5-BPM004656 Solicitation Attachment 8 - Experience and Capacity Questionnaire_IRM.pdf

Experience and Capacity Questionnaire

Solicitation No. BPM004656

Document Management Services

Arizona Department of Administration State Procurement Office

100 N 15th Avenue Phoenix, AZ 85007

STATE MAY DETERMINE YOUR PROPOSAL IS NON-RESPONSIVE IF YOU DO NOT ANSWER ALL QUESTIONS FULLY.

The Offeror shall provide a narrative response to each question that demonstrates their understanding of the Scope of Work requirements and describes your company’s overall method of approach for providing the service stated in this solicitation. If there is a question that is not applicable to the services required by the Scope of Work, you may mark it N/A.

Experience and Capacity Questions:

Question 1: Company Profile

The Offeror must include a narrative description of its organization. The narrative must include the following:

1.1 Brief overview of business operations, with an emphasis on experience in regards to the scope of work.

1.2 Date established;

1.3 Ownership (public, partnership, subsidiary, etc.);

1.4 Location in which the Offeror is incorporated;

1.5 Address of “Main Office” (e.g. Corporate Headquarters and any satellite offices responsible for performance of proposed tasks;

1.6 Full disclosure of any potential conflict of interest between the Offeror and any State employee who functions or has responsibilities in the review or approval of the undertaking or carrying out of the Contract;

1.7 A Statement of whether, in the last five (5) years, the Offeror has filed (or had filed against it) any bankruptcy or insolvency proceeding, whether voluntary or involuntary, or undergone the appointment of a receiver, trustee, or assignee for the benefit of creditors, and if so, an explanation providing relevant details and current status;

1.8 A Statement of whether there are any pending Securities Exchange Commission investigations involving the Offeror, and if such are pending or in progress, an explanation providing relevant details and an attached opinion of counsel as to whether the pending investigation(s) may impair the Offeror’s performance in a Contract under this RFP;

1.9 A Statement documenting all open or pending litigation initiated by Offeror or where Offeror is a defendant or party in any litigation that may have a material impact on Offeror’s ability to deliver the contracted services;

1.10 A Statement documenting all open or pending litigation initiated by Offeror or where Offeror is a defendant or party in any litigation with a Public sector client;

1.11 Full disclosure of any Public Sector contracts terminated for cause or convenience in the past five (5) years; and,

1.12 Full disclosure of any criminal or civil offense.

State Procurement Office

1.13 Offeror shall provide evidence of any Arizona required business license to provide these services.

Offeror Response:

1.1: Iron Mountain is the global leader in storage and information management services, serving over 230,000 customers in more than 50 countries on six continents. Organizations in every major industry and of all sizes—including more than 95% of the FORTUNE 1000—rely on Iron Mountain as their information management partner. We are a full service provider with capabilities in records management, data management, information governance, and information destruction services, including records management, storage, library services, entertainment services, and onsite/offsite document and media destruction.

To support our customers with their digital transformations, we have a wide range of products and services such as:

● With our Document Conversion, our customers unlock the value of information in their paper records and documents with a fast efficient process for the strategic conversion to a digital format. Information can be stored in an electronic repository where it can be easily and securely shared. Our Backfile, Day-Forward, and Image on Demand services, can increase access to data, facilitate effective management of information, and decrease storage costs of unnecessary records.

● Our Intelligent Document Processing solution, Iron Mountain InSight, can help unlock dark data contained in physical and digital assets enabling business insight. Iron Mountain provides data mapping, classification, restoration, and migration services to make data more accessible, and provides customers the ability to make better decisions and drive their business forward.

● Iron Mountain’s Advisory Services assesses the way our customers govern their information and develops a customized, actionable roadmap to address any gaps identified based on their specific goals and objectives for information management.

● Our Data Restoration and Migration services help to restore archived data regardless of the software and equipment used to place that data on the tape and the format of the media

– enabling the transformation of this archival information.

We provide our customers with complete lifecycle information management, from creation to destruction, to enable faster and more efficient access to information. With a strong record of accomplishment delivering document management services, Iron Mountain is well positioned to support the State’s scope of work. We have performed similar services for other state, local, federal and commercial clients including Pennsylvania's Department of Labor and Industry, Kentucky’s Health and Family Services (CHFS), Department of Veterans Affairs, Department of Homeland Security, Army War College, and many others. These services include project implementation, records relocation (secure transportation), material inventorying, offsite scanning, data capture, and safe handling of PII, PHI, and HIPPA material.

1.2: Iron Mountain was established in 1951.

