IL SOS Securities Department - System Automation SOW.pdf

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Evoke by System Automation

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STATEMENT OF WORK

Illinois Secretary of State Securities Department

June 12, 2025

Main Point of Contact

Brian Bennett

Director of Strategic Growth

(541) 382-7201 bbennett@systemautomation.com

Cover Letter June 12, 2025

F. Chet Taylor, Director Illinois Secretary of State Securities Department 69 W. Washington St., Suite 1220 Chicago, IL 60602

RE: Statement of Work

Dear Mr. Taylor, Our team appreciates the opportunity provided by the Illinois Secretary of State Securities Department (the Department) to demonstrate how Evoke® can support the Department’s needs. During the process of presenting Evoke to the Department, we learned in detail about the Department's goals in procuring a new regulatory system, and provided a presentation showing how System Automation (SA) can deliver on those departmental goals through Evoke.

As requested, this Statement of Work is for implementing SA’s Evoke platform as the new regulatory management system for the Department. This proposal includes a high-level overview, scope of work parameters, and information regarding a multi-phased implementation approach to deliver the new Evoke solution:

• Phase 1: Focused on replacing existing system supporting the Department’s Registration & Enforcement processes, followed by annual subscription and support.

• Phase 2: Extending the Department’s new Evoke solution capabilities through the configuration, development, and implementation of Additional Integrations.

An overview of our sprint-based implementation process and a breakdown of SKUs for each specified task are described herein. This process aligns with the Part Numbers / Stock-keeping Unit (SKUs) listed on SHI’s State-approved Sourcewell Contract for purchase, allowing the Department to understand pricing in terms of a State-standard framework. For the State’s reference, Evoke’s Terms of Service and Service Level Agreement are attached to this proposal.

Our team looks forward to working with the Department to modernize its users’ experience, improve operations, and deliver fast, accessible reporting. By consolidating operations into a single, modern platform, the Department can achieve more with less, empowering the Department to address future regulatory challenges. Please let me know if you have any questions or require further clarifications regarding the information provided.

Sincerely, Brian Bennett Director of Strategic Growth

(541) 382-7201 bbennett@systemautomation.com

7110 Samuel Morse Drive, Suite 100 Columbia, MD 21046 P: 800-839-4729 E: info@SystemAutomation.com SystemAutomation.com

2 Scope of Work Proposal for [AGENCY]

FOR THIS OPPORTUNITY

THANK YOU

3 Statement of Work for the Illinois Secretary of State Securities Department

Table of Contents Cover Letter

Table of Contents

Overview

About System Automation

Our Solution

Scope of Work

Phase 1

Phase 2

Implementation Approach

Roles and Responsibilities

Approach to Tasks

Phase 1

Phase 2

Proposed SKUs

Implementation

Phase 1 SKU Breakdown

Phase 2 SKU Breakdown

Phase 1 Project Timeline

Phase 1 Deliverables

Ongoing Maintenance, Hosting and Support Subscription

Customer Support

Assumptions

Summary

Attachments

Attachment 1: Evoke Pricing Variables

Phase 1

Phase 2

Attachment 2: Evoke Terms of Service Agreement

Attachment 3: Evoke Service Level Agreement

Attachment 4: Phase 2 Interfaces

Attachment 5: Evoke Data Conversion Approach

4 Statement of Work for the Illinois Secretary of State Securities Department

Overview System Automation (SA) is pleased to provide this Statement of Work to implement a new, comprehensive regulatory management system for the Illinois Secretary of State Securities Department (the Department). In our discussions with the Department, SA has learned of the following goals for the modernization of the Department’s regulatory software and processes:

• Eliminate paper processes and create a one stop shop for applicants, licensees, and registrants to manage their interactions with the Department online.

• Replace aging systems with modern technology to save time, reduce manual processing, and become more efficient through automation.

• Deliver flexibility for IT staff to support current and future business processes to improve operations, adapt to new regulations, implement new regulatory types, and create reports, among many other goals related to Departmental autonomy in managing its operations.

Based on this understanding, we are confident that Evoke®, SA’s platform for government regulatory management, will address the Department’s needs. At a high level, here is how Evoke will address the Department’s principal challenges:

• Empowering the Department to modernize its users’ experience with an online system that eliminates manual and duplicate entry.

• Delivering a platform that is always current, supporting the Department’s efforts to automate processes on the latest technology for decades to come.

• Enabling the Department’s IT staff and trusted partners to adapt to regulatory changes and feedback with little or no code through the vast configurability delivered through the Evoke Builder.

Evoke is the latest generation of technology produced by SA. Whereas many IT companies may provide custom development, general technology services, or generic one-size-fits-all solutions, SA uniquely offers a highly configurable and customizable platform, designed from the ground up to support regulatory processes, backed by deep subject matter expertise in every aspect of licensing and regulatory operations.

