, via an API (or equivalent) for
integration into 3rd party Management platforms.
4.19.1.3 The Solution shall provide the ability to configure the automation
of Ops management actions in response to events and conditions.
All actions are also schedulable and automatable. For example in
the area of auto-scaling, if one of the Solution’s CPU utilization
was running “hot” (i.e., sustained at 75%) for an extended period,
the Ops automation functions should invoke a set of alarms and
possible invoke the creation of new instances. Another example
would be in anticipation of an extremely large business event (e.g.
profession renewal), the Solution could be scaled horizontally
(e.g., Application servers.)
4.19.1.4 The Solution shall provide alarm reporting based upon discrete
event correlation.
4.19.1.5 The Solution shall provide support for outbound alarm reporting
over the following transports:



4.19.2
Unified Application
Administration Console
Command-line injection;
Auditing for plain-text secrets or configuration exposures;
Email;
SMS;
HTTP;
4.19.2.1 The Solution shall provide a single-pane view and point of control
of all Application Administration-related management and
monitoring functions, up and down and across the application.
4.19.2.2 The Solution shall provide the ability to configure the automation
Page 65 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
of Application Administration in response to events and
conditions. All actions are also schedulable.
4.19.2.3 The Solution should provide exposure of the Application
Administration’s Console’s essentials capabilities, via an API (or
equivalent) for integration into 3rd party Management platforms.
4.19.2.4 The Solution shall provide support for outbound alarm reporting
over the following transports:



4.19.3
Instrumentation
4.19.3.1 The Solution shall provide instrumentation of its essential
technology elements (up-and-down, and across the software
architecture stack, inclusive of the supporting AWS infrastructure
services) to sufficiently enable:







4.19.4
March 23, 2016
RFP #
Performance Analysis
Email;
SMS;
HTTP;
Proactive Ops Management console capabilities;
Proactive Application Administration Console capabilities;
Proactive Diagnostics (e.g., resource failures);
Resource consumption rates;
Threshold management;
Performance tuning;
Analysis of application and system usage patterns;
4.19.4.1 The Solution shall provide the capability to mine and extrapolate
analytics from the Solution’s instrumentation capabilities
(including logs such as weblogs) such that Solution performance
reporting is enabled, across key services and elements of the
Solution.
4.19.4.2 The Solution should provide exposure of the analytics, via an API
(or equivalent) for integration into 3rd party Management
platforms.
4.19.4.3 The Solution shall provide the ability to configure the automation
Page 66 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
4.19.5
Performance Reporting
Requirement
4.19.5.1
4.19.5.2
4.20.1
Up-time and Maintenance
4.20.1.1
4.20.1.2
4.20 Reliability
4.20.1.3
March 23, 2016
RFP #
4.20.2
Backup and Restore
4.20.2.1
4.20.3
Backup Verification
4.20.3.1
4.20.4
Archive Restoration
4.20.4.1
4.20.5
Recovery Time Objective
4.20.5.1
of Ops management actions in response to analytic values. For
example, if the Solution detects a large number of failed login
attempts from a specific IP address, the Ops automation function
invoke firewall rules to block the IP address, and send a notice to
the Operations staff that such an action was taken.
The Solution shall provide out-of-the-box graphical reports for the
Solution’s analytics.
The Solution shall provide the ability to automate the export and
ingestion of its analytics in 3rd party reporting applications and
tools (e.g., Tableau).
The Solution shall provide an overall availability of 99.9%. In other
words, the Solution may be down up to 43 minutes per calendar
month.
The Solution shall use a maintenance window of 12 midnight and
4 AM Sunday, EST.
The Solution shall present a maintenance message page in
response to all web requests during each maintenance and any
unplanned outages. The Solution shall provide the Application
Administrator User with the ability to edit the maintenance
message.
The Solution shall backup actions of all required system files and
business content, along with corresponding recovery capability of
the system files and business content.
The Vendor shall perform annual verification of all Solution
backups and the ability to failover to AWS zones (and regions).
The Solution shall maintain an archive of backups. The Solution’s
backup archives are to be used only in catastrophic conditions
where there is widespread failure in AWS. The Solution shall not
archived backups to meet general availability requirements.
The Solution shall provide a maximum of 1-hour recovery time
objective (RTO) for the failure of any of the Solution’s business
Page 67 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.20.6
functional areas (e.g., public portal).
4.20.5.2 The Solution shall provide a maximum of 24-hour recovery time
objective (RTO) for failures due to catastrophic conditions and
natural disasters.
4.20.6.1 The Solution shall provide a maximum of 1-hour recovery point
objective (RPO) for the failure of any of the Solution’s business
functional areas (e.g., public portal).
4.20.6.2 The Solution shall provide a maximum of 24-hour recovery point
objective (RPO) for failures due to catastrophic conditions and
natural disasters.
Recovery Point Objective
Page 68 of 114
Vermont Secretary of State
Office of Professional Regulation
4.22 Business Rules Engine
4.21 Disaster Recovery
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.21.1
State Data
4.21.1.1 The Vendor shall provide the State with a monthly transfer of all
business-related data and objects. The State will plan to hold a
copy of this information in its infrastructure.
4.22.1
Capability
4.22.1.1 The Solution shall provide the State with a GUI configurable
business rules engine (BRE) for the creation and extension of
functional capability from the Solution, without requiring
software development.
4.22.1.2 The Solution shall include the following capabilities:







