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CC Records Management Program ConsultingAGREEMENT FOR PROFESSIONAL SERVICES FOR RECORDS MANAGEMENT PROGRAM CONSULTING SERVICES This Agreement is made and entered into this Z S_ day of AUAUS1 , 2018, by and between the CITY OF SAN RAFAEL (hereinafter "CITY"), and Reco ds Control Services. Inc. (hereinafter "CONTRACTOR"). RECITALS WHEREAS, CITY desires to obtain various records management consulting services from a qualified expert; and WHEREAS. CONTRACTOR is a qualified expert in records management in municipal governments; AGREEMENT NOW, THEREFORE, the parties hereby agree as follows: 1. PROJECT COORDINATION. A. CITY'S Project Manager. The City Clerk is hereby designated the PROJECT MANAGER for the CITY, and said PROJECT MANAGER shall supervise all aspects of the progress and execution of this Agreement. B. CONTRACTOR'S Project Director. CONTRACTOR shall assign a single PROJECT DIRECTOR to have overall responsibility for the progress and execution of this Agreement for CONTRACTOR. Bruce Meier is hereby designated as the PROJECT DIRECTOR for CONTRACTOR. Should circumstances or conditions subsequent to the execution of this Agreement require a substitute PROJECT DIRECTOR, for any reason, the CONTRACTOR shall notil , the CITY in writing within ten (10) business days of the substitution. 2. DUTIES OF CONTIZACTOR. CONTRACTOR shall perform the duties and/or provide services as described in Exhibit A, Proposal for Records Improvement Program. 3. DUTIES OF CITY. CITY shall pay the compensation as provided in Paragraph 4, and perform the duties as described in Exhibit A. � --+49 1 ORIGINAL 4. COMPENSATION. For the full performance of the services described herein by CONTRACTOR, CITY shall pay CONTRACTOR an amount not to exceed $20,000, including transportation, as described in Exhibit A. Payment will be made monthly upon receipt by PROJECT MANAGER of itemized invoices submitted by CONTRACTOR. TERM OF AGREEMENT. The term of this Agreement shall be for (1) year commencing on the date the CITY and CONTRACTOR enter into this Agreement, as shown above, and ending 12 months thereafter. Upon mutual agreement of the parties, and subject to the written approval of the City Manager the term of this Agreement may be extended for an additional period of 1 year. 6. TERMINATION. A. Discretionary. Either paily may terminate this Agreement without cause upon thirty (30) days written notice mailed or personally delivered to the other party. B. Cause. Either party may terminate this Agreement for cause upon fifteen (15) days written notice mailed or personally delivered to the other party, and the notified party's failure to cure or correct the cause of the termination, to the reasonable satisfaction of the party giving such notice, within such fifteen (15) day time period. C. Effect of Termination. Upon receipt of notice of termination, neither party shall incur additional obligations under any provision of this Agreement without the prior written consent of the other. D. Return of Documents. Upon termination, any and all CITY documents or materials provided to CONTRACTOR and any and all of CONTRACTOR's documents and materials prepared for or relating to the performance of its duties under this Agreement, shall be delivered to CITY as soon as possible, but not later than thirty (30) days after termination. 7. OWNERSHIP OF DOCUMENTS. The written documents and materials prepared by the CONTRACTOR in connection with the performance of its duties under this Agreement, shall be the sole property of CITY. CITY may use said property for any purpose, including projects not contemplated by this Agreement. 8. INSPECTION AND AUDIT. Upon reasonable notice, CONTRACTOR shall make available to CITY, or its agent, for inspection and audit, all documents and materials maintained by CONTRACTOR in connection with its performance of its duties under this Agreement. CONTRACTOR shall fully cooperate with CITY or its agent in any such audit or inspection. 9. ASSIGNABILITY. The parties agree that they shall not assign or transfer any interest in this Agreement nor the performance of any of their respective obligations hereunder, without the prior written consent of the other party, and any attempt to so assign this Agreement or any rights, duties or obligations arising hereunder shall be void and of no effect. 10. INSURANCE. A. Scope of Coverage. During the term of this Agreement, CONTRACTOR shall maintain, at no expense to CITY, the following insurance policies: 1. A commercial general liability insurance policy in the minimum amount of one million dollars ($1,000,000) per occurrence/two million dollars ($2,000,000) aggregate, for death, bodily injury, personal injury, or property damage. 2. An automobile liability (owned, non -owned, and hired vehicles) insurance policy in the minimum amount of one million dollars ($1,000,000) dollars per occurrence. 