STATE OF ALABAMA
                              REQUEST FOR PROPOSAL
 STATE OF ALABAMA BOARD OF HEATING & AIR CONDITIONING
...
I.7. INQUIRIES: All inquiries to this RFP and answers to it shall be posted to the ALHVAC
website. Please refer to www.hva...
description of the application must be provided along with the name, title, business address, and
telephone number of the ...
unable to come to an agreement on contract terms, the right is reserved to rescind said award and
either award to another ...
SECTION V – PROPOSAL FORMAT


All vendors should respond to the RFP utilizing the format described in this section (that i...
3. The vendor may provide suggestions of other services available from the vendor that may
     assist in this project.

P...
‘IV.I ATTACHMENT A. SCOPE OF SERVICES’
                           REQUEST FOR PROPOSAL
         STATE OF ALABAMA BOARD OF ...
1.2 General Requirements
  a) The proposed system must meet the following general requirements:

     1.2.1 The proposed s...
description, necessity, costs, etc. of new hardware to facilitate the installation of the
     proposed software.

       ...
education submissions.
    1.4.2.1.2   System shall allow for a history of continuing education
                submission...
1.4.2.7 Duplicate Individual Entry
       1.4.2.7.1 System shall assist in the reduction of duplicate database entries of ...
1.4.3.6.3   Fees tracked by Revenue Code and Deposit Account.
           1.4.3.6.4   Fees are processed through Batch-Orie...
1.5.2.2 Complainants
            1.5.2.2.1 System shall allow for multiple complainants for each
                      com...
1.7.2.2 By company name
        1.7.2.3 By partial company name
        1.7.2.4 By license type


1.8 Licensing Data Requi...
records—cases (complaints, hearings etc.), contacts, entities, and filings.
    1.11.8 System shall provide Revision contr...
1.17 Licensing Database Requirements – Deliverable Products and Documentation
    1.17.1 Vendor shall provide product spec...
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Microsoft Word - ALHVAC Software RFP Requirements - FINAL

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Microsoft Word - ALHVAC Software RFP Requirements - FINAL

  1. 1. STATE OF ALABAMA REQUEST FOR PROPOSAL STATE OF ALABAMA BOARD OF HEATING & AIR CONDITIONING CONTRACTORS LICENSING, CONTINUING EDUCATION, & ENFORCEMENT SYSTEM SECTION I – INTRODUCTION & PROCEDURAL INFORMATION I.1. OBJECTIVE: The purpose of this Request for Proposal (RFP) is to provide sufficient information to interested vendors to prepare and submit proposals for consideration by the State of Alabama Board of Heating & Air Conditioning Contractors (ALHVAC) and the State of Alabama (STATE), Department of Finance, in the development of a Licensing, Continuing Education & Enforcement System. The State of Alabama Board of Heating & Air Conditioning Contractors prefers to utilize the new System on a services basis via the Internet. This Licensing, Continuing Education, & Enforcement system will be owned and operated by the selected vendor, and used as a service by the State of Alabama Board of Heating & Air Conditioning Contractors. All data will be owned by State of Alabama Board of Heating & Air Conditioning Contractors. The Licensing, Continuing Education, & Enforcement system will require a tracking database along with revenue handling, reporting, and a web inquiry interface. I.2. RESPONSE PREPARATION AND PROPOSAL FORMAT: This procurement shall be conducted in accordance with applicable STATE laws, rules, policies, and procedures. Proposals must be prepared in conformance with all instructions, conditions, and requirements included in this RFP. Vendors are expected to examine all documentation, schedules, and requirements. Failure to observe all terms and conditions may render the proposal non-responsive. The STATE reserves the right to use any other information which it obtains in order to evaluate proposals and to select a vendor. Information submitted by the vendor shall be sufficiently detailed to substantiate that the services offered meet or exceed the required specifications. The requirements stated herein should be considered mandatory unless otherwise stated. I.3. RESPONSE SUBMISSIONS: The vendor must submit a signed and notarized printed copy of its proposal response along with eight (8) additional printed copies and a soft copy on a properly labeled CD, which is to present ALL TECHNICAL AND PRICING DATA clearly and completely. Vendors not submitting a notarized printed copy, eight (8) additional copies and a soft copy on CD will not be considered. I.4. COST OF PROPOSAL PREPARATION: The cost of proposal preparation is borne by the vendor. Neither the STATE nor the State of Alabama Board of Heating & Air Conditioning Contractors is liable for costs incurred by the vendor to prepare proposals, perform demonstrations, or conduct presentations or in other activities in response to this RFP. Vendors may not collect proposal preparation charges from the STATE in the event of the cancellation of this RFP. I.5. SOURCE FOR PROPOSAL REQUIREMENTS: Proposals should be based only on this RFP, subsequent addenda if any are issued, and the response to written questions and answers, which shall be published on a specified date. The ALHVAC shall not be bound by oral explanations or instructions given during the procurement process unless specifically included in this RFP, subsequent addenda, and the response to written questions and answers. I.6. PROPOSAL VALIDITY: Proposals must be valid for at least 90 days following the closing date of this RFP. The closing date for this RFP is July 16, 2009. Page 1 of 16