March 23, 2016
RFP #
Test BRE capability in a Development-mode and
environment;
Versioning of BRE rules;
Promotion of BRE rules to different other environments
(e.g., Production);
Revert from one version of BRE rules to a previous
version;
Create compound rules (i.e., multiple individual rules can
be chained to create abstract rules);
Multiple operator types (e.g., Boolean, arithmetic, text
manipulation)
Simple and compound actions:
e.g., Simple: when X=3, LicenseState = expired
e.g., Compound: when X=3, LicenseState = expired AND
SendMail=true
Page 69 of 114
Identifier
Requirement
4.22.2
Relationships
4.22.2.1 The Solution shall allow rules to reference (i.e., nest) other rules.
4.22.3
Rule Management
4.23 Configuration Management
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
4.23.1
Asset Versioning
4.22.3.1 The Solution shall provide Application Administrator Users with
the ability to view, search, copy, and delete rules.
4.22.3.2 The Solution shall provide separation of rules such that they
mirror the State’s SDLC promotion path and environments
(Development, Stage and Production.)
4.23.1.1 The Vendor shall version control all assets that comprise the
Solution (i.e., software objects, database build scripts,
deployment scripts).
4.23.2
Methodology and Toolset
4.23.2.1 The Vendor shall provide the State with a description of how the
Solution’s assets are managed (techniques and tools) using
version control and build disciplines, and how the version control
capabilities would be used to roll the State backward and forward.
4.24 User Platforms
Vermont Secretary of State
Office of Professional Regulation
4.24.1
Mobile Applications
4.24.2
Web Browsers
4.24.1.1 The Solution should provide native mobile applications for
Android and iPhone.
4.24.1.2 The Solution’s should provide mobile applications functional
coverage used by all State user roles.
4.24.2.1 The Solution shall support the following web broswers:
March 23, 2016
RFP #




Chrome, version 26+;
Firefox, version 19+;
Safari, version 6+;
Internet Explorer (IE), version 8+;
Page 70 of 114
Vermont Secretary of State
Office of Professional Regulation
4.25 Data Conversion
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Requirement
4.25.1
System of Record
4.25.2
Migration
4.25.1.1 The Solution shall be the system-of-record (SOR) following
migration from the State’s current system to the Solution.
4.25.2.1 The Vendor shall perform migration of State’s current business
data from to the Solution. The migration activity shall retain
statutory history.
4.25.2.2 The Vendor shall perform an assessment of current business data.
4.25.2.3 The Vendor shall develop a migration, where the Vendor provides
the following:





March 23, 2016
RFP #
Data maintenance (Current system) - (i.e., existing data
clean-up requirements and approach) The State and
Vendor will review current business data and jointly
decide on any datasets that can be deprecated; Scanned
images in the current system shall be carried forward as
scanned images (i.e., re-creation of scanned content into
text form is not required.)
Data migration (movement and verification from current
system to Solution) – this includes digital records from
the current system and paper records;
Data maintenance (Solution system) – The Solution shall
provide the ability to perform data maintenance once the
Solution becomes the SOR;
Factoring of the incremental Implementation approach
into the data migration strategy;
Synchronization requirements (if any) between current
system and Solution;
Page 71 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
5 Implementation and Post-Implementation Requirements
Class
Identifier
Description
5.1.1
Schedule
5.1.1.1
Methodology
5.1.1.2
5.1.2.1
5.1 Management
5.1.2
The Vendor shall provide a proposed schedule containing tasks,
milestones, durations, assumptions, staffing, and dependencies.
The Vendor shall be prepared to start work during Q4 CY15.
The Vendor shall provide a detailed description of its
methodology for business transformation, Solution
implementation and Solution maintenance that is:





5.1.2.2
5.1.3
Process Alignment
5.1.3.1
5.1.4
Phase Gates
5.1.4.1
Derived from past Licensing successes;
Incremental;
Pragmatic;
Lightweight (i.e., favors results versus documents);
Derived from Project Management Institute (PMI)
principles that balance risk, speed and process;
 Incorporates and balances organizational change
management and business process re-engineering;
The Vendor shall provide evidence of past success(es) using the
proposed methodology.
The Vendor shall establish (with the State PM approval) establish
business transformation plan and actions, implementation-related
processes at the outset of the implementation.
The Vendor shall include (as a minimum) the following review
gates in their methodology’s plans:




March 23, 2016
RFP #
Data conversion design (source and target) and
implementation;
Requirements (business and technical);
Deployment design;
Management and monitoring operations plan;
Page 72 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description

5.1.5
Activities and Deliverables
5.1.5.1
Security posture (of Contractor and the Solution);
The Vendor shall establish (with the State PM’s collaboration and
approval) and subsequently maintain a management plan for the
implementation effort that contains:










