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AGREEMENT
THIS AGREEMENT ("Agreement") is made and entered into this __ day of ______
_ 2019 ("Effective Date"), by and between the County of Fresno, a Political Subdivision of the State of
California, ("COUNTY"), and Pacific Storage Company, a California corporation, whose address is 523 N.
Hunter Street, Stockton, CA 95202 ("CONTRACTOR").
WI TN E S S ETH:
WHEREAS, the COUNTY has a need for countywide confidential document shredding and
information media destruction services;
WHEREAS, the COUNTY issued Request for Quotation No. 19-029 ("the RFQ"), dated November
28, 2018, which solicited bids from qualified vendors to provide confidential document shredding and
information media destruction services;
WHEREAS, the CONTRACTOR submitted the most responsive bid for providing the services
requested in the RFQ;
WHEREAS, the CONTRACTOR is qualified and willing to perform said services as stated in the
CONTRACTOR's response to the RFQ ("the Response").
NOW, THEREFORE, in consideration of the mutual covenants, terms and conditions herein
contained, the parties hereto agree as follows:
1.OBLIGATIONS OF THE CONTRACTOR
A.CONTRACTOR shall provide all countywide on-site and off -site confidential
document shredding services and information media destruction services in accordance with the
specifications, requirements, terms, conditions, etc. of the RFQ and the Response, which are attached
hereto as Exhibit "B" and Exhibit "C", respectively, and incorporated herein by reference.
2.OBLIGATIONS OF THE COUNTY
A.COUNTY shall provide CONTRACTOR with a list of all COUNTY facilities to be
serviced by CONTRACTOR under this Agreement, which shall further specify the particular department
or division of the COUNTY to which the services for each such facility shall be billed.
B.COUNTY shall provide CONTRACTOR with the following information when
requesting service:
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12th March
Agreement No. 19-115
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i.Department name and/or program name
ii.Contact person and telephone number
3 iii.Address location for picking up collection containers
4 C.The COUNTY's departments shall place only confidential paper documents, such
5 as criminal records, photographs, arrest reports, case histories, medical records, legal documents, etc.
6 in the collection containers provided by CONTRACTOR.
7 3.TERM
8 The term of this Agreement shall be for a period of three (3) years, commencing on Effective Date
9 through and including March 11, 2022. This Agreement may be extended for two (2) additional consecutive
1 O twelve ( 12) month periods upon written approval of both parties no later than thirty (30) days prior to the first
11 day of the next twelve (12) month extension period. The Director of Internal Services/Chief Information
12 Officer (CIO) or his or her designee is authorized to execute such written approval on behalf of COUNTY
13 based on CONTRACTOR'S satisfactory performance.
14 4.TERMINATION
15 A Non-Allocation of Funds -The terms of this Agreement, and the services to be
16 provided hereunder, are contingent on the approval of funds by the appropriating government agency.
17 Should sufficient funds not be allocated, the services provided may be modified, or this Agreement
18 terminated, at any time by giving the CONTRACTOR thirty (30) days advance written notice.
19 B.Breach of Contract -The COUNTY may immediately suspend or terminate this
20 Agreement in whole or in part, where in the determination of the COUNTY there is:
21 1) An illegal or improper use of funds;
22 2)A failure to comply with any term of this Agreement;
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A substantially incorrect or incomplete report submitted to the COUNTY;
Improperly performed service.
25 In no event shall any payment by the COUNTY constitute a waiver by the COUNTY of any breach
26 of this Agreement or any default which may then exist on the part of the CONTRACTOR. Neither shall such
27 payment impair or prejudice any remedy available to the COUNTY with respect to the breach or default.
28 The COUNTY shall have the right to demand of the CONTRACTOR the repayment to the COUNTY of any
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1 funds disbursed to the CONTRACTOR under this Agreement, which in the judgment of the COUNTY were
2 not expended in accordance with the terms of this Agreement. The CONTRACTOR shall promptly refund
3 any such funds upon demand.
4 C.Without Cause -Under circumstances other than those set forth above, this
5 Agreement may be terminated by COUNTY upon the giving of thirty (30) days advance written notice of an
6 intention to terminate to CONTRACTOR.
7 5.COMPENSATION/INVOICING: COUNTY agrees to pay CONTRACTOR and
8 CONTRACTOR agrees to receive compensation as follows: $50,000.00 annually for all-inclusive onsite and
9 offsite document shredding and information media destruction services, including departmental purges,
1 O containers, and locks. Information media destruction includes, but is not limited to, hard drives,
11 microfiche/microfilm, CD/DVDs, USB drives, zip disks, cell phones, pagers, and tablets. CONTRACTOR
12 shall submit monthly invoices referencing the provided contract number, either electronically or via email, in
13 triplicate to the County of Fresno, Internal Services Department, ATTN: Business Office, 333 W. Pontiac
14 Way, Clovis, CA 93612, (isdbusinessoffice@fresnocountyca.gov).
15 In no event shall services performed under this Agreement exceed $250,000.00 during the possible
16 five-year term of this Agreement. It is understood that all expenses incidental to CONTRACTOR'S
17 performance of services under this Agreement shall be borne by CONTRACTOR. COUNTY shall pay
18 CONTRACTOR within forty-five (45) days of receipt of an approved invoice.
19 6.INDEPENDENT CONTRACTOR: In performance of the work, duties and obligations
20 assumed by CONTRACTOR under this Agreement, it is mutually understood and agreed that
21 CONTRACTOR, including any and all of the CONTRACTOR'S officers, agents, and employees will at all
22 times be acting and performing as an independent contractor, and shall act in an independent capacity and
23 not as an officer, agent, servant, employee, joint venturer, partner, or associate of the COUNTY.
24 Furthermore, COUNTY shall have no right to control or supervise or direct the manner or method by which
25 CONTRACTOR shall perform its work and function. However, COUNTY shall retain the right to administer
26 this Agreement so as to verify that CONTRACTOR is performing its obligations in accordance with the
27 terms and conditions thereof.
28 CONTRACTOR and COUNTY shall comply with all applicable provisions of law and the rules and
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1 regulations, if any, of governmental authorities having jurisdiction over matters the subject thereof.
2 Because of its status as an independent contractor, CONTRACTOR shall have absolutely no right
3 to employment rights and benefits available to COUNTY employees. CONTRACTOR shall be solely liable
4 and responsible for providing to, or on behalf of, its employees all legally-required employee benefits. In
5 addition, CONTRACTOR shall be solely responsible and save COUNTY harmless from all matters relating
6 to payment of CONTRACTOR'S employees, including compliance with Social Security withholding and all
7 other regulations governing such matters. It is acknowledged that during the term of this Agreement,
8 CONTRACTOR may be providing services to others unrelated to the COUNTY or to this Agreement.
9 7.MODIFICATION: Any matters of this Agreement may be modified from time to time by the
1 O written consent of all the parties without, in any way, affecting the remainder.
11 8.NON-ASSIGNMENT: Neither party shall assign, transfer or sub-contract this Agreement
12 nor their rights or duties under this Agreement without the prior written consent of the other party.
13 9.HOLD HARMLESS: CONTRACTOR agrees to indemnify, save, hold harmless, and at
14 COUNTY'S request, defend the COUNTY, its officers, agents, and employees from any and all costs and
15 expenses (including attorney's fees and costs), damages, liabilities, claims, and losses occurring or
16 resulting to COUNTY in connection with the performance, or failure to perform, by CONTRACTOR, its
17 officers, agents, or employees under this Agreement, and from any and all costs and expenses (including
18 attorney's fees and costs), damages, liabilities, claims, and losses occurring or resulting to any person, firm,
19 or corporation who may be injured or damaged by the performance, or failure to perform, of
20 CONTRACTOR, its officers, agents, or employees under this Agreement.
21 The provisions of this Section 9 shall survive the termination of this Agreement.
22 10.INSURANCE
23 Without limiting the COUNTY's right to obtain indemnification from CONTRACTOR or any third
24 parties, CONTRACTOR, at its sole expense, shall maintain in full force and effect, the following insurance
25 policies or a program of self-insurance, including but not limited to, an insurance pooling arrangement or
26 Joint Powers Agreement (JPA) throughout the term of the Agreement:
27 A Commercial General Liability
28 Commercial General Liability Insurance with limits of not less than Two Million Dollars
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1 ($2,000,000.00) per occurrence and an annual aggregate of Four Million Dollars ($4,000,000.00). This
2 policy shall be issued on a per occurrence basis. COUNTY may require specific coverages including
3 completed operations, products liability, contractual liability, Explosion-Collapse-Underground, fire legal
4 liability or any other liability insurance deemed necessary because of the nature of this contract.
5 B.Automobile Liability
6 Comprehensive Automobile Liability Insurance with limits of not less than One Million Dollars
7 ($1,000,000.00) per accident for bodily injury and for property damages. Coverage should include any auto
8 used in connection with this Agreement.
9 C.Professional Liability
10 If CONTRACTOR employs licensed professional staff, (e.g., Ph.D., RN., L.C.S.W., M.F.C.C.) in
11 providing services, Professional Liability Insurance with limits of not less than One Million Dollars
12 ($1,000,000.00) per occurrence, Three Million Dollars ($3,000,000.00) annual aggregate.
13 D.Worker's Compensation
14 A policy of Worker's Compensation insurance as may be required by the California Labor
15 Code.
16 Additional Requirements Relating to Insurance
17 CONTRACTOR shall obtain endorsements to the Commercial General Liability insurance naming
18 the County of Fresno, its officers, agents, and employees, individually and collectively, as additional
19 insured, but only insofar as the operations under this Agreement are concerned. Such coverage for
20 additional insured shall apply as primary insurance and any other insurance, or self-insurance, maintained
21 by COUNTY, its officers, agents and employees shall be excess only and not contributing with insurance
22 provided under CONTRACTOR's policies herein. This insurance shall not be cancelled or changed without
23 a minimum of thirty (30) days advance written notice given to COUNTY.
24 CONTRACTOR hereby waives its right to recover from COUNTY, its officers, agents, and
25 employees any amounts paid by the policy of worker's compensation insurance required by this
26 Agreement. CONTRACTOR is solely responsible to obtain any endorsement to such policy that may be
27 necessary to accomplish such waiver of subrogation, but CONTRACTOR's waiver of subrogation under
28 this paragraph is effective whether or not CONTRACTOR obtains such an endorsement.
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1 Within thirty (30) days from the date CONTRACTOR signs and executes this Agreement,
2 CONTRACTOR shall provide certificates of insurance and endorsement as stated above for all of the
3 foregoing policies, as required herein, to the County of Fresno, Internal Services Department, ATTN:
4 Business Office, 333 W. Pontiac Way, Clovis, CA 93612, stating that such insurance coverage have been
5 obtained and are in full force; that the County of Fresno, its officers, agents and employees will not be
6 responsible for any premiums on the policies; that for such worker's compensation insurance the
7 CONTRACTOR has waived its right to recover from the COUNTY, its officers, agents, and employees any
8 amounts paid under the insurance policy and that waiver does not invalidate the insurance policy; that such
9 Commercial General Liability insurance names the County of Fresno, its officers, agents and employees,
1 O individually and collectively, as additional insured, but only insofar as the operations under this Agreement
11 are concerned; that such coverage for additional insured shall apply as primary insurance and any other
12 insurance, or self-insurance, maintained by COUNTY, its officers, agents and employees, shall be excess
13 only and not contributing with insurance provided under CONTRACTOR's policies herein; and that this
14 insurance shall not be cancelled or changed without a minimum of thirty (30) days advance, written notice
15 given to COUNTY.
16 In the event CONTRACTOR fails to keep in effect at all times insurance coverage as herein
17 provided, the COUNTY may, in addition to other remedies it may have, suspend or terminate this
18 Agreement upon the occurrence of such event.
19 All policies shall be issued by admitted insurers licensed to do business in the State of California,
20 and such insurance shall be purchased from companies possessing a current AM. Best, Inc. rating of A
21 FSC VII or better.
22 11.AUDITS AND INSPECTIONS: The CONTRACTOR shall at any time during business
23 hours, and as often as the COUNTY may deem necessary, make available to the COUNTY for examination
24 all of its records and data with respect to the matters covered by this Agreement. The CONTRACTOR
25 shall, upon request by the COUNTY, permit the COUNTY to audit and inspect all of such records and data
26 necessary to ensure CONTRACTOR'S compliance with the terms of this Agreement.
27 If this Agreement exceeds ten thousand dollars ($10,000.00), CONTRACTOR shall be subject to
28 the examination and audit of the California State Auditor for a period of three (3) years after final payment
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1 under contract (Government Code Section 8546.7).
2 12.NOTICES: The persons and their addresses having authority to give and receive notices
3 under this Agreement include the following:
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COUNTY
COUNTY OF FRESNO
Internal Services Director/Chief
Information Officer
333 W. Pontiac Wav
Clovis, CA 93612
CONTRACTOR
PACIFIC STORAGE COMPANY
523 North Hunter Street
PO Box334
Stockton, CA 95201
All notices between the COUNTY and CONTRACTOR provided for or permitted under this
Agreement must be in writing and delivered either by personal service, by first-class United States mail, by
an overnight commercial courier service, or by telephonic facsimile transmission. A notice delivered by
personal service is effective upon service to the recipient. A notice delivered by first-class United States
mail is effective three COUNTY business days after deposit in the United States mail, postage prepaid,
addressed to the recipient. A notice delivered by an overnight commercial courier service is effective one
COUNTY business day after deposit with the overnight commercial courier service, delivery fe es prepaid,
with delivery instructions given for next day delivery, addressed to the recipient. A notice delivered by
telephonic facsimile is effective when transmission to the recipient is completed (but, if such transmission is
completed outside of COUNTY business hours, then such delivery shall be deemed to be effective at the
next beginning of a COUNTY business day), provided that the sender maintains a machine record of the
completed transmission. For all claims arising out of or related to this Agreement, nothing in this section
establishes, waives, or modifies any claims presentation requirements or procedures provided by law,
including but not limited to the Government Claims Act (Division 3.6 of Title 1 of the Government Code,
beginning with section 810).
13.GOVERNING LAW: Venue for any action arising out of or related to this Agreement shall
only be in Fresno County, California.
The rights and obligations of the parties and all interpretation and performance of this Agreement
shall be governed in all respects by the laws of the State of California.
14.DISCLOSURE OF SELF-DEALING TRANSACTIONS
This provision is only applicable if the CONTRACTOR is operating as a corporation (a for-profit
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1 or non-profit corporation) or if during the term of the agreement, the CONTRACTOR changes its status
2 to operate as a corporation.
3 Members of the CONTRACTOR's Board of Directors shall disclose any self-dealing transactions
4 that they are a party to while CONTRACTOR is providing goods or performing services under this
5 agreement. A self-dealing transaction shall mean a transaction to which the CONTRACTOR is a party
6 and in which one or more of its directors has a material financial interest. Members of the Board of
7 Directors shall disclose any self-dealing transactions that they are a party to by completing and signing a
8 Self-Dealing Transaction Disclosure Form, attached hereto as Exhibit A and incorporated herein by
9 reference, and submitting it to the COUNTY prior to commencing with the self-dealing transaction or
1 O immediately thereafter.
11 15.ENTIRE AGREEMENT: This Agreement constitutes the entire agreement between the
12 CONTRACTOR and COUNTY with respect to the subject matter hereof and supersedes all pr evious
13 Agreement negotiations, pro posals, commitments, writings, advertisements, publications, and
14 understanding of any nature whatsoever unless expressly included in this Agreement.
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1 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year
2 first here inabove written .
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CON~
(btrt1, o rized
Title \ ~'SI Ofc,;v, Uo
Pv Bo:x 3 '$ 3
COUNTY OF FRESNO
~ z-'f-::>
Nathan Magsig , Chairman of the Board of
Supervisors of the County of Fresno
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Ma iling Address ATTEST:
FOR ACCOUNTING USE ONLY:
Fund : 1020
Subclass : 10000
ORG : 8905
Accoun t: 7295
Bernice E. Seidel
Clerk of the Board of Supervisors
County of Fresno , State of Ca li forn ia
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1 EXHIBIT A
2 SELF-DEALING TRANSACTION DISCLOSURE FORM
3 In order to conduct business with the County of Fresno (hereinafter referred to as "County"), members of a
4 contractor's board of directors (hereinafter referred to as "County Contractor''), must disclose any self-
s dealing transactions that they are a party to while providing goods, performing services, or both for the
6 County. A self-dealing transaction is defined below:
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8 "A self-dealing transaction means a transaction to which the corporation is a party and in which one or more
9 of its directors has a material financial interest"
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11 The definition above will be utilized for purposes of completing this disclosure form.
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13 INSTRUCTIONS
14 (1)
15 (2)
16 (3)
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Enter board member's name, job title (if applicable), and date this disclosure is being made.
Enter the board member's company/agency name and address.
Describe in detail the nature of the self-dealing transaction that is being disc losed to the County. At
a minimum, include a description of the following:
a.The name of the agency/company with which the corporation has the transaction; and
b.The nature of the material financial interest in the Corporation's transaction that the
board member has.
Describe in detail why the self-dealing transaction is appropriate based on applicable provisions of
the Corporations Code.
Form must be signed by the board member that is involved in the self-dealing transaction described
in Sections (3) and (4).
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(1)Company Board Member Information:
Name:Date:
Job Title:
(2)Company/Agency Name and Address:
(3)Disclosure (Please describe the nature of the self-dealing transaction you are a party to):
(4)Explain why this self-dealing transaction is consistent with the requirements of Corporations Code
5233 (a):
(S)Authorized Signature
Signature: I Date: I
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G:\Public\RFQ\FY 2018-19\19-029 Document Shredding & Media Destruction Services\19-029 Document Shredding & Media Destruction Services.doc
COUNTY OF FRESNO
REQUEST FOR QUOTATION
NUMBER: 19-029
DOCUMENT SHREDDING & MEDIA DESTRUCTION
SERVICES
Issue Date: November 28, 2018
Closing Date: JANUARY 10, 2019 AT 2:00 P.M.
All Questions and Responses must be electronically submitted on the Bid Page on Public Purchase.
For assistance, contact Bryan Hernandez at Phone (559) 600-7110.
BIDDER TO COMPLETE
Undersigned agrees to furnish the commodity or service stipulated in the attached at the prices and terms stated in this RFQ. Bid must be signed and dated by an authorized officer or employee.
Except as noted on individual items, the following will apply to all items in the Quotation Schedule:
• A cash discount of % days will apply. County does not accept terms less than 15 days.
COMPANY
CONTACT PERSON
ADDRESS
CITY STATE ZIP CODE
( )
TELEPHONE NUMBER E-MAIL ADDRESS
AUTHORIZED SIGNATURE
PRINT NAME TITLE
Purchasing Use: BH:yj ORG/Requisition: 8905 / 8905190004
Exhibit B
Quotation No. 19-029 Page 2
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TABLE OF CONTENTS
PAGE
KEY DATES .................................................................................................................... 3
OVERVIEW ..................................................................................................................... 3
SCOPE OF WORK .......................................................................................................... 4
BID INSTRUCTIONS....................................................................................................... 5
GENERAL REQUIREMENTS & CONDITIONS ............................................................... 6
INSURANCE REQUIREMENTS ................................................................................... 17
PARTICIPATION ........................................................................................................... 23
REFERENCE LIST ........................................................................................................ 24
COMPLY/NOT COMPLY............................................................................................... 25
QUOTATION SCHEDULE ............................................................................................. 28
CHECK LIST ................................................................................................................. 29
Quotation No. 19-029 Page 3
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KEY DATES
RFQ Issue Date:
Vendor Conference:
Written Questions for RFQ Due:
RFQ Closing Date:
November 28, 2018
December 11, 2018 at 10:00 A.M.
County of Fresno - Purchasing
4525 E. Hamilton Avenue, 2nd Floor
Fresno, CA 93702
December 18, 2018 at 10:00 A.M.
Questions must be submitted on the Bid Page at Public Purchase.
January 10, 2019 at 2:00 P.M.
Quotations m ust be electronically submitted on the Bid Page.
VENDOR CONFERENCE:
A vendor conference will be held in which the scope of the project and quotation requirements will be
explained. Addenda will be prepared and distributed to all bidders only if necessary to clarify substantive
items raised during the vendor conference.
Bidders are to contact Bryan Hernandez at County of Fresno - Purchasing, (559) 600-7110, if they are
planning to attend.
OVERVIEW
The County of Fresno is soliciting bids to provide all labor, materials, equipment, permits, fees, taxes and
insurance, etc. for both on-site and off-site shredding of confidential documents as well as media destruction
services as provided for in this Request for Quotation.
Quotation No. 19-029 Page 4
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SCOPE OF WORK
The County of Fresno on behalf of the Internal Services Department is requesting bids to provide on-site and
off-site shredding of confidential documents and information media destruction services.
The types of paper to be shredding include, but are not limited to:
•Computer paper
•Mixed paper (with ACCO fasteners, staples, paper clips, plastic, etc.)
•Confidential criminal and health records, including used, unwanted manila folders, crime photos, arrest
reports, used ballots, election materials, and assorted paper forms.
The types of media to be destroyed include, but are not limited to:
•Hard drives
•CD’s/DVD’s
•USB drives
•Zip disks
•Microfiche/microfilm
•Cell phones
•Pagers
•Tablets
Quantity Information:
•Quantities and pick-up totals listed in Attachment “A” are based on current services.
•No minimum or maximum is guaranteed or implied.
•The number of containers, locations, containers’ sizes, and frequency of service may change upon
request by the County of Fresno in accordance with their needs. The County will notify the vendor in
writing with any changes, additions, deletions, etc.
On-site shredding services are currently being utilized by Auditor-Controller/Treasurer-Tax Collector
(AC/TTC), County Clerk/Elections, and the Department of Public Health on an infrequent and “as-needed”
basis (for example, AC/TTC typically requires on-site shredding approximately three times per year with
roughly four containers that need to be shredded each time). Additional departments may require on-site
shredding services as needed.
The successful bidder must be certified by the National Association for Information Destruction (NAID) and
submit a copy of the certification with their bid. The NAID certification must remain active for the duration of
the contract term. The NAID certification must be for both Service Platforms: Plant-Based and Mobile/Onsite.
Both platforms, Plant-Based and Mobile/Onsite-Based, must cover the following Data Destruction Services:
•Paper Records •Micro-Media Destruction
•Non-Paper Media Destruction •Computer Media Destruction-Physical
•Computer Media Destruction-Sanitization
Quotation No. 19-029 Page 5
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BID INSTRUCTIONS
•Bidders must electronically submit bid package in pdf format, no later than the quotation closing date
and time as stated on the front of this document, to the Bid Page on Public Purchase. The County will
not be responsible for and will not accept late bids due to slow internet connection or incomplete
transmissions.
•Bids received after the closing time will NOT be considered.
•All quotations shall remain firm for 180 days.
•Interpretation: Should any discrepancies or omissions be found in the bid specifications or doubt as to
their meaning, the bidder shall notify the Buyer in writing at once. The County shall not be hel d
responsible for verbal interpretations. Questions regarding the bid must be received by Purchasing
prior to the date and time stated within this document. All addenda issued shall be in writing, duly
issued by Purchasing and incorporated into the contract.
•ISSUING AGENT/AUTHORIZED CONTACT: This RFQ has been issued by County of Fresno,
Purchasing. Purchasing shall be the vendor’s sole point of contact with regard to the RFQ, its
content, and all issues concerning it.
All communication regarding this RFQ shall be directed to an authorized representative of County
Purchasing. The specific buyer managing this RFQ is identified on the cover page, along with his or
her telephone number, and he or she should be the primary point of contact for discussions or
information pertaining to the RFQ. Contact with any other County representative, including elect ed
of ficials, for the purpose of discussing this RFQ, its content, or any other issue concerning it, is
prohibited unless authorized by Purchasing. Violation of this clause, by the vendor having
unauthorized contact (verbally or in writing) with such other County representatives, may constitut e
grounds for rejection by Purchasing of the vendor’s quotation.
The above stated restriction on vendor contact with County representatives shall apply until the
County has awarded a purchase order or contract to a vendor or vendors, except as follows. First, in
the event that a vendor initiates a formal protest against the RFQ, such vendor may contact t he
appropriate individual, or individuals who are managing that protest as outlined in the County’s
established protest procedures. All such contact must be in accordance with the sequence set forth
under the protest procedures. Second, in the event a public hearing is scheduled before the Board of
Supervisors to hear testimony prior to its approval of a purchase order or contract, any vendor may
address the Board.
•APPEALS: Appeals must be submitted in writing within seven (7) working days after notification of
proposed recommendations for award. A “Notice of Award” is not an indication of County’s
acceptance of an offer made in response to this RFQ. Appeals shall be submitted to County of
Fresno Purchasing, 4525 E. Hamilton Avenue 2nd Floor, Fresno, California 93702-4599 and in Word
format to gcornuelle@FresnoCountyCA.gov . Appeals should addr ess only areas regarding RFQ
contradictions, procurement errors, quotation rating discrepancies, legality of procurement context,
conflict of interest, and inappropriate or unfair competitive procurement grievance regarding the RFQ
process.
Purchasing will provide a written response to the complainant within seven (7) working days unless
the complainant is notified more time is required. If the appealing bidder is not satisfied with the
decision of Purchasing, bidder shall have the right to appeal to the County Administrative Office
within seven (7) working days after Purchasing’s notification; if the appealing bidder is not satisfied
with CAO’s decision, the final appeal is with the Board of Supervisors. Please contact Purchasing if
the appeal will be going to the Board of Supervisors.
Quotation No. 19-029 Page 6
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GENERAL REQUIREMENTS & CONDITIONS
LOCAL VENDOR PREFERENCE AND DISABLED VETERAN BUSINESS ENTERPRISE BID
PREFERENCE: The Local Vendor Preference and Disabled Veteran Business Enterprise Preference do
not apply to this Request for Quotation.
DEFINITIONS: The terms Bidder, Proposer, Contractor and Vendor are all used interchangeably and refer
to that person, partnership, corporation, organization, agency, etc. which is offering the quotation and is
identified on page one of this Request For Quotation (RFQ).
INTERPRETATION OF RFQ: Vendors must make careful examination of the requirements, specifications
and conditions expressed in the RFQ and fully inform themselves as to the quality and character of services
required. If any person planning to submit a quotation finds discrepancies in or omissions from the RFQ or
has any doubt as to the true meaning or interpretation, correction thereof may be requested in writing from
Purchasing by December 18, 2018, cut-off.
Questions must be submitted on the Bid Page at Public Purchase or contact Bryan Hernandez at (559) 600-
7110.
NOTE: Time constraints will prevent County from responding to questions submitted after the cut-off date.
Any change in the Request for Quotation will be made by written addendum issued by the County. The
County will not be responsible for any other explanations or interpretations.
AWARD: Award will be made to the vendor(s) offering the services, products, prices, delivery, equipment
and system deemed to be to the best advantage of the County. Past performance (County contracts within
the past seven years) and references may factor into awarding of a contract. The County shall be the sole
judge in making such determination. Award Notices are tentative: Acceptance of an offer made in response
to this RFQ shall occur only upon execution of an agreement by both parties or issuance of a valid written
Purchase Order by Fresno County Purchasing.
RIGHT TO REJECT BIDS: The County reserves the right to reject any and all bids and to waive
informalities or irregularities in bids. Failure to respond to all questions or not to supply the requested
information could result in rejection of your quotation.
CODES AND REGULATIONS: All work and material to conform to all applicable Federal, State, local and
special district building codes, laws, ordinances, and regulations.
TAXES: The quoted amount must include all applicable taxes. If taxes are not specifically identified in the
quotation it will be assumed that they are included in the total quoted.
SALES TAX: Fresno County pays California State Sales Tax in the amount of 7.975% regardless of
vendor's place of doing business.
TAXES, PERMITS & FEES: The successful bidder shall pay for and include all federal, state and local taxes
direct or indirect upon all materials; pay all fees for, and obtain all necessary permits and licenses, unless
otherwise specified herein.
TAXES, CHARGES AND EXTRAS:
A)DO NOT include Federal Excise Tax. County is exempt under Registration No. 94-73-03401-K.
B)County is exempt from Federal Transportation Tax. Exemption certificate is not required where
shipping papers show consignee as County of Fresno.
C)Charges for transportation, containers, packing, etc. will not be paid unless specified in bid.
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SPECIFICATIONS AND EQUALS: Brand names, where used, are a means of establishing quality and
style. Bidders are invited to quote their equals. Alternate offers are to be supported by literature, which fully
describes items that you are bidding.
No exceptions to or deviations from this specification will be considered unless each exception or deviation is
specifically stated by the bidder, in the designated places. If no exceptions or deviations are shown, the
bidder will be required to furnish items exactly as specified herein. The burden of proof of compliance with
this specification is the responsibility of the bidder.
LITERATURE: Bidders shall submit literature, which fully describes items on which they are bidding, not
later than the closing date of this bid. Any and all literature submitted must be stamped with bidders name
and address.
MERCHANDISE RETURNABLE FOR FULL CREDIT : Bidder agrees to accept for full credit any
merchandise sold by him on contract or award resulting from this bid, if returned in good condition by the
County.
