ESBD_368287_1721084314377_SOLICI_405-24R0010718_Enterprise Licensing Platform RFO.pdf

DEPARTMENT OF PUBLIC SAFETY OF THE STATE OF TEXAS

SOLICITATION NO.

405-24R0010718

TYPE OF SOLICITATION

NEGOTIATED – REQUEST FOR

OFFERS (RFO)

DATE ISSUED

7/15/2024

ENTERPRISE LICENSING PLATFORM

Vendor must submit electronic responses no later than 5:00 P.M. Central Time on 08/13/2024 to the following address.

DPS_Solicit_Response@dps.texas.gov Attention: 405-24R0010718

DPS is not currently accepting any in-person solicitation responses. DPS will only accept electronic responses received by the date and time indicated in the solicitation.

FOR INFORMATION CONTACT:

Kristy Watts, CTCD, CTCM

Contract Administrator

PHONE: (512) 424-2448

EMAIL: kristy.watts@dps.texas.gov

RESPONSE (Respondent must fully complete)

DISCOUNT FOR PROMPT

PAYMENT:

10 DAYS

20 DAYS

30 DAYS

___ DAYS

ACKNOWLEDGMENT OF

ADDENDA:

Respondent acknowledges receipt of Solicitation addenda and related documents numbered and dated:

ADDENDUM

NO.

DATE ADDENDUM

NO.

DATE

NAME AND ADDRESS

OF RESPONDENT:

RESPONSE DATE

EMAIL AND TELEPHONE NO. (Include area code)

SIGNATURE OF AUTHORIZED

REPRESENTATIVE

NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

CERTIFICATION, DISQUALIFICATION, AND REMEDIES

The Respondent must submit its response electronically to DPS_Solicit_Response@dps.texas.gov before the due date and time posted on the Electronic State Business Daily (ESBD). Respondents must monitor the ESBD posting for addenda that may alter a solicitation, including response due date. Respondents must also review the “Doing Business with DPS” website linked below to reference current documents and information regarding DPS procurement. https://www.dps.texas.gov/section/infrastructure-operations/doing-business-dps

By signing this document, Vendor represents and warrants that all statements, certifications, and information submitted in response to this solicitation are true, current, complete, and accurate.

mailto:DPS_Solicit_Response@dps.texas.gov https://www.dps.texas.gov/section/infrastructure-operations/doing-business-dps

Failure to sign will deem the response non-responsive. DPS may pursue and enforce any available remedies against Vendor for making false statements, including disqualifying the Vendor’s response, immediately cancelling any Contract awarded to Vendor, or recommending State of Texas debarment.

TERM, PRICING, AND FUNDING

The contract term commences on the effective date stated in the signing document, or purchase order and expires five years from that effective date.

If necessary, at the end of the contract term, DPS reserves the right to extend continued performance of the Contract at rates specified within, by written notification to Contractor for no more than a six-month period, for the purpose of re-advertising, awarding a new Contract, or transitioning into a new Contract.

DPS will not allow changes after Date of Award to terms or pricing during either the initial term of the Contract or any optional renewal period. The continuation of the Contract for any period is subject to the availability of DPS’s funding source for the Contract.

Template Approved 5/26/2022

TABLE OF CONTENTS

SECTION A—DEFINITIONS

SECTION B—SERVICES AND PRICES

B.1 PRICING REQUIREMENTS

B.2 INVOICE REQUIREMENTS

B.3 PAYMENTS

B.4 MANDATORY PRICING SCHEDULE

SECTION C - STATEMENT OF WORK

C.1 INTRODUCTION

C.2 SCOPE

C.3 OVERVIEW OF EXISTING PROGRAMS

C.4 FUNCTIONAL REQUIREMENTS

C.5 NON-FUNCTIONAL REQUIREMENTS

C.6 PROJECT SCHEDULE AND PLAN

C.7 TRANSITION

C.8 ENHANCEMENT SERVICES

C.9 DPS PERSONNEL

C.10 LIQUIDATED DAMAGES

C.11 HISTORICALLY UNDERUTILIZED BUSINESSES (HUB) PARTICIPATION

C.12 INSURANCE REQUIRED UNDER THE CONTRACT

C.13 CRIMINAL HISTORY BACKGROUND CHECK

C.14 PROJECT MANAGEMENT REQUIREMENTS

C.15 CYBER SECURITY CONTRACT REQUIREMENTS

C.16 INFORMATION TECHNOLOGY STANDARDS AND REQUIREMENTS

C.17 FBI CJIS SECURITY ADDENDUM

SECTION D—INSTRUCTIONS, CONDITIONS, AND NOTICES TO RESPONDENTS

D.1 RESPONSE PREPARATION INSTRUCTIONS

D.2 SOLICITATION ADDENDA

D.3 LATE SUBMISSIONS, CHANGES, AND WITHDRAWALS OF RESPONSES

D.4 RESPONSE ACCEPTANCE PERIOD

D.5 CONTRACT AWARD

D.6 DPS’s RIGHTS

D.7 RESPONSE SUBMISSION INSTRUCTIONS

D.8 PRESENTATIONS

D.9 DISCUSSION AND CORRESPONDENCE

D.10 SUBMISSIONS SUBJECT TO THE TEXAS PUBLIC INFORMATION ACT

D.11 AGENCY POSTING OF CONTRACTS

D.12 ANTICIPATED SCHEDULE OF EVENTS

SECTION E—EVALUATION CRITERIA

SECTION F—LIST OF EXHIBITS

SECTION A—DEFINITIONS

The following terms and acronyms used in the Contract have the meanings given in this section unless the context indicates otherwise.

