D17PS00639_Attachment_3_-_Demonstration_Guidelines.pdf

D17PS00639 Attachment 3

D17PS00639 ATTACHMENT 3

Demonstration Guidelines

If a firm is selected to deliver a formal demo to the CFTC they will be required to demonstrate the capabilities below. With the exception of the first three functions, it is expected that the demonstration database will be configured as closely as possible to mimic the CFTC environment, including fields and screens. It is also expected that the database will have a minimal amount of data in order to effectively demonstrate searching, reporting, etc.

- Create a new customized screen with 4 field types including:

o Database lookup for “Related Matters” that provides a lookup to other matters in the system o Drop-down list for “CFTC Office” (HQ, CRO, ERO, SWRO) o Check-box for “Referral From” (State, IRS, FBI, SEC) o Date for “Referral Date”

- Create a new document assembly template for a basic letter including name, address, re-line and signature block.

- Create a new matter and assign a status and demonstrate how the system retains a status history of changes, to include date. For example, at the CTFTC, in chronological order, a matter has the following statuses: Preliminary Inquiry, Investigation, Litigation, Closed.

- Demonstrate the ability for a matter to have multiple statuses with only one status open at a time.

- Create and assign 2 entities to the new matter including 2 different entity roles. Describe how duplicate names are handled in your system.

- Create a note in the new matter.

- Generate a basic letter using one of the entities and using the document assembly template created above.

- Import and profile an external document (desktop, mapped drive, etc.) and add to the document management repository for the matter.

- Demonstrate how to categorize documents and quickly access a group of categorized documents. For example, quickly access all Pleadings.

- Demonstrate the ability to create and name different versions of a document within the document management repository and demonstrate if all versions are editable.

- Demonstrate the deletion of a document uploaded to the system.

- Enter time for the matter including date, activity code, description and duration.

- From within Outlook, associate an email to a matter and demonstrate that the email is contained within the CMS.

- Demonstrate the ability to import emails with attachments from Outlook into the document management repository without altering the MD5 identifier. Demonstrate how emails and attachments are stored.

- Enter a calendar event for the matter including subject, date and responsible entity.

- Search across all data elements in the CMS for a specific name.

- Search within a single data element.

- Search across multiple data elements including customized data elements with “AND” logic, “OR” logic and exclusionary logic. For example, show all matters of a specific case type open within a specific date range associated to a specific attorney.

D17PS00639 Attachment 3

- Create and save an ad-hoc report to show all open matters including at least two data points from the newly created screen above. Save or Export as PDF or Excel

- Run the previously created and saved ad-hoc report showing all open matters.

- Print to PDF the ad-hoc report.