GUARANTEE AGAINST DEFECTS: All items are to carry a full guarantee against defects in materials and
workmanship and guarantee against breakage and other malfunctions when performing work for which they
are designed.
PACKAGING: Each item listed in the bid gives as part of its description the minimum packaging size that
the County would order. The County feels it more reasonable to order the successful bidder's standard
"carton" sizes; therefore, each bidder is asked to fill in the information for each item. Normally the
circumstances resort to minimum package size orders. Be sure to fill in your "standard" carton size on the
quotation schedule if different from stated.
Quote separate prices on each individual item in County unit of measure (i.e., EA, DZ, PG, not your standard
carton price).
VENDOR ASSISTANCE: Successful bidder shall furnish, at no cost to the County, a representative to assist
County departments in determining their product requirements.
MINOR DEVIATIONS: The County reserves the right to negotiate minor deviations from the prescribed
terms, conditions and requirements with the selected vendor.
BIDDERS’ LIABILITIES: County of Fresno will not be held liable for any cost incurred by vendors in
responding to the RFQ.
PRICE RESPONSIBILITY: The selected vendor will be required to assume full responsibility for all services
and activities offered in the quotation, whether or not they are provided directly. Further, the County of
Fresno will consider the selected vendor to be the sole point of contact with regard to contractual matters,
including payment of any and all charges resulting from the contract. The contractor may not subcontract or
transfer the contract, or any right or obligation arising out of the contract, without first having obtained the
express written consent of the County.
PRICES: Bidder agrees that prices quoted are for the contract period, and in the event of a price decline
such lower prices shall be extended to the County of Fresno. Prices shall be quoted F.O.B. destination.
CONFIDENTIALITY: Bidders shall not disclose information about the County's business or business
practices and safeguard confidential data which vendor staff may have access to in the course of system
implementation.
HIPAA: All services performed by vendor shall be in strict conformance with all applicable Federal, State
of California and/or local laws and regulations relating to confidentiality, including but not limited to,
California Civil Code, California Welfare and Institutions Code, Health and Safety Code, California Code of
Regulations, Code of Federal Regulations.
Vendor shall submit to County’s monitoring of said compliance.
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Vendor may be a business associate of County, as that term is defined in the “Privacy Rule” enacted by
the Health Insurance Portability and Accountability Act of 1996 (HIPAA). As a HIPAA Business Associate,
vendor may use or disclose protected health information (“PHI”) to perform functions, activities or services
f or or on behalf of County as specified by the County, provided that such use or disclosure shall not violate
HIPAA and its implementing regulations. The uses and disclosures if PHI may not be more expansive than
those applicable to County, as the “Covered Entity” under HIPAA’s Privacy Rule, except as authorized for
management, administrative or legal responsibilities of the Business Associate.
Vendor shall not use or further disclose PHI other than as permitted or required by the County, or as
required by law without written notice to the County.
Vendor shall ensure that any agent, including any subcontractor, to which vendor provides PHI received
from, or created or received by the vendor on behalf of County, shall comply with the same restrictions and
conditions with respect to such information.
NEWS RELEASE: Vendors shall not issue any news releases or otherwise release information to any third
party about this RFQ or the vendor's quotation without prior written approval from the County of Fresno.
BACKGROUND REVIEW: The County reserves the right to conduct a background inquiry of each
proposer/bidder which may include collection of appropriate criminal history information, contractual and
business associations and practices, employment histories and reputation in the business community. By
submitting a quotation/bid to the County, the vendor consents to such an inquiry and agrees to make
available to the County such books and records the County deems necessary to conduct the inquiry.
ADDENDA: In the event that it becomes necessary to revise any part of this RFQ, addenda will be provided
to all agencies and organizations that receive the basic RFQ.
CONFLICT OF INTEREST: The County shall not contract with, and shall reject any bid or quotation
submitted by the persons or entities specified below, unless the Board of Supervisors finds that special
circumstances exist which justify the approval of such contract:
1.Employees of the County or public agencies for which the Board of Supervisors is the governing
body.
2.Profit-making firms or businesses in which employees described in Subsection (1) serve as officers,
principals, partners or major shareholders.
3.Persons who, within the immediately preceding twelve (12) months, came within the provisions of
Subsection (1), and who were employees in positions of substantial responsibility in the area of
service to be performed by the contract, or participated in any way in developing the contract or its
service specifications.
4.Profit-making firms or businesses in which the former employees described in Subsection (3) serv e
as officers, principals, partners or major shareholders.
5.No County employee whose position in the County enables him to influence the selection of a
contractor for this RFQ, or any competing RFQ, and no spouse or economic dependent of such
em ployee, shall be employees in any capacity by a bidder, or have any other direct or indirect
financial interest in the selection of a contractor.
INVOICING: All invoices are to be emailed to isdap-ar@fresnocountyca.gov or mailed to County of
Fresno, Internal Services, Attn: Accounts Payable, 333 W. Pontiac Way, Clovis, CA 93612. Reference
shall be made to the purchase order/contract number and equipment number if applicable on the invoice.
PAYMENT: Upon satisfactory completion of work, specified herein and approval by the County, payment will
be made in full. Terms of payment will be net forty-five (45) days. County will consider the Bidder’s Cash
discount Offer, in lieu of the net forty-five (45) days payment terms.
CONTRACT TERM: It is County’s intent to contract with the successful bidder for a term of three (3)
years.
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RENEWAL: Agreement may be renewed for a potential of two (2) one (1) year periods, based on the mutual
written consent of all parties.
QUANTITIES: Quantities shown in the bid schedule are approximate and the County guarantees no
minimum amount. The County reserves the right to increase or decrease quantities.
ORDERING: Orders will be placed as required by the various County Departments.
TERMINATION: The County reserves the right to terminate any resulting contract upon written notice.
INDEPENDENT CONTRACTOR: In performance of the work, duties, and obligations assumed by
Contractor under any ensuing Agreement, it is mutually understood and agreed that CONTRACTOR,
including any and all of Contractor’s officers, agents, and employees will at all times be acting and
performing as an independent contractor, and shall act in an independent capacity and not as an officer,
agent, servant, employee, joint venturer, partner, or associate of the COUNTY. Furthermore, County shall
have no right to control or supervise or direct the manner or method by which Contractor shall perform its
work and function. However, County shall retain the right to administer this Agreement so as to verify that
Contractor is performing its obligations in accordance with the terms and conditions thereof. Contractor and
County shall comply with all applicable provisions of law and the rules and regulations, if any, of
governmental authorities having jurisdiction over matters the subject thereof.
Because of its status as an independent contractor, Contractor shall have absolutely no right to employment
rights and benefits available to County employees. Contractor shall be solely liable and responsible for
providing to, or on behalf of, its employees all legally-required employee benefits. In addition, Contractor
shall be solely responsible and save County harmless from all matters relating to payment of Contractor's
employees, including compliance with Social Security, withholding, and all other regulations governing such
matters. It is acknowledged that during the term of the Agreement, Contractor may be providing services to
others unrelated to the County or to the Agreement.
SELF-DEALING TRANSACTION DISCLOSURE: Contractor agrees that when operating as a corporation
(a for-profit or non-profit corporation), or if during the term of the agreement the Contractor changes its status
to operate as a corporation, members of the Contractor’s Board of Directors shall disclose any self-dealing
transactions that they are a party to while Contractor is providing goods or performing services under the
agreement with the County. A self -dealing transaction shall mean a transaction to which the Contractor is a
party and in which one or more of its directors has a material financial interest. Members of the Board of
Directors shall disclose any self -dealing transactions that they are a party to by completing and signing a
Fresno County Self-Dealing Transaction Disclosure Form and submitting it to the County prior to
commencing with the self -dealing transaction or immediately thereafter.
HOLD HARMLESS CLAUSE: Contractor agrees to indemnify, save, hold harmless and at County's request,
defend the County, its officers, agents and employees, from any and all costs and expenses (including
attorney’s fees and costs), damages, liabilities, claims and losses occurring or resulting to County in
connection with the performance, or failure to perform, by Contractor, its officers, agents or employees under
this Agreement and from any and all costs and expenses (including attorney’s fees and costs), damages,
liabilities, claims and losses occurring or resulting to any person, firm or corporation who may be injured or
damaged by the performance, or failure to perform, of Contractor, its officers, agents or employees under
this Agreement.
MATERIALS TO BE NEW: All materials shall be new and of merchantable grade, free from defect. No bid
will be considered unless it is accompanied by a complete list of manufacturer's catalog numbers of the
items, which the bidder proposes to furnish, together with full descriptive literature on all items so
enumerated. If i tem proposed differs from these specifications, bidder shall present specific explanation of
functioning and structural characteristics for those details which differ from the specifications listed herein.
SAFETY DATA SHEETS: With the invoice or within twenty-five (25) days of delivery, the seller must
provide to the County a Safety Data Sheet for each product, which contains any substance on “The List of
800 Hazardous Substances”, published by the State Director of Industrial Relations. (See Hazardous
Substances Information and Training Act, California State Labor Code Sections 6360 through 6399.7.)
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RECYCLED PRODUCTS/MATERIALS: Vendors are encouraged to provide and quote (with
documentation) recycled or recyclable products/materials which meet stated specifications.
EXAMINATION OF SITE: Where work is to be performed on County site, each bidder shall have examined
the site of work before bidding and shall be responsible for having acquired full knowledge of the job and of
all problems affecting it. No variations or allowance from the contract sum will be made because of lack of
such examination.
DAMAGE TO EXISTING WORK: Damage to existing construction, equipment, planting, etc., by the
contractor in the performance of his work shall be replaced or repaired and restored to original condition by
the contractor.
CLEAN UP: The Contractor shall at all times, keep the premises clean from accumulation of waste
materials or rubbish caused by his employees or work and shall remove all resulting work debris from the job
site.
WATER, POWER & TOILET FACILITIES: Successful bidder may use County owned water, power and
toilet facilities at job site (when existing) at no expense to the successful bidder. Successful bidder will be
required, however, to provide piping, fittings and other items as necessary to bring water and power from
existing service to job site.
COORDINATE WORK WITH OWNER: Successful bidder shall coordinate and schedule the work with the
County so that any interruption to the normal business operations be kept to a minimum.
INSPECTION: All material and workmanship shall be subject to inspection, examination and test by the
County at any and all times during which manufacture and/or construction are carried on. The County shall
have the right to reject defective material and workmanship or require its correction.
SUPERVISION: The Contractor shall give efficient supervision to the work, using therein the skill and
diligence for which he is remunerated in the contract price. He shall carefully inspect the site and study and
compare all drawings, specifications and other instructions, as ignorance of any phase of any of the features
or conditions affecting the contract will not excuse him from carrying out its provisions to its full intent.
STANDARD OF PERFORMANCE: All work shall be performed in a good and workmanlike manner.
SAFEGUARDS: The contractor shall provide safeguards, in conformity with all local codes and ordinances
as may be required.
PERFORMANCE BOND: The successful bidders may be required to furnish a faithful performance bond.
BONDING COMPANY: The company issuing bonds shall be a corporate surety admitted by the California
Insurance Commissioner to do business in the State of California with an A.M Best rating of B++ VIII or
better.
COORDINAT ION AND COMPLETION: The successful bidder shall contact and meet with the County
Coordinator at the job site prior to commencement and completion of any work.
Successful bidder shall complete the job as instructed and described in writing by the contract, bid or
amendment. Any problem or questions that arise in the scope of work, the County must be contacted and
the appropriate written amendment generated.
GUARANTEE: The successful bidder shall fully guarantee all aspects of the project for the minimum period
of one (1) year. Such one (1) year period shall commence upon the date of final acceptance by County. The
guarantee shall include but in no way be limited to workmanship, equipment and materials.
DISPUTE RESOLUTION: The ensuing contract shall be governed by the laws of the state of California.
Any claim which cannot be amicably settled without court action will be litigated in the U.S. District Court for
the Eastern District of California in Fresno, CA or in a state court for Fresno County.
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DEFAULT: In case of default by the selected bidder, the County may procure the services from another
source and may recover the loss occasioned thereby from any unpaid balance due the selected bidder, or by
any other legal means available to the County.
Regardless of F.O.B. point, vendor agrees to bear all risks of loss, injury or destruction to goods and
materials ordered herein which occur prior to delivery and such loss, injury or destruction shall not release
vendor from any obligation hereunder
ASSIGNMENTS: The ensuing proposed contract will provide that the vendor may not assign any payment
or portions of payments without prior written consent of the County of Fresno.
ASSURANCES: Any contract awarded under this RFQ must be carried out in full compliance with the Civil
Rights Act of 1964, the Americans With Disabilities Act of 1990, their subsequent amendments, and any and
all other laws protecting the rights of individuals and agencies. The County of Fresno has a zero tolerance
for discrimination, implied or expressed, and wants to ensure that policy continues under this RFQ. The
contractor must also guarantee that services, or workmanship, provided will be performed in compliance with
all applicable local, state, or federal laws and regulations pertinent to the types of services, or project, of the
nature required under this RFQ. In addition, the contractor may be required to provide evidence
substantiating that their employees have the necessary skills and training to perform the required services or
work.
OBLIGATIONS OF CONTRACTOR: Contractor warrants on behalf of itself and all subcontractors
engaged for the performance of the ensuing contract that only persons authorized to work in the United
States pursuant to the Immigration Reform and Control Act of 1986 and other applicable laws shall be
employed in the performance of the work hereunder.
TIE BIDS: With all other factors being equal, the contract shall be awarded to the Fresno County vendor
or, if neither or both are Fresno County vendors, the tied vendors will be granted the opportunity to submit
new bids or the entire bid may be rejected and re-bid. If the General Requirements of the RFQ state that
they are applicable, the provisions of the Fresno County Local Vendor Preference shall take priority over
this paragraph.
DATA SECURITY: Individuals and/or agencies that enter into a contractual relationship with the County for
the purpose of providing services must employ adequate controls and data security measures, both internally
and externally to ensure and protect the confidential information and/or data provided to contractor by the
County, preventing the potential loss, misappropriation or inadvertent access, viewing, use or disclosure of
County data including sensitive or personal client information; abuse of County resources; and/or disruption
to County operations.
Individuals and/or agencies may not connect to or use County networks/systems via personally owned
mobile, wireless or handheld devices unless authorized by County for telecommuting purposes and provide a
secure connection; up to date virus protection and mobile devices must have the remote wipe feature
enabled. Computers or computer peripherals including mobile storage devices may not be used (County or
Contractor device) or brought in for use into the County’s system(s) without prior authorization from County’s
Chief Information Officer and/or designee(s).
No storage of County’s private, confidential or sensitive data on any hard-disk drive, portable storage device
or remote storage installation unless encrypted according to advance encryption standards (AES of 128 bit
or higher).
The County will immediately be notified of any violations, breaches or potential breaches of security related
to County’s confidential information, data and/or data processing equipment which stores or processes
County data, internally or externally.
County shall provide oversight to Contractor’s response to all incidents arising from a possible breach of
security related to County‘s confidential client information. Contractor will be responsible to issue any
notification to affected individuals as required by law or as deemed necessary by County in its sole
discretion. Contractor will be responsible for all costs incurred as a result of providing the required
notification.
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AUDITS AND RETENTION: The Contractor shall maintain in good and legible condition all books,
documents, papers, data files and other records related to its performance under this contract. Such records
shall be complete and available to Fresno County, the State of California, the federal government or their
duly authorized representatives for the purpose of audit, examination, or copying during the term of the
contract and for a period of at least three (3) years following the County's final payment under the contract or
until conclusion of any pending matter (e.g., litigation or audit), whichever is later. Such records must be
retained in the manner described above until all pending matters are closed.
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BIDDER TO COMPLETE:
GUARANTEED PICK UP AND/OR DELIVERY: Bidder will be considered in award of bid only if they can
guarantee. Enter guarantee on this line (i.e. number of days from receipt of order to delivery):
WARRANTY AND SERVICE LOCATION:
State the warranty and/or guarantee provisions applicable to this equipment or attach warranty form with
your bid.
State specific location, where service and/or maintenance can be obtained. Failure to furnish this
information will be cause for rejection of bid.
SUBCONTRACTORS:
List all subcontractors that would perform work in excess of one/half of one percent of the total amount of
your bid, and state general type of work such subcontractor would be performing. The primary contractor is
not relieved of any responsibility by virtue of using a subcontractor:
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BIDDER QUESTIONNAIRE -
BIDDER SHALL RESPOND TO ALL OF THE FOLLOWING QUESTIONS:
1.Number of years your firm has been providing both on-site and off-site shredding services:
a.Location of Destruction Facility:
2. Describe Facility (i.e. alarm, fire sprinklers, etc.):
a.How long are materials kept in facility prior to being shredded?
3.On a separate sheet of paper, address each of the following procedures and include a current copy of
your firm’s policy and procedure manual relating to each procedure.
A.Personnel Security Screening
B.Collection and Handling Procedures
C.Destruction Facility Security Procedures
D.Shredding Procedures
**NOTE: Failure to provide this information may be considered as cause to reject bid.**
4.Describe how an infringement of any of the security procedures by your personnel is handled.
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5.Do you belong to any professional associations including the National Association of Information
Destruction (NAID)?
Yes No
a.If yes, please name:
6.List all principals, key employees, owners, partners, and any other person controlling the business of the
bidder, including their titles.
NAME TITLE
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7.Number of people employed full-time:Part-time:
a.List the names, length of service, and full-time or part-time status for each employee.
EMPLOYEE NAME LENGTH OF SERVICE STATUS
(FULL- OR PART -TIME)
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INSURANCE REQUIREMENTS
INSURANCE: Without limiting the County’s right to obtain indemnification from Contractor or any third
parties, Contractor, at its sole expense, shall maintain in full force and effect, the following insurance policies
or a program of self-insurance, including but not limited to, an insurance pooling arrangement or Joint
Powers Agreement (JPA) throughout the term of the Agreement:
A.Commercial General Liability: Commercial General Liability Insurance with limits of not less than Two
Million Dollars ($2,000,000.00) per occurrence and an annual aggregate of Four Million Dollars
($4,000,000.00). This policy shall be issued on a per occurrence basis. County may require specific
coverage including completed operations, product liability, contractual liability, Explosion-Collapse-
Underground, fire legal liability or any other liability insurance deemed necessary because of the
nat ure of the contract.
B.Automobile Liability: Comprehensive Automobile Liability Insurance with limits of not less than One
Million Dollars ($1,000,000.00) per accident for bodily injury and for property damages. Coverage
should include any auto used in connection with this Agreement.
C. Professional Liability: If Contractor employs licensed professional staff, (e.g., Ph.D., R.N., L.C.S.W.,
M.F.C.C.) in providing services, Professional Liability Insurance with limits of not less than One Million
Dollars ($1,000,000.00) per occurrence, Three Million Dollars ($3,000,000.00) annual aggregate.
This coverage shall be issued on a per claim basis. Contractor agrees that it shall maintain, at its sole
expense, in full force and effect for a period of three years following the termination of this Agreement,
one or more policies of professional liability insurance with limits of coverage as specified herein.
D.Worker's Compensation: A policy of Worker's Compensation insurance as may be required by the
California Labor Code.
Additional Requirements Relating to Insurance:
Contractor shall obtain endorsements to the Commercial General Liability insurance naming the County of
Fresno, its officers, agents, and employees, individually and collectively, as additional insured, but only
insofar as the operations under this Agreement are concerned. Such coverage for additional insured shall
apply as primary insurance and any other insurance, or self -insurance, maintained by County, its officers,
agents and employees shall be excess only and not contributing with insurance provided under Contractor's
policies herein. This insurance shall not be cancelled or changed without a minimum of thirty (30) days
advance written notice given to County.
Contractor hereby waives its right to recover from County, its officers, agents, and employees any amounts
paid by the policy of worker’s compensation insurance required by this Agreement. Contractor is solely
responsible to obtain any endorsement to such policy that may be necessary to accomplish such waiver of
subrogation, but Contractor’s waiver of subrogation under this paragraph is effective whether or not
Contractor obtains such an endorsement.
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Within thirty (30) days from the date Contractor executes this Agreement, Contractor shall provide certificates of
insurance and endorsement as stated above for all of the foregoing policies, as required herein, to the County of
Fresno,
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BIDDER QUESTIONNAIRE -
BIDDER SHALL RESPOND TO ALL OF THE FOLLOWING QUESTIONS:
8.Number of years your firm has been providing both on-site and off-site shredding services:
b.Location of Destruction Facility:
9.Describe Facility (i.e. alarm, fire sprinklers, etc.):
b.How long are materials kept in facility prior to being shredded?
10.On a separate sheet of paper, address each of the following procedures and include a current copy of
your firm’s policy and procedure manual relating to each procedure.
A.Personnel Security Screening
B.Collection and Handling Procedures
C.Destruction Facility Security Procedures
D.Shredding Procedures
**NOTE: Failure to provide this information may be considered as cause to reject bid.**
11.Describe how an infringement of any of the security procedures by your personnel is handled.
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12.Do you belong to any professional associations including the National Association of Information
Destruction (NAID)?
Yes No
b.If yes, please name:
13.List all principals, key employees, owners, partners, and any other person controlling the business of the
bidder, including their titles.
NAME TITLE
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14.Number of people employed full-time:Part-time:
b.List the names, length of service, and full-time or part-time status for each employee.
EMPLOYEE NAME LENGTH OF SERVICE STATUS
(FULL- OR PART -TIME)
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, stating that such insurance coverage have been obtained and are in full force; that the County of Fresno, its
officers, agents and employees will not be responsible for any premiums on the policies; that such
Commercial General Liability insurance names the County of Fresno, its officers, agents and employees,
individually and collectively, as additional insured, but only insofar as the operations under this Agreement
are concerned; that such coverage for additional insured shall apply as primary insurance and any other
insurance, or self-insurance, maintained by County, its officers, agents and employees, shall be excess only
and not contributing with insurance provided under Contractor's policies herein; and that this insurance shall
not be cancelled or changed without a minimum of thirty (30) days advance, written notice given to County.
In the event Contractor fails to keep in effect at all times insurance coverage as herein provided, the County
may, in addition to other remedies it may have, suspend or terminate this Agreement upon the occurrence of
such event.
All policies shall be with admitted insurers licensed to do business in the State of California. Insurance
purchased shall be purchased from companies possessing a current A.M. Best, Inc. rating of A FSC VII or
better.
Quotation No. 19-029 Page 23
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DESTRUCTION SERVICES.DOC
BIDDER TO COMPLETE THE FOLLOWING:
PARTICIPATION
The County of Fresno is a member of the Central Valley Purchasing Group. This group consists of Fresno,
Kern, Kings, and Tulare Counties and all governmental, tax supported agencies within these counties.
Whenever possible, these and other tax supported agencies co-op (piggyback) on contracts put in place by
one of the other agencies.
Any agency choosing to avail itself of this opportunity, will make purchases in their own name, make
payment directly to the contractor, be liable to the contractor and vice versa, per the terms of the original
contract, all the while holding the County of Fresno harmless. If awarded this contract, please indicate
whether you would extend the same terms and conditions to all tax supported agencies within this group as
you are proposing to extend to Fresno County.
Yes, we will extend contract terms and conditions to all qualified agencies within the Central Valley
Purchasing Group and other tax supported agencies.
No, we will not extend contract terms to any agency other than the County of Fresno.
(Authorized Signature)
Title
Quotation No. 19-029 Page 24
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DESTRUCTION SERVICES.DOC
VENDOR MUST COMPLETE AND RETURN WITH REQUEST FOR QUOTATION.
Firm:
REFERENCE LIST
Provide a list of at least five (5) customers for whom you have recently provided similar
products/services. If you have held a contract for similar services with the County of Fresno within
the past seven (7) years, list the County as one of your customers. Please list the person most
familiar with your contract. Be sure to include all requested information.
Reference Name: Contact:
Address:
City: State: Zip:
Phone No.: ( ) Date:
Service Provided:
Reference Name: Contact:
Address:
City: State: Zip:
Phone No.: ( ) Date:
Service Provided:
Reference Name:Contact:
Address:
City: State: Zip:
Phone No.: ( ) Date:
Service Provided:
Reference Name: Contact:
Address:
City: State: Zip:
Phone No.: ( ) Date:
Service Provided:
Reference Name:Contact:
Address:
City: State: Zip:
Phone No.: ( ) Date:
Service Provided:
Failure to provide a list of at least five (5) customers may be cause for rejection of this RFQ.
Quotation No. 19-029 Page 25
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DESTRUCTION SERVICES.DOC
COMPLY/NOT COMPLY
Compliance and understanding of the specification is to be noted by marking “COMPLY” on the
line provided to the right of the specification. Non-compliance is to be indicated by marking
“NOT COMPLY” on the line. A detailed statement explaining why they fail to meet the stated
specification or requirement must accompany all non-compliant items.
Failure to mark this page could result in your quotation being non-responsive.
BIDDER TO COMPLETE THE FOLLOWING:
SPECIFICATION
COMPLY/
NOT COMPLY
A.CONTAINERS
•Successful bidder shall provide the approximate number and size of locked,
secured containers, and distribute the containers to the various locations as
listed in the information provided in Attachment “A” as well as any new locations
in existence at the effective date of the new agreement.
•Containers shall be equipped with an attached lid, locking device, and
(preferably) wheels.
•Containers shall be of uniform color and clearly marked to indicate the container
is only for “Confidential Documents for Destruction”.
•Successful bidder shall submit a complete description of the container (including
the material, type, size, color, signage, and other features), and include a
picture.
•Successful bidder shall be responsible for maintaining all containers in good
working order and providing replacement and/or additional containers as may be
requested by the County of Fresno during the contract terms and any renewals.
•Containers shall remain the property of the Contractor.
•Successful bidder shall remove the containers in a timely manner upon request
by the County of Fresno.
B.SECURITY
•All of the successful bidder’s personnel involved in the shredding process must
be bonded in the minimum amount of twenty-five thousand dollars ($25,000).
•Because of the confidentiality of the documents, the successful bidder must take
ex tra precautions to ensure that all of the materials received shall remain
confidential and shall not be open to examination for any purpose or be used in
any other way except for destruction.
•Successful bidder shall not make public, disclose, use or cause to be published,
disclosed, or used any confidential record.
•Successful bidder shall provide the County of Fresno with a certificate of
destruction. County departments may require individual certificates of destruction
be provided directly to them upon request. Include a sample of this certificate
with your response to this Request for Quotation.
Quotation No. 19-029 Page 26
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DESTRUCTION SERVICES.DOC
SPECIFICATION
COMPLY/
NOT COMPLY
C.SERVICES
•Successful bidder’s personnel shall install the containers and coordinate
destruction schedule with County coordinators.
•Only fully loaded containers will be processed, unless otherwise requested by
the County of Fresno.
•County employees shall not be required to separate materials (i.e. folders,
computer paper, mixed paper, etc.) or to remove fasteners, staples, paper clips,
rubber bands, etc.
•County of Fresno will pay only for destruction services, not for delivery or use of
the successful bidder’s containers.
•Successful bidder must be able to provide services under any agreement
resulting from the Request for Quotation in accordance with current and/or
change to State, Federal, or County of Fresno policies or regulations.
a.On-Site Service
•Successful bidder will be required to provide on-site shredding services for
the County departments on an as-needed basis for the destruction of
confidential documents, checks, and information media (e.g. hard drives,
microfilm/microfiche, etc.).
•The Sheriff-Coroner’s office requires that on-site destruction be observed by
one of their authorized employees from beginning to the end. Other
departments may also require this on an as-needed basis.
•Successful bidder has adequate liability coverage for the transport and
destruction of the checks.
•Successful bidder shall allow the option for County staff to visually ensure
destruction of the checks.
•Shredder is able to handle paper clips and rubber bands.
b.Off-Site Service
The Sheriff-Coroner’s office will require all staff (everyone who has access t o
the Sheriff-Coroner’s information) to do the following:
•Review the information for the Sheriff-Coroner’s Security Awareness
Policies (every 2 years).
•Pass a background check.
•Sign a FBI Criminal Justice Information Services (CJIS) Security
Addendum after being tentatively awarded a contract.
•Complete Department of Justice Management Control Agreement after
being tentatively awarded a contract.
D.INVOICING/REPORTS
•Submit monthly invoice to the County of Fresno no later than the fifth (5th)
working day of each calendar month.
•Invoice terms shall be Net Forty-five (45) days, payable in arrears.
•The successful bidder will be required to provide a monthly destruction
summary, including Department name, contact person, number/size of
Quotation No. 19-029 Page 27
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DESTRUCTION SERVICES.DOC
SPECIFICATION
COMPLY/
NOT COMPLY
containers, pick-up dates (see Attachment “A”) and a signed pick-up receipt by
department.
D.INVOICING/REPORTS (CONT’D.)
•Upon request, the successful bidder will provide annual usage reports for
services provided under any agreement resulting from the Request for
Quotation.
Report information to include the following information:
o Department name
o Contact person/phone number
o Address location of bins
o Quantity and size of each bin
o Service frequency
Reports must be delivered to County of Fresno, Purchasing, 4525 E. Hamilton
Avenue, Fresno, CA 93702, Attention Bryan Hernandez, no later than thirty (30)
days following the end of the period. The agreement number should be
referenced on all reports.