  2. 2. I.7. INQUIRIES: All inquiries to this RFP and answers to it shall be posted to the ALHVAC website. Please refer to www.hvac.alabama.gov for further information. Any questions that arise concerning procedural or technical requirements in the RFP must be submitted in writing to: Ms. Kathy LeCroix Executive Director State of Alabama Board of Heating & Air Conditioning Contractors 100 North Union Street , Suite 630 Montgomery, AL 36130-4355 Tel: (334) 242-5550 Fax: (334) 353-7050 I.8. ADDITIONAL INFORMATION AND COMMENTS: The Proposal should include any additional information that is believed to be pertinent but not explicitly asked for elsewhere in this RPF. I.9. ORAL PRESENTATIONS: Oral presentations may be requested if they are necessary to properly clarify compliance with the requirements of this RFP. The ALHVAC will not be liable for any costs associated with the presentations. SECTION II – VENDOR INFORMATION II.1. CONTACT INFORMATION: The vendor must specify the name, title, office address, brief resume, and business telephone number of those individuals responsible for the performance under the anticipated contract resulting from this RFP, including those individuals with primary day-to-day responsibility for the services contemplated herein and specifying their relevant industry experience and location. II.2. ORGANIZATION BACKGROUND: Provide a brief, general background description of the organization, including: • Its full company or corporate name, address of the headquarters office and the office to serve the State of Alabama Board of Heating & Air Conditioning Contractors, • How the business is organized (proprietorship, partnership, corporation, L.L.C.), parent or subsidiary corporations, • The name, office address, and business telephone numbers of the principal officers of the organization, • The year in which the vendor was first organized to do business, • Provide documentation if vendor is licensed to do business in the State of Alabama, • The types of other services the vendor provides, and, • The organization’s experience in providing services of the type presented in this RFP. II.3. FULL-TIME EMPLOYEES: The vendor must specify the number of full-time employees and the role of each in performing the services offered herein. The vendor must also designate the location to be utilized by the development team during the course of the project. II.4. REFERENCES & RELATED EXPERIENCE: The proposal must provide a list of at least three (3) references currently using the application services, which are the same, or substantially similar to, those specified herein for a comparably sized organization. These application services must have been operational for a minimum period of two (2) years. A brief Page 2 of 16
  3. 3. description of the application must be provided along with the name, title, business address, and telephone number of the client to contact regarding the services provided. The ALHVAC reserves the right to contact each client listed in the proposal. II.5. POTENTIAL CONFLICTS OF INTEREST: The vendor must state clearly any potential conflicts of interest along with any current or past business relationships with the State of Alabama Board of Heating & Air Conditioning Contractors. II.6. STATE BUSINESS RELATIONSHIPS: The vendor must state clearly any current or past business relationships with the State of Alabama along with a contact name that can verify relationship with the vendor. II.7. SUB-CONTRACTORS: Any sub-contractor(s) the vendor will employ in the course of this project must be clearly documented along with organizational information as requested in II.2. Organizational Background listed above. SECTION III – EVALUATION OF PROPOSALS AND AWARD III.1. PROCEDURE: After receipt of the proposals, State of Alabama Board of Heating & Air Conditioning Contractors will determine those vendors who are qualified and will then further determine which, in its sole judgment, has offered the best overall proposal. III.2. CRITERIA FOR SELECTION: Selection will be based on all factors listed below and others implicit within this RFP. The STATE reserves the right to award any, all, or none of the proposal as may be in its best interest. The presentation sequence of the criteria below does not indicate their precedence but the vendor must satisfy the STATE’S requirements in (1) through (3) in order to be considered in the price competition in (4). (1) Requirements. Proposal must meet the format as presented in Section IV (Item IV.2.) for designating the ability of the vendor system to satisfy each requirement. (2) Qualification. This criterion includes an evaluation of: (A) Vendor's past experience with applications of this type and scope (B) Ability of the vendor to perform the terms of the RFP (C) Quality and relevancy of the services proposed (3) Support. This criterion includes an evaluation of any and all support proposed by the vendor. (4) Cost. The STATE awards contracts to the lowest-cost, responsible vendor responding to the RFP that in the STATE’S determination meets or exceeds the criteria specified for selection as defined by the Alabama Competitive Proposal Laws. III.3. RESERVATIONS: The State of Alabama Board of Heating & Air Conditioning Contractors reserves the right to reject any or all proposals, or any part thereof, if such action is deemed to be in the best interest of the STATE. III.4. RECISION OF AWARD: Should an award be made by the State of Alabama Board of Heating & Air Conditioning Contractors and, prior to execution of a contract, subsequent information indicates that such an award was not in the best interest of the STATE or the parties are Page 3 of 16
  4. 4. unable to come to an agreement on contract terms, the right is reserved to rescind said award and either award to another vendor candidate or reject all proposals. III.5. FALSE OR MISLEADING STATEMENTS: Proposals which contain false or misleading statements or which provide references which do not support an attribute or condition claimed by the vendor may, at the sole discretion of State of Alabama Board of Heating & Air Conditioning Contractors, be rejected. III.6. COMPLETENESS OF PROPOSAL: A proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. A proposal shall be rejected if any such conditions, incompleteness, alterations, or irregularities constitute a material deviation from the RFP requirements. III.7. ACCOUNT REPRESENTATIVE: Extra consideration will be given to those vendors who have an Account Manager serving the State of Alabama that is a full-time resident of the State of Alabama. SECTION IV – SCOPE OF SERVICES IV.1. DESCRIPTION: This section provides vendors the functional and technical requirements that must be addressed in the proposal in order to satisfy the proposal requirements. IV.2. RESPONSE TO REQUIREMENTS: The vendor must indicate whether its application satisfies each requirement listed in Section IV. The response to each requirement should indicate if the requirement is currently met within the vendor’s proposed application, if the requirement is not met within the proposed application and, if not, the extent of effort required by the vendor to make the application conform to the requirement. PLEASE NOTE THAT SECTION ‘IV.I. ATTACHMENT A. SCOPE OF SERVICES’ IS FOUND IMMEDIATELY AFTER ‘SECTION V. PROPOSAL FORMAT.’ Page 4 of 16
  5. 5. SECTION V – PROPOSAL FORMAT All vendors should respond to the RFP utilizing the format described in this section (that is, PART A, PART B, etc.) and providing, at a minimum, the information requested for each section. Vendor must expressly set forth in response to PART F any exception(s) it has to the RFP requirements. Any exception(s) not expressly set forth will be deemed waived. PART A: PROPOSAL AND ADMINISTRATIVE REQUIREMENTS 1. Include all documents, information, and statements required in Sections I, II, III, and IV. 2. Acknowledge acceptance of all vendor requirements (Section IV) and all terms set forth throughout this RFP. PART B: RESPONSE TO SPECIFICATIONS 1. Any exceptions to the RFP requirements set forth in response to this PART B must be restated in response to PART F below. 2. All responses to requirements listed in Section IV should be presented as addressed according to the rules laid out in item IV.2. 3. Include in PART B any items that State of Alabama Board of Heating & Air Conditioning Contractors may not have addressed that may be beneficial to the project. Specifically proposed items must be identified as such, and any applicable costs must be identified and included in PART C. PART C: FEE PROPOSAL 1. Vendor must provide a “Fee Proposal” to include itemized costs of all components (software development, installation, training, maintenance, etc.) as well as the total cost associated with the response. The pricing information must include all items that are required to provide a complete and operational system for the State of Alabama Board of Heating & Air Conditioning Contractors. 2. Vendor must indicate any proposed special pricing considerations that may be available to State of Alabama Board of Heating & Air Conditioning Contractors. It is understood that the ALHVAC shall receive the benefit of any vendor's price reductions that may occur prior to the acceptance of the system. The vendor also agrees to notify the ALHVAC in writing within ten (10) days of any price decreases. 3. Maintenance costs should be included in the monthly fee and represent one (1) year with option to extend for two (2) additional years. Vendor must list maximum annual increases that are tied to maintenance only. If no maximum annual increase is listed, the increase will be ruled to be zero (0). The cost for the two (2) additional years must be included in the total proposal cost. PART D: INNOVATION AND COMMENT 1. Vendor may include any other information believed to be pertinent but is not specifically asked for in this RFP. 2. The vendor may explain innovations or alternative approaches available from any area of this RFP. Page 5 of 16
