California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
GENERAL REQUIREMENTS
F.1
F.1.1
The solution must provide for the processing of
500 different document types.
F.1.2
The solution must allow for 10% growth of
document types per year for the next 10 years.
F.1.3
The solution must provide role-based security
within the solution.
F.1.4
The solution must maintain and secure all
document data (e.g. title, received date,
document properties.)
F.1.5
The solution must provide the ability to use and
store common image and document formats
(e.g. PDF/A, PDF, JPEG, TXT, Word).
F.1.6
The solution must provide the ability for users
to manually input data.
F.1.7
The solution must provide the ability for users
to manually input data while simultaneously
viewing images.
F.1.8
To facilitate data entry of paper submissions,
the data entry screen fields must be displayed
in the same order as the data fields on
Secretary of State forms.
F.1.9
The solution must provide the ability for
authorized users to edit data.
F.1.10
The solution must accept addresses from
anywhere in the world (e.g. California, other
states, other countries).
F.1.11
The solution must provide standard word
processing capabilities including word wrap,
backspace, delete, undo, insert, overtype,
shortcut keys, cut/copy/paste in text fields.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General
5/29/2013
1 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.1.12
The solution must provide the ability for
authorized users to create, edit, display and
store templates for generating forms/outputs
(e.g. Statement of Information, certificates,
rejection letter, welcome letters and
notifications).
F.1.13
The solution must provide the ability for
authorized users to create, edit, display and
store screen templates for manual data entry
tasks.
F.1.14
The solution must provide a single integrated
solution for storage of all documents and data
(hereinafter referred to as "Repository").
F.1.15
The solution must provide a secured
centralized document management system to
store and manage all documents and outputs
according to business rules.
F.1.16
The solution must provide the ability for
authorized users to configure business rules
(e.g. add, change, disable) related to fees.
F.1.17
The solution must provide the ability for
authorized users to configure business rules
(e.g. add, change, disable) related to country
codes.
F.1.18
The solution must provide the ability for
authorized users to configure business rules
(e.g. add, change, disable) related to standard
reject reasons.
F.1.19
The solution must provide the ability for
authorized users to configure business rules
(e.g. add, change, disable) related to zip codes.
F.1.20
The solution must accept electronic signature
methods for single and multiple signatures
consistent with statutory requirements for
documents that require signature(s).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General
5/29/2013
2 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.1.20.1
The solution must implement electronic
signatures using an authentication method
(e.g. type name; check the box).
F.1.21
The solution must provide the ability to
authenticate users with established credentials
(e.g. user id and password) for change filings
submitted electronically.
F.1.22
The solution must only display function,
information and processes for which users have
permissions.
F.1.23
The solution must maintain an audit trail
according to business rules (e.g. when, what
and by whom data, annotations or documents
have been added, modified, archived, or length
of retention of the audit trail).
F.1.24
The solution must maintain an audit trail for
each financial transaction (e.g. payments,
refunds, adjustments, fee waivers).
F.1.25
The solution must support the Secretary of
State filings as identified in the Forms, Orders,
Filings, Fees and Codes located in the Bidders'
Library.
F.1.26
The solution must provide the ability to have
data and images available to external users
according to business rules.
F.1.27
Data Conversion
F.1.27.1
The solution must convert electronic data and
images from existing databases.
F.1.27.1.1
The solution must convert existing data and
electronic images using the same index
structure as the day-forward index structure.
F.1.27.1.2
Converted data must include existing
unique identifiers (e.g. file, entity and
document numbers issued by the Secretary
of State, bond numbers, customer account
numbers).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General
5/29/2013
3 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.1.27.1.3
The solution must associate converted
images to the respective data.
F.1.27.2
The solution must consolidate and reconcile
related electronic data from various databases.
F.1.27.3
The solution must provide the ability for
authorized users to add images to records that
have been converted.
F.1.27.4
The solution must provide the ability for
authorized users to add additional data, not
currently being captured, to records that have
been converted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General
5/29/2013
4 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.2
INTAKE
F.2.1
General
F.2.1.1
The solution must uniquely identify each
document received.
F.2.1.2
The solution must provide the ability to import
electronic images and associate the image to
the appropriate data within a record.
F.2.1.3
The solution must capture submitter information
(e.g. name, address, phone number, email
address, fax number of the submitter).
F.2.1.3.1
The solution must provide the ability to
capture a return mailing address and
addressee, if different from submitter.
F.2.1.4
The solution must capture data at point of
submission (e.g. entity name(s), future effective
date, future file date, trademark, debtor names).
F.2.1.5
The solution must provide the ability to capture
the desired method of customer notification and
return (e.g. mail, email, phone, pick up) of
processed submissions.
F.2.1.6
The solution must capture date and time the
Secretary of State receives a document,
including resubmissions.
F.2.1.7
The solution must allow documents that are
received via paper to be indexed and
processed in the same manner as documents
received electronically.
F.2.1.8
The solution must provide the ability to create
an image from an online submission and store
the image in the Repository.
F.2.1.9
The solution must automatically capture the
data from the online submission and store the
data in the Repository (e.g. metadata, index
fields and record data).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Intake
5/29/2013
5 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.2.1.10
The solution must provide the ability to process
documents based on multiple service levels
(expedited filings: 4 hour, same day, 24 hour;
preclearance: 24 hour, 72 hour, 5 business
days, 10 business days; counter; mail; and
online submissions).
F.2.1.11
The solution must track the status of
documents through all processes and assigned
staff.
F.2.1.12
The solution must detect potential duplicate
documents and route the documents for
manual review and further processing,
according to configurable business rules.
F.2.1.13
The solution must identify resubmissions and
allow for consolidation of the resubmission(s)
with the original submission.
F.2.1.14
The solution must provide confirmation to the
user that a document or electronic file has been
submitted successfully.
F.2.1.15
The solution must indicate to the user if any
errors (e.g. user errors, application errors,
system errors) occur during the submission
process.
F.2.1.15.1
The solution must maintain details about the
cause of any errors (e.g. user errors,
application errors, system errors) during the
submission process for use in
troubleshooting and resolution.
F.2.1.16
The solution must have an intake process that
can identify the contents of a submission and
automatically index data according to business
rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Intake
5/29/2013
6 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.2.1.17
The solution must auto-generate a
mathematically derived unique identifier for all
filings that includes a check digit (refer to
Uniform Commercial Code section 9519, as an
example for UCC financing statements).
F.2.1.17.1
The solution must include a record type
identifier in the auto-generated
mathematically derived unique identifier for
all initial filings differentiating between types
of records (e.g. corporations, limited liability
companies, other business entities,
trademarks, financing statements/tax liens).
F.2.1.18
The solution must generate different number
formats for documents, filings, certificates and
records.
F.2.1.19
The solution must provide the ability to autogenerate a unique identifier for documents.
F.2.1.20
The solution must create a record upon the
acceptance of a creation filing.
F.2.2
Mail
F.2.2.1
Deleted.
F.2.3
Electronic
F.2.3.1
Online
F.2.3.1.1
The solution must provide for online
submissions, filings and orders, according to
business rules.
F.2.3.1.1.1
The solution must provide the ability to
convert all documents to PDF/A.
F.2.3.1.2
The solution must provide the ability for
customer account holders to securely change
customer account information online.
F.2.3.1.3
The solution must provide the ability to paste
copied data into online data fields.
F.2.3.1.4
The solution must provide the ability for a user
to view and edit their submission prior to
submitting online.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Intake
5/29/2013
7 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.2.3.1.5
The solution must provide the ability to display
the total amount of fees calculated prior to
capturing payment information and provide the
option to proceed with or cancel the
submission.
F.2.3.1.6
The solution must provide to the user an
electronic confirmation along with a copy of the
data submitted, upon Secretary of State's
successful receipt of the submission and/or
payment.
F.2.3.1.7
The solution must provide for documents
submitted for filing that pass validations to be
processed (e.g. indexed, filed, imaged and
output to customer) at the time of submission
without Secretary of State staff manual
intervention.
F.2.3.1.8
The solution must provide for orders that pass
validations to be processed at the time of
submission without Secretary of State staff
manual intervention.
F.2.3.2
Bulk Filing
F.2.3.2.1
The solution must provide the ability for bulk
filing data and/or images to be processed (e.g.
Statements of information, financing
statements, tax liens) without manual
intervention.
F.2.3.2.1.1
The solution must provide a common
transfer method for the exchange of bulk
filing data and/or images.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Intake
5/29/2013
8 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.2.3.2.1.2
The solution must use standard formats for
the exchange of bulk filing data and/or
images (currently XML), developed and
recommended by the International
Association of Commercial Administrators
(IACA) for financing statements and
statements of information as modified to
comply with California law.
F.2.3.2.1.3
The solution must be backward-compatible
for current XML customers.
F.2.3.2.1.4
The solution must use a common data
format for the exchange of bulk filing data
and/or images for government agencies to
submit electronic tax lien filings.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Intake
5/29/2013
9 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3
PROCESSING
F.3.1
General
F.3.1.1
The solution must provide the ability to process
submissions within Secretary of State
established time frames based on statute and
policy:
F.3.1.1.1
Uniform Commercial Code related
submissions within 2 business days.
F.3.1.1.2
Preclearance submissions according to
service levels, e.g. 24-hours, 72-hours, 5
business days, 10 business days.
F.3.1.1.3
Expedited submission according to service
levels, e.g. 4-hour, same-day, 24-hour.
F.3.1.1.4
All other submissions within 5 business
days.
F.3.1.2
The solution must provide the ability to hold a
submission until all items related to a
submission are received (e.g. external agency
approvals and additional information from a
customer) according to business rules.
F.3.1.3
The solution must provide the ability for a user
to assign a specific processing order when
multiple documents are included in one
submission (e.g. a customer submitting three
name change amendments where the business
entities are exchanging names - only the
customer can identify the processing order
depending on the customer's desired results).
F.3.1.4
The solution must provide the ability for data
and corresponding images to be viewed
simultaneously.
F.3.1.5
The solution must maintain the history of each
submission and resubmission according to
business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
10 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.1.6
The solution must provide the ability to
automatically calculate lapse/expiration dates
according to business rules.
F.3.1.7
The solution must provide the ability for only
one user at a time to control any given
document.
F.3.1.7.1
The solution must indicate that a document
is locked/checked out to a specific user
when other users attempt to access the
document.
F.3.1.7.2
The solution must provide notification on
request to read-only users when the
document is checked in.
