FULLY EXECUTED Contract Number: Contract Effective Date: 11/08/2012 Valid From: 12/01/2012 To: 11/30/2017

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1 FULLY EXECUTED Contract Number: Contract Effective Date: 11/08/2012 Valid From: 12/01/2012 To: 11/30/2017 Page 1 of 2 All using Agencies of the Commonwealth, Participating Political Subdivision, Authorities, Private Colleges and Universities Your SAP Vendor Number with us: Supplier Name/Address: Pennsylvania Interactive LLC West Valley PKWY Suite 300 Olathe KS US Supplier Phone Number: (813) Purchasing Agent Name: Millovich Joseph Phone: Fax: Please Deliver To: To be determined at the time of the Purchase Order unless specified below. Contract Name: Self-Funded EGovernment Services Payment Terms NET 45 DAYS Solicitation No.: Supplier Bid or Proposal No. (if applicable): Issuance Date: Solicitation Submission Date: This contract is comprised of: The above referenced Solicitation, the Supplier's Bid or Proposal, and any documents attached to this Contract or incorporated by reference. Item Material/Service Desc Qty UOM Price Per Unit 1 Self-Funded EGovernment Services Development of Additional Applications General Requirements for all Items: Total Information: Total Amount: SEE LAST PAGE FOR TOTAL OF ALL ITEMS Currency: USD Supplier's Signature Title Printed Name Date Integrated Environment Systems Form Name: ZM_SFRM_STD_MMCOSRM_L, Version 1.0, Created on 06/27/2006, Last changed on 03/29/2005.

2 FULLY EXECUTED Contract Number: Contract Effective Date: 11/08/2012 Valid From: 12/01/2012 To: 11/30/2017 Page 2 of 2 Supplier Name: Pennsylvania Interactive LLC Header Text Self-Funded EGovernment Services This self-funded portal model is a model implemented by state governments throughout the nation. Currently, 27 states utilize this model. Only one vendor provides this service, NICUSA, Inc. (NIC). NIC creates an entity in the state in which it is providing services to actually provide the services. In Pennsylvania, that entity will be Pennsylvania Interactive, LLC with which the Commonwealth will contract. NIC s core business is portal development whereby it works with states to design, build and operate complete Web-based portals for those states. The state portals built by NIC contain websites and applications with a key business proposition being re-use of applications for e-government services that were deployed in other states. In addition, NIC funds the initial investments to transition to the new portal and the ongoing operation and maintenance of the portal for state governments. NIC obtains its revenue through a self funding model where transaction fees are applied to business to government transactions based on fees approved by a governance structure. NIC is unique in that it provides complete Web-based portals for states whereas other vendors provided only portions of this service. Given that no other vendors provide for a complete service (transition, development, ongoing support and maintenance), a competitive procurement would not be practicable. This contract is effective for five years with the one five-year renewal option Vendor - NICUSA, Inc Vendor Contact - Elizabeth Proudfit - eproudfit@egov.com Commonwealth Contact - Lorraine Balon - lbalon@pa.gov No further information for this Contract Information: Total Amount: 100, Currency: USD Integrated Environment Systems Form Name: ZM_SFRM_STD_MMCOSRM_L, Version 1.0, Created on 06/27/2006, Last changed on 03/29/2005.

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6 IT CONTRACT TERMS AND CONDITIONS 1. TERM AND SCOPE OF CONTRACT (a) (b) (c) (d) The term of the Contract shall commence on the Effective Date and shall end on the Expiration Date identified in the Contract, subject to the other provisions of the Contract. The Effective Date shall be: a) the date the Contract has been fully executed by the Contractor and by the Commonwealth and all approvals required by Commonwealth contracting procedures have been obtained or b) the date referenced in the Contract, whichever is later. The Contract shall not be a legally binding contract until after the fully-executed Contract has been sent to the Contractor. The Commonwealth reserves the right to execute the Contract, Purchase Orders or any follow-up Contract documents in ink or electronically. The Contractor understands and agrees that the receipt of an electronically-printed Contract with the printed name of the Commonwealth purchasing agent constitutes a valid, binding contract with the Commonwealth. The printed name of the purchasing agent on the Contract represents the signature of that individual who is authorized to bind the Commonwealth to the obligations contained in the Contract. The printed name also indicates that all approvals required by Commonwealth contracting procedures have been obtained. The Contractor shall not start performance until all of the following have occurred: (1) the Effective Date has arrived; (2) the Contractor has received a copy of the fully executed Contract; and (3) the Contractor has received a Purchase Order or other written notice to proceed signed by the Contracting Officer. The Commonwealth shall not be liable to pay the Contractor for any supply furnished or work performed or expenses incurred before the Effective Date or before the Contractor receives a copy of the fully executed Contract or before the Contractor has received a Purchase Order. No Commonwealth employee has the authority to verbally direct the commencement of any work or delivery of any supply under this Contract prior to the Effective Date. The Contractor agrees to furnish the requested services to the Commonwealth as such services are defined in this Contract, the Solicitation for Proposals (SFP) and the Contractor s Proposal. 2. PURCHASE ORDERS (a) The Commonwealth may issue Purchase Orders against the Contract. The Commonwealth will issue this Agreement, any subsequent amendments to it and any Work Orders electronically as a Purchase Order. These orders constitute the Contractor s authority to make delivery. All Purchase Orders received by the Contractor up to and including the expiration date of the Contract are acceptable and must be performed in accordance with the Contract. Contractors are not Page 1 of 84

7 permitted to accept Purchase Orders which require performance in excess of those performance time periods specified in the Contract. Each Purchase Order will be deemed to incorporate the terms and conditions set forth in the Contract. (b) (c) (d) (e) (f) (g) All services delivered by the Contractor under this Contract will be set forth in one or more work orders using the form set forth in Exhibit (each, a Work Order ). Each Work Order shall be completed and signed by authorized representatives from Contractor and from the Commonwealth agency that will be receiving the services set forth in the Work Order. The signed Work Order will then be issued by Purchase Order as set forth in this Section 2. Purchase Orders will not include an ink signature by the Commonwealth. The electronically-printed name of the purchaser represents the signature of the individual who has the authority, on behalf of the Commonwealth, to authorize the Contractor to proceed. Purchase Orders may be issued electronically or through facsimile equipment. The electronic transmission of a purchase order shall require acknowledgement of receipt of the transmission by the Contractor. Receipt of the electronic or facsimile transmission of the Purchase Order shall constitute receipt of an order. Purchase Orders received by the Contractor after 4:00 p.m. will be considered received the following business day. The Commonwealth and the Contractor specifically agree as follows: (1) No handwritten signature shall be required in order for the Contract or Purchase Order to be legally enforceable. (2) Upon receipt of a Purchase Order, the Contractor shall promptly and properly transmit an acknowledgement in return. Any order which is issued electronically shall not give rise to any obligation to deliver on the part of the Contractor, or any obligation to receive and pay for delivered products on the part of the Commonwealth, unless and until the Commonwealth agency transmitting the order has properly received an acknowledgement. (3) The parties agree that no writing shall be required in order to make the order legally binding. The parties hereby agree not to contest the validity or enforceability of the Contract or a genuine Purchase Order or acknowledgement that have been issued electronically under the provisions of a statute of frauds or any other applicable law relating to whether certain agreements shall be in writing and signed by the party bound thereby. The Contract and any genuine Purchase Order or Page 2 of 84

8 acknowledgement issued electronically, if introduced as evidence on paper in any judicial, arbitration, mediation, or administrative proceedings, will be admissible as between the parties to the same extent and under the same conditions as other business records originated and maintained in documentary form. Neither party shall contest the admissibility of copies of the Contract or any genuine Purchase Order or acknowledgements under either the business records exception to the hearsay rule or the best evidence rule on the basis that the Contract or Purchase Order or acknowledgement were not in writing or signed by the parties. A Purchase Order or acknowledgment shall be deemed to be genuine for all purposes if it is transmitted to the location designated for such documents. (4) Each party will immediately take steps to verify any document that appears to be obviously garbled in transmission or improperly formatted to include re- transmission of any such document if necessary. (h) Purchase Orders under five thousand dollars ($5,000) in total amount may also be made in person or by telephone using a Commonwealth Procurement Card. When an order is placed by telephone, the Commonwealth agency shall provide the agency name, employee name, credit card number, and expiration date of the card. The Contractor agrees to accept payment through the use of a Commonwealth Procurement card. 3. DEFINITIONS (a) (b) (c) (d) Contracting Officer. The person authorized to administer this Contract for the Commonwealth and to make written determinations with respect to the Contract. Days. Unless specifically indicated otherwise, days mean calendar days. Proposal. Contractor s response to the SFP issued by the Issuing Agency. Services. All Contractor activity necessary to satisfy the Contract. 4. CONTRACT SCOPE (a) (b) If the Contractor must perform work at a Commonwealth facility outside of the daily operational hours set forth by the Commonwealth, it must make arrangements with the Commonwealth to assure access to the facility and equipment. No additional payment will be made on the basis of lack of access, unless the Commonwealth fails to provide access as set out in the SFP. Except as set out in this Contract, the Contractor shall not offer for sale or provide Commonwealth agencies with any hardware or software (i.e., personal computers, file servers, laptops, personal computer packaged software, etc.). Contractor may recommend the use of tools such as hardware and software, without requiring Page 3 of 84

9 agencies to purchase those tools. Software tools that are NOT on statewide contract will be acquired through separately procured purchase agreements, and the Contractor shall not be considered for award of such agreements if it has recommended their use. (c) Contractor shall comply with the IT standards and policies issued by the Governor s Office of Administration, Office for Information Technology (OA/OIT) (located at: & mode=2), including the accessibility standards set out in IT Bulletin ACC001, IT Accessibility Policy. The Contractor shall ensure that Services procured under this Contract comply with the applicable standards. In the event such standards change during Contractor s performance, and the Commonwealth requests that Contractor comply with the changed standard, then any incremental costs incurred by Contractor to comply with such changes shall be paid for pursuant to a change order to the Contract. 5. IDENTIFICATION NUMBER The Contractor must have a SAP vendor number. 6. CONTRACT INTEGRATION (a) (b) (c) (d) This Contract, including the Contract signature pages, together with the SFP, the proposal and any other documents incorporated into the Contract by reference, as well as, any Work Orders issued under the Contract constitute the Contract between the parties containing all of the terms and conditions agreed to by the parties. All representations, understandings, promises, and agreements pertaining to the subject matter of this Contract made prior to or at the time this Contract is executed are superseded by this Contract. There are no conditions precedent to the performance of this Contract except as expressly set forth herein. No contract terms or conditions are applicable to this Contract except as they are expressly set forth herein. 7. PERIOD OF PERFORMANCE The Contractor, for the life of this Contract, shall complete all Services as specified under the terms of this Contract. In no event shall the Commonwealth be responsible or liable to pay for any services provided by the Contractor prior to the Effective Date, and the Contractor hereby waives any claim or cause of action for any such Services. Page 4 of 84

10 8. OPTION TO EXTEND The Commonwealth reserves the right, upon notice to the Contractor, to extend the term of the Contract for up to three (3) months upon the same terms and conditions. This will be utilized to prevent a lapse in Contract coverage and only for the time necessary, up to three (3) months, to enter into a new contract. 9. SPECIAL REQUIREMENTS The Commonwealth reserves the right to purchase Services within the scope of this Contract through other procurement methods whenever the Commonwealth deems it to be in its best interest. 10. SUBCONTRACTS The Contractor may subcontract any portion of the Services described in this Contract to third parties selected by Contractor and approved in writing by the Commonwealth, whose approval shall not be unreasonably withheld. Notwithstanding the above, if Contractor has disclosed the identity of Subcontractor(s) together with the scope of work to be subcontracted in its Proposal, award of the Contract is deemed approval of all named Subcontractors and a separate approval is not required. The existence of any subcontract shall not change the obligations of Contractor to the Commonwealth under this Contract. Upon request of the Commonwealth, the Contractor must provide the Commonwealth with a copy of the subcontract agreement between the Contractor and the subcontractor. The Commonwealth reserves the right, for good cause, to require that the Contractor remove a subcontractor from the project. The Commonwealth will not be responsible for any costs incurred by the Contractor in replacing the subcontractor if good cause exists. 11. OTHER CONTRACTORS The Commonwealth may undertake or award other contracts for additional or related work, and the Contractor shall fully cooperate with other contractors and Commonwealth employees, and coordinate its Services with such additional work as may be required. The Contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or by Commonwealth employees. This paragraph shall be included in the Contracts of all contractors with which this Contractor will be required to cooperate. The Commonwealth shall equitably enforce this paragraph as to all contractors to prevent the imposition of unreasonable burdens on any contractor. 12. PRIME CONTRACTOR RESPONSIBILITIES The Contractor will be responsible for all services in this Contract whether or not Contractor provides them directly. Further, the Contractor is the sole point of contact with regard to all contractual matters, including payment of any and all charges resulting from the Contract. Page 5 of 84

11 13. COMPENSATION (a) (b) The Contractor shall be required to perform at the price(s) quoted in the Contract. All items shall be performed within the time period(s) specified in the Contract. The Contractor shall be compensated only for items supplied and performed to the satisfaction of the Commonwealth. The Contractor shall not be allowed or paid travel or per diem expenses except as specifically set forth in the Contract. Unless the Contractor has been authorized by the Commonwealth for Evaluated Receipt Settlement or Vendor Self-Invoicing, the Contractor shall send an invoice itemized by Purchase Order line item to the address referenced on the Purchase Order promptly after items are satisfactorily delivered. The invoice should include only amounts due under the Contract/Purchase Order. The Purchase Order number must be included on all invoices. In addition, the Commonwealth shall have the right to require the Contractor to prepare and submit a Work In Progress sheet that contains, at a minimum, the tasks performed, number of hours, hourly rates, and the purchase order or task order to which it refers. 14. PAYMENT Payment for specific Services set forth in a Work Order, if any, shall be made in accordance with the terms and conditions set forth in the applicable Work Order. If payment is required and no such payment terms are included in the applicable Work Order, the following payment terms shall apply: (a) The Commonwealth shall put forth reasonable efforts to make payment by the required payment date. The required payment date is: (1) the date on which payment is due under the terms of the Contract; or (2) forty-five (45) calendar days after a proper invoice actually is received at the Bill To address if a date on which payment is due is not specified in the Contract (a proper invoice is not received until the Commonwealth accepts the service as satisfactorily performed). The payment date shall be the date specified on the invoice if later than the dates established by (1) and (2) above. (b) Payment may be delayed if the payment amount on an invoice is not based upon the price(s) as stated in the Contract. If any payment is not made within fifteen (15) days after the required payment date, the Commonwealth may pay interest as determined by the Secretary of Budget in accordance with Act No. 266 of 1982 and regulations promulgated pursuant thereto. Payment should not be construed by the Contractor as acceptance of the service performed by the Contractor. The Commonwealth reserves the right to conduct further testing and inspection after Page 6 of 84

12 payment, but within a reasonable time after performance, and to reject the service if such post payment testing or inspection discloses a defect or a failure to meet specifications. (c) Electronic Payments 15. ASSIGNABILITY (1) The Commonwealth will make contract payments through the Automated Clearing House (ACH). Within 10 days of award of the Contract, the Contractor must submit or must have already submitted its ACH information within its user profile in the Commonwealth s procurement system (SRM). (2) The Contractor must submit a unique invoice number with each invoice submitted. The unique invoice number will be listed on the s ACH remittance advice to enable the Contractor to properly apply the state agency s payment to the invoice submitted. (3) It is the responsibility of the Contractor to ensure that the ACH information contained in SRM is accurate and complete. Failure to maintain accurate and complete information may result in delays in payments. (a) (b) (c) (d) (e) Subject to the terms and conditions of this Section, the Contract is binding upon the parties and their respective successors and assigns. The Contractor may not assign, in whole or in part, the Contract or its rights, duties, obligations, or responsibilities hereunder without the prior written consent of the Commonwealth, which consent may be withheld at the sole and absolute discretion of the Commonwealth. For the purposes of the Contract, the term assign shall include, but shall not be limited to, the sale, gift, assignment, encumbrance, pledge, or other transfer of any ownership interest in the Contractor provided, however, that the term shall not apply to the sale or other transfer of stock of a publicly traded company. Any assignment consented to by the Commonwealth shall be evidenced by a written assignment agreement executed by the Contractor and its assignee in which the assignee agrees to be legally bound by all of the terms and conditions of the Contract and to assume the duties, obligations, and responsibilities being assigned. Notwithstanding the foregoing, the Contractor may, without the consent of the Commonwealth, assign its rights to payment to be received under the Contract, Page 7 of 84

13 provided that the Contractor provides written notice of such assignment to the Commonwealth together with a written acknowledgement from the assignee that any such payments are subject to all of the terms and conditions of the Contract. (f) A change of name by the Contractor, following which the Contractor s federal identification number remains unchanged, is not considered to be an assignment. The Contractor shall give the Commonwealth written notice of any such change of name. 16. INSPECTION AND ACCEPTANCE (a) Acceptance of Developed Materials will occur in accordance with the Deliverable Approval Plan submitted by the Contactor and approved by the Commonwealth. Upon approval of the plan by the Commonwealth, the Deliverable Approval Plan becomes part of this Contract. For contracts where the development of software, the configuration of software, or the modification of software is the deliverable, the Deliverable Approval Plan must include an Acceptance Test Plan. The Acceptance Test Plan will provide for a Final Acceptance Test, and may provide for Interim Milestone Acceptance Tests. Each Acceptance Test will be designed to demonstrate that the Developed Materials conform with the functional specification for the Developed Materials, if any, and/or the requirements of this Contract. Contractor shall notify the Commonwealth when the deliverable is completed and ready for acceptance testing. The Commonwealth will not unreasonably delay commencement of acceptance testing. (1) For Projects that require software integration at the end of the Project, as set out in the SFP, the Commonwealth s acceptance of a deliverable or milestone shall be final unless at the time of Final Acceptance, the Developed Materials do not meet the acceptance criteria set forth in the Contract. (2) For Projects that do not require software integration at the end of the Project as set out in the SFP, the Commonwealth s acceptance of a deliverable or milestone shall be complete and final. (b) Contractor shall certify, in writing, to the Commonwealth when a particular Deliverable milestone, interim or final, is completed and ready for acceptance (hereinafter Acceptance). Unless otherwise agreed to by the Commonwealth, the Acceptance period shall be ten (10) business days for interim milestones and thirty (30) days for final milestones. On or before the 10 th business day for interim milestones or 30 th business day for the final milestone, following receipt by the Commonwealth of Contractor s certification of completion of a particular milestone, the Commonwealth shall, subject to Section 16(a) either: (1) provide the Contractor with Commonwealth s written acceptance of the Developed Materials in the completed milestone; or (2) identify to Contractor, in writing, the Page 8 of 84

14 failure of the Developed Materials to comply with the specifications, listing all such errors and omissions with reasonable detail. (c) (d) (e) (f) If the Commonwealth fails to notify the Contractor in writing of any failures in the Developed Materials within the applicable Acceptance period, the Developed Materials shall be deemed accepted. If the Developed Materials do not meet an accessibility standard, the Contractor must provide written justification for its failure to meet the standard. The justification must provide specific details as to why the standard has not been met. The Commonwealth may either waive the requirement as not applicable to the Commonwealth s business requirements or require that the Contractor provide an acceptable alternative. Any Commonwealth waiver of the requirement must be in writing. Upon the Contractor s receipt of the Commonwealth s written notice of rejection, which must identify the reasons for the failure of the Developed Materials in a completed milestone to comply with the specifications, the Contractor shall have fifteen (15) business days, or such other time as the Commonwealth and Contractor may agree is reasonable, within which to correct all such failures, and resubmit the corrected Developed Materials, certifying to the Commonwealth, in writing, that the failures have been corrected, and that the Developed Materials have been brought into compliance with the specifications. Upon receipt of such corrected and resubmitted Developed Materials and certification, the Commonwealth shall have thirty (30) business days to test the corrected Developed Materials to confirm that they are in compliance with the specifications. If the corrected Developed Materials are in compliance with the specifications, then the Commonwealth shall provide the Contractor with its acceptance of the Developed Materials in the completed milestone. If, in the opinion of the Commonwealth, the corrected Developed Materials still contain material failures, the Commonwealth may either: 17. DEFAULT (1) Repeat the procedure set forth above; or (2) Proceed with its rights under Section 21 (TERMINATION). (a) The Commonwealth may, subject to the provisions of Section 18 (NOTICE OF DELAYS) and Section 50 (FORCE MAJEURE), and in addition to its other rights under the Contract, declare the Contractor in default by written notice thereof to the Contractor, and terminate (as provided in Section 21 (TERMINATION) the whole or any part of this Contract for any of the following reasons: Page 9 of 84

15 (1) Failure to begin Services within the time specified in the Contract or as otherwise specified; (2) Failure to perform the Services with sufficient labor, equipment or material to insure the completion of the specified Services in accordance with the Contract terms; (3) Failure to deliver the awarded item(s) within the time specified in the Contract or as otherwise specified; (4) Failure to perform in material conformance the Contract; (5) Failure or refusal to remove material, or remove, replace, or perform any Services rejected as defective or noncompliant; (6) Discontinuance of Services without approval; (7) Failure to resume Services, which has been discontinued, within a reasonable time after notice to do so; (8) Insolvency; (9) Assignment made for the benefit of creditors; (10) Failure or refusal within 10 days after written notice by the Contracting Officer, to make payment or show cause why payment should not be made, of any amounts due subcontractors for materials furnished, labor supplied or performed, for equipment rentals, or for utility services rendered; (11) Failure to protect, to repair or to make good any damage or injury to property; (12) Material breach of any provision of this Contract; (13) Failure to comply with representations made in the Contractor's Proposal; or (14) Failure to comply with applicable industry standards, customs and practice. 18. NOTICE OF DELAYS Whenever the Contractor encounters any difficulty that delays or threatens to delay the timely performance of this Contract (including actual or potential labor disputes), the Contractor shall promptly give notice thereof in writing to the Commonwealth stating all Page 10 of 84

16 relevant information with respect thereto. Such notice shall not in any way constitute a basis for an extension of the delivery schedule or be construed as a waiver by the Commonwealth of any rights or remedies to which it is entitled by law or pursuant to provisions of this Contract. Failure to give such notice, however, may be grounds for denial of any request for an extension of the delivery schedule because of such delay. If an extension of the delivery schedule is granted, it will be done consistent with Section 20 (CHANGES). 19. CONDUCT OF SERVICES Following the Effective Date of the Contract, Contractor shall proceed diligently with all Services and shall perform such Services with qualified personnel, in accordance with the completion criteria set forth in the Contract. In determining whether or not the Contractor has performed with due diligence hereunder, it is agreed and understood that the Commonwealth may measure the amount and quality of the Contractor s effort against the representations made in the Contractor Proposal. The Contractor s Services hereunder shall be monitored by the Commonwealth and the Commonwealth s designated representatives. If the Commonwealth reasonably determines that the Contractor has not performed with due diligence, the Commonwealth and the Contractor will attempt to reach agreement with respect to such matter. Failure of the Commonwealth or the Contractor to arrive at such mutual determinations shall be a dispute concerning a question of fact within the meaning of Section 23 (CONTRACT CONTROVERSIES) of this Contract. 20. CHANGES (a) At any time during the performance of the Contract, the Commonwealth or the Contractor may request a change to the Contract. Contractor will make reasonable efforts to investigate the impact of the change request on the price, timetable, specifications, and other terms and conditions of the Contract. If the Commonwealth is the requestor of the change, the Contractor will inform the Commonwealth if there will be any charges for the Contractor s services in investigating the change request prior to incurring such charges. If the Commonwealth and the Contractor agree on the results of the investigation and any necessary amendments to the Contract, the parties must complete and execute a change notice to modify the Contract and implement the change. The change request will be evidenced by a Purchase Order issued by the Commonwealth. No work may begin on the change request until the Contractor has received the Purchase Order. If the parties cannot agree upon the results of the investigation or the necessary amendments to the Contract, the change request will not be implemented and, if the Contractor initiated the change request it may elect to handle the matter in accordance with Section 23 (CONTRACT CONTROVERSIES) of this Contract. Page 11 of 84

17 (b) Changes outside the scope of this Contract shall be accomplished through the Commonwealth s normal procurement procedures, and may result in an amended Contract or a new contract. No payment will be made for services outside of the scope of the Contract for which no amendment has been executed, prior to the provision of the services. 21. TERMINATION (a) For Convenience (1) The Commonwealth may terminate this Contract in its entirety without cause by giving Contractor three hundred sixty five (365) calendar days prior written notice (Notice of Termination) whenever the Commonwealth shall determine that such termination is in the best interest of the Commonwealth (Termination for Convenience). Any such termination shall be effected by delivery to the Contractor of a Notice of Termination and the date on which such termination becomes effective. In the event of termination hereunder, Contractor shall receive payment for the following: (i) (ii) all Services performed consistent with the terms of the Contract prior to the effective date of termination; all actual and reasonable costs incurred by Contractor as a result of the termination of the Contract, including reasonable costs associated with the termination of subcontractor and leasing agreements reasonably related to Contractor s performance under this Contract; and In no event shall the Contractor be paid for any loss of anticipated profit (by the Contractor or any Subcontractor), loss of use of money, or administrative or overhead costs. Failure to agree on any termination costs shall be a dispute handled in accordance with Section 23 (CONTRACT CONTROVERSIES) of this Contract. (2) The Contractor shall cease Services as of the date set forth in the Notice of Termination, and shall be paid only for such Services as have already been satisfactorily rendered up to and including the termination date set forth in said notice, or as may be otherwise provided for in said Notice of Termination, and for such services performed during the thirty (30) calendar day notice period, if such services are requested by the Commonwealth, for the collection, assembling, and transmitting to the Commonwealth of at least all materials, manuals, magnetic media, studies, Page 12 of 84

18 drawings, computations, maps, supplies, and survey notes including field books, which were obtained, prepared, or developed as part of the Services required under this Contract. (3) The above shall not be deemed to limit the Commonwealth s right to terminate this Contract for any reason as permitted by the other provisions of this Contract, or under applicable law. (b) Non-Appropriation Any payment obligation or portion thereof of the Commonwealth created by this Contract is conditioned upon the availability and appropriation of funds. When funds (state or federal) are not appropriated or otherwise made available to support continuation of performance in a subsequent fiscal year period, the Commonwealth shall have the right to terminate the Contract. The Contractor shall be reimbursed in the same manner as that described in this section related to Termination for Convenience to the extent that appropriated funds are available. (c) Default The Commonwealth may, in addition to its other rights under this Contract, terminate this Contract in whole or in part by providing written notice of default to the Contractor if the Contractor materially fails to perform its obligations under the Contract and does not cure such failure within thirty (30) days or, if a cure within such period is not practical, commence a good faith effort to cure such failure to perform within the specified period or such longer period as the Commonwealth may specify in the written notice specifying such failure, and diligently and continuously proceed to complete the cure. The Contracting Officer shall provide any notice of default or written cure notice for Contract terminations. (1) Subject to Section 29 (LIMITATION OF LIABILITY) of this Contract, in the event the Commonwealth terminates this Contract in whole or in part as provided in this Subsection 21(c), the Commonwealth may procure services similar to those so terminated, and the Contractor, in addition to liability for any liquidated damages, shall be liable to the Commonwealth for the difference between the Contract price for the terminated portion of the services and the actual and reasonable cost (but in no event greater than the fair market value) of producing substitute equivalent services for the terminated services, provided that the Contractor shall continue the performance of this Contract to the extent not terminated under the provisions of this section. (2) Except with respect to defaults of Subcontractors, the Contractor shall not be liable for any excess costs if the failure to perform the Contract arises out of causes beyond the control of the Contractor. Such causes may Page 13 of 84

19 include, but are not limited to, acts of God or of the public enemy, fires, floods, epidemics, quarantine restrictions, strikes, work stoppages, freight embargoes, acts of terrorism, and unusually severe weather. The Contractor shall notify the Contracting Officer promptly in writing of its inability to perform because of a cause beyond the control of the Contractor. (3) Nothing in this Subsection 21 (c) shall abridge the Commonwealth s right to suspend, debar, or take other administrative action against the Contractor. (4) If it is later determined that the Commonwealth erred in terminating the Contract for default, then the Contract shall be deemed to have been terminated for convenience under Subsection (a). (5) If this Contract is terminated as provided by this Subsection 21(c), the Commonwealth may, in addition to any other rights provided in this Subsection, and subject to Section 35 (OWNERSHIP RIGHTS) of this Contract, require the Contractor to deliver to the Commonwealth in the manner and to the extent directed by the Contracting Officer, such reports and other documentation as the Contractor has specifically produced or specifically acquired for the performance of such part of the Contract as has been terminated. Payment for such reports and documentation will be made consistent with the Contract. (d) (e) (f) (g) The rights and remedies of the Commonwealth provided in this Section shall not be exclusive and are in addition to any other rights and remedies provided by law or under this Contract. The Commonwealth s failure to exercise any rights or remedies provided in this Section shall not be construed to be a waiver by the Commonwealth of its rights and remedies in regard to the event of default or any succeeding event of default. Following exhaustion of the Contractor s administrative remedies as set forth in Section 23 (CONTRACT CONTROVERSIES), the Contractor's exclusive remedy shall be to seek damages in the Board of Claims. Beginning ninety (90) days after the execution of the Contract and ending one hundred and eighty (180) days after the execution of the Contract, Contractor shall have the right to terminate this Contract in its entirety; provided however, that the termination right set forth in this paragraph shall terminate immediately upon the final issuance of any Work Order pursuant to Section 2. Page 14 of 84

20 22. BACKGROUND CHECKS (a) (b) (c) The Contractor must, at its expense, arrange for a background check for each of its employees, as well as the employees of any of its subcontractors, who will have access to Commonwealth IT facilities, either through on-site access or through remote access. Background checks are to be conducted via the Request for Criminal Record Check form and procedure found at The background check must be conducted prior to initial access and on an annual basis thereafter. Before the Commonwealth will permit access to the Contractor, the Contractor must provide written confirmation that the background checks have been conducted. If, at any time, it is discovered that an employee of the Contractor or an employee of a subcontractor of the Contractor has a criminal record that includes a felony or misdemeanor involving terroristic behavior, violence, use of a lethal weapon, or breach of trust/fiduciary responsibility or which raises concerns about building, system or personal security or is otherwise job-related, the Contractor shall not assign that employee to any Commonwealth facilities, shall remove any access privileges already given to the employee and shall not permit that employee remote access unless the Commonwealth consents to the access, in writing, prior to the access. The Commonwealth may withhold its consent in its sole discretion. Failure of the Contractor to comply with the terms of this Section on more than one occasion or Contractor s failure to cure any single failure to the satisfaction of the Commonwealth may result in the Contractor being deemed in default of its Contract. The Commonwealth specifically reserves the right of the Commonwealth to conduct or require background checks over and above that described herein. 23. CONTRACT CONTROVERSIES (a) (b) In the event of a controversy or claim arising from the Contract, the Contractor must, within six months after the cause of action accrues, file a written claim with the contracting officer for a determination. The claim shall state all grounds upon which the Contractor asserts a controversy exists. If the Contractor fails to file a claim or files an untimely claim, the Contractor is deemed to have waived its right to assert a claim in any forum. The contracting officer shall review timely-filed claims and issue a final determination, in writing, regarding the claim. The final determination shall be issued within 120 days of the receipt of the claim, unless extended by consent of the contracting officer and the Contractor. The contracting officer shall send his/her written determination to the Contractor. If the contracting officer fails to issue a final determination within the 120 days (unless extended by consent of the parties), the claim shall be deemed denied. The contracting officer s determination shall be the final order of the purchasing agency. Page 15 of 84

21 (c) Within fifteen (15) days of the mailing date of the determination denying a claim or within 135 days of filing a claim if, no extension is agreed to by the parties, whichever occurs first, the Contractor may file a statement of claim with the Commonwealth Board of Claims. Pending a final judicial resolution of a controversy or claim, the Contractor shall proceed diligently with the performance of the Contract in a manner consistent with the determination of the contracting officer and the Commonwealth shall compensate the Contractor pursuant to the terms of the Contract. 24. CONFIDENTIALITY (a) (b) The Contractor agrees to protect the confidentiality of the Commonwealth s confidential information. The Commonwealth agrees to protect the confidentiality of Contractor s confidential information. In order for information to be deemed confidential, the party claiming confidentiality must designate the information as confidential in such a way as to give notice to the other party (notice may be communicated by describing the information, and the specifications around its use or disclosure, in the SOW). Neither party may assert that information owned by the other party is such party s confidential information. The parties agree that such confidential information shall not be copied, in whole or in part, or used or disclosed except when essential for authorized activities under this Contract and, in the case of disclosure, where the recipient of the confidential information has agreed to be bound by confidentiality requirements no less restrictive than those set forth herein. Each copy of such confidential information shall be marked by the party making the copy with any notices appearing in the original. Upon termination or cancellation of this Contract or any license granted hereunder, the receiving party will return to the disclosing party all copies of the confidential information in the receiving party s possession, other than one copy, which may be maintained for archival purposes only, and which will remain subject to this Contract s security, privacy, data retention/destruction and confidentiality provisions (all of which shall survive the expiration of this Contract). Both parties agree that a material breach of these requirements may, after failure to cure within the time frame specified in this Contract, and at the discretion of the non-breaching party, result in termination for default pursuant to Section 21.c (DEFAULT), in addition to other remedies available to the non- breaching party. Insofar as information is not otherwise protected by law or regulation, the obligations stated in this Section do not apply to information: (1) already known to the recipient at the time of disclosure other than through the contractual relationship; (2) independently generated by the recipient and not derived from the information supplied by the disclosing party; Page 16 of 84

22 (3) known or available to the public, except where such knowledge or availability is the result of unauthorized disclosure by the recipient of the proprietary information; (4) disclosed to the recipient without a similar restriction by a third party who has the right to make such disclosure; or (5) required to be disclosed by the recipient by law, regulation, court order, or other legal process. There shall be no restriction with respect to the use or disclosure of any ideas, concepts, know-how, or data processing techniques developed alone or jointly with the Commonwealth in connection with services provided to the Commonwealth under this Contract, except to the extent such ideas, concepts, know-how or data processing techniques are deemed to be Portal Software. (c) The Contractor shall use the following process when submitting information to the Commonwealth it believes to be confidential and/or proprietary information or trade secrets: (1) Prepare an un-redacted version of the appropriate document, and (2) Prepare a redacted version of the document that redacts the information that is asserted to be confidential or proprietary information or a trade secret, and (3) Prepare a signed written statement that states: (i) (ii) (iii) the attached document contains confidential or proprietary information or trade secrets; the Contractor is submitting the document in both redacted and unredacted format in accordance with 65 P.S (b); and the Contractor is requesting that the document be considered exempt under 65 P.S (b)(11) from public records requests. 25. INSURANCE (4) Submit the two documents along with the signed written statement to the Commonwealth. (a) The Contractor shall procure and maintain at its expense and require its subcontractors to procure and maintain, as appropriate, the following types of Page 17 of 84

23 insurance, issued by companies acceptable to the Commonwealth and authorized to conduct such business under the laws of the : (1) Worker s Compensation Insurance for all of the Contractor s employees and those of any subcontractor engaged in performing Services in accordance with the Worker s Compensation Act (77 P.S. 101, et seq). (2) Commercial General Liability insurance to protect the Commonwealth, the Contractor (or, as applicable, Subcontractors) from claims for damages for personal injury (including bodily injury), sickness or disease, accidental death, and damage to property, including loss of use resulting from any property damage which may arise from its operations under this Contract, whether such operation be by the Contractor, by any Subcontractor, or by anyone directly or indirectly employed by either. The limits of such insurance shall be in an amount not less than $500,000 per person and $2,000,000 per occurrence, and annual aggregate, for personal injury and property damage combined. Such policies shall be occurrence based rather than claims-made policies and shall name the as an additional insured, as its interests may appear. The insurance shall not contain any endorsements or any other form designed to limit and restrict any action by the Commonwealth as an additional insured against the insurance coverages in regard to the Services performed for the Commonwealth. (b) (c) (d) Prior to commencing Services under the Contract, the Contractor shall provide the Commonwealth with a copy of each current certificate of insurance. These certificates shall contain a provision that coverages afforded under the policies will not be canceled or changed in such a way to cause the coverage to fail to comply with the requirements of this Paragraph until at least thirty (30) days prior written notice has been given to the Commonwealth, other than for non-payment of premium for which 10 days notice will be provided. The Contractor agrees to maintain such insurance for the life of the Contract. Upon request to and approval by the Commonwealth, Contractor s self-insurance of the types and amounts of insurance set for above shall satisfy the requirements of this Section 25 (INSURANCE), provided the Commonwealth may request from Contractor evidence each year during the term of the contract that Contractor has sufficient assets to cover such losses. 26. CONTRACTOR RESPONSIBILITY PROGRAM (a) The Contractor certifies, for itself and all its subcontractors, that as of the date of its execution of this Bid/Contract, that neither the Contractor, nor any subcontractors, nor any suppliers are under suspension or debarment by the Commonwealth or any governmental entity, instrumentality, or authority and, if Page 18 of 84

24 the Contractor cannot so certify, then it agrees to submit, along with its Bid, a written explanation of why such certification cannot be made. (b) (c) (d) (e) (f) The Contractor must also certify, in writing, that as of the date of its execution of this Bid/Contract, it has no tax liabilities or other Commonwealth obligations. The Contractor s obligations pursuant to these provisions are ongoing from and after the effective date of the contract through the termination date thereof. Accordingly, the Contractor shall have an obligation to inform the Commonwealth if, at any time during the term of the Contract, it becomes delinquent in the payment of taxes, or other Commonwealth obligations, or if it or any of its subcontractors are suspended or debarred by the Commonwealth, the federal government, or any other state or governmental entity. Such notification shall be made within 15 days of the date of suspension or debarment. The failure of the Contractor to notify the Commonwealth of its suspension or debarment by the Commonwealth, any other state, or the federal government shall constitute an event of default of the Contract with the Commonwealth. The Contractor agrees to reimburse the Commonwealth for the reasonable costs of investigation incurred by the Office of State Inspector General for investigations of the Contractor s compliance with the terms of this or any other agreement between the Contractor and the Commonwealth, which results in the suspension or debarment of the Contractor. Such costs shall include, but shall not be limited to, salaries of investigators, including overtime; travel and lodging expenses; and expert witness and documentary fees. The Contractor shall not be responsible for investigative costs for investigations that do not result in the Contractor s suspension or debarment. The Contractor may obtain a current list of suspended and debarred Commonwealth contractors by either searching the internet at: or contacting the: Department of General Services Office of Chief Counsel 603 North Office Building Harrisburg, PA Telephone No. (717) FAX No. (717) OFFSET PROVISION FOR COMMONWEALTH CONTRACTS The Contractor agrees that the Commonwealth may set off the amount of any state tax liability or other obligation of the Contractor or its subsidiaries to the Commonwealth against any payments due the Contractor under any contract with the Commonwealth. Page 19 of 84

25 28. TAXES-FEDERAL, STATE, AND LOCAL The Commonwealth is exempt from all excise taxes imposed by the Internal Revenue Service and has accordingly registered with the Internal Revenue Service to make taxfree purchases under registration No K. With the exception of purchases of the following items, no exemption certificates are required and none will be issued: undyed diesel fuel, tires, trucks, gas- guzzler emergency vehicles, and sports fishing equipment. The Commonwealth is also exempt from Pennsylvania sales tax, local sales tax, public transportation assistance taxes, and fees and vehicle rental tax. The Department of Revenue regulations provide that exemption certificates are not required for sales made to governmental entities and none will be issued. Nothing in this Section is meant to exempt a construction contractor from the payment of any of these taxes or fees which are required to be paid with respect to the purchase, use, rental or lease of tangible personal property or taxable services used or transferred in connection with the performance of a construction contract. 29. LIMITATION OF LIABILITY (a) The Contractor s liability to the Commonwealth under this Contract shall be limited to Five Million Dollars ($5,000,000). This limitation will apply, except as otherwise stated in this Section, regardless of the form of action, whether in contract or in tort, including negligence. This limitation does not, however, apply to damages for (1) bodily injury (2) death; (3) intentional injury; (4) damage to real property or tangible personal property for which the Contractor is legally liable; or (5) the Contractor s indemnity of the Commonwealth for patent, copyright, trade secret, or trademark protection. (b) In no event will the Contractor be liable for consequential or incidental damages unless otherwise specified in the SFP. Except as set out in Section 31 (VIRUS; MALICIOUS, MISCHIEVOUS OR DESTRUCTIVE PROGRAMMING), the Contractor will not be liable for damages due to lost records or data, unless otherwise specified in the SFP. Notwithstanding the foregoing, the Contractor shall provide reasonable assistance to the Commonwealth in restoring such lost records or data to their most recent backup copy. 30. COMMONWEALTH HELD HARMLESS Page 20 of 84

26 (a) (b) The Contractor shall hold the Commonwealth harmless from and indemnify the Commonwealth against any and all third party claims, demands and actions based upon or arising out of any activities performed by the Contractor and its employees and agents under this Contract, provided the Commonwealth gives Contractor prompt notice of any such claim of which it learns. Pursuant to the Commonwealth Attorneys Act (71 P.S , et seq.), the Office of Attorney General (OAG) has the sole authority to represent the Commonwealth in actions brought against the Commonwealth. The OAG may, however, in its sole discretion and under such terms as it deems appropriate, delegate its right of defense. If OAG delegates the defense to the Contractor, the Commonwealth will cooperate with all reasonable requests of Contractor made in the defense of such suits. Notwithstanding the above, neither party shall enter into any settlement without the other party s written consent, which shall not be unreasonably withheld. The Commonwealth may, in its sole discretion, allow the Contractor to control the defense and any related settlement negotiations. 31. VIRUS, MALICIOUS, MISCHIEVOUS OR DESTRUCTIVE PROGRAMMING (a) Notwithstanding any other provision in this Contract to the contrary, if the Contractor or any of its employees, subcontractors or consultants introduces a virus or malicious, mischievous or destructive programming into the Commonwealth s software or computer networks and has failed to comply with the Commonwealth software security standards, and provided further that the Commonwealth can demonstrate that the virus or malicious, mischievous or destructive programming was introduced by the Contractor or any of its employees, subcontractors or consultants, the Contractor shall be liable for any damage to any data and/or software owned or licensed by the Commonwealth. The Contractor shall be liable for any damages incurred by the Commonwealth including, but not limited to, the expenditure of Commonwealth funds to eliminate or remove a computer virus or malicious, mischievous or destructive programming that result from the Contractor s failure to take proactive measures to keep virus or malicious, mischievous or destructive programming from originating from the Contractor, its servants, agents or employees through appropriate firewalls and maintenance of anti-virus software and software security updates (such as operating systems security patches, etc.). In the event of destruction or modification of software, the Contractor shall eliminate the virus, malicious, mischievous or destructive programming, restore the Commonwealth s software, and be liable to the Commonwealth for any resulting damages. The Contractor shall be responsible for reviewing Commonwealth software security standards in effect at the commencement of the Contract and complying with those standards. The Contractor s liability shall cease if the Commonwealth has not fully complied with its own software security standards. Page 21 of 84

27 (b) (c) (d) (e) The Contractor shall perform a security scan on any software or computer program developed by the Contractor or its subcontractors in a country other than the United States of America that may come in contact with the Commonwealth s software or computer networks. Contractor shall perform such security scan prior to introducing any such software or computer program into a Commonwealth development environment, test environment or production environment. The results of these security scans will be provided to the Commonwealth prior to installing into any Commonwealth development environment, test environment or production environment. The Commonwealth may perform, at its discretion, additional security scans on any software or computer program prior to installing in a Commonwealth environment as listed above. The Commonwealth may, at any time, audit, by a means deemed appropriate by the Commonwealth, any computing devices being used by representatives of the Contractor to provide services to the Commonwealth that will be connected to a Commonwealth network for the sole purpose of determining whether those devices have anti-virus software with current virus signature files and the current minimum operating system patches or workarounds have been installed. Devices found to be out of compliance will immediately be disconnected and will not be permitted to connect or reconnect to the Commonwealth network until the proper installations have been made. The Commonwealth shall not install any software or monitoring tools on the Contractor s equipment without the Contractor s written consent to do so. The Contractor may use the anti-virus software used by the Commonwealth to protect Contractor s computing devices used in the course of providing services to the Commonwealth. It is understood that the Contractor may not install the software on any computing device not being used to provide services to the Commonwealth, and that all copies of the software will be removed from all devices upon termination of this Contract. Neither the Commonwealth nor the Issuing Agency will be responsible for any damages to the Contractor s computers, data, software, etc. caused as a result of the installation of the Commonwealth s anti-virus software or monitoring software on the Contractor s computers. 32. PATENT, COPYRIGHT, TRADEMARK AND TRADE SECRET PROTECTION (a) The Contractor shall hold the Commonwealth harmless from any suit or proceeding which may be brought by a third party against the Commonwealth, its departments, officers or employees for the alleged infringement of any United States or foreign patents, copyrights, or trademarks, or for a misappropriation of trade secrets arising out of performance of this Contract, including all work, services, materials, reports, studies, and computer programs provided by the Contractor, and in any such suit or proceeding will satisfy any final award for such infringement, including costs. The Commonwealth agrees to give Contractor Page 22 of 84

28 prompt notice of any such claim of which it learns. Pursuant to the Commonwealth Attorneys Act 71 P.S , et seq., the Office of Attorney General (OAG) has the sole authority to represent the Commonwealth in actions brought against the Commonwealth. The OAG may, however, in its sole discretion and under the terms it deems appropriate, delegate its right of defense. If OAG delegates the defense to the Contractor, the Commonwealth will cooperate with all reasonable requests of Contractor made in the defense of such suits. No settlement which prevents the Commonwealth from continuing to use the Developed Materials as provided herein shall be made without the Commonwealth's prior written consent. In all events, the Commonwealth shall have the right to participate in the defense of any such suit or proceeding through counsel of its own choosing. It is expressly agreed by the Contractor that, in the event it requests that the Commonwealth to provide support to the Contractor in defending any such claim, the Contractor shall reimburse the Commonwealth for all expenses (including attorneys' fees, if such are made necessary by the Contractor s request) incurred by the Commonwealth for such support. If OAG does not delegate the defense of the matter, the Contractor s obligation to indemnify ceases. The Contractor will, at its expense, provide whatever cooperation OAG requests in the defense of the suit. (b) (c) (d) The Contractor agrees to exercise reasonable due diligence to prevent claims of infringement on the rights of third parties. The Contractor certifies that, in all respects applicable to this Contract, it has exercised and will continue to exercise due diligence to ensure that all works produced under this Contract do not infringe on the patents, copyrights, trademarks, trade secrets or other proprietary interests of any kind which may be held by third parties. The Contractor also agrees to certify that work produced for the Commonwealth under this contract shall be free and clear from all claims of any nature. If the defense of the suit is delegated to the Contractor, the Contractor shall pay all damages and costs awarded therein against the Commonwealth. If information and assistance are furnished by the Commonwealth at the Contractor s written request, it shall be at the Contractor s expense, but the responsibility for such expense shall be only that within the Contractor s written authorization. If, in the Contractor s opinion, the products, materials, reports, studies, or computer programs furnished hereunder are likely to or do become subject to a claim of infringement of a United States patent, copyright, or trademark, or for a misappropriation of trade secret, then without diminishing the Contractor s obligation to satisfy any final award, the Contractor may, at its option and expense, substitute functional equivalents for the alleged infringing products, materials, reports, studies, or computer programs or, at the Contractor s option and expense, obtain the rights for the Commonwealth to continue the use of such products, materials, reports, studies, or computer programs. Page 23 of 84

29 (e) (f) If any of the products, materials, reports, studies, or computer programs provided by the Contractor are in such suit or proceeding held to constitute infringement and the use or publication thereof is enjoined, the Contractor shall, at its own expense and at its option, either procure the right to publish or continue use of such infringing products, materials, reports, studies, or computer programs, replace them with non-infringing items, or modify them so that they are no longer infringing. If the Contractor is unable to do any of the preceding, the Contractor agrees to pay the Commonwealth: (1) any amounts paid by the Commonwealth less a reasonable amount based on the acceptance and use of the deliverable; (2) any license fee less an amount for the period of usage of any software; and (3) the prorated portion of any service fees representing the time remaining in any period of service for which payment was made. (g) (h) The obligations of the Contractor under this Section continue without time limit and survive the termination of this contract. Notwithstanding the above, the Contractor shall have no obligation for: (1) modification of any product, service, or deliverable provided by the Commonwealth; (2) any material provided by the Commonwealth to the Contractor and incorporated into, or used to prepare, a product, service, or deliverable; (3) use of the product, service, or deliverable in other than its specified operating environment; (4) the combination, operation, or use of the product, service, or deliverable with other products, services, or deliverables not provided by the Contractor as a system or the combination, operation, or use of the product, service, or deliverable, with any products, data, or apparatus that the Contractor did not provide; (5) infringement of a non-contractor product alone; (6) the Commonwealth s distribution, marketing or use beyond the scope contemplated by the Contract; or (7) the Commonwealth s failure to use corrections or enhancements made available to the Commonwealth by the Contractor at no charge. Page 24 of 84

30 (i) The obligation to indemnify the Commonwealth, under the terms of this Section, shall be the Contractor s sole and exclusive obligation for the infringement or misappropriation of intellectual property. 33. SENSITIVE INFORMATION (a) (b) (c) (d) The Contractor shall not publish or otherwise disclose, except to the Commonwealth or the Contractor s subcontractors and except matters of public record (which is to be determined entirely in the discretion of the Commonwealth), any information or data obtained hereunder from private individuals, organizations, or public agencies. The parties shall not use or disclose any information about a recipient receiving services from, or otherwise enrolled in, a Commonwealth program affected by or benefiting from services under this Contract for any purpose not connected with the parties Contract responsibilities except with consent pursuant to applicable state and federal law and regulations. All documents associated with direct disclosures of this kind must be announced to and open for inspection by the Commonwealth. Contractor will comply with all federal or state laws related to the use and disclosure of information, including information that constitutes Protected Health Information (PHI) as defined by the Health Insurance Portability and Accountability Act (HIPAA). Further, by signing this Contract, the Contractor agrees to the terms of the Business Associate Agreement, which is incorporated into this Contract as Exhibit A. It is understood that Exhibit A is only applicable if indicated in the procurement documents. Rights and obligations of the parties under this Section 33 survive the termination of this Contract 34. CONTRACT CONSTRUCTION The provisions of this Contract shall be construed in accordance with the provisions of all applicable laws and regulations of the. However, by executing this Contract, the Contractor agrees that it has and will continue to abide by the intellectual property laws of the United States of America. 35. OWNERSHIP RIGHTS (a) Definitions When used in this Section 35, the following terms shall have the mean set forth below: Page 25 of 84

31 (1) Affiliates -- Any corporation or other entity controlled by, controlling, or under common control with Contractor. (2) Authorized Contractors -- Contractors engaged by or on behalf of the Commonwealth to assist the Commonwealth in the Permitted Use of the Source Code and Portal Software. (3) Electronic Services -- Readily available services provided through hardware, software and network infrastructure hosted by Contractor or another of its affiliates, including hardware, software and network infrastructure that enable applications developed by Contractor or any of its affiliates, to authorize and capture credit and debit cards for payments; to process all other forms of electronic funds transfer, process billing and collection of funds, to manage the registration of users for Permitted Uses of fee services, and manage the online transaction logging data. It includes such other online services as may be from time to time developed by Contractor, or another of its affiliates, outside of this Contract and made available to the Commonwealth through Contractor. (4) Intellectual Property Any modifications, revisions, corrections or enhancements thereto, and including any inventions, discoveries, ideas, methods, concepts, methodologies, models, templates, user interfaces, screen designs, works of authorship, materials, know-how, information, procedures, processes, techniques, tools, designs, routines, utilities, prototypes and data (except to the extent such data is a Commonwealth Material) embodied within Portal Software and/or Source Code (5) Permitted Uses Use of the functionality of the Portal Software and any Third Party Software to permit Users to access Commonwealth government information, governmental and other sites, and to perform certain Commonwealth governmental licensing, registration transactions, in accordance with the scope and terms of the Contract. The term Permitted Uses excludes the right for the Commonwealth to sell, license or otherwise transfer or permit use of the Portal and Third Party Software. (6) Portal Software The application software modules provided by Contractor to the Commonwealth during the term of this Contract for use in the Portal, plus related user documentation, including any modifications or improvements to the Portal Software provided by Contractor for use on the Portal under this Contract. Portal Software does not include standard commercial off-the-shelf software licensed by Contractor from third parties who are not affiliates of Contractor and identified by the Contractor in writing as Third Party COTS Software. For the avoidance of doubt, the term Portal Software does not include any of the software, data or information hosted by Contractor or its affiliated entities that are used in Electronic Services. Page 26 of 84

32 (7) Source Code The source code listings for a computer software program, and required compile instructions. Where the term software or "Portal Software" is used, such term means software in object code only, unless Source Code is specifically mentioned. (b) Commonwealth Software; License Rights; Grants. (1) All software owned by the Commonwealth or its licensors ( Commonwealth Software ) as of the Effective Date, shall be and shall remain the exclusive property of the Commonwealth or its licensors, and Contractor shall acquire no rights or interests in the Commonwealth Software or Tools or that of its licensors by virtue of this Contract except as described in this Section or in another provision set forth in this Contract. The Contractor shall not use any Commonwealth Software, Commonwealth Tools or software or tools of its licensors for any purpose other than for completion of work to be performed under this Contract. In the use of Commonwealth Software, Commonwealth Tools or software or tools of its licensors, Contractor will be bound by the confidentiality provisions of this Contract. (2) Non-Exclusive, License Grant and Restrictions. During the term of this Contract, Commonwealth grants to Contractor for the limited purpose of providing the Services covered under this Contract, a limited, nonexclusive, nontransferable, royalty-free right (subject to the terms of any third party agreement to which the Commonwealth is a party) to do the following: (i) (ii) (iii) Obtain access to and use of the Commonwealth Software in accordance with the terms of this Contract. Reproduce the Commonwealth Software for archival purposes or for other purposes expressly provided for under this Contract. Modify the Commonwealth Software consistent with the terms and conditions of this Contract provided that Contractor agrees to assign to the Commonwealth, its rights, if any, in any derivative works resulting from Contractor s modification of the Commonwealth Software. Contractor agrees to execute any documents required to evidence this assignment and to waive any moral rights and rights of attribution provided for in Section 106A of Title 17 of the United States Code, the Copyright Act of (iv) Allow the Contractor s subcontractors approved by the Commonwealth to obtain access to the Commonwealth Software for the purposes of complying with the terms and conditions of this Page 27 of 84

33 Contract; provided, however, that neither Contractor nor any of its subcontractors may decompile or reverse engineer, or attempt to decompile or reverse engineer, any of the Commonwealth Software. Commonwealth hereby represents that it has the authority to provide the license grant and rights set forth in this Section. (v) To the extent that Contractor uses Commonwealth Software, Commonwealth Tools or software or tools of its licensor, Contractor agrees to protect the confidentiality of these works and maintain these proprietary works with the strictest confidence. (3) Impact of Third Party Agreements. Subject to the terms of any third party agreement to which the Commonwealth is a party, (i) the Commonwealth shall, at no cost to Contractor, provide Contractor with access to the Commonwealth Software in the form in use by Commonwealth as of the Effective Date of this Contract and, (ii) Contractor, as part of the Services to be rendered under this Contract, shall compile and, as changes are made, update a list of all of the Commonwealth Software then in use by Contractor or any of its subcontractors in connection with Contractor s performance of the Services required by this Contract. (4) Reservation of Rights. All rights, not expressly granted here to Contractor on a nonexclusive basis, including the right to grant non-exclusive licenses and other rights are reserved by the Commonwealth. (5) Termination of Commonwealth License Grant. Upon the expiration or termination for any reason of Contractor s obligation to provide the Services under this Contract, all rights granted to Contractor in this Section 35 (OWNERSHIP RIGHTS) shall immediately cease. Contractor shall, at no cost to Commonwealth, deliver to Commonwealth all of the Commonwealth Software and Tools (including any related source code then in Contractor s possession or under its control) in the form in use as of the Effective Date of such expiration or termination. Within fifteen (15) calendar days after termination, Contractor shall provide the Commonwealth with a current copy of the list of Commonwealth Software in use as of the date of such expiration or termination. Concurrently therewith, Contractor shall destroy or erase all other copies of any of the Commonwealth Software then in Contractor s possession or under its control unless otherwise instructed by Commonwealth, in writing; provided, however, that Contractor may retain one archival copy of such Commonwealth Software and Tools, until final Page 28 of 84

34 resolution of any actively asserted pending disputes between the Parties, such retention being for the sole purpose of resolving such disputes. (6) Effect of License Grant Termination. Consistent with the provisions of this Section, Contractor shall refrain from manufacturing, copying, marketing, distributing, or use of any Commonwealth Software or any other work which incorporates the Commonwealth Software. The obligations of this Section 35 (OWNERSHIP RIGHTS) shall survive any termination of this Contract. (iv) Commonwealth Intellectual Property Protection. Contractor acknowledges Commonwealth s exclusive right, title and interest, including without limitation copyright and trademark rights, in and to Commonwealth Software and/or Commonwealth Tools, shall not in any way, at any time, directly or indirectly, do or cause to be done any act or thing contesting or in any way impairing or tending to impair any part of said right, title, and interest, and shall not use or disclose the Commonwealth Software and/or Commonwealth Tools without Commonwealth s written consent, which consent may be withheld by the Commonwealth for any reason. Further, Contractor shall not in any manner represent that Contractor has any ownership interest in the Commonwealth Software and/or Commonwealth Tools. This provision is a material part of this Section. (c) Contractor Software; License Rights; Grants. (1) Ownership. All Commonwealth trademarks, trade names, logos and other Commonwealth identifiers, Internet uniform resource locators, Internet addresses and addresses, obtained or developed by either party and used pursuant to this Contract, shall be the property of the Commonwealth. All content and all property, data and information furnished by or on behalf of the Commonwealth, any agency, commission or board thereof, or by any customer or user of the Portal to Contractor for Permitted uses or any other work under the Contract ( Commonwealth Materials ) shall be and remain the sole property of the Commonwealth. Where the Commonwealth Materials are not owned by the Commonwealth, the Commonwealth remains, as between the Commonwealth and the Contractor, the party in full control of the use, disclosure and disposition of the Commonwealth Materials. With the exception of the license rights expressly granted hereunder, all rights, title and interest in the Portal Software (including Source Code) in all formats and media, including any modifications, revisions, corrections or enhancements thereto, and including any inventions, discoveries, ideas, methods, concepts, methodologies, models, templates, user interfaces, Page 29 of 84

35 screen designs, works of authorship, materials, know-how, information, procedures, processes, techniques, tools, designs, routines, utilities, prototypes and data (except to the extent such data is a Commonwealth Material) embodied therein (the "Intellectual Property") are and shall remain the exclusive property of Contractor or its Affiliates. Any modifications, upgrades and enhancements to the Portal Software and Source Code made by the Commonwealth or its Authorized Contractors which incorporate any code from the Portal Software or Source Code or any Intellectual Property constitute derivative works of the Portal Software, shall be owned by Contractor and shall be subject to the provisions of this Contract applicable to Portal Software. (2) Use of Electronic Services. During the term of this Contract, Contractor will provide access to the functionality of the Electronic Services through the Portal, for the Permitted Uses. Access to the Electronic Services for Commonwealth shall terminate upon termination of this Contract; provided however, that the Commonwealth or any subsequent contractor operating the Portal may contract for Electronic Services separately and apart from Contractor. The Commonwealth does not have any rights to have or to make copies or archival copies of any software used in the Electronic Services during the term of the Contract or following its termination or expiration. (3) License Grant upon Termination by the Commonwealth for Cause and Natural Expiration of the Full Term. Upon the termination of this Contract by the Commonwealth for Default (as set forth in Section 21(c)), or upon expiration of this Contract upon completion of the full term, including any renewal terms, Contractor hereby grants to the Commonwealth a perpetual, fully paid-up, non-exclusive, license to host (in object code only), copy, modify, enhance, use, create derivative works from, and execute the Portal Software and Source Code for the Portal Software, excluding any Third Party Software (defined below) for the Permitted Uses, subject to the limitations of this Contract. Specifically, subject to the above limitations, the Commonwealth will have the right to: (i) make copies of the Portal Software and Source Code, for archival, testing or back-up purposes, or for development of modifications and enhancements for the Permitted Uses; (ii) modify the Portal Software or Source Code as may be required or desirable for the maintenance or enhancement of the Portal Software or the Portal; (iii) load the Portal Software on any Commonwealth systems (including any system hosted by a third party contracted by the Commonwealth to provide hosting services for the benefit of the Commonwealth)for the Permitted Uses; (iv) use Commonwealth employees or Authorized Contractors to maintain, repair, modify or enhance the Portal Software and Source Code for the Permitted Uses, provided, however, that a contractor will only be deemed to be an Authorized Contract if the contract between the Commonwealth and the Page 30 of 84

36 contractor contains language that protects the source and object code from unauthorized use or disclosure; and (v) allow users of the Portal Software access to the functions of the Portal Software (but not the Source Code) through the Portal solely for Permitted Uses. Notwithstanding any other provision of this Section, the license rights granted under this paragraph shall not be granted in the event of a Default under Section 17(a)(1), 17(a)(4) or 17(a)(12) unless such Default results in a material financial impact on the Commonwealth or applicable Commonwealth agency. (4) Optional License to Third Party Software. At the sole discretion of the Commonwealth, simultaneously with the issuance of the license rights set forth in Section 35(c)(3), License rights to Third Party Software used to operate the Portal shall be transferred to the Commonwealth by Contractor to the extent permissible under the applicable third party license terms. Software that is Third Party Software and which is not transferable to the Commonwealth shall be identified and described by Contractor on a list at the time of Contract termination or at any other time as specified by the Commonwealth during the term of the Contract. Upon written request by the Commonwealth, Contractor shall make available to the Commonwealth a written copy of the license terms applicable to any Third Party Software, including the terms and conditions upon which the Contractor may assign such Third Party Software to the Commonwealth. Upon termination of the Contract, and without limiting in any way Contractor s other warranty obligations set forth in this Contract or any Work Order, upon assignment Contractor makes no warranties with respect to Third Party Software and other materials assigned to the Commonwealth pursuant to this Section 35(c)(4), and the only warranties the Commonwealth receives are the transferable warranties, if any, made by third party licensors and vendors. As used in this Contract, the term Third Party Software shall mean software or documentation created by third parties (other than Contractor, or its portal affiliates) and purchased by or licensed to Contractor. (5) Option of the Commonwealth after Termination. Upon a termination of the Contract for convenience by the Commonwealth, the Commonwealth will be granted, a license to the Portal Software upon the payment of a mutually agreed to license fee. Such license shall be a perpetual, personal, fully paid-up, non-exclusive, license, to host (in object code only), copy, modify, enhance, use, create derivative works from, and execute the Portal Software and Source Code for the Permitted Uses, and such license Contract will contain limitations on use and disclosure similar to those contained in this Contract. (d) Federal Government Interests Page 31 of 84

37 It is understood that certain funding under this Contract may be provided by the federal government. Accordingly, the rights to works developed using federal funds or Patentable Items of Contractors or subcontractors hereunder will be further subject to government rights as set forth in 37 C.F.R. Section 401, and other applicable statutes. (e) Source Code and Escrow Items Obligations Simultaneously with delivery of the Portal Software to Commonwealth, Contractor shall deliver a true, accurate and complete copy of all source codes relating to the Portal Software in escrow, subject to the terms and conditions of an Escrow Agreement to be executed by the Parties and an Escrow Agent that is acceptable to the Commonwealth. 36. PUBLICATION RIGHTS AND/OR COPYRIGHTS (a) (b) (c) Except as otherwise provided in Section 36 (OWNERSHIP RIGHTS), the Contractor shall not publish any of the results of the work without the written permission of the Commonwealth. The publication shall include the following statement: The opinions, findings, and conclusions expressed in this publication are those of the author and not necessarily those of the Commonwealth of Pennsylvania. The Contractor shall not include in the documentation any copyrighted matter, unless the Contractor provides the Commonwealth with written permission of the copyright owner. Except as otherwise provided in Section 35 (OWNERSHIP RIGHTS) and the confidentiality provisions of Section 24 (CONFIDENTIALITY), the Commonwealth shall have unrestricted authority to reproduce, distribute, and use any submitted report or data designed or developed and delivered to the Commonwealth as part of the performance of the Contract. Rights and obligations of the parties under this Section 36 survive the termination of this Contract. 37. CHANGE OF OWNERSHIP OR INSOLVENCY In the event that the Contractor should change ownership for any reason whatsoever, the Commonwealth shall have the exclusive option of continuing under the terms and conditions of this Contract with the Contractor or its successors or assigns for the full remaining term of this Contract, or continuing under the terms and conditions of this Contract with the Contractor or its successors or assigns for such period of time as is necessary to replace the products, materials, reports, studies, or computer programs, or immediately terminating this Contract. Nothing in this section limits the Commonwealth s exercise of any rights that the Commonwealth may have under Section 21 (TERMINATION). Page 32 of 84

38 38. OFFICIALS NOT TO BENEFIT No official or employee of the Commonwealth and no member of its General Assembly who exercises any functions or responsibilities under this Contract shall participate in any decision relating to this Contract which affects their personal interest or the interest of any corporation, partnership, or association in which they are, directly or indirectly, interested; nor shall any such official or employee of the Commonwealth or member of its General Assembly have any interest, direct or indirect, in this Contract or the proceeds thereof. 39. INDEPENDENT CAPACITY OF CONTRACTOR (a) (b) The parties to this Contract agree that the services performed by the Contractor under the terms of this Contract are performed as an independent Contractor. The Services performed by the Contractor are performed neither as an employee of the nor as a partnership or joint venture between the Commonwealth and the Contractor. Except as otherwise provided by the terms of this Contract, the Commonwealth shall have no control over the manner in which the contractual Services are performed by the Contractor, or any subcontractor. Any job specifications or standards of work attached to or incorporated into this Contract or any subcontracting restrictions contained in this Contract shall not be construed as the Commonwealth s direction or control over the manner of the performance of services provided by the Contractor. 40. COMPLIANCE WITH LAWS The Contractor shall comply with all federal, state, and local laws applicable to its Services, including, but not limited to, all statutes, regulations and rules that are in effect as of the Effective Date of the Contract and shall procure at its expense all licenses and all permits necessary for the fulfillment of its obligation. 41. THE AMERICANS WITH DISABILITIES ACT During the term of this Contract, the Contractor agrees as follows: (a) Pursuant to federal regulations promulgated under the authority of The Americans With Disabilities Act, 28 C.F.R , et seq., the Contractor understands and agrees that no individual with a disability shall, on the basis of the disability, be excluded from participation in this Contract or from activities provided for under this Contract. As a condition of accepting and executing this Contract, the Contractor agrees to comply with the General Prohibitions Against Discrimination, 28 C.F.R , and all other regulations promulgated under Title II of The Americans With Disabilities Act which are applicable to the Page 33 of 84

39 benefits, services, programs, and activities provided by the Commonwealth of Pennsylvania through Contracts with outside Contractors. (b) The Contractor shall be responsible for and agrees to indemnify and hold harmless the from losses, damages, expenses claims, demands, suits, and actions brought by any party against the as a result of the Contractor s failure to comply with the provisions of subsection (a) above. 42. EXAMINATION OF RECORDS The Commonwealth may audit the books and records of a contractor or any subcontractor under any negotiated contract or subcontract other than a firm, fixed-price contract to the extent that the books and records relate to the performance of the contract or subcontract. The books and records shall be maintained by the contractor for a period of three years from the date of final payment under the prime contract and by the subcontractor for a period of three years from the date of final payment under the prime contract unless a shorter period is otherwise authorized by the purchasing agency in writing. 43. SINGLE AUDIT ACT OF 1984 In compliance with the Single Audit Act of 1984, the Contractor agrees to the following: (a) (b) (c) (d) This Contract is subject to audit by federal and state agencies or their authorized representative in accordance with the auditing standards promulgated by the Comptroller General of the United States and specified in Government Auditing Standards, 1994 Revisions (Yellow Book). The audit requirement of this Contract will be satisfied if a single audit is performed under the provisions of the Single Audit Act of 1984, 31 U.S.C. 7501, et seq., and all rules and regulations promulgated pursuant to the Act. The Commonwealth reserves the right for federal and state agencies or their authorized representatives to perform additional audits of a financial/compliance, economy/efficiency, or program results nature, if deemed necessary. The Contractor further agrees to comply with requirements that may be issued by the state agency upon receipt of additional guidance received from the federal government regarding the Single Audit Act of ENVIRONMENTAL PROTECTION In carrying out this Contract, the Contractor shall minimize pollution and shall strictly comply with all applicable environmental laws and regulations, including the Clean Streams Law, Act of June 22, 1937, as amended; the Pennsylvania Solid Waste Page 34 of 84

40 Management Act, Act of July 7, 1980 (P.L. 380, No. 97), as amended; and the Dam Safety and Encroachment Act, Act of November 26, 1978 (P.L. 1375, No. 325), as amended. 45. NONDISCRIMINATION CLAUSE/SEXUAL HARASSMENT CLAUSE The Contractor agrees: (a) (b) (c) (d) (e) In the hiring of any employee(s) for the manufacture of supplies, performance of work, or any other activity required under the contract or any subcontract, the Contractor, each subcontractor, or any person acting on behalf of the Contractor or subcontractor shall not, by reason of gender, race, creed, or color, discriminate against any citizen of this Commonwealth who is qualified and available to perform the work to which the employment relates. Neither the Contractor nor any subcontractor nor any person on their behalf shall in any manner discriminate against or intimidate any employee involved in the manufacture of supplies, the performance of work, or any other activity required under the contract on account of gender, race, creed, or color. The Contractor and each subcontractor shall establish and maintain a written sexual harassment policy and shall inform their employees of the policy. The policy must contain a notice that sexual harassment will not be tolerated and employees who practice it will be disciplined. The Contractor and each subcontractor shall not discriminate by reason of gender, race, creed, or color against any subcontractor or supplier who is qualified to perform the work to which the contracts relates. The Contractor and each subcontractor shall, within the time periods requested by the Commonwealth, furnish all necessary employment documents and records and permit access to their books, records, and accounts by the contracting agency and the Bureau of Small Business Opportunities (BSBO), for purpose of ascertaining compliance with provisions of this Nondiscrimination/Sexual Harassment Clause. Within fifteen (15) days after award of any contract, the Contractor shall be required to complete, sign and submit Form STD-21, the Initial Contract Compliance Data form. If the contract is a construction contract, then the Contractor shall be required to complete, sign and submit Form STD-28, the Monthly Contract Compliance Report for Construction Contractors, each month no later than the 15th of the month following the reporting period beginning with the initial job conference and continuing through the completion of the project. Those contractors who have fewer than five employees or whose employees are all from the same family or who have completed the Form STD-21 within the past 12 months may, within the 15 days, request an exemption from the Form STD-21 submission requirement from the contracting agency. Page 35 of 84

41 (f) (g) The Contractor shall include the provisions of this Nondiscrimination/Sexual Harassment Clause in every subcontract so that those provisions applicable to subcontractors will be binding upon each subcontractor. The Commonwealth may cancel or terminate the contract and all money due or to become due under the contract may be forfeited for a violation of the terms and conditions of this Nondiscrimination/Sexual Harassment Clause. In addition, the agency may proceed with debarment or suspension and may place the Contractor in the Contractor Responsibility File. 46. CONTRACTOR INTEGRITY PROVISIONS It is essential that those who seek to contract with the observe high standards of honesty and integrity. They must conduct themselves in a manner that fosters public confidence in the integrity of the Commonwealth procurement process. In furtherance of this policy, Contractor agrees to the following: (a) (b) (c) (d) (e) Contractor shall maintain the highest standards of honesty and integrity during the performance of this contract and shall take no action in violation of state or federal laws or regulations or any other applicable laws or regulations, or other requirements applicable to Contractor or that govern contracting with the Commonwealth. Contractor shall establish and implement a written business integrity policy, which includes, at a minimum, the requirements of these provisions as they relate to Contractor employee activity with the Commonwealth and Commonwealth employees, and which is distributed and made known to all Contractor employees. Contractor, its affiliates, agents and employees shall not influence, or attempt to influence, any Commonwealth employee to breach the standards of ethical conduct for Commonwealth employees set forth in the Public Official and Employees Ethics Act, 65 Pa.C.S et seq.; the State Adverse Interest Act, 71 P.S et seq.; and the Governor s Code of Conduct, Executive Order , 4 Pa. Code et seq., or to breach any other state or federal law or regulation. Contractor, its affiliates, agents and employees shall not offer, give, or agree or promise to give any gratuity to a Commonwealth official or employee or to any other person at the direction or request of any Commonwealth official or employee. Contractor, its affiliates, agents and employees shall not offer, give, or agree or promise to give any gratuity to a Commonwealth official or employee or to any Page 36 of 84

42 other person, the acceptance of which would violate the Governor s Code of Conduct, Executive Order , 4 Pa. Code et seq. or any statute, regulation, statement of policy, management directive or any other published standard of the Commonwealth. (f) (g) (h) (i) Contractor, its affiliates, agents and employees shall not, directly or indirectly, offer, confer, or agree to confer any pecuniary benefit on anyone as consideration for the decision, opinion, recommendation, vote, other exercise of discretion, or violation of a known legal duty by any Commonwealth official or employee. Contractor, its affiliates, agents, employees, or anyone in privity with him or her shall not accept or agree to accept from any person, any gratuity in connection with the performance of work under the contract, except as provided in the contract. Contractor shall not have a financial interest in any other contractor, subcontractor, or supplier providing services, labor, or material on this project, unless the financial interest is disclosed to the Commonwealth in writing and the Commonwealth consents to Contractor s financial interest prior to Commonwealth execution of the contract. Contractor shall disclose the financial interest to the Commonwealth at the time of bid or proposal submission, or if no bids or proposals are solicited, no later than Contractor s submission of the contract signed by Contractor. Contractor, its affiliates, agents and employees shall not disclose to others any information, documents, reports, data, or records provided to, or prepared by, Contractor under this contract without the prior written approval of the Commonwealth, except as required by the Pennsylvania Right-to-Know Law, 65 P.S , or other applicable law or as otherwise provided in this contract. Any information, documents, reports, data, or records secured by Contractor from the Commonwealth or a third party in connection with the performance of this contract shall be kept confidential unless disclosure of such information is: (1) Approved in writing by the Commonwealth prior to its disclosure; or (2) Directed by a court or other tribunal of competent jurisdiction unless the contract requires prior Commonwealth approval; or (3) Required for compliance with federal or state securities laws or the requirements of national securities exchanges; or (4) Necessary for purposes of Contractor s internal assessment and review; or Page 37 of 84

43 (5) Deemed necessary by Contractor in any action to enforce the provisions of this contract or to defend or prosecute claims by or against parties other than the Commonwealth; or (6) Permitted by the valid authorization of a third party to whom the information, documents, reports, data, or records pertain: or (7) Otherwise required by law. (j) Contractor certifies that neither it nor any of its officers, directors, associates, partners, limited partners or individual owners has not been officially notified of, charged with, or convicted of any of the following and agrees to immediately notify the Commonwealth agency contracting officer in writing if and when it or any officer, director, associate, partner, limited partner or individual owner has been officially notified of, charged with, convicted of, or officially notified of a governmental determination of any of the following: (1) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property. (2) Commission of fraud or a criminal offense or other improper conduct or knowledge of, approval of or acquiescence in such activities by Contractor or any affiliate, officer, director, associate, partner, limited partner, individual owner, or employee or other individual or entity associated with: (i) (ii) (iii) obtaining; attempting to obtain; or performing a public contract or subcontract. Contractor s acceptance of the benefits derived from the conduct shall be deemed evidence of such knowledge, approval or acquiescence. (3) Violation of federal or state antitrust statutes. (4) Violation of any federal or state law regulating campaign contributions. (5) Violation of any federal or state environmental law. (6) Violation of any federal or state law regulating hours of labor, minimum wage standards or prevailing wage standards; discrimination in wages; or child labor violations. Page 38 of 84