  6. 6. 3. The vendor may provide suggestions of other services available from the vendor that may assist in this project. PART E: OTHER DOCUMENTS Submit any of the following documents, if applicable: 1. Any addenda to the RFP. 2. Proposed contracts and/or specific terms/conditions. 3. Miscellaneous certifications and resumes of personnel that would be assigned to work on this project. 4. Summary information concerning any previous proposals that have been submitted to other STATE agencies (in response to an ITB or an RFP) concerning your service offerings in the years 2005 until present. PART F: EXCEPTIONS SUMMARY List and fully explain all exceptions taken to any term or condition of this RFP “SECTION V – PROPOSAL FORMAT.” Page 6 of 16
  7. 7. ‘IV.I ATTACHMENT A. SCOPE OF SERVICES’ REQUEST FOR PROPOSAL STATE OF ALABAMA BOARD OF HEATING & AIR CONDITIONING CONTRACTORS LICENSING, CONTINUING EDUCATION, & ENFORCEMENT SYSTEM 1.0 GENERAL INFORMATION 1.1 Introduction and Background The State of Alabama Board of Heating & Air Conditioning Contractors (Board) requires an automated system to improve the efficiency of the Board’s business processes (productivity), reduce the current volume of paper required (conservation), improve distribution of licensure and certifications (tracking), and enhance responsiveness to public concerns with respect to administrative codes of licensure and statutes (enforcement). The Board is a regulatory body whose jurisdiction, powers, and duties are delegated to it by the Alabama Legislature. The Board has been charged with the responsibility of enforcing state law relating to the registration and certification of Heating & Air Conditioning Contractors and the practices and education for certification provided and required by state law. The Board has statutory authority in [Reference applicable State Statutes, Acts, and Codes], as amended, to require that candidates first pass an examination as a condition of licensure. The offices of the Board are located at the RSA Union Building in Montgomery, Alabama. The Board receives several types of filings. These filings include Heating & Air Conditioning Contractor, Heating & Air Conditioning Apprentice, Refrigeration Contractor, and Refrigeration Apprentice. Additionally, the System must track Continuing Education, as well as Complaints and Enforcement Actions. There are currently 8 data entry personnel who utilize the current mainframe-based applications for processing filings, etc. for the Board. The total number of current licensed professionals tracked, according to Board figures, is over 4000 individuals in the State. Renewals for individuals are handled annually. The Board seeks a complete software solution to meet its licensing, tracking and enforcement requirements. The selected vendor must provide an integrated, relational, transaction-based database application for this purpose. The Board prefers to utilize the new System on a services basis via the Internet (Software-as-a-Service: SaaS). The software must be a fully rendered application for all functional areas of the State of Alabama Board of Heating & Air Conditioning Contractors. As part of this proposal, the Board would like recommendations on any network-based hardware (with specific technical specifications) that may be required for use at State of Alabama Board of Heating & Air Conditioning Contractors to interface with the vendor’s provided software as a service based offering. Page 7 of 16
  8. 8. 1.2 General Requirements a) The proposed system must meet the following general requirements: 1.2.1 The proposed system must be supported by the firm (vendor) on an on-going basis and must also provide on-going trouble-shooting support. 1.2.2 The proposed solution must accommodate the Board’s statutory, regulatory, and procedural requirements as described in Code of Alabama, 1975, as amended, Sections 34-31-18 to 34-31-35,. For an online reference of this document, please refer to the Board’s website: http://hvac.alabama.gov A printed copy of this document may be obtained by contacting: State of Alabama Board of Heating & Air Conditioning Contractors 100 North Union Street RSA Union Building, Ste. 630 Montgomery, Alabama 36104 (334) 242-5550 Office (334) 353-7050 Fax 1.2.3 As technology progresses and industry standards are adopted, the proposed system must accommodate all types of electronic filings and electronic payments. The Board prefers that the application be modular in design, enabling future piecemeal and wholesale modifications to accommodate changes in state and federal law and promote uniformity among states in heating & air conditioning contractor regulation. 