The Most Flexible Regulatory Licensing and Enforcement Software on the Market

FLEXIBILITYBecause No Two Regulatory Challenges Are the Same

ETK Regulatory combines a decade of best practices with the transformational power of entellitrak®, so agencies can quickly and affordably:

> Automate the entire regulatory lifecycle > Enable online self-service for licensees and the public > Do a whole lot more than licensing and enforcement

Regulatory Oversight for Every Licensing Scenario

Support for Every Regulatory Challenge

Decades of experience combined with the most flexible technology available

Overseeing licensees across a diverse range of industries, professions, and license types requires exceptionally flexible software. This is doubly true for agencies that are consolidating or those whose operational mandates are expanding beyond licensing and enforcement.

With hundreds of deployments spanning more than two decades, at large umbrella agencies and individual boards, MicroPact is the largest provider of state-based licensing and enforcement solutions in North America. The MicroPact team includes former state regulators and IT experts who have years of experience configuring licensing and enforcement solutions to meet every regulatory challenge.

MicroPact software is used by:

> The largest central licensing agencies in the U.S., to manage hundreds of license types and millions of active licensees

> 24 banking and securities agencies that examine and oversee state chartered and licensed financial entities

> 17 state departments of health that regulate healthcare professionals and facilities

> Single boards in dozens of states, to regulate alcoholic beverages, professional contractors, Realtors, geoscientists, taxi operators, and more

The Most Flexible Regulatory Licensing and Enforcement Software on the Market 3

Tailored to Regulatory

» Professional » Occupational » Banking and

Securities » Business » Health » Agriculture » Alcohol » Education

A Complete Regulatory Software Solution

Licensing, enforcement, and revenue management in a single application

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ETK Regulatory has the flexibility to manage all of your regulatory oversight requirements, and more. Its open architecture ensures you can easily interface to third-party systems and securely leverage external data sources. Its open standards enable it to continuously adapt to changing legislative and business requirements while remaining open to emerging technologies and features — all while providing a consistent user experience for managing both core regulatory and non-core operational functions.

An entity-centric data model for maintaining complex relationships

Comprehensive back-office services for approving, renewing, maintaining, and enforcing licenses

A public portal that enables online self-service for citizens, applicants, and licensees

Regulatory-specific analytics that put all agency data at your users’ fingertips, so they can make better decisions

A report builder for creating standard and ad hoc reports

Customizable Help to reflect your specific policies and procedures

ETK Regulatory Features and Modules

Out of the box you’re armed with a wealth of regulatory-specific transactions and workflows — best-practice configurations with business rules and terminology built right in. New processes can be added as needed and configured to meet your requirements. The rules engine can be used to automate unique policies and procedures for each regulatory board or program and each license type, guiding transactions consistently across self-service portals and back-office functions.

The Most Flexible Regulatory Licensing and Enforcement Software on the Market 5

Users see only the information that is pertinent to their domain as the application’s role-based security and access model mimics an organization’s structure. System administrators can even control security at the individual field level to hide Social Security numbers and other personally identifiable information without blocking access to a whole screen.

Agency Users

Applicants/ Licensees

Agency Admins

Citizens

Shared Business Rules & Workflows

Public Portal Functions• Secure Registration & Login• Account Maintenance• Applications, Renewals,

Payments & Status Checks• Licensee Lookups

Back Office Functions• Entity Management• License Management• Enforcement & Compliance• Examinations & Inspections• System Administration

Integrated Modules

• Analytics – Dashboards, Interactive Graphics, KPIs

• Reporter Builder – Standard & Ad Hoc Reports

• Customizable Help

Interfaces

• Exam Providers• Payment Providers• Accounting Systems• Domain- and State-specific Imports

& Exports

Entity-centric Database

ETK Regulatory Features and Modules

Advanced enterprise capabilities to make the most of your organization’s data

Back-office Services

The Most Flexible Regulatory Licensing and Enforcement Software on the Market 7

Entity-centric Data Model

With its entity-centric data model, ETK Regulatory maintains the complex relationships between licensees, associated individuals, and businesses, no matter how many programs and license types your organization manages. All license records for a single business or person tie back to the same record. As a result, your team can quickly find all licensing and regulatory data associated with a licensee record and see the interrelationships with other entities.

Comprehensive Back-office Services

ETK Regulatory’s back-office capabilities cover nearly every aspect of the regulatory cycle, along with system administration. Each function has been refined based on 25 years of development to support every licensing and enforcement process. They can be further configured to meet your exact needs, without changing source code.

eScan

Account Management

AssetManagement

Duplicate Entity Management

Entity Search

Entity Management

LicenseManagement

CaseloadManagement

Investigations/ Adjudications

ComplianceMonitoring

Allegation/DisciplineManagement

Complaint/Incident Tracking

Enforcement & Compliance

Continuing Education

Examination Management

Rating Management

Plan Review

Plans ofCorrection

Inspections & Examinations

Staff/RoleManagement

Reporting/Analytics

Batch JobInterface

Configuration Management

Administration& Security

Administration

CorrespondenceManagement

License Approval & Issuance

Flags & Alerts

Workflow &Assignment

Business Rules and Checklist

RelationshipManagement

Cash OfficeManagement

License Renewal Transactions

Transaction Audit

DocumentManagement

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Online Self-Service, 24/7

Giving applicants, licensees, and the public 24/7 access to the services they require increases customer satisfaction while decreasing agency workload. Using the secure public portal, applicants and licensees can submit applications and renewals, search for and update information, and make payments at any time. These features increase data accuracy, reduce processing times, and streamline revenue capture — so staff can focus on higher-value activities.