44 (7) Violation of the Act of June 2, 1915 (P.L.736, No. 338), known as the Workers Compensation Act, 77 P.S. 1 et seq. (8) Violation of any federal or state law prohibiting discrimination in employment. (9) Debarment by any agency or department of the federal government or by any other state. (10) Any other crime involving moral turpitude or business honesty or integrity. Contractor acknowledges that the Commonwealth may, in its sole discretion, terminate the contract for cause upon such notification or when the Commonwealth otherwise learns that Contractor has been officially notified, charged, or convicted. (k) If this contract was awarded to Contractor on a non-bid basis, Contractor must, (as required by Section 1641 of the Pennsylvania Election Code) file a report of political contributions with the Secretary of the Commonwealth on or before February 15 of the next calendar year. The report must include an itemized list of all political contributions known to Contractor by virtue of the knowledge possessed by every officer, director, associate, partner, limited partner, or individual owner that has been made by: (1) Any officer, director, associate, partner, limited partner, individual owner or members of the immediate family when the contributions exceed an aggregate of one thousand dollars ($1,000) by any individual during the preceding year; or (2) Any employee or members of his immediate family whose political contribution exceeded one thousand dollars ($1,000) during the preceding year. To obtain a copy of the reporting form, Contractor shall contact the Bureau of Commissions, Elections and Legislation, Division of Campaign Finance and Lobbying Disclosure, Room 210, North Office Building, Harrisburg, PA (l) Contractor shall comply with requirements of the Lobbying Disclosure Act, 65 Pa.C.S. 13A01 et seq., and the regulations promulgated pursuant to that law. Contractor employee activities prior to or outside of formal Commonwealth procurement communication protocol are considered lobbying and subjects the Contractor employees to the registration and reporting requirements of the law. Actions by outside lobbyists on Contractor s behalf, no matter the procurement stage, are not exempt and must be reported. (m) When Contractor has reason to believe that any breach of ethical standards as set forth in law, the Governor s Code of Conduct, or in these provisions has occurred Page 39 of 84

45 or may occur, including but not limited to contact by a Commonwealth officer or employee which, if acted upon, would violate such ethical standards, Contractor shall immediately notify the Commonwealth contracting officer or Commonwealth Inspector General in writing. (n) (o) (p) (q) Contractor, by submission of its bid or proposal and/or execution of this contract and by the submission of any bills, invoices or requests for payment pursuant to the contract, certifies and represents that it has not violated any of these contractor integrity provisions in connection with the submission of the bid or proposal, during any contract negotiations or during the term of the contract. Contractor shall cooperate with the Office of Inspector General in its investigation of any alleged Commonwealth employee breach of ethical standards and any alleged Contractor non-compliance with these provisions. Contractor agrees to make identified Contractor employees available for interviews at reasonable times and places. Contractor, upon the inquiry or request of the Office of Inspector General, shall provide, or if appropriate, make promptly available for inspection or copying, any information of any type or form deemed relevant by the Inspector General to Contractor's integrity and compliance with these provisions. Such information may include, but shall not be limited to, Contractor's business or financial records, documents or files of any type or form that refers to or concern this contract. For violation of any of these Contractor Integrity Provisions, the Commonwealth may terminate this and any other contract with Contractor, claim liquidated damages in an amount equal to the value of anything received in breach of these provisions, claim damages for all additional costs and expenses incurred in obtaining another contractor to complete performance under this contract, and debar and suspend Contractor from doing business with the Commonwealth. These rights and remedies are cumulative, and the use or non-use of any one shall not preclude the use of all or any other. These rights and remedies are in addition to those the Commonwealth may have under law, statute, regulation, or otherwise. For purposes of these Contractor Integrity Provisions, the following terms shall have the meanings found in this Paragraph (q). (1) Confidential information means information that a) is not already in the public domain; b) is not available to the public upon request; c) is not or does not become generally known to Contractor from a third party without an obligation to maintain its confidentiality; d) has not become generally known to the public through an act or omission of Contractor; or e) has not been independently developed by Contractor without the use of confidential information of the Commonwealth. (2) Consent means written permission signed by a duly authorized officer or employee of the Commonwealth, provided that where the material facts Page 40 of 84

46 have been disclosed, in writing, by pre-qualification, bid, proposal, or contractual terms, the Commonwealth shall be deemed to have consented by virtue of execution of this contract. (3) Contractor means the individual or entity that has entered into this contract with the Commonwealth, including those directors, officers, partners, managers, and owners having more than a five percent interest in Contractor. (4) Financial interest means: i. Ownership of more than a five percent interest in any business; or ii. Holding a position as an officer, director, trustee, partner, employee, or holding any position of management. (5) Gratuity means tendering, giving or providing anything of more than nominal monetary value including, but not limited to, cash, travel, entertainment, gifts, meals, lodging, loans, subscriptions, advances, deposits of money, services, employment, or contracts of any kind. The exceptions set forth in the Governor s Code of Conduct, Executive Order , the 4 Pa. Code 7.153(b), shall apply. (6) Immediate family means a spouse and any unemancipated child. (7) Non-bid basis means a contract awarded or executed by the Commonwealth with Contractor without seeking bids or proposals from any other potential bidder or offeror. (8) Political contribution means any payment, gift, subscription, assessment, contract, payment for services, dues, loan, forbearance, advance or deposit of money or any valuable thing, to a candidate for public office or to a political committee, including but not limited to a political action committee, made for the purpose of influencing any election in the or for paying debts incurred by or for a candidate or committee before or after any election. 47. ASSIGNMENT OF RIGHTS UNDER THE ANTITRUST LAWS The Contractor and the Commonwealth recognize that in actual economic practice, overcharges by Contractor s suppliers resulting from violations of state and federal antitrust laws are in fact borne by the Commonwealth. As part of the consideration for the award of this Contract, and intending to be legally bound, the Contractor assigns to the Commonwealth all rights, title, and interest in and to any claims Contractor now has or may hereafter acquire under state and federal antitrust laws relating to the goods and services which are subject to this Contract. Page 41 of 84

47 48. WARRANTIES The Contractor warrants that the Services and Portal Software will conform in all material respects to the functional specifications for the Portal Software set forth in the applicable Work Order and/or the requirements of the Contract. The warranty period for the Services and Portal Software shall be ninety (90) days from final acceptance. The Contractor shall correct any non-conformity within the warranty period specified herein. (a) (b) (c) (d) (e) (f) The Contractor hereby represents and warrants to the Commonwealth that the Contractor will not cause, or take any action that may directly or indirectly cause a disruption of the Commonwealth s operations. In the event of any nonconformity with the foregoing warranties, the Commonwealth will provide written notification of such nonconformity to the Contractor and the Contractor, at no cost to the Commonwealth, shall within ten (10) days notice of the nonconformity, commence work to remedy the nonconformity and shall work diligently, at no charge to the Commonwealth, until such time as the deliverable conforms, in all material respects, to the functional specifications of the Portal Software set forth in this Contract. The Contractor shall have no obligation with respect to nonconformities arising out of: (a) modifications to Developed Materials made by the Commonwealth, (b) use of the Developed Materials not in accordance with the documentation or specifications applicable thereto, (c) failure by the Commonwealth to implement any corrections or enhancements made available by the Contractor, (d) combination of the Developed Materials with any items not supplied or approved by the Contractor, or (e) the failure of any software licensed under a separate license agreement to conform to its specifications or documentation. Contractor warrants that it has the necessary legal rights, including licenses to third party products, tools or materials, to perform the Services and deliver the Developed Materials under this Contract. THE FOREGOING EXPRESS WARRANTIES ARE THE CONTRACTOR S SOLE AND EXCLUSIVE WARRANTIES AND NO OTHER WARRANTIES, EXPRESS OR IMPLIED, SHALL APPLY, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. All warranties shall survive final acceptance. In the event of an action or complaint by Commonwealth against Contractor pertaining to these warranties, Contractor may raise any defenses that it may have. 49. REMEDIES FOR BREACH OF WORK ORDER OBLIGATIONS Page 42 of 84

48 In the event that specific Services should be subject to remedies, including liquidated damages or earn-back credits payable directly to a Commonwealth agency, such remedies will be set forth in the applicable Work Order. Notwithstanding the preceding sentence, in no event shall any Work Order be deemed to limit or reduce any contractual or legal remedy available to the Commonwealth under this Contract. 50. FORCE MAJEURE Neither party will incur any liability to the other resulting from causes beyond its control and without the fault or negligence of the party that would otherwise be subject to such liability. Causes beyond a party s control may include, but aren t limited to, acts of God or war, changes in controlling law, regulations, orders or the requirements of any governmental entity, severe weather conditions, civil disorders, natural disasters, fire, epidemics and quarantines, general strikes throughout the trade, and freight embargoes. The Contractor shall notify the Commonwealth orally within five (5) days and in writing within ten (10) days of the date on which the Contractor becomes aware, or should have reasonably become aware, that such cause would prevent or delay its performance. Such notification shall (i) describe fully such cause(s) and its effect on performance, (ii) state whether performance under the contract is prevented or delayed and (iii) if performance is delayed, state a reasonable estimate of the duration of the delay. The Contractor shall have the burden of proving that such cause(s) delayed or prevented its performance despite its diligent efforts to perform and shall produce such supporting documentation as the Commonwealth may reasonably request. After receipt of such notification, the Commonwealth may elect to cancel the Contractor to extend the time for performance as reasonably necessary to compensate for the Contractor s delay. In the event of a declared emergency by competent governmental authorities, the Commonwealth by notice to the Contractor, may suspend all or a portion of the Contract. 51. NOTICE Any written notice to any party under this Agreement shall be deemed sufficient if delivered personally, or by facsimile, telecopy, electronic or digital transmission (provided such delivery is confirmed), or by a recognized overnight courier service (e.g., DHL, Federal Express, etc.), with confirmed receipt, or by certified or registered United States mail, postage prepaid, return receipt requested, sent to the address such party may designate by notice given pursuant to this section. 52. RIGHT-TO-KNOW LAW (a) The Pennsylvania Right-to-Know Law, 65 P.S , ( RTKL ) applies to this Contract. For the purpose of this Section 52, the term the Commonwealth shall refer to the contracting Commonwealth organization. Page 43 of 84

49 (b) (c) If the Commonwealth needs the Contractor s assistance in any matter arising out of the RTKL related to this Contract, it shall notify the Contractor using the legal contact information provided in this Contract. The Contractor, at any time, may designate a different contact for such purpose upon reasonable prior written notice to the Commonwealth. Upon written notification from the Commonwealth that it requires the Contractor s assistance in responding to a request under the RTKL for information related to this Contract that may be in the Contractor s possession, constituting, or alleged to constitute, a public record in accordance with the RTKL ( Requested Information ), the Contractor shall: (1) Provide the Commonwealth, within ten (10) calendar days after receipt of written notification, access to, and copies of, any document or information in the Contractor s possession arising out of this Contract that the Commonwealth reasonably believes is Requested Information and may be a public record under the RTKL; and (2) Provide such other assistance as the Commonwealth may reasonably request, in order to comply with the RTKL with respect to this Contract. (d) (e) (f) (g) If the Contractor considers the Requested Information to include a request for a Trade Secret or Confidential Proprietary Information, as those terms are defined by the RTKL, or other information that the Contractor considers exempt from production under the RTKL, the Contractor must notify the Commonwealth and provide, within seven (7) calendar days of receiving the written notification, a written statement signed by a representative of the Contractor explaining why the requested material is exempt from public disclosure under the RTKL. The Commonwealth will rely upon the written statement from the Contractor in denying a RTKL request for the Requested Information unless the Commonwealth determines that the Requested Information is clearly not protected from disclosure under the RTKL. Should the Commonwealth determine that the Requested Information is clearly not exempt from disclosure, the Contractor shall provide the Requested Information within five (5) business days of receipt of written notification of the Commonwealth s determination. If the Contractor fails to provide the Requested Information within the time period required by these provisions, the Contractor shall indemnify and hold the Commonwealth harmless for any damages, penalties, costs, detriment or harm that the Commonwealth may incur as a result of the Contractor s failure, including any statutory damages assessed against the Commonwealth. The Commonwealth will reimburse the Contractor for any costs associated with complying with these provisions only to the extent allowed under the fee schedule Page 44 of 84

50 established by the Office of Open Records or as otherwise provided by the RTKL if the fee schedule is inapplicable. (h) (i) The Contractor may file a legal challenge to any Commonwealth decision to release a record to the public with the Office of Open Records, or in the Pennsylvania Courts, however, the Contractor shall indemnify the Commonwealth for any legal expenses incurred by the Commonwealth as a result of such a challenge and shall hold the Commonwealth harmless for any damages, penalties, costs, detriment or harm that the Commonwealth may incur as a result of the Contractor s failure, including any statutory damages assessed against the Commonwealth, regardless of the outcome of such legal challenge. As between the parties, the Contractor agrees to waive all rights or remedies that may be available to it as a result of the Commonwealth s disclosure of Requested Information pursuant to the RTKL. The Contractor s duties relating to the RTKL are continuing duties that survive the expiration of this Contract and shall continue as long as the Contractor has Requested Information in its possession. 53. GOVERNING LAW This Contract shall be interpreted in accordance with and governed by the laws of the, without giving effect to its conflicts of law provisions. Except as set forth in Section 23 (CONTRACT CONTROVERSIES), Commonwealth and Contractor agree that the courts of the and the federal courts of the Middle District of Pennsylvania shall have exclusive jurisdiction over disputes under this Contract and the resolution thereof. Any legal action relating to this Contract must be brought in Dauphin County, Pennsylvania, and the parties agree that jurisdiction and venue in such courts is appropriate. 54. SCALABILITY The Parties acknowledge and agree that this Contract contemplates Contractor providing both revenue-generating and non-revenue-generating services to the Commonwealth pursuant to the terms and conditions set forth in a series of Work Orders. The extent to which Contractor is able to provide services under non- revenue-generating Work Orders is related to and dependent on the overall financial stability of Contractor s operations under the Contract. As part of the annual budget process contemplated in the Response, Contractor shall agree to provide additional non-revenue-generating services to Commonwealth agencies as the total revenue generated under the Contract increases. In the event of a revenue shortfall that is or is projected to be greater than 10% below the revenue contemplated by the parties in connection with the annual budget process, Contractor shall provide written notice to the Commonwealth and the parties will work together in good faith to identify additional sources of revenue or to mutually agree to a reduction or modification of non revenue generating services in order to offset the loss in revenue. Page 45 of 84

51 55. ARRA ADDENDUM Contractor agrees that in consideration of receipt of Federal American Recovery and Reinvestment Act of 2009, Pub. L , ( ARRA ) Funds, it shall comply with all of the terms, conditions, requirements and limitations set forth in Exhibit B (ARRA Addendum), which is incorporated herein as a material part of the Contract; provided, however, the requirements of Exhibit B shall only apply to those products and/or services purchased in whole or in part with ARRA funds. 56. RECYCLED MATERIALS Except as specifically waived by the Department of General Services in writing, any products which are provided to the Commonwealth as a part of the performance of the Contract must meet the minimum percentage levels for total recycled content as specified below. PAPER PRODUCTS RECYCLED CONTENT (A) REQUIREMENT All paper offered by the bidder, or included in the final product offered by the bidder, and sold to the Commonwealth must contain the minimum percentage of post-consumer content as shown below for the applicable products: Item Notes (%) Post-Consumer Content % Printing and Writing Papers Reprographic Business papers such as bond, electrostatic, 30 copy, mimeo, duplicator and reproduction Offset Used for book publishing, commercial 30 printing, direct mail, technical documents, and manuals Tablet Office paper such as note pads and notebooks 30 Forms bond Bond type papers used for business forms 30 such as continuous, cash register, sales book, unit sets, and computer printout, excluding carbonless Envelope Wove 30 Kraft, white and colored (including manila) 10 Kraft, unbleached 10 Excludes custom envelopes Cotton fiber High-quality papers used for stationery, 30 Page 46 of 84

52 invitations, currency, ledgers, maps, and other specialty items Text and cover Premium papers used for cover stock, 30 books, and stationery and matching envelopes Supercalendered Groundwood paper used for advertising 10 and mail order inserts, catalogs, and some magazines Machine finished groundwood Groundwood paper used in magazines and 10 catalogs Papeteries Used for invitations and greeting cards 30 Check safety Used in the manufacture of commercial 10 and government checks Coated Used for annual reports, posters, brochures, 10 and magazines. Have gloss, dull, or matte finishes Carbonless Used for multiple-impact copy forms 30 File folders Manila or colored 30 Dyed filing products Used for multicolored hanging folders and 20 wallet files Index and card stock Used for index cards and postcards 20 Pressboard High-strength paperboard used in binders 20 and report covers Tags and tickets Used for toll and lottery tickets, licenses, and 20 identification and tabulating cards Newsprint Newsprint Groundwood paper used in newspapers 20 Commercial Sanitary Tissue Products Bathroom tissue Used in rolls or sheets 20 Paper towels Used in rolls or sheets 40 Paper napkins Used in food service applications 30 Facial tissue Used for personal care 10 General-purpose Used in cleaning and wiping applications 40 Industrial wipers Paperboard and Packaging Products Corrugated containers Used for packaging and shipping a variety Of goods (<300 psi) 25 (300 psi) 25 Solid fiber boxes Used for specialized packaging needs such 40 Page 47 of 84

53 as dynamite packaging and army ration boxes Folding cartons Used to package a wide variety of foods, 40 household products, cosmetics, pharmaceuticals, detergent, and hardware Industrial paperboard Used to create tubes, cores, cans and 45 drums Miscellaneous Includes chipboard pad backings, book 75 covers, covered binders, mailing tubes, game boards, and puzzles Padded mailers Made from kraft paper that is usually brown 5 but can be bleached white Carrierboard A type of folding carton designed for 10 multipack beverage cartons Brown papers Used for bags and wrapping paper 5 Miscellaneous Paper Products Tray liners Used to line food service trays. Often 50 contain printed information. Post-consumer content is material or finished product that has served its intended use and has been diverted or recovered from waste destined for disposal, having completed it life as a consumer item. Post-consumer content is part of the broader category of recovered material. The recognizes that paper products are universally made with scrap material recovered from the manufacturing process; use of such materials is a standard practice, both efficient and economical for the paper maker; therefore, bidders of paper products need not certify that their products are made with pre-consumer, recovered, or secondary paper fiber. (B) BIDDER S CERTIFICATION Bidder certifies that the paper product(s) which the bidder is offering contains the required minimum percentage of post-consumer content as shown above for the product. (C) MANUFACTURER/MILL CERTIFICATION In addition to the Bidders Certification in Subsection (B), a mill certification must be completed and signed by the mill before payment will be made to the successful bidder for the delivered items. The enclosed Manufacturer/Mill Certification form must be used. Bidders are not required to submit the completed and signed Manufacturer/Mill Certification form with their bids. THE COMMONWEALTH SHALL HAVE NO OBLIGATION TO PAY FOR THE ITEM(S) UNTIL A PROPERLY COMPLETED AND SIGNED MANUFACTURER/MILL CERTIFICATION IS SUBMITTED FOR THE DELIVERED ITEM. (D) ENFORCEMENT Page 48 of 84

54 Awarded bidders may be required, after delivery of the paper product(s), to provide the Commonwealth with documentary evidence that the paper product(s) were in fact produced with the required minimum percentage of post-consumer content. Page 49 of 84

55 EXHIBIT A COMMONWEALTH OF PENNSYLVANIA BUSINESS ASSOCIATE AGREEMENT WHEREAS, the [name of program and/or Department] (Covered Entity) and Contractor (Business Associate) intend to protect the privacy and security of certain Protected Health Information (PHI) to which Business Associate may have access in order to provide goods or services to or on behalf of Covered Entity, in accordance with the Health Insurance Portability and Accountability Act of 1996, Public Law (HIPAA), the Health Information Technology for Economic and Clinical Health (HITECH) Act, Title XIII of Division A and Title IV of Division B of the American Recovery and Reinvestment Act of 2009 (ARRA), Pub. L. No (Feb. 17, 2009), the HIPAA Privacy Rule (Privacy Rule), 45 C.F.R. Parts 160 and 164, and the HIPAA Security Rule (Security Rule), 45 C.F.R. Parts 160, 162 and 164, and all other applicable laws; and WHEREAS, Business Associate may receive PHI from Covered Entity, or may create or obtain PHI from other parties for use on behalf of Covered Entity, which PHI can be used or disclosed only in accordance with this Agreement and the standards established by applicable laws; and WHEREAS, Business Associate may receive PHI from Covered Entity, or may create or obtain PHI from other parties for use on behalf of Covered Entity that is in electronic form, which PHI must be handled in accordance with this Agreement and the standards established by HIPAA and the Security Rule and other applicable laws; and NOW, THEREFORE, the parties to this Agreement set forth the following as the terms and conditions of their understanding. 1. Definitions. a. Breach shall have the meaning assigned to such term at 42 USCS and HIPAA regulations at 45 C.F.R b. Business Associate shall have the meaning given to such term under the Privacy and Security Rules, including but not limited to, 45 C.F.R c. Covered Entity shall have the meaning given to such term under the Privacy and Security Rules, including, but not limited to, 45 C.F.R d. HIPAA shall mean the Health Insurance Portability and Accountability Act of 1996, Public Law e. Privacy Rule shall mean the standards for privacy of individually identifiable health information in 45 C.F.R. Parts 160 and 164. Page 50 of 84

56 f. Protected Health Information or PHI shall have the meaning given to such term under HIPAA and the HIPAA Regulations in 45 C.F.R. Parts 160, 162 and 164, including, but not limited to 45 C.F.R g. Security Rule shall mean the security standards in 45 C.F.R. Parts 160, 162 and 164. h. Terms used, but not otherwise defined, in this Agreement shall have the same meaning as those terms in the Health Insurance Portability and Accountability Act of 1996, Public Law (HIPAA), the Health Information Technology for Economic and Clinical Health (HITECH) Act, Title XIII of Division A and Title IV of Division B of the American Recovery and Reinvestment Act of 2009 (ARRA), Pub. L. No (Feb. 17, 2009), the HIPAA Privacy Rule (Privacy Rule), 45 C.F.R. Parts 160 and 164, and the HIPAA Security Rule (Security Rule), 45 C.F.R. Parts 160, 162 and Stated Purposes for Which Business Associate May Use or Disclose PHI. The Parties hereby agree that Business Associate shall be permitted to use and/or disclose PHI provided by or obtained on behalf of Covered Entity for purposes state in Appendix A, except as otherwise stated in this Agreement. NO OTHER USES OR DISCLOSURES OF PHI ARE PERMITTED. 3. BUSINESS ASSOCIATE OBLIGATIONS: a. Security and Privacy Provisions Applicable to Business Associate. Business Associate shall abide by the security and privacy provisions applicable to Covered Entities which are made applicable to the Business Associate by 42 USCS and b. Limits on Use and Further Disclosure Established by Agreement and Law. Business Associate hereby agrees that the PHI provided by, or created or obtained on behalf of Covered Entity shall not be further used or disclosed other than as permitted or required by this Agreement or as Required by Law. c. Appropriate Safeguards. Business Associate shall establish and maintain appropriate safeguards to prevent any use or disclosure of PHI other than as provided for by this Agreement. Appropriate safeguards shall include implementing administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of the electronic PHI that is created, received, maintained, or transmitted on behalf of the Covered Entity. Page 51 of 84

57 d. Reports of Improper Use or Disclosure. Business Associate hereby agrees that it shall report to the Covered Entity s Privacy Officer, or his designee, and the Covered entity s legal office, within two (2) days of discovery any Breach or use or disclosure of PHI not provided for or allowed by this Agreement (unless some more stringent standard applies under this Contract). Business Associate agrees to conduct reasonable diligence to discover improper use or disclosure of PHI. Such notification shall be written and shall include the identification of each individual whose unsecured PHI has been, or is reasonably believed by the Business Associate to have been, accessed, acquired, or disclosed during the improper use or disclosure or Breach. An improper use or disclosure or Breach shall be treated as discovered by the Business Associate on the first day on which it is known to the Business Associate (including any person other than the person committing the Breach, that is an employee, officer, or other agent of the Business Associate) or should reasonably have been known to the Business Associate (or such person) to have occurred. e. Reports of Security Incidents. In addition to following the Breach notification requirements in section of the HITECH Act and related regulations and guidance, Business Associate shall report to Covered Entity s Privacy Officer, or his designee, within two (2) days of discovery any Security Incident of which it becomes aware. f. Subcontractors and Agents. Business Associate hereby agrees that any time PHI is provided or made available to any subcontractors or agents, Business Associate shall provide only the minimum necessary PHI for the purpose of the covered transaction and shall first enter into a subcontract or contract with the subcontractor or agent that contains the same terms, conditions and restrictions on the use and disclosure of PHI as contained in this Agreement. g. Right of Access to PHI. Business Associate hereby agrees to allow an individual who is the subject of PHI maintained in a designated record set, to have access to and copy that individual s PHI within five (5) business days of receiving a written request from the Covered Entity or individual. Business Associate shall provide PHI in the format requested, unless it cannot readily be produced in such format, in which case it shall be provided in standard hard copy. If any individual requests from Business Associate or its agents or subcontractors access to PHI, Business Associate shall notify Covered Entity of same within two (2) business days. Business associate shall further conform with and meet all of the requirements of 45 C.F.R , 42 USCS 17936(e), and other applicable laws. Page 52 of 84

58 h. Amendment and Incorporation of Amendments. Within five (5) business days of receiving a request from Covered Entity for an amendment of PHI maintained in a designated record set, Business Associate shall make the PHI available and incorporate the amendment to enable Covered Entity to comply with 45 C.F.R and other applicable laws. If any individual requests an amendment from Business Associate or its agents or subcontractors, Business Associate shall notify Covered Entity within five (5) business days. i. Provide Accounting of Disclosures. Business Associate agrees to maintain a record of all disclosures of PHI in accordance with 45 C.F.R , 42 USCS 17935(c), and other applicable laws. Such records shall include, for each disclosure, the date of the disclosure, the name and address of the recipient of the PHI, a description of the PHI disclosed, the name of the individual who is the subject of the PHI disclosed, the purpose of the disclosure, and shall include disclosures made on or after the date that is six (6) years prior to the request or April 14, 2003, whichever is later. Business Associate shall make such record available to the individual or the Covered Entity within five (5) business days of a request for an accounting of disclosures, or within such other time as may be dictated by applicable law. j. Access to Books and Records. Business Associate hereby agrees to make its internal practices, books, and records relating to the use or disclosure of PHI received from, or created or received by Business Associate on behalf of the Covered Entity, available to the Secretary of Health and Human Services or designee for purposes of determining compliance with the HIPAA Privacy Regulations. k. Return or Destruction of PHI. At termination of this Agreement, Business Associate hereby agrees to return or destroy all PHI provided by or obtained on behalf of Covered Entity. Business Associate agrees not to retain any copies of the PHI after termination of this Agreement. If return or destruction of the PHI is not feasible, Business Associate agrees to extend the protections of this Agreement to limit any further use or disclosure until such time as the PHI may be returned or destroyed. If Business Associate elects to destroy the PHI, it shall certify to Covered Entity that the PHI has been destroyed. l. Maintenance of PHI. Notwithstanding Section 5(j) of this Agreement, Business Associate and its subcontractors or agents shall retain all PHI throughout the term of the Agreement and shall continue to maintain the information required under 5(h) of this Agreement for a period of six (6) years after termination of the Agreement, unless Covered Entity and Business Associate agree otherwise. Page 53 of 84

59 m. Mitigation Procedures. Business Associate agrees to establish and to provide to Covered Entity upon request, procedures for mitigating, to the maximum extent practicable, any harmful effect from the use or disclosure of PHI in a manner contrary to this Agreement or the Privacy Rule. Business Associate further agrees to mitigate any harmful effect that is known to Business Associate of a use or disclosure of PHI by Business Associate in violation of this Agreement or the Privacy Rule. n. Training. Business Associate will train all members of its workforce on its policies and procedures with respect to PHI as necessary and appropriate for the workforce members to carry out the functions required by this contract. o. Sanction Procedures. Business Associate agrees that it shall develop and implement a system of sanctions for any employee, subcontractor or agent who violates this Agreement or other applicable laws. p. Grounds for Breach by Covered Entity. Upon Business Associate s knowledge of a material breach by Commonwealth of this Business Associate Agreement, Business Associate shall notify Commonwealth of such breach and Commonwealth shall have at least thirty (30) days to cure such breach. In the event Commonwealth does not cure the breach, Business Associate shall have the right to report the violation to the Secretary. Notwithstanding any other language in this Agreement, the parties agree that termination by the Business Associate is infeasible. q. Grounds for Breach. Any non-compliance by Business Associate with this Agreement or the Privacy or Security Rules will automatically be considered to be a breach of the Agreement, if Business Associate knew or reasonably should have known of such non- compliance and failed to immediately take reasonable steps to cure the non-compliance. Business Associate shall have thirty (30) days to cure such breach from the date of notice to cure by the Commonwealth. In the event Business Associate does not cure the breach, the Commonwealth shall have the right to immediately terminate this Agreement and the underlying agreement. If termination is infeasible, the Commonwealth shall report the violation to the Secretary. r. Termination by Commonwealth. Business Associate authorizes termination of this Agreement by the Commonwealth if the Commonwealth determines, in its sole discretion, that the Business Associate has violated a material term of this Agreement. s. Failure to Perform Obligations. In the event Business Associate fails to perform its obligations under this Agreement, Covered Entity may immediately discontinue providing PHI to Business Associate. Covered Page 54 of 84

60 Entity may also, at its option, require Business Associate to submit to a plan of compliance, including monitoring by Covered Entity and reporting by Business Associate, as Covered Entity in its sole discretion determines to be necessary to maintain compliance with this Agreement and applicable law. t. Privacy Practices. The Department will provide and Business Associate shall immediately begin using any applicable form, including but not limited to, any form used for Notice of Privacy Practices, Accounting for Disclosures, or Authorization, upon the effective date designated by the Program or Department. The Department retains the right to change the applicable privacy practices, documents and forms. The Business Associate shall implement changes as soon as practicable, but not later than 45 days from the date of notice of the change. 4. OBLIGATIONS OF COVERED ENTITY: a. Provision of Notice of Privacy Practices. Covered Entity shall provide Business Associate with the notice of privacy practices that the Covered Entity produces in accordance with applicable laws, as well as changes to such notice. b. Permissions. Covered Entity shall provide Business Associate with any changes in, or revocation of, permission by individual to use or disclose PHI of which Covered Entity is aware, if such changes affect Business Associate s permitted or required uses and disclosures. c. Restrictions. Covered Entity shall notify Business Associate of any restriction to the use or disclosure of PHI that the Covered Entity has agreed to in accordance with 45 C.F.R and other applicable laws, to the extent that such restriction may affect Business Associate s use or disclosure of PHI. 5. MISCELLANEOUS: a. Regulatory References. A reference in this Appendix to a section in the Privacy or Security Rules means the section as in effect or as amended as reasonably determined by the Covered Entity. b. Amendment. The Parties agree to take such action as is necessary to amend this Appendix from time to time as is necessary for the Covered Entity to comply with the requirements of the Privacy and Security Rules and the Health Insurance Portability and Accountability Act of 1996, Pub. L. No Page 55 of 84

61 c. Survival. The respective rights and obligations of Business Associate under section 5(a) of this Appendix shall survive the termination of the Agreement. d Interpretation. Any ambiguity in this Appendix shall be resolved to permit Covered Entity to comply with the Privacy and Security Rules as reasonably determined by the Covered Entity. e. Changes in Law. Business Associate shall comply with all applicable privacy and security rules and regulations, including but not limited to HIPAA regulations and the HITECH Act and HITECH regulations which are now in effect or which take effect during the term of this contract. Page 56 of 84

62 Appendix A to Business Associate Agreement Permitted Uses and Disclosures of Protected Health Information 1. Purpose of Disclosure of PHI to Business Associate: To allow to meet the requirements of Contract # 2. Information to be Disclosed to Business Associate: 3. Use to Effectuate Purpose of Agreement: may use and disclose PHI to the extent contemplated by Contract # and as permitted by law with Commonwealth approval and guidance. Page 57 of 84

63 Preamble EXHIBIT B ARRA ADDENDUM Implementation of the American Recovery and Reinvestment Act of 2009 The American Recovery and Reinvestment Act of 2009, Pub. L , ( ARRA ) was enacted to preserve and create jobs and promote economic recovery, assist those most impacted by the recession, provide investments needed to increase economic efficiency by spurring technological advances in science and health, invest in transportation, environmental protection, and other infrastructure that will provide long-term economic benefits, stabilize State and local government budgets, in order to minimize and avoid reductions in essential services and counterproductive State and local tax increases. This agreement addendum addresses additional requirements applicable to ARRA funds. Subject to further guidance by the applicable Federal awarding agency, the following terms and conditions are consistent with the mandatory requirements for agreements funded by ARRA. Be advised that ARRA funds can be used in conjunction with other funding as necessary to complete projects, but tracking and reporting must be separate to meet the reporting requirements of ARRA and related guidance. For projects funded by other sources in addition to ARRA funds, Contractors must keep separate records for ARRA funds and must ensure those records comply with the requirements of the ARRA. The federal Government has not fully developed the implementing instructions of ARRA, particularly concerning specific procedural requirements for the new reporting requirements. The Contractor will be provided these details as they become available. The Contractor must comply with all requirements of ARRA. In the event there is any inconsistency between these ARRA requirements and current award terms and conditions, the ARRA requirements will take precedence. Contractor agrees that in consideration of receipt of Federal ARRA Funds, it will comply with all of the terms, conditions, requirements and limitations set forth below: Definitions A. ARRA funds means funds expended or obligated from appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L B. Contractor is defined as any person, including, but not limited to, a bidder, offeror, loan recipient, grantee, or subgrantee, who has furnished or seeks to furnish goods, supplies, services, or leased space, or who has performed or seeks to perform construction activity under contract, subcontract, grant, or subgrant with the Commonwealth, or with a person under contract, subcontract, grant, or subgrant with the Commonwealth or its state-affiliated entities, and state-related institutions. The term contractor may include a permittee, licensee, or any agency, political subdivision, instrumentality, public authority, or other entity of the Commonwealth. Page 58 of 84

64 ARRA Terms & Conditions 1. Revisions to Requirements. Contractor acknowledges that this Addendum may be revised pursuant to ongoing guidance from the relevant Federal or Commonwealth agency regarding requirements for ARRA funds. Contractor agrees to abide by any such revisions upon receipt of written notification from the Commonwealth of the revisions, which will automatically become a material part of this Addendum, without the necessity of either party executing any further instrument. 2. Reporting Requirements. Not later than 5 days after the end of each calendar quarter, or more frequently as directed by the Commonwealth, the Contractor shall submit a report to the Commonwealth that contains: (a) (b) (c) The total amount of ARRA funds received; The amount of ARRA funds received that were expended or obligated to projects or activities; A detailed list of all projects or activities for which ARRA funds were expended or obligated, including: (1) the name of the project or activity; (2) a description of the project or activity; (3) an evaluation of the completion status of the project or activity; (4) an estimate of the number of jobs created and the number of jobs retained by the project or activity; and (5) for infrastructure investments made by State and local governments, the purpose, total cost, and rationale of the agency for funding the infrastructure investment with funds made available under ARRA, and name of the person to contact at the agency if there are concerns with the infrastructure investment; (d) (e) Detailed information on any subcontracts or subgrants awarded by the Contractor must include the data elements required to comply with the Federal Funding Accountability and Transparency Act of 2006 (Public Law ), allowing aggregate reporting on awards below $25,000 or to individuals, as prescribed by the Director of the Office of Management and Budget; If required by the Commonwealth, Contractor agrees to separately identify the expenditures for each award funded under ARRA on the Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF-SAC) Page 59 of 84

65 required by Office of Management and Budget Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations." This identification on the SEFA and SF-SAC shall include the Federal award number, the Catalog of Federal Domestic Assistance (CFDA) number, and amount such that separate accountability and disclosure is provided for ARRA funds by Federal award number consistent with the Contractor reports required by ARRA; (f) If required by the Commonwealth, Contractor shall submit backup documentation for expenditures of ARRA funds including such items as timecards and invoices. Contractor shall provide copies of backup documentation at the request of the Commonwealth. 3. Registrations and Identification Information (a) (b) Contractor must maintain current registrations in the Center Contractor Registration ( at all times during which they have active federal awards funded with ARRA funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number ( is one of the requirements for registration in the Central Contractor Registration. If applicable, the Contractor agrees to separately identify to each sub-contractor and document at the time of award of contract or approval of application and at the time of disbursement of funds, the Federal award number, CFDA number, and amount of ARRA funds. 4. Flow Down Requirement. Contractor must include these ARRA Terms and Conditions in any subcontract. 5. Prohibition on Use of Funds. No ARRA funds may be used for any casino or other gambling establishment, aquarium, zoo, golf course, or swimming pool, or any other items prohibited by ARRA. 6. Required Job Posting. To ensure Pennsylvanians have the utmost opportunity to be hired for jobs created through the receipt of ARRA funding, all Contractors shall post jobs they create or seek to fill as a result of receiving ARRA funding to the PA CareerLink system at Contractors can locate their local PA CareerLink office through the same website or by calling Staff at local PA CareerLinks can assist Contractors with posting positions and explain how to retrieve resumes or applications within the system. 7. Wage Rate Requirements. Section 1606 of ARRA requires that all laborers and mechanics employed by contractors and subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal Government pursuant to ARRA shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code. Page 60 of 84

66 8. Whistleblower Provision. (a) An employee of any non-federal employer receiving covered funds may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing, including a disclosure made in the ordinary course of an employee s duties, to an inspector general, the Comptroller General, a member of Congress, a State or Federal regulatory or law enforcement agency, a person with supervisory authority over the employee (or such other person working for the employer who has the authority to investigate, discover, or terminate misconduct), a court or grand jury, the head of a Federal agency, or their representatives, information that the employee reasonably believes is evidence of: (1) gross mismanagement of an agency contract or grant relating to covered funds; (2) a gross waste of covered funds; (3) a substantial and specific danger to public health or safety related to the implementation or use of covered funds; (4) an abuse of authority related to the implementation or use of covered funds; or (5) a violation of law, rule, or regulation related to an agency contract (including the competition for or negotiation of a contract) or grant, awarded or issued relating to covered funds. (b) (c) A person who believes that the person has been subjected to a reprisal prohibited by subsection (a) may submit a complaint regarding the reprisal to the appropriate U.S. Office of the Inspector General. Any employer receiving covered funds under ARRA, shall post notice of the rights and remedies as required by Section 1553 of ARRA. See 9. Duty to Report Fraud. Contractors and subcontractors shall promptly refer to the U.S. Office of Inspector General and Commonwealth Office of Inspector General any credible evidence that a principal, employee, agent, contractor, sub-grantee, subcontractor or other person will or has: 1) submitted a false claim under the False Claims Act; 2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, ethics or similar misconduct involving ARRA funds; or 3) engaged in misuse, gross waste, gross mismanagement or abuse of authority related to the use or award of ARRA funds. Page 61 of 84

67 10. Environmental and Preservation Requirements. The Contractor shall comply with all applicable Federal, State, and local environmental and historic preservation (EHP) requirements and shall provide any information requested by the awarding Federal agency to ensure compliance with applicable laws including: National Environmental Policy Act, National Historic Preservation Act, Endangered Species Act, the Clean Air Act, the Federal Water Pollution and Control Act, and Executive Orders on Floodplains (11988), Wetlands (11990) and Environmental Justice (12898). Failure of the Contractor to meet Federal, State, and local EHP requirements and obtain applicable permits may jeopardize Federal funding. The Contractor shall not undertake any project having the potential to impact EHP resources without the prior approval of the awarding Federal agency, including but not limited to communication towers, physical security enhancements, new construction, and modification to buildings that are 50 years old or greater. The Contractor must comply with all conditions placed on the project as a result of the EHP review. Any change to the approved project scope of work will require reevaluation for compliance with these EHP requirements. If ground disturbing activities occur during project implementation, the Contractor must ensure monitoring of ground disturbance and if any potential archeological resources are discovered, the Contractor will immediately cease construction in that area and notify the awarding Federal agency and the Pennsylvania Historical and Museum Commission. Any construction activities that have been initiated prior to the full environmental and historic preservation review will result in a non-compliance finding. 11. No Contracts with Debarred or Suspended Entities. The Contractor shall not enter into any contract or subcontract with any party that has been debarred or suspended from either: (a) (b) contracting with the Federal Government or the Commonwealth; or participating in any Federal or Commonwealth assistance programs. 12. Prohibition on Lobbying. (a) (b) The Contractor covenants and agrees that it will not expend any funds appropriated by Congress to pay any person for influencing or attempting to influence an officer or employee of any agency, or a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract; the making of any Federal grant; the making of any Federal loan; the entering into of any Agreement; and, the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or Agreement. Section 319 of Public Law (31 U.S.C. Section 1352) and any applicable regulations are incorporated by reference and the Contractor agrees to comply with all the provisions thereof, including any amendments to the Interim Final Rule that may hereafter be issued. Page 62 of 84

68 13. Nondiscrimination Provisions. The Contractor covenants and agrees that no person shall be denied benefits of, or otherwise be subjected to discrimination in connection with the Contractor s performance under this Agreement. Accordingly, and to the extent applicable, the Contractor covenants and agrees to comply with the following: (a) (b) (c) (d) On the basis of race, color or national origin, in Title V I of the Civil Rights Act of 1964 (42 U.S.C. Section 2000d et seq.) as implemented by applicable regulations. On the basis of race, color, religion, sex, or national origin, in Executive Order (3 CFR, Comp. pg. 339), as implemented by applicable regulations. On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), as implemented by applicable regulations. On the basis of age, in The Age Discrimination Act of 1975 (42 U.S.C. Section 6101 et seq.), as implemented by applicable regulations. (e) On the basis of handicap, in Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by applicable regulations. 14. DBE Provisions. The Contractor shall comply with all applicable federal Disadvantaged Business Enterprises (DBE) requirements related to DBE programs. In the event there are no federal DBE programs applicable to this agreement, the Contractor shall comply with the Pennsylvania Department of General Services (DGS) policy for contracting ( en_business_opportunities/1358 ). In the event this agreement is a grant agreement not covered by federal DBE requirements, the Contractor shall use reasonable and good faith efforts to solicit and utilize DGS- certified Minority Business Enterprises (MBEs) and Women Business Enterprises (WBEs) for those contracting, subcontracting and purchase opportunities that exist and report utilization to DGS. 15. Access to Records. Contractor agrees that with respect to each agreement using, in whole or in part, ARRA funds, any representative of an appropriate U.S. Inspector General appointed under section 3 or 8G of the Inspector General Act of 1988 (5 U.S.C. App.) or of the U.S. Comptroller General is authorized: (a) (b) to examine any records of the Contractor, any of its subcontractors, or any state or local agency administering such contract that pertain to, and involve transactions relating to the contract; and to interview any officer or employee of the contractor, subcontractor or agency regarding such transactions. Page 63 of 84

69 16. Records Retention. The Contractor shall retain all such contract records intact in a form, if not original documents, as may be approved by the Federal Government, for at least three (3) years following termination of a project funded by ARRA or for such longer period of time as required by the Commonwealth. 17. Access to Information. This contract and any records or expenditures related thereto may be subject to disclosure under the Pennsylvania Right to Know Law 65 P.S et seq. and the Freedom of Information Act, 5 U.S.C Compliance. The Contractor shall comply with all applicable laws, regulations and program guidance. A non-exclusive list of statutes, regulations and/or guidance commonly applicable to Federal funds follows: General - Drug-Free Workplace Act of 1988 (Public Law , Title V, Subtitle D; 41 U.S.C. 701 et seq.; 32 CFR part 26, Subpart B - Copeland Anti-Kickback Act, 18 U.S.C. Section 874; 29 CFR Part 3 - Contract Work Hours and Safety Standards Act, 40 U.S.C ; 29 CFR Part 5 - Americans with Disabilities Act of 1990, as amended; 42 U.S.C. Chapter 126; 28 C.F.R et seq. Administrative Requirements - OMB Circular A-102, State and Local Governments (10/07/94, amended 08/28/07) (44 CFR Part 13) - OMB Circular A-110, Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (11/19/93, amended 09/30/99) (2 CFR Part 215) Cost Principles - OMB Circular A-87, State and Local Governments (05/10/04) (2 CFR Part 225) - OMB Circular A-21, Educational Institutions (5/10/04) (2 CFR Part 220) - OMB Circular A-122, Non-Profit Organizations (5/10/04) (2 CFR Part 230) Audit Requirement - OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations (6/24/97, includes revisions published in the Federal Register 6/27/03) 19. Buy American - Use of American Iron, Steel, and Manufactured Goods. Please use subsections I and II in the alternative as detailed below: I. The following shall apply for Projects using ARRA funds for the construction, alteration, maintenance, or repair of a public building or public work when: the estimated value of the project is less than $7,443,000; or Page 64 of 84

70 the procurement is being conducted by local governments and municipalities; or the specific item being procured is not covered under the World Trade Organization Agreement on Government Procurement or other international procurement agreement. (e.g. mass transit or highway procurements, dredging service procurements, or national defense-related procurements). (a) (b) Requirement. All iron, steel, and other manufactured goods used as construction material for the construction, alteration, maintenance, or repair of a public building or public work must be produced in the United States. This requirement shall be applied in a manner that is consistent with the laws and agreements of the United States and the. Definitions. 1. Building or work means construction, maintenance, alteration, or repair. The terms include, without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, dredging, shoring, rehabilitation and reactivation of plants, scaffolding, drilling, blasting, excavating, clearing, and landscaping. The manufacture or furnishing of materials, articles, supplies, or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not building or work within the meaning of this definition unless conducted in connection with and at the site of such building or work as is described in the foregoing sentence, or under the United States Housing Act of 1937 and the Housing Act of 1949 in the construction or development of the project. 2. Construction material means an article, material, or supply brought to the construction site by the recipient, subrecipient or a subcontractor for incorporation into the building or work. The term also includes an item brought to the site preassembled from articles, materials, or supplies. However, emergency life safety systems, such as emergency lighting, fire alarm, and audio evacuation systems, that are discrete systems incorporated into a public building or work and that are produced as complete systems, are evaluated as a single and distinct construction material regardless of when or how the individual parts or components of those systems are delivered to the construction site. Materials purchased directly by the Government are supplies, not construction material. 3. Domestic construction material means: Page 65 of 84

71 (i) (ii) An unmanufactured construction material mined or produced in the United States; or A construction material manufactured in the United States. 4. Foreign construction material means a construction material other than a domestic construction material. 5. Manufactured good or product means a good or product used as construction material in a project that is the result of processing materials by way of machinery and/or labor that produce a substantially different article. Where the basic character, function, or kind of material processed remains the same, it is not manufactured. 6. Manufactured construction material means any construction material that is not unmanufactured construction material." 7. Public building or public work means building or work, the construction, alteration, maintenance, or repair of which, as defined in this award term, is carried on directly by authority of, or with funds of, a Federal agency to serve the interest of the general public regardless of whether title thereof is in a Federal agency. 8. Steel means an alloy that includes at least 50 percent iron, between.02 and 2 percent carbon, and may include other elements. 9. Unmanufactured construction material means raw material brought to the construction site for incorporation into the building or work that has not been: (i) (ii) Processed into a specific form and shape; or Combined with other raw material to create a material that has different properties than the properties of the individual raw materials. 10. United States means the 50 States, the District of Columbia, and outlying areas including: (i) Commonwealths: (a) Puerto Rico; (b) The Northern Mariana Islands; (ii) Territories: (a) American Samoa; (b) Guam; (c) U.S. Virgin Islands; and Page 66 of 84

72 (iii) Minor outlying islands: (a) Baker Island; (b) Howland Island; (c) Jarvis Island; (d) Johnston Atoll; (e) Kingman Reef; (f) Midway Islands; (g) Navassa Island; (h) Palmyra Atoll; (i) Wake Atoll. (c) Domestic preference. 1. This award term and condition implements Section 1605 of ARRA, by requiring that all iron, steel, and other manufactured goods used as construction material in the project are produced in the United States. 2. The recipient shall use only domestic construction material in performing this project, except as provided in paragraph (c)(3) and (c)(4) of this term and condition. 3. This requirement does not apply to the construction material or components listed by the Government as follows: [Award official to list applicable excepted materials or indicate none ] 4. The award official may add other foreign construction material to the list in paragraph (c)(3) of this term and condition if the Federal government determines that (i) (ii) (iii) The cost of domestic construction material would be unreasonable. The cost of domestic iron, steel, or other manufactured goods used as construction material in the project is unreasonable when the cumulative cost of such material will increase the cost of the overall project by more than 25 percent; The construction material is not mined, produced, or manufactured in the United States in sufficient and reasonably available quantities and of a satisfactory quality; or The application of the restriction of section 1605 of ARRA to a particular construction material would be inconsistent with the public interest. (d) Request for determination of inapplicability of Section 1605 of ARRA. 1. (i) Any request to use foreign construction material in accordance with paragraph (c)(4) of this clause shall Page 67 of 84

73 include adequate information for Government evaluation of the request, including (a) (b) (c) (d) (e) (f) (g) (h) A description of the foreign and domestic construction materials; Unit of measure; Quantity; Price; Time of delivery or availability; Location of the construction project; Name and address of the proposed supplier; and A detailed justification of the reason for use of foreign construction materials cited in accordance with paragraph (b)(4) of this clause. (ii) (iii) (iv) A request based on unreasonable cost shall include a reasonable survey of the market and a completed price comparison table in the format in paragraph (e) of this clause. The price of construction material shall include all delivery costs to the construction site and any applicable duty. Any recipient request for a determination submitted after award shall explain why the recipient could not reasonably foresee the need for such determination and could not have requested the determination before award. If the recipient does not submit a satisfactory explanation, the award official need not make a determination. 2. If the Federal government determines after award that an exception to section 1605 of ARRA applies, the award official will amend the award to allow use of the foreign construction material. When the basis of the exception is non-availability or public interest, the amended award shall reflect adjustment of the award amount or redistribution of budgeted funds, as appropriate, to cover costs associated with acquiring or using the foreign construction material. When the basis for the exception is the unreasonable price of a domestic construction material, the award official shall adjust the award amount or redistribute budgeted funds, as appropriate, by at least the differential established in 2 CFR (a). 3. Unless the Federal government determines that an exception to section 1605 of ARRA applies, use of foreign construction material is noncompliant with section 1605 of ARRA. Page 68 of 84

74 (e) Data. To permit evaluation of requests under paragraph (d) of this clause based on unreasonable cost, the Recipient shall include the following information and any applicable supporting data based on the survey of suppliers: Foreign and Domestic Construction Materials Price Comparison Construction Material Description Unit of Measure Quantity Price (Dollars)* Item 1: Foreign construction material Domestic construction material Item 2: Foreign construction material Domestic construction material 1. [List name, address, telephone number, address, and contact for suppliers surveyed. Attach copy of response; if oral, attach summary.] 2. [Include other applicable supporting information.] 3. [* Include all delivery costs to the construction site).] Page 69 of 84

75 II. The following shall, in addition to the Pennsylvania Steel Products Procurement Act, 73 P.S. Sections , apply for Projects using ARRA funds for the construction, alteration, maintenance, or repair of a public building or public work with an estimated value of $7,443,000 or more: (a) Requirement. All iron and steel used in the construction, reconstruction, alteration or repair of a public building or public work must be manufactured in the United States. All other manufactured goods used as construction material for the construction, alteration, maintenance, or repair of a public building or public work must be produced in the United States or a designated country. This requirement shall be applied in a manner that is consistent with the laws and agreements of the United States and the. (b) Definitions. As used in this award term and condition: 1. Building or work includes, without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, dredging, shoring, rehabilitation and reactivation of plants, scaffolding, drilling, blasting, excavating, clearing, and landscaping. The manufacture or furnishing of materials, articles, supplies, or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not building or work within the meaning of this definition unless conducted in connection with and at the site of such building or work as is described in the foregoing sentence, or under the United States Housing Act of 1937 and the Housing Act of 1949 in the construction or development of the project. 2. Construction material means iron, steel, and other manufactured goods used as construction material brought to the construction site by the recipient, subrecipient, or subcontractor for incorporation into the building or work. The term also includes an item brought to the site preassembled from articles, materials, or supplies. However, emergency life safety systems, such as emergency lighting, fire alarm, and audio evacuation systems, that are discrete systems incorporated into a public building or work and that are produced as complete systems, are evaluated as a single and distinct construction material regardless of when or how the individual parts or components of those systems are delivered to the construction site. Materials purchased directly by the Government are supplies, not construction material. Page 70 of 84

76 3. Designated country means: Aruba, Australia, Austria, Belgium, Bulgaria, Chile, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, and United Kingdom. 4. Designated country construction material means a construction material that (i) (ii) Is wholly the growth, product, or manufacture of a designated country; or In the case of a construction material that consists in whole or in part of materials from another country, has been substantially transformed in a designated country into a new and different construction material distinct from the materials from which it was transformed. 5. Domestic construction material means: (i) (ii) An unmanufactured construction material mined or produced in the United States; or A construction material manufactured in the United States. 6. Foreign construction material means a construction material other than a domestic construction material. 7. "Manufactured construction material" means any construction material that is not unmanufactured construction material." 8. Public building or public work means building or work, the construction, alteration, maintenance, or repair of which, as defined in this Subpart, is carried on directly by authority of, or with funds of, a Federal agency to serve the interest of the general public regardless of whether title thereof is in a Federal agency. 9. Steel means an alloy that includes at least 50 percent iron, between.02 and 2 percent carbon, and may include other elements. 10. "Unmanufactured construction material" means raw material brought to the construction site for incorporation into the building or work that has not been-- Page 71 of 84

77 (i) (ii) Processed into a specific form and shape; or Combined with other raw material to create a material that has different properties than the properties of the individual raw materials. 11. United States means the 50 States, the District of Columbia, and outlying areas. (c) Construction materials. 1. This award term and condition implements (i) (ii) Section 1605(a) of the American ARRA, by requiring that all iron, steel, and other manufactured goods used as construction material in the project are produced in the United States; and Section 1605(d), which requires application of the Buy American requirement in a manner consistent with U.S. obligations under international agreements. The restrictions of section 1605 of ARRA do not apply to designated country construction materials. The Buy American requirement in section 1605 shall not be applied where the iron, steel or manufactured goods used as construction material in the project are from a Party to an international agreement that obligates the recipient to treat the goods and services of that Party the same as domestic goods and services, or where the iron, steel or manufactured goods used as construction material in the project are from a least developed country. This obligation shall only apply to projects with an estimated value of $7,443,000 or more. 2. The recipient shall use only domestic or designated country construction material in performing the work funded in whole or part with this award, except as provided in paragraphs (c)(3) and (c)(4) of this term and condition. 3. The requirement in paragraph (c)(2) of this term and condition does not apply to the construction materials or components listed by the Government as follows: [Award official to list applicable excepted materials or indicate none ] 4. The award official may add other construction material to the list in paragraph (c)(3) of this award term and condition if the Federal government determines that: Page 72 of 84

78 (i) (ii) (iii) The cost of domestic construction material would be unreasonable. The cost of domestic iron, steel, or other manufactured goods used as construction material in the project is unreasonable when the cumulative cost of such material will increase the overall cost of the project by more than 25 percent; The construction material is not mined, produced, or manufactured in the United States in sufficient and reasonably available commercial quantities of a satisfactory quality; or The application of the restriction of section 1605 of ARRA to a particular construction material would be inconsistent with the public interest. (d) Request for determination of inapplicability of section 1605 of ARRA or the Buy American Act. 1. (i) Any recipient request to use foreign construction material in accordance with paragraph(c)(4) of this term and condition shall include adequate information for Government evaluation of the request, including (a) (b) (c) (d) (e) (f) (g) (h) A description of the foreign and domestic construction materials; Unit of measure; Quantity; Price; Time of delivery or availability; Location of the construction project; Name and address of the proposed supplier; and A detailed justification of the reason for use of foreign construction materials cited in accordance with paragraph(c)(4) of this clause. (ii) (iii) (iv) A request based on unreasonable cost shall include a reasonable survey of the market and a completed price comparison table in the format in paragraph (e) of this clause. The price of construction material shall include all delivery costs to the construction site and any applicable duty. Any recipient request for a determination submitted after award shall explain why the recipient could not reasonably foresee the need for such determination and could not have requested the determination before award. If the recipient does not submit a Page 73 of 84

79 satisfactory explanation, the award official need not make a determination. 2. If the Federal government determines after award that an exception to section 1605 of ARRA applies and the award official will amend the award to allow use of the foreign construction material. When the basis of the exception is nonavailability or public interest, the amended award shall reflect adjustment of the award amount or redistribution of budgeted funds, as appropriate, to cover costs associated with acquiring or using the foreign construction material. When the basis for the exception is the unreasonable price of a domestic construction material, the award official shall adjust the award amount or redistribute budgeted funds, as appropriate, by at least the differential established in paragraph (c)(4)(i) of this term and condition. 3. Unless the Federal government determines that an exception to the section 1605 of ARRA applies, use of foreign construction material other than designated country construction material is noncompliant with the applicable Act. (e) Data. To permit evaluation of requests under paragraph (d) of this clause based on unreasonable cost, the applicant shall include the following information and any applicable supporting data based on the survey of suppliers: Foreign and Domestic Construction Materials Price Comparison Construction Material Description Unit of Measure Quantity Price (Dollars)* Item 1: Foreign construction material Domestic construction material Item 2: Foreign construction material Domestic construction material 1. [List name, address, telephone number, address, and contact for suppliers surveyed. Attach copy of response; if oral, attach summary.] 2. [Include other applicable supporting information.] 3. [* Include all delivery costs to the construction site).] Page 74 of 84

80 AGREEMENT BETWEEN THE COMMONWEALTH OF PENNSYLVANIA, ACTING BY AND THROUGH THE GOVERNOR S OFFICE OF ADMINISTRATION AND This Agreement by and between (Licensor) and the, acting by and through the Governor s Office of Administration (Commonwealth) is effective the date the Agreement has been fully executed by the Licensor and by the Commonwealth and all approvals required by Commonwealth contracting procedures have been obtained. This Agreement sets forth the s Software License Requirements. Licensor s Software License Agreement is attached hereto as Exhibit A and made a material part hereof by this reference. This document, including the Software License Agreement attached as Exhibit A, constitutes the Agreement between the Licensor and the Commonwealth. The terms and conditions set out below in these Software License Requirements, supplement, and to the extent a conflict exists, supersede and take precedence over the terms and conditions of Exhibit A. 1. Enterprise Language: The parties agree that more than one agency of the Commonwealth may license products under this Agreement, provided that any use of products by any agency must be made pursuant to one or more executed purchase orders or purchase documents submitted by each applicable agency seeking to use the licensed product. The parties agree that, if the licensee is a Commonwealth Agency as defined by the Commonwealth Procurement Code, 62 Pa.C.S. 103, the terms and conditions of this Agreement apply to any purchase of products made by the Commonwealth, and that the terms and conditions of this Agreement become part of the purchase document without further need for execution. The parties agree that the terms of this Agreement supersede and take precedence over the terms included in any purchase order, terms of any shrink-wrap agreement included with the licensed software, terms of any click through agreement included with the licensed software, or any other terms purported to apply to the licensed software. 2. Choice of Law/Venue: This Agreement shall be governed by and construed in accordance with the substantive laws of the, (Commonwealth), without regard to principles of conflict of laws. Venue for any actions will be in the appropriate court in the Commonwealth. 3. Indemnification: The Commonwealth does not have the authority to and shall not indemnify any entity. The Commonwealth agrees to pay for any loss, liability or expense, which arises out of or relates to the Commonwealth s acts or omissions with respect to its obligations hereunder, where a final determination of liability on the part of the Commonwealth is established by a court of law or where settlement has been agreed to by the Commonwealth. This provision shall not be construed to limit the Page 75 of 84

81 Commonwealth s rights, claims or defenses that arise as a matter of law or pursuant to any other provision of this Agreement. This provision shall not be construed to limit the sovereign immunity of the Commonwealth. 4. Patent, Copyright, Trademark, and Trade Secret Protection: (a) The Licensor shall, at its expense, defend, indemnify and hold the Commonwealth harmless from any suit or proceeding which may be brought by a third party against the Commonwealth, its departments, officers or employees for the alleged infringement of any United States patents, copyrights, or trademarks, or for a misappropriation of a United States trade secret arising out of performance of this Agreement ( Claim ), including all licensed products provided by the Licensor. For the purposes of this Agreement, indemnify and hold harmless shall mean the Licensor s specific, exclusive, and limited obligation to (a) pay any judgments, fines, and penalties finally awarded by a court of competent jurisdiction, governmental/administrative body or any settlements reached pursuant to Claim and (b) reimburse the Commonwealth for its reasonable administrative costs or expenses, including without limitation reasonable attorney s fees, it necessarily incurs in handling the Claim. The Commonwealth agrees to give Licensor prompt notice of any such claim of which it learns. Pursuant to the Commonwealth Attorneys Act 71 P.S , et seq., the Office of Attorney General (OAG) has the sole authority to represent the Commonwealth in actions brought against the Commonwealth. The OAG may, however, in its sole discretion, delegate to Licensor its right of defense of a Claim and the authority to control any potential settlements thereof. Licensor shall not without the Commonwealth s consent, which shall not be unreasonably withheld, conditioned, or delayed, enter into any settlement agreement which (a) states or implies that the Commonwealth has engaged in any wrongful or improper activity other than the innocent use of the material which is the subject of the Claim, (b) requires the Commonwealth to perform or cease to perform any act or relinquish any right, other than to cease use of the material which is the subject of the Claim, or (c) requires the Commonwealth to make a payment which Licensor is not obligated by this Agreement to pay on behalf of the Commonwealth. If OAG delegates such rights to the Licensor, the Commonwealth will cooperate with all reasonable requests of Licensor made in the defense and or settlement of a Claim. In all events, the Commonwealth shall have the right to participate in the defense of any such suit or proceeding through counsel of its own choosing at its own expense and without derogation of Licensor s authority to control the defense and settlement of a Claim. It is expressly agreed by the Licensor that, in the event it requests that the Commonwealth provide support to the Licensor in defending any such Claim, the Licensor shall reimburse the Commonwealth for all necessary expenses (including attorneys' fees, if such are made necessary by the Licensor s request) incurred by the Commonwealth for such support. If OAG does not delegate to Licensor the authority to control the defense and settlement of a Claim, the Licensor s obligation under this section ceases. If OAG does not delegate the right of defense to Licensor, upon written request from the OAG, the Page 76 of 84

82 Licensor will, in its sole reasonable discretion, cooperate with OAG in its defense of the suit. (b) (c) (d) (e) (f) (g) (h) The Licensor agrees to exercise reasonable due diligence to prevent claims of infringement on the rights of third parties. The Licensor certifies that, in all respects applicable to this Agreement, it has exercised and will continue to exercise due diligence to ensure that all licensed products provided under this Agreement do not infringe on the patents, copyrights, trademarks, trade secrets or other proprietary interests of any kind which may be held by third parties. If the right of defense of a Claim and the authority to control any potential settlements thereof is delegated to the Licensor, the Licensor shall pay all damages and costs finally awarded therein against the Commonwealth or agreed to by Licensor in any settlement. If information and assistance are furnished by the Commonwealth at the Licensor s written request, it shall be at the Licensor s expense, but the responsibility for such expense shall be only that within the Licensor s written authorization. If, in the Licensor s opinion, the licensed products furnished hereunder are likely to or do become subject to a claim of infringement of a United States patent, copyright, or trademark, or for a misappropriation of trade secret, then without diminishing the Licensor s obligation to satisfy any final award, the Licensor may, at its option and expense, substitute functional equivalents for the alleged infringing licensed products, or, at the Licensor s option and expense, obtain the rights for the Commonwealth to continue the use of such licensed products. If any of the licensed products provided by the Licensor are in such suit or proceeding held to constitute infringement and the use thereof is enjoined, the Licensor shall, at its own expense and at its option, either procure the right to continue use of such infringing products, replace them with non-infringing items, or modify them so that they are no longer infringing. If use of the licensed products is enjoined and the Licensor is unable to do any of the preceding set forth in item (e) above, the Licensor agrees to, upon return of the licensed products, refund to the Commonwealth the license fee paid for the infringing licensed products, pro-rated over a sixty (60) month period from the date of delivery plus any unused prepaid maintenance fees. The obligations of the Licensor under this Section continue without time limit and survive the termination of this Agreement. Notwithstanding the above, the Licensor shall have no obligation under this Section 4 for: (1) modification of any licensed products provided by the Commonwealth or a third party acting under the direction of the Commonwealth; Page 77 of 84

83 (2) any material provided by the Commonwealth to the Licensor and incorporated into, or used to prepare the product; (3) use of the Software after Licensor recommends discontinuation because of possible or actual infringement and has provided one of the remedy s under (e) or (f) above; (4) use of the licensed products in other than its specified operating environment; (5) the combination, operation, or use of the licensed products with other products, services, or deliverables not provided by the Licensor as a system or the combination, operation, or use of the product, service, or deliverable, with any products, data, or apparatus that the Licensor did not provide; (6) infringement of a non-licensor product alone; (7) the Commonwealth s use of the licensed product beyond the scope contemplated by the Agreement; or (8) the Commonwealth s failure to use corrections or enhancements made available to the Commonwealth by the Licensor at no charge. (i) The obligation to indemnify the Commonwealth, under the terms of this Section, shall be the Licensor s sole and exclusive obligation for the infringement or misappropriation of intellectual property. 5. Virus, Malicious, Mischievous or Destructive Programming (a) (b) Licensor warrants that the licensed product as delivered by Licensor does not contain any viruses, worms, Trojan Horses, or other malicious or destructive code to allow unauthorized intrusion upon, disabling of, or erasure of the licensed products (each a Virus ). However, the licensed products may contain a key limiting use to the scope and quantity of the license(s) granted, and license keys issued by Licensor for temporary use are time-sensitive. The Commonwealth s exclusive remedy, and Licensor s sole obligation, for any breach of the foregoing warranty shall be for Licensor to (a) replace the licensed products with a copy that does not contain Virus, and (b) if the Commonwealth, has suffered an interruption in the availability of its computer system caused by Virus contained in the licensed product, reimburse the Commonwealth for the actual reasonable cost to remove the Virus and restore the Commonwealth s most recent back up copy of data provided that: Page 78 of 84

84 (1) the licensed products have been installed and used by the Commonwealth in accordance with the Documentation; (2) the licensed products has not been modified by any party other than Licensor; and (3) the Commonwealth has installed and tested, in a test environment which is a mirror image of the production environment, all new releases of the licensed products and has used a generally accepted antivirus software to screen the licensed products prior to installation in its production environment. Under no circumstances shall Licensor be liable for damages to the Commonwealth for loss of the Commonwealth s data arising from the failure of the licensed products to conform to the warranty stated above. 6. Limitation of Liability: The Licensor s liability to the Commonwealth under this Agreement shall be limited to the greater of (a) the value of any purchase order issued; or (b) $250,000. This limitation does not apply to damages for: (a) (b) (c) (d) (e) bodily injury; death; intentional injury; damage to real property or tangible personal property for which the Licensor is legally liable; or Licensor s indemnity of the Commonwealth for patent, copyright, trade secret, or trademark protection. In no event will the Licensor be liable for consequential, indirect, or incidental damages unless otherwise specified in the Agreement. Licensor will not be liable for damages due to lost records or data. 7. Payment: The Commonwealth will make purchase through its software reseller as the Commonwealth s agent by way of a purchase order, which shall control with regard to payment amounts and provisions. The Commonwealth s obligation is to pay its reseller in accordance with the purchase order and Licensor shall look to the Commonwealth s reseller for payment. 8. Termination. (a) Licensor may not terminate this Agreement for non-payment. Page 79 of 84

85 (b) The Commonwealth may terminate this Agreement without cause by giving Licensor thirty (30) calendar days prior written notice (Notice of Termination) whenever the Commonwealth shall determine that such termination is in the best interest of the Commonwealth (Termination for Convenience). 9. Background Checks: Upon prior written request by the Commonwealth, Licensor must, at its expense, arrange for a background check for each of its employees, as well as for the employees of its subcontractors, who will have on site access to the Commonwealth s IT facilities. Background checks are to be conducted via the Request for Criminal Record Check form and procedure found at 1&level=2&css=L2&mode=2. The background check must be conducted prior to initial access by an IT employee and annually thereafter. Before the Commonwealth will permit an employee access to the Commonwealth s facilities, Licensor must provide written confirmation to the office designated by the agency that the background check has been conducted. If, at any time, it is discovered that an employee has a criminal record that includes a felony or misdemeanor involving terrorist threats, violence, use of a lethal weapon, or breach of trust/fiduciary responsibility; or which raises concerns about building, system, or personal security, or is otherwise job-related, Licensor shall not assign that employee to any Commonwealth facilities, shall remove any access privileges already given to the employee, and shall not permit that employee remote access to Commonwealth facilities or systems, unless the agency consents, in writing, prior to the access being provided. The agency may withhold its consent at its sole discretion. Failure of Licensor to comply with the terms of this paragraph may result in default of Licensor under its contract with the Commonwealth. 10. Confidentiality: Each party shall treat the other party s confidential information in the same manner as its own confidential information. The parties must identify in writing what is considered confidential information. Neither the Agreement nor any pricing information related to the Agreement will be deemed to be confidential. 11. Publicity/Advertisement: The Licensor must obtain Commonwealth approval prior to mentioning the Commonwealth or a Commonwealth agency in an advertisement, endorsement, or any other type of publicity. This includes the use of any trademark or logo. 12. Signatures: The fully executed Agreement shall not contain ink signatures by the Commonwealth. The Licensor understands and agrees that the receipt of an electronically-printed Agreement with the printed name of the Commonwealth purchasing agent constitutes a valid, binding contract with the Commonwealth. The printed name of the purchasing agent represents the signature of that individual who is authorized to bind the Commonwealth to the obligations contained in the Agreement. The printed name also indicates that all approvals required by Commonwealth contracting procedures have been obtained. Page 80 of 84

86 13. Taxes-Federal, State and Local: The Commonwealth is exempt from all excise taxes imposed by the Internal Revenue Service and has accordingly registered with the Internal Revenue Service to make tax-free purchases under registration No K. With the exception of purchases of the following items, no exemption certificates are required and none will be issued: undyed diesel fuel, tires, trucks, gas-guzzler emergency vehicles, and sports fishing equipment. The Commonwealth is also exempt from Pennsylvania sales tax, local sales tax, public transportation assistance taxes, and fees and vehicle rental tax. The Department of Revenue regulations provide that exemption certificates are not required for sales made to governmental entities and none will be issued. Nothing in this Section is meant to exempt a construction contractor from the payment of any of these taxes or fees which are required to be paid with respect to the purchase, use, rental or lease of tangible personal property or taxable services used or transferred in connection with the performance of a construction contract. 14. Commonwealth Audit Responsibilities: Commonwealth will maintain, and promptly provide to Licensor upon its request, accurate records regarding use of the software by or for the Commonwealth. If the Commonwealth becomes aware of any unauthorized use of all or any part of the software, the Commonwealth will notify Licensor promptly, providing reasonable details. The limit of the Commonwealth s responsibility for any unauthorized use of the software by any individuals employed by or performing services for Commonwealth is the requirement that it purchase additional licenses for the product through its reseller. Commonwealth will perform a self-audit upon the request of Licensor, which request may not occur more often than annually, and report any change in user count (hereinafter "True up number"). Commonwealth shall notify Licensor of the True up number no later than 45 calendar days after the request that the Commonwealth perform a self-audit. If the user count has increased, Commonwealth will make an additional purchase of the product through its reseller, which is equivalent to the additional users. This paragraph sets out the sole audit right under this Contract. 15. LIST OF LICENSED PRODUCTS Attached hereto and made a part hereof by this reference is Attachment A, which sets out a list of products, which may be licensed under this Agreement. With the consent of Commonwealth, the list of products on Attachment A may be changed by Licensor providing Commonwealth with a revised Attachment A that adds the new product to the list. In Commonwealth s discretion, its consent may be provided either via written communication directly to the Contractor or by providing a copy of its notice to its reseller to update Attachment A. No amendment will be required to add a new product to the list. If, however, the Licensor desires to add a product to the list that requires different license terms, a new agreement will be required. Page 81 of 84

87 Licensor acknowledges and agrees the terms and conditions of this Agreement shall supplement, and to the extent a conflict exists, shall supersede and take precedence over the terms and conditions of Licensor s Software License Agreement, attached as Exhibit A. Page 82 of 84

88 IN WITNESS WHEREOF, the Parties to this Agreement have executed it, through their respective duly authorized representatives. Witness: Licensor: Signature Date Signature Date Printed Name Title Printed Name Title As a corporate entity, please have either the president or vice president and either the secretary/assistant secretary or treasurer/assistant treasurer of the corporation sign. If any other person has authority to execute contracts, that person may sign, but a copy of the document or documents conferring that authority (such as by-laws or corporate resolution) must be sent with this agreement when returning it to the Office of Administration. COMMONWEALTH OF PENNSYLVANIA OFFICE OF ADMINISTRATION See paragraph 12 APPROVED: See paragraph 12 Comptroller APPROVED AS TO FORM AND LEGALITY: See paragraph 12 Office of Chief Counsel See paragraph 12 Office of General Counsel See paragraph 12 Office of Attorney General Page 83 of 84

89 ATTACHMENT 1 LIST OF LICENSED PRODUCTS With the consent of the Commonwealth additional products may be added to this attachment by Licensor providing Commonwealth with a new copy of this Attachment 1. Licensed Product: The Licensed Product includes (list all titles covered by this agreement) Page 84 of 84

90 2. Company Background 2. Company Background (NOTE: NIC Inc. is the publicly traded parent company of NICUSA, Inc., which, in turn, is the sole parent of Pennsylvania Interactive, LLC ( PA Interactive ). "NIC" is also the collective brand of the services provided by subsidiaries of NIC Inc. and NICUSA, Inc. In this proposal, the bidding entity submitting the response is PA Interactive. When the parent corporation is intended, the specific formulation "NIC Inc." will be used. All other references to "NIC" are references either to PA Interactive or to the collective brand. The contract and all obligations thereunder shall be by and between the Commonwealth of Pennsylvania and Pennsylvania Interactive, LLC, a wholly- owned, Pennsylvania-based subsidiary of NICUSA, Inc. Pennsylvania Interactive, LLC will be fully dedicated to delivering an enterprise system and portal services to the Commonwealth. Other partner states have chosen to contract with a fullydedicated subsidiary to take advantage of a business unit s complete focus on the specific services provided under the contract.) NIC Inc., the ultimate parent company of Pennsylvania Interactive, LLC, is the leading provider of egovernment services in the nation. Founded in 1992, NIC Inc. is a publicly-held (NASDAQ: EGOV) financially-strong company that delivers cost-effective digital government solutions ( NIC builds self-service Internet, mobile, and point-of-purchase solutions that help businesses and citizens interact more efficiently with government. NIC currently manages more than 7,000 software applications that processed $17.8 billion in secure payments in NIC continues to deliver services to our first state government contract partner the State of Kansas 20 years later. NIC s customized egovernment solution includes technical infrastructure, hosting, testing, software development, web design, payment processing, security, marketing, customer service, training, and policy support. NIC uses a variety of funding approaches, including flexible funding solutions to deliver online services at no cost to government. We pioneered the self-funded approach to building egovernment services at no cost to government agencies. In the table that follows, we have provided company background details. Company Background Company Name: Pennsylvania Interactive, LLC Company Status: Areas of specialization and expertise: Location: Pennsylvania Interactive, LLC is a limited liability company NIC offers customized egovernment services that include technical infrastructure, hosting, testing, software development, web design, payment processing, security, marketing, customer service, training, and policy support. NIC uses a variety of funding approaches, including flexible funding solutions to deliver online services at no cost to government. We pioneered the self-funded approach to building egovernment services at no cost to government agencies. With headquarters in suburban Kansas City, NIC has offices in 28 states and the District of Columbia. NIC Inc. s corporate headquarters is located at the following address: PENNSYLVANIA INTERACTIVE, LLC Page 1