“Business Day” means Monday through Friday except for federal, state, and legal holidays observed by the State of Texas.

“Business Hours” means 8:00 a.m. to 5:00 p.m. Central Time.

“Contract” means this formal, written, and legally enforceable agreement between DPS and Contractor.

“Contractor” means the individual, business entity, or organization awarded the Contract. In the context of submitting a response, “Contractor” also means “Respondent” and “Vendor.”

“Date of Award” means the date the Contract is fully executed.

“Days” means calendar days unless otherwise specified.

“DPS” means the Department of Public Safety of the State of Texas, a state agency in the executive branch created under Tex. Gov’t Code Ch. 411.

“Fiscal Year” means any of the one year periods beginning September 1 and ending August 31 used for annual budgetary purposes by the State of Texas.

“Parties” means Contractor and DPS.

“Respondent” means the individual, business entity, or organization that submits a response in response to this solicitation with intent to contract with DPS.

“Vendor” means the individual, business entity, or organization at any stage in the procurement or contracting process (prior to response, during response, and after contract award).

SECTION B—SERVICES AND PRICES

B.1 PRICING REQUIREMENTS

B.1.1 Pricing Instructions

A. Respondent must submit proposed pricing on the Mandatory Pricing Schedule that includes all costs, fees, licenses, and all expenses for Contractor’s delivery and performance of the commodities or services requested. The final negotiated, contracted pricing and payment structure will represent Contractor’s sole compensation under the Contract. DPS guarantees no minimum compensation under the Contract.

B. DPS will negotiate pricing prior to award of the Contract if the pricing offered appears that it may not be best value to DPS.

C. Contractor must deliver and provide the commodities and services described in compliance with all requirements of the Contract on a no minimum, as needed, as requested basis. Notwithstanding anything else to the contrary in the Contract, DPS will not make any payments of any amount to Contractor or any other entity or person, and Contractor will not submit any invoices, until Contractor has received approval from DPS’s Contract Monitor specifically stating that DPS accepts the commodities or services and Contractor is authorized to submit an invoice. If DPS does not accept the commodities or services, the Contract will involve no payments of any type for any amount.

B.1.2 Financial Rating Report, Financial Resources, and Ability to Perform

A. Upon request, Respondent must provide evidence of its financial resources and its ability to provide the commodities or perform the services for which Respondent is submitting a response. This includes information Respondent believes is pertinent to demonstrate its financial capability, financial solvency, and capacity to fulfill the requirements of this solicitation.

B. Evidence of financial stability include providing audited financial statements for each of the last two years of Respondent’s operations or, in the alternative, financial statements compiled, reviewed, and attested by an independent certified public accountant or certified public accounting firm. Respondents may submit a copy of its Dun & Bradstreet (D&B) Business Information Report. If a D&B Report is submitted the report must include Respondent’s Viability Score and the Portfolio Comparison Score or similar ratings.

C. Respondent must provide documentation and any other financial information reasonably requested by DPS consistent with the services provided by Respondent or otherwise required by the then applicable DPS policies for similar contracts.

D. Selected Contractor must also submit to the Contract Administrator its financial rating information within 120 days after the end of Contractor’s fiscal year.

E. DPS reserves the right to investigate and determine the financial integrity and responsibility of a Respondent and to reject a response on the grounds of Respondent’s lack of financial soundness, or if DPS reasonably concludes, after reviewing the information submitted by Respondent as well as all other relevant information obtained by DPS, that significant issues exist that could jeopardize Respondent’s full and timely performance. DPS also reserves this same right throughout the life of the Contract, including before executing any optional renewal with Contractor.

B.2 INVOICE REQUIREMENTS

A. Invoices are Contractor’s billing for commodities or services rendered. DPS will pay

Contractor based on itemized invoices submitted to and approved by DPS. The invoices must be itemized and clearly identify the actual commodities and services provided.

B. Contractor’s invoice must include the following: the Contract number, the remittance address, and any prompt discount offered. Contractor must email the invoice to the Contract Monitor listed in the Contract and to apinvoices@dps.texas.gov.

The State of Texas will not incur any penalty for late payment if the invoice fails to conform to the requirements of this section or if Contractor did not email the invoice to the appropriate email addresses identified in this section.

