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Bozeman City Attorney Case Management System Proposal - Thentia USA, Inc
Bozeman City: Attorney Case Management System — Request for Proposal (RFP) — Prepared by: Ryan Richards Sales Engineer — Thentia USA, Inc. 55 East Monroe Street Downtown, Chicago, 60603 USA Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 2 TABLE OF CONTENTS 1. EXECUTIVE SUMMARY ______________________________________________ 4 2. COMPANY PROFILE _________________________________________________ 5 2.1 About Thentia _______________________________________________ 5 2.2 Corporate Information _________________________________________ 5 2.3 RFP Contact ________________________________________________ 6 3. SCOPE OF PROJECT ________________________________________________ 9 3.1 Forms Management __________________________________________ 9 3.2 Reports Generation _________________________________________ 10 3.3 Search ___________________________________________________ 12 3.4 Security and Privacy _________________________________________ 13 3.5 Audit Trail _________________________________________________ 13 3.6 Case Data Management ______________________________________ 13 3.7 Paperless Environment_______________________________________ 15 3.8 Client Management _________________________________________ 15 3.9 Calendaring _______________________________________________ 15 3.10 Performance Management ____________________________________ 18 3.11 Business Rule Management and Automation ______________________ 19 3.12 Records Management _______________________________________ 19 3.13 Document Management ______________________________________ 20 3.14 Discovery _________________________________________________ 20 3.15 Legacy Data _______________________________________________ 20 3.16 Customization ______________________________________________ 21 3.17 Data Query ________________________________________________ 21 3.18 System Integrations _________________________________________ 22 3.19 Compatibility _______________________________________________ 22 3.20 Platform __________________________________________________ 22 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 3 4. GENERAL AND TECHNICAL REQUIREMENTS __________________________ 23 5. RELATED EXPERIENCE WITH PROJECTS SIMILAR TO THE SCOPE OF SERVICES __________________________________________________________ 27 6. PROPOSED IMPLEMENTATION SCHEDULE ____________________________ 29 6.1 Identification of tasks to be performed by Vendor ___________________ 29 6.2 Identification of tasks to be performed by the city ___________________ 30 6.3 Implementation Plan _________________________________________ 31 6.4 Expected timeframe the project would be complete _________________ 39 7. PRESENT AND PROJECTED WORKLOADS ____________________________ 40 8. REFERENCES _____________________________________________________ 41 9. TRAINING ________________________________________________________ 42 10. MAINTANCE AND SUPPORT _______________________________________ 43 11. PRICE PROPOSAL _______________________________________________ 45 11.1 Pricing____________________________________________________ 45 11.2 Payment Terms _____________________________________________ 45 12. AFFIRMATION OF NONDISCRIMINATION ____________________________ 46 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 4 1. EXECUTIVE SUMMARY This document constitutes Thentia’s response to the Request for Proposal (RFP) by City of Bozeman. The City of Bozeman has requested an Attorney Case Management System solution. Thentia Cloud can provide The City of Bozeman with a highly flexible, secure, and modern cloud-based solution to modernize the city’s case management system. The demands of case management can be very rigorous. From the need for the system to report on many aspects of the process, the complex record & document management, and the ability to interface with other systems & clients, we believe Thentia is well positioned to provide a solution that meets the current and future needs of The City of Bozeman. We would greatly appreciate the opportunity to take on this project. We hope that the information we present within this response provides significant value and look forward to additional discussions regarding this project. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 5 2. COMPANY PROFILE 2.1 About Thentia With headquarters in Toronto, Canada and U.S. operations based out of Chicago, Illinois, Thentia offers a range of enterprise technology solutions designed specifically for regulation, compliance and governance needs across a variety of professions and trades. With a significant share of the professional regulatory market in North America, we continue to learn, adapt, and expand the scope of capabilities to meet the niche requirements of our industry. Since 2014, Thentia has consulted with both self-regulated and private business clients to develop a sophisticated process; ensuring our custom regulatory solutions are designed, architected and quality-assured in a timely and professional manner. We employ former regulatory professionals as their expertise and insight is invaluable to ensure all variances in client legislation and process are understood and represented accurately. Every organization is unique, and our mission is to constantly improve and refine our platform by keeping pace with changes in regulatory practice and supporting technologies. It is our goal to provide complete solutions that are secure, user-friendly, responsive, comprehensive, and accessible. We take a proactive approach to understand your needs, and simultaneously will also play an advisory role to impart best practices - helping you achieve regulatory excellence. Our software offering is Thentia Cloud. 