F.3.1.7.3
The solution must provide the ability for
users to view a document in read only
format when the document is checked out
to another user.
F.3.1.7.4
The solution must provide the ability for
authorized users to unlock a document that
is checked out to another user and reassign
the document.
F.3.1.8
The solution must assign a randomly generated
unique identifier to certifications issued by the
Secretary of State and associate the unique
identifier to data contained in the certification.
F.3.1.8.1
The solution must provide the ability for
users to search on the generated unique
identifier and date of certification.
F.3.2
Scanning
F.3.2.1
The solution must provide a centralized method
for scanning mail in the Sacramento office.
F.3.2.2
The solution must provide desktop scanning at
each counter and regional office for the
scanning of documents as the documents are
received.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
11 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.2.3
The solution must provide the ability to scan a
variety of sizes and shapes of items (e.g.
passport photos and copies of driver’s
licenses).
F.3.2.4
The solution must provide the ability to scan all
documents that are received (e.g. envelopes,
checks, forms, unstructured forms,
correspondence, sticky notes).
F.3.2.5
The solution must provide the ability to
continuously feed documents when scanning.
F.3.2.6
The solution must have the ability to scan and
create high quality images (e.g. a minimum of
300 DPI Bitonal, Grayscale or Color) .
F.3.2.7
The solution must support the scanning of
damaged or delicate paper originals.
F.3.2.8
The solution must automatically identify
document and/or batch separation through a
variety of methods (e.g. barcodes, patch codes,
blank pages, and document content).
F.3.2.9
The solution must scan and store image files in
PDF/A.
F.3.2.10
The solution must provide the ability to scan
documents individually or in batches.
F.3.2.10.1
The solution must provide the ability to scan
documents that include both black and
white images and color images.
F.3.2.11
The solution must provide scanning stations
with multiple pre-defined settings optimized for
the different physical types of documents (e.g.
photo copies, faxes, card stock, colored paper
and carbon copies).
F.3.2.12
The solution must provide the ability to rescan
documents, and automatically replace the poor
or wrong images with the newly scanned
images.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
12 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.2.12.1
The solution must provide the ability to
rescan individual pages without rescanning
entire document.
F.3.2.12.2
The solution must provide the ability to
rescan individual documents or a batch of
documents at one time.
F.3.2.13
The solution must support despeckling of
scanned documents.
F.3.2.14
The solution must provide the ability to de-skew
images that are skewed or misaligned
(crooked).
F.3.2.15
The solution must provide the ability to
adjust/rotate the orientation of images and save
the adjusted image.
F.3.2.16
The solution must have the ability to remove
black-borders from scanned document images.
F.3.2.17
The solution must provide the ability to scan
single-sided and double-sided pages in one
pass.
F.3.2.18
The solution must provide the ability to
automatically detect blank pages.
F.3.2.18.1
The solution must provide the ability to
delete blank pages according to business
rules.
F.3.2.18.2
Deleted.
F.3.2.18.3
The solution must provide a threshold
setting for blank page identification.
F.3.2.19
The solution must provide the ability to
manually delete unwanted pages and
documents.
F.3.2.20
The solution must provide the ability for
authorized users to scan additional pages to a
document.
F.3.2.20.1
The solution must provide the ability to
replace existing pages and/or add pages to
any location in the imaged document.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
13 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.2.21
The solution must detect scanning errors by
verifying the actual versus the expected page
counts in the batch.
F.3.2.22
The solution must provide the ability for users
to view the documents as documents are
scanned.
F.3.2.22.1
The solution must provide the ability for
users to zoom in on images as documents
are scanned.
F.3.2.23
The solution must provide the ability to
associate scanned images to a submission.
F.3.2.24
The solution must automatically capture data
from scanned documents using functionality
such as OCR, ICR or OMR.
F.3.2.24.1
The solution must automatically capture
data from structured and unstructured
forms.
F.3.2.25
The solution must automatically capture index
values during scanning, using methods such as
OCR, ICR, OMR or barcode recognition.
F.3.2.25.1
The solution must automatically capture
index values from structured and
unstructured forms.
F.3.2.26
The solution must achieve an OCR accuracy
rate of 95% for scanned documents, excluding
handwritten text (see F.4.2.16 for payments).
F.3.2.27
The solution must have the ability to encrypt
any image that contains confidential data to
prevent unauthorized access according to
configurable business rules (e.g. check images,
driver’s license images, social security cards).
F.3.2.28
The solution must provide the ability to define
and configure rules allowing the system to
disregard barcodes on individual documents.
F.3.3
Deleted
F.3.3.1
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
14 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.3.2
Deleted.
F.3.3.3
Deleted.
F.3.4
Image Viewing
F.3.4.1
The solution must have an image viewer that
can display scanned documents.
F.3.4.2
The solution's image viewer must provide for
user configurable display (e.g. display index
keys, document properties, page thumbnails,
document notes and toolbars).
F.3.4.3
The solution must provide the ability to view
images and related data simultaneously in
independent windows on the same monitor or
using multiple monitors (e.g. data on one
monitor, image on the other monitor).
F.3.4.4
The solution must provide the ability to view
images with multiple pages, displaying two or
more pages simultaneously in independent
windows on the same monitor or using multiple
monitors.
F.3.4.4.1
The solution must provide the ability to
allow users to access other applications
(e.g. MS Word, Excel, Outlook)
simultaneously in independent windows in
the same monitor or multiple monitors while
concurrently using the solution.
F.3.4.4.2
The solution must provide the ability to
toggle between functions within the solution.
F.3.4.5
The solution must provide the ability for users
to select and view multiple documents
simultaneously, side by side, tiling and/or
cascading images.
F.3.4.6
The solution must provide the ability for users
to adjust the size of open windows and adjust
the contrast of the window to support viewing
images.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
15 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.4.7
The solution must provide multiple options for
zooming (e.g. zone dragging and panning).
F.3.4.8
The solution must provide the ability for
automated zooming to allow the image viewer
to auto position the view of a newly opened
page based on document type and user
configurable preferences.
F.3.4.9
The solution must provide the ability for users
to rotate documents in the image viewer.
F.3.4.10
The solution must provide authorized users the
ability to reorder pages within the image viewer
via drag and drop prior to committing to the
Repository.
F.3.4.11
Deleted.
F.3.5
Validation
F.3.5.1
The solution must provide the ability for data
entry in designated fields to automatically
generate a prompt to the user that further
action is required according to business rules
(e.g. immigration consultant application is
incomplete and needs bond and/or finger print
results).
F.3.5.2
The solution must present messages to users
explaining failed edits/validations and system
errors, and how to correct the error.
F.3.5.3
The solution must provide features (e.g.
autocomplete, radio buttons, dropdown list,
check box) to facilitate data entry while
minimizing data entry errors.
F.3.5.3.1
The solution must provide the ability to
auto-populate the city/state when the zip
code is entered, according to business
rules.
F.3.5.3.2
Deleted.
F.3.5.3.3
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
16 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.5.4
The solution must provide the ability to file a
document using only electronic edits and
without staff review according to business rules.
F.3.5.5
The solution must allow data validation rules to
be configurable by authorized users.
F.3.5.6
The solution must validate that all required
fields have been completed according to
business rules.
F.3.5.7
The solution must provide data edits and
validations to ensure data entered is valid for
specified fields (e.g. entity name, P.O. Box vs.
street address, date format, alpha vs. numeric,
California address) according to business rules.
F.3.5.8
The solution must provide system edits and
validations against data contained in an existing
record (e.g. entity status is valid for filing type,
not allowing a revivor without current Statement
of Information).
F.3.5.9
The solution must validate there are sufficient
fees to process a document.
F.3.5.10
The solution must provide the ability for an
authorized user to manually override the
validation process according to business rules.
F.3.5.11
The solution must notify a user if requested
name contains prohibited words or characters
(e.g. the word olympic or TM symbol) according
to configurable business rules.
F.3.6
Workflow
F.3.6.1
The solution must automatically route a
document(s) or groups of documents to specific
workflow queues based on configurable
business rules (e.g. entire submission, a portion
of a submission, document types, methods of
submission).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
17 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.6.2
The solution must provide an interface with
external agencies (e.g. Franchise Tax Board,
Employment Development Department, Board
of Equalization, Department of Justice, Internal
Revenue Service) to send and receive data
and/or images according to business rules.
F.3.6.2.1
The solution must maintain information
about external interface customers (e.g.
contact person, contract information,
delivery instructions and data
specifications).
F.3.6.3
Deleted.
F.3.6.4
The solution must provide a personalized task
list for authorized users, including a description
of the tasks to be done, who assigned the tasks
and when the tasks need to be completed.
F.3.6.5
The solution must generate customized e-mail
messages for workflow status notifications
according to business rules.
F.3.6.6
The solution must provide the ability for emailed
workflow status notifications to contain a link to
the document requiring action.
F.3.6.7
The solution must provide the ability for
authorized users to monitor and manage work
queues.
F.3.6.8
The solution must provide the ability for
authorized users to override automatic routing
to reassign workloads based on priorities,
backlogs and management decisions (e.g.
reassign work from one queue to another, or
reassign users to a work queue).
F.3.6.9
The solution must provide the ability for
authorized users to modify priority within work
queues.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
18 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.6.10
The solution must provide the ability to locate
documents and the status of the documents in
workflow.
F.3.6.11
The solution must provide time-based
alarm/reminder capability for tracking of work in
workflow according to business rules.
F.3.6.11.1
The solution must provide the ability to
automatically perform time-based rerouting
of work from any workflow queue according
to business rules.
F.3.6.12
The solution must provide the ability for
authorized users to configure workflow alarms
based on triggers (e.g. number of documents in
queue, data values, document type, length of
time in queue, previous queue, expedited
filings-time due out).
F.3.6.13
The solution must provide event-based (e.g. a
batch process didn't run) configurable
alarm/reminder capability for tracking work in
workflow.
F.3.6.14
The solution must provide the ability to
automatically route scanned documents for
initial indexing, according to configurable
business rules.
F.3.6.15
The solution must include controls so that the
integrity of separation of duties can be
maintained, according to business rules (e.g. a
user indexing a document cannot perform
quality control on that document).
F.3.6.16
The solution must determine when all
documents received on a particular date have
been filed or rejected (e.g. UCC certification
date, Business Entities name reservation).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
19 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.6.16.1
The solution must provide the ability to hold
and automatically process a document on a
specified date (e.g. future file date),
according to business rules.
F.3.6.16.2
The solution must automatically establish a
certification date according to configurable
business rules.
