Licensing and Case Management Solution

The vendor is required to provide that licensing and case management solution for department with an inclusive priced, highly configurable, commercial-off-the-shelf (COTS) licensing and case management solution.
- Mandatory requirements:
• Provide a COTS licensing and case management solution.
• The solution must be cloud based.
• Meet all requirements outlined in solution requirements
• At a high level, the solution shall include, but is not limited to:
1. Optimization of current system automation;
2. System integration with other solutions and technologies to reduce manual data entry
3. Functionality to allow for tiered permission levels to be managed by the agency and to include at least:
a. Three (3) admin level;
b. five (5) power users;
c. Twenty (20) internal users with additional permissions; and
d. Up to 100,000 external customers who would need to be able to login and submit information.
4. A public-facing portal integrated with the system to reduce manual data entry
5. Provided solution must allow for electronic document storage and login with submission of integrated forms, uploading of supporting documentation, and payment capabilities.
6. The solution must also provide an online search capability without login requirement for purposes of finding license status and relevant disciplinary action;
7. Migrate data from a records-based solution of the current system, to a solution using a user-based search ability with all relevant license types, audits, investigations, enforcement actions, communications, and compliance activities tied to an individual licensee viewable on a single screen;
8. Configurable workflows allowing for manual transfer of tasks from one division or individual to another;
9. Functionality to allow department users with ability to process applications or cases and communicate directly with the applicant related to the specific application or case;
10. Functionality to allow for tracking of records and seamlessly flow from one business process to another based on business requirements;
11. Enhanced end-user functionality allowing the public and licensees to complete and track the status of current and past tasks without involvement from department staff; and
• Comply with all payment card industry (PCI) requirements including but not limited to
a. All third-party vendors directly involved in the collection, transmission or processing of cardholder data are required to provide annually, or more frequently upon a written request by the office of the state treasurer, a copy of a payment card industry data security standard (PCI DSS) attestation of compliance (AOC), validated by a qualified security assessor (QSA).
b. All third-party vendors that can affect the security of the flow of payment card data, but are not directly involved in the collection, transmission, or processing of cardholder data, are required to provide annually, or more frequently upon a written request by the office of the state treasurer, a copy of the payment card industry data security standard (PCI DSS) self-assessment questionnaire (SAQ) completed by the vendor.
- Internal requirements:
1. Workflow and business rules engine: the solution shall leverage both a workflow and business rules engine to enhance the effectiveness and efficiency of future state business processes; the engines shall provide the ability to design, modify, test, deploy, and execute workflow or business rules separate from the application code and provide the ability to revert to older processes or rules.
a. The workflow engine shall:
• Support the assignment and transfer of tasks and records between divisions within department.
• Allow a business process owner to create and edit workflows through a graphical user interface.
b. The business rules engine shall:
• Be leveraged to define the permissions assigned to users based on the type of user interacting with the system to allow them to complete available tasks and actions.
2. audits and investigations: the state is responsible for protecting the public and holding licensees accountable to state regulations related to real estate; includes the semi-random auditing of entities to ensure compliance with state regulations and statutes, including the documentation and follow up actions associated with audits. as documented in the current state assessment there are a number of categories of entities which are audited and multiple steps within the process which determines the severity of the action taken following the discovery of non-compliance.
a. The proposed solution shall:
• Provide a function to allow department to randomly audit entities in the different categories provided in the current state assessment
• The solution must allow for reconfiguration of how the randomization is selected.
• The capability to track and evaluate each of the audit and investigation steps of licensed and unlicensed individuals and entities following receipt of a complaint.
• The ability to document findings of an investigation or audit, review findings of previous investigations and audits, and share this information with E&C and state legal authorities.
• Provide functionality to enable department staff to route permissions to multiple parties to work in conjunction in the application process.
• provide the ability to share information between multiple parties and directly with department.
3. Development services: the state is responsible for approving public reports allowing the sale and lease of subdivisions, un-subdivided lands, timeshares, and condominiums; this often requires applications in excess of 100 pages and are submitted by a developer or a title company working on their behalf.
a. The proposed solution shall:
• Provide functionality to enable an applicant to route permissions to multiple parties to work in conjunction in the application process.
