AAGO15-092041-AAGO15-00004332_Attachment_I_-_CIC_Information_System_8-20-14.pdf

ATTACHMENT I

Arizona Office of the Attorney

General 1275 W Washington

Phoenix, AZ 85007-2926

SOLICITATION NO: AAGO15-00004332 Page

OFFER AND ACCEPTANCE State of Arizona

Office of the Attorney General

Procurement Section

1275 W Washington ST

Phoenix, Arizona 85007

(602) 542-8030

Solicitation No.: AAGO15-00004332

Project # AG14-0029

OFFER

TO THE STATE OF ARIZONA:

The Undersigned hereby offers and agrees to furnish the material, service or construction in compliance with all terms, conditions, Specifications and amendments in the Solicitation and any written exceptions in the offer. Signature also certifies Small Business status.

ThoughtSpan Technology LLC

Company Name Signature of Person Authorized to Sign Offer

14045 Ballantyne Corp. Place, Ste 550 Monroe Limer

Address Printed Name

Charlotte, NC 28277 President

City State Zip Title

Monroe.limer@thtspn.com 704-804-5077 704-234-6838 Contact E-Mail Address

Contact Telephone Number Contact Fax Number

By signature in the Offer section above, the Offeror certifies:

1. The submission of the Offer did not involve collusion or other anticompetitive practices.

2. The Offeror shall not discriminate against any employee or applicant for employment in violation of Federal Executive Order 11246, State Executive Order 2009-9 or A.R.S. §§ 41−1461 through 1465.

3. The Offeror has not given, offered to give, nor intends to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant in connection with the submitted offer. Failure to provide a valid signature affirming the stipulations required by this clause shall result in rejection of the offer. Signing the offer with a false statement shall void the offer, any resulting contract and may be subject to legal remedies provided by law.

4. The Offeror certifies that the above referenced organization __X_ IS/ ___ IS NOT a small business with less than 100 employees or has gross revenues of $4 million or less.

ACCEPTANCE OF OFFER (For Arizona State Use Only)

Your offer is hereby accepted:

The Contractor is now bound to sell the materials, services or construction listed by the attached contract based upon the solicitation, including all terms, conditions, specifications, amendments, etc., and the Contractor's offer as accepted by the Office of the Attorney General.

This Contract shall henceforth be referred to as Contract No. .

The effective date of the Contract is _________________________.

The Contractor is hereby cautioned not to commence any billable work or provide any material or service under this contract until the Contractor receives a purchase order, contract release document or written notice to proceed.

STATE OF ARIZONA

OFFICE OF THE ATTORNEY GENERAL

Awarded this _________ day of ___________ , 2014

Jerry Connolly Procurement Manager

General 1275 W Washington

Phoenix, AZ 85007-2926

2 QUESTIONNAIRE

This section requests information about the contractor. Please follow the format outlined in this section when responding. Do not provide a standard boilerplate for this information or make reference to a brochure or report as part of your response.

1. Business Name, Address and Primary Phone Number:

ThoughtSpan Technology LLC

14045 Ballantyne Corp. Place, Ste. 550

Charlotte, NC 28277

704-804-5080

2. Year Company was Established:

3. Number of Personnel by Discipline: (Count each person only once, by primary function)

1 Administrative Staff 2 Sales Staff 7 Technical Staff 1 Documentation Staff

Other, Specify Other, Specify Other, Specify 11 Total Personnel

4. Business Focus, by Profile, of Firm’s Relevant Project Experience

Profile of Business Focus Percentage of Revenue

Profile of Business Focus Percentage of Revenue

a. d.

b. e.

c. f.

2.1 REFERENCES

Provide a minimum of three references to whom you have provided similar services.