F.3.6.16.3
The solution must provide the ability for
authorized users to manually override the
certification date.
F.3.6.16.4
The solution must provide the ability to hold
and automatically process a document after
any related documents have been
processed, according to business rules (e.g.
request for a certificate, copies of a record
or a name reservation where submission of
a document that would affect the output is
still pending).
F.3.6.16.5
The solution must provide the ability for
authorized users to process a document
that is on hold prior to the completion of
related submissions.
F.3.6.17
The solution must provide the ability for
authorized users to manually reroute a
document to a specific workflow queue.
F.3.6.18
The solution must provide the ability to track,
sort and display documents by multiple search
criteria (e.g. office location, service type, type of
order request, business area, entity type,
document type, document subtype, submitter,
method of receipt, date and time received,
future file date, future effective date).
F.3.6.19
The solution must provide the ability to identify
and track documents that require special
handling (e.g. expedited filings).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
20 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.6.20
The solution must provide the ability for system
activities (batch jobs) to be scheduled and run
unattended.
F.3.6.21
The solution must prevent duplication of
updated data as a result of a system activity.
F.3.6.22
The solution must provide the ability for
authorized users to manually execute, re-run or
cancel a scheduled system activity.
F.3.6.23
The solution must provide the ability for
authorized users to reject a submission and
enter reason for rejection at any point in the
processing of the document.
F.3.7
Data Entry
F.3.7.1
The solution must provide the ability for data
entry to go through double blind keying and
verification by Secretary of State staff.
F.3.7.1.1
The solution must allow authorized users to
activate or deactivate the double blind
keying feature for each field.
F.3.7.2
The solution must provide a 500 character field
to capture freeform notes for special
instructions or notes associated with a
document.
F.3.7.3
The solution must provide the ability to capture
and track multiple dates for a submission,
record, and name reservation (e.g. received,
filed, active, lapsed, rejected, reservation
renewal).
F.3.7.4
The solution must provide the ability for
authorized users to specify fields or document
types as public or non-public information
according to configurable business rules.
F.3.8
Redaction
F.3.8.1
The solution must provide the ability to redact
information from documents.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
21 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.8.1.1
The solution must provide the ability for
automated redaction of information from
documents according to configurable
business rules.
F.3.8.1.2
The solution must provide the ability for
authorized users to manually redact
information from documents.
F.3.8.2
The solution must provide the ability to print or
display non-redacted versions based on
authorization level of the user.
F.3.8.3
The solution must provide the ability to create
and retain a redacted image of a document in
addition to a non-redacted image of the
document according to business rules.
F.3.8.4
Deleted.
F.3.8.5
The solution must not allow users to edit or
delete redactions from public documents.
F.3.8.6
Deleted.
F.3.9
Annotation
F.3.9.1
The solution must automatically add system
generated annotations that become part of the
final filing image (e.g. "file stamp", file date,
record number, document number) according to
configurable business rules.
F.3.9.1.1
The solution must provide the ability for
authorized users to create and maintain
user configurable system generated
annotations.
F.3.9.1.2
The solution must apply the same system
generated annotation(s) to the redacted
image that are applied to the non-redacted
image.
F.3.9.2
The solution must provide the ability for
authorized users to manually add annotations
to images, e.g. sticky notes, Privacy Redaction
statement.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
22 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.9.3
The solution must provide the ability for
authorized users to edit, reposition or delete
annotations.
F.3.9.4
The solution must support multiple layers of
annotations with different security profiles for
viewing and editing annotations.
F.3.9.5
Deleted.
F.3.9.6
The solution must provide the ability for items
such as electronic seals, emblems, insignia and
logos to be added to imaged documents.
F.3.9.7
The solution must provide the ability for digital
watermarking of documents according to
configurable business rules (e.g. "copy").
F.3.9.8
The solution must ensure the final official "filing"
and all related images are not saved with
annotations, except for approved annotations
according to configurable business rules.
F.3.9.9
The solution must provide the ability to view
documents with and without user generated
annotations according to business rules.
F.3.9.10
The solution must provide the ability to print
documents with and without user generated
annotations according to business rules.
F.3.9.11
The solution must display and print documents
with system generated annotations, according
to configurable business rules.
F.3.10
Archival, Retention and Purge
F.3.10.1
Deleted.
F.3.10.1.1
Deleted.
F.3.10.2
The solution must provide the ability to archive
filings and records in accordance with
configurable business rules.
F.3.10.2.1
The solution must provide the ability for
filings and records that are archived to be
recovered by authorized users.
F.3.10.3
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
23 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.10.3.1
The solution must ensure that the integrity
of the stored electronic data and images is
maintained throughout the lifecycle of the
data and images.
F.3.10.3.1.1
Deleted.
F.3.10.3.1.1.1
̶ The solution must utilize both
hardware and media storage
methodologies to prevent
unauthorized additions, modifications
or deletions during the lifecycle of the
stored data and images.
F.3.10.3.1.1.2
̶ Deleted.
F.3.10.3.1.1.3
̶ Deleted.
F.3.10.3.2
The Contractor must work with the Secretary of
State to establish and develop written policies,
procedures, and audit functions that prevent
unauthorized additions, modifications or
deletions to stored electronic data and images
throughout the lifecycle of the data and images.
F.3.10.4
The solution must provide the ability to
permanently purge data and images, in
accordance with configurable business rules.
F.3.10.4.1
The solution must provide the ability to
automatically purge documents in
accordance with configurable business
rules.
F.3.10.4.2
The solution must provide the ability to
require approval before purging.
F.3.10.5
The solution must provide the ability for data,
images and records to be purged from the
system by authorized users, in accordance with
configurable business rules (e.g. court ordersterminate, expunge).
F.3.11
Records
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
24 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.11.1
The solution must capture and store data and
images relating to active and inactive records
(e.g. active, dissolved, cancelled, suspended,
lapsed, expired, non filing events, 1505 Agent)
according to business rules.
F.3.11.1.1
The solution must provide the ability to
capture data elements of a filing (e.g.
directors' names and addresses, debtor
names and addresses) according to
business rules.
F.3.11.1.2
The solution must provide the ability to
capture data elements of a submission (e.g.
submitter name and address, return
address) according to business rules.
F.3.11.2
The solution must provide the capability to
create a record that includes direct data (e.g.
entity name) and derived data (e.g. record
status), according to business rules.
F.3.11.3
The solution must automatically update a
record based on a change filing or a nonfiling
event and the business rules associated with
the specific change filing or nonfiling event.
F.3.11.3.1
The solution must retain a history of all
filings associated with a record according to
business rules.
F.3.11.3.2
The solution must retain a history of data
associated with change filings (e.g. old and
new entity names, entity names involved in
a merger or conversion) according to
business rules.
F.3.11.3.3
The solution must retain a complete history
of all nonfiling events associated with a
record.
F.3.11.3.4
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
25 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.3.11.4
The solution must provide the ability to process
a single filing affecting multiple records
according to business rules.
F.3.11.4.1
The solution must provide the ability to
automatically update data on multiple
records as a result of a single filing (e.g.
merger with multiple outgoing entities),
according to business rules.
F.3.11.4.2
The solution must provide the ability to
automatically associate the image of a
single filing to multiple records (e.g. merger
with multiple outgoing entities), according to
business rules.
F.3.11.4.3
The solution must provide the ability to
automatically associate data from a single
filing transaction to multiple records (e.g.
update registered corporate agent address
on all records naming that registered
corporate agent) according to business
rules.
F.3.11.5
The solution must provide the ability to
automatically generate a Filing Officer
Statement whenever a record is corrected
according to business rules.
F.3.11.6
The solution must provide the ability to retrieve
and present a copy of an electronic filing as of
the date of filing in accordance with business
rules.
F.3.11.7
The solution must provide the ability to retrieve
and present a record as of a specific date in
accordance with business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Processing
5/29/2013
26 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4
FINANCIAL PROCESSING
F.4.1
General Requirements
F.4.1.1
The solution must accurately post and balance
all financial transactions in accordance with
statutes (e.g. the State Manager's
Accountability Act of 1983 "Government Code
sections 13400-13407'), Generally Accepted
Accounting Principles (GAAP), business rules
and financial controls consistent with the State
Administrative Manual (SAM).
F.4.1.2
The solution must tie a payment to a
document(s).
F.4.1.3
The solution must tie a financial transaction
(e.g. receivable, adjustment) to the original
payment and/or document(s).
F.4.1.4
The solution must tie all financial transactions
to the corresponding customer account.
F.4.1.5
The solution must associate a financial
transaction to the appropriate State of
California's accounting system codes.
F.4.1.6
The solution must provide the ability to create
and maintain customer accounts.
F.4.1.7
The solution must allow for payments to be
applied to a customer account.
F.4.1.8
The solution must allow users to fund their
customer account(s) online.
F.4.1.9
The solution must allow one payment for one
document/submission.
F.4.1.10
The solution must allow multiple
payments/payment types for one
document/submission.
F.4.1.11
The solution must allow multiple
payments/payment types for multiple
documents/submissions.
F.4.1.12
The solution must allow one payment for
multiple documents/submissions.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
27 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.1.13
The solution must provide the ability to capture
and process payments at the point of receipt.
F.4.1.14
The solution must provide the ability to suspend
customer accounts (e.g. bad payor) according
to business rules.
F.4.1.15
The solution must provide the ability to
unsuspend customer accounts according to
business rules.
F.4.1.16
The solution must automatically generate
electronic files containing financial transaction
information (revenue reimbursements,
adjustments, accounts receivables, and refund
information) with the ability to upload financial
transaction information to the State of
California's accounting system once reviewed
and approved by authorized users.
F.4.1.16.1
The electronic file must contain financial
transaction information at a detailed level.
F.4.1.16.2
The electronic file must contain financial
transaction information at a summary level.
F.4.1.16.3
The electronic files must include the
appropriate State of California's accounting
system codes and financial transaction
information (e.g. Transaction Code, Index,
PCA, Revenue Source, amount).
F.4.1.17
The solution must provide the ability to alert
users of previous dishonored payments by the
same customer and require a different payment
method.
F.4.1.18
The solution must accept U.S. dollars, only.
F.4.1.19
The solution must automatically adjust posting
transactions when changes are made to a
document that affect fees, including refunds,
according to business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
28 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.1.20
The solution must provide the ability for
automated restricted endorsement (for deposit
only) in accordance with SAM Sections 8034.1
and 8034.5.