Key Online Service Features

> Secure user registration, logon, and forgotten password retrieval

> Email transaction confirmation > Online payments > Application status and licensee lookups > Document uploads > Configurable rules and policies > Full integration with back-office functions

Regulatory Analytics Module

The optional Analytics module is a self-service business intelligence tool that puts all agency data at users’ fingertips, so they can make better decisions. It turns disparate data from multiple sources into actionable information. Users can drill down into results or filter them for greater insights.

Technical staff can combine hundreds of pre-built, regulation-specific components to create dashboards, data visualizations, grids, and key performance indicators — without writing one line of code.

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Report Builder Module

ETK Regulatory includes out-of-the-box reports on license, monetary, and enforcement activity to help you monitor performance, estimate activity peaks, and anticipate resource needs.

To supplement these reports, the Report Builder module enables users to create their own ad hoc reports based on any data element within the database. Once created, reports can be saved as templates, shared with others, or added to dashboards. Users can drill down on any report metric, data element, or query, and reports can be output as HTML documents, Microsoft Word documents, Microsoft Excel spreadsheets, and PDF documents.

Customizable Help Module

With the Customizable Help module, organizations can put context-sensitive instructions about both the software and organization-specific policies and procedures at users’ fingertips.

Standard Reports

» License Count by Type and Status Summary

» License Applications Received by Month

» License Renewal Count/Renewal Fee Projection

» Daily Cash, Money Order, Credit Card, and Check Deposit by Account

» Credit Card Reconciliation Summary and Detail

» Daily Refunds Report » Cases Opened Summary » Case Resolution Report » Case Metrics Report » Case Receivable Fines Report

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With licensing, enforcement, and revenue information in a single database and unified application, ETK Regulatory enables your team to focus on the high-value activities that improve public health, safety, welfare, and financial integrity.

VERSA RegulationAn enterprise

workhorse

STAR FinancialFiscal oversight

at every step

CAVU eLicenseFlexible

at any scale

The very best regulatory-specific features and functions of three market-leading products come together in ETK Regulatory.

11The Most Flexible Regulatory Licensing and Enforcement Software on the Market

A Separate Configuration for Financial Regulators

Overseeing the highly complex world of banking and securities requires different data elements, business rules, and workflows than those required for professional and occupational licensing and enforcement.

ETK Regulatory enables agencies to manage all phases of financial oversight, including:

> Registration — Handles the chartering, registration, and licensing of financial entities and securities, including fee and renewal tracking

> Examination — Facilitates the auditing and examination process, including identifying, scheduling, recording results, calculating risk ratings, tracking problem entities, and billing

> Enforcement — Manages the full lifecycle of enforcement activities including complaints, investigations, actions, and dispositions

Standard financial interfaces include Blue Express, NMLS, EFD, FDIC, and CRD/IARD. Custom interfaces to state payment portals and other domain-specific entities are also available.

Customers

Regulatory bodies in 21 states have entrusted their financial regulatory compliance programs to MicroPact. These organizations are among them.

powered by

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Leverage the power of entellitrak

Secure, configurable, scalable, extensible — and easy to maintain

ETK Regulatory is powered by entellitrak, MicroPact’s low-code application development platform for case management and business process management. For more than a decade, entellitrak has been bringing digital transformation to organizations at the federal, state, and local level.

Continuously Configurable

Permanent, hard-coded rules for a “typical” organization rarely stand the test of time. With entellitrak, each organization gets a solution configured to its exact requirements.

Out of the box, workflows, templates, and forms are configured to support specific roles and standards — all from a common platform. Information is presented within a single, Section 508 compliant, web-based interface — no jumping between systems.

Even without the help of developers, your organization can continuously configure the system to meet ever-evolving standards and directives.

entellitrak powers

Open, Accessible, Secure

» Section 508 compliant » Operating-system independent » Built to open standards » Java based » Role-based security model

Secure Hosting

Everyone’s needs are different. For that reason, entellitrak has been architected so that it can be hosted on-premise, in the cloud, or via a hybrid approach.

MicroPact is a FedRAMPSM Compliant Cloud Service Provider. The entellitrak platform and hosting environment are FedRAMP certified at the FIPS-100 “Moderate” level and feature disaster recovery as well as backup to a warm and cold site.

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MICROPACT

MicroPact is a wholly owned subsidiary of Tyler Technologies, the largest company in North America dedicated to providing software for the public sector, including federal, state, and local government. Tyler is a nationally recognized provider of integrated system solutions and professional services and serves clients in more than 21,000 installations across 10,000 state and local government locations in all 50 states, Canada, Puerto Rico, the United Kingdom and Australia, as well as more than 200 U.S. federal agencies. Acquired by Tyler in February 2019, MicroPact has focused for more than four decades on delivering powerful, adaptive, commercial off-the-shelf (COTS) solutions to the public sector. Today, MicroPact products serve 49 U.S. states and 97% of federal agencies with 500 or more employees.

MicroPact Headquarters12901 Worldgate Drive, Suite 800 Herndon, VA 20170

Contact Us1 703 709 6110 sales@micropact.com

www.micropact.com