We are excited to partner with the Department to delight its team and stakeholders with Evoke!

5 Statement of Work for the Illinois Secretary of State Securities Department

About System Automation Headquartered in Maryland and founded in 1968 to develop and support the US Army recruiting system (contract held for 42 years), SA has since become an industry leader in designing, developing, implementing, and maintaining comprehensive information management applications for government regulatory agencies across the country.

Our licensure experience began in 1994 providing a State Licensing Board in Maryland a licensing solution and has since evolved to support many regulatory needs, including licensing, permitting, filing, enforcement, inspections and examinations, investigations, case management, online payments, public verification, robust reporting, online self-service for applicants and license seekers, and paperless regulatory operations.

For over three decades, SA has built a solid track record successfully delivering SaaS licensure and compliance solutions to government regulatory agencies. SA is currently supporting state government agencies, licensing board, and commission regulatory operations in 22 states for nearly 800 different professions, occupations, and industries.

Figure 1: System Automation’s National Reach

SA’s length of time in business is indicative of our stability, financial stewardship, and resources to successfully satisfy the Department’s needs while retooling our software offering to adapt to technological advancements.

Our Mission Statement We exist to develop software that creates new value for our customer communities.

Whether it is improving our core products or launching new products, we believe that collaborative innovation makes for a fun customer experience.

6 Statement of Work for the Illinois Secretary of State Securities Department

Our Solution SA has built unrivaled expertise in the licensing and enforcement market by delighting customers with best-in-class solutions. Since our first deployment, SA has continued to iterate on our technology’s design to meet the emerging needs of our customer community as expectations have changed. It has since evolved into the industry-leading platform supporting many regulatory needs including licensing, securities filing, inspections and examinations, investigations, transaction accounting, case management, online payments, reporting, and online self-services for regulated entities.

Evoke empowers government agencies to quickly and easily launch enterprise regulatory systems that are fail-safe and tailored to their unique business processes. With built-in flexibility to overcome challenges and realize the Department’s vision, SA is proud to offer Evoke.

• Evoke is a platform dedicated to the business of regulation. Accordingly, it is built specifically to satisfy the Department’s core business needs.

• Evoke is NOT a generic COTS system nor CRM, ERP, or Case Management platform requiring expensive customization to meet your needs. Evoke delivers the best of both worlds: providing out-of-the box core functionality while remaining flexible to accommodate future changes.

• Evoke provides unmatched configurability, giving the Department the flexibility to easily adapt to unpredictable regulation changes without incurring unexpected costs.

Evoke represents the future of regulatory software: a highly reliable, scalable, and secure SaaS platform built specifically to enable efficient and effective government regulation.

Figure 2: Conceptual Overview of the Evoke Platform

7 Statement of Work for the Illinois Secretary of State Securities Department

Evoke is a Software as a Service (SaaS) platform that delivers capabilities purpose-built to streamline regulatory workflows for agencies like the Department. Evoke was built to exclusively serve the regulatory community, providing feature sets that have been refined over the past 30 years of System Automation’s experience working with a community of customers to understand the top priority needs to assist with the toughest challenges in this market.

As depicted in the diagram above, Evoke consists of the following components:

• Security: Evoke is hosted and runs 100% in the FedRAMP-certified Azure Government environment, assuring agencies that Evoke complies with both Federal and State information security standards to protect citizen data, while saving agencies the added costs and challenges of supporting their own servers and system environments.

• Data Management: Evoke tracks all necessary data for the agency. With mechanisms in place to easily update what information is tracked, the experiences can be tailored to match what’s needed throughout your agency and across the different departments. All changes to data are securely managed and tracked to meet the requirements expected within the regulatory industry.

• Document Management: Evoke includes a native document management system allowing documents to be uploaded, viewed, and managed throughout the system. There’s no third-party software required to manage documents and there are no limitations on the amount of storage customers can use with their Evoke apps.

• APIs: Evoke enables third party integrations and custom queries as needed through the API. All API access can be allocated to different accounts where data sharing is necessary with internal or external entities while maintaining a high level of security.

• Apps: Evoke enables customers to create Apps that solve their organization’s most pressing needs. Apps visualize and make accessible an agency’s data and business processes. Pages in each app include various widgets that control how users access and manage agency data. The Apps may be created with Private, Public, or Portal visibility that enables both citizen and internal staff experiences. To accelerate deployment and reduce risk, Evoke provides Business Application Templates that support regulatory functions reflecting our expertise and typically meet 60-70% of agency needs out of the box.

• Form Builder: The built-in form builder creates guided user experiences for collecting data for both the agency and public users. The forms have been designed with regulatory use cases in mind, making it easy to implement complex forms through a single design interface.

• Workflow Designer: The embedded workflow designer gives the Department control over all aspects of its business rule implementations. With the workflow designer, builders are empowered to capture almost any event in the system and determine the appropriate action that should be taken (e.g., send an email, create a task, or automate another action in the system).