5.1.5.2
5.1.6
Change Orders
5.1.6.1
5.1.6.2
5.1.7
March 23, 2016
RFP #
Risks and Issue Tracking
5.1.7.1
Charter;
Team organization (roles and responsibilities);
Governance;
Management control processes;
Critical success factors;
Key strategies (e.g., conversion, automation)
Work plan (including the schedule);
Risk management plan;
Communication plan;
Management reporting (status reports, processes and
frequency);
 Issues management plan;
The State shall provide the Vendor with document templates, or
Vendor shall use its templates (provided they are agreed to by the
State PM).
The Vendor shall work with the State PM to establish a change
management plan and process. The Vendor shall manage all
change management-related activities, in consultation with the
State PM, and subject to State PM approval.
The Vendor shall develop discrete change orders, obtain State PM
approval, before the change order work is performed, or contract
terms are modified.
The Vendor shall work with the State PM to identify and agree on
the selection of a web-based collaboration application that
provides a number of capabilities including issue management –
for use throughout the implementation work and into
Page 73 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
5.1.8
Policies and Practices
Description
5.1.8.1
5.1.8.2
maintenance (i.e., development, QA and support issues.)
The Vendor shall comply with all applicable laws, regulations,
policies, standards and guidelines affecting State information
technology projects.
The Vendor shall ensure adherence to new and revised State laws,
regulations, policies, standards and guidelines. These include:


March 23, 2016
RFP #
Information Technology Policies;
Information Management - Best Practices, Standards &
Guidelines;
Page 74 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
5.2.1
5.2.1.1
Contractor - Project Manager
5.2.1.2
5.2 Implementation Team
5.2.1.3
5.2.1.4
5.2.1.5
5.2.1.6
5.2.1.7
5.2.1.8
March 23, 2016
RFP #
The Vendor shall nominate a full-time project manager (PM). The
nominated PM is PMP certified. The State shall approve any
individual nominated to this role. The State shall review the
resume of the individual, and interview them.
The Vendor staff and subcontractors shall be experienced with
and follow a consistent methodology for all implementation
activities.
The Vendor PM is responsible to the State’s PM. The Vendor’s PM
and is responsible for all contract provisions, outcomes, activities,
deliverables of Vendor staff, and all of Vendor’s subcontractors.
The Vendor PM and State PM shall work cooperatively to ensure
all activities and objectives occur according to plan.
The State PM shall ensure that all planned State resources are
allocated to accomplish the objectives, and are meeting those
objectives. The State PM engages the project sponsor(s) as
required, in the event of issues needing management
intervention.
The Vendor PM shall monitor and reports on risks and progress
and work items during monthly (or as specified in the
management plan) status meetings. The Vendor PM shall lead
these meetings. The Vendor PM shall be on-site in Montpelier,
Vermont during the entire implementation, unless otherwise
agreed to by the State PM.
The Vendor’s key staff shall attend project status meetings, as
required and agreed to by the Vendor PM and the State PM.
The Vendor PM shall write status reports and deliver to the State
PM. The State PM and the Contractor PM shall define and agree
on format, content and cadence of the status reporting, at or
before the implementation kickoff.
Page 75 of 114
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
5.2.1.9
The Vendor PM and State PM shall develop and agree on separate
processes and approaches for maintenance (i.e., following
completion of implementation).
5.2.1.10 The Vendor PM shall provide a status report that includes, at a
minimum:












5.2.2
Contractor – Transformation
Lead
5.2.2.1
5.2.2.2
March 23, 2016
RFP #
Tasks accomplished, incomplete, or behind schedule from
the previous period, and reasons for those behind
schedule;
Tasks planned for the upcoming period;
Updated status of tasks (entered into the schedule and
attached to the Status Report – e.g., % completed,
completed, resources assigned to tasks, etc.);
Status of corrective actions undertaken;
Status of the project’s technical progress;
Status of contractual obligations;
Achievements to-date;
Risk management activities;
Action items and their status;
Unresolved Issues (and actions to resolve them);
New issues (and owner assigned to them);
Significant changes to Contractor staff, organization,
method of operation, project management team and
deliverable schedule;
The Vendor shall allocate a part-time organizational
transformation lead for the duration of the implementation.
The Vendor shall provide an organizational Transformation Lead
who is responsible for assessing and directing the business
transformation that OPR seeks to achieve alongside the
acquisition of the Solution.
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
5.2.3
5.2.3.1
Contractor – Technical Lead
5.2.3.2
5.2.4
Contractor – Business
Analyst
5.2.4.1
5.2.4.2
5.2.5
Contractor – General Staff
5.2.5.1
5.2.5.2
5.2.5.3
5.2.6
March 23, 2016
RFP #
State – Roles and Staff
5.2.6.1
The Vendor shall allocate a full-time technical lead for the
duration of the implementation.
The Vendor shall provide a Technical Lead who is responsible for
directing and/or performing all technical aspects of the
implementation (e.g., day-to-day design decision making, stress
testing, deployment planning, management and monitoring.)
The Vendor shall allocate a full-time business analyst (BA) for the
duration of the implementation.
The Vendor shall nominate a full-time BA. The nominated BA is
CCBA certified. The State shall approve any individual nominated
to this role. The State shall review the resume of the individual,
and interview them.
The Vendor shall obtain approval from the State for all key
customer-facing staff proposed for the implementation, before
those individuals are assigned to work.
The Vendor shall name all key personnel and the personnel are
named in the contract. The Vendor shall assign these individuals
for the duration of the contract period, except as otherwise noted
by the Vendor and agreed to by the State.
The Vendor PM shall notify the State PM in advance of all staff
changes and assignments during the contract. If any Vendor staff
do not perform at acceptable levels and standards of the State
during the contract, the State PM shall notify the Vendor PM.
Upon receipt of notice, the Vendor shall replace the staff with
State-approved staff or take remedial action (as agreed to by the
State PM) to ensure staff perform at an acceptable level.
The State shall provide the following roles:
 Sponsor;
 Implementation Executive;
 Implementation Manager;
 Technical Lead;
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Solution Quality
5.3.1.1
5.3 Quality Management
5.3.1
Description
 Business Process Lead;
 Functional Subject Matter Experts;
 Usability Consultant (outside expert, funded by the State);
 Oversight Manager (from DII);
The Vendor shall develop a Quality Management plan (QMP) at
the outset of the implementation, and collaborate with State PM
on its development. The QMP shall contain a description of the:
 Quality approaches used throughout the implementation,
including:


