Information and Records Management Consultancy

Tender description

Summary of the work TPR established a new Records Management function mid-2020 after years of absence of a Records Manager within the organisation. We now require the development a strategic road-map which will implement an effective Information Records Management framework. The services provided will help build both road-map and framework. Expected Contract Length 2 months, contract needs to be completed within 2 months of contract award. Latest start date Monday 24 January 2022 Budget Range 178K including VAT and Expenses Why the Work is Being Done The Pensions Regulator (TPR) established a new Records Management function mid-2020 after some years of absence of a Records Manager within the organisation. Currently the team of two are in demand for day-to-day requests and activities and, because of this, there is a lack of time and resource to go into developing a strategic road-map which will implement an effective Information & Records Management framework. The required services will help build the road-map and framework giving the team the advantage in the future. Problem to Be Solved • Lack of Functional Business Classification Scheme • Absence of Data and Information Asset Register: concentrating on the establishment of a Vital Records Program • A need for more effective SharePoint metadata • A need for a proper monitoring and auditing process • Realise a defensible destruction process • Plan for migration of some sensitive information into new SharePoint sites • Appraisal of current Records Management activities within M365 estate • Advice on future Digital Preservation work Who Are the Users Records Management Team and Data Governance Team Early Market Engagement None Work Already Done This is the first step in establishing the fundamental steps and tools needed to help develop an effective functional approach to Information and Records Management. Existing Team Records Management Team = 2 full time staff Data Governance Team = 4 full time staff Both teams work within the Data team which belongs to the Strategy & Risk Directorate. Current Phase Discovery Skills & Experience • Evidence of Designing a Records & Information Management Policy document aligned with client's organisation Corporate Strategy and UK Government Data Standards (GDS) Including all relevant industry Standards legislation regulations • Evidence of defining all required responsibilities within client organisation for the facilitation, delivery and management of Information Records Management. • Evidence of delivering a full appraisal of organisations business functions, transactions and activities (commonly known as a Business Classification Scheme) to determine where: - • information and records are created, through Gap analysis, to determine where new information and records should be created • Experience of delivering a SharePoint site for vital organisational functions based upon functional analysis, Access controls and good practice to find improvements to workflows and information retrieval • Evidence of designing and delivering a Data & Information Asset Register (IAR) identifying structured and unstructured information which can be categorised as Sensitive and Restricted across a digital estate. • Evidence of Identification of Data & Information Asset Owners (D&IAO). Data & Information Asset Register (IAR) should be delivered in XLS and ODS format. • Evidence of designing a training program in Information Management obligation with a view of annual re-cap sessions. This training program should have included slides, audio and video scripts • Evidence of developing a policy and procedures document to identify and protect vital records • Response to above should include:- effective collaborating with strategic stakeholders and other team members, writing an assessment plan, developing forms for gathering information, developing a timeline for completion • Evidence of developing an information and Records Management metadata framework in line with GDS (response should include metadata schema and an application profile). • Each question will be scored 0-5. Supplier should be advised a score of 5 is the maximum score that can be awarded for each question. • Total section weight 20% Nice to Haves • Provide evidence of when you have undergone a project that entailed complexity of enhancing Information and Records program quality • Detail your understanding of legislative and governance framework within which the records management team operate and the current models of best practice in this area • Please provide evidence of developing a data and information-led organisation (systems agnostic) • Each question will be scored 0-5. Supplier should be advised a score of 5 is the maximum score that can be awarded for each question. • Total section weighting 15% Work Location The Pensions Regulator Napier House Trafalgar Place Brighton BN1 4DW Working Arrangments TPR has begun to work in a hybrid framework. There may be times where it is appropriate to work in the office but on the whole work is done from home. Technological supply/support can be arranged if needed. Additional T&Cs The Pensions Act No. of Suppliers to Evaluate 5 Proposal Criteria • Please detail how your technical solution meets our requirements • Please detail how your approach and methodology meets problems that need to be solved • Please detail how your approach or solution meets our user needs • Please detail how your approach or solution meets our organisation’s policy or goal • Please detail estimated time frames for the work – 2 months for the contract to be completed • Please detail how you aim to provide value for money for this project • Each question will be scored 0-5. Supplier should be advised a score of 5 is the maximum score that can be awarded for each question. • Total section weighting 20% Cultural Fit Criteria • Please detail your understanding of information, data and records Legislation in Public