B.3 PAYMENTS

A. DPS recommends that Vendor receive payments by electronic funds transfer (EFT), also known as direct deposit. If Vendor elects to be set up for direct deposit payment, Vendor must submit a completed Direct Deposit Authorization Form (74-176).

B. Regardless as to whether Direct Deposit is chosen, Vendor must submit a completed

Application for Texas Identification Number (AP-152) and Request for Taxpayer Identification Number and Certifications (W-9) Form with its response.

C. If Vendor has previously submitted a completed Direct Deposit Authorization Form and

Request for Taxpayer Identification Number and Certifications Form to DPS for another separate contract, Vendor is not required to submit another form.

B.4 MANDATORY PRICING SCHEDULE

Respondent must submit pricing within the table below replicating, as necessary, in this exact format.

Mandatory Pricing Schedule is attached as Exhibit F.3.

mailto:apinvoices@dps.texas.gov

SECTION C - STATEMENT OF WORK

C.1 INTRODUCTION

The Texas Department of Public Safety (DPS) seeks an Enterprise Licensing System to issue and manage all license and registration programs under our purview on one platform. The Department envisions a single customer portal for constituents to interact with the Department for their individual, business, and professional licensing needs. The Regulatory Services Division (RSD) has seven disparate systems to perform these functions and numerous portals that the constituents use for their day-to-day operations regarding license issuance, monitoring, and compliance operations. Applications regulated by the DPS regulatory services group currently have approximately 2 million licensees or registrants and 400 DPS users. The Department needs a unified system that is scalable to handle licensing, compliance, enforcement, and inspection functions to keep up with the growing population of the State.

The goal is to have a unified system to:

1. allow information exchange amongst these various license categories,

2. reduce maintenance overhead to maintain seven systems instead of 1,

3. build interfaces with other systems that can be leveraged across all licensing programs.

This Statement of Work document outlines the functional requirements for the enterprise system, focusing on the customer portal, employee portal, eligibility requirements, compliance requirements, interfaces, workflow engine, communication engine, reporting, collaboration capabilities within different teams, user management, administration tools, data migration, etc.

C.2 SCOPE

The system will provide RSD with a comprehensive toolset to effectively issue and manage various programs such as License to Carry (LTC), Texas Metals Program, Private Security (PS), Vehicle Inspection (VI), Capital Access Pass (CAP), Ignition Interlock Device (IID), Compassionate Use Program (CUP), Texas On-Road Vehicle Emissions Testing (TORVET), and Precursor Chemical and Laboratory Apparatus (PCLA), based on unique business rules for each program. The solution will provide a single portal for constituents to interact with the Department for their licensing needs. It will improve information sharing on individuals and businesses across various licensing programs in the back-office system.

The project will be implemented in phases, with LTC and CAP being the first programs to be transitioned to the new platform.

This project's scope is to transition the LTC and CAP applications to the new system. The system should provide the ability to do the following primary functions:

1. Provide a scalable unified system to handle the Department's licensing, compliance, enforcement, and inspection functions.

2. Provide a single portal for constituents to interact with the Department for their licensing needs.

3. Automate the manual processes currently in place for the new system and manage workload through system-generated tasks as much as possible.

4. Generate user-specific dashboards for insight on daily operations for operators, supervisors and the management executive team.

5. Provide the ability to schedule training managed by DPS or third-party instructors through this system.

6. Build interfaces to share data across various systems. This project will lay the foundation for building interfaces that can be leveraged in future phases. Currently, every system has to have its own interfaces to process the redundant and inefficient applications.

7. Improve information sharing on individuals and businesses across various licensing

C.3 OVERVIEW OF EXISTING PROGRAMS

License to Carry A. RSD licenses individuals to carry handguns within Texas, protects the public by conducting fingerprint-based background checks on applicants, evaluates eligibility through criminal history background checks, and monitors those currently licensed to ensure their continued eligibility. RSD also certifies LTC instructors who teach the required course to applicants.

Capital Access Pass A. CAP provides expedited access to the Texas State Capitol through the main public entrance. To be eligible for a pass, you must be a Texas resident and meet all eligibility requirements applicable to a handgun license under Texas law other than handgun proficiency. Approval for a CAP does not authorize you to carry a handgun. Once your application is approved, you may enter the Capitol by presenting your Texas Driver's License or Texas ID at the line designated for CAP and handgun license holders.

Vehicle Inspection A. Vehicles registered in Texas must pass an annual emission inspection if registered in the counties subject to regulation (currently 17). Commercial vehicles must also pass a yearly inspection. Vehicle inspections are performed at Official Vehicle Inspection Stations licensed by DPS. Both stations and inspectors must be licensed to perform inspections. All inspections must be entered into the DPS Vehicle Inspection database.

Ignition Interlock Device A. DPS regulates vendors of Ignition Interlock Devices (IID) who conduct business in Texas and ensures compliance with established standards, including procedures for inspecting a vendor’s facilities.