5.3.2
Development Deliverables
5.3.2.1
Architecture design policies and standards,
functional specification reviews, design
specification reviews;
o
Coding (e.g., XML, JavaScript, java, and SQL)
standards, commenting standards, and peer
reviews;
o
Criteria for code promotion;
Quality targets of the implementation;
o
e.g., defect-free releases
o
e.g., defect-free deliverables
Vendor’s SDLC;
The Vendor shall produce the following the minimum engineering
deliverables:



March 23, 2016
RFP #
o
Functional specifications, and corresponding functional
test plans;
System architecture and design specification;
Interface specification (external and internal), and
corresponding integration test plans;
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Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description


Deployment architecture specification, and
corresponding deployment test plans, and stress test
plans;
Data conversion design, mapping, verification, and
migration plan;
5.3.2.2
The State PM shall review and approve all Vendor’s deliverable
templates prior to their use.
Note: the State recognizes that the approach and deliverable requirements
enumerated throughout this RFP may not align (or be necessary) with the
Solution approach that a Vendor may be presenting to the State. If that is
the situation, Vendors should point this out in their responses, and map the
State’s approach and deliverable requirements to their response.
5.3.3
Verification Methods
The Vendor shall use the following verification methods:








5.3.3.1
5.3.4
March 23, 2016
RFP #
Artifact Management
5.3.4.1
Test-driven development (TDD) for each versionable
code unit;
Functional tests (and regression test) for each use case;
Cross-platform tests (and regression test) for each target
platform (i.e., browser type and mobile application);
Integration tests (and regression test) for each system
interface;
Stress tests across the complete system;
Source code security analysis for all versionable code
units;
Data conversion verification test plan;
Penetration security tests for the completed Solution;
The State PM shall review and approve all verification
deliverables.
The Vendor shall provide a description of the version control
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
tool(s) and practices – specifically how it performs or
accomplishes:
5.3.4.2
5.3.4.3
March 23, 2016
RFP #
5.3.5
Unit Test
5.3.5.1
5.3.6
Functional Test
5.3.6.1
 Branch management;
 Promotion;
 Integration;
 Testing;
 Tagging;
The Vendor shall provide and maintain product, project, design,
development, and relevant supporting documentation including
but not limited to:
 Design specifications;
 Requirements specifications;
 Source code, build code;
 User experience, user design wireframes;
 Test plans and results;
 Business process models;
 Data models;
 Training documents (e.g., user guides) and media;
 Operations documents
 Deployment specifications;
 Interface specifications;
The Vendor shall create additional artifacts – as identified
elsewhere in this RFP. In addition, the Vendor and State shall
identify and agree to additional documents during contracting
and development planning.
The Vendor shall perform unit-testing on all buildable source code
units, document all test data used, and document the test results.
The Vendor shall be able to repeat any unit test and its result,
with the artifacts produced from its previous performance.
The Vendor shall perform functional testing on all functional
Page 80 of 114
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Office of Professional Regulation
Class
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
5.3.7
Integration Test
5.3.8
Usability Test
5.3.9
Data Verification Test
5.3.10
Deployment Test
5.3.11
Platform Test
Description
constructs, using manual methods and automated test tools, and
document all test data used and test results.
5.3.6.2 The Vendor shall be able to repeat any functional test and its
result, with the artifacts produced from its previous performance.
5.3.6.3 The Vendor shall derive functional tests from the functional
specifications.
5.3.7.1 The Vendor shall perform integration testing on all internal and
external subsystems, document all test data used, and document
the test results.
5.3.7.2 The Vendor shall be able to repeat any integration test and its
result, with the artifacts produced from its previous performance.
5.3.8.1 The Vendor shall perform usability testing on all representative
units of the Solution’s interface (mobile and web) for the key
personas of the Solution.
5.3.9.1 The Vendor shall perform a verification test to ensure the
integrity of all information and data migrated or converted into
the Solution.
5.3.10.1 The Vendor shall perform deployment testing on all Ops methods
and scripts used to bring the functional Solution into its target
Production environment. The Vendor shall be able to repeat any
deployment test and its result, with the artifacts produced from
its previous performance.
5.3.10.2 The Vendor shall derive deployment tests from the deployment
specification.
5.3.11.1 The Vendor shall perform functional and usability platform testing
across all required platforms (refer to 4.24 User Platforms for the
set of required platforms), document all test data used, and
document the test results. The Vendor shall be able to repeat any
platform test and its result, with the artifacts produced from its
previous performance.
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Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
5.3.12
Stress Test
5.3.13
Acceptance Test
5.3.12.1 The Vendor shall perform stress testing the Solution in at least
two stages. The first is when it is architecturally complete and
shall occur on Production-like infrastructure. The second is in its
final form and occurs in the Production-equivalent infrastructure
known as Staging.
5.3.12.2 The Vendor shall be able to repeat Stress tests and its result, with
the artifacts produced from its previous performance.
5.3.13.1 The State shall perform acceptance testing (with Contractor
assistance where needed) through the following methods:
5.4 Maintenance, Support,
Training