91 2. Company Background Company Background West Valley Parkway Suite 300 Olathe, Kansas Total number of employees: Client base: Financial strength: Should we be awarded a contract, PA Interactive will establish an office in Harrisburg, Pennsylvania staffed with key PA.gov portal resources that will be 100% dedicated in the support of the egovernment contract in Pennsylvania. In addition to an experienced management team of resources that will be drawn from other NIC installations to work exclusively on PA.gov, NIC will augment our staff with local hires. PA Interactive and its affiliates have 701 full-time employees (as of July 1, 2012). NIC builds and manages official government websites, egovernment services, and secure payment processing solutions for more than 3,500 federal, state, and local government agencies across the country, including statewide egovernment partnerships the same services sought through this SOW with 27 states. At the local and federal levels, NIC provides egovernment solutions to dozens of local governments, a National Motor Carrier Pre-Employment Screening Program system for the U.S. Department of Transportation, Federal Motor Carrier Safety Administration, and campaign finance filing, reporting, and data systems for the US Federal Election Commission. Pennsylvania Interactive, LLC s and NICUSA, Inc. s parent company, NIC Inc., is a financially strong, publicly traded (NASDAQ: EGOV) corporation. NIC Inc. s strong balance sheet features the following metrics at June 30, 2012 (the most recently available interim public financial information): Total assets of $149.2 million and stockholders equity of $78.9 million Current assets totaling $135.8 million and current liabilities of $68.5 million, resulting in working capital of $67.3 million and a strong current ratio of 2.0 Zero debt and $70.2 million of cash NIC offers a comprehensive approach to provisioning services that address all elements of a selffunded, egovernment solution, including: Secure sustainable funding streams Legal, policy, and governance support Staffing 100% dedicated to PA.gov Technology Application development Project management Marketing promotion & research Security and privacy compliance Enterprise payment processing Mobile solutions Web design and usability Customer service NIC has established enterprise egovernment partnerships with 27 states to provide services similar to those specified in the Statement of Work. The blue-shaded states in the map that follows (Figure 1), illustrate NIC s state egovernment partners. PENNSYLVANIA INTERACTIVE, LLC Page 2

92 2. Company Background Figure 1: NIC State egovernment Partners Honors and Awards for Our Portal Partners The quality of our partner websites and egovernment solutions is evidenced by the high adoption rates of sites and services deployed for our partners, as well as the numerous awards and recognition they receive annually. The following recent recognition illustrates our partners commitment to website design and dedication to user experience/satisfaction: Best of the Web #1 Alabama #3 Utah #4 Rhode Island #5 Mississippi Finalist (Top Ten Finish) Maine Finalist (Top Ten Finish) Nebraska Finalist (Top Ten Finish) Texas Finalist (Top Ten Finish) Virginia Digital Government Achievement Awards Government-to-Citizen Arkansas Arkansas.gov Mobile Portal and Online Services Suite Nebraska ClickDMV Utah Online Voter Registration Honorable Mention Montana International Academy of Visual Arts - W3 Awards Sports and Recreation Category Silver Award - Indiana DNR iphone Application Travel Category Silver Award - Indiana DNR iphone Application Silver Award Indiana State Fair Website W3 Gold Award Winner Utah.gov International Association of Commercial Administrators (IACA) Merit Award First Place - Utah's Trademark Web System Center for Plain Language - ClearMark Award Website/Dynamic Media: Public Sector PENNSYLVANIA INTERACTIVE, LLC Page 3

93 2. Company Background Connections Government-to-Business Maine - One Stop Background Check Honorable Mention Utah Notary Government Internal NASCIO Recognition Awards Government-to-Citizen Virginia ARRA Energy Rebate Systems Information Communications Technology Innovations Finalist Utah.Gov's Universal Framework Digital Government Finalist Arkansas.gov Mobile and Online Services Suite Center for Digital Government Best of Texas Best Application Serving the Public Texas Award of Excellence, Website Interactive Media Awards Rhode Island Outstanding Website Texas Outstanding Achievement Award: Government Utah Best in Class GovMarks Awards Outstanding State & Local Government Marketing Campaign Rhode Island Outstanding State & Local Government Marketing Campaign Texas Outstanding State & Local Government Marketing Campaign Utah Outstanding Marketing Campaign Kansas "Final Piece to the Puzzle" Outstanding Interactive Marketing Program "Virginia.gov" Campaign Center for Digital Government Best Fit Integrator Award Alabama Board of Cosmetology Salon Inspection Maine Department of Corrections Online Maine Judicial Electronic Court Fine AAMVA Customer Service Award New Mexico Government Computer News Maine Top 10 Public Sector Website Horizon Interactive Award New Mexico Public Technology Institute Indiana Web 2.0 State & Local Gov t Award Texas Web 2.0 State & Local Gov t Award Utah Web 2.0 State & Local Gov t Award Davey Awards Alabama Silver award, Government Category Indiana Sports and Recreation Category: Silver Award - DNR iphone Application Indiana Travel Category: Silver Award - DNR iphone Application Utah Gold Winner National Association of Government Communicators - Gold Screen Award Texas Award of Excellence, Website Summit International Awards Indiana Government Website Category Indiana Silver Award - INShape Indiana Website The Communicator Awards Alabama Silver Award, Web Applications/Services Category Indiana Gold Award for Interactive Excellence - Indiana Transparency Portal Indiana Silver Award for Interactive Distinction Indiana Silver Award for Interactive Distinction - Indiana State Fair Website Indiana Silver Award for Interactive Distinction - IN.gov Online Services Search Application Rhode Island Silver Award Utah Best Government Website PENNSYLVANIA INTERACTIVE, LLC Page 4

94 2. Company Background Rhode Island Recreational Saltwater Fishing Registration Program Utah.gov and Utah Broadband Project Center for Digital Government Best of Kentucky Best Application Serving the Public Office of Homeland Security's "Suspicious Activity Reporting System" Center for Digital Government Digital Gov t Education Achievement Award Winner - Department of Education Digital Application/Project: Arkansas "YOUniversal" Mobile Application Web Marketing Association Government Standard of Excellence Award Utah.gov Outstanding Website Award RI.gov Government Customer Support Excellence Award for Technical Excellence Department of Transportation Finalist, Teamwork Award Rhode Island Nominee, Customer Focus Nominee - Technical Excellence Sunshine Review s Sunny Awards Indiana Top Transparency Website Maine Maine.gov NIC is the only proven vendor capable of supporting the expansion of PA.gov. With an exceptional track record of success in delivering self-funded state egovernment solutions, a legacy of innovative solution, and the experience of 27 successful state egovernment implementations to draw upon, NIC can meet the specific requirements of the Commonwealth s Statement of Work and deliver the enhancements to the PA.gov egovernment platform and applications that the Commonwealth and its customers expect. PENNSYLVANIA INTERACTIVE, LLC Page 5

95 3. Statement of the Problem 3. Statement of the Problem An egovernment Program that Supports Governor Corbett s Priorities PA Interactive s proposed egovernment program is designed to support several of Governor Corbett s priorities for the Commonwealth: Make Government Smaller: By dramatically expanding the number of online transactional services made available to Pennsylvanians, PA.gov will be able to provide an enhanced level of self-service to constituents and thereby allow the Commonwealth to deliver services more efficiently. Manage the Budget: The self-funded model the Commonwealth is pursuing will deliver all egovernment solutions at no cost to Pennsylvania. PA Interactive s proposed solution will have zero budget impact for the Commonwealth. Create Jobs: To manage this engagement, PA Interactive will open up an office in Harrisburg and expects to hire more than 20 technology, marketing, and project management professionals from the local market. We provide good jobs for good people and are eager to support economic development in Pennsylvania by building a local team that is 100% dedicated to supporting the Commonwealth s egovernment program. Delivering Value to Pennsylvania We will structure an egovernment program that delivers value across the Commonwealth. PA Interactive s proposed enterprise solution will enhance PA.gov in a variety of ways: New PA.gov Design for Web, Tablet, and Mobile PA Interactive is eager to work with the Commonwealth to develop an enhanced PA.gov that renders seamlessly on any device and provides industry-leading tools to help the Corbett Administration communicate even more effectively with constituents. In particular, we believe that a crisp design, expanded functionality, and carefully selected social media tools will allow the Commonwealth to further improve the visit experience for citizens and businesses. Results-Driven Marketing to Raise Awareness of PA.gov A great egovernment program needs to have a strong marketing plan to raise awareness of PA.gov and drive traffic to the Commonwealth s online services. We are proposing a comprehensive marketing plan that integrates constituent communications, public relations, media outreach, customer service, and strategic advertising to reach citizens and businesses across Pennsylvania. In addition, we look forward to promoting the Corbett Administration s use of egovernment to more effectively serve Pennsylvanians and have a long track record of helping gain positive exposure for the work of our government partners. Rapid Launch of New Services for Businesses and Citizens Service delivery is the foundation of a successful egovernment program, and PA Interactive is prepared to aggressively expand the number of citizen- and business-facing services offered at PA.gov. We propose to introduce dozens of new services per year and will draw on our existing PENNSYLVANIA INTERACTIVE, LLC Page 1

96 3. Statement of the Problem library of more than 7,000 egovernment applications to customize and rapidly implement in Pennsylvania. In addition, we recognize the importance of economic development and will work closely with the Commonwealth to identify business-friendly online services that can help support the Corbett Administration s pro-business stance. Using Performance Management to Steward Success PA Interactive will work closely with the Commonwealth to track key performance measurements of this egovernment program. This will allow the Corbett Administration to use hard data to communicate how egovernment is helping Pennsylvania make government smaller, reduce budget impacts, and create jobs. Experienced Provider with Track Record of Success The egovernment program we are proposing in Pennsylvania draws on NIC s successful implementations in 27 states, including Texas, Maryland, and Indiana. With 20 years of experience building customized solutions that meet the needs of state leaders, we are confident we can design and deliver a great solution that benefits the Commonwealth and its constituents. PENNSYLVANIA INTERACTIVE, LLC Page 2

97 Section 4 Table of Contents 4. APPROACH... 2 IV-3 Nature and Scope of the Project... 2 IV-3.1 Project Scope... 2 IV-3.2 Project Outcomes... 8 IV-3.3 Key Objectives IV-3.4 Roles and Responsibilities IV-3.5 Communications and Marketing IV-3.6 Governance Process IV-3.7 Payment Models IV-3.8 Term of Contract IV.4 Current Environment IV-5 Requirements IV-5.1 Personnel Requirements IV-5.2 Organization and Staffing Requirements IV-5.3 Technical Architecture IV-5.4 Implement Electronic Payment Processing IV-5.5 Implement User Self-Provisioning (User Authentication and Authorization) IV-5.6 Web User Interface and General Design Principles IV-5.7 Establish a Content Management Strategy IV-5.8 Software Development Lifecycle (SDLC) and Application Development Framework IV-5.9 Enterprise Core Applications IV-5.10 Integration with Existing Systems IV-5.11 Open Data Platform IV-5.12 Process Improvement IV-5.13 Customer Service Requirements IV-5.14 Data Storage Requirements IV-5.15 Network Requirements IV-5.16 Software and Documentation Requirements IV-5.17 Hosting and Managed Services IV-5.18 Security Requirements IV-5.19 ITIL Requirements IV-5.20 Service Level Agreements IV-6 Financial Reporting and Auditing IV-7 Tasks and Deliverables IV-7.1 Project Management Deliverables IV-7.2 Work Order Deliverables IV-7.3 Transition Deliverables IV-7.4 Reporting PENNSYLVANIA INTERACTIVE, LLC Page 1

98 Describe your approach to addressing the Commonwealth s needs; specifically responding to each sub-section outlined in section IV-3 Nature and Scope, IV-4 Current Environment, IV-5 Requirements, IV-6 Financial Reporting and Auditing and IV-7 Tasks and Deliverables IV-3 Nature and Scope of the Project IV-3.1 Project Scope IV-3.1 Project Scope Services to be provided under the Master Contract shall include, but shall not be limited to, sharing of information via the Commonwealth s web and mobile Portal with all Customers through a variety of multi-media formats, including text, graphics and video; transaction processing between the Commonwealth and its Customers over the internet, credit card processing, application development, integration with Customers existing systems, security, application hosting & support, facilitation of social networks and management reporting. The continued delivery of existing egovernment services and information resources and the development of new and improved egovernment services are of paramount importance. It is anticipated that the electronic delivery of government services will continue to facilitate and improve the way Customers communicate and interact with government. 1. Development, Enhancement and Maintenance of the public-facing web and mobile Portals. This is defined as establishment of a framework for public-facing websites to include PA.gov, the Governor s Office sites, associated agency sites, boards & commission sites and other independent entities and associated mobile sites. The Contractor will work with the Governor s Office, agency Press Offices and agency Portal managers to migrate existing sites to the new platform and establish a Responsible, Accountable, Consulted, Informed (RACI) matrix for ongoing support responsibilities across all affected parties. This will also include a framework for integrating the Commonwealth s current intranet collaboration platform (SharePoint 2010) to the selected Contractor s platform and training agency staff on how to publish content to the new public facing portal framework. Maintenance also includes regular (no less than annual) UX and site redesign services based on usage statistics and industry best practices. 2. Establishment and maintenance of an Enterprise Content Management (ECM) framework. This is defined as working with each agency and defining a strategy to properly identify, classify and index content that will be uploaded to the Portal so that content can be more easily retrieved. This task will include assisting agencies in defining their own internal governance structure for content management to ensure there is a culture for ECM best practices. This task also includes conducting quarterly assessments of Portal search features to ensure search results are as optimized as possible and making adjustments to the ECM strategy as necessary, to include training, quick tips and guides. 3. Development and Maintance of a public data discovery website consistent with national and international open data and data.gov implementations The solution must give any user the ability to view, search, sort, filter, and download public data. It should must have built-in capabilities for data discovery, advanced data visualization (e.g. graphs, charts, maps), data download in various formats (e.g.,.csv,.pdf,.xls,.xlsx, rss,.xml, KML, etc.), multi-tier analytic reporting on data usage and allow state agencies to publish data for public use or only for internal use by other state agencies. The data discovery website solution also must support civic engagement (e.g. ability to comment on/suggest additional datasets), and third party application development via an open, standards-based application programming interface (API). PENNSYLVANIA INTERACTIVE, LLC Page 2

99 4. Development, Enhancement and Maintenance of egovernment Applications This is defined as development and maintenance of public-facing egovernment applications (to include mobile applications) that have been prioritized by the egovernment Governance committee. Applications must be developed using the platform specified in the Work Order (ex: Microsoft or J2EE) so that they can be supported by the requesting agency at the end of this agreement. The Contractor will be expected to adhere to Application Lifecyle Management best practices throughout the development process. As the Contractor is responsible for all network and application security for applications that reside on its network infrastructure, the Contractor assumes all responsibility for any Web application and components hosted by the Contractor, including components that support the application such as Web services, databases, etc. Additionally, all host scanning network vulnerability testing, Web application vulnerability scanning, PCI scanning, etc. shall be the responsibility of the contractor. This process identifies any inherent risks associated with an existing or proposed web application through policy review, source code analysis, host-based intrusion scans, and Web application scans. The Contractor must provide scan results to the Commonwealth prior to any Internet facing application being made available on the internet. The Contractor must factor this timeframe into its deployment process. 5. Migration/conversion of existing egovernment applications with no interruption or degradation of service as a result of these efforts. 6. Hosting and Managed Services for the Portal infrastructure and associated egovernment applications This is defined as supporting the hardware, Portal software, development, UAT, and Production environment, patches, and monitoring the overall health of the environments. This task will also include providing Disaster Recovery, High Availability and Failover services so that the Portal and associated applications experience minimal downtime. 7. Providing help desk support to Customers with incident logging and resolution; the Contractor must utilize an incident, problem and change management tool that interfaces with the Commonwealth s current standard, Remedy. 8. Conducting regular Customer satisfaction surveys with all Customers utilizing egovernment and Portal services 9. Marketing and Communications for the Portal and associated egovernment applications This is defined as developing and implementing a marketing campaign to encourage more Customers to use the online services which will be hosted on the Portal and performing internal marketing activities to potential agencies to increase the development of egovernment applications. 10. Governance and Work Order Process for new project requests This is defined as establishing a governance model to make decisions on the future of the Portal, platform, and prioritization of work on egovernment applications. This also includes establishing a common process for requesting and resourcing new work. 11. ITIL based support structure The selected Contractor shall align its processes to the ITIL v3 Foundations framework to ensure that a common operating level is established between the Commonwealth and the Contractor PA Interactive has reviewed the services to be provided under the Master Contract associated with the Statement of Work. PA Interactive proposes a comprehensive solution that encompasses each of the components of the SOW, and we welcome the opportunity to work with the Commonwealth to deliver these services if awarded a contract. In the table that follows, we have addressed each element of the Project Scope and included cross-references to the sections of our response that provide additional details about each element. PENNSYLVANIA INTERACTIVE, LLC Page 3

100 Project Scope Specifications 1. Development, Enhancement and Maintenance of the publicfacing web and mobile Portals. PA Interactive Response PA Interactive recognizes the importance of an enterprise approach to serving Pennsylvania, and a key element is supporting the Commonwealth s desired evolution of the PA.gov homepage as well as agency websites. NIC has unmatched experience in designing, supporting, and enhancing state government portals and agency sites. For example, eight NIC partners were ranked among the top nine states in the Center for Digital Government s 2011 Best of the Web awards for effective government website design, and our state partners have been ranked #1 four times in the last five years. NIC s design insights are based on years of ongoing market research to understand user needs, iterative development practices, and a narrow focus on delivering highly-usable websites and online services. PA Interactive is eager to work closely with OIT and Commonwealth agencies to develop a strategic plan for the ongoing evolution of PA.gov and determine how to most effectively support the design needs of commonwealth agencies. PA Interactive has provided additional details about the development, enhancement and maintenance of the public-facing web and mobile portals throughout our response; including Sections IV-5.6 and IV Establishment and maintenance of an Enterprise Content Management (ECM) framework. NIC has extensive experience providing Enterprise Content Management Framework (ECM) solutions. PA Interactive s proposed solution architecture, including the core CMS software platform, has been carefully evaluated based on detailed understanding of Pennsylvania s goals and technical requirements. PA Interactive is proposing to deploy and host an ECM for Pennsylvania built upon Microsoft s SharePoint 2010 content management platform PA Interactive has provided additional details in Section IV-5.7 of our response to the Statement of Work. 3. Development and Maintenance of a public data discovery website consistent with national and international open data and data.gov implementations. Making data available to constituents and other relevant parties is fundamental to PA Interactive s core service offering. For Pennsylvania, PA Interactive proposes to use as a subcontractor the leading open data services provider for government, Socrata ( to deliver the requested open data platform. Socrata makes data readily accessible over the Internet, in a form that maximizes comprehension, interactivity, participation, and sharing. NIC and Socrata have worked together to successfully deploy open data platforms, such as the one recently deployed for the State of Oklahoma (data.ok.gov), and we will leverage that experience to the benefit of Pennsylvania. PA Interactive has provided additional details in Section IV-5.11 of our response to the Statement of Work. 4. Development, Enhancement and Maintenance of egovernment Applications. NIC has developed more than 7,000 egovernment solutions through our partnerships with government at the state, local, and federal levels. All of NIC s current partner states participate in and use NIC s knowledge library, which contains code, frameworks, modules, objects, and application best PENNSYLVANIA INTERACTIVE, LLC Page 4

101 Project Scope Specifications PA Interactive Response practices that can be utilized in Pennsylvania to rapidly expand online service delivery. Under the self-funded model, NIC provides ongoing maintenance and enhancements of these applications, including frequent technology refreshes, to maintain a constant level of high-performing services. NIC develops customized applications to meet the specifications of our government partners. In Pennsylvania, we will use the Work Order process to develop services in the prescribed manner so they can be supported by the respective Commonwealth agency at the end of the agreement. PA Interactive has provided additional details in Sections IV-5.8 and IV-5.9 of our response to the Statement of Work. 5. Migration/conversion of existing egovernment applications with no interruption or degradation of service as a result of these efforts. 6. Hosting and Managed Services for the Portal infrastructure and associated egovernment applications. PA Interactive will use the Work Order process to migrate and enhance applications that the Commonwealth wishes to migrate to PA Interactive s proposed comprehensive portal and application infrastructure. NIC has successfully migrated/converted hundreds of applications for our state partners, and we understand the importance of creating a migration plan for each application that mitigates the risk of any interruption or degradation of service. NIC s Central Data Center (CDC) will provide hosting and managed services, including supporting the hardware, software, development, UAT, and production environment, patches, and monitoring the overall health of the environments, as well disaster recovery, high availability, and failover services. Currently, NIC provides hosting services for 27 state governments, managing some or all aspects of the network security of the portal and/or egovernment service hosting environments. PA Interactive has provided additional details in Section IV-5.17 of our response to the Statement of Work. 7. Providing help desk support to Customers with incident logging and resolution; the Contractor must utilize an incident, problem and change management tool that interfaces with the Commonwealth s current standard, Remedy. NIC delivers high-quality customer service as part of our egovernment service offering to enhance the user experience and create a stronger bond between the Commonwealth s egovernment services and its customers. NIC recognizes that delivering sound customer service is the best possible form of marketing, because satisfied users are significantly more likely to visit the solution again and tell others about his or her positive experience. To this end, NIC has developed and implemented comprehensive customer service strategies in all of our partner states, and we will implement and manage the customer service operations for Pennsylvania award-winning level of commitment. PA Interactive will provide Pennsylvania agencies and consumers with customer support via telephone, , live chat, subscriber messaging, and also mobile texting. PA Interactive has provided additional details in Section IV-5.13 of our response to the Statement of Work. PENNSYLVANIA INTERACTIVE, LLC Page 5

102 Project Scope Specifications 8. Conducting regular Customer satisfaction surveys with all Customers utilizing egovernment and Portal services. PA Interactive Response NIC s egovernment services are successful because we take a great interest in understanding how users respond to them, and then we use the insights from feedback to make continuous improvements to our services. We gather customer feedback from a variety of sources, including phone and surveys, opt-in online surveys made available after transactions are completed, Live Help session transcripts, focus groups, small group user tests, and interviews with agency and portal customer service personnel. In addition, we develop insights based on data gathering and analysis from analytics assessments and reviews of customer service logs to identify frequently asked questions and common issues. The end result is that NIC consistently and proactively asks users and key stakeholders for input as services are developed and enhanced, which further supports our continuous improvement process for egovernment services. PA Interactive has provided additional details in Section IV-5.13 of our response to the Statement of Work. 9. Marketing and Communications for the Portal and associated egovernment applications. PA Interactive understands the critical importance of informing users of egovernment services and why they are beneficial to them. PA Interactive s dedicated marketing resources will help communicate the value of using the Commonwealth s egovernment services and empower all agencies (including those currently using the portal and those who are not) to leverage centralized tools such as secure payment processing, enterprise content management, multichannel customer service, and targeted marketing for high-potential online services. NIC s ability to build and foster positive relationships with internal and external entities to help promote state government websites and online services is unmatched. PA Interactive s goal in Pennsylvania will be to work with the Commonwealth to effectively and consistently communicate with customers who will benefit by using the Commonwealth s online services. Our enhanced outreach will be deployed to encourage participation, provide education, and drive usage of the site by those agencies that might not have historically leveraged Pennsylvania s websites and online services. PA Interactive has provided additional details in Section IV-3.5 of our response to the Statement of Work. 10. Governance and Work Order Process for new project requests. NIC has participated in enterprise-wide governance models for 20 years through our public-private partnerships with 27 states. We realize that no two states have the same governance needs, and we also know from experience that most states share a common objective for their egovernment programs to expand the state s online and mobile presence to better serve their citizens, businesses, employees, and other governmental entities. As a result, we have evolved flexible best practices that enable our dedicated teams to flourish within a variety of unique governance models. NIC and all of our state partners follow a Work Order process similar to PENNSYLVANIA INTERACTIVE, LLC Page 6

103 Project Scope Specifications PA Interactive Response that required by the. PA Interactive will manage a comprehensive Work Order process that provides an electronic means of submitting Work Order Requests, transparent accounting, reporting, and staffing to facilitate Work Order Requests. PA Interactive will also provide essential, timely information, reports, and statistics that will allow the Governance Committee to make well-informed decisions necessary for the expansion of the egovernment program. PA Interactive has provided additional details in Section IV-3.6 of our response to the Statement of Work. 11. ITIL based support structure. PA Interactive will provide comprehensive service management functions based on the ITIL guidance for IT Service Management (ITSM) that includes incident management, problem management, change management, configuration management, release management, and capacity management. NIC Inc. s data center support team follows ITIL v3 Foundations framework for managing all aspects of the data center. PA Interactive has provided additional details in Sections IV-5.1 and IV of our response to the Statement of Work. PENNSYLVANIA INTERACTIVE, LLC Page 7

104 IV-3.2 Project Outcomes IV-3.2 Project Outcomes 1. A user friendly web and mobile design and advanced search capabilities to attract Customers and maintain Customer satisfaction while providing agency integration and an enterprise content management system; 2. Dedicated and virtual internet hosting, disaster recovery/business continuity; 3. Microsoft.NET or J2EE applications from a pre-built application catalog that can be modified to be Pennsylvania specific; 4. The ability to deploy single and cross-agency online and mobile services for Customers while enhancing existing online services; 5. EGovernment transformation by incorporating tools that improve business processes and deliver more costeffective services; 6. Development and maintenance of an enterprise payment processing mechanism that is Customer focused and managed by the Contractor that integrates with the Commonwealth s systems; 7. Development and maintenance of a self-provisioning application that can authenticate users to the online applications that are available from within the Portal; 8. Purchase or deployment of an enterprise esignature application that can be leveraged by any application as necessary; the tool must have the ability to provide an audit trail to confirm the individual that provided the esignature; 9. Integration with the Commonwealth s Active Directory system; 10. Adherence to IT policies and security standards in accordance with Commonwealth guidelines that can be found on the OIT website ( ; 11. Mechanism to measure Customer satisfaction in operations of all current capabilities and future capabilities and services throughout the term of the Master Contract; 12. Governance processes to establish a work request procedure, prioritizing of work requests, transparency and accountability; 13. Extensive outreach and marketing to Customers to leverage online and mobile services; 14. A framework for continuous and appropriate innovation that is not limited by budget constraints; 15. A seamless transition of current operations to the services included in the Master Contract. PA Interactive is confident in our ability to work with the Commonwealth to deliver all of the project outcomes outlined in this Statement of Work. Project Outcome 1. A user friendly web and mobile design and advanced search capabilities to attract Customers and maintain Customer satisfaction while providing agency integration and an enterprise content management system; 2. Dedicated and virtual internet hosting, disaster recovery/business continuity; PA Interactive Approach PA Interactive will deliver a content management system and new web and mobile site designs to drive customer usage and maintain customer satisfaction. PA Interactive will deploy innovative technology solutions and best practices in usability, accessibility, social media, branding, marketing, and mobile development to enhance Pennsylvania s egovernment offering. NIC s Central Data Center (CDC) will provide the required hosting, disaster recovery/business continuity to ensure that PA.gov and its egovernment services are highly available. NIC s CDC is housed at the AT&T Internet Data Center (IDC) located in Ashburn, VA. The proposed solution is designed to be available on a 24-hours-per-day, 365-days-per-year basis, providing around the clock service to Pennsylvania. The CDC has been certified as a PCI Level 1 Service Provider and our payment environment and software undergoes an annual PENNSYLVANIA INTERACTIVE, LLC Page 8

105 Project Outcome PA Interactive Approach Type II SAS 70 audit on the separate commerce portions of this hosting facility. 3. Microsoft.NET or J2EE applications from a pre-built application catalog that can be modified to be Pennsylvania specific; PA Interactive is committed to the aggressive expansion of new egovernment services to benefit the Commonwealth and its constituents. PA Interactive s development teams will be experienced in.net application development for state government. PA Interactive s dedicated Pennsylvania team will build customized services and also leverage NIC s knowledge library of more than 7,000 installed digital government services to rapidly introduce new applications and enhance the Commonwealth s existing services. 4. The ability to deploy single and crossagency online and mobile services for Customers while enhancing existing online services; PA Interactive is proposing a dedicated development team that will be able to implement online and mobile services for Customers as well as enhance existing Commonwealth services. PA Interactive s affiliates have developed numerous mobile applications for specific platforms and multi-platform efforts using HTML 5 and native frameworks. We have seen tremendous reuse in our mobile applications and will be able to utilize our iphone/ipad, Android, Blackberry, Palm and Windows Phone solutions to deliver or provide a foundation to deliver new mobile services for Pennsylvania. 5. EGovernment transformation by incorporating tools that improve business processes and deliver more cost-effective services; NIC understands that innovation is at the core of every successful online government service offering and we have long prided ourselves in developing the most innovative and effective egovernment applications in the nation. To this end, we constantly collaborate with our government partners to identify new service and delivery methods, cross-boundary and cross-platform integration solutions, process transformation opportunities, and other services that enhance how egovernment delivers value to agencies, citizens, and businesses. 6. Development and maintenance of an enterprise payment processing mechanism that is Customer focused NIC Services, LLC provides epayment services for all 27 of our state partners, one federal agency and thousands of local governments. NIC Services s PCI-compliant, state-ofthe-art payment processing service will enable the and managed by the Contractor that integrates with the Commonwealth s Commonwealth to offer secure and convenient payment systems; processing services to users. In 2011 alone, NIC Services securely processed more than 150 million payment transactions totaling $17.8 billion on behalf of our government partners. Pennsylvania Interactive, LLC will use NIC Services, LLC to provide payment services across the Commonwealth. 7. Development and maintenance of a self-provisioning application that can authenticate users to the online applications that are available from within the Portal; PA Interactive is proposing to deploy a Web SSO technology for Pennsylvania. This Web SSO system will allow users of Pennsylvania services to self-register and leverage this account across disparate websites and applications related to Pennsylvania government. 8. Purchase or deployment of an PA Interactive will work with the Commonwealth to deploy PENNSYLVANIA INTERACTIVE, LLC Page 9

106 Project Outcome enterprise esignature application that can be leveraged by any application as necessary; the tool must have the ability to provide an audit trail to confirm the individual that provided the esignature; 9. Integration with the Commonwealth s Active Directory system; 10. Adherence to IT policies and security standards in accordance with Commonwealth guidelines that can be found on the OIT website ( l/server.pt?open=514&objid= &mode=2 ; 11. Mechanism to measure Customer satisfaction in operations of all current capabilities and future capabilities and services throughout the term of the Master Contract; 12. Governance processes to establish a work request procedure, prioritizing of work requests, transparency and accountability; 13. Extensive outreach and marketing to Customers to leverage online and mobile services; PA Interactive Approach the appropriate esignature solution to meet the Commonwealth s current and future esignature needs. NIC has worked with our state partners on strategies as digital signatures are quickly replacing handwritten signatures when conducting business with government. PA Interactive has proposed and architected a solution that will integrate and leverage the Commonwealth s Active Directory system. NIC uses Active Directory as the foundation for authentication and authorization systems in all of our portal solutions. PA Interactive will adhere to policies and security standards in accordance with Commonwealth guidelines applicable to its activities and obligations under this Contract. PA Interactive understands that these items are amended from time to time and we have a nimble project management methodology that allows us to identify applicable compliance issues as we gather project requirements. Furthermore, we continuously work with agencies to implement service modifications and enhancements as standards change that impact online services. Customer satisfaction, feedback, and adoption of services are essential components of the success of a self-funded egovernment program. Because the self-funded model can only succeed when agencies and users take advantage of egovernment services, measuring and understanding customer satisfaction and adoption are central to the services NIC provides our state partners. PA Interactive will report on customer satisfaction and present improvement suggestions as part of our reports to the governance authority. We provide similar information in a variety of formats under different schedules in many of our partner states and are eager to develop a plan that meets the Commonwealth s needs. PA Interactive will manage a comprehensive Work Order process that provides an electronic means of submitting Work Order Requests, transparent accounting, reporting, and staffing to facilitate Work Order Requests. PA Interactive will work closely with the Commonwealth to determine the appropriate funding model for each Work Order Request. As the industry s leading marketer of egovernment solutions, NIC s experience during the last 20 years has consistently shown that an effective, targeted, and sustained marketing effort is essential to the long-term PENNSYLVANIA INTERACTIVE, LLC Page 10

107 Project Outcome PA Interactive Approach success of a state s egovernment program. We are eager to collaborate with the Commonwealth to finalize a marketing plan to meet the current and future marketing priorities established for PA.gov and the Commonwealth s egovernment program as a whole. 14. A framework for continuous and appropriate innovation that is not limited by budget constraints; 15. A seamless transition of current operations to the services included in the Master Contract. egovernment marketing is a core competence for NIC and our organization has more hands-on experience in digital government promotion than any other provider or team of providers. We have designed and implemented more than 600 successful state egovernment campaigns to build brand awareness and adoption of new online and mobile services for our state government partners. This egovernment marketing expertise means we can hit the ground running on day one in Harrisburg to build and implement a targeted marketing program that will specifically benefit the Commonwealth, participating agencies, and the businesses and citizens of Pennsylvania. Innovation is a key underlying tenet of NIC s self-funded model. In Pennsylvania, we will work closely with all Commonwealth agencies to continually identify and deliver valuable new self-service solutions through the self-funded business model at no cost to government agencies. Within days of the effective date of an agreement, PA Interactive will initiate project management procedures to immediately begin establishment of these processes to optimize the transition phase and subsequent operational control of the new contract. PA Interactive is committed to a seamless transition that has no impact upon the CMS agencies, and is seamless to the Commonwealth s Customer base. PENNSYLVANIA INTERACTIVE, LLC Page 11

108 IV-3.3 Key Objectives IV-3.3 Key Objectives 1. Rapid migration/conversion of existing egovernment applications, in an order established by the Governance committee. The migration/conversion must be carried out in a way to meet or exceed the functional specifications provided by the Customer. 2. Rapid development and implementation of new egovernment applications to support the processing of licenses, filings, permits, registrations, renewals and information retrieval. In many instances, these new applications can be constructed using existing Commonwealth applications as the base or foundation. These applications must be built on the platform specified by the Customer as specified in the Work Order. 3. Development and delivery of a continually expanding set of core web-based and mobile egovernment services. 4. Obtain a measurably high and ever increasing adoption of egovernment services as the preferred method for obtaining government services. 5. Establish a solution to measure the use of Portal and egovernment applications with statistics such as the number of unique hits, source of traffic, most commonly accessed areas and browser types to measure adoption. 6. Implement an Electronic Content Management strategy that enables agencies and customers to easily organize and retrieve content via metadata tags, key words, etc. 7. Establish the ability for the Commonwealth to send requested information or documents electronically to multiple devices. 8. Implement the ability for the Commonwealth to process interactive applications for licenses, permits and other government documents, to sell goods and services by interactive applications, and to receive electronic documents for filing from the public, businesses, employees and local governments. When a signature is necessary the Portal must be able to accommodate electronic signatures. 9. Implement a shopping cart feature, credit card processing mechanism and a self-provisioning tool that will enable a My Cart feature on public facing websites. 10. Establish an environment of innovation in which the Commonwealth and the Master Contractor may provide ideas for additional potential opportunities, such as launching new applications and services to stimulate Customer usage. 11. Agencies will have the ability to leverage the hosting, online/mobile application services development and implementation along with the transition and redesign of their public websites. PA Interactive has proposed a funding model, approach, architecture, and access to the world s largest egovernment repository in order to deliver on all of the key objectives of this Statement of Work. NIC has delivered each of these items for other state partners and is excited at the prospect of working to deliver a solution that meets the specific needs of the Commonwealth. Key Objective 1. Rapid migration/conversion of existing egovernment applications, in an order established by the Governance committee. The migration/conversion must be carried out in a way to meet or exceed the functional specifications provided by the Customer. 2. Rapid development and implementation of new egovernment applications to support the processing of licenses, filings, PA Interactive Approach NIC is experienced at managing the migration/conversion of existing egovernment services. PA Interactive will work closely with the Commonwealth to migrate and/or convert existing egovernment applications in an order defined by the Governance committee. As we have done in each of our previous state egovernment conversions, we will develop a Work Order Request for each application through the governance process. NIC s expertise is building, launching, and promoting new egovernment services that benefit customers. Every year, we introduce hundreds of new egovernment solutions on behalf of our state government partners. Our ability to PENNSYLVANIA INTERACTIVE, LLC Page 12

109 Key Objective permits, registrations, renewals and information retrieval. In many instances, these new applications can be constructed using existing Commonwealth applications as the base or foundation. These applications must be built on the platform specified by the Customer as specified in the Work Order. 3. Development and delivery of a continually expanding set of core web-based and mobile egovernment services. PA Interactive Approach aggressively support egovernment service growth is driven by two factors: 1. Our locally-based teams are focused exclusively on a single state partner, which provides the unique ability to create custom solutions based on evolving state needs, new legislation requirements, and service lifecycles 2. Our national egovernment knowledge library includes the project plans, technical specs, marketing programs, and policy implications for more than 7,000 applications that have been built across the NIC egovernment system. When combined with our experience in leveraging existing state software assets, this aggregated knowledge resource allows our local teams to benefit from the lessons learned in other NIC states and dramatically accelerates speed to launch NIC has built hundreds of applications that support processing for licenses, filings, permits, registrations, renewals, and database searches and leverage existing state computer programs for key assets. Our proposed technical team is very experienced in building new services that use components of previous Commonwealth solutions, and we look forward to further discussing how we can support the Commonwealth application needs through the Work Order process. PA Interactive s goal is that anything a citizen does via mail, phone, or at a government office should ultimately be available online and considered a core service. We recognize this is a long-term vision and strive to help each of our state partners introduce as many transaction- and information-based services as possible as a way to position egovernment as the fastest, easiest, and preferred channel for customers to connect with government. Our commitment to Pennsylvania is that we will continually expand what the Commonwealth defines as core services. For example, we believe live online customer service should be a core service and we look forward to helping the Commonwealth to deliver this. Applying secure payment functionality to every possible transaction service is another core application opportunity included in this SOW that PA Interactive is eager to support. Over time, we also believe new services will PENNSYLVANIA INTERACTIVE, LLC Page 13

110 Key Objective 4. Obtain a measurably high and everincreasing adoption of egovernment services as the preferred method for obtaining government services. 5. Establish a solution to measure the use of Portal and egovernment applications with statistics such as the number of unique hits, source of traffic, most commonly accessed areas and browser types to measure adoption. PA Interactive Approach quickly become core solutions because of their popularity among users as well as their utility and value to customers. Roadside traffic ticket payments for moving violations, driver license appointment system, vital record requests, commercial vehicle drug and alcohol testing databases, public information officer media portals, mobile and ipad applications, location-based public meeting notices, and integrated scholarship and financial aid systems are among the other services we believe could be launched quickly in Pennsylvania and could soon become core applications. NIC has unparalleled expertise in egovernment adoption because we ve spent 20 years helping states raise customer awareness of their digital government solutions. Quite simply, we understand what many other vendors do not: egovernment is not a Field of Dreams, and building a new solution is great but ultimately ineffective unless people know the service exists in the first place. The key to driving ever-increasing adoption of egovernment services is to build a strong marketing program to complement the portal s development cycle. As new and enhanced services are introduced, PA Interactive s experienced marketing teams will launch specialized outreach plans to engage agency employees, key user groups, and local, statewide, and national media. Please refer to Section IV-3.5 Communications and Marketing for additional information on PA Interactive s specialized marketing plan for Pennsylvania that we believe with drive adoption of the Commonwealth s egovernment program. NIC has experience utilizing multiple web analytic tools including Google Analytics, WebTrends, and other tools included with web content management systems. PA Interactive will provide the results through a dashboard interface that is customized to the needs of the Commonwealth. PA Interactive will implement Google Analytics across the Portal and egovernment applications. Google Analytics provides the detailed site statistics needed to maintain and consistently evaluate overall customer experience and the information architecture of agency websites and online services. This data is critical for refining the site structure and navigation to create an effective portal for constituents. Google Analytics is a trusted website analytics advisor that collects, analyzes, delivers, and PENNSYLVANIA INTERACTIVE, LLC Page 14

111 Key Objective 6. Implement an Electronic Content Management strategy that enables agencies and customers to easily organize and retrieve content via metadata tags, key words, etc. 7. Establish the ability for the Commonwealth to send requested information or documents electronically to multiple devices. 8. Implement the ability for the Commonwealth to process interactive applications for licenses, permits and other government documents, to sell goods and services by interactive applications, and to receive electronic documents for filing from the public, businesses, employees and local governments. When a signature is necessary the Portal must be able to PA Interactive Approach ultimately transforms web traffic data into an understanding of customer behaviors. PA Interactive will implement a comprehensive content management solution for Pennsylvania utilizing Microsoft SharePoint NIC has implemented SharePoint for 15 of our state partners and SharePoint runs the state portal website of 8 states, including the award winning Texas and Arkansas state portals. The scope of these CMS related services include: Architecting and implementing CMS for state government Internet sites, extranets, and intranets Designing and implementing governance processes and controls to support enterprise CMS deployments Realizing visual website designs as CMS specific templates and components Customizing CMS software to provide an easier content management experience, specialized capabilities to the CMS, and ensure that accessibility objectives are met Developing training programs and supporting training resources for CMS participants The success of egovernment depends on the ability of government to effectively deliver information to the broadest possible universe of devices. Since our inception, we have developed industry-leading expertise in making government information and services available via: Web (across dozens of browser platforms) Mobile (Apple iphone/ipad, Android, Windows, Blackberry, and Palm) Point-of-purchase/kiosk IVR Phone/call center Live online Customer service Social networking Delivering interactive applications is NIC s primary focus. NIC has developed business registration systems through its egovernment partnerships with other states, including Hawaii, Kentucky, Tennessee, West Virginia, and Utah, and has developed business registration and filing systems in many other states. We lead the industry in developing solutions that meet the statutory requirements of state agencies and have worked PENNSYLVANIA INTERACTIVE, LLC Page 15

112 Key Objective accommodate electronic signatures. 9. Implement a shopping cart feature, credit card processing mechanism and a self-provisioning tool that will enable a My Cart feature on public facing websites. 10. Establish an environment of innovation in which the Commonwealth and the Master Contractor may provide ideas for additional potential opportunities, such as launching new applications and services to stimulate Customer usage. 11. Agencies will have the ability to leverage the hosting, online/mobile application services development and implementation along with the transition and redesign of their public websites. PA Interactive Approach with many partners to develop electronic signature solutions from initial boxes to digitally certified esignatures that are legally admissible in court. We will work closely with the Commonwealth to identify and implement signature solutions that meet each agency s specific needs. PA Interactive will deploy a comprehensive payment processing, shopping cart, and Web SSO solutions for Pennsylvania that will allow Customers to quickly and conveniently transact business with the Commonwealth. This will include the capability to add My Cart features on Commonwealth websites where appropriate. The self-funded model is a natural incubator for innovation, continued technology refreshment, and adoption of new technologies that increase usage of egovernment services. Since the model is driven by usage of services, PA Interactive is committed to reinvesting funds generated through the funding model into portal services and technology. NIC has maintained successful egovernment partnerships in 10 states that have lasted a decade or more. In particular, several of these states are regularly listed among the nation s most progressive egovernment leaders including Utah, Maine, Arkansas, Kansas, and Nebraska. NIC s success in every state we serve is based on our ability to keep looking at business challenges in a new way and to continually identify the next generation of egovernment services for our state government partners. Innovation is a key underlying tenet of NIC s self-funded model. We maintain close relationships with thousands of state agencies in order to continually identify and deliver value in the form of new applications and services. PA Interactive is proposing a contract and funding model that will allow agencies a streamlined way to leverage the services PA Interactive provides under this contract and the chosen funding model. Services include hosting, application development and operation, as well as transition and redesign of agency websites. IV-3.4 Roles and Responsibilities IV-3.4 Roles and Responsibilities The Commonwealth will assign a egovernment Program Manager (Program Manager) who will serve as the liaison between the Contractor and Commonwealth agencies for use of the Master Contract. All pertinent aspects of Master Contract, such as planning and design services, development and integration of applications into the overall PENNSYLVANIA INTERACTIVE, LLC Page 16

113 egovernment design, establishment of fees and priority of work orders will be coordinated through the Program Manager. PA Interactive will work closely with the Commonwealth s appointed egovernment Program Manager on a day-to-day basis to ensure that all aspects of the self-funded egovernment contract are met. PA Interactive s local egovernment management team and the Program Manager will work closely together via the finalized work order process and governance model so that all PA Interactive projects are proposed, planned, and executed in accordance with the funding and technological objectives of the contract. Likewise, the PA Interactive team will be led by a tenured PA Interactive Client Account Manager who has specific experience leading similar enterprise, multi-agency, self-funded egovernment application and service development contracts for state government. The Client Account Manager will be 100% dedicated to the Pennsylvania egovernment project and based full time in Harrisburg for the duration of the contract. This individual will be supported by a dedicated team of project managers, technical staff, designers, and marketing professionals who are trained in the management, operations, support, and maintenance of the applications, services, and platforms proposed for Pennsylvania. The PA Interactive Client Account Manager and dedicated egovernment team will work closely with the designated egovernment Program Manager on a day-to-day basis to provide information so that the Program Manager can make informed decisions. The egovernment team will work closely with the Program Manager and other Commonwealth staff to develop and implement work order and governance processes that allow input from commonwealth decision makers and ensure transparency. The Contractor shall designate a full time Client Account Manager who will be responsible for all activities on the Master Contract. The Client Account Manager shall meet with the Commonwealth Program Manager on a regular basis to review egovernment activity, status of planned egovernment services, Customer service activity, Customer satisfaction survey results and any issues to be addressed by the Commonwealth. PA Interactive will designate one of its most experienced and nationally recognized egovernment professionals full-time to the role of Client Account Manager for the Pennsylvania egovernment services contract. PA Interactive s Client Account Manager will possess proven egovernment leadership experience with other NIC partner states, where he or she has performed the functions of the Client Account Manager. The appointed PA Interactive Client Account Manager will bring unique self-funded egovernment services experience to bear, and will work closely with the Program Manager and final governance committee to ensure that PA Interactive is meeting all expectations, and is proactively mitigating risks. The PA Interactive-appointed Client Account Manager will be fully responsible for all activities of the self-funded egovernment Master Contract from PA Interactive s perspective. The Client Account Manager and the other members of the dedicated staff will be fully devoted to the operations of egovernment services for the. The Client Account Manager is committed to meeting regularly with the Program Manager to review egovernment activity, status of planned egovernment services, customer service activity, customer satisfaction survey results, and any issues that need addressing by the Commonwealth. As the senior-most PA Interactive executive PENNSYLVANIA INTERACTIVE, LLC Page 17

114 on the project, the PA Interactive Client Account Manager will serve as the single point of contact for PA Interactive with the Commonwealth regarding the Contract, and will provide the following: Perform overall management for Contract support operations Organize, direct, and coordinate the planning and production of all Contract activities, projects, and support activities, including those of subcontractors Oversee the planning of all projects, including the development of work breakdown structures, charts, tables, graphs, major milestone calendars, and diagrams to assist in analyzing problems and providing improvements Provide written and verbal communications to the Commonwealth, as required, to ensure Contractor activities and issues are in line with the objectives of the Commonwealth Establish and alter PA Interactive management structure to direct effective and efficient Contract support activities Coordinate with Commonwealth egovernment Program Manager and work with the egovernance Committee to propose, plan, and execute future projects Identify issues and oversee resolution Coordinate and manage all necessary reporting to the Commonwealth Oversee compliance with state and federal standards, SOX, NACHA, and PCI DSS Agencies requesting services from the Contractor are responsible for working with the Contractor to provide the business and technical application knowledge, working with Commonwealth support staff to define interfaces between the egovernment applications and legacy production systems, performing acceptance testing and providing second-level Customer service support relative to specific business rules for the application. Each agency will also define any constraints and estimate service volumes. Agencies are individually responsible for obtaining all necessary approvals for all services requested via this Master Contract, including funding approval, prior to submitting a Work Order Request. PA Interactive understands the roles of the requesting agencies, the Master Contractor, and the egovernance Committee, in the work order process. As outlined in our response to Section IV-3.6 Governance, of this SOW, PA Interactive will work with agencies to analyze Work Order Requests, provide functional, non functional and technical specifications to fulfill these requests, develop online services and web application products, and help define possible fees. PA Interactive understands that Work Order Requests will include a variety of new development efforts, reusable solutions, rapid application development programming routines, interfaces, and other processes. PA Interactive recognizes that agencies are responsible for obtaining approvals, including funding approval, prior to Work Order Request submission to OIT. If a Work Order Request is approved by OIT, PA Interactive will prepare a Work Order Proposal that identifies options available to the Commonwealth to save time, cost, and complexity in deploying these services. The requesting agency, PA Interactive, and the Commonwealth will meet to review, negotiate, and approve the Work Order Proposal. A final Work Order in the form which is attached as an Exhibit to Contract will result from an approved Work Order Proposal. PA Interactive will ensure that Work Orders reflect that each agency is responsible for acceptance testing delivered applications based on the business requirements, technical requirements, and scope of work defined in the Work Order. Additionally, Work Order should convey the responsibility that agencies have for providing Tier 2 customer service support relative to specific business rules for the application. PENNSYLVANIA INTERACTIVE, LLC Page 18

115 For its part, PA Interactive will ensure that the Work Order process is integrated into the business infrastructure and that designated staff understand the work order process and roles of all involved parties. The Contractor shall be responsible for the requirements documentation, systems design, development, maintenance and support of an agency s egovernment applications. The Contractor will provide information on egovernment applications that could assist Commonwealth agencies in working toward providing effective and enhanced Commonwealth information and services to Customers. The Contractor will elicit, gather and document the requirements for the egovernment applications and provide agencies with a proposal for egovernment service delivery. Application Documentation, Design, Development & Support PA Interactive understands that one of the primary roles of the Master Contractor is to bear the responsibility to document, design, develop, maintain, and support egovernment applications that serve the constituents of the. As a partner that serves a similar role with many other states, NIC has established effective egovernment program management models that integrate comprehensive software lifecycle approach with a state s governance structure and contract methodology. Such an approach allows applications to be developed and maintained according to industry-accepted standards, while ensuring egovernment program objectives are met and the state sustains oversight. PA Interactive will follow robust project and program management practices to efficiently document, design, develop, maintain, and support applications developed by PA Interactive for Pennsylvania agencies. As part of our approach, PA Interactive will work closely with the participating agencies during planning and proposal of each egovernment application to ensure that design documents capture the business and technical requirements of each project, work breakdown structures clearly identify tasks and milestone dates, test plans are appropriately staged and tested against requirements, maintenance and support planning is documented, and appropriate funding is identified. By consulting early with each agency application, PA Interactive will increase the likelihood that agencies and their customers receive robust egovernment applications that meet their needs and exceed expectations. New egovernment Applications As the egovernment partner for PA.gov, PA Interactive will work in conjunction with the Commonwealth to provide applications and services that can provide maximum benefit to the agencies and their constituents. Project opportunities will be identified from three primary sources: PA Interactive Project staff dedicated to PA.gov will provide options for new potential services from other NIC partner states and their ongoing research that will enhance customer service and increase constituent satisfaction through online applications. Agencies Business and technical staff from agencies will suggest new online services that ease their administrative burden and/or improve their service to constituents. Customers Pennsylvania businesses, residents, and visitors will have the ability to provide regular feedback about the online services. Many of PA Interactive s applications that are approved by the Commonwealth will be accompanied by an online survey. PA Interactive will PENNSYLVANIA INTERACTIVE, LLC Page 19

116 regularly review and evaluate customer responses to seek improvement for existing services, as well as suggestions for new services. NIC is uniquely qualified to deliver, and support new egovernment applications and services that will assist Pennsylvania agencies in working toward providing effective and enhanced commonwealth information to customers. NIC s qualifications specific to this requirement include: We build and manage official government websites, egovernment services, and secure payment processing solutions for more than 3,500 federal, state, and local government agencies across the country. We are proposing a team to be completely dedicated to the Pennsylvania egovernment program. The dedicated staff of management, technical, marketing, and business resources will be focused on delivering and supporting services with an eye towards developing a queue of additional applications that will enhance customer service and that can be rolled out to Pennsylvania agencies that elect to participate in the egovernment program. The staff will have management experience in other self-funded portals and access to NIC s evergrowing library of proven applications and toolsets. While focused completely on the Pennsylvania egovernment Program, the PA Interactive staff will also be able to provide options to Pennsylvania based upon services from other NIC-managed states. We currently have a knowledge library of more than 7,000 installed services ranging from real-time live chat applications and appointment scheduling applications to an unlimited catalog of project plans, documentation, and marketing ideas. This will mean that the PA Interactive staff dedicated to PA.gov can use the project plans, marketing ideas and the NIC code repository as a constant source of information to bring new ideas to the egovernment Program. We understand that the ongoing success of PA.gov will depend on the ability to bring proven revenue-generating services that provide sufficient funding for the business model. But equally as important is that we balance revenue-generating services with services that do not carry a fee to the end user or the agency. No other company has the deep level of expertise and experience of adapting the self-funded model across so many different policy environments with differing project goals. Developing Work Order Proposals PA Interactive will work closely with agencies requesting egovernment application development support. As agencies prepare Work Order Requests, PA Interactive will work with agencies to analyze Work Order Requests, provide functional, non functional, and technical specifications to fulfill these requests, and to develop online services and web application products. After the agency Work Order Request is submitted to OIT and approved, PA Interactive will develop a Work Order Proposal that identifies time and cost savings, as well as efficiencies, that will result from the deployed service. Administrative management of the egovernment application, such as planning, design, development and other application lifecycle management activities are the responsibility of the Contractor. PA Interactive fully understands that we will be responsible for planning, design, development, and service management of egovernment applications throughout their lifecycle. PA Interactive is dedicated to providing thorough project-level planning and management, and will implement a rigorous project management framework that ensures each application is developed using an PENNSYLVANIA INTERACTIVE, LLC Page 20

117 iterative process that allows project stakeholders frequent opportunities to assess the state of the project and to adjust design and technology decisions. For each project, PA Interactive will assign a project manager who works with stakeholders, requirements analysts, architects, and developers to draft a project schedule and manage the project. PA Interactive will track the progress of each project against the tasks and milestones of the project plan, and continuously report development progress. In addition, the PA Interactive project manager will work with project team members and stakeholders to identify project risks and perform risk response planning. As part of the work order process, early in the planning process, a marketing approach, strategy, and plan will also be created to ensure that the product or application is positioned for maximum visibility and to meet adoption rate goals. Communication and training plans are also tailored to the project needs at this time. An important aspect of PA Interactive s approach to application development and management is that our proposed model manages each application within the context of the entire Pennsylvania egovernment Program. PA Interactive will implement a program management approach that allows strategic management of the entire portfolio of egovernment services, while also integrating governance and a comprehensive service management processes. PA Interactive will work with the Commonwealth to define project review, prioritization, and selection criteria that are grounded in the Commonwealth s overall egovernment program vision. PA Interactive is dedicated to providing technology-enabled service management processes that ensure applications are thoroughly maintained and updated after they have been released. Important functional areas of the IT service management approach include: Help Desk Incident and Problem Management Change Management Release Management Configuration Management Service Level Management IV-3.5 Communications and Marketing IV-3.5 Communications and Marketing The Contractor shall provide experienced marketing, communications and business development resources as part of the Master Contract, to design and implement a marketing and communications plan. The plan will outline ways to create awareness, build support and accelerate the interest and use of online services as well as the visibility of PA.gov as a primary delivery channel for those services. The plan shall contain specific strategies and tactics, with anticipated measureable outcomes (e.g., numbers of new users or new transactions per unit time) and specific implementation timelines. Marketing efforts include marketing the new Portal and egovernment business model to agencies and other eligible government entities under the contract to encourage them to use the services of the Contractor. The Contractor shall describe how marketing strategies will be used to build and measure end user traffic to PA.gov to assure the broadest possible use of these services. The Contractor shall meet with each agency to develop specific marketing plans that will implement the business case for this new approach and education their constituents about its value. PENNSYLVANIA INTERACTIVE, LLC Page 21

118 Examples of Potential Services: Marketing and publicity to customers and agencies associated with the implementation of new online services to include notification through e mails, web banners or other collateral materials, Public Service Announcements, etc. Web 2.0 or newer Technology such as blogs, wikis, video, social networking sites, widgets and mashups. Usage Statistics and Analytics The Contractor shall provide software tools and reports that analyze Customer demand for products and measure adoption rates and Customer satisfaction with online services. The Contractor shall continually evaluate and highlight Customer interest, demand and satisfaction as the drivers and measures of success for visibility of PA.gov and affiliated Commonwealth agencies. The usage statistics will be provided to the Governance Committee every 6 months to determine what new functionality, redesign or changes need to be made based on portal traffic. All communication materials must be reviewed and approved by the Press Office of the requesting agency prior to distribution. A Proven Approach to egovernment Marketing PA Interactive is pleased to propose a marketing and communications strategy to support Pennsylvania s web portal. We concur with the Commonwealth s emphasis on marketing in this SOW and recognize that a well-crafted outreach program to both agencies and end users is a key component of any egovernment solution. PA Interactive looks forward to working closely with the Governance Committee to refine this marketing approach to ensure that it meets the Commonwealth s needs and most effectively drives traffic to the web portal and its online services. Our proven marketing approach has been successful in other state engagements and we are confident it will deliver lasting value lasting value to Pennsylvania by leveraging: Marketing best practices, including branding, site redesign, strategic advertising, and market research Public relations and media outreach Proven social media tools to create connections between the Commonwealth and its customers We will work closely with the Commonwealth to ensure the priorities of this marketing proposal align with the goals and objectives of Pennsylvania s web portal. In addition, we understand that all marketing activities must first be approved by the Governance Committee and all related agency communication materials must be reviewed and approved by the respective agency Press Offices. This is a standard practice in our partner states and we will adhere to all Commonwealth requirements to ensure that the marketing program aligns with the priorities of the Commonwealth and generates value for Pennsylvania s egovernment program. It is also worth noting that our marketing plan includes promotion of services that were not built by PA Interactive. We take an inclusive approach to marketing portal services and believe that all services regardless of which entity built or maintains them should be part of the promotional approach. In each of our state government portal engagements, we market all services, not just those we have built. PA Interactive is committed to promoting the entire suite of services offered through the Commonwealth s web portal and our view is that every available online service elevates customer interest in Pennsylvania online services as a whole and should be promoted as effectively as possible. PENNSYLVANIA INTERACTIVE, LLC Page 22

119 A Best-in-Class Marketing Solution As the industry s leading marketer of egovernment solutions, NIC has consistently demonstrated that an effective, targeted, and sustained marketing effort is essential to the long-term success of a state s egovernment program. Pennsylvania s focus on marketing is aligned with our proven capabilities, and we are eager to collaborate with the Commonwealth to refine this plan to meet the current and future marketing priorities established for the Pennsylvania s web portal. egovernment marketing is a core competence for NIC and our organization has more hands-on experience in digital government promotion than any other provider or team of providers. We have designed and implemented more than 600 successful state egovernment campaigns to build brand awareness and adoption of new online services for our state government partners. This egovernment marketing expertise means we can hit the ground running on day one in Harrisburg to build and implement a targeted marketing program for Pennsylvania s web portal that will specifically benefit the Commonwealth, participating agencies, and the businesses and citizens of Pennsylvania. NIC s proven ability will allow us to deliver exactly what the Commonwealth is requesting a relevant and effective egovernment marketing program. Results and experience matter, and throughout this section are examples of NIC s best-in-class egovernment marketing programs that have delivered measurable value for the states we serve. Please note that some of the assumptions and proposed options are based on past experience, industry insight, and our understanding of the Pennsylvania market. NIC always works closely with our government partners to craft customized marketing solutions that meet the specific needs and suit the operating environment of each state we serve. We look forward to refining and enhancing the marketing plan for the Commonwealth s web portal in the future through an ongoing dialogue with the Governance Committee, egovernment Program Manager, and agency leaders. An Industry-Leading Team of Marketing Experts NIC s marketing leadership team consists of a cross-functional organization of marketing experts with more than 250 years of combined hands-on marketing expertise and more than 140 years of aggregated experience driving adoption for state egovernment portals and online services. In addition to overseeing egovernment marketing programs on behalf of 27 states, our marketing professionals have previously served some of the nation s most respected corporate marketers, including The Coca-Cola Company, MCI Communications, Ford Motor Company, J. Walter Thompson, and Gannett. NIC s egovernment marketing solutions have consistently been recognized nationally for building brand awareness and driving usage of online services. The GovMark Council, a non-profit forum of senior-level government marketing executives, has recognized NIC s statewide and agency-specific egovernment market programs 12 times in the past five years: 2012 Best Digital Marketing Program: Utah.gov relaunch campaign 2012 Digital Program Honorable Mention: Texas.gov targeted marketing campaign 2011 Outstanding State & Local Government Marketing Program: Texas.gov brand awareness campaign PENNSYLVANIA INTERACTIVE, LLC Page 23

120 2011 Outstanding State & Local Government Marketing Program: RI.gov saltwater fishing licenses 2011 Outstanding State & Local Government Marketing Program: State of Utah Broadband Project informational website 2011 Outstanding State & Local Government Marketing Program: Kansas.gov Final Piece to the Puzzle local services campaign 2010 Best State & Local Government Marketing Program: OK.gov s Payonline.OK.gov campaign 2010 Best Creative Marketing Program: OK.gov Go Green Oklahoma campaign & erecycle event at the Oklahoma State Capitol 2008 Best Overall Government Marketing Program: Utah State Construction Registry 2008 Best State & Local Government Marketing Program: Utah State Construction Registry 2007 Best Overall Government Marketing Program: Utah.gov On the Spot vehicle tag registration 2007 Best State & Local Government Marketing Program: Utah.gov On the Spot vehicle tag registration Examples of recent award-winning egovernment marketing campaigns are shown in Figure 1 through Figure 5 below. PENNSYLVANIA INTERACTIVE, LLC Page 24

121 Figure 1: GovMark Awards 2012 Best Digital Marketing Program: Utah.gov Relaunch Campaign with Featured Article by Craigslist Founder Craig Newmark PENNSYLVANIA INTERACTIVE, LLC Page 25

122 Figure 2: GovMark Awards 2011 Outstanding State & Local Government Marketing Program: Texas.gov Brand Awareness Advertising Campaign PENNSYLVANIA INTERACTIVE, LLC Page 26

123 Figure 3: GovMark Awards 2011 Outstanding State & Local Government Marketing Program: RI.gov Saltwater Fishing Licenses Promotional Campaign Figure 4: GovMark Awards 2011 Outstanding State & Local Government Marketing Program: State of Utah Broadband Project Informational Website PENNSYLVANIA INTERACTIVE, LLC Page 27

124 Figure 5: GovMark Awards 2011 Outstanding State & Local Government Marketing Program: Kansas.gov s Final Piece to the Puzzle Outreach Campaign to Local Government Agencies PA Interactive will develop, manage, and refine Pennsylvania s egovernment marketing program that includes insights from our national marketing, social media networking, and public relations teams. A Focused Marketing Approach Our commitment is to increase agency participation in the portal and prominently feature egovernment solutions in a manner that raises brand awareness and drives traffic to the Commonwealth s websites and online services. In particular, our marketing approach is driven by the following proven principles: Homework comes first: Though we have fine-tuned our approach across more than two dozen states, we recognize that each state marketplace is different and absolutely do not assume that what is true in nearby states we serve (such as Maryland, West Virginia, or Delaware) will also apply in Pennsylvania. PA Interactive believes that location-specific market research is essential to best understand the evolving needs of the and its constituents. Be inclusive: While NIC has significant egovernment marketing expertise, we also know that good ideas and new approaches can come from many places. As part of our standard business practice, we proactively invite participation from state agencies, businesses, and citizens and intend to do the same in Pennsylvania to ensure that the broadest possible audience has a vested interest in making PA.gov a success. PENNSYLVANIA INTERACTIVE, LLC Page 28

125 Make it personal and relevant: The what s in it for me? question is paramount in the minds of PA.gov s users, who are bombarded each day with hundreds of marketing messages. By speaking specifically to the audience we wish to reach and providing timely information that is relevant to user needs, we believe this proposed marketing campaign will immediately be top-ofmind and generate increased interest and adoption of Pennsylvania s digital government services. Keep it brief and clear: We respect our audience s time and don t expect them to pour over paragraphs of copy in an advertisement, press release, direct mail, or message. We focus on the facts, are succinct in explaining the benefit of online services, and offer clear calls to action to use government websites to receive fast and easy service. This proven approach will be employed in PA.gov s marketing campaigns to drive traffic to the state portal and its online services. Don t talk down: As professional marketers, we constantly audit the marketing messages in the egovernment industry as well as in other consumer and business industry segments. We recognize that advertisers often treat their target audience in a condescending manner. PA Interactive is diametrically opposed to the talk-down-to-your-audience approach and will implement a marketing plan that treats Pennsylvania residents with respect, does not waste their time with superfluous messages, and seeks to establish a lasting and engaging relationship. Prepare for a long-term build: We recognize that any marketing plan will include aspects that deliver benefits over time as core messages are reinforced and digested by target audiences. While we expect several components of this marketing plan will deliver tangible near-term results, NIC also knows from experience that the greatest benefits of egovernment marketing may come after the second, third, or tenth exposure to Pennsylvania s digital government marketing messages. It s not about PA Interactive: Our focus is on promoting the Commonwealth, the hard work of its agency employees, and the collective effort made to improve egovernment services we are not interested in congratulating ourselves for another successful initiative. In each of our partner states, NIC firmly and intentionally remains in the background by developing marketing programs that raise awareness and drive usage. Our proposed marketing plan PA.gov will be no different. Pennsylvania egovernment Marketing Objectives The marketing objectives to support the further expansion and increased adoption of egovernment in Pennsylvania are targeted and clear: Expand agency adoption of PA.gov and the Commonwealth s egovernment services Increase awareness of PA.gov and the Commonwealth s egovernment solutions among business and citizen users Drive more traffic to the PA.gov and increase usage of the Commonwealth s digital government services which will create higher customer satisfaction with government and a larger volume of online transactions to benefit Pennsylvania Note that each strategy and tactic proposed in PA Interactive s marketing approach is designed to support these objectives. We know what initiatives will move the needle and which marketing approaches fail to deliver value. As a result, we will be able to focus only on marketing initiatives that deliver measurable value to Pennsylvania and its constituents, rather than experimenting with nice-to-have programs that confuse the marketplace with off-subject messages. PENNSYLVANIA INTERACTIVE, LLC Page 29

126 A Comprehensive Branding Approach PA Interactive recognizes Pennsylvania s desire to make PA.gov as relevant as possible to customers across the Commonwealth. As an egovernment branding expert who has built identity campaigns to enhance the stature of government websites and online services for federal, state, and local government partners, NIC recognizes the importance of creating, stewarding, and supporting a relevant brand that serves government s needs. At the outset of a new engagement, NIC s is frequently asked to conduct a brand equity audit to assess the effectiveness of a state s portal identity. As the result of these assessments, NIC is often directed to develop a new portal brand in conjunction with a site redesign. Recent before-and-after state portal rebrand examples are featured in Figure 6 below. If so requested, PA Interactive would welcome the opportunity work closely with the Commonwealth to evaluate its existing web portal brand. PENNSYLVANIA INTERACTIVE, LLC Page 30

127 Figure 6: Examples of NIC s recent state egovernment rebranding efforts NIC s marketing and design teams have developed more than 300 egovernment brand identities for official portals, agency websites, and online services on behalf of our government partners. Examples of our federal, state, and local egovernment branding solutions are featured in Figure 7 below. PENNSYLVANIA INTERACTIVE, LLC Page 31

128 Figure 7: Examples of NIC s branding for federal, state, and local egovernment solutions Proposed Brand Refresh for PA.gov Based on our egovernment branding experience, we respectfully propose that the Commonwealth consider refreshing the PA.gov brand and integrating the mark into the expanded marketing and communications programs we are proposing. PENNSYLVANIA INTERACTIVE, LLC Page 32

129 We will support this proposed enhanced branding program with an approved multimedia marketing (print, in-office, online, , and direct mail) and earned media (public relations) campaigns to raise awareness and drive usage of the portal. A well-executed rebranding program can create enhanced excitement, energy, and sense of purpose for a website which is exactly what PA Interactive believes the Commonwealth seeks to provide for PA.gov. PA Interactive recognizes that branding in general and brand refreshes in particular are delicate activities that require careful research, thoughtful preparation, and precise execution. We are comfortable in our ability to support a larger role for the PA.gov brand, and we believe this action is also in the best long-term interest of the Commonwealth. Many of the most successful Internet brands in their respective industry segments including Google, Amazon, WebMD, ebay, Utah.gov, and Arkansas.gov have maintained the same brand identity for several years. While specific marketing campaigns may evolve over time, the focus on supporting the brand does not waver. This is the approach PA Interactive can help the Commonwealth pursue with our proposed brand refresh program for PA.gov. Brand Refresh Concepts for PA.gov NIC has explored several preliminary refreshed brand identities for PA.gov as an exercise to highlight the capabilities we could bring to bear for the Commonwealth should it choose to have us work on such a project. Our goal was to pursue different creative approaches to capture the personality of the Commonwealth and position the brand as open and inclusive. Based on our research, we have included several brand concepts that feature the following elements: Design elements that highlight the Commonwealth s role in U.S. history (Liberty Bell and Independence Hall) Pennsylvania icons the keystone and state outline Regional diversity the Three Sisters Bridges in Pittsburgh Text treatments of both Pennsylvania.gov and PA.gov Primary and accent colors derived from the Commonwealth s vintage and current visitpa.com license plate Contemporary text treatments that evoke Pennsylvania s forward-leaning, technology-savvy business environment A friendly, approachable interpretation of the Commonwealth s technology brand. We recognize that the brand concepts presented in Figure 8 are merely proposals and look forward to working closely with the Commonwealth to evaluate these designs and potentially deliver a brand refresh that meets Pennsylvania s needs and best captures the spirit of PA.gov. When PA Interactive presents final branding options to the Commonwealth, we will conduct preliminary research related to copyright, service mark and trademarks. The Commonwealth will be responsible for trademark and other filings for the brand that is selected. PENNSYLVANIA INTERACTIVE, LLC Page 33

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131 Communication Tactics The proposed PA.gov marketing plan includes a broad communication component to ensure that key audiences are aware of PA.gov and have relevant reasons to use its information sets and online services. A summary of earned media communication tactics PA Interactive would like to consider including in Pennsylvania s egovernment marketing plan include: Website messaging/information Pennsylvania s egovernment websites are crucial resources for constituents who need state information and online services. By featuring dynamically driven content (such as continually ranked most popular online services, prominent links to timesensitive online transactions, interactive mapping, and breaking news alerts) as well as timesensitive information updates, PA Interactive will work closely with the Commonwealth to ensure that the highest visibility pieces of real estate on PA.gov contains accurate and timely communications to help keep constituents informed and encourage the further use of the Commonwealth s evolving suite of online services. Media events We work closely with our government partners to hold regular media events that draw attention to official government websites and online services. Many of these events feature the Governor and Lieutenant Governor, Secretary of the Office of Administration, the CIO s office, and other cabinet members and high-ranking state officials discussing the benefits of going online to connect with the Commonwealth. PA Interactive is eager to help the Commonwealth leverage public events to raise awareness of PA.gov and the online services it offers. Public service announcements (PSAs) NIC has a proven PSA development program in multiple states to generate free broadcast media exposure for official government websites and will design a customized program for the Pennsylvania s web portal. End user training Succinct training to educate end users about portal services and information is an essential part of the communication process. No provider can match NIC s experience at providing knowledge transfer and customized training for agency employees, business users, and citizens. PA Interactive will work closely with the Commonwealth to develop training to educate targeted audiences about PA.gov s online services. Search engine optimization Web users use search more frequently than ever before. According to the most recent findings of NIC s exclusive egovernment survey and focus groupbased market research, approximately 95% of all web sessions involving government websites are initiated with a web search. As part of our proven website design process, NIC conducts both internal and external assessments to ensure that keywords, external links, and tagging are optimized for search engines. In addition, the media announcements we issue on behalf of partner states are keyword-optimized and link-optimized to ensure online services appear as prominently as possible in search results. Both search engine optimization assessments and keyword-optimized media releases are part of our proposed PA.gov marketing program. PA Interactive will work closely with participating Commonwealth agencies to develop a targeted opt-in marketing program for business and citizen users of online government services. We strongly encourage Pennsylvania to include opt-in as an option for as many online services as possible as a way to augment existing communication channels. SMS / text messaging In our most recent wave of national market research, NIC has found that more than 50% of respondents expressed interest in receiving opt-in SMS messages for timespecific, relevant reasons for example, as reminders when deadline-driven services like professional license renewals or annual report filings need to be completed. PA Interactive proposes that SMS messaging be part of Pennsylvania s communication strategy to drive more traffic to the portal s specific self-service solutions. PENNSYLVANIA INTERACTIVE, LLC Page 35

132 Post cards / form redesign One communication tactic above all others has historically been most effective at shifting traffic to the online channel form redesign and the strategic use of post cards and direct mail to deliver reminders and encourage use of a government website. NIC has worked closely with hundreds of state agencies to enhance their communication practices by streamlining forms and other official communication with strong calls to action for Internet services, which can lead to significantly lower usage of mailed-out forms and the elimination of the associated expense. PA Interactive is eager to work closely with Pennsylvania agencies to leverage existing forms and other printed and mailed communications to increase traffic to online services. Site cross-marketing NIC works closely with participating agencies to cross-market similar services to drive adoption. For example, Tennessee places marketing banners and calls to action on both freshwater fishing license and boat trailer registration transaction pages to drive traffic to these complementary services. Whenever possible, we encourage our partners to include links to related services on the transaction confirmation pages to help direct users to related services are in the mindset to take care of business with government. We are eager to work closely with the Commonwealth to develop a customized cross-marketing strategy that benefits all customers of PA.gov. Press releases and media outreach NIC s media relations team has a proven track record of successfully helping generate attention-getting news coverage for our government partners websites and online services. We are highly skilled at developing relevant announcements about government portal enhancements, new services, awards, performance milestones and anniversaries, and other newsworthy items. In addition, we are able to take announcements about basic services and find interesting angles that generate news coverage from a variety of media sources (for example, please refer to the example below about Utah s DMV office appointment scheduler). NIC will leverage our strong relationships with national, industryspecific, and statewide media to place stories that highlight Pennsylvania s innovative efforts and will also develop all press announcements with search engine-friendly to maximize search placements. Recent Examples of Successful egovernment Story Placement Case Study: New State Portal Launch: Utah.gov To support the launch of Utah s groundbreaking new state portal in May 2011, NIC s marketing and digital media teams developed a social media press outreach plan that targeted key government publications and national technology bloggers. We worked with our government partners to schedule and conduct exclusive online briefings with several prominent social media writers to demonstrate the site s new features and provided detailed follow-up information about the site s first-of-its-kind web 2.0 functionality. As a result of NIC s media outreach, Utah s new portal launch received a historic level of positive news coverage from both industry publications and technology writers. More than 50 news stories were written about Utah.gov and Twitter messages from more than 500 people reached approximately 2.2 million people in the first four days after the new site launched. Among the placed stories: PENNSYLVANIA INTERACTIVE, LLC Page 36

133 Case Study: New State Portal Launch: Utah.gov Utah.gov 2.0: personalized, search-centric design, real-time content Alex Howard Gov 2.0 / govfresh blogs Utah s new state website: Less clutter, more social media and apps Alex Salta OhMyGov blog A Beautiful New (Government) Website Abhi Nemani Code For America Blog PENNSYLVANIA INTERACTIVE, LLC Page 37

134 Case Study: New State Portal Launch: Utah.gov Utah Launches Redesigned Website Salt Lake Tribune Utah.gov Gets Buzz For Second Redesign in Two Years Nick Judd Techpresident PA Interactive looks forward to working closely with the Commonwealth and participating agencies to achieve similar results by promoting the PA.gov and agency services with a carefully crafted media outreach program. Print Materials PA Interactive will produce branded print materials to help promote PA.gov and drive traffic to specific online services. We work with many state partners to run targeted online, print, direct mail, outdoor, and office signage programs to augment other proven marketing campaigns. For Pennsylvania, we have developed some sample materials to demonstrate our capabilities. In the examples presented below, we have created a design approach that integrates elements businesses and citizens in Pennsylvania will easily identify. Note that this campaign is only a proposal, and we look forward to working closely with the Commonwealth to make refinements to ensure it meets Pennsylvania s specific needs. PENNSYLVANIA INTERACTIVE, LLC Page 38