Company Name Wells Fargo

Company Name North Carolina Board of Nursing

Point of Contact Katherine Loera

Point of Contact Brenda McDougal

Telephone # 415-498-3815

Telephone # 919-782-3211 ext. 233

Street Address

MAC A0143-043

Street Address 4516 Lake Boone Trail

City, State and Zip Code San Francisco, CA 94107

City, State and Zip Code Raleigh, NC 27607

Company Name

IDT911

Company Name

CSID

Point of Contact Victor Searcy

Point of Contact Ken Skinner

Telephone # 480-355-8468

Telephone # 512-505-2615

Street Address 7580 N Dobson Rd, Ste 201

Street Address 7500 Rialto Blvd, Suite 260

City, State and Zip Code Scottsdale, AZ 85256

City, State and Zip Code Austin, TX 78735

General 1275 W Washington

Phoenix, AZ 85007-2926

2.2 Qualifications and Experience of Key Personnel

All respondents should complete this form for each person proposed to work on this project. If an item is not applicable, indicate so by inserting “N/A”.

1. Name of Individual 2. Title

Jason Purcell Application Development Manager

3. Area(s) of Expertise and Years of Experience 4. Proposed Project Role

Web-based systems development and management 14 years

Project Manager

5. Education: Degree Year

University of North Carolina – Charlotte (Bachelor of Computer Science) BS 2004

6. Qualifications: Describe this individual’s unique qualifications for the project described in this RFP.

Experienced professional possessing problem solving, analytical and communication skills specializing in web-based technology solutions.

Exceptional communications skills.

Exceptional team and project management skills.

Has developed many web-based solutions using a variety of technologies including .Net, C#, jQuery, javascript, XML/XSD, SQL, AJAX, JSON.

Has managed multiple projects and teams over the past 8 years Has experience with a variety of industries – financial services, occupational licensure, banking, state governmental agencies

1. Name of Individual 2. Title

Clint Yarborough Senior Developer/BA

3. Area(s) of Expertise and Years of Experience 4. Proposed Project Role

Web-based systems development and management 12 years

BA/Development

5. Education: Degree Year

Clemson University 1998

6. Qualifications: Describe this individual’s unique qualifications for the project described in this RFP.

Experienced professional possessing problem solving, analytical and communication skills specializing in the creation of web-based technology solutions.

Exceptional communications skills.

Exceptional development skills.

Has developed many web-based solutions using a variety of technologies including .Net, C#, jQuery, javascript, XML/XSD, SQL, AJAX, JSON.

Has experience with a variety of industries – financial services, occupational licensure, banking, state governmental agencies

Greg Luke Developer

3. Area(s) of Expertise and Years of Experience 4. Proposed Project Role

General 1275 W Washington

Phoenix, AZ 85007-2926

Web-based systems development and management 5 years

Configuration/Development

5. Education: Degree Year

Bachelor of Arts in Software and Information Systems, University of North Carolina at Charlotte

BA 2011

Bachelor of Science in Computer Science, Armstrong Atlantic State University BS 2008

6. Qualifications: Describe this individual’s unique qualifications for the project described in this RFP.

Experienced professional possessing strong development skills specializing in the creation of web-based technology solutions.

Exceptional communications skills.

Exceptional development skills.

Has developed and maintains many web-based solutions using a variety of technologies including .Net, C#, jQuery, javascript, XML/XSD, SQL, AJAX, JSON.

Has experience with financial services, occupational licensure and state governmental agencies

Josh Keller Trainer/Client Specialist

3. Area(s) of Expertise and Years of Experience 4. Proposed Project Role

Client services and call center manager 4 years

Training and Client Relations

5. Education: Degree Year

B.A. in Information Technology, Web Page Design & Implementation, Lenoir Rhyne University

BA 2009

6. Qualifications: Describe this individual’s unique qualifications for the project described in this RFP.

Experienced professional with strong client support services and management skills Exceptional communications skills.

Has managed call center of 25 employees for a national fast food chain Has been responsible for training staff and clients in use of support tracking system

General 1275 W Washington

Phoenix, AZ 85007-2926

2.3 Major Subcontractor(s) General Organization Information

(This form may be copied or duplicated as appropriate to accommodate the number of major subcontractors)

Offerors are encouraged to make every effort to utilize subcontractors that are small, women owned and/or minority owned business enterprises.