F.4.1.21
The solution must provide the ability for
authorized users to add or edit State of
California accounting system codes.
F.4.2
Payment Processing
F.4.2.1
The solution must provide the ability to process
a variety of payment types including:
F.4.2.1.1
Cash
F.4.2.1.2
Check
F.4.2.1.3
Money orders
F.4.2.1.4
Discover, Visa and Master Card credit and
debit cards
F.4.2.1.5
Electronic Funds Transfer (EFT)
F.4.2.1.6
ACH Credit
F.4.2.1.7
Cashier's checks
F.4.2.1.8
Not to exceed (NTE) checks
F.4.2.1.9
Travelers checks
F.4.2.1.10
Checks with no amount
F.4.2.1.11
Customer account
F.4.2.2
The solution must provide the ability to accept
payments from a variety of sources including:
F.4.2.2.1
Counter
F.4.2.2.2
Mail
F.4.2.2.3
Deleted.
F.4.2.2.4
Online payment
F.4.2.3
The solution must provide the ability for
payments via credit and debit cards to meet all
PCI (payment card industry) compliance
requirements.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
29 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.2.4
The solution must provide the ability for all bank
information (e.g. routing numbers, bank
account numbers, credit card numbers and
associated data) to be stored in compliance
with the Information Practices Act (California
Civil Code section 1798 et seq.).
F.4.2.5
The solution must interface with a Secretary of
State selected State approved payment
processing vendor(s) with functionality that is
seamless to the user.
F.4.2.6
The solution must allow for real-time validation
and verification of credit/debit card payments
prior to providing any services.
F.4.2.7
The solution must capture payment information
received from the State approved payment
processing vendor's system (e.g. transaction
amount, date, successful/non-successful
transaction and payment tracking number).
F.4.2.8
The solution must generate and store a receipt
according to business rules. The receipt must
include items such as:
F.4.2.8.1
Unique confirmation number consisting of
transaction/batch number
F.4.2.8.2
Payment transaction date and confirmation
notice date
F.4.2.8.3
Record number
F.4.2.8.4
Document number
F.4.2.8.5
Entity and/or individual name
F.4.2.8.6
Payor name and address
F.4.2.8.7
Line item description and amount (e.g.
submission type, document type and order)
F.4.2.8.8
Type of payment
F.4.2.8.9
Total paid
F.4.2.9
The solution must generate an error message
and a prompt for re-entry of payment
information when payment authorization fails.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
30 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.2.10
The solution must limit the number of attempts
an external user can enter payment information
to 3 times and return to the external user an
explanatory error message, according to
business rules.
F.4.2.11
The solution must provide an external user an
option to cancel the submission prior to the
payment being processed.
F.4.2.12
The solution must record payment transaction
details.
F.4.2.12.1
The solution must associate payment
transaction details to each submission (e.g.
payment transaction number, payment
transaction result failed/success and fees
paid).
F.4.2.13
The solution must provide the ability to
automatically capture payment detail according
to business rules (e.g. payment amount, date,
payment type, payor information).
F.4.2.14
The solution must update payment status (e.g.
accepted, retained and dishonored) as each
payment is processed.
F.4.2.15
The solution must provide the capability to track
partial payments.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
31 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.2.16
The solution must achieve an OCR accuracy
rate for scanned payments at the following read
rates:
- at least 60% for hand printed alpha numeric
data
- at least 90% for typed or line printer alpha
numeric data in 8, 10, and 12 pitch in multiple
fonts (e.g. Arial, Century, Courier, OCR A, and
Times New Roman)
-at least 95% for laser printed alpha numeric
data in 8, 10, and 12 pitch in multiple fonts (e.g.
Arial, Century, Courier, OCR A, and Times New
Roman)
- at least 95% for hand printed numerical data
for pre-defined boxes
- at least 99.3% for Magnetic Ink Character
Recognition (MICR)
F.4.2.17
The solution must provide the ability to
recognize payments without a magnetic ink
character recognition (MICR) line (e.g. money
orders, travelers' checks).
F.4.2.18
The solution must have the ability to use
Courtesy and Legal Amount Recognition
(CAR/LAR) technology to read dollar amounts
and automatically populate payment entry fields
according to configurable confidence levels.
F.4.2.18.1
The solution must route payments that do
not meet the confidence level threshold for
manual review.
F.4.2.18.2
The solution must provide the ability for
authorized users to manually modify
payment information.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
32 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.2.19
The solution must provide the ability to
automatically generate customer account
statements, detailing transaction activity for
each customer account, according to business
rules (e.g. account balance and account
transactions).
F.4.2.19.1
The solution must provide the ability to print
customer account statements according to
business rules.
F.4.2.19.2
The solution must provide the ability for
customer account holders to perform an
online inquiry of their account(s) and print
their account statement(s).
F.4.2.19.3
The solution must provide the ability to
generate customer account statements on a
scheduled basis.
F.4.2.20
The solution must provide the ability to
automatically generate notices to customer
account holders, according to business rules
(e.g. establishment of a new account, closure of
an account, inactivity for a determined period of
time and balance threshold).
F.4.2.21
The solution must provide the ability to
generate notices to account holders on
demand, according to business rules (e.g.
establishment of a new account, closure of an
account, inactivity for a determined period of
time, balance thresholds).
F.4.2.22
The solution must automatically close customer
accounts according to configurable business
rules (e.g. inactivity for a determined period of
time and balance thresholds).
F.4.2.23
The solution must provide the ability for
authorized users to close customer accounts
according to configurable business rules.
F.4.3
Fees
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
33 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.3.1
The solution must automatically calculate fees
based on the type of document, date and
method of submission.
F.4.3.2
The solution must identify and differentiate
types of fees (e.g. filing fees, service fees, copy
fees and certification fees).
F.4.3.3
The solution must provide the ability for
authorized users to waive fee(s).
F.4.3.4
The solution must define fees according to
configurable business rules.
F.4.3.4.1
The solution must apply fees based on date
of submission (e.g. to cover fee increase).
F.4.3.5
The solution must track customer account
balances, in real time, as debits and credits are
applied.
F.4.4
Electronic Payment Processing
F.4.4.1
The solution must process EFT transactions in
conformance with the requirements defined by
National Automated Clearinghouse Association
(NACHA). See https://www.nacha.org/
F.4.4.2
The solution must provide for electronic
payment processing (e.g. swipe check to
process payment) at time of submission.
F.4.5
Adjustments
F.4.5.1
The solution must provide the ability for
authorized users to enter, adjust and reverse
financial transactions (e.g. for "not to exceed"
or checks with no amount, correcting posting
errors, transferring payments and credit card
chargebacks).
F.4.5.1.1
The solution must provide the ability to set
adjustment limits for authorized users.
F.4.5.1.2
The solution must provide financial controls
according to business rules (e.g. payment
cleared before fees refunded, to ensure the
integrity of the adjustment transaction).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
34 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.5.2
The solution must prohibit the deletion of
financial transactions.
F.4.5.3
The solution must provide the ability to capture
adjustment detail, including:
F.4.5.3.1
Adjustment type
F.4.5.3.2
Adjustment value (positive or negative)
F.4.5.3.3
Date/ time
F.4.5.3.4
Reference document number
F.4.5.3.5
Unique identifier for the transaction event
(transaction code)
F.4.5.3.6
Reason/description for adjustment
F.4.5.3.7
User performing the adjustment
F.4.5.3.8
State of California's accounting system
codes
F.4.5.4
The solution must provide a 500 character
comment field for every adjustment.
F.4.5.5
The solution must not allow underpayments or
overpayments for payments submitted online.
F.4.5.6
The solution must provide the ability to
automatically generate a refund request
according to configurable business rules (e.g.
specified time frames).
F.4.5.7
The solution must provide the ability to allow for
verification of payment status and/or account
balance prior to generating an automatic refund
request.
F.4.5.8
The solution must provide the ability for
authorized users to manually generate a refund
request.
F.4.5.9
The solution must provide the ability for
authorized users to modify the payee name
and/or address prior to processing refund
request.
F.4.5.10
The solution must provide the ability to
establish refund thresholds according to
configurable business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
35 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.5.11
The solution must provide the ability to relate
chargeback adjustments to the appropriate
State of California's accounting system codes.
F.4.6
Accounts Receivable
F.4.6.1
The solution must provide the ability to
automatically generate and print and
electronically deliver invoices according to
business rules (e.g. government billable
accounts).
F.4.6.2
The solution must generate and print and
electronically deliver notices due to an event
according to configurable business rules and
statutes/regulations (e.g. collection notices for
dishonored payments).
F.4.6.3
The solution must provide the ability to track
activity for Dunning Notices and collection
activity (e.g. 30, 60, 90 day notices).
F.4.6.4
The solution must provide the ability to adjust
the amount of a receivable (e.g. write-off and
reduction or addition of penalty) according to
business rules.
F.4.6.5
The solution must provide the ability to capture
and maintain dishonored payment detail.
F.4.6.6
The solution must provide the ability for
authorized users to associate dishonored
payment information to the original payment.
F.4.6.7
The solution must provide the ability to notify
users when processing a payment from a
customer with dishonored payment history
according to business rules.
F.4.6.7.1
The solution must provide the ability for
authorized users to accept payments from
customers with dishonored payments,
according to business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
36 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.6.8
The solution must provide the ability to assign
dishonored check fees to each dishonored
check.
F.4.6.9
The solution must provide the ability for
authorized users to override dishonored check
fees.
F.4.6.10
The solution must provide the ability to cancel a
record as a result of a dishonored payment
according to business rules.
F.4.6.11
The solution must prioritize payments for
receivables and apply the payment to the
applicable revenue/reimbursement account
according to business rules.
F.4.6.12
The solution must provide the ability to record
and retain accounts receivable detail, including
the following:
F.4.6.12.1
Name of account holder
F.4.6.12.2
Address of account holder
F.4.6.12.3
Unique identifier for the receivable (e.g.
invoice number)
F.4.6.12.4
Date (e.g. invoice date, notice date)
F.4.6.12.5
Payment date/s
F.4.6.12.6
Payment amount/s
F.4.6.12.7
Original invoice amount
F.4.6.12.8
Dishonored fees
F.4.6.13
The solution must provide a 500 character
comment field for every accounts receivable
detailed item.
F.4.7
Reconciliation
F.4.7.1
The solution must provide a mechanism to
reconcile payments received at a detail level, at
various processing points (e.g. filing or order
processing, conclusion of all batch processing,
end-of-day or upon receipt of bank deposit
documentation).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
37 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.4.7.2
The solution must provide a mechanism to
reconcile payments received at a summary
level, at various processing points (e.g. filing or
order processing, conclusion of all batch
processing, end-of-day or upon receipt of bank
deposit documentation).