2.2 Corporate Information Company Website: https://thentia.com/ Thentia USA Inc. 55 East Monroe Street Chicago, IL 60603 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 6 Thentia Canada Inc. 60 Adelaide St. E. 3rd Floor Toronto, ON, M5C 3E4 2.3 RFP Contact Ryan Richards Sales Engineer ryan.richards@thentia.com (412) 209-5667 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 7 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 8 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 9 3. SCOPE OF PROJECT 3.1 Forms Management Out of the box, Thentia Cloud is highly flexibility. All forms in the system are fully configurable and can be modified at any time. New forms can be created to support virtually any data collection requirement. Thentia’s deployment team, along with power users, can make edits using a simple drag and drop tool (no coding required). Drop- down fields are also fully configurable so that field values remain consistent with your data collection requirements and nomenclature, as set out in any applicable governing legislation. Data validation can also be configured depending on the rules required for a particular field. Workbench – Settings / forms Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 10 Workbench – Form builder 3.2 Reports Generation Reporting is made easy with Thentia Cloud’s Reporting and Analytics capabilities. The client can analyze its data within the system with familiar charts and graphs. The analytics can report on a limitless number of metrics and figures based on the data contained within the system. As described in the RFP, these reports can be centered around case status, calendaring, and performance metrics. Our system allows for easy export of the raw data (excel sheets) or visualizations that can be slotted directly into an annual report. Thentia provides many out of the box reports to cover common use cases and custom reports can be created by the city as needed. Thentia’s customer success team is also able to provide report building services depending on the scope of the report. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 11 Creating reports in Workbench Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 12 Report dashboard in Workbench 3.3 Search Thentia Cloud features robust search functionality. Due to the incredible speed and scale of our SingleStore backend database, the system is able to search though millions of rows in seconds. Our search capability can be an extensive as a keyword searching all records and fields or targeted to a specific field or section. Multiple field searches can be combined to get particularly granular, such as the example described to search by attorney or case combined with decisions made in a particular jurisdiction. Thentia Cloud also has the ability to search the text within PDFs or other text recognizable file formats. This functionality allows for much more efficient document management. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 13 3.4 Security and Privacy Thentia Cloud is FedRAMP High Baseline, ISO 27001, HIPAA, NIST 800-53, PCI-DSS, and CJIS complaint. We provide high availability and multi-redundancy systems keep Thentia Cloud always available. Our solution operates in SSAE Compliant Data Center. Data is stored in the country of origin. Thentia Cloud has a robust role-based access control system to ensure each group of individuals is only able to read, write, or delete fields or items they are permitted to. The system also carries a full audit history for every change in the system. This includes information such as the original value, the new value, the time of change, the person who changed it and their IP address. All user accounts, both admin and otherwise, require two factor authentication to add an additional level of security to the system. This can be configured by way of an authentication code being sent to their email or answering a security question. 3.5 Audit Trail Thentia Cloud includes a full audit history for every change in the system. This includes information such as the original value, the new value, the time of change, the person who changed it and their IP address. This audit trail can be viewed from within the system and can not be modified under any circumstances. 3.6 Case Data Management As discussed above, Thentia’s case management system is highly malleable to the specific needs of a city. Out of the box, we provide a baseline set of case management functions to facilitate the processing, exchange, and general administration. As part of onboarding, we would configure the workflows unique to the city’s regulatory and legal requirements. Depending on the type of case type and the required parties, the form and subsequent data will be processed and exchanged in accordance with the determined workflow. Each group of individuals will be able to interact with their piece of the case, only viewing or updating data relevant to their mandated process. Each workflow will dictate opportunities to provide automated actions, such as email notifications to the relevant Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 14 party or parties, to increase efficiencies within the process. Workbench - Case record/evidence details (record) Workbench - Case evidence (record/document) Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 15 3.7 Paperless Environment Thentia Cloud is a 100% paperless solution. The solution was designed from the ground up to facilitate all case management needs digitally. Documents can be uploaded and viewed from within the system, email notifications are able to be sent out, and the system’s robust API makes data transfer to third party systems a breeze. 3.8 Client Management Thentia Cloud is able to handle client management in a variety of ways. Depending on the client and their particular responsibilities within the case, we are able to provide them access to the information they need. This could appear in a form as simple as a hosted file exchange where they are able to obtain the documents they require, to something more complex where they would receive access to our workbench (admin portal) for the ability to read or input further information. Access to the workbench is user based and the permissions granted are done through robust role-based access controls as mentioned throughout the document. Furthermore, we may be able to identify an opportunity to utilize our API or other data exporting functionality to deliver data to these clients periodically or on an ad hoc basis. 