March 23, 2016
RFP #
5.3.14
Independent Verification
5.4.1
Maintenance and Support
5.4.2
Training
Explicit testing of Solution functionality;
Satisfactory review of Vendor’s test results from all Unit,
Functional, Integration, Usability, Deployment, Platform,
and Stress tests;
5.3.14.1 The Vendor agrees that throughout the contract (and
implementation project) or for certain reviews (e.g., critical
Design review), the State may use the services of independent
third parties. The expense for such third party services will be paid
for by State.
5.4.1.1 The Vendor and State shall jointly develop detailed maintenance,
support and escalation procedures that are incorporated into (or
referenced by) and defined in the maintenance and service-level
terms of the contract. The detailed procedures shall define roles,
responsibilities, protocols, contact information, availability
requirements, response time requirements, and representative
scenarios.
5.4.2.1 The Vendor shall provide a proposed training curriculum for each
user-type of the Solution that is comprised of online training
(web-based training applications, web-based videos), instructorled training and user self-study.
5.4.2.2 The Vendor shall provide State-approved mixes of multi-modal
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Class
Identifier
Next Generation Licensing Platform
Request for Proposal - Requirements
Description
5.4.2.3
March 23, 2016
RFP #
training within each track of the curriculum.
The Vendor shall maintain all training material (courseware,
videos, etc.) alongside each release of the Solution (i.e., as part of
the Solution’s collection of assets.)
Page 83 of 114
Vermont Secretary of State
Office of Professional Regulation
Class
Next Generation Licensing Platform
Request for Proposal - Requirements
Identifier
Description
5.5.1
5.5.1.1
Documents
5.5 Solution Documentation
5.5.1.2
March 23, 2016
RFP #
The Vendor shall provide the role-specific documents with the
Solution:
 Public User guide;
 State User guide;
 IT and Application Administrator guide;
The Vendor shall version control all role-specific documents with
each release of the Solution.
5.5.1.3
The Vendor shall provide the State with all documentation,
including all information, data, descriptive materials, software
source code annotations and documentation in accordance with
such programming and coding documentation standards
applicable to high quality entities that develop, publish, license,
maintain and support software generally, all approved
specifications, service level descriptions and details, any and all
descriptions and specifications of the requirements hereunder or
created or developed hereunder, operational, functional and
supervisory reference guides, manuals and all other information
which is developed, prepared, used or otherwise available from
Contractor, in connection with and applicable to the provision,
use, operation and support of the Solution.
5.5.1.4
Solution documentation shall be sufficient to enable the State to
understand, operate, use, access, support, maintain, update and
modify the Solution.
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
6 Acquisition Options, Proposals
6.1 Trials
The State is open to and may choose to engage one Vendor for incremental discovery work, in the form
of a limited-use trial. The trial will assist the State in:

Validation of Solution fit and its functional viability - to support the OPR requirements, and
applicability beyond OPR;

Verification of Solution extensibility;

Validation of the State’s desire to have a long-term relationship with Vendor;

Verification of Vendor’s ability to perform;

Verification of TCO forecasts;
The anticipated scope of the trial is all functions required for the State to operate OPR’s licensing of the
Nursing profession. At the completion of the trial, the State may choose to tear down the trial and not
to proceed with Contractor on any further work. Or, the State may choose to continue operate the
Nursing profession in the Solution and then engage with the Contractor on the enablement of
additional business functions and requirements. The State will not run simultaneous trials with multiple
Vendors.
Vendor responses must provide customer references as evidence of success in delivering similar
business capabilities.
Note: regardless of whether the State pursues a trial or not, the State envisions an incremental approach
to realizing the Solution, on a profession-level. The State expects to collaborate with Contractor on the
details of an approach that best meets the needs, and capacity, of the State and the Contractor.
6.2 Approaches
Vendors can use one of the following approaches for their proposal:
1. One Pass – This approach addresses all in-scope requirements across all professions, and
Vendor’s work is organized around key enablement milestones and deliverables. The
Implementation work would be followed by a period of Maintenance.
2. Hybrid Wave – This approach addresses all in-scope requirements at a profession-level and
chunks a given profession into one of N possible rolling waves. Each rolling wave includes all
necessary activity (i.e., development, testing, training and maintenance) for the Vendor to
operationalize (i.e., go-live with) the profession.
For Vendors interested in the Nursing trial (refer to section 6.1 Trials), the trial is essentially all
requirements necessary to support go-live of the Nursing profession, followed by waves of the
remaining professions. At the conclusion of the Nursing trial, maintenance would begin for Nursing and the State will decide whether to: proceed with the start of the waves (i.e., all other professions),
tear down the Nursing trial, or run split systems (i.e., Nursing running on Vendor’s Solution, with all
other professions running from a second system.)
March 23, 2016
RFP #
Page 85 of 114
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Next Generation Licensing Platform
Request for Proposal - Requirements
For Vendors choosing to propose a trial option, the Vendor must still provide a complete proposal for
the balance of the Solution, in addition to complete and detailed commercial terms (i.e., Build-DeployMaintain) for the trial.
Note: Vendors can use alternative approaches (beyond the two enumerated above) but must provide
evidence or demonstrate that the alternative approach provides significant benefit to the State.
6.3 Proposal Content
In preparing their responses, Vendors must use the State-supplied templates, listed below and are
reminded to:

Enumerate all assumptions (commercial, technical, functional) that underpin their proposal;

Include all additional capabilities and offerings that the State would acquire but have not been
explicitly requested in this RFP;

Include a description of their training and support offerings (along with all associated costs) for
end-users and technical staff;
The State templates for Vendor responses are listed below and attached to this RFP:

RFP Response Template 01 - Response Checklist.docx

RFP Response Template 02 - Cover Letter and Summary.docx

RFP Response Template 03 - Vendor References.docx

RFP Response Template 04 - Functional Requirements Approach.docx

RFP Response Template 05 - Non-functional Requirements Approach.docx

RFP Response Template 06 - Implementation Requirements Approach.docx

RFP Response Template 07 - Requirements Mapping.xlsx

RFP Response Template 08 - Acquisition Approach.docx

RFP Response Template 09 - Work Plan.docx

RFP Response Template 10 - Vendor Organization.docx

RFP Response Template 11 - Vendor Staff.docx

RFP Response Template 12 - Proposed Changes to Standard Terms and Condions.docx

RFP Response Template 13 - Cost Workbook.xlsx

RFP Response Template 14 - Enterprise Considerations.docx

RFP Response Template 15 - SOV_Std_Info_Gathering.xlsm
6.4 Commercial Framework
March 23, 2016
RFP #
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Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
The State will consider creative commercial terms that balance the State’s needs and those of the
Vendor. The State will consider the following:

Firm Fixed Price (FFP)

Cost-Plus Fixed Fee (CPFF)

Cost-Plus Incentive Fee (CPIF)

Transaction-Based Pricing (TBP)