F.4.7.3
The solution must provide the ability to
reconcile on a daily basis, payments received
to the deposit report.
F.4.7.4
The solution must provide the ability to
reconcile the cash drawer(s)/register(s) on
demand, by authorized users.
F.4.7.5
The solution must provide the ability for
authorized users to generate daily, weekly,
monthly, and quarterly reconciliation reports for
balancing by payment and associated State of
California's accounting system codes.
F.4.7.6
The solution must provide the ability for
authorized users to make corrections to
financial transactions that do not reconcile.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Financial Processing
5/29/2013
38 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.5
INDEXING
F.5.1
General
F.5.1.1
The solution must index documents for search
and retrieval.
F.5.1.2
The solution must provide the ability for users
to search and retrieve document information
using the existing unique identifiers.
F.5.1.3
The solution must provide the ability for
authorized users to add data, including existing
unique identifiers (e.g. file, entity and document
numbers issued by the Secretary of State, bond
numbers, customer account numbers) and
images to create records from previously filed
documents.
F.5.1.3.1
The solution must provide the ability to
associate existing unique identifiers to the
data and images.
F.5.1.4
The solution must provide the ability for
authorized users to rebuild a filing or record,
including data and images, using the originally
issued unique identifiers (e.g. file, entity and
document numbers issued by the Secretary of
State).
F.5.1.5
Deleted.
F.5.1.6
The solution must provide the ability for a user
to enter data once and automatically populate
the data for multiple data fields associated with
a document.
F.5.1.7
The solution must provide the ability for an
authorized user to edit data once and
automatically update the data for all documents
in the same submission (e.g. date of receipt).
F.5.1.8
The solution must allow authorized users to
enter and update data after document(s) are
committed to the Repository.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Indexing
5/29/2013
39 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.5.1.9
The solution must provide the ability for
authorized users to create and store user
configurable trademark design codes.
F.5.1.9.1
The solution must provide the ability for
users to classify and search for designs
based on trademark design codes.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Indexing
5/29/2013
40 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.6.1
SUSPENSION FORFEITURE PROCESS
F.6.1.1
The solution must automatically generate
Statement of Information and/or Statement by
Common Interest Development Association
notifications (e.g. due to file, delinquency,
pending suspension, and suspension)
according to business rules.
The solution must provide the ability for
F.6.1.1.1
notices to be sent by email.
F.6.1.1.2
The solution must provide the ability for
notices to be sent by postal mail.
F.6.1.1.3
The solution must provide the ability to
generate electronic files for third party
distribution (e.g. OSP and EDD).
F.6.1.1.4
The solution must provide the ability for
notifications to be in letter or post card
format.
F.6.1.2
The solution must provide the ability to track
notices to avoid duplicating the same notice
being delivered by different methods (e.g.
sending the same notice by postal mail and
electronically).
F.6.1.3
The solution must automatically generate
notices to advise corporations to respond to a
Victims of Corporate Fraud Compensation
Fund (VCFCF) reimbursement request
according to business rules.
F.6.1.3.1
The solution must provide the ability for
notices to be sent by email.
F.6.1.3.2
The solution must provide the ability for
notices to be sent by postal mail.
F.6.1.4
The solution must automatically update the
entity record during the suspension process
according to business rules (e.g. delinquencies,
suspensions and VCFCF suspensions).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Suspension and Forfeiture
5/29/2013
41 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.6.1.5
The solution must have the ability for
authorized users to override all or part of the
automated suspension process according to
business rules (e.g. delinquencies, suspensions
and VCFCF suspensions).
F.6.1.6
The solution must record when a notification
has been successfully generated.
F.6.1.7
The solution must not duplicate a notification.
F.6.1.8
The solution must provide the ability to
electronically receive and store information
from FTB regarding business entities that have
been suspended by FTB according to business
rules.
F.6.2
REVIVOR AND RESTORATION PROCESS
F.6.2.1
The solution must provide the ability to revive or
deny the revivor of a Secretary of State
suspended business entity upon the filing of a
Statement of Information according to business
rules.
F.6.2.1.1
The solution must automatically generate a
notification to the customer and/or entity
when an entity is revived or a revivor is
denied.
F.6.2.1.2
The solution must automatically generate a
notification to the customer and/or entity
when an entity has met the Secretary of
State filing requirements and is still
suspended by the Franchise Tax Board.
F.6.2.2
The solution must provide the ability to
automatically revive Secretary of State
suspended business entities that are eligible for
revivor upon the filing of a name change
amendment according to business rules (e.g.
revivor denied because name not available and
the business entity files a name change
amendment).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Suspension and Forfeiture
5/29/2013
42 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.6.2.3
The solution must provide the ability to revive,
restore or deny the revivor upon reimbursement
by a corporation that was suspended for failure
to reimburse the VCFCF according to business
rules.
F.6.2.4
The solution must automatically generate a
notification to the customer and/or entity when
a corporation is revived, restored or a revivor is
denied.
F.6.2.5
The solution must automatically generate a
notification to the customer and/or entity when
a corporation has met the Secretary of State
requirements for reimbursement and is still
suspended by the Franchise Tax Board and/or
by the Secretary of State for failure to file the
required Statement of Information.
F.6.2.6
The solution must provide the ability to
electronically receive and store information
from FTB regarding business entities that are to
be restored or are eligible for revivor according
to business rules.
F.6.2.6.1
The solution must automatically restore
business entities according to business
rules.
F.6.2.6.2
The solution must provide the ability to
verify availability of entity name and status
in order to revive a business entity
according to business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Suspension and Forfeiture
5/29/2013
43 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7
OUTPUT
F.7.1
General
F.7.1.1
The solution must have the ability to generate
outputs on a user defined schedule.
F.7.1.2
The solution must have the ability to generate
outputs on demand.
F.7.1.3
The solution must provide the ability for
customers to retrieve outputs of their electronic
submissions online.
F.7.1.4
The solution must provide the ability for
customers to order certificates and copies of
filings (certified and uncertified) online.
F.7.1.5
The solution must provide the ability to
automatically include the user information (e.g.
Reviewers Name, Title and Phone Number on
rejection letters, user's initials on certificates) on
output.
F.7.1.6
The solution must default the return method of
output to the method of submission.
F.7.1.6.1
The solution must provide the ability for
users to change the return method of output
prior to completion of processing a
submission.
F.7.1.7
The solution must default the return media of
output to the type of media submitted.
F.7.1.7.1
The solution must provide the ability for
users to change the return media of output
prior to completion of processing a
submission.
F.7.1.8
The solution must allow for volume printing of
output.
F.7.1.8.1
The solution must provide the ability for
authorized users to select the default
printer(s).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
44 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7.1.9
The solution must provide the ability for
authorized users to identify and re-route stored
print jobs for volume printing of output.
F.7.1.10
The solution must provide the ability for
authorized users to identify and re-print output
due to volume printer malfunction (e.g. printer
runs out of toner during printing).
F.7.1.11
The solution must provide the ability to restrict
the viewing and printing of certain documents
except to authorized users (e.g. documents
with confidential information).
F.7.1.12
The solution must provide the ability to restrict
the viewing and/or printing of certain content
within a document except to authorized users
(e.g. a specific page or specific text).
F.7.1.13
The solution must provide a common transfer
method to be used for sending and receiving
data and/or images in bulk to customers.
F.7.1.14
The solution must allow authorized users to
copy or export data and images to external
storage media (e.g. external hard drive and
DVD) based on user-defined selection criteria
(e.g. bulk order request).
F.7.1.15
The solution must export images in PDF/A
format.
F.7.1.16
The solution must provide the ability to export
data in a variety of formats (e.g. spreadsheets,
word processing application, XML or CSV).
F.7.1.17
The solution must allow multiple users to view
the same record concurrently.
F.7.1.18
The solution must allow one authorized user to
have editing privileges of a record at a time.
F.7.1.18.1
The solution must allow multiple users to
view the same record concurrently while the
record is being edited by a single user.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
45 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7.1.19
The solution must provide the ability to set a
user configurable threshold to warn internal
users prior to printing output that the output
exceeds the threshold (displaying the number
of pages), with option to proceed to print,
proceed to print after business hours, redirect
the print request to another printer or cancel the
request.
F.7.2
Search and Retrieval
F.7.2.1
The solution must provide the ability to confirm
that searches resulted in no records.
F.7.2.2
The solution must provide the ability to search
by any index or other data (e.g. submitter
name, entity name, entity's prior name(s),
individual name, file number (registration),
document number, payment type) according to
business rules.
F.7.2.3
The solution must provide the ability for search
results to be sorted by one or more data fields
according to business rules.
F.7.2.4
The solution must allow searches using one or
more data fields.
F.7.2.5
The solution must provide the ability for a user
to select a document, filing or record from the
search results, according to business rules.
F.7.2.6
The solution must provide search logics (e.g.
Fuzzy, Soundex, Synonym, Phonetic, Boolean,
Wild Card) that support:
F.7.2.6.1
UCC name searches (See Title 2, Division
7, Chapter 13 of the California Code of
Regulations)
F.7.2.6.2
Name availability searches for corporations
(See Title 2, Division 7, Chapter 8.5 of the
California Code of Regulations)
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
46 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7.2.6.3
Name availability searches for limited
liability companies (See Title 2, Division 7,
Chapter 8.5 of the California Code of
Regulations)
F.7.2.6.4
Name availability searches for limited
partnerships (see Title 2, Division 7,
Chapter 8.5 of the California Code of
Regulations)
F.7.2.6.5
Name availability searches for trademarks
(See California Business and Professions
Code section 14200 et seq.)
F.7.2.6.6
Name searches for retrieving documents,
records and data
F.7.2.6.7
The solution must present name availability
search results displayed and sorted based
on relevance to the search criteria (e.g.
results displayed with exact keywords
search match preceding results with less
than exact key word match) according to
business rules.
F.7.2.7
The solution must provide the ability to present
the most current version of a document (e.g.
resubmissions) in the search results, and
indicate if additional versions exist.
F.7.2.8
The solution must allow authorized users to
configure and save commonly used searches
for all users.
F.7.2.9
The solution must allow users to configure and
save searches only for their reuse.
F.7.3
Document Generation
F.7.3.1
The solution must automatically generate
copies of documents (e.g. certified and
uncertified) according to business rules.
