IT Governance Implementation

IT Governance Implementation Pre-Proposal Meeting August 2, 2013

Questions & Answers

Question: Define sustainability as it relates to this RFP. Answer: A process that is easy to communicate and understand. Process tasks and activities should be easy to coordinate and execute.

Question: With regard to the framework, are there any specific areas of concentration that you are looking for? Answer: Communications, especially with other business units. Also, project identification, definition, and prioritization.

Question: Does the District have an IT Steering Committee? Answer: No. Currently all projects requesting funding go to an Internal Consultant Review Committee.

Question: Do you see a recommendation for a steering committee? Answer: Yes

Question: Do you currently have Service Level Agreements (SLA)? Answer: The only SLA in place is for HelpDesk service response.

Question: How self service do you want this service to be? Answer: Focus on the process first, including change management required for the implementation.

Question: Where does budget come into play in the planning process? Answer: The IT Department works with other departments to define projects and inclusion in the Operational Budget or schedule accordingly in the IT Capital Budget.

Question: Do you want planning to identify and prioritize projects to be included in the proposal? Answer: Yes, as a process within the governance framework.

Question: How do you include projects in a budget today?

1 Answer: We use the Operational Budget on an annual basis. IT also maintains a 5-year projected budget.

Question: Does the District have a 5 year projected plan and is it available to the public? Answer: Yes, it does. It is available on our website, www.neorsd.org.

Question: What are your thoughts on the process of implementation? Do you see it as long term or short term? Answer: We will expect the selected consultant to observe the implementation process, participate in some of the activities and provide feedback for improvement. Support is expected as a short-term.

Question: What is the time frame for the goals? Answer: As stated in the RFP, we expect to start in October. We expect the framework to be identified by the end of the year and secure buy-in from the rest of the Senior Executive Team.

Question: Were there any WBE/MBE/SBE requirements? Answer: No

Question: How much custom software do you have now? Answer: Limited. We have leveraged re-useable code. It is not a big component of our application portfolio.

Question: What are your thoughts on internal personnel support? Answer: I (Humberto Sanchez, IT Director) will be the Project Manager. Implementation support will come from Scott Horvath (Manager of Infrastructure), Donice Bell (Manager of Project Management), and a new hire (Business Process Manager). Once an agreement is made regarding the framework, internal support will be revisited. In addition, an interim ad-hoc committee has been overseeing the process of this RFP. (IT, Operations, Finance and Engineering Directors)

Question: What is the proposed budged guideline for this project? Answer: $80,000.00

2 Questions submitted after the pre-proposal meeting

Question: The NEORSD Strategic Plan has an IT-related strategic action that states that an “IT Governance Framework to align IT objectives with district objectives has been developed”. Is this correct, and if so, how does this impact the project’s objective which states: “Develop and Implement an IT Governance Framework that will align IT goals and objectives with NEORSD’s business goals and objectives” (page 3)? Answer: The phrase “T Governance framework to align information technology objectives with District objectives developed” is a metric for the strategic action. This RFP is a step in achieving that metric.

Question: Is this RFP only applicable to vendors with a status of MBE/WBE? Answer: This RFP is open to all District vendors. Interested firms should register at www.neorsd.org.

Question: If the vendor holds a status of MBE/WBE and wishes to respond to this RFP with this status, must the vendor be a local small business as defined in the NEORSD MBE/WBE Program Policies and Procedures. Must the vendor also be registered with the State of Ohio? Answer: No. The vendor would be noted as a MBE/WBE, and this project would count towards the overall MBE/WBE vendor participation at the District. The vendor need not be registered with the State of Ohio.

Question: If the vendor provides a proposal as a MBE/WBE, what is the business size standard established by NEORSD relevant to the scope of work the vendor firm seeks to perform on NEORSD contracts as provided by the MBE/WBE Program Policies and Procedures? Answer: This project is open to all District vendors that can demonstrate qualifications to perform the scope of work.

Question: Will the ten (10) interviews in the assessment phase (Task A) (page 5) be conducted totally on an individual basis? Will any interview sessions take place in a group? Answer: As stated in the RFP, the preference is for individual interviews. The amount of 10 is provided as a budgeting guide.

Question: What is the expectation regarding the length of the IT Governance Needs Assessment Summary Report Memorandum generated at the completion of

3 the assessment phase (Task A) (page 6)? Are there any restrictions related to format and can visual diagrams be used? Answer: Page 5. “Note: All tasks deliverables documents should be in MS Word, Excel, PowerPoint, Project or Visio.” Visual diagrams can be used.