Sector • Please provide detail of common information, records and business challenges organisations face • Please detail how you share knowledge in a transformation environment • Please detail how you propose to collaboratively partner with the Records Management team and other key areas of the business • Each question will be scored 0-5. Supplier should be advised a score of 5 is the maximum score for each question Payment Approach Fixed price Assessment Method • Case study • Work history • Presentation Evaluation Weighting Technical competence 70% Cultural fit 10% Price 20% Questions from Suppliers 1. Scope of work and description of need contain a wide range of requirements and it is not clear what exactly is being asked for. Please confirm that the specific work required is:Development of a Business Classification Scheme for records in SharePointReview of existing Record Management practices in O365. We need to establish a RIM framework in TPR and these are the building blocks in doing so. The following are the deliverables:Development of a BCS including appropriate retention scheduleDelivery of a Data & Information Asset RegisterVital Records ProgramDefensible Destruction ProgramEffective Metadata & Taxonomy planRIM Training for staffDigital Preservation planAuditing and Monitoring processRIM Policy Paper 2. Scope lists – Advice on future Digital Preservation work. There are no qualification questions or further information provided on the need and scope for Advice. As this is a wide ranging and highly complex matter, please clarify the scope of advice required and where PRA expects the respondent to provide the evidence of their experience in this area. 1. Development of a effective metadata module for long term preservation 2. Advice on file formats to use to mitigate the risk of file obsolescence 3. Please confirm if PRA has an existing policy, when it was last reviewed and if it contains accepted definitions for Vital Records There is an existing Document and Records Policy last reviewed 2021. No there is no description of Vital Records in TPR. 4. Could PRA advise if it is able to assist in a deadline extension due to the proximity to Christmas and the time required to complete and mark the submissions prior to contract commencement Unfortunately we are unable to extend the deadline due to tight deadlines of this project. 5. Scope lists – Plan for migration of some sensitive information into new SharePoint sites. Please clarify if this is identification of specific content that should be moved, where it is currently stored and if it is expected to be migrated in this project? "It is held on Shared DrivesWe want to a plan to build effective SharePoint sites for the teams who own the SIIt is not a plan to migrate the actual data" 6. Please confirm if PRA has an existing Training Platform which would be used to deliver training. Is it expected that this would be included in the delivery of work (i.e. delivery of a training platform). "We have an existing training platform. We are looking for content on the importance of Records and Information Management to the organisation and everyone's role in maintaining standards.It should include education in the differences between Information, Documents & Records.It should be include the benefits of good practice and risk of poor practice.It should the responsibilities of the individual and TPR as a wholeThere should be modules for managers and Senior leadership their responsibilities" 7. There is no listing in the scope of work for “Training”. Please explain the specific type and nature of training expected to be delivered including: extent / scope of training, audience for training and expectations on delivery of annual re-cap training. "We have an existing training platform. We are looking for content on the importance of Records and Information Management to the organisation and everyone's role in maintaining standards.It should include education in the differences between Information, Documents & Records.It should be include the benefits of good practice and risk of poor practice.It should the responsibilities of the individual and TPR as a wholeThere should be modules for managers and Senior leadership their responsibilities" 8. Scope Lists – Plan for migration of some sensitive information into new SharePoint sites. Please confirm if there is a requirement to analyse unstructured data to identify if it is sensitive and should be migrated. Please specify locations of data that may be migrated. Additionally please confirm if the Supplier can deploy technology to identify and migrate sensitive data or is this a “desk assessment” only. "Desk Assessment - we need to build effective SharePoint sites which effectively manages this data including access and permissions, retention, functional metadata schema - for example, if we employ a flat library system, how do we cope with libraries with over 5000 items and the negative impact on the search functionality. 9. Scope lists “Vital Records Programme” please confirm if the scope of the BCS is to be limited to Vital records only? No there is no BCS in TPR we would like a complete BCS. However we can/should talk about priority in the development based upon our regulatory obligations. 10. Scope lists – Realise a defensible destruction process. Does PRA require a retention schedule for the BCS or is it looking simply to design a defensible destruction process for data from SharePoint? Yes 11. You mention the contract needs to be completed within 2 months of contract award. May we ask if this becomes negotiable once the project’s complexity, objectives and deliverables have been agreed? Unfortunately this is not possible due to the nature of the budget we have been awarded.Because of this I recommend managing our expectations in your reply and prioritising the work and deliverables as you see them. " 12. Has question 3/4 (Evidence of delivering a full appraisal of organisations business functions, transactions and activities...) been purposefully split across 2 questions? If not, should the response be against a specific half? Is there a preference as to what to input into the response that is not used? Yes Question3/4 are one question due to word limits we were able to have it as one question, hence why the question is split under 2 bullet points. Please respond as if responding to one question. 