1.2.4 The proposed system must be a heating & air conditioning contractor regulation and/or professional licensing solution that is currently operational in at least two (2) other state heating & air conditioning contractor boards and/or professional licensing departments; deliverable and installable within 120 days from the date a contract is signed with the winning vendor. In addition, the Board requires that the final contract to provide support services including, but not limited to, training, software maintenance, installation, upgrades/updates, data conversion, and helpdesk support. 1.2.5 The proposed system must be delivered via the software as a service via the Internet. The selected vendor will have requisite uptime supportability (that is, 99.99% network availability, 99.9% packet delivery), back-up facilities, security, high-speed data connections with dual connections to network, uninterruptible power supplies (UPS) with battery backup and on-site diesel generators, fire suppression, on-site Storage Area Network (SAN) with optional off-site SAN available, dedicated firewall, and virus protection. The system must be fully compatible with, and operational within, the Board’s technical environment. The implementation of this system may require hardware modifications and/or the purchase of additional hardware. The responders to this RFP accept the responsibility to provide the Procuring Department with a proposal outlining the Page 8 of 16
  9. 9. description, necessity, costs, etc. of new hardware to facilitate the installation of the proposed software. State of Alabama Board of Heating & Air Conditioning Contractors Licensing, Continuing Education, & Enforcement System System Requirements Specifications 1.3 System Requirements: Licensing Database Requirements – General 1.3.1 Introduction/Purpose Licensing Heating, Air Conditioning, and Refrigeration Contractors is the primary component of this system. The goal of the Licensing Database is to provide life cycle processing and tracking for the licensing functions of the State of Alabama Board of Heating & Air Conditioning Contractors. 1.3.1 System shall provide for following licensing categories 1.3.1.1 Personal (Individual) License 1.3.1.2 Business License 1.3.2 System shall provide for following license types 1.3.2.1 Heating and Air Conditioning Contractor 1.3.2.2 Heating and Air Conditioning Apprentice 1.3.2.3 Refrigeration Contractor 1.3.2.4 Refrigeration Apprentice 1.4 Licensing Database Requirements – Individual 1.4.1 Individual Data Element Requirements 1.4.1.1 First Name 1.4.1.2 Middle Name 1.4.1.3 Last Name 1.4.1.4 Name Suffix 1.4.1.5 Personal Identification Number (Auto-Generated) 1.4.1.6 High Risk Flag 1.4.1.7 Home Address 1.4.1.8 Office Address 1.4.1.9 Default Address Flag 1.4.1.10Email Address 1.4.1.11Comments 1.4.1.12Automated File Number Generation 1.4.1.13Education Background Details 1.4.1.13.1 Degree 1.4.1.13.2 Degree Date 1.4.1.13.3 Degree Year 1.4.1.13.4 Education Category (user maintained) 1.4.1.13.5 Curriculum 1.4.1.13.6 Transcripts Received 1.4.1.13.7 Transcripts Received Date 1.4.1.13.8 Description 1.4.2 General Individual Tracking Requirements 1.4.2.1 Continuing Education Tracking 1.4.2.1.1 System shall allow for retention of current continuing Page 9 of 16
  10. 10. education submissions. 1.4.2.1.2 System shall allow for a history of continuing education submissions. 1.4.2.1.3 System shall maintain default continuing education requirements for each license type. 1.4.2.1.4 System shall allow for tracking Continuing Education Providers, including provider applications with optional fee processing, provider approval, and the ability to add, edit, and remove relationships between Providers and Courses. 1.4.2.1.5 System shall provide ability to track Continuing Education Courses, consisting of Course Applications with optional fee processing, course approval, and course details including but not limited to continuing education hours, course description, course location, comments, passing criteria, course effective dates, course status (open/closed), ability to indicate if a course may be repeated, the ability to add/edit/remove relationships between Courses and Providers, and the ability to add/edit/remove relationships between Courses and Instructors. 1.4.2.1.6 System shall have the ability to track Continuing Education Instructors, including instructor applications with optional fee processing, instructor approval, the ability to add/edit/remove relationships between Instructors and Courses, and the ability to add/edit/remove Course-License relationships to identify which Courses may be taken as CE per License Type. 1.4.2.1.7 System shall have the ability to track Course Enrollment/Attendance, including ability to add Licensees to a Course Roster, ability to add Courses to a Licensee, ability to prevent a licensee from getting additional credit hours on a Course that the licensee has already taken (if the Course is not repeatable), and the ability to limit Courses available per License Type and per Course Status. 