State Procurement Office

1.3: Iron Mountain is a public company and traded company listed on the New York Stock Exchange (NYSE) under the ticker symbol “IRM.”

1.4: Iron Mountain is incorporated in the state of Massachusetts.

1.5: Iron Mountain’s main address is:

One Federal Street Boston, MA 02210

The following office will be responsible for the performance of any proposed tasks:

4449 S. 36th Street Phoenix, AZ 85040 Phone: 602-252-1570

1.6: Iron Mountain is a large publicly traded company. It is impossible for us to know who may own stock in the company. Please refer to Iron Mountain's current Code of Ethics which are publicly available through this web link: https://www.ironmountain.com/utility/legal/code-of-ethics.

1.7: In the last five years, Iron Mountain has not filed for bankruptcy or insolvency proceeding, or undergone the appointment of a receiver, trustee, or assignee for the benefit of creditors.

1.8: There are no pending Securities Exchange Commission investigations involving the Offeror.

1.9: Iron Mountain has not had any suspensions or debarments from performing business related to audits or other government activities.

Iron Mountain is a large, publicly traded company with over $4 billion in annual revenues. We provide services to more than 230,000 customers and operate over 1,400 records management facilities in 50 plus countries. Due to the size and nature of the business, Iron Mountain may have a number of claims and/or legal actions that may be outstanding at any given point in time that arise in the ordinary course of business. Furthermore, Iron Mountain may be involved in or may have previously been involved in disputes or litigation with one or more of its customers. Iron Mountain cannot comment on pending litigation and, due to confidentiality restrictions in its contracts, settlement agreements, or other dispute resolution arrangements, cannot disclose the details of any of its customer contracts, disputes, or litigation. In the opinion of management, no single suit or the pending suits in aggregate, even if decided against Iron Mountain, would have a materially adverse effect on Iron Mountain’s operations or its ability to provide services to its customers.

Please refer to Iron Mountain’s most recent Form 10-Q filed with the U.S. Securities and Exchange Commission for more information on current matters.

http://investors.ironmountain.com/company/for-investors/financial-information/sec-filings/default.aspx

1.10: Iron Mountain is a large, publicly traded company with over $4 billion in annual revenues. As such, we are occasionally involved in litigation matters in various states and other jurisdictions in the ordinary course of our business. Please refer to Iron Mountain’s most recent Form 10-Q filed with the U.S. Securities and Exchange Commission for more information on current matters, which is available on our public website at https://investors.ironmountain.com/financials/annual-reports/default.aspx and attached with our response labeled Attachment 8_Supplement 1 of 5.

http://investors.ironmountain.com/company/for-investors/financial-information/sec-filings/default.aspx https://investors.ironmountain.com/financials/annual-reports/default.aspx

State Procurement Office

1.11: Iron Mountain is a $4 billion dollar company operating in over 50 countries. As part of our day-to-day business, we regularly enter into and conclude numerous types of contracts, with different types of customers, vendors and other business partners, in a wide variety of jurisdictions which are subject to a variety of different laws. As such, Iron Mountain would not be able to identify the number of contracts which have terminated over the past five years and the reasons for said terminations.

1.12: No material civil or criminal offenses in Arizona.

Question 2: Company Experience A. What market(s) are your current clients primarily in?

B. What experience do you have serving clients in Business Markets within the State of

Arizona?

C. What is the range in size of your current clients?

D. Utilizing Attachment 9 (BPM004546 Solicitation Attachment 9 – References) provide at least three (3) examples that exhibit your experience providing Document Management Services for clients? Preferably one example should be a Public Sector client.

E. How long have you provided goods/services to your longest tenured client?

F. Why did your last three former clients cancel their contracts?

G. With what relevant trade and/or professional associations are you involved? How does this participation give you an advantage over your competition?

Offeror Response:

A. Iron Mountain is a leading provider of information and document management solutions, serving customers across the United States in all major markets and most states. To support our broad customer base, we have a vast network of over 80 facilities with imaging capabilities and eight large-scale Imaging Centers of Excellence. As depicted in the image below, Iron Mountain has an expansive footprint that allows us to serve our customers in major markets with a range of solutions and services.

Figure 1. Iron Mountain Presence

State Procurement Office

Iron Mountain has a significant operation in the state of Arizona including 17 Iron Mountain facilities that total more than 1.7 million square feet of storage as shown in Table 1.