Subscription-Based Pricing (SBP)
Regardless of the proposed commercial terms, Vendor responses must itemize and enumerate costs
associated to the following:
1. Functional Enablement milestones – i.e., the ability of OPR to use the Solution in one or
more state licensing functions and profession;
2. Non-functional milestones – i.e., evidence of the Solution having met one more of its key
non-functional requirements (e.g., infrastructure environments enabled, completion of
stress testing);
3. Project Start – .5% to 2%s of total contract value as an initial funding by the State;
4. Project Hold-back – the State typically holds 10% of total contract value until completion
of contract;
5. Vendor professional services: e.g., Change Leadership, Project management, Business
consulting, Technical consulting, Training, Maintenance.
6. Deliverables;
6.5 Licensing, Ownership
The Solution is to be licensed to the State, for use in the State’s performance of its licensing and
credentialing pubic services, regardless of which State entity is enabling or performing the licensing and
credentialing services and regardless of which profession or organized is being licensed.
Vendors shall provide details of its licensing model, including any proposed Contractor form of
agreement and associated costs.
If the Solution will include software to be licensed from the vendor, Vendors shall include software
licensing requirements and anticipate volume. Vendor shall propose the licensing options available and
recommend the advantages of those various options. For example, licensing options may include:
•
Named user
•
Per server
•
Per work team
March 23, 2016
RFP #
Page 87 of 114
Vermont Secretary of State
Office of Professional Regulation
•
Concurrent User
•
Enterprise (unrestricted)
Next Generation Licensing Platform
Request for Proposal - Requirements
The State will require negotiation of Contractor’s standard forms.
Custom software developed for the State shall not be used, sold, licensed, or re-purposed by Contractor
without written permission from an authorized representative of the State. Upon Contractor’s voluntary
or involuntary filing of bankruptcy or any other insolvency proceeding, Contractor’s dissolution,
Contractor’s merger with or acquisition by another company or contractor, discontinuance of support
of any software or system, the Contractor shall convey to the State all rights, title, and interests in all
custom software, software source codes, and all associated software source code documentation.
The Contractor shall provide the source code to the State (in a form acceptable to the State, or provide
two copies of the source code and its documentation to a State-approved escrow agent) of all software
created as a result of work from this project.
All data, and derived data, is or will become the exclusive property of the State. The State is the
custodian of the data and determines its use, access, distribution and other conditions based upon
State statutes and regulations. All licensed and/or copyrighted data of the Contractor shall be governed
by the terms and conditions identified in the terms of its agreement or license which are acceptable to
the State.
March 23, 2016
RFP #
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
6.6 Evaluation Criteria
The State will evaluate proposals against all of the material presented in this RFP. Scoring will be as
follows:
Criteria
Vendor
% of Overall
Score
Licensing market leader and high-performing engineering organization;
26
Experience leading licensing business transformation;
Experience with technology implementations in the Licensing domain;
Licensing customer references;
Approach & Staff
Experience implementing the Solution in the Licensing domain;
27
Approach to business transformation;
Approach to legacy migration and Solution implementation;
Solution
Alignment to bias and stratagem requirements;
27
Exceed functional requirements;
Exceed non-functional requirements;
Exceed implementation and post-implementation requirements;
TCO
Licensing, infrastructure, and professional services costs;
20
One-time implementation costs, recurring operational costs;
Terms and conditions;
100
March 23, 2016
RFP #
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Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
7 Definitions and Terms
Term
Definition, Explanation
ADFS
Active Directory Federation Services
API
Application programmatic interface
AMI
Amazon virtual machine image
Agile
Software development methodology, for background see Agile Development
AWS SNS
Amazon Web Services Simple Notification Service
BI
Business intelligence
BIC
Business Integration Center
BRE
Business rules engine
Board
Refers to licensing boards and includes Advisory Groups and Commissions
BPM
Business process modelling. Throughout this document, the term BPM is intended to be
synonymous with the phrase “Workflow engine” and what both technologies can
enable.
COE
Center of excellence
Contractor
Individual or organization that has been awarded some contract
CSV
Comma separated values
Credential
A license subtype
DII
Department of Information and Innovation
DOB
Date of birth
EPMO
Enterprise project management office
FTE
Full time employee
GRS
General Record Schedule, as defined by VSARA
IE
Internet Explorer
IAM
Identity and access management
IaaS
Infrastructure as a service
KBO
Key business objective
KPI
Key performance indicator
NGLP
Next Generation Licensing Platform. For the purposes of this document, the terms
“NGLP” and “Solution” are synonymous.
OPR
The Office of the Professional Regulation, a division of the Office of the Vermont
Secretary of State
OPR Staff
Total number of State employees working in OPR.
March 23, 2016
RFP #
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Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Term
Definition, Explanation
OSS
Open source software
OWASP Top 10
https://www.owasp.org/index.php/Top_10_2013-Top_10
OWASP OpenSAMM
http://www.opensamm.org/
PII
Personally identifiable information
PM
Project manager
PMI
Project Management Institute
PMBOK
Project Management Body of Knowledge
PDF
Portable document format
Public User
Public user of the Solution (e.g., a person who is licensed by the State)
REST API
REST API software architecture for additional information
RPO
Recovery point objective
RTO
Recovery time objective
SES
AWS Simple Email Service
Sendy
Refer to www.sendy.co, it is a licensed application used for bulk emailing. Sendy is
included here in the RFP for tight-coupling into the Solution, or as a reference point for
Vendors to understand the baseline requirements of the Solution’s campaign
capabilities.
Solution
The collection of hardware, software and services required to realize the State’s
functional and non-functional requirements. For the purposes of this document, the
terms “Solution” and “NGLP” are synonymous.
SMS
Short message service
State
Office of the Vermont Secretary of State
Sprint
Agile unit of development, See Scrum
SSA
US Social Security Administration
SSN
SSA Social Security Number
SSO
Single sign-on
TCO
Total cost of ownership
USPS
US Postal Service
Vendor
Individual or organization that is seeking a contract award
VSARA
Vermont State Archives and Records Administration office
XSS
Cross-site scripting
March 23, 2016
RFP #
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Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
8 Appendix A – Roles and Access
The Solution shall provide the ability to exceed the State’s requirements to provide role-based access. This appendix defines the State’s foundation
for the State’s anticipated model. The Vendor shall plan to provide a build-out of the role access model during Implementation,
8.1 Internal Roles
Title
General Responsibilities
Solution Role
Secretary of State
Chief executive responsible for the delivery of all public services provided by
the Office.
Overall management of Vermont Secretary of State divisions.
Management of and accountability for the Professional Licensing and
Discipline process.
Management of Professional Licensing and Discipline process.
Represents OPR in non-disciplinary legal matters and legislative
matters. Provides legal support to boards and the director with respect to
administrative rulemaking and statutory revisions. Develops internal
administrative policy and external regulatory policy compatible with agency
goals and applicable law. Manages sunrise and sunset proposals and other
required reports to the Legislature and other state and federal agencies.
Lawyer for boards and professions. Provides legal advice to the boards and