1.4.2.2 Remarks Tracking 1.4.2.2.1 Remark Type Capability 1.4.2.2.2 Maximum Remark Size of 16,000 Characters 1.4.2.2.3 Timestamp Automatically Assigned to Remark 1.4.2.2.4 User ID Automatically Assigned to Remark 1.4.2.3 License History Tracking 1.4.2.3.1 System shall maintain initial license and renewal license history 1.4.2.3.2 System shall maintain out-of-state licenses 1.4.2.4 Fees Paid Tracking 1.4.2.4.1 Fees tracked by Application and Individual 1.4.2.4.2 Default Fees shall be provided by user-maintained fee schedule 1.4.2.4.3 Fees shall be tracked by Type, Application Type, and Category 1.4.2.4.4 Fees are allowed to be processed through Batch-Oriented Receipt Processing 1.4.2.5 Multiple Licenses Tracking 1.4.2.5.1 System shall allow for multiple active license types per individual 1.4.2.6 Complaint Relationship Capability 1.4.2.6.1 System shall allow for ability to see any complaint history associated with a given individual Page 10 of 16
  11. 11. 1.4.2.7 Duplicate Individual Entry 1.4.2.7.1 System shall assist in the reduction of duplicate database entries of the same individual 1.4.2.8 Prior Name History 1.4.2.8.1 System shall retain history of name changes for an individual and provide a searchable cross reference between the previous individual name and current individual name 1.4.3 Application Processing Requirements - Individual 1.4.3.1 Application Data Elements 1.4.3.1.1 Date Applied 1.4.3.1.2 Type 1.4.3.1.3 Category 1.4.3.1.4 Status 1.4.3.1.5 Expiration Date 1.4.3.1.6 Remarks 1.4.3.1.7 Education Background 1.4.3.2 Automated Check List Capability 1.4.3.2.1 Generated based on License and Category Type 1.4.3.2.2 Ad Hoc Check List Items Capability 1.4.3.2.3 Status for each Check List Item 1.4.3.2.4 User and Date Shows When Complete 1.4.3.3 Test Scheduling Capability (Examination) 1.4.3.3.1 Schedule Individual Applicant to take Scheduled Test 1.4.3.3.2 System shall include following scheduled test data elements 1.4.3.3.2.1 License Type 1.4.3.3.2.2 Status 1.4.3.3.2.3 Test Title 1.4.3.3.2.4 Test Date 1.4.3.3.2.5 Test Score 1.4.3.3.2.6 Remarks 1.4.3.4 Test Scoring Capability 1.4.3.4.1 Score by one or more Scheduled Tests 1.4.3.4.2 Batch-Oriented Scoring Method 1.4.3.4.3 Allow Automated Scoring from External Disk Format 1.4.3.4.4 Automated Test Results Notification (Reporting) 1.4.3.5 Remarks/Tickler Capability 1.4.3.5.1 Remark Type Capability 1.4.3.5.2 Maximum Remark Size of 16,000 Characters 1.4.3.5.3 Timestamp Automatically Assigned to Remark 1.4.3.5.4 User ID Automatically Assigned to Remark 1.4.3.6 Fees (Cash Receipt) Processing Tracking 1.4.3.6.1 Fees tracked by Application and Individual 1.4.3.6.2 Default Fees provided by User-Maintained Fee Schedule Page 11 of 16
  12. 12. 1.4.3.6.3 Fees tracked by Revenue Code and Deposit Account. 1.4.3.6.4 Fees are processed through Batch-Oriented Receipt Processing 1.4.3.7 System shall allow for processing of comity (reciprocity) application types 1.4.4 Initial License Processing - Individual 1.4.4.1 Individual Application Oriented 1.4.4.1.1 System shall be able to convert application to appropriate license type 1.4.4.2 License Printing 1.4.4.2.1 System shall allow for batch-oriented printing of initial licenses 1.4.4.2.2 System shall allow for control number sequencing 1.4.4.3 Pocket Card Printing 1.4.4.3.1 System shall allow for batch-oriented printing of pocket cards 1.4.4.4 Batch Oriented License Notification 1.4.4.4.1 System shall allow for batch-oriented notification letters to be generated 1.4.5 Renewal License Processing - Individual 1.4.5.1 System shall allow for reminder notices to be mailed to licensees 1.4.5.2 System shall allow for batch-oriented processing of renewal applications 1.4.5.3 System shall allow for tracking of returned renewal applications 1.4.5.4 System shall allow for high-volume, streamlined processing of renewal applications 1.4.5.5 License Reprinting 1.4.5.6 System shall allow for Pocket Card Printing 1.4.5.7 System shall allow for batch oriented notification letters to be applications 1.4.6 Reinstatement Process 1.4.6.1 System shall provide for reinstatement process whereby individual licensee with a lapsed license can be reinstated as a current licensee 1.5 Licensing Database Requirements – Complaint & Enforcement 1.5.1 Complaint Data Elements 1.5.1.1 Short Name 1.5.1.2 Complaint Date 1.5.1.3 Complaint Number (automated or manual) 1.5.1.4 Description 1.5.1.5 Status 1.5.1.6 Phase Code 1.5.1.7 Category Code (User-Defined) 1.5.1.8 Resolution Code (User-Defined) 1.5.2 Complaint Tracking Requirements 1.5.2.1 Respondents 1.5.2.1.1 System shall allow for multiple respondents for each complaint 1.5.2.1.2 System shall allow for a respondent to be either licensed or non-licensed 1.5.2.1.3 System shall allow for a respondent to be either an individual or a company Page 12 of 16