B. RSD staff approves ignition interlock devices, including the authorization of vendors to install, download, remove, repair, replace, and make reports of all required data recorded by the device.

Private Security A. DPS regulates the private security profession in Texas. DPS protects the public by conducting fingerprint-based background checks on applicants, investigating, and resolving complaints, and taking disciplinary action against licensees or seeking criminal prosecution of those who perform private security services without a license. The private security profession includes armed and unarmed security guards, personal protection officers, private investigators, alarm systems installers and monitors, armored car couriers, electronic access control device installers, and locksmiths.

Texas Metals Program A. DPS registers and regulates all Metal Recycling Entities (MREs) in Texas. DPS licenses businesses evaluating the eligibility of applicants through criminal history background checks. Oversees transaction record keeping and conducts routine inspections to ensure compliance with applicable laws and administrative rules. Law enforcement agencies have access to the MRE system. DPS also provides online training to all MRE owners.

Compassionate Use Program A. DPS administers the Compassionate Use Program (CUP) in Texas. Through the program, DPS operates a secure online registry of qualified physicians who can prescribe low tetrahydrocannabinol (THC) to patients with specific medical conditions. The Compassionate Use Registry of Texas (CURT) registry is designed to prevent more than one qualified physician from registering as the prescriber for a single patient. The CURT application is accessible to law enforcement agencies and dispensing organizations to verify patients of low-THC cannabis. It allows a physician to input safety and efficacy data derived from the treatment of patients for whom low-THC cannabis is prescribed.

DPS also manages the licensing of organizations that dispense low-THC cannabis to patients in the CURT.

Precursor Chemical and laboratory Apparatus (PCLA) A. The DPS Precursor Chemical / Laboratory Apparatus program oversees the record-keeping and reporting requirements of Texas Health and Safety Code Sections 481.077

– 481.080.

B. These statutory provisions require those who sell, transfer, or otherwise furnish precursor chemicals or laboratory apparatus to another person and wholesalers of products containing ephedrine, pseudoephedrine, or norpseudoephedrine to maintain an accurate record of their transactions and retain the record for two years.

https://statutes.capitol.texas.gov/Docs/HS/htm/HS.481.htm#481.077 https://statutes.capitol.texas.gov/Docs/HS/htm/HS.481.htm#481.077

C. In addition, a manufacturer, wholesaler, retailer, or other person who discovers a loss or theft of a precursor chemical or laboratory apparatus must report the loss or theft to the department within three days of its discovery. Wholesalers of products containing ephedrine, pseudoephedrine, or norpseudoephedrine must report suspicious orders within 10 business days.

TORVET

A. Texas is required to conduct an on-road testing program for carbon monoxide or ozone in non-attainment metropolitan areas. Owners whose vehicles are identified as potential “high emitters” are notified and required, by law, to make every reasonable effort to bring their vehicles into compliance with the National Ambient Air Quality Standards (NAAQS). From the date of receipt of the “High Emitter Notice,” a registered owner has 30 days to bring the vehicle into compliance with the NAAQS; this means the vehicle must be presented for a verification test, have any necessary repairs performed, and then pass a re-test before the end of the 30th day.

C.4 FUNCTIONAL REQUIREMENTS

The software system must provide a comprehensive solution for all licensing programs managed and administered by the DPS. The project will take a phased approach to launch various RSD programs. The goal is to create a scalable and configurable system to add multiple programs with unique business rules for the programs' issuance, management, and compliance. The solution will have one customer-facing portal for external users to interact with the department to manage their licensing needs, whether for individual license(s) or business license(s). The vision also includes that this single portal will provide instructors who may not be department employees the ability to provide required information on applicants' training courses that are necessary for the fulfillment of issuing a license. The document lists the portal's general functions and then describes the portal's specific functions regarding each program area. In addition to a customer-facing portal, the solution must provide a portal for Law Enforcement officers to search and report activities related to the regulation of licenses in the Texas Metals Program or Vehicle Inspection Program, among others. These portals should always be in sync with the backend system to enable the exchange of information in near real-time and begin workflow-related activities for respective DPS teams.

The software requirements are broken down into the broad categories below. Please note that some of these requirements may appear in multiple categories.

4.1.1 System Back-Office Requirements

A. The system must provide the ability to create and issue licenses based on different business rules to support multiple license and registration types depending on the individual program. The system must be configurable to support the intake of various required documents and fees for any category.

B. The system must accept various document formats such as PDF, JPEG, PNG, etc. The system should provide an upper limit on the file size of each document. These documents must follow a retention schedule based on the program. The system must be able to purge documents automatically once the retention period is over.

C. The system will allow DPS employees to create applications for customers, such as applications received in mail or paper forms.

D. The system must allow the department staff to update the business rules engine to meet operational business needs, such as changes in fee structure, changes in required forms, updates to the forms, new requirements due to legislation or rule changes, updated grace periods, etc. The goal is to update workflow tasks based on the latest business rules.

