REQUEST FOR PROPOSALS (RFP) 17/18-02 FOR RECORDS RETENTION CONSULTING SERVICES. 1. Addendum No. 1 to the above referenced Request for Proposals.

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1 REQUEST FOR PROPOSALS (RFP) 17/18-02 FOR RECORDS RETENTION CONSULTING SERVICES TO ALL POTENTIAL PROPOSERS: Attached are the following: 1. Addendum No. 1 to the above referenced Request for Proposals. 2. Response to Questions and Requests for Clarification submitted in conjunction with the above referenced RFP and the District s responses. 3. Signature page acknowledging receipt of this Addendum No. 1 and Response to Questions and Requests for Clarification, to be provided with the proposal. All other provisions of the Solicitation Documents shall remain in full force and effect. 8/14/2017 Date Jillian Ragia, Buyer II Procurement & Contracts Division

2 Title: Records Retention Consulting Services Page 2 of 8 The purpose of this Addendum No. 1 is to amend the Solicitation Documents as specified below. Changes are highlighted in yellow for ease of reference where applicable. 1. Addendum No. 1 to the above referenced Request for Proposals. A. Part I, Information / Instructions to Proposers, Section 12, Item D, District s Rights (pages 12 of 64 of PDF) Insert: 3) The District reserves the right to obtain services through intergovernmental or cooperative agreements if in the best interest of the District. B. Part II, Scope of Services / Specifications, Section 3, Item B-1, Tasks (page 21 of 64 of PDF) Delete: e) Recommendations on minimizing. Insert in lieu thereof: e) Recommendations on maximizing. C. Part II, Scope of Services / Specifications, Section 3, Item A-2, Deliverables (pages 20 of 64 of PDF) Delete items a-d in its entirety Insert in lieu thereof: Consultant shall provide deliverables in the following order: a) Work Plan: Develop a detailed work plan, including a timeline with the estimated days/hours required. See Section 5, Project Timeline below for tentative start and completion dates for Phase I. The work plan shall include the following, at a minimum: i. On-site kick-off meeting with District s records management team. ii. Interviews with District staff to perform record discovery sessions. b) Presentation: Consultant shall conduct, at a minimum, up to two (2) on-site presentations which shall be educational orientation sessions on the importance of records management with all staff at the District. This presentation will include: i. The importance of a well implemented records management program. ii. Standard industry records retention practices for public agencies, in the state of California and best practice examples across different repositories such as file systems, document management systems, accounts and enterprise resource planning (ERP) systems. iii. High level overview of the District s current Program in place. iv. What District employees can expect during and after the transition. Typical dayto-day impacts of a well implemented Program.

3 Title: Records Retention Consulting Services Page 3 of 8 v. What shall be expected during the Division/Group specific Discovery sessions (Phase I). vi. Tentative timeline for Phases I and II of the Program. c) Report: Develop and provide a comprehensive report to the District with the findings above from Phase I, Section 1, Tasks. d) Key Stakeholder Meeting: Conduct one (1) on-site presentation of the gap analysis findings to the records management team.

4 Title: Records Retention Consulting Services Page 4 of 8 2. Response to Questions and Requests for Clarification NO. QUESTION RESPONSE 1. In the Scope of Services, Section 3A (DISCOVERY/ASSESSMENT), Tasks 1: Are those departments and services listed a complete list for the agency, or are some departments/services out of scope? In the Scope of Services, Section 3A (DISCOVERY/ASSESSMENT), Tasks 1(d): Are the offsite record storage providers commercial companies? If so, can you identify who they are? In the Scope of Services, Section 3A (DISCOVERY/ASSESSMENT), Tasks 1(i): Regarding the current taxonomy, who developed it, is a sample available, and who is the Agency s Sharepoint vendor? In the Scope of Services, Section 3A (DISCOVERY/ASSESSMENT), Deliverables 2(b): What organizational roles (departments, business functions) are represented by Key Stakeholders and the records management team? In the Scope of Services, Section 3B (ROADMAP DEVELOPMENT), Task 1(c): Are data privacy, data mapping, and data security currently under the management of the agency s RIM program? Overall, is the agency looking to utilize ONLY Sharepoint s available features to manage records, or are they willing to consider a 3 rd party application that works with Sharepoint to provide more flexible records management functionality? Yes, the list provided is a complete listing of all departments and divisions at the District. There are no other departments or divisions out of the required scope of services in this RFP. Yes, the offsite record storage providers are commercial companies. Off Site Records Management, LLC does our paper records storage and destruction. Iron Mountain Offsite Data Protections does our off-site tape storage. The District does not have a comprehensive taxonomy for all records however it does have metadata for electronic SharePoint records. This information will be provided to the recommended awarded vendor during Phase I, Discovery/Assessment Since its implementation by ShareSquared in 2016, Triune Informatics, Inc. has provided assistance, maintenance and training services in direct support of the MS SharePoint 2013 product. The records management team is comprised of staff members representing all five (5) Departments, as listed in Part II, Scope of Services/Specifications (pg. 19 of 64 in PDF). The District does not have a Records Information Management (RIM) program. Please refer to Part II, Scope of Services/Specifications, Section 2, Background (Pages of 64 in PDF). Data security is currently maintained by the Information Technology Department. No, the District is willing to consider all options including other 3 rd party applications. Please note that SharePoint is not the only records management software the District uses. Please refer to the District s existing information technology infrastructure in Appendix B, Existing IT Infrastructure.