3. If any licensed professional performs any of the services required to be performed under this Agreement, a professional liability insurance policy in the minimum amount of one million dollars ($1,000,000) per occurrence/two million dollars ($2,000,000) aggregate, to cover any claims arising out of the CONTRACTOR's performance of services under this Agreement. Where CONTRACTOR is a professional not required to have a professional license, CITY reserves the right to require CONTRACTOR to provide professional liability insurance pursuant to this section. 4. If it employs any person, CONTRACTOR shall maintain worker's compensation insurance, as required by the State of California, with statutory limits, and employer's liability insurance with limits of no less than one million dollars ($1,000,000) per accident for bodily injury or disease. CONTRACTOR's worker's compensation insurance shall be specifically endorsed to waive any right of subrogation against CITY. B. Other Insurance Requirements. The insurance coverage required of the CONTRACTOR in subparagraph A of this section above shall also meet the following requirements: 1. Except for professional liability insurance or worker's compensation insurance, the insurance policies shall be specifically endorsed to include the CITY, its officers, agents, employees, and volunteers, as additionally named insureds (for both ongoing and completed operations) under the policies. 2. The additional insured coverage under CONTRACTOR'S insurance policies shall be primary with respect to any insurance or coverage maintained by CITY and shall not call upon CITY's insurance or self-insurance coverage for any contribution. The "primary and noncontributory" coverage in CONTRACTOR'S policies shall be at least as broad as ISO form CG20 01 04 13. 3. Except for professional liability insurance or worker's compensation insurance, the insurance policies shall include, in their text or by endorsement, coverage for contractual liability and personal injury. 4. By execution of this Agreement, CONTRACTOR hereby grants to CITY a waiver of any right to subrogation which any insurer of CONTRACTOR may acquire against CITY by virtue of the payment of any loss under such insurance. CONTRACTOR agrees to obtain any endorsement that may be necessary to effect this waiver of subrogation, but this provision applies regardless of whether or not CITY has received a waiver of subrogation endorsement from the insurer. 5. If the insurance is written on a Claims Made Form, then, following termination of this Agreement, said insurance coverage shall survive for a period of not less than five years. 6. The insurance policies shall provide for a retroactive date of placement coinciding with the effective date of this Agreement. 7. The limits of insurance required in this Agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and noncontributory basis for the benefit of CITY (if agreed to in a written contract or agreement) before CITY'S own insurance or self-insurance shall be called upon to protect it as a named insured. 8. It shall be a requirement under this Agreement that any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to CITY or any other additional insured party. Furthermore, the requirements for coverage and limits shall be: (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named insured; whichever is greater. C. Deductibles and SIR'S. Any deductibles or self-insured retentions in CONTRACTOR's insurance policies must be declared to and approved by the PROJECT MANAGER and City Attorney, and shall not reduce the limits of liability. Policies containing any self-insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named insured or CITY or other additional insured party. At CITY's option, the deductibles or self-insured retentions with respect to CITY shall be reduced or eliminated to CITY's satisfaction, or CONTRACTOR shall procure a bond guaranteeing payment of losses and related investigations, claims administration, attorney's fees and defense expenses. D. Proof of Insurance. CONTRACTOR shall provide to the PROJECT MANAGER or CITY'S City Attorney all of the following: (1) Certificates of Insurance evidencing the insurance coverage required in this Agreement; (2) a copy of the policy declaration page and/or endorsement page listing all policy endorsements for the commercial general liability policy, and (3) excerpts of policy language or specific endorsements evidencing the other insurance requirements set forth in this Agreement. CITY reserves the right to obtain a full certified copy of any insurance policy and endorsements from CONTRACTOR. Failure to exercise this right shall not constitute a waiver of the right to exercise it later. The insurance shall be approved as to form and sufficiency by PROJECT MANAGER and the City Attorney. 