8 Statement of Work for the Illinois Secretary of State Securities Department

• Software Development Kit (SDK): The Evoke SDK empowers the Department to customize product capabilities by leveraging JavaScript natively with the embedded low-code capabilities to tailor user experiences to match exactly what the business needs.

• Reporting and Analytics: Evoke allows users to create reports that can access all data within the system in real time whenever needed. Staff can share reports to others throughout the system, export information when needed, and further enhance the reports by scheduling, adding dashboard visualizations or special formatting, and sending them on an ongoing basis to automate recurrent reporting needs.

Out of the box, Evoke delivers Business Application Templates, which are pre-configured systems that incorporate decades of experience and best practices from SA’s work in regulatory management. Templates deliver a set of objects, actions, workflows, and apps that cover the Department’s core functional areas, including back-office licensing, online licensing, case management, investigations, accounting, license lookup, and license type configuration.

The result is a highly configurable software platform that allows the Department to configure the software to meet the needs of its unique business processes, instead of being forced to adapt its business processes to the software. Evoke empowers Department administrators by allowing them to control the behavior of their applications deployed in Evoke using the following types of configurability and customizability:

1. Platform Configuration: Configuration of the apps, data model, workflows, forms, user roles, and global settings that dictate users’ experience of the platform.

2. Business Configuration: Configuration of the business rules that define the behavior of agency-specific business objects such as licenses, cases, entities, fees, and exams, among many others. An interface for business configuration is delivered as part of the licensing template delivered with the platform and is itself configurable.

3. Customization: Using the Evoke Software Development Kit (SDK), SA and/or the Department can create custom actions, workflows, and widgets tailored specifically for Department users using custom code injected directly into the platform.

SA uniquely offers both a highly configurable, mature platform, designed from the ground up for state regulatory management, as well as deep subject matter expertise in every aspect of system implementation and operations. Whereas many IT companies may provide general technology services, generic one-size-fits-all COTS systems, or attempt to adapt CRM, ERP, or case management software into a clunky ‘solution’, Evoke adapts to the Department to help it chart its own path.

9 Statement of Work for the Illinois Secretary of State Securities Department

Scope of Work The objective of this engagement is to deliver value to the Department and the constituents it serves as quickly as possible through the deployment of critical licensing, filing, and enforcement capabilities. This project will focus on delivering value early and continuously throughout. The following defines the high-level activities for the project and scope variables.

The Evoke Platform will be configured in iterative, 2-week configuration sprints as defined in the Implementation Approach below. The 2-week configuration sprints are broken down in the table below between Platform Configuration and Business Configuration sprints.

• Platform Configuration includes configuration of the apps, data model, workflows, forms, user roles, and global settings that dictate users’ experience of the platform and is referred to as development sprints in the table below.

• Business Configuration which includes configuration of the business rules that define the behavior of agency-specific business objects such as licenses, cases, entities, fees, and exams, among many others and is referred to as configuration sprints in the table below.

The project will be divided into two phases:

• Phase 1 – Registration and Enforcement: The first phase focuses on migrating the Department’s Registration and Enforcement data and operations out of ACO STAR and Laserfiche and into Evoke. This includes the configuration of the Department’s core processes, implementation of the core Securities interfaces, and data conversion.

• Phase 2 – Additional Integration: Phase 2 will focus on integration with an additional twelve (12) interfaces to centralize operations within Evoke, reducing the number of manual checks to external systems that are needed to retrieve, view, and store data essential to the Department’s Registration and Enforcement operations.

Though the Department has defined the twelve (12) integrations in scope for Phase 2, the Department is still developing relationships with some Phase 2 interface partners and exploring technical feasibility. This SOW assumes that all twelve integrations will be in scope—this assumption (and therefore Phase 2 scope) may be revised before Phase 2 is initiated based on knowledge gained by the Department.

10 Statement of Work for the Illinois Secretary of State Securities Department

Project Scope Variables:

Phase 1

Activities Description

Software to be Implemented

Evoke Platform, to be configured according to activities outlined below.

Project Plan and Ongoing Project Management

A project plan will be developed, reviewed, and approved by the Department to track the implementation. Ongoing SA-performed project management will occur to ensure the implementation remains on track with the developed plan.

In addition to SA project management and implementation resources, the Department will have a designated Project Manager (Department PM) who performs duties in support of the project, including:

• Coordinates with SA Project Manager to ensure on-time delivery of agreed-upon scope

• Engages Department resources to ensure timely input and feedback and to ensure Department resources perform assigned tasks

• Validates that project governance protocols are met

• Reviews and circulates project documentation requiring Department review and acceptance (e.g., signoffs, change requests)

• Acts as the primary point of escalation on the Department’s team

This will be developed using one Solution Development sprint.