13. The final two questions for each section are around scoring. Should these be responded to with “N/A” or anything similar? Yes please respond with N/A 14. Does this project have top level support from all areas across the organisation in order to facilitate access to the information and people we would need? It has support from the Director of IT and SIRO as well as the head of Data - however the organisation realise this is a much needed project. 15. Can you describe the project team? There are two Records managers at TPR 16. Will we have access to the strategic decision makers & is there one senior program owner? The Head of Data is the program owner 17. Will you supply a dedicated person in each directorate who has a good understanding of processes, and the data? Min 3+ years’ experience recommended. These will need to be identified but we cannot ensure these are dedicated 18. Please provide clarity on the number of contacts & their roles, that would be involved in the interview process during the initial research phase. (understanding of the environment) This has not been set up yet as the budget was rewarded at very short notice 19. Is there more than one internal resource/key stakeholder allocated who would serve as backup in the event that other operational matters that precedence during this work? There are two members of the Records Management Team 20. Can you provide details on your physical records holdings eg. do you have a file registry and/or a file management system? There is a paper archive held offsite - Physical files are keep at a strict minimum - the vast majority of files are electronic 21. What level of knowledge exists on M365 within the team? The RM team have a maturing knowledge of M365,and a decent knowledge of the Compliance Centre 22. Is there a current training program on Information Management? No but there will be a project to increase the data literacy of TPR championed by the data governance team 23. What is the scope of this work, how many internal teams and data repositories are to be covered? 38 teams within 8 Directorships - though this number may have changed recently. We have not time to properly look up the number of data repositories but to be clear unstructured data is our priority so SharePoint, outlook and shared drives 24. Can we get clarity on the issues with the current SharePoint Metadata? Are the reasons/purpose of the current Metadata documented? The current SharePoint metadata was delivered with MVP in mind and is basic - we would like to see a metadata schema delivering good information and records management requirements 25. What is the design criteria behind the new SharePoint sites that are referenced (bullet 6)? What is their purpose and where are they intended to fit into the whole? The SharePoint sites have been designed in a flat management style in 26. Will Information Asset Owners & IA Managers need to be appointed and trained as part of the process? Data Owners are appointed - but training and additional expertise in relation to the delivery will be required. 27. Do existing IT applications need to be included? There is a possibility of that but due to time constraints M365 should be the priority 28. Is there a driver behind the restricted timescale which is tight based on work required? Yes budget spending before end of financial year 29. Can you clarify the requirements around the schema and application profile? "An Information and records management Metadata framework which is aligned to TPR’s Business and in line with GDS.• Metadata standard: A high level document which includes principles and implementation issues • Metadata schema: a logical plan showing the relationships between metadata elements and their rules and conditions. Showing elemental sets of metadata and their meaning and business relationship• Application profile: delineating the use of metadata elements declared in an element set. Adding business rules and guidelines on the use of the elements. It identifies element obligations and constraints and provides " 30. What is the level of work already in place around M365 Records Management and has this been internal work or has there been an external provider? M365 was implemented completely in November this year, there has been no work on Records Management yet, this is why we are tendering. 31. Are there any strategic or operational imperatives that we should be aware of, i.e what thought process has been gone through already? Or what is the overall Policy or Goal? The goal is to use the work offered in this tender to establish the building blocks of an effective Information and Records Management Framework in TPR. The deliverables will be the framework's foundation. 32. Can you clarify the existing monitoring and auditing process and any shortcomings in this area? M365 was implemented completely in November this year, there has been no work on Records Management yet, this is why we are tendering. 33. What is the organisational culture around Information Management? In short is IM recognised as an essential part of people’s day jobs or simply a pain (or anything in between). There is still an immature culture regarding records and information management - which is why we are including training. However the message is going out and there are many people in TPR who do realise the value of these processes - therefore we believe we will be able to find champions within the organisation 34. In relation to quality, how does the Pension Regulator view/judge quality? This is specifically mentioned in bullet 1 of the ‘nice to haves’ Alignment to TPR's requirements/Standards