E. The system must allow DPS employees to start a refund process, waive fees, initiate advisory notification, fine, reprimand, suspension, or revocation for any application/program or license based on business rules. The system must generate workflow-related tasks for each program area based on the chosen scenario to track everything from inception to completion.

F. The system must allow the department staff to track and monitor compliance with the licenses or registrations, including expiration dates, offenses (criminal and non-criminal), and payments, to ensure the licensee or registrant remains in good standing.

G. The system will be able to validate the required documents for various categories and notify users of the missing documents.’

H. The system must provide the ability to terminate an application if the application documents are not submitted within a specific timeframe. This timeframe will be different and determined by the rules of each license type.

I. All applications received by DPS must be completed within a specific timeframe based on different program business rules. The system must provide the ability to reset/pause the timer on each of these applications if information is requested from the applicant.

The system must update the application status to demonstrate that information is pending from the customer. DPS should not be inadvertently penalized for not meeting the timeframe requirements. All this information should be tracked in the audit trail.

J. The system will provide a mechanism to ingest information such as protective court orders received in the mail and create workflow tasks to handle these appropriately.

K. The system must maintain a version of the original application submitted. Internal and external users must be able to print the original application to pdf along with all attachments and affidavits.

L. The system must generate a unique number for the applications and licenses issued.

License numbers and application numbers must be different. The solution must be flexible in adopting the numbering nomenclature used by various programs for applications and licenses.

M. The system must allow DPS employees to customize a license number to accommodate a special request, such as the license number for a state head, etc.

N. The solution must leverage the use of lookups, cascaded lists, and drop-down menus wherever applicable.

O. The system will track and record all applications and license information during its lifecycle, including all updates to an application, requests for renewals, etc., under the applicant profile.

P. The system must force the users to document the reason for reviewing background information.

Q. The system must manually allow DPS employees to change license or application status.

R. The system must allow DPS employees to specify the timeframe for a reprimand, suspension, or revocation to be in effect.

S. The system must allow authorized DPS employees to terminate a license based on various business rules, including the ability to terminate occupational licenses if the licensee becomes a DPS employee.

T. The system must allow users to log notes on any user's business and individual profile during the application process or thereafter. The system must enable DPS users to make these notes private or public. Private notes should be visible to users in a specific role group.

U. The system must allow DPS users to post banners or essential information by the program that will be visible/available on the external portal. The banners/announcements should be sortable by program and or county, city or zip code, or any location identifiers used by the system.

V. The system must update the application status and checklist requirements as they are being reviewed and updated.

W. The system must allow DPS employees to view an application that is still in draft to assist the applicant with questions.

X. The system must allow DPS employees to create, edit, and expire letters, emails, and certificates produced in the system.

4.1.2 Applicant, Licensee, and Instructor Portal

A. The system must provide a web-based customer portal allowing external users

(individuals and businesses) to submit their license applications and supporting documents, including pictures, to DPS. This portal will allow the users to check their application status training requirements, submit requests for renewals, manage communication with department staff, and perform other portal functions such as but not limited to secure account creation, password resets, address/email updates, phone number updates, etc.

B. The system must validate standard fields such as address, phone number, driver's license number, etc.

C. The system must allow users to submit for multiple categories within a license type.

The system will dynamically update the list of required forms and the fee structure. For example, the user should be able to apply to be an LTC instructor and an LTC owner simultaneously.

D. The system must purge incomplete applications from the system after the submission window has expired from the time they started the application. The submission window should be managed by the department users.

E. The system must allow the users to submit new and renewal applications, apply to reinstate a license when the suspension or revocation period expires, make updates to their user profiles (such as change of address, phone numbers, etc.), report a lost or stolen card and update any criteria under which the license was issued. The system should generate a workflow task based on the updates to issue new cards or license certificates.

F. The system must allow users to upload documents while indexing them or organizing them in various categories to ensure efficient document management. DPS users should be able to reindex these documents if necessary.

G. The system must allow users to reuse any data, information, and forms they have entered or submitted to process additional licenses. For example, if a user has submitted their driver's license information, submitted any affidavits that can be used across various programs, and provided their address or phone number, the system should prompt the user to validate the information but not force the user to make redundant data entry.

H. The system must allow individuals to see all licenses and registrations they hold, whether individual or business, plus see any licensed business(es) the individual is associated with in one unified customer portal.

I. The system must allow business licensees and employees to set the parent-child relationship as they register on the portal.

J. The system must provide the business licensee owner/manager to set permissions for their employees in the portal.

K. The system must validate all required forms and warn the user of missing information/forms necessary for each program at the time of application submission.

L. The system must pay the application fees in full before routing the application for processing to DPS.

M. The system should have real-time duplication-checking to minimize duplicate applications from the same individual.

N. The system must allow the users to pay for multiple applications in a single transaction.

O. The system must allow users to pay a fine in a single transaction or as part of an agreed-upon payment schedule.

P. The system must provide the individual user enrolled in a business to indicate that the employer will pay fees.

Q. The system must allow the business owner to review the employee application requests and pay license fees for multiple employees in a single transaction.