• Provide the ability to share information between applicant parties and directly with department.
4. Disclosures: The department reviews and processes licensing applications for individuals with criminal backgrounds, adverse civil findings, or violations related to prior licensure; state also receives statutorily required disclosures of convictions and other judgments within set timelines for review of potential E&C action
a. The proposed solution shall:
• Maintain records related to criminal history, judgments against licensees, and fingerprint clearance cards associated with an individual.
• Track the expiration date of fingerprint clearance cards to require the upload of new documentation.
5. Education: The state is responsible for processing applications and maintaining information for schools, instructors, and courses. schools, instructors, and courses are renewed and depending on the type of course, a course must be scheduled prior to each offering.
a. The proposed solution shall:
• Allow schools, administrators, and instructors to register with department through the system.
• An individual may be licensed as a broker or salesperson and as an approved instructor and/or approved administrator.
• Schools may have multiple instructors and administrators and instructors may be linked to multiple schools.
• Issue a course to an original school;
• Associate an instructor to a school;
• Permit an administrator to share a course with another school; and
• Prevent a shared course from continuing to be shared with a school when the course expires with the originating school.
• Enable courses to be associated with a school or instructor.
• Provide functionality for courses to be numbered/identified in such a manner that they cannot be used multiple times for additional license renewals and licensees should not have the ability to use a single course for license renewal purposes and educational compliance purposes.
• Enable school administrators to enter course completion information for licensees.
• This could be accomplished in bulk through an manually for individuals, both after the administrator logs into the system.
• If a live course, the instructor’s name and date and time of the course.
• If distance learning, the time and date of start of the course and time and date of completion.
6. Enforcement and compliance:
a. Department is tasked with the enforcement and compliance of a licensee if violations are discovered as a result of an audit or investigation; an audit or investigative case should flow seamlessly to E&C and provide them with all the appropriate information to execute their business processes.
• Communicate with each of these parties as actions are taken against a respondent.
• Provide the ability to manage settlements.
• Provide functionality to enable department staff to route permissions and documentation to multiple parties (broker, attorney) to work in conjunction in the application process.
• Provide the ability to share information between multiple parties and directly with department.
b. Department may require respondents to take additional educational courses, pay a civil penalty, submit evidence of compliance with trust account requirements, or submit various documents in order to assure compliance with case-specific penalties and requirements of licensees on a periodic basis.
• Verify trust accounts are maintained according to the compliance requirements.
• Provide basic accounting functionality to identify required funding levels; ensure the account is neither over nor underfunded.
• Provide for categorizing of compliance statuses which based on rules permit or prohibit a license renewal, with the ability for manual override by staff of specific licenses.
c. Home owner’s association (HOA) complaint process. the department is charged with processing HOA complaint petitions, which includes collecting and reviewing of complaint submissions, relevant supporting documentation, and a fee; complete petitions are set for hearing at the office of administrative hearings
• Provide the ability for the public to submit complaints against their HOA or for an HOA to file against a member and enable the upload and inclusion of required forms and exhibits.
• Have the ability to track and document information relevant to the complaint to share with the state office of administrative hearing.
d. The department administers the real estate recovery fund which provides financial relief to harmed consumers when a civil judgment that includes damages is found against a licensee.
• Provide the ability to the public to submit a recovery fund claim submission with supporting documentation to include civil judgments.
• Have the ability to track and document information relevant to the claim
• Provide the ability to log licensee repayment of the fund,
• Track lifetime payment totals related to specific claims, and;
• Track total claims and outstanding repayment balances of specific licensees.
e. Financial: department must maintain the ability to generate fees for services and must have the ability to configure the associated fee schedule.
• Dependent on successful completion of payment of a fee, properly route online submissions for processing.
• Accept point of sale (POS) credit card payment functionality
• Accept personal or business checks, using an automated clearing house (ACH).
- Pre-Offer Conference Date: March 17, 2025