Platform Setup Installation of an Evoke platform instance where system modules and forms will be managed.

Requirements Analysis and Prototyping

Total of six (6) weeks to work with the Department to gather required inputs to support the configuration of the system.

Eight (8) weeks of configuration of a prototype in Evoke to demonstrate sample arrangements of apps and pages, along with supplemental documentation of functional requirements for modules to be implemented.

This task will be allocated seven (7) configuration sprints.

Requirements Review and Prioritization

Total of two (2) weeks to compile requirements into a prioritized list of functionality and business processes to be configured.

This task will be allocated one (1) configuration sprint.

Solution Development

12 solution development sprints for configuration of agency-specific system functionality as prioritized by the Department to address

11 Statement of Work for the Illinois Secretary of State Securities Department

Department-specific functional needs.

Prior to the start of solution development sprints, SA will train Department system administrators in the configuration of Evoke. During the sprints, Department administrators will shadow SA resources to gain knowledge and skill in configuring Evoke.

Interfaces In addition to the 12 development sprints above, 10 development sprints are estimated for the BlueExpress, EFD, and WebCRD/IARD interfaces, along with integration with the NCR payment processor.

License Type/Filing Type/Form Configuration

Nine (9) business configuration sprints for configuration of agency-specific license types, filing types, and forms as prioritized by the Department. SA estimates that this will allow for configuration of up to 31 license and filing types, including 145 associated forms (applications, renewals, filings, and amendments).

Templates/ Reports

Conversion of up to 125 templates and 15 reports, including single-record report printouts, correspondence templates, notice templates, or other merge files which pull data from an individual record or a single type of record.

Configuration of User Roles

Configuration of approximately 60 agency users, 10 administrative users, up to fifteen (15) agency user roles, and two (2) agency-external user roles (to support online portal and public lookup use cases).

Data and Document Mapping

One (1) business configuration sprint allocated to support data and document mapping. With SA’s guidance, the Department will be responsible for compiling and extracting the data from its legacy databases into CSV files which align with the configured objects and properties.

Data and Document Import

Two (2) iterations of trial data and document loads prior to User Acceptance Testing (UAT) per database to be migrated. SA will import the CSV files delivered by the Department and provide an error report and guidance for remediating the data errors.

This will be performed using two (2) total data conversion Sprints.

User Acceptance Testing

Ten (10) workdays of User Acceptance Testing, including one (1) data and document load for UAT.

An additional fifteen (15) workdays for resolution of user feedback and go-live preparation.

Training and Documentation

Total of twelve (12) workdays combined for application administrator and end user training, in addition to creation of documentation for the Department’s system.

12 Statement of Work for the Illinois Secretary of State Securities Department

Final System Deployment

Management and execution of go-live activities, including final load of data using conversion files provided by the Department for cutover.

After the system is deployed into Production, the SA project team will provide direct post-go-live support for twenty (20) workdays.

Phase 2

Activities Description

Software to be Implemented

Evoke Platform, to be configured according to activities outlined below.

Solution Development

Eight (8) solution development sprints for configuration of agency-specific system functionality as prioritized by the Department to support the data modeling and workflow needs of the Phase 2 interfaces.

Interfaces In addition to the 8 development sprints above, 12 development sprints and 6 import/export configuration sprints are estimated for the following interfaces:

• NEMO

• PACER (US Court System)

• National Futures Association (NFA) Basic

• Illinois Department of Financial and Professional Regulation

(IDFPR)

• IL-REV (IDOR)

• National Insurance Provider Registry

• Payment Processor (NCR)

• Lexus+ (RELX dba LEXIS)

• Business Services

• PCS3270

• FRS Imagery

• LEADS

Assumptions bounding the scope of Phase 2 interface development work are documented in Attachment 4: Phase 2 Interfaces.

Configuration of User Roles

Configuration of approximately five (5) user roles to support access to data retrieved through the Phase 2 interfaces.

User Acceptance Testing

Ten (10) workdays of User Acceptance Testing.

An additional ten (10) workdays for resolution of user feedback and go-live preparation.

13 Statement of Work for the Illinois Secretary of State Securities Department

Training and Documentation

Total of three (3) workdays combined for application administrator and end user training on added functionality tied to the Phase 2 interfaces, in addition to creation of documentation for the updated user interface tied to the Phase 2 interfaces.

Final System Deployment

Management and execution of go-live activities.

After the updated system is deployed into Production, the SA project team will provide direct post-go-live support for ten (10) workdays.

14 Statement of Work for the Illinois Secretary of State Securities Department

Implementation Approach System Automation (SA) has performed implementations using waterfall, hybrid, and agile approaches to configuration. Some clients have a preferred implementation approach based on staff familiarity, project oversight requirements, and fiscal considerations. Within those considerations, we take a collaborative approach to projects, where the project team includes both SA and client staff.

