GAO_RIM_CapabilityStatementQuestionnaire - draft.docx

Capability Statement Questionnaire: Records and Information Management Administrative Services

Purpose:

This questionnaire is designed to assess an organization’s capabilities and qualifications in providing Records and Information Management (RIM) administrative services.

1. General Organizational Information Company Name:

Address:

Primary Contact (Name, Title, Email, Phone):

Website:

Year Established:

Number of Employees:

Type of Organization (Small Business, Large Enterprise, Non-Profit, etc.):

Service Offerings

2. Please describe your records and information management (RIM) services, including administrative support:

Scope of services provided Specialization (e.g., conducting inventories, file plan development, records appraisal, digitization, electronic and physical records, hybrid solutions) Tools or platforms used for RIM services

3. Do you provide specific services tailored to compliance with federal records and information management laws, regulations and policies including the Privacy Act?

Yes / No If yes, please elaborate on how you ensure compliance.

4. Does your company have a designated Records Officer or similar role?

Yes / No If yes, please provide the role and contact information.

Privacy Act Compliance

5. How does your organization ensure compliance with the Privacy Act when managing records and information?

6. How do you ensure that personal data is kept confidential and secure?

7. Do you provide training to employees on the Federal Records Act, Privacy Act and best practices?

Yes / No If yes, please describe the training program.

8. How do you handle requests for personal data access or deletion from individuals?

Data Security & Risk Management

9. What types of security measures do you implement to protect sensitive or confidential records?

a. Physical security (e.g., storage facilities)

b. Digital security (e.g., firewalls, encryption)

10. How does your organization handle data breaches or potential violations of the Privacy Act?

a. Breach response protocols

b. Reporting mechanisms

c. Corrective actions taken

11. Do you conduct regular risk assessments to evaluate your data security and privacy practices?

Yes / No If yes, please describe the frequency and scope of these assessments.

Experience & Past Performance

12. Please provide details of past or current contracts or projects related to records and information management.

a. Agency name

b. Scope of work

c. Duration of contract

13. Can you provide references from clients who have utilized your services for RIM administrative support?

Yes / No If yes, please provide the contact information for references.

14. Have you been involved in any audits or assessments related to records management compliance, Privacy Act or similar privacy laws?

Yes / No If yes, please provide details.

15. Does your organization have experience with digitizing federal records?

Technological Capabilities

16. Do you utilize or have experience in any electronic records management systems (ERMS) or software to manage records and ensure compliance with RIM regulations?

Yes / No If yes, please provide the names of the systems or platforms used.

17. How do you ensure the integrity and reliability of the records maintained in your custody and/or systems?

18. What is your approach to ensuring long-term preservation and accessibility of records, particularly for compliance purposes?

Compliance Documentation & Reporting

19. Can you provide documentation, certifications, or other evidence that your organization complies with the Federal Records Act, Privacy Act and other relevant regulations?

Yes / No If yes, please provide examples of such documentation.

20. What is your process for reporting compliance status to clients, especially concerning privacy and data protection?

Additional Information

21. Please provide any additional information regarding your organization’s capabilities, experience, or resources that would support your ability to meet the requirements for records and information management services.