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COMPETITIVE PROCUREMENT FOR:RFP C000519: EDISCOVERY SOLUTIONITS' PROCUREMENT WEBSITE: nitiesDESIGNATED CONTACT FOR INQUIRIES AND SUBMISSIONSTim CasellaContract Management SpecialistBidders with RFP-related questions or extraneous terms must submit them to ITS, using the Vendor Questions andExtraneous Terms Form that is an attachment to this RFP, via electronic mail sent to the designated contact for this RFPat: its.sm.bestvalue@its.ny.govNo other method of inquires will be accepted. Administrative issues pertaining to sending/receiving emailthrough the designated mailbox may be reported at (518) 473-9341.ITS ADDRESS FOR PROPOSAL DELIVERIESAddress to:NYS OFFICE OF INFORMATION TECHNOLOGY SERVICESPROCUREMENT AND CONTRACT SUPPORT UNITIf US Post Office standard and US Post Office overnight mail, use:ATTENTION: Tim Casella, PO BOX 2062, ALBANY, NY 12220If UPS and FedEx express delivery overnight and ground service, use:ATTENTION: Tim Casella, EMPIRE STATE PLAZA, SWAN STREET BUILDING, CORE 4, ALBANY, NY 12223If Hand Delivery to front desk:ATTENTION: Tim Casella, EMPIRE STATE PLAZA, SWAN STREET BUILDING, CORE 4, 1ST FLOOR LOBBY,ALBANY, NY 12223i.
EventDate1Request for Proposals ReleaseJanuary 11, 20192Deadline for filing Mandatory Intent to BidFebruary 8, 20193Deadline for Submission of Vendors’QuestionsFebruary 8, 20194Issuance of Response to SubmittedQuestions (Estimated)February 22, 20195REQUEST FOR PROPOSAL DUE DATE6Bidder Demonstrations (Estimated)March 5, 2019 @ 2:00 PM ETWeek of April 1, 2019ii.
TABLE OF CONTENTSAPPENDICES AND ATTACHMENTS . VATTACHMENTS . VSECTION 1 - AGENCY OVERVIEW .1THE NYS OFFICE OF INFORMATION TECHNOLOGY SERVICES. 1Mission, Vision, and Values Statement. 1Formation of ITS. 1SECTION 2 - PURPOSE .22.1 PURPOSE AND OBJECTIVE OF THIS REQUEST FOR PROPOSALS (RFP) . 22.2 QUANTITIES AND GROWTH POTENTIAL . 42.3 DEFINITIONS. 52.4 CONTRACT TERMS AND CONDITIONS . 52.5 MINIMUM BIDDER QUALIFICATIONS . 5SECTION 3 - SCOPE OF WORK .73.1 TECHNICAL REQUIREMENTS . 73.1.1 MANDATORY REQUIREMENTS: . 73.1.2 NON-MANDATORY (DESIRABLE) REQUIREMENTS . 173.2KEY PERSONNEL . 243.2.13.2.23.2.33.2.43.2.53.2.63.2.73.2.8CONTRACT MANAGER (OR TITLE EQUIVALENT): . 24SERVICE MANAGER (OR TITLE EQUIVALENT): . 25DATABASE MANAGER (OR TITLE EQUIVALENT): . 25SERVER MANAGER (OR TITLE EQUIVALENT): . 26WEB SERVICES MANAGER (OR TITLE EQUIVALENT): . 26NETWORK MANAGER (OR TITLE EQUIVALENT): . 27TRAINING MANAGER (OR TITLE EQUIVALENT): . 27CLIENT SOFTWARE INSTALLATION MANAGER (OR TITLE EQUIVALENT): . 283.3 DELIVERABLE MILESTONES . 283.3.1 DELIVERABLE PAYMENT MILESTONES: . 283.3.2 DELIVERABLE ACCEPTANCE:. 283.4 SERVICE LEVEL REQUIREMENTS . 283.4.1 TECHNICAL SUPPORT, MAINTENANCE, AND HELP DESK SERVICES:. 28SECTION 4 - ADMINISTRATIVE REQUIREMENTS AND INFORMATION . 304.14.24.34.44.54.64.74.8INFORMATION TO BE COMMUNICATED IN WRITING OR BY E-MAIL . 30SUBMISSION OF WRITTEN QUESTIONS . 30SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT LOBBYING . 30FILING BY BIDDERS OF MANDATORY INTENT TO BID . 31ACCURACY OF BIDS . 31EXTRANEOUS DOCUMENTATION AND TERMS . 31BIDDING OF SUBCONTRACTORS, AND CONTRACTOR OBLIGATIONS . 32VENDOR RESPONSIBILITY QUESTIONNAIRE . 32iii.