3.9 Calendaring Thentia Cloud’s case management solution includes a mobile- responsive portal specifically designed to accommodate the process of scheduling interviews, collaborating, and collecting data on your case. The calendaring/scheduling functionality within our tool is handle a variety of use cases such as court appearances, deadlines, meetings, and hearings. We can support multi department and multi court requirements. Printing of calendar items and tickle events can be customized following a discussion to determine specific functionality. Our system is able to integrate with Microsoft Office. The illustrations shown below are an example of an inspection/investigation portal: Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 16 Calendar View Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 17 Calendar – Assigned Inspections Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 18 Calendar - Notes 3.10 Performance Management Thentia Cloud has the ability to extensively report on performance metrics as collected in the case. Information such as time from case open to close, time between case milestones, and performance with regards to providing required documents can all be reported on with our in-built analytics module. As discussed in section Data Query, the city is able to create their own reports as needed, as well as utilize the reports Thentia has developed out of the box for these commonly occurring needs. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 19 3.11 Business Rule Management and Automation Thentia Cloud is a configurable case management framework designed from the ground up to be modified to suit the unique practices and procedures as needed by the city. Our mission is to intelligently determine the most efficient and sensible workflow for staff and their constituents while still adhering to the mandate or produce that governs the process. Workbench – Form builder 3.12 Records Management Records within Thentia Cloud are able to be archived within the system once they have been adjudicated. Those records, their data documents, and other associated files are able to be retrieved when needed. All case and supporting information/files are kept in the system in perpetuity. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 20 3.13 Document Management Thentia Cloud supports documents of any file size and any file type. This saves significant effort in comparison to other systems, as we are not required to complete difficult file conversions or file reductions. Thentia is able to generate, edit, store and retrieve documentation within our system. We have in-built ability to view, rotate, annotate, highlight, and comment on documents from within the system. The files are able to be searched for in the system by name. As well, the ability to search through the entire system for the contents of text readable documents such as PDF is something we provide as standard. 3.14 Discovery The discovery service would facilitate the exchange of documentation between required parties. To accomplish the functionality described in the RFP such as Bate’s stamping, redacting, and indexing features, we would plan to integrate with a third-party service such as AdobePro. Utilizing that integration, we would be able to expedite the discovery document preparation process and serve complete and lawful documentation through the exchange. As discussed in the Audit Trail section, Thentia has a full audit history available. This would be inclusive of the discovery related procedures. The items included in the audit would include what was shared, with whom, and the date the exchange took place. The exchange of data would be CJIS compliant and guarantee the security of all data, including confidential criminal information. 3.15 Legacy Data Data migration is the process of moving data from its current source to Thentia Cloud. The process involves cleaning up the data, assessing the data quality, mapping the source to the target, loading the data into Thentia Cloud, and performing verification procedures to ensure data is loaded correctly in to Thentia Cloud. Thentia will conduct an initial assessment of the data looking for any inconsistencies, duplicates, missing data, validate business rules where applicable, etc.) and provide Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 21 feedback as needed. The city will send Thentia an Excel spreadsheet in Thentia’s standard format (CSV) for review by secure data transfer: The following is a summary of events to clean-up the data: 1. Agency to update the Excel spreadsheet (CSV) files and clean-up the data where applicable and send the files to Thentia by secure transfer 2. The Onboarding team will load the data into Thentia Cloud, validate and identify any data issues 3. Discuss and review any data issues found with Agency for resolution 4. Repeat steps 1 through 3 until all the data is cleaned and loaded successfully 5. Agency will have access to the new system to conduct additional testing to validate the data The city owns the data. Thentia will make data formatting changes for operability within Thentia Cloud. Any data changes will not be made by Thentia without the city’s approval. If the data quality is poor (i.e., data is missing values or information is incorrect) during the data migration, it will impact the project schedule and potentially alter or delay the launch date. 3.16 Customization Thentia Cloud is able to be customized in order to fully support each of the Prosecution, Civil Litigation, and General Legal department’s requirements. The solution is able to be confirmed in terms of Thentia Cloud also has full role-based access controls to limit the ability to see particular sections of the tool as well as the ability to specify read, write, and/or delete permissions. 3.17 Data Query Thentia Cloud is written in SQL with a graph based SingleStore backend database. SingleStore allows for incredible levels of scale and efficiency, meaning millions of rows are able to be queried in seconds. This efficiency combined with the functionality in our in-built analytics module, allows for extremely efficient and extensive reports to be pulled at any Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 22 time. The city absolutely has the ability to query its data as needed. 