R. The system must allow end users to print their application, payment receipts, and submitted documents in PDF.

S. The system will send reminder notifications to users who have started but not completed an application until the application is purged from the system.

T. The system should provide help links to answer questions as user’s complete forms online.

U. The system must provide users with training information. Users must see training offered by DPS and third-party providers. Users must be able to search for third-party trainers/instructors by program and zip code.

V. Training or exam registration requirements for training conducted by DPS:

1. The system must provide applicants the ability to register online for training that DPS facilitates for various programs; Applicants should only be able to register for training in the future based on availability.

2. The system should prevent users from registering multiple classes for the same program/license.

3. The system must allow applicants to see their scheduled training and have the ability to cancel or reschedule.

4. The system must allow users to check their training status (i.e., pass, fail, etc.) and grades under the person’s profile section. The system must provide users the ability to view a log of all training that the user has taken.

5. The system must allow DPS employees to schedule training offered by DPS. The system must enable DPS employees to create courses, course locations, course sessions, course dates and times, class sizes, etc., based on business rules for each program.

6. The system must provide a wait list function and allow authorized users to add last-minute participants to a course.

7. The system must provide authorized users the ability to edit exam results.

8. The system must provide the ability to attach results to the courses or exams performed by DPS. The system should automatically issue certificates upon successful completion. These certificates should be attached as a document in the individual’s profile and sent as an email attachment or link to the individual.

W. Training or exam reporting requirements for licensed instructors:

1. The system must allow the program instructors to create course records, add students, and create course rosters for associate applicants to various program licenses.

2. The system must allow instructors to enter course results, e-sign the results, and submit them to DPS.

3. The system must allow instructors to print and email the training certificates to the students.

4. The system must automatically associate an applicant's training results with the applicant's licensee application based on the combination of DL number, first name, last name, and date of birth.

5. The system must provide instructors with a dashboard based on business rules for reporting purposes such as the number of students in each class, passing percentage, etc. Instructors should only see their courses.

6. The system must allow instructors to filter results by students’ driver's license numbers, identification cards, course dates, etc.

7. The application should allow DPS users to enter training sessions and rosters submitted by the instructor if they cannot enter through the portal.

4.1.3 Inspection Module

The enterprise licensing solution should include the entry and management of inspections across all programs. Inspections may result from a complaint or lead or may be periodically scheduled.

A. The system must allow DPS users to record field inspection results for various

B. The system must allow users to capture data specific to each program.

C. They system must assign inspection tasks based on business rules for DPS teams by program area, city, and zip code.

D. The system must provide authorized users the ability to reassign these tasks.

E. The system must allow users to schedule ad hoc inspections based on complaints.

F. The system must be able to auto-populate data from the complaint form to the inspection form to reduce redundant data entry.

G. The system must provide users with a map view of the upcoming inspection locations on handheld devices such as mobile phones or tablets.

H. The system must provide a dashboard view of license status, previous inspection results, and prior complaints results for the facility scheduled for inspection.

4.1.4 Appeals Module

A. The system must allow users to submit appeals through the customer portal. The appeals can be requested on any decision, such as suspensions, revocations, application denials, etc.

B. The system must allow appellants to check the status of their appeals, including any decisions or updates made online.

C. The system will generate tasks based on business rules to route the appeal request to the appropriate team based on the program area and the nature of the appeal.

D. The system must provide the ability to schedule hearings and document decisions on these appeals.

E. The system must allow reviewers to document their findings, decisions, and additional actions taken during the appeal process.

4.1.5 Complaints and Leads Module

Leads can come from Law Enforcement state agencies that share compliance and enforcement duties with the Department. The constituents usually drive complaints.

A. The system must allow the constituents to file a complaint through the customer portal. A complaint form must capture the program area, city, county, and zip code.

The user should be able to attach documents to the complaint.

B. The system must allow internal users to create a complaint or a lead in the system.

C. The system must provide the ability to sync these complaints in the complaints module on the back end.

D. The system must ingest the original complaint received from the constituent. The system must generate an automated response to the individual submitting the complaint.

E. The system must route these complaints to the appropriate program area based on business rules, F. The system must allow users the ability to document results from the complaint investigation process and provide users the ability to send notifications to the complainant.

G. The system must allow users to search and filter the results from the complaints module.

4.1.6 Interface Requirements

Interface requirements for the LTC application

A. Driver License System: Validate the license information end users enter for Texas-issued licenses. Additionally, this interface should provide the ability to import the DL photo and signature to the licensing system, which will be used for printing on the appropriate license card(s).

B. State Payment Portal: Accept payment, send the funds to the appropriate accounts, validate that the payment has been processed, and store the required transaction information in the system. DPS needs to indicate per program the type of payment that can be used (credit card, ACH, etc.)