4.94.104.114.124.134.14IMPORTANT BUILDING ACCESS PROCEDURES FOR VISITORS AND HAND DELIVERIES. 33BID LIABILITY AND LATE SUBMISSIONS . 33BID VALIDITY . 33BID OPENING RESULTS, NOTIFICATION OF AWARD, AND OPPORTUNITY FOR DEBRIEFING. 33BIDDER DEMONSTRATIONS . 33ITS BID PROTEST POLICY . 34SECTION 5 - DELIVERY, FORMAT, AND CONTENT OF BIDS . 355.15.35.45.55.6PROPOSAL DELIVERY INSTRUCTIONS . 35GENERAL REQUIREMENTS FOR PROPOSALS . 36COMPLETENESS OF FINANCIAL PROPOSALS. 37MULTIPLE SUBMISSIONS . 38SPECIFIC TECHNICAL, FINANCIAL, AND ADMINISTRATIVE PROPOSALREQUIREMENTS . 38SECTION 6 - METHOD OF AWARD, EVALUATION AND SCORING METHOD . 396.1 METHOD OF AWARD . 396.2 OVERALL BID EVALUATION PROCESS. 396.3 EVALUATION AND SCORING METHOD . 396.3.16.3.26.3.36.3.4ADMINISTRATIVE EVALUATION (PASS/FAIL):. 39TECHNICAL PROPOSAL BIDDER DEMONSTRATION EVALUATION (70 POINTS): . 40FINANCIAL PROPOSAL EVALUATION (30 POINTS): . 41PRELIMINARY CALCULATION OF COMBINED TECHNICAL AND FINANCIAL EVALUATIONSCORE:. 416.3.5 FINAL CALCULATION OF COMBINED TECHNICAL AND FINANCIAL EVALUATION SCORE: . 42iv.
APPENDICES AND ATTACHMENTSAppendix A – ReservedAppendix B – ReservedAppendix C – ITS Standard Contract ClausesAppendix D – CJIS Security PolicyAppendix E – MWBE 102, Quarterly MWBE Compliance ReportAppendix F – EEO 101, Workforce Employment Utilization/Diversity ComplianceReportAppendix G – Glossary of TermsAppendix H – Personnel Request FormAppendix I – MetaDataAppendix J – Deliverable Acceptance FormATTACHMENTSAttachment 1 – Proposal ChecklistAttachment 2 – Mandatory Intent to BidAttachment 3 – Functional Requirements MatrixAttachment 4 – Vendor Questions and Extraneous Terms and Conditions FormAttachment 5 – NYS Required CertificationsAttachment 6 – Consultant Confidentiality and Non-Disclosure AgreementAttachment 7 – Firm Offer Letter and Conflict of Interest DisclosureAttachment 8 – Lobbying Forms All-in-OneAttachment 9 – Equal Employment Opportunity Staffing Plan – EEO 100Attachment 10 – Minority/Women Owned Business Utilization Plan – MWBE-100Attachment 11 – MWBE and EEO Policy StatementAttachment 12 – Consultant Disclosure Forms A & BAttachment 13 – Reservedv.
Attachment 14 – Encouraging Use of New York State Businesses in ContractPerformanceAttachment 15 – Contractor Certification to Covered Agency, ST-220-CAAttachment 16 – Bidder Information FormAttachment 17 – Minimum Bidder QualificationsAttachment 18 – Technical Proposal FormAttachment 19 – Workers Compensation and Disability Insurance RequirementsAttachment 20 – Financial Proposal WorkbookAttachment 21 – Bidder and Subcontractor Customer ReferencesAttachment 22 – Vendor Responsibility QuestionnaireAttachment 23 – Vendor Assurance of No Conflict of InterestAttachment 24 – ReservedAttachment 25 – Affirmative StatementsAttachment 26 – Use of SDVOB CertificationAttachment 27 – FOIL and Litigation DisclosureAttachment 28 – EO 177 Certificationvi.