County City Quantity of Facilities

Maricopa Gilbert 1

Maricopa Phoenix 12

Maricopa Scottsdale 1

Maricopa Tempe 1

Maricopa Mesa 1

Pima Tucson 1

Table 1. Iron Mountain Arizona Presence

B. With over 40 years of experience in the state of Arizona, Iron Mountain serves hundreds of clients in business markets with solutions ranging from document management to records management, destruction, and cloud migration. Over 220 Iron Mountain employees currently serve clients in business markets within the state of Arizona. In addition, Iron Mountain operates two data centers located in Phoenix and Scottsdale. Combined, these data centers have over 650,000 square feet and support the data management of businesses and public sector clients.

Iron Mountain also possesses proven experience working with the State of Arizona. We were awarded a pilot project that involved moving a significant amount of records for the state to our facilities. This multi-phased project involved four dedicated employees to oversee the daily activities, ensuring the safe and correct transfer of 200,000 records. A Warehouse Manager also led the on-site operations while facilitating the move.

As a result of our successful records transfer, the state of Arizona awarded Iron Mountain a subsequent 10-year $11 million contract to move more than 400,000 total boxes for storage throughout the duration of contract. Our customer service team continues to serve as a direct liaison with the state agencies, helping to resolve issues swiftly and efficiently and ensure the project meets their deliverables.

C. Iron Mountain manages the assets of numerous clients producing more than 100 million images per month and nearly 1.5 billion images per year. Our current clients range in size with some requiring thousands of documents to be digitally converted each year and other clients having billions of documents converted. As an example, our largest client requires document preparation of 900,000 record boxes and 18 million files for digitization, which will result in 2.3 billion images over the life of the contract. For another public sector client, we are converting 2.1 billion documents and are expected to complete this project within a 12-month period.

D. As required, Iron Mountain provided three references in Attachment 9 – References that demonstrate our experience providing document management services. In addition to the references, we have completed numerous projects of similar size and scope to the requirements outlined in the solicitation. Below are summaries that further demonstrate the depth and breadth of our experience.

State Procurement Office

● Columbia South Carolina Housing Authority: Iron Mountain currently provides digital conversion services for Columbia, South Carolina Housing Authority’s digital images including backfile conversion and scanning services. Our transportation provider picks up the Housing Authority’s records at our Columbia, South Carolina Record Storage Center, and then delivers them to our Atlanta, Georgia Imaging Center where the conversion services are completed. Once the documents arrive at our Atlanta Imaging Center, the documents are prepared for scanning services. Document preparation includes the removal of all fasteners and bindings, flattening bent corners, document orientation, making minor repairs, repositioning of smaller documents, inserting applicable separator sheets, and tri-folds when necessary.

● West Virginia Offices of Insurance Commissioner (OIC): Iron Mountain managed the conversion of policy and claim file x-rays to digital images, and the electronic conversion of hard-copy backfile documents, with the intent to make documents more readily available and searchable. Iron Mountain converted 166 million images to PDF format and indexed to distinct hard drives to avoid commingling of records.

● Department of Energy Waste Isolation Pilot Plant: Iron Mountain provided digitization services to the Department of Energy’s Waste Isolation Pilot Plant (WIPP) in support of a records management efficiency requirement to implement electronic records management.

Iron Mountain digitizes existing records, which is key to setting up and maintaining an electronic records management system. At present, Iron Mountain has scanned approximately 15 million images during the contract period of performance.

● Small Business Administration: Iron Mountain provided the Small Business Administration (SBA) with a cost-effective solution to manage the conversion of loan files to digital images.

Iron Mountain performed necessary light preparation prior to performing the scanning. Iron Mountain retrieved approximately 2,700 boxes containing 36,635 paper loan files in 8.5 x 11 and 8.5 x 14 sizes. Each file consisted of approximately five documents with an average of 28 pages per document. Iron Mountain successfully completed this project within seven months producing more than 785,000 images per month for a total of 5.5 million images total upon completion.

E. Our longest tenured client has procured service from Iron Mountain for more than 30 years.

Additionally, many Iron Mountain clients have been customers for decades.

F. Iron Mountain is a $4 billion dollar company operating in over 50 countries. As part of our day-to-day business, we regularly enter into and conclude numerous types of contracts, with different types of customers, vendors and other business partners, in a wide variety of jurisdictions which are subject to a variety of different laws. As such, Iron Mountain would not be able to identify the number of contracts which have terminated over the past five years and the reasons for said terminations.

G. As a leading provider of information and document management solutions, we are engaged with multiple industry bodies, trade, and professional associations. We regularly participate and contribute to industry dialogue, advocacy, thought leadership, and conferences that support the continuous improvement and innovation in the industry.

