Appendix 7.docx

1. Must sequentially assign a six-digit retailer file number and maintain current retailer files (active, terminated, suspended, denied, revoked pending, conditional license and temporary termination). Include a tab or filter option that allows users to view retailers’ profiles easily and clearly by status as well as keep a detailed history of status changes, including employee’s name, date, time, and reason for the change of status.

1. Must sequentially assign a five-digit retailer number. This number must also connect two or more files that have a tax identification number in common.

1. Owner(s), business, and location information should be displayed on separate tabs. Information in common should be used across all licensed locations. To include tabs to support: application fee, debt fee, electronic transfers, pre-site evaluations, background checks, Department of Revenue compliance checks, 60/40 verification and miscellaneous information tabs. Along with an approval or denial section.

1. Must have the ability to allow data from a retailer portal to be migrated into the database, while protecting confidentiality of the information migrated. This information includes social security numbers, dates of birth, tax identification numbers as well as business license numbers.

1. Allow collaboration across departments while strictly limiting access to confidential data. For instance, only four digits of the social security number, tax identification number and the business license number should be visible to departments outside of Licensing as determined by SCEL.

1. Use role-based access, masking sensitive information with download controls. Provide full audit features.

1. Ensure retailer notes are easily accessible, visible, and have adequate spacing for all departments. Use standardized formatting with spell check as a built-in feature. Notes should appear in chronological order with the ability to flag information.

1. Have a processing portal for New/Change of Ownership retailer applications as well as a designated portal with the ability to process annual renewing retailer files. Include a status dashboard for retailers, allowing retailers to track their application workflow.

1. Connect retailer files together by tax identification number to create a chain or corporate account.

1. Differentiate a chain retailer (2-4 locations - joined by tax identification number) from a corporate retailer (5 or more locations - joined by tax identification number). Automatically recognize multiple retailer locations that share the same tax identification number. Clearly display all connected locations within the chain or corporate account, along with status. Allow authorized users the ability to connect or disconnect locations.

1. Ability to assign expiration dates quarterly and group retailer files by tax identification number as well as separately connecting retailers (owners) by social security number.

1. Ability to manually change a retailer’s status from independent, chain or corporate account, at any time to any status.

1. Ability to issue a lottery license while providing a tracking component based on a set timeline.

1. Has an upload feature that supports unstructured documents and the ability to decipher the information. Create distinct upload fields for required documents, as well as a miscellaneous upload feature.

1. Features that identify retailer status (active, terminated, suspended, denied, revoked pending, conditional license and temporary termination). Detailed notes feature to easily identify a reason code for status.

1. The Licensing Department should have the ability to securely enter and modify the banking information relating to the transfer of electronic funds in the event of a new application, change of ownership or change of bank account. The Retailer Accounting Division, in the Finance Department, should have the ability to verify the information entered, which creates a dual approval process. Finance should have read-only access to any Electronic Funds Transfer (EFT) banking forms submitted by the retailer so that changes can be review appropriately.

1. Allow 1099-NECs to be uploaded onto the secure portal in batches that will appear on the associated retailer site according to TIN.

1. Invoice reports, pack settled reports, and Key Accounts Reports should be available for download for retailers.

1. Retailers should have access to make electronic payment on the retailer portal or interface with a third-party secure payment provider to facilitate payments for application fees and other necessary retailer payments and receive an automatic receipt.

1. SCEL should have the ability to run reports on payment history and have visibility of when payments were made and which retailer they are associated with.

1. Required information for submission should be identified and applicants must complete all required fields before an application can be submitted.

1. E-signature features should be provided.