NYS Office of InformationTechnology ServicesRequest for ProposalsRFP C000519 eDiscovery SolutionSECTION 1 - AGENCY OVERVIEWTHE NYS OFFICE OF INFORMATION TECHNOLOGY SERVICESMission, Vision, and Values StatementMISSIONTo create and deliver innovative solutions that foster a technology-enabled government tobest serve New YorkersVISIONTo lead the nation in serving citizens, businesses, and visitors through world-classtechnologyVALUESAccountability, Citizens, Innovation, Integrity, People, TransformationFormation of ITSIn 2012, New York consolidated information technology (IT) functions and service delivery from over 52State agencies into a single agency in the largest IT consolidation in State government history. The ITSworkforce of approximately 4,000 professionals serves over 120,000 end users. Historically, IT systemsand applications were primarily decentralized within individual State agencies supported by internal agencyteams working with disparate IT tools, methods, and varied technical platforms. Now, ITS is transformingIT across the State to offer world-class service that provides a consistent and high-quality experience forend users and citizens using an IT environment that: Maximizes existing resourcesMeets agency business needs with world-class customer serviceCreates a talented, innovative IT workforceIncreases accountabilityProvides cost savingsBidders seeking more information about ITS may review the ITS website at http://www.its.ny.gov.Page 1
NYS Office of InformationTechnology ServicesRequest for ProposalsRFP C000519 eDiscovery SolutionSECTION 2 - PURPOSE2.1 PURPOSE AND OBJECTIVE OF THIS REQUEST FOR PROPOSALS (RFP)This RFP is issued by the New York State Office of Information Technology Services (the "State," or“ITS”) and will result in a Contract between ITS and the successful Bidder (the terms “successful Bidder”and “Contractor” are used interchangeably throughout this document and its accompanying documents),selected through the RFP procurement process. The offering submitted by a Bidder in response to this RFPis referred to interchangeably as either a "Bid" or a "Proposal." The resulting Contract will be referred to asthe “Contract” or "Agreement." The Contract will be managed by ITS.ITS is responsible for administering the RFP process and leading the Proposal evaluation process, aswell as executing and administering the Contract resulting from this RFP and providing technicalsupport. ITS, and the winning Bidder for this RFP, shall respectively individually be known as a "Party"to the aforesaid Contract, and collectively as the "Parties" thereto.The New York State (NYS) Office of Information Technology Services (ITS) is issuing this Request forProposals (RFP) to seek proposals from responsive and responsible Contractors for there is agrowing need to manage the collection, organization and review of collected documents with respectto litigation and other adversarial matters (eDiscovery). New tools, such as Microsoft's Office365currently used by the State, allow agencies to gather email more efficiently than before.Improvements are needed, however, to allow review of collected data more efficiently.The Electronic Discovery Reference Model (EDRM 1), represented in the diagram below, is a baselineprotocol against which eDiscovery toolsets are measured.1Electronic Discovery Reference Model (c) 2017 edrm.netPage 2
NYS Office of InformationTechnology ServicesRequest for ProposalsRFP C000519 eDiscovery SolutionITS currently uses the Office365 eDiscovery Center tool with respect to email only, to identify, preserveand collect email – what are known as “left side EDRM” tasks (orange, red, purple, and a portion of blue).ITS is seeking Bids for a solution which will, desirably, perform left-side eDiscovery tasks, but will alsoprovide New York State the ability to conduct meaningful review, analysis, organization, processing,redaction and production tasks – or the “right-side" (blue, turquoise, and green) EDRM” tasks – forboth email and non-email electronically stored information (“ESI”). Any tool with right-side EDRMcapabilities will also need to have a robust “legal hold” or case management module or function builtin, for review and workflow of litigation and other adversarial matters. Included within the required"right-side" EDRM eDiscovery activities are: advanced analytic searching of the data, mass categorizing of data by subject matter or business need, technology assisted review (using algorithms to better search and find data), de-duplication and near de-duplication of data, programmatic redaction (on the fly), production into shareable forms of legally admissible data, production into litigation or other adversarial matter-ready data forms, reliable auditing, workflow mechanisms, andPage 3