E.EMPLOYEES
•Proper conduct is expected of the successful bidder’s personnel when on County
premises and/or providing service to the County.
•Successful bidder’s personnel shall be easily identifiable (i.e. work uniforms,
badges, etc.).
**Please Note: Failure to comply to all services requested will not automatically disqualify any
Bidder.
Quotation No. 19-029 Page 28
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DESTRUCTION SERVICES.DOC
QUOTATION SCHEDULE
COMPANY:
All bids must be submitted on the forms provided.
Failure to bid in the format specified will be considered as cause to reject bid.
Current Container Sizes:
TYPE OF
CONTAINER
APPOXIMATE WEIGHT (in
pounds)
4’ X 4’ Bin 625
174 Gallon 263
96 Gallon 220
64 Gallon 175
32 Gallon 88
Large Banker Box 55
Regular Banker Box 35
Small Banker Box 17.5
Description Quantity Unit Unit Price Total
All labor, materials, taxes, containers, insurance, etc.
as necessary to provide on and off -site unlimited
confidential document shredding and information
media destruction as specified within this Request for
Quotation (includes departmental purges, special
pick-ups, etc.).
•Billing to one location
•Vendor will provide monthly usage report (by
County department) with invoice, along with
copies signed by department.
12 Month $ $
Quotation No. 19-029 Page 29
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DESTRUCTION SERVICES.DOC
CHECK LIST
This Checklist is provided to assist the vendors in the preparation of their bid response. Included in this list,
are important requirements and is the responsibility of the bidder to submit with the bid package in order to
make the bid compliant. Because this checklist is just a guideline, the bidder must read and comply with the
bid in its entirety.
Check off each of the following:
1.The Request for Quotation (RFQ) has been signed and completed.
2.Addenda, if any, have been signed and included in the bid package.
3.The completed Reference List as provided with this RFQ.
4.The Quotation Schedule as provided with this RFQ has been completed, price reviewed for
accuracy and any corrections initialed.
5.Indicate all of bidder exceptions to the County’s requirements, conditions and specifications
as stated within this RFQ.
6.The Participation page as provided within this RFQ has been signed and included
7.Bidder to Complete page as provided with this RFQ.
8.Return checklist with RFQ response.
9.Completed RFQ in pdf format, electronically submitted to the Bid Page on Public
Purchase.
19-029 Attachment A
19-029 Attachment A
19-029 Attachment A
Fresno County
DEPT. OF SOCIAL SERVICES -3 64-gallon & 8 32-
INTAKE BLDG 4468 E. Kings Canyon Rd. Fresno, CA 93702 gallon Weekly 11
DEPT. OF SOCIAL SERVICES -3 64-gallon & 1
KERMAN PROTEUS 15010 W, Whitesbridge Kerman, CA 93630 console Monthly 4
DEPT. OF SOCIAL SERVICES -
"L" STREET 1404 "L" Street Fresno, CA 93721 9 64-gallon Weekly 9
DEPT. OF SOCIAL SERVICES -
MAIN -Bldg. 315(Barton),
313(Commissary), 341 (Fairgrounds 4449, 4455, 4468 & 4499 E. Kings 37 64-gallon & 8 32-
Annex), 340(Fairgrounds Bldg.) Canyon Rd. Fresno, CA 93702 gallon Twice a week 45
DEPT, OF SOCIAL SERVICES -
MODULAR C 4445 E. Inyo Fresno, CA 93702 3 64-gallon Every other Week 3
DEPT. OF SOCIAL SERVICES -
MODULAR D 4452 E. Kings Canyon (Modular D) Fresno, CA 93702 2 64-gallon Twice a week 2
DEPT, OF SOCIAL SERVICES -
PELCO ADMINISTRATION 205 Pontiac Way Clovis, CA 93612 7 64-gallon Weekly 7
DEPT. OF SOCIAL SERVICES -
PROTEUS 1815 Van Ness Avenue Fresno, CA 93721 1 64-gallon Monthly
DEPT. OF SOCIAL SERVICES -6 64-gallon & 1 36"
REEDLEY REGIONAL CENTER 1680 East Manning Reedley, CA 93654 console Weekly 7
DEPT. OF SOCIAL SERVICES -5 64-gallon & 1 36"
SELMA SOUTHEAST REG. CENTER 3800 McCall Selma, CA console Weekly 6
DEPT. OF SOCIAL SERVICES -
SENIOR CARE-ADULT PROTECTIVE 2025 E. Dakota Ave. 2nd Floor Fresno, CA 93726 2 64-gallon Weekly 2
DEPT. OF SOCIAL SERVICES -
SEQUOIA (IHSS Sequoia Building) 3821 N. Clark Fresno, CA 93726 4 64-gallon Weekly 4
DEPT. OF SOCIAL SERVICES -5 64-gallon & 1
SENIOR RESOURCE CENTER 2025 E. Dakota, 4th Fir Fresno, CA 93726 console & 2 32-gallon Weekly 8
DEPT. OF SOCIAL SERVICES -10 32-gallon & 8 64-SUNNYSIDE 5693 E. Kings Canyon Fresno, CA 93727 gallon & 1 console Weekly 19
DEPT. OF SOCIAL SERVICES -
TAFT 3688 E. Shields Ave. Fresno, CA 93726 1 64-gallon Weekly
19-029 Attachment A
19-029 Attachment A
19-029 Attachment A
19-029 Attachment A
19-029 Attachment A
19-029 Attachment A
G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 ADDENDUM 1.DOC
COUNTY OF FRESNO
ADDENDUM NUMBER: ONE (1)
RFQ NUMBER: 19-029
DOCUMENT SHREDDING AND MEDIA
DESTRUCTION SERVICES
Issue Date: December 20, 2018
CLOSING DATE: JANUARY 10, 2019 AT 2:00 P.M.
Submit all Questions and Quotations on the Bid Page at Public Purchase.
For assistance contact Bryan Hernandez at (559) 600-7110.
NOTE THE ATTACHED ADDITIONS, DELETIONS AND/OR CHANGES TO THE REQUIREMENTS OF
REQUEST FOR QUOTATION NUMBER: 19-029 AND INCLUDE THEM IN YOUR RESPONSE. PLEASE SIGN
AND RETURN THIS ADDENDUM WITH YOUR QUOTATION.
Questions and Answers
ACKNOWLEDGMENT OF ADDENDUM NUMBER ONE (1) TO RFQ 19-029
COMPANY NAME: (PRINT)
SIGNATURE:
NAME & TITLE: (PRINT)
Purchasing Use: BH:yj ORG/Requisition: 8905 / 8905190004
ADDENDUM NO. ONE (1) Page 2
REQUEST FOR PROPOSAL NUMBER 19-029
December 20, 2018
G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 ADDENDUM 1.DOC (12/02)
QUESTIONS AND ANSWERS
Q1. Will there be an opportunity to look at changes to current services?
A1. The most recent change to our current services is the addition of on-site services for our
Sheriff’s Office. The Department of Justice (DOJ) requirements for the Sheriff’s Office was
made available on the RFQ. Bids should be submitted to the exact bid specifications.
Q2. Are on-site services the preferred method for the Sheriff’s Office?
A2. Yes, on an as-needed basis.
Q3. Is the County open to looking at other types of containers?
A3. The opportunity to revisit current services and container specifications could be made
available to the awarded vendor. Bids should be submitted to the exact bid specifications.
Q4. Is the inventory list different from the one posted in the recently canceled bid?
A4. No. The inventory list is the same.
Q5. Is the County willing to split the award between vendors (i.e. one for the document
shredding and one for the media destruction)?
A5. No, the County is seeking one vendor to provide both on-site and off-site document
shredding and media destruction services. Bids should be submitted to the exact bid
specifications.
Exhibit C
COUNTY OF FRESNO
ADDENDUM NUMBER: ONE (1)
RFQ NUMBER: 19-029
DOCUMENT SHREDDING AND MEDIA
DESTRUCTION SERVICES
Issue Date: December 20, 2018
CLOSING DATE: JANUARY 10, 2019 AT 2:00 P.M.
Submit all Questions and Quotations on the Bid Page at Public Purchase.
For assistance contact Bryan Hernandez at (559) 600-7110.
NOTE THE ATTACHED ADDITIONS, DELETIONS AND/OR CHANGES TO THE REQUIREMENTS OF
REQUEST FOR QUOTATION NUMBER: 19-029 AND INCLUDE THEM IN YOUR RESPONSE. PLEASE SIGN
AND RETURN THIS ADDENDUM WITH YOUR QUOTATION.
►Questions and Answers
ACKNOWLEDGMENT OE ADDENDUM NUMBER ONE (1) TO RFQ 19-029
COMPANY NAME:
SIGNATURE:
NAME & TITLE:
Purchasing Use: BH:yj
(PAINT)
ORG/Requlsltlon: 8905 / 8905190004
G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 ADDENDUM 1.DOC
Quotation No. 19-029 Page 24
VENDOR MUST COMPLETE AND RETURN WITH REaUEST FOR OUOJAJION,
Firm: FMM c.. 5bv-eCA{ 05
REFERENCE LIST
Provide a list of at least five (5) customers for whom you have recently provided similar
products/services. If you have held a contract for similar services with the County of Fresno within
the past seven (7) years, list the County as one of your customers. Please list the person most
familiar with your contract. Be sure to include all requested information.
Reference Name: Mc.eCnvO\ �ci<.,, k.$-:\t,wContact: �Ati\.-€.hT� \ov
Address: -=Ho'-\'":\-N. f;re...S>--1-D =:,½r::�
City: F:ce,.S1'.\ 0 State: � Zip: 9 33::W
Phone No.: (559._ ) � � 939� Date: '2£)1 Z. -{>I l--.S.E.DIService Provided: s a O ,�
Failure to provide a list of at least five (5) customers may be cause for rejection of this RFQ.
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Quotation No. 19-029 Page 28 ..
QUOTATION SCHEDULE
coMPANv: ·Vaec-Hc
All bids must be submitted on the forms provided.
Failure to bid in the format specified will be considered as cause to reject bid.
Current Container Sizes:
TYPE OF
CONTAINER
4' X4' Bin
174 Gallon
96 Gallon
64 Gallon
32 Gallon
Large Banker Box
Regular Banker Box
Small Banker Box
All labor, materials, ta>ces, containers, insurance, etc.
as necessary to provide on and off-site unlimited
confidential document shredding and information
media destruction as specified within this Request for
Quotation (includes departmental purges, special
pick-ups, etc.).
•Billing to one location
•Vendor will provide monthly usage report (by
County department) with invoice, along with
copies signed by department.
APPOXIMATE WEIGHT (in
pounds)
625
263
220
175
88
55
35
17.5
12 Month
G:\PUBLIC\RFO\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES.DOC
, ,·.
7
RE Quotation No. 19-029
Pacific does not have any exceptions or deviations from this specification and accepts the requirement,
conditions and specifications as stated within this RFQ
Quotation No. 19-029 Page 23
BIDDER TO COMPLETE THE FOLLOWING:
PARTICIPATION
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Quotation No. 19-029 Page 13
G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES.DOC
Quotation No. 19-029
BIDDER QUESTIONNAIRE
BIDDER SHALL RESPOND TO ALL OF THE FOLLOWING QUESTIONS:
1.Number of years your firm has been providing both on-site and off-site shredding services:Qo '\ews.
a.Location of Destruction Facility:
Slolc \ N • l'")o �� �O.:\:Rc e,\ 'V d •
2.Describe Facility (i.e. alarm, fire sprinklers, etc.):Sc:-E �TI A£, b:P c\
a.How long are materials kept in facility prior to being shredded?
� 4 - 4 9, \-\-bu v�
Page 14
3.On a separate sheet of paper, address each of the following procedures and include a current copy of
your firm's policy and procedure manual relating to each procedure.
A.Personnel Security Screening
B.Collection and Handling Procedures
C.Destruction Facility Security Procedures
D.Shredding Procedures
**NOTE: Failure to provide this information may be considered as cause to reject bid ....
4.Describe how an infringement of any of the security procedures by your personnel is handled.
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DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 15
5.Do you belong to any professional associations including the National Association of Information
Destruction (NAID)?
Yes� No □
6.List all principals, key employees, owners, partners, and any other person controlling the business of the
bidder, including their titles.
NAME TITLE
CEO
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DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 16
7.Number of people employed full-time: __ \�l,� ___ Part-time: ____ -0-____ _
a.List the names, length of service, and full-time or part-time status for each employee.
EMPLOYEE NAME
� ('\ P-A,\[\ \t)('("\-\..P -"Robe.� �+\ �e..+-
�� e_ p..,_e_.c.a._'('('°'-..
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LENGTH OF SERVICE
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(FULL-OR PART-TIME)
)::°U\ \ t.=u\ \ 1-V I I
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G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 DOCUMENT SHREDDING & MEDIA
DESTRUCTION SERVICES.DOC
Quotation No. 19-029
BIDDER QUESTIONNAIRE
BIDDER SHALL RESPOND TO ALL OF THE FOLLOWING QUESTIONS:
8.Number of years your firm has been providing both on-site and off-site shredding services:�2 a \\ ecA<C..$
b.Location of Destruction Facility:
� QS� � $�lo\ �. Co \�::§5io -,�< \\ r<B S\l o , CA- . q33: 1-2
9.Describe Facility (i.e. alann, fire sprinklers, etc.�1 SQ; krrAc�
b.How long are materials kept in facility prior to being shredd�
cPY -4 <? t\ou<"-S
Page 19
10.On a separate sheet of paper, address each of the following procedures and include a current copy of
your firm's policy and procedure manual relating to each procedure.
A.Personnel Security Screening
B.Collection and Handling Procedures
C.Destruction Facility Security Procedures
D.Shredding Procedures
**NOTE: Failure to provide this information may be considered as cause to reject bid.**
11.Describe how an infringement of any of the security procedures by your personnel is handled.
G:\PUBLIC\RFQ\FY 2018-19\19.029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19.029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 20
12.Do you belong to any professional associations including the National Association of Information
Destruction (NAID)?
Yes� No D
13. List all princip als, key employees, owners, partners, and any other person controlling the business of the
bidder, including their titles.
NAME TITLE
G:IPUBLICIRFQIFY 2018-19\19--029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19--029 DOCUMENT SHREDDING & MEDIA
DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 21
14.Number of people employed full-time: ---1'P'Eb
.#'---Part-time: __ -&----'==-------
b. List the names, length of service, and full-time or part-time status for each employee.
EMPLOYEE NAME
i� ,.., -.f'I -1 '.-, ,�rru.e...
QnhP,,.' �-+\ .._\ -f' +-ST€.tv+> e,p r r1 II' ,ro..__ I�{'� \ r No N ct--l f',
r'-... ·, \}'\DAI',-roro l\)e--_r\ 0 \2P-.i. "'�" A f'<\e,.l.: NsC--...
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,
LENGTH OF SERVICE
u \.J v-C....... '-2.. \
?--I ' \ c;
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7.F--. \S l.,,
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STATUS
(FULL-OR PART-TIME)
\; u__,\ \ f=u\ \
'\'.= \J l \ r::-LH \
\:=U l \
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G:IPUBLICIRFQ\FY 2018-19\19--029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19--029 DOCUMENT SHREDDING & MEDIA
DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 25
COMPLY/NOT COMPLY
Compliance and understanding of the specification is to be noted by marking "COMPLY" on the
line provided to the right of the specification. Non-compliance is to be indicated by marking
"NOT COMPLY" on the line. A detailed statement explaining why they fail to meet the stated
specification or requirement must accompany all non-compliant items.
Failure to mark this page could result in your quotation being non-responsive.
BIDDER TO COMPLETE THE FOLLOWING:
SPECIFICATION
A.CONTAINERS
•Successful bidder shall provide the approximate number and size of locked,
secured containers, and distribute the containers to the various locations as
listed in the information provided in Attachment "A" as well as any new locations
in existence at the effective date of the new agreement.
•Containers shall be equipped with an attached lid, locking device, and
(preferably) wheels.
•Containers shall be of uniform color and clearly marked to indicate the container
is only for "Confidential Documents for Destruction".
•Successful bidder shall submit a complete description of the container (including
the material, type, size, color, signage, and other features), and include a
picture.
•Successful bidder shall be responsible for maintaining all containers in good
working order and providing replacement and/or additional containers as may be
requested by the County of Fresno during the contract terms and any renewals.
•Containers shall remain the property of the Contractor.
•Successful bidder shall remove the containers in a timely manner upon request
by the County of Fresno.
B.SECURITY
•All of the successful bidder's personnel involved in the shredding process must
be bonded in the minimum amount of twenty-five thousand dollars ($25,000).
•Because of the confidentiality of the documents, the successful bidder must take
extra precautions to ensure that all of the materials received shall remain
confidential and shall not be open to examination for any purpose or be used in
any other way except for destruction.
•Successful bidder shall not make public, disclose, use or cause to be published,
disclosed, or used any confidential record.
•Successful bidder shall provide the County of Fresno with a certificate of
destruction. County departments may require individual certificates of destruction
be provided directly to them upon request. Include a sample of this certificate
with your response to this Request for Quotation.
COMPLY/
NOT COMPLY
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Quotation No. 19-029
SPECIFICATION
C.SERVICES
•Successful bidder's personnel shall install the containers and coordinate
destruction schedule with County coordinators.
•Only fully loaded containers will be processed, unless otherwise requested by
the County of Fresno.
•County employees shall not be required to separate materials (i.e. folders,
computer paper, mixed paper, etc.) or to remove fasteners, staples, paper clips,
rubber bands, etc.
•County of Fresno will pay only for destruction services, not for delivery or use of
the successful bidder's containers.
•Successful bidder must be able to provide services under any agreement
resulting from the Request for Quotation in accordance with current and/or
change to State, Federal, or County of Fresno policies or regulations.
a.On-Site Service
•Successful bidder will be required to provide on-site shredding services for
the County departments on an as-needed basis for the destruction of
confidential documents, checks, and information media (e.g. hard drives,
microfilm/microfiche, etc.).
•The Sheriff-Coroner's office requires that on-site destruction be observed by
one of their authorized employees from beginning to the end. Other
departments may also require this on an as-needed basis.
•Successful bidder has adequate liability coverage for the transport and
destruction of the checks.
•Successful bidder shall allow the option for County staff to visually ensure
destruction of the checks.
•Shredder is able to handle paper clips and rubber bands.
b.Off-Site Service
The Sheriff-Coroner's office will require all staff (everyone who has access to
the Sheriff-Coroner's information) to do the following:
•Review the information for the Sheriff-Coroner's Security Awareness
Policies (every 2 years).
•Pass a background check.
•Sign a FBI Criminal Justice Information Services (CJIS) Security
Addendum after being tentatively awarded a contract.
•Complete Department of Justice Management Control Agreement after
being tentatively awarded a contract.
D.INVOICING/REP ORTS
•Submit monthly invoice to the County of Fresno no later than the fifth (51h)
working day of each calendar month.
•Invoice terms shall be Net Forty-five (45) days, payable in arrears.
•The successful bidder will be required to provide a monthly destruction
summary, including Department name, contact person, number/size of
Page 26
COMPLY/
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Quotation No. 19-029 Page 27
SPECIFICATION
containers, pick-up dates (see Attachment "A") and a signed pick-up receipt by
department.
D.INVOICING/REPORTS (CONT'D.)
•Upon request, the successful bidder will provide annual usage reports for
services provided under any agreement resulting from the Request for
Quotation.
Report information to include the following information:
o Department name
o Contact person/phone number
o Address location of bins
o Quantity and size of each bin
o Service frequency
Reports must be delivered to County of Fresno, Purchasing, 4525 E. Hamilton
Avenue, Fresno, CA 93702, Attention Bryan Hernandez, no later than thirty (30)
COMPLY/
NOT COMPLY
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days following the end of the period. The agreement number should be ('I~ referenced on all reports. l.,(!d�tJJ\j, E.EMPLOYEES
•Proper conduct is expected of the successful bidder's personnel when on County
premises and/or providing service to the County.
•Successful bidder's personnel shall be easily identifiable (i.e. work uniforms,
badges, etc.).
**Please Note: Failure to comply to all services requested will not automatically disqualify any
Bidder.
G:IPUBLICIRFQIFY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19-029 DOCUMENT SHREDDING & MEDIA
DESTRUCTION SERVICES.DOC
Quotation No. 19-029 Page 29
CHECK LIST
This Checklist is provided to assist the vendors in the preparation of their bid response. Included in this list,
are important requirements and is the responsibility of the bidder to submit with the bid package in order to
make the bid compliant. Because this checklist is just a guideline, the bidder must read and comply with the
bid in its entirety.
Check off each of the following:
1.�he Request for Quotation (RFQ) has been signed and completed.
2.�ddenda, if any, have been signed and included in the bid package.
3.✓ The completed Reference List as provided with this RFQ.
4. / The Quotation Schedule as provided with this RFQ has been completed, price reviewed for
--accuracy and any corrections initialed.
5./ Indicate all of bidder exceptions to the County's requirements, conditions and specifications
--as stated within this RFQ.
6._0he Participation page as provided within this RFQ has been signed and included
7./ Bidder to Complete page as provided with this RFQ.
8..,/' Return checklist with RFQ response.
9._L Completed RFQ in pdf format, electronically submitted to the Bid Page on Public
Purchase.
G:\PUBLIC\RFQ\FY 2018-19\19-029 DOCUMENT SHREDDING & MEDIA DESTRUCTION SERVICES\19--029 DOCUMENT SHREDDING & MEDIA
DESTRUCTION SERVICES.DOC
Fresno County
Secure Shredding
Shredding Services
For most paper intensive organizations, scheduled shredding services are an integral
part of a document management program. Documents that have become inactive
and no longer need to be retained take up costly office space. Not to mention, these
records may contain sensitive and confidential information that poses a security risk
to your business.
Unfortunately, feeding sensitive documents through office shredders represents time
that can be used more productively. As a result, some employees may be tempted to
simply toss documents in a wastebasket. Pacific Records Management’s scheduled
shredding services make it easy to dispose of confidential office documents in a
secure and timely manner.
We provide shredding containers that come in a variety of sizes to fit your business
specific needs. These locked containers are placed strategically throughout the
workplace and do not require an additional time inve stment for your staff. Confidential
documents are simply placed inside without requiring the removal of paper clips,
staples and rubber bands. Once documents are placed in a shredding container they
cannot be retrieved, thus providing a secure repository f or your private information.
You choose a rotation schedule that works best for your organization: weekly,
monthly, or quarterly.
All Pacific Storage Company employees are required to undergo a background check
prior to hiring. Information required in background checks includes: previous
employment, criminal search, civil search, education, DMV report, and drug test.
Locations:
Our 4 locations in the Central Valley can assist you if you need services in
multiple cities:
Stockton: Sacramento:
734 Wilshire Ave. 4601 Beloit Dr.
Stockton, CA 95203 Sacramento, CA 95838
Modesto: Fresno:
820 Business Park Dr. 5661 N. Golden State Blvd.
Modesto, CA 95354 Fresno, CA 93722
Containers:
We offer a number of secure containers for your use. In addition to the ones below,
we have others for a more custom application. The executive console looks much
nicer in an office environment, or in smaller locations. The tote is best used for larger
quantities.
Executive Console: Secure Tote:
100 # Capacity Locking Shred Cabinets 200# Capacity Locking Tote
36” H x 21.5” W x 16” D 41.5” H x 23 ” W x 29” D
As a NAID AAA certified company, you can be
assured that Pacific is well trained in the handling
and processing of your critical data.
The following are some of the security
specifications that NAID Auditors verify:
•Persons with a known history of related –
crimes are not employed,
•Security and operations policies and
procedures are written and followed,
•Access to materials is restricted at all
times,
•There is an audit trail, including CCTV
image capture and retention, and a
thorough, documented chain of custody.
This short video explains the value of NAID Certification in establishing the ongoing
compliance and security of data destruction companies. It also explains how, by
selecting a NAID AAA Certified company, customers are actually fulfilling important
regulatory requirements to validate the policies and procedures of their data
destruction company contain specific language and provisions.
http://pacific-records.com/shred-services/naid-aaa-certification
Recycling:
After the confidential material is shredded, the material is then recycled. This adds
another level of security and assurance that the confidential material will not get into
the wrong hands. It also provides an economic savings to our environment by saving
precious natural resources.
We support the continued efforts to recycle. It is part of our way of protecting our
environment and providing a better quality of life.
Why Pacific?
Pacific Records Management is a family-owned business with a 150-year history of
building strong and deep relationships with businesses throughout Sacramento,
Stockton, and the California Central valley. We believe in the importance of
understanding each client’s unique business needs. This enables us to deliver
dependable service and personalized support for each client.
As a long-time member of the records management community, we also understand
the magnitude of protecting and managing information assets. Our expertise is
supported by superior facilities, leading-edge technology and security systems
necessary for providing our clients with regulatory compliance, enhanced information
security and improved business processes.
Focus on Security:
a)Sonitrol (www.sonitrol.com) monitors all entry points. The ability to verify an alarm
event in real time gives Sonitrol unrivaled credibility with local law enforcement. This
is a key advantage as a growing number of municipalities pass Verified Response
regulations requiring verification that an intrusion is actually taking place before
police will dispatch personnel to the site.
b)Extensive background checks on all employees prior to hiring. We also conduct
regular re-checks as part of our regular SOP’s.
c)Access controls on all doors—ensuring no unauthorized entry at any anytime.
d)Digital cameras recording all activity and archived
for 180 days.
e)Employees trained on HIPAA, PCI Compliance,
FACTA and data protection.
f)Detailed Disaster Recovery Plan that is reviewed
and monitored.
Focus on Technology:
a)Web-based ordering system offering the ability to email a receipt of the order
placement, an electronic receipt of all containers picked up and delivered, ability to
view inventory online and ability to manage expedites and run reports.
b)Strict internal SOP’s regarding handling of containers and files, including receipt at
facility, inventory management within our operation and internal audits.
c)GPS tracking on all vehicles with exception monitoring.
d)Propriety software (Oneil Software—www.oneilsoft.com) supported by
the largest provider of records management software in the country.
e)Internal database managed by independent third-party company, with
redundant backups in different locations; also, in the event of a disaster,
the ability to restore service from a number of remote locations.
f)Cell-phone coverage by all employees with after-hour access if needed or
required.
Focus on Personal Approach:
a)Dedicated professional staff that is established and well trained.
b)Standard Next Day delivery supported by a guaranteed
commitment on our part.
c)We also offer a Same Day delivery option or Expedited Service
that ensures delivery within two hours from the time the order is
placed.
d)Availability of additional resources from other offices if needed.
No need to utilize outside resources like third-party couriers.
e)Seasoned employee base (over 65 employees) with established
company SOP’s.
f)Over 40 years’ experience managing over 1,400,000 containers and 1,300 customers.
g)Well respected within the legal community. We are currently the largest provider of
services to the legal community in Sacramento, Stockton and Modesto.
h)Active member of the National Fire Protection Association (NFPA); currently we
represent our industry association on the Records Management national committee.
i)Active in industry associations including PRISM (Professional Records Information
Services Management), NAID (National Association of Information Destruction),
NRC (National Records Centers) and AIIM (Association for Information and Image
Management).
Bidder Questionnaire (Bidder to Complete):
2) Describe Facility: At Pacific Shredding, our storage facilities are designed to support and
protect your information, records and data at the highest possible level. Each of our facilities
employ industry leading security and protection technology including fire, intrusion and other
related programs to support the long-term stability of your records or data assets. They meet all
requirements as set forth by the National Fire Protection Agency (NFPA) and the State of
California Department of Public Health (CDPH).
Our fire-suppression system is monitored 24 hours a day, 7 days a week, and 365 days a year.
Our intrusion protection system is provided by Sonitrol at each facility and monitored via central
station. Back up security measures are in place for our fire and intrusion system in case of power
loss. Both our fire and intrusion protection systems are continuously tested and reviewed. Each
facility is inspected as required by the NFPA Standard by a licensed fire protection company and
copies of recent inspections are available for review. Only authorized personnel are allowed in
our facility; any visitors or contractors are always personally escorted. Access to any of our
buildings is digitally recorded via cameras that are in place at all access points. Motion is
recorded and archived in our secure data vault.
Our Fresno location is at 5661 North Golden State Blvd, Fresno, CA 93722. It is a 30,000
square foot concrete facility.
3: See attached SOP’s
4: Describe how an infringement of any of the security procedures by your personnel is handle.
Our first approach will be to investigate and determine if there was any breach of security. We
work closely with the local authorities and security monitoring company to determine the
breadth and depth.
We also work closely with our professional liability insurance company that has a legal team on
retainer to assist with notification laws and requirements.
Management will report, following discovery and without unreasonable delay, to the customer
any release of, or unauthorized access to the customer’s confidential material that poses a threat
to the security or confidentiality of that information. Any such report shall include the
identification (if known) of each individual whose confidential information has been, or is
reasonably believed to have been, accessed, acquired, or disclosed during such breach.