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139 Measurable Outcomes Measurement is an essential component of any successful marketing plan. While the specific performance metrics, timing intervals, and reporting process will be developed based on detailed input from the Commonwealth, Governance Committee, and participating agencies, NIC has successfully used the a variety of measurements in other states to quantify the value and benefit of egovernment marketing and will use this framework in Pennsylvania as well. Whether we are supporting a statewide brand awareness initiative for PA.gov or trying to increase agency participation in the portal, PA Interactive will apply performance management principles to ensure that every marketing initiative is developed and executed with clearly identified goals. Performance management objectives we frequently apply to marketing campaigns include: Marketing campaign awareness and recall: Based on input from the Commonwealth, PA Interactive is able to commission post-launch research surveys to determine customer awareness PA.gov s marketing campaigns as well as the ability to recall specifics of these campaigns. Citizen engagement and connection with Pennsylvania: PA Interactive will measure the level of citizen and business engagement with Pennsylvania s websites, online services, and social media platforms. In particular, we will monitor the number of fans of PA.gov on sites such as Facebook as well as the level of interaction between citizens and the Commonwealth for example, are citizens posting comments on Pennsylvania s YouTube channel, following Pennsylvania s different Twitter feeds, or uploading photos to the Commonwealth s Flickr account? By monitoring how citizens are connecting with Pennsylvania through social media, PA Interactive and the Governance Committee will be able to refine marketing messages to more effectively reach these target audiences. New users: We measure the number of new citizen and business users, which services they are using, and whether they are also high-volume business service subscribers. In addition, PA Interactive will cross-reference customer service logs, social media activity, and outreach activities with key publics (including industry associations and consumer groups) to measure user support and advocacy of PA.gov and the Commonwealth s online services. Channel mix: How users access government websites and digital services continues to evolve, and PA Interactive will closely monitor which devices (computer, tablet, mobile) and channels (online, point-of-purchase, mobile, phone/ivr) citizens and businesses use. Channel mix changes frequently provide good insight into how future services should be designed and serviced. Customer service traffic: As self-service egovernment solutions grow, inbound customer service inquiries frequently drop for our state government partners. PA Interactive will closely monitor help desk, phone, text, live help, and customer service traffic to ensure appropriate staffing levels and make changes to online self-service resources as necessary to reduce inquiries and increase first-contact resolution for agencies and users. Agency cost avoidance: NIC works closely with agencies to understand the cost structure manual processing, printing, postage, storage, hiring temporary resources, and other hard-dollar expenses often associated with offline services. By moving services to digital channels and monitoring transaction volumes, we frequently provide activity-based cost estimates of how online adoption has reduced expenses for agencies. Media mentions and earned media value: PA Interactive will leverage media monitoring services to track the frequency, quality, and relevance of media placements and references to Pennsylvania s online services. In addition, we will apply commonly used measurements to track the ongoing equivalent value of earned media for PA.gov and the Commonwealth s online services. PENNSYLVANIA INTERACTIVE, LLC Page 43

140 Analytics: We propose using web analytics tools to benchmark pre- and post-marketing launch site traffic patterns, link heat-mapping, and effectiveness of transaction funnels (e.g., monitoring the percentage of visitors who complete a transaction and identifying pain points in the process that should be addressed) to determine strengths, opportunities, and areas of improvement in site design, online service effectiveness, and marketing strategy. In addition, NIC excels at leveraging analytics to identify referring domains, strengthen keywords for search engine optimization, and test new designs and content sections to determine maximum effectiveness. Traffic, transactions, and dollars processed: As an essential measurement for PA Interactive, we will work closely with the Commonwealth to measure pre- and post- marketing campaign egovernment transactions and dollar value processed. While some of the aforementioned metrics may be measured over time based on market research, site visits, transactions, and financial volumes will be tracked on a weekly and monthly basis to assess the overall performance of the portal and effectiveness of all marketing campaigns. User satisfaction: User satisfaction is another core metric that NIC tracks closely, and we will continually monitor user feedback and survey data to measure the effectiveness of PA.gov and its online services. satisfaction: If we are fortunate enough to earn the Commonwealth s business, PA Interactive will serve at the pleasure of Pennsylvania and recognizes the importance of making this a positive and healthy relationship. PA Interactive will frequently measure the satisfaction of the Office of Administration, CIO s Office, the Governance Committee, egovernment Program Manager, and participating agencies with all services we provide, including marketing efforts, to ensure that we are doing the right things to most effectively serve the Commonwealth. PA Interactive is eager to work closely with the Governance Committee and agency leaders to identify specific measurable outcomes and implementation timelines for the various marketing programs we will implement on behalf of the Commonwealth. Marketing to Internal & External Customers No provider or team of providers can match NIC s ability to build and foster positive relationships with internal and external entities to help promote state government websites and online services. Our goal in Pennsylvania is to effectively and consistently communicate with agencies and end users who will benefit by using the Commonwealth s online services. Our enhanced outreach will be deployed to encourage agency participation in the PA.gov portal, provide education about the benefits of the self-funded model, and drive usage of the site by those agencies that might not have historically leveraged the portal s websites and online services. Increased adoption by more agencies and entities (e.g., local government, education, and nongovernmental entities) will lead to more usage by the citizens and businesses they serve, which ultimately benefits the Commonwealth and its customers. PA Interactive s dedicated marketing team will help communicate the value of using the portal and empower all agencies (including those currently using the portal and those who are not) to leverage centralized tools such as secure payment processing, multichannel customer service, and targeted marketing for high-potential online services. Proactive Outreach to Agencies to Drive Portal Participation PA Interactive proposes the following items as part of the outreach process to customers: PENNSYLVANIA INTERACTIVE, LLC Page 44

141 Cabinet briefings with Governor Corbett s support Agency public information officer briefings Equal outreach for large and small agencies, those with transaction-based applications, and those with non-transaction-based applications Local government association and relevant educational institution outreach (e.g., the Pennsylvania League of Cities and Municipalities and the Pennsylvania School Board Association) to brief organizations on new portal benefits, solicit feedback, and encourage participation Collaboration with the Office of the Budget to educate agencies about the benefits of the new self-funded approach and how it can help dramatically expand new service development at no cost Invitations to launch events and training sessions for future PA.gov portal redesigns and new Pennsylvania online services Mass distribution to employees of materials (potentially with the refreshed PA.gov logo) a simple screen saver or magnet can go a long way to raise awareness Agency employee newsletter articles Template articles prepared for legislative newsletters Messaging Objectives PA.gov is designed to serve the needs of the Commonwealth and its core audience of business and citizen customers. While all of these audiences will enjoy the improved efficiencies the enhanced suite of online services will bring, each will have additional, specific needs met by the site. These needs should be communicated clearly and concisely with the launch and promotion of specific online services. Note that all messaging will be dedicated to driving awareness and adoption of Pennsylvania s online services. Businesses Target: Businesses and business professionals that rely on Pennsylvania s online government services. Key Message: Pennsylvania is open for business, and now PA.gov can serve you even more effectively so you can get on with your business. Objective: Drive awareness, increase the customer base, and increase usage of PA.gov and its online services. Sample Tactics: Specifically target industry associations and business professionals that use Pennsylvania s egovernment services Integrate these customers into every aspect of PA.gov, including the gathering of business requirements, site design, screen flow, customer service needs, and preferred marketing and communication channels for relevant online services in development Provide messaging, training, branded materials, and ongoing communication about PA.gov to the core group of agencies and not-for-profit associations that support business growth in Pennsylvania including the Department of Revenue, Department of the State, Department of Labor and Industry, and the Department of Community and Economic Development PENNSYLVANIA INTERACTIVE, LLC Page 45

142 Create a train the trainer service that offers free training on key services to businesses, industry groups, chambers of commerce, etc., so they can, in turn, train their customers/employees available either in-person or online via multimedia resources at PA.gov Target key business reporters, newspapers, magazines, and online sites that appeal to businesses and business professionals for both paid and earned media Identify key applications and go deep with outreach to business associations and publications that target the audience (e.g., pitch stories about timesaving online business services to local publications that promote entrepreneurship within the business community) Citizens Target: Citizens of the Key Message: Make PA.gov your first stop for state government information and services. Objective: Drive awareness, increase the customer base, and increase usage of PA.gov Sample Tactics: Drive awareness through paid and free media outreach following the introduction of new citizenspecific online services (as well as reintroduction of Pennsylvania s existing citizen services that could be redesigned and/or enhanced in the future) Provide branded materials (as appropriate) to Governor Corbett s staff and agency public information officers including portal-branded step/repeat background wallpaper for public announcements Target key reporters, papers, TV news, billboards, and online sites that citizens see/hear most Select key online services and seasonal applications to be promoted through prominent placement on the portal, the press, and paid media outreach in order to drive additional usage and adoption PA Interactive recognizes that collaborating with and communicating directly to agencies and key customers is an essential component of an effective egovernment marketing program. We are eager to work closely with the Commonwealth to customize an internal and external outreach program to aggressively promote PA.gov and its online services to its customers. Using Social Networking to Connect Pennsylvania to Constituents The has already implemented social networking technologies to various parts of PA.gov and PA Interactive welcomes the opportunity to further expand the integration of the social web in government. NIC has proven hands-on experience in helping states deploy social networking tools that create stronger connections between government and customers. We recognize that social media has dramatically changed the way the Internet is used, and customers expect to be able to play a much more active role in the government-related websites they visit, including sharing their ideas and benefitting from content generated by other users. PA Interactive proposes to leverage a number of web 2.0 solutions for PA.gov, including augmenting the Commonwealth s current social media tools and introducing several new solutions. PA Interactive will leverage the Commonwealth s existing agreements with Facebook, Twitter and YouTube for the rollout of the initial PA.gov portal and will present options for other social media PENNSYLVANIA INTERACTIVE, LLC Page 46

143 sites to the Commonwealth. In particular, we are eager to leverage the following potential solutions to support PA.gov: Facebook Facebook's application platform has an incredible amount of potential for reaching constituents seeking government content (event information, photos, videos, etc.) and services. We will consult with the Commonwealth on the opportunity to add agency-related Facebook pages to an integrated Facebook site. This will allow the Commonwealth to present a cohesive front door on Facebook while providing Commonwealth-specific as well as agency-specific information, data feeds, and online services. In particular, an expanded PA.gov Facebook site could potentially include: An overview of PA.gov New service announcements & enhancements Alerts and breaking news updates Links to popular online services Links to the other Pennsylvania government agency Facebook service sites Links to PA.gov and top level category sites Links to local government agency Facebook sites and online services PA Interactive also could use Facebook apps and widgets to add even more dynamic content to the PA.gov Facebook page, including: RSS Feeds syndicate posts into status updates YouTube Channels post YouTube content to Facebook instantly Twitter sync Twitter updates to Facebook to communicate with Twitter followers and Facebook fans Flickr syndicate images from Flickr to Facebook without having to upload images to both websites Polls engage your audience, get them to share content with friends, and conduct high-impact customer and market research Ustream real-time, interactive events with streaming video and live chat. PA Interactive will work closely with the Commonwealth to ensure that any expanded implementation of Facebook for PA.gov is structured in a manner that meets the Commonwealth s needs and fully complies with all Commonwealth laws, policies and agreements. Every aspect of the Facebook implementation will be approved by the Commonwealth. Flickr and YouTube Flickr is a folksonomy-based photo and video sharing website, web services suite, and online community platform. A folksonomy is a system of categorization that comes from collaboratively creating and managing tags or keywords to annotate and categorize content. The user-driven categorization comes from the bottom up, from the folks, instead of from the top-down as in a hierarchy or taxonomy imposed by site administrators. Flickr asks photo submitters to organize images using tags, which allow searchers to find images related to particular topics, such as place names or subject matter. Flickr's functionality includes RSS and Atom feeds and an API that allows PENNSYLVANIA INTERACTIVE, LLC Page 47

144 programmers to create applications that can perform almost any function a user on the Flickr site can do. YouTube is a video sharing website where users can upload, view and share video clips. YouTube's web-based video playback technology is based on the Adobe Flash Player, allowing the site to display videos with quality comparable to more established video playback technologies (such as Windows Media Player, QuickTime, and RealPlayer) that generally require the user to download and install a browser plug-in in order to view video. Viewing Flash video also requires a plug-in, but market research from Adobe Systems has found that its Flash plug-in is installed on over 95% of personal computers. The content from these two websites are accessible from multiple channels via the web, mobile xhtml sites viewable on cellular phones with a browser, and outside the Flickr and YouTube websites via RSS and other sharing features. Both sites rely heavily on RSS for syndication of users' photos and videos, and they provide several ways to share content: via integrated and blogging tools, by providing a permalink to the photo or video, or by embedding the content into any web page. Each photo and video is accompanied by a piece of HTML markup that can be used to link to or embed the content on a page outside the Flickr or YouTube websites, unless the submitter of the photo or video chooses to disable the feature. Pennsylvania Media Portal powered by Flickr and YouTube NIC has built media portals for several states to house a broad range of multimedia assets in a single location. In particular, Maine and Utah offer such media galleries that feature customized state YouTube channels and Flickr feeds that are tagged and searchable. PA Interactive proposes that the Commonwealth consider an upgraded media portal that incorporates the multimedia assets from the existing direct2u site as well as photos and content from other state sites, including Governor Corbett s site. The expanded Pennsylvania Media Portal can leverage social media tools Flickr (for photos and short videos under 90 seconds) and YouTube (for videos up to ten minutes long), as well as podcasting technology if the Commonwealth chooses to do so for syndicating audio content. Using the provided sharing features, as well as Flickr's API, the Pennsylvania Media Portal will give users access to video and photo galleries. In addition to using these sites as the warehouse for Pennsylvania photos and videos, we can also invite participation in the portal by using the social features inherent in both systems. Twitter Governor Corbett and many Pennsylvania agencies are progressive Twitter users and offer the opportunity to build a robust existing content stream for a future centralized PA.gov Twitter feed as well as an impressive number of agencies using the solution to communicate directly with constituents. To further enhance Pennsylvania s Twitter solution, PA Interactive proposes building a subscription service in which all Commonwealth-related Twitter feeds can be selected via an API reconfiguration through a central subscription center. Based on our understanding of the Commonwealth s current setup, users who wish to subscribe to agency Twitter feeds have to go to each specific Twitter page PENNSYLVANIA INTERACTIVE, LLC Page 48

145 to sign up with the PA.gov integrated subscription center, any state or local government agency Twitter account could be selected in a one-stop shop. UserVoice UserVoice offers a hosted way to harness the innovation and ideas of citizens and constituents. Instead of traditional, question-oriented surveys, UserVoice is similar to Dell's IdeaStorm or My Starbucks Idea in that users submit feedback, bugs, suggestions, or ideas and they rise to the top based on votes from the community. It's a feedback engine aiming to replace ticket systems and forums or bulletin boards that can be difficult to manage and support. NIC has worked with the Idaho governor s office to deploy UserVoice to crowdsource ideas and perspectives on how best to make Idaho s state government as efficient and effective as possible. Efficiency.Idaho.gov has collected over 180 ideas that have garnered over 600 votes. A screen shot of the Idaho UserVoice site is included below. PENNSYLVANIA INTERACTIVE, LLC Page 49

146 Figure 14: Efficiency for Idaho - UserVoice Data and Content Sharing When first defining the concept of web 2.0, digital pioneer Tim O'Reilly wrote that data is the next 'Intel Inside', suggesting that at the core of web 2.0 is the notion that information, not hardware or PENNSYLVANIA INTERACTIVE, LLC Page 50

147 software, is the key driver. Data is at the heart of web 2.0; it is what has changed the web from a content-pushing server, to a pushing-pulling platform. The transparent government movement furthers this notion by imploring governments to publish information and data in machine-readable formats (text, HTML, spreadsheets, etc.) instead of PDFs or image files. To this end, PA Interactive is eager to work with the Commonwealth to develop a central data resource to provide easy access to approved publicly available datasets, increase government transparency, and further encourage public participation and collaboration in government. By making data readily available for research, analysis, and development of web tools and applications, PA.gov can encourage new and creative approaches to use the massive amounts of data made available by the Commonwealth. The PA.gov data site will provide a catalog of public data that will include access to online data search tools, or the "raw" data in CSV (comma-separated) and/or KML formats. Datasets are searchable by category, agency, and keywords. NIC has worked with several states, including Utah ( Figure 15), Oklahoma, and Maine to present publicly available state data sets online. Utah s data site, for example, includes large and small state data files, such as average wage information, local data files from municipalities, geographic sources and external data sources that are relevant to Utah (sources from the Environmental Protection Agency, for example). The goal is to release information to citizens, who can use it to create new uses for the data. In fact, interested followers can be notified when new data is added to the Utah site through Twitter. For a concept of the data portal PA Interactive is proposing for PA.gov, please refer to Figure 21: PA.gov Concept #1 Data Portal. PENNSYLVANIA INTERACTIVE, LLC Page 51

148 Figure 15: Utah Data Site Third-Party Data Sharing Services NIC has used many services that help make data readily accessible over the Internet, including Socrata, SlideShare, and Scribd. Details about these services follow. Socrata PA Interactive is proposing Socrata as a subcontractor for the Commonwealth s Open Data Platform. Socrata makes data readily accessible over the Internet, in a form that maximizes comprehension, interactivity, participation, and sharing. Socrata calls this social data discovery, and they have engineered their Social Data Platform for delivering citizen-friendly and machine-readable data on government data sites around the world. Socrata was recently selected by the General Services Administration as one of several providers to deliver dataset hosting services for Data.gov and participating federal agencies. With the Social Data Platform enabled, users could visualize, filter, and search large datasets directly within PA.gov without any software or file downloads. The Socrata Social Data Player also allows users to engage in a (fully moderated) social discussion, access data via an API, and share the datasets across social networks like Twitter. The Social Data Player can be embedded in any website or blog post, allowing agencies to share and embed a dataset as easy as a photo from Flickr or a video from YouTube. PENNSYLVANIA INTERACTIVE, LLC Page 52

149 SlideShare and Scribd NIC has experience with two online communities specific to document sharing. SlideShare and Scribd allow users to upload presentations and documents much like YouTube lets users post videos online, or Flickr allows users to share photos. Both sites use Adobe Flash as the basis for a rich, web-based document format similar to PDF. SlideShare also converts each document to a mobile-ready format (not using Flash) so that documents and presentations can be viewed on smartphones with a browser. Documents and presentations can be viewed the same across different operating systems and browsers without conversion, as long as the user has Flash installed. These services also provide HTML code which allows seamless embedding into a website or blog, as well as simple sharing mechanisms with over 25 services such as Facebook, Twitter, or Google Buzz. Additionally, SlideShare has a Facebook application allowing any profile or page to display documents directly within Facebook Mashups Distributed service-oriented computing has changed the way applications are developed. With the advent of web services and other open protocols, developers can use the component services of existing applications to create entirely new or enhanced applications. The result of this process is commonly referred to as a mash-up application. PA Interactive is committed to providing open standard service and client APIs to enable partners to construct mash-up-type applications using existing services and components as building blocks. Mapping applications are some of the most common and successful mash-up applications seen around the Internet today. NIC has spent several years providing effective toolsets to allow partners to develop map based mash-up solutions. In the proposed site designs included in the next section, several mash-up components are featured, including mapping for government office locations as well as a GeoIP-driven public meeting calendar. Map-driven mashups are a natural extension that will allow PA.gov to expand the availability of GIS services. PA Interactive looks forward to working with the Commonwealth to identify future opportunities to leverage its expansive dataset and mapping technology solutions to launch new mash-up features on PA.gov. Widgets Despite implementing the most effective government marketing campaigns in the country, NIC recognizes that some citizens are still missing out on important information from state government. With the help of mini-applications called widgets, users can get state government delivered directly to their desktop or customized Internet homepage. This innovative approach expands egovernment s reach and provides greater transparency by pushing real-time, dynamic content to consumers preferred sites. Widgets are mini-applications that visitors can take from the official state portal and embed on their personal websites, blogs, social networking pages, or other web pages. These widgets contain statespecific data like election news, lottery numbers, or road conditions that automatically update with new information. In addition to being embedded into web pages, portal widgets can be grabbed and shared by site visitors and ed to potential users. Agencies can also extend widgets to the PENNSYLVANIA INTERACTIVE, LLC Page 53

150 media, satellite offices, or localities, providing additional service offerings with no financial and minimal resource expenditures. Widgets have been widely used in a variety of private sector websites to create personalized experiences for weather, games, stock tickers, videos, audio players, and quizzes. Though, until a few years ago, they were not used on many state government websites. Internal content examples: newsroom, Homeland Security threat levels, photo gallery, legislative bill tracker, agency search, podcasts, state calendar at-a-glance, state park information and reservations, live election returns, state jobs listing, stimulus tracking and project reports External content examples: lottery numbers, real-time road conditions, tourism information, severe weather updates, and online travel bookings Online Outreach PA Interactive recognizes the importance of increasing online exposure of egovernment websites to drive incremental traffic, and we have included two key initiatives in our marketing approach for the PA.gov: Online Editorial Outreach (OEO) and Search Engine Optimization (SEO). All major search engines increasingly rely on in-bound links as a component of their ranking algorithm, so the creation of targeted links through and online editorial outreach program can have a significant impact on the organic search visibility. Online Editorial Outreach Online editorial outreach programs generate favorable online editorial coverage and word-of-mouth communication through the development of relationships with digital publishers and influencers. This includes website editors, bloggers, online community leaders and, in some cases, traditional journalists who also publish online. OEO represents an evolution of public relations into the digital world, which includes not only the Internet but also mobile devices and interactive TV. OEO is the digital form of earned media versus paid media activity like search engine marketing (SEM) and online advertising. While the primary goal of OEO is to indirectly influence a target audience, it also may have a collateral impact on the search-engine visibility of websites. PA Interactive s marketing team will provide information about PA.gov to relevant editors/bloggers. We will encourage them to talk about it on their sites, blogs, bulletin boards, and other online editorial content that represent opportunities to convey information about the site to key audiences. The online outreach campaign will include research to identify an appropriate number of relevant non-traditional media targets (including government- and consumer-specific blogs, forums, message boards, support groups, e-zines). We will develop targeted pitch messages customized to each influencer s needs and then provide pitching, follow-up, and reporting. Search Engine Optimization The goal of Search Engine Optimization (SEO) is to increase the amount of high-quality traffic to a particular website through organic search traffic. An SEO campaign will increase search engine rankings and drive quality traffic to a website. PENNSYLVANIA INTERACTIVE, LLC Page 54

151 In addition to the Online Editorial Outreach used to elevate PA.gov in search results, the site itself will be designed specifically to increase its ranking during searches. We know from NIC s exclusive national research that approximately 95% of users seeking government information turn first to a generic search to find what they are looking for. Some important facts to note: Approximately 92% of Internet users find the Internet resources they need through search engines. 84% of searchers never make it past the bottom of page two of Google s results before finding one they like. PA Interactive will work with the top three search engines Google, Bing and Yahoo to optimize search results for commonwealth agencies and services. General Philosophy There are two overarching SEO concepts that factor into the methodology PA Interactive will use to support PA.gov: When it comes to SEO, no opportunity should be missed. Every SEO activity counts as a positive gain. For example, Google places little value on meta-keywords, which are words embedded within the code on a page that the site visitor cannot see. At Yahoo, however, meta-data is a key driver of search rank. PA Interactive will work with the Commonwealth to only implement ethical SEO methods. Unethical techniques, known as black hat SEO, ultimately will result in a site being banned from the search engines altogether. These short-term benefits simply are not worth the long-term losses. For this reason, PA Interactive will weigh all SEO enhancements equally and measure success based on our core goals: establishing at least base-level visibility in all top engines, and ultimately improving rank and click-throughs to PA.gov and its online services. Bringing Marketing Expertise to the Partnership PA Interactive can and will deliver the comprehensive solution Pennsylvania has requested in order to make marketing a priority: Innovative, multi-channel communication strategies Best-in-class market research Cutting-edge social media outreach Proven overall approach to raise awareness and drive usage of PA.gov egovernment marketing is an ingrained expertise that we deliver successfully to every state partner NIC serves. Our ability to increase adoption of egovernment services is unrivaled, and PA Interactive is eager to work closely with the Commonwealth and Governance Committee to refine our marketing approach to deliver a plan that best meets Pennsylvania s needs. Our commitment is to deliver immediate and lasting value to PA.gov and the customers it serves. PENNSYLVANIA INTERACTIVE, LLC Page 55

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170 A Commitment to E-Government Design Excellence PA Interactive is confident we can develop a website design strategy to support the unique needs of Pennsylvania, and we look forward to working closely with the Governance Committee to develop an outstanding PA.gov solution that benefits agencies, users, and the Commonwealth. IV-3.6 Governance Process IV-3.6 Governance Process All work conducted under the Master Contract will utilize the Work Order Process that is outlined below: 1. The Contractor will establish a Work Order Request system to electronically receive new Work Order Requests. 2. Agencies will complete a Work Order Request that will be routed to the OIT review and approval. The Work Order request will, at a minimum, include a description of the problem to be solved, a payment model preference, critical success factors, integration with existing systems and high level requirements. 3. The Contractor will be responsible for working with the agency to conduct an analysis of the initiative, developing a business case for the initiative and presenting the initiative to the egovernance Committee. 4. The egovernance Committee will be responsible for reviewing and prioritizing the initiative against other initiatives. The Contractor shall work with the Commonwealth to establish the prioritization process that will be leveraged. 5. After the Work Order Request has been approved, the Contractor will prepare a Work Order Proposal that includes an effort estimate, approach, proposed resources and solutions that might be leveraged to meet the business need. The Work Order Proposal shall also outline application architecture and platform, interfaces to other systems, roles and responsibilities, payment model and timeframe for completion. 6. The agency, the Commonwealth and the Contractor will meet to review the proposal and negotiate items as necessary. The egovernment Governance meetings will occur on a monthly basis and will cover the following items: Status of existing Work Orders; Business case presentation and prioritization of new Work Order Requests; Contract compliance report; Reporting on ITIL processes (incident management, change management, etc) Adherence to SLAs; Major Issues; and Next Steps. The Contractor shall work with the Commonwealth to develop a governance model that supports the goals and objectives of the Commonwealth. This includes established procedures and approvals for timely completion of Work Orders, oversight, maintenance and operations. Work Order Process Successful egovernment programs create governance models that strike a balance between adequate state oversight, streamlined processes, the long-term commitment of key personnel to the program by the state and the contractor, and the conscious, daily effort by the state and the contractor to build and grow a relationship and help drive innovation. To strike this balance, NIC and our state partners follow Work Order processes similar to the one required by the Commonwealth of Pennsylvania. By employing this method of outreach, the Commonwealth will be able to get more agencies to submit Work Order Requests, which will result in a broader egovernment offering that can lead to efficiencies, cost savings, increased usability, and customer satisfaction. PENNSYLVANIA INTERACTIVE, LLC Page 74

171 PA Interactive will manage on behalf of OIT a comprehensive Work Order process that provides an electronic means of submitting Work Order Requests, transparent accounting, reporting, and staffing to facilitate Work Order Requests. PA Interactive will work closely with the Commonwealth to determine the appropriate funding model for each Work Order Request. PA Interactive will ensure that the established Work Order process captures the identification, development, review, selection, and prioritization of Work Order Requests for projects, which will flow into the overall project and program management approach. PA Interactive understands that the purpose of the work flow will be to provide a method for reviewing, approving, prioritizing, and initiating new projects that are not considered a part of the standard change management process. The primary function of the work flow is to provide standard evaluation tools and criteria that allow PA Interactive, OIT, the agency, and the egovernance Committee to review a project s value in relation to other technology projects, its impact on use of resources across the Commonwealth, expense, ROI, and revenue projections. The basis for the work flow includes the following: Decide if the perceived benefits of the project justify the resource requirements and risk Assess the project benefits against program strategic objectives Utilize a standard template for Work Order Requests, Work Order Proposals, and Work Orders to streamline the development and review process As required by Section IV-7.2 Work Order Deliverables of this SOW, PA Interactive will develop, with the Commonwealth s approval, standardized Work Order templates that will be employed through the Work Order process, which clearly define the Work Order deliverables. During design of the Work Order template documents, PA Interactive and the Commonwealth will agree upon a matrix that defines which Work Order Deliverables will be completed for each Work Order based on mutually defined terms and restraints. PA Interactive will provide a repository to manage and closely control the versions and release of these documents. Work Order Phases, Outputs, & Responsibilities PA Interactive provides the following high-level process flow for Work Orders, which captures all of the Commonwealth s requirements and provides additional detail. Step Phase Description Output Responsibilities 1 Pre Work Order Meetings 2 Work Order (WO) Request Discuss a common understanding of project scope and preliminary timeline. Focus primarily on defining agency needs and the citizen/business expectations, with limited technical discussion. A WO Request is created that provides a high-level overview of the project, timelines, responsibilities, processes, risk assessment, critical success factors, and marketing initiatives. Meeting minutes with action items Completed WO Request PA Interactive, egovernment Program Manager, and agency contribute PA Interactive assists. Agency submits. PENNSYLVANIA INTERACTIVE, LLC Page 75

172 Step Phase Description Output Responsibilities 3 Review Work Order Request Analyze WO Request, provide functional, non functional, and technical specifications to fulfill these requests. WO Requests will include a variety of new development efforts, reusable solutions, rapid application development programming routines, interfaces, and other processes. Application analysis meetings with agency technical and business staff of the agency, and PA Interactive. Topics may include security, system architecture, user interface, reconciliation requirements, legacy system interface session data definitions, or other topics. Analysis of WO Request egovernment Program Manager and PA Interactive review. Program Manager seeks OIT approval/rejection. 4 Develop Fee Analysis for projects that propose a new transaction or convenience fee 5 Approve Fee (if needed) If a new fee is associated with project, perform a financial analysis and develop a proposed fee. The proposed fee will also be evaluated by the appropriate governance structure. For new projects where a new fee is being proposed, the proposed fee and the Fee Analysis are presented to the appropriate agency for approval. Fee Analysis Recommendation to approve, reject, or modify PA Interactive, egovernment Program Manager, and agency contribute. Program Manager reviews and modifies. OIT, egovernance Committee, and Program Manager review and approve, reject, or recommend modifications PENNSYLVANIA INTERACTIVE, LLC Page 76

173 Step Phase Description Output Responsibilities 6 Work Order Proposal A WO Proposal is created by PA Interactive from the results of the analysis of the WO Request and the proposed solution to meet the request. The WO Proposal will identify options available to the Commonwealth to save time, cost and complexity in deploying these services. WO Proposal (Business Case is part WO Proposal) PA Interactive creates and presents to egovernance Committee. Agency and egovernment Program Manager contribute 7 Work Order Proposal Review The WO Proposal will include a proposed prioritization, business case that identifies the funding model, estimated level of effort, resources, application architecture, interfaces, roles and responsibilities. Includes a final timeline and detailed project specifications. If significant changes from the original WO Request are identified, it must be edited and presented to the agency for new approval. Attach Functional Specifications. Review the proposed WO Proposal and recommend approval, rejection, or modification. Provide recommendation for prioritization. 8 Work Order A Work Order is created from the WO Proposal and will incorporate all contractual requirements for the work order, including invoicing, deliverables, fees 9 Program Management The approved Work Order is managed in accordance with the agreed-upon Program Management approach, prioritization, and timeline. Recommendation to approve, reject, or modify. Prioritization recommendation. Work Order Program Management Plan updated egovernance Committee reviews and approves. egovernment Program Manager contributes. PA Interactive and egovernment Program Manager will jointly draft and execute Work Order. PA Interactive manages development of project. OIT oversight provided through egovernance Committee and Program Manager. PA Interactive will work closely with the Commonwealth to establish and document a project prioritization methodology that most effectively expands the Pennsylvania egovernment program while ensuring that each project takes all project variables into consideration including staffing, funding, and agency priorities/timelines. PA Interactive and the Commonwealth egovernment Program Manager will propose a priority for each project based on the prioritization model criteria. The egovernment Committee will approve or modify the proposed prioritization based on the PENNSYLVANIA INTERACTIVE, LLC Page 77

174 negotiated prioritization model. The project s priority will help determine the timeline of the project and balancing of PA Interactive resources among other program initiatives. egovernment Governance Meetings PA Interactive agrees to provide essential, timely information, reports, statistics, and participation that will allow the egovernance Committee to make well-informed decisions necessary for the expansion of the egovernment program, while also identifying potential risks, monitoring issues and mitigation strategies, and compliance with contract. egovernment Governance meetings will occur on a monthly basis, and will encompass the following: Status of existing Work Orders Business case presentation and prioritization of new Work Order Requests Contract compliance report Reporting on ITIL processes (incident management, change management, etc.) Adherence to SLAs Major Issues Next Steps Program Measurement Continuous strategic planning and periodic evaluation of the Contractor s performance are critical components of the work we do with our state partners. One of the multiple ways that we can make sure that the Commonwealth will have relevant information and up-to-date metrics is to prepare a Business Plan that is presented, and ultimately, approved by the egovernance Committee on an annual basis. The purpose of the Business Plan is to set clear technical, financial, and operational objectives based on evolving constituent demands and agency needs that can be used by the state to measure our performance throughout the year against the egovernment Program vision. The Business Plan will reflect the vision and goals for the egovernment Program for the upcoming year, including: staffing plans for the anticipated work; proposed work plans for PA.gov and agency redesigns, content management roll outs and enhancements and proposed online services; reports on constituent feedback gathered throughout the year; reports about agency feedback; infrastructure planning and enhancements; metrics about the use of PA.gov; an updated marketing plan; and the proposed Program annual budget. Throughout the year, PA Interactive will provide the egovernance Committee with monthly reports regarding the progress with respect to the plan. The Commonwealth s egovernment Program Manager, who will be responsible for all tactical and operational aspects of the master contract, will also play a critical role in managing the relationship. The Program Manager will have continuous insight into PA Interactive activities through a real-time dashboard that will provide access to key indicators of the program s performance. In our response, we included a dashboard that is used by our state partner in Utah and includes among other metrics: Adoption rate reports to allow the egovernment Program Manager to evaluate the usage of individual applications Feedback reports to allow the egovernment Program Manager to see citizen feedback real time, as well as feedback statistics by applications Analytics to provide insight into web traffic to the portal PENNSYLVANIA INTERACTIVE, LLC Page 78

175 We can customize a dashboard for Pennsylvania to provide the Commonwealth with the appropriate level of insight and reporting. Conflict Resolution We have found, and our state partners would agree, that a sound and well-planned and executed governance structure can resolve conflicts before they reach an official escalation point or dispute resolution phase. Based on the SOW, Pennsylvania is considering a governing entity structure that has been successful in proactively managing issues in other states a broad, multi-agency board chaired by the Department of Administration which will meet on a monthly basis to discuss the state of the egovernment Program and make decisions about its future. Our experience has been that this type of governance approach provides a solid structure and methodology to reach consensus among the parties. In fact, to our knowledge, none of our state partners has ever initiated a formal conflict resolution process because the governance entity was able to resolve all issues. One of the most important tasks of the egovernance Committee will be to decide how to reinvest transaction-based revenue to deliver on the Commonwealth s egovernment initiatives. PA Interactive will provide options through the Business Plan on how anticipated revenue could be reinvested through staff, new technology, and new services. While PA Interactive will be responsible for providing options and cost-benefit analyses, it is the ultimate responsibility of the Commonwealth to approve the approach and then evaluate it throughout the year. In short, the Commonwealth will always have final say on whether PA Interactive can charge for a particular service and how that portal revenue is used. In the rare event that a conflict cannot be resolved through the governance process, then it may be necessary to use the Commonwealth s process for resolving contract controversies. IV-3.7 Payment Models IV-3.7 Payment Models The following payment options will be used for all Work Orders issued under the Master Contract. The payment option will be specified within the Work Order. Title Description Example Agency Transaction Cost Service Customer Convenience Fee Service Premium / Subscription Cost Service Service is provided at no cost to the Customer. Agency requesting the service will be billed by the Contractor for each transaction. Service is provided as a direct charge to the Customer. Service is offered to the Customers in the form of subscriptions or other services as a direct charge to the Customer and without cost to Commonwealth or agency. Fees are assessed on an estimated number of transactions per month, quarter or year, and billed directly to the Customer in advance. A $1.00 fee that the agency is responsible for paying for each transaction A $1.00 fee for Customers that want to purchase/renew a fishing license The Customer, an insurance company, subscribes to obtain motor vehicle data on a quarterly basis. PENNSYLVANIA INTERACTIVE, LLC Page 79

176 Free Services Consulting Services The Contractor will use the proceeds from premium services to provide the majority of the services provided to the Commonwealth at no cost. Service is provided via fixed cost or time and materials utilizing labor rates set out in the Master Agreement. A portion of the revenue from Premium services is used to develop certain free services. concept). The Contractor and the Commonwealth will work together to define the set of free services. Agency leverages the labor rates outlined in Master Contract issue a Work Order to the Contractor to build Agency an online application. The Contractor shall provide basic services that will assist the Commonwealth in the development, implementation, delivery and marketing of effective egovernment applications. The Commonwealth desires to implement numerous on line service applications. Many of these applications will provide services and information at no cost to the Customer, beyond the existing fee structure for the service, while some services may be offered for an additional fee to the Customer. The Contractor shall work with the Commonwealth on a semi-annual basis to determine what revenue will be used to fund which free application / services. Some services may be provided without cost to the Customer, with the agency assuming all associated costs. This type of service is generally referred to as "transaction cost service" that is billed by the Contractor directly to the agency. Some services may be provided without cost to the agency, with the Customer assuming all associated costs. Some applications may add significant value for the Customer and may be offered as premium services. A Customer that gains significant value from the accessibility of information electronically in the timeframe that meets his or her needs would primarily use premium services. Premium services will be offered for a transaction and/or subscription fee to be determined individually. Premium services shall be provided on demand as an agency defines a specific service requirement that may be applicable to this model. The Contractor shall provide premium services as identified above. It is the intention of the Commonwealth that many services and information will be offered to the public free of charge, while other services and access to information may be available for a fee. In addition, some services will have fees charged on a subscription and/or on a per transaction basis, due to the added value and convenience of real-time access to the information or application. Commonwealth agencies may have a need for assistance in designing web pages, publishing content or developing the back end processes to support the service delivery application. The Contractor will be paid on an hourly rate for designated Work Orders. The hourly rate must be an all inclusive, fully burdened rate that includes, labor, per diem, travel, overhead and any other costs related to the service, and may not exceed the hourly rates set out in the Master Agreement. The Contractor shall provide a catalog of online service applications developed for other States that could be adapted for use by the Commonwealth. Work Order Requests may include a variety of new development efforts, requirements gathering, reusable solutions, rapid application development programming routines, interfaces and other processes. Services could also include assisting agencies with planning the tactical and strategic migration of business services to new web technologies and project management services to ensure that project goals and objectives are met and that products are delivered on time, on budget and within scope. Work Orders could also include user interface design work and applications or websites to be developed in languages other than English. This paragraph is not intended to be an exhaustive list of services that might be included in Work Order Requests, but is merely intended to provide examples. The Commonwealth may establish retainage for any Work Order issued under this Master Contract. PENNSYLVANIA INTERACTIVE, LLC Page 80

177 NIC is the only provider that has used the self-funded model to successfully deliver every element of the solution, and we are eager to leverage this expertise to deliver exactly what the Commonwealth is seeking. To be clear, under the self-funded model option, PA Interactive is committing to fund all up-front and ongoing investment and operational expenses at no cost to the Commonwealth. We agree that we will be paid for services via transaction and convenience fees as well as premium and other transaction-based fees all of which will be approved by the Governance Committee using established Commonwealth procedures and governance. NIC s vision, innovation, and experience in successfully provisioning self-funded egovernment services to states are unmatched. We recognize that the self-funded model is more than just a financial or technology decision it is a complex set of essential components that must be carefully assembled to provide a best-in-class egovernment platform. In addition to overseeing the funding component and aligning the core technology elements, a successful self-funded solution incorporates hosting, security, payment processing, application development, design and usability, marketing, public relations, customer service, training, governance, and policy. NIC s leadership and pioneering work in the egovernment industry is due to our strong emphasis on supporting the unique needs of each one of our state government partnerships. While we continue to build and manage effective self-funded egovernment solutions for hundreds of local and federal agencies, our primary focus since our inception more than 20 years ago has been on the state government marketplace. Armed with this unparalleled understanding of self-funded state egovernment solution, PA Interactive presents the following vision and proposed business model to support the Commonwealth s ambitious goals. PA Interactive s proposed financial model for Pennsylvania will use convenience fees to cover our costs of deploying and marketing online services on behalf of the Commonwealth. We are confident that PA Interactive can generate sufficient convenience fee revenue to fund the requirements of the SOW, including future egovernment services requested by agencies. Specifically, we will: Complete transition of 47 agencies to the new content management system at no cost to the Commonwealth or constituents Complete redesign and the ongoing enhancement and maintenance of PA.gov at no cost to the Commonwealth or constituents New regular templates and technical support for agencies using the CMS framework at no cost to the Commonwealth or constituents Dramatic increase in the number of online and mobile services, including an approved mix of transaction fee and no-fee services, to further strengthen PA.gov and benefit constituents Wide range of opt-in social media solutions to convey concise and unique information about PA.gov at no cost to the Commonwealth or constituents New web content management system, enterprise portal infrastructure, secure hosting services, 24x7 public-facing customer support for constituents via phone, and real-time live chat, expansive market research, and a comprehensive marketing program to drive use of e- Government at no cost to the Commonwealth or constituents Transaction-based end-to-end payment processing service to facilitate online, mobile, and overthe-counter payments PENNSYLVANIA INTERACTIVE, LLC Page 81

178 Payment Models NIC has extensive experience working with state agencies to develop individual services funded by transaction cost, convenience fee, premium services, and consulting services, in addition to services provided at no cost to the customer or agency. Each Work Order will include the solution s costs and/or value as well as an option for a successful funding approach whether fee based or at no cost. Ultimately, the prioritization and funding model for the service will be approved by the Commonwealth. The Commonwealth will have complete visibility into prioritization and final approval over all fees. The project s priority will help determine the timeline of the project and balancing of PA Interactive resources among other program initiatives. PA Interactive will work with the Commonwealth on a semi-annual basis to determine what free application / services will be delivered to the Commonwealth and the results of this analysis will be documented in the Business Plan. To be clear, there is no requirement in the self-funded model that there be a specific revenue source to fund non-fee services. Under the self-funded model, transaction and convenience fees are be pooled together to deliver the services identified in the SFP and proposed in this response. This is an important distinction for PA Interactive because other providers often require a one-to-one relationship between revenue streams and building new services. Said another way, other providers view return on investment on a service-by-service basis. Conversely, PA Interactive takes an enterprise approach to return on investment. By pooling convenience fees across the Commonwealth government enterprise, all agencies, regardless of size, technical sophistication, or financial resources (including the availability of revenue-generating online applications), will be able to participate in the Pennsylvania egovernment program. PA Interactive provides examples of services delivered under the requested business models in the following table. Funding Model Agency Transaction Cost Service Customer Convenience Fee Service Premium / Subscription Cost Service Examples of Services Primarily for applications that generate significant cost savings and/or significant efficiencies for agencies in excess of any transaction fee that may be charged for the service or for applications that the agency does not want to charge the end user. Typical examples include: Tax payment applications Select services that require payment by consumers For applications that deliver significant time or cost savings to the end user or enhanced information and service. Examples include: Online hunting and fishing licenses Driver license reinstatements For services that deliver significant value to high-volume business users and typically include access to information electronically in a timeframe that meets specific needs or require special authorization to access the data. Examples include: Professional license verification and disciplinary status for highly regulated professionals (medical, for example) Electronic access to driving records PENNSYLVANIA INTERACTIVE, LLC Page 82

179 Funding Model Free Services Examples of Services Free or no-fee services are an often overlooked but critical component of the self-funded model. No-fee services enhance the self-funded model by attracting new users to the portal who often, in turn, take advantage of the array of revenue-generating applications that will be available on PA.gov. No-fee applications and services also create fresh content for existing users of the site, which will result in more frequent visits, higher customer service ratings, and increased transaction volumes over time. Finally, these applications and services will create significant goodwill and trust with agencies that may be more willing to participate in the portal initiative if they have a positive first experience working with PA Interactive. Applies to the majority of services to be delivered under the self-funded model. Examples for Pennsylvania could include: Consulting Services Initial and ongoing redesigns of PA.gov Migration of agency sites to the new CMS Customer service Marketing Open Data Portal/Platform Additional online services that do not generate any fees, including transparency services, media portals, driver license appointment systems, real-time election results, legislative tracking and media information portals PA Interactive s proposed self-funded model and the Work Order process provide the flexibility to accommodate consulting services through a variety of approved funding options, including time and materials and fixed fee. Although rare, agencies may choose to fund projects for a variety of reasons. For example, sometimes an agency may elect to pay for projects that cannot be completed in the desired timeframe using dedicated staff or that have a technical scope that exceeds self-funded resources. Other times, the agency may simply have money earmarked, such as grant money, for a particular project. In these instances, PA Interactive may leverage its other experienced corporate resources or alliance partners outside of the dedicated staff in Harrisburg and, with the Commonwealth s approval, may charge on a transaction, time and materials or fixed fee basis to expedite delivery and ongoing support of the project. Catalog of Services Examples of potential expedited services include large-scale back-end integration projects and projects with federal grant funding. All of NIC s current partner states participate in and use NIC s knowledge library, which contains code, frameworks, modules, objects, and application best practices developed for the specific platforms that our NIC partner states have required. With thousands of installed egovernment PENNSYLVANIA INTERACTIVE, LLC Page 83

180 services that run on different platforms and use varied architectures, we can support Pennsylvania s rapid expansion of online services by leveraging the world s largest catalog of egovernment services. We have launched more than 7,000 egovernment services across our state portal base, and we are well equipped to support the Commonwealth s goal of aggressively expanding the availability of egovernment solutions. A listing of NIC s catalog of services can be found in our response to Section IV-5.9 Enterprise Core Applications. Work Order Requests PA Interactive agrees to work with the Commonwealth through the governance committee and approved Work Order Request process to develop services using the payment methods outlined in Section IV-3.7 Payment Models of this Statement of Work. Retainage PA Interactive agrees with the provision that the Commonwealth reserves the right to establish retainage for any Work Order issued under the Master Contract and agrees to negotiate the conditions as part of the Work Order request process. Retainage would typically be established, if the Commonwealth chooses, for Work Orders where the Commonwealth is paying the vendor time and materials or a fixed fee for services and would not apply to revenue-neutral (free) or self-funded Work Orders. IV-3.8 Term of Contract IV-3.8 Term of Contract The initial term of the contract will commence on the Effective Date and will end in five (5) years. The Commonwealth, at its sole option, may renew the contract for up to an additional five (5) years, and may exercise the renewal(s) in single or multiple year increments. PA Interactive understands the proposed term of the contract and looks forward to establishing a long-term partnership that expands innovative egovernment services to citizens, businesses, agencies, and employees of the. IV.4 Current Environment PA Interactive has carefully reviewed the information in the Statement of Work and the related Appendices in order to develop the proposed solution outlined in our response to Section IV-5.3 Technical Architecture. PENNSYLVANIA INTERACTIVE, LLC Page 84

181 IV-5 Requirements IV-5.1 Personnel Requirements IV-5.1 Personnel Requirements The Contractor should describe its overall company experience with application development, web redesign and migration, hosting and self-funded egovernment services. Overall Personnel Experience As the nation s most experienced and successful provider of egovernment portal services for state government, NIC has developed a specialized egovernment workforce with a broad technical and operational skillset focused on delivery of services through the self-funded model. NIC founded the self-funded egovernment service industry and is the only company that has built our operational and human resource models solely around the development and delivery of egovernment services. NIC has flourished during the last two decades because we have selectively recruited and developed resources that understand the intersection between government and the private sector and thrive in egovernment services delivery. As a result, we have established a best-in-class approach to delivering outstanding portal solutions. We continue to lead the industry by providing customized application development, web design, migration, and hosting solutions that meet the specific egovernment needs of each state we serve and are all provided within the self-funded model. Technological Expertise For each of our engagements, NIC s dedicated local teams work with our partners to determine the best implementation platform to use for that engagement based on the requirements of the solution and the preferences and technology standards of our partner. As a result, NIC technology experts develop and deliver egovernment solutions across multiple platforms. The following table highlights some of the common development technologies employed by NIC technologists across the 27 state partner portals: Development Frameworks.NET ASP.NET MVC Struts Seam JSF Hibernate Seam DWR Entity Framework Enterprise Library Spring Primary Languages Java.NET Grails CakePHP Entity Framework Drupal JBossWS Symfony Smarty (PHP) // iui GWT Phonegap (Javascript) PHP Perl PENNSYLVANIA INTERACTIVE, LLC Page 85

182 C# Groovy Objective-C ASP.NET Ruby Operational Expertise For 20 years, NIC operations, project management, and hosting staff have managed the secure delivery of complex systems, robust infrastructures, and customized applications and services built exclusively for egovernment. During that time, we have worked constantly to refine our project management processes and adhere to industry-accepted service management and security standards, while also ensuring that our staff are educated and certified, as appropriate. We will use these lessons learned in other states, along with knowledge of industry-standard best practices, to deliver egovernment architecture and services for the. Our project management practices are based on the Project Management Body of Knowledge (PMBOK), and we will tailor our practices to fit any specific needs of OIT or to better serve the Commonwealth. We train our relevant key personnel to become ITIL certified in order to follow proven, repeatable processes that increase our ability to deliver on-time and on-budget services that meet our partners requirements. As part of every project, NIC establishes a comprehensive ITIL-based IT service management approach to ensure that services are supported and maintained, and that changes are introduced in a controlled and coordinated manner. Once an application is put into production, it is managed as part of the project portfolio. All changes to these services will be managed through the approved management process. Our approach to IT service management is comprehensive because the state government portals and services we manage on behalf of our partners host a wide array of applications that service many agencies and their customers. To further ensure successful implementation of the ITIL framework for Pennsylvania, PA Interactive will certify key roles on the team in ITIL v3 Foundations within 12 months of assignment to the project. Within days of the effective date of an agreement, PA Interactive assigned staff will initiate program management activities to immediately begin establishment of the formal management infrastructure and processes to optimize the transition phase and subsequent operational control of the new contract. Specifically, PA Interactive s project management staff will work with OIT to formalize the following important management components: Deploy management infrastructure Configure and deploy management utilities to support the following: Source code control Metrics collection Reporting Project tracking Issue/service management Document repository and version control Establish formal reports and methods of delivery Establish financial management system Identify required plans and timelines to submit those plans Initiate agency outreach PENNSYLVANIA INTERACTIVE, LLC Page 86

183 Develop Work Order Requests for key services Develop project status dashboard reports Document and implement project evaluation and selection methodology Integrate program and project methodologies in alignment with the established governance model Document project management methodology Implement service level methodology Validate compliance with legal, statutory, and governance model Migration Expertise PA Interactive brings to Pennsylvania a focused organization with an exceptional track record of success in portal and application development, real-world experience deploying customized selffunded solutions, a legacy of egovernment innovation, and a proven approach for a seamless and transparent transition both in-house-to-vendor and vendor-to-vendor transitions. This array of expertise is necessary to deliver on the requirements of the Statement of Work and make the dramatic improvements in service delivery that Pennsylvania agencies, citizens, and businesses demand and deserve. PA Interactive will conduct a thorough migration approach that has been tested by experience. We have successfully transitioned state government portals to our management and funding model 27 times including highly-complex transfers from other contractors or state staff in the states of Texas, South Carolina, and Arizona. We are confident in our ability to support the smooth transition of applications, policies, and processes in a manner that is transparent to Commonwealth management and agencies, with no disruption of service to end users. The case study that follows, details NIC s experience in Texas with the transition of services from a previous vendor, as well as simultaneously building a new egovernment platform for the Commonwealth. Comprehensive Transition of TexasOnline Services In July of 2009, NIC was awarded a contract to operate TexasOnline and transition it to a new platform, Texas.gov, on behalf of the State of Texas. TexasOnline was operated by a different contractor prior to NIC assuming not only the operational responsibility for the existing State of Texas egovernment services, but also building the new egovernment platform and operating procedures. Furthermore, the Texas.gov platform required the delivery of enhanced solutions with new services, next-generation web design, and web 2.0/social media tools to provide citizens with streamlined access to government services. At the time of award, the portal provided more than 800 services to 2.4 million visitors per month and had processed $12 billion in transactions since inception in The new contract included maintenance and support of these services in addition to developing new and improved offerings. Description Approximate Unit Count Number of services 840 Total Participating agencies 60 Total Average payment transaction 1,400,000 Monthly Average page views 428,000 Day Average visitors 2,400,000 Monthly Number of existing servers 100 Total Number of databases SQL Server 12 Total Number of databases Oracle 8 Total PENNSYLVANIA INTERACTIVE, LLC Page 87

184 Comprehensive Transition of TexasOnline Services The new contract start date was in October 2009 and operational transition had to be 100% complete for cutover on January 1, NIC was able to seamlessly adhere to this aggressive transition schedule. Following the successful execution of the transition to cut-over, NIC developed the new Texas.gov environment while maintaining and supporting the existing environment. Also, the Contractor should ensure that staff assigned under the Master Contract have the following experience: Development Experience in.net and J2EE 5 years experience Object Oriented Programming 5 years experience Application Architecture and Design Mobile Applications Development 5 years experience Requirements gathering and business process analysis Project Management (PMI certification) ITIL best practice usage and implementation The skillsets of staff assigned under the Master Contract may change as technology and business needs evolve. All staff assigned under the Master Contract must be ITIL v3 Foundations certified within 6 months of being assigned to work under the Master Contract. Copies of ITIL Certification for each employee must be provided to the Program Manager. Commonwealth Response from Q&A: The Commonwealth is willing to soften the requirement to ensure that all key individuals are ITILv3 Foundations certified within 12 months of employment. Key individuals include all Service Transition and Operations Team Leads with supervisory responsibility, project managers, Development Leads, Requirements Leads, server and network support staff. Pennsylvania Interactive should provide copies of ITIL v3 Foundations certifications for the Data Center staff that have already been trained. Assigned Staff Experience PA Interactive has closely analyzed the development, design, operational, hosting, support, and marketing requirements to transition and expand the Pennsylvania egovernment program, and, based on our long-term experience staffing projects of similar scope, PA Interactive assures the Commonwealth that the selected staff will provide the expertise to transform the egovernment services to the progressive program envisioned by Pennsylvania and meet ALL of the experience requirements of the Commonwealth. To ensure successful implementation of the ITIL framework for Pennsylvania, PA Interactive will certify key roles on the team in ITIL v3 Foundations within 12 months of assignment to the project. In addition to the specific skillsets identified in this SOW, PA Interactive anticipates staff will possess a broad array of skillsets specifically suited for egovernment services delivery within the context of the self-funded model, which include: Project management Marketing egovernment services through a self-funded model Mobile application development PENNSYLVANIA INTERACTIVE, LLC Page 88

185 egovernment application development Requirements analysis egovernment website analysis and design Testing in accordance with industry standards and the NIC SLDC Requirements and code documentation Customer service Payment processing analysis, implementation, and support Self-funded model expertise ITIL Service Management framework egovernment services and payment processing training Business process improvement Business case development Governance Project prioritization modeling Portfolio management Product management Billing, Accounts Payable/Receivable PCI, SOX, SAS 70 / SSAE 16 compliance New hire processing/onboarding The Contractor shall provide a baseline organization of staff members responsible for egovernment operations independent of specific Work Orders. In response to each Work Order Request, the Contractor shall provide sufficient, qualified personnel to carry out the work under the Work Order. As part of the work order process, the Contractor shall certify that all assigned personnel meet the required qualifications of the Work Order to which they are assigned. No individual shall be assigned to perform duties of multiple labor categories at the same time in any given Work Order performance period. Individuals assigned to work under the Master Contract, but not under a specific Work order, must remain assigned to that work throughout the term of the Master Contract, unless a substitute is accepted in writing by the commonwealth. Individuals assigned to work under a specific Work Order must remain assigned to that work throughout the term of the Work Order, unless a substitute is accepted in writing by the Commonwealth. All proposed substitutes must have qualifications at least equal to that of the person initially proposed. As requested, PA Interactive will provide staff responsible for egovernment operations, who will manage the program independent of specific Work Orders. For each Work Order, PA Interactive will document and assign multiple, specific, qualified personnel to successfully complete each project. Please refer to the organization chart and staffing profiles provided in Section IV-5.2 for details on our proposed staffing structure. For each Work Order, PA Interactive will certify that each assigned staff member is qualified to perform the functions necessary to successfully deliver the project. To ensure each project is meeting the requirements of the Work Order, PA Interactive will assign a project manager to each Work Order who will work with stakeholders, requirements analysts, architects, and developers to draft a project schedule, manage the project, and monitor performance. PA Interactive will track the progress of each project against the tasks and milestones of the project plan, and continuously report development progress. In addition, the project manager will work with project team members and stakeholders to identify project risks and perform risk response planning. As part of the Work Order, early in the planning process, a marketing approach, strategy, and plan will also be created to ensure that the product or application is positioned for maximum visibility and to meet PENNSYLVANIA INTERACTIVE, LLC Page 89

186 adoption rate goals. Communication and training plans are also tailored to the project needs at this time. As required, PA Interactive will not assign an individual to perform duties of multiple labor categories in any given Work Order performance period. Individual staff assigned to work under a specific Work Order will remain assigned to that work throughout the term of the Work Order, unless an appropriate substitute is communicated to the Commonwealth in writing. Any PA Interactive substitute will have the necessary qualifications to perform the functions required by the Work Order. IV-5.2 Organization and Staffing Requirements IV-5.2 Organization and Staffing Requirements The Contractor shall provide an organization chart reflecting the proposed staffing model required to fully execute the Commonwealth s egovernment initiatives. A comprehensive staffing plan shall outline Contractor staff responsibilities and office locations necessary to develop egovernment applications, as well as, manage and market the egovernment environment. The Contractor shall establish a permanent office in or near Harrisburg, PA, and shall be properly registered to conduct business in the. The Contractor and all of Contractor s sub-contractors are required to adhere to and sign all applicable Commonwealth policies related to technology use and security. The Contractor shall identify all of its subcontractors which will be involved in any egovernment application development and/or operations. The Contractor shall, at its expense, arrange for a background check for each of its employees, as well as for the employees of its subcontractors, who will have access to Commonwealth facilities, either through on-site or remote access. The background check is to be conducted, by the Contractor, prior to initial access by the employee and annually thereafter. Before the Commonwealth will permit an employee of the Contractor access to a Commonwealth facility, the Contractor must provide written confirmation to the office designated by the using agency that the background check has been conducted. If, at any time, it is discovered that an employee of the Contractor or an employee of a subcontractor of the Contractor has a criminal record that includes a felony or misdemeanor involving terrorist threats, violence, use of a lethal weapon, or breach of trust/fiduciary responsibility; or which raises concerns about building, system, or personal security, or is otherwise job-related, the Contractor is not to assign that employee to any Commonwealth facilities, is to remove any access privileges already given to the employee, and is not to permit that employee remote access to Commonwealth facilities or systems, unless the agency consents, in writing, prior to the access being provided. The Commonwealth may withhold its consent at its sole discretion. Failure of the Contractor to comply with the terms of this paragraph may result in default of the Contractor under its contract with the Commonwealth. The Commonwealth specifically reserves the right to conduct or require background checks over and above that described herein. The Commonwealth shall have the right at any time to require that the Contractor remove from interaction with Commonwealth any Contractors representative. The Commonwealth will provide the Contractor with notice of its determination, and the reasons it requests the removal. If the Commonwealth signifies that a potential security violation exists with respect to the request, the Contractor shall immediately remove such individual. The Contractor shall not assign the person to any aspect of the contract or future work orders without the Commonwealth s approval. PA Interactive has performed a thorough analysis of staffing needs for the Pennsylvania egovernment services, payment processing, and hosting needs, and proposes a staffing plan that meets the requirements documented throughout this Statement of Work. PA Interactive will PENNSYLVANIA INTERACTIVE, LLC Page 90

187 implement an egovernment Account Team comprised of resources dedicated to the Commonwealth s egovernment initiatives as well as the migration of existing portals, hosting, and content management. PA Interactive will also leverage the NIC Corporate Services Team to establish and maintain the new hosting environment and payment processing services. The teams will have the following responsibilities and roles: egovernment Account Team Core operations and maintenance team who will reside in Harrisburg and be dedicated 100% to PA.gov Establish local office, accounting and billing system, on-board new hires Consult with agencies to develop WO Requests and propose fees for services Develop WO Proposals, get agency approvals for WO Proposals, and submit WO Proposals through the governance model Determine, develop, and deliver training Help establish business processes including project selection and prioritization methodologies Establish and document project management methodologies Identify new high-priority quick win applications to be developed Implement Work Order process Develop and execute marketing strategies Work closely with egovernment Program Manager and participating agencies through the governance model with the Commonwealth Establish portfolio and roadmap Establish key service delivery and service support systems and staff Migrate existing, selected portals and services to the new platform, including: Document and monitor migration plan that details all transition/migration activities, roles and responsibilities, and key milestones Report transition status to the Commonwealth Develop and execute a transition plan for integrating the Commonwealth s current intranet collaboration platform to the selected platform Train agency staff on how to publish content to the new public facing portal framework Migrate/convert existing egovernment applications and payment services with no interruption or degradation of service Migrate existing sites to the new platform Upon completion of transition, members of the transition team that are locally based in Harrisburg will assume roles on the egovernment Account Team NIC Corporate Services Team Establish new PA.gov environment Document configuration and administration of SharePoint and the portal infrastructure Implement monitoring and performance management solutions Install, configure, and document other infrastructure components Ensure architecture design optimizes NIC proposed tools and resources Ensure security of environment and systems Configure and integrate NIC payment processing system Develop and deliver payment engine training and documentation Provide payment processing architecture, development, and support during initial set up and ongoing throughout contract Within days of the effective date of an agreement, PA Interactive will initiate project management procedures to immediately begin establishment of the formal operational infrastructure and processes to optimize the transition phase and subsequent operational control of the new contract. Specifically, the Client Account Manager will work with the egovernment Program Manager and OIT PENNSYLVANIA INTERACTIVE, LLC Page 91

188 leadership, PA Interactive Account Team, and NIC Corporate Services to formalize the following important management components: Deploy portal and CMS infrastructure Establish formal reports and methods of delivery Establish financial management system Create Business Plan for Commonwealth approval Develop and submit Project Management Deliverables and related processes Establish agency agreements to expand portal services Develop dashboard Document and implement project evaluation and selection methodology Integrate program and project methodologies with governance model Document project management methodology Implement service level methodology Validate compliance with legal, statutory, and governance Collect and manage contracts and licenses PA Interactive s Account Team leadership will be involved in all aspects of the PA.gov transition and transformation. Similar to our relationship with our other state partners, our Pennsylvania Account Team will establish an office in Harrisburg and will develop close relationships with OIT, agencies, and other stakeholders, thereby providing Pennsylvania with easy access to top-line decision-makers. Likewise, PA Interactive will bring to bear industry-tested egovernment management best practices to ensure that the PA Interactive teams have the necessary resources to comply with the personnel, technology, legal, performance, security, and process requirements. During the transition and post-transition phases of the contract, the PA Interactive Client Account Manager will manage the activities of all the teams. During transition, PA Interactive will assign a senior project manager to focus on executing, overseeing and monitoring the Migration Plan, and managing the activities of the migration subcontractor. The NIC Corporate Services Team will focus on the successful establishment of hosting services, payment processing, and architecting the content management system of the new platform. The Account Team will focus on the selection, prioritization, and deployment of egovernment applications in NIC s inventory; begin to develop high-priority egovernment applications as agreed to by the Commonwealth and PA Interactive; and establish egovernment services infrastructure, governance, and Work Order processes that support the expansion and management of the program. Once transition is complete the senior project manager responsible for migration will become a member of the Account Team responsible for developing new egovernment services and focus on expanding and improving the Pennsylvania egovernment program. Our proposed egovernment Account Team will be comprised of a mix of proven management and experienced skilled workers hired from the surrounding areas. Because our business and deployment models are unique, it is critical that selected leadership on the Account Team have experience in another NIC-managed portal. This ensures that at the highest levels, our team understands how to successfully execute a self-funded egovernment initiative. PA Interactive plans to hire the majority of staff that will complement our leadership from Pennsylvania. While the Account Team staff will be dedicated solely to Pennsylvania s egovernment services, they will be able to access more than 700 NIC staff in other portals and at the corporate level with PENNSYLVANIA INTERACTIVE, LLC Page 92

189 expertise in policy, process, security, technology, marketing, graphic design and other important portal specialties. Under the self-funded business model, the initial dedicated PA Interactive Account Team could be as large as 20+ egovernment professionals dedicated to the Pennsylvania egovernment program, and would result in the complete transition of 47 agencies and dramatic increase in the number of online and mobile services at no cost to the Commonwealth or constituents. The following figure provides an organization chart for the comprehensive self-funded model. Figure 28: Organization Chart for the Self-Funded Model PENNSYLVANIA INTERACTIVE, LLC Page 93

190 PA Interactive egovernment Account Team Staff Profiles The following chart identifies staffing roles for key members of the management team that will be 100% dedicated to the Pennsylvania egovernment services program. PA Interactive Dedicated Management Role Client Account Manager Director of Portal Operation & Project Management Responsibility Senior-most executive, accountable for the day-to-day execution and management of the contract with the to deliver egovernment applications, payment processing, and hosting services through the self-funded model. Responsibilities will include the following: Client Account Manager responsibilities: Organize, direct, and coordinate the planning and production of all Contract activities, projects, and support activities, including those of subcontractors Oversee the development of work breakdown structures, charts, tables, graphs, major milestone calendars, and diagrams to assist in analyzing problems and providing mitigation strategies Establish and change organizational structure to direct effective and efficient Contract support activities Provide overall management of implementation including actively monitoring and reporting on progress and providing written documentation of the project Meet with Commonwealth egovernment Program Manager on a regular basis to review egovernment activity, status of planned egovernment services, customer service activity, customer satisfaction survey results, and any issues to be addressed by the Commonwealth. Additional Operations Management responsibilities: Proactively monitor billing for accuracy Resolve all billing Ensure successful relationship with OIT and other agency leadership through continuous interaction and communication Work with PA Interactive team, OIT, and governance framework to establish and follow a project selection, approval, and prioritization model Lead the PA Interactive egovernment Team to establish the operational systems and processes to ensure the future transformation of Pennsylvania s egovernment and payment processing services Ensure project infrastructure systems such as help desk, issue tracking and resolution, project management and planning systems are in place and effective Act as chief liaison to OIT and the finalized governance model and Work Order process Oversee project planning and management of all staff Oversee effective completion of projects within schedule and budget Oversee contract compliance Work with OIT, agencies, and the governance structure to identify funding stream for specific work orders, as they arise Coordinate and manage all necessary reporting to the Commonwealth Oversee compliance with Commonwealth and Federal standards, SOX, NACHA, PCI DSS Provide hands-on management of PA Interactive project managers, creative design staff, and consulting services staff. Work closely with agencies, governance bodies, and other Commonwealth partners to ensure the successful planning, design, and maintenance of the portal. Responsibilities will include the following: PENNSYLVANIA INTERACTIVE, LLC Page 94

191 PA Interactive Dedicated Management Role Director of Development Responsibility Project management responsibilities: Manages specific projects and the work performed under assigned work orders Performs day to day management of the project, identifies issues and risks, and proposes possible issue and risk mitigation strategies associated with the project Acts as a facilitator between a Commonwealth agency and IT contractor Is responsible for ensuring that work performed under WOs is within scope, consistent with requirements, and delivered on time and on budget Identifies critical paths, tasks, dates, testing, and acceptance criteria Provides solutions to improve efficiency (e.g., reduce costs while maintaining or improving performance levels) Monitors issues and provides resolutions for up to date status reports Operations responsibilities Assists agencies in WO Requests Participates in development of WO Proposals Manages customer service support Works in conjunction with the PA Interactive Client Account Manager in building and maintaining the business development queue Manages projects and customer service/relationship management Manages the daily operations of project management staff in the development, maintenance, testing, and customer support of online egovernment and payment processing applications Oversees the development of project designs, functional specification documentation, maintenance of status reports, timely and successful delivery of applications, and training on all completed projects Identifies revenue opportunities through communication with agencies Conducts initial meetings with key agency personnel at project inception to ensure proper project foundation and smooth transitions to production applications Leads marketing team in development of strategies to drive interactive sales Provides daily supervision and direction to staff who are responsible for phone, , and in person support to egovernment program agencies and users Senior-most technical expert, dedicated to PA.gov. Will provide strategic planning and consultation for all technical aspects of the contract. Technical egovernment services expert who will ensure strategic direction of the portal is consistent with the current and future technology of the Commonwealth. Responsibilities will include the following: Sr. Application Architect responsibilities: Manages major projects that involve providing professional support services and/or the integration, implementation and transition of large, complex systems Provides design and development of egovernment solutions, and is responsible for technical design and implementation of the architecture Designs, develops, and maintains infrastructure and backend applications Provides expertise on defining the role of broadband and wireless applications Provides definition of current Commonwealth architecture blueprints Provides expertise with web servers, gateways, and application servers and content management systems Provides experience in web application technologies and middleware solutions Researches new technologies and products for their applicability to business processes Compares various solutions and determines the most suitable Ensures that development efforts are well planned and in agreement with standards Additional Technical Responsibilities: PENNSYLVANIA INTERACTIVE, LLC Page 95

192 PA Interactive Dedicated Management Role Responsibility Manages and implements security initiatives Serves as oversight for systems and network administration Provides overall technology vision Proves out conceptual technology decisions Serves as chief technology liaison to OIT in maintaining the portal infrastructure, and to agency technology leadership to help steer technology decisions Provides overall technology planning and consultation to OIT, appropriate governance bodies, and individual agencies Participates in the technical evaluation and design of applications Manages PA Interactive application development, system administration, and payment processing staff Subcontractors PA Interactive has identified two subcontractors who will provide important aspects of this project: Perficient PA Interactive is proposing to transition the existing Oracle CMS content to a new Microsoft SharePoint content management solution through a comprehensive migration process and the use of an automated tool by our proposed subcontractor Perficient. NIC has partnered with Perficient on complex SharePoint migration and implementation projects, most recently in Oregon, Texas, and West Virginia. PA Interactive will engage Perficient s dedicated Microsoft SharePoint practice, which provides one of the deepest understandings of the SharePoint platform in the market, understands how to leverage the capabilities of SharePoint to benefit the expansion of PA.gov, and brings experience with large-scale, complex implementation and migration to SharePoint. Socrata Socrata makes data readily accessible over the Internet, in a form that maximizes comprehension, interactivity, participation, and sharing. Socrata calls this social data discovery, and they have engineered their Social Data Platform for delivering citizen-friendly and machinereadable data on government data sites around the world. Socrata was recently selected by the General Services Administration as one of several providers to deliver dataset hosting services for Data.Gov and participating federal agencies. Socrata fully hosts and operates more than 50 of the world s most recognizable and well-respected Open Data sites using the Socrata Open Data Platform. NIC recently deployed an open data platform with Socrata as part of our egovernment partnership with the State of Oklahoma. NIC is currently working with the Hawaii CIO s office on the data.hawaii.gov project using the Socrata platform. NIC also supports the Socrata deployment in Oregon. Organization & Staffing Policies PA Interactive has read and will comply with the organization and staffing policies defined in this requirement, Section IV-5.2 Organization and Staffing Requirements, of the Statement of Work, including: PA Interactive and its subcontractors will adhere to and sign all applicable Commonwealth policies related to technology use and security. PENNSYLVANIA INTERACTIVE, LLC Page 96

193 PA Interactive will arrange for background checks for each employee and subcontractors who have access to Commonwealth facilities, either on-site or remotely, prior to initial access by employee or subcontractor. PA Interactive will conduct background checks on an annual basis thereafter for each employee with access to Commonwealth facilities. PA Interactive will provide written confirmation of background checks to the appropriate, designated agency PA Interactive understands that if it is discovered that an PA Interactive or subcontractor employee has a criminal record that includes a felony or misdemeanor involving terrorist threats, violence, use of a lethal weapon, or breach of trust/fiduciary responsibility; or which raises concerns about building, system, or personal security, or is otherwise job-related, then PA Interactive will not assign that employee to any Commonwealth facilities, or remove any access privileges already given to the employee. PA Interactive will not permit that employee remote access to Commonwealth facilities or systems, unless the agency consents, in writing, prior to the access being provided PA Interactive understands that the Commonwealth has the right to require PA Interactive remove any employee or subcontractor from interaction with the Commonwealth. IV-5.3 Technical Architecture IV-5.3 Technical Architecture All development artifacts built under this agreement must be built using the latest version of the Microsoft or J2EE framework, dependent on the submitting agency s application architecture. The Contractor must also ensure that all code developed is up to date with the latest versions of the development software. The Contractor will be expected to perform its own scans of developed code and provide the results of these scans to the commonwealth. In addition, the Contractor must have an independent 3rd party conduct a health check on the infrastructure and a code review on a random sampling of applications at intervals specified by the Commonwealth; these results are to be provided to the Commonwealth Program Manager. The Contractor shall use the SharePoint 2010 platform for all public-facing websites. The Commonwealth is currently on the SharePoint 2010 platform for internal collaboration. The Contractor will work with the Commonwealth on a common upgrade plan to ensure the Commonwealth s intranet SharePoint environment and the Contractor s SharePoint environment are aligned. The two environments must remain in sync to enable agencies to leverage the Commonwealth s internal SharePoint farm to be used a mechanism to publish content to the Contractor s SharePoint farm. Development Technology PA Interactive will utilize Microsoft.NET as the primary development platform for software developed for the Commonwealth. Java technology will be used as a secondary development platform and used in part or in whole to implement specific projects where capabilities of Java better lend them self to meeting project requirements. As technology evolves, PA Interactive will work with the Commonwealth to strategically introduce new development platforms and sunset aging technologies as part of the annual business planning process for the program. The annual Technology Plan provided by PA Interactive as a component of the annual Business Plan will detail the development technology roadmap as agreed to by PA Interactive and the Commonwealth. PENNSYLVANIA INTERACTIVE, LLC Page 97

194 When a new version of the.net or J2EE core platforms is released, PA Interactive will begin the evaluation of the new platform to determine an upgrade path for new service development and the existing service portfolio. Within 12 months from release of a new version of.net or J2EE, PA Interactive will begin utilizing the new version of the development technology to develop software for the Commonwealth. Within 24 months from release of a new version of the core development technology, PA Interactive will have completed needed upgrades to existing online services to allow them to run in a runtime environment using the new version of.net or J2EE. Any exceptions to this upgrade plan will be submitted to the Commonwealth in writing with justification as to why a particular piece of software cannot be upgraded within the standard upgrade timeframe. Software Scans and Third-Party Validation PA Interactive will utilize NetSparker from Mavituna Security to scan all applications for the presence of common web vulnerabilities. The results of these scans will be used by the development team to remediate security issues during development. Before any new web application is deployed for the Commonwealth, the results of a successful software security scan will be provided to the Commonwealth prior to release of the software into production. Whenever a significant change is made to deployed software, new scans will be performed against the code prior to release of the change into production with an appropriate scanning scope determined by the specifics of the software change. On a semi-annual basis, a random sampling of three applications will be selected for a code review that will be completed by a PA Interactive-selected third party entity at PA Interactive s expense. In addition, PA Interactive will participate in and is continuously validated by the Terremark SMP and will be audited for PCI DSS compliance that makes sure all code undergoes a security assessment. The code review/security assessment of web applications will be performed by a PA Interactiveselected and paid-for third party, using automated tools and validated manually. Manual validation will look at output of automated review and targeted areas of application including OWASP Top 10 vulnerabilities. Results of the code review will be presented to the Commonwealth and a corrective plan established and implemented, where required. SharePoint 2010 PA Interactive will deploy the SharePoint 2010 content management system (CMS) and will use this SharePoint 2010 installation to support all public-facing websites developed by PA Interactive for the Commonwealth. PA Interactive will coordinate with the Commonwealth to ensure that the CMS provisioned for Internet sites is in sync with the CMS deployed by the Commonwealth for intranet sites. This synchronization of CMS platforms will promote integration between the two SharePoint installations and to provide a more familiar user experience for users which utilize both SharePoint platforms. Details of the mutually agreed upon upgrade strategy and upgrade plan for the Internet CMS will be presented in the annual Technology Plan. IV-5.4 Implement Electronic Payment Processing IV-5.4 Implement Electronic Payment Processing The Commonwealth maintains an electronic credit / debit card payment web service (epay). epay allows any PENNSYLVANIA INTERACTIVE, LLC Page 98