C. Crime Record Clearing House (FACT) Verify the background process based on fingerprint search, FBI Rap sheets, and lawful presence verification. Store the unique SID number for the individual in the system and link to FACT.

D. TLETS: Interface with the state’s TLETS system as part of the background process check E. TCIC: Interface with the TCIC system to export LTC data that can be shared through

TLETS to various law enforcement agencies across the state.

F. The system should be able to interface with the Uniform Enrollment Platform (UEP) for fingerprint enrollment with the vendor so that applicants can schedule fingerprints when they apply. The system should accept information from the UEP system on the Unique Entity Identification Number (UEID) and have the ability to request a new UEID be created. The system should be able to update the application status based on fingerprint completion.

G. Card Vendor: The system should be able to interface with the state-managed vendor to print cards once the license application is approved. The system should also be able to update the applicant's license information with the card issue date.

H. ART: The system should be able to interface with the state’s Accounting ART system, which is central cash receiving to reconcile payments received for various programs.

I. ETRK system- DPS IT Finance system for tracking and reconciling payments for the various programs.

J. Active Directory: The software system must integrate with the Agency’s Active Directory to enable single-user sign-on. Additionally, there should be a user directory/list that translates the ACIDs into names and stores them so they can be displayed in real-time or in the future, regardless of current employment.

K. Kaseware: Investigations that get initiated based on compliance issues failed inspection alerts/notifications for upcoming inspections and getting results/disposition results back from these inspections. A set of information will be imported from Kaseware into the licensing system.

L. DPS Website Interface: Multiple search functions on the website for licensee information, including a Federal Firearm Licensee search and LTC instructor searches.

These are examples only and not an exhaustive list.

4.1.7 LTC Program-Specific Interface Requirements

A. Import/ingest the child support file from the Texas Attorney General’s office used for application processing for LTC.

B. Import/ingest the crime records file(s) for offense codes that is used to produce legislatively required annual published reports for LTC.

4.1.8 Communication and Notifications Engine

A. The system must send email or text notifications to alert users of their application status, missing documents, payment issues, etc.

B. The systems must send email or text notifications alerting users of upcoming renewals, compliance issues, and other critical events. The system should use department-approved email templates for various notifications.

C. The system must provide the ability to log all the communication between the end user and the department in the messaging module/section of the application. This communication should comply with the department's record retention policies.

D. The system must allow DPS employees to resend the messages in case of failures, etc.

E. The system must send notifications based on chargeback insufficient funds as needed and provide a way to submit payment.

F. The system must be able to generate letters that can be printed on department letter heads and mailed to end users to notify users of eligibility and compliance issues, denials, suspensions, or revocations.

G. The system must send training and exam email communications throughout the lifecycle of any course or exam.

4.1.9 Data Organization and Retrieval

A. The enterprise licensing system must provide a structured and searchable database for efficient organization and retrieval of information.

B. Users must be able to search and filter results for licensees across various programs, the status of each license, any violations, etc., based on multiple business rules.

C. The system shall support advanced search capabilities, allowing users to perform complex queries across multiple fields or using logical operators to refine search results.

4.1.10 Master Name Index

A. The system must provide the ability to uniquely identify a business, or a licensee holder based on business rules. The system must comprehensively view all issued licenses for these businesses and individuals. The system shall be able to sort, filter, and export the results.

B. The system must allow DPS staff to merge profiles for an individual or company if they are in the system multiple times – for reasons like fat-fingered ID # or going from an out-of-state to in-state ID.

C. The system should be able to provide best-match search results and strict matches.

D. The system must be able to associate all violations, complaints or leads for the business or the individual under this profile.

4.1.11 Collaboration and Information Sharing

A. The system shall provide collaboration features to facilitate communication and information sharing among collaborators on the same application.

B. Collaborators should be able to review documents, exchange messages, and collaborate in real-time.

C. The system must support version control for documents and manage updates and revisions made by different collaborators.

D. Users will receive notifications and alerts on application updates, new messages, or document changes.

4.1.12 Workflow

A. The system shall include a workflow engine to track the review process for applications, forms, reviews, and any other processes.

B. The system shall track the progress of reviews, highlighting pending and completed reviews.

C. Reviewers should be able to provide feedback, comments, and approvals on reviewed documents.

D. The system must provide the ability to generate linear and parallel tasks based on the business rules.

E. The system must provide admin users the ability to reassign these tasks.

F. The system should allow the intake, eligibility, and compliance teams to collaborate and share notes on any application.

G. The system shall provide a log to capture the notes. These notes must not be overwritten once the review is routed from one person to the other.

H. The system must be able to restrict notes to specific team members/groups.

I. The system must allow different teams to route the application internally to other teams based on how an application is processed.

4.1.13 Tasking

The software shall provide a tasking feature that enables the assignment and tracking of tasks to individuals and user groups. The tasking list should display relevant information such as the assigned person, task status, workflow category, and due date.

4.1.14 Task Assignment

A. The system shall allow tasks to be assigned to user groups. User groups are predefined sets of individuals who share typical responsibilities or roles.