All destruction personnel and drivers will report, following discovery and without unreasonable
delay, to management any release of, or unauthorized access to the customer’s confidential
material that poses a threat to the security or confidentiality of that information. Any such report
shall include the identification (if known) of everyone suspected of causing the breach, as well as
each individual whose confidential information has been, or is reasonably believed to have been,
accessed, acquired, or disclosed during such breach.
Any such report shall be kept confidential and management will not retaliate against any
employee who has reported, in good faith, a potential or actual data breach.
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Information Destruction
Operational Policy & Procedures Manual
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TABLE OF CONTENTS
1 Plant-based Destruction Facility Procedures
1.1 Access to Facility
1.2 Security Measures at the Facility
1.3 Handling Incidents of Unauthorized Access
1.4 Reporting Breaches in Security & Safety
1.5 The “Nothing Leaves” Policy
1.6 Daily Facility Preparations/Inspections
1.7 Receiving Destruction Materials
1.8 Staging Destruction Materials
1.9 Destroying of Materials
1.10 Witnessed Destruction Process
1.11 Post Destruction Process
1.12 Closing Procedures
1.13 Collection Facility Procedures
1.14 Transfer Processing Station Procedures
2 Driver Procedures
2.1 Access to Vehicles
2.2 Security and Safety Measures for Vehicle Usage
2.3 No Unauthorized Access to Truck
2.4 Driver Demeanor
2.5 Vehicle Preparation
2.6 Driver Authority
2.7 Enroute
2.8 While at Client’s Facility
2.9 Collecting, Receiving & Destroying Confidential Materials for Mobile
Destruction
2.10 Collecting and Receiving Confidential Materials for Plant-based Destruction
2.11 Reporting Damage to a Client’s Facility
2.12 Ending the Destruction Assignment
3 Quality Control
3.1 Frequency of QC
3.2 Method of QC
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3.3 Corrective Actions
4 Data Breach Notifications
4.1 Management Notification to Customer
4.2 Employee Notification to Management
5 Unannounced Audit Policies
5.1 Unannounced Audits at the Office or Destruction Facility
5.2 Unannounced Audits in the Field or at a Customer’s Site
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1 PLANT-BASED DESTRUCTION FACILITY PROCEDURES
1.1 Access to Facility
This company desires to keep a secure environment for all employees with the following
rules and regulations:
Only Management and designated employee representatives will be allowed to
have keys to the facility.
Employees are not allowed on the company’s property after hours without prior
authorization from Management.
1.2 Security Measures at the Facility
In addition to the access limitations, the company utilizes the following security
measures:
Perimeter doors to the company should be secured at all times. Visitors and
employees that do not have the security lock combination will be advised by
signage to alert the occupants of their presence by pushing a doorbell.
The use of cameras at the company in areas where confidential materials are
located is prohibited without prior authorization from Management. This includes
mobile phone cameras.
Employees are forbidden from possessing firearms on the premises of the
company. Any employee found violating this policy will be dismissed.
The outside lights are to be automatically set to be on from dusk to dawn, and
inside security lights are to be left on whenever the facility is unattended. It is the
responsibility of the Shift Supervisor to control the lighting and to see that all the
lights are in working order.
The fire and burglary alarm shall be activated whenever the facility is left
unattended. The contact individual at the company, when an alarm is activated, is
a Management/Access individual.
The company has installed closed circuit internal video security to monitor the
ingress and egress from the secured areas of the building. In addition, recorded
closed circuit video monitoring with sufficient clarity to identify people and their
activity is used at the company in the secured area of the building during the
working hours. All monitoring data or tapes will be saved for a minimum of 90
days.
The company has ensured that there is a secure area within the building devoted
only to destroying media. No baling of unshredded paper may take place in this
area except cardboard. OR If a secured area within the building is required, it
meets the following specifications:
There must be enough space within this area to stage all materials to be
destroyed.
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The wall or fence securing this area must be a minimum of six feet tall
and have a lockable gate or door.
If the wall or fence does not go all the way to the ceiling, then it must
have a ceiling mounted sensor alarm inside and over the perimeter of the
secure destruction area (or similar, suitable device) to detect if and when
individuals have climbed over or come through a section of the secured
area fence/wall.
Management will complete an Operational Security Maintenance Log to check,
record and maintain the facility’s operational security functions, Alarms, Lighting
and Visitor Logs on a monthly basis. The CCTV system log will be be completed
on a weekly basis. The company will maintain the Operational Security
Maintenance Logs for a minimum of one year.
1.3 Handling Incidents of Unauthorized Access
Every employee at the company should be on guard for unauthorized access to the
facility. Any employee noticing a visitor who is not being escorted by an appropriate
agent of the company should immediately contact Management. The unauthorized visitor
should then be escorted to the main reception area to have them sign in and be properly
escorted in the facility. At the slightest resistance to cooperation, notify the police
immediately. Do not physically restrain the individual in any case. If they leave in a
vehicle and the license of that vehicle is discernible, it should be noted for further
investigation.
1.4 Reporting Breaches in Security & Safety
All employees at the company are to notify the Management of any breach in the security
or safety policies of the company, regardless of its source. Any employee found to have
knowledge of a breach in safety or security as stated in the company’s policy manual that
does not report it may be dismissed. This would also include reading confidential
material entrusted to the company.
1.5 The “Nothing Leaves” Policy
As a security measure, employees at the company may take nothing into or out of the
destruction area without the permission of Management. As a rule, these materials
should be left in the employee’s locker. Any employee found taking materials into or out
of the destruction area without the knowledge and permission of Management may be
terminated without any previous disciplinary action having been taken.
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1.6 Daily Facility Preparations/Inspections
The daily operations of the company are the backbone of our success. The following
operations procedures are in place at the company to ensure that our success continues:
Management will complete a visual inspection of the facility at the beginning and
end of each shift.
Management will look for breaches in security, make sure that the floor is
completely clean of paper debris and that all conveyors, balers, shredders and
other equipment are in proper working order. In the event of any equipment not
being operational, Management will be responsible for arranging all necessary
repairs as warranted.
Management will inspect all collection containers used by the company to
transport between client, vehicles and facility to make sure the equipment protects
confidential materials from loss due to wind or other atmospheric conditions.
Management is responsible for making sure that all Drivers and Helpers are
within the dress code policy and that Identification Badges are utilized.
Management will inspect the forklifts, checking battery and/or fluid levels. All
electrically operated forklifts should be charged during the night, as well as the
propane supply for fueled units.
Management will inspect the company’s vehicles to ensure roadworthiness and
verify that all proper paperwork for the vehicle’s most recent inspection comply
with the time frames stated in the applicable state law regarding the nature and
frequency of inspections.
Management will inspect the company’s vehicles to verify that all cab doors and
truck boxes are lockable and that locks work properly.
Management will assist the Drivers in their preparations for the day. Management
can use any or all employees to expedite the departure of the Drivers on a timely
basis.
1.7 Receiving Destruction Materials
The company’s business is media destruction. The following standards are in place to
ensure that the company’s facility and employee’s provide secured destruction for their
clients at all times.
All materials to be destroyed are always attended by an Access employee or
physically secured from unauthorized access while in the custody of the company
before they are destroyed. Securing the company’s vehicle cabs and boxes during
transport is also required.
Management controls the receipt, inspection, weighing, and staging of all
materials delivered to the destruction facility.
All materials are to be weighed/checked in immediately upon delivery to the
destruction facility. The material will be unloaded from the truck and separated
by client. The containers will be weighed/received and that weight will be
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submitted to Management. Management will confirm the weight and transfer it
onto the client’s Receiving Ticket. The receiving ticket should be completed
upon receipt of the materials, documenting the name of the client, date, weight of
the material, and the driver. Management should also note if the materials are to
be staged for other than the standard destruction process or to be destroyed with
no sorting. In the event that materials are delivered to the destruction facility
during non-operational hours, Management should weigh the materials as soon as
possible. Materials should be clearly labeled by the Driver who left them. The
associated receiving ticket should be left in the designated location.
All materials from routine, regular service will enter the destruction process
immediately upon arrival at the destruction facility. Incoming service bins will be
emptied and rotated among those regularly serviced customers. Exceptions would
include acts of God, breakdowns, or client instructions to retain the media for a
longer period. The Access employees that are responsible for sorting incoming
materials will stage materials in the designated area by the order in which they
arrived at the facility.
At time of media pick-up, customer must be provided with a receipt or certificate
of destruction indicating type and quantity of media being collected and the
destruction services being provided for the media/materials collected. This must
include the type of service operations (Mobile or Plant-based) and destruction
(paper shredding, micro media or computer hard drive) being provided to the
customer.
Since customers of NAID Certified companies assume that all services provided
to them are Certified, the Company must have written notification to the customer
when any destruction services rendered are not NAID Certified. This notification
should be contained on a materials receipt, certificate of destruction or another
written agreement between the service provider and customer.
1.8 Staging Destruction Materials
After materials have been received at the company, proper care should be taken by
Access employees in preparing for the physical destruction of the materials. The
following steps should be utilized.
Sorting is to be performed according to the material type designations posted at
the sorting station(s). When the materials have been completely sorted, they
should be moved to the designated secure holding area.
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Non-information bearing material (unmarked binders, plastic file inserts, among
other things) should be placed into the designated bin for storage until
Management approves their disposal. If confidential materials are found in the
non-information bearing trash, they should be immediately removed and placed in
the proper pre-destruction area.
1.9 Destroying of Materials
Efficiency and care should be used once materials are ready for destruction at the
company. All destruction of confidential materials received at the company will take
place within 3 business days of receipt. Exceptions to this would have to be made
between Management and the client through a written agreement. Guidelines for proper
destruction of each specific material are as followed:
Paper materials should be destroyed by shredding and baled by grade if possible.
The specifications for particle sizes should be no larger than those listed below:
Continuous Shred: 5/8 inch Width (max) & Indefinite Length
Cross Cut or Pierce & Tear: 3/4 inch Width (max) & 2.5 inches Length
(max)
Pulverized (Equipment w/ Screens): 2 inch diameter (max) Screen holes
If adjustable screens are used, Management will be responsible for
ensuring that a Screen Changing Log is kept on or near each machine.
The log will record the starting point of the log and the pertinent
information regarding any screen changes thereafter. The company will
maintain the Screen Changing Logs for a minimum of one year.
Microfiche or Microfilm can be destroyed by either a disintegrator or by
equipment/process which produces a particle size of 1/8 inch maximum
dimension or less. Destroyed materials should be properly discarded.
Computer Hard Drives or CPUs will be recorded by serial numbers and then
physically destroyed according to the separate written method provided by
management.
Management will decide the appropriate method to use to destroy atypical media
or non-media materials that require destruction.
On a _____________ basis, Management will inspect the destroyed materials
prior to disposal, to ensure that the destroyed information is within the original
equipment manufacture specifications and within certification specifications.
1.10 Witnessed Destruction Process
Occasionally a client will need to witness the destruction of materials at the company.
Management has the authority to agree to an appointment for witnessed destruction. The
company will do its utmost to accommodate the client’s needs in scheduling the
appointment. Management is responsible for handling all witnessed destruction projects.
Materials will be delivered to the facility either by a Driver or by the client. If delivered
by the Driver, the materials should be securely stored until the client’s representative
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arrives. The witness must sign the visitor’s log and be escorted by an Access employee
to the Witnessing Area to watch the destruction process. The process should be
conducted as close to the time of the client’s arrival as possible.
1.11 Post Destruction Process
Once materials have been properly destroyed, Management will review that all
procedures have been followed and that the job has been completed. Management will
use the following procedures:
Management will record the date the materials are destroyed, whether in a batch
or singularly, on the receiving ticket.
Management will inspect containers, boxes or security receptacles to verify they
are free of the materials to be destroyed. If confidential materials are found,
Management will remove the materials and immediately destroy them.
Receptacles or boxes to be returned to clients will be returned on the next
scheduled pick-up. The emptied and inspected boxes that are not to be returned to
the client will be processed into bales. Security containers owned by the company
that are used by the clients will be rotated through a service plan agreed upon by
the client and the company. Any unused security receptacles will be stored in the
holding area.
Management will instruct individuals to stack the bales of destroyed media in
rows designated by grade and in rows in the inventory storage area. No weak or
mushy bales should be stacked. Weak or mushy bales must be reprocessed.
Management will weigh bales and record the weight on appropriate documents
before they are shipped to a disposal agent. The company’s policy is to have
destroyed materials be disposed of in a responsible manner which does not
include any type of reuse (for purposes such as animal bedding or packing
materials.)
Management will oversee all bales and upon achieving threshold inventory levels,
will determine the destination of all baled materials and schedule all shipments.
Management will record the tallied total weight of the shipment on the Bill of
Lading. Management will be responsible for completing the Bill of Lading
compiled from the shipping information and the tallied bale weights.
1.12 Closing Procedures
The destruction process is not complete at the company until these final steps have been
done.
At the end of a shift, an Access employee/individual(s) should sweep the entire
exposed floor and pass the sweepings through the destruction process.
Management will check waste receptacles and areas directly outside of the
information destruction building/area to see that no unshredded, confidential
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information has been deposited in waste receptacles or that no loose information-
bearing materials are scattered around or near the destruction building.
Management is responsible for relieving employees of duty at the end of each
shift. At this time, employee identification badges should be returned and any
company-related items.
Once all employees have been relieved from a shift, Management is responsible
for touring the facility and completing a visual security check.
Management will ensure that all processed receiving tickets are placed in the
appropriate holding box located in the business office.
1.13 Collection Facility Procedures
This destruction facility utilizes an offsite Collection Facility at (Address) to collect and
store customer material awaiting transport to the destruction facility. Following are
procedures and policies related to the use of this Collection Facility:
The Collection Facility is used only to store material in preparation for transfer to
the destruction facility; no destruction is to take place at the collection facility.
Bins are to remain closed and locked until transferred to the destruction facility.
The bins will not be tipped, and material is not to be processed in anyway.
Bins/material intended for destruction will be transferred via secure transport to
the destruction facility within 3 business days of arriving at the Collection facility.
If material cannot be transferred within this timeframe, the customer will be
notified in writing of the actual timeframe.
Building security requirements:
o Only screened access employees may enter the secure storage area.
o All visitors must sign the visitor log, and logs will be kept for 12 months.
o I.D. Badges are to be worn by employees and visitors at all times.
o Building perimeter is protected by a third party monitored alarm system,
which is to be armed at all times during which the building is unattended.
Media is to be brought to the designated secure storage area immediately upon
arriving at the Collection Facility. Other material, which is not intended for
eventual destruction, is never to be staged or processed in this designated area.
1.14 Transfer Processing Station Procedures
This destruction facility utilizes an offsite Transfer Processing Station at (Address) to
collect, process and store customer material awaiting transport to the destruction facility.
Following are procedures and policies related to the use of the Transfer Processing
Station:
The Transfer Processing Station is used only to store and/or process material in
preparation for transfer to the destruction facility, no destruction is to take place at
the Transfer Processing Station.
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Material intended for destruction will be transferred via secure transport to the
destruction facility within 15 business days of arriving at the Transfer Processing
Station. If material cannot be transferred within this timeframe, the customer will
be notified in writing of the actual timeframe.
Building security requirements:
o Only screened access employees may enter the secure storage/processing
area.
o All visitors must sign the visitor log, and logs will be kept for 12 months.
o I.D. Badges are to be worn by employees and visitors at all times.
o Building perimeter is protected by a third party monitored alarm system,
which is to be armed at all times during which the building is unattended.
o A closed circuit camera system (CCTV) is maintained with 90 days of
recording, monitoring all ingress/egress points into the secure
building/area and processing activity with sufficient clarity to identify
people and their activities.
Media is to be brought to the designated secure storage area immediately upon
arriving at the Transfer Processing Station. Other material, which is not intended
for eventual destruction, is never to be staged or processed in this designated area.
2 DRIVER PROCEDURES
2.1 Access to Vehicles
The company wants to ensure that the utmost security precautions are taken by all
employees. The company’s access rules and regulations are as follows for those
employees whose job duties involve driving:
Only Management and designated employee Drivers will be allowed to have keys
to vehicles.
Two sets of keys will be issued to each driver.
Employees are not allowed to utilize the company’s vehicles for personal use
without prior authorization from Management.
Drivers are to follow the management-designated routes in providing services.
2.2 Security and Safety Measures for Vehicle Usage
In addition to the access limitations, the company utilizes the following security and
safety measures for all drivers:
Driver’s Manual will be kept in every vehicle for reference purposes.
Each driver has been provided with a readily accessible two-way communication
device. The device should be kept on at all times unless it is prohibited while
inside a customer’s facility.
All doors to the vehicles should be locked unless in use and attended.
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All drivers should exercise extreme caution in all phases of vehicle operation. At
no time should any employee put themselves or others at risk for accessing a
loading area or loading materials.
The use of cameras in or around vehicles where confidential materials are located
is prohibited without prior authorization from Management.
Employees are forbidden from possessing firearms while using the company’s
vehicles. Any employee found violating this policy may be dismissed.
2.3 No Unauthorized Access to Truck
Under no circumstances are there to be any unauthorized persons permitted to have
access to the cab, body, box, payload or tail-lift of the truck. Similarly, no unauthorized
person shall be transported as a passenger in the truck at any time. Only Management
can authorize access to the truck or permission to provide transportation to any Non
Access employee or visitor.
2.4 Driver Demeanor
The company’s drive to provide professional and prompt service requires that all
company employees, particularly drivers, be polite and conduct themselves without
excessive interaction with the client’s personnel. The goal is to provide superior service
with a minimum of distraction to their production.
2.5 Vehicle Preparation
Prior to driving to a client’s location, all drivers must ensure that they are properly
prepared for travel. Drivers must do the following prior to departure:
Drivers must be certain that all vehicle paperwork required by the state is in the
vehicle and up-to-date. This also includes any driver’s license required.
Drivers must make sure the truck is loaded with any security containers, carts, or
pallets that are required to execute the assigned work orders.
The driver should have a Receiving Ticket for each customer. The driver is also
responsible to make sure there is a sufficient supply of the company’s business
cards in the truck.
Drivers must make certain that the truck has adequate fuel to complete the route.
There is no excuse for running out of fuel. Such incidents will be noted and
considered in employee evaluations.
If a vehicle is in need of repair, the driver should complete a Maintenance
Request form and notify Management.
2.6 Driver Authority
Unless it is stipulated otherwise, while completing assignments the driver is the
company’s sanctioned authority and is responsible for instructing any other assistants in
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order to execute their assignments and duties safely, securely and as efficiently as
possible. The driver is the lead representative and in charge of all client communications
and interactions, unless a higher company authority is present.
In the event that a destruction facility is unattended when a driver arrives or departs, the
driver will be responsible for its security. The driver should relock any doors and set the
alarm before they leave the building unattended. If no security procedures have been
established with the client prior to arrival, the driver must either contact the client or the
company’s management to determine how to handle the situation.
2.7 Enroute
The success of the company’s business is dependent upon the knowledge and reliability
of its drivers while completing an assignment. Drivers should familiarize themselves
with all aspects of the company’s business and the expectations of their drivers.
Specifically, drivers should ensure that the following are adhered to while traveling to or
from an assignment:
Follow scheduled and designated routes to, from and between clients.
It is driver’s responsibility to inform Management of all developments that affect
the timeliness and efficiency of executing the route. Drivers are required to notify
the Management in advance of any period of time that they will be unable to be
reached via the company-issued two-way communications device.
The driver should always make sure that any confidential materials on the vehicle
are secure at all times.
In the event of a breakdown, the driver should immediately contact Management
of the company and inform them of the situation. The driver or a representative
of the company should then contact any client(s) that will be affected by the
delay. Arrangements to service the vehicle should then be made. The driver
should stay with the truck until help arrives. The driver should never leave a
disabled truck unattended for any reason other than their safety or the safety of
others. The driver should keep Management informed of the estimated time
required for repairs.
In the event of a collision or other accident, the driver should contact any
emergency authority required first. If able, the driver should then notify
Management or a representative of the company of the situation and if the vehicle
will be operational. The driver or a representative of the company should then
contact any client(s) that will be affected by the delay. The driver should also
make sure the materials in the truck are secure. If they are not secure, the driver
and any assistants should do their best to secure them. Management may need to
dispatch help if required to secure the materials. Except for the police, the driver
and any assistants should not engage in a dialogue with anyone regarding the
accident, unless otherwise directed by Management.
If a driver arrives at a loading area that is occupied, the driver should assess how
long the delay will be. If it will be a long delay (more than 15 minutes) or if the
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length of the delay is indeterminable, the driver should locate an alternate loading
area. If no alternative is available, the driver should notify the client to make
alternative arrangements.
2.8 While at Client’s Facility
Upon arrival at the client’s facility, all drivers and any assistants of the company should
remember to be professional and courteous at all times. The following guidelines should
also be used:
There may be instances where a client makes a request outside of the scope of the
assignment that will need to be dealt with immediately. If the request is
reasonable and does not seriously delay the route, then the driver should comply
with the request and notify Management of the company later. (Management will
inform the client of the problem with such requests later or assess a charge for the
extra service.) If a client makes a request that is unreasonable, delays the route,
compromises security, or is otherwise inappropriate, the driver should notify
Management of the company immediately. Once apprised, Management will
advise the driver regarding how to proceed.
While at the client’s facility, if a vehicle is required to be left unattended, the cab
and box should be locked. No materials in the company’s custody should be left
unattended ever.
If destruction of confidential material is not performed at the client’s facility, then
the driver should secure all containers before moving them. No person, not even
an employee of the client, is allowed to examine or retrieve materials taken into
the company’s possession. If a situation requires that a client look through the
materials or retrieve something from them, then the driver should contact
Management first to get approval.
If a customer expresses a complaint about a driver or the company, the driver
should offer to convey their dissatisfaction or give them the company’s business
card.
2.9 Collecting, Receiving and Destroying Confidential
Materials for On-site, Mobile Destruction
The company adheres to the following general policies in the collection, receipt and
destruction of materials for on-site, mobile destruction:
All materials taken into the company’s custody are to be destroyed before
proceeding to the next client, unless otherwise prearranged.
All materials to be destroyed are always attended by an Access
employee/individual or physically secured from unauthorized access while in the
custody of the company before they are destroyed. Securing the company’s
vehicle cabs and boxes during transport is also required.
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If vehicle is left running and unattended while collecting media at the client site,
driver should use duplicate keys to lock the vehicle cab and box.
At time of media pick-up, customer must be provided with a receipt or certificate
of destruction.
The driver should use the following steps in receiving/collecting and transporting
confidential materials for destruction:
At time of media pick-up, customer must be provided with a receipt indicating
type and quantity of media (paper, micro media, computer hard drives, etc.) being
collected and that mobile destruction services are being provided for the
media/materials collected and whether or not such services are NAID Certified.
Management will instruct driver as to proper recording of this information on the
receipt.
The driver should complete the Receiving Ticket, have it signed by the client’s
representative, and leave the receipt with the client. The driver must return the
work order to Management.
The company’s destruction process procedures are as follows:
Paper materials should be destroyed by shredding and baled by grade if possible.
The specifications for particle sizes should be no larger than those listed below:
Continuous Shred: 5/8 inch Width (max) & Indefinite Length
Cross Cut or Pierce & Tear: 3/4 inch Width (max) & 2.5 inches Length
(max)
Pulverized (Equipment w/ Screens): 2-inch diameter Screen Size holes
(max)
If adjustable screens are used, Management will be responsible for
ensuring that a Screen Changing Log be kept on the truck denoting the
starting point of the log and the pertinent information regarding any
screen changes. The company will maintain the Screen Changing Logs
for a minimum of one year.
Microfiche or Microfilm can be destroyed by either a disintegrator or by
equipment/process which produces a particle size of 1/8 inch maximum
dimension or less. Destroyed materials should be properly discarded.
Computer Hard Drives or CPUs will be recorded by serial numbers and then
physically destroyed according to the separate written method provided by
management.
Management will decide the appropriate method to use to destroy atypical media
or non-media materials that require destruction.
On a (daily/weekly/monthly) basis, Management will inspect the destroyed
materials prior to disposal, to ensure that the destroyed information is within the
original equipment manufacture specifications and within certification
specifications.
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Paperwork verifying destruction should be returned and signed by an authorized
agent of the client, preferably the person that witnessed the destruction process.
Prior to leaving a client’s facility, the driver should ensure that no confidential
materials or trash are left on the ground where the loading or destruction took
place.
When leaving equipment at a client’s facility, the driver should make sure it is in
reasonable condition considering the environment in which it is located.
Containers that are to be left in an office area require a much better appearance
than those to be left in a warehouse. The driver should never leave equipment
that does not function properly.
2.10 Collecting and Receiving Confidential Materials for
Plant-based Destruction
All materials to be destroyed are always attended by an Access
employee/individual or physically secured from unauthorized access while in the
custody of the company before they are destroyed. Securing the company’s
vehicle cabs and boxes during transport is also required.
At time of media pick-up, customer must be provided with a receipt indicating
type (paper, micro media, computer hard drives, etc.) and quantity of media being
collected and that Plant-based destruction services are being provided and
whether or not such services are NAID Certified. Management will instruct
driver as to proper recording of this information on the receipt.
2.11 Reporting Damage to a Client’s Facility
The company takes pride in providing quick and honest employees. In the event that any
accidental damages occur during an assignment, the driver must notify the client
immediately about any damages to their property. The client should be assured that the
company takes responsibility for actions that caused the damages and will pay for
any damages resulting from those actions. The driver or assistant should notify
Management at the company of such an occurrence as soon as possible. Management
will be responsible for inspecting the damage and reconciling the issue with the client.
2.12 Ending the Destruction Assignment
Upon completion of an assignment, the driver and any assistants will unload all materials
at the designated secure location. Each client’s material should be individually staged
and weighed. The driver will inspect and accept the materials, as they are unloaded from
the truck. The driver will turn the Receiving Ticket over to Management upon
verification that all materials have been removed from the vehicle.
Management is responsible for materials once they are unloaded at the designated secure
location. Management will weigh bales and record the weight on appropriate documents
before they are shipped to a disposal agent. The driver and any assistants will return their
ID Badge to Management or the designated location in the office upon completion of the
shift.
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3 QUALITY CONTROL
3.1 Frequency of QC
On a (daily/weekly/monthly) basis, Management will inspect the destroyed materials
prior to disposal, to ensure that the destroyed information is within the original equipment
manufacture specifications and within certification specifications.
3.2 Method of QC
Daily/Weekly/Monthly Log will include the following:
Date
Name/Initials of individual performing he check
Items checked:
o Particle size (paper and micro media shredders). Is the equipment
performing according to OEM and Certification specifications?
o Quality of physical hard drive destruction. Are the internal discs destroyed
in a manner that prevents them from being put back on the hard drive
mechanism to spin?
o Paperwork control
Weekly/monthly logs
Visitor logs
Recordation of serial numbers
o Length of time unshredded material is held.
Corrective Actions, if any
3.3 Corrective Actions
o If the particle size is too large and/or the equipment is
underperforming.
Perform maintenance of the blades and/or other components,
as recommended by the OEM
o If material has been staged for more than 72 hours, or for a longer
period of time than previously agreed upon with the customer.
Notify the customer in writing (email is acceptable) of the
actual/revised timeframe
If the reason for the delay is due to employee error or
oversight, retrain employees and document the training.
o If visitor, Operational Security Maintenance and/or Serial Number
logs are not being filled out in accordance with NAID Certification
standards.
Retrain employees on proper Certification procedures.
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Document the training, including a roster of the employees
who were trained.
o If a sanitized drive is found to have data on it
The entire batch/lot is checked for recoverable data and/or
The entire batch/lot is sanitized again
4 DATA BREACH NOTIFICATIONS
4.1 Management Notification to Customer
Management will report, following discovery and without unreasonable delay, to the customer
any release of, or unauthorized access to the customer’s confidential material that poses a threat
to the security or confidentiality of that information. Any such report shall include the
identification (if known) of each individual whose confidential information has been, or is
reasonably believed to have been, accessed, acquired, or disclosed during such breach.
4.2 Employee Notification to Management
All destruction personnel and drivers will report, following discovery and without unreasonable
delay, to management any release of, or unauthorized access to the customer’s confidential
material that poses a threat to the security or confidentiality of that information. Any such report
shall include the identification (if known) of each individual suspected of causing the breach, as
well as each individual whose confidential information has been, or is reasonably believed to
have been, accessed, acquired, or disclosed during such breach.
Any such report shall be kept confidential and management will not retaliate against any
employee who has reported, in good faith, a potential or actual data breach.
5 UNANNOUNCED AUDIT POLICIES
As part of our NAID Certification, we are subject to an unannounced audit at any time.
The auditor has the authority to challenge our security and to review any item that would
be reviewed during a scheduled audit to ensure that our practices are consistent with
Certification standards.
5.1 Unannounced Audits at the Office or Destruction Facility
The following procedures must be followed in the event that a NAID Auditor arrives at
the office or destruction facility to conduct an unannounced audit:
Ask to see the Auditor’s identification. All NAID Auditors have a photo ID
Badge issued by NAID.
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Verify that the Auditor has an Auditor Assignment and Confidentiality
agreement, which has been signed and dated by a NAID official.
Call the NAID office if there is any reason to doubt the legitimacy of the audit.