F.7.3.2
The solution must provide the ability to
generate certificates according to business
rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
47 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7.3.3
The solution must generate form letters and
notifications to customers according to
configurable business rules (e.g. welcome
packet for all formations).
F.7.3.4
The solution must allow for the creation of
document templates that can include:
F.7.3.4.1
Standard content (e.g. text, images, logic,
paragraphs, address blocks, variable data)
F.7.3.4.2
Optional content that may be selected or
drafted by an authorized user.
F.7.3.5
The solution must provide the ability to group
related documents for response to a customer's
submission(s) (e.g. filing acknowledgement,
copy of filing (image), receipt, etc.).
F.7.3.6
The solution must have the ability to provide
mailer page(s) for single mailing or mass
mailings.
F.7.3.7
The solution must have the ability to print
envelopes for single mailing or mass mailings.
F.7.3.8
The solution must provide the ability to printpreview documents according to business
rules.
F.7.3.9
The solution must provide the ability to spell
check free-form text fields at the option of the
user.
F.7.3.9.1
The solution must provide users the option
to override spell check corrections.
F.7.3.10
The solution must provide the ability to trim
padded data retrieved from the Repository.
F.7.3.11
The solution must allow authorized users to
create, save, and modify certificate templates.
F.7.3.12
The solution must generate outputs (e.g.
acknowledgment letters, certified copies,
certificates, notices, rejection letters, receipt
notification) according to business rules.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
48 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.7.3.12.1
The solution must provide the ability to
automatically generate electronic outputs
for a single mailing according to business
rules.
F.7.3.12.2
The solution must provide the ability to
automatically generate electronic outputs
for a mass mailing according to business
rules.
F.7.3.12.3
The solution must provide the ability to
manually generate outputs for a single
mailing according to business rules.
F.7.3.12.4
The solution must provide the ability to
manually override the automatic generation
of outputs according to business rules.
F.7.3.13
The solution must provide the ability for
authorized users to define, modify and
deactivate automated
notifications/acknowledgments including:
F.7.3.13.1
The text of the
notifications/acknowledgments.
F.7.3.13.2
The events that trigger the
notifications/acknowledgments.
F.7.3.14
The solution must provide the ability to
regenerate and print and electronically deliver
previously generated output.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Output
5/29/2013
49 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.8
REPORTS
F.8.1
General
F.8.1.1
The solution must provide the ability to
generate standard reports containing data
similar to the data captured in the List of
Current Reports in the Bidders’ Library.
F.8.1.2
The solution must provide authorized users the
ability to create new reports and modify existing
reports.
F.8.1.3
The solution must provide the ability for
authorized users to generate a report from a
query.
F.8.1.4
The solution must provide the ability to
schedule reports to run on a user defined
schedule.
F.8.1.4.1
The solution must automatically store
reports in a shared network location
according to business rules.
F.8.1.5
The solution must provide the ability to
generate reports automatically according to
business rules.
F.8.1.6
The solution must provide the ability to
generate reports on demand according to
business rules.
F.8.1.7
The solution must provide the ability for
authorized users to customize the standard
report selection by offering user-based
selection criteria (e.g. time period and date
range).
F.8.1.8
The solution must provide the ability to produce
reports in various formats including:
F.8.1.8.1
Viewable on screen
F.8.1.8.2
Print hard copy
F.8.1.8.3
Export to Adobe PDF
F.8.1.8.4
Export to spreadsheet applications (e.g.
Excel)
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Reports
5/29/2013
50 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.8.1.9
The solution must provide the ability to
annotate reports.
F.8.1.10
The solution must provide drill-down capability
of details where summary totals are presented
on reports.
F.8.1.11
The solution must provide the ability to set a
user configurable threshold to warn internal
users prior to printing a report that the report
exceeds the threshold (displaying the number
of pages), with option to proceed to print,
proceed to print after business hours, redirect
the print request to another printer or cancel the
request.
F.8.1.12
The solution must provide the ability to re-run
reports.
F.8.1.13
The solution must provide the ability to
generate statistical reports by date parameters
based on record type, filing type and record
status (e.g. active, suspended and lapsed).
F.8.1.14
The solution must provide the ability for
authorized users to generate ad hoc reports.
F.8.1.15
The solution must provide the ability to save
report output locally.
F.8.2
Activity Reporting
F.8.2.1
The solution must provide the ability to report at
the user/group level, in real time, for each of the
identified processing functions (e.g. number of
documents scanned by user or group of users).
F.8.2.2
The solution must generate user/group activity
reports (e.g. types of documents, filings or
orders, date range, intake method).
F.8.2.3
The solution must provide the ability to
generate periodic reports describing the current
volumes of documents and document statistics
(e.g. types of documents, filings, orders,
rejections, and metadata).
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Reports
5/29/2013
51 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.8.2.4
The solution must provide the ability to
generate ad hoc reports describing the current
volumes of documents and document statistics
(e.g. types of documents, filings, orders,
rejections, and metadata).
F.8.3
Workflow Reports
F.8.3.1
The solution must provide workflow tracking,
statistics and process reports (e.g. current
documents in queue(s), aging of documents not
yet processed, time completed for expedited
filings, pending documents by business areas).
F.8.3.2
The solution must provide workflow status
reporting that shows the status of items in a
workflow queue at a detail level (individual
items) and at a summary level (roll-ups).
F.8.3.3
The solution must provide the ability to report
average length of time in work queue, by queue
and by user(s) and length of time document
and orders are being processed.
F.8.3.4
The solution must have the ability to provide
dashboard reporting showing, at a minimum,
the following by date range, by document/order
type, by queue, including:
F.8.3.4.1
Current documents/orders in all queues
F.8.3.4.2
Number of documents/orders in each
queue, the number of days in the queue
and number of days since date of receipt of
document
F.8.3.4.3
Average number of days submissions stay
in a queue and average number of days
since the date of receipt of submission
F.8.3.4.4
Date of receipt of oldest item in queue
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Reports
5/29/2013
52 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution Description
Support Documentation
F.8.3.5
The solution must have the ability to provide
workflow tracking reports (e.g. statistics and
process completion reports) by date range, by
user, by document/order type, by queue,
including:
F.8.3.5.1
Current documents/orders in all queues
F.8.3.5.2
Number of documents/orders in each
queue, the number of days in the queue
and number of days since date of receipt of
document
F.8.3.5.3
Average number of days submissions stay
in a queue and average number of days
since the date of receipt of submission
F.8.3.5.4
Date of receipt of oldest item in queue
F.8.3.5.5
Minimum and maximum days in a queue
F.8.3.5.6
Number of items processed through a
queue for a user specified period
F.8.3.5.7
Total dollar amount represented by the
documents in each queue
F.8.4
Audit Reports
F.8.4.1
The solution must provide the ability to track
user/group activity and workflow decision paths
(e.g. number of times a user elevates
documents to a supervisor or another work
queue outside the normal path).
F.8.4.2
The solution must provide the ability to produce
user/group error reports.
F.8.4.3
The solution must provide the ability to
generate reports of audit trail data.
F.8.4.4
The solution must provide the ability to
generate reports based on system errors.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Reports
5/29/2013
53 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution
Support
Description
Documentation
T.1
GENERAL TECHNICAL
T.1.1
General
The solution must conform to the User Interface Standards Document
(Deliverable D.2.10) submitted by the Contractor and approved by
T.1.1.1
Secretary of State's Project Director.
T.1.1.2
Deleted.
The solution must be accessible simultaneously from both Sacramento and
T.1.1.3
Los Angeles Secretary of State office locations.
T.1.1.3.1
T.1.1.3.2
T.1.1.4
T.1.1.5
T.1.1.6
T.1.1.7
T.1.1.8
T.1.1.9
The solution must be accessible to all 400 Sacramento based staff
simultaneously while meeting all other requirements in this RFP.
The solution must be accessible to all 20 Los Angeles based staff
simultaneously while meeting all other requirements in this RFP.
The solution must be capable of supporting twenty-five thousand (25,000)
concurrent external users, while meeting all other requirements stated in
this RFP.
The solution must back up data, operating systems, application code and
configuration of all components to a Secretary of State designated Backup
and Restore site on a Secretary of State defined periodic basis in full and
on an incremental, differential or item basis.
The solution must provide the ability to restore data, systems, code, and/or
configurations of all or any specific or selected component(s) from the
Secretary of State approved backup facility.
The solution must be designed so that no more than two (2) hours of
committed data and images (i.e., data added to the database) are lost in
the event of any system failure or system component failure regardless of
the cause of failure
The solution must provide public web pages that adhere to Secretary of
State web publishing standards as provided in the Secretary of State Web
Publishing Standards located in the Bidders’ Library.
The solution must provide context-sensitive help screens including online
user documentation that is indexed and searchable (e.g. alphabetical,
topical), and display of data field definitions in fifth grade reading level for
all user entered data fields.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
54 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution
Support
Description
Documentation
The solution must provide the ability for authorized users to maintain the
T.1.1.10
content of help screens.
The solution must conform to the Secretary of State's current Writing Style
Guide as specified in the Secretary of State Writing Style Guide located in
T.1.1.11
the Bidders' Library.
The solution must remain on-line and meet all performance requirements
even if any single component is unavailable due to routine maintenance or
failure, except for performance requirements applicable to the inoperative
T.1.1.12
component.
The solution must complete processing and return results for simple
queries (e.g. file number, exact name) within 2 seconds as measured at
the LAN/WAN boundary while simultaneously meeting all other
T.1.1.13
requirements of this RFP.
The solution must complete processing and return results for all other
queries within 30 seconds as measured at the LAN/WAN boundary
T.1.1.13.1
while simultaneously meeting all other requirements of this RFP.
T.1.1.14
The solution must retrieve data and associated images, if any, for a
document or record containing up to 299 pages within 2 seconds as
measured at the LAN/WAN boundary while simultaneously meeting all
other requirements of this RFP.
T.1.1.15
The solution must retrieve data and associated images for a document or
record containing 300 up to 1000 pages within 30 seconds as measured at
the LAN/WAN boundary while simultaneously meeting all other
requirements of this RFP.
T.1.1.16
The solution must allow the user to successfully logon to the system within
2 seconds as measured at the LAN/WAN boundary after entering valid
credentials, while simultaneously meeting all other requirements of this
RFP.
T.1.1.17
The solution must allow the user to open windows/components/modules
within 2 seconds as measured at the LAN/WAN boundary while
simultaneously meeting all other requirements of this RFP.