FIRM NAME AND ADDRESS:

N/A

SERVICE SUBCONTRACTOR WILL PROVIDE: YEAR FIRM WAS

ESTABLISHED:

BRANCH OR MAIN

OFFICE:

DESIGNATED CONTACT PERSON :

TELEPHONE: FAX: E-MAIL:

PROVIDE ARIZONA CONTRACTOR’S CERTIFICATIONS

Number of Personnel by Discipline: (Count each person only once, by primary function)

Administrative Staff Sales Staff Technical Staff Documentation Staff

Other, Specify Other, Specify Other, Specify Total Personnel

Business Focus, by Profile, of Firm’s Relevant Project Experience

Profile of Business Focus

Percentage of Revenue Profile of Business Focus

Percentage of Revenue

a. c.

b. d.

1. The bidder certifies that the above referenced organization [ ___is/___]is not a small business with less than 100 employees or has gross revenues of $4 million or less.

2. The bidder certifies that the above organization [___is/___]is not a minority owned business enterprise

3. The bidder certifies that the above organization [___is/___]is not a woman owned business enterprise.

REFERENCES

Provide a minimum of three references to whom you have provided similar services.

REFERENCE #1

Company:

Contact:

Street Address

City, State, Zip

Telephone #

Fax #

E-Mail:

REFERENCE #2

Company:

Contact:

Street Address

City, State, Zip

Telephone #

Fax #

E-Mail:

REFERENCE #3

Company:

Contact:

Street Address

City, State, Zip

Telephone #

Fax #

E-Mail:

REFERENCE #4

Company:

Contact:

Street Address

City, State, Zip

Telephone #

Fax #

E-Mail:

General 1275 W Washington

Phoenix, AZ 85007-2926

2.4 Narrative

Provide a description of your firm’s ability to provide the services identified in the Scope of Work. This description should include years of providing these types of services and identify the equipment the company plans to use to perform such services. Provide reasons why your company is uniquely qualified to provide these services to the AGO.

These requirements are copied from the Scope of Work for your convenience. Please keep Numbering format in your Response. You are expected to indicate if your system has this feature available with no modification. If provided a description should be given of the feature. If you must create this feature in your software provide a description of the feature you intend to create and the cost of the feature should be provided. You are expected to provide a spreadsheet with the cost of all modifications.

1.3.1. CIC System Requirements

Contractor shall be required to provide a system with these minimum requirements:

1.3.1.1. Ability to allow web-based, multi-user storage, retrieval and update of consumer complaint information by CIC staff, in a relational database.

Our system is a web-based solution that allows unlimited users of various group and role authorities. These authorities are managed via the system’s security grid by authorized administrators. The rules configured for the different groups and roles govern access of all data and functionality including views, additions and updates. The database is built on MS SQL technology and is a modern, relational database.

1.3.1.2. Ability to allow web-based basic complaint form information, entered by consumers, to be imported into the system, along with web-based upload of documents by consumers. The web-based complaint form for consumers shall have cyber security protections to prevent bulk entry of complaints from malicious computer systems that intend to cause disruptions in service.

Our Gateway module is a public, online portal allowing the submission of basic complaint information. This submission flows through the same engine as the back office complaint entry therefore processing all rules governing workflow, queuing, notifications and routing. Another feature of the Gateway is the ability of the consumer to self-serve by checking the progress and status of complaints online and thus reducing call-center volume.

The Gateway uses a token mechanism to prevent malicious bulk submissions. It also monitors for this using an algorithm to identify such attempts and will block access from potential offending IP addresses.

1.3.1.3. The system should be searchable by current Complaint Number, complainant name and address information, potential violator name and address information, CIC defined tags, including Military Service, Veteran and Spanish Language, and complaint status.

The system contains a global search feature that can be configured to allow searching on most any data element in the database, including those noted above.

The search also includes searching the contents of attached documents, so ALL complaint information is searched.

1.3.1.4. The following information should be stored for each complaint:

1.3.1.4.1. Complainant name, address, multiple phone numbers, age, email

General 1275 W Washington

Phoenix, AZ 85007-2926 address.

These elements as well as many others are available as part of our standard data model.