Ask the Auditor to sign the visitor log and provide the Auditor with a visitor
badge.
Contact Dallin Woodruff to accompany the auditor during the audit. If Dallin
Woodruff is not available, contact Richard Steed.
Dallin Woodruff or Richard Steed will escort the Auditor throughout the audit
process and will allow access to all requested areas and documentation, if such
request is not a hardship and does not unreasonably disrupt daily operations.
Only if Dallin Woodruff or Richard Steed is unavailable, any employee may
assist and accompany the Auditor during the audit, provided that they are cleared
for access to confidential customer material.
Sign the Auditor’s report if asked. Your signature acknowledges that the audit
took place; it does NOT indicate your agreement with the report.
5.2 Unannounced Audits in the Field or at the Customer’s Site
The following procedures must be followed in the event that a NAID Auditor arrives at a
location where a driver or driver’s assistant is picking up customer material for onsite
destruction or transportation back to the destruction facility:
Ask to see the Auditor’s identification. All NAID Auditors have a photo ID
Badge issued by NAID.
Verify that the Auditor has an Auditor Assignment and Confidentiality
agreement, which has been signed and dated by a NAID official.
Call the NAID office if there is any reason to doubt the legitimacy of the audit.
Contact Dallin Woodruff to report the audit. If Dallin Woodruff is not available,
contact Richard Steed.
Sign the Auditor’s report if asked. Your signature acknowledges that the audit
took place; it does NOT indicate your agreement with the report.
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I, __________________________________, have received and read a copy of the Operational
Policies and Procedures Manual of (Company Name), which outlines the goals, policies and
expectations of (Company Name), as well as my responsibilities as an employee.
I have familiarized myself with the contents of these written policies and procedures. By my
signature below, I acknowledge, understand, accept and agree to comply with the information
contained herein. I understand the Operational Policies and Procedures Manual is not intended
to cover every situation that may arise during my employment, but is simply a general guide to
the goals, policies, practices and expectations of (Company Name).
I understand that this is not a contract of employment and should not be deemed as such.
_____________________________________
(Employee Name - Printed)
_____________________________________ ___________
(Employee Signature) (Date)
_____________________________________
(Manager Name - Printed)
_____________________________________ ___________
(Manager signature) (Date)
___________________
(Date of update)
National Association for
Information Destruction, Inc.
NAID® Multi-Location Certification
3-24 Branches (U.S. and Canada)
2018
World Headquarters
3030 N. 3rd St., Suite 940, Phoenix, AZ 85012
Phone: (602) 788-6243 & Fax: (480) 658-2088
E-mail: certification@naidonline.org
®
Page 3 of 3 MultiLocCertOVERVIEW (3-24)
NAID® MULTI-LOCATION CERTIFICATION
(FOR COMPANIES WITH 3-24 BRANCHES)
PROGRAM OVERVIEW
Qualifications for Program
In order to qualify for the program, an applicant (the “Company” or the “Applicant”) must have at least three
(3)corporately-owned destruction Branches (or at least three (3) destruction Franchisees with uniform
and corporately managed operating procedures) and the Applicant must be committed to achieving 100%
compliance with the NAID Certification specifications at all information destruction-related locations and
agreeing that all such facilities will be subject to the scrutiny of audits on a country-specific basis.
Fees
Branches will be audited at the standard Certification fee as listed on Page 1 of the Multi-location
Headquarters Application for companies with 3-24 branches.
Where an Applicant’s records are maintained in a centralized manner, there will be an additional annual
Headquarters Audit for an additional fee.
Fees are to be paid at the time of the application submission.
Initial Application and Audit Process (first 12 months or less)
A Headquarters Audit (if necessary) and audits of all of the Applicant’s Branches are required for each
location wanting to become certified. If participating in the Multi-Location Program 100% of all locations
must be NAID Certified. Each Transfer Processing Station will be audited in conjunction with the
destruction facility to which it is linked. Linking does not require that all shipments from such Transfer
Processing Station must go to the linked destruction facility.
NAID will notify the Company in writing when it has achieved NAID Certified Company status. The
Applicant may not make any reference regarding an enterprise-wide NAID Certification until they are in
receipt of the official notice from NAID.
Re-Audit Process and Unannounced Audits
After successful completion of the initial application and audit process, and notification that the Company is
NAID Certified, the Multi-location Company will be audited as follows:
a) One-third of the Company’s Branches shall be audited each year on a scheduled, announced
basis at the standard rates. The selection of the locations shall be in a manner that all Branches are
audited over a 3 year period.
b) All of the Company’s Branches are subject to unannounced audits and will be chosen for such
unannounced audits by the same process and with the same probability as all NAID Certified
locations, which is currently approximately 25% per year. Branches belonging to Multi-Location
Companies will be in a distinct multi-location audit pool, separate from the audit pool for single-
location NAID-Certified Companies.
This Multi-location Certification Program will not change without being mutually agreed upon between the
Multi-location Certification Council. This limitation does not include any modification to an audit schedule
that is made on a company-specific basis as a result of a series of a Company’s transgressions over time.
Such company-specific modifications to the Multi-location audit schedule would, however, be considered a
change that is subject to established due process and NAID Board of Directors’ approval.
The logic for conducting audits of less than all of a Multi-location Company’s locations each year is that the
number of locations audited (one-third on a scheduled basis, plus random unannounced audits of other
Branches) constitutes a representative sample of the Applicant’s sites. Therefore, the enterprise-wide NAID
Certification status is dependent upon and measured by the cumulative results of each year’s audits.
An audit failure of a single Branch (or a Transfer Processing Station or Collection Facility) of a Multi-
location Company may result automatically in such Company losing its NAID Certified status. However,
evidence of serious breaches of NAID standards (particularly breaches that might allow unauthorized access
to confidential customer media) may lead to heightened scrutiny of the Company at the discretion of the
Certification Review Board (CRB).
Non-compliance/Transgressions and Due Process
If the Certification Review Board (CRB) becomes sufficiently concerned over a pattern of transgressions at a
Company because of results of audits, it may result in the filing of a complaint with the Complaint
Resolution Council (CRC). The CRC would use the same due process established for all ethical
transgressions in formulating its recommendations to the NAID Board of Directors. The NAID Board of
Directors would ultimately decide to approve, modify or decline the CRC recommendations. As the final
element of due process, a member appeal of a NAID Board decision would be afforded to the Respondent in
the complaint.
The CRB has the authority to require remedial actions to restore compliance to NAID Certification
specifications. The primary purpose of the authority to require restored compliance with NAID Certification
specifications is the protection of the clients and the reputation of the NAID Certification program.
Therefore, the timeframe required by the CRB to make such adjustments is totally dependent upon the risk to
the client and the reputation of the NAID Certification program as determined by the CRB. The CRB is also
charged with establishing the precedents regarding when transgressions, or a pattern of transgressions, are
referred to the CRC for disciplinary action.
The CRC is ultimately responsible to see that due process is applied to all relevant situations, as well as
establishing the precedents under which disciplinary action is warranted.
Only the NAID Board of Directors may fine, sanction, terminate, deny or suspend NAID Certification, or
terminate or suspend NAID Membership.
Page 1 of 16 MLCertHQ(3-24US&Can)2018
NAID® Multi-location Certification
(U.S. & Canada Applicants with 3-24 Branches only)
2018 Headquarters Application
Company Name: __________________________________________________________________________________________
Pres/VP of Info Destruction:
_____________________________________________________
Audit Process Coord:
__________________________________________________
Title: _______________________________________________ Title: _____________________________________________
Email address :_______________________________________ Email address :_____________________________________
Headquarters Address: __________________________________________________ Unit/Ste: ________________________
City: _______________________________________ State/Prov:_________________ Postal Code: _________________
Country: ____________________________________________ Website: __________________________________________
Telephone Number: ___________________________________ Fax Number: ______________________________________
Profile Information:
Year Company Established: _______________ & Year Destruction Services Established (if different): _______________
General Liability (Aggregate/Umbrella Indemnification Level) for each location OR company-wide: $_____________
Total Number of Branches providing information destruction services (and therefore included in this Application): _________
Application Information:
Initial Year of Certification – all Branches will be audited this year as indicated in the payment determination below.
Recertification Audits for One-Third of the Total Branches as indicated in the payment determination below.
Headquarters Audit* Required: No (no charge) Yes and @ $1200 = $__________________
Number of Mobile Only branches: ______ @ $965 per branch = $__________________
Number of Plant-Based Only branches: ______ @ $965 per branch = $__________________
Number of Both Mobile & Plant-Based branches: ______ @ $1075 per branch = $__________________
Mobile Operation associated w/ Transfer Processing Station:
No Yes and Number: _____ @ $1075 per site = $__________________
Transfer Processing Station(s):
No Yes and Number _____ @ $775 per TPS = $__________________
TOTAL payment = $__________________
*Headquarters Audit – If the company cannot provide originals or copies of all necessary documentation or records to be verified at the Branch, then an audit of
the Headquarters/central location, where those documents are held, will be required.
NAID Use Only
New or Recert: Auditor: Audit # : Audit Required: YES NO
Received: Complete: DBU: Expires:
Company Name:______________________________________________
Page 2 of 16 MLCertHQ(3-24US&Can)2018
Employment Information Disclaimer
All organizations applying for NAID Certification are expected to comply with any and all national, state, local, or other laws
regarding the collection, maintenance and disclosure of employee information, and all laws regulating employment practices, in
the jurisdiction governing the location for which the applicant Company is applying for NAID Certification or does business.
NAID is not responsible for the compliance of its individual NAID Certified members. Therefore, if the applicant Company
believes that anything in this Application or the audit process is, or may be, violative of any laws applicable to the applicant
Company, such Company must notify NAID, concurrently with the submission of its NAID Certification Application or during the
audit, as applicable, of the practices or disclosures which are believed by the applying organization to be in conflict with or
violative of any relevant laws. In addition, such notification must include a statement of and citation to the applicable law, code,
ordinance or other legal authority. NAID will then analyze the law, code, ordinance or other legal authority to determine whether
the applicant Company may be exempted from the particular criteria, practice or disclosure. NAID will notify the applicant
Company in writing of such determination.
In addition, a particular requirement of this application, although permissible under applicable laws and regulations, may violate
applicable laws and regulations if applied in an impermissible manner, particularly in regard to hiring and retention practices. You
should consult your own legal counsel to determine whether your hiring and retention policies and practices comply with all
applicable laws and regulations.
Additional Required Materials: (to be submitted with application)
1)Access Individuals and Non-Access Individuals List - A list of all employees/individuals broken down by “Access
Individuals” and “Non-Access Individuals” indicating title/position/responsibility (driver, owner, manager, processing, etc), and
date of hire. Also, the Applicant must indicate any employees who are not citizens of the employer’s country.
(See the Definitions document for detailed descriptions of Access Individuals and Non-Access Individuals).
2)List of Destruction and Collection Vehicles – A List of all mobile information destruction and collection vehicles, including
Vehicle make & model, VIN, License Plate Number and the State the vehicle is licensed in.
3) List of Recipients of Destroyed Media – List should include all companies receiving destroyed media from Applicant within
the last year and ultimate responsible disposition of materials (pulping, incineration, smelting, etc.).
4)Subcontractor list (if applicable) – A list of all companies or agents used within the last year to subcontract any part of the
information destruction process indicating what aspects of the process for which they are responsible and accept custody (See
Definitions page).
5)Special Consideration Letter (only applicable for hardship or extreme circumstances) – Letter requesting a temporary or
conditional qualification for a specific NAID Certification criteria; only considered under extreme or special circumstances,
applicant must submit this written request (on Company letterhead & signed by an official Company representative) with their
NAID Certification Application. The letter must identify the specific criteria, detail the hardship or special circumstance for
consideration, and state how the applicant will achieve the intent of the criteria given their circumstances. The NAID
Certification Review Board will review and respond to all requests.
We agree with and are bound to the following: (Please sign on bottom to indicate agreement with the following items.)
Multi-Location Program Specific Agreements:
1.The Company has at least three (3) corporately-owned destruction Branches (or at least three (3) destruction Franchisees with uniform
and corporately managed operating procedures) and there is a commitment for 100% of all information destruction locations and 100%
of all destruction operations to be in compliance with the NAID Certification specifications and subject to the scrutiny of audits on a
country-specific basis (or region which is no less than one country).
2.The Company and all Branches or Franchisees participating in the Multi-location program are members of NAID in good standing and
with no outstanding debt to the association. In order to gain or maintain NAID Certification, all locations must be NAID members in
good standing.
3.All locations (and their associated Transfer Processing Stations, if applicable) would be audited at the standard Multi-location
Certification fee, paid at the time of application.
4.The Company has included with this Application a list of all current information destruction locations of the Company in the country to
which this Application applies, and a tentative schedule of locations and dates for the audits to be conducted in the initial year. If this
is the initial year, the Company understands that the audits must occur within one year of this Application and that the audit schedule
must be approved by NAID.
5.The Company may not refer to itself as a “NAID Certified Company” until the agreed upon one-third Branches or Franchisees have
successfully completed their audits with CRB approval and NAID has provided written notification of such status. Individual locations
are considered as “NAID Certified” as soon as the audit for such sites have been completed and NAID has notified the Company that
such site passed the audit.
Company Name:______________________________________________
Page 3 of 16 MLCertHQ(3-24US&Can)2018
6.The Company understands that ALL NAID certifiable services/operations being offered to the Company’s customers at every
destruction location/branch within the specified region or country must be Certified in order to gain and maintain NAID Multi-location
Certified status. If the Company adds a certifiable operation at any established destruction location and/or adds a new destruction
location after Certification has been approved, it has 6 months in which to apply for Certification of the new location or operation.
Failure to apply for and/or successfully pass an audit of all certifiable operations at all destruction locations within the specified
region may result in the removal of all NAID Certifications.
7.If the Company maintains documentation/records in a centralized manner or cannot provide the locations with the necessary
documentation or records that must be verified by the auditor, then an additional audit of these “headquarters” records must be
conducted for a fee of $2970.
8.From the time of the initial filing of the NAID Certification Application, the Company will notify NAID of any new Company Branch
or Franchisee locations, including acquisitions, within 60 days. The Company will agree in writing to operate all such new locations
under the NAID Certification standards as soon as possible, and would not be audited for at least six (6) months after acquisition/start-
up, but would have to be audited within the current three-year audit cycle unless acquired within the last six (6) months of such cycle.
9.As an Applicant for this Multi-location Program, the Company will be assured that the audit schedule, consisting of a first-year audit of
all Company locations, followed by a three-year period when one-third of the total locations will be audited in each year, will remain
consistent for the first three-year period from the time the Company submits the initial Headquarters Application. This does not
include any modification to such schedule that is made on a company-specific basis as a result of a series of transgressions over time.
Such company-specific modification to the Multi-location audit schedule would be considered a program change that is subject to due
process and NAID Board of Directors’ approval.
10.After the period of time in which all locations on the initial year/original Multi-location Application have been audited and the
Company is deemed a NAID Certified Company, the process will be as follows:
a) One-third of the locations shall be audited each year on a scheduled, announced basis for the current standard Multi-location
Application fee. Two months prior to the established expiration of the annual period, NAID will determine and notify the Company of
those audits to be conducted each year.
b) Each year, one month prior to the established expiration of the annual period, the Company must submit the Headquarters
Application and the requisite one-third of Branch Applications for audit during that year’s cycle.
c) The selection of the locations shall be conducted in a manner so that all facilities are checked over a 3 year period.
11.All Company locations are subject to unannounced audits once the Company is NAID Certified. Twenty-five percent (25%) of the
locations will be chosen for unannounced audits each year. Multi-location NAID companies shall be in their own multi-location pool.
However, while initial audits are taking place, only locations that have successfully undergone the initial audit are subject to
unannounced audits.
12.The Company, upon achieving a participation threshold where the organization is considered NAID Certified across the entire
enterprise, shall be considered so ONLY within the country or region specified in this Application.
General Certification Program Agreements:
1.NAID Certification is optional and is not required for NAID membership.
2.The Company is an Active or Franchise Member of NAID in good standing and with no outstanding debt to the association. In order to
gain or maintain NAID Certification, the Company must be a NAID member in good standing.
3.Owners or Senior management of the Division of the Company that conduct the secure shredding operation have read and understand
the NAID Certification Audit Methodology, which makes clear the documentation, facilities and equipment that each location will be
required to have available and immediately accessible to the NAID Auditor.
4.Any failure to make accessible for inspection all documentation, facilities, and equipment on the date, time and location identified on
the Auditor Assignment & Confidentiality Agreement (Appointment) Form may result in failure to be NAID Certified, forfeiture of the
application fee, additional fees for the failures, re-auditing or other expenses, and/or require that we reapply if we want to pursue this
credential. Also, failure to meet the criteria for the type(s) indicated on this application may be considered a failure of the audit.
5.All application fees are non-refundable, except in the instance where the NAID Auditor fails to conduct the audit on the date, time and
location indicated on the Auditor Assignment & Confidentiality Agreement (Appointment) form; and when, in such circumstance, the
Company decides to withdraw their application.
6.At no time will the label “NAID Certification” or “NAID Certified” be applied, referenced or inferred to facilities or operations of the
Company where 1) the location and operating details related to the facility or operation have not been specifically and formally
provided to NAID for participation in the NAID Certification program, or 2) the facility or operation does not have any involvement
related to the collection, transport, processing and/or destruction of Confidential Customer Materials.
Company Name:______________________________________________
Page 4 of 16 MLCertHQ(3-24US&Can)2018
7.The Company must reapply for NAID Certification on an annual basis, prior to the expiration of the current NAID Certification. If the
Company chooses not to reapply and/or not to submit to the required audit, it will result in loss of NAID Certification. Loss of NAID
Certification will not affect NAID membership.
8.The Company understands that NAID Certification status is public information. Information regarding renewals, lapses, certified
operations and endorsements, Company contact information, and the Certification expiration date are displayed on the NAID website
and made available to email subscribers.
9.The Company will hold NAID harmless from any claim of damage or loss as a result of the Company’s failure to achieve NAID
Certification.
10.The Company agrees that any location seeking NAID Certification will be NAID Certified for Micro Media (Microfiche and
Microfilm) destruction only if the Company: 1) indicates in the application for such location that the location possesses equipment that
meets the required specification; 2) the equipment was inspected by the NAID Auditor at the time of the NAID Certification audit; and
3) the destruction is being performed at the location (generally only at plant-based operations) for which the Company is seeking
NAID Certification.
11.The Company agrees that any location seeking NAID Certification will be NAID Certified for Computer Hard Drive destruction only
if: 1) the Company has an established and published standard destruction method for physically destroying computer hard drives; 2) all
Customers receiving Computer Hard Drive Destruction services have agreed to or have been notified in writing to these standard
procedures or other specific procedures; 3) these standard procedures have been demonstrated to the NAID Auditor during the NAID
Certification audit of this location; and 4) the destruction is being performed at the location (generally only at plant-based operations)
for which the Company is seeking NAID Certification.
12.The Company understands and agrees that if a location becomes NAID Certified for Mobile Operations only, then the Company must
always destroy while on or near the Customer’s premises unless the Customer has agreed in writing (including notification to the
Customer by e-mail or as part of the Customer’s agreement with the Company) to permit destruction at a site remote from the
Customer’s location. If the Company’s mobile unit performs the shredding away from the Customer site without such written consent
or notice, the Company will be considered to be no longer following the Mobile Certification standards and may be subject to review
and investigation by the NAID Certification Review Board.
13.The Company understands and agrees that if the Company is applying for Plant-based Operations, the Company must maintain at least
90 days of CCTV recordings for each plant or Transfer Processing Station and must be able to produce them during the time of an
audit. If the Company is unable to produce the 90 days of recordings at an audit, the Company may be subject to a reaudit, including
associated costs for this reaudit.
14.The Company understands that the specifications and fees for NAID Certification are subject to change at the discretion of the NAID
Board of Directors.
15.All of the Company’s employees are legally registered to work in the country to which this Application applies, and the Company has
all necessary documentation to confirm this (see the Employment Information Disclaimer).
16.The Company understands that it is responsible for ensuring that background checks of current and prospective employees and any use
of consumer reports for employment purposes comply with the mandates of the Fair Credit Reporting Act, 15 U.S.C. 1681 et seq.
17.If restrictive employment agreements are in place that would prevent the Company from conducting drug screening and/or criminal
record searches, the Company will provide a detailed description of such restrictions with this application.
18.The Company understands that random Unannounced Audits are part of the NAID Certification Program. Only if asked and not a
hardship, the Company will allow access to a NAID Auditor for purposes of conducting such Unannounced Audits.
19.The Company understands that the NAID Certification Review Board tracks verified reports of certification non-compliance per
company/location and may issue fines and/or sanctions or recommend removal of certification for certification violations, in
accordance with the Certification Review Board Guidelines. Such fines and/or sanctions are in addition to any remedial actions ordered
by the Certification Review Board (CRB) to bring the operation back into compliance. All fines must be paid within 30 days, unless the
Company chooses to appeal the CRB’s decision, in which case a formal appeal must be submitted to NAID Headquarters no later than
45 days after the date of notification of the fine/sanction. The Company understands that the NAID Complaint Resolution Council
(CRC) will review appeals of CRB fines/sanctions, and the Company will be granted the opportunity to provide spoken testimony
within 30 days of the formal submission of the appeal. The NAID Board of Directors will review the CRC’s recommendation and make
the final decision on all appeals. The Company will accept the ruling of the NAID Board of Directors as final and seek no further
remedy, legal or otherwise.
20.The Company understands and agrees that the NAID Auditor may inspect and test its access control systems related to the facilities,
containers and vehicles used to provide secure destruction services during announced and unannounced audits and will not consider
such inspection and testing to be a violation of the law, provided such inspection and testing does not result in property damage or the
risk of personal injury and is undertaken solely for the purpose of ascertaining compliance with NAID Certification.
Company Name:______________________________________________
Page 5 of 16 MLCertHQ(3-24US&Can)2018
21.At any time during the application and/or audit process or after NAID Certification is approved by the NAID Certification Review
Board, the Company acknowledges that NAID, its agents and/or the NAID Auditor may investigate or require additional information or
documentation from the Company in order to verify information on this Application or the NAID Certification criteria.
22.The Company understands and agrees that all of its employees and agents will refrain from any false or misleading claims, suggestions
or references regarding NAID Certification, including but not limited to such claims used in advertising produced in advance and/or in
anticipation of NAID Certification at some future date.
23.If the Company has a change in address, ownership, or the operations/services it offers to Customers any time during a pending NAID
Certification application or audit, or while the Company is NAID Certified, the Company must notify NAID in writing within 15
business days of this status change. Failure to do so may result in fines, sanctions and/or revocation of NAID Certification.
24.The Company agrees that all destruction locations will utilize Company service paperwork or contract that includes Customer
acknowledgement, receipt or agreement regarding the specific service it is receiving. If destruction services rendered by the Company
after it is NAID Certified are not among those for which the Company is NAID Certified, but such services could be NAID Certified
(plant-based, mobile operations or sanitization operations, and/or destruction endorsements for paper/printed media, micro media or
computer hard drives) and/or are recycling services of unshredded/intact paper, then the Customer must be notified in writing that such
service is NOT NAID Certified. This written notification may be contained on a materials receipt, certificate of destruction, current
Customer agreement/contract or another written notice (including e-mail or another electronic method that may be printed) delivered by
the Company to the Customer/recipient of services.
25.The Company agrees that if any location for which it is seeking NAID Certification becomes NAID Certified, then if at any time
during the audit process or NAID Certification the Company elects to discontinue any or all NAID Certification operations or
endorsements for such location, the Company must notify NAID in writing within 30 days of this status change and has an ethical
responsibility to inform clients (aware of the Company’s NAID Certification status) of the change.
26.The Company understands that ALL NAID certifiable services/operations being offered to the Company’s Customers must be NAID
Certified in order to gain and maintain NAID Certified status. If the Company adds a certifiable operation after NAID Certification has
been approved, it has 6 months in which to apply for NAID Certification of the new operation. Failure to apply for and/or
successfully pass an audit of all certifiable operations may result in the removal of all NAID Certifications.
27.The Company understands that the NAID Auditor does NOT approve or deny NAID Certification. The Auditor’s findings will be
submitted to the NAID Certification Review Board for approval, determination of remedial or corrective actions and/or additional fees
necessary to approve NAID Certification, or denial of application.
28.The Company has 14 business days (as determined by the date on the notice sent to the Company regarding the results of an audit) to
submit to the NAID Complaint Resolution Council in writing any protest of the results of an audit. The Company understands that the
protest should clearly state the perceived reason of the failure to achieve NAID Certification and why the finding is incorrect. The
Company understands that the NAID Complaint Resolution Council will review the dispute in accordance with the Complaint
Resolution Council Guidelines, and any ruling on the appeal is subject to the approval of the NAID Board of Directors. The Company
will accept the ruling as final and seek no further remedy, legal or otherwise, except to reapply for NAID Certification at the
Company’s discretion.
29.This Application is truthful and accurately represents the daily operating procedures of the Company’s secure shredding operations.
The Company understands that if any of its representatives willfully deceive NAID or a NAID Auditor, the Company could be
immediately removed from NAID, or the NAID Certification may be revoked.
30.Indications of the signatory’s initials above and the signature below acknowledge that I am an owner, corporate officer or official
representative of the Company submitting this Application. The undersigned has full authority to request that the Company apply for
NAID Certification and submit to any requisite audits, with full knowledge of the Company’s operation to accurately complete the
Application, and the authority to execute this agreement.
This information provided in this application is truthful and accurate. I have permission and legal authority to bind the organization to
the above agreements in this application. By signing below, I agree to adhere to the above agreements.
Signed: Date:
Print Name: Title:
Company Name:______________________________________________
Page 6 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
EMPLOYEE REQUIREMENTS
1.1 Applicant Claims
______________
All Access Employees and Non-Access Employees must have
the following on file:
•Confidentiality Agreement
•I-9 Form U.S. employees hired after November 7, 1986 or
proper work registration for non-citizens
(See Employment Information Disclaimer.)
The Auditor will request evidence of the appropriate documentation in the
employee files as follows:
•7 or fewer Access and/or Non-Access Employees: Auditor will
view employee files for all Access and Non-Access Employees.
OR
•More than 7 Access and/or Non-Access Employees: Auditor
will view employee files as a random sample , totaling 25% of
the entire Access and Non-Access Employees List, with a
minimum of 7 employees and a maximum of 15 employees.
Auditor must inspect applicable documentation for all Non-Citizen
Employees and Access Employees who are owners, partners or senior
managers (of destruction division) of the Company.
The following Access Employees are exempt from the Employment
Verification, Drug Screening and I-9:
1)officers, directors, owners and/or partners of the Company not
engaged in the day-to-day operations;
2)others who have access to or can grant authorize access to the
Confidential Customer Media to be destroyed at the
applicant’s location but are not engaged in the day-to-day
destruction operations; and/or
3)independent contractors, subcontractors or employees.
Any Access Employees representing the Headquarters of the Company’s
information destruction division, minimally the President/Vice President
of area &/or Audit Coordinator, whether at the location listed on this
application or at another location, must have criminal background searches
conducted.
Auditor will review the results of the Social Security Header Search and
criminal background checks of the selected employees. Criminal
background checks must include a list and the results of the jurisdictions
searched.
No person subject to a felony conviction in the last 7 years for any crime
involving theft (of tangible or intangible property), fraud, burglary or
larceny, and no person currently incarcerated for any crime may be
employed in a capacity where they may come in contact with Confidential
Customer Media. This applies to all Access Employees.
The employment screening is applicable to all Access Employees (other
than those exempt from these requirements as mentioned above) regardless
of length of service or pre-existing employment status, except where there
is a restrictive employment agreement in place. Access Employees whose
employment predates the implementation of NAID Certification, must
state that they have been employed with the company for the past 7 years.
NAID USE ONLY
Verified by
_______________
1.2
Applicant Claims
______________
Access Employees must have the below employment screening
requirements:
When searches are being conducted in places outside of the U.S.
every effort should be made to have the searches done at a level
comparable to the county and state searches done in the U.S.
•7 Year Criminal Record Search:
o Social Security Header Search listing all associated
addresses of the employee. (Must be conducted prior
to the criminal background investigation to ensure
all counties, states, and federal district courts of
residence and employment have been included and
verified in the investigation)
o County records search for all counties on Social
Security Header Search
o Statewide records search for all states on Social
Security Header Search
o Federal Records Search for all Federal Districts in all
states on Social Security Header Search
•Pre-hire or Initial Drug Screening
•7 Year Employment History Verification which must
include the following for each place of employment:
o Name, City and State of the previous employer
o Dates of employment, as reported by the employee
o Date of verification (or attempted verification if the
previous employer cannot be reached)
o Indication of if the previous employer was able to
verify the dates employment.
The criminal record search must be conducted by a third-party.
County and state checks must be pulled directly from the county
and state repositories. Federal checks must be pulled from the
federal district courts or via PACER. The use of a secondary
database, often referred to as a SuperSearch, InstaSearch and/or
National/Nationwide Search is not allowed.
If federal, statewide and/or county searches are not available in
a particular state, the applicant must complete the ones available
and provide documentation to support the unavailability of the
other.