  13. 13. 1.5.2.2 Complainants 1.5.2.2.1 System shall allow for multiple complainants for each complaint 1.5.2.2.2 System shall allow for a complainant to be either licensed or non-licensed 1.5.2.2.3 System shall allow for a complainant to be either an individual or a company 1.5.2.3 Statute/Rules Violations 1.5.2.3.1 System shall allow for multiple statute/violations to be associated with a complaint 1.5.2.3.2 System shall allow for reporting by statue/violation in summary 1.5.2.4 Remarks/Tickler Capability 1.5.2.4.1 Remark Type Capability 1.5.2.4.2 Maximum Remark Size of 16,000 Characters 1.5.2.4.3 Timestamp Automatically Assigned to Remark 1.5.2.4.4 User Id Automatically Assigned to Remark 1.5.2.4.5 Special Reminder Remark Type Provides Date-Based Tickler 1.5.2.5 Disposition Monitoring 1.5.2.5.1 System shall allow for complaint disposition monitoring 1.5.2.6 Reporting 1.5.2.6.1 System shall allow for detail reporting by status, category, date, and phase 1.5.2.6.2 System shall allow for summary statistics reporting by status, category, date, and phase 1.5.2.6.3 System shall allow for notification letters to be printed to both respondents and complainants 1.6 Licensing Database Requirements – Fee Receipting Capabilities 1.6.1 System shall be a cash-based system 1.6.2 System shall allow for fee codes and provide default fee amounts 1.6.3 System shall allow for a user-maintained fee schedule 1.6.4 System shall allow for a batch-oriented receipts capability allowing for audit controls for each batch 1.6.5 System shall allow for distribution of receipts to specific deposit accounts 1.6.6 System shall allow for the receipt of miscellaneous receipts that are unrelated to licensing and application processes 1.6.7 System shall allow for reporting of receipts by fee code as well as deposit account 1.7 Licensing Database Requirements – Searching Capabilities 1.7.1 System shall allow for finding individuals in the following methods 1.7.1.1 By license number 1.7.1.2 By last name 1.7.1.3 By partial last name 1.7.1.4 By social security number 1.7.1.5 By license type 1.7.1.6 By old file number 1.7.2 System shall allow for finding companies in the following methods 1.7.2.1 By license number Page 13 of 16
  14. 14. 1.7.2.2 By company name 1.7.2.3 By partial company name 1.7.2.4 By license type 1.8 Licensing Data Requirements – Reporting Capabilities 1.8.1 System shall provide for wide variety of standard system reports providing listings and statistics relating to licensees and annual processing volumes 1.8.2 System shall allow for a variety of special purpose reports providing bulk correspondence to licensees as well as the printing of standard licenses and pocket licenses 1.8.3 System shall provide for variety of standard system reports providing summaries and details relating to complaints 1.8.4 System shall allow end users to develop user defined reports and incorporate those reports within the system 1.8.5 System shall allow for context-sensitive reporting options from within the system 1.9 Licensing Database Requirements – Application Security 1.9.1 The system shall prevent unauthorized access to its data 1.9.2 The system shall implement a discretionary access protection scheme (minimum C1 level protection) 1.9.3 The system shall internally provide role-based access to data and functions 1.9.4 The system shall allow roles to include reader, reader/writer, administrator 1.9.5 The system shall allow for administrator maintenance of system users and system roles 1.10 Licensing Database Requirements – Internet Capabilities 1.10.1 System shall allow for restricted database access by licensees and applicants via the Internet utilizing a PIN (personal identification number), thereby providing current application and licensee status information 1.10.2 System shall allow for unrestricted database access via Internet, thereby providing current license status to the general public 1.10.3 System shall allow for Internet-based renewal processing (if applicable); note that this will require a web portal interface with Alabama Interactive. 1.11 Licensing Database Requirements – Electronic Document (E-Document) Capabilities & Imaging 1.11.1 System shall allow most types of electronic documents to be associated with an individual filing and/or application filing 1.11.2 System shall allow most types of electronic documents to be associated with a complaint filing 1.11.3 System shall allow for an automated Microsoft Word correspondence generation feature 1.11.4 System shall allow multiple sources—E-Document files may be created in any application or entered directly from an attached scanner. 1.11.5 System shall allow PDF conversion—E-Documents can be stored in their native format or converted to Adobe PDF format. 1.11.6 System shall provide single database— E-Documents must be stored in a single database; electronic documents archived once can be used as often as required without re- archiving. 1.11.7 System shall provide Interlinked records—E-Documents can be linked to all other system Page 14 of 16