3.18 System Integrations Our proprietary technology stack incorporates best-in-breed open- standards software and can integrate with virtually any third-party web- based application that offers an Application Programming Interface (API). Most major web-based software providers will publish an API to allow for extended usability of their data applications. Our flexibility to integrate with third-party systems allows us to offer a more well-rounded solution, as well as single sign-on (SSO) capability. We would appreciate the opportunity to determine specific requirements with regards to integration with Zuercher and Getac to integrate with the police department. Some common examples of third-party applications we have integrated with include: Content management systems (CMS) Learning management systems (LMS) Accounting platforms (e.g. SAP, Dynamics GP, QuickBooks Online, Sage) Online payment processors (e.g. Chase, Moneris, Bambora, Authorize.NET, PayPal) Human resource system integrations (e.g. SAP, Humi) Messaging systems (e.g. Slack, Microsoft Teams, RingCentral) Other web services applications 3.19 Compatibility As stated above, we have a robust API that enables the ability to transfer data. Our software natively is able to produce excel and PDF documents from within the system for use in Microsoft Office Products, and AdobePro. We would look forward to learning more about the specifics required in interfacing with those tools, as well as WestLaw, so we could scope out what that effort would look like. 3.20 Platform Thentia Cloud is a cloud hosted case management system. Thentia utilizes the Google Cloud for hosting and data would reside within the US at all times. The city retains ownership of the data throughout the relationship with Thentia, and the data would be returned to the city at the end of any contractual agreement in CSV or JSON format within 30 days. There is not a fee for recovery. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 23 4. GENERAL AND TECHNICAL REQUIREMENTS Attachment C Cloud Services Questions 1. Service levels: What level of service should we expect? What is the City's recourse for excessive downtime? Refund of percentage of monthly fee? Uptime Penalty >99.8% No penalty 99.5-99.8% 1% of total monthly service charge 99.0-99.4% 2% of total monthly service charge 97-98.9% 5% of total monthly service charge <97% A waiver of the monthly service charge Note: Uptime measurements exclude connectivity issues that are the result of the Client’s internet connection and not the Vendor’s internet connection. 2. Data ownership: Who owns the data we provide and what can be done with the data? The City of Bozeman retains data ownership at all times. The data can be reported on using our in-built analytics module. The data can also be exported via csv, pdf, graphically, or via API. 3. Data security: How secure is our data and how is it being kept secure? a. If this is a multi-tenant environment on the same hardware how is our data kept separate and secure from other customers, including any PII (Personally Identifiable Information) that may be gathered? We have multiple policies used to protect sensitive Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 24 information (PII), including device security, multi-factor authentication, usage of encryption on disk and other policies related to disposal of devices. Policies are enforced by our information security team. We have full segregation of duties internally to support these processes. b. If PII is gathered, is it encrypted in transit and at rest? Yes, data is encrypted in transit and at rest. c. If credit card transactions are occurring is your system fully PCI compliant? Yes, Thentia Cloud is PCI-DSS compliant. 4. Data integrity: What do you do as a vendor to ensure our data maintains its integrity? Thentia and Thentia Cloud have operational and technical features to help minimize potential integrity risks. These include form field validation for new entries from users, quality assurance testing during development to confirm that functions performing transformations and computations are performed correctly per customer and business requirements, and access controls to assure that only the right individuals and teams have access to write data or execute functions. Additionally, Thentia Cloud utilizes encryption in transmission (e.g. TLS 1.2) which assures integrity of transmitted information between systems and over the internet. 5. We require data centers to be located in the United States: What country will our data base located in? All data will reside in the US. We utilize Google Cloud for hosting. 6. Responding to legal demands to disclose data: What is your process when someone subpoenas or requests our data from you as a vendor? On requests for data, we are not the owners of the data. We will immediately contact the owners of the data to inform them of any subpoena or request for Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 25 data and give them, within our legal ability to do so, an opportunity to respond. 7. Reporting: What is your protocol for data breaches? This is defined in our Cyber Incident Response Plan. At a high level, upon a suspected incident being discovered, an incident handler would be identified. If the incident handler identified the breach did occur, the CIRT members would be alerted, and an initial meeting would be held. That meeting would consist of gathering facts, documenting steps taken, and scheduling subsequent meetings. A breach coach, internal and external stakeholders would be engaged, and an initial response plan would be triggered. Affected individuals would be notified at this time as well. Following the containment and recovery, the incident handler would convene lessons learned within 2 weeks. Our Cyber Incident Response Plan is revised annually. We would be happy to provide additional details further into the selection process. 8. Disaster recovery: What protections/protocols do you have in place to mitigate disasters? Our systems are replicated in near-real-time to three regions and hot backups are available, as well as full cold backups of virtual machines, snapshots, incremental data files, and so on. Our RTO is 2 hours on a DR event, and RPO is 2 hours as well. 9. Business continuity: If you decide to bring your business to an end what happens to our data? In the case outlined above, we would return the data in CSV or JSON format within 30 days as an outer limit. 10. Termination rights and consequences: What is your termination policy both for you as a vendor and us as a customer? Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 26 Our contracts have a term, usually 3 years, during which termination is not possible. There are certain exceptions for a material breach, but outside of these limited exceptions it is expected that customers fulfill their full term. An opportunity to terminate becomes available during each subsequent renewal. 11. Exit: If we exit our relationship what format can we get our data in and what assistance will you give us in transferring our data to us in a usable format? We do not own the data and our agreements generally contain provisions for the return of data in CSV or JSON format within 30 days as an outer limit. There is not a fee for recovery. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 27 5. RELATED EXPERIENCE WITH PROJECTS SIMILAR TO THE SCOPE OF SERVICES Thentia Cloud has been designed to be configurable to various client needs. Our product has been used to accomplish a wide variety of tasks in addition to case management, such as licensing, board meetings management, and examinations. The scope and nature of the case management usage depends greatly on the client. Oklahoma Medical Marijuana Authority Implementation began on March 31st, 2021, and the project is due to go live July 19th, 2021. For this implementation, we have tailored our solution to the medical marijuana industry and defined industry best practices. This previous experience will greatly expedite the implementation time and time to value for licensees. The Oklahoma Medical Marijuana Authority solution will have an integration with IDEMIA to handle digital identity. Oklahoma Accountancy Board Implementation began in August 2020, and the project went live in December 2020. Thentia created an integration with the National Association of State Boards of Accountancy (NASBA). The integration allowed applicants to apply to become candidates through our solution. Once a candidate, the individual is eligible to take the 3-4 (depending on license type) required examinations with NASBA. The results of each exam were automatically communicated back to the solution and maintained a validity period. If the individual did not complete their exams within the allotted window, the integration would update our solution and have the candidate reapply. If the exams were completed in the allotted time, the application can be approved by the board within the solution. This integration drastically improved the speed and efficiency of the application process from what was a manual paper-based process previously. Oklahoma Real Estate Commission Implementation began in August 2020, and the project went live in December 2020. Taking OREC’s license application and renewal process into the 21st century Since deployment of Thentia Cloud, OREC has achieved profound quantifiable benefits which have completely modernized, systemized, and automated how licenses are issued and renewed by all real estate professionals in Oklahoma. Within only three months of its go-live date, 97 percent of OREC’s licensee applications were received through Thentia Cloud and were all reviewed and approved within one Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 28 business day, 75 per cent of its licensees that were up for renewal during that period completed their license renewal online, and over 50 percent of new applicants had their license issued online. In addition, OREC reports that in those first three months alone, over 40,000 automated notices were distributed via Thentia Cloud and the organization estimates it eliminated over $25,000 in direct mail expenses. Crotty also notes that as a result of Thentia Cloud, OREC has also seen a decrease in unlicensed real estate activity due in large part to enhanced automations and renewal notices, which ensures that its licensees are renewing on time and are able to do so quickly and efficiently online. Once beset by clunky, manual, and time consuming processes, OREC now has the functionality to seamlessly export data and customized reports. As a result, the agency is positioned as a front runner in the state’s real estate ecosystem and now shines a spotlight on industry activity by providing valuable and reliable data to colleagues and partners. “Thanks to Thentia, OREC is now operating in the 21st century, and we are extremely proud of the application and renewal system they’ve built for us.” Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 29 6. PROPOSED IMPLEMENTATION SCHEDULE 6.1 Identification of tasks to be performed by Vendor The following table highlights the stakeholders, roles, and responsibilities within the project as to be completed by the vendor. These are subject to change depending on the project requirements. Stakeholder Role Responsibilities Thentia Project Manager Project Manager Actively manages, communicates, and mitigates project risks and issues and escalates when necessary Manages sponsor, stakeholder, and team expectations throughout the project Provides detailed project planning documentation (Statement of Work, Risk Management Log, Status Reports, Schedule, etc.) Responsible for managing the execution of all project milestones/deliverables Provides leadership and actively manages the project team resources within the confines of the project Organizes Inter-Departmental work groups and team meetings, when necessary Monitors project progress; individual and team performance against work estimates and assists when necessary to ensure that the project stays on schedule, cost, scope and quality Manages project scope and escalates issues where necessary Provides project updates and status reports to all project stakeholders Resolves cross-functional issues at project level, escalates where necessary Thentia Project Coordinator Project Coordinator Assists the project manager with the coordination of resources, equipment, meetings, and information Thentia Project Onboarding Assist in defining the project Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 30 Team Analyst Gather requirements from business units or users Works closely with the onboarding configuration team to ensure data is mapped and loaded in the new system correctly Works closely with Agency to ensure the project meets business needs Test solutions to validate objectives Provide training Thentia Project Team Onboarding Architect Review the business requirements, the system requirements, and the business process flow to map requirements to available system functionality Provide estimates to complete the configuration work based on the business and system requirements Thentia Project Team Onboarding Configuration Team Configures the system from the system requirement specifications and any related documentation 6.2 Identification of tasks to be performed by the city The following table highlights the stakeholders, roles, and responsibilities within the project as to be completed by the city. These are subject to change depending on the project requirements. Stakeholder Role Responsibilities Bozeman Sponsor Project Sponsor Reviews and approves Statement of Work document Participates in review sessions to collect