If a location has restrictive employee agreements in place that
prevents drug screening and/or criminal record searches for
certain employees, a letter must be submitted stating who and
what employee screening restrictions are in place.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 7 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
1.3 Applicant Claims
______________
Access Employees are monitored for drugs/substance abuse
by one of the following methods (check one):
Option #1: On a random basis, 50% of access employees
are drug screened annually.
OR
Option #2: Management has been trained in a “Substance
Abuse Recognition Awareness Program” pre-approved by
NAID.
Auditor will verify evidence of the method indicated:
Option #1: Invoices/results from drug testing lab for random
sampling drug screening of 50% of employees
OR
Option #2: Documentation showing Program approval from
NAID and proof that on-site management has completed this
Substance Abuse Recognition training within the last year.NAID USE ONLY
Verified by
_______________
1.4 Applicant Claims
______________
Ongoing criminal record searches on Access Employees by
one of the following methods (check one):
Option #1: One-third of Access Employees have been
randomly selected and criminal record searches
conducted annually.
Option #2: One-third of all Access Employees are
screened the first year, a different 1/3 are screened the
following year, and the remaining 1/3 are screened in the
third year.
Option #3: All Access Employees have criminal record
searches conducted every three years.
Year of most recent search: __________
Auditor will review the results of the criminal record search of the
employees based upon the method indicated.
NAID USE ONLY
Verified by
_______________
1.5 Applicant Claims
______________
Drivers meet all licensing requirements of the governmental
jurisdiction.
The applicable law or regulation for commercial driver licenses
will be made available and examined by the Auditor. Auditor will
request any items required by law for all drivers listed on the
Access and Non-Access Employees List.
NAID USE ONLY
Verified by
_______________
OPERATIONAL SECURITY
2.1a Applicant Claims
______________
The firm has written policies and procedures for drivers and
destruction processing employees.
Auditor to inspect copy of policies and procedures manuals.
NAID USE ONLY
Verified by
_______________
2.1b Applicant Claims
______________
Prior to gaining access to confidential material, all drivers
and destruction processing employees must sign an
acknowledgement indicating that they have received, read
and understand the Company’s current written policies and
procedures. A new acknowledgment must be signed by
employees on an annual basis.
Auditor to inspect employee files for a signed acknowledgement
of the Company’s current written policies and procedures. This
form must reference the version of the written policies and
procedures that it applies to. A new acknowledgment must be
signed by employees on an annual basis.NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 8 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
2.1c Applicant Claims
______________
The Company has a written policy in place, stating that it
will notify any Customer of a potential release of, or
unauthorized access to, that Customer’s Confidential
Customer Media that poses a threat to the security or
confidentiality of that information as soon as reasonably
possible.
Auditor will check procedures manual to ensure that there is a
written policy stating that it will notify any Customer of a
potential release of, or unauthorized access to, that Customer’s
Confidential Customer Media that poses a threat to the security or
confidentiality of that information as soon as reasonably possible.
NAID USE ONLY
Verified by
_______________
2.1d Applicant Claims
______________
The Company has a written Incident Response Plan for
responding to suspected or known security incidents. The
Incident Response Plan must include a post-incident
business impact analysis and a process for documenting all
incidents and their outcomes.
Auditor will review the Company’s written Incident Response
Plan to ensure there is a policy addressing post-incident business
impact analysis and documentation of all incidents and their
outcomes.
NAID USE ONLY
Verified by
_______________
2.1e Applicant Claims
______________
The Company has a written policy in place instructing and
requiring employees to notify management of a potential
release of, or unauthorized access to, Confidential Customer
Media that poses a threat to the security or confidentiality of
the information.
Auditor will check procedures manual to ensure that there is a
written policy instructing and requiring employees to notify
management of a potential release of, or unauthorized access to,
Confidential Customer Media that poses a threat to the security or
confidentiality of the information.NAID USE ONLY
Verified by
_______________
2.1f Applicant Claims
______________
The Company has a written policy that addresses the
procedures for employees to follow during an unannounced
audit. This policy must name at least one person or position
of contact with physical access to the information the
auditor may ask to review, which is to be contacted in the
event of an unannounced audit at the destruction plant or the
office. Should circumstances prevent the designated point of
contact from being available at the time of the unannounced
audit, the Certification Review Board may request additional
information to be provided at a later date.
Auditor will review the Company’s written policies and
procedures for their written policy instructing employees in the
procedures to follow during an unannounced audit.
NAID USE ONLY
Verified by
_______________
2.1g Applicant Claims
______________
All Access Employees must be trained annually to comply
with the NAID AAA Certification requirements:
Option #1: All Access Employees have taken and passed
the NAID Access Employee Training Program (AETP).
(Submit AETP Licensing Form with application.)
Option #2: All Access Employees have taken and passed
a third-party training course which has been pre-
approved by NAID. (Submit AETP approval form and
outline of training with application.)
Option #3: All Access Employees have taken and passed
an in-house training. If NAID has not already approved
the training course for this purpose, an approval form
and outline of the program is included with this
application. (Submit AETP approval form and outline of
training with application.)
Auditor will review evidence of annual training to ensure all
Access Employees have passed a training program which
complies with the NAID AAA Certification requirements.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 9 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
2.2 Applicant Claims
______________
Access Employees display Company-issued photo I.D.
badges at all times while on duty. Badges must minimally
include a photo, employee name and Company name.
Auditor will inspect the Company policies and procedures manual
to ensure there is a written policy for Access Employees to display
a Company-issued photo I.D. badge at all times while on duty.
Auditor will also inspect employees present to verify that they are
wearing photo I.D. badges.NAID USE ONLY
Verified by
_______________
2.3 Applicant Claims
______________
While at Customer’s location, drivers and other employees
of contractor must wear a specific uniform (minimum of
Company shirt) to improve recognition by Customers.
Auditor to inspect uniform of at least one driver and confirm that
wearing a uniform is specified in policies and procedure
manual(s).
NAID USE ONLY
Verified by
_______________
2.4 Applicant Claims
______________
At the time that media is transferred from the Customer’s
custody to the custody of the destruction Company’s
employees, the Customer must be provided with a receipt or
certificate of destruction indicating type and quantity of
media and an acknowledgement of the services rendered.
An electronic receipt is acceptable, provided there is a
verifiable electronic audit trail and the ability to provide the
Customer with the printed information.
If destruction services rendered by the Company after NAID
Certification are not NAID Certified, but such services
could be NAID Certified (plant-based or offsite services,
mobile operations or sanitization operations, and/or
destruction endorsements for paper/printed media, micro
media or computer hard drives) and/or are recycling services
of unshredded/intact paper, then the recipient of the services
must be notified in writing that such service is NOT NAID
Certified. This written notification may be contained on a
materials receipt, certificate of destruction, current Customer
agreement/contract or another written notice (including e-
mail or another electronic method that may be printed)
delivered by the Company to the Customer/recipient of
services.
Auditor will inspect the Company policies and procedures manual
to ensure that Customer documentation process contains the
requisite information and will inspect a copy or sample of the
Customer documentation. If applicable, Auditor must inspect a
copy or sample of the Customer documentation when destruction
or recycling services are NOT NAID Certified to verify such
notification is stated.
For Plant-based operations and Transfer Processing Stations only:
If a Subcontractor is used for transport prior to destruction, the
Subcontractor must provide the Customer and the Applicant
Company with the Customer receipt documentation. Auditor to
verify documentation has been provided by the Subcontractor and
is being utilized by inspecting a copy of a past Customer receipt..
NAID USE ONLY
Verified by
_______________
2.5 Applicant Claims
______________
All media for destruction are always attended by a Company
employee or physically secured from unauthorized access
while in the custody of the destruction contractor before
they are destroyed.
The Auditor will verify that containers used in the field to
transport media for destruction from the Customer’s facility to the
destruction provider’s vehicle have operable locks. Auditor will
inspect the Company policies and procedures manual to assure
that custody of the media for destruction is addressed.
For Plant-based operations and Transfer Processing Stations,
Auditor will determine that there is a secured area designated for
holding media when unattended until that media can be destroyed.
NAID USE ONLY
Verified by
_______________
2.6 Applicant Claims
______________
All media are securely contained during transfer from
Customers’ custody to transportation vehicle to prevent loss
from wind or other atmospheric conditions.
Auditor to inspect collection equipment used by the contractor in
the field to make sure it protects the media from loss due to wind,
tipping/spillage or other atmospheric conditions.
If in the field, Auditor to check area around collection or
destruction vehicle to verify it is free from loose information-
bearing media.NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 10 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
2.7 Applicant Claims
______________
All vehicles used for transfer of media will have the
applicable government inspection for roadworthiness on file.
Auditor will review paperwork from the most recent inspection of
all the Company’s commercial vehicles within the time frame
stated in the applicable state law regarding the nature and
frequency of these inspections. If there is a jurisdiction that does
not require an inspection of commercial vehicles, Auditor will
require a copy of the government statement saying so. Three
vehicle records will be checked.
NAID USE ONLY
Verified by
_______________
2.8 Applicant Claims
______________
All vehicles used for transfer and/or destruction of media
(whether intact or destroyed) will have lockable cabs and
lockable, fully enclosed boxes. These vehicle cabs and
boxes must be locked during transport and when unattended
by Access Individual.
Auditor will inspect trucks made available by the Company to
verify that all cab doors and truck boxes are lockable and that
locks work properly. Auditor will inspect the Company policies
and procedures manual to assure that vehicle cab and box locking
is addressed.
Note: If there are 3 trucks or less in either separate category
(Mobile Shredding and Collection Only), all trucks in each
category must be made available for inspection. If there are 4 or
more trucks in each category, 75% of the fleet in each category
must be made available for inspection. If trucks are not made
available, the Company must provide written testimony that those
trucks not presented for inspection are of equal or superior
condition of roadworthiness and security. The testimony must be
on Company letterhead and signed by an officer of the Company.
NAID USE ONLY
Verified by
_______________
2.9 Applicant Claims
______________
All drivers of collection or destruction vehicles must have
readily accessible two-way communication devices.
Auditor to verify each driver has the stated and operable two-way
communication device with them or in the vehicle.
NAID USE ONLY
Verified by
_______________
2.10 Applicant Claims
______________
Not Applicable
______________
APPLIES TO MOBILE CERTIFICATION ONLY
The Company must perform mobile destruction services at
the Customer’s site.
Auditor will verify that the Company policies and procedures
manual indicates that mobile destruction services must be
performed at the Customer’s site, unless there is a written
Customer agreement stating otherwise.
A Records Center is considered the Customer’s site when all
media for destruction comes from within it.
NAID USE ONLY
Verified by
_______________
2.11 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
Unauthorized access to Confidential Customer Media in the
designated secure destruction area and/or storage/staging
areas is effectively prevented.
Auditor to inspect all entrances to see that unauthorized access to
secured area is effectively preventable when media are not
attended.
Auditor will verify that the Company policies and procedures
manual covers access control and unauthorized access interdiction
measures.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 11 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
2.12 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
All visitors entering the secure destruction building or
Transfer Processing Station sign a log with their name, time
in, affiliation, and time out. Visitors must be issued a Visitor
Badge and be escorted or under the supervision of an Access
Employee at all times while in the building. This log
info/record must be maintained for one year.
Auditor will examine visitor/contractor logs and verify records
maintained for one year.
NAID USE ONLY
Verified by
_______________
2.13 Applicant Claims
______________
Not Applicable
______________
Auditor Verifies
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a secure area within the building devoted only to
processing and/or destroying media. No baling of
unshredded paper may take place in secure areas of the
plant-based destruction facility except cardboard.
In the event that the facility also stores records (or is a
records center), recycles or bales intact/unshredded paper, or
conducts other activities, the collection and processing of
media for destruction must be in a designated (or delineated)
area or secured area.
Auditor to inspect building to determine that secured area for
information destruction and/or media processing exists and that no
baling of unshredded paper takes place in the plant-based
destruction facility.
If a secured area within the building is required*, it must meet the
following specifications:
•There must be enough space within this area to stage all media
to be destroyed.
•The wall or fence securing this area must be a minimum of six
feet tall and have a lockable gate or door.
•If the wall or fence does not go all the way to the ceiling, then
it must have a ceiling mounted sensor alarm inside and over
the perimeter of the secure destruction and /or secure
staging/processing area(s) (or similar, suitable device) to detect
if and when individuals have climbed over or come through a
section of the secured area fence/wall.
*If the only operations taking place within the building are related
to information destruction, AND if ALL employees with access
into the building are screened in accordance with Section 1.2
herein and are listed as access employees herein, a separate secure
area is not required and the entire building is considered the
secure area.
NAID USE ONLY
Verified by
_______________
2.14 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a monitored alarm system in place and utilized
when the secure destruction building or Transfer Processing
Station is unoccupied.
Auditor is to inspect alarm system to make sure it is operational
and examine alarm test reports &/or invoices from alarm
monitoring service.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 12 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
2.15 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a closed circuit camera system monitoring all
access points into the secure buildings/areas where
confidential media is stored, processed and/or destroyed. All
processing activities are monitored with sufficient clarity to
identify people and their activities. There must be enough
lighting during non-business hours to ensure that all images
have sufficient clarity.
The Company has a written policy in place, stating that
branches will notify senior management within a specified
amount of time of the discovery of problems with the CCTV
system which result in a loss of data.
Recordings must be retained for 90 consecutive days in an
organized, retrievable manner.
Number of days of recordings (as of the date of
application):________
Auditor to inspect the closed circuit monitoring system to ensure
that it meets criteria. This includes checking that the system has
sufficient cameras and image quality to identify individuals and
capture all activities in the secure destruction building from point
of entry through final destruction, including any unauthorized
access to the confidential information.
Auditor will also inspect the policies and procedures manual to
ensure there is a written policy for notifying NAID within 48
hours of the discovery of problems with the CCTV system which
result in a loss of data.
90 days of CCTV playback must be available at the time of the
scheduled audit. Auditor to inspect recording library system and
to review four 4-minute samples:
•Two random samples during operational hours
•One random sample during non-operational hours
•One sample from the 90th day back from the current date
Recording of operations may be suspended for playback
recordings.
NAID USE ONLY
Verified by
_______________
2.16 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED CERTIFICATION WITH A
COLLECTION FACILITY
Collection Facilities are used to store media intermittently to
be transferred to a plant-based destruction facility within 3
business days. Facility has restricted access with a
monitored alarm system. The list of all Collection Facility
locations associated with this plant-based operation is
included with this Application.
Number of Collection Facilities:_________
ADDRESS: ____________________________________
____________________________________
Auditor will check policy and procedures manual to assure that
media for destruction is not processed and not stored for more that
3 business days and that the following are maintained:
•Access is restricted to Access Employees
•Visitor’s Log
•I.D. badges are worn by employees and visitors
•Monitored Alarm System
•In the event that the facility also stores records, recycles or
bales intact/unshredded paper, or conducts other activities, the
collection of media for destruction must be in a designated (or
delineated) area or secured area. (See Item 2.13)
Auditor may or may not check the actual facility for requirements
at the time of an audit.
NAID USE ONLY
Verified by
_______________
2.17 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
The following Operational Security systems are checked and
maintained on a monthly basis:
•Alarm System
•Lighting
•Door Locks
•Visitor Logs
In addition to monthly Operational Security system checks,
the CCTV system must be checked on a weekly basis,
including a minimum of five minutes of playback to ensure
that all cameras and recording systems are working
correctly.
Monthly and Weekly Logs must be kept for one year using
the NAID-issued Forms (or the information/content
contained on it).
Auditor to review the Monthly and Weekly Operational Security
Maintenance Logs used to check, record and maintain the
facility’s operational security functions, including CCTV (except
for a Collection Facility), Alarms, Lighting, Door Locks and
Visitor Logs – records must be kept for one year.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 13 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
ENDORSEMENTS & THE DESTRUCTION PROCESS
3.1 Applicant Claims
______________
Not Applicable
______________
PAPER/PRINTED MEDIA ENDORSEMENT
Paper/Printed Media is destroyed by commercial grade
destruction equipment and meets the particle size as stated
by the equipment’s OEM specifications. Acceptable deviant
tolerance: 1/16 inch
Continuous Shred:
Width (max): 5/8 inch & Length: Indefinite
Cross Cut or Pierce & Tear:
Width (max): 3/4 inch & Length (max): 2.5 inches
Pulverizer, Disintegrator or Hammermill*
Screen Size (max): 2-inch diameter holes
Unspecified Equipment
Please describe the type of equipment and cutting
mechanism specifications (screen hole size*, blade
width, etc.): ___________________________________
Maximum allowable sizes listed create a particle deemed
reasonable for regulatory compliance. Customers may
specify a smaller particle size at their discretion, which
should be codified contractually with the NAID Certified
service provider.
Mobile or Plant Equipment:__________________________
Manufacturer: ____________________________________
Model: _________________________________________
Serial #: _________________________________________
Capacity/Throughput (lbs/hr): ________________________
Horsepower: ______________________________________
See attached form listing additional equipment info
The Auditor will verify that the particles produced by the
equipment are reasonably consistent with the OEM
specifications and that the equipment is of commercial grade.
*Auditor will review the Screen Changing Logs during the audit,
if applicable.
PULPING OR INCINERATION (PLANT-BASED ONLY)
In-House Pulping or Incineration must not require any Transfer
of Custody:
If the NAID Member owns or leases the pulping or incineration
equipment and building, and does not transfer custody of media
to a third party for transport or processing before media is pulped
or incinerated, then the results of the pulping or incineration
must effectively reduce the media to a size or condition that is
not reconstructible.
NAID USE ONLY
Verified by
_______________
3.2 Applicant Claims
______________
Not Applicable
______________
MICRO MEDIA DESTRUCTION
The ability to destroy Micro Media (Microfiche or
Microfilm only) is NAID Certified based on commercial
grade destruction equipment or process which produces a
particle size of 1/8 inch maximum dimension or less.
Mobile or Plant Equipment:__________________________
Manufacturer: ____________________________________
Model :__________________________________________
Auditor will determine the applicant has equipment with an
OEM cutter mechanism of 1/8 inch at its maximum cut
dimension by:
Using the OEM specs listed on an invoice or spec sheet
that matches the serial number on the equipment.
OR
Measuring the width of the cutters and/or screens
Acceptable deviant tolerance: 1/16 inch. NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 14 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
3.3 Applicant Claims
______________
Not Applicable
______________
PHYSICAL DESTRUCTION OF HARD DRIVES ENDORSEMENT
Computer Hard Drives are physically destroyed (not wiping
or overwriting) in accordance with the Company’s standard
method of destruction which includes:
•Prior to destruction the Company must provide
the Customers with a written description of the
process for destroying the hard drives.
•Serial numbers of all hard drives or CPUs being
destroyed for each Customer are recorded, unless
the Customer has signed an opt-out agreement.
•The log of recorded serial numbers is returned to
the Customer upon the completion of the service,
unless the Customer has opted out of this
requirement.
•Hard drives must be damaged to the point where
the platters will not spin.
Method of Physical Destruction:
______________________________________________
Auditor will review the Company’s written policies and
procedures for their standard physical destruction (not wiping or
overwriting) of computer hard drives.
Auditor will also review verification that the Customer has been
notified of the process of destruction.
Auditor will also review the serial number recordation log and
any opt-out agreements Customers signed.
NAID USE ONLY
Verified by
_______________
3.4 Applicant Claims
______________
Not Applicable
______________
NON-PAPER MEDIA ENDORSEMENT
Non-Paper Media is destroyed in accordance with the
Company’s standard method of destruction. Any method that
deviates from the standard method of destruction must be
communicated to the Customer in writing.
Types of Non-Paper Media physically destroyed:
Optical Media: ________________________________
Magnetic Media: ______________________________
Flash Media: _________________________________
Other: ______________________________________
Method of Destruction:
______________________________________________
Equipment:______________________________________
Manufacturer: ____________________________________
Model:__________________________________________
Auditor will review the Company’s written policies and
procedures for their standard physical destruction of Non-Paper
Media.
Auditor will also review written policies and copies of
documentation provided to the Customer for methods of
destruction that deviate from the standard method.
NAID USE ONLY
Verified by
_______________
3.5 Applicant Claims
______________
Not Applicable
NAID USE ONLY
Verified
_______________
PRODUCT DESTRUCTION ENDORSEMENT
Product Destruction is destroyed in accordance with the
Company’s standard method of destruction which includes:
•Product Destruction is provided in a manner
consistent with the company’s policies and
procedures manual.
•The policies and procedures manual must state
that customer receiving the product destruction
endorsement will be provided a detailed account
of the process used to destroy the specific product
in advance of the project. Such product
destruction agreements must be kept on file for 3
years from the date of the destruction.
•Employee Confidentiality Agreements must
contain language wherein the employee agrees
that products accepted for destruction are to be
considered confidential and that removal or use
by the employee is a violation punishable by
dismissal and subject to possible legal
prosecution.
Auditor will review the Company’s written policies and
procedures for their standard Product Destruction.
Auditor will also review verification that the Customer has been
notified of the process of destruction with a detailed account of
the process used to destroy the product. The notification to the
Customer must be kept on file for 3 years from the date of
destruction.
Auditor will review the employee confidentiality agreements to
verify that language stating that the employee agrees that
products accepted for destruction are to be considered as
confidential and that removal or use by the employee is a
violation punishable by dismissal and subject to possible legal
prosecution.
Has modified policies and procedures to specifically state that
clients receiving product destruction services will be provided a
detailed accounting of the process used to destroy the specific
product in advance of the project, and that such product
destruction agreements be kept on file for 3 years from the date
of the destruction. (Audit methodology: Reviewed by auditor)
Company Name:______________________________________________
Page 15 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
3.6 Applicant Claims
______________
Not Applicable
______________
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
The destruction of confidential media must take place within
3 business days from the arrival at the destruction facility.
For purges, the destruction of confidential media must take
place within 15 business days
For Transfer Processing Stations, the confidential material
must be transferred to a Plant-based Destruction Operation
within 15 business days.
If destruction does not occur in the stated timeframe, the
Customer must be notified in writing.
Auditor will check the policy and procedures manual to assure
that all media is destroyed within the stated timeframe.
Exceptions include acts of God, breakdowns or Customer
notification to retain media for a longer period.
NAID USE ONLY
Verified by
_______________
3.7 Applicant Claims
______________
Destruction process has a method of quality control in place
to ensure destroyed information is within the stated
standards for the specific media endorsements for which the
Company has applied.
Auditor will check procedures manual to assure that there is a
regular quality control procedure in place for ensuring destroyed
information are within stated standards.
NAID USE ONLY
Verified by
_______________
3.8 Applicant Claims
______________
Destroyed paper/printed media and micro media must be
disposed (sold, gifted, or discarded) in a responsible manner,
which does not include any type of reuse.
Destroyed remnants of hard drives and circuit boards must
be disposed (sold, gifted, or discarded) in a responsible
manner, which includes a requirement that the recipient of
the destroyed electronic media is registered by the
International Organization for Standardization (ISO) as
being compliant with the 14001 standard.
Applicant must attach a list of all current recipients of
destroyed paper/printed media, micro media and hard drives,
indicating the final disposition of materials by the recipients.
Requests for a hardship exemption must be submitted in
writing to the Certification Review Board.
Auditor will review list of recipients and manner in which
paper/printed media and micro media (micro fiche and micro
film) are disposed subsequent to destruction and verify that
Company has written agreements or documentation in place to
support stated responsible disposal, i.e. pulping, incineration,
smelting, etc.
Auditor to check waste receptacles and area directly outside of
the information destruction building/area to see that no
paper/printed media and micro media (micro fiche and micro
film), whether shredded or unshredded, has been deposited in
waste receptacles or that no loose information-bearing materials
are scattered around or near the destruction building.
NAID USE ONLY
Verified by
_______________
Company Name:______________________________________________
Page 16 of 16 MLCertHQ(3-24US&Can)2018
Initial Criteria Audit Methodology
3.9 Applicant Claims
______________
Not Applicable
______________
TRANSFER OF CUSTODY (IF APPLICABLE)
Transfer of custody is used for each as indicated (Check all
that apply):
Temporary Staffing
Transportation (of media prior to destruction)
Other: ______________________________________
If media destruction is subcontracted, all Customers must be
notified in writing of the following information:
o name of the subcontractor company
o the method of the destruction
All Access Employees of the companies in the chain of
custody must acknowledge in writing that they understand
that all media with which they come in contact is
confidential, and they accept fiduciary responsibility.
All Access Employees of the companies must submit to the
same background screening requirements as NAID
Certification.
All companies accepting custody of media must meet the
NAID Certification criteria. If Company does not meet the
NAID Certification criteria then the Customer must be
notified in writing that such service is not NAID Certified.
Auditor will check documentation to verify that the customer
was notified if transfer of custody occurs. If a site visit is
required for verification, the Applicant assumes responsibility
for any additional fees of the Auditor.
NAID USE ONLY
Verified by
_______________
COMPANY ASSURANCES
4.1 Applicant Claims
______________
Company is a legally registered business in the state of
residence.
Auditor to examine business license, Certificate of Incorporation
or SEC filing.
NAID USE ONLY
Verified by
_______________
4.2 Applicant Claims
______________
General liability insurance (aggregate or umbrella) of
$2,000,000 or more.
Auditor to examine valid insurance documents, which could be
an ACORD Certificate, a certificate of insurance or a letter from
broker verifying coverage limits. Letter must be dated no earlier
than one month prior to audit.
NAID USE ONLY
Verified by
_______________
Please submit application via:
FAX: (480)658-2088
EMAIL: certification@naidonline.org
QUESTIONS: (602)788-6243
Page 1 of 15 MLCertApBranch(US&Can)2018
NAID® Certification Application
2018 Branch Application
U.S. & Canada Applicants only
Company Name: Audit Contact:
Physical Address: Unit/Ste:
City: State: Postal Code:
Phone: Fax: Email:
Profile Information
No. of Destruction Employees: __________ No. Of Vehicles: Destruction: _____ Collection: _____
Hours of Operation: ______________________ First Truck Dispatched Time: ______________________
Are any of your Destruction or Collection Vehicles stored at a location other than address above?
No Yes (list address): ________________________________________________________________
Type of Audit:
Initial If an initial audit are you using a NAID approved consultant? No Yes
Name of Consulting Firm: _________________________________________ (Consulting firm must be pre-approved by NAID)
Recertification
Operation(s) & Endorsement(s):
MOBILE
PAPER OR PRINTED MEDIA
MICRO MEDIA (Microfiche or Microfilm only)
PHYSICAL HARD DRIVES
NON-PAPER MEDIA
PRODUCT DESTRUCTION
PLANT-BASED
PAPER OR PRINTED MEDIA
MICRO MEDIA (Microfiche or Microfilm only)
PHYSICAL HARD DRIVES
NON-PAPER MEDIA
PRODUCT DESTRUCTION
Other than information destruction, what other operations take place within the building (check all that apply)?
None Recycling (of unshredded paper) Records Storage Other (please indicate):_____________________
TRANSFER PROCESSING STATION(S)
Associated Plant (City, State): _______________________
Do you offer any other certifiable services, for which you are NOT seeking NAID Certification? No Yes (list):_____________
Custodial Service:
If you accept intermediary or temporary custody of confidential material prior to destruction then the entire process is eligible for
certification. (If you would like to add this to your certification please check all that apply and fill out the NAID Custodial
Membership/Certification Addendum.)
Records Storage Data Recovery/Forensic Breach Investigation
Document Scanning/Imaging Online Backup
Aggregator/Transportation Backup Tape Rotation
NAID Use Only
New or Recert: Auditor: Audit # : Audit Required: YES NO
Received: Complete: DBU: Expires:
Company Name:______________________________________________
Page 2 of 15 MLCertApBranch(US&Can)2018
Employment Information Disclaimer
All organizations applying for NAID Certification are expected to comply with any and all national, state, local, or other laws
regarding the collection, maintenance and disclosure of employee information, and all laws regulating employment practices, in
the jurisdiction governing the location for which the applicant Company is applying for NAID Certification or does business.
NAID is not responsible for the compliance of its individual NAID Certified members. Therefore, if the applicant Company
believes that anything in this Application or the audit process is, or may be, in violation of any laws applicable to the applicant
Company, such Company must notify NAID, concurrently with the submission of its NAID Certification Application or during the
audit, as applicable, of the practices or disclosures which are believed by the applying organization to be in conflict with or in
violation of any relevant laws. In addition, such notification must include a statement of and citation to the applicable law, code,
ordinance or other legal authority. NAID will then analyze the law, code, ordinance or other legal authority to determine whether
the applicant Company may be exempted from the particular criteria, practice or disclosure. NAID will notify the applicant
Company in writing of such determination.
In addition, a particular requirement of this application, although permissible under applicable laws and regulations, may violate
applicable laws and regulations if applied in an impermissible manner, particularly in regard to hiring and retention practices. You
should consult your own legal counsel to determine whether your hiring and retention policies and practices comply with all
applicable laws and regulations.
Additional Required Materials: (Must use NAID Approved Forms. To be submitted with application.)
1)Access and Non-Access Employee List - A list of all employees indicating job, date of hire, citizen and access/non-access.
2)List of Destruction and Collection Vehicles – A List of all destruction and collection vehicles including the vehicle make and
model, VIN, license plate number and the state the vehicle registered.
3)List of Recipients of Destroyed Media – A list of all companies who receive the destroyed media and are responsible for
disposition of materials (pulping, incineration, smelting, etc.).
4)Subcontractor list (if applicable) – A list of all companies used to subcontract any part of the information destruction process.
5)Special Consideration Letter (only applicable for hardship) – Letter requesting a temporary or conditional qualification for a
specific NAID Certification criteria; only considered under extreme or special circumstance. Applicant must submit a written
request identifying the specific hardship or special circumstance for consideration, and state how the applicant will achieve the
intent of the criteria given their circumstances. The NAID Certification Review Board will review and respond to all requests.
We agree with and are bound to the following: (Please sign on bottom to indicate agreement with the following items.)
1.NAID Certification is optional and is not required for NAID membership.
2. The Company is an Active or Franchise Member of NAID in good standing and with no outstanding debt to the association. In order to gain
or maintain NAID Certification, the Company must be a NAID member in good standing.
3. Owners or Senior management of the Division of the Company that conduct the secure shredding operation have read and understand the
NAID Certification Audit Methodology, which makes clear the documentation, facilities and equipment that each location will be required to
have available and immediately accessible to the NAID Auditor.
4. Any failure to make accessible for inspection all documentation, facilities, and equipment on the date, time and location identified on the
Auditor Assignment & Confidentiality Agreement (Appointment) Form may result in failure to be NAID Certified, forfeiture of the application
fee, additional fees for the failures, re-auditing or other expenses, and/or require that we reapply if we want to pursue this credential. Also,
failure to meet the criteria for the type(s) indicated on this application may be considered a failure of the audit.
5. All application fees are non-refundable, except in the instance where the NAID Auditor fails to conduct the audit on the date, time and
location indicated on the Auditor Assignment & Confidentiality Agreement (Appointment) form; and when, in such circumstance, the
Company decides to withdraw their application.
6.At no time will the label “NAID Certification” or “NAID Certified” be applied, referenced or inferred to facilities or operations of the
Company where 1) the location and operating details related to the facility or operation have not been specifically and formally provided to
NAID for participation in the NAID Certification program, or 2) the facility or operation does not have any involvement related to the
collection, transport, processing and/or destruction of Confidential Customer Materials.
7. The Company must reapply for NAID Certification on an annual basis, prior to the expiration of the current NAID Certification. If the
Company chooses not to reapply and/or not to submit to the required audit, it will result in loss of NAID Certification. Loss of NAID
Certification will not affect NAID membership.
8.The Company understands that NAID Certification status is public information. Information regarding renewals, lapses, certified operations
and endorsements, Company contact information, and the Certification expiration date are displayed on the NAID website and made available
to email subscribers.
9. The Company will hold NAID harmless from any claim of damage or loss as a result of the Company’s failure to achieve NAID
Certification.
Company Name:______________________________________________
Page 3 of 15 MLCertApBranch(US&Can)2018
10.The Company agrees that any location seeking NAID Certification will be NAID Certified for Micro Media (Microfiche and Microfilm)
destruction only if the Company: 1) indicates in the application for such location that the location possesses equipment that meets the
required specification; 2) the equipment was inspected by the NAID Auditor at the time of the NAID Certification audit; and 3) the
destruction is being performed at the location (generally only at plant-based operations) for which the Company is seeking NAID
Certification.
11.The Company agrees that any location seeking NAID Certification will be NAID Certified for Computer Hard Drive destruction only if: 1)
the Company has an established and published standard destruction method for physically destroying computer hard drives; 2) all Customers
receiving Computer Hard Drive Destruction services have agreed to or have been notified in writing to these standard procedures or other
specific procedures; 3) these standard procedures have been demonstrated to the NAID Auditor during the NAID Certification audit of this
location; and 4) the destruction is being performed at the location (generally only at plant-based operations) for which the Company is
seeking NAID Certification.
12. The Company understands and agrees that if a location becomes NAID Certified for Mobile Operations only, then the Company must always
destroy while on or near the Customer’s premises unless the Customer has agreed in writing (including notification to the Customer by e-mail
or as part of the Customer’s agreement with the Company) to permit destruction at a site remote from the Customer’s location. If the
Company’s mobile unit performs the shredding away from the Customer site without such written consent or notice, the Company will be
considered to be no longer following the Mobile Certification standards and may be subject to review and investigation by the NAID
Certification Review Board.
13. The Company understands and agrees that if the Company is applying for Plant-based Operations, the Company must maintain at least 90
days of CCTV recordings for each plant or Transfer Processing Station and must be able to produce them during the time of an audit. If the
Company is unable to produce the 90 days of recordings at an audit; the Company may be subject to a reaudit, including associated costs for
this re-audit.
14. The Company understands that the specifications and fees for NAID Certification are subject to change at the discretion of the NAID Board
of Directors.
15. All of the Company’s employees are legally registered to work in the country to which this Application applies, and the Company has all
necessary documentation to confirm this (see the Employment Information Disclaimer).
16.The Company understands that it is responsible for ensuring that background checks of current and prospective employees and any use of
consumer reports for employment purposes comply with the mandates of the Fair Credit Reporting Act, 15 U.S.C. 1681 et seq.
17. If restrictive employment agreements are in place that would prevent the Company from conducting drug screening and/or criminal record
searches, the Company will provide a detailed description of such restrictions with this application.
18.The Company understands that random Unannounced Audits are part of the NAID Certification Program. Only if asked and not a hardship,
the Company will allow access to a NAID Auditor for purposes of conducting such Unannounced Audits.
19. The Company understands that the NAID Certification Review Board tracks verified reports of certification non-compliance per
company/location and may issue fines and/or sanctions or recommend removal of certification for certification violations, in accordance with
the Certification Review Board Guidelines. Such fines and/or sanctions are in addition to any remedial actions ordered by the Certification
Review Board (CRB) to bring the operation back into compliance. All fines must be paid within 30 days, unless the Company chooses to
appeal the CRB’s decision, in which case a formal appeal must be submitted to NAID Headquarters no later than 45 days after the date of
notification of the fine/sanction. The Company understands that the NAID Complaint Resolution Council (CRC) will review appeals of CRB
fines/sanctions, and the Company will be granted the opportunity to provide spoken testimony within 30 days of the formal submission of the
appeal. The NAID Board of Directors will review the CRC’s recommendation and make the final decision on all appeals. The Company will
accept the ruling of the NAID Board of Directors as final and seek no further remedy, legal or otherwise.
20.The Company understands and agrees that the NAID Auditor may inspect and test its access control systems related to the facilities,
containers and vehicles used to provide secure destruction services during announced and unannounced audits and will not consider such
inspection and testing to be a violation of the law, provided such inspection and testing does not result in property damage or the risk of
personal injury and is undertaken solely for the purpose of ascertaining compliance with NAID Certification.
21. At any time during the application and/or audit process or after NAID Certification is approved by the NAID Certification Review Board, the
Company acknowledges that NAID, its agents and/or the NAID Auditor may investigate or require additional information or documentation
from the Company in order to verify information on this Application or the NAID Certification criteria.
22.The Company understands and agrees that all of its employees and agents will refrain from any false or misleading claims, suggestions or
references regarding NAID Certification, including but not limited to such claims used in advertising produced in advance and/or in
anticipation of NAID Certification at some future date.
23.If the Company has a change in address, ownership, or the operations/services it offers to Customers any time during a pending NAID
Certification application or audit, or while the Company is NAID Certified, the Company must notify NAID in writing within 15 business
days of this status change. Failure to do so may result in fines, sanctions and/or revocation of NAID Certification.
Company Name:______________________________________________
Page 4 of 15 MLCertApBranch(US&Can)2018
24.The Company agrees that all destruction locations will utilize Company service paperwork or contract that includes Customer
acknowledgement, receipt or agreement regarding the specific service it is receiving. If destruction services rendered by the Company after it
is NAID Certified are not among those for which the Company is NAID Certified, but such services could be NAID Certified (plant-based,
mobile operations or sanitization operations, and/or destruction endorsements for paper/printed media, micro media or computer hard drives)
and/or are recycling services of unshredded/intact paper, then the Customer must be notified in writing that such service is NOT NAID
Certified. This written notification may be contained on a materials receipt, certificate of destruction, current Customer agreement/contract or
another written notice (including e-mail or another electronic method that may be printed) delivered by the Company to the
Customer/recipient of services.
25.The Company agrees that if any location for which it is seeking NAID Certification becomes NAID Certified, then if at any time during the
audit process or NAID Certification the Company elects to discontinue any or all NAID Certification operations or endorsements for such
location, the Company must notify NAID in writing within 30 days of this status change and has an ethical responsibility to inform clients
(aware of the Company’s NAID Certification status) of the change.
26.The Company understands that ALL NAID certifiable services/operations being offered to the Company’s Customers must be NAID
Certified in order to gain and maintain NAID Certified status. If the Company adds a certifiable operation after NAID Certification has been
approved, it has 6 months in which to apply for NAID Certification of the new operation. Failure to apply for and/or successfully pass an
audit of all certifiable operations may result in the removal of all NAID Certifications.
27. The Company understands that the NAID Auditor does NOT approve or deny NAID Certification. The Auditor’s findings will be submitted
to the NAID Certification Review Board for approval, determination of remedial or corrective actions and/or additional fees necessary to
approve NAID Certification, or denial of application.
28.The Company has 14 business days (as determined by the date on the notice sent to the Company regarding the results of an audit) to submit
to the NAID Complaint Resolution Council in writing any protest of the results of an audit. The Company understands that the protest should
clearly state the perceived reason of the failure to achieve NAID Certification and why the finding is incorrect. The Company understands
that the NAID Complaint Resolution Council will review the dispute in accordance with the Complaint Resolution Council Guidelines, and
any ruling on the appeal is subject to the approval of the NAID Board of Directors. The Company will accept the ruling as final and seek no
further remedy, legal or otherwise, except to reapply for NAID Certification at the Company’s discretion.
29. This Application is truthful and accurately represents the daily operating procedures of the Company’s secure shredding operations. The
Company understands that if any of its representatives willfully deceive NAID or a NAID Auditor, the Company could be immediately
removed from NAID or the NAID Certification may be revoked.
30. Indications of the signatory’s signature below acknowledge that I am an owner, corporate officer or official
representative of the Company submitting this Application. The undersigned has full authority to request that the Company apply for NAID
Certification and submit to any requisite audits, with full knowledge of the Company’s operation to accurately complete the Application, and
the authority to execute this agreement.
This information provided in this application is truthful and accurate. I have permission and legal authority to bind the organization to
the above agreements in this application. By signing below, I agree to adhere to the above agreements.
Signed: Date:
Print Name: Title:
Company Name:______________________________________________
Page 5 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
EMPLOYEE REQUIREMENTS
1.1 Applicant Claims
______________
All Access Employees and Non-Access Employees must have
the following on file:
•Confidentiality Agreement
•I-9 Form U.S. employees hired after November 7, 1986
or proper work registration for non-citizens
(See Employment Information Disclaimer.))
The Auditor will request evidence of the appropriate documentation in
the employee files as follows:
•7 or fewer Access and/or Non-Access Employees: Auditor
will view employee files for all Access and Non-Access
Employees.
OR
•More than 7 Access and/or Non-Access Employees: Auditor
will view employee files as a random sample , totaling 25%
of the entire Access and Non-Access Employees List, with a
minimum of 7 employees and a maximum of 15 employees.
Auditor must inspect applicable documentation for all Non-Citizen
Employees and Access Employees who are owners, partners or senior
managers (of destruction division) of the Company.
The following Access Employees are exempt from the Employment
Verification, Drug Screening and I-9:
1)officers, directors, owners and/or partners of the Company
not engaged in the day-to-day operations;
2)others who have access to or can grant authorize access to
the Confidential Customer Media to be destroyed at the
applicant’s location but are not engaged in the day-to-day
destruction operations; and/or
3)independent contractors, subcontractors or employees.
Any Access Employees representing the Headquarters of the
Company’s information destruction division, minimally the
President/Vice President of area &/or Audit Coordinator, whether at the
location listed on this application or at another location, must have
criminal background searches conducted.
Auditor will review the results of the Social Security Header Search and
criminal background checks of the selected employees. Criminal
background checks must include a list and the results of the jurisdictions
searched.
No person subject to a felony conviction in the last 7 years for any crime
involving theft (of tangible or intangible property), fraud, burglary or
larceny, and no person currently incarcerated for any crime may be
employed in a capacity where they may come in contact with
Confidential Customer Media. This applies to all Access Employees.
The employment screening is applicable to all Access Employees (other
than those exempt from these requirements as mentioned above)
regardless of length of service or pre-existing employment status, except
where there is a restrictive employment agreement in place. Access
Employees whose employment predates the implementation of NAID
Certification, must state that they have been employed with the
company for the past 7 years.
NAID USE ONLY
Verified
_______________
1.2
Applicant Claims
______________
Access Employees must have the below employment
screening requirements:
When searches are being conducted in places outside of the
U.S. every effort should be made to have the searches done at
a level comparable to the county and state searches done in the
U.S.
•7 Year Criminal Record Search:
o Social Security Header Search listing all associated
addresses of the employee. (Must be conducted
prior to the criminal background investigation to
ensure all counties, states, and federal district
courts of residence and employment have been
included and verified in the investigation)
o County records search for all counties on Social
Security Header Search
o Statewide records search for all states on Social
Security Header Search
o Federal Records Search for all Federal Districts in
all states on Social Security Header Search
•Pre-hire or Initial Drug Screening
•7 Year Employment History Verification which must
include the following for each place of employment:
o Name, City and State of the previous employer
o Dates of employment, as reported by the employee
o Date of verification (or attempted verification if the
previous employer cannot be reached)
o Indication of if the previous employer was able to
verify the dates employment.
The criminal record search must be conducted by a third-party.
County and state checks must be pulled directly from the
county and state repositories. Federal checks must be pulled
from the federal district courts or via PACER. The use of a
secondary database, often referred to as a SuperSearch,
InstaSearch and/or National/Nationwide Search is not allowed.
If federal, statewide and/or county searches are not available
in a particular state, the applicant must complete the ones
available and provide documentation to support the
unavailability of the other.
If a location has restrictive employee agreements in place that
prevents drug screening and/or criminal record searches for
certain employees, a letter must be submitted stating who and
what employee screening restrictions are in place.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 6 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
1.3 Applicant Claims
______________
Access Employees are monitored for drugs/substance abuse
by one of the following methods (check one):
Option #1: On a random basis, 50% of access employees
are drug screened annually.
OR
Option #2: Management has been trained in a “Substance
Abuse Recognition Awareness Program” pre-approved
by NAID.
Auditor will verify evidence of the method indicated:
Option #1: Invoices/results from drug testing lab for random sampling
drug screening of 50% of employees
OR
Option #2: Documentation showing Program approval from NAID and
proof that on-site management has completed this Substance Abuse
Recognition training within the last year.
NAID USE ONLY
Verified
_______________
1.4 Applicant Claims
______________
Ongoing criminal record searches on Access Employees by
one of the following methods (check one):
Option #1: One-third of Access Employees have been
randomly selected and criminal record searches
conducted annually.
Option #2: One-third of all Access Employees are
screened the first year, a different 1/3 are screened the
following year, and the remaining 1/3 are screened in the
third year.
Option #3: All Access Employees have criminal record
searches conducted every three years.
Year of most recent search: __________
Auditor will review the results of the criminal record search of the
employees based upon the method indicated.
NAID USE ONLY
Verified
_______________
1.5 Applicant Claims
______________
Drivers meet all licensing requirements of the governmental
jurisdiction.
The applicable law or regulation for commercial driver licenses will be
made available and examined by the Auditor. Auditor will request any
items required by law for all drivers listed on the Access and Non-
Access Employees List.
NAID USE ONLY
Verified
_______________
OPERATIONAL SECURITY
2.1a Applicant Claims
______________
The Company has a written policies and procedures for
drivers and destruction processing employees.
Auditor to inspect a copy of policies and procedures manuals.
NAID USE ONLY
Verified
_______________
2.1b Applicant Claims
______________
Prior to gaining access to confidential material, all drivers
and destruction processing employees must sign an
acknowledgement indicating that they have received, read
and understand the Company’s current written policies and
procedures. A new acknowledgment must be signed by
employees on an annual basis.
Auditor to inspect employee files for a signed acknowledgement of the
Company’s current written policies and procedures. This form must
reference the version of the written policies and procedures that it
applies to. A new acknowledgment must be signed by employees on
an annual basis.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 7 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
2.1c Applicant Claims
______________
The Company has a written policy in place, stating that it
will notify any Customer of a potential release of, or
unauthorized access to, that Customer’s Confidential
Customer Media that poses a threat to the security or
confidentiality of that information as soon as reasonably
possible.
Auditor will check procedures manual to ensure that there is a written
policy stating that it will notify any Customer of a potential release of,
or unauthorized access to, that Customer’s Confidential Customer
Media that poses a threat to the security or confidentiality of that
information as soon as reasonably possible
NAID USE ONLY
Verified
_______________
2.1d Applicant Claims
______________
The Company has a written policy in place instructing and
requiring employees to notify management of a potential
release of, or unauthorized access to, Confidential Customer
Media that poses a threat to the security or confidentiality of
the information.
Auditor will check procedures manual to ensure that there is a written
policy instructing and requiring employees to notify management of a
potential release of, or unauthorized access to, Confidential Customer
Media that poses a threat to the security or confidentiality of the
information. NAID USE ONLY
Verified
_______________
2.1e Applicant Claims
______________
The Company has a written Incident Response Plan for
responding to suspected or known security incidents. The
Incident Response Plan must include a post-incident
business impact analysis and a process for documenting all
incidents and their outcomes.
Auditor will review the Company’s written Incident Response Plan to
ensure there is a policy addressing post-incident business impact
analysis and documentation of all incidents and their outcomes.
NAID USE ONLY
Verified
_______________
2.1f Applicant Claims
______________
The Company has a written policy that addresses the
procedures for employees to follow during an unannounced
audit. This policy must name at least one person or position
of contact with physical access to the information the auditor
may ask to review, which is to be contacted in the event of
an unannounced audit at the destruction plant or the office.
Should circumstances prevent the designated point of
contact from being available at the time of the unannounced
audit, the Certification Review Board may request additional
information to be provided at a later date.
Auditor will review the Company’s written policies and procedures for
their written policy instructing employees in the procedures to follow
during an unannounced audit.
NAID USE ONLY
Verified
_______________
2.1g Applicant Claims
______________
______________
NAID USE ONLY
Verified
______________
All Access Employees must be trained annually to comply
with the NAID AAA Certification requirements:
Option #1: All Access Employees have taken and passed
the NAID Access Employee Training Program (AETP).
(Submit AETP Licensing Form with application.)
Option #2: All Access Employees have taken and passed
a third-party training course which has been pre-
approved by NAID. (Submit AETP approval form and
outline of training with application.)
Option #3: All Access Employees have taken and passed
an in-house training. If NAID has not already approved
the training course for this purpose, an approval form
and outline of the program is included with this
application. (Submit AETP approval form and outline of
training with application.)
Auditor will review evidence of annual training to ensure all Access
Employees have passed a training program which complies with the
NAID AAA Certification requirements.
Company Name:______________________________________________
Page 8 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
2.2 Applicant Claims
______________
Access Employees must display a Company-issued photo
I.D. badge at all times while on duty. Badges must
minimally include a photo, employee name and Company
name.
Auditor will inspect the Company policies and procedures manual to
ensure there is a written policy for Access Employees to display a
Company-issued photo I.D. badge at all times while on duty. Auditor
will also inspect employees present to verify that they are wearing
photo I.D. badges.
NAID USE ONLY
Verified
_______________
2.3 Applicant Claims
______________
While at the Customer’s location, drivers and other
employees of contractor must wear a specific uniform
(minimum of Company shirt) to improve recognition by
Customers.
Auditor will inspect the Company policies and procedures manual to
ensure there is a written policy for drivers and other employees of
contractor must wear a specific uniform while at the Customer’s
location. Auditor will also inspect drivers present to verify they are
wearing uniforms.
NAID USE ONLY
Verified
_______________
2.4 Applicant Claims
______________
At the time that media is transferred from the Customer’s
custody to the custody of the destruction Company’s
employees, the Customer must be provided with a receipt or
certificate of destruction indicating type and quantity of
media and an acknowledgement of the services rendered.
An electronic receipt is acceptable, provided there is a
verifiable electronic audit trail and the ability to provide the
Customer with the printed information.
If destruction services rendered by the Company are not
NAID Certified, but such services could be NAID Certified
and/or are recycling services of unshredded/intact paper,
then the recipient of the services must be notified in writing
that such service is NOT NAID Certified. This written
notification may be contained on a materials receipt,
certificate of destruction, current Customer
agreement/contract or another written notice (including e-
mail or another electronic method that may be printed)
delivered by the Company to the Customer/recipient of
services.
Auditor will inspect the Company policies and procedures manual to
ensure that Customer documentation process contains the requisite
information and will inspect a copy or sample of the Customer
documentation. If applicable, Auditor must inspect a copy or sample of
the Customer documentation when destruction or recycling services
are NOT NAID Certified to verify such notification is stated.
For Plant-based operations and Transfer Processing Stations only:
If a Subcontractor is used for transport prior to destruction, the
Subcontractor must provide the Customer and the Applicant Company
with the Customer receipt documentation. Auditor to verify
documentation has been provided by the Subcontractor and is being
utilized by inspecting a copy of a past Customer receipt.
NAID USE ONLY
Verified
_______________
2.5 Applicant Claims
______________
All media for destruction must always be attended by an
access employee or physically secured from unauthorized
access while in the custody of the destruction contractor
before they are destroyed.
The Auditor will verify that containers used in the field to transport
media for destruction from the Customer’s facility to the destruction
provider’s vehicle have operable locks. Auditor will inspect the
Company policies and procedures manual to assure that custody of the
media for destruction is addressed.
For Plant-based operations and Transfer Processing Stations:
Auditor will determine that there is a secured area designated for
holding media when unattended until that media can be destroyed.
NAID USE ONLY
Verified
_______________
2.6 Applicant Claims
______________
All media is securely contained during transfer from
Customers’ custody to transportation vehicle to prevent loss
from wind or other atmospheric conditions.
Auditor to inspect collection equipment used in the field to verify it
protects the media from loss due to wind, tipping/spillage or other
atmospheric conditions.
If in the field, Auditor to check area around collection or destruction
vehicle to verify it is free from loose information-bearing media.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 9 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
2.7 Applicant Claims
______________
All vehicles used for transfer of media will have the
applicable government inspection for roadworthiness on file.
Auditor will review paperwork from the most recent inspection of all
the Company’s commercial vehicles within the time frame stated in
the applicable state law regarding the nature and frequency of these
inspections. If there is a jurisdiction that does not require an inspection
of commercial vehicles, Auditor will require a copy of the government
statement saying so. Three vehicle records will be checked.NAID USE ONLY
Verified
_______________
2.8 Applicant Claims
______________
All vehicles used for transfer and/or destruction of media
(whether intact or destroyed) will have lockable cabs and
lockable, fully enclosed boxes. These vehicle cabs and boxes
must be locked during transport and when unattended by
Access Employee.
Auditor will inspect trucks to verify that all cab doors and truck boxes
are lockable and that locks work properly. Auditor will inspect the
Company policies and procedures manual to assure that vehicle cab
and box locking is addressed.
Note: If there are 3 trucks or less in either category (Mobile Shredding
and Collection Only), all trucks in each category must be made
available for inspection. If there are 4 or more trucks in either
category, 75% of the vehicles in either category must be made
available for inspection. If trucks are not made available, the Company
must provide written testimony that those trucks not presented for
inspection are of equal or superior condition of roadworthiness and
security. The testimony must be on Company letterhead and signed by
an officer of the Company.
NAID USE ONLY
Verified
_______________
2.9 Applicant Claims
______________
All drivers of vehicles must have readily accessible two-way
communication device.
Auditor to verify each driver has an operable two-way communication
device with them or in the vehicle.
NAID USE ONLY
Verified
_______________
2.10 Applicant Claims
______________
Not Applicable
APPLIES TO MOBILE CERTIFICATION ONLY
The Company must perform mobile destruction services at
the Customer’s site.
Auditor will verify that the Company policies and procedures manual
indicates that mobile destruction services must be performed at the
Customer’s site, unless there is a written Customer agreement stating
otherwise.
A Records Center is considered the Customer’s site when all media for
destruction comes from within it.
NAID USE ONLY
Verified
_______________
2.11 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
Unauthorized access to Confidential Customer Media in the
designated secure destruction area, storage area and/or
staging area is effectively prevented.
Auditor to inspect all entrances to verify that unauthorized access to
secured area is effectively prevented when media is not attended.
Auditor will verify that the Company policies and procedures manual
covers access control and unauthorized access interdiction measures.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 10 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
2.12 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
All visitors entering the secure destruction building or
Transfer Processing Station must sign a log with their name,
time in, affiliation, and time out. Visitors must be issued a
Visitor Badge and be escorted or under the supervision of
an Access Employee at all times while in the building. The
log must be maintained for one year.
Auditor will examine visitor logs and verify the logs are maintained
for one year.
NAID USE ONLY
Verified
_______________
2.13 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a secure area within the building devoted only to
processing and/or destroying media. No baling of
unshredded paper may take place in secure areas of the
plant-based destruction facility except cardboard.
In the event that the facility also stores records, recycles,
bales intact/unshredded paper or conducts other activities,
the collection and processing of media for destruction must
be in a designated (or delineated) area or secured area.
Auditor to inspect building to determine that the secured area for
destruction and/or media processing exists and that no baling of
unshredded paper takes place in the plant-based destruction area.
If a secured area within the building is required, it must meet the
following specifications:
•There must be enough space within this area to stage all media to
be destroyed.
•The wall or fence securing this area must be a minimum of six feet
tall and have a lockable gate or door.
•If the wall or fence does not go all the way to the ceiling, then it
must have a ceiling mounted sensor alarm inside and over the
perimeter of the secure destruction, secure staging and processing
areas (or similar, suitable device) to detect if and when individuals
have climbed over or come through a section of the secured area
fence/wall.
If the only operations taking place within the building are related to
information destruction, and if ALL employees with access into the
building are screened in accordance with Section 1.2 and are listed as
access employees, a separate secure area is not required and the entire
building is considered the secure area.
NAID USE ONLY
Verified
_______________
2.14 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a third-party monitored alarm system in place and
utilized when the secure destruction building or Transfer
Processing Station is unoccupied.
Auditor is to inspect alarm system to make sure it is operational and
examine alarm test reports &/or invoices from alarm monitoring
service.
NAID USE ONLY
Verified
_______________
2.15 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
There is a closed circuit camera system monitoring all
access points into the secure buildings/areas where
confidential media is stored, processed and/or destroyed. All
processing activities are monitored with sufficient clarity to
identify people and their activities. There must be enough
lighting during non-business hours to ensure that all images
have sufficient clarity.
The Company has a written policy, stating that branches
will notify management within a specified timeframe of the
discovery of a loss of data. There must also be a written
policy defining the steps to be taken by senior management
in correcting the problems with the CCTV system reported
by branch.
Recordings must be retained for 90 consecutive days in an
organized, retrievable manner.
Number of days of recordings (as of the date of
application):________
Auditor to inspect the closed circuit monitoring system to ensure that
it meets criteria. This includes checking that the system has sufficient
cameras and image quality to identify individuals and capture all
activities in the secure destruction building from point of entry
through final destruction, including any unauthorized access to the
confidential information.
Auditor to review written policies and procedures to ensure there is a
policy for branches to notify senior management within a specified
timeframe of the discovery of a loss of data. Auditor will also review
written policies and procedures to ensure there is a policy defining the
steps to be taken by senior management correcting the problems with
the CCTV system reported by branch locations.
90 days of CCTV playback must be available at the time of the
scheduled audit. Auditor to inspect recording library system and to
review four 4-minute samples:
•Two random samples during operational hours
•One random sample during non-operational hours
•One sample from the 90th day back from the current date
Recording of operations may be suspended for playback recordings.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 11 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
2.16 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED CERTIFICATION WITH A
COLLECTION FACILITY
Collection Facilities are used to store media intermittently to
be transferred to a plant-based destruction facility within 3
business days. Facility has restricted access with a monitored
alarm system. The list of all Collection Facility locations
associated with this plant-based operation is included with
this Application.
Number of Collection Facilities:_________
ADDRESS: ____________________________________
____________________________________
Auditor will check policy and procedures manual to assure that media
for destruction is not processed and not stored for more that 3 business
days and that the following are maintained:
•Access is restricted to Access Employees
•Visitor’s Log
•I.D. badges are worn by employees and visitors
•Monitored Alarm System
•In the event that the facility also stores records, recycles or bales
intact/unshredded paper, or conducts other activities, the collection
of media for destruction must be in a designated (or delineated)
area or secured area. (See Item 2.13)
Auditor may or may not check the actual facility for requirements at
the time of an audit.
NAID USE ONLY
Verified
_______________
2.17 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
The following Operational Security systems are checked and
maintained on a monthly basis:
•Alarm System
•Lighting
•Door Locks
•Visitor Logs
The CCTV system must be checked on a weekly basis,
including a minimum of five minutes of playback to ensure
that all cameras and recording systems are working correctly.
Monthly and Weekly Logs must be kept for one year.
Auditor will exam the Monthly and Weekly Operational Security
Maintenance Logs and verify the are maintained for one year.
NAID USE ONLY
Verified
_______________
ENDORSEMENTS & THE DESTRUCTION PROCESS
3.1 Applicant Claims
______________
Not Applicable
PAPER/PRINTED MEDIA ENDORSEMENT
Paper/Printed Media is destroyed by commercial grade
destruction equipment and meets the particle size as stated by
the equipment’s OEM specifications. Acceptable deviant
tolerance: 1/16 inch
Continuous Shred:
Width (max): 5/8 inch & Length: Indefinite
Cross Cut or Pierce & Tear:
Width (max): 3/4 inch & Length (max): 2.5 inches
Pulverizer, Disintegrator or Hammermill*
Screen Size (max): 2-inch diameter holes
Unspecified Equipment
Please describe the type of equipment and cutting
mechanism specifications (screen hole size*, blade width,
etc.): ___________________________________
Maximum allowable sizes listed create a particle deemed
reasonable for regulatory compliance. Customers may specify
a smaller particle size at their discretion, which should be
codified contractually with the NAID Certified service
provider.
Mobile or Plant Equipment:__________________________
Manufacturer: ____________________________________
Model: _________________________________________
Serial #: _________________________________________
Capacity/Throughput (lbs/hr): ________________________
Horsepower: ______________________________________
The Auditor will verify that the particles produced by the equipment
are reasonably consistent with the OEM specifications and that the
equipment is of commercial grade.
*Auditor will review the Screen Changing Logs during the audit, if
applicable.
PULPING OR INCINERATION (PLANT-BASED ONLY)
In-House Pulping or Incineration must not require any Transfer of
Custody:
If the NAID Member owns or leases the pulping or incineration
equipment and building, and does not transfer custody of media to a
third party for transport or processing before media is pulped or
incinerated, then the results of the pulping or incineration must
effectively reduce the media to a size or condition that is not
reconstructible.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 12 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
3.2 Applicant Claims
______________
Not Applicable
MICRO MEDIA ENDORSEMENT
Micro Media (Microfiche or Microfilm only) is destroyed by
commercial grade destruction equipment which produces a
particle size of 1/8 inch maximum dimension or less.
Mobile or Plant Equipment:__________________________
Manufacturer: ____________________________________
Model :__________________________________________
The Auditor will verify that the particle produced by the equipment is
1/8 inch maximum or less and that the equipment is of commercial
grade.
Acceptable deviant tolerance: 1/16 inch.
NAID USE ONLY
Verified
_______________
3.3 Applicant Claims
______________
Not Applicable
PHYSICAL DESTRUCTION OF HARD DRIVES ENDORSEMENT
Computer Hard Drives are physically destroyed (not wiping or
overwriting) in accordance with the Company’s standard
method of destruction which includes:
•Prior to destruction the Company must provide the
Customers with a written description of the process
for destroying the hard drives.
•Serial numbers of all hard drives or CPUs being
destroyed for each Customer are recorded, unless
the Customer has signed an opt-out agreement.
•The log of recorded serial numbers is returned to
the Customer upon the completion of the service,
unless the Customer has opted out of this
requirement.
•Hard drives must be damaged to the point where
the platters will not spin.
Method of Physical Destruction:
______________________________________________
Auditor will review the Company’s written policies and procedures
for their standard physical destruction (not wiping or overwriting) of
computer hard drives.
Auditor will also review verification that the Customer has been
notified of the process of destruction.
Auditor will also review the serial number recordation log and any
opt-out agreements Customers signed.
NAID USE ONLY
Verified
_______________
3.4 Applicant Claims
______________
Not Applicable
_______________
NAID USE ONLY
Verified
_______________
NON-PAPER MEDIA ENDORSEMENT
Non-Paper Media is destroyed in accordance with the
Company’s standard method of destruction. Any method that
deviates from the standard method of destruction must be
communicated to the Customer in writing.
Types of Non-Paper Media physically destroyed:
Optical Media: ________________________________
Magnetic Media: ______________________________
Flash Media: _________________________________
Other: ______________________________________
Method of Destruction:
______________________________________________
Auditor will review the Company’s written policies and procedures
for their standard physical destruction of Non-Paper Media.
Auditor will also review written policies and copies of documentation
provided to the Customer for methods of destruction that deviate
from the standard method.
Company Name:______________________________________________
Page 13 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
3.5 Applicant Claims
______________
Not Applicable
NAID USE ONLY
Verified
_______________
PRODUCT DESTRUCTION ENDORSEMENT
Product Destruction is destroyed in accordance with the
Company’s standard method of destruction which includes:
•Product Destruction is provided in a manner
consistent with the company’s policies and
procedures manual.
•The policies and procedures manual must state that
customer receiving the product destruction
endorsement will be provided a detailed account of
the process used to destroy the specific product in
advance of the project. Such product destruction
agreements must be kept on file for 3 years from
the date of the destruction.
•Employee Confidentiality Agreements must
contain language wherein the employee agrees that
products accepted for destruction are to be
considered confidential and that removal or use by
the employee is a violation punishable by dismissal
and subject to possible legal prosecution.
Auditor will review the Company’s written policies and procedures
for their standard Product Destruction.
Auditor will also review verification that the Customer has been
notified of the process of destruction with a detailed account of the
process used to destroy the product. The notification to the Customer
must be kept on file for 3 years from the date of destruction.
Auditor will review the employee confidentiality agreements to verify
that language stating that the employee agrees that products accepted
for destruction are to be considered as confidential and that removal
or use by the employee is a violation punishable by dismissal and
subject to possible legal prosecution.
Has modified policies and procedures to specifically state that clients
receiving product destruction services will be provided a detailed
accounting of the process used to destroy the specific product in
advance of the project, and that such product destruction agreements
be kept on file for 3 years from the date of the destruction. (Audit
methodology: Reviewed by auditor)
3.6 Applicant Claims
______________
Not Applicable
APPLIES TO PLANT-BASED AND/OR TRANSFER PROCESSING
STATION CERTIFICATION ONLY
The destruction of confidential media must take place within 3
business days from the arrival at the destruction facility.
For purges, the destruction of confidential media must take
place within 15 business days
For Transfer Processing Stations, the confidential material
must be transferred to a Plant-based Destruction Operation
within 15 business days.
If destruction does not occur in the stated timeframe, the
Customer must be notified in writing.
Auditor will check the policy and procedures manual to assure that all
media is destroyed within the stated timeframe. Exceptions include
acts of God, breakdowns or Customer notification to retain media for
a longer period.
NAID USE ONLY
Verified
_______________
3.7 Applicant Claims
______________
The destruction process has a method of quality control in
place to ensure destroyed information is within the stated
standards.
Auditor will check policy and procedures manual to assure that there
is a quality control procedure in place for ensuring destroyed
information is within stated standards.
NAID USE ONLY
Verified
_______________
Company Name:______________________________________________
Page 14 of 15 MLCertApBranch(US&Can)2018
Initial Criteria Audit Methodology
3.8 Applicant Claims
______________
Destroyed paper/printed media and micro media must be
disposed (sold, gifted, or discarded) in a responsible manner,
which does not include any type of reuse.
Destroyed remnants of hard drives and circuit boards must be
disposed (sold, gifted, or discarded) in a responsible manner,
which includes a requirement that the recipient of the
destroyed electronic media is registered by the International
Organization for Standardization (ISO) as being compliant
with the 14001 standard.
Applicant must attach a list of all current recipients of
destroyed paper/printed media, micro media and hard drives,
indicating the final disposition of materials by the recipients.
Requests for a hardship exemption must be submitted in
writing to the Certification Review Board.
Auditor will review list of recipients and manner in which
paper/printed media, micro media and computer hard drives are
disposed.
Auditor will verify that the Company has written agreements in place
to support stated responsible disposal.
Auditor to check waste receptacles and area directly outside of the
information destruction building/area to see that no paper/printed
media, micro media and computer hard drives whether destroyed or
intact has been deposited in waste receptacles.
NAID USE ONLY
Verified
_______________
3.9 Applicant Claims
______________
Not Applicable
NAID USE ONLY
Verified
_______________
TRANSFER OF CUSTODY
Transfer of custody is used for each as indicated (Check all
that apply):
Temporary Staffing
Transportation (of media prior to destruction)
Other: ______________________________________
If media destruction is subcontracted, all Customers must be
notified in writing of the following information:
o name of the subcontractor company
o the method of the destruction
All Access Employees of the companies in the chain of
custody must acknowledge in writing that they understand that
all media with which they come in contact is confidential, and
they accept fiduciary responsibility.
All Access Employees of the companies must submit to the
same background screening requirements as NAID
Certification.
All companies accepting custody of media must meet the
NAID Certification criteria. If Company does not meet the
NAID Certification criteria then the Customer must be
notified in writing that such service is not NAID Certified.
Auditor will check documentation to verify that the customer was
notified if transfer of custody occurs. If a site visit is required for
verification, the Applicant assumes responsibility for any additional
fees of the Auditor.
COMPANY ASSURANCES
4.1 Applicant Claims
______________
Company is a legally registered business in the state of
residence.
Auditor to examine business license, Certificate of Incorporation or
SEC filing.
NAID USE ONLY
Verified
_______________
4.2 Applicant Claims
______________
General liability insurance (aggregate or umbrella) of
$2,000,000 or more.
Auditor to examine valid insurance documents, which could be an
ACORD Certificate, a certificate of insurance or a letter from broker
verifying coverage limits. Letter must be dated no earlier than one
month prior to audit and be for the amount of $2,000,000 or more.
NAID USE ONLY
Verified
_______________
Page 1 of 1 GrandfatheringCustodialCertApp_2018
NAID® Custodial Membership/Certification Addendum
(For companies applying for NAID AAA Certification of destruction services, which also take intermediary
or temporary custody of confidential material prior to destruction)
COMPANY INFORMATION
Company Name:
Audit Contact: City/State:
Email: Phone:
COMPANY PROFILE:
Type of Custodial Operations (Check all that apply.):
Records Storage Data Recovery/Forensic Breach Investigation
Document Scanning/Imaging Online Backup
Aggregator/Transportation Backup Tape Rotation
Other (describe):
We agree with and are bound to the following (Please initial each item and sign on bottom.):
________
1.The custodial services indicated are provided from the same corporation or legal entity and under the same name and from
the same or immediately adjacent facilities.
________
2.Discarded information resulting from providing the indicated services are destroyed by our NAID certified destruction
service when destruction is required.
________
3.The background screening of all employees engaged in providing the indicated custodial services is equal to or exceeds
NAID certification requirements prior to unsupervised access to client information.
________
4.Access control measures related to providing the indicated custodial services meets or exceeds NAID Certification Plant-
based Operation requirements.
________ 5. Custodial services are provided under documented with written security policies and procedures.
________
6.Employees engaged in providing indicated custodial services have acknowledged the fiduciary nature of their obligation
to protect client information from unauthorized access and to report to management any situation that could or has allowed
unauthorized access (see NAID Confidentiality Agreement).
________
7.During future scheduled and unannounced NAID Certification audits, the NAID auditor will be allowed to verify any of
the stipulations herein.
________
8.NAID will be immediately informed (5 business days) of any change in the above stipulations or any in the nature or type
of the custodial services offered.
Upon receipt of this agreement, NAID would then add the indicated services to the member’s certification profile, resulting in said
services being reflected/searchable on the new NAID membership directory.
Signed: Date:
Print Name: Title:
NAID Use Only
Audit #: Received: Complete:
DBU: Cert Expires: Processed by:
AETPOrderForm – 2018
NAID Access Employee Training Program
Order Form and Licensing Agreement
Please Note : The NAID Access Employee Training Program is only available to NAID Members
Company
Name: Individual:
Street Address:
City: State:
Postal
Code: Country:
Phone: Fax: Email:
Will the NAID Access Employee Training Program be utilized at multiple locations? No Yes
If yes, please provide the city and state of the other locations that will be utilizing this program (must be the same company):
1.Company: ________________________ City: ____________________ State/Prov.:_____ Country: _________________
2.Company: ________________________ City: ____________________ State/Prov.:_____ Country: _________________
3.Company: ________________________ City: ____________________ State/Prov.:_____ Country: _________________
NAID Access Employee Training Program
$79.95
This one-time fee grants the NAID Member company (Licensee) rights to use the NAID Access Employee Training Program (Program),
including training video, test, test key, and forms to document successful completion of training by Access Employees to fulfil the
requirements for access employee training according to Section 2.1g of the NAID Certification Application. Upon processing of payment, a web
link to download the training materials will be sent to the email address provided above.
By initialing the following statements it is agreed and understood the following stipulations are a legally binding condition of NAID Access
Employee Training Program and Video (Program) use:
The NAID Access Employee Training Program and Video (Program) continues to be the intellectual property of NAID in perpetuity,
incorporating all rights and privileges afforded such ownership.
The Member licensing the use of the Program may not reproduce or copy it, in whole or part, in any manner, including written transcripts or
excerpts. Licensees are permitted to electronically copy the Program to a computer hard drive with the understanding that the Licensee has the
capability and legal responsibility to prevent unauthorized access at all times.
The Member may not post the video, in whole or part, to a publicly accessible website or intranet.
The Member may not allow access to, or allow use by, any other company, entity, agency or individual.
The Member understands the violation of any provisions herein, or a violation of NAID’s copyright, and or any effort to circumvent, mitigate,
eliminate or prevent NAID’s ability to control the distribution of the Video or images from the Video, as determined by NAID, may mean
revocation of license, sanctions by NAID including loss of membership or certification, and civil or criminal remedies as NAID may determine
appropriate.
Only Members with a copy of this license agreement, which will be stored at NAID Headquarters, may use the Program to fulfil the requirements
for Access Employee training according to Section 2.1g of the NAID Certification application.
NAID Certification allows for the use of third party or in-house resources for Access Employee training, subject to NAID approval, and the use of
the Program to fulfil the NAID Certification requirement for access employee training according to Section 2.1g of the NAID Certification
application is the sole discretion of the Member.
Updated versions of the Program are not necessarily included in this licensing agreement fee and may need to be licensed separately as they
become available.
Signed: Date:
Print Name: Title:
NAID Use Only
Member#: Received: Shipped: Completed by:
AETPOrderForm – 2018
NAID Access Employee Training Program
Payment Form
Company Name: ________________________________Individual: _________________________________
Street Address (required): _____________________________________________________________________
City: ________________________________________ State: __________ Postal Code: __________________
TOTAL REMITTANCE: USD $
Payment is by:
Enclosed Check (Payable to "NAID") Check No.:
AmEx Discover MasterCard Visa #-- -
Expires
(mo/yr): / CVV code:
Name on Card: Signature:
Page 1 of 1 AETPApprForm 2018
NAID® CERTIFICATION PROGRAM
ACCESS EMPLOYEE TRAINING PROGRAM
APPROVAL SUBMISSION FORM
Please complete this form and submit to NAID for approval of your Access Employee Training Program (AETP). Upon approval of
your program a confirmation email will be sent. Please remember that all access employees must go through the program annually.
Company: ___________________________________ Contact Name: ___________________________________
Contact Email: ________________________________________________________________________________________________
Physical Address: ________________________________________________________________________________________________
City: _________________________________________ State/Prov: _______________________ Postal Code: ___________________
Total # Access Employees Trained: _________ (all access employees must be trained, per Section 2.1g of the NAID AAA Certification Application)
Is the application for multiple locations? No Yes (If yes, please provide the Company name, city and state of the other location(s) that will be utilizing this program.)
1.Company:____________________________________ City:____________________ State/Prov:______ Country:______________
2.Company:____________________________________ City:____________________ State/Prov:______ Country:______________
3.Company:____________________________________ City:____________________ State/Prov:______ Country:______________
Agency administering the program: __________________________________________________________________________________
Contact person at Agency: _________________________________________________________________________________________
Title of Program: ________________________________________________________________________________________________
Date the program was last conducted (or is to be conducted): _____________________________________________________________
I am providing the following program information:
Type of or sample of dated documentation indicating the successful completion of the program:
Certificate Graded test
Signed attendance roster Other, explain ___________________________
AND
Outline of Program & Handouts/materials used during training
Company
Signature: _____________________________________________________________ Date: __________________________
Print Name: _____________________________________________________________ Title: __________________________
NAID Use Only
Signed: ______________________________________________________________ Date: _______________________________
Print Name: ______________________________________________________________ Title: _______________________________
Please submit the form via:
FAX: (480)658-2088
EMAIL: certification@naidonline.org
QUESTIONS: (602)788-6243
Page 1 of 1 SARPApprForm 2018
NAID® CERTIFICATION PROGRAM
SUBSTANCE ABUSE RECOGNITION TRAINING PROGRAM
APPROVAL SUBMISSION FORM
Please complete this form and submit to NAID for approval of your Substance Abuse Program Training (SARP). Upon approval of
your program a confirmation email will be sent. Please remember that manager(s) and/or supervisors must go through the program
annually.
Company: _____________________________________________ Contact Name: _______________________
Contact Email:
Physical Address:
City: ________________________________________ State/Prov: __________________ Postal Code: _______________
Total # Supervisors Trained at above Operation: Total # Destruction Employees at above Operation:
Is the application for multiple locations? No Yes (If yes, please provide the Company name, city and state of the other locations that will be utilizing this program.)
1.Company:____________________________ City:______________________ State/Prov:______ Country:______________
2.Company:____________________________ City:______________________ State/Prov:______ Country:______________
3.Company:____________________________ City:______________________ State/Prov:______ Country:______________
Agency administering the program: __________________________________________________________________________________
Contact person at Agency: _________________________________________________________________________________________
Agency phone number: __________________________________ Email address : _________________________________________
Title of Program: ________________________________________________________________________________________________
Date the program was last conducted (or is to be conducted): _____________________________________________________________
I am providing the following program information:
Certificate Graded test
Signed attendance roster Other, explain ___________________________
AND
Outline of Program & Handouts/materials used during training OR Proof of DOT approved program
Company
Signature: ____________________________________________________ Date: __________________________
Print Name: ____________________________________________________ Title: __________________________
NAID Use Only
Signed: ______________________________________________________________ Date: _______________________________
Print Name: ______________________________________________________________ Title: _______________________________
Please submit the form via:
FAX: (480)658-2088
EMAIL: certification@naidonline.org
QUESTIONS: (602)788-6243
AGREEMENT FOR RESPONSIBLE DISPOSAL OF DESTROYED MATERIALS
(between a Secure Destruction Service and Disposal Agent)
The following Secure Destruction Service is NAID® Certified or seeking NAID® Certification and is in
possession of destroyed materials as identified below that it must responsibly dispose:
SECURE DESTRUCTION SERVICE firm:
Address:
Destroyed Materials consisting of:
The following Disposal Agent accepts the Destroyed Materials and will responsibly dispose of these
materials in the method identified below:
DISPOSAL AGENT firm:
Address:
Final Disposition Method of Materials Received:
If destroyed computer hard drives are being disposed, the above Disposal Agent must be registered by the
International Organization for Standardization (ISO) as being compliant with the 14001 standard.
By signature below, the Disposal Agent agrees to the following in accepting the Destroyed Materials from
the Secure Destruction Service:
•Disposal Agent agrees to process and route the Destroyed Material by a mutually acceptable
method and to a mutually agreed destination that fulfills the obligation to keep them from
entering the public realm in a manner in which they could be reconstituted (such as in packing
materials or animal bedding) or that is violation of any environmental regulations.
•The Disposal Agent agrees that the final disposition method identified above will be adhered to
unless notice and permission have been obtained from the Secure Destruction Service firm in
writing in advance.
•The Disposal Agent understands that the decision to use their firm to accept the Destroyed
Material and process it under the agreed manner is required by the NAID Certification standards.
•The Disposal Agent understands that the decision by the Secure Destruction Service to transfer
the Destroyed Materials to the Disposal Agent is made only in consideration of their ability and
willingness to comply with this agreement.
•The Disposal Agent agrees to process and dispose of the Destroyed Materials as agreed herein
•The Secure Destruction Service also agrees that this is not an agreement that transfers any
obligation or intention on the part of the Disposal Agent to provide secure destruction services.
Disposal Agent
Representative’s Signature: Date:
Representative’s Printed Name:
Representative’s Title:
Agreement for Responsible Disposal
NAID® AAA CERTIFICATION PROGRAM
AUDIT PREPARATION CHECKLIST
The following checklist has been prepared to help you expedite a successful Certification audit. You should review this checklist at least
one week prior to your scheduled audit to ensure all items are in place.
EMPLOYEE REQUIREMENTS
All employee must have Confidentiality Agreements and an I-9 form (Item 1.1)
All Access Employee must have an Employment History Verification, Criminal Record Search and Drug Screening Results
(Item 1.2)
Ongoing annual Access Employee Drug/Substance Screenings: (Item 1.3)
Option 1 - Drug/Substance Screening on annual random basis must include a file containing documentation
supporting the 50% annual random Access Employee drug testing should be available.
OR
Option 2 – Substance Abuse Recognition Program Form must be on file containing proof of completed yearly
management training.
Ongoing Access Employee Criminal Record Searches. (Item 1.4)
Drivers must have a copy of a valid driver license and/or commercial driver license and any additional items required by
governmental jurisdiction for drivers. (Item 1.5)
OPERATIONAL SECURITY
Policies and Procedures manual must include: (Item 2.1a)
Policy for notifying customers of a potential release of, or unauthorized access to confidential material (Item 2.1c)
Policy for notifying management of a potential release of, or unauthorized access to confidential material (Item 2.1d)
Incident Response Plan for responding to suspected or known security incidents (Item 2.1e)
Unannounced Audit procedure and process (Item 2.1f)
All Access employees must wear a photo I.D. badge while on duty (Item 2.2)
A Company Uniform must be worn by employees (Item 2.3)
Customer documentation process that includes customer acknowledgement, receipt or agreement of the specific
services they have received (Sample of documentation must be available for the auditor) (Item 2.4)
Containers used to transport confidential materials have operable locks (Item 2.8)
The Company must perform mobile destruction services at the Customer’s site. (Mobile Operation Only) (Item 2.10)
Access controls and unauthorized access to the secure destruction area (Plant-based Operations Only) (Item 2.11)
Method of physical computer hard drive destruction (if applicable) (Item 3.3)
Method of non-paper media destruction for each type of non-paper media destroyed (if applicable) (Item 3.4)
Destruction timeframe of media (Item 3.5)
Quality control procedures (Item 3.6)
If the information destruction service being proposed to the Customer is not NAID Certified or if the service will
involve subcontractors, the customer must be notified in writing at the time of the bid. (Item 3.9)
All drivers and destruction processing employee files must contain an annual Acknowledgement of the company’s written
policies and procedures. (Item 2.1b)
All access employees have been trained to comply with NAID AAA Certification requirements (AETP) (Item 2.1g)
Customers are provided with a receipt at the time of Media pickup, which includes the following: (Item 2.4)
Type of Media (Paper, Micro Media or Computer Hard Drives)
Quantity of Media
Acknowledgement of the services rendered
Customers are notified in writing when provided with a service that is NOT NAID Certified. This notification may be contained
on a materials receipt, or another written agreement between the service provider and recipient of services. (Item 2.4)
Material must be protected from loss due to wind, tipping/spillage or other atmospheric conditions (Item 2.6)
Most recent inspections of all commercial vehicles. (Item 2.7)
The required number of vehicles to be inspected will be available on the day of audit. (Requirements are: If three or less
mobile and/or collection vehicles, all must be available. If four or more mobile and/or collection vehicles, 75% must be
available.) (Item 2.8)
Readily accessible, operable two-way communication devices for all drivers. (Item 2.9)
IF APPLYING FOR PLANT-BASED OPERATION:
All visitors must sign visitor log, be issued a visitors badge and be escorted by an Access Employee at all times. Visitor logs
must be retained for one year. (Item 2.12)
A secured area designated is available for holding confidential materials when unattended until destroyed. (Item 2.13)
AUDIT PREPARATION CHECKLIST
A secured area devoted only to destroying media is available. (No baling of unshredded paper may take place in this area,
except cardboard.) If the building is not devoted solely to destruction operations, then a secured area within building must
meet the following requirements: (Item 2.13)
Wall or fence securing the area must be a minimum of 6ft tall. (If the wall or fence does not go all the way to the
ceiling then the area must have a ceiling mounted sensor alarm inside and over the perimeter of the secured
destruction area to detect breach of secured fence/wall.)
Wall or fence securing the area must have lockable gate or door.
Monitored alarm system when secure destruction building is unoccupied. (Item 2.14)
Closed circuit camera system (CCTV) monitoring all access points into secure destruction building/area. (Item 2.15)
The CCTV must provide sufficient clarity to identify individuals and their activities. There must be enough lighting at
night or during other non-business hours to ensure that all images have sufficient clarity.
90 days of CCTV recordings must be available from date of audit.
Alarm, Lighting, Door Locks and Visitor Logs are checked on a monthly basis and the CCTV system is checked on a
weekly basis and documented via the Operational Security Maintenance Logs . Logs must be retained for one year.
(Item 2.18)
ENDORSEMENTS & THE DESTRUCTION PROCESS
PAPER OR PRINTED MEDIA DESTRUCTION ENDORSEMENT: (Item 3.1)
Paper/Printed Media destruction particle sizes:
Continuous Shred: Width (max): 5/8 inch & Length: Indefinite
Cross Cut or Pierce & Tear: Width (max): 3/4 inch & Length (max): 2.5 inches
Pulverized: (max): 2 inch diameter holes via screens Screen Changing Logs
MICRO MEDIA DESTRUCTION ENDORSEMENT: (Item 3.2)
Micro Media destruction particle size must be 1/8 inch max or less.
PHYSICAL HARD DRIVE DESTRUCTION ENDORSEMENT: (Item 3.3)
Must have the following information:
Recorded serial numbers of all hard drives or CPUs destroyed for each customer
Log of customers that have opted out of serial number recordation (if applicable)
Signed Opt-Out Agreements (if applicable)
Copies of written standards/agreements for computer hard drive destruction for these customers
NON-PAPER MEDIA DESTRUCTION ENDORSEMENT: (Item 3.4)
A Standard method of destruction must be used. If any methods used deviate from the standard, the customer must
be notified in writing describing the destruction process.
PRODUCT DESTRUCTION ENDORSEMENT: (Item 3.5)
Must have the following information:
Consistent with the company’s policies and procedures manual
Customer notification of a detailed account of the destruction process and must be retained on file for 3 years from
the date of the destruction.
Employee Confidentiality Agreements must contain language stating that the employee agrees that products
accepted for destruction are confidential and that removal or use by the employee is a violation punishable by
dismissal and subject to possible legal prosecution.
Signed Agreement for Responsible Disposal of Materials (or customized document with similar wording) between you and the
recipient indicating the type of media being destroyed and the final disposition of the media. (Item 3.7)
Transfer of custody documentation including subcontractor list, subcontractor agreements, client agreements and proof of
meeting certification requirements. (if applicable) (Item 3.8)
COMPANY ASSURANCES
Business license (Item 4.1)
Proof of General Liability Insurance (aggregate or umbrella) of $2,000,000.00 or more. (Item 4.2)
: Indicates sample forms available online at www.naidonline.org.
Pacific Shredding
is Hereby Granted NAID AAA Certification
by the National Association for Information Destruction
The National Association for Information Destruction (NAID®) is
the non-profit trade association recognized globally as the secure
data destruction industry's standards setting and oversight body.
The certificate holder has met the rigorous requirements of the
NAID AAA Certification program and demonstrated through
announced and unannounced audits that its security processes,
procedures, systems, equipment, and training meet the standards
of care required by all known data protection regulations.*
As a result, NAID AAA Certification also serves to meet all data
controller vendor selection due diligence regulatory requirements.
Valid Through: August 31, 2019
The certificate holder is NAID AAA Certified for the following services and media types:
•Mobile & Plant-based Operations for Paper/Printed Media, Micro
Media, Physical Hard Drive & No n-Paper Media
Applicable to the following location(s):
•5661 N. Golden State Blvd. #104, Fresno, CA 93722
� CU;,u :2 'f?-7 a,..h,ma <!#NAID Certijicatio11 Program Off1cial
*NAID AAA Certification specifications are regularly evaluatecL'amended as necessary and service provider compliance is verified to ensure ongoing conformance with all known data
protection regulations including The Privacy Act (,\ustralia). GDPR (Europe), HIPAA, GLBA, FACTA. Statl!-level requirements (USA), and PIPEDA, PIPA. PHIPA (Canada) in their relevant
jurisdiction(s), as well as with related risk assessment, incident reporting and data breach reporting procedures and training as required therein or separately.
PP.EE�IC: SHREDDING
Document Destruction Services Certificate of Destruction
I� National Association for
_ Information Destruction, Inc . . ... . . .
1-866-2-SHRED3
www.pacific-records.com