The right balance of SA and agency staff depends on the project's scope, the nature of the work, availability and skillset of agency staff, budget, desired level of application administration support, and other factors. However, we strongly believe that by working together with our clients as true partners throughout the implementation project, we gain a deeper understanding of each agency’s unique processes and needs. This allows us to more precisely configure the system to best support the agency’s specific goals. Additionally, by working alongside our staff, our clients learn how to leverage the flexibility of the Evoke platform to keep up with future changes to regulatory requirements, reporting requests, and policy goals.

In our experience, one highly successful collaborative project approach is to structure the work into two-week sprints. With this approach, Department stakeholders will be able to visualize progress as it is made in the form of system configuration and associated demonstrations. The Department’s team can thus be confident that the configuration of its new regulatory management system will be a collaborative effort focused on the Department’s specific business processes.

At the onset of the project, the SA project team leads a series of requirements workshops with the appropriate managers, subject matter experts, and technical staff to learn the agency’s existing and desired business processes. The goal of these workshops is to understand the agency’s processes in sufficient detail to recommend specific configuration options and guide agency staff through a series of decisions in each functional area.

Following these workshops, the SA project team conducts implementation planning sessions with Department leadership to review all the modules, pages, objects, and workflows to be configured.

The outcome of these sessions is a backlog of items to be configured and divided across the configuration sprints, which the Department will prioritize according to business needs.

The team then plans upcoming work into two-week sprints, which are organized as shown in this diagram:

Figure 3: Sprint-based configuration lifecycle.

15 Statement of Work for the Illinois Secretary of State Securities Department

Each sprint starts with a sprint planning session, where the Department’s team meets with the SA Project Manager and implementation team to identify the scope of work to be accomplished in the coming two-week cycle. The items to be configured in that sprint are determined based on the backlog and priorities defined by the Department.

Towards the end of the sprint, a working session will be held between SA, Department administrators, and any appropriate subject matter experts to review the functionality and interfaces configured in the sprint so that the Department can provide feedback and additional input. In the subsequent sprint, the SA team will address the items identified from the working session, along with configuring the fields and functionality planned for the next sprint.

Each sprint ends with a sprint review session that allows the team to review progress, discuss and strategize around challenges, and adjust plans for upcoming sprints. As the project team falls into a comfortable cadence and becomes confident in the alignment of the configuration and the agency’s needs, the project progress typically accelerates, and opportunities to bring in project timelines are often identified. Conversely, if the team finds in testing that configuration is not working as expected, the team can decelerate the next sprint to focus on a more detailed understanding of specific requirements.

One major advantage of this approach is that it allows for the iterative release of new functionality, which gives the Department extensive experience in the product prior to final testing and deployment. This provides a smoother transition to a new system for both the Department and the stakeholders it serves.

This approach also delivers several other benefits to the Department:

• Leadership – Department management will have a highly experienced project manager leading the effort and supporting the organizational changes necessary to make the project successful.

• Speed-to-Value – SA will divide the implementation into sprints to prioritize configuration to quickly bring value to the Department.

• Cost Reduction – The Department avoids paying for implementation services that they do not need, with the option to accelerate or add onto the implementation with additional configuration sprints.

• Flexibility – Through our extensive experience, SA has learned that, as SA and our clients learn about each other during implementation, project priorities can shift. Our approach allows the Department flexibility to reprioritize configuration as needed to meet its goals faster, even when those goals change.

We recommend this approach because we find it leads to faster progress, supports greater collaboration between the client and SA, and results in a system configured in close alignment to the client’s individual needs. However, our project approaches are flexible enough to accommodate the Department’s specific needs, and SA looks forward to working with Department stakeholders to determine the specific approach that meets Department goals, timeframes, and budget.

16 Statement of Work for the Illinois Secretary of State Securities Department

Roles and Responsibilities To sustain any project schedule, it is vital that both SA and our customers provide the necessary resources that align with the project’s needs. Different SOS resources will be needed at different stages of the project. The agency resources in the table below are typically needed for Evoke implementations. Note that these resource names do not align perfectly with every organization;

it is also possible that one individual in an organization may perform multiple roles.