1.3.1.4.2. Complaint information, including description/summary, type of complaint (entered from a list), product or service type (entered from list), type of violation (entered from a list of violations), open and closed dates, closing codes (chosen from list), complaint status (entered from list) including who is handling the complaint, dollar amounts paid by complainant, recovered amounts.

All of this information is part of the default system. Any element that can be standardized (e.g. complaint types, service types, violation types, status codes, closure codes, etc.) are dropdown selections that can be administered by the authorized system administrators in a real-time fashion requiring no programming to effect necessary changes due to regulatory and/or business process changes.

1.3.1.4.3. Multiple potential violator information (as many as needed), including name, company name, address, multiple phone numbers, fax, email address, web site.

The system has the structure to capture and maintain multiple violator records per complaint. A neat feature will also interrogate this data and present possible links to identify repeat or habitual offenders.

1.3.1.4.4. Multiple affiliated potential violator information, including “Do Business As” (DBA), Associate Potential Violator (APV) name, type, business name, address, multiple phone numbers, fax, email address, web site.

The system has the structure to capture and maintain multiple violator records per complaint. These can be categorized according to system configuration and tagged as affiliations to other entities.

1.3.1.4.5. CIC defined tags, including Military Service, Veteran and Spanish Language.

The system has the capability to create and apply tags at multiple levels within the complaint.

1.3.1.5. For each complaint, the system should be able to:

1.3.1.5.1. Track multiple actions done in processing the complaint (chosen from list) including sending email confirmation of receipt of complaint.

The system contains a complete audit trail mechanism that automatically documents any data change including the user enacting the change, the date and time of the change, and a before and after snapshot of the changed data. This automatic functionality happens regardless of the source – internal users, Gateway users, electronic interfaces that feed or update data in the system – it all flows through the same audit engine.

Additionally, users can manually add audit trail items to a complaint with standardized data such as categories and sub categories available via dropdowns. This function also supports

General 1275 W Washington

Phoenix, AZ 85007-2926 the upload and attachment of documents.

All of this information becomes a part of the permanent complaint record.

Third party auditors for our customers have actually praised the system for this function.

1.3.1.5.2. Track multiple brochures sent to the complainant.

The system has a Correspondence module that can automatically generate and send emails with attachments based on rules and data state in the workflow. These actions are automatically documented in the audit trail with the actual sent documents attached. If the brochure needs to be sent snail mail, the system can create a mailing list based on the same rules as the automated engine would use and also insert the audit trail item.

1.3.1.5.3. Generate pre-designed form letters that can be sent electronically and/or hardcopy to the complainant, potential violator(s) and affiliated potential violator(s), and provide the ability to edit the form letters prior to sending.

The system contains a Correspondence module that supports this functionality. Authorized users can create and maintain templates within the system that are then available for automated functions or manual creation by users. This includes a complete audit trail of all version history. The templates contain replacement elements that will automatically pull information from a specific record in the database (consumer info, complaint info, violator info, etc.) and insert it into the document. The correspondence engine will, based on rules and data state in the workflow, automatically generate and email these documents and create the appropriate audit trail entries including attachments of the actual documents sent.

Users can also leverage the same function manually. This option supports the combining of multiple templates into a single “package” to be sent. It also allows the user to edit the document to add or change any necessary information prior to sending.

Any template can be designated as needing additional review prior to sending. The review process allows users to create documents and can force the document to be reviewed/approved by a designated user. In review mode, prior to final approval, the document will contain a DRAFT watermark. This is automatically removed as part of the final approval process.

1.3.1.5.4. Track recoveries of money or products, and source of monies.

The system contains a structure to capture and track this data.

1.3.1.5.5. Attach multiple documents to the complaint.

Any number of documents may be attached to the complaint.

These may be documents generated internally via the Correspondence module or external documents. They become part of the complaint permanent record and are also available to the system’s global search function. The system also has the ability to block attachment of certain document types (e.g. .exe files) that could be harmful. This list is maintained in the system admin module.

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Phoenix, AZ 85007-2926

1.3.1.5.6. Track referrals of the complaint to other organization (chosen from list).

Referrals are tracked and are one of the dropdown lists maintained in the system admin module. The referral tracking module will track department, reference numbers, date, notes and associated attachments (which may be automatically generated from the correspondence module).