Question: What is the expectation regarding the length of the IT Governance Framework Definition Memorandum generated at the completion of the IT Governance Framework Development phase (Task B) (page 6)? Are there any restrictions related to format and can visual diagrams be used? Answer: The District expects a concise memorandum. The District desires an implementable and sustainable framework, easy to communicate and understand.

Question: Approximately how many NEORSD employees will be involved in the development of the governance framework? Answer: There will be the Senior Leadership team participating in the interviews in Task A. Other members of the IT Department staff, approximately 5, will be participating as well.

Question: Could you please provide more detail on the content of Technical Memorandum C (page 7)? It appears that the remainder of the sentence has been deleted by accident. Answer: Technical Memorandum C: IT Governance Implementation Roadmap. This memorandum should address the bullet points starting at the bottom of page 6 – “This task will consist of the following…” Regarding the workshops, it should provide the results of said workshops.

Question: Task D – Implementation Support (page 7) implies that the consulting firm will not be actively participating in the implementation of the framework, but only providing observation and assessment services during implementation. Is this a correct assumption? Answer: The expectation is for the District to adopt and put into practice the components of the framework. It is expected that District staff will carry out the activities associated with the framework. Vendors are expected to provide guidance and feedback. We expect vendors to propose how Implementation Support can be achieved.

Question: Are there specific documentation requirements for the evaluation reports of progress and recommended actions to ensure progress and success of the implementation for Task D (page 7)?

4 Answer: No. Vendors should specify in the proposals how they can accomplish and provide the evaluation reports.

Question: What are the expectations regarding the physical presence of consulting resources assigned to the project? Are they expected to be on-site M- F every week throughout the duration of the twelve (12) month engagement and will the workweek consist of forty (40) hours? Answer: The District prefers on-site work for activities such as interviews, workshops and presentations; the District is open to off-site work for other activities. The vendors’ proposed approach should determine the level of effort required during a week and when to be onsite. The workweek will be determined by the project approach and your schedule of project tasks.

Question: Page 7, Section III – The third line indicates that “Data shall be collected and formatted in a manner consistent with data from past efforts, standards and/or guidelines…” In what manner has data previously been collected and in what form does it exist?

Answer: Please disregard this sentence.

Question: The next sentence reads “Software that would be necessary to conduct additional studies…shall be made available to the District”.

Do you have something particular in mind?

Answer: No. In the past, for certain projects vendors have used curtain tools as part of the project execution other than the standard MS Office applications.

Question: Page 12, Item 9.7 of Appendix A – May the Automobile Liability be lowered to $1,000,000 per accident? Answer: Limits of insurance may be subject to negotiation with the selected consultant.

Question: Are all IT functions (security, change management, development, implementation and operations) and IT management for the District centralized? If not, then what is the nature, extent and magnitude of decentralization

Answer: Yes

5 Question: Refer org chart at page # 4 of your RFP

2.1. Who has the ownership / responsibility (excluding system admin) for PMO, PMIS, GIS, FIS, HRIS etc and related databases, network components etc (for example - business process owner, or IT department)?

2.2. What, if any, are the significant operational, financial, and/or compliance applications, databases, or Network components for which the ownership / responsibility does not rest with the IT Department?

Answer: 2.1.

PMO/PMIS – Engineering & Construction

GIS – GIS Services Group

For all other applications, we have not implemented a formal definition of governance. The IT Department and the pertinent department work together to administer and maintain enterprise applications

PMIS, GIS, Internal Audit application

Question: Refer page # 10 of your RFP, is it the intent of the RFP that “Allowances” section be used to provide additional pertinent guidance regarding the IT Governance model in spite of increased time and cost? (i.e. will the consultant be put to disadvantage in relation to cost selection criteria for providing additional good faith, relevant guidance.)

Answer: The District will assign an allowance to the project during contract negotiations. Leave this space blank.

Question: Which would you say is more important to you between “communication” and “sustainability" (you had mentioned in the pre-proposal meeting that these were among your key goals for the IT governance framework)?

6 Answer: Sustainability

Questions: Other relevant reports:

5.1. Has any internal or external Risk Assessment (or similar) been performed to determine what might be the risks/vulnerabilities in trying to implement an IT Governance framework for the District?

5.2. Have there been any findings from any Internal or External Audits (or reviews of a similar nature) relevant to IT governance and/or risks/vulnerabilities in trying to implement an IT Governance framework for the District?

Answer: 5.1. No

5.2. No

Question: Currently, does IT governance primarily flow through the Director of IT directly reporting to the Executive Director?

Answer: Yes.

All pre-proposal questions are to be received by Tuesday, August 6, 2013 @ 4:00 p.m. to be posted on our website by midnight.