Resource High-Level Responsibilities

Project Sponsor • Responsible for executive oversight of the project and operations within SOS

• Signs off on deliverable acceptance forms

• Authorizes allocation of SOS resources to project

Project Manager • Coordinates with SA Project Manager to ensure on-time delivery of agreed-upon scope

• Engages SOS resources to ensure needed input and feedback are received timely and that SOS resources perform assigned tasks

• Validates that project governance protocols are met

• Reviews and circulates project documentation requiring SOS review and acceptance (e.g., signoffs, change requests)

• Primary point of escalation on SOS team

• Works with Business Analyst to be point of contact for project related communications to other departments and partner organizations

Licensing Subject Matter Experts (SMEs)

• Provides input in requirements gathering phases to ensure system configuration meets SOS needs

• Reviews configured and developed deliverables to provide feedback and validate adherence to documented requirements

• Participates in User Acceptance Testing to identify and retest issues

• Participates in End User Training

• Identifies and reports any go-live issues

Business Analyst • Responsible for working with Licensing Business Users (SMEs) and Program Managers to document business requirements

17 Statement of Work for the Illinois Secretary of State Securities Department

• Assists program managers with research that will allow them to make new process decisions

• Acts as technical bridge between Business SMEs (including those not on the project team) and SA project team members

• Leads and documents any business process analysis that is necessary to streamline requirements

• Works with PM to be point of contact for project related communications to other SOS divisions and partner organizations

• Reviews configured and developed deliverables to provide feedback and validate adherence to documented requirements, including during UAT

• Participates in data mapping as required

Program Manager • Uses expert knowledge to communicate detailed business requirements and as-is processes on behalf of the organization

• Decision maker that works with the business analyst to research possible process changes and workflows

• Reviews configured and developed deliverables to provide feedback and validate adherence to documented requirements

• Participates in User Acceptance Testing to identify and retest issues

• Participates in End User Training

• Identifies and reports any go-live issues

End User • Participates in End User Training

• Identifies any go-live issues to the SOS PM or Business Analyst to be recorded in the project issue tracking site

Database Administrator • Provides expertise on legacy database to guide data model implementation decisions

• Participates in data mapping to ensure legacy fields are correctly mapped in accordance with agency needs

• Performs extraction from legacy database into Evoke conversion database provided by SA

• Assists in review of migrated data during each iteration of migration

18 Statement of Work for the Illinois Secretary of State Securities Department

Application Administrator

• Performs ongoing configuration of agency business rules

• Configures the platform (e.g., data model, apps, workflows) to adapt to changing agency needs

• Responds to agency user issues and questions

• Participates in Application Administrator Training

• Participates in Train-the-Trainer Training

• Participates in User Acceptance Testing to identify and retest issues

• Reviews configured and developed deliverables to provide feedback and validate adherence to documented technical requirements

These resources are used across the typical stages of Evoke implementations, which are described in condensed format in the following table:

Stage High-Level Description Agency Resource Requirements

Project Planning and Kickoff

SA will develop a detailed project schedule and provide an online collaboration site for the project. SOS will review and validate the project schedule and participate in a project kickoff.

• PM (50%, then 25% throughout project)

• Other stakeholders for project kickoff

Requirements Gathering and Design

SA will meet with SOS to document the functions Evoke must perform to meet the agency’s needs. SA will comprehensively document these requirements, combining information gathered from interviews with SOS staff with SOS-developed requirements documentation.

After gathering requirements, SA will perform the initial design of the system, which will entail joint design sessions, diagramming, and prototyping to validate proposed design ideas with SOS.

• Business Analyst (50%)

• Licensing Business Users (25-50%)

• Subject Matter Experts (SME) and Program Managers (50%)

• Application Administrator (25%)

• Database Administrator (25%)

Configuration Sprints

After design is documented, SA will perform iterative solution, interface, and business configuration sprints to implement the documented design. SOS staff will take part in sprint planning and feedback sessions and will provide

• Subject Matter Experts (SME) and Program Managers (25%)

• Application Administrator (25%)

• Database Administrator (10%)

19 Statement of Work for the Illinois Secretary of State Securities Department guidance and feedback throughout the configuration process.

Data Migration

SA and SOS will jointly map data from the legacy system of record to Evoke. SA and SOS will then execute data migration according to the previously provided Evoke Data Conversion Approach.

• Business Analyst (25%)

• Licensing and Enforcement Business Users (25%)

• Subject Matter Experts (SME) and Program Managers (50%)

• Application Administrator (25%)

• Database Administrator (75%)

User Acceptance Testing

SA will develop an Acceptance Test Plan that will be reviewed by SOS. During UAT, SA, SOS, and SOS end users will execute the test plan, identifying, prioritizing, and resolving issues in accordance with agreed-upon priority levels.

• PM (75% during execution, 50% during issue resolution)

• Business Analyst (25%)

• Subject Matter Experts (SME) and Program Managers (75% during execution, 25% during issue resolution)

• Database Administrator (25%)

• Application Administrator (75% during execution, 25% during issue resolution)

System Administrator Training

SA will train SOS administrators on the administration of Evoke, including both SOS-specific business rule configuration and platform-level configuration and customization.

• Application Administrator (75%)

Train-the- Trainer

SA will train select SOS “Super Users” in operation of the configured system to prepare these Super Users to provide End User Training to other SOS staff.

• Subject Matter Experts

(SME) (75%)

• Application Administrators (75%)

End User Training

SOS Super Users will train the remaining SOS end users in how to perform their functional roles within Evoke.