11. INDEMNIFICATION. A. Except as otherwise provided in Paragraph B., CONTRACTOR shall, to the fullest extent permitted by law, indemnify, release, defend with counsel approved by CITY, and hold harmless CITY, its officers, agents, employees and volunteers (collectively, the "Cit` - Indemnitees"), from and against any claim, demand, suit, judgment, loss, liability or expense of any kind, including but not limited to attorney's fees, expert fees and all other costs and fees of litigation, (collectively "CLAIMS"), arising out of CONTRACTOR'S performance of its obligations or conduct of its operations under this Agreement. The CONTRACTOR's obligations apply regardless of whether or not a liability is caused or contributed to by the active or passi,, e negligence of the City Indemnitees. However, to the extent that liability is caused by the active negligence or willful misconduct of the City Indemnitees, the CONTRACTOR's indemnification obligation shall be reduced in proportion to the City Indemnitees' share of liability for the active negligence or willful misconduct. In addition, the acceptance or approval of the CONTRACTOR's work or work product by the CITY or any of its directors, officers or employees shall not relieve or reduce the CONTRACTOR's indemnification obligations. In the event the City Indemnitees are made a party to any action, lawsuit, or other adversarial proceeding arising from CONTRACTOR'S performance of or operations under this Agreement, CONTRACTOR shall provide a defense to the City Indemnitees or at CITY'S option reimburse the City Indemnitees their costs of defense, including reasonable attorneys' fees, incurred in defense of such claims. B. Where the services to be provided by CONTRACTOR under this Agreement are design professional services to be performed by a design professional as that term is defined under Civil Code Section 2782.8, CONTRACTOR shall, to the fullest extent permitted by law. indemnify, release, defend and hold harmless the City Indemnitees from and against any CLAIMS that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of CONTRACTOR in the performance of its duties and obligations trader this Agreement or its failure to comply with any of its obligations contained in this Agreement, except such CLAIM which is caused by the sole negligence or willful misconduct of CITY. In no event shall the cost to defend charged to the design professional exceed the design professional's proportionate percentage of fault. C. The defense and indemnification obligations of this Agreement are undertaken in addition to, and shall not in any way be limited by, the insurance obligations contained in this Agreement, and shall survive the tennination or completion of this Agreement for the full period of time allowed by law. 12. NONDISCRIMINATION. CONTRACTOR shall not discriminate, in any way, against any person on the basis of age, sex, race, color, religion, ancestry, national origin or disability in connection with or related to the performance of its duties and obligations under this Agreement. 13. COMPLIANCE WITH ALL LAWS. CONTRACTOR shall observe and comply with all applicable federal, state and local laws, ordinances, codes and regulations, in the performance of its duties and obligations under this Agreement. CONTRACTOR shall perform all services under this Agreement in accordance with these laws, ordinances, codes and regulations. CONTRACTOR shall release, defend, indemnify and hold hannless CITY, its officers, agents and employees from any and all damages, liabilities, penalties, fines and all other consequences from any noncompliance or violation of any laws, ordinances, codes or regulations. 14. NO THIRD PARTY BENEFICIARIES. CITY and CONTRACTOR do not intend, by any provision of this Agreement, to create in any third party, any benefit or right owed by one party, under the terms and conditions of this Agreement, to the other party. 15. NOTICES. All notices and other communications required or pennitted to be given under this Agreement, including any notice of change of address, shall be in writing and given by personal delivery, or deposited with the United States Postal Service, postage prepaid, addressed to the parties intended to be notified. Notice shall be deemed given as of the date of personal delivery, or if mailed, upon the date of deposit with the United States Postal Service. Notice shall be given as follows: TO CITY's Project Manager: TO CONTRACTOR's Project Director: 16. INDEPENDENT CONTRACTOR. Lindsay Lara, City Clerk City of San Rafael 1400 Fifth Avenue P.O. Box 151560 San Rafael, CA 94915-1560 Bruce Meier, President Records Control Services, Inc. 4638 Park Boulevard, Oakland, California 94603 For the purposes, and for the duration, of this Agreement, CONTRACTOR, its officers, agents and employees shall act in the capacity of an Independent Contractor, and not as employees of the CITY. CONTRACTOR and CITY expressly intend and agree that the status of CONTRACTOR, its officers, agents and employees be that of an Independent Contractor and not 6 that of an