Attachment 9 - Requirements Verification Traceability Matrix.xlsx

RTM

The State will provide the selected Contractor with detailed interface specifications, test environments, and technical contacts post-award to facilitate this integration. No direct, unrestricted access to internal NYSLA databases will be provided; all license data verification must utilize the public Open Data APIs.

a.) Batch File Submissions: The system must accommodate the submission and certification of price schedules and discounts in .csv or .txt files in accordance with the List of required and optional fields defined in Exhibit 2 – Batch File Format and Exhibit 3 – Discount File Format.

b.) Interactive Submissions: The system must allow Wholesalers/Manufacturers to add, edit, and remove price schedules in preparation for certification month-to-month.

c.) Price Schedule Amendments: The system must accommodate the Amendment of Submitted Price Schedules in accordance with the schedule in Exhibit 1 – Filing Period Schedules and Deadlines, and per the Business Rule outlined in 4.3.1.2 D.

d.) Retail Price Schedule Amendments: Amendments to the Submitted Retail Price Schedules shall only allow the price to be lowered to a price point found and tied to a competitor's submitted schedule for the same month.

a.) Public View - Flip Book Format only - current month only b.) Retailer Price Posting View - Requires login and license verification c.) Search: Filterable by Wholesaler/Manufacturer, posting type, and product info d.) Wholesaler/Manufacturer Search/View: Restricted to current month only e.) Agency Administrative View: Access to both current and historical months

a.) Retailer Premises Information (pre-populated) b.) Date Reported c.) Delivery Date d.) Delivery Amount ($) e.) Reported By (User) f.) Comments

4.3.6.5 Delinquent Account Removal: The system shall allow the Wholesaler/Manufacturer to view their active delinquent accounts and remove accounts individually or by bulk selection. Upon removal of a delinquent account, the system shall capture the following information as part of the delinquent account record:

a.) Date Removed b.) Removed By (User)

a.) Search by Premises (Serial number, Address, Premises Name, DBA, etc.)

b.) Search new delinquencies added by Date Range.

a.) New Account Verification and First Time Account Set Up b.) Primary Administrative User Setup for Retail, Wholesale, and Manufacturing Licenses c.) Application Login

4.3.7.2 Delegated Administration: The system shall support self-management by the Wholesaler/Manufacturer Primary Administrator, with the following functions available for administering access for their users:

a.) Add / Edit / Remove Users

4.3.7.3 Role-Based Access Control: The system shall support provisioning account access for the following roles under their license:

a.) Price Schedule Submission, Brand Appointment Submission, and Limited Availability Submission b.) Price Schedule Certification c.) Delinquent Account View d.) Delinquent Account Management

b.) Credential Verification: The web service will receive and verify Wholesaler/Manufacturer credentials along with a Retailer Record ID, and must respond with premises information and delinquent status.

a.) Reports – Price Postings and Delinquent Management Reports b.) Dashboard Administration: A dashboard displaying the Price Posting Schedule for the entire year, with the ability to override deadlines based on the impact of holidays and weekends c.) Schedule Posting Exceptions: Ability to schedule exceptions for individual Wholesaler/ Manufacturer and/or bulk (all Wholesalers/Manufacturers) d.) User Administration 1.) Create A User 2.) Password Setup / Reset 3.) User Preference

4.3.9.2 Price Schedule Administration: The system shall provide Price Schedule Administration functionality, including:

a.) Override to Add / Edit / Remove price schedule records b.) Override to Add or Remove Delinquencies

a.) All training sessions required have been delivered b.) All training materials have been submitted and approved by the Agency c.) Agency personnel confirm operational readiness d.) Any identified training gaps have been remediated

a.) The Contractor shall conduct live instructor-led virtual training sessions for Agency administrators and operations staff.

b.) Administrators and operations staff c.) These sessions shall be recorded and made accessible for a minimum of twelve (12) months after Go-Live

The Contractor shall support Agency-led UAT activities by:

a.) Providing UAT environments b.) Providing test data c.) Supporting defect resolution d.) Providing testing support personnel e.) Tracking defects through resolution

The Readiness Document must include the following:

a.) Infrastructure Performance and Validation: Confirmation that all infrastructure is tested and performing as designed.

b.) Software Development Completion: Confirmation that all software functionality has been provided.

c.)Testing Execution and Defect Resolution: Testing per Section 4.5 has been completed, and critical/high defects are addressed.

d.) Training and Operational Readiness: Requirements in Section 4.4 have been addressed.

e.) Go-Live Runbook and Schedule: A step-by-step plan that covers all tasks needed to move into production.

f.) Rollback and Recovery Plan: Defined and ready to be executed.

g.) Post-implementation Support Plan: Defined and ready to be executed.

The specific production go-live date, transition timeline, and any parallel operation or dual-running periods will be mutually discussed, finalized, and scheduled between the SLA/ITS program team and the selected Contractor post-award. System acceptance and readiness for deployment will be strictly governed by the testing criteria outlined in Section 4.5 (Testing).

During Hypercare, the Contractor shall:

a.) Provide enhanced monitoring.

b.) Provide daily operational reviews c.) Conduct daily issue review meetings with the Agency d.) Provide accelerated issue resolution.

4.8.4 Service Level Agreement Reporting - The Contractor shall provide quarterly SLA (Service Level Agreement) reporting, including:

a.) Availability of metrics, Capacity metrics, and Security metrics b.) Response and Resolution Times

Attachment 17 - RVTM Page &P