• Subject Matter Experts

(SME) (75%)

• End Users (75%)

20 Statement of Work for the Illinois Secretary of State Securities Department

Go-Live and Operational Support

SA will perform the final data migration and enable production operations in Evoke. After go-live, SA will provide a period of dedicated operational support prior to transition to maintenance and support by SA’s Customer Support Team.

• PM (50-75%)

• Application Administrators (75%)

• Database Administrator (75%)

• Subject Matter Experts (SME), Program Managers and End Users (return to full operational focus)

21 Statement of Work for the Illinois Secretary of State Securities Department

Approach to Tasks The tables below provide a description of the specific tasks included with this statement of work.

Please note that throughout this section, the term Agency and State are used interchangeably to represent the client organization.

Phase 1

Deliverable 1 – Project Initiation & Platform Activation

SA Tasks / Description

At the project's onset, SA will provision and configure the Evoke platform test environment and the components necessary to implement the solution. SA will work with the Department to demonstrate the availability of the Test site. Note that these sites will not contain any Department-specific configuration, as that work will be performed in future tasks.

Department Tasks This task requires input from the Department on the naming of the Evoke site.

Deliverable SKU’s

At project kickoff, SA will invoice the following SKU:

SAC-EVK-ACT-DEPT (Quantity: 1)

Deliverable 2 - Develop Project Plan

SA Tasks / Description

SA’s project management approach ensures visibility of tasks, risks, schedule, and scope, which are monitored in regular status meetings.

SA will develop a detailed project plan for this project, which will include a detailed project schedule consisting of a work breakdown structure and Gantt chart. The project plan identifies the tasks, predecessors, durations, and assigned stakeholders for all project-related tasks. The approved project plan will serve as the baseline from which project performance is measured. It will be continuously monitored to ensure successful completion of the project, on time and within budget.

In addition to the project plan, SA will provide ongoing Project Management, including:

• Status meetings where the SA PM and the Department PM review action items, issues, risk, and rolling forecast of activities/deliverables every two weeks

22 Statement of Work for the Illinois Secretary of State Securities Department

• An online collaboration site between SA and the Department.

This resource will serve as a repository for file sharing and access to project artifacts

Department Tasks

This task requires the Department Project Manager (PM), and others that the Department PM deems required, to provide input in the process. It is expected that the Department PM will be heavily involved in the project plan development stage of this project. The Department PM will work with the SA PM in managing and reviewing the bi-weekly status reports and meetings.

Deliverable SKU’s

Upon Department acceptance of the completed Project Plan, SA will invoice the following SKU:

SAC-DEV-SPT (Quantity: 1)

Deliverable 3 – Requirements Analysis and Sprint Backlog Development

Description

SA will work with the Department in a series of workshops to gather required inputs to support the configuration of the system, such as:

• Review of existing processes

• Structure of pages, objects, and fields for data objects and modules to be configured

• Discussion of functional requirements for data validation and workflows

• Technical specifications for imports/exports/interfaces

A requirements document and/or prototype environment reflecting the above will be compiled, reviewed, finalized, and accepted to initiate the buildout of the system. Additionally, SA will capture implementation tasks into a sprint backlog.

Department Tasks

The Department PM is responsible for coordinating Department resources to provide all required inputs in a timely manner to SA in support of the goal of timely implementation.

Deliverable SKU’s

For each two-week iteration of this deliverable, SA will invoice the following SKUs:

SAC-CON-SPT (Total Quantity: 8)

23 Statement of Work for the Illinois Secretary of State Securities Department

Deliverable 4 – Solution Development Sprints

SA Tasks / Description

Together with the Department, SA’s solution consultants will configure Evoke in two-week solution development sprints to meet the Department’s documented business requirements. Iterations may include configuration of any system modules in scope of Department requirements, including but not limited to the following:

• Creation of the objects and properties for each type of record, including:

o Ability to create and update each type of record o Security rules controlling which user roles can view/edit/delete each field

• Configuration of system modules to include:

o Apps and portals to support the business processes in each module o Pages, lists, and forms to support the specific processes within each app and portal o Custom logic and workflows required for each module

• Configuration of interfaces per the project scope variables table

SA and the Department will work together to prioritize implementation tasks at the start of each sprint. At the completion of each sprint, SA staff will work with Department administrators and business subject matter experts to review, revise, and validate the final configurations. Based on our current understanding of the Department’s needs and ability to perform configuration alongside SA staff, of the 23 solution development sprints estimated for this phase, the estimated work breakdown is as follows:

• 12 sprints for solution development

• 10 sprints for interfaces

After more detailed review of the Department’s requirements, additional sprints may be ordered by the Department should they be needed for additional scope.

Prior to the start of Solution Development, SA will train Department system administrators in the use of the Evoke Builder to administer the platform.