1.3.1.5.7. Retain current CIC numbers (unique identifiers).

Our DB structure has the ability to retain legacy identifiers (and continue creation of new identifiers based on legacy format).

1.3.1.5.8. Track notes/instructions for pending investigations (CIC Rules).

The system contains workflow rules that are configured to govern timelines, notifications, escalations, tasks, etc. – all automatically created, monitored and enforced based on claim type, source, status, etc. These control the flow of the complaint through the regulatory process. Any special instructions or guidelines necessary for the user to do his/her job are made available at the point in the workflow where necessary.

1.3.1.6. The system should allow multiple access levels with group assignments:

1.3.1.6.1. Data entry mode for CIC staff.

The system supports various group and role authorities. These authorities are managed via the system’s security grid by authorized administrators. The rules configured for the different groups and roles govern access of all data and functionality including view access, update/entry access, reporting, correspondence, etc.

1.3.1.6.2. Data entry plus reporting access for CIC and Consumer Litigation Unit managers.

The system supports various group and role authorities. These authorities are managed via the system’s security grid by authorized administrators. The rules configured for the different groups and roles govern access of all data and functionality including view access, update/entry access, reporting, correspondence, etc.

1.3.1.6.3. Read-only mode for attorneys and paralegals.

The system supports various group and role authorities. These authorities are managed via the system’s security grid by authorized administrators. The rules configured for the different groups and roles govern access of all data and functionality including view access, update/entry access, reporting, correspondence, etc.

1.3.1.6.4. Ability to wall off access for any one particular user to a particular complaint or series of complaints due to a conflict of interest The system supports various user, group and role authorities as described in 1.3.1.6. Authorities can be configured to deny access of certain consumers, complaints, etc.

1.3.1.7. Detail and summary reporting should be provided for all stored data, plus non-encrypted access to the database, in case IT staff needs to design custom

General 1275 W Washington

Phoenix, AZ 85007-2926 reports.

The system contains a full featured reporting module including graphing capabilities. In addition to pre-defined reports installed day one, users can create ad hoc reports including virtually any data element in the system including complaint status, open dates, close dates, types, closure reasons; really any criteria that is tracked and stored in the system. Reports can be scheduled to run at set intervals (e.g. Monthly Manager Performance Report) and will be electronically delivered to the user's dashboard. Report results can be exported to .csv files.

1.3.1.8. An integrated tickler system should notify when action is needed to be taken on a complaint.

The system contains functionality that will automatically notify users when actions are necessary due to the workflow rules. These notifications are presented in a variety of ways – interactive system alerts, dashboard items, tasks, emails, etc.

This includes escalation items based on timeline parameters.

1.3.1.9 (Optional) - Compatibility with Federal Trade Commission data base.

Our system contains a function facilitating the exchange of data with the FTC via the FTC secure web services.

Additionally, the data exchange module that allows import and export of data a variety of ways including web services, APIs, secure FTP, XML. Every implementation of our system includes external system/database integration (SEC, USPIS, state agencies, credit bureaus, testing agencies, etc.).

Cloud Technology: Indicate whether you are proposing a cloud based technology system. If so, describe your firm’s ability to comply with the requirements set forth in 1.3.6 of the RFP.

While we can offer either a hosted/cloud solution or an installed solution, given the stated capability in the RFP to accept an installed system on the state’s infrastructure, we are proposing that solution.

This helps the State mitigate a lot of the regulatory issues surrounding vendor management and data security that would come into play with a hosted/cloud solution. Additionally, if there is any need for integration to other state systems or databases, a system installed in the state’s infrastructure would make that effort significantly easier and less expensive.

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Maintenance and Technical Support. Successful Offeror should be able to demonstrate substantial expertise in the setup; configuration, administration, and trouble-shooting of trial presentation technologies (List software you have expertise in). Describe your firm’s ability to deliver the maintenance and support services identified in 1.3.2 of the Request for Proposal:

A differentiating factor of ThoughtSpan is our exceptional customer support. As part of any engagement we include a Support and Maintenance Agreement with the details listed below.