presides over disciplinary cases.
Oversight of licensing specialists, Nursing Program Manager and Nursing Case
Manager. Manages the regulation of licensing, education, practice and
discipline of nursing and nursing assistants in the state of Vermont. Resource
to Vermont Legislature on nursing issues.
Processes simple renewals and initial processing of new applications. Answers
frequent inquiries from licensees and the public. Provides administrative
support to boards.
Processes simple renewals
Processes complaints, applications and renewals that need review,
coordination of discipline process, and supervision of staff.
Management of complaints and cases. Coordinates with Board, Licensing
Specialists and Enforcement.
Manages the Investigative Unit.
Investigates complaints and files reports.
Executive User
Deputy Secretary of State
OPR Director
OPR Deputy Director
General Counsel
Legal Counsel, Board Counsel
Executive Director Of Board of
Nursing
Licensing Board Specialist
Licensing Renewal Clerk
Licensing Administrator
Case Manager
Chief Investigator
Investigator
March 23, 2016
RFP #
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Executive User
Manager User
Manager User
Executive User
Board Counsel User
Executive User
Licensing User
Licensing User
Licensing Administrator User
Case Manager User
Chief Investigator User
Investigator User
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
Title
General Responsibilities
Solution Role
Investigative Coordinator
Investigative Administrator
Inspector
Contract Inspector
Coordinates the inspection programs, supervises inspectors
Assists with paperwork and data entry for investigation team.
Inspects licensees for compliance with laws.
Supplemental staff to Inspection team. Interacts with system and Case
Managers, Inspection team.
Manages prosecution team. Collaborates with Investigation team, Case
Managers, Boards, and Licensing Specialists.
Prosecutes disciplinary cases involving unprofessional conduct by licensees.
Coordinates docketing and disposition of disciplinary cases.
Manages the creation and maintenance of all templates, forms, business rules,
and configuration required to support the licensing application process.
Manages development and support of existing Licensing and Discipline
systems, responsible for financial accounting for professions and office budget.
Leads solution acquisition and contracting, establishes technical requirements
consistent with IT strategies, provides vendor management and technical
oversight to the project, and integrates solution management and monitoring
into Office systems.
Manages the creation and maintenance of all templates, forms, business rules,
and configuration required to support the inspection process.
Provides accounts receivable using reports from the licensing application, user
of State ERP system (Vision).
Supporting role from VSARA. Provides record management policy and
procedure support to OPR.
Supporting role from VSARA. Provides digital archives policy and procedure
support to OPR.
Investigative coordinator
Investigative Administrator User
Inspector User
Inspector User
Chief Prosecutor
Prosecutor
Docket Clerk
Application Administrator
Director of Administrative Services
IT Manager
Inspector Administrator
Business Office Accounts Receivable
Records Analyst
Archivist
March 23, 2016
RFP #
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Chief Prosecutor User
Prosecutor User
Docket Clerk User
Application Administrator User
Business Office Manager User
Project Management User
Application Administrator User
System Administrator User
Inspector Administrator User
Business Office User
Records Analyst User
Archivist User
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
8.2 External Roles
Stakeholder Group
Usage
System Role
Professional Licensing organization
Boards and Advisor groups and Commissions
Public user of the Solution.
Public user of the Solution.
Public User
Board User
Licensee
Public user of the Solution.
Licensee User
Anonymous user
Public user of the Solution.
Anonymous User
Other States user
Public user of the Solution.
Other State User
Contract Hearing Officers
Impartial attorney serves as presiding
officer (with board present),
administrative law officer (in the
absence of board), or appellate officer
(where appeal is taken from decision
of a board). Adjudicates contested
cases and appeals. Works primarily
from a defined record and cannot have
ex parte knowledge of case
facts. Access to NGLP narrowly
defined and mediated by the docket
clerk.
Temporary read only access to all
licensee data for profession.
Hearing Officer User
Federal Government Auditor
March 23, 2016
RFP #
Auditor User
Page 94 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
8.3 Groups
Group
Role
Anticipated Usage
StateGroup_Executive
StateGroup_Manager
StateGroup_Case Manager
StateGroup_Board Counsel
Executive User
Manager User
Case Manager User
Board Counsel User
Docket Clerk User
Licensing User
Licensing Administrator User
Chief Investigator User
Investigator User
Investigator Coordinator User
Investigator Administrator User
Inspector User
Chief Prosecutor User
Prosecutor User
Records Analyst User
Archivist User
Business Office Manager User
Business Office User
Project Management User
Application Administrator User
System Administrator User
View performance reports, View audit reports;
View performance reports;
Licensing functions, Case management functions;
View performance reports;
Docket and disciplinary functions;
Licensing functions;
Licensing functions;
Investigator functions;
Investigator functions;
Investigator functions;
Investigator functions;
Inspector functions;
Prosecutor functions;
Prosecutor functions;
TBD;
TBD;
Business Office functions;
Business Office functions;
Management and administration functions;
Application configuration functions;
Solution configuration and administration functions;
Public User
Board User
Licensee User
Other State User
Hearing Officer User
TBD;
TBD;
TBD;
TBD;
TBD;
StateGroup_Licensing Board
StateGroup_Investigator
StateGroup_Inspector
StateGroup_Prosecutor
StateGroup_Records Archives
StateGroup_Business Office
StateGroup_Administrator
ExternalGroup_Public
ExternalGroup_Board
ExternalGroup_Licensee
ExternalGroup_States
ExternalGroup_Hearing Officer
March 23, 2016
RFP #
Page 95 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
9 Appendix B – (this Appendix is intentionally empty)
(This page is intentionally blank.)
March 23, 2016
RFP #
Page 96 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
10 Appendix C – (this Appendix is intentionally empty)
(This page is intentionally blank.)
March 23, 2016
RFP #
Page 97 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
11 Appendix D, Appendix E – Business Workflows
The OPR documented its workflows in 2007. These workflows are included here as Appendices D and E. The workflows in this
section do not represent OPR’s current business processes, but they are representative. Vendors should use these them to better
their understanding of the OPR’s current operation and public service offering.
March 23, 2016
RFP #
Page 98 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 99 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 100 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 101 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 102 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 103 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 104 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 105 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 106 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 107 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 108 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 109 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 110 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 111 of 114
Vermont Secretary of State
Office of Professional Regulation
March 23, 2016
RFP #
Next Generation Licensing Platform
Request for Proposal - Requirements
Page 112 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
12 Appendix F – Credential Counts by Board and Status
(Refer to the attached file, named “Appendix F - Credential Counts by Board and Status.docx”)
March 23, 2016
RFP #
Page 113 of 114
Vermont Secretary of State
Office of Professional Regulation
Next Generation Licensing Platform
Request for Proposal - Requirements
13 Appendix G – Professions Business Data
(Refer to the attached file, named “Appendix G - Professions Business Data”)
March 23, 2016
RFP #
Page 114 of 114