Department Tasks

Department staff will also be responsible for coordinating with SA and internal staff to review and validate revisions to the implementation. Department administrators will be responsible for relaying any changes to the modules to SA in the review phase of each Sprint. This will ensure that the Department remains apprised of all implementation tasks performed by SA to prepare the system for

UAT.

Department system administrators will attend an administrator training prior to the start of the sprints. Throughout the configuration sprints, Department system

24 Statement of Work for the Illinois Secretary of State Securities Department administrators will shadow SA resources to gain knowledge and skill in configuration of the platform.

Deliverable SKU’s

Upon completion of each two-week iteration of this deliverable, SA will invoice the following SKU:

SAC-DEV-SPT (Total Quantity: 22)

Deliverable 5 – Data Conversion

Description

SA will work with the Department to support the mapping and loading of key data from current production system(s) into Evoke. The data process will include the following steps:

• Mapping – Joint task with Department and SA

• Data Extraction & Formatting – Department Task

• Data Load – SA Task

• Review – Joint Task with Department and SA

This statement of work is based on one (1) configuration sprint for data mapping support and two (2) trial iterations of initial data conversion for each of the three

(3) Department databases to be converted prior to the User Acceptance Testing task.

SA will provide the Agency with data conversion templates, which consist of a set of objects, properties, and property types for data to be loaded into the new system. The Agency is responsible for providing SA with data in the SA-provided import formats. SA will load these data files into Evoke system. After the load, SA will review aggregate counts of data by object type to ensure that they match and will provide error logs from the data load.

During the Department’s review of the first trial data load, SA will work with the Department and validate that records from the legacy system are converted properly into the Evoke system and that the data has been transferred into the proper fields per the mapping document.

If the results of the second trial iteration of data conversion does not indicate UAT readiness, the SA PM will discuss options with Department leadership, which may include purchasing additional services from SA.

The detailed data conversion approach is contained in Attachment 5: Evoke Data Conversion Approach below.

Department Tasks

With SA guidance, Department staff will be required to complete a legacy data analysis to identify each field in legacy data source by table, column name, data

25 Statement of Work for the Illinois Secretary of State Securities Department type, number of total records, and number of null values. Department staff will then complete a data mapping document to indicate the destination object/property for each source data element.

The Department is also responsible for extracting its legacy data and providing the data files to SA in a single CSV format per object, with data values converted to the correct property types.

After the data is loaded into the system, the Department will be responsible for reviewing the data in the Evoke system and updating the data conversion scripts/procedures accordingly.

Deliverable SKU’s

Upon completion of one two-week iteration of data mapping support, SA will invoice the following SKU:

SAC-DEV-SPT (Quantity: 1)

Upon completion of each trial iteration of data load prior to UAT, SA will invoice the following SKU:

SAC-ML1-DC (Quantity: 2)

Deliverable 6 – Business Configuration (Licenses, Forms, Templates and Reports)

Description

SA will perform two types of business configuration:

1. License/Filing Types and Forms: SA’s implementation team will configure agency-specific license types, filing types, and forms as prioritized by the Department, according to the Project Scope Variables table above. SA will perform this work in two-week business configuration sprints. SA and the Department will work together to prioritize configuration tasks at the start of each sprint. At the completion of each sprint, SA staff will work with Department administrators and business subject matter experts to review, revise, and validate the final configurations.

2. Templates and Reports: SA will convert up to 125 templates and 15 reports, which can be any combination of single-record report printouts, correspondence templates, notice templates, or other merge files which pull data from an individual record or single type of record.

Department Tasks

During the requirements gathering process, the Department will compile and summarize the agency’s license types, filing types, application and renewal requirements, forms, and other business processes.

26 Statement of Work for the Illinois Secretary of State Securities Department

During the requirements gathering process, the Department will gather a list of reports and templates needed for each Department module. The Department will provide the desired document layout and logos for reports and templates, in MS Word or similar format. The Department will be responsible for configuring any templates or reports above the quantity specified by the Department for SA to convert.

Throughout the configuration sprints, Department system administrators will shadow SA resources to gain knowledge and skill in configuration of the platform.

Deliverable SKU’s

Upon completion of each two-week iteration of license type, filing type, and form configuration, SA will invoice the following SKU:

SAC-CON-SPT (Total Quantity: 9)

Upon completion of each two-week iteration of template and report configuration, SA will invoice the following SKU:

SAC-ML-TEMP (Quantity: 3)

Deliverable 7 – User Acceptance Testing

Description

SA will work with the Department to perform controlled acceptance testing. In preparation for UAT, SA will perform another iteration of data conversion so that end users test against recent data that closely mirrors what they will see in Production. SA recommends that clients bring sample records from their existing workload to confirm all data was converted properly and that all business functions have been accounted for in the new system.

An SA technical consultant will provide an outline of functional areas to test and will work with designated Department testers to develop and complete the acceptance test process.