195 subscribing "Commonwealth of PA" web site to accept payment by credit cards and is available to any "Commonwealth of PA" web site. epay is implemented with client-neutral SOAP web services. epay currently interfaces with one payment processing system, YourPay. The epay service is not used by all agencies. The following agencies are currently using the epay web service: Office of Administration Environmental Protection Conservation & Natural Resources Community & Economic Development Health Commonwealth Police Liquor Control Board Agriculture PUC DGS Refer to Appendix C to view the transaction counts for PNC Bank as of May There are a number of merchant service accounts established with PNC that do not flow through epay; those transactions can be found in Appendix D (list is as of June 2012). The Commonwealth anticipates moving away from the epay solution and moving to a more centralized enterprise service that will be leveraged by all agencies but is unsure of how to achieve that objective. As such, the Contractor should describe solutions they have in place, how they would approach such a migration and what the benefits would be. General requirements for the new centralized solutions can be found paragraphs below. The new centralized credit card processing mechanism will be used to standardize credit card, electronic funds transfer, debit card and electronic check processing. The system shall be designed to provide transaction reporting to the Commonwealth on a monthly basis by agency and by application that identifies the revenue generated by month and year to date. The Contractor shall be financially responsible for all overcharges and mischarges that occur as a result of application errors and/or omissions. Any overcharges/mischarges must be itemized on the Contractor s monthly revenue report. After confirming that a typical on line business transaction can be completed (e.g., an applicant is eligible to renew a license), the Customer shall be given the option to make an on line payment. The Contractor shall capture relevant credit card, debit card, direct debit or other payment information and accounting information to ensure that payment transactions can be properly recorded and reconciled in the appropriate financial system. Agency accounts shall be established to allow reconciliation by the agency into the appropriate Commonwealth designated fund or account. For a payment transaction, on line authorization shall be obtained by the payment system. When the authorization request from the payment processor is successful, the payment system shall provide confirmation to the Customer that the transaction has been processed. Until the Customer initiates payment authorization, the Customer shall have the ability to cancel the process. The Contractor shall compensate for the use of accelerators by some ISPs to ensure that the Customers of egovernment applications are not charged multiple times for a single use of an application. The Contractor shall provide for card acceptance, presentation, authorization, and the management of refunds, credits, and returns. The Contractor shall use file formats with appropriate security and user interfaces regarding electronic transactions through the portal. Commonwealth fees collected via the application shall be remitted directly to the appropriate designated fund or account. Transaction fees may be withheld prior to remittance to the Commonwealth. Convenience fees may be collected as part of the authorized payment from the Customer and may be withheld prior to remittance to the Commonwealth. PENNSYLVANIA INTERACTIVE, LLC Page 99

196 The Contractor shall provide an on line Premium Subscriber Billing System for premium service subscribers. Subscribers shall be able to access and review their invoices on line. The Commonwealth will provide to the Contractor the accounting information, credit terms and processing cycle for this billing process. Online payment of subscribers' fees shall be processed similar to convenience fees. The Contractor is obliged to adhere to the Payment Card Industry Data Security Standard (PCI DSS). Moreover, The Provider certifies that their Information Technology practices conform to and meet Level 1 PCI DSS standards as defined by The PCI Security Standards Council at The Contractor will monitor these PCI DSS standards and its Information Technology practices and the Provider will notify the Commonwealth within one (1) week, if its practices should not conform to such standards. The PROVIDER will provide a letter of certification to attest to meeting this requirement and agrees to the Commonwealth's rightto-audit either by Commonwealth or external 3rd party auditors. The Contractor agrees that it may (1) create, (2) receive from or on behalf of Commonwealth, or (3) have access to, payment card records or record systems containing cardholder data including credit card numbers (collectively, the "Cardholder Data"). A PCI DSS Letter of Certification must be provided on an annual basis to the Commonwealth at the Contractor's expense. NIC s ecommerce transaction processing and management service is based on a centralized, enterprise-wide solution that allows enterprise managers at the Commonwealth to set global parameters and policies, while allows agencies the flexibility of configuring specific items at a service level such as payment channels and payment types. The transaction processing and management service will be provided by NIC Services LLC, which is a wholly-owned subsidiary of NIC Inc. NIC s unique hierarchical framework allows managers to get a global view of all ecommerce activity through a plethora of financial reports, while providing agencies and departments with their own specific reports and tools for managing their online services. At the heart of NIC s comprehensive ecommerce transaction processing and management service is the NIC Payment Engine (TPE). TPE is a fully hosted, web-based, enterprise-class payment processing solution. NIC s TPE is a PCI Level 1 certified service and is also audited for SSAE 16 certification. TPE was specifically designed for use by state governments with more than 25 state governments using it today to process online, point-of-sale, kiosk, and mobile payments. In 2011, NIC processed over 150 million transactions and over $17.8 billion on behalf of our government partners. As an enterprise product that is continually updated to maintain security compliance while also incorporating additional features and payment options, the Commonwealth will directly benefit from TPE enhancements identified by the Commonwealth as well as NIC s other egovernment partners. PA Interactive will work with the Commonwealth to develop a comprehensive program to implement, configure, migrate, and expand centralized electronic payment services via multiple channels, including the Internet, at the counter, and IVR, so that the Commonwealth can provide a payment platform that will drive adoption of egovernment services. PENNSYLVANIA INTERACTIVE, LLC Page 100

197 epay Transition PA Interactive also recognizes that the Commonwealth wishes to consider transitioning agencies from their current platform, epay, to a centralized payment solution. This is something NIC is very familiar with, and a large component of PA Interactive s initial implementation of an enterprise egovernment portal is the transitioning of services to TPE. NIC combines our best-in-class e- commerce offering with proven transition process, which will allow the Commonwealth to take advantage of the best possible solution while minimizing the risk of transitioning to a new provider. PA Interactive proposes a thorough migration approach that has been tested by experience. We have successfully transitioned many of our state government portals to our e-commerce platform including recent highly-complex e-commerce transitions from other contractors in the states of Texas, Oregon, and Mississippi. We are confident in our ability to support the smooth e-commerce transition in a manner that is not disruptive of service to end users or agencies. Furthermore, as the current epay agencies are familiar with client-neutral SOAP web services to integrate to epay, they should have no problems integrating with TPE, which also offers integration through web services. Transition Approach By design, TPE is an on-demand enterprise transaction management system with the ability to provide a consistent set of interfaces, reports, integration methods, and backend processes. By separating the TPE administrative interfaces, TPE reporting engine, and TPE data repository from the payment processor, TPE has the ability to reduce the overall transition time by focusing resources on specific areas which can be tackled in parallel: Planning, developing, and implementing the migration of existing epay applications Planning, developing, and implementing any backend integration needs Training agencies on TPE Planning and setting up merchant accounts Working in conjunction with the Commonwealth and its agencies, PA Interactive will follow a welldefined process to transition applications from epay to TPE. The process will begin with a kick-off meeting as soon as possible after the contract award. The critical points to be addressed at this meeting will be: Discuss overall objectives the Commonwealth Determine critical communications between the Commonwealth, agencies, and PA Interactive Determine any backend integration requirements Prioritize schedule to transition agencies/services Develop high level plan to transition non-epay agencies Finalize transition timeline Once the initial meetings have been conducted, PA Interactive will begin working on several priorities in parallel so that the transitioning of applications can begin. PA Interactive will have a dedicated team on the ground with extensive experience transitioning state portal payment processing from either in-house operations or third-party providers. The team will work with the Commonwealth and current epay agencies on the following priorities: PENNSYLVANIA INTERACTIVE, LLC Page 101

198 Schedule and hold one-on-one discussions with epay agencies Setup and establish merchant accounts Design, develop, test, and implement any backend integration processes Analyze and categorize the applications to determine method of integration Develop final, detailed planning transition documents As part of the overall transition, PA Interactive will establish training plans for Commonwealth finance officers, agency staff, and Commonwealth technical resources and will focus on the following: Provide overview of NIC s payment processing services Identify and cataloging all applications requiring payment services Identify all integration points including backend integration, if any Walk through of financial reports, flow of funds, reconciliation, and merchant accounts set-up Discuss the handling of exceptions (chargebacks, refunds, returns, etc.) Review testing procedures Prioritize applications and determine transition timelines Schedule follow-up calls with technical resources to share TPE technical documentation Schedule follow-up training on TPE s reporting and administrative interface. The training is typically done via web conferencing and will include multiple agencies NIC Payment Engine (TPE) Overview TPE is a fully-hosted, Software-as-a-Service transaction management solution that supports multiple payment types, sales channels, and payment processors. Our solution provides partners with access to fast, reliable, secure, and cost-effective electronic payment processing. NIC has worked diligently with third party Quality Security Assessors (QSA) and financial institutions to ensure our payment solution complies with the PCI and NACHA guidelines for credit card and ACH (e-check) processing. The payment system includes a robust administrative and reporting component for the handling of all administration tasks necessary to operate and manage e-commerce transactions. Furthermore, agencies use the same online administrative tools to manage customer service inquiries, perform refunds and voids, and prepare reports. Similarly, enterprise managers from the government side can access robust reporting tools to generate reports and statistics that bridge application and organizational boundaries. TPE Benefits for the Commonwealth Through the development of a payment engine designed specifically to meet the unique needs of state government and through years of market-leading functional enhancements, TPE can deliver a platform that will provide a true ongoing benefit to the Commonwealth, including: Product Features Processes credit cards, debit cards, and ACH transactions through a processor-neutral configuration that allows the Commonwealth to use NIC s existing banking and processing relationships and rapidly add new payment methods to the platform Is processor-neutral and can add new processors and payment gateways without having to alter the underlying payment engine code PENNSYLVANIA INTERACTIVE, LLC Page 102

199 Supports heterogeneous environments where multiple payment processors are utilized concurrently in production Handles and tracks credit card chargebacks, electronic check returns, and other payment anomalies Receives and processes daily deposit details, which results in streamlined reconciliation efforts Includes robust credit card and ACH customer account validation capabilities to ensure initiated transaction requests are processed accurately Provides a fully functional test environment is deployed for use for development and testing that is fully separate from the production Payment Engine Has the ability to show customers itemized information on any transaction, including convenience fees Agency Benefits Commonwealth staff will have access to both detailed and summary transaction reports that allow government entities the ability to easily track each payment, the movement of funds, and reconciliation of accounts Disbursement reports allow agency disbursements to be reconciled with individual online payments Authorized staff can research transactions and obtain the detailed transaction information needed to respond to customer service inquiries Authorized staff are able to issue refunds using the online administrative tools Staff has access to real-time reports on revenue, statutory and fees (transaction, convenience, premium), cost of service, and transaction volume using the online administrative tools Agencies can prepare their own reports and research transactions without assistance from PA Interactive staff Payment Methods The primary payment types typically utilized for egovernment transactions are Credit/Debit Cards, ACH Debit (also sometimes referred to as echeck), and Subscriber Billing for Premium Services. TPE supports all of these payment methods and the specific implementation requirements surrounding government deployments. Not all payment methods are appropriate for all types of transactions, nor all government entities. PA Interactive will work directly with each partner to ensure that the proper payment methods are offered for each payment processing service. Credit/Debit Card Processing Credit cards (and debit cards with the Visa/MasterCard Logo) are well suited for Internet payments because they allow the merchant to obtain a real-time authorization that validates that the card is in good standing and has the adequate funds available. When the authorization request from the payment processor is successful, the payment system provides confirmation to the customer that the transaction has been processed. The customer has the ability to cancel the process up until the time they initiate the payment authorization. After the service is delivered for a transaction, the transaction data is placed into a settlement batch for final processing. This batch is then sent to the processing network for settlement. Once the batch is settled, funds from the transaction are sent directly to the merchant. PENNSYLVANIA INTERACTIVE, LLC Page 103

200 ACH Processing The ACH network provides a quick and effective way of moving money from one bank account to another. A customer provides their bank routing and account number, and this information is placed into an ACH file for processing. These files are processed nightly and the funds are typically deposited the following business day. Processing charges are usually very low, on the order of pennies per transaction, unlike credit cards which charge a percentage per transaction for processing payments. This makes ACH debits a desirable method for processing large payments. Unlike credit cards, there are limited methods to perform real-time authorization checks to ensure that a customer s bank account is in good standing and has sufficient funds. Many times in fact, the merchant does not even know whether the account number provided actually exists until after the money is received by the merchant. This can lead to a high return rate for certain types of services, which can present operational challenges. PA Interactive will work closely with the Commonwealth and individual agencies to select the appropriate ACH processing method based on the service, size of the average purchase and fee options Subscriber Billing for Premium Services The third major payment method is the most traditional in its approach of billing customers for their online service usage on a monthly basis. This payment method is best suited for high-volume, business-to-government services. For these services, it would be inefficient for a customer to enter payment information for each transaction due to the sheer volume. Also, the fees associated with processing each transaction individually may be prohibitive. Therefore, the customer establishes an account through a monthly account process and receives an invoice for their total usage at the end of each month. Typically the customer then pays by an automatic debit via credit card or a bank account. PA Interactive will utilize the NIC Customer Database (CDB) solution, which is part of the TPE suite, to manage all aspects of subscriber billing for premium services. Premium customers will register with the CDB service and will receive authorization information for the user and authorized individuals, typically up to 10 logins per account. All accounts will be verified according to the service they are accessing, particularly if there are particular requirements such as the Driver Privacy Protection Act (DPPA) that much be adhered to. CDB is flexible around its handling of accounting information, terms and processing cycles. PA Interactive will work with the Commonwealth to implement the appropriate rules to generate the invoices for each cycle. Users will be able to view and pay their invoices within CDB and all payments of fees will be processed similar to convenience fees. Application Integration Web applications are not the only application types that may directly integrate with TPE. IVR applications, kiosk applications, and point-of-sale terminals may all integrate with the Payment Engine using either the client API libraries or the web service interface. PENNSYLVANIA INTERACTIVE, LLC Page 104

201 The preferred method of integration involves utilizing a common checkout service (CCP). In this method, once a customer has been authenticated and is eligible to make an online payment, they will be presented with an option to Pay Now or cancel out of the transaction if they wish to do so. If the customer wishes to complete the payment, they are transferred to a checkout screen that is part of our fully hosted e-commerce solution. The user fills out the payment information, and upon confirmation of the transaction, TPE processes the payment based on the payment type, and will then display either a receipt back to the customer or a reason code in the case of a failure. The CommonCheckout module is a PCI-compliant payment service for processing credit cards and echecks, and subscription payments. The module s look and feel can be skinned to the applications branding for a more seamless interactive for the end user. The solution also allows for customizable options for receipts and end user management. Using the CommonCheckout interface, the solution ensures that no sensitive payment information is ever stored locally on any Commonwealth hardware and also ensures that no sensitive data is transmitted over the Commonwealth s network. The following figure outlines a typical process flow for a CommonCheckout Pay Now transaction. Figure 29: Typical Process Flow for a CommonCheckout Pay Now Transaction When utilizing CommonCheckout, the calling application is not responsible for collecting the credit card or banking information. Instead, the application sends the transaction data to the CommonCheckout interface which collects and processes all payment information. The CommonCheckout interface will then return to the calling application all transaction status details and information related to the transaction. CommonCheckout provides an option for displaying a printable receipt at the end of the transaction, mailing a receipt, or providing receipt information to the calling application for it to display. PENNSYLVANIA INTERACTIVE, LLC Page 105

202 The benefits of this approach are: Applications do not directly interact with the payment service The checkout process is consistent between applications Simplifies application development since the payment screens are reused Standardizes all interaction through a common shared service Reduces PCI responsibilities for the Commonwealth as all credit card/bank account information is collected within NIC s secure PCI compliant environment Additional features of the CommonCheckout Interface include: Duplicate Transaction Prevention Multi Payment Type Support Amex, Visa, Discover, Master Card and ACH Customizable Receipt Options Customizable Look and Feel of Defined Stylesheet and Banner elements Customizable FAQ, Contact, and descriptive text In addition to the CommonCheckout interface, TPE also allows for integration directly (DirectConnect) with the Payment Engine using either the client API libraries or the web service interface. This integration method can be utilized for 3 rd party applications, IVR, Kiosks, and POS terminals. In this scenario, agencies, or third-party developers write applications that include the checkout pages. Customers fill out all payment information within the application, and once captured, the application communicates with TPE using a standard web service. TPE processes the payment, based on payment type, and returns either a success or a failure code back to the calling application. Based on the code, the calling application displays either a receipt back to the customer or appropriate messaging to the citizen or business making a payment. NOTE: When using the DirectConnect Interface, since the checkout pages are included within the application, if the application is hosted on the Commonwealth s network, sensitive data will be transmitted and/or stored on Commonwealth- owned applications or networks. Therefore the use of DirectConnect should be governed by the application location and the Commonwealth s PCI DSS requirements. This is not the case with the CommonCheckout Pay Now capability. Utilizing TPE Direct Connect, agencies have the ability to pass all required transaction data to the TPE Gateway including SKU, quantity, description, banking, or ACH information. Upon transaction completion, appropriate data fields are passed back to the calling application to include order information, transaction status, and associated transaction details. With this method, the payment page, receipting details, and customer interaction are controlled completely within the agencies or 3 rd party application. The following figure outlines a typical process flow for a DirectConnect transaction. PENNSYLVANIA INTERACTIVE, LLC Page 106

203 Figure 30: Typical Process Flow for a DirectConnect Transaction Merchant Hierarchy NIC s transaction management services are based on a unique merchant hierarchical framework which will be designed to mirror the Commonwealth s own enterprise organization. This hierarchy is displayed within TPE s user interface and all TPE reports and research tools are accessible based on user roles and responsibilities within that hierarchy. Below is an example, based on the current epay agencies, of how the Commonwealth s hierarchy may be set up. PENNSYLVANIA INTERACTIVE, LLC Page 107

204 Figure 31: Merchant Hierarchy Example In the example, the highest level of the hierarchy is the Portal level. This is the highest level within the portal enterprise and is usually the Treasurer s office and/or the CIO s office. Users assigned to this level can see all transactions, financial reports, and portal activity across the enterprise. Below the Portal level will be the individual portal agencies. Users assigned to this level will only have access to this specific agency. In the example above, a user assigned to the Department of Agriculture will see all transactions for the Inspections Service. Users can further be granted access at a specific Service level. In the example above, if Agriculture had multiple services, users could be assigned access to either all services (at the Agriculture level) or specific service, for example only reports for the Inspection service. TPE s merchant and service hierarchy can have an unlimited number of levels and as more services are brought on-line, agencies and their services can be quickly added to the hierarchy through an administrative interface available to portal managers only. Reporting Regardless of processing method or application integration, it is imperative that agencies are able to access transaction-level financial data for internal purposes as well as customer support. Within the NIC Payment Engine, all payment processing data is made available via a wide variety of reporting features out-of-the-box. Reports range from summary reports to detail reports showing line-item PENNSYLVANIA INTERACTIVE, LLC Page 108

205 level data. In addition to generating reports, the Payment Engine provides a powerful order research tool that allows customer service representatives to quickly locate transactions. This tool allows you to search and filter transactions based on a number of criteria, and once a search is executed, additional detail is available by selecting an individual transaction from the search results screen. The full details of the selected transaction include: Payment status information Full financial history of the transaction including refunds and returns Customer contact information Payment method with masked account information Line-item details of the transaction Comments from other administrators regarding the transaction The Payment Engine also provides a rich set of configurable reports. These reports are targeted towards common audit points in the funds flow process to facilitate financial audit processes. These standard reports include: Summary reports, rolled up by agency and service Detail reports at a transaction level Detail reports at a line-item level Reports on refunds and returns (such as chargebacks) Settlement batch and deposit reports Disbursement reports Once a report is generated, it can be printed or exported as a delimited file or a PDF. Reporting modules can also be custom developed and added to the Payment Engine administrative interface when specific reports need to be generated. In addition, custom jobs may be coded and configured to generate reports on a certain schedule and to distribute them via or another electronic channel. The range of reports available to the Commonwealth and its agencies are highlighted on the left column in the example below. Each report can be filtered based on a number of criteria and date range providing for easy month-end, quarter-end, and year-end financial reporting. PENNSYLVANIA INTERACTIVE, LLC Page 109

206 Figure 32: Online Reports The following table lists the reports available in TPE and provides a brief description of the report: Financial Summary Reports Invoice Summary Invoice Item Summary Net Revenue Order Summary Order Item Summary Refund Summary Returns Summary Description Shows the volume of invoices generated, invoice amounts, merchant cost of sales (COS), and total profit (or loss). Shows the sum of dollar and volume of items invoiced by merchant/service and SKU Shows the total revenue, merchant cost of sale, and net profit for a selected merchant/service, as well as the total volume of invoices, refunds, and returns processed. Shows the volume of orders generated, order amounts, invoice amounts, and total profit. Shows the sum of dollar and volume of items ordered by merchant/service and SKU Shows the volume of refunds processed, the total refund amount, and the amount paid back to the merchant. Shows the volume of returns, the total return amount, and the amount the merchant paid back. PENNSYLVANIA INTERACTIVE, LLC Page 110

207 Detailed Activity Reports Invoice Detail Invoice Item Detail Order Detail Order Item Detail Refund Detail Returns Detail Description Shows the order and invoice dates, invoice amounts, merchant and processor cost of sales (COS), and total profit (or loss) by Order ID Shows the dollar and volume of items invoiced by merchant/service and SKU Detail of orders including, reference ID, payment type, invoice amounts, merchant and processor cost of sales (COS), and total profit (or loss) Detail of order items including quantity and amount by Order ID. Shows refunds made for a particular service or set of services. Shows returns made for a particular service or set of services. Disbursement Reports Merchant Disbursement Description Shows disbursements made to merchants listed by service. Once a report is generated, it can be printed or exported as a delimited file or a PDF. Proposed Flow of Funds The majority of NIC s partner states utilize a flow of funds model whereby NIC s subsidiary is the merchant of record for all payments processed via the portal. This simply means that the NIC subsidiary is responsible for the end-to-end collection and disbursements of the payments to the Commonwealth. There are a number of advantages to the Commonwealth under this model, including: Because all deposits are batched, there is less work required by the Commonwealth to reconcile deposits The Commonwealth does not have to reconcile different settlements from different payment cards and payment types Funds are received in the Commonwealth s depository bank account as predictable and easilyreconcilable deposits Funds from a single payment can be split and disbursed to multiple bank accounts following settlement to the clearing account Only statutory amounts are received by the Commonwealth, not involving the Commonwealth in processing of convenience fees Because the Commonwealth is not charging the convenience fee, it lessens the administrative burden on the Commonwealth of complying with credit card company rules and policies. For these reasons, PA Interactive is proposing a model for the Commonwealth where it takes on the responsibility of being the Merchant of Record for all payments processed via the portal. Under this model, the funds from all services online, over-the-counter, mobile and monthly account fees for premium services will be settled into a central account. The funds will then be disbursed daily into the Commonwealth s depository account(s) automatically by NIC s payment processing service. With this model, the Commonwealth will be able to take advantage of uniformed settlement information PENNSYLVANIA INTERACTIVE, LLC Page 111

208 regardless of payment type, method, and implement. Also, real-time online financial reports are available to authorized Commonwealth staff that show detailed settlement and batch reports. Figure 33: Flow of Funds On a daily basis, we manage a broad spectrum of billing, collection, and payment processing procedures in our partner states. Because these requirements vary, by necessity, NIC has extensive experience in managing and implementing numerous flow of fund models. In every instance, NIC has been able to implement a procedure that complies with the preferences and requirements of our state partners. PA Interactive is confident it can leverage its expertise in enterprise payment processing to satisfy the financial requirements of the Commonwealth. Overcharges and Mischarges PA Interactive works diligently with all agency partners to minimize overcharges or incorrect charges that could occur during an egovernment transaction. TPE provides a comprehensive reporting and reconciliation platform that will be used to identify potential issues with charges in combination with the detailed settlement information provided by the payment processor. PA Interactive staff will then review all issues and perform the correct action on the issue and document the activity for reporting to the Commonwealth. PENNSYLVANIA INTERACTIVE, LLC Page 112

209 Any overcharges, undercharges and mischarges that occur as a result of egovernment application errors or omissions within applications developed and/or supported by PA Interactive will be itemized on our detailed financial reports to the Commonwealth and will be deducted from any amount due to PA Interactive. Web Accelerators Web accelerators are typically used to cache static content pages. TPE works exclusively over SSL and therefore would not be cached by a web accelerator. Furthermore, transaction uniqueness is controlled by client applications sending unique identifiers for their transactions and the system does duplicate checking on the unique identifier before sending the request to the payment processor. NIC has not had any issues with web accelerators with any of our processing solutions for government. Security and PCI Compliance NIC Services, LLC is certified as a Level One Service Provider under the Payment Card Industry s Data Security Standards (PCI DSS). NIC s Payment Engine service and environment is also a SAS 70 Type II (now SSAE 16) certified solution that is fully compliant with federal, state, local, and industry standards. The Verizon Business/Teremark Security Management Program also audits NIC s compliance with PCI DSS. PA Interactive will continually monitor the PCI DSS standards and its Information Technology practices and will notify the Commonwealth within one (1) week, if its practices should not conform to such standards. PA Interactive will provide a letter of certification to attest to meeting this requirement and agrees to the Commonwealth's right-to-audit either by Commonwealth or external 3rd party auditors at the Commonwealth s expense. Cardholder Data PA Interactive agrees that it may (1) create, (2) receive from or on behalf of Commonwealth, or (3) have access to, payment card records or record systems containing cardholder data including credit card numbers (collectively, the "Cardholder Data"). PCI DSS Letter of Certification PA Interactive will provide a letter of certification on an annual basis to the Commonwealth showing our payment processing environment s PCI DSS Level 1 Service Provider certification. IV-5.5 Implement User Self-Provisioning (User Authentication and Authorization) IV-5.5 Implement User Self-Provisioning (User Authentication and Authorization) The Contractor shall implement a self-provisioning tool that will enable Customers to register with PA.gov to PENNSYLVANIA INTERACTIVE, LLC Page 113

210 establish a My Account feature. The My Account feature will store Customer credit card information, obtain a history of items the Customer has purchased, highlight information which the Customer may be interested and allow Customers to modify his or her personal settings. The self-provisioning component must enable Customers to manage their own IDs/passwords without having to contact a help desk for support. This feature wills erve as a foundation to implement the shopping cart feature on PA.gov. The Commonwealth uses a custom self-provisioning tool for online services titled Login.NET that supports over 600,000 user identities. Over the years, Login.NET has transitioned through different platforms and today is a.net Framework website application and related services. It consists of secure web pages to self-provision and selfmanage public identities for secure Commonwealth line-of-business authentication. The application also provides accompanying SOAP web services for integration with Commonwealth agency applications. The individual web service methods are in turn secured with a software-based application identity mechanism called WSAAL, also hosted and maintained by the Commonwealth. An application that utilizes Login.NET can leverage authentication methods in several ways; it is possible to simply leverage the account management functions, and service authentication needs with another mechanism. Login.NET utilizes Active Directory containers for account storage, and any service that provides authentication methods to Active Directory can integrate directly. Currently, Login.NET is used by several agencies with core Login.NET integration methods, and at the same time other applications leverage the Active Directory containers via authentication providers such as SiteMinder or Active Directory Federation services. The Contractor shall implement a Login.NET type solution to be used by the Commonwealth for egovernment services. The Contractor will also manage the transition from the legacy Login.NET application to the newly developed solution. Identity Management Overview PA Interactive will implement an identity management infrastructure necessary to provide Web Single Sign-On (SSO) to users of portal-hosted, legacy, and externally-hosted applications and websites. This Web SSO identity infrastructure will provide an identity to users which can be used ubiquitously across Pennsylvania government websites to provide persistent user engagements, expedited application transactions, and in general a more personalized user experience. PA Interactive will also implement a custom solution for user registration, self-account management, and central administration of external-facing PA.gov user accounts to replace the current PAPowerPort user registration process. Working with the Commonwealth, PA Interactive will develop and execute a transition plan which will allow existing services dependent on current identification methods to migrate to the new authentication mechanisms offered through the PA.gov portal. Furthermore, PA Interactive will provide the technical documentation and support necessary for Pennsylvania agencies to integrate new applications hosted external to the portal hosting infrastructure into the identity management solution provided by PA Interactive. Using the proposed identity management and Web SSO capabilities, PA Interactive will develop a My Account personalization feature for the new PA.gov portal. This feature will allow registered users to manage their user account and profile, view information about past transactions, and configure a dashboard to display content personalized to their interests. PENNSYLVANIA INTERACTIVE, LLC Page 114

211 Identity Management Architecture Based on technical information provided by the Commonwealth, PA Interactive is proposing the following architecture for the portal identity management infrastructure. This architecture will be described from three viewpoints the identity management architecture for portal applications and websites, the identity management architecture for legacy applications, and finally the identity management architecture for solutions developed and hosted external to the portal infrastructure will be discussed. The architecture proposed herein is based on limited technical information of the current identity management topology and requirements of the Commonwealth. Accordingly, the presented architecture should be considered a baseline architecture that will be refined during the identity management implementation project. Portal Hosted Applications and Websites Under the scope of this Statement of Work, PA Interactive will develop new egovernment websites and applications both for the enterprise and for agencies. These applications and websites will be hosted by PA Interactive in the secure hosting environment provisioned for Pennsylvania. This section presents the identity management architecture for portal hosted applications and websites. A logical diagram of this architecture is shown in the following figure. Figure 34: IdM Architecture for Portal Hosted Applications and Websites In the proposed baseline architecture, users of portal-based applications and websites connect to portal websites hosted on the SharePoint CMS and web applications. If authentication is required for a particular request and the user has yet to login to PA.gov, the website or application will redirect the user to a central authentication form hosted by the Federation Server running Active Directory Federation Services. Once authenticated, control will be returned to the website or application that forced the authentication to occur. PENNSYLVANIA INTERACTIVE, LLC Page 115

212 If the user is already authenticated with the central portal system prior to attempting to access a protected resource, the user will not be forced to sign in again. Instead, the previous login session will be recognized by the central authentication system and a service provider (SP) specific session will be generated through negotiation between the portal service and the central authentication system. From the user s perspective, several redirects will occur, but they will not be required to provide their credentials again. Behind the scenes, the central authentication form and ADFS will authenticate against an Active Directory (AD) instance local to the portal hosting infrastructure for external users. This portal AD instance will serve as the authoritative repository of user accounts for external users (constituents, business users, etc.). User access is not limited to external users, Commonwealth employees will need to access portal hosted systems such as the CMS, administrative components of egovernment services, and intranetlike collaboration services. As a best practice, employees should leverage existing user accounts at either the enterprise or agency level to access portal hosted services in lieu of having a separate identity on the portal. Doing so simplifies user enrollment, identity administration, and access control management. Two methods are commonly used to integrate the identity management infrastructure of the portal with external authentication domains such as the enterprise AD and agency-specific domains. The first option is to utilize standard federation protocols (e.g. SAML or WS-Federation) to federate the portal with these Pennsylvania employee domains. This federation approach is the integration method shown in the figure above. Another option is to utilize AD trust relationships between the portal s identity management system and the enterprise or agency AD instances. Using AD trusts requires certain network prerequisites, but can provide a more seamless SSO experience to employee users since authentication sessions established on employee workstations pass straight through to portal applications and websites. The exact integration approach will be decided on jointly by PA Interactive and the Commonwealth after detailed discussions can be conducted regarding the best integration approach. Legacy Applications Pennsylvania possesses an extensive portfolio of egovernment websites and applications. Some of these applications depend on authentication of users to function. For instance, the Login.NET system is currently used by a number of online services for authentication. Other applications indirectly use the accounts managed through Login.NET and the PAPowerPort self-registration application via identity management middleware such as CA s SiteMinder. The proposed portal identity management solution will be designed and implemented to support migrating authentication from the Login.NET system and other existing authentication system to the portal s identity management solution. It is expected that legacy applications will utilize the architecture shown in the figure below to authenticate external user accounts managed by the portal. PENNSYLVANIA INTERACTIVE, LLC Page 116

213 Figure 35: IdM Architecture for Legacy Applications To support legacy applications which use the Login.NET system today, one of two approaches can be taken. One approach is to emulate the two API s which support the Login.NET authentication process - WEBSAAL2NET and ULogin2. The emulator API s will be implemented to simulate the functionality of Login.NET using the new portal identity management system. During deployment of the new identity management solution, user accounts from the AD instance backing Login.NET will be migrated to the portal s local AD instance. Likewise, configuration information related to WSAAL2 will be migrated to a local portal database to allow the emulation to function. Beyond changing endpoint configuration for the Login.NET web services, owners of legacy applications dependent on Login.NET should be able to utilize the new identity management solution without significant code changes to applications. This emulator approach will provide application owners the time needed to adapt their authentication methods to the standards-based capabilities of the new identity management system. Another transition approach for legacy applications is to modify the existing Login.NET system to utilize the AD instance of the portal instead of the current internal AD for authenticating external users. The self-registration, account management, and administrative tools provided by Login.NET would be decommissioned, but the components of Login.NET which actually implement the authentication process will be left running. New applications will integrate with the portal s identity management system using standards-based methods, while legacy applications can continue to PENNSYLVANIA INTERACTIVE, LLC Page 117

214 utilize the Login.NET system for authentication until they can be modified to work directly with the portal s identity management system. The choice of which approach to take in supporting Login.NET dependent applications will be made jointly by PA Interactive and the Commonwealth after discovery and discussions have occurred. For applications utilizing CA s SiteMinder product for authentication, migration to the portal identity management system is straightforward. SiteMinder has the capabilities to authenticate against many different authentication sources. Today, SiteMinder directory authenticates against the AD domain containing the accounts for external users. In the new architecture, SiteMinder will authenticate against the portal s identity management system using a federation protocol supported by ADFS and SiteMinder (e.g. SAML). When a user tries to access a protected SiteMinder resource, the user will be redirected to the central authentication form for authentication before being redirected back to SiteMinder and the resources that it protects. External Applications PA Interactive recognizes that agencies will still develop new solutions through internal mechanisms and third-party relationships. To maximize the value of the portal s identity management solution and simplify the experience for users, these externally developed and hosted systems should integrate with the central identity management system provisioned by PA Interactive whenever possible. Accordingly, PA Interactive will utilize standards-based mechanisms for authentication that promote federation of disparate service providers. Shown in the figure below is the identity management architecture which would typically be used for integrating solutions developed external to this Statement of Work. PENNSYLVANIA INTERACTIVE, LLC Page 118

215 Figure 36: IdM Architecture for External Applications The diagram above shows two different external hosting scenarios applications hosted by cloud providers and applications hosted by agencies either internally or through enterprise data center services. Cloud solutions can authenticate external users by federating with the portal identity management system using protocols such as SAML. Similarly, applications and websites hosted by the agency in government facilities can also use federation to authenticate against the portal identity management system. Alternatively, agency hosted applications could utilize SiteMinder to authenticate users in the same manner legacy applications using SiteMinder will be integrated. The choice of integration method will be made by the agency based on their functional requirements and integration preference. User Registration and Account Management PA Interactive will implement a new user registration and user self-management platform for the Commonwealth. This new platform will utilize an Active Directory (AD) domain hosted within the portal hosting infrastructure to store user credentials and profile information. Prior to production deployment of the new PA.gov identity management system, credentials and profile information for existing PAPowerPort users will be migrated from Login.NET s AD domain and supporting databases. Accordingly, existing users will not need to register for new accounts but may be required to perform additional registration steps upon logging into the new PA.gov identity management system for the first time. PENNSYLVANIA INTERACTIVE, LLC Page 119

216 New users will follow the following steps to register with the proposed PA.gov identity management system. 1. The new user will follow a link to the PA.gov self-registration application, view instructions, and begin the process of creating a new account. 2. The new user will select a username and password for their PA.gov user account. Additionally, the user will provide the value of a CAPTCHA to ensure that they are a real user and not an automated system. The information submitted will be validated to ensure that the user has selected a valid username and password, as well as answered the CAPTCHA challenge correctly. 3. The user will be presented with a profile form for entering their profile information such as contact information, location, and personalization preferences. The user s address will be a required profile item that the user must provide at this step. 4. Next, the user will select and answer security questions that will be used if the user ever forgets their password and needs to reset it. 5. The user will be presented with a summary screen to review the information they have provided during the registration process. The user then acknowledges usage terms and submits the registration for processing. 6. Once the registration is submitted, the user account is created in AD, but left in a disabled state. Before the user can use the account for sign-in purposes, they must activate the account by providing an activation code that is sent to the address provided during registration. 7. Either by clicking on a link in the activation or by manually entering the activation code provided in the activation , the user activates the new account. The new user account can now be used to sign into PA.gov and other applications protected by PA.gov identities. activation is a step that PA Interactive uses for self-registration processes, though it is functionally not required. activation allows PA Interactive to ascertain one real world attribute of the user being registered, their address. Doing so increases the effectiveness of automated password and login recovery processes, reducing customer service loads on help desk resources. In addition to a user registration system for PA.gov, PA Interactive will build and deploy tools that allow users to self-manage their account. Self-management features will allow users to: Edit their profile information and personalization profile Change their password Change their security questions and answers Recover a forgotten username Reset a forgotten password Delete their account Username recovery will function by sending an to the validated address provided during registration. This will contain the user s username. Password recovery will be performed through an automated password reset process. This process will consist of the following steps. 1. The user will supply their username and address to the password reset feature. 2. The user will be required to answer the security questions that were created during the registration process. PENNSYLVANIA INTERACTIVE, LLC Page 120

217 3. If the correct answers are supplied, the system generates an containing a password reset link and reset code and sends it to the user s validated address. This reset link and code expires after a short period of time (usually a few hours). 4. The user either clicks on the link in the password reset or manually enters the password reset code to continue. 5. The password recovery system allows the user to set a new password for their account. Personalization Features PA Interactive will implement a My Account feature for PA.gov which provides a number of personalization features to PA.gov users. Personalization features of the My Account platform could include: A personalizable user dashboard that allows the user to select and configure informational widgets to syndicate specific information and provide efficient navigational methods for frequently used features and content from the PA.gov portal and agency websites. As appropriate, APIs will be exposed which allow agencies to syndicate agency-specific content to user dashboards as new widgets. A wallet feature will be implemented which will provide users the option of storing and managing credit card and bank account information which can be used to expedite payment transactions with the portal. Credit card and bank account information will be securely persisted using appropriate encryption techniques and security controls to comply with PCI DSS and NACHA requirements. A receipt management feature which allows Pennsylvania egovernment transactions to store receipts and confirmation information associated with online transactions conducted with the Commonwealth using their PA.gov identity. The user will be able to utilize their My Account to view receipts for past transactions. An API will be provided to allow online transactions developed and hosted external to this Work Statement to record receipt information with the portal s personalization platform. Additional features will be added to the platform as agreed upon by the Commonwealth and PA Interactive during design and implementation of the new PA.gov portal. Additionally, by using the PA.gov identity management system for authentication, agencies are free to incorporate their own personalization features beyond what is provided by the PA Interactive portal and CMS platform. Implementation Approach PA Interactive will implement the proposed identity management and personalization platforms using a mix of products from third-party vendors, existing NIC software assets, and custom code development. The core technology platform for identity management will be Microsoft s Active Directory and Active Directory Federation Services (AD FS 2) technologies. PA Interactive will draw software assets from previous state government engagements where NIC serves as an Identity Provider (IdP). This existing code will be used to expedite development of the new PA.gov registration and account management system. Custom software developed for the solution will utilize.net as the primary development platform. All components of the identity management and personalization platform will be hosted in PA Interactive hosting facilities. Implementation of the identity management infrastructure will be treated as a distinct startup project. An PA Interactive project team will be assigned and Commonwealth stakeholders will be PENNSYLVANIA INTERACTIVE, LLC Page 121

218 identified. The project will proceed according to normal project management processes. Key implementation activities associated with the identity management solution include: Working collaboratively with stakeholders, PA Interactive will gather detailed requirements for the system and produce a design for the solution. Virtual infrastructure will be provisioned to support the identity management solution. Core software such as Active Directory and AD FS 2 will be installed and configured. Custom software will be developed for the user registration and self-management functions of the solution. User and profile migration tools will be developed that will be used to migrate user accounts and profiles from the AD domain and databases backing the current Login.NET system. All software and systems will be thoroughly tested. Documentation will be created and compiled to aid agency developers in integrating with the new Web SSO system. The personalization platform is dependent on the existence of the identity management solution. The personalization platform will be developed either as its own project, scheduled accordingly to accommodate this dependency or as a component of the larger project to migrate the PA.gov portal to the PA Interactive managed CMS platform. The decision as to how to structure this project will be made by project leadership and program governance based on a clearer understanding of the objectives and requirements for the project gained from detailed discussions with the Commonwealth. Porting LDAP Information to Web SSO PA Interactive will migrate user accounts for external users (e.g. citizens, businesses) associated with the current Web SSO system in Pennsylvania to a new Active Directory (AD) installation hosted and managed by PA Interactive. It is anticipated that Microsoft s Active Directory Migration Tool (ADMT) will be used to perform the actual migration of identities from the Commonwealth s existing AD domain into the new domain managed by PA Interactive. This migration will be tested and executed in a controlled fashion as to minimize the downtime, if any, for Commonwealth users. Though most information for registered PAPowerPort users is stored in the Commonwealth s AD schema, some additional profile information currently exists in SQL server database schemas external to AD. User profile information currently persisted external to AD will either be migrated into an extended user profile schema within the new AD or will be migrated to a compatible SQL server database external to the new AD infrastructure, depending on the type and structure of the information stored external to the existing AD. This approach has been proposed based on high-level technical information and discussions with the Commonwealth. During the Web SSO implementation project, PA Interactive will meet with Commonwealth subject matter experts and administrators of the current Web SSO system to refine and revise the approach for migration of existing user accounts to develop a detailed migration plan. Alternative migration tools and strategies will be discussed during these project meetings to select the best method and tools for accomplishing the migration of these user accounts. PENNSYLVANIA INTERACTIVE, LLC Page 122

219 Transition Approach The goal of transition will be to provide a seamless transition both from the agency and user perspectives. This will include providing a clear migration path for existing applications which directly integrate with Login.NET today and for applications which indirectly integrate with Login.NET account using SiteMinder or ADFS. As discussed in the previous overview of the identity management architecture for legacy applications, emulator APIs will be provided to adapt legacy applications to the new identity management solution or Login.NET will be configured to work from the new Active Directory domain housed in the portal infrastructure. SiteMinder and ADFS will be modified as necessary to federate with the new identity management system instead of authenticating external users against the AD infrastructure currently backing Login.NET. During deployment of the new solution, existing user accounts for external users will be migrated to the new system and applications will begin using the new PA.gov identity management system. Major transition activities include: Communicating with all stakeholders to educate agencies on the capabilities of the new PA.gov identity management system, transition timeline, and to coordinate transition activities. Supporting agencies during the period before system migration occurs to ensure that any changes required for applications managed by agencies are made correctly and tested against a staged instance of the Web SSO solution. Execution of migration scripts to migrate user accounts from the AD backing Login.NET to the portal managed AD domain. Additionally, scripts will be used to migrate user profile information not stored in the AD schema to local databases as deemed necessary. Coordinating with the Commonwealth to ensure that the proper redirects are put in place for resources associated with the legacy identity management system to redirect the user towards appropriate entry points into the new identity management system. This is done to ensure link continuity for links that may exist in user bookmarks and Pennsylvania websites. Supporting agencies after the identity migration has occurred to remediate any unexpected issues caused by the migration. PA Interactive will fully manage the transition project with assistance from the Commonwealth and other stakeholders as needed. IV-5.6 Web User Interface and General Design Principles IV-5.6 Web User Interface and General Design Principles The Commonwealth deployed the existing PA.gov in December The Contractor will be expected to take this UI design and build a template for it on the SharePoint 2010 platform that will be hosted at the Contractor s hosting facility. The Contractor will also be expected to migrate agency websites to this new design, to include the development of code to meet design requirements and to migrate existing sites and content to this new template. The Contractor will provide regular (no less than annual) UX and sight redesign services based on usage statistics and industry best practices. The Commonwealth is currently on a WCI platform that will no longer be supported after The Contractor shall be responsible for migrating all public facing web content to the new platform prior to that date. The PENNSYLVANIA INTERACTIVE, LLC Page 123

220 Contractor shall provide a Portal migration plan that details all transition activities, roles and responsibilities and key milestones. As part of this effort, the Contractor shall integrate the Commonwealth s current intranet platform (SharePoint 2010) with the internet web publishing platform established under the Master Contract (also in SharePoint 2010). This integration will enable agencies to use their existing intranet sites to publish content to the web. The Contractor shall design the egovernment application from the Customer perspective. Customers will naturally approach the use of egovernment services from a number of different perspectives. The design shall enable a variety of approaches and respond with a number of methods for searching and linking information and services. A consistent user interface must be used. The egovernment applications shall convey a true sense of security and privacy to Customers. Customers will, at times, transfer private and personal information through the Internet by means of the Commonwealth s egovernment services. The egovernment applications shall be designed to protect this personal and private information. For Customers who cannot see the behind the scenes efforts to protect data, the egovernment applications shall be designed to communicate the level of privacy and security that is being used. The overall design shall be constructed to accommodate the rapidly changing world of information technology, egovernment and wide-scale growth. Designs shall allow for flexibility in incorporating new capabilities for egovernment that come along with future advances in technology. Customers will become accustomed to the new advances and features available on the commercial Internet pages and come to expect the same from Commonwealth sites. The Contractor shall make the websites and egovernment applications accessible via popular web browsers such as, current and no more than 2 prior versions of Internet Explorer, Firefox, Chrome, Opera, Safari and Dolphin. The egovernment applications shall be designed with universal or alternate access methods to accommodate Internet access via various devices. Personal hand held devices, IVR, kiosks, cell phones, and wireless access protocol devices are among the different ways in which access may be made to access the Internet without the use of a traditional web browser. Not all of these access devices will be able to accommodate the same level of display, communication and other programming capabilities that could be accessible on the Internet through a standard Internet browser. The Contractor shall provide the ability for the same basic functionality to be delivered over these different methods of access. The Contractor will make all public facing websites and egovernment applications ADA compliant and will need to adhere to the accessibility standard that can be found on the OIT website The Contractor shall describe and implement the approach, tools, methodology and experience that will be used to ensure visually impaired individuals have access to all online services developed under this contract. This includes ways to incorporate the use of universal accessibility within design, communication methods, navigation, and technology to remove access barriers and to accommodate the needs of all users and use of emerging tools. Transition Approach PA Interactive is proposing to transition the existing Oracle CMS content to a new Microsoft SharePoint content management solution through a comprehensive migration process and the use of an automated tool. To accomplish this work, PA Interactive is proposing to work with our proven subcontractor, Perficient, which has worked with NIC as a subcontractor on several similar transition engagements. The new PA.gov and agency sites will be based on an approved SharePoint design standard for PA.gov that takes into account PA Interactive s proposed design based on best practices and Commonwealth specifications. PENNSYLVANIA INTERACTIVE, LLC Page 124

221 PA Interactive will work with the Commonwealth to finalize the transition schedule and determine the pilot agencies. Following a successful pilot, PA Interactive will then collaborate with the Commonwealth to define the prioritized approach to agency migration. As each agency is migrated to the new site, there will be a formal approval and hand-off and the agency will no longer utilize the Oracle environment. PA Interactive will coordinate and schedule any DNS and networking issues with the Commonwealth to ensure that when an agency completes its migration that the site is discoverable and not pointing to the old site. During the transition, agencies will have the option to either migrate their existing website content as is to the PA Interactive managed SharePoint CMS or alternatively to build a new website from the ground up, selectively reusing existing content where appropriate. By building a new website, agencies may use the CMS migration as an opportunity to improve their information architecture and content presentation. Agencies may also choose to use a combination of as is content migration techniques for certain sections of their current website while rebuilding other sections of their new website from the ground up. PA Interactive will meet with the Commonwealth during the initial phase of the transition project to finalize the timeline and approach to migrate all current Oracle WCI sites into SharePoint. PA Interactive understands that each agency site approach may be different and some will require as is migration and others may need a more comprehensive change to the information architecture. The final approach and schedule will be approved by the Commonwealth. PA Interactive will also work with the Commonwealth to adjust the schedule as necessary should there be conflicting priorities or extenuating circumstances that may draw out the final migration of the content into SharePoint. Migration Process PA Interactive s migration process is based upon proven migration efforts and designed to achieve a smooth and efficient transition to the future PA.gov environment built on the Microsoft SharePoint platform. The strategy proposed outlines a tailored migration plan that has been developed to achieve the transition objectives for the Commonwealth as documented in the Statement of Work. The goals driving the design for our proposed transition plan include: Redesign PA.gov and build agency templates that take advantage of the enterprise components and common elements of the new PA.gov design Minimize agency efforts during the transition period Leverage automated processes for the conversion of legacy content into the future environment when agencies have chosen to migrate all or some of their website content as is to their new website Develop a consistent and reusable process capable of migrating information currently being managed in the existing Oracle CMS, as well as content that may reside in other source systems Minimize total elapsed time from start to finish of the conversion Ensure appropriate agency awareness and training occurs throughout the transition Leverage proven methodologies that best minimize any/all risks of transition With the above goals in mind, our proposal for environment replacement will follow a proven approach that best aligns to a phased transition. We feel that an optimized phased transition approach will provide the Commonwealth the following benefits: PENNSYLVANIA INTERACTIVE, LLC Page 125

222 Maximize the quality of conversion such that the future environment will benefit from the latest advances in web content management provided by the SharePoint platform Appropriate time for executing upon a thorough change management plan for all agency stakeholders Ability for the Commonwealth to minimize transition risks through an iterative process where key processes can first be piloted Provide better options whereby state agencies can use this transition period to improve the information and services presented on their sites by verifying relevancy of content NIC has no specific experience with Oracle WCI, but our team is extremely familiar with SharePoint and the requirements of migrating from other content systems into SharePoint. NIC has 10 state partners currently using the SharePoint platform, and Perficient is one of the leading experts on Microsoft SharePoint. Perficient has implemented hundreds of SharePoint deployments and migrated sites to SharePoint from many other platforms including IBM WebSphere, Siebel, SAP, Documentum, JD Edwards, and Interwoven. Transition Methodology At a high-level, the approach for our proposed transition plan can best be described as a series of phases that will be executed upon across the existing and to-be future environment (see below). Figure 37: Phased Transition Approach Transition Process Tasks with Responsibility Process CMS Current State Analysis Content Inventory Content Analysis PA.gov Design / Standard Templates Analyze existing PA.gov Design Implement New Enterprise Components Design SharePoint Master Pages and Page Layout Templates CMS Build Responsible Resource PA/PA Interactive Team PA/PA Interactive Team PA/PA Interactive Team PA Interactive Team PA/PA Interactive Team PENNSYLVANIA INTERACTIVE, LLC Page 126

223 Process SharePoint Requirements Gathering SharePoint Architecture Development SharePoint Site Development/Installation and Review SharePoint CMS Configuration Content Migration Content Mapping Field Mapping Migration Plan & Tool Design Content Refresh/Freeze Content Migration Link Correction Site Functionality QA/UAT Content QA/UAT Responsible Resource PA Interactive Team PA Interactive Team PA Interactive Team PA Interactive Team PA Interactive Team PA Interactive Team PA Interactive Team PA/PA Interactive Team PA Interactive Team PA Interactive Team PA/PA Interactive Team PA PA Interactive discusses the details of the migration tasks below: CMS Current State Analysis Content Inventory The first step in migration is to build a database that contains a record for each unique source webpage and its associated metadata. Custom properties that will assist in migration may be added after the database is built. Content Analysis During this phase, web pages are analyzed and classified by document types, site structure, file size, page styles, and content types. Also, dynamic content components driven by data external to the existing CMS (e.g. portlets) will be identified and cataloged. Rules for the destination page layout design are determined and an analysis and migration proposal is delivered at the end of this step. PA.gov Design / Standard Templates Analyze existing PA.gov Design PA Interactive will work with the Commonwealth to analyze the existing design and work through a comprehensive redesign process to determine what the SharePoint version of PA.gov will entail and how the standard agency templates will complement that design and take advantage of any new enterprise components. Implement New Enterprise Components PA Interactive will implement all of the new enterprise components and related SharePoint artifacts (web parts, etc.) for the new portal, such as search, live chat, social features, and any other component of the design. Additionally, dynamic content components will be implemented using a combination of stock and custom web parts. Design SharePoint Master Pages and Page Layout Templates PA Interactive will create the content structure including site templates, content types, page layouts, web parts, and custom controls required to support the new PA.gov and the standard templates for agency sites. PENNSYLVANIA INTERACTIVE, LLC Page 127

224 CMS Build SharePoint Requirements Gathering During the requirements gathering stage, we will define SharePoint site security, performance, failover, disaster recovery, configuration, and customization needs. SharePoint Architecture Development Once the requirements have been gathered, there is enough information to define SharePoint architecture. The refined architecture document is delivered at the end of this step. SharePoint Site Development, Installation, and Review Once the infrastructure is planned, we will establish a lab environment, and/or production environment, configure, and deploy the SharePoint environments. SharePoint CMS Configuration To prepare for site migration, we will configure the content structure including site templates, content types, page layouts, web parts, and custom controls required to support the incoming content from the legacy site. Site Migration Content Mapping Based on content analysis we develop a mapping tool showing the current site structure and content types as well as the new information architecture and page layout for business users to map content down to the item level. Field Mapping In this step, the source template fields are mapped to the destination page layout fields. The mapping is reviewed with the agency prior to migration. Migration Plan & Tool Design The detailed migration execution plan is finalized and the appropriate automated tool is configured for the envisioned iterative processes. Automated Migration Tool for Migration Having performed similar migrations for other clients, we are proposing the use of a migration utility that will assist in the automated conversion of content into SharePoint. An automated tool will significantly reduce the time needed to migrate content from the current Oracle CMS, and will perform the conversion while avoiding labor intensive involvement from agency stakeholders. This tool will provide content migration from Oracle WCI into SharePoint and supports a number of other CMS providers. Key features of an automated tool that will assist the transition team include: Crawl and inventory sites to identify what content you have that needs to be migrated. Analyze content to help identify the important aspects of the existing web site. Map site hierarchies Extract and map Html regions from existing pages to help mapping of existing content to fields within a SharePoint Pages library. Manage links and automatically update them to match the new site structure. Migrates related resources such as images and documents to SharePoint image and PENNSYLVANIA INTERACTIVE, LLC Page 128

225 document libraries. Based on our understanding of the project and Perficient s past experience with a multitude of migration tools, PA Interactive has proposed the Kapow Software migration tool for the following reasons: NIC recently used the tool in a successful project with Perficient to migrate content from an unsupported Interwoven platform and SharePoint 2010 Perficient has a close working relationship with Kapow, and they have used the tool for dozens of similar portal migration projects The tool provides a framework for migration content from any content management platform to SharePoint The tool allows the user to select content and verify the migration as the content repository is being built instead of coding an application that tries to meet all migration requirements by coding to specific WCI APIs For Pennsylvania, PA Interactive/Perficient would use the Kapow tool to harvest information from WCI, and then customize scripts to load the content from Kapow s database into the SharePoint instance for Pennsylvania. Content Refresh Prior to the migration, the source content is provided by the customer to PA Interactive, to ensure the latest content is available for the migration. A content freeze is placed on the source site content prior to this refresh. Content Migration During this step, migration is done and a detailed log is used to track source and destination information. Link Correction At this time, the destination content is scanned and links are updated with an automated tool. Site Functionality QA After migration, PA Interactive determines that all migration requirements have been met. The site functionality requirements are technically satisfied. Content QA/UAT The content is delivered to the client for review. Migration may be run up to 3 times to ensure all publically accessible content comes across to the new site with the correct look. Migration Timeline Based on our current understanding, PA Interactive is proposing a 18+-month timeline made up of the following high-level tasks for migrating from the current platform to a new system operating on SharePoint and managed and supported by PA Interactive. Task PA.gov Redesign SharePoint Implementation / Template Creation Timeline 6 months 2-3 months PENNSYLVANIA INTERACTIVE, LLC Page 129

226 Task Agency Site Migration Training Timeline 12+ months (duration to be finalized based on individual agency migration needs and final migration plan) Ongoing throughout the Project PA Interactive s proposed timeline is based on the information presented in the SOW, a demo of the current CMS architecture, and previous experience migrating similar solutions from a technology platform to SharePoint using a combination of automated and manual migration methods. NIC has utilized Perficient in multiple cases, and they have successfully performed similar migrations for hundreds of clients. PA Interactive is committed to the migration and will document a comprehensive schedule for the Commonwealth s approval after the initial analysis and migration schedules are laid out, understanding there will be more specific requirements, periods that sites cannot be inaccessible, and other items that the schedule will need to accommodate. Some of the assumptions made around the tool and approach include: It will take no more than six months from contract start to finalize and approve the SharePoint specific PA.gov redesign. After the PA.gov template is designed and approved for SharePoint, the team will create five (5) visual variations on the template. One of these variations will be used for all agency sites that will be migrated. The content editing experience of the existing web content management system will not be replicated in the new environment. Agency staff will be trained to manage site content through SharePoint and its tools. Training of 400 commonwealth staff will be completed by the end of the transition period. If the Commonwealth wants additional staff trained, then it may occur after the transition period. The transition timeline does not include an enterprise records management system. All content that needs to be migrated is publicly linked and available. The migration tool will not be able to detect content that is not available to it. As part of the migration preparation process, agencies will need to ensure all content that they want migrated is available publicly. All content will be migrated in the structure that currently exists to the new template. Agencies will be trained to make information architecture and other changes to the migrated site. Legacy/historical content that is not publicly available will not be migrated. Converting or re-writing of any embedded applications or transactional forms will go through the Work Order process and are not included in this timeline estimate. It will be the responsibility of agency users to review the migrated site and sign-off on their migrated content in a timely manner. If there is significant delay in any agency sign-off there may be a corresponding delay to overall migration. Roles & Responsibilities The chart below summarizes the expectations, roles, and responsibilities of the various groups during the transition. PA Interactive will develop detailed plans and checklists for each of the functional areas to assist the stakeholders and project team develop a clear and consistent understanding of PENNSYLVANIA INTERACTIVE, LLC Page 130

227 the status of expectations within each of the functional areas. This matrix assumes deployment of system at NIC s CDC. Roles and Responsibilities by Functional Area Function Expectation Responsibility Hosting Environment Servers, routers, IP addresses, Security configurations, etc. are all established in the new hosting environment. Lead PA Interactive Support Commonwealth Validation PA Interactive Help Desk Licensing Data Migration Vendor Technical Support ITIL-based service desk and processes established and in place prior to launch of any services or websites. Software licenses and hardware maintenance agreements will be acquired by PA Interactive. CMS content will be transferred to the future environment and validated after migration. Establish premium support agreements with the providers of all core products in Content Management, Portal and Applications, Hosting and Collaboration. Lead PA Interactive Support Commonwealth Validation PA Interactive Lead PA Interactive Support N/A Validation PA Interactive Lead PA Interactive Support Commonwealth Validation Affected Agencies Lead PA Interactive Support product and equipment vendors Validation PA Interactive It is essential that the responsibilities of the parties are understood by all involved. Assignment of members to the appropriate roles, as well as discussion of their role is a key action item in a successful transition project. Key Player(s) Transition Oversight (OA/OIT, PA Interactive, Key Stakeholders) Project Manager - Transition (PA Interactive) Responsibilities Consists of key management stakeholders and PA Interactive Provides direction to the PA Interactive transition team Champions the transition, overcoming organizational barriers to success Communicates the transition plan and schedule to all affected parties Sets the priorities within their respective organizations Handles the high level decisions of resources Reviews the status of the transition Responsible for the successful transitioning of the agency sites Responsible for delivering on-time Develops the transition plan and schedule Develops the communications plan for the key stakeholders Manages resource issues, both technical and personnel Engages IT resources as identified in the Work Order Develops the service delivery expectations for the CMS PENNSYLVANIA INTERACTIVE, LLC Page 131

228 Key Player(s) Client Account Manager (PA Interactive) Transition Analysts (Perficient, PA Interactive) Agency Team (Commonwealth Agencies) Responsibilities Reports the status of the transition Responsible for supporting the efforts of the project manager Engages resources as identified in the transition project plan and schedule Assists with developing and delivering the communications plan for the key stakeholders Confirms the service delivery expectations Reviews the status of the transition project Provision relevant business and technical knowledge Provision relevant technical and support documentation Preparation and execution of the transition plan Trains agency staff on SharePoint Identifies and reports transition issues to the Project Manager Provides information to transition team Approves migration tasks and site content/design Trains on CMS knowledge and skills. Identifies and reports transition issues to the Project Manager Provides UAT and ultimate sign-off PA Interactive Is Committed to Effective, User-Friendly Design At NIC, website design is more than just a component of the egovernment solution we offer to state partners. We recognize that an official government website is the defining element of a state and, in many cases, is the first and only impression a citizen has of state government. As a result, we are committed to designing and building official government websites that are user-friendly, intuitive, simple and straightforward, effective, and uniquely reflect the personality and sensibilities of each government partner we serve. As part of this commitment, PA Interactive will provide regular (no less than annual) UX and sight redesign services based on usage statistics and industry best practices. In our response to Section, IV-3.6 Communications and Marketing, PA Interactive has proposed high-level redesigns to demonstrate our creative and flexible approach to government site design. Please note that these are only proposed approaches and are based on our review of the Commonwealth s existing PA.gov solution, our ongoing national market research of government websites, our limited understanding of the types of services the Commonwealth wishes to implement in the future, and design best practices gathered over the course of NIC s 20 years of egovernment service. We look forward to discussing the design requirements in greater detail with the Commonwealth. PENNSYLVANIA INTERACTIVE, LLC Page 132

229 A Best-in-Class Design Approach for State egovernment We currently manage official websites for 27 states, hundreds of local governments, and two federal agencies. During our 20 years of providing egovernment solutions, we have designed more than 5,500 government websites, including multiple iterations of the award-winning official state websites we manage on behalf of our government partners. NIC is the only company with this extensive level of experience designing, developing, and implementing award-winning enterprise state egovernment portals. Our specific expertise is unmatched in the egovernment space and uniquely positions PA Interactive as the proven partner for egovernment in Pennsylvania. We understand the need for the Commonwealth web interface to keep pace with changing social habits, shifting demographics, evolving citizen demands, and emerging technologies. We recognize that a government website will neither achieve its goals nor meet the needs of customers unless it has been carefully planned and designed with an understanding of usable design principles and a commitment to universal access, high-quality user experience, scalable design, and innovative technologies that allows for wide expansion of services and tools. NIC s egovernment-focused creative design and marketing teams across the country serve as the primary usability and accessibility resources for our government partners. Our usability leaders continually monitor NIC s custom market research reports, industry best practices, and innovations across the NIC s government partner network to keep each of our state engagements current in this fast-changing field. NIC s comprehensive usability services ensure that state websites are scalable and enhanced by customer-driven designs that are also accessible to as wide an audience as possible and are compliant with all state, federal, and industry standards. We also strive to make websites user-friendly and intuitive which delivers efficiencies to our government partners and satisfaction to customers. To ensure that the project achieves its flexible, user-centered design objectives, PA Interactive will optimize the site through functionality, restructuring, and design processes that are derived from a three-pronged approach: Experience 27 state portals and hundreds of local and federal government initiatives Best practices From web usability and interface experts who consult with NIC, as well as industry resources like Usability.gov and Webcontent.gov. Research Proprietary, market-specific egovernment customer focus groups, surveys, and individual interviews conducted in Pennsylvania and several states across the U.S. each year, prior experience from other state portal teams, and the Research-Based Web Design and Usability Guidelines developed by the U.S. Department of Health and Human Services, in partnership with the U.S. General Services Administration. Insight-Driven Design Principles to Benefit Pennsylvania Based on our vast experience designing state egovernment websites and applications, as well as our insights gleaned from our ongoing market research efforts in Pennsylvania and elsewhere, PA Interactive s design approach for Pennsylvania will be built on the following core design principles: PENNSYLVANIA INTERACTIVE, LLC Page 133

230 Keep it simple Simple, uncluttered, user-friendly, plain English, easy, visually appealing, not busy, and clean design are among the keywords that appeared most frequently in the user-based market research NIC conducted across the country during the first half of 2012, and our belief is that Pennsylvania citizens are also interested in simple-to-use government websites. Citizens crave straightforward, easy-to-navigate websites and online services, and the challenge for governments and PA Interactive is to devise design solutions that effectively package key information in a manner that is both intuitive and uncluttered. Go local The most significant evolution in the last few years is the introduction of locationbased services that provide local information based on automatic detection of a user s ZIP code by tying to GeoIP. While PA.gov will absolutely provide Commonwealth-specific content, there is also an opportunity to integrate city and county data into the website design as a way to most effectively deliver comprehensive government information to citizens. Prominent search Our proprietary research shows that approximately 95% of egovernmentrelated web user sessions involve a search, so making the search box easy to find is a top priority. In both of our proposed designs included in our response to Section IV-3.5 Communications and Marketing, PA Interactive has placed the search box on the top quarter of the page and dedicated considerable real estate to make it as prominent and user-friendly as possible. Be visual NIC encourages its state partners to use bold and vibrant photos to capture the attention of customers and drive interest to key sections of the website. Designs should use photos of recognizable Pennsylvania locations, landmarks, and iconography. In addition, sites should effectively position key information (including popular self-service solutions, business services, customer service resources, and mapping functionality) to draw user interest. Logical navigation in several places We have seen in other partner states that customers are comfortable with vertical, horizontal, and scattered navigation. The main concern of customers is being able to logically locate information on an unfamiliar page, so designs should incorporate key navigation buckets in multiple places to accommodate this need. Plain-language text NIC has learned that some navigation and technical terminology does confuse the majority of users. As a result, industry-specific terminology like portal is not used (when necessary, NIC uses the term website ) and straightforward descriptors like government, business, and visitors consistently receive the strongest response in our research. Consistent placement of core features By standardizing site design, important site features like the search box, navigation areas, and help center links can appear in the same place on any Pennsylvania web page. Scrolling is OK Major consumer portals like Google, Amazon, and ebay continue to include more content on each page, which has conditioned users to expect scroll bars. The recent trend of load and scroll times being an indicator of a site s effectiveness has been eclipsed by a greater expectation of diverse and well-packaged content that may require a short scroll to locate. Common look and feel supports consistency, usability, and security As users navigate a state website and move among agencies and online services, their experience should not be fragmented. Sub-sites and online services that present an appearance and navigation approach that differ from the top level state website and other agency pages can confuse users and erode trust in the official commonwealth portal. Consistent design has a unifying effect on the look and feel of a website, which subsequently helps to convey an overall sense of trust and security to users. In our proposed redesign concepts for PA.gov, PA Interactive has provided options for a few common design features that could be integrated across the portal, including at the agency level. PENNSYLVANIA INTERACTIVE, LLC Page 134

231 Convey authority and ownership A well-designed site that is executed consistently across the government enterprise is an important way for the Commonwealth to connect with its constituents. As users traverse the many services and sub-sites that make up PA.gov, the site design should always convey a sense that the Commonwealth maintains ownership of the site. We recognize the extreme importance of creating, stewarding, and supporting a relevant brand identity that serves government s unique needs. Consistent Interface User interface consistency is important when designing a portfolio of online services. As a best practice, users should be able to move from one application to another without having to learn a new interface. Moreover, the interfaces should be properly branded and designed to match the look and feel of PA.gov. This will heighten the user s confidence that they are conducting official business with the Commonwealth, regardless of the agency or division of government with which they are interacting. Accordingly, PA Interactive will work closely with the Commonwealth to develop written design standards specific to Pennsylvania s egovernment applications. As the foundation for these standards, we will use best practices derived from NIC s proprietary egovernment research, our longterm experience in designing state government websites and applications, and general industry best practices. These standards will also take into account Pennsylvania s specific Commonwealth standards for look-and-feel and branding. Accessibility guidelines will also be included in the design standards and meet and frequently exceed state and federal accessibility guidelines. Topics covered by the design standards include, but are not limited to: Look-and-feel and branding Fonts and other text formatting Accessibility Form layout Interface components Integration of online help Display of error messages Shared templates and tools Rendering guidelines for website, tablet, and mobile versions Beyond just written standards, PA Interactive will create application page templates that comply with these standards. These templates will be shared by all applications to ensure maximum usability and deliver a consistent overall user interface between services. It has been NIC s consistent experience that a common user experience leads not only to increased adoption among state services, but also to a favorable ranking among independent organizations that evaluate government website usability. In addition, PA Interactive will work with the Commonwealth to develop standard style sheets and share these between applications to provide consistent styling of page elements. By using shared templates, interface components, and style sheets, PA Interactive can quickly modify applications to conform to changes brought about by site redesigns and other look-and-feel changes. Moreover, as the design standards are refined, the applications can easily be adapted to comply with the new standards. In addition to providing flexibility, these shared design components expedite the development of new applications by fostering reuse of existing assets. PENNSYLVANIA INTERACTIVE, LLC Page 135

232 Improved Information Architecture PA Interactive will use its expertise in building user-focused navigational taxonomies for government web portals to design and implement effective navigational taxonomies for the PA.gov portal. The following approach will be used in creating and refining the new PA.gov navigational taxonomy. A user-focused taxonomy for PA.gov will be designed using the existing PA.gov taxonomy and taxonomies from other NIC portal implementations as inputs into the design of a new set of navigational taxonomies for PA.gov. Search and web analytics from the existing portal will be analyzed to refine the semantic conventions and the vocabulary used in the proposed taxonomy to better match how users are searching for information today. All links to resources from the existing PA.gov portal will be extracted and cataloged. Through independent research and outreach to agencies, useful web resources not currently linked from the portal will be identified and cataloged. Metadata for each discovered resource will be created to facilitate categorization within the taxonomy. All identified resources will be mapped to taxonomy categories. Resources can and will be assigned to multiple categories as needed to allow a variety of navigation paths to important resources. Each navigational taxonomy will be implemented as a dynamically generated link farm within the portal website. Developed taxonomies will be user tested by representative users to validate user assumptions and further improve the taxonomies prior to production deployment of the new PA.gov. Two tools will also be implemented and deployed to assist in the long term maintenance of the information architecture. These tools will help ensure that the information architecture is continually refined over the long term and that resource links are kept current. The first tool is for agencies and allows them to communicate new content to PA Interactive for inclusion in the portal s information architecture. The second tool is targeted towards end users, allowing the end user of the portal to report broken, misidentified, and missing resources. Input from both tools will be moderated by PA Interactive staff and considered along with web and search analytics to maintain the quality of the portal s information architecture on an ongoing basis. Designing Across Multiple Delivery Channels PA Interactive will work closely with the Commonwealth to deliver PA.gov content and services through multiple channels. NIC has proven experience delivering egovernment applications via the devices listed in this requirement, and we will draw on that experience and our library of egovernment applications developed for other states. In particular, we use responsive design practices that leverage CSS3 and HTML5 to automatically render government websites flawlessly on any device. As part of the design process of each application and portal, PA Interactive s approach will be to ensure that the sites and applications are optimized for all channels (online, IVR, kiosk, mobile, ipad, and WAP devices) and that the presentation of content adapts to the formatting requirements of any particular requesting device. Mobile Devices NIC is at the forefront of implementing advanced mobile technology solutions for government. NIC has developed a wide range of mobile solutions for every major mobile platform, including Apple (iphone, ipod Touch, and ipad), Android, Blackberry, and Windows Mobile. Our national and local development teams have helped states launch first-in-the-nation PENNSYLVANIA INTERACTIVE, LLC Page 136

233 egovernment mobile applications, secure mobile payments, and mobile-optimized sites that can be easily viewed with any device. Kiosks / Point-of-Purchase Specific PA.gov services will be accessible via kiosk and point-of-sale systems to increase availability at government offices and other public venues. NIC delivers these services on behalf of several partner states to a variety of devices by using the same web application, developing custom interfaces for the device, and custom building the applications for each platform. We are eager to explore kiosk and POS delivery opportunities with the Commonwealth. IVR Solutions Based on several successful state installations, NIC knows that telephone-based access drives adoption for certain services including tax applications, business registration, game check reporting, and other self-service solutions with modest data entry requirements. Assistive Technology and Text Only Sites Accessibility is a key feature of NIC s design process, and we will work closely with the Commonwealth to ensure that portal content and applications are accessible to all users. We support site visitors with special needs by adhering to all accessibility guidelines and best practices (including local laws and statutes). In addition, NIC s portal design teams conduct site usability testing throughout the development process for every new website, online service, and technical enhancement. We use various testing tools, such as JAWS screen reader and Compliance Sheriff, to verify a site functions properly when viewed through an assistive device or in text only mode. Many of our state operations also enlist agencies and schools that support disabled communities to conduct in-person testing of new sites, services, and technical features to ensure full usability. Data Syndication RSS, SMS, , and social media sites are all examples of content syndication and distribution channels for portal content through non-traditional mechanisms. NIC s state government partners have long believed in providing alternative access channels to critical portal content, and we will work closely with the Commonwealth to determine which methods make sense for Pennsylvania and to deliver a customized solution that meets the needs of Commonwealth agencies and those they serve. The designs presented in our response to Section IV-3.5 Communications and Marketing integrate a variety of access channels including mobile and ipad app downloads, multiple subscription feeds (RSS, SMS), enewsletters, site translation, flexible text sizes, and text-only options for IVR and assistive technology such as screen readers. Providing a Sense of Security PA Interactive understands that providing a sense of security and privacy to customers of egovernment services is a fundamental expectation, and we manage the security of sensitive information with the utmost care and caution. We handle online information with the commitment of ensuring a secure environment that can be trusted to fulfill all confidentiality requirements. PA Interactive s industry-leading security program is designed to safeguard information according to established security standards and procedures, and we continually invest in the newest technology for protecting information. NIC s layered system security approach has been honed by our work on 27 state portal installations as well as local and federal egovernment installations. In addition to our comprehensive security program, NIC has an in-depth understanding of developing applications and sites that convey our security approach. We recognize that the success of NIC s products and services depends on conveying a sense of security and privacy to egovernment users. PENNSYLVANIA INTERACTIVE, LLC Page 137

234 Well-Established Policies and Procedures User confidence can be bolstered by easy access to state policies and procedures by prominently displaying links to the Commonwealth s privacy statement, accessibility policy, site policy, and security information. This is combined with full disclosure of what data is being collected and allowing the user to opt-in/opt-out of activities that collect personal information or choose to not perform the service online. Sensitive information used in financial transactions, such as Social Security numbers, credit card numbers and expiration dates, banking information, and personal data is kept confidential. NIC is committed to ensuring our partners and citizens confidentiality through the use of state-of-the-art information security and the adoption of appropriate privacy policies and procedures: The entire record request transaction occurs in an authenticated and secure environment All of the information is exchanged via Secure Socket Layer (SSL) 256-bit encryption All information requests must pass through multiple hardware and software security firewalls Security technologies are used to monitor and look for suspicious activity Communications with state databases are encrypted over the network via Virtual Private Network (VPN) The portal maintains an online privacy log that tracks every record request when accessing billable or subscriber services Sensitive information is not retained by NIC unless required for a business purpose and in these limited instances, data is encrypted and truncated The portal audits users access to records when accessing billable or subscriber services Consistent Look and Feel Supports a Secure Customer Experience A commitment to consistent look and feel drives customer confidence in egovernment. As users navigate a state s website and move between agency websites and online services, their experience should not be fragmented. Sub-sites and online services that present an appearance and navigational scheme that differ from the top-level portal site and other agency sites can produce confusion and a loss of trust for the user. Sites and sub-sites developed according to consistent look and feel provide a unified experience to users and establish trust between the users and the portal. Good Design Conveys the Commonwealth s Authority PA.gov s ability to convey a strong sense of its identity consistently throughout the many web pages and services that comprise the website are critical to effectively connecting with the audiences the Commonwealth serves. As users traverse the many services and sub-sites that make up Pennsylvania s egovernment offering, the design should always convey a sense that the Commonwealth maintains ownership of the site. As egovernment experts whose marketing leaders have built branding campaigns to enhance the digital stature of our government partners, the PA Interactive team recognizes the extreme importance of creating, stewarding, and supporting a relevant brand identity that serves government s unique needs. PENNSYLVANIA INTERACTIVE, LLC Page 138

