D17PS00639_Attachment_7_-_Capturing_Portal_TCR_and_WB_Submissions.pdf

D17PS00639 Attachment 7

ATTACHMENT 7

Capturing Portal TCR and WB Submissions

Capturing Portal TCR and WB Submissions and Creating New Matters and Other Data Elements in Case Management

This project requires that the submitted WB and/or TCR forms flow seamlessly into the Division of Enforcement’s case management system and create the appropriate matter type. This Statement of Work details the requirement to create a service that will create the matters in Case Management, which will include the uploaded documents, and a notification to the staff of the existence of a new matter. The URL for the submission of TCRS and WB Submissions is located here:

http://www.cftc.gov/ConsumerProtection/FileaTiporComplaint/index.htm

Scope

There are two different types of matters that can be created, as a result of a consumer submitting a TCR or WB matters, which will result in the creation of an XML file on the network. Each type of matter will have separate and distinct data elements. The consumer may also upload supporting documents to their complaint. As a result of the input of the information, the portal will create a location on the network where the XML file will be deposited as well as any relevant documents that have been uploaded during the complaint process.

There will be a folder for TCR and a folder for WB matters. The portal system will create a file folder with a unique number which shall be the TCR or WB submitter’s identification number (ID). (Numbering convention to be provided within 10 days from award).

The Vendor shall create a service to look for the matters and create them based on the specifications for the type of matter and upload documents.

Tasks

1. The Contractor shall create a service to look for the entry of XML files. These files will reside in a location on the network where the XML file that is created by the portal will be deposited as well as any relevant documents that have been uploaded during the complaint process. There will be a folder for TCR and a folder for WB matters. The portal system will create a file folder with a unique number which shall be the TCR or WB submitter’s identification number (ID) on a specified time basis. The frequency looking for the entry of the XML files shall be provided to the contractor within 10 days after the date of award If the XML File is in the WB folder structure, the service shall create a WB Matter in Case Management, in accordance with attachment 2 “WB Intake Data Mapping,” or

D17PS00639 Attachment 7 create a TCR Matter, see attached specifications “TCR Intake Data Mapping”.

Both of these matters may have up to ten documents in each file folder where the XML file resides.

2. As a result of the entry of the WB or TCR Matter, the consumer may also upload supporting documents to their complaint. The service will physically move the documents from the network location to the document file server as utilized by Case Management.

3. The Contractor shall also provide an error log that will display information for each XML file or data elements that did not upload into Case Management and a description as to why.

4. Data validation shall be provided for each matter showing how the data resided in the XML file and how it was mapped to the Case Management Fields.

5. Once the Matter has been created in Case Management, the contractor’s service will move the XML file, uploaded documents and logs to an archived file location to be specified.

6. Data elements to be created, Subject of Interest, Counsel for Subject of Interest, Complaint and/or Whistleblower, Create New Matter, assign above mentioned Entities, populate additional data elements as outlined in the newly created matter, upload up to ten documents and create notification in Case Management that the new matter has been created.