B. The system shall also allow the assignment of tasks to specific individuals. Each task should be associated with a single person responsible for its completion.

C. The system must provide a queuing mechanism where users can claim and release tasks.

D. The system should have the flexibility to set tasks to be automatically distributed to group members or for group members to pull one or more functions from the queue.

E. Administrators or defined users must be able to assign or re-assign tasks in bulk. The system must allow users to sort and filter the tasks for reassignment.

F. The system must allow administrators to define the criteria for task reassignment, such as specific task types, due dates, or assigned users.

4.1.15 Task Tracking

A. The tasking list shall provide a comprehensive overview of all assigned tasks, displaying the information such as but not limited to for each task:

1. Assigned person or user group.

2. Task status, indicating whether it is pending, in progress, or completed.

3. Workflow category, categorizing the task based on the specific application workflow process.

4. Due date, specifying the deadline for task completion.

B. The tasking list must have filtering and sorting capabilities, allowing users to easily find and prioritize tasks based on various criteria, such as due date, status, or workflow category.

C. There must be a dashboard for tasks and workflows for administration and reporting purposes.

4.1.16 Task Updates, Notifications, and Analytics

A. The system shall allow task assignees to update the status and progress of their assigned tasks.

B. Task updates must be reflected in real-time within the tasking list, providing up-to-date information on task completion and status changes.

C. The system shall generate notifications or alerts to relevant parties when tasks are assigned, updated, or nearing their due dates. Notifications may be delivered through the system's user interface, email, or other appropriate communication channels.

D. The software system must support generating reports and analytics related to tasking activities, including task completion rates, the average time taken to complete tasks, and workload distribution among individuals and user groups.

E. Reports and analytics shall offer insights into performance metrics, allowing for better resource allocation, task prioritization, and process improvement.

F. The system shall provide a role-specific dashboard view of all assigned tasks and statuses.

G. The system shall provide the ability to generate tasks for a group and enable users to claim or release tasks for group activities.

4.1.17 Document Management

A. The system must be capable of processing multiple document file types, including but not limited to:

1. Microsoft Office document formats

2. Adobe Acrobat PDF files

3. TIFF image files

4. JPEG image files

5. PNG image files

6. GIS files, image files

7. Audio files

8. Video files

B. The system must allow searching by metadata and full text of content contained in the files.

C. The system must allow a standard file naming convention as decided by the Division that assigns a unique identifier for all relevant document types.

D. The system must identify orphaned document submissions at the file level and route them to an exceptions folder, initiating exception workflow tasks.

E. The system must maintain audit tracking of all changes made by end-users.

F. The system must preserve the submitted initial document(s) and maintain version control for changes made throughout processing.

G. The system must be capable of editing documents to include but not limited to:

1. Addition or deletion of annotations within files:

2. Visual enhancement for readability:

3. Redaction of original information contained in the document:

4. Highlighting:

5. Tagging with metadata for tracking, versioning, record retention, and archiving, at a minimum.

H. The system must be able to perform the following activities, at a minimum, on data files within the system:

1. Convert the original file type into another format,

2. Addition or deletion,

3. Copy, paste, move,

4. Restore documents deleted in error, and

5. Identify duplicate files for review.

6. Be compatible with industry-standard scanning hardware and software and be scalable to future technologies.

7. Export function to select a single document or a collection of documents and extract them, preserving metadata content.

4.1.18 Security and Access Control

A. The system shall enforce secure user authentication and access control mechanisms to ensure authorized access.

B. User roles and permissions must be configurable, allowing administrators to define access levels based on job responsibilities.

C. The system must support data transmission and storage encryption mechanisms to ensure data security and privacy.

D. Audit trails and activity logs shall be maintained to record user actions, system events, and data modifications, including a historical log of previous and new data values.

E. The system should comply with industry best practices and relevant data protection regulations.

F. Provide restricted access through the department networks or secure remote logins.

G. Enforce security protocols and provide notifications for restricted and covert applications as defined by the Department, including but not limited to LTC file(s).

4.1.19 Reporting and Dashboard Capabilities

A. The system shall provide comprehensive reporting capabilities to generate various reports, summaries, and analytics.

B. The system must allow users to generate standard reports based on predefined templates for case statistics, timelines, or key performance indicators.

C. The system must allow for custom report creation and ad hoc report creation, enabling users to specify criteria, filters, and visualization options.

D. Reports should be exportable in multiple formats, such as PDF or Excel, for easy sharing and distribution.

E. The system must include dashboards for internal management purposes, displaying information on applications, tasks, employee metrics, and any other pertinent information.

F. The system must be able to customize dashboard reports/views for various audiences based on their preferences.

4.1.20 Printing

A. The system shall enable configurable print templates for printing applications and compliance notices, as well as the ability to select attached documents, etc.

B. The system shall allow users to print all or select specific attachments and images for printing purposes.

C. Both external and internal users can print or reprint training…