235 PA Interactive welcomes the opportunity to work with the Commonwealth to integrate design enhancements that reinforce consistency across Pennsylvania s egovernment platform and reinforce customer beliefs that the Commonwealth s sites and online services are secure. Browser Compatibility NIC adheres to industry standards of web development, focusing on semantic HTML markup that validates and the use of conditional CSS code and JavaScript libraries to maximize backwards compatibility in all modern browsers. HTML5 and CSS3 add extra features like geo-location and flash-like animation to the website without hindering the experience for older browsers. All sites developed for PA.gov will include Section 508 accessibility compliance, non-javascript fallbacks, and may also use Media Queries to accommodate differing viewports and mobile users. PA Interactive will develop Pennsylvania websites and applications that provide broad support for current and prior versions of popular desktop and mobile browsers. To provide wide-ranging support for desktop and mobile browsers, PA Interactive will use the progressive enhancement approach when designing and building web content. Progressive enhancement is a strategy for web design that emphasizes accessibility, semantic HTML markup, and external Stylesheet and scripting technologies. Progressive enhancement uses web technologies in a layered fashion that allows everyone to access the basic content and functionality of a web page, using any browser or Internet connection, while also providing those with better bandwidth or more advanced browser software an enhanced version of the page. Most of our Creative Services teams have made the decision to support any browser with a visit percentage greater than 1%. Based on PA.gov web analytics, we will decide which versions deserve continued support. For example, in Rhode Island the current list of browser visits greater than 1% includes: Internet Explorer 7 9; the two most recent versions of Firefox, Safari, and Chrome; and the most recent version of Opera. Alternate Access Methods PA Interactive will work closely with the Commonwealth to deliver egovernment content and services through multiple channels. NIC has proven experience delivering egovernment applications via multiple devices, and we will draw on that experience and our library of egovernment applications developed for other states. In particular, we use responsive design practices that leverage CSS3 and HTML5 to automatically render government websites flawlessly on any device. As part of the design process of each application and portal, PA Interactive s approach will be to test that the sites and applications are optimized for all channels (online, IVR, kiosk, mobile, ipad, and WAP devices) and that the presentation of content adapts to the formatting requirements of any particular requesting device. Mobile Devices NIC is at the forefront of implementing advanced mobile technology solutions for government. NIC has developed a wide range of mobile solutions for every major mobile platform, including Apple (iphone, ipod Touch, and ipad), Android, Blackberry, and Windows Mobile. Our national and local development teams have helped states launch first-in-the-nation egovernment mobile applications, secure mobile payments, and mobile-optimized sites that can be easily viewed with any device. PENNSYLVANIA INTERACTIVE, LLC Page 139

236 Kiosks / Point-of-Purchase Specific PA.gov services will be accessible via kiosk and point-of-sale systems to increase availability at government offices and other public venues. NIC delivers these services on behalf of several partner states to a variety of devices by using the same web application, developing custom interfaces for the device, and custom building the applications for each platform. We are eager to explore kiosk and POS delivery opportunities with the Commonwealth. IVR Solutions Based on several successful state installations, NIC knows that telephone-based access drives adoption for certain services including tax applications, business registration, game check reporting, and other self-service solutions with modest data entry requirements. Assistive Technology and Text Only Sites Accessibility is a key feature of NIC s design process, and we will work closely with the Commonwealth to ensure that portal content and applications are accessible to all users. We support site visitors with special needs by adhering to all accessibility guidelines and best practices (including local laws and statutes). In addition, NIC s portal design teams conduct site usability testing throughout the development process for every new website, online service, and technical enhancement. We use various testing tools, such as JAWS screen reader and Compliance Sheriff, to verify a site functions properly when viewed through an assistive device or in text only mode. Many of our state operations also enlist agencies and schools that support disabled communities to conduct in-person testing of new sites, services, and technical features to ensure full usability. Data Syndication RSS, SMS, , and social media sites are all examples of content syndication and distribution channels for portal content through non-traditional mechanisms. NIC s state government partners have long believed in providing alternative access channels to critical portal content, and we will work closely with the Commonwealth to determine which methods make sense for Pennsylvania and to deliver a customized solution that meets the needs of Commonwealth agencies and those they serve. A Commitment to Accessibility PA Interactive strongly believes that all functionality and all content on PA.gov must be accessible to all users, regardless of device or ability. "When an organization's website is not accessible, it further excludes people with disabilities from society. When an organization's website is accessible, it empowers people with disabilities to participate in society. Providing an accessible website is one way an organization can demonstrate that it strives to meet the access needs of a diverse society. W3C Web Accessibility Initiative, Social Factors in Developing a Web Accessibility Business Case for Your Organization Usability and accessibility are key components of our design approach. Every egovernment website we develop must comply with all federal, state, and industry accessibility standards. From there, we incorporate proven accessibility best practices based on 20 years of designing effective online solutions for government. Then we conduct rigorous automated testing using industry leading tools and manual testing with internal and external audiences to ensure that the final solution adheres to our usability and accessibility requirements. PA Interactive is committed to the current accessibility standards defined by Section 508 of the U.S. Rehabilitation Act of 1973, as well as the Web Content Accessibility Guidelines (WCAG) 2.0 issued by the Web Accessibility Initiative (WAI) of the World Wide Web Consortium (W3C). In addition, WAI- ARIA (Web Accessibility Initiative - Accessible Rich Internet Applications) is a draft technical PENNSYLVANIA INTERACTIVE, LLC Page 140

237 specification published by the W3C that specifies how to increase the accessibility of dynamic content and user interface components developed with AJAX, HTML, and other dynamic interface technologies. WCAG 2.0 avoids technology-specific requirements and instead provides a list of technology-neutral techniques for the following success criteria: Text Alternatives: Provide text alternatives for any non-text content so that it can be changed into other forms people need, such as large print, Braille, speech, symbols, or simpler language. Time-based Media: Provide alternatives for time-based media. Adaptable: Create content that can be presented in different ways (for example simpler layout) without losing information or structure. Distinguishable: Make it easier for users to see and hear content including separating foreground from background. Keyboard Accessible: Make all functionality available from a keyboard. Enough Time: Provide users enough time to read and use content. Seizures: Do not design content in a way that is known to cause seizures. Navigable: Provide ways to help users navigate, find content, and determine where they are. Readable: Make text content readable and understandable. Predictable: Make web pages appear and operate in predictable ways. Input Assistance: Help users avoid and correct mistakes. Compatible: Maximize compatibility with current and future user agents, including assistive technologies. To ensure the broadest support for desktop, mobile, and audio browsers, PA Interactive will utilize the progressive enhancement approach when designing and building web content. Progressive enhancement is a strategy for web design that emphasizes accessibility, semantic HTML markup, and external style sheet and scripting technologies. Progressive enhancement uses web technologies in a layered fashion that allows everyone to access the basic content and functionality of a web page, using any browser or assistive technology, while also providing those with better bandwidth or more advanced browser software enhanced interface functionality. NIC has found progressive enhancement to be a superior methodology to the graceful degradation approach used in the earlier days of the internet. By focusing on the content and functions performed by a website or application instead of the capabilities or limitations of the browser, the maximum number of users regardless of browser technology will be able to access the critical content and features of a site. This ensures that egovernment services will be able to provide a satisfying user experience regardless of the browser technology and client platform. The portal and its services will be routinely tested for compliance with Section 508 of the Rehabilitation Act using a technical standards checklist such as WebAIM s Section 508 Checklist ( Testing will be conducted using automated testing tools and manual testing methods with screen readers, policy experts, and persons with disabilities when possible. In addition, the site will be routinely reviewed for alignment with the latest Web Accessibility Initiative guidelines from the W3C. The WAI guidelines at define how browsers, media players, and other "user agents" support people with disabilities and work assistive technologies. Accessibility Resources: PENNSYLVANIA INTERACTIVE, LLC Page 141

238 WAVE from WebAIM Cynthia Says from HiSoftware AChecker JAWS Color Oracle, Vischeck NIC s portal design teams conduct site usability testing throughout the development process for every new website, online service, and technical enhancement. We use various testing tools, such as JAWS screen reader and Cynthia Says from HiSoft, to verify a site functions properly when viewed through an assistive device or in text-only mode. Many of our state operations also enlist agencies and schools that support disabled communities to conduct in-person testing of new sites, services, and technical features to ensure full usability. For example, NIC s team in Idaho works with the local Blind Commission in Boise to verify that their templates are accessible to screen readers. IV-5.7 Establish a Content Management Strategy IV-5.7 Establish a Content Management Strategy A content management system is used to create, edit, manage, and publish web content in a consistent manner with a user interface that can be operated without a high degree of technical expertise. Many agencies face the challenges of maintaining their websites with limited budget, resources and turnover in personnel. The objectives of the content management system are to: Train Agencies on how to organize, index and tag content to enable better search results Allow Agencies to publish and update content directly to the web, using established standards Provide a resource library of commonly used templates and information resources Free up staff to focus on other business tasks, and Encourage agencies to migrate their websites to the new PA.gov design. The Contractor shall establish policies and procedures for utilizing the new content management/web publishing platform, a process to follow to report issues with the platform or a specific function the end user is trying to implement, and a delineation of roles and responsibilities between the Contractor and the agency. Modern content management systems (CMS) have revolutionized how large websites are created and maintained by: Allowing non-technical content owners to directly manage their website content Providing workflow mechanisms that maintain quality control through review and approval processes Enabling a more personalized and richer user experience by dynamically rendering content Facilitating content aggregation and syndication by separating content from presentation PA Interactive will deploy a content management solution for Pennsylvania built upon Microsoft s SharePoint 2010 content management platform. This CMS platform will be used to host the PA.gov portal website as well as agency websites. The content of the PA.gov portal will be managed by PA Interactive with assistance from agencies. Agency website content will be managed directly by the agency with support from PA Interactive as needed. PENNSYLVANIA INTERACTIVE, LLC Page 142

239 CMS Implementation Process To implement a CMS for a government enterprise, the following high-level approach is followed. Architect the CMS Solution Before work can begin in earnest on the CMS implementation, the overall solution architecture must be developed for the CMS offering. Deploy CMS Software The selected CMS products will be deployed to the hosting infrastructure and configured according to the solution architecture. Customize CMS Software Customization involves extending the CMS software to provide functionality not provided by the core CMS product. This may include integrating third-party components and products to increase system functionality. Implement Site-Specific Assets During this phase of the implementation, standardized site and page templates and components are developed that realize the visual design of the websites being managed by the CMS. Most content management systems utilize a layered system of templates that represent the visual qualities of the websites at differing levels of commonality and abstraction. Supporting assets, such as CSS stylesheets and JavaScript libraries are also developed to complement the CMS templates. All of these CMS assets serve as building blocks that content contributors will use to later implement their websites. Implement Publishing Workflows An enterprise CMS will often involve hundreds of CMS participants working together to create and manage content. Workflows provide a consistent mechanism for ensuring that content is properly reviewed and meets accessibility and quality standards. Standard workflows are typically provided for the most common publishing scenarios. Design and Implement Governance Controls CMS governance involves the policies and controls established to maintain order and stability within the CMS environment. Some aspects of CMS governance are performed external to the CMS software but other aspects of CMS governance are implemented though system controls and content provisioning tools. Train CMS Participants NIC develops a CMS training program that all CMS participants will undertake to learn how to best use the CMS to meet their publishing objectives. This training consists of small classroom training as well as supplemental resources such as training guides and access to a sandboxed area of the CMS where participants can experiment with the capabilities of the system. Training will occur during the site transition and will be available post transition. Support Participants During Transition During transition, CMS participants will be involved in the migration of their websites. Policies and Procedures PA Interactive will work with the Commonwealth to develop policies and procedures for utilizing the new content management/web publishing platform, a process to follow to report issues with the platform or a specific function the end user is trying to implement, and a delineation of roles and responsibilities between PA Interactive and the agency. Ongoing Management and Support Launching websites on a CMS is just the beginning. Once websites are live, content managers must maintain and improve their content on an ongoing basis. Accordingly, NIC continually enhances the CMS platform with refinements and new capabilities. NIC provides support and continuing education to CMS participants on a long term basis to help participants take advantage of the evolving CMS platform. When undertaking a CMS project, big or small, PA Interactive will consider the unique needs of the stakeholders and develop an implementation plan specific to that effort. This plan will detail the activities of all parties involved and provide a blueprint for how the CMS solution will be implemented and managed. Our experience has shown that no two CMS implementation are the PENNSYLVANIA INTERACTIVE, LLC Page 143

240 same and that careful planning and collaboration with participants is mandatory for a successful solution to be established. During the CMS implementation project, PA Interactive will develop and document the specific processes and policies that will be used for the Pennsylvania CMS solution. These policies will govern how agency enrollment occurs, how existing content is migrated to the new platform, how participants use the platform to manage their website, and how support will be provided to CMS participants. Additionally, the roles and responsibilities for PA Interactive and agencies will be clearly defined during solution development. NIC s experience with providing similar CMS solutions has shown that the following is a typical split of core responsibilities between PA Interactive and agencies using the CMS platform. Table 1: CMS Responsibilities CMS Activity PA Interactive Responsible X X Agency Responsible Build-out and operation of the CMS server farm Development of standard templates, web parts, and controls Development of site-specific templates, web parts, and controls X X Migration of Oracle WCI sites to SharePoint X Training of users of the CMS X Provisioning of new agency websites X Build out and management of portal website content X Build out and management of new agency website content X Integration of websites with agency backend business data X X Agency Outreach Our goal in Pennsylvania is to effectively and consistently communicate with agencies that will benefit by using the Commonwealth s online services and the benefits of the new PA.gov design. We are committed to Pennsylvania s One Customer, One Government approach and believe that a common design standard can benefit the Commonwealth and provide citizens and businesses with a cohesive experience no matter where they navigate to at PA.gov. Our enhanced outreach will be deployed to encourage agency participation in the PA.gov portal, provide education about the benefits of the self-funded model, and drive usage of the site by those agencies that might not have historically leveraged the portal s standards, design, websites, and online services. Increased adoption by more agencies and entities will lead to more usage by the citizens and businesses they serve, which ultimately benefits the Commonwealth and its customers. PA Interactive s dedicated marketing team will help communicate the value of using the portal and empower all agencies (including those currently using the portal and those who are not) to leverage centralized tools such as the new PA.gov design, secure payment processing, multichannel customer service, and targeted marketing for high-potential online services. PENNSYLVANIA INTERACTIVE, LLC Page 144

241 Enterprise Records Management Typically the CMS that NIC deploys supports the public-facing portal and is used for storing the content that will be made available to the public through the portal or agency websites. Internal content and a general records management solution are usually provided through a separate Enterprise Records Management (ECM) solution deployed and managed by the state agency or a central IT group within the state. This way the NIC team is able to focus exclusively on effectively managing the vital subset of content that is publically available instead of the entire content universe. A separate implementation also allows the state to set up separate security and access controls and deploy a system that specifically meets their needs for records management, data discovery, and data governance policies. In short, PA Interactive views the enterprise records management as outside the scope of the CMS implementation that will support PA.gov and agency websites. Of course, PA Interactive could implement a SharePoint instance and appropriately sized database/file storage for a Commonwealth ECM as a project request through the Work Order process. The scope and costs of implementing the service would need to be evaluated based on the specific requirements of the Commonwealth around records retention, storage, workflow, governance, discovery, and audit capabilities. PA Interactive will integrate with ECM and other records management systems at both the enterprise and agency levels as needed to support development of websites and application for the Commonwealth. The requirements and approach for integrating with each system will be defined during the SDLC for each project that involves integration with an enterprise or agency records management system. Implementation of the integration between PA Interactive developed solutions and records management systems will be completed cooperatively by PA Interactive and Commonwealth technical staff. Collaboration Tools and Websites Though NIC s primary focus is on Internet and extranet websites for our partners, NIC has at times implemented and managed intranet and other collaboration tools for our partners. The technical capabilities established by NIC for Internet and extranet solutions can certainly be applied to internal enterprise collaboration solutions. If desired, the Commonwealth may opt to initiate projects through the Work Order process which involve intranet or collaboration within the Commonwealth s enterprise. As with any project initiated through the Work Order process, governance will need to carefully assess the cost and benefit of such a project and its overall impact on established goals for the program. For example, most collaboration tool vendors license their software based on a per seat model. This makes funding a collaboration solution completely through self-funded revenue difficult or impossible. As adoption grows for the offering, the costs associated with user licensing increase linearly. Therefore, program management and governance will need to ensure that a proper financial model is in place to address the unique cost factors for each collaboration solution. This financial model may include requirements for agencies to purchase and maintain certain per seat licenses for their employees using the collaboration solution. Alternately, charges could be directly assessed to agencies to offset operating and licensing costs for the solution. Regardless of the details of the financial recovery model developed for the collaboration solution, the goal of the financial model would be to ensure the long term sustainability of the collaboration solution and the e- government program. PENNSYLVANIA INTERACTIVE, LLC Page 145

242 IV-5.8 Software Development Lifecycle (SDLC) and Application Development Framework IV-5.8 Software Development Lifecycle (SDLC) and Application Development Framework In general, the Contractor should follow an iterative approach to completing development work through the SDLC process. The Contractor will be expected to conduct an initial analysis of the scope of work and high level requirements in order to develop an initial estimate and then develop a more robust estimate once the requirements phase is complete. The SDLC methodology utilized by the Contractor must be presented to the Commonwealth for approval.. After requirements are complete, the Contractor will design the system and present the proposed application architecture to the Commonwealth prior to commencing development. This meeting will ensure that Commonwealth standards are being adhered to and that the design is being built to be as maintainable as possible. The Contractor will ensure that all applications run on a supported platform. On a semi-annual basis, a random sampling of 3 applications will be selected for a code review that must be completed by a 3rd party entity at the Contractor s expense. The results of the code review will be presented to the Commonwealth and a corrective plan established and implemented, if required. The Contractor will implement an application lifecycle process to continually review applications for usage, applicability, technology platform, and to determine if the application could be merged with another application due to changes in business process. This application lifecycle review process is to be conducted on an annual basis to make adjustments to the portfolio of applications. The Contractor will be responsible for maintaining an application inventory of all applications built or modified for use by the Commonwealth. The Contractor shall propose what fields should be included within that inventory within their response. The Contractor s application development methodology shall include checkpoints where Commonwealth sign off is required and will include the ability to have software code reviewed and audited to ensure compliance with Commonwealth standards. The methodology shall include systems testing and user acceptance testing phases and a general approach to application maintenance. The Contractor will provide a detailed developer code quality checklist to the Commonwealth to show the steps that the Contractors developers will follow in developing work under the Master Contract. Once the Commonwealth approves the checklist, all development and deployment work must be carried out consistent with the approved checklist. The Contractor shall utilize a project management and execution methodology that is aligned with the Project Management Body of Knowledge (PMBOK). The Contractor shall produce a project schedule for all Work Orders, projects and tasks estimated to be greater than 3 months in duration. The work breakdown structure shall be constructed with sufficient granularity as to facilitate tracking activities on a bi-weekly basis (e.g., activities must have durations less than or equal to 80 hours). Before submitting an egovernment application for final acceptance, the Contractor shall provide a pilot implementation of the service in order for the Commonwealth to test the proposed service compliance with interfaces, polices and other services. The required testing period shall be determined by the Commonwealth for each Work Order. Transaction fees, if any, will only be applied when the egovernment service is accepted by the Commonwealth and placed in production. PENNSYLVANIA INTERACTIVE, LLC Page 146

243 Application Development Framework PA Interactive will submit to the Commonwealth an industry-proven iterative Software Development Lifecycle (SDLC) and application development framework that follows robust project and program management practices, and includes checkpoints for the Commonwealth, in order to efficiently deliver new egovernment services. PA Interactive will perform these services with trained application developers and project management professionals who follow NIC s iterative software development lifecycle, which is in line with industry best practices and the requirements of the Commonwealth. During initial establishment of NIC processes, PA Interactive will develop a detailed developer code quality checklist and submit to the Commonwealth for approval. The checklist will show the steps that the PA Interactive developers will follow in developing work under the Master Contract. After the Commonwealth approves the checklist, all development and deployment work will be carried out consistent with the approved checklist. For each project, PA Interactive will assign a project manager who will work with stakeholders, requirements analysts, architects, and developers to draft a project schedule that includes a work breakdown structure, and will manage the project against the project schedule. PA Interactive will maintain an industry-accepted service management tool to run projects and track progress against tasks and milestones. The project manager will create a project schedule utilizing a consistent project template. As depicted in our proposed organization chart in Section IV-5.2 Organization and Staffing Requirements of our response, PA Interactive will utilize a development team that includes both project managers and business analysts for application development projects. Business analysts and project managers will play vital roles in the SDLC process. PA Interactive s proposed project management and implementation methodology is a vital component of overall program management because it provides transparency to and interactivity with the Commonwealth throughout a project s lifecycle. The following table illustrates the methodology PA Interactive follows for application development. This proposed methodology has been effective in other NIC-managed states and will be followed by the PA Interactive team to develop and deploy new applications. The project lifecycle is designed with consistency, repeatable processes, management control, and timely delivery in mind. Commonwealth acceptance / sign-off is proposed and is required to proceed to the next project phase of the life-cycle. Phase Description (Deliverables, Sign-Off, Checkpoints) 1. Project Evaluation This phase starts with the project kick-off meeting between PA Interactive staff, OIT (egovernment Program Manager), and the agency to discuss a common understanding of project scope and preliminary timeline. During this phase the technical focus is at a minimum while greater emphasis is placed on defining agency needs and the citizen/business expectations through high-level business requirements. A Work Order (WO) Request is created that provides a high-level overview of the project, timelines, responsibilities, processes, risk assessment, and marketing initiatives. WO Requests must follow the WO Process integral to governance of the contract. Once a WO Request is approved, the next phase of the project may be initiated. PENNSYLVANIA INTERACTIVE, LLC Page 147

244 Phase Description (Deliverables, Sign-Off, Checkpoints) 2. Definition At the core of this phase are a series of application analysis meetings with technical and business staff of the agency. The functions covered may include, but may not be limited to: detailed requirements analysis, security, system design, user interface prototype development, reconciliation requirements, and legacy system data integration processes. The results of these meetings are documented in the artifacts of this phase, which may include an Application Specification Document, Requirements Specification Document, and Technical System Design Document, which will become part of the WO Proposal. 3. Design and Development PA Interactive will create a WO Proposal that will be approved by the agency and go to the egovernance Committee for approval, and if approved will result in a Work Order that governs the project. This iterative phase translates the specifications in Work Order into a functioning online application. The goal of this phase is to develop a system that meets all of the established functional requirements of the Work Order and is ready for testing. During this phase, PA Interactive and the agency prepare the test cases to be used during the Quality Assurance phase. Unit testing must be completed before progressing to the next phase. Developers will code, build, unit test, and prototype the application during this phase. 4. Quality Assurance In this phase, testing is performed on several levels, including load tests, security reviews, integration testing, system testing. Also, preparations are made for deployment including help desk training and support protocols. Agency staff will be critical in testing the agency test scripts and plans. In addition, the marketing plan is finalized with the Commonwealth agency to define the adoption plan to educate users about the new service. Final user training, including PA Interactive customer service staff, is completed. The agency signs off on final user acceptance testing before the application is released into production. This ensures that there is a firm control mechanism in place, so that there is no question as to when the agency is ready for the release to take place. PA Interactive will begin development of application training during this phase. PENNSYLVANIA INTERACTIVE, LLC Page 148

245 Phase Description (Deliverables, Sign-Off, Checkpoints) 5. Launch This phase releases the application to the prescribed customer base and integrates it with the website, marketing, support, maintenance, and customer service functions upon agency approval. For services that require a pilot implementation, PA Interactive will establish the procedures and authentication mechanisms necessary to access the pilot. Pilot system users, depending on the type of application, may be inside or outside of state government; therefore, the system will be made accessible to Internet traffic with agency staff and/or customers provided with access to the pilot service for a specific period of time. Users of the pilot application will test and report on compliance with interfaces, policies, and defined requirements. After feedback has been gathered during the testing/pilot phase and any resulting application changes are completed, the agency and PA Interactive will identify a golive date for full production release. PA Interactive will conduct agency knowledge transfer and other user training during the Launch phase of a project. 6. Program Management (Support, Maintenance, Feature Enhancements) The phase is completed with a lessons-learned meeting between the PA Interactive and agency staff with takeaways from that meeting documented and incorporated into the project materials. Upon deployment, this phase includes maintenance, support, and feature enhancement activities. All projects are managed as part of the overall application portfolio and changes are made through the change management process. During this phase PA Interactive identifies the scope of any changes, the criticality, and impact. Whether a change is determined to be minor or major, agency approval, testing (including regression testing), and sign-off is required by the Commonwealth agency before the change is deployed. On an annual basis, as part of the ongoing program management, applications will be reviewed for usage, applicability, technology platform, and to determine if the application could be merged with another application due to changes in business process. PA Interactive is proposing that all applications developed for the Commonwealth will be inventoried via the NIC Services Database, and will contain the following fields: Service/Application Name Description URL Launch Date State Agency Programming Language Application Status Funding Source PENNSYLVANIA INTERACTIVE, LLC Page 149

246 Each phase is associated with specific goals and objectives and can be repeated to address deficiencies discovered at later phases. Figure 38: Application Development Methodology is a graphical depiction of the implementation methodology, including a summary of each phase and necessary agency approvals. Vulnerability Assessment Tools NIC developers are trained to use a combination of automated vulnerability scanning tools and manual penetration testing to check that any vulnerability that may exist is identified and corrected prior to application deployment. NIC specifically uses web vulnerability assessment tools as part of our SDLC process. NIC uses Mavituna Security s NetSparker web application scanning tool to scan all applications during the development lifecycle and when they are candidates for release into production. Issues will be mitigated and the application will be rescanned in an iterative process until the application scanning results are acceptable for promotion to production. NIC also has the NTOSpider application security testing tool from NT OBJECTives as an additional assessment tool when needed. In addition, all applications and websites are externally scanned by McAfee SECURE, a PCI Approved Scanning Vendor, on a quarterly basis as a component of PCI DSS compliance. NIC s central hosting facilities also utilize web application firewalls, which offer customized, behavior-based detection and countermeasures for each protected application. The Web Application firewalls in use in our datacenters are TrustWave s WebDefend and F5 s Application Security Module (ASM). PENNSYLVANIA INTERACTIVE, LLC Page 150

247 Figure 38: Application Development Methodology Code Reviews/Audits PA Interactive will be responsible for all scans on the services prior to releasing them into the infrastructure we operate on behalf of the Commonwealth. We will use a trusted and independent third party to complete the scans for applications. We will share the results of the scans/evaluations. Scanning with a web application scanning tool is performed and issues mitigated prior to release of any code, including changes and customizations, into production. NIC also uses a web application firewall to protect the application once it is in production. If a PA Interactive-developed and scanned application is breached due to our negligence, then PA Interactive would be accountable. On a semi-annual basis, a random sampling of three applications will be selected for a code review that will be completed by a PA Interactive-selected third party entity at PA Interactive s expense. In addition PA Interactive will participate in and be continuously validated by the Terremark SMP and is audited for PCI DSS compliance that makes sure all code undergoes a security assessment. PENNSYLVANIA INTERACTIVE, LLC Page 151

248 The code review/security assessment of web applications will be performed by a PA Interactiveselected and paid-for third party, using automated tools and validated manually. Manual validation will look at output of automated review and targeted areas of application including OWASP Top 10 vulnerabilities. Results of the code review will be presented to the Commonwealth and a corrective plan will be established and implemented, where required. Technical Architecture Reviews PA Interactive is proposing to use an independent third party, Trustwave, to perform the code reviews of applications to evaluate their compliance with Commonwealth standards. Trustwave is a leading provider of on-demand data security and payment card industry compliance management solutions to businesses and organizations throughout the world. NIC uses Trustwave in a similar capacity across our egovernment partnerships. NIC and Trustwave begin with the OWASP Top 10 as testing parameters and will work together to further define the parameters of the code reviews to ensure that the proper Commonwealth standards are being tested against. The final approach will be documented and approved by the Commonwealth. Trustwave will then conduct the detailed inspections of the application source code using manual and/or automated test tools depending upon the size and scope of the code involved. The result of the code review will be a report that details the specific areas that need repair in order to maintain a secure application. The Commonwealth will receive this entire report. IV-5.9 Enterprise Core Applications IV-5.9 Enterprise Core Applications The Contractor will build a number of Enterprise core applications that will be used by other applications that are developed for the Commonwealth. Examples of Enterprise core applications include, but are not limited to: User Self Provisioning Electronic payment processing Security and authentication services My Account feature Shopping cart features Issuance of confirmation Management, storage, and presentation of on line forms Search engine services On line help and customer service capabilities Receipt of electronic revenues Encryption services On line publication services Connectivity services Interfaces and protocols for integrating with back end systems shopping cart Customer feedback mechanism Additionally, the Commonwealth will have the Contractor build and maintain certain line-of-business egovernment applications. Examples of these applications include, but are not limited to: One Stop Online Business Registration and Licensing License renewals, reinstatements and status monitoring PENNSYLVANIA INTERACTIVE, LLC Page 152

249 Corporation filings and search Business name availability searches and registrations Absentee ballot status lookups and tracking UCC interaction filings, searches and downloads Vehicle Registration Parking Ticket Payments Online License and ID renewals Enterprise Core Applications PA Interactive understands that importance of a comprehensive, integrated-egovernment program. PA Interactive proposes a solution that encompasses all of the enterprise core applications identified in the Statement of Work, and we are proud to offer Pennsylvania a best-of-breed solution and the reassurance of proven delivery because NIC has successfully implemented each of these or similar core applications in other partner states. In the table that follows, we have provided details about PA Interactive s approach to/experience with the example core applications identified by the Commonwealth. Experience with Requested Line-of-Business egovernment Applications User Self Provisioning NIC s core egovernment offering includes deploying a Web Single Sign-On (Web SSO) technology to provide a centralized authentication mechanism for applications hosted by PA Interactive and by agencies. The security of authentication and authorization controls is improved by avoiding disparate authentication mechanisms in favor of a consistent authentication approach. PA Interactive will work with the Commonwealth to develop a single method to access commonwealth applications and services. See PA Interactive s response to Section IV-5.5 Self- Provisioning for further details on the Web SSO solution. Electronic payment processing Security and authentication services NIC offers the industry s leading payment processing and financial management service. Built specifically for government and customized to meet the operating requirements of each state, our payment engine securely processed more than $17 billion in government payments in In addition, our robust financial management platform provides agencies with industry-leading reporting, reconciliation, and transaction management functionality that was also developed specifically for state government agencies and is tailored to meet each state s specific requirements. In order to act as secure guardians of the Commonwealth s data for both current and future technologies, PA Interactive will implement our layered and modular information security program. By approaching the solution with a modular architecture, PA Interactive can replace, modify or upgrade individual components of the security architecture to not only ensure that PA Interactive PENNSYLVANIA INTERACTIVE, LLC Page 153

250 Experience with Requested Line-of-Business egovernment Applications maintains a best-of-breed environment, but also that PA Interactive is able to adjust to future threats and needs of the Commonwealth. PA Interactive will implement the industry-leading comprehensive Verizon Business Terremark Security Management Program (SMP) that is standard in our other state portal installations. PA Interactive will also meet all PCI DSS and SOX requirements for security. My Account feature Shopping cart features Issuance of confirmation Management, storage, and presentation of on line forms Personalizing the user experience can provide a boost in user satisfaction with a government website such as PA.gov. PA Interactive believes that for personalization to yield an improved user experience, it must be more than skin deep. Instead, personalization must pervade the user experience to engage the user in new and useful ways. To this end, PA Interactive offers a personalization platform for Pennsylvania that will: Allow registered PA.gov users to maintain a configurable user dashboard that expedites their interaction with PA.gov, agency websites, and egovernment applications. Provide subscription capabilities that enable users to subscribe to news, alerts, and other real-time information. Generate localized views of website content specific to the geographic location of the end user. PA Interactive will deploy a comprehensive payment processing, shopping cart, and Web SSO solutions for Pennsylvania that will allow Customers to quickly and conveniently transact business with the Commonwealth. This will include the capability to add My Cart features on Commonwealth websites where appropriate. NIC offers different means of issuing confirmation to Customers for egovernment transactions. The varied ways we can deliver the confirmation or provide a receipt of an end product for a user include a confirmation screen that can be printed, an ed receipt or PDF document, physical fulfillment, or other options. NIC has employed all of these options and will work with the Commonwealth agencies to determine the best method on an application-by-application basis. PA Interactive understands that an online forms solution specified by the Commonwealth at either the enterprise or agency levels may be a component of egovernment solutions provided under this contract. NIC has broad experience using a variety of e-forms platforms to enable rapid development of complex forms-based services. Selection of the correct e-forms product or products for PENNSYLVANIA INTERACTIVE, LLC Page 154

251 Experience with Requested Line-of-Business egovernment Applications Pennsylvania will be made cooperatively by PA Interactive and the Commonwealth, based on the careful analysis of implementation requirements for anticipated online services, strategic objectives for the portal, and licensing factors. Search engine services Web users use search more frequently than ever before. According to the most recent findings of NIC s exclusive egovernment survey and focus group-based market research, approximately 95% of all web sessions involving government websites are initiated with a web search. To address this need, PA Interactive will deliver an enterprise search engine that can be used across the enterprise. NIC has deployed search solutions based on Google Site Search, Search.USA.gov, Microsoft Bing, and other technologies. PA Interactive will use Google Site Search for the Commonwealth, unless the Commonwealth desires another option. As part of our proven website design process, NIC conducts both internal and external assessments to ensure that keywords, external links, and tagging are optimized for search engines. In addition, the media announcements we issue on behalf of partner states are keyword-optimized and link-optimized to ensure online services appear as prominently as possible in search results. Both search engine optimization assessments and keyword-optimized media releases are part of our proposed portal marketing program. On line help and customer service capabilities PA Interactive is proposing a comprehensive customer service experience for Customers, including: 24x7 phone support support Live chat Text-based support In addition, PA Interactive will build customer support mechanisms into the Pennsylvania egovernment platform, so that users can easily navigate through a self-service knowledge base that includes: Frequently Asked Questions (FAQs) Search tips Site tour (with screenshots and/or screencasts where applicable) Site map A-Z site index Ask an Expert Ask a question and have a subject matter expert answer your question via live online chat, form submission, or e- PENNSYLVANIA INTERACTIVE, LLC Page 155

252 Experience with Requested Line-of-Business egovernment Applications mail Technical support documentation Contact information Site directory Webmaster information Question or comment form and phone support contact information Receipt of electronic revenues Encryption services On line publication services NIC s Payment Engine (TPE) and Customer Management and Billing System (CDB) provide a robust Software-as-a-Service financial management platform that provides agencies with industry-leading reporting, reconciliation, and transaction management functionality for electronic revenues. Developed specifically for state government agencies, TPE and CDB will be configured to meet the Commonwealth s specific requirements. Protecting customer information through online transactions as it travels between a user and the system is a very important aspect of both privacy and security for web applications. Strong 256-bit Transport Layer Security (TLS) or Secure Socket Layer (SSL) stream encryption will be used to secure communications between a user s web browser and the program servers. Encrypting this information in transit prevents a third party from intercepting sensitive data as it traverses local networks and the Internet. This type of encryption also helps protect against man-in-the-middle attacks. PA Interactive will use at least SSL v3 or TLS v1 for all secure sites with certificates encrypted with at least a 1024 bit key. NIC has deployed publications online using a variety of methods. NIC has had recent success with two online communities specific to document sharing. SlideShare and Scribd allow users to upload presentations and documents much like YouTube lets users post videos online, or Flickr allows users to share photos. Both sites use Adobe Flash as the basis for a rich, web-based document format similar to PDF. SlideShare also converts each document to a mobile-ready format (not using Flash) so that documents and presentations can be viewed on smartphones with a browser. For example, NIC has worked with the State of Utah to host documents and presentations online with SlideShare. NIC helped Utah use it as an easy way to let content spread across the net similar to Liking something on Facebook or embedding a widget on a web page. With SlideShare, Utah can quickly and easily disseminate the latest fishing guidebook or the Governor s annual business magazine. Since documents can be embedded on any webpage, SlideShare provides an easy and free way to get state PENNSYLVANIA INTERACTIVE, LLC Page 156

253 Experience with Requested Line-of-Business egovernment Applications information into the hands of citizens without forcing them to come to Utah.gov. SlideShare also converts each document to a mobile-ready format (not using Flash) so that documents and presentations can be viewed on smartphones with a browser. Documents and presentations can be viewed the same across different operating systems and browsers without conversion, as long as the user has Flash installed. These services also provide HTML code which allows seamless embedding into a website or blog, as well as simple sharing mechanisms with over 25 services such as Facebook, Twitter, or Google Buzz. Additionally, SlideShare has a Facebook application allowing any profile or page to display documents directly within Facebook. Connectivity services Interfaces and protocols for integrating with back end systems shopping cart Customer feedback mechanism PA Interactive will we provide the necessary connectivity from our centralized data center to the Internet, Commonwealth legacy systems, and applicable external systems, per the requirements of each Work Order. NIC understands that providing secure, manageable, repeatable integration methods to Pennsylvania legacy systems is critical to the success of the portal. NIC has extensive experience integrating with thousands of legacy systems across the more than 3,500 government entities we work with through our enterprise state egovernment contracts. We have been able to achieve integration by providing an agile, open, yet secure system architecture that operates seamlessly with a state s existing infrastructure. We are constantly seeking to use only those tools that are best-in-class applications, that utilize open and accepted de facto Internet and web standards such as HTTP/S, HTML, XML, web services, EDI, SOA/ESB, and others. These solutions will facilitate horizontal integration among government entities and vertical integration among other state, local, and federal government organizations. NIC recognizes the value of collecting and assessing constituent assessment on a regular basis and incorporates feedback mechanisms into all services we develop for state government. We regularly use customer feedback to improve the solutions we offer to enhance existing services or to identify new areas of opportunity. NIC finds that customer satisfaction is usually most effectively measured by providing links to interactive survey pages from within the main portal, agency websites, or specific online services. In many instances, NIC creates custom landing pages that allow users to submit feedback while they are in the process PENNSYLVANIA INTERACTIVE, LLC Page 157

254 Experience with Requested Line-of-Business egovernment Applications of using a system as well as after a user completes the online application to measure user satisfaction. Line-of-Business egovernment Applications Based on the application categories identified by the Commonwealth, NIC offers the following list as a sampling of existing egovernment applications developed by NIC and currently deployed in our partner states that, should PA Interactive be selected for the contract, are available to be customized and implemented rapidly to benefit Pennsylvania agencies, depending on the Commonwealth s priorities and available portal resources. NIC streamlines the development effort in new states by using these services as the baseline to deploy effective applications in considerably less time than either internal state resources or other less experienced vendors. In the table that follows, we have provided details about NIC s experience in the example line-ofbusiness applications identified by the Commonwealth. The vast majority of the line-of-business egovernment applications deployed for the Commonwealth will tie into existing back end systems and will not replace the Commonwealth s systems. In certain, rare instances, states have asked NIC to create or replace a back end system. If desired, PA Interactive commits to work with the Commonwealth to address any Commonwealth regulations around the replacement of a back end system. NIC Experience with Requested Line-of-Business egovernment Applications One Stop Online Business Registration and Licensing NIC s history of providing online business registration services dates back to 2003, when NIC collaborated with the State of Utah to develop the OneStop Business Registration (OSBR) system, the first program in the U.S. to integrate multiple government agencies at the federal, state and local levels into a streamlined, online business registration process. NIC developed the service as part of its enterprisewide partnership to provide egovernment services for the State. OSBR allows citizens to register a Utah business with the Utah State Tax Commission, Labor Commission, Department of Commerce, Department of Workforce Services, and six participating cities. Businesses are also notified if they need to register with the Internal Revenue Service and are then connected to the online registration service. At the end of the process they receive all of the necessary licenses and account numbers for their business in less than one day. Since the program s launch in 2003, the OSBR program has increased online registrations from 10 percent to over 60 percent of all business registrations in Utah. The program has received international and national praise and was recognized in 2004 by the Center for Digital Government and the National Association of Chief Information Officers. NIC has developed similar business registration systems through its egovernment partnerships with other states, including Hawaii, Kentucky, and Tennessee, and has developed business registration and filing systems in many other states. PENNSYLVANIA INTERACTIVE, LLC Page 158

255 NIC Experience with Requested Line-of-Business egovernment Applications License renewals, reinstatements and status monitoring NIC s expertise in providing professional licensing solutions is well-honed. We provide professional licensing services in virtually all of our partner states. NIC provides professional licensing solutions for more than 400 licensing boards across our partner states, supporting online renewals and other functionality for more than a 1,000 different licensing types. We combine our specific enterprise licensing experience with our alliances with industry leaders like Iron Data (acquirer of CAVU Corp and Versa Systems), which provides enterprise software solutions for licensing, tax revenue, enforcement, and related activities. Corporation filings and search Business name availability searches and registrations Absentee ballot status lookups and tracking NIC has developed more than a hundred corporate filings services, including searches and other related services. Corporation services are often a foundation service established by NIC in the portals we manage; free searches provide an incentive for users to visit the portal and gather valuable information, and premium, time-saving corporate services can provide a sustainable funding stream that allows governments to continue to provide new services to constituents without putting additional strain on the general fund and agency budgets. A sample of NIC s corporations solutions, include: Corporations filings and searches Initial business filings Corporations certificates of existence Registered agent designations Registered principal searches Corporate letters of good standing Corporate annual report filings Business name availability searches and registrations One Stop Business Registration Over-the-counter credit card processing Certificate of compliance filings Corporate image searches and retrievals Business license applications Annual business renewals Trademark searches and registrations Deed searches and document retrievals NIC has developed business name availability search and registration services in several states, including Indiana, Kansas, and Utah. The offering can be customized to allow users to determine whether an entity name is reserved or in use by another company in the state, get contact information on businesses that hold the desired or similar name, and reserve name for 120 days. NIC s experience developing absentee ballot services in multiple states will allow us to customize an absentee ballot status lookup and tracking solution for Pennsylvania. NIC developed a system for Maine that allows absentee ballot requests to be sent to participating municipalities for request fulfillment. In Arkansas, NIC developed a solution in accordance with the Move Act that offers a way for Arkansas residents living overseas or in the military the opportunity to submit a request for a Voter Registration or Absentee Ballot application to their county clerk for either an electronic (PDF) version or a paper version to be mailed to them. PENNSYLVANIA INTERACTIVE, LLC Page 159

256 NIC Experience with Requested Line-of-Business egovernment Applications UCC interaction filings, searches and downloads NIC provides high-volume business-to-government services including UCC filings, searches, notifications, and tracking of change services that realize high adoption rates. For example, in South Carolina, NIC recently launched the UCC Online service on behalf of the State, which allows businesses and citizens to file, search and retrieve UCC documents electronically at This Web-based application was built through a partnership between NIC and the Secretary of State s Office and allows users to file, correct, amend, terminate, search, and retrieve UCC financing statements. UCC Online provides: Convenient 24/7 access Screen wizards to ensure accurate and efficient filings Help links on every page Immediate filing confirmation Viewable UCC filing records and recorded statutory liens Quicker UCC Search processing time Immediate search results UCC Online Search and Retrieval capabilities include: Search for UCC documents by name or filing number Order and immediately receive official search results and documents Print certified and non-certified documents from your computer UCC Online was implemented and available to the public in May of In 2012, NIC enhanced the service to include XML filing functionality. The South Carolina Secretary of State s Office s UCC Online program was honored with an Elite Achievers Award. Sponsored by the South Carolina Chapter of Government Management Information Sciences (SC.GMIS), the Elite Achievers Award recognizes agencies that demonstrate outstanding achievement in the implementation of creative information technology. PENNSYLVANIA INTERACTIVE, LLC Page 160

257 NIC Experience with Requested Line-of-Business egovernment Applications Vehicle Registration NIC has developed online vehicle registration solutions in several of our partner states. In addition to services provided on the official web portal, several services are now provided at retail locations, expanding the vehicle registration offering to enhance service and convenience to drivers and to improve the safety of law enforcement. For example, the first-of-its-kind On the Spot vehicle registration renewal service allows citizens to complete all required state inspections and submit a vehicle registration renewal at private-sector inspection stations (such as Jiffy Lube). Citizens can then receive the official state registration decal for license plates immediately after the completion of the inspection and registration process. The Montana Temporary Vehicle Permits system represents the collaborative effort of NIC, the Montana Department of Justice, and state auto dealers to automate the process of licensing new vehicles. The system allows Montana auto dealerships to process an electronic interim license plate and automatically enter all pertinent registration information into the state s law enforcement database. The system replaces the manual paper process that sometimes took weeks to be downloaded into the state s law enforcement databases, creating a higher level of risk for troopers unable to confirm the authenticity of the vehicle s temporary license plates while conducting traffic stops. Parking Ticket Payments Online License and ID renewals Parking ticket payment solutions have been developed by NIC through our state contracts to numerous localities that leverage NIC s world-class, government-specific payment engine to extend governments the ability to accept parking ticket payments issued, online via credit card. Variations of this application have included: Allowing companies (or cities) that issue tickets (Parking and Tollways) a web interactive applications to look up a plates registration (Plate Number or VIN), in order to send the owners the citation. Verifying that a vehicle has passed state emissions in order to purchase a parking pass. NIC has developed online driver license and ID renewal services that offer significant time savings to users of the service. The first online public service NIC deployed under its Tennessee egovernment contract was the driver license renewal. The service launched 45 days after contract signing in the State. In Hawaii, NIC developed a service that allows individuals to complete the State ID application, pay online, and pick it up in an expedited line. The required documents are detailed so the process takes approximately 1/10th the time it normally would. NIC also offers other related driver license services, including: Certified results from the current Driver License look-up application Practice driver license exam tests Driver license monitoring services PENNSYLVANIA INTERACTIVE, LLC Page 161

258 NIC Catalog of Existing Services In addition to the applications from the service areas listed in the preceding sections, NIC has broad experience delivering egovernment solutions from a variety of sources and through multiple delivery channels. NIC is able to leverage its library of unique services that may be customized specifically to meet the business rules, policy requirements, and technology nuances of each partner state. These services may also serve in the development of best practices for similar applications that can benefit any other state working with NIC. The table that follows presents a wide-range of the online services we have developed for our government partners that can be made available to Pennsylvania through this contract. The breadth and depth of this application development experience highlights our ability to integrate with multiple back-end systems, operate and host various platforms and provide application development expertise in a variety of architectures and development platforms. Each of the applications on the following list, presented in alphabetical order, represents a unique deployment for our government partners. Some of the services on the list represent duplicate kinds of services from state-to-state, but each signifies the distinctive business rules, technology needs, development environments, back-end legacy system constraints, look and feel guidelines, accessibility and security standards and other of the myriad of factors associated with our state partners requirements and preferences for online services. We present the list as evidence of the breadth and depth of our service development experience that we will bring to Pennsylvania. Alphabetical Catalog of Existing NIC Services A. Abandoned Vehicle Notification Service Absentee Ballot Request Service Academic Challenge Scholarship Application Program System Accessibility Training Accessible DVD Creation Accident Report Data Delivery Tool Accident Report Form Accountancy (Individual and Firm) Status & Sanction Verification System Accountant Continuing Education Credit Reporting Accountant Disciplinary Action Database Search ACH Payments Acknowledgement of Subdividers Representing Broker Acknowledgement of Timeshare Developers Representing Broker Address Request Form Administrative Code (Rules & Regulations) Search Administrative Rules - Bulk Data download Administrative Rules Terminal - Intranet Administrative Rules Terminal - Public Interface Administrative Site for DMV Branch Reservation and Branch Time (Real Time) Adoption Rate Wizard for Online Services Alcoholic Beverage Product & Retailer Search Alerts Mini-Portal (AMBER alerts, statewide weatherrelated emergencies) Alligator Hunt Draw Alligator Permits Alcohol Tobacco Commission Bulk Data Download AMBER Alert Web Site with Administration American Recovery and Reinvestment Act Transparency System Animal Care & Control Online Donation Animal Record Reporting Administration & Public Areas Animal Resource Database System Animal Shelter/Rescue License Plate Request for Funds Annual Asset Forfeiture Report Application Annual Business Filings Annual Business Renewal (ABR) Annual Business Renewal (ABR) Reinstatements Annual Meeting Registration Any Deer Permit Application Any Deer Permit Swap Service Appliance Rebate Program Applicant Status Check / Fingerprint Harvester Location Search Application for Membership in a Negotiated PENNSYLVANIA INTERACTIVE, LLC Page 162

259 Alphabetical Catalog of Existing NIC Services Agencies and Localities - SAT, HIPAA, MOAT, Enhanced Vault, Situational Preparedness Sharing System Agency Letters/Rules and Regulations Agency Moving Violations Record Interactive System Agency Public Calendar System Agency Showcase Widget Agency Website Consulting, Design, and Implementation Agent Hunting & Fishing License Online - ipos Agricultural Lien Debtors & Creditors Filing System Agriculture Product Registration Air Quality Data Search & Monitoring Aircraft Registration Renewal Aircraft Registration System Alcoholic Beverage Control e-citations System Alcoholic Beverage Control Permit System Alcoholic Beverage Law Enforcement Licensing Application Rulemaking Committee ARRA Energy Efficiency Rebates ARRA Stimulus Funds Data Repo Arts Calendar of Events Arts Commission Interactive Website Arts Council - egrants Arts Council - Online Grant Rating Process Attorney General Opinions Search Attorney Search ATV & Snowmobile Registration Authorization and Authentication Web Service Auto Salvage Site Search AutoForms (form creation tool for customizing forms) Automobile Dealer Collection Awarded State Contracts Database Search & Retrieval B. Banking & Financial (Mortgage Brokers and Loan Originators) List Download Banking and Financial Lookup Banking Department Actions & Orders Database Search Bar Association Shopping Cart Batch Driver License Record Search Batch Driver's License Header Records Batch Moving Violation Records Batch Vehicle Title and Registration Records Beer Wholesaler Reporting System Benefits Calculator Best of State Award Nomination Application Bid Package Download Bid Packet Request Bid Proposal List Bid Watch Bill Conferee System Bill Info System Bill Subject Index Bills in Conference Birth Certificate Online Order Form BizFile (Meals & Rooms, Sales & Use, Withholding, and Local Option Tax) Blog portal Board for Depositories Quarterly Reporting Board of Accountancy Applicant Exam Application Board of Architects - Continuing Education Tracking Utility Board of Dentistry Board Member Online Vote Board of Dentistry Jurisprudence Exam Boiler Pocket Cards Boiler Roster Download Bookings (hotel, auto rental, flights, more) Bow Hunt Registration Branch Locator (GIS mapping) Breathe Easy Program Portal Bridal Registration Form Bridge Restrictions Service Broadband Initiative Portal Broadband Mapping Portal Brochure/Survey - Administrative Tool Broker Examination Retake Application Bug Tracking System Building Design Permits Building Plan & Fee Payment System Bulk Alcohol & Tobacco Data Download Bulk Court Document efiling Bulk Forms Ordering Bulk Property Records Search Bulk Registration for CPAs Bulk Renewals for Law Firms Bulk UCC Data and Business Entity Service Bureau of Insurance Survey Center Bureau of Narcotics and Dangerous Drug Control Online Registration System Burn Permits Business - Add Location to an Existing Business Business & Licensee Complaints History Search Business Answers Solution Business Card Request/Update PENNSYLVANIA INTERACTIVE, LLC Page 163

260 Alphabetical Catalog of Existing NIC Services Board of Examiners for Long Term Care Administrators - Business Change of Address Complaint Form Filing Business Closure Notification Board of Medical Licensure & Supervision Bill Pay Business Complaint Database Search System Business Complaint Topic Selector Board of Nursing - Complaint Form Business Directory for State Board of Pharmacy - Online Store Business Entity Authentication Validation Board of Public Education Agenda Requests Business Entity Bulk Download Board of Social Work Back Office/Administrative Business Entity Certificate of Existence System Business Entity Certificate of Letter of Good Standing Board of Tax Appeals Opinions & Docket Business Entity Dissolution/Cancel/Withdraw Board of Test for Alcohol & Drug Influence CMS Amendment Account/Website Business Entity Formation Board of Tests for Alcohol & Drug Influence - Ignition Business Entity List Builder Interlock Technician Renewal Application Business Entity Name Reservation Board of Tests for Alcohol & Drug Influence - Initial Business Entity Name Search Operator Permit Application Business Entity Report Filing Board of Tests for Alcohol & Drug Influence - Intoxilyzer Business Entity Search - Image Search Permit Renewals Business Entity Search Mobile Board of Tests for Alcohol & Drug Influence - Renewal Business Entity Special Search Payment Module Business Image Transfer Service Board of Tests for Alcohol & Drug Influence Ignition Business Information Search Interlock Management System Business One Stop Registration Information Board of Veterinary Medical Examiners - Online Store Business Procurement Certification Data Integration Boards & Commissions Appointment System System Boards & Commissions Directory Business Registered Principal Search Boards & Commissions Online Application Business Registration Information Change Boat Owner Database Business Reporting for Unclaimed Property Boat Registration Renewal Business Tax Express Boiler Inspection & Certificates Online Payment System Business Tax Filing (CDLE) Business Tax Registration - Add Tax to an Existing Boiler Invoice Payments (Permits) Business Businesses Perform Privilege, Shares & Extension C. Campaign Contribution & Expenditure (CC&E) Advanced Financial Disclosure Search Campaign Contribution Database Search & Retrieval Campaign Contribution Filings for Legislators and PACs Campaign Statement for Candidates and Ballot Questions Campground Reservation System Candidate Filing Candidate Filing Search Candidate Registration & Upload Candidate Reporting Capital Improvements Project Capitol Tour Request Career Information System Subscriber Information Career Opportunities System Survey Form Career Portal Case Management User Register Computer- Assisted Mass Appraisal (CAMA) Interactive Service Computer- Assisted Mass Appraisal (CAMA) Special Reports Computer Crimes Alliance - Incident Reporting System & Tracker Concealed Handgun Carry License Database Concealed Handgun Carry License Renewal Application Condominium Association Registrations Conference & Training Registration Conflict of Interest -- Registry Administrative Tool Connect Care Roster Search Connect Portal (Mobile & Social Connections Tools) ConnectCare Change my Doctor Conservation Commission - Water Quality Data System Conservation Commission Portal Conservation Easement Registry PENNSYLVANIA INTERACTIVE, LLC Page 164

261 Alphabetical Catalog of Existing NIC Services Case Manager Online Subscription Services Cash Register Cattle Brand Re-records Certificate of Good Standing Mobile Certificate of Good Standing Search-Remote Printing Certification Payments Certified Bulk Wheat Grower / Dealer & Retailer List Certified Minority Business Search Certified Nursing Aide & Home Health Aide Registry Charitable Organization Search Charitable Organizations Registration Search Charities Search Charity Annual Registration Fee Payment Chartered Bank Database Search Chartered Credit Union Database Search Chartered Savings & Loan Search Chartered Trust Company Search Child Care Attendance Submission and Reimbursements System Child Care Facility Lookup Child Find Brochure Ordering Child Find Surveys Child Labor Certificate Child Support Enforcement Agency Interactive Online System Child Support Estimator Child Support Evaders Administration Child Support Order Review Survey Child Support Payment History Child Support Payment Notification Child Support Payment Portal Children's Health Insurance Program (CHIP) Online Application Children's Health Insurance Program (CHIP) Online Application Renewal Children's Health Insurance Program (CHIP) Payments Children's Health Insurance Program Payments Children's Trust Fund Donation Site Cigarette License Renewal Citizen Alert System Citizen Awareness Conference Registration Citizen Portal Task Search City & County Business Tax Batch Payments City & County Business Tax Payments City & Town Database City Employment Application Form City Fall Clean-Up permits City Online Bill Pay City Online Employment Application City Online Warrant Payments City Water Payments Construction Continuing Education Construction Fee Tax Payment Consulting Foresters Directory Search Consulting Service Request Form Consumer Use Tax Consumer Vulnerability Survey Content Management Consulting, Design, Implementation, & Support Content Management Web Parts, Widgets, Modules Continuing Education Activity Log Continuing Education Renewal Continuing Education Unit (CEU) Search Contractor Hours Tracking System Contractor Illegal Immigrant Certificate Contribution & Expenditure Search Controlled Hunting & Fishing Credit Card Module Controlled Substance Registration & Renewal Coroners Investigative Reporting System (CIRS) Corporation Batch Special Request Corporation Bi-Monthly Batch Search & Retrieval Corporation Commission Automated Trucker Citation System Corporation Fictitious Name Search Corporation Occupation Tax Reports Corporation Subordination Resolution Corporations Bulk Download Correctional Industries Catalog Correctional Industries Payment Module Application Correctional Offender Network - Adult Offender Database Correctional Offender Search Corrections Employment Application County Boards & Commissions Administration & Reporting System County Business License Check County Detention Center Inmate Template County Directory County District Court Integrated Court System Addition County Hot Check Payments County Limited Criminal History County Lobbyist Registration County Map Module County Motor Vehicle Registration Renewal County Needs Assessment County Online Monthly Real Estate Listing County Property Tax County Property Value Assessment Lookup County Sewer Payments County Sheriff's Department Sold Listing Course Management Application Program Course Registration & Payment PENNSYLVANIA INTERACTIVE, LLC Page 165

262 Alphabetical Catalog of Existing NIC Services City/County Directory Search Civil Court Cases Access Civil Court Judgment Detail Civil Court Name Search & Case Summary Civil Court Summons Service Search Civil Court Tax Satisfaction Civil Court Tax Warrant Search Civil Penalties - Board of Nursing (BON) Civil Resource Violation System Clean Air Information & Violator Reporting System CMS - Photo Gallery Template CMS Authentication/Authorization Module Cold Case Files Portal Collaboration Tools (Wikis, Blogs, Vlogs, Message Boards, Project Workspaces, Dashboards and Reporting (KPIs), Communities, Instant Messaging, Video Chat, Social Integration) Collections Calculator Commerce & Consumer Affairs Bulk Data Sales Commerce Data Web Service Commercial Boating Registry Commercial Clerk & Commercial Registered Agent Online Listing & Management Service (MoRAA) Commercial Driver Alcohol & Drug Testing Results Database Commercial Driver License Third Party Testing Commercial Fishing Reporting Filing Online Commissary Payments Commission for Teacher Preparation Portal Communities Database Computer Assisted Approval & Tracking System (CAATS) Permit System Court Document efiling Court Fine Payments Court Hearing Scheduler Court Opinions Upload Court Publications Order Form Court-assigned values for missing or invalid Social Security Numbers CPA & Firm Custom List Service Crash Report Bulk Data Crash Report Service Credit card payment processing for state agencies Criminal & Juvenile Justice Planning Detention Center Application Criminal & Juvenile Justice Planning School Liaison Application Criminal Background Checks Criminal Convictions Online Criminal Court Case Summary Criminal Court Name Search Criminal Court Party Booking Detail Criminal Court Tickets Payment Criminal Injuries Compensation Foundation - Online Payments Criminal Justice Directory Current Features Module - Personalization Custom Content Management System for Agencies Customer Management Billing System (CDB) Customer Self Service System - Employers Customer Service Intranet Customizable Portal & Notification Services Personalization D. Daily Crash Report Tracker Daily Legislative Bill Packets Dangerous Dog Registry Data portal Data Share Download (Datasets Searchable by Category, Agency, and Keyword) Debt Collections Debt Collector Registration Debt Reporting Database Delayed Deposit Service Company Database Search Delinquent Citation Collection System Dentist Board Nominating Voting System Department of Education Directory Designation of Trustee Filings and Search Development Disabilities Services Incident Report Filing Digitally Certified Driver License Record Search DMV Branch Appointment Reservation DMV Branch Time Real Time (Wait Time) DMV Subscriber Audit Tool Document Library Documented Employer Registry Dog Licensing and Renewal Domestic Violence Assistance Search Donate Life Registration and Payment Portal Donation Application and Payment Donation Application and Payment Site Drinking Water Testing Results Search Driver License Address Change Driver License Practice Tests Driver License Reinstatements Driver License Reinstatements Inquiries Driver License Road Test Appointment System PENNSYLVANIA INTERACTIVE, LLC Page 166

263 Alphabetical Catalog of Existing NIC Services Digitally Certified Registration Record Search Digitally Certified Title & Lien Record Search Directory Download-Physical Therapy Board Disadvantage Business Enterprise Orientation "Disclosure by Members of the General Assembly (DMGA) Advanced Search " Disclosure Query Applications Dissolutions - for profit Dissolutions - not for profit District Attorney's Council - Interactive Map District Attorney's Council Portal District Courts Records Searches Division of Mental Health & Addiction ICOPE (Opioid Patient Registry) Driver License Status Inquiry Driver License/ID Renewal or Replacement Driver Operating Records Search Driver Record Monitoring Driver Record Search Public Driver Watch/Monitoring Driver's License Office Locator Driver's License Records Search Driver's Permit Practice Exam Driving Test Schedule System for Students Drycleaner Registration Renewals Drycleaner Verification Duplicate Vehicle Registration Dyed Distillate Excise Tax Reporting E. E911 Public Safety Addressing Officer Search E911 Public Safety Funding Submissions E911 Public Safety Kids Page Economic Development Generating Excellence (EDGE) Portal Economic Recovery & Accountability Website Economic Success through Minority Empowerment Summit Conference Registration edemocracy Portal EDI (Electronic Data Interchange) Sales Tax EDI Trading Partner Profile Education & Training Choices Education Cabinet Searchable Database Education Conference Registration Education Director's Memos Education Network Education Portal Educator Background Check Effective Financing Statement Interactive Search & Retrieval Effective Financing Statements Continuations & Terminations Effective Financing Statements Original Filings eforms, Administrative Statewide Information System (AASIS) egov News Report egov Services Template egovernment Exchange Initiative (REX) RSS Parser egrads Eighth Grade Citizenship Award Nomination Form Elected Officials Directory Search Election Countdown Utility Election Database Administrative Site Election FAQ Emergency Management - Training Calendar Emergency Management - Weather Notification System Emergency Management Portal Emergency Medical Services Renewals Emergency Resource & Responders (GIS Service) Employee Satisfaction Survey Employees Benefits Council - Flexible Spending Application Employees Benefits Council - Insurance Benefit Online Information Access Employer Contribution Posting for Retirement Funds Employer Tax Registration Module Employer Tax Withholding Filing/Payment Employer's W-2 Electronic File Capture/Upload Employment Commission - Job Seeker Application Employment Commission Benefits Claim Employment Commission Continued Claims Employment Security Commission Portal End of Life Registry (Advanced Directives) enewsroom Enforcement Query System (EQS) Engineer Reciprocity Licensure Enterprise Online Mall Enterprise Payment Interface for Localities Enterprise Shopping Cart Enterprise Survey Entomology database query Entrepreneurial Ex-Offenders - Form Submission Environmental Services Product Renewals EnviroSchool (Environmental Conditions & Risks Scan) E-Postcards Equal Employer Opportunity (EEO) Conference Registration System erecording of Conveyance Documents PENNSYLVANIA INTERACTIVE, LLC Page 167

264 Alphabetical Catalog of Existing NIC Services Election Information System (including county reporting) Election Night Reporting With Election & Registration System Election Results Elections Filing Electrical Permit Search Electrical Permitting & Inspection System Electrical Self Certification Permitting Electrician Continuing Education Hours Search Electronic Bench Warrants System Electronic Campus Electronic Data Interchange Web page & Advisory Updates Electronic Death Registration Systems Electronic Newsletter & Listserv Elk, Turkey and Deer Special Permits a Legislative Bill Campaign System for Agencies Emergency Contact Information Errors & Omissions Certificate of Equivalent Coverage Form Escape Alert System Estimated Tax Filing & Payment estudents College Admissions Utility Ethics Commission Advisory Opinions System Ethics Commission Portal Event Registration & Management System Event Ticket Sales Excise (Sales) Tax Filings Excise Tax Extension Exercise Program Registration for Schools Expenditure Budget Voting System Expired Inactive Corporation Renewal Express Lanes (HOV Use Stickers) Extra Income Disclosure (EID) Advanced Search F. Facebook Widget Family College Savings Family Dependence & Self Sufficiency Online Application Farm Products Search Fatal Crash Summary Report Upload Fatherhood Forum Fax-On-Demand/ On-Demand Application Federal Surplus Property Search Federation of Tax Administrators Conference Registration Feedback Form for Websites and Online Applications Felony Offender Information Lookup File Transfer (quarterly wage and contribution data files) Filing of Unemployment Benefits Online & Weekly Certification of Benefits Filing Review System Film & Music Office Portal Financial Assistance Sewer Connection Payments Financial Disclosure Quick Search Find A Lawyer Find a Legislator Online Find a Women Infants & Children (WIC) Clinic Near You Find Help Find Your Elected Official Fingerprint Form Request Fingerprint Payments for Foster Families Fire Department Search Fire Standard Compliant Cigarettes Firefighters Pension & Retirement System - Secure File Transfer Application Firefighters Pension & Retirement System Portal Fireworks Display Approved Permits View application Fireworks Display Permit search Fireworks Permits Firm Registration First Dog Photo Contest First Lady Scheduling Request First Lady's "Celebration of Hope" First Lady's Shopping Cart First Offender Probation Request Check Fishing Report Fleet Management Calculator Fleet Trailer Registration Renewal Fleet Vehicle Reservation FOIA (create & update public records request) Food Establishment Permit Renewal Forestry Products Search Forestry Seedling Sales Forestry Tree Book Sales Forestry Vendor Directory Search Franchise & Excise Tax Franklin County Online Payments Frequently Asked Questions Admin Frequently Asked Questions Tool PENNSYLVANIA INTERACTIVE, LLC Page 168

265 Alphabetical Catalog of Existing NIC Services Fire Alarm Inspectors Database Search Fire Chief/Department Database Search Fuel Tax Transfers Full Fee Registration Renewal for Motor Carriers G. Gambling Child Support Intercept Search Game Check Reporting System Gaming Compliance Unit- Tribal Gaming Payment & Reporting Applications Get Healthy Kentucky Logo Vote System Go Green Online Services Savings Calculator Golf Contact Form Governor Recognition Service Governor Appearance Requests Governor Budget Balancing Tool Governor Listserv Newsletter Governor's Arts Award Registration Governor's Conference Registration Governor's Council on Physical Fitness & Health - Fitness Scorecard Application Governor's Council on Physical Fitness & Health Portal Governor's Electronic Messaging System (GEMS) Mailing list Governor's Excellence in Wellness Award Governor's Honor Academy Application Governor's Internship Program Intern Application & Search Governor's Mansion Merchandise Sales Governor's Mansion Virtual Tour Governor's Office Constituents Contact Governor's Office for Local Development Local Issues Conference Registration Governor's Office for Substance Abuse Prevention - Google Search Governor's Office of Highway Safety Task Force Reporting Governor's Office Unbridled Spirit Award Governor's Office: Boards & Commissions Nominator Governor's Online Requests System Governor's Press Calendar Governor's Residence Website Governor's Scholarship Program Governor's School for Math & Science Application Governor's School for the Arts Student Application GovPay GovPay Admin Website Grant Division Match Calculator Grant History Application Grantee Reporting Program Grants Portal Great Outdoors Website & Application Green & Healthy Schools Progress Tracking Tool Green Team Feedback Ground Water Quality Regulation System Ground Water Search H. Handbook Sales Happy Birthday Baby Coupon Book Order Form Harvest Information Program Online Survey Harvest Information Reporting (HIP) Hazardous Materials Endorsements for Motor Carriers HAZMAT Submissions Application Health & Substance Abuse Portal Health Alert Network Health Care Provider Search - Bulk Download Health District Donation Site Health Exchange Video Portal Health Insurance Exchange Agent Search & Mapping Health Occupations Credentialing Criminal Record Check Health Professions Notification Service Healthy Citizen Scorecard Healthy Community Resources Search Healthy Guidebook Order Form Highway Patrol & Safety Inspection Highway Patrol Crash Logs Highway Safety Office - Online Educational Library Highway Safety Office (OHSO) - Mobilization Reporting Application Highway Safety Office Portal Historic Architectural & Archaeological Research Database (SHAARD) Historic Photograph Sales Historical Marker Database Historical Society - Gift Store Product Search Historical Society - Online Research Request Historical Society Archives Search Historical Society County Atlas Book Search Historical Society Library Catalog Search Historical Society Memberships Holiday Capitol Lighting Fund Donations Homeland Security Threat Level PENNSYLVANIA INTERACTIVE, LLC Page 169

266 Alphabetical Catalog of Existing NIC Services Healthy Restaurant Search Homeowner & Contractor Electrical Permits Healthy Success Story Database Homestead Database Search Healthy Trails Search Homestead Declaration & Property Tax Adjustment Heating & Air Conditioning Renewals Claim Heating & Cooling Permitting Homestead Refund Claim Help Desk Processing Functions Hospital & Fiscal Report Filings Help Your Neighbor Housing Resource Commission: Lead Inspection Helpful Hints Module Certificates High School Counselors Annual Report Submission Human Rights Commission Website Higher Education Assistance Authority Online Payments Hunter Education Certification Search Higher Education Commission POSTSEC Monitoring Hunter's Education Duplicate Cards System Hunting & Fishing License - Online Phone Sales Higher Education Survey Hunting & Fishing Licenses Hunting Permit Management System Hunting Permits Hygienists Board Vote Application I. igov (Participate in democratic process & connect with elected officials) Image Conversion Utilities & Applications Image Retrieval of Available Livestock Brands Imaging & Imaging Support Systems Immigration Law Training Registration Impound Vehicle Impound Vehicle Tow Company Entry Inactive Status Filing, Home Builders Income Setoff Program Income Tax Extensions (bulk) Income Tax Refund Status Report Income Tax Withholding Filings Income Taxes Online Incumbent Workers Training Grant INDebt (search Revenue tax warrants) Indian Affairs Commission Portal Indigent Defense Commission - Online Searchable Attorney List Indigent Defense System Portal Individual Authorization to Perform Attest and/or Compilation Services Renewal System Individual Change of Address Individual Sewage Disposal System (ISDS) Search Individual Tax Extension & Payment (IT-9) Individual Training Account Search Individual Wastewater System Filing Individual Wastewater System Filing Industrial Relations, Merchant Services Information Security Incident Reporting Information Technology & Telecom Budget Reporting Initial Application Download & Payment Initial Facility Permitting Inmate Database Bulk Download Inmate Locator INShape Health Profiles Inspection & Completion Card Inspection Report Installment Loan Company Database Search Insurance Adjuster Emergency Contact Form Insurance Continuing Education Information Submission Insurance Coordinator Training Registration Insurance Department - Closed Complaint Reconciliation System Insurance Department - Insurance Agent Bulk Data Extract Reporting System Insurance Department - Request for Assistance Application Insurance Department Insurance Intelligence Quiz Insurance Department Portal Integrated Criminal Justice Portal Integrated Data System Interactive Archives Search Interactive Corporate Services Interactive Data Analysis Tool Interactive State Library Full-Text Databases Interactive Virtual Tour Internal Agency Legislative Bill Tracking System International Airport Flight Information International Fuel Tax Agreement (IFTA) Filings Report Generator International Fuels Tax Filing/Payment (IFTA) International Registration Plan (IRP) Supplemental Filings & Renewals Internship Job Application PENNSYLVANIA INTERACTIVE, LLC Page 170

267 Alphabetical Catalog of Existing NIC Services Initial Filing of Unemployment Benefits Online Injury & Illness Data Collection Module Inland Fisheries & Wildlife Special Request Inmate Banking (ConBuck) & Pre-pay phone deposits (Online, Mobile & IVR) InTouch (Constituent Notification System) Invoice Payments iphone Accessible Portal iphone Professional License Verification IT Inventory System IVR Vehicle Registration Renewal State Student Assistance Commission ixchange J. Job Listings Job Search Job Works Job & Education/Training Search (Online & Mobile) Jobs Summit Registration Johne's Disease Cost Calculator Journey Through Justice Educational Interactive Website Judicial Courts Mediator Search Judicial Courts Search Engine Judicial Opinions Archive Jurisprudence Exam Jurisprudence Exam Revision Jury Pool Information System JUSTICE One Time Online Court Records Search JUSTICE Online Court Documents Search JUSTICE: Online Court Case Calendar Search Juvenile Justice Information Sharing System K. KeepMeWell Health Assessment KidSafe Tip Submission Knowledge Lesson Plan Search L. Land Surveyor Certificate of Authorization Renewal Service Land Title Records Landowner Registry for Nuisance Wildlife Late Filing Penalty payment Laws & Administrative Rules Look-up/Review Legal Plan Seller Registration Legislative Calendars Legislative Committee Hearing Information Legislative Division of Post Audit Report Query Application Legislative Enrolled & Signed Bills System Legislative Ethics Filing System Legislative Information & Reporting Legislative Lunch Reservation Legislative Multi-Bill Tracking Legislative Post-audit Legislator Search Legislature Journals Letter to Santa License Bulk Download - Insurance License Plate Gift Certificate License Plate Re-issue Licensing Litigation Limited Liability Partnership Annual Reports Liquor Certificate of Compliance Liquor License Renewals Liquor Licensee Database Search Live Chat (24 x 7) Livestock Brand Book Database Search LiveWell Survey Lobbying Activity Filing & Public Disclosure Lobbyist Advanced Financial Disclosure Search Lobbyist Expenditure Report Application Lobbyist Gift Report Filing Lobbyist In A Box Lobbyist Name Search Lobbyist Registration Disclosure System Lobbyist Subject Search Local Business License New & Renewal Local Government Audit Information Database Search & Retrieval Local Government Budget Information Database Search & Retrieval Local Government Investment Pool Local Government Point of Sale Payments Local Government Reporting Application Local Issues Conference Registration PENNSYLVANIA INTERACTIVE, LLC Page 171

268 Alphabetical Catalog of Existing NIC Services Lieutenant Governor's Constituent Contact Form Application Limited Criminal History Search Limited Liability Company Biennial Filings Limited Liability Company Subordination Resolution Local Officials Search Location Aware Services (Portal and Mobile) Lodging License Renewal Logo Design Lottery - Dynamic Posting of Winning Numbers M. Magazine Sales Mailing List Ordering Mallard Sponsorship Mandatory Continuing Legal Education Mail form Map Local Farm Market Search Mapping Arkansas Progress (MAP) Maps - State, County, City Resources Marginal Wells Commission Portal Marine Corps Heritage Foundation Marine License Renewal Marine Resources Point-of-sale Market News Service - Constituent Notification & fax service Marriage Records Mashups Mass Mailing Service (CE & Cizer) Mass Unemployment Benefit Claims Master Permitting Measurement Standards & Device Licensing Measuring Device Registration Form Mechanical (Pipefitters, Refrigeration, Sheet Metal, and Sprinkler Fitters) Media Publications Search Mediator Approval Application Mediator Continuing Education & Biennial Reports Mediator Records Administration Medical Doctor & Physician Assistant Bulk Data Sales Medical Licensure - Employer and Practice Detail Update Medigap Premium Comparison Tool Membership Application Membership Renewal, Bar Association Mental Health Plan Provider Search Merit Protection Commission - Online Filing System Merit Protection Commission - Workflow Management Application Merit Protection Commission Portal Message License Plate Availability Search Meth Offender Registry Metro Animal Services Pet License Mileage Saver - Services Savings Calculator Military Nurse Renewal Mini-Code Application Minority Business Enterprise Database Search Minority Business Entity Reporting Services Minority Business Entity SWAM Certification Minority Business Filing & Reporting Missing Person Search Mobile Home Registrations Mobile Portal Mock Elections (Schools) Modular Building Plans Submission Monthly Listing of New Incorporations Monthly New Sales Tax Permit Listing Monthly Gas Payments, to Gas Board Moose Permit Mortgage Bankers Database Search Motor Carrier Application Motor Carrier Call-in Payment Processing Application Motor Carrier Information Exchange Motor Carrier Permits Motor Fuel Decal Requests Motor Fuels Active Licensee Database Search Motor Fuels Active Retailer Database Search Motor Fuels Canceled License Database Search Motor Fuels Terminals Database Search Motor Vehicle Commission CMS Account/Website Motor Vehicle Verification System (CDPS) Motor Voter -- Driver's License Voter Registration Motorists Insurance Identification Database (MIIDB) Multimedia Gallery Multimedia Manager Multimedia Portal Multistate Reciprocity System Municipal Data Transfer Municipal Tax Payments Mutual Aid Frequency Permits My Account N. PENNSYLVANIA INTERACTIVE, LLC Page 172