and document the business requirements Participates in meetings when required Participates in the business requirements discussions Participates in training and data conversion activities Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 31 Serves as a subject matter expert for Agency requirements Bozeman Staff Subject Matter Experts Participates in meetings when required Participates in design of business process definitions Provides all a list of data required to load into the new system Conducts data clean-up to ensure the data is accurate and up to date Serves as a subject matter expert for related requirements Conducts User Acceptance Testing (UAT) Bozeman Program Management Bozeman Project Coordination Bozeman (Program Management) works with Legal and Procurement to get SOW and Quote Approved and PO Generated which is sent back to Thentia 6.3 Implementation Plan Project Management Project Approach Thentia adopts a best practice that conforms to the standards and guidelines outlined in the Project Management Body of Knowledge (PMBOK) Guide, Project Management Life Cycle defined and published by the Project Management Institute (PMI). The project lifecycle is the sequence of phases the project goes through from the initiation phase to project closure. The diagram below highlights the key activities and deliverables within each phase of the project. Additional information may be identified during the planning phase that may entail the addition of new activities, tasks and deliverables required to complete the project. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 32 Onboarding Initiation The initiation phase starts the onboarding project with two main objectives; an introductory meeting to review and confirm the high-level objectives and the second objective is the creation of the Statement of Work (SOW) that outlines the business need, defines the scope, the key deliverables, and the project management approach. Key Activities Deliverables Conduct Client Kick-off Introductory meeting Create Statement of Work (SOW) Statement of Work (SOW) document Provide Optional Questionnaire Supplementary information to enhance scoping Onboarding Project Planning The planning phase entails identifying all the work and the deliverables required to complete the onboarding project successfully. It begins with capturing and documenting the configuration business requirements and configuring the system to meet those needs. From here activities, tasks and estimates are identified and used to create a realistic onboarding project schedule to complete the onboarding. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 33 Key Activities Deliverables Collect and document business requirements Business Requirements (Mock-ups, Data Mapping Analysis) Formal sign-off of the business requirements If additional information is discovered during the business requirements, it may require changes to the SOW. Note: Changes to the SOW may impact the project schedule and potentially delay the launch date Statement of Work (SOW) Document Create a project schedule listing all the activities required to complete the project. Project Schedule Formal sign-off on the SOW Statement of Work (SOW) document Signed Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 34 Onboarding Project Execution The execution phase entails carrying out and completing the deliverables outlined in the statement of work (SOW) in accordance with the activities, tasks, and milestones in the project schedule. Key Activities Deliverables Configure the system in accordance with the business and system requirements Case Management System Workbench Staff Portal Data Migration – mapping, loading the data and validations Data Migration Mapping Convert the data and validate Quality Assurance Testing QA team tests the system to ensure it meets the business and the system requirements User Acceptance – Product Review Participants will have access to a test environment to perform user acceptance and ensure the system meets the business requirements Information Security Screening An information security screening is performed upon final release. Based upon a screening, a combination of automated and manual testing may be further performed, including based upon materiality of the changes penetration testing or bug bounty for a limited period to ensure system integrity and security Deployment – preparing to deploy everything to the production environment Deployment Plan Production Deployment Launch the system System is now live Onboarding Project Closure After the system has been successfully deployed to production and meets the items outlines in the scope of work section 3.2, the focus in this last phase of the onboarding Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 35 project is to provide postproduction support, document lessons learned and archive project artifacts. Key Activities Deliverables Complete Sign-Off Form Project sign-off form Identify areas for improvement Lessons Learned Officially close the project Archive documentation Project closed Post Onboarding Support The onboarding team will provide post implementation support for a period of 10 business days from the day the new system has been successfully launched / deployed to production. During this period, the onboarding team will resolve outstanding bugs/defects and address any questions related to the onboarding. After the post implementation support period ends, the new system will be transitioned over to the customer service desk. The customer service desk will continue to provide client support moving forward. The onboarding team resources will be reassigned to work on other initiatives. All requests for changes outside the original scope for the new system will be required to follow the change request process, which is initiated by creating a request for change ticket through the customer service desk. Onboarding Schedule The onboarding estimates are based on the following key areas required to complete the requirements, the design, the configuration, testing and information security screening: Case Management System Administrative Workbench Data Migration NOTE: Once the requirements are completed, Thentia will review and estimate the effort to complete the work and provide an updated onboarding project schedule. Onboarding Project Success Criteria The success of the onboarding project will be measured using the following criteria: Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 