Pricing for this is included in the Schedule of Pricing.

General Maintenance and Support Terms

- Maintenance - ThoughtSpan will provide Licensee with all bug fixes and core system:

updates, upgrades, enhancements, new versions, and new releases of the Licensed Software. Maintenance does not include development costs for any customer requested enhancements and upgrades specific to that customer and not part of the core system.

Bug fixes will be provided based on the response times and case severities outlined in the SLA table below.

- Support - ThoughtSpan Customer Support provides access to technical support resources via telephone, email and web on supported configurations, and within the response times based on case severities as detailed in the SLA table below. Included in this Support Agreement will be all custom interfaces created by ThoughtSpan and integrated into the Licensed Software. Support does not include development costs for any customer requested enhancements and upgrades specific to that customer and not part of the core system. Licensee may access ThoughtSpan Customer Support 24x7x365. The contact information for the ThoughtSpan Customer Support Center is as follows:

Phone 888-548-5058 (available 8 a.m. – 8 p.m. Eastern)

Email support@thtspn.com

Support Portal http://support.thoughtspantech.com

Standard Maintenance and Support SLA Case Severity Levels, Response and Resolution Goals Licensee will report a problem or send an inquiry to THOUGHTSPAN Technical Support concerning the System with an associated severity level via the telephone or email.

THOUGHTSPAN Technical Support shall create a case and respond accordingly based on the severity level.

For guidance, the severity levels and the appropriate actions are described below:

Case Severity Level

Response Time

Resolution Goals

1 – Severe The Licensed Software is down or seriously impacted, or the Licensee’s data is lost or destroyed, and there is no workaround currently available.

THOUGHTSPAN will respond within 2 business hours.

THOUGHTSPAN will provide to Licensee point of contact a

Upon confirmation of receipt, THOUGHTSPAN begins work on the problem, and Licensee point of contact shall be available at all times to assist with problem determination.

THOUGHTSPAN will use best efforts to provide a workaround or fix within 6 mailto:support@thtspn.com http://support.thoughtspantech.com/

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Work stoppage has occurred.

Licensee and external users of the system are unable to use the Licensed Software or are unable to use material functionality of the Licensed Software status report every hour of the progress of the fix or workaround until it is sent to Licensee to apply to the affected system.

business hours of Licensee’s initial report once the problem is reproducible and the defect has been identified.

THOUGHTSPAN will incorporate a fix in a bug fix or future release of the Licensed Software.

Additional time required by THOUGHTSPAN beyond the 6 hours to complete the workaround or fix shall be immediately communicated to Licensee point of contact and THOUGHTSPAN will use best efforts to promptly complete the fix or workaround.

2 - High The Licensed Software is moderately affected. There is no workaround currently available or the workaround is cumbersome to use.

THOUGHTSPAN will respond within 4 business hours.

THOUGHTSPAN will use best efforts to provide a workaround or fix within 12 business hours of Licensee’s initial report once the problem is reproducible.

THOUGHTSPAN will incorporate a fix in a bug fix or future release of the Licensed Software.

3 - Medium The Licensed Software issue is not critical: no data has been lost, and the Licensed Software has not failed. The issue has been identified and does not prevent normal operation of the Licensed Software, or the situation may be temporarily circumvented using an available workaround.

THOUGHTSPAN will respond within 16 business hours.

THOUGHTSPAN will use best efforts to provide a workaround or fix within 10 business days of Licensee’s initial report, once the problem is reproducible.

THOUGHTSPAN will incorporate a fix in a bug fix or future release of the Licensed Software.

4 – Low Non-critical issues, general questions, enhancement requests, or the functionality does not match documented specifications.

THOUGHTSPAN will respond within 32 business hours.

Resolution of the problem may appear in a future release of the Licensed Software.

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Training: Successful Offeror should demonstrate substantial expertise in this field. Describe your firm’s ability to deliver the training services identified in 1.3.3 of the Request for Proposal

Since we are the developers of the system and not just a re-seller, we have the unique ability to provide a much greater depth of training and knowledge transfer about our system.

Actual user training is performed on a fully functioning test system with actual data and all current functionality and interfaces.