T.1.1.18
The solution must add, replace, or delete an image within 2 seconds as
measured at the LAN/WAN boundary while simultaneously meeting all
other requirements of this RFP.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
55 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution
Support
Description
Documentation
T.1.1.19
The solution must move items between workflow queues within 2 seconds
as measured at the LAN/WAN boundary while simultaneously meeting all
other requirements of this RFP.
T.1.1.20
The solution must save data to the repository within 2 seconds as
measured at the LAN/WAN boundary from the time the user prompts the
system to save the data while simultaneously meeting all other
requirements of this RFP.
T.1.1.21
The solution must allow a user to terminate any query.
T.1.1.22
The solution must complete pre-defined reports and return results in less
than 1 minute as measured at the LAN/WAN boundary while
simultaneously meeting all other requirements of this RFP.
T.1.1.23
The solution must automatically terminate execution of ad hoc reports and
queries and return an explanatory error message to the user if the
report/query has not completed within X seconds, where X is configurable
by an authorized user.
T.1.1.24
Deleted.
T.1.1.25
The solution must have the ability to generate on demand output within 15
seconds as measured at the LAN/WAN boundary while simultaneously
meeting all other requirements of this RFP.
T.1.1.26
The solution must have the ability for customers to retrieve outputs of their
electronic submission online within 1 hour of submission while
simultaneously meeting all other requirements of this RFP.
T.1.1.27
The solution must display to an internal user an adjusted image (e.g.
resized or rotated) within 2 seconds while simultaneously meeting all other
requirements of this RFP.
T.1.2
System and Data Accessibility
T.1.2.1
The solution must provide authorized users a single point of access to all
California Business Connect related functions based on user access
privileges.
T.1.2.2
The solution must be designed to use single sign on based on Secretary of
State Active Directory accounts/credentials and not require a separate
login.
T.1.2.3
The solution must provide a single web entry point (i.e., web portal) for
online users of California Business Connect.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
56 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution
Support
Description
Documentation
T.1.2.4
The solution must support the most widely used versions (and higher) of
Internet Explorer, Safari, Firefox and Chrome web browsers at the time of
Contract Award.
T.1.2.5
The solution must use PDF/A in accordance with this standard:
ANSI/AIIM/CGATS/ISO 19005-1:2005, Document Management –
Electronic Document File Format for Long-Term Preservation – Part 1: Use
of PDF 1.4 (PDF/A-1).
T.1.2.6
The solution must conform to accessibility standards cited in the California
Government Code Section 11135 (see
http://www.leginfo.ca.gov/calaw.html), Section 508 of the United States
Rehabilitation Act (see http://www.section508.gov/), and Web Content
Accessibility Guidelines 2.0 (W3C World Wide Web Consortium
Recommendation WCAG 2.0 12/2008, Level A & Level AA Success
Criteria - see Accessibility Standards located in the Bidders' Library).
T.1.3
System Scalability
T.1.3.1
The solution must be able to support the current Business Programs
Division workload while maintaining system performance requirements, in
addition to all other requirements as specified in this RFP. See RFP
Appendix E - Workload, Metrics, and Volumes for current workload
statistics.
T.1.3.2
The solution must provide the ability to accept all submissions received
(mail, counter, telephone and electronically) into the system on the same
day they are received.
T.1.3.3
The solution must be able to support the processing of eleven million
(11,000,000) non filing events annually, while meeting all other
requirements stated in this RFP.
T.1.3.4
The solution must be able to produce and process a monthly volume of five
hundred thousand (500,000) notices.
T.1.3.5
The solution must support a 600% increase in the volume of orders
processed while maintaining system performance requirements, in addition
to all other requirements as specified in this RFP and support an annual
increase of 25% thereafter with the addition of hardware, operating system
and Third Party software licenses only.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
57 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed Solution
Support
Description
Documentation
T.1.3.6
The solution must support an annual increase of 10% in the volume of
filings, customer accounts, nonfiling events and notices processed while
maintaining system performance requirements, in addition to all other
requirements as specified in this RFP, with the addition of hardware,
operating system and Third Party software licenses only.
T.1.4
E-government
T.1.4.1
The public website must reside under the sos.ca.gov domain.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
58 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.2
HARDWARE, SOFTWARE, AND NETWORK
T.2.1
General
T.2.1.1
The solution must provide a minimum of four operating environments for application
development, testing, training, and production.
T.2.1.2
The solution must log all system processing errors, capturing all relevant information
(e.g. Date/Time, User Name, Stack Trace Information, Module/Source, Error
Description).
T.2.1.3
The solution must use Transmission Control Protocol/Internet Protocol (TCP/IP) as its
only network protocol.
T.2.2
User Workstation
T.2.2.1
The solution must be compatible with the current Secretary of State Desktop
Standards as specified in RFP Section 3.4.1.1 - Desktop Workstations.
T.2.3
Software
T.2.3.1
The Contractor must supply all tools and utilities necessary to perform configuration,
installation, operation and management tasks for the solution.
T.2.3.2
The Contractor must provide a business process modeling tool to configure and test
workflow.
T.2.3.3
The solution must provide the ability for authorized users to print and export graphical
workflow diagrams.
T.2.3.4
The Contractor must provide a defect tracking tool for classifying and tracking solution
defects identified during testing. The tool shall be web-based, accessible only by
Contractor staff, Secretary of State staff, and Secretary of State support contractor
staff from their respective offices. The tool shall track the defect status from defect
identification through defect resolution in each environment (e.g. development, test,
and training, etc.). The tool shall have the ability to enter for each defect: description,
status, category, severity, historical comments (and identify the date and name of the
person providing the comments), and have the ability to attach documents.
T.2.3.5
The contractor must provide an automated tool to simulate and support testing of bulk
filing functionality.
T.2.4
Interfaces
T.2.4.1
The solution must support the interfaces identified in RFP Appendix D - Current
Interfaces and in accordance with the security requirements established for those
interfaces.
T.2.5
Mail Opening
T.2.5.1
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
59 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.2.5.2
Deleted.
T.2.5.3
Deleted.
T.2.5.4
Deleted.
T.2.5.5
Deleted.
T.2.5.6
Deleted.
T.2.5.7
Deleted.
T.2.5.8
Deleted.
T.2.5.9
The solution must utilize Secretary of State mail opening Equipment as specified in
RFP Section 3.2.1.1.
T.3
APPLICATION ARCHITECTURE
The solution must run background (batch) jobs concurrently with on-line updates
(e.g., run the batch report cycle concurrently with submitting a new document via the
T.3.1
website).
T.4
SECURITY
T.4.1
The solution must comply with security standards such as SAM, SIMM, PCI, NIST,
HIPAA and NACHA. This must include standards such as type and level of hardware,
network, database, and software security and tools for the protection of Secretary of
State programs and data from intentional unauthorized access attempts as well as
security breaches due to accidental causes.
T.4.1.1
The solution must comply with SAM 5300 Information Security. See
http://sam.dgs.ca.gov/default.htm
T.4.1.2
The solution must comply with SAM 5335.1, Information Integrity and Data
Security. See http://sam.dgs.ca.gov/default.htm
T.4.1.3
The solution must comply with SAM 5100 EDP Standards - Policy. See
http://sam.dgs.ca.gov/default.htm
T.4.1.2
Moved to T.4.1.10
T.4.1.2.1
Deleted.
T.4.1.2.2
Deleted.
T.4.1.3
Moved to T.4.1.11
T.4.1.4
The solution must comply with PCI (Payment Card Industry) Data Security
Standard Requirements and Security Assessment Procedures, Version 2.0
October 2010. See https://www.pcisecuritystandards.org/security_standards/
T.4.1.5
The solution must comply with the guidelines and standards in the following
NIST publications related to information technology security.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
60 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.4.1.5.1
SP 800-63-1 Electronic Authentication Guide but if finalized and adopted
prior to Full System Acceptance, SP 800-63-2
T.4.1.5.2
SP 800-53 REV. 4 Security and Privacy Controls for Federal Information
Systems and Organizations (Updated with Errata page May 7, 2013)
T.4.1.5.3
SP 800-53A Guide for Assessing the Security Controls in Federal Information
Systems and Organizations, Building Effective Security Assessment Plans
(note this is a different NIST Document than SP 800-53 REV 4.)
T.4.1.5.4
SP 800-147 Basic Input/Output System (BIOS) Protection Guidelines
T.4.1.5.5
SP 800-137 Information Security Continuous Monitoring for Federal
Information Systems and Organizations
T.4.1.5.6
SP 800-115 Technical Guide to Information Security Testing and Assessment
T.4.1.5.7
FIPS 199 Standards for Security Categorization of Federal Information and
Information Systems
T.4.1.5.8
FIPS 200 Minimum Security Requirements for Federal Information and
Information Systems
T.4.1.5.9
SP 800-94 Guide to Intrusion Detection and Prevention Systems (IDPS)
T.4.1.5.10
SP 800-123 Guide to General Server Security
T.4.1.5.11
SP 800-95 Guide to Secure Web Services
T.4.1.5.12
SP 800-44-2 Guidelines on Securing Public Web Servers
T.4.1.5.13
SP 800-92 Guide to Computer Security Log Management
T.4.1.5.14
SP 800-68 Rev. 1 Guide to Securing Microsoft Windows XP Systems for IT
Professionals
T.4.1.5.15
SP 800-18, Revision 1 (February 2006), Guide for Developing Security Plans
for Federal Information Systems
T.4.1.5.16
SP 800-30, Revision 1 (September 2012), Guide for Conducting Risk
Assessments
T.4.1.5.17
SP 800-64, Revision 2 (October 2008), Security Considerations in the
Information System Development Life Cycle
T.4.1.6
The solution must comply with the HIPAA Security Rule.
The Security Rule is located at 45 CFR Part 160 and Subparts A and C of Part
164.) See
http://www.hhs.gov/ocr/privacy/hipaa/administrative/securityrule/index.html
T.4.1.7
The solution must comply with the 2012 NACHA Operating Rules & Guidelines.
See https://www.nacha.org/
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
61 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.4.1.8
The solution must comply with IRS Publication 1075 Tax Information Security
Requirements.
T.4.1.9
The Solution must comply with CERT Source Code Standards.
T.4.1.10
The solution must comply with SIMM Security Standards. See
http://www.cio.ca.gov/Government/IT_Policy/SIMM.html
T.4.1.11
The solution must comply with California Information Practices Act (Civil Code
Section 1798 – 1798.78).