269 Alphabetical Catalog of Existing NIC Services National Guard Program Services Natural Resources Foundation Donation Naturalization Database Search Near Me GeoIP Nepotism Reporting New Business Entity Registration New Guide Licenses New Hire Reporting New Product Registration News Center NFL License Plate Auction NIC Payment Engine - Over-the-Counter, Online, echecks, Credit Card No CallL Registration No Discharge Compliance Program No Pass / No Drive Nominations for appointments to Boards & Commissions Offender/Correctional Database Search Off-Highway Vehicles Out of State Registrations Office of Disability Concerns Website Office of Enforcement Monthly Actions & Orders Office of Home & Security - Red Dirt Ready Portal Office of Homeland Security - Regional Map/Message Board System Office of Homeland Security - Training Calendar Office of Homeland Security Portal Office of Juvenile Affairs Portal Office of State Finance Filing System Office of State Finance Portal Office of State Finance Service Catalog Office of the Lieutenant Governor Portal Officer Name Search One Stop Business Resource Online 1099 Form Online Application Survey Online Class Registration Online County Map Module Online Court Reporting System Online Event Registration System & Payment Non Coverage Certificates Non-Game Fund Donation Application Non-Merit Employee Nonprofit Corporation Biennial Reports Non-traditional Teacher Licensure Application & Payment Notary Exam Notary Public Commission Renewal Notification Module Number of Students & Protection Fund Reporting Nurse Aide Registry Nurse Managers Workshop Registration Nurse Status Watch Nursing Annual Report Filing Nursing Database Download Nursing Exam Results Searches Nursing Feedback Survey O. Online Form Builder Online Lt. Governor Schedule Request Form Online Medicaid Enrollment Submission Tool Online Store Online Survey Tool Online Town Hall Online Training Application Online VQAS (Sign Language) Performance Test Registration Open Government Checkbook Transparency Open Government Financial Records Search OpenBooks Portal OpenBooks Tax Credit Public Search Utility Organ Donor Registry Outdoor Game Check Suite (IVR, Online, iphone, Mobile) Outdoor Magazine, Subscription Services Overlimit Multi-State (Consortium) Permits Oversize Overweight Trucking Permits Over-the-Counter Payments Overweight/Over Legal Permits Ozone Real Time Data P. Pardon Status Lookup Park Pass Sales Parking Ticket Parks & Lands Search Parks Accessibility Guide Parole Violator Listing Prevailing Wage Survey Primary Care Network (PCN) Online Application Principal Search by Business Entity Print-On-Demand Temporary Vehicle Tags Probation & Parole Fee Payments (Online, Mobile, Kiosk & IVR) PENNSYLVANIA INTERACTIVE, LLC Page 173

270 Alphabetical Catalog of Existing NIC Services Partnership Subordination Resolution Pavement (Road Conditions) Lookup Pawn Shop License Renewal Payroll W-2 Electronic File Capture/Upload Penalty & Interest Calculator Performance Evaluation Effectiveness (PEEP) Permit Renewal, LP Gas Board Permit Search Permitting: Right of Way Personalized License Plate Lookup Personalized License Plate Reservations Personnel Cabinet Employee Survey Personnel Cabinet Insurance Coordinator Training Registration Personnel Referral Center Pesticide Applicators Exam Request Pesticide Complaint Search Pesticide New & Renewal Update (Including Label Revisions) Pesticide Product Registration Pesticide Reporting Utility Pesticide Training & Registration Pet Licensing Petition for Negotiated Rule Making Pharmacy Permit Renewal Pharmacy Print Technician Certificate Pharmacy Technician Bulk Data Phone Directory Update Module Photo Contest Photo Gallery Physical Therapy Jurisprudence Exam Plumbing Permitting Point of Sale Administrative Reports Point of Sale Hunting & Fishing Licensing Police Incident Report Search Police Officers' and Firefighters Pension Calculator Police Pension and Retirement System Portal Police Pension Plan Contribution Application Police Reports & Public Records Ordering Political Action Committee Reporting (PAC) Financial Disclosure Advanced Search Political Action Committee Reporting (PAC) Reporting Polling Place Look-up Portal Mapping Portal Online History Stories Portal Redesign Services Portal RSS Feeds Portal Weather Portal Web Parts / Widgets Portal Widgets Practitioner List Sales Proclamations Request Form Procurement Bid Tabulations Procurement Office Regulation Clearance Express Product Bulletin for Agencies & Localities Professions, Trades and Events License Registration, Renewal, Verification, Search and Bulk Information System (400+ Licensing Boards/Commissions; 1,000+ Total License Solutions) Professional Consulting Services 25K Contract Reporting Professional Consulting Services Contracts Reporting Professional Continuing Education Professional Disciplinary Actions Search Professional License Continuing Education Professional Licensing Testing Results Professional Privilege Tax Filing Professional Privilege Tax Batch Filing Professions, Trades and Events License Registration, Proof of Insurance Property Owner Permits Property Tax Mobile Payments Property Tax Payments Property Tax Payments - Batch Property Transfer Tax Returns Electronically Prosecuting Attorneys Institute Conference Registration Provider Service Facilities Renewal Public Assistance Connections Portal Public Disclosure Accountability & Reporting System Public Employee's Retirement Fund Account Public Improvement Project Request Submission System Public Information in a WMD/Terrorism Incident Form Public Internship Program Application Public Key Infrastructure Certificates Public Library Search Public Meeting Calendar System Public Meeting Notice Public Meeting Notice - Legislative Calendar Public Safety Advisory Board Portal Public Safety Answering Point Public Safety WMD/Response Sampling Techniques & Guidelines Public Utilities Commission Electronic Document Filing System Public Utilities Commission Utility Complaint Form Publication Order Publication Sales Pump Installation/Construction Modification Form PENNSYLVANIA INTERACTIVE, LLC Page 174

271 Alphabetical Catalog of Existing NIC Services Preferred Provider Directory Preservation Property Search Press Release System Q. Qualifying Contributions for Clean Election Act Candidates Quality Rating & Improvement System Quarterly Premium Tax Quarterly Statements Quarterly Wage Reports Quarterly Wage Tax Filing System QuickTax Prepaid Wireless Fee R. Race Relations Conference Registration Radiation Control Nuclear Generator Permits Radio Frequency Permitting Radiologic Technologists License Verification Radiology Equipment Registration Rapid Renewal Electronic & Manual Municipalities Real Estate Acknowledgement of Personal Jurisdiction Real Estate Certifications Real Estate Commission - Data Extract Real Estate Commission Continuing Education Submission Application Real Estate Commission Portal Real Estate Continuing Education System Real Estate Database Download Real Estate License Management System Real Estate Re-Instatement Application Real Estate Roster/Mailing Label Order Form Real Estate Trust Manual Online Order Form Real Property Information Search: Property Tax Payments/Property Report/Parcel History/Owner History Real-time Audio Services Recognize Citizens Records Request Form Recovery iphone Application Recreational Permits Recreational Unit Registration Recruiting Career Registry Recycling Locations Redirect Click Counter Refugee Services Website Regents for Higher Education - Guaranteed Student Loan Program Registered Offender Search Registered Principal Search Registration for Free Smoke Alarms Registration Record Search Regulations Watch Rehabilitation Building - Decisions Rehabilitation Building -Interpretations Rehabilitation Council Portal RemindME (Calendar and Event Service) Renewal Express - On The Spot Renewal Express - On The Spot Training Website Report Dangerous Infestations Report of Contributions of Corporation, Union or Associations Report Suspicious Activity iphone Reporting Module Request for notification of What's New Reservation Inquiry Form Residency Verification Resident Agent/Registered Office Amendments Resource Directory (esources) Resource Registry, Child Abuse Prevention & Neglect Responsible Father Registry Restaurant License Renewal Restricted Access Message Board Application Restricted Use Pesticides (RUP) Search Retail Sales Permit Renewal Retention Schedule Search Retirement Calculator Revenue Remittance Reporting Reverse 911 Notification System Reverse Auction RFP Posting Tool Road Repair Request Form Road Test RSS Feeds Rules & Regulations Tracking System Rural Preparedness Summit Conference Registration S. PENNSYLVANIA INTERACTIVE, LLC Page 175

272 Alphabetical Catalog of Existing NIC Services Sailor & Soldiers Database Search Salary Listing Search Sales & Use Tax Filing/Payment Sales Finance Company Database Search Salesperson Examination Retake Application Saline County Court Records Sanctions Search Savings Cost Calculator Scheduling Request Scheduling Request for Fingerprinting Scholars Award Submission School & Institutional Trust L&s Administration School & Institutional Trust L&s Administration Development Group Website School District - Express Line Payments School Report Card Search School/Student Threat Assessment Conference Science & Math Accessible Resource Tool Application Science & Technology - Public Search Utility for Service Providers Science & Technology Online Internship Database Science & Technology Portal Search Tax Licenses Search Tool Search, Industry Records Sales Searchable Properties Database Searchable Sex Offender database Secretary of State (SOS) Point of Sale Secretary of State Business and Commercial Services Management System (SOSBCS) Secretary of State Kid's Page Secretary of State Printable Board Games Secretary of State Road to Maine Laws Animation Section Membership Renewal Secure Password System Securities License Database Search Securities Search Seed Growers Directory Seedling Nursery Seedling Nursery Admin Seedling Sales Seedling Store Seminar Registration Seminar Sign-up Senate Website Seniors Portal Server Licensing Online Service Satisfaction Survey Services Savings Calculator Sesquicentennial Commission Website State Bar Litigation - Calendar & Secured logins State Bar Mandatory Continuing Legal Education (MCLE) Certifications State Bar Mandatory Continuing Legal Education Lookup State Bar Member Demographics Updating State Bar Member Directory & Newsletter Opt-in State Bar Secure Member Access Area State Bid Tabulations Database Search & Retrieval State Board of Licensure for Professional Engineers & L& Surveyors Portal State Business Center State Construction Registry (SCR) State Construction Registry Training video State Employee Charitable Giving (echeck or Credit Card Donations) State Employee Directory Online Order Form State Employee Job Classification & Compensation Evaluation Tool State Employee Suggestion Program State Employees Combined Charitable Appeal (MSECCA) State Employment Application State Enforcement Query System (EQS) State Fire Marshal's Office - Fire Sprinkler Permit Service State History Website State ID Applications State Information Help Desk Interactive Search State Innovation - Calendar State Innovation - Find an Idea State Innovation - Service Map State IT Planning State Jobs Data Download State Judiciary Volunteer Application Submission State Library Event Registration State Library Publication Notification System State Library Research Requests State Media Center State Museum Ticketing Service State Online Data Center State Parks Administration Tool State Police Application: Full Application State Police Application: Letter of interest State Police Diversity Outreach Training Academy Application State Products Website State Question Database State Spending Transparency State Statutes Annotated PENNSYLVANIA INTERACTIVE, LLC Page 176

273 Alphabetical Catalog of Existing NIC Services Session Laws Session Rules, Journals & Archives Severe Barriers Program Kiosk Application Sewer Permitting Sex Offender Bulk Data Download Sex Offender Mapping Application Sex Offender Registry Sex Offender Registry Notifications Sheep & Marketing Transportation Permits Shooting & Archery Management System Shopping Cart Silver Alert Notification System Simple Transfers & Name Change Single Record Purchase Single Sign On Solution Single State Authorities Trucking Renewals Six Weeks to a Healthier You Application Small & Minority Business Precertification Tool Small Business Training Calendar Small Loan & Mini-Code Smart Phone Enabled Websites Smart Start, Fast Finish for Driver's License Smog Watch Social Networking Consulting & Implementation Social Work Bulk Data Sales Solid Waste Facility Quarterly Reports Southern Group State Foresters Conference Special Event Permits Spill Submission Form Spirits & Wine Monthly Wholesale Report Sportsman's Benevolence Fund SR 22/26 Insurance File Upload State Agency Directory State Agency Vehicle Application (SAVA) - State Vehicle Reporting State Annex for Veterinary Emergencies (S.A.V.E.) Application State Audit Report Look-up and Review State Auditor Reports Database Search & Retrieval State Bar Attorney Records Search State Bar Environmental Law Section - Distribution List State Bar International Practice Section - Distribution List State Bar Lawyer Complaint Form Tag Tax Application Tank Search (Registered Aboveground/Underground Tanks) Tax Booklets Request State Surplus Auction State Treasurer Unclaimed Property Listings State University Online Donations State Vehicle Inventory Search State Vehicle Safety (SVS) Statement of Financial Interest (SFI) Advanced Financial Disclosure Search Statement of Financial Interest (SFI) Reporting System Statewide Trailer Registration Renewal (1 & 2 Years) Status Moving Violation Records Step UP Performance Management Application Stimulus Interactive Website Stimulus Website Stolen Vehicle Search Storage Tank Online Payment System Store Module Storm Water Industrial Permits Storm Water Permitting System Streamline Sales Tax Strong & Healthy Portal Strong & Healthy Trails & Community Resources Search Structural Permitting Student Mock Election Results Tracking System Student Vote Subdividers Designation of Representing Broker Subdivision Web Application Tool (SWAT) Submit a Tribute to a Veteran Subscriber Account Summary Subscriber Password Change Subscriber Self-Registration Substance Abuse Reporting System Suggestion Submission Summary of Insurance Business Report Supplemental Motor Carrier Authorization Supreme Court Pre-payables Supreme Court of Appeals Court Opinion Search Supreme Court of Appeals Docket Supreme Court Post-Payables Surcharge Payment Calculator Surplus Disposal Form, Arkansas Administrative Statewide Information System (AASIS) Survey to Address the Presumption Suspected Fraud & Abuse Reporting System Suspicious Activity Reporting Form SWAT Program Portal T. Tobacco Settlement Endowment Trust - Tobacco Stops With Me Testimonials Tobacco Settlement Endowment Trust Fund Tobacco Helpline PENNSYLVANIA INTERACTIVE, LLC Page 177

274 Alphabetical Catalog of Existing NIC Services Tax Estimations Application Tax Express Tax Filing Tax Extensions Tax Modernization Tax Refund Status (Online & IVR) Tax System Tax upload system Tax Warrant Imaging Retrieval System Taxpayer Administrative Portal Taxpayer Relief Information & Address Change Application Taxpayer Validation Teacher Assessment System - Praxis Teachers Retirement Fund (TRF) Interactive Teachers' Retirement System - Teacher's Retirement Benefits Calculator Teachers' Retirement System Portal Telephone Book Search Temporary (120-hour) Trip Permits Temporary Registration Permits Logo Service Terror Alert Notifications There Ought to be a Law Third Party Payment Processor Threat & Risk Assessment Threat Level Notification System Timber Buyer's Search Time Travelers Destination Search Tip line Contact Form Title & Lien Records Search Title & Registration Records Search Tobacco Outlet Compliance Check Search Tobacco Sales Certificate Tobacco Settlement Endowment Trust - Bulletin Board Tobacco Settlement Endowment Trust - Grantee Reporting System Tobacco Settlement Endowment Trust Portal Tobacco Settlement Endowment Trust Tobacco Stops With Me Facts Application Tobacco Stops With Me Portal Tourism & Recreation Department State Parks - Internal Online Store Trademark & Service Mark Bulk Database Trademark Search Trademarks Registration Traffic Abstracts Traffic Ticket Payments Trailer Info Requirement & Reprint Option for Temporary Trip Permits Training Modules Training Organizations Search Training Resource Directory Training Right-to-Know Filing System Transparency Website Transportation Letting List Travel Card Registration Treasurer's Next Generation CD Auction Treasurer s Office Bank Quarterly Reporting Treasurer's Office Portal Treasurer's Taxpayer Profile Treatment Directory Trip & Fuel Permits Trucking Card Request Trucking Portal Tuition Payments Tuition Reimbursement Database Search & Retrieval Turkey Permit Application / Notification Turkey Permit Transfers Twitter Aggregation Portal U. UCC Filings UCC Amendments UCC Batch Filing UCC Batch Weekly Service UCC Bulk download UCC Bulk Image Service UCC Certified Searches UCC Continuations UCC File Watch Notification System UCC Filing UCC Images UCC Imaging - Interactive UCC Interactive Continuation Filings Unclaimed Property Search & Claim System Underground Storage Tank Helper Underground Storage Tank Inspections Underground Storage Tank Operator Training - USTOP Unemployment Appeal Filing Unemployment Insurance Claimant Unemployment Insurance Filing Unemployment Insurance for Employers Unemployment Insurance/Tax Registration/Payment Unemployment Missing Check Unemployment Tax Account Unemployment Tax Determination Unemployment Tax Payments - Batch PENNSYLVANIA INTERACTIVE, LLC Page 178

275 Alphabetical Catalog of Existing NIC Services UCC Interactive Search & Retrieval UCC Interactive Termination Filings UCC List UCC Notifications UCC Periodic Database Dumps UCC Special Request Data Downloads Unclaimed Property Claim Status Inquiry Unclaimed Property Holders Reporting Service Unclaimed Property Reporting Unclaimed Property Search Unclaimed Property Search Unemployment Tax Payments - Interactive Unemployment Update Account Unemployment Wage Protest Unified Carrier Registry (UCR) Uniform CPA Exam Grade Reporting & History System Uniform Incident/Offense Report Application Uninsured Drivers Risk Alert University Dining Service Change University Dispute Resolution Portal University Payment Module Utility Payment Service V. Validate (State ID verification) Vehicle Data Special Request Vehicle E-Liens System Vehicle Emissions Validation Vehicle Monitoring & Renewal Vehicle Tax Estimator Vehicle Title Lien Filing Vehicles Data Conversion Vehicles Posted Roads Search Vendor Registration - Office of State Procurement (OSP) Vendor Registration Application Verification by Registration Number for Nurses Veteran Affairs Portal Veteran's Plate Remake Veterans Remembrance Interactive Site Vetoed Bills Victims Division Match Calculator Violent Death Reporting System Visual Emissions Training Registration Vital Records Ordering System (VROS) Volunteer Registry Volunteer Services Vote the Brand Voter File Voter Registration Voter Registration & Absentee Ballot Application Request for Overseas & Military (Move Act) Voter Registration Inquiry System Voter Verification Voter View Mobile W. Waiverable Citation Payment System Warrant list download Warrant Search Waste Water Operator License Renewal Wastewater Exam Watch Your Car Watchable Wildlife Fund Water Permit Filing Water Resources Board - Water Watch Water Test Kit Water Well Database Search Water Well Decommissioning Form Water Well Registrations Waterfowl Permits Watershed Conference Registration Web Accessibility Subcommittee Portal Web Based Financial Filing Application Web Management Suite - Site Index Web Single Sign-On Website Migration Services Websites & Application Feedback Statistics Look-up Well Drillers' Drought Monitor Graphing Utility Well Drillers' Online Reporting Well Drillers' Well Search Wellhead Protection (GIS) Wellness Tracker Wetlands Search Who's Your Legislator? Widget portal Wiki Permits Wilderness Trail Administrative System Wine Product & Distributor Search Winter Photo Contest Wireless Portal Women's History Month Registration Work Permitting Work Study Program Workers Comp Filings PENNSYLVANIA INTERACTIVE, LLC Page 179

276 Alphabetical Catalog of Existing NIC Services Web Standards Toolkit Web-based Community Buy-Down Questionnaire (flowchart) WebFile WebFile Homestead Claim Webmakers Toolbox CMS Webmaster Resource Website Website Hosting Worker's Comp Opinions Bulk Download Worker's Compensation Claims Search Workers Compensation Commission Opinions Search Workers' Compensation Commission Opinions Search Worker's Compensation First Report of Injury or Illness WQ Stats Write to the Governor WW II Veteran Search Y. YOUniversal Scholarship Application Youth Drug and Alcohol Survey Youthful Driver Monitoring Z. Zip Code Search IV-5.10 Integration with Existing Systems IV-5.10 Integration with Existing Systems Integration with legacy systems is critical to the success of the Commonwealth's efforts to provide web access to government services and information. Decisions regarding whether and how to integrate with Commonwealth back-end systems will be determined for each Work Order. There are two areas of interface to address: data editing and updating legacy data. Data Editing: The decision to use off line or on line transaction verification processing will be determined for each application based upon documented factors related to the impact to existing application processing, protection of data, and changes required for legacy systems. The Contractor will provide the agency with possible methods of data editing. The agency, will determine the method of data editing to be used. Updating Legacy Data: The Commonwealth is responsible for all line-of-business or legacy production database updates. The Contractor will provide the Commonwealth with possible appropriate interfaces. The Commonwealth, will determine the interface from which updates can occur. The update format may be batch data entry record format or an on line transaction that will be processed by the legacy update application or some other method acceptable to the Commonwealth. The Contractor will not manage or host legacy databases and data sets that support legacy applications. PA Interactive understands that providing secure, manageable, repeatable integration methods to Commonwealth systems is critical to the success of the egovernment project. We are committed to bringing our experience in other states, deploying specific technology solutions, and to develop any required custom interfaces to meet the specific integration needs of each Work Order. Integration Technologies Different methods of integration will be utilized by PA Interactive to interface the portal with data sources and line-of-business systems. The appropriate integration method is determined based on PENNSYLVANIA INTERACTIVE, LLC Page 180

277 the capabilities of the target business system and the requirements of the egovernment application. Likewise, appropriate security controls will be engineered for each integration scenario to ensure that the associated Pennsylvania system is optimally protected. Two methods of integration are seen most commonly when integrating with government systems: real-time access and indirect integration through exchange of batch data files. Whenever possible, PA Interactive will utilize real-time integration with backend systems. Doing so ensures that: Online transactions are reflected in real-time to Commonwealth business systems Data synchronization issues do not occur due to latency in data exchange Risk of disclosing sensitive data is reduced since business data is not replicated into local databases Integration services developed by PA Interactive can be reused across the enterprise PA Interactive will work with third party data/service providers and work within their existing integration methods, or implement a new integration method that meets the requirement of the project. PA Interactive has integrated with hundreds of third party services including Facebook, twitter, GIS data stores, and other data providers. We have also securely provided data to approved consumers such as insurance companies and data aggregators. Some of the most common architectures encountered in the government enterprise are: serviceoriented, two-tier, and legacy. Regardless of the type of system integration being performed, SOA best practices will be applied to hide the complexity of the integration from the solutions which are dependent on the integration. Mainframes and other legacy technologies are still widely used across government enterprises. These older technologies can present significant integration challenges when developing egovernment applications using a modern technology stack. Fortunately, there are a number of techniques and tools that can be used to simplify this integration. For instance, mainframe transaction protocols such as CICS and IMS can be used to conduct transactions and retrieve data from mainframes. A less elegant, but widely used approach utilizes mainframe terminal emulation and screen scraping. Regardless of integration approach, PA Interactive will analyze the specific legacy integration scenario and select appropriate middleware components to ensure that a reliable and well performing integration between systems is achieved. As in the previous two integration scenarios, legacy integration will always be hidden behind a local service interface to improve flexibility, security, and durability. Middleware PA Interactive has extensive experience leveraging middleware and EAI products to rapidly produce reliable, high functioning integrations with a plethora of business systems. The best middleware solution can only be chosen based upon careful analysis of each specific integration scenario. Using a SOA allows PA Interactive broad opportunities to leverage middleware products from industry vendors regardless of the technology platform used to develop the middleware solution. For example, in a.net environment we typically deploy integration tools such as Rocket Software s BlueZone HostFront, which enable our developers to expose legacy IBM Mainframe (TN3270) and IBM iseries (TN5250) applications as.net classes or web services, which eliminates the need to develop emulators or custom CICS procedures. PENNSYLVANIA INTERACTIVE, LLC Page 181

278 PA Interactive strives to bring to bear the best middleware solutions available. Accordingly, PA Interactive is always monitoring the middleware product space for opportunities to improve the speed for which we can develop solutions for our partners. Data Editing Our technical staff will work with the Commonwealth during the Work Order development phase of a project s lifecycle to analyze issues around data editing, which would cover, at a minimum, transaction verification, user authentication, personally identifiable information, and other factors. PA Interactive will document the findings in the Work Order Request, and they will be approved by the Commonwealth as part of the Work Order. It is PA Interactive s preference to use on-line transaction verification methods when available. Doing so ensures that an application is always utilizing current, up-to-the-minute information to perform its verification functions. PA Interactive recognizes that this is not always possible due to network, application, and other legacy environment constraints. When using off-line methods, such as batch replication of data from legacy systems to local databases, PA Interactive will ensure that this replication occurs securely and reliably. Controls will be placed around the batch process to ensure the integrity of the data exchange. Furthermore, sensitive data replicated into local data stores will be protected through encryption, one-way hashing, and other appropriate security techniques. Updating Legacy Systems PA Interactive will work with the Commonwealth to define and analyze all legacy system production database changes for implementation by the Commonwealth. PA Interactive will also consult with the agency responsible for the affected system, based upon our experience described above, and will implement the most appropriate interface from which updates can occur as determined by the agency. PA Interactive will document the agency implementation requirements for updating legacy systems for each project in the Work Order. PA Interactive understands that it will not manage nor host legacy databases and datasets that support legacy applications. As with data editing, PA Interactive prefers to utilize real-time update processes when available. Real-time interfaces ensure data consistency for the transaction. When using disconnected update processes, controls will be implemented to prevent and identify data synchronization issues. Additionally, administrative tools and reports will be provided to agencies to allow them to audit and reconcile updates to legacy systems against transaction records associated with the online application. For instance, NIC s proposed payment solution provides agencies the ability to search for transactions based on business domain criteria and view payment lifecycle information for payments associated with that transaction. IV-5.11 Open Data Platform IV-5.11 Open Data Platform The Commonwealth is interested in deploying an open data platform that will provide public access to PENNSYLVANIA INTERACTIVE, LLC Page 182

279 Commonwealth data sets. The Contractor should describe their experience in establishing these platforms and what their approach would be to implement it within Pennsylvania. This functionality should allow Customers to search for or browse public datasets and interact with those datasets in meaningful ways. The solution should give any user the ability to view, search, sort, filter, and download public data. It must have built-in capabilities for data discovery, advanced data visualization (e.g. graphs, charts, maps), data download in various formats (e.g.,.csv,.pdf,.xls,.xlsx, rss,.xml, KML, etc.), multi-tier analytic reporting on data usage and allow state agencies to publish data for public use or only for internal use by other state agencies. The data discovery website solution also must support civic engagement (e.g. ability to comment on/suggest additional datasets), and third party application development via an open, standards-based application programming interface (API). The platform should: Be an easy to use platform that allows any Commonwealth agency to quickly and easily upload public datasets for additional consumption. Allow data to be easily searched, downloaded in multiple formats, visualized (including maps, charts, graphs etc) and socialized using an embeddable social data player. Allow Commonwealth agencies to publish data for public consumption or private consumption Offer Commonwealth public data to researchers, analysts, scientists, economists, programmers and journalists in a broad array of machine-readable formats including XML, CSV, JSON, XLS, KML, as well as programmatically via an Application Programming Interface (API). Allow the user to access interactive datasets with discovery and search capabilities. Allow the user to easily re-purpose data into other websites. Allow the public to access data programmatically through standardized APIs. Provide a standardized way to easily download data in multiple formats ((e.g.,.csv,.pdf,.xls,.xlsx, rss,.xml, KML, etc.). Include social networking and data collaboration functionality. Allow Customers to suggest/nominate potential datasets to publish to the site. Allow agencies to have access to multiple datasets/data feeds and enable them to create dash boards and common reports via the aggregation/combination of disparate datasets. Allow agencies to provide and maintain consistent access to authoritative datasets. Provide advanced performance metrics to show how data is being accessed and disseminated across the web. PA Interactive will use a third-party solution for delivering the requested open data platform. In Pennsylvania, we will utilize the expertise of the leading open data services provider for government, Socrata ( as a subcontractor. NIC recently deployed an open data platform with Socrata as part of our egovernment partnership with the State of Oklahoma. In 2010, the Oklahoma Legislature passed legislation that required the development of an open data platform for the State. The bill was signed and became law in November NIC engaged Socrata under our master contract for egovernment services in the State and deployed the legislatively-mandated open data site data.ok.gov in January In addition to deploying their open data solution, Socrata provided training and design services in advance of the initial launch. NIC is currently working with the Hawaii CIO s office on the data.hawaii.gov project using the Socrata platform. NIC also supports the Socrata deployment in Oregon. Socrata makes data readily accessible over the Internet, in a form that maximizes comprehension, interactivity, participation, and sharing. Socrata calls this social data discovery, and they have engineered their Social Data Platform for delivering citizen-friendly and machine-readable data on government data sites around the world. Socrata was recently selected by the General Services Administration as one of several providers to deliver dataset hosting services for Data.Gov and participating federal agencies. PENNSYLVANIA INTERACTIVE, LLC Page 183

280 Socrata fully hosts and operates more than 50 of the world s most recognizable and well-respected Open Data sites using the Socrata Open Data Platform, including: State Government Colorado Hawaii Illinois Maryland Missouri Oklahoma Oregon Washington Local Government Alameda County City of Austin City of Baltimore City of Boston City of Chicago Cook County City of Honolulu King County City of Lexington Montgomery County City of New Orleans City of New York City/County of San Francisco City of Seattle City of Somerville City of Wellington Federal Government Centers for Disease Control and Prevention Centers for Medicare & Medicaid Services Consumer Financial Protection Bureau Energy Star Environmental Protection Agency Medicare Medicaid National Oceanic and Atmospheric Administration Substance Abuse and Mental Health Services Administration USAID U.S. Data.Gov program International Customers Australia Kenya United Nations World Bank The Socrata platform provides the following features and functionality: The ability for end users to search for and browse public datasets and interact with those datasets in a fully immersive and exploratory experience, allowing end users to sort, search, filter, analyze, visualize, download, share and socialize government datasets. Built-in capabilities for data discovery, advanced visualization including a multitude of easy-tocreate map and chart styles. Data downloads in a multitude of formats including CSV, XLS, JSON, RDF, XML, PDF, RSS and KML. Rich site-wide and dataset-level analytics for reporting on data usage by date, by type, by location, and other dimensions. The innovative, embeddable Socrata Data Player that allows journalists and other end users to embed Pennsylvania data in their websites or blogs, while maintaining full provenance of the data, as well as the ability for Pennsylvania to update the data or metadata or take it down. Datasets within the Socrata Open Data Portal can be made public, kept entirely private, or shared with an internal-only audience. PENNSYLVANIA INTERACTIVE, LLC Page 184

281 A social design that encourages civic engagement through commenting, rating, user-generated visualizations and views, and a robust dataset nomination system with routing and workflow capabilities. Automatically API-enabling of every dataset, providing a robust application programming interface for developers to access to Commonwealth data. PA Interactive would finalize the details of the delivery of the project through the Work Order Request process, but based on our analysis of the Commonwealth s high-level requirements, we propose implementing the Socrata Open Data Portal platform for Pennsylvania, including: The Open Data site would be designed and configured The Commonwealth s initial datasets would be loaded and visualized Commonwealth administrators, publishers and internal developers would be trained to use the Socrata Open Data platform Socrata would assist the Commonwealth public affairs team in a media launch designed to recognize Pennsylvania as an emerging thought leader in the Open Data arena The table that follows addresses each of the Commonwealth s Statement of Work specifications for the Open Data Platform, along with how the PA Interactive/Socrata solution fully meets each requirement. Pennsylvania Open Data Platform Specifications: Be an easy to use platform that allows any Commonwealth agency to quickly and easily upload public datasets for additional consumption. Allow data to be easily searched, downloaded in multiple formats, visualized (including maps, charts, graphs etc) and socialized using an embeddable social data player. PA Interactive/Socrata Solution The Socrata Open Data Platform is an easy-to-use solution for data publishing that will allow any Commonwealth agency to upload public datasets. The egovernment Director for the State of Oregon told agency publishers within the state If you know how to attach a spreadsheet to an and click send, you have the skills necessary to publish data in Socrata. In addition to the solution being very easy to use, we have proposed webbased publisher training, led by a Socrata training professional, to ensure agency publishers feel comfortable and prepared to publish datasets. The entire Open Data site and individual datasets can easily be searched through a simple web user interface. Datasets can be downloaded in a multitude of formats including CSV, XLS, XML, KML, PDF, RDF and RSS regardless of the upload format of the data when first uploaded. Datasets can be easily visualized in numerous ways including many chart styles pie, bar, line, column, heatmap, etc. and several map styles boundary, point, density. Datasets can be socialized easily through the included Socrata Social Data Player, an innovative approach for embedding data similar to embedding a YouTube video. PENNSYLVANIA INTERACTIVE, LLC Page 185

282 Pennsylvania Open Data Platform Specifications: Allow Commonwealth agencies to publish data for public consumption or private consumption Offer Commonwealth public data to researchers, analysts, scientists, economists, programmers and journalists in a broad array of machine-readable formats including XML, CSV, JSON, XLS, KML, as well as programmatically via an Application Programming Interface (API). Allow the user to access interactive datasets with discovery and search capabilities. Allow the user to easily re-purpose data into other websites. Allow the public to access data programmatically through standardized APIs. Provide a standardized way to easily download data in multiple formats ((e.g.,.csv,.pdf,.xls,.xlsx, rss,.xml, KML, etc.). Include social networking and data collaboration functionality. Allow Customers to suggest/nominate potential datasets to publish to the site. Allow agencies to have access to multiple datasets/data feeds and enable them to create dash boards and common reports via the aggregation/combination of disparate datasets. Allow agencies to provide and maintain consistent access to authoritative datasets. PA Interactive/Socrata Solution Datasets on Socrata-powered Open Data sites can be public, private, or explicitly shared. Explicitly shared datasets can be shared with varying role-based privileges. The Socrata Open Data Portal allows customers such as the to share their data with a wide variety of data consumers of varying levels of technical sophistication: technically unsophisticated consumers; researchers, analysts, scientists and economists; programmers. Datasets are accessible in numerous formats from a great, human-accessible user interface to an application programming interface to machine-readable downloadable formats including XML, CSV, JSON, XLS, XLSX and KML. The Socrata Open Data Platform offers an interactive exploration experience for searching, browsing, and discovering datasets (i.e., catalog-level discovery and search) and for analyzing each individual dataset (i.e., dataset-level exploration). The Socrata Social Data Player allows end users to copy and paste a snippet of HTML into their websites, allowing them to re-purpose government data into their sites. All datasets in the Socrata Open Data Platform are automatically offered via an open, standards-based application programming interface. All datasets can be downloaded in a standard, consistent interface in any one of a multitude of user selectable download formats including CSV, PDF, XLS, XLSX, RSS, XML KML and RDF. The Socrata Open Data Platform includes robust social networking and collaboration features including: Sharing datasets explicitly; posting a dataset on Twitter or Facebook and other social networks. The Socrata Open Data Platform includes a dataset nomination system, with efficient back-office routing and workflow capabilities, allowing citizens to participate in the process of determining which datasets should be made publicly available. The Socrata Open Data Platform has the ability to create rich dashboards and reports, combining multiple datasets and data feeds. The Socrata Open Data Platform provides a publisher interface for agencies to maintain their metadata and data. PENNSYLVANIA INTERACTIVE, LLC Page 186

283 Pennsylvania Open Data Platform Specifications: Provide advanced performance metrics to show how data is being accessed and disseminated across the web. PA Interactive/Socrata Solution The Socrata Open Data Platform includes site-wide and datasetlevel performance metrics showing how and where your data is being accessed and disseminated across the web. IV-5.12 Process Improvement IV-5.12 Process Improvement Under the Master Contract, the Contractor will suggest improvements to business processes and workflows that can be streamlined by integrating and deploying them as online egovernment web applications. The Contractor shall assist in: Identifying and re structuring duplicate or redundant information, data, and services that are being delivered to overlapping Customer bases. Combining information into a single system to improve Customer service and raise program efficiency. Fostering a high degree of partnering amongst agencies and between government entities. Conducting executive and management education programs to disseminate information on innovative ways to use the Internet to deliver government services. Facilitating the establishment and management of agency and Contractor partnerships that would plan and develop on line services. PA Interactive recognizes that it is in a leadership position with regard to assisting agencies to evaluate and improve current processes. Throughout our development and marketing efforts, we are constantly evaluating ways to encourage paperless and efficient government. To this end, we serve as a catalyst to create synergies between Pennsylvania agencies, egovernment customers, lawmakers, and citizens. We incorporate ideas from our involvement with other state portals, membership in national associations, and technology industry partnerships to increase the impact of the egovernment services. User satisfaction and adoption are increased by offering solutions that follow functional lines from a customer s perspective instead of bureaucratic structures. However, delivering a specific product built around customer wants and needs involves the participation of many agencies. PA Interactive strives to make sure the right data is presented in the right way to the right people. We present our approach to encourage process and plan improvement through a variety of methods listed in the following table. PENNSYLVANIA INTERACTIVE, LLC Page 187

284 Process or Plan Requirement Identifying and re structuring duplicate or redundant information, data, and services that are being delivered to overlapping Customer bases. PA Interactive Response PA Interactive will use our experience assisting agencies to evaluate and improve current web processes. The world has recognized and embraced the Internet as an effective communication, marketing, public relations, and customer service phenomenon. NIC has expertise centralizing data services and removing redundant, confusing, and overlapping offerings. NIC has changed its services as technology has progressed to focus on cross boundary and data centralization offerings that may benefit more than one agency and streamline the overall government process. To this end, PA Interactive will work with each agency to take a fresh look at its egovernment offerings with an eye to improving and expanding the amount of information available and the manner in which it is delivered to the public. This process may include consolidating duplicative services that may have evolved over the years without the proper eye towards efficiency. Combining information into a single system to improve Customer service and raise program efficiency. Additionally, during the operation of this project, PA Interactive s project management staff will assert disciplined project management processes that seek to identify duplicate information services during the analysis and design phase of new projects, and leverage those like systems. Government agencies have been forced to reinvent themselves because of increasing demands by the public. The business community and citizens expect customer service at the same level as provided in the private sector. PA Interactive will work with the Commonwealth and its agencies to re-tool the program processes, tools, and support infrastructure to ensure that information is single-sourced, wherever possible. PA Interactive is proposing support systems and tools that will enhance our ability to centralize information, supporting systems, processes, as well as project and program documentation. The ability to provide the end user with a seamless view on government is critical for a successful program. Two examples of centralization of information from multiple levels of government are the NIC-managed Maine Rapid Renewal service ( and the State of Utah's OneStop Online Business Registration System ( both of which allow disparate government services to be centralized on the portal systems and appear as a single system to the end user. PENNSYLVANIA INTERACTIVE, LLC Page 188

285 Process or Plan Requirement Fostering a high degree of partnering amongst agencies and between government entities. Conducting executive and management education programs to disseminate information on innovative ways to use the Internet to deliver government services. PA Interactive Response High agency participation and partnership are central to the self-funded egovernment services provided by NIC. PA Interactive will not rely on executive or legislative mandates to bring about agency participation in egovernment activities. PA Interactive s methodology is founded upon voluntary agency participation by presenting a strong value proposition to benefit each agency we serve. We form lasting relationships with government agencies by developing an in-depth understanding of their interests and then aligning our interests with theirs. Our goal is to help Pennsylvania leverage resources to penetrate traditional agency boundaries for the end users benefit, without threatening an agency s authority or responsibility. Additionally, we help agencies focus on potential enterprise-wide solutions to create a better more cohesive service offering. PA Interactive will continually facilitate meetings with agency partners to educate them on the possibility of creating a more efficient government through the use of the program s services and enterprise technology platform. These sessions highlight the results of successful efforts and what lessons were learned so that success can be replicated. PA Interactive will collaborate with all levels of government to promote online services. We will leverage our role as a neutral party to educate and encourage government leaders to embrace online solutions. PA Interactive recognizes that continuous educational programs for leadership are integral to product launch and successful adoption. PA Interactive will work closely with the Commonwealth to maintain strong relationships with the governor s office, elected leaders, appointed agency heads, legislators, judiciary officials, and local officials and encourage these leaders to put government information and services online. Increased understanding of the portal and its capabilities will lead to increased agency participation in egovernment. The stronger the participation, the more it positions the PA.gov portal as the first-stop for those looking to do business with the Commonwealth. Facilitating the establishment and management of agency and Contractor partnerships that would plan and develop on line services. At all levels of NIC, from corporate staff to portal personnel, NIC requires active engagement in research of emerging technologies to remain abreast of trends, new technologies, and innovative approaches so that our partners can make informed, well-designed technology decisions. Based on our experiences, NIC will provide governance options to the Commonwealth in order to facilitate agency and Contractor partnerships to plan and develop new online services. PA Interactive will assist the Commonwealth in the development and implementation of a governance model and Work Order Request process that accommodates on-line services development through multiple funding models. PENNSYLVANIA INTERACTIVE, LLC Page 189

286 IV-5.13 Customer Service Requirements IV-5.13 Customer Service Requirements At no cost to the Customer or the Commonwealth, the Contractor shall provide Customer service to users of the egovernment systems and websites developed under the Master Agreement. The first contact point for Customer service shall be the Contractor. The Contractor shall resolve all issues related to usage, navigation, applications, or Customer problems regarding an egovernment application. Any issues regarding the business processes, back end processing of Commonwealth applications or Commonwealth maintained web pages or applications would be forwarded to the help facility within the appropriate agency. The Contractor shall : Provide telephone, online and e mail support 24 hours per day, 365 days per year. This support shall be offered to all Customers without charge. The Contractor s proposal shall provide a plan to provide telephone and support for Customers including specific metrics related to staffing, response time to phone calls and s and resolution time for typical inquiries and other issues. The Contractor shall also include a description of how customer support will be integrated into the design of the application itself. Provide a record of help desk questions and their disposition at the request of the Program Manager. Meet the following support requirements: Logging of Customer inquiries to ensure inquiries are properly addressed in a timely fashion. Reviewing of logs to identify and rectify frequent inquiries. Reporting of logs to the Commonwealth on an agreed upon schedule and manner. This includes various reports that will help the Commonwealth identify Customer issues. Identifying On line Help Information and References (e.g., icons, directories, tutorials, for its services to Customers). Customer Service Solution PA Interactive understands Pennsylvania s Customer service requirements, and will provide a comprehensive Customer support solution at no charge to the Commonwealth or Customer under the self-funded model. Customer service is an integral component of the NIC self-funded model and a key aspect of our egovernment offering for partner states, their participating agencies, and Customers, such as citizens and businesses that use the online services. We believe that a wellexecuted customer service platform enhances adoption of egovernment services, because Pennsylvania Customers whose support needs are met will be much more likely to return to PA.gov and tell people about their positive experience. PA Interactive will meet the needs of PA.gov by implementing and managing customer service operations for Pennsylvania which provides multiple access channels including telephone, , live chat, and mobile text. PA Interactive will provide first point-of-contact for all Pennsylvania egovernment services, including existing applications available on the portal today, and forward help issues regarding back-end processing of Commonwealth applications or Commonwealth-maintained web pages or services to the help facility within the appropriate agency. The following table describes how PA Interactive will use an industry-proven tiered Customer service approach that addresses all of the Commonwealth s requirements. This approach utilizes a comprehensive ITIL-based service management approach to manage all aspects of support for the egovernment program. PENNSYLVANIA INTERACTIVE, LLC Page 190

287 Support Channels Description Output TIER 1 Help Desk CRM tool Telephone Live chat Mobile text4help TIER 2 Help Desk CRM tool Telephone TIER 3 Help Desk CRM tool Telephone Tier 1 provides first-line level of support for all applications and sites associated with PA.gov. Tier1 customer service routinely provides quick and complete solutions and closes most problems. Initial calls are funneled through IVR to ensure quick and appropriate resolution for the customer. If the issue in question regards a PA Interactive application or service and cannot be solved by Tier 1, the customer service representative will assign severity and escalate the issue to Tier 2. PA Interactive s goal is to answer all , text4help, or other nonphone support requests within one business day, and to respond to all phone support requests within 15 minutes of completion of the call tree. Based on historical data, most calls are resolved by the Tier 1 service desk representative within 30 minutes, but more severe issues would fall under the issue resolution service levels that are addressed in our response to Section IV-5.20 Service Level Agreements. Any issues regarding the business processes, back end processing of Commonwealth applications, Commonwealth maintained web pages or applications, or issues that are outside of PA Interactive s control (such as legal, policy issues, or inquiries about a service, product, or program not currently offered), will be forwarded to the help facility within the appropriate agency based on mutually defined escalation procedures. PA Interactive Tier 2 customer support will be provided by a PA Interactive team member with detailed knowledge of the application or service who will provide the following: Review Tier 1 ticket Confirm the validity of the problem and seek known solution Provide more in-depth technical analysis and troubleshooting techniques Provide solution Update issue in Help Desk CRM tool Escalate to Tier 3, if appropriate If PA Interactive determines that an issue resides with a third-party software or hardware product, PA Interactive will work closely with the third-party vendor to determine the problem and to notify the impacted agency. PA Interactive will closely monitor the progress of the issue and report status changes to the appropriate Pennsylvania Customer. When the issue is resolved, PA Interactive will notify all impacted parties and the issuer of the trouble ticket. Log call into Help Desk CRM tool. CRM tool will track problem and time to resolve. Coordinate with agency on forwarded issues. Provide record of all calls to Program Manager on request. Provide Customer service reports to Commonwealth. Identify items to be added to Online Help. Periodically analyze issues to improve processes. Update progress in Help Desk CRM tool Identify items to be added to Online Help Notify Customer of status Periodically analyze issues to improve processes. PA Interactive SPOC updates progress in Help Desk CRM tool PA Interactive Identify items to be added to Online Help PA Interactive notifies Customer of status PENNSYLVANIA INTERACTIVE, LLC Page 191

288 Integrating Customer Support into the PA.gov Design In order to enhance the experience of the users of PA.gov, the new PA.gov design will prominently display the information for contacting support in the header of every web page and online application. Information should include a number to reach the help desk, key contact information, live chat, mobile text messaging (for mobile-optimized sites), and the ability to submit form-based support requests. The page should also include a link to submit survey information to improve the service. A sample of a common online help page is included in Figure 39 that follows. Figure 39: Utah Live Chat Window Customer Support Channels PA Interactive will provide the following customer support channels 24/7/365 to users of PA.gov. PENNSYLVANIA INTERACTIVE, LLC Page 192

289 Access Channel Live Chat Service Description The live chat is a secure, enterprise-scalable, real-time customer assistance application that is modeled on Internet chat rooms and has been adapted for state government portals in a majority of the states partnering with NIC. Live chat requests will be supported by a PA Interactive CSR, and will allow CSRs to push users to specific web pages and will result in an enhanced customer experience and reduced phone calls. Live chat access will be prominently displayed in the header of every web page and online application. Figure 40: Nebraska.gov Live Chat Window Direct Telephone & Support Text4Help Mobile Channel Online Help Initial calls will be funneled through an Interactive Voice Response (IVR) Unit that will allow predetermined call paths based upon the business or citizen s desired need. Live operators will be available to support callers upon completion of the call tree. PA Interactive staff will provide support during normal business hours, Monday through Friday. PA Interactive strategic business partner, Call Experts, to provide support for Customers during after-hours. The Text4help feature allows the next generation of PA.gov mobile users of the mobile version to input a question about government services in the form of a text message. PA Interactive customer service staff will then respond back in a text message with an answer. The mobile customer service channel will be accessible from the mobile version of PA.gov and other selected mobile-enhanced services offered by the Commonwealth. PA Interactive will build customer self-support mechanisms into the PA.gov so that users can easily navigate through a self-service knowledge base that includes: Frequently Asked Questions Technical support documentation (FAQs) Contact information Search tips Site directory Site tour (with screenshots and/or Webmaster information screencasts where applicable) Question or comment form Site map and phone support contact A-Z site index information Ask an Expert through live chat, online form, or PENNSYLVANIA INTERACTIVE, LLC Page 193

290 PA Interactive Customer Support Staffing PA Interactive has developed a customer support staffing approach based a number of reliable factors, including our extensive experience with the proposed enterprise egovernment customer service model, the efficiencies enabled by the proposed mix of customer support technologies and overall approach, and the expected number of anticipated new applications. PA Interactive has defined the staffing profiles of each member of the dedicated egovernment Account Team so that all employees play a shared role in the expansion and support of the Pennsylvania egovernment program. Additionally, PA Interactive has defined the Director of Operations and Project Management with direct management responsibility of the customer service function for the portal, and defined another staffing role whose primary responsibility will be to provide customer service support. It is important to note that, in all of our partnerships, NIC views customer service as the responsibility of all members of the dedicated team. Part of NIC s success has been our ability to create a customer service culture in each of our partner states. For more information on how PA Interactive has defined customer support roles of each member of the proposed team, please refer to our proposed staffing model for detailed job descriptions of each dedicated PA Interactive staff member. To ensure a high level of customer service, PA Interactive will provide overall training and monitoring for all personnel assisting with help desk functionality. The Contractor shall use Customer Relationship Management (CRM) tools to track interactions and patterns of interactions between Customers and the Commonwealth s web portal. The Contractor will analyze this data and develop features and services that will enhance the Customer experience, increase portal utilization and encourage repeat business. Customer Relations Management (CRM) During initial establishment of the new portal platform, definition of services and processes, and installation of PA Interactive operations, PA Interactive will utilize the Customer Relations Management (CRM) features of our IT service management tool to enable PA Interactive to track customer support interactions and patterns, as well as analyze this data in meaningful ways. This component is a core feature of a comprehensive incident and problem management approach and will combine with our web analytics, customer satisfaction, and other quantitative and qualitative tools to continually improve the PA.gov service offering. The Contractor shall periodically conduct Customer satisfaction surveys for the purpose of determining the level of use, acceptance, and ease of use of the Portal and agency egovernment applications. The Contractor shall, at intervals specified by the Commonwealth, report to the Commonwealth on how the issues identified in Customer surveys are being addressed. Each agency egovernment application shall include on line Customer satisfaction surveys as a feature. Customer Satisfaction Surveys PA Interactive will work with the Commonwealth to determine the preferred format, schedule, distribution, and reporting processes for satisfaction surveys. PA Interactive recognizes the value of collecting and assessing constituent assessment on a regular basis and incorporates feedback PENNSYLVANIA INTERACTIVE, LLC Page 194

291 mechanisms into all services we develop for state government. We regularly use customer feedback to improve the solutions we offer to enhance existing services or to identify new areas of opportunity. NIC finds that customer satisfaction is usually most effectively measured by providing links to interactive survey pages from within the main portal, agency websites, or specific online services. In many instances, NIC creates custom landing pages that allow users to submit feedback while they are in the process of using a system as well as after a user completes the online application to measure user satisfaction (see Figure 41 for an example). All of our online evaluation tools provide fast data gathering and reporting that can be accessed in real time by state personnel. Figure 41: Maine Site Survey IV-5.14 Data Storage Requirements IV-5.14 Data Storage Requirements The Contractor is responsible for storage and management of data that is being utilized to provide services under the Master Contract. The Contractor must provide for backup copies of the data, so that reconstruction of lost data does not involve the use of original data sets, including ensuring that the data is properly secured and that only PENNSYLVANIA INTERACTIVE, LLC Page 195

292 authorized employees are able to access the data. Storage Array Network (SAN) technology is the primary storage technology utilized by the proposed hosting solution. The EMC SAN technology deployed in NIC CDC facilities enables high-speed data storage and improved reliability over other storage options. Data-supporting services offered to the public will typically be stored in structured relational databases using SQL Server and Oracle, though specific WO requirements may specify alternative data storage and management mechanisms. PA Interactive is proposing our current backup and recovery solution in place at the NIC CDC, which provides multiple layers of protection so that reconstruction of lost data can occur quickly and reliably. These layers include: Data synchronization to our mirrored alternate site location Backup processes using EMC Avamar Backup and Recovery Solutions Replication of backups to our alternate hosting location NIC s CDC synchronizes through database and SAN-to-SAN replication to NIC s secondary data center, which mirrors the primary CDC infrastructure and provides alternate processing services for CDC functions. In addition, PA Interactive provides a comprehensive backup and recovery solution utilizing an EMC Avamar Grid. This provides a second layer of insurance should the primary data center be unusable or if there was an issue with hot site replication processes. All incremental and full backups of all system data and configuration information at NIC s data centers are written to the EMC Avamar grid. There is a separate Avamar grid in each data center. Nightly, the data is replicated to the alternate grid which is in a geographically dispersed data center. This replication is in addition to any data replication occurring from the database and SAN systems. Data Security Protecting data is a primary goal of the entire PA Interactive Security Program. Whether this data is collected from end users or from Pennsylvania business systems, the privacy and integrity of the data must be ensured using effective security controls for databases and other system data stores. Databases, such as SQL Server, provide a number of access controls that if used correctly help to ensure that only authorized and expected access to data occurs in the system. For instance, SQL Server provides an integrated authentication protocol called the Security Support Provider Interface (SSPI). SSPI allows an application process to connect to SQL Server without passing a username and password as is done with other database technologies. This prevents database connection credentials from being stored in application configuration files where they might be compromised during an intrusion. Regardless of the authentication method used to connect to the database, proper permissions must be applied to the database schema. Application process identities are granted minimum permissions for reading and writing data in tables. Often, read and write permissions are not granted at all to the schema. Instead, SQL statements are encapsulated as stored procedures and only execute permissions are granted to the application identity. The impact of SQL Injection vulnerabilities can be greatly reduced by following these minimum schema permission techniques. PENNSYLVANIA INTERACTIVE, LLC Page 196

293 IV-5.15 Network Requirements IV-5.15 Network Requirements In order to provide for adequate network performance, the engineering of network connections between the Contractor s data center(s) and servers, the Commonwealth data center(s) and servers, and their respective Internet Service Providers (ISPs) need to be understood. The Contractor is responsible for ensuring that its data center(s) and/or servers will connect to both Internet & Security Service Providers and ensuring the connection will be established between the Contractor's data center(s) and servers and the Commonwealth data center(s) and servers. The Contractor must provide a description of how the Contractor's facilities and ISP connections will be engineered to maximize end to end performance and minimize the number of service interruptions. Internet Service Provider Connectivity PA Interactive is proposing to host solutions delivered for this Statement of Work at NIC s Central Data Center (CDC) facilities. The CDC currently operates two geographically diverse data centers, one located in Ashburn, Virginia and another located in Allen, Texas. Both data centers have been built within caged environments located at AT&T Internet Data Center (IDC) facilities. One of these two data centers will be designated as the primary hosting facility for PA.gov and the other facility will serve as a Disaster Recovery (DR) alternate site for Pennsylvania services. These facilities both provide world class IDC services and meet the classification as a Tier IV facilities under the guidelines set forth by the National Uptime Institute. The CDC caged environment receives two path-diverse 1Gbit Ethernet feeds from the AT&T network core. Feed #1 is linked to AT&T's IDF/MDF pair fed by the OC48 destined for Atlanta, GA. Feed #2 is linked to AT&T's IDF/MDF pair fed by the OC48 destined for New York City. Traffic leaving the NIC CDC first passes through Layer 3 routers. These Layer 3 routers in turn feed into Access Routers that connect the IDC facility to the AT&T IP backbone. Effectively, network traffic leaving the CDC environment is one hop from the Internet backbone. This CDC s ISP network configuration is graphically presented in the following figure. PENNSYLVANIA INTERACTIVE, LLC Page 197

294 Figure 42: CDC ISP Connectivity The ability for AT&T to provide high capacity, low latency Internet connectivity was a significant differentiator when selecting AT&T as NIC s data center provider. PA Interactive is confident that the ISP connectivity provided by AT&T will ensure a responsive user experience for Pennsylvania constituents. Hosting infrastructures for many NIC partner states are currently operated in these same data center facilities. Network performance and reliability has proven exceptional for these partners. Security Service Provider Connectivity Security is a core competency of NIC. Accordingly, PA Interactive will provide most of the security services required to provide a secure hosting environment for Pennsylvania through built-in security infrastructure and controls, managed by NIC resources at both the local and corporate levels. For instance, internal security capabilities will be used to provide perimeter management and security monitoring. PA Interactive will also internally provide services in the areas of penetration testing, vulnerability testing, and compliance monitoring. Additionally, PA Interactive will partner with external service providers to augment our capabilities in these areas and to validate our internal practices. PENNSYLVANIA INTERACTIVE, LLC Page 198

295 Since most security services are being provided by security infrastructure local to the hosting environment, no special network connections to external services providers are required. Security services being provided by third-parties such as penetration and vulnerability testing will require access to internal networks to conduct internal penetration testing. This access is typically enabled through either a VPN connection to a trusted device on the service provider s network or by physically connecting a testing device (such as a laptop) to network switches within the physical network. Commonwealth Infrastructure Connectivity Commonwealth data sources and business systems will typically reside outside of the proposed hosting infrastructure and will necessitate network connectivity to conduct real-time interactions. The preferred technique for connecting portal systems with these remote data sources and line-ofbusiness (LOB) systems is LAN-to-LAN VPN connections. VPN connections leverage the reliability of the Internet connections previously described to provide secure and reliable connections between PA Interactive managed networks and Commonwealth managed networks. Other connectivity options, such as leased lines, can be used in special cases where unique network requirements dictate such an approach. The local/portal end of the VPN tunnel will be terminated in an internal network segment (VLAN) distinct from other internal network segments containing portal servers. The remote end of the VPN connection will be terminated as close to the remote system being accessed as can be supported by the remote network architecture. Doing so minimizes the possibility of data being intercepted or a man-in-the-middle attack by an individual with access to the remote WAN. Fine grained bi-directional firewall rules will be applied to traffic passing from the local end of the VPN tunnel. Egress rules will limit what ports and protocols of the remote system can be accessed by the program s systems and applications. Similarly, ingress rules will lock down connections bound for Pennsylvania systems to only those required for the specific system integration to function. Agencies will be responsible for and strongly encouraged to apply similar firewall rules at their end of the VPN tunnel. LAN-to-LAN VPN connections will be terminated at a cluster of Cisco ASA appliances located in the NIC data centers. These concentrators utilize the latest VPN technologies from Cisco to provide both flexibility and increased security for VPN tunnels. This includes full support of IPSec Proposals including any combination of ESP-AES-* and ESP-3DES for ESP encryption with SHA or MD5 authentication. Additionally, the full range of IKE Proposals is supported including DES, 3DES, AES- 128, AES-192, and AES-256. IV-5.16 Software and Documentation Requirements IV-5.16 Software and Documentation Requirements The Contractor should describe its approach to software ownership under a self-funded egovernment model should the Commonwealth seek to transition to another Contractor. Specifically, this would relate to applications / portal services built specifically for the Commonwealth and application / portal services transferred to the Commonwealth from another state. In general, though, the Contractor shall deposit on a quarterly basis the most recent version of the source code and documentation of all applications under this statement of work in an escrow account with a PENNSYLVANIA INTERACTIVE, LLC Page 199

296 neutral third party mutually agreed to by the Contractor and the Commonwealth. The cost of the escrow account must be borne by the Contractor. The Contractor shall agree to the following terms associated with all software, except third party licenses, associated with any applications or systems developed under this proposal: The Commonwealth shall have the option, upon termination or expiration of the Master Contract, in connection with all application and Portal software, documentation and source code (whether originally developed by the Contractor or a third party), but not software or documentation created by third parties and purchased by Contractor, together with any software updates or upgrades made by the Contractor over the life of the Master Contract, but excluding third party software, documentation, source code, object code, and updates, to exercise one or more of the following: Contract with Contractor for a software license and ongoing support upon mutually agreeable terms and conditions; or Select a new Contractor and elect to have new Contractor support all existing systems; or Operate all existing systems under a perpetual software license including the transferable interests in any third party software licenses at the end of the contract at no cost to the Commonwealth. The Contractor shall allow the Commonwealth to make additional modifications, upgrades, and enhancements to the software, or to purchase or otherwise acquire such modifications, upgrades, and enhancements, as it sees fit, for the purposes of maintaining and operating all of the current and new applications developed by the Contractor under the terms of the contract. The Contractor should reference the Commonwealth s IT Terms and Conditions (Appendix E) when responding to this section. The end-of-contract requirements for software and documentation are addressed in the IT Terms and Conditions, attached as Exhibit A of the Contract. Under the proposed licensing model, PA Interactive brings services developed in another contract through NICUSA, Inc., NIC Services LLC and other NICUSA affiliates to Pennsylvania, and reciprocally, allows services developed by PA Interactive in Pennsylvania to be provided to other states. This creates the ability of each state to tap into the expertise and improvements of other development labs to streamline development, rather than be limited to its own team s development efforts. NIC currently has more than 7,000 egovernment assets in its shared knowledge library that will be available for Pennsylvania s immediate use through our proposed licensing model. In order to receive this benefit, states must agree to this reciprocal sharing for NIC's work done in those states in order to receive the work from other states. NIC is able to accomplish this free exchange in the simplest manner possible with ownership transfer/cross-licensing agreements between NIC and its state portal subsidiaries. Overall, our states have elected to participate in the code-sharing collaborative because of the immense upside and benefits, including: Proven products and services If a similar product or service desired by OA/OIT or other Pennsylvania agencies is available in another NIC state, the Commonwealth would have immediate access to it, thereby increasing speed to deployment and lowering overall cost of development to only the customization needed, without upfront payment or other legal encumbrances. Constantly growing and dynamic repository NIC s code repository is a dynamic exchange that evolves and grows at a rapid pace. Over the course of 2010 and 2011, NIC portals introduced more than one new online service per calendar day. States participating in the code exchange PENNSYLVANIA INTERACTIVE, LLC Page 200

297 have the benefit of continuously reviewing and incorporating a growing set of new online services. Improvements and changes If improvements and changes are made to a service in another NICmanaged state, then the Commonwealth would receive immediate access to these enhancements without the need to pay a maintenance fee to PA Interactive, a fee to the other state or receive written permission to share the service. Comprehensive documentation and source code Under the license, the Commonwealth would have unfettered access to comprehensive documentation, developer notations, project plans, source code, and marketing plans. All of our partner states have elected to pursue the positive upside of using the code-sharing approach and importing and extensively using code, documentation and marketing materials proven in other states, to kick start their existing egovernment program and continue to deliver benefit to users. The following case study shares the advantages that NIC states have realized by embracing this model of code delivery. Case Study: Benefits of Code-Sharing Collaborative The Apple ipad and other tablet computing devices are already becoming an extremely popular technology platform, especially for the younger generation. Immediately after the ipad was released in April 2010, NIC launched a driver license practice exam application. The application is an interactive 15-question practice test designed to aid this core audience who are preparing to receive a driver s license. Because of the unique code sharing partnership among NIC s states, the application was made available immediately for six states on release of the ipad by Apple. Kentucky, Tennessee, Nebraska, Montana, West Virginia, and Utah citizens were all able to download through itunes a free application for their ipad and iphone. The states enjoyed the opportunity to showcase their egovernment expertise and be on the cutting edge of delivering to the latest technology. Within days of launching, the ipad application was downloaded more than 2,000 times. In the case of Pennsylvania, this code-sharing collaborative would benefit OA/OIT immediately and result in increased opportunities for more services. The Commonwealth would not have to pay an upfront license fee to use the online services in Pennsylvania, regardless of whether the NIC code is brought from another state or custom-developed for the Commonwealth, which would decrease the costs of deploying new online services. Under the self-funded model, the Commonwealth basically earns the license rights to all PA Interactive intellectual property used by the portal over the term of the contract in exchange for affording PA Interactive the opportunity to generate transaction-based revenue to cover those licensing fees. That is, instead of paying an upfront licensing fee, PA Interactive takes on the risk that it will generate enough cumulative revenue to cover those fees over the life of the contract. Under this proven approach, the commonwealth wins because they get all of the benefits of a software-as-a-service model it gets immediate use and benefit the services without any upfront or ongoing investment and the most important benefits of IP ownership the right to continue to use all PA Interactive software after the term of the contract and the right to modify such software as necessary. Also, because PA Interactive would be using proven code and documentation, development would be streamlined, resulting in less time, risk, and expense to deploy more services. To deliver cutting-edge solutions, increase the reliability of services, and streamline development, we propose to add Pennsylvania to the code-sharing consortium of NIC partner states. This approach harnesses the power of NIC s development labs and would result in more value for the PENNSYLVANIA INTERACTIVE, LLC Page 201

298 Commonwealth. Our results have proven that a free interchange of ideas, modules, segments, partial applications, and other materials drives every portal forward at a pace much faster than any could do in isolation. We believe that this code-sharing approach will deliver maximum value for Pennsylvania, too. Broad License Granted to Commonwealth At the completion of the full term of the contract, upon termination for uncured breach by the Contractor or upon certain specified events such as a bankruptcy, each partner state receives a perpetual license to all application/portal services (excluding the payment processing service, which we operate as a software as a service model), including source code and documentation. This broad license includes the right of the Commonwealth to: Contract with PA Interactive for a continued use software license and ongoing support upon mutually agreeable terms and conditions; or Select a new Offeror, subject to confidentiality obligations, to support all existing systems, and to use and modify the PA Interactive application/portal services as necessary; or Operate all existing systems under a perpetual license, which allows the Commonwealth to make modifications to the PA Interactive application/portal services for use in the operation of the Commonwealth portal. This would include any third party software licenses to the extent that they are transferable. Since 1992, we have worked with our partners to implement mutually-beneficial IP terms that assist with two key goals that are important to all of our state partners 1) Streamline development and increase the value of online services by allowing the free flow of documentation, software and code across our state partnerships, and 2) Ensure that each state has proper access and rights to the documentation, software, and source code to continue to operate each portal on their own or using another contractor. We understand that each state is unique, and we will diligently negotiate IP provisions to comply with the Commonwealth s specific needs. We have outlined our IP position in the chart below. We are proposing IP provisions that provide rights that have been accepted by NIC partner states as equitable, while allowing the Commonwealth to take full advantage of the software deployed in other NIC-managed states. PENNSYLVANIA INTERACTIVE, LLC Page 202

299 IP Provision Escrow Proposed PA Interactive Approach During the term of the agreement, PA Interactive will place all source code with a mutually-agreed escrow agent, Escrow Associates. PA Interactive will bear all costs of the escrow account. In general, PA Interactive will place on a quarterly basis a copy of the Source Code, for the most recent version of all PA Interactive application/portal services (excluding third party software) used for the Commonwealth portal project (the Source Code ) in escrow with a neutral third party (the Escrow Agent ) to be mutually chosen by PA Interactive and OA/OIT under the terms of an escrow agreement satisfactory to the OA/OIT, PA Interactive and the Escrow Agent. Equipment PA Interactive Application/Portal Services The copy of the Source Code shall be delivered to the Commonwealth by the Escrow Agent in the event (i) PA Interactive is declared bankrupt or is the subject of any liquidation or insolvency proceeding which is not dismissed within ninety (90) days; or (ii) the Agreement terminates in such a manner that OA/OIT is allowed a license to PA Interactive application/portal services, on the terms and conditions provided for in the Agreement; or (iii) as otherwise provided in the agreement with the Escrow Agent. PA Interactive will transfer ownership of third-party equipment in accordance with the IT Terms and Conditions. The Commonwealth will receive a fully paid up, perpetual, non-exclusive license to use all PA Interactive application/portal services as necessary to operate, maintain and improve the Commonwealth portal, at the expiration of the full term of the Agreement, or upon termination of the Agreement by OA/OIT as a result of the uncured material breach by PA Interactive. Such license will include the right to make modifications to the PA Interactive application/portal software for use in the operation of the Commonwealth portal. Third-Party Software The Commonwealth will have the right to use third-party contractors to modify the PA Interactive application/portal services as necessary for the operation of the Commonwealth portal without prior consent by PA Interactive, provided such contractors execute a confidentiality agreement in form pre-negotiated to be acceptable to PA Interactive and OA/OIT. PA Interactive will transfer third party Software licenses to the Commonwealth in accordance with the IT Terms and Conditions. Documentation The license agreement described above includes a license to source code, documentation and all modifications and updates made under the agreement. Similar to the PA Interactive application/portal services, we propose that a third-party provider execute a non-disclosure in a form re-negotiated to be acceptable to PA Interactive and OA/OIT. We do not require that PA Interactive provide express written consent of third parties to access the documentation or source code for PA Interactive application/portal services. PENNSYLVANIA INTERACTIVE, LLC Page 203

300 IV-5.17 Hosting and Managed Services IV-5.17 Hosting and Managed Services The Contractor shall host the public facing Portal and egovernment applications within its environment. Hosting includes comprehensive support for managed services such as planning, analysis, troubleshooting, integration, acquisition, installation, operations, maintenance, training, documentation, and administration services. The Contractor will be responsible for the acquisition and operation of all hardware, software and infrastructure related to the egovernment applications. The Contractor shall ensure that the egovernment application environment is used primarily to meet the objectives set forth by the Commonwealth in this statement of work. The technical and professional activities required for establishing, managing, and maintaining the Commonwealth s egovernment applications are the responsibilities of the Contractor. The egovernment applications must be available on a 24 hours per day, 365 days per year basis, providing around the clock service to Customers. The hosting site environment shall include redundant power, fire suppression, key card access control systems and 24 hours per day, 365 days per year on-site security. The hosting environment shall include redundant Internet connectivity, redundant firewalls, Virtual Private Network (VPN) services through an industry recognized VPN solution such as Cisco VPN concentrator or Checkpoint VPN 1, remote access via methods such as secure shell (SSH) and desktop VPN clients, fault tolerant internal network with gigabit Ethernet backbone, clustered central file and database servers, load balanced, application, and web servers, hardware, accelerator, three tier development environment, nightly backups, and 24x365 monitoring of all services and servers. The Contractor shall ensure that personal and private information held in government custody and used in projects within the scope of this statement of work is neither compromised nor inadvertently exposed. This includes established processes and procedures to ensure that confidential information cannot be accessed by unauthorized individuals. The Contractor shall ensure adherence to all relevant ITBs within their data center. If the Contractor chooses to use leased line connections, these connections shall be protected by a network security firewall. If the Contractor proposes to use any public untrusted medium (e.g., the Internet), the Contractor shall build and maintain a secure VPN. The Contractor must describe in detail the firewall and VPN design. The Contractor may not implement the firewall and VPN design until it has been approved by the Commonwealth. The Contractor shall submit a narrative response and diagram explaining the various elements of the hosting facility, physical location, network security architecture of their solution(s) including authentication options, privacy, backup and disaster recovery systems. The Contractor shall provide a comprehensive staffing profile that outlines Contractor staff, roles and responsibilities and skill sets available to the Commownealth under the Master Contract. PA Interactive is proposing to host the Commonwealth s Self-Funded egovernment services at NIC s Central Data Center (CDC) housed at the AT&T Internet Data Center (IDC) located in Ashburn, VA and at the IDC in Allen, TX. Across NIC-managed projects similar to the one envisioned by Pennsylvania, the transaction-based, self-funded model is scalable and can deliver a wide range of IT services and covers the cost to maintain and enhance enterprise hosting infrastructures, including all the hardware and software solutions necessary to meet the project s requirements. These facilities provide world class IDC services and meet the classification as a "Tier IV" facilities under the guidelines set forth by the National Uptime Institute. Additionally, these facilities have first rate technical operation staff and state-of-the-art Network Operations Centers (NOC). NIC s contract with AT&T allows for the engagement of remote hands by qualified AT&T staff to perform coordinated changes within the NIC physical environment should that service be needed. PA Interactive shall adhere to all relevant Commonwealth ITBs at our proposed data center. PENNSYLVANIA INTERACTIVE, LLC Page 204

301 NIC Central Data Center (CDC) Overview The CDC is geographically distributed and designed for continuous operation, protected from power failure, physical intrusion, and network outages by extensive back-up power and cooling systems, multi-layered security, and network redundancy and diversity. This design enables the speed, reliability, and performance necessary for mission-critical applications. The hosting environment is designed to maximize uptime through connectivity and power, and NIC has chosen servers, network equipment, and software for our architecture that removes all single points of failure through the use of load balancing, server clustering, device fail-over, and equipment redundancy. NIC s hosting environment is recognized as a world-class hosting facility and provides environmental features such as: Located in a Tier IV data center Physical security features, including man-traps, palm scans, and controlled access only to the client s own equipment Redundant power with diesel generator back-up Fire, smoke, and water suppression and detection technology State-of-the-art cooling and heating equipment 24/7/365 on-site security Redundant internet connectivity with OC48 bandwidth 24/7/365 environmental and physical monitoring including performance data NIC s CDC can meet all of the requirements for a hosting environment as illustrated in the table below. Hosting Requirement Redundant power Fire suppression 24 hours per day, 365 days per year onsite security Redundant Internet connectivity Redundant firewalls NIC CDC Approach For power, the facility is fed by separate feeds from the utility company. The UPS system provides two separate functions - Inbound AC power from the utility company is converted to DC power, then back to AC power to eliminate any spikes, surges, lags, transients and other unwanted power conditions. Additionally, the four separate UPS systems provide 2N redundancy for backup battery power for the entire data center for up to 15 minutes at full load (4,770,000 watts of draw). In all cases, AT&T s UPS and Diesel generators back the circuits. The CDC provides the latest fire, smoke, and water suppression and detection technology. AT&T provides 24/7/365 on-site security. Additional physical security features, include man-traps, palm scans, and controlled access only to the client s own equipment. All of NIC s equipment is located in locked cages which isolate NIC data center assets from other AT&T customers. The CDC utilizes redundant internet connectivity with dual one Gigabit connections to the internet with burstable bandwidth capabilities for spikes in network usage. Each network feed is connected into two separate egress switches (Cisco) that are cross-connected to provide redundancy. These switches then feed a pair of redundant Cisco routers, which in turn feed the load sharing highly available (HA) Firewalls. PENNSYLVANIA INTERACTIVE, LLC Page 205

302 Hosting Requirement Virtual Private Network (VPN) services through an industry recognized VPN solution Remote access via methods such as secure shell (SSH) and desktop VPN clients Fault tolerant internal network with gigabit Ethernet backbone Clustered central file and database servers Load balanced Application, and web servers Hardware Accelerators Three tier development environment Nightly backups 24x365 monitoring of all services and servers NIC CDC Approach A pair of redundant Cisco VPN Concentrators and Cisco Adaptive Security Appliances provides VPN services to the hosting environment. VPN concentrators are utilized by administrators to securely gain access to the networks and servers. VPN client authentication can be configured to require RSA SecurID authenticator devices to comply with NIST Level IV authentication. The proposed infrastructure is architected to provide a fully-redundant, fault tolerant internal network with a gigabit Ethernet backbone. NIC s solution takes advantage of high powered, load balanced server clusters that can be scaled to support required capacity levels. NIC uses a highly-available SAN for file storage and clusters our SQL Server and Oracle database servers. NIC utilizes F5 Load Balancers to distribute the load across nodes in a server cluster. The CDC also uses F5 Networks global traffic managers to manage public internet traffic to these instances running in parallel at both NIC data centers through intelligent DNS. NIC deploys clustered and load balanced application and webs servers that can support applications developed in multiple languages and technologies, while utilizing proper network segmentation and virtualization to support differing security scenarios. The CDC provides a best of breed technology platform that is maintained, kept up to date with the latest version releases and have active premium support contracts. All servers can utilize our VMware fabric for virtualization and system provisioning. NIC s hosting environment includes proxy and caching servers to enhance content delivery. NIC utilizes an N-Tier architecture that segments hosting components into VLANs. Servers can be grouped and isolated into tiers based on risk of intrusion and sensitivity of their data. All traffic between internal network tiers is tightly controlled by firewalls. Comprehensive ITIL-governed back-up and recovery solutions. The CDC provides comprehensive back-up and recovery and disaster recovery solutions that include nightly backups to the EMC Avamar and DataDomain grid. There is a separate Avamar and DataDomain grid in each data center. NIC s data center support team follows ITIL v3 based processes and procedures for managing all aspects of the data center. Virtualization NIC provides 24/7/365 environmental and server/service monitoring with resultant performance data. Real time monitoring is performed on the environment primarily by Nagios, Cacti, Tripwire, SolarWinds Orion, Oracle Grid and other native and third party monitoring services. Pingdom also provides web performance tests and measurements of availability. NIC s hosting solution enables highly available, secure hosting environments that leverage the latest technologies for virtualization, service management, and security. The CDC hosting environment consists of servers that utilize VMware VSphere for virtualization and system provisioning. The CDC has taken advantage of virtualization technology, where appropriate, to enable the provisioning of a PENNSYLVANIA INTERACTIVE, LLC Page 206