5 Title: Records Retention Consulting Services Page 5 of 8 2. Response to Questions and Requests for Clarification (Continued ) NO. QUESTION RESPONSE It isn t clear what level of SharePoint expertise is being requested (Page 5 B). Can you provide more guidance on this topic? We have SharePoint resources we can include in our proposal but we want to be sure they would add value and that they are needed to supplement existing resources. What level of SharePoint expertise does the District have? Are they internal staff, external professional services or both? The term enterprise systems is used throughout the RFP we typically think of these as business systems (i.e. JD Edwards, Cayenta, etc.) versus shared drives, SharePoint or ECM solutions like OpenText. Does ACWD wish to include in the business systems in the records roadmap e.g. purging records in compliance with the retention schedule? The District requires at least two (2) years experience working with Microsoft SharePoint 2013 document management system. Please refer to Part I, Information/Instructions to Proposers, Section 5, Item B, Proposer s Minimum Qualifications and Experience (Page 7 of 64 in PDF). Please see the response to question 7 above. Both. There is currently one (1) internal staff member in our IT department and one (1) external professional. See response to question 3. Yes, please include all business systems in the records roadmap as requested in Phase I and II. Phase I: Refer to Part II, Scope of Services/Specifications, Section 3, Item A-2, Deliverables, sub-item a. Phase II: Refer to Part II, Scope of Services/Specifications, Section 3, Item B, Tasks Page 5 d: Existing data inventory systems from offsite record storage providers. What exactly is being requested? Does ACWD have off-site storage inventory listings? Are these in Excel or another database? Are you looking for these records to be consolidated and evaluated against the current RRS? Please add additional detail. Restructure existing records retention policies, procedures and management is a Phase 3 task and would appear to include updating the RRS with current citations. Is that correct? Yes, the District has off-site storage inventory listings. The listings are available through the commercial vendor s website in a database. Yes, the District is requesting that all records types, including on-site and off-site, be consolidated and evaluated against the Records Retention Schedule. Yes, updating the Records Retention Schedule with current citations is part of optional Phase III.

6 Title: Records Retention Consulting Services Page 6 of 8 2. Response to Questions and Requests for Clarification (Continued ) Page 5 f: Applicable federal, state, and local laws/regulations that apply to the District s current Program. In order to meet this requirements, the RRS This solicitation does not imply that the 12. would have to be updated with current District will require Phase III Roadmap citations (called for in Phase 3 per the Implementation service(s) from the above question); should the update of Consultant. the RRS with current citations be moved to Phase 1 so that 5f can be accomplished? Please clarify. 13. Who is the sponsor for the project? The District is the sponsor for the project. 14. Who are the key stakeholders? Please see the response to question 4 above. 15. How many locations are to be included in the project? There is one (1) location included in the project at District headquarters in Fremont, CA. 16. How many departments? Can we have Please see the response to question 1 above a complete organizational chart? What is the level of senior/executive management support? Does the District have an Information Governance function? Steering committees? If so please describe. Is there a records manager or records management function? a. What is the number of staff for records management? b. What are their skill levels? c. How many resources are available to assist with the project? What percentage of their time? Senior/executive management shares the same goal and willingness to work collaboratively in support of the Program. No, the District does not have an Information Governance function or steering committee. No, the District does not have a records manager or records management function. The District today has a staff of approximately 230 employees all of which utilize the existing records management Program. Staff skill levels vary since implementation in April Resource availability is unknown at this time. More information can be assessed during Phase I, Discovery/Assessment Is the project funded? Clarification on when the presentation will be performed in Phase I. Please clarify if pricing is on a time & materials or not to exceed basis? Yes, the District has adequate funding in the budget for these expenditures. The presentation shall be performed before the assessment/interviews. Please see Section 1. Addendum No. 1, Section C. The pricing structure is on a time & materials basis. Fixed hourly pricing shall apply to all Task Groups, additional ad-hoc services or for updates outside of the existing scope of services.

7 Title: Records Retention Consulting Services Page 7 of 8 2. Response to Questions and Requests for Clarification (Continued ) 23. Will the District allow the usage of GSA Cooperative Contracts? Yes, the District will allow for GSA Cooperative Contract pricing. Please see Section 1. Addendum No. 1, Section A.

8 Title: Records Retention Consulting Services Page 8 of 8 3. Signature page acknowledging receipt of this Addendum No. 1 and Response to Questions and Requests for Clarification, to be provided with the proposal. PLEASE RETURN A SIGNED COPY OF THIS SIGNATURE PAGE WITH YOUR PROPOSAL BY 2:00 P.M., 08/25/2017. The undersigned acknowledges receipt of Addendum No. 1. Signature Printed Name Title Date