NYS Office of InformationTechnology Services Request for ProposalsRFP C000519 eDiscovery Solutionemployee work product reporting (logging, etc.).ITS envisions ideally using a web application on a concurrent licensing model, with authorized Stategovernment entities such as New York State agencies, or potentially in the future, authorities or localgovernments, acquiring licenses and accessing the tool through the Internet, accessing data stored onexisting government file shares or on existing government Microsoft One Drive or SharePointapplications, with the ability of the government entity compliance officers to “import” this data into theweb application.Bidders’ solutions should be able to integrate not only with Microsoft's Office 365 software currentlyused by the State, but also similar types of recognized cloud or on-premises-based online office suitesused by large enterprises like the State that are competing with Office 365 to which the State mightmigrate in the future.Any solution must integrate with ITS' platforms and technologies, as described in greater detail in thisRFP. The State seeks to use Commercially Available Off-The-Shelf (COTS) products and services,with limited customization, which will run On-Site at the ITS Data Center. The solution must allow ITSto provide timely, innovative, high-quality, and cost-effective eDiscovery services to authorized NewYork State government entities. The eDiscovery solution will accomplish this goal by integrating andautomating processes and data, and by delivering information and services over the web. ITSenvisions the eDiscovery solution being highly configurable with robust features that enable a flexible,collaborative, secure working environment with automated workflows. The eDiscovery solution mustbe flexible enough to accommodate future growth and changing business needs. The winning Biddermust provide expert knowledge transfer and high-quality training to administrators and staff.Through this procurement, the State seeks to acquire an industry leading eDiscovery package andsupport solution. The successful Bidder must have an organization capable of supporting this productthroughout the term of the Contract. The State’s intent is to make use of the standard functionalitywithin a COTS software eDiscovery solution to the maximum degree possible. The on-premiseseDiscovery solution must fit into the overall infrastructure and architecture of State systems andprovide a scalable design to allow for future growth.The Bidder must describe in its Bid an ongoing support plan that includes a description of SoftwareSupport Service Levels for all requirements identified in the Contract Terms and Conditions attachedto this RFP. The Bidder’s response must include details on its approach to problem resolution andsoftware maintenance.As described in greater detail below, Bidders must provide significant training options offered with theirbids, with the costs for same subsumed within their overall bid prices at no additional cost, andincluding at least the following training services: implementation services;knowledge transfer, including how the State may grow usage of the solution;at least two (2) end user training sessions per user scheduled at times selected by the user;increases in the overall number of end user training sessions provided as the number ofusers of the solution increases (e.g., if the State adds another twenty (20) users, thewinning Bidder provides another end-user training class);refresher training; andtrain-the-trainer training.2.2 QUANTITIES AND GROWTH POTENTIALITS currently supports at least fifty-two (52) New York State agencies in their use of Microsoft O365eDiscovery Centers to perform left side EDRM tasks, including collecting and exporting email data forPage 4
NYS Office of InformationTechnology ServicesRequest for ProposalsRFP C000519 eDiscovery Solutionreview. ITS alone has exported 18 Terabytes of data from O365 since 2014, and it is expected thatvarious other agencies have exported a similar volume of data. Additionally, ITS maintains a repository ofmore than 5 Petabytes of unstructured data from which ITS and other agencies pull data for review. Theproposed solution must allow ITS to apply left-side EDRM tasks to this unstructured data, rendering itsearchable.The volume of email and non-email ESI that is culled, reviewed and exported is expected to growexponentially as the proposed solution is implemented. Bidders' solution
ITS currently uses the Office365 eDiscovery Center tool with respect to email only, to identify, preserve and collect email – what are known as “left side EDRM” tasks (orange, red, purple, and a portion of blue). ITS is seeking Bids for a solution which will, desirably, perform l