303 very manageable and scalable hosting solution. Virtualization enables administrators to provide customers with a very robust and highly available environment. NIC has architected our virtual environments with security in mind; servers can be deployed to isolated networks and can be secured by packet inspecting firewalls, intrusion detection systems, and web application firewalls. PA.gov and Associated Domain Management Typically, NIC does not take over management of DNS for our partners top level domains. In a vast majority of implementations, our partner will maintain management responsibilities for their DNS domain and will delegate through CNAME records the specific sub domains being hosted by NICmanaged infrastructure. These CNAME records will alias DNS requests so that they are resolved by the F5 Global Traffic Managers installed on the perimeter of each NIC data center. This delegation allows NIC to manage the subdomains needed to operate the portal website as well as agency websites hosted by NIC. On occasion, NIC has contracted with states with DNS policies that do not allow CNAME records to be used for DNS delegation. In these cases, NIC works with the partner to install the proper A records into the state s DNS so that DNS requests directly resolve to the correct NIC perimeter devices. In these cases, NIC will work through our partner s DNS change management process to make the necessary DNS changes as needed. This approach, though, is not optimal because it precludes dynamic DNS techniques from being used to distribute requests to a secondary hosting infrastructure during a disaster. Therefore, when A records are used instead of CNAME records, our partner would be required to make an emergency DNS change if a disaster was declared so that Internet traffic would route to the secondary NIC hosting facility. Because PA Interactive will most likely not assume complete DNS management responsibilities for Pennsylvania s PA.gov domain and other top level domains, the Commonwealth would continue to pay for domain registration and renewal costs associated with these domains. Confidential Information Protecting the confidentiality and integrity of data, whether it originates from the end user or from a government system, is of utmost importance to PA Interactive. PA Interactive employs a comprehensive security program to protect data at all points within the infrastructure. Data governance is a substantial element of the Security Program. The data governance plans and supporting activities determine how data is classified, secured, retained, and destroyed. PA Interactive currently has a robust set of security policies and procedures that includes a data classification and handling protocol. In addition, PA Interactive will implement data governance policies and procedures for this program that align with Commonwealth-specific inputs (e.g., laws, regulations, and standards unique to Pennsylvania) and industry best practices. These data governance policies will specifically address the classification of data. For each data classification, policies will dictate how the data is protected, how long it is retained, and how it is destroyed. On at least an annual basis, systems will be thoroughly audited to uncover data governance deficiencies. Remediation plans will be developed for any deficiencies uncovered by these audits. All sensitive data will be encrypted in transport at all times within the hosting infrastructure. Transport security encryption (TLS/SSL) will encrypt sensitive information being transmitted from the PENNSYLVANIA INTERACTIVE, LLC Page 207

304 user to the hosting environment. Similarly, VPN tunnels will be used to protect the transfer of information from commonwealth data sources and line-of-business systems. Additionally, sensitive data will be stored securely at all times within the system. Sensitive data residing in databases and files will be encrypted, hashed, or stored in a redacted format depending on the type of data being stored and the business requirements of applications. Sensitive data will also be encrypted prior to storage in backup systems. Finally, sensitive data in databases and files will be purged and/or securely archived according to established data retention processes and schedules. Leased Lines, Firewall, and VPN Design PA Interactive proposes to use LAN-to-LAN VPN connections over the Internet to connect to remote Pennsylvania government networks. These VPN tunnels will allow PA.gov applications and websites access to Commonwealth data sources and line-of-business systems located external to the PA.gov network. Additionally, client VPN connections will be used by administrators of the proposed hosting environment to gain access to PA.gov servers and network devices to perform their administrative job functions. The local end of the VPN tunnel will be terminated in a network segment distinct from the network segments hosting servers. The remote end of the VPN connection will be terminated as close to the remote system being accessed as can be supported by the remote network architecture. Doing so minimizes the possibility of data being intercepted or a man-in-the-middle attack by an individual with access to the remote WAN. Fine grained bi-directional firewall rules will be applied to traffic passing from the local end of the VPN tunnel. Egress rules will limit what ports and protocols of the remote system can be accessed by PA.gov systems and applications. Similarly, ingress rules will lock down connections bound for PA.gov systems to only those required for the specific system integration to function. Agencies will be responsible for and strongly encouraged to apply similar firewall rules at their end of the VPN tunnel. Using network firewalls to compliment the access controls built into the VPN concentrators provides an extra layer of protection against a breach of one system cascading into another system through a VPN bridge. LAN-to-LAN and Client VPN connections will be terminated at a cluster of Cisco ASA appliances located in the NIC data centers. These VPN concentrators utilize the latest VPN technologies from Cisco to provide both flexibility and increased security for VPN tunnels. This includes full support of IPSec Proposals including any combination of ESP-AES-* and ESP-3DES for ESP encryption with SHA or MD5 authentication. Additionally, the full range of IKE Proposals is supported including DES, 3DES, AES-128, AES-192, and AES-256. For traffic to traverse from the Internet into either hosting environment, first it must pass through a perimeter network firewall and a WebDefend application firewall positioned at the outer most edge of the network. Once in the internal network, traffic is regulated by distinct logical firewalls associated with each internal network segment. Each firewall is configured using default deny rules. Only network traffic specifically allowed by firewall rules can enter and exit each network segment. PENNSYLVANIA INTERACTIVE, LLC Page 208

305 Comprehensive details on all aspects of our security approach and specific details on firewall and VPN design, products, and implementation can be found in our response to Section IV-5.18 Security Requirements. Security Architecture PA Interactive utilizes a layered and modular security architecture, applying independent security controls at each layer of the infrastructure to provide end-to-end protection of data and systems. Additionally, security controls are used to secure interfaces with system components external to the hosting environment such as the end user, employees, and Pennsylvania backend systems. The security architecture proposed for the program is presented in the following figure. PENNSYLVANIA INTERACTIVE, LLC Page 209

306 Figure 43: Security Architecture The function of the layered approach is to provide multiple levels of protection, each of which, while providing a strong layer of security, is not the only obstacle preventing unintended disclosure. By layering the protection, PA Interactive believes that egovernment services offered by the PENNSYLVANIA INTERACTIVE, LLC Page 210

307 Commonwealth will not be at the mercy of a single flaw in any one solution, vendor, or protection point. Presented in the following table are the layers of the security architecture including a list of the security elements associated with each security layer. Security Layer Security Elements Client Security Transport Layer Encryption Client Data Persistence Perimeter Security Filtering Routers Perimeter Firewalls Virtual Private Networks (VPNs) Physical Security Network Security Segmented Network Architecture Intrusion Detection and Prevention Identity Security Directory Services Web Single Sign-On (Web SSO) Public Key Infrastructure (PKI) Application Security Vulnerability Prevention Vulnerability Detection Application Firewalls N-Tier Application Architecture Payment Security Payment Processing Offloading Secure Payment Lifecycle Server Security Server Hardening Server Virus Protection Host-based Firewalls Host-based Intrusion Detection Server Role Isolation Data Security Data Governance Data Collection Data Retention Data Protection Data Access Controls Data Integrity Storage Security Minimum File Permissions Segmented Storage Topology Backup Encryption Integration Security Network Integration Minimum Remote System Access Batch Process Security Workstation Security Workstation Policies and Audits Workstation Virus Protection Full Disk Encryption for Laptop Computers Comprehensive details on all aspects of our security approach can be found in our response to Section IV-5.18 Security Requirements. PENNSYLVANIA INTERACTIVE, LLC Page 211

308 Hosting Architecture PA Interactive s hosting solution includes all aspects of a traditional managed services environment, including planning, analysis, troubleshooting, integration, acquisition, installation, operations, maintenance, training, documentation, and administration services. NIC provides managed services similar to the stated requirements for all of our current state partners. For instance, in Texas NIC currently supports a hybrid hosting environment, the elements of the hosting environment include: Texas.gov portal (SharePoint) at NIC s CDC New e-commerce services at NIC s CDC Legacy systems and services at state data centers Cloud computing services PA Interactive will utilize a similar approach as was deployed for Texas to provide seamless service delivery to Pennsylvania constituents using multiple data centers which will include: the NIC CDC primary and secondary data centers; state data centers; and cloud computing providers where appropriate. The NIC Central Data Centers are proposed as the primary hosting environment for new egovernment applications developed by PA Interactive. A SharePoint 2010 content management system will be used to host the new PA.gov portal website and agency websites at the hosting environment located at the CDC. One of the AT&T IDC either in Virginia or Texas will be designated the primary hosting environment for the Commonwealth with the other AT&T IDC providing alternate site disaster recovery services. The NIC payment processing environment is also located in these NIC data centers. The payment processing environment is completely separated from all other hosted services provided at the CDC. This segmentation is done to improve the security for individual client environments and the payment processing environment itself. Both the NIC Common Checkout application and the NIC Payment Engine service are hosted in this payment processing environment. PA Interactive understands that during the transition and beyond there will be multiple environments that make up egovernment in Pennsylvania that will need to be supported and maintained throughout the migration process. PA Interactive will work with the Commonwealth to establish all roles and responsibilities of PA Interactive, the Commonwealth, and any other third parties in all hosting scenarios. The following figure highlights how the future environment will have multiple hosting locations working in concert to provide seamless government services to consumers. For the purpose of illustration, the Virginia CDC facility is assumed to be the primary hosting facility for Pennsylvania in the figure. This assignment of primary hosting facility will in actuality be made at a later date based on the capacity availability of each facility, geography, and business factors. PENNSYLVANIA INTERACTIVE, LLC Page 212

309 Figure 44: Proposed Hosting Environment Disaster Recovery PA Interactive s hosting solution enables highly available, secure hosting environments that leverage the latest technologies for virtualization, service management, and security. The data center and hosting environment provide hosting for several state portals and numerous government services. NIC maintains geographically separate processing sites. Each of the two CDC facilities provides primary and backup processing for our partners. At the beginning of infrastructure build out, one CDC facility will be designated the primary facility and the other facility will be designated the backup facility. The infrastructure recovery strategy for Pennsylvania will be to provision cluster nodes for web and application servers across both data centers. This allows both hosting sites to be managed as a single server farm to ensure that the backup facility is reliably capable of resuming services after a disaster. F5 Networks global traffic managers manage public internet traffic to these instances running in parallel at both NIC data centers. Under normal circumstances, traffic will be routed to the primary facility. If needed, though, traffic can be diverted to the secondary site. NIC s CDC synchronizes data through several replication strategies to the alternate processing data center in compliance with established RTO requirements. Data replication between facilities is most commonly achieved through replication technologies specific to the relational database technology. PENNSYLVANIA INTERACTIVE, LLC Page 213

310 SAN replication is available, though, as an alternate data replication method for databases and as a primary method of replicating data stored in files. NIC also performs traditional backup and recovery services that provide a second layer of insurance should the primary data center be unusable. Hosting Staffing Profile PA Interactive is proposing to use our corporate IT group to provide the system administration, support, and maintenance activities for portal infrastructure. NIC s corporate IT resources will include the following key roles and skill sets: VP of Technology Chief Security Officer CMS Architects System Administrators Database Administrators Network Engineers Payment Processor Developers Payment Processor Finance Managers Payment Processor Subject Matter Experts Service Desk Analysts Security Analysts Project Managers Quality Assurance Staff The following staffing chart represents NIC s Corporate IT support organization that is responsible for operating and supporting the NIC Central Data Center, managing NIC s Software-as-a-Service solutions and providing expert resources to support individual state portal operations. Each box in the chart below represents a specific individual and the function they provide in the support organization. PENNSYLVANIA INTERACTIVE, LLC Page 214

311 Figure 45: NIC Corporate IT Staffing Profile Security Staffing The diagram above reflects the security staff for NIC s Centralized Data Center (CDC), which directly supports NIC s CDC and centralized services. The comprehensive security function for the Pennsylvania engagement will take advantage of expertise from NIC s Corporate Security Team, CDC staff, and local Commonwealth-dedicated technical staff. NIC s overall security efforts are led by NIC s Chief Security Officer (CSO), Jayne Friedland Holland, and her dedicated security team, which is not depicted in the diagram. The CSO acts as the chief security liaison for all NIC-managed portals, and her team provides security oversight to all of NIC s operating entities and the CDC security staff. The NIC Corporate Security Team also manages the relationship with external security firms such as Terremark and Trustwave, handles audit requests from our state partners, performs the selection and implementation of security tools, as well as provides ongoing training and assessments of our operating units. PENNSYLVANIA INTERACTIVE, LLC Page 215

312 The following diagram outlines the security relationships between the CSO/Corporate Security Team, individual operating units (such as state portal business units), and our CDC team. The CSO reports directly into NIC s General Counsel on all security matters. Figure 46: Security Staffing Profile IV-5.18 Security Requirements IV-5.18 Security Requirements Contractors shall comply with and adhere to the Commonwealth Security Policies and Standards for any work developed under the Master Contract. These policies may be revised from time to time and the Contractor shall comply with all such revisions. Updated and revised versions of the IT Policy and Standards are available at: PENNSYLVANIA INTERACTIVE, LLC Page 216

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364 IV-5.19 ITIL Requirements IV-5.19 ITIL Requirements The Contractor must use ITIL v3 processes to manage the delivery of the services provided. This includes ensuring that all staff hired by the Contractor are at least ITIL v3 foundations certified copies of ITIL v3 certificates must be provided to the Commonwealth within six months of an employee s hire date. This requirement also applies to any sub-contractors hired by the Contractor. In addition, team managers assigned to this project must have ITIL v3 Expert Certification. For the purposes of the Master Contract, the Contractor must implement and report on rollout of the following ITIL processes to meet the requirements of this statement of work: Service Level Management Availability Management Specifically, the Contractor will need to specify how it will manage planned downtime to implement required patches and maintenance. Financial Management Capacity Management Access Management Information Security Management Incident Management Change Management Problem Management Configuration management Release & Deployment Management Service Operation Continuous Service Improvement Commonwealth Response from QA: The Commonwealth is willing to soften the requirement to ensure that all key individuals are ITILv3 Foundations certified within 12 months of employment. Key individuals include all Service Transition and Operations Team Leads with supervisory responsibility, project managers, Development Leads, Requirements Leads, server and network support staff. PA Interactive should provide copies of ITIL v3 Foundations certifications for the Data Center staff that have already been trained. PENNSYLVANIA INTERACTIVE, LLC Page 268

365 NIC s data center support team and portal service staff follow ITIL v3 based processes and procedures for managing all aspects of the data center and for providing IT Service Management. PA Interactive will utilize a service management tool that is built on the IT Infrastructure Library (ITIL), and gives PA Interactive the freedom to completely configure the application to our specific implementation of ITIL for our practices and the needs of our partners such as Pennsylvania. PA Interactive will ensure that all key individuals are ITIL v3 Foundations certified within 12 months of employment. Key individuals include all Service Transition and Operations Team Leads with supervisory responsibility, project managers, Development Leads, Requirements Leads, server, and network support staff. PA Interactive will provide copies of all ITIL v3 Foundations certifications for the Data Center staff that have already been trained. PA Interactive will report to the governance committee the progress on the rollout of all of the listed ITIL processes for this project as part of our ongoing status reports. IV-5.20 Service Level Agreements IV-5.20 Service Level Agreements The Commonwealth intends to establish Service Level Agreements (SLAs) for the development and on going operations of egovernment applications. This section defines the minimum SLA criteria that is required by the Commonwealth. The technical requirements that are presented throughout this statement of work represent the Commonwealth s minimum requirements. The Contractor shall propose a set of SLA metrics / targets that it has utilized on other engagements. The Commonwealth and the Contractor will work together to finalize the SLA metrics for this agreement. Monthly diagnostic reports in the categories outlined below will be used to verify and analyze Contractor conformance with the defined SLAs. The Commonwealth shall have access to all performance data, in raw and processed form, for the purpose of SLA verification. For PA.gov and its egovernment services to continue to be the primary choice for citizens, businesses, and customers to interact with Pennsylvania state government, individuals must be able to rely on these services to be available when they need them. Across NIC-managed egovernment platforms, we have effectively complied with service levels and introduced new performance criteria to effectively measure responsiveness to end users that are specific to each state s requirements. Service Level Methodology PA Interactive will follow a proven methodology to report on service levels to the Commonwealth as established in individual Work Orders. NIC uses many monitoring and reporting tools to analyze, report, and manage performance levels in our state portal contracts. These management tools have proven effective for monitoring the status of the egovernment program and reporting our adherence to service level expectations. The following table provides a summary of the recent tools used in the management of service levels. These same tools are utilized by NIC in a number of recent portal engagements, including Maryland, New Mexico, Texas, and Mississippi. PA Interactive proposes to work with the Commonwealth to determine the appropriate tools for measuring each service level. PENNSYLVANIA INTERACTIVE, LLC Page 269

366 Technology Content Management System Network Performance Monitoring Tool Pingdom Purpose Used to provide an online reporting dashboard for secure access to reports and other performance information. PA Interactive will utilize a performance monitoring tool that: allows for the tracking of performance and health data which provides the foundation to manage service levels; works in heterogeneous environments; and is capable of monitoring VMware virtualized servers. PA Interactive uses SolarWinds Orion Network Performance Monitor (NPM) to track system and network performance in our central data centers. A service utilizing a global network of servers to monitor website availability and performance, instantly provide alerts in case of problem detection and access to real-time reports for performance and availability analysis. PA Interactive understands the Commonwealth s requirements and agrees to work with the Commonwealth to determine the specific details for each service level for the program. Our response to the following sections provides a succinct description for each required service level and the manner in which PA Interactive will track, measure, and comply with those service levels, including: Start Date Metric Description Metric Exclusions Hours of Measurement Days of Measurement Expected Service Level Algorithm Collection Process Reporting Tools/Method Remedy Unit Earn Back Unit Performance Category Metric Reporting PA Interactive looks forward to the opportunity to discuss its approach to performance criteria and proposed service level methodology, remedies, and earn backs with the Commonwealth. All final service levels and methodologies will be established in individual Work Orders. The Contractor will measure and report on each performance category below, on at least a monthly basis. a. Enterprise Application Availability This SLA addresses performance of enterprise application availability. Availability includes the hardware, system software, and telecommunications and shared interface applications. The applications must be available 99.9%. PA Interactive is proposing the following approach for measuring and reporting on the Enterprise Application Availability performance category. SERVICE LEVEL NAME Enterprise Application Availability METRIC DESCRIPTION START DATE Upon launch PA Interactive is responsible for maintaining a highly-available enterprise application environment (infrastructure). Enterprise application availability includes the hardware, system software, telecommunications, shared PENNSYLVANIA INTERACTIVE, LLC Page 270

367 METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL interface applications, and SaaS services, including NIC s TPE, for the PA Interactive-managed and hosted infrastructure. This metric refers to unscheduled downtime as a percentage of available hours tracked to the tenth of an hour. a. Scheduled maintenance b. Availability of individual applications c. Force Majeure Events d. Events determined to be caused by an entity other than or outside the control of PA Interactive, including but not limited to events in which the root cause is determined to be out of the control of PA Interactive 24x % Enterprise Application Availability shall be calculated, for a given measurement window, as (a) the total number of available hours during such measurement window, minus (b) the total number of unscheduled downtime divided by (c) available hours during such measurement window, with the result expressed as a percentage to two (2) decimal places. Available hours equal total number of hours in a month (24 hours x number of days in the month). ALGORITHM Unscheduled downtime equals total number of hours (to the tenth of an hour) during which PA Interactive-managed infrastructure is not available for reasons outside of metric exclusions and solely due to the fault of PA Interactive. Availability equals available hours minus unscheduled downtime divided by available hours. COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARN BACK UNIT PERFORMANCE CATEGORY METRIC REPORTING EXAMPLE: Given: Available-Time-per-Month was 720 hours. Downtime-per-Month was 0.70 hours. ( ) Then: Computed % Availability = = 99.9% Pingdom Secure Online Website Agreed to in individual Work Orders Agreed to in individual Work Orders Availability Monthly Quarterly Annually PENNSYLVANIA INTERACTIVE, LLC Page 271

368 b. Security Management This SLA addresses performance of security management. Security management includes all the components that make up the security barriers to the application, data while being transmitted to or through the application and data available to the application. The security barriers may include firewalls, intrusion detection, virus protection, access control, authentication and other mechanism and techniques to ensure the system and data is protected. PA Interactive is proposing the following approach for measuring and reporting on the Security Management performance category. SERVICE LEVEL NAME Security Management METRIC DESCRIPTION METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL ALGORITHM COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARNBACK UNIT PERFORMANCE CATEGORY METRIC REPORTING START DATE Upon Contract Start Date Contractor reports to the Commonwealth a confirmed Breach of Security within 2 hours of notification of the occurrence. "Breach of Security" means the unauthorized acquisition of electronic data that compromises the security, confidentiality, or integrity of the personal information maintained by a business. a. Force Majeure Events, as defined in the Contract b. Systems outside the control of PA Interactive c. Services outside the control of PA Interactive 24x7 365 Equal to or zero (0) The number of times that Contractor fails to meet the expected service level in a month for the hosted system. Security and system monitoring. Contractor will provide access to these confidential security management performance reports through a secure medium to be determined with the Commonwealth. Agreed to in individual Work Orders Agreed to in individual Work Orders Security Monthly Quarterly Annually c. Application Availability This SLA addresses performance of the individual applications provided by the Contractor where the impact to the Customer community is isolated to the specific application and not all other agency applications on the host server. This SLA shall address performance of the individual applications provided by PA Interactive where the impact to the customer community is isolated to the specific application and not caused by an PENNSYLVANIA INTERACTIVE, LLC Page 272

369 enterprise application component that would fall under the Enterprise Application Availability Service Level. PA Interactive is proposing the following approach for measuring and reporting on the Online Application Availability performance category. SERVICE LEVEL NAME Online Application Availability METRIC DESCRIPTION METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL START DATE Upon launch PA Interactive is responsible for maintaining highly-available individual applications. This metric refers to unscheduled downtime as a percentage of available hours tracked to the tenth of an hour. Online application availability excludes NIC s payment engine, if used by the Commonwealth. Availability will be measured and monitored for each hosted application separately. a. Scheduled maintenance b. Applications built by third parties or state agencies and not managed by PA Interactive at NIC s data center c. Force Majeure Events d. Events determined to be caused by an entity other than or outside the control of PA Interactive, including but not limited to events in which the root cause is determined to be out of the control of PA Interactive e. Downtime due to an agency legacy application operation schedule f. Events due to services measured by the Enterprise Application Availability Service Level (Enterprise Software, network connection, NIC Payment Engine, etc.) 24x % Application Availability shall be calculated, for a given measurement window, as (a) the total number of available hours during such measurement window, minus (b) the total number of unscheduled downtime divided by (c) available hours during such measurement window, with the result expressed as a percentage to two (2) decimal places. ALGORITHM Available hours equal total number of hours in a month (24 hours x number of days in the month). Unscheduled downtime equals total number of hours (to the tenth of an hour) during which a PA Interactive-built application is not available for reasons outside of metric exclusions and solely due to the fault of PA Interactive. EXAMPLE: Given: Available-Time-per-Month was 720 hours. Downtime-per-Month was 0.70 hours. PENNSYLVANIA INTERACTIVE, LLC Page 273

370 COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARN BACK UNIT PERFORMANCE CATEGORY METRIC REPORTING ( ) Then: Computed % Availability = = 99.9% Pingdom Secure Online Website Agreed to in individual Work Orders Agreed to in individual Work Orders Availability Monthly Quarterly Annually d. Network /Server Availability The Commonwealth's egovernment applications must be operational and available to Customers 24 hours a day, 365 days per year. The only exception will be for pre defined systems administration and maintenance. Individual applications may be unavailable based on the individual agency legacy application operational schedule. Scheduled downtime must be coordinated with and approved by the Commonwealth with at least a seven (7) day advance notice prior to performing the scheduled downtime. Scheduled downtime must be scheduled during off hours (5PM 8AM). PA Interactive understands that individual applications may be unavailable based on the individual agency legacy application operation schedule and will factor this into our maintenance windows, availability reporting and service level management. PA Interactive understands that egovernment applications must be available 24 hours per day, 365 days per year basis. To maximize availability, maintenance periods will be agreed upon and defined for regularly-scheduled windows during off-peak times to allow for standard maintenance activities within the IT systems. All release and configuration changes will be conducted during scheduled maintenance periods approved by the Commonwealth. All scheduled maintenance windows will be coordinated and approved by the Commonwealth and will adhere to the seven-day advance notice requirement. Emergency maintenance windows will be planned and scheduled between PA Interactive and the Commonwealth CM according to emergency change management procedures. PA Interactive is committed to performing scheduled maintenance within approved maintenance periods and proposes the following service level for scheduled maintenance activities. SERVICE LEVEL NAME Scheduled Maintenance Activities METRIC DESCRIPTION START DATE Upon Contract Start Date egovernment applications must be operational and available twenty-four (24) hours a day, seven (7) days a week, throughout the year. The only exception will be for pre-defined systems administration and scheduled maintenance. Scheduled maintenance must be performed at times that will not adversely impact daily operations and must be scheduled during lowest activity times as agreed to by the Parties. Scheduled maintenance must be coordinated with GIC and affected PENNSYLVANIA INTERACTIVE, LLC Page 274

371 agencies. PA Interactive will provide the Commonwealth CM and the affected agency with at least seven (7) calendar days notice of scheduled maintenance. For the purposes of calculating this service level, scheduled maintenance includes adherence to the following criteria. PA Interactive will (a) coordinate with the Commonwealth and the appropriate agencies, as well as other vendors, to identify maintenance needs; (b) utilize the change management process to communicate about scheduling and initiating any planned maintenance activities; and (c) submit notices to relevant parties at least seven (7) calendar days before performing the scheduled downtime. METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL ALGORITHM COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARN BACK UNIT PERFORMANCE CATEGORY METRIC REPORTING In the event of an emergency maintenance request, PA Interactive will contact the Commonwealth CM directly to gain immediate approval to allow PA Interactive to take appropriate actions and Contractor will provide the Commonwealth CM an update following resolution of the issue. Receipt of the appropriate approvals from the Commonwealth CM prior to initiating the emergency maintenance activity will allow the emergency maintenance activity to qualify as scheduled maintenance. a. Individual applications unavailable due to an individual agency legacy application operational schedule and not the fault or within the control of PA Interactive b. Applications outside of the control of PA Interactive 24x7 365 Equal to or less than zero (0) Availability Scheduled Maintenance Activities shall be calculated, for a given Measurement Window, as (a) the total number of actual maintenance minutes during such Measurement Window, minus (b) the total number of scheduled maintenance minutes during such Measurement Window. Pingdom, Service Management Tool Secure Online Website Agreed to in individual Work Orders Agreed to in individual Work Orders Availability Monthly Quarterly Annually e. Network and Server Performance Measurement Monitoring and measuring the end to end performance experienced by Customers may be facilitated by network management and monitoring tools. The Contractor shall obtain measurements and report on an ongoing basis on the performance experienced by Customers from different locations. Performance management tools must provide PENNSYLVANIA INTERACTIVE, LLC Page 275

372 an integrated and time synched mechanism with which the Commonwealth and the Contractor can monitor server and network performance of all aspects of the transaction, excluding any client side performance monitoring. Contractor must provide a description of the automated tools it employs and provide access to performance reports to the Commonwealth. PA Interactive will be responsible for operating the network and hosting environment and monitoring infrastructure components for issues. Real-time monitoring is performed on the environment primarily by Nagios, Cacti, Tripwire, SolarWinds Orion, Oracle Grid, Pingdom, and other native and third party monitoring services. These technologies can be configured to measure performance from specific service monitors and any alerts are then routed via and/or dedicated paging mechanisms. All monitoring notifications are set to specific thresholds or alerting conditions, which when triggered, send automated notifications to all appropriate parties. These notifications are acknowledged by the primary on-call PA Interactive support team member and are responded to according to their severity. The NIC CDC maintains a log of all such monitoring notification generated at the data center and the accompanying service actions. The NIC CDC currently rolls up the significant monitoring reports into summary format to share with the Commonwealth on a regular basis. These reports leverage standard metrics and reporting views common to our overall operations. Any additional service reporting will be developed and incorporated on an as needed basis. These reports can be customized for Pennsylvania if required. PA Interactive uses Pingdom for web performance tests and measurements. The solution offers a unique online performance measurement that aggregates the actual end-user experience and measures the availability of services from multiple worldwide monitoring stations. It easily allows the comparison of current and past performance data. This effectively monitors the last mile experience. PA Interactive will provide authorized access to all reports through a secure website. f. Disaster Recovery The Contractor shall establish and maintain an alternative processing arrangement adequate to resume service within 24 hours for the applications developed under the Contract, in the event the agency site or equipment is unavailable due to human error, equipment failure, man made or natural disaster. Contractor provide alternative processing arrangements including an alternative processing site disaster recovery testing cycle. PA Interactive provides a comprehensive disaster recovery plan to resume the application processing services provided under the Contract within 24 hours of a declared disaster. All of the backups for the NIC CDC are written to an EMC Avamar grid. There is a separate Avamar grid in each data center. Nightly, the data is replicated to the alternate grid, which is in a geographically-dispersed data center. This replication is in addition to the data replication occurring from the SQL Server, Oracle Streams, and SAN systems. NIC has invested heavily in an alternate site location to mirror the CDC hosting environment. The replication strategy for this location is to leverage a mirror production web, application, and PENNSYLVANIA INTERACTIVE, LLC Page 276

373 database servers for transaction processing. F5 Networks global traffic managers will direct public Internet traffic to these instances running in parallel at both NIC data centers. In the case of a disaster, the F5 Global Traffic Managers will route traffic to the alternate data center. g. Performance Monitoring and Problem Resolution The Contractor shall provide performance monitoring and problem resolution, which shall include procedures to be included for interfacing and consulting with hardware and software suppliers to identify and correct problems. The Contractor shall perform maintenance at times that will not adversely impact daily operations as per the Commonwealth s change management process. The Contractor shall coordinate maintenance schedules and procedures based on the Commonwealth s requirements. PA Interactive is dedicated to the proactive monitoring and resolution of the systems it supports on behalf of its government partners, and PA Interactive considers meeting this requirement one of our principal roles as a partner in the Commonwealth s egovernment program. Under the self-funded model, PA Interactive s success is solely driven by the availability of the infrastructure and applications available to the public on behalf of its government partners. Monitoring, Notification, Problem Resolution PA Interactive is proposing a service level methodology and specific service levels that illustrate PA Interactive s commitment to monitoring and availability. In particular, there are several proposed service levels enterprise application availability, security management, application availability, scheduled maintenance activities, issues notification, and correction of defects that will ensure prompt notification about and resolution of problems. The cornerstone of a proactive monitoring, notification, and problem-resolution approach is the appropriate mix of technology and supporting processes that engage vendors and other service providers to identify and correct problems. PA Interactive uses SolarWinds Orion Network Performance Monitor (NPM) to track system and network performance. Orion allows for performance and health monitoring which provides the foundation to manage service levels, works in heterogeneous environments, and is capable of monitoring VMware virtualized servers. and SMS alerts are established for system metrics that exceed standard and established service level thresholds. PA Interactive will also leverage a third-party monitoring service from Pingdom. This measures service levels from various checkpoints on the Internet from around the globe. All monitoring and performance resources can be configured to alert key PA Interactive personnel as well as commonwealth staff as appropriate. The proposed solutions will allow PA Interactive to continuously monitor the health of egovernment systems, notifying designated Commonwealth staff of performance issues as necessary, system alerts, or failures at all times, using the most appropriate and efficient communication methods. PA Interactive will record system health status changes and report this information through the proposed secure reporting website. Interface with Hardware and Software Vendors PA Interactive will retain hardware and software maintenance and support contracts on components managed by PA Interactive for the Commonwealth s egovernment program. Per each maintenance agreement, vendors will guarantee standard response times to identify and correct problems. PA Interactive will ensure these agreements fall within any defined service level agreements with the PENNSYLVANIA INTERACTIVE, LLC Page 277

374 Commonwealth. Any exceptions to the defined service level agreements by hardware or software vendors will be communicated to the Commonwealth prior to execution. Maintenance Periods Maintenance periods will be agreed upon and defined for regularly scheduled time windows during off-peak times to allow for standard maintenance activities within the IT systems. All release and configuration changes will be conducted during scheduled maintenance periods approved by the Commonwealth. All scheduled maintenance windows will be coordinated and approved by the Commonwealth and will adhere to the seven-day advance notice requirement. Emergency maintenance windows will be planned and scheduled between PA Interactive and the Commonwealth CM according to emergency change management procedures. The Contractor shall address system issues relating to software, hardware, network, IDS/IPS and backup services according to predefined service levels as delineated below. The Commonwealth may modify the priorities. The following priority levels have been established as the minimum SLAs for any issues encountered within the environment. Level Category Description Service Level Priority 1 Severe Problem A service, access, functionality is unavailable and no readily available alternative solution or workaround exists for established service levels Notification to the Commonwealth CM within 10 minutes; resolution within 30 minutes (24 hours a day, 365 days per year) Priority 2 Severe Problem A service, access, functionality is unavailable but a readily available alternative solution or workaround does exist Notification to the Commonwealth CM within 30 minutes; work towards resolution within 2 hours (24 hours a day, 365 days per year) Priority 3 Isolated Problem Degraded Performance Change Management Configuration Control Limited to a few users; degraded application functionality, change management, configuration control Notification to the Commonwealth CM within 3 business days; To ensure that we are meeting the Commonwealth requirements in issue resolution, PA Interactive proposes the following two service levels to address issue notification and correction of defects. SERVICE LEVEL NAME Issue Notification START DATE Upon Contract Start Date PENNSYLVANIA INTERACTIVE, LLC Page 278

375 METRIC DESCRIPTION METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL ALGORITHM COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARN BACK UNIT PERFORMANCE CATEGORY METRIC REPORTING SERVICE LEVEL NAME Correction of Defects METRIC DESCRIPTION Issue Notification means the notification to the Commonwealth CM by PA Interactive of a Priority X problem assigned to PA Interactive by the Commonwealth and/or the help desk. It includes all Priority X Incident tickets that are directly attributable to services for which PA Interactive is operationally responsible. Priority 1: 10 Minutes Priority 2: 30 Minutes Priority 3: 3 Business Days Excludes all Priority X incident tickets that are directly attributable to services for which PA Interactive is not operationally responsible. PA Interactive will however assist with coordinating resolution. If the number of Priority X incident tickets measured in a Measurement Reporting interval is five or less, the Measurement Interval will be extended for the next Measurement interval for determining Service Level Units. 24x % Response to a Priority X Problems is calculated as the total number of Priority X Problems assigned to PA Interactive that have been notified to the Commonwealth within the defined timeline of X Minutes or Days during the reporting period divided by the total number of Priority X problems assigned to the PA Interactive during the reporting period expressed as a percentage to two (2) decimal places. Service Management Tool Secure Online Website Agreed to in individual Work Orders Agreed to in individual Work Orders Availability Monthly Quarterly Annually START DATE Upon launch Priority 1, 2 and 3 defects reported in production should be corrected within prescribed timeframes. For purposes of calculating this Service Level, only those defects identified in the production environment and assigned to PA Interactive for which PA Interactive was responsible for (a) the creation of the functional specifications, (b) the application development efforts to produce the service or (c) conducted UAT and approved release to production will be included in the calculation. Each Priority Level is assigned the following correction periods: Priority Level 1: Resolution within 30 Minutes (24 hours a day, 365 PENNSYLVANIA INTERACTIVE, LLC Page 279

376 METRIC EXCLUSIONS HOURS OF MEASUREMENT DAYS OF MEASUREMENT EXPECTED SERVICE LEVEL ALGORITHM COLLECTION PROCESS REPORTING TOOLS/METHOD REMEDY UNIT EARN BACK UNIT PERFORMANCE CATEGORY METRIC REPORTING days per year) Priority Level 2: Work towards resolution within 2 hours (24 hours a day, 365 days per year) Priority Level 3: N/A Excluded from this Measurement are projects for which PA Interactive has no involvement or authority over development or testing protocols nor required to approve release of said project into production. There will be no points deducted for issues that do not qualify for Priority Levels 1-3, however PA Interactive is expected to report and address these incidents as appropriate. Daily % Number of Priority X Problems assigned to PA Interactive that are resolved or being worked on within the defined timeline during the reporting period divided by the total number of Priority X problems assigned to PA Interactive during the reporting period expressed as a percentage to two (2) decimal places. Service Management Tool Secure Online Website Agreed to in individual Work Orders Agreed to in individual Work Orders Availability Monthly Quarterly Annually IV-6 Financial Reporting and Auditing IV-6 Financial Reporting and Auditing The Contractor shall provide to the Commonwealth monthly income statements, cash flow statements and other reports requested by the Commonwealth regarding the operation of the Commonwealth s egovernment services. The Contractor shall also provide quarterly financial Statements (unaudited, but presented in accordance with Generally Accepted Accounting Practices ( GAAP )) and annual audited financial statements of the Contractor showing revenues of all egovernment activities related to this Master Contract, and demonstrating that the Contractor has maintained positive net worth and such additional capital and liquidity as are reasonably adequate for the continued operation of the portal / egovernment initiative. The financial statement audits must be conducted by an independent third party. In addition, the Contractor shall provide to the Commonwealth either (a) a copy of its annual audit or (b) a summary of any audit findings that affect the Pennsylvania operation. A Certified Public Accountant (CPA) licensed in the will perform any such audit. The CPA will be approved by the Commonwealth. a) The Contractor shall agree to participate and make changes in conjunction with any Commonwealth mandated audit. PENNSYLVANIA INTERACTIVE, LLC Page 280

377 b) To the extent the audit report discloses any discrepancies in the Contractor s charges, billings or financial records, the Contractor shall adjust the next regular payment to the Commonwealth and appropriate agency as soon as reasonably possible, but not to exceed ninety (90) calendar days. c) The Contractor s accounting system shall include a numbered chart of accounts, books of original entry of all transactions, appropriate subsidiary ledgers, a general ledger that includes to date postings and an audit trail through financial Statements. The Contractor shall use the Commonwealth fiscal year ending June 30 for reporting purposes as noted above. One of the salient features of the self-funded business model is financial and operational transparency into the true cost of providing egovernment services for the Commonwealth. In most traditional state-vendor relationships, a vendor charges the state a fixed price which is paid from state appropriated funds, based upon agreed-to milestones, and is guaranteed to collect the agreed price to provide the service as long as the state accepts the deliverables. By contrast, PA Interactive proposes our self-funded business model in which we are paid exclusively from the PA.gov portal revenues (rather than Commonwealth-appropriated funds). This means our compensation is based upon the actual performance of our services, i.e., whether they are actually used online by portal users. In short, PA Interactive will only get paid when citizens and businesses choose to use the online services we provide and operate on behalf of the Commonwealth. We make a significant upfront investment without any contractual guarantees and are paid our actual costs of providing service plus a reasonable return. The individual cost items are presented as incurred without separate mark-up for profit. This is a marked departure from the traditional vendor service delivery approach and will deliver significant upside benefits for Pennsylvania. To the Commonwealth, we commit to provide OIT with a reasonable level of transparent financial information of our business unit dedicated to Pennsylvania, in an effort to better enable OIT to manage its governance and oversight responsibilities and to determine that we are carrying out the activities necessary to operate a financially-sound egovernment program on behalf of the Commonwealth. Approach to Financial Reporting for Pennsylvania PA Interactive s approach to financial reporting is comprehensive, flexible, and robust. We recognize that reasonable transparency is the foundation of a successful partnership and reporting is an important component in establishing an open and communicative environment between stakeholders. PA Interactive will provide a monthly financial reporting package comprised of monthly income statements, balance sheets, and other mutually-agreed to reports as reasonably requested by the Commonwealth. In cooperation with PA Interactive portal management, NIC s centralized Corporate Finance Division prepares customizable monthly financial reporting packages for state portal business units. Financial results included in these reporting packages are generated from an industry-leading financial management software suite that allows for robust reporting, which can be tailored easily. PA Interactive is dedicated to providing a comprehensive financial reporting package that is flexible and configurable to meet the needs of the Commonwealth. We commit to provide both quarterly financial statements presented in accordance with GAAP and annual audited financial statements showing revenues relating to the PA.gov portal business unit. Finally, we will provide a summary of any audit findings that affect the Pennsylvania operation. PENNSYLVANIA INTERACTIVE, LLC Page 281

378 Pennsylvania-Licensed Certified Public Accountant NIC Inc. s independent registered public accounting firm is PricewaterhouseCoopers LLP (PwC), which is licensed in the. We will make sure that PwC is approved by the Commonwealth CM for any financial audit. PA Interactive will bear the cost of necessary audits performed at the request of the Commonwealth. Commonwealth-Mandated Audits We agree to participate in, and make changes as mutually agreed as a result of any Commonwealthmandated audit. NIC Inc. has always received an unqualified audit opinion on its consolidated financial statements (which include all subsidiaries, including NICUSA, Inc.) from its independent auditors. As a public company, NIC Inc. is subject to Section 404 of the Sarbanes-Oxley Act of 2002 ( SOX ), which relates to internal controls over financial reporting. NIC Inc. s internal controls penetrate to the operating unit level, including each of the Company s state operating subsidiaries. As noted on page 41 of NIC Inc. s Annual Report on Form 10-K for the year ended December 31, 2011, which is available online through the Security and Exchange commission s (SEC) web site: NIC Inc. received an unqualified (i.e., clean) report from its independent auditors, PwC, relating to its internal controls as well as its consolidated financial statements for the three years ended December 31, 2011 representing NIC Inc. s most recent, audited consolidated financial statements. Adjustment of Payments We agree to adjust payment to the Commonwealth within 90 calendar days if an audit discloses any financial discrepancies. In Pennsylvania, we are committing to provide real-time, reasonably transparent financial information of our business unit dedicated to the PA.gov portal on a monthly basis. Also, as we commit to do in each of our portal states, PA Interactive also commits to providing annual audited financial statements of our dedicated business unit, so the Commonwealth can be assured that the financial figures reported to it are accurate and complete. Monthly unaudited reports will also allow the Commonwealth to monitor the reasonableness of our cost structure and profit margins on an enterprise-wide basis. Across our portal operations, the vast majority of revenues generated by the self-funded model are invested into the egovernment solution we provide to our state partners and their customers. We will work closely with OIT and the Governance Committee to determine the appropriate level of reinvestment to ensure its operations are appropriately supported. Accounting System PA Interactive commits to providing an accounting system that includes a numbered chart of accounts, books of original entry of all transactions, appropriate subsidiary ledgers, a general ledger that includes to-date postings, and an audit trail through financial statements. PENNSYLVANIA INTERACTIVE, LLC Page 282

379 Fiscal Year For reporting purposes, NIC Inc. is a calendar year-end company (i.e., December 31); all of NICUSA s portal operating subsidiaries are also calendar year-end companies. As well, all of NICUSA s current audits for its subsidiaries and for itself are based on a December 31 year end. As such, PA Interactive respectfully requests that the Commonwealth consider a calendar year for reporting purposes of Pennsylvania Interactive, LLC. Financial Report Structure The monthly financial package will be one set of metrics used by the Commonwealth to evaluate how PA Interactive is delivering on the overall strategic objectives of the enterprise portal program. As such, NIC partners request that the financial reports deliver a consolidated, program-level viewpoint into the total revenue generated by the portal (typically itemized by DMV transaction-based, non- DMV transaction-based, and other revenue) and how that revenue is reinvested into portal operations. This monthly financial reporting will assist the Commonwealth in its review and analysis of the overall financial position as well as the results of operations of the portal program. In addition to monthly financial reporting, as we commit to do in each of our partner states, PA Interactive also will provide annual audited financial statements of our dedicated Pennsylvania-based business unit, so the egovernance Committee can monitor the reasonableness of our cost structure and investment in the Pennsylvania solution on an enterprise-wide basis. A template of the monthly financial reporting provided to our partners follows. Figure 53: Financial Report Template Portal Statement of Operations For the Eight Months Ending August 31, 2012 Current Activity Year to Date August August Prior Year Variance Actual Prior Year Variance Revenues: DMV Non-DMV Transactions Non-DMV Services (T&M) Total revenues Expenses: Employee compensation Merchant fees Other portal expenses Total expenses Income from operations Pre-tax income Provision for income taxes Net income =================== =================== =================== =================== =================== =================== For Management's Use Only PENNSYLVANIA INTERACTIVE, LLC Page 283

380 IV-7 Tasks and Deliverables IV-7 Tasks and Deliverables The Contractor will be expected to product the following tasks and deliverables under this agreement IV-7.1 Project Management Deliverables IV-7.1 Project Management Deliverables PA Interactive will work with the Commonwealth to develop and manage a comprehensive set of program management deliverables that provide accessibility to and transparency into PA Interactive operations and performance, as required by this Statement of Work. Project Management Deliverable 1. egovernment Governance Structure 2. egovernment Request Process 3. egovernment Prioritization Process PA Interactive Approach PA Interactive will work with the Commonwealth to define and document the governance structure, including identifying the roles and responsibilities of all participants and entities in the governance framework, including the Contractor. NIC has created similar documents for other partners and can propose formats and contents to assist in the development of this document. PA Interactive will document a Commonwealth-approved step-bystep Work Order process that can be followed by any agency, which will clearly define the order of tasks, responsibilities, outcomes, and next steps. PA Interactive will also develop templates for Work Order Request, Work Order Proposals, and Work Orders that can be used to simplify the Work Order process. Additionally, PA Interactive will provide a means for submitting and tracking Work Orders so that agencies and the Commonwealth can monitor the progress of Work Order Requests. PA Interactive will work with the Commonwealth to design, implement, and document a prioritization model that will provide a number of valuations that will assist Pennsylvania in prioritizing egovernment projects. NIC has developed prioritization models in each of our partner states and anticipates that Pennsylvania will leverage this experience. 4. Incident Management NIC has proven Incident Management strategies and has employed them in each of our partner states. PA Interactive will work with the Commonwealth to formalize and document the Incident Management process to the satisfaction of OIT and agencies. 5. Problem Management PA Interactive s problem management process is an integral component of the overall ITIL-based service management model that PA Interactive will put into place, with the approval of the Commonwealth. PA Interactive s problem management approach will incorporate root-cause analysis to ensure issues do not persist. PENNSYLVANIA INTERACTIVE, LLC Page 284

381 Project Management Deliverable PA Interactive Approach 6. Release Management PA Interactive s Release Management methodologies are also an important, inextricable sub-process of the Service Management framework that PA Interactive will implement for the Pennsylvania egovernment services contract. The document that defines Release Management will highlight how PA Interactive will manage releases to egovernment applications in a controlled manner and how change and configuration management will also be implemented. 7. Security Review Process NIC proposes to use our established relationship with Verizon Business/Terremark to review our security processes under its Security Management Program (SMO). PA Interactive will also have a third party qualified assessor audit our payment processing compliance under PCI DSS. 8. Requirements Management Plan PA Interactive will employ a proven requirements document, management, and traceability methodology that clearly documents how requirements will be gathered, stored, traced, and verified through the testing methodology for each Work Order. 9. Communications Plan PA Interactive will provide a Communications Plan that highlights how the Commonwealth and PA Interactive will announce new egovernment services and how to market those services. Our proven communications and marketing approach includes several proposed elements that we believe will deliver immediate and lasting value to Pennsylvania, including: Public relations and media outreach Marketing research Multimedia advertising Proven social media tools to create connections between the Commonwealth and its customers We will work closely with the Commonwealth to ensure the marketing initiatives align with the goals and objectives of Pennsylvania s egovernment program. 10. Quick Wins Immediately on contract award, the dedicated PA Interactive Account Team will focus on the selection, prioritization, and deployment of egovernment applications in NIC s inventory; begin to develop high-priority egovernment applications as agreed to by the Commonwealth and PA Interactive. These quick wins will provide potential for the Commonwealth to obtain immediate value from the new contract. 11. Technical Standards PA Interactive will provide an annually updated Technical Standards document that defines technical platforms, hardware, software, and other long-term products that will be used throughout the life of the engagement. 12. Project Management Plan PA Interactive s approved Project Management Plan will document how PA Interactive will manage the portfolio of Work Orders, and will include how issues, risks, and change control will be managed, logged, and communicated. 13. Disaster Recovery Plan PA Interactive will document Disaster Recovery and Business PENNSYLVANIA INTERACTIVE, LLC Page 285

382 Project Management PA Interactive Approach Deliverable Continuity approaches for the services provided under this agreement. 14. Contract Performance Plan We will develop a Contract Performance and Remediation Plan that and Remediation Plan highlights the process to be used to monitor contract compliance and how remediation plans will be developed and implemented. This document will be used during the semi-annual contract compliance review and will be presented to the egovernment Governance Committee. 15. Quarterly SLA Report PA Interactive will provide a quarterly SLA Report that documents adherence to established Service Level Agreements. 16. Project Collaboration Plan PA Interactive will develop and document a plan for communicating to all project stakeholders. This includes storing all project materials for each Work Order. PA Interactive will identify a repository for documenting and storing all project materials. 17. Source Code Management Plan 18. Security Assessment & Remediation Plan 19. Code Reviews & Remediation Plan 20. Infrastructure Health Checks & Remediation Plan This PA Interactive-developed Source Code Management Plan will document where the source code will be stored and updated, any escrow agreements, and how the source code will be managed and documented. PA Interactive will provide quarterly security assessment based on the results of portal operations and the external scans done quarterly under our SMP and PCI DSS security programs. Based on the review, PA Interactive will develop and implement a remediation plan to address any issues identified in the review. On a semi-annual basis, a random sampling of three applications will be selected for a code review that will be completed by an PA Interactive-selected third party entity at PA Interactive s expense. The code review/security assessment of web applications will be performed by a PA Interactive-selected and paid-for third party, using automated tools and validated manually. Manual validation will look at output of automated review and targeted areas of application including OWASP Top 10 vulnerabilities. Results of the code review will be presented to the Commonwealth and a corrective plan established and implemented, where required. PA Interactive will provide an annual infrastructure health check assessment that will be performed as part of the Verizon Business/Terremark Security Management Program. Based on the review, PA Interactive will develop and implement a remediation plan to address any issues identified in the review. 21. Financial Reports As required, PA Interactive will provide Financial Reports, in accordance with section IV-6 Financial Reporting and Auditing, to the Commonwealth. 22. Portal Migration Plan PA Interactive will develop a detailed Portal Migration Plan that outlines the approach and milestones to migrate all web content from the current portal platform over to the new CMS platform. 23. ITIL Status Updates As required, PA Interactive will provide quarterly status reports regarding its progress in implementing ITIL best practices and processes throughout the organization and this will include Continual Service Improvement initiatives. PENNSYLVANIA INTERACTIVE, LLC Page 286

383 IV-7.2 Work Order Deliverables IV-7.2 Work Order Deliverables The following deliverables will be required for every Work Order issued under the Master Contract. The Commonwealth and selected Contractor shall agree to a Deliverables matrix that highlights which deliverables will be completed for each work order. 1. Project Charter This document should describe the overall project, key stakeholders, identify the benefits and how the Work Order will be funded utilizing one of the funding mechanisms identified in section IV-3.7 Payment Models. 2. Project Governance Structure / RACI This document should describe the specific governance structure for the Work Order and how the Work Order governance structure will interact with the egovernment Governance Committee. The RACI portion of this document should highlight all personnel resources along with their roles and responsibilities. 3. Project Scope This document will describe the scope for the first release or phase of the Work Order. It will identify affected organizations, business processes and systems and will describe high level business requirements, critical success factors, assumptions, risks and constraints. A high level notional timeline should also be included in this document. 4. Work Breakdown Structure/ Work Plan This deliverable is the Work Order plan and should document all major tasks and milestones along with key due dates and who will be completing each assignment. This document will be used to report on the overall percent complete for the Work Order. 5. Business Owner & Technical Owner. This will describe which agency has ultimate responsibility and authority over the specific Work Order to include who will be responsible for ongoing service delivery on the IT system that is developed once the Master Contract ends. 6. Requirements (As Is, To Be, Gap Analysis, Functional requirements) The Contractor will need to document requirements for all work completed under the Work Order. The level of detail needed for the requirements will vary depending on the level of complexity of the solution. To ensure common agreement, a deliverable outline should be provided to the Commonwealth before commencing work on the requirements. 7. Design The Contractor will develop a design document that will highlight the application architecture and technology used. This design must be reviewed and approved by the business and technical owner prior to commencing development. 8. Development This task includes building the solution. To the extent possible, the Commonwealth is interested in an approach whereby the appropriate Commonwealth staff are involved early and can view progress on the solution as it is being developed. 9. Test Plan & Test Scripts The Contractor will be responsible for developing and executing test plans and test scripts for functional requirements testing, stress testing and user acceptance testing. This task must be approved by the Commonwealth before the solution can be migrated to production. 10. Training The Contractor will develop a Training Plan for every Work Order that will describe its approach to training agencies or customers on the application. The Contractor will also be responsible for delivering the training plan proposed. 11. Deployment The Contractor will be responsible for migrating each release to the appropriate environment for testing, training, and finally production. Once the functional release is signed off on,, it maybe migrated to PENNSYLVANIA INTERACTIVE, LLC Page 287

384 production where the Contractor will monitor performance, perform bug fixes, and identify gaps from the requirements 12. Systems Documentation The Contractor will be responsible for developing systems documentation for all solutions deployed as the result of a Work Order. The systems document will describe database schema, data fields, business rules, testing, deployment, configuration, code, processes and workflow. 13. Lessons Learned At the end of every Work Order, the Contractor will facilitate a lessons learned meeting to document what went well and what could have been improved with the Work Order. That information will be shared with all members of the Work Order team and the egovernment Governance Committee. 14. Maintenance and Support The Contractor will be responsible for maintaining and supporting the production environment while subsequent releases are being developed. 15. Deliverables Sign Off Throughout the project, the Contractor will work with the Commonwealth to ensure all project deliverables have the appropriate sign-off before moving on to the next phase or milestone on the project. PA Interactive will develop, with the Commonwealth s approval, standardized Work Order templates that will be employed through the Work Order process, which capture the Work Order deliverables identified in this requirement. During development of the Work Order template documents, PA Interactive and the Commonwealth will agree upon a matrix that defines which Work Order Deliverables will be completed for each Work Order based on mutually defined terms and restraints. PA Interactive will provide a repository to manage and closely control the versions and release of these documents. IV-7.3 Transition Deliverables IV-7.3 Transition Deliverables The following deliverables will be required once the Commonwealth has notified the Contractor as to the termination of the contract. The Contractor will be given one calendar year from the date of notice in order to properly implement the Transition Plan below. 1. TurnOver Plan The Contractor will be expected to develop a transition plan upon receiving written notice from the Commonwealth. The plan should describe the proposed approach to transitioning the services at the end of the contract to either Commonwealth staff or its designee. The plan should identify the specific skillsets needed to maintain the solutions built under this agreement. Consideration must be given to ensuring continued operation and services, without disruption, during the turnover period. The turnover plan will include, at a minimum: i. Responsibilities by resource for operational support during the turnover services period. ii. Security and system access iii. Any hardware/software and telecommunications requirements iv. Processes for the identification of any deliverables that have not been delivered, that have been delivered but not accepted, or that have been rejected and a proposed resolution for all such identified deliverables. v. A list of detailed documentation about the technical infrastructure and applications to be provided during the transition services period to support ongoing support and maintenance, and provision for delivery of all documentation, configurations, design assumptions, manuals, business logic, source code and other such informational records necessary for continued operation of the Solution. vi. A work plan for each stage of the transition services. vii. Plans for coordination and transition of specific responsibilities from Contractor to the PENNSYLVANIA INTERACTIVE, LLC Page 288

385 Commonwealth. viii. Help Desk / Service Desk Operations. ix. A process to continue or extinguish the Source Code Escrow, if Source Code is part of the Work Order. x. A list of operational statistics to be provided during the transition services period, including resource consumption, system performance, and application activity in both aggregated and trended forms. xi. An inventory of third party products for which the licenses will be transferred from Contractor to the Commonwealth. This inventory shall be delivered together with fully executed copies of all license agreements and assignments therefore acceptable to the Commonwealth. xii. Any work in process or to be performed under any Work Order in operation at the time the Commonwealth requests transition. xiii. Return of the Commonwealth s data and any other Commonwealth property in the possession of the Contractor, or verification of the destruction of confidential records, software, and/or scripts. In addition, the turnover plan will, at a minimum, specifically provide for turnover of the following functions to the Commonwealth or its designee: 2. TurnOver Tasks Training Support - Knowledge and Process Transition Project Management Support: Knowledge and Process Transition, Management Tool Transition. Help Desk / Service Desk Operations: Knowledge and Process Transition Training, Tool Transition. Operations Transition: Technical Operations, Knowledge and Process Transitions. Training Production Hardware Infrastructure Transition: Server Based systems, Network Based systems, Database systems, Web Based systems, Data Migration. Development Environment Hardware Infrastructure Transition: Server Based systems, Network Based systems, Database systems, Web Based systems. Operations Transitions 3. Turn Over Deliverables Data Migration Hardware Infrastructure Test Plan Software Infrastructure Transition Documentation: Licensing, Dependencies, Third-Party Software and Tools, Testing Plan, Level of Certification, Operations Transition. Network Connectivity Migration Documentation: Training, Knowledge and Process Transitions, Front-End Connectivity, Back-End Connectivity. Environmental Documentation: Cabling Environment, Mounting System Rack, Enterprise Systems and High Availability. Application Operations Documentation: Knowledge and Process Transition, Application Component Transition, Contractor Proprietary Software Transition License Transition. Source Code Transition: Transition of Source Code to include a description of the code base and design principles and approaches PA Interactive understands that it is critical to provide a comprehensive and proven approach to turn over all operation and support at the end of the contract to Commonwealth staff (or designee). PA Interactive will work to provide a seamless transition without interrupting the service for users and maintaining operational integrity and accountability. In particular, PA Interactive commits to making an orderly transition and perform all tasks that are necessary to preserve the integrity of portal operations during the end-of-contract turn-over period and to provide the training and knowledge transfer necessary to successfully operate the portal. NIC s reputation is founded on the principals of partnership and good working relationships with our state partners and it is imperative that the project is successful for the implementation, operation, and turn-over phases of the project. PENNSYLVANIA INTERACTIVE, LLC Page 289

386 PA Interactive will utilize strong program management processes combined with the detailed results of the initial implementation project to fully document the support and maintenance requirements around existing assets and any newly-implemented assets during the term of the contract. PA Interactive will then maintain, update at least annually, and augment the Turn-Over Plan with the results of new and enhanced service delivery to use as the method to operate the transition. The timeline depends on the maturity of the platform at the time of the transition, the capabilities of the Commonwealth or designee, project dependencies, and the Commonwealths desired timing. NIC has worked with other state partners to identify transition activities that include these key phases: Implementation of the Transition Plan Knowledge and Asset Transfer Operational Transition Phased or All-At-Once Cut-Over Testing Sign-Off Project Closure Turn-Over Plan PA Interactive understands that preparing for transition of services from the Contractor to another entity is a critical and ongoing activity that must be managed throughout the term of the program. PA Interactive currently operates all of our existing contracts to support efficient and successful endof-contract turn-over/disentanglement plans. The Turn-Over Plan will include: Issues that need to be addressed during a Turn-Over period Contractor roles and responsibilities as they relate to program functions, including the role of PA Interactive personnel and any subcontractors Commonwealth roles and responsibilities as they relate to program functions Additional stakeholder roles and responsibilities as they relate to the transition of program functions Any work in process or to be performed under any Work Orders in operation at the time the Commonwealth requests transition. Identification of any software, deliverables or projects that have not been delivered, that have been delivered but not accepted, or that have been rejected and a proposed resolution for all such identified projects Work Order(s) that outline key milestones during the turn-over period An outline of procedures to be followed during the turn-over period A list of detailed documentation about the technical infrastructure and applications to be provided during the transition services period to support ongoing support and maintenance of the program, and provision for delivery of all documentation, configurations, design assumptions, manuals, business logic and other such informational records necessary for continued operation of the program. The method of identifying, documenting, and transferring assets developed during the course of the contract period that are subject to the Turn-Over Plan An inventory of third party products for which the licenses will be transferred from Contractor to the Commonwealth. This inventory shall be delivered together with full PENNSYLVANIA INTERACTIVE, LLC Page 290

387 executed copies of all license agreements and assignments therefore acceptable to the Commonwealth Return of Commonwealth Data; and destruction and verification for confidential records, software, and scripts. A process to continue or extinguish the Source Code Escrow, if Source Code is part of the Work Order A contact point and procedures for managing problems or issues during the turn-over period Turn-over deliverables Security and system access requirements Help Desk/Service Desk operational requirements Contractor fees during turn-over periods A list of operational statistics to be provided during the transition services period, including resource consumption, system performance, and application activity in both aggregated and trended forms. A plan and process for addressing disentangling Software as a Service Applications (SaaS) or cloud solutions. Transition Strategies Based on NIC s experience operating and managing similar operations with end-of-contract requirements, we have created common strategies for transition planning similar to those we would expect that the Commonwealth would require in an end-of-contract Turn-Over Plan. NIC s experience has shown that these strategic areas need to be addressed in order to assure a smooth transition of the program from PA Interactive to a new operator. The following table outlines those activities and the process around how NIC typically addresses these areas for end-of-contract transition. This list is forward looking and includes services requested in this Statement of Work that have not been implemented or may not ever be implemented in Pennsylvania. PA Interactive understands this is an initial list and will work with the Commonwealth to refine this list and implement the correct program management processes to support an orderly end-of-contract turn-over. PA Interactive will continue to update the Turn-Over Plan to support the end-of-contract transition as new services are launched that may impact the strategy and approach. Strategic Area Project Debriefing Meeting Portal, Application, and Service Takeover Process PA Interactive will perform a final project debriefing meeting at the end of contract to go over the end-of-contract transition materials, lessons learned, and other items critical to the future success of the program. PA Interactive shall ensure that all necessary knowledge and materials for the tasks completed is transferred to the custody of Commonwealth personnel. PA Interactive will provide domain expertise and the artifacts outputs created from the initial implementation and operation of the program, including: Application support information Software documentation and source code Technical environment requirements Technical environment architecture Project management plans PENNSYLVANIA INTERACTIVE, LLC Page 291

388 Strategic Area Software Licensing, Support Contracts, Rights, and Ownership Software as a Service Solutions E-commerce/Financial Processing System Projects in Development Outstanding Change Requests or Work Orders Invoices Subscriber/User Account Management Process Knowledge transfer plan Methodology for status reporting and meetings Information on staffing levels and risks Provide details about each software asset, including: licensing model, support contracts, cost components, version, currency level, and third party supportability. Any assets delivered through a Software as a Service (SaaS) type solution need to be closely analyzed for impact and whether the new operator wishes to continue to use the service. PA Interactive will document these services and provide their dependencies to the new operator. The process around transferring the financial systems to a new operator requires domain experience and the right technology. The new operator will need full information around merchant accounts, bank accounts, interfaces, processors, rates, accounting systems, reporting, and other processes. The ability to properly classify and report transactional data is critical to the success of a self-funded model. Disentanglement may include: Transfer/revocation of all PA Interactive authority on accounts at cutover Analysis/configuration/setup for any changes to payment processing for ACH, debit and credit card payments Refunds, returns, charge-backs, etc. in coordination with affected customers Credit card charge research requests process Subscriber billing functions Funds disbursement and reporting Reconciliation of accounts Merchant account management Financial setup process for new applications Lockbox transition If there are projects in development at the time of turn-over, the new operator will need full details on those services and the ability to take over that development should development activities extend beyond the contract end date. PA Interactive will work with the Commonwealth to analyze any outstanding change requests or Work Orders. The priority and severity of these requests needs to be fully disseminated so the Commonwealth can determine if PA Interactive should complete these activities or if the new operator can work with the governance authority to prioritize and implement these requests. PA Interactive will document all outstanding invoices, prepare any end-ofcontract related invoices, and work with the Commonwealth to prepare the final invoices for turn-over after the turn-over is completed and approved. Subscriber user accounts will need to be transferred to the new operator s financial and billing systems. Payment information and account PENNSYLVANIA INTERACTIVE, LLC Page 292

389 Strategic Area Infrastructure and Staffing Levels Security Service Desk Service Management System Marketing Process information should be transferred so that end users are not inconvenienced by having to register again. Focus areas include: Account setup and maintenance Communicating changes to customers Handling of user billing questions Management of government accounts (commonwealth agencies may have free access to most portal services, but must maintain a subscription account to capture users obtaining access to services) Determination and notification of which users should have access to which systems/services Bad Debit Collection efforts for accounts, which currently bill in arrears of service usage Detailed information on the portal infrastructure and its performance will be documented so that the new operator can determine the new infrastructure strategy, if implementing a change to the solution. The new operator will need to analyze the information in order to: Estimate the staffing requirements to support the system, i.e. skill levels, FTEs, etc. Determine any training needs, specifically around the existing portal environment including hardware, software and enterprise components (Content Management System, Inter/intranet tools, Search Appliance, SSO, Security, Application Interfaces, Development languages, the Network) Document Disaster Recovery and Business Continuity requirements Plan the infrastructure transition and the architecture for the new environment Incoming operators will need a full understanding of all aspects of the program s security model, and PA Interactive will perform activities such as: Develop a timeline for the Commonwealth or its agent to review all security components Work through a detailed review and training on all documentation, plans and activities Work with the Commonwealth to transition 3rd party auditing, scans and other activities provided by PA Interactive Close out and process for removing PA Interactive security access Service desk will provide call volumes, the knowledgebase data, and historical information. Extract relevant data from the system including incidents, problems, root cause, configuration management, asset management and any other data stored in the system. Provide information on all current activities around the following categories: Overall portal branding and marketing strategy to drive awareness of the Portal PENNSYLVANIA INTERACTIVE, LLC Page 293

390 Strategic Area Governance Content Management System Project Reporting / Program Management Activities Technology Roadmap Disaster Recovery and Business Continuity Process Advertising (e.g., paid display advertising) Portal Public Relations (e.g., unpaid advertising) Government technology award nominations Surveys and focus groups Industry-specific marketing (i.e., promotion directed to groups such as attorneys, insurance, etc.) Preparation for and participation in relevant association meetings and trade shows Service-specific marketing (i.e., promotional plan to drive adoption of a service (or group of services) Service-specific direct-mail design and production/mailing coordination, (i.e. currently, PA Interactive manages monthly mailings for Agency A ) Specialty graphic design projects (logo design, letterhead, PowerPoint templates, signage etc.) Market research for new application development Service adoption tracking, analysis and goal-setting to drive usage The Governance structure will be provided to the new operator and the Commonwealth will determine if the governance will change. All work products for the content management system, including information architectures, site plans, installation and configuration data, and accounts and roles will be provided. Provide access to reports that provide information necessary for the endof-contract transition process. Provide the current Technology Roadmap for the program. Provide the current Disaster Recovery and Business Continuity Plans. IV-7.4 Reporting IV-7.4 Reporting The following deliverables will be required to report on the status of the Master Contract as follows: 1. Contract Reporting (including the status of all Work Orders) Status Report. The Contractor will submit weekly progress reports covering activities, existing issues, risks, SLA items and recommendations to resolve existing issues. Problem Identification Report. The Contractor will submit a report identifying problem areas. The report should describe the problem and its impact on the overall project and on each affected task. It should list possible courses of action with advantages and disadvantages of each, and include Contractor recommendations with supporting rationale. Meetings. The Contractor will meet with the Commonwealth s project personnel, or other designated representatives, to resolve technical or contractual problems that may occur during the term of the Master Contract. Meetings will occur as problems arise and will be coordinated by the Commonwealth. The Contractor will be given reasonable and sufficient notice of meeting dates, times, and locations. Face to face meetings are desired. However, at the Contractor s option and expense, a conference call meeting may be substituted. Consistent failure to participate in problem resolution meetings, two (2) consecutive missed or rescheduled meetings, or failure to make a good faith effort to resolve problems, may result in PENNSYLVANIA INTERACTIVE, LLC Page 294

391 termination of the Contract. Utilization Reports. The Contractor will be required to deliver a series of utilization reports to highlight usage of the websites and egovernment applications developed. These reports will include, but not be limited to: Number of business/services transactions by application and in total for the Commonwealth Number of visits to the Commonwealth s and each agency s public facing website Number of visits to Premium services by application Number and types of forms/reports requested by Customers Number of subscribers by type and the number of transactions each subscriber makes per application Number of unique hits for each egovernment application Customer feedback and online survey reports, including requests for future services It is important to note that the Contractor should review and/or develop baseline statistics prior to going live with new websites or applications to gauge increased usage PA Interactive understands the purpose and value of contract compliance reporting for the egovernment services contract and will fully comply with the Pennsylvania reporting requirements. PA Interactive has been providing reporting, similar to what is requested in this Statement of Work, to each of our government partners over the life of our contracts. Because of the magnitude and possible scope of the self-funded egovernment Master Contract, PA Interactive agrees that the prescribed reporting methodology succinctly focuses on key indicators of the program s performance and direction. PA Interactive agrees that the required reports be published according to the required frequency and schedule. Additional areas that can be of value in regular reports include: Customer satisfaction Financial Payments Transactions Adoption Other specialized reporting To gather the data that will comprise these reports, PA Interactive will configure a combination of tools and architecture that will enable the accurate, automated collection and distribution of important egovernment services data, which can be configured to allow granular analysis of a wide array of data sets. As would be expected of an egovernment services provider, most of our management reporting is provided via a dashboard or other shared, secure virtual space, and this is the approach that PA Interactive will use for the. The following figure shows the Management Reporting Website for Utah.gov. PENNSYLVANIA INTERACTIVE, LLC Page 295

392 Figure 54: Utah.gov Report Dashboard At the outset of the contract, PA Interactive will work with the Commonwealth to determine specific areas of measurement, methods for reporting those measurements, and frequency of those reports. The tools and architecture that will comprise PA.gov have been designed as an integrated enterprise system, with highly flexible and robust data measurement capabilities and reporting functions. At the heart of NIC s comprehensive payment processing approach is the NIC Payment Engine (TPE), a fully hosted, web-based, enterprise-class payment processing solution with flexible and robust reporting capabilities designed to meet the needs of state governments. Also, NIC s Customer Billing tool can provide essential data on subscriber activities. PA Interactive fully understands the importance of capturing and analyzing egovernment services utilization data, and PA Interactive is proposing an integrated toolset that will enable the accurate automated collection of utilization data. NIC has deployed a similar mix of technologies for other partners with similar requirements and is confident that the proposed solution will exceed Pennsylvania s utilization reporting requirements. The following proposed technologies provide robust utilization reporting capabilities to the Commonwealth: SharePoint Web Analytics SQL Server Reporting Services Google Analytics PENNSYLVANIA INTERACTIVE, LLC Page 296

393 Web Analytics PA Interactive will select and configure web analytics tools to benchmark pre- and post-marketing launch traffic patterns, link click heat mapping, and effectiveness of transaction funnels (e.g., monitoring the percentage of visitors who complete a transaction and identifying pain points in the process that should be addressed) to determine strengths, opportunities, and areas of improvement in site design, online service effectiveness, and marketing strategy. In addition, NIC excels at leveraging analytics to identify referring domains, strengthen keywords for search engine optimization, and test new designs and content sections to determine maximum effectiveness. PA Interactive proposes primarily use Google Analytics for web analytic tracking and reporting. Google Analytics will provide detailed site statistics needed to maintain and consistently evaluate the information architecture of the PA.gov portal as well as for agency websites and online services. This data is critical for refining the site structure and navigation to create an effective portal for constituents. NIC has worked with many trusted website analytics tools that collect, analyze, deliver, and ultimately transform web traffic data into an understanding of customer behaviors. PA Interactive will also utilize SharePoint s integrated Web Analytics tool to analyze traffic that comes to SharePoint sites. Web Analytics is designed to reveal traffic patterns, and comes standard with three categories of reports out-of-the-box: Traffic Reports: Number of Page Views Top Visitors Top Referrers Daily Unique Visitors, Top Destinations, Top Browsers, etc. Search Reports: How many times users searched Top Queries What queries have high failure rates Best Bet Usage, Search keywords, etc. Inventory reports: What is the total disk drive space user How many sites exist Top Site Product Versions, Top Site Languages, etc. This combination of web analytics tools enables PA Interactive to optimize our digital marketing programs-- from visitor acquisition to customer retention and allows us to: Measure and optimize online activities Uncover the preferences over time of individual customers to improve segmentation and targeting Build long-lasting relationships with customers online and offline Acquire new customers through search marketing automation With PA Interactive s proposed tools, these metrics can be easily captured and viewed in a variety of customizable formats. PENNSYLVANIA INTERACTIVE, LLC Page 297

394 SQL Server Reporting Services In addition to the web analytics tools and methodologies for obtaining customer feedback, PA Interactive can utilize Microsoft SQL Server Reporting Services (SSRS) as a server-based reporting platform. SRRS provides a full range of ready-to-use tools and services to help organizations create, deploy, and manage reports on data stored in a number of popular relational database technologies. SSRS is fully integrated with SharePoint as a solution feature. PA Interactive will use SSRS to develop custom reports, dashboards and other tools assist in providing the program s reporting needs. 2. Work Order Reporting Updated Work Plan. The Contractor will provide an updated Work Plan containing the latest Work Order progress. The Contractor may use either a project Gantt chart or a spreadsheet format showing the critical path for the Work Order, and compares the current Work Order status against the Work Order baseline. Status Report. The Contractor is required to provide a Work Order status report addressing Work Order scope, schedule, cost (Work Order start to current date, and last month), issues, risks and any SLA items. Deliverable Walkthroughs. To promote effective Deliverable submission, review, and sign-off, the Contractor will facilitate sessions for early, informal reviews of interim Deliverables between Contractor Project team leaders and Commonwealth project staff. This technique will allow deficiencies to be identified and corrected early in the process, ultimately conserving time and resources. It also helps to maintain quality; by the time a Deliverable reaches the formal review stage it has already undergone much scrutiny. This approach provides a high level of confidence in the Deliverable s accuracy. By Deliverable signoff time, the Commonwealth s Project management staff will be familiar with the Deliverable through ongoing evaluation. PA Interactive understands and will comply with the Work Order Reporting requirement. PA Interactive fully anticipates that providing up-to-date reporting on Work Orders will be an integral component of the overall project management model, and will develop detailed reporting templates, tools, and processes that ensure all of these requirements are met for every Work Order. To promote transparency throughout the planning, development, testing, and launching of each project, PA Interactive will provide timely and thorough Work Order reports. PENNSYLVANIA INTERACTIVE, LLC Page 298

395 5. Staffing Model 5. Staffing Model As the nation s most experienced and successful provider of egovernment portal services for state government, NIC has developed a specialized egovernment workforce with a broad technical and operational skillset focused on delivery of services through the self-funded model. NIC founded the self-funded egovernment service industry and is the only company that has built our operational and human resource models solely around the development and delivery of egovernment services. NIC has flourished during the last two decades because we have selectively recruited and developed resources that understand the intersection between government and the private sector and thrive in egovernment services delivery. As a result, we have established a best-in-class approach to delivering outstanding portal solutions. We continue to lead the industry by providing customized application development, web design, migration, and hosting solutions that meet the specific egovernment needs of each state we serve and are all provided within the self-funded model. PA Interactive has closely analyzed the development, design, operational, hosting, support, and marketing requirements to transition and expand the Pennsylvania egovernment program, and, based on our long-term experience staffing projects of similar scope, PA Interactive assures the Commonwealth that the selected staff will provide the expertise to transform the egovernment services to the progressive program envisioned by Pennsylvania and meet ALL of the experience requirements of the Commonwealth. PA Interactive s approach ensures that a dedicated team is working closely with the Commonwealth, generating quick wins for the new Contract, and establishing the operational processes to ensure expansion of the program. PA Interactive s operations will be directed by a senior executive, who will be permanently located in Harrisburg and dedicated to the Master Contract with Pennsylvania. Organization Structure Our proposed organization will be comprised of a mix of proven management and experienced skilled workers hired from the surrounding areas. Because our business and deployment models are unique, it is critical that selected leadership for Pennsylvania have experience in successful selffunded portals. This ensures that at the highest levels, our team understands how to successfully execute a self-funded egovernment initiative. PA Interactive plans to hire the majority of staff that will complement our leadership from Pennsylvania. While the dedicated team will work solely on Pennsylvania s egovernment services, PA Interactive will be able to access more than 700 NIC staff in other portals and at the corporate level with expertise in policy, process, security, technology, marketing, graphic design and other important portal specialties. Under the self-funded business model, the initial dedicated team could be as large as 20+ egovernment professionals dedicated to the Pennsylvania egovernment program, and would result in the complete transition of 47 agencies and dramatic increase in the number of online and mobile services at no cost to the Commonwealth or constituents. The following figure provides an organization structure for the comprehensive self-funded model. PENNSYLVANIA INTERACTIVE, LLC Page 1

396 5. Staffing Model Figure 1: Organization Chart for the Self-Funded Model PA Interactive provides additional details on the personnel, organization, and staffing approach in the following sections of the SOW response: IV-5.1 Personnel Requirements IV-5.2 Organization and Staffing Requirements PA Interactive Personnel PA Interactive will work closely with the Commonwealth to ensure that qualified candidates fill all positions, especially the key management positions of Client Account Manager, Director of Portal Operations & Project Management, and Director of Development. As a private sector company and as a matter of law, PA Interactive must retain the ability to hire and fire our personnel. However, most of our state partners have the ability to prohibit a key employee from providing further services PENNSYLVANIA INTERACTIVE, LLC Page 2