T.4.2
The solution must conform to recognize United States federal and/or California state
government security standards and practices including system hardening, security indepth and utilize diversity of design. For federal standards see
http://www.itl.nist.gov/fipspubs/; for State standard Technology Agency, Office of
Technology Services Data Center Security Standards
http://www.servicecatalog.dts.ca.gov/security_standards.asp
T.4.2.1
FIPS 199 - Standards for Security Categorization of Federal Information and
Information Systems
T.4.2.2
FIPS 200 - Minimum Security Requirements for Federal Information and
Information Systems
T.4.2.3
FIPS 140-2 – Security Requirements for Cryptographic Modules
T.4.3
The system must comply with California Technology Agency guidelines. See
Technology Agency, Office of Technology Services Data Center Security Standards
http://www.servicecatalog.dts.ca.gov/security_standards.asp
T.4.4
The solution must provide a security function that allows authorized Secretary of State
administrators to define roles and the specific functions that can be performed by
users assigned to each role.
T.4.5
The solution must encrypt all data in transit between system components and when
stored in nonvolatile memory. Encryption must be at least 256-bit and based on the
Advanced Encryption Standard (AES). See http://csrc.nist.gov/index.html.
T.4.6
The solution must encrypt all Personally Identifiable Information (PII) and Personal
Protected Health Information (PPHI) whenever stored in non-volatile memory.
T.5
PCI (Payment Card Industry)
T.5.1
General
T.5.1.1
The Contractor must work with the Secretary of State to establish PCI DSS VLANs
where PCI DSS scoped systems are segregated from the rest of the network. All
exceptions of communications such as AV server, patching server, etc. must be
documented by the Contractor.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
62 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.5.2
Network
T.5.2.1
The Contractor must ensure payment application devices are not connected to any
other systems within Secretary of State network.
T.5.3
Data Transmission
T.5.3.1
The solution must always encrypt Credit Card and PII data during transmission.
Contractor must ensure that anti-virus software is deployed on all PCI-DSS and PII
T.5.3.2
scoped systems.
T.5.3.3
The solution must use strong cryptography and security protocols, such as SSLTLS
or IPSEC, to safeguard sensitive cardholder and PII data during transmission over
open, public networks.
T.5.4
Passwords
Contractor must work with the Secretary of State to ensure change of all the default
T.5.4.1
passwords of all services, applications and operating systems, related to the solution.
T.5.5
Ongoing PCI Compliance
T.5.5.1
Contractor must remediate the tool scans and pen tests’ findings within the following:
T.5.5.1.1
30 calendar days of discovery for all medium level findings
T.5.5.1.2
14 calendar days of discovery for all high level findings
T.5.6
Application Security
T.5.6.1
The solution website code that processes credit cards must have appropriate
validation (either by code review, application scans, or application level firewall) of all
input to address application security issues, e.g. injection flaws, cross-site scripting
(XSS), broken authentication and session management, etc.
T.5.6.1.1
Deleted.
T.5.6.1.2
Deleted.
T.5.6.1.3
Deleted.
T.5.6.1.4
Deleted.
T.5.6.1.5
Deleted.
T.5.6.1.6
Deleted.
T.5.6.1.7
Deleted.
T.5.6.1.8
Deleted.
T.5.6.1.9
Deleted.
T.5.6.1.10
Deleted.
Deleted.
T.5.6.1.11
T.5.6.1.12
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
63 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.6
Data Center
T.6.1
The proposed solution (inclusive of Development, Test, Training, and Production
environments) must be supportable by the Secretary of State Data Center (e.g.
electrical capacity, HVAC, etc.), consistent with the following:
T.6.1.1
The proposed solution, hosted in the Secretary of State Data Center, inclusive
of Development, Test, Training, and Production environments, shall not require
an additional floor Power Distribution Unit (PDU) in order to operate within the
Secretary of State Data Center and to meet all of the California Business
Connect requirements.
T.6.1.2
The proposed solution, hosted in the Secretary of State Data Center, inclusive
of Development, Test, Training, and Production environments, shall not require
floor pressure greater than 250 pounds/per square foot and 1,000 pounds per
raised floor tile.
T.6.1.3
The proposed solution, hosted in the Secretary of State Data Center, inclusive
of Development, Test, Training, and Production environments, shall not require
more than the 10 feet by 12 feet of raised floor space within the Data Center
that Secretary of State intends to dedicate to California Business Connect.
T.6.1.4
The total British Thermal Unit (BTU) requirements of the Bidder’s proposed
California Business Connect Solution hosted in the Secretary of State Data
Center, inclusive of Development, Test, Training, and Production environments
shall not exceed 150,000 BTU per hour.
T.6.1.5
The proposed solution, hosted in the Secretary of State Data Center, inclusive
of Development, Test, Training, and Production environments, shall not require
more than a maximum of four (4) 30 AMP receptacles (e.g., L6-30Rs or L1530Rs) per rack for up to eight (8) racks total.
T.7
Automated Problem Tracking Tool
T.7.1
In accordance with RFP Attachment 2, Exhibit 4 and Exhibit 5, Secretary of State
and Contractor staff providing Help Desk and Maintenance and Operations
support shall use the automated problem-tracking tool currently in use by the
Secretary of State (iSupport) to enable staff to track, monitor, and report on
California Business Connect System operational and performance problems
(e.g., defects and Deficiencies) detected, prioritized, and resolved.
T.7.1.1
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
64 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
T.7.1.2
The Contractor shall specify the estimated number of licenses of the iSupport
problem tracking tool that Contractor staff will require in order to perform
California Business Connect System project activities (e.g., California Business
Connect System Help Desk and Equipment and Software Maintenance and
Operations support).
T.8
T.8.1
Note: Secretary of State will pay for and provide iSupport licenses for California
Business Connect Contractor support staff use. Secretary of State will use the
Contractor’s projected number of licenses needed for Contractor’s staff to
estimate this Secretary of State expense.
System Security Vulnerability and Scanning Tools
The Contractor shall scan and monitor the California Business Connect System to
ensure that California Business Connect System security vulnerabilities are identified
and addressed. At a minimum, Contractor shall use the vulnerabilities management
tool(s) currently used by the Secretary of State Information Technology Division.
Those tools and versions currently in use at the Secretary of State include:
• eEye Retina Network Security Scanner (v5.15.1)
• Qualys Vulnerability Management (v7.2 – part of the
QualysGuard Enterprise Suite)
• Qualys Web Application Scanner (v2.0 – part of the
QualysGuard Enterprise Suite)
Note: Although the Secretary of State currently owns these products, the Contractor
must purchase these for the California Business Connect System. The costs of
purchasing and using this minimum tool set, as well as any other related software
tools proposed by the Contractor for this purpose, shall be included in the cost
proposal and specified in RFP Exhibit 6.2 - California Business Connect Third Party
Software Products List.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
General Technical
5/29/2013
65 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
I.1
IMPLEMENTATION
I.1.1
TRAINING
The Contractor must provide training on the California Business Connect
Solution for approximately 380 Secretary of State end users in the Sacramento
I.1.1.1
office.
The Contractor must provide training on the California Business Connect
Solution for approximately 20 Secretary of State end users in the Los Angeles
I.1.1.2
office.
The Contractor must provide training on the California Business Connect
I.1.1.3
Solution for approximately 20 Secretary of State technical staff.
The Contractor must provide "train the trainer" training so that Secretary of State
I.1.1.4
personnel can conduct ongoing end-user and technical training.
The Contractor must provide Help Desk Level 1 support training on the California
Business Connect Solution for approximately 10 Secretary of State analyst level
I.1.1.5
staff.
I.2
HELP DESK SUPPORT
The Contractor must provide Help Desk Level 2 support in compliance with the
approved Help Desk Support Plan (Deliverable D.4.1) during the term of the
I.2.1
Contract.
I.3
KNOWLEDGE TRANSFER
I.3.1
The Contractor must provide knowledge transfer on all aspects of the design,
development, test, and implementation of the California Business Connect
Solution to Secretary of State staff who will work collaboratively with Contractor
staff during the design, development and implementation of the California
Business Connect solution.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Implementation
5/29/2013
66 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
S.1
SYSTEM MAINTENANCE
S.1.1
General Operations
S.1.1.1
Deleted.
S.1.1.2
Deleted.
S.1.1.3
Deleted.
S.1.1.4
Deleted.
S.1.1.4.1
Deleted.
S.1.1.4.2
Deleted.
S.1.1.5
Deleted.
S.1.2
Server and Hardware Storage
The Contractor's solution architecture for server and hardware storage must be
consistent with technology standards supported by the Secretary of State as
provided in the Secretary of State Information Management Strategy located in
S.1.2.1
the Bidders' Library.
S.1.3
System Hardware
S.1.3.1
Deleted.
S.1.3.2
Deleted.
S.1.4
Database Software
The Contractor solution architecture for database software must be consistent
with technology standards supported by the Secretary of State Information
S.1.4.1
Management Strategy located in the Bidders’ Library.
S.1.4.2
Deleted.
S.1.4.2.1
Deleted.
S.1.4.2.2
Deleted.
S.1.4.2.3
Deleted.
S.1.4.2.4
Deleted.
S.1.4.2.5
S.1.4.3
S.1.5
S.1.5.1
S.1.5.2
S.1.5.3
S.1.6
Deleted.
Deleted.
Application Software
Deleted.
Deleted.
Deleted.
Backup and Recovery
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Support
5/29/2013
67 of 68
California Secretary of State
California Business Connect
Appendix F - Mandatory Business and Technical Requirements
Bidders are reminded that in order to receive a “pass” for these requirements, the Bidder’s response to each requirement must be complete
and in sufficient detail for the evaluation team to understand how each requirement is to be met.
Req. #
Requirement Description
Bidder Proposed
Support
Solution Description
Documentation
S.1.6.1
The Contractor must provide the ability to backup the data, operating systems,
application code and configuration of all solution components to an alternative
environment so that full operation in that environment can be activated by the
Backup/ Recovery Vendor.
S.2
APPLICATION MODIFICATION AND UPGRADE
S.2.1
Deleted.
S.2.2
Deleted.
S.2.3
Deleted.
S.2.4
Deleted.
S.3
PERFORMANCE MANAGEMENT
S.3.1
Deleted.
S.3.2
Deleted.
S.3.3
Deleted.
S.3.4
Deleted.
Appendix F - Mandatory Business and Technical Requirements Addendum 2
Support
5/29/2013
68 of 68