State Procurement Office

Some of the organizations and associations that Iron Mountain participates in that offer a competitive advantage in providing service to the state of Arizona include:

● i-SIGMA (International Secure Governance & Management Association): Iron Mountain is a founding member of this professional body for information management vendors (formerly PRISM (Professional Records & Information Services Management).

● Shared Assessments: Iron Mountain is a long time member of the Shared Assessments program and sits on the steering committee. Shared Assessments is dedicated to developing standardization and best practices in the field of third party risk management.

● CEBA: Iron Mountain is a member of the Rocky Mountain Institute’s Business Renewable Center and the Clean Energy Buyers Association (CEBA). Combined, our commitments to wind and solar power make the company one of the top 25 buyers of clean energy among the FORTUNE 1000 and a top 70 energy buyer in the Environmental Protection Agency Green Power Partnership.

● PCI Security Council Participant (PCI): Iron Mountain adds its voice to the standards development process and collaborates with other participating organizations to improve payment security worldwide.

● American Health Information Management (AHIMA): Understanding that vendors may come in contact with PII and PHI while providing service, the state of Arizona and its agencies can have assurance knowing that as members of AHIMA, Iron Mountain has access to best practices in health information management, and we remain current on emerging issues that help us innovate to improve service.

● Association of Records Managers and Administrators (ARMA): As members of ARMA, Iron Mountain’s team is better equipped to develop forward-thinking electronic records management and proactive and compliant data use policies that improve risk mitigation for our customers.

● National Association for Information Destruction (NAID): Iron Mountain is a long-standing member of NAID, one of the most recognized and acknowledged certifications in the industry. Maintaining membership with NAID confirms that we comply with all data protection regulations, including risk assessments as required under the HIPAA Security Rule, and helps prepare our company to meet forthcoming regulations and requirements.

● National Association of State Technology Directors (NASTD): Iron Mountain partners with NASTD as a member-driven provider whose purpose is to advance and promote the effective use of information technology and services to improve the operation of state government.

● National Association of State Chief Information Officers (NASCIO): As a member of NASCIO, Iron Mountain collaborates with primary state government members who have executive level and statewide responsibility for information technology leadership.

● National Association Secretaries of State (NASS): Iron Mountain participates as a trusted advisor annually at the regional and national conferences. NASS serves as the medium for the exchange of information between states and fosters cooperation in the development of public policy. The association has key initiatives in the areas of elections and voting, state business services, and state heritage/archives.

State Procurement Office

● The Council of State Archivists (CoSA): As a member of CoSA, Iron Mountain works with individuals who serve as directors of the principal archival agencies in each state and territorial government.

As a participant in these trade organizations and associations, clients can have confidence knowing that we not only abide by the strictest industry standards but we also help set them. This offers greater assurance knowing that our services exceed industry best practices. Our industry memberships and certifications keep Iron Mountain ahead of new developments so we can continue to innovate for our customers. The result of this position is that we are a provider who is committed to the highest standards, integrity, and a passion to innovate.

Question 3: Proposed Key Personnel Please identify Key Personnel to be utilized to perform services should your Offer be accepted. In addition, also state the Members related experience with large local, state or federal government agencies.

Offeror Response:

We are committed to providing the State with a customer service model that ensures an effective solution and efficient service. We offer a team of recognized experts and proven leaders to support the State’s document management solution. The key personnel who will support the State are outlined below:

● Mike Stone, Senior Business Development Executive: Mike works with our government solutions division to provide public sector clients with information and document management solutions. Mike joined Iron Mountain in January 2022, bringing 18 years of relevant industry experience. Before Iron Mountain, he served as the business development manager for Kofile Technologies, a software and systems company committed to digitizing records and documents for state and local governments. Mike has an extensive background helping government clients with their information governance, technology, and imaging solutions with over a decade of work at both Xerox and Eastman Kodak Company. He is a graduate of St. Mary’s College with a bachelor of science in Business Administration.

● Heath Tagtmeyer, Specialist: With more than 20 years of industry experience, Heath supports our public sector clients by developing information management solutions. This digital transformation journey can start as simply as digitizing paper records while working towards a future state of workflows, collaboration and sharing, dashboards and reporting, and even artificial intelligence and machine learning functionality. Based in Phoenix, Arizona, Heath has previously worked with numerous state and county entities while in roles at Canon USA and Databank. He has a bachelor’s degree in finance from Quincy University in Illinois and an Executive MBA degree from the WP Carey School of Business at Arizona State.

● Adair Pesini, Customer Success Manager: Adair, the Customer Success Manager assigned to this contract, has over seven years of experience with Iron Mountain. As Customer Success Manager, Adair assists with client inquiries, engages in frequent communications regarding emerging industry trends, and executes any escalations required.