  15. 15. records—cases (complaints, hearings etc.), contacts, entities, and filings. 1.11.8 System shall provide Revision control—Check-in, check-out document handling to ensure that only one person can edit a document at any given time and that the most current version of the document is readily available. 1.11.9 System shall provide Document history—System must maintain a history of document revisions as well as the users who made the revisions. 1.11.10 System shall provide Document templates— System shall provide pre-designed layouts that speed up tasks related correspondence are stored as E-Documents. 1.11.11 System shall provide Document security— System must verify that the current user has the authority to view or edit E-Documents. 1.12 Licensing Database Requirements – Audit Trail Capabilities 1.12.1 System shall provide an electronic record of all database insertions, updates, and deletions (audited transactions) 1.12.2 System shall provide date, time, and user ID for all audited transactions 1.12.3 System shall provide electronic keys in audited transactions for at least one of the following: individual, company (entity), and complaint 1.13 Licensing Database Requirements – Email Capabilities 1.13.1 System shall interface with Microsoft Outlook 1.13.2 System shall allow for the retention of Email addresses for all individuals within the system 1.13.3 System shall allow for the capability to Email to all individuals within the system 1.13.4 System shall allow for a “broadcast” Email capability to allow for mass notifications to licensees 1.14 Licensing Database Requirements – Computer System Requirements 1.14.1 System shall require connectivity with software as a service provided applications running on vendor-supplied and -supported database, network, and imaging servers. System shall run on existing state desktop computers at State of Alabama Board of Heating & Air Conditioning Contractors. 1.15 Licensing Database Requirements – Training-Related Requirements 1.15.1 End-user and Administrative training must be provided 1.15.2 End-user training must be conducted on-site 1.15.3 Initial training must be provided to approximately 9 end users 1.16 Licensing database Requirements – Logistics-Related Requirements 1.16.1 Vendor must provide data conversion, including conversion of core data elements of contacts, entities, and addresses, as well as conversion of filings and complaints. State of Alabama Board of Heating & Air Conditioning Contractors will provide legacy system data in a consistent electronic format. 1.16.2 On-going support for the system shall be provided through an Annual Maintenance Agreement, which must specify service levels, covered items, and associated costs. 1.16.3 A telephone number (‘hotline”) must be provided for support inquiries during normal business hours. Page 15 of 16
  16. 16. 1.17 Licensing Database Requirements – Deliverable Products and Documentation 1.17.1 Vendor shall provide product specification document or design specification document 1.17.2 Vendor shall provide user acceptance test plan 1.17.3 Vendor shall provide implemented and functioning system 1.17.4 Vendor shall provide user training 1.17.5 Vendor shall provide user’s manual 1.18 Customized User Start Pages/Home Pages 1.18.1 Vendor shall provide User Interface that is unique to each user’s login and based on each user’s specific requirements based on role-based security privileges. The User Interface will provide shortcuts to each user’s assigned tasks associated with tracking applicants, applications, licensees, continuing education tasks, cases, complaints, and enforcement procedures. 1.18.2 Vendor shall provide User Interface that must be capable of supporting and maintaining customized layouts of hyperlinks and shortcuts per user. 1.19 Managing Extended Properties 1.19.1 Vendor shall allow program administrators with a Graphical User Interface tool to dynamically configure custom fields within multiple forms and associated tables. 1.20 Web Portal Requirements 1.20.1 Vendor shall provide functionality to integrate public-facing Internet web pages within the System Database. The web portal technology will allow the public the ability to perform limited database searches. It will also allow for licensees to login to secure areas of the database and access information specific to their own records for “licensee self service.” 1.20.2 Vendor shall provide menu-driven tool for system administrators to control the content of web portals via the System Database; this content includes but is not limited to pictures, text, and hypertext links. 1.21 Workflow Graphical User Interface 1.21.1 Vendor shall allow program administrators with a Graphical User Interface tool to dynamically configure workflows. The Graphical User Interface must contain all the tools needed to create, edit, format, and test workflows. 1.22 Managed Security 1.22.1 The Managed Security menu must allow the ability to manage user groups and specify the program options and privileges that are available to each user group. 122.2 Individual Users and Roles assigned as members of Security Contexts must obtain the rights of the Context groups to which they are assigned. 122.3 The Managed Security functionality must allow the ability to add and delete privileges for items (such as Address and Entity) within the System. Page 16 of 16

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