36 Performance of the system against the system requirements Delivered quality product within original scope and timeframe Client satisfaction (met expectations, benefits realized) Training is provided ensure the Thentia Cloud system is used within the system’s design goals Acceptance Criteria This onboarding project will be deemed complete when all deliverables outlined in this Statement of Work (sections 4.2, 4.3, 4.4 and 4.5) have been completed and delivered to the Agency, including all associated documentation drafted because of the work. Assumptions, Constraints, Risks Category Description Assumptions Resources will be available by both the city and Thentia to adequately implement the required deliverables including approval, review, and testing of the system within the mutually agreed timelines Changes to the onboarding project will be formally documented and agreed upon by both Agency and Thentia. (Refer to section 4.12 Change Control for more details) Constraints There are no constraints identified at the time of completing the Statement of Work (subject to change as new constraints may be identified during the project) Risks The following will have an impact on the project schedule and potentially delay the launch date. o Data Migration – poor data / missing information may require additional time to address / resolve o Requirements are unclear or poorly defined o Unreasonable delays in providing feedback o Integration – unexpected delays or non-cooperation by 3rd party stakeholders or vendors Issue Management Onboarding project-related issues will be tracked, prioritized, assigned, resolved, and communicated in accordance with project management procedures. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 37 An issue is something currently happening that is having a negative impact on the project and requires resolution for the project to proceed successfully. Issue management is the process of identifying, analyzing, responding to, and tracking issues facing the project. The objectives of issue management are as follows: Identify and record issues clearly Use Issue Log to document issues properly Determine the impact of each issue Prioritize issues and report on their status Review all issues and decide on a course of action Take the steps needed to resolve issues quickly Change Control The change control process will be consistent with Thentia’s project management standards and guidelines to ensure that each change proposed during an onboarding project is adequately defined, reviewed, and approved before implementation. The change control process helps avoid unnecessary changes that might disrupt services and ensures the efficient use of resources. The Change control contains six stages: 1. Proposing a Change 2. Summary of Impact 3. Hour Estimation 4. Decision 5. Implement a Change 6. Closing a Change All aspects of the change request are managed through our service desk system – approval of the change request takes place directly within the support system and will be required before any configuration effort can begin. 1. Change Proposal This process gives the ability for Thentia and Agency to suggest a change to the project. A series of questions are answered when submitting the change request through the service desk system which includes a summary of the requested change, location of the change and context behind the change. You will also can request professional service assistance in creating the documentation for the change request. 2. Impact Analysis This process is carried out by the project manager, who will consider the overall effect on the project, covering the following items: Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 38 Quantifiable cost savings and benefits Legal, regulatory, or other unquantifiable reason for change Resources required Impact on other projects and business activities New risks and issues After this assessment, the project manager recommends whether to carry out the change. 3. Hour Estimation All parties involved will provide estimates for completion of the change. The minimum number of hours used to carry out a change request will be three hours. The hour estimate provided by the service desk includes: Project Management time Professional Services time Configuration time Quality Assurance time 4. Decision This process involves a review of the change request by an approved authority who will consider all the information provided in the ticket and person making the request. The decision will be one of the following: Accept Accept with comments and special conditions Reject 5. Implementing a Change If the change is approved, it enters a change request queue with support to be implemented. As part of the planning, a regression test plan and information security screening is needed to scope materiality of the change. Implementation will go through the following stages: Approval Configuration Quality Assurance Testing Corrections (if necessary) Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 39 Quality Assurance Testing (if necessary) User Acceptance Testing Push to Production 6. Closing a Change Once implemented and pushed to the production environment the ticket is closed and the change request is deemed complete. Risk Management Risk management is the process of identifying possible risks, assessing their potential impact on the project, and then configuring and implementing a plan for minimizing any negative effects. All risks will be monitored and tracked through the risk log. Risk Management Objectives: Identify all potential risks Identify high impact/high priority risks Risk identification and analysis process Communicate to all stakeholders 6.4 Expected timeframe the project would be complete We expect this deployment to take 3-4 months from project kickoff. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 40 7. PRESENT AND PROJECTED WORKLOADS Thentia adopts a best practice that conforms to the standards and guidelines outlined in the Project Management Body of Knowledge (PMBOK) Guide, Project Management Life Cycle defined and published by the Project Management Institute (PMI). Using project management principles we are able to effectively distribute project workloads among our diverse team of over 80 employees. Thentia has seen substantial growth and has scaled the business and staffing level accordingly to meet project demand. Current Active Projects: 30 Projected Projects (Jan 2022): 58 Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 41 8. REFERENCES We have not yet undertaken a JustWare conversion. We have a prospective client, that if we moved forward, would be our first conversion. That being said, we have made conversions from a huge number of systems in the past, those including some based off AS400 and FoxPro databases. Thentia is committed to assisting in making the migration as easy as possible, as outlined in the Legacy Data section above. Shauna Cole Enterprise Programs Manager Information Services Division – Office of Management of Enterprise Services for the State of Oklahoma 2401 N. Lincoln Blvd., Room 206 Oklahoma City, OK 73105 405-593-3814 Shauna.Cole@omes.ok.gov Grant Cody Executive Director Oklahoma Real Estate Commission 1915 N Stiles Ave #200, Oklahoma City, OK 73105 405-522-8560 grant@orec.ok.gov Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 42 9. TRAINING The purpose of the training is to assist Agency in gaining full benefit from its Thentia Cloud environment. Training is performed by a series of online sessions focused on using Thentia Cloud to achieve the desired business objectives outlined at the commencement of the onboarding project. The Training Plan provides for the following: Perform a needs Assessment (i.e., Identify key areas that may require more in- depth training) Provide training on Thentia Cloud through Online Sessions that are recorded and provided to Agency Support (i.e., follow up questions) via the customer service desk Training will cover: General Overview - Explaining general terminology, icons, navigation, login and logout, secure usage of the platform, setting up MFA and maintaining the security of the system Administrative Workbench Case Management Reporting and Analytics After the first round of training is completed additional training sessions can be scheduled as needed through the Service Desk. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 43 10. MAINTANCE AND SUPPORT As Thentia Cloud is a cloud-hosted SaaS subscription, Thentia is responsible for the hosting and maintenance on the system. We maintain service uptime of 99.9% at all times. Regular maintenance is performed in a hot-failover manner and in general does not create downtime. In terms of support, a customer success manager is assigned at onboarding. That customer success manager will remain with you through the entirety of our relationship together. They are available during normal business hours to answer questions about utilizing the system, as well as making modifications in tools such as the form builder. Thentia’s break-fix support response model is detailed below. 1. Guaranteed Response Times 1.1 Response times are measured by the Vendor to determine the length of time it takes to respond to issues raised by the Client. 1.2 The Vendor is deemed to have responded when it has replied to the Client’s initial request. This may be in the form of an e-mail or a telephone call to either provide a) a solution, b) request further information or c) escalate the issue to additional resources for resolution. 1.3 Guaranteed response times depend on the severity of the issue raised, based upon the table provided below: Severity Description Response Time Fatal No access to the system 15 minutes Severe Lack of functionality that is severely blocking the ability of the Client to carry out its use of the system 30 minutes Medium A support issue that is disruptive but not blocking the use of the system 120 minutes Minor A background request that should be addressed in a reasonable timeframe One business day Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 44 Response times are guaranteed only during the normal operating hours of the Vendor, which are from 8AM Eastern Standard Time to 8PM Pacific Time. Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 45 11. PRICE PROPOSAL 11.1 Pricing • Solution implementation / launch, software hosting and licensing • $700 / month per custom workflow (up to 10 steps and 300 data points) o We estimate 9 workflows are required to meet the capabilities and functional requirements, as can be determined with the information presented in the RFP • This is a white glove process that includes all workflow development and configuration work required for a fully launched solution • All available historical data is mapped into the Thentia system including inactive case information (all searchable and reportable) • 3-year term • There are no up-front implementations costs, only the subscription cost as indicated. • This includes the conversion of data from current JustWare platform and training Year Number of Custom Workflows Monthly Cost Per Unit Estimated Monthly Cost Estimated Annual Cost Year 1 9 $700 $6,300 $75,600 Year 2 9 $700 $6,300 $75,600 Year 3 9 $700 $6,300 $75,600 TOTAL $226,800 11.2 Payment Terms Below are the payment terms that apply once a Master Services Agreement is signed between Thentia and the client. • All fees are invoiced in US dollars • All fees do not include applicable taxes • Fees are pre-paid on an annual basis with the first solution deployment payment due upon the commencement of the contract term Copyright © 2021 Thentia USA Inc. 55 East Monroe Street Downtown Chicago 60603 USA All Rights Reserved. Thentia USA Inc. Do Not Copy, Forward, or Circulate except to the intended recipient listed herein. 46 12. AFFIRMATION OF NONDISCRIMINATION Attachment A NONDISCRIMINATION AND EQUAL PAY AFFIRMATION Thentia USA, Inc. (name of entity submitting) hereby affirms it will not discriminate on the basis of race, color, religion, creed, sex, age, marital status, national origin, or because of actual or perceived sexual orientation, gender identity or disability and acknowledges and understands the eventual contract will contain a provision prohibiting discrimination as described above and this prohibition on discrimination shall apply to the hiring and treatments or proposer's employees and to all subcontracts. In addition, Thentia USA, Inc. (name of entity submitting) hereby affirms it will abide by the Equal Pay Act of 1963 and Section 39-3-104, MCA (the Montana Equal Pay Act), and has visited the State of Montana Equal Pay for Equal Work "best practices" website, https://equalpay.mt.gov/BestPractices/Employers, or equivalent "best practices publication and has read the material. ______________________________________________________ Name and title of person authorized to sign on behalf of submitter , Sales Engineer