She coordinates Iron Mountain’s internal implementation and operations teams to ensure

State Procurement Office project deliverables and milestones are met. In addition, Adair works with each client to assist with orders, customer notifications, and additional internal outreaches.

● Nick Akhurst, Operations Supervisor: Nick serves as the Operations Supervisor for our Mountain Territory which includes the state of Arizona. In this role, he is responsible for project planning, job setup and scheduling, and daily production. During his time with Iron Mountain, he worked extensively with the state of Arizona’s record management contract.

This included serving as the Records Warehouse Manager and Project Coordinator to ensure the successful transfer of records to Iron Mountain. Nick has also served as a transportation supervisor and offsite project coordinator. He is a graduate of Christendom College with a bachelor of arts in Political Science and Economics.

● Bill Hoeft, Territory Business Director: Bill is the Mountain Territory Business Director, which includes overseeing operations for the state of Arizona. He will have overall responsibility for the state of Arizona’s document management solution should we be awarded the contract. Bill has been with Iron Mountain for over 11 years, holding various positions that involve developing and deploying solutions for state, local, and federal government agencies in Arizona, Colorado, Utah, Nevada, and New Mexico. Prior to joining Iron Mountain, Bill served in operational leadership positions at FedEx for 17 years. He has a bachelor’s degree in business administration from the University of Phoenix and a master’s degree in organizational leadership from Gonzaga University.

Question 4: Financial/Accounting Information

Offeror must provide evidence of financial stability and capability to fund all costs associated with providing the services throughout the term of the Contract. The latest two

(2) years audited annual financial statements including Total Revenue, Net Income, and Total Assets must be submitted with the Offeror’s proposal. If audited financial data is unavailable, explain in full the reason, and provide the latest non-audited financial information to include Balance Sheet, Income Statement, as well as Statements of Cash flows and Change in Financial Position. Include information to attest to the accuracy of the information provided.

Offeror shall provide information regarding any irregularities that were discovered in any accounts maintained by the Offeror on behalf of others. Describe the circumstances and disposition of the irregularities.

Offeror Response:

Iron Mountain has attached our two most recent annual reports that include our financial statements for 2021 and 2020. The attachments are labeled based on the instructions and represent the following:

● Attachment 8_Supplement 1 of 5: Iron Mountain 2021 Annual Report-Form 10-Q

● Attachment 8_Supplement 2 of 5: Iron Mountain 2020 Annual Report-Form 10-Q

All information and disclosures are available in our filings as well as on our public-facing website at https://investors.ironmountain.com/financials/annual-reports/default.aspx.

State Procurement Office

Question 5: Subcontractors

Utilize Attachment 8 (BPM004541 Solicitation Attachment 7 - Proposed Subcontractors) to identify Proposed Subcontractors commonly utilized or anticipated to be utilized to perform services within the Scope of Work of this Solicitation.

Offeror Response:

Iron Mountain will not be utilizing, or anticipating to be utilizing, any subcontractors to perform the services within the Scope of Work of this Solicitation.

Question 6: Submit copies of all applicable certificates and licenses that support Offeror’s ability to provide the related goods/services being proposed.

Offeror Response:

We have obtained all necessary licenses to operate in all locations where we perform business. As evidence of our ability to provide the related goods/services being proposed, attached with our proposal are the relevant certificates and licenses:

● Attachment 8_Supplement 3 of 5: Iron Mountain Certificate of Incorporation and Merger

● Attachment 8_Supplement 4 of 5: Iron Mountain InSight Certificate of Registration for

ISO27001

● Attachment 8_Supplement 5 of 5: State of Arizona Operational and Tax License

Question 7: Arizona Risk and Authorization Management Program (AZRamp) Requirements

Offeror must read completely the AZRamp requirements found at this link:

https://docs.google.com/document/d/1a55nFzKwbcBrb9YoabYDog4ndnI1hxtG9PfyYEs3A14/edit

Utilize Attachment 5 (BPM004541 Solicitation Attachment 5- Arizona Baseline Security Controls Assessment) to submit a completed Arizona Baseline Infrastructure Security Controls assessment spreadsheet.

If you have any questions regarding the form, please contact the State’s Homeland Security – Cyber Command team at AsetAssurance@azdoa.gov.

Iron Mountain has completed Attachment 5. Please refer to the completed document as well as the supplemental attachments in the Zip folder labeled “Confidential – Supplement - Attachment 5_Supplement 1_Security Documents” and “Attachment 5_Supplement 2_FedRamp” mailto:AsetAssurance@azdoa.gov