Since training is performed on a fully functioning test version of the system, all user and user roles will exist as it does in the live/production system thereby tailoring the training environment to that user's true role.

Also, the system contains context sensitive help that is always one click away. For example, if a user is on the complaint entry screen and clicks the Help link, help and example text is displayed for that particular area of complaint entry. Users and administrators are also able to customize the help module by adding tips and techniques directly into the help text.

We normally use the “train the trainer” method, but if necessary we can conduct training sessions for the entire user base. The number of sessions would be determined by the number of trainees involved.

Consulting: Successful Offeror should demonstrate substantial expertise in this field. Describe your firm’s ability to deliver the consulting services identified in 1.3.4 of the Request for Proposal

We configure and maintain our own environments for development and testing, which mimic the setup necessary for customer QA and Production environments. All of our implementations include some level of support for actually setting up the environment to house the system and actually implementing/installing the system and database. This level varies from simply providing the specifications and documentation necessary to actually procuring, configuring and setting up the environment. We have multiple decades of experience on staff of performing such duties and are very comfortable doing so.

Delivery and Milestones: Explain how you will implement the CIC data base in accordance with the RFP Scope of Work. Identify a schedule of milestones for delivering the software and related services, including training.

Our implementation methodology includes 5 phases: DISCOVERY, PLANNING, DEVELOPMENT, UAT/QA and PRODUCTION. The DISCOVERY phase typically takes 2 – 4 weeks depending on the complexity of the project and the availability of the client. From the date of the last DISCOVERY meeting, PLANNING and DEVELOPMENT typically takes 60-90 days. This includes configuration and customization of all system components to meet the customer requirements from the DISCOVERY phase as well as working with the customer IT staff to configure a suitable hosting environment. Also included in these phases would be verification and testing of the conversion tool.

After all requirements are met, the system is loaded to the Testing/QA environment including the conversion processes. The Testing/QA environment is used as the training environment for the client trainers. Total Testing/QA time is variable dependent upon client availability and issues or change requests. We typically allow 30 days for this phase. Once approval is granted, the system is loaded to the PRODUCTION environment, conversion is run and the system is brought online live.

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Once the contract is awarded, a formal project plan with timelines, tasks and assignments will be created. A typical timeline/deliverable summary would be:

Discovery

Deliverables o Gather necessary information for all deliverables, private labeling, current DB understanding for conversion planning.

Timeline o 20 days

Parties o ThoughtSpan PM and BA o AGO staff

Location o Onsite at AGO headquarters o ThoughtSpan Offices (via conference calls)

Planning

Deliverables:

o Devise plan for implementing discovery items into system including configuration vs customization efforts.

o Create development environment o Create and assign development tasks o Clarification of any discovery items o Assist AGO in creating QA/Testing environment

Timeline o 5 days

Parties o ThoughtSpan PM and BA o AGO staff for clarification of discovery items and IT for QA environment creation

Location o ThoughtSpan offices and AGO data center

Development/Configuration

Deliverables o All items identified in the Discovery phase, including data conversion plans and programs, data conversion into the Development and QA environments and private labeling.

o Population of online help and documentation of system functionality.

Timeline o 90 days

Parties o ThoughtSpan PM, BA and developers

Location

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Phoenix, AZ 85007-2926 o ThoughtSpan offices

Testing/QA o Deploy system to QA environment (will be done incrementally as items are completed) o Run data conversation plan to populate data on QA DB server o Completely test and verify all functionality, UI and conversion included in this Phase o Report any bugs, deficiencies or errors o Correct any bugs, deficiencies or errors o Assist AGO IT staff in creating Production environment

Timeline o 30 days

Parties o ThoughtSpan PM, BA and developers o AGO staff

Location o ThoughtSpan offices for ThoughtSpan Staff o AGO offices for AGO staff

Training

Staff training will happen in conjunction with and as a part of the Testing and QA process.

Normally this is the ideal time for users to gain an understanding of the system and for us to observe any functional or workflow flaws within the system.

Once all issues identified in testing have been corrected, a final training exercise will be conducted with the AGO staff prior to Production roll out.