employee of CITY. 17. ENTIRE AGREEMENT -- AMENDMENTS. A. The terms and conditions of this Agreement, all exhibits attached, and all documents expressly incorporated by reference, represent the entire Agreement of the parties with respect to the subject matter of this Agreement. B. This written Agreement shall supersede any and all prior agreements, oral or written, regarding the subject matter between the CONTRACTOR and the CITY. C. No other agreement, promise or statement, written or oral, relating to the subject matter of this Agreement, shall be valid or binding, except by way of a written amendment to this Agreement. D. The terms and conditions of this Agreement shall not be altered or modified except by a written amendment to this Agreement signed by the CONTRACTOR and the CITY. E. If any conflicts arise between the terms and conditions of this Agreement, and the terms and conditions of the attached exhibits or the documents expressly incorporated by reference. the terns and conditions of this Agreement shall control. 18. SET-OFF AGAINST DEBTS. CONTRACTOR agrees that CITY may deduct from any payment due to CONTRACTOR under this Agreement, any monies which CONTRACTOR owes CITY under any ordinance. agreement, contract or resolution for any unpaid taxes, fees, licenses, assessments, unpaid checks or other amounts. 19. WAIVERS. The waiver by either party of any breach or violation of any term, covenant or condition of this Agreement, or of any ordinance, law or regulation, shall not be deemed to be a waiver of any other term, covenant, condition, ordinance, law or regulation, or of any subsequent breach or violation of the same or other term, covenant, condition, ordinance, law or regulation. The subsequent acceptance by either party of any fee, performance, or other consideration which may become due or owing under this Agreement, shall not be deemed to be a waiver of any preceding breach or violation by the other party of any term, condition, covenant of this Agreement or any applicable law, ordinance or regulation. 20. COSTS AND ATTORNEY'S FEES. The prevailing party in any action brought to enforce the terms and conditions of this Agreement, or arising out of the performance of this Agreement, may recover its reasonable costs (including claims administration) and attorney's fees expended in connection with such action. 21. CITY BUSINESS LICENSE OTHER TAXES. CONTRACTOR shall obtain and maintain during the duration of this Agreement, a CITY business license as required by the San Rafael Municipal Code CONTRACTOR shall pay any and all state and federal taxes and any other applicable taxes. CITY shall not be required to pay for any work performed under this Agreement, until CONTRACTOR has provided CITY with a completed Internal Revenue Service Form W-9 (Request for Taxpayer Identification Number and Certification). 22. APPLICABLE LAW. The laws of the State of California shall govern this Agreement. IN WITNESS WHEREOF, the parties have executed this Agreement as of the day, month and year first above written. CITY OF SAN RAFAEL CONTRACTOR By. JIM SC UTZ, Ci Ma ager j� Name: Title: ATTEST: LINDSAY LARA, City Clerk AS TO FORM: BEIAT F. EMTEIN, City Attorney Proposal for a Records Improvement Program for the City Clerk's Office March 25, 2018 Mecords lalontrol Mervices A Corporation of Information Resource Management Specialists 4638 Park Boulevard, Oakland, California 94603 Office: 510-530-6033 Primary Cell: 510-520-1635 Bruce G. Meier, CRM President D This proposal was developed for and submitted to The City of San Rafael, and it contains copyrighted and trademarked proprietary work product and information of Records Control Services, Inc. This proposal, and all information contained herein, must not be made available or transferred in any form whatsoever to any person or organization outside of The City of San Rafael or its agents. By accepting and/or maintaining a copy of this proposal, all parties mentioned above agree to this statement. This proposal supersedes any and all other proposal submitted to The City of San Rafael by Records Control Services, Inc. E„Nit I T A Becords []iontroiFlervices A firm of Information Resource Management Specialists & Consultants 4638 Park Boulevard, Oakland, California 94602 Phone: 510-530-6033 Ms. Lindsay Lara, City Clerk City of San Rafael 1400 Fifth Avenue, Room 209 San Rafael, California 94915 Dear Ms. Lara: Thank you for the opportunity to submit a proposal for your Records Improvement Program. You will find that Records Control Services, Inc. (RCS) is well qualified to assist San Rafael in developing this essential records management component. RCS is a closely held, certified California small business. Since 1979, RCS has designed and implemented records management program components for over 70 cities and local districts, and numerous clients in private industry, throughout California. There is no "canned", off-the-shelf solution to