Production Rollout o Deploy system to Production environment (will be done incrementally as items are completed) o Run data conversation plan to populate data on Production DB server o Spot check functionality, UI and conversion o Report any bugs, deficiencies or errors o Correct any bugs, deficiencies or errors

Timeline o 1 business days

Parties o ThoughtSpan PM, BA and developers o AGO staff

Location o ThoughtSpan offices for ThoughtSpan Staff o AGO offices for AGO staff

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Phoenix, AZ 85007-2926

Offeror may provide any other qualifications showing why the Offeror is uniquely qualified for this service:

ThoughtSpan Technology LLC and its principals have been providing regulatory compliance solutions for more than 2 decades. Over this time we have always provided a superior product and exemplary customer service while bringing value with our ability to quickly understand business requirements and translate that understanding to solutions that exceed expectations. We invite you to ask any of our existing customers about our value proposition and unparalleled customer support.

Our Consumer Complaint Management System has been architected to satisfy the intricacies of consumer complaints and the associated regulatory requirements. It is based on an OCC vetted outline implemented by Fortune 10 banks (including 2 of our customers – Bank of America and Wells Fargo) and includes an extensible framework that will be tailored to the Arizona Office of the Attorney General (AGO) specifications. The system’s design allows for easy and efficient updates to accommodate requirements not only today but into the future as regulations change. As such, our solution will not require the AGO to adapt business processes to fit the system or “live with” limitations of other generic systems. Our experience in this field and the vetting of the core components of our system (e.g., Management Dashboards, Advanced Reporting, Metric and Data Analysis, Secure Public Portal, etc.) across many other industries and thousands of users, results in a solution that will satisfy the requirements of the AGO today and for years to come.

Our long term relationships with some of the largest financial institutions in the U.S. (Bank of America over 10 years and Wells Fargo over 7 years) and State governmental agencies (North Carolina, Louisiana, Mississippi) have provided extensive experience in interacting with other systems and databases both internal to our customers (customer/account management systems, financial systems, audit systems, etc.) and external (SEC, USPIS, FinCEN, credit bureaus, etc.) and thus makes us uniquely qualified to satisfy any such integration requirements necessary for the AGO.

A differentiating factor of ThoughtSpan over other providers is also one of our guiding principles - our unparalleled customer support. We are always accessible and build close relationships with our clients based on trust, integrity and reliability. Our favorite customer quote is “You make us feel as if we are your only client.”

General 1275 W Washington

Phoenix, AZ 85007-2926

1 PRICING SCHEDULE

Provide a pricing schedule for the services as described in this RFP. Other related services may be added to the schedule. Any travel costs must be pre-approved by the Office of the Attorney General and will be reimbursed at State travel reimbursement rates. (State rates are available at the following web site:

http://www.gao.state.az.us/travel/).

Item/Service Description Quantity Unit of

Measure Unit Cost Cost

Software License (includes 10 users) 1 each $50,000 $50,000

User Licenses (AGO anticipates up to 40 users) This number may vary, any pricing variation should be explained in your proposal

30 Users

$1,000 $30,000

Gateway license – consumer complaint submission and tracking

1 each $10,000 $10,000

Customization Services (including conversion of open complaints)

1 each $40,000 $40,000

Installation Services 1 each $5,000 $5,000

Training Services – Train the Trainer services (excluding travel)

1 each $2,000 $2,000

Training Services – Train AGO employees

– Class with up to 20 employees (excluding travel)

2 each $4,000 $8,000

Maintenance including all upgrades, fixes, enhancements – Year 1 after installation

1 Year

$27,000

$27,000

Maintenance including all upgrades, fixes, enhancements support, training and consulting**? – Year 2 after installation

1 Year

$27,810 $27,810

Maintenance including all upgrades, fixes, enhancements support, training, consulting**? – Year 3 after installation

$28,644

$28,644

Maintenance including all upgrades, fixes, enhancements support, training, consulting**? – Year 4 after installation

$29,504

$29,504

**Consulting and custom programming services outside the scope of this RFP are billed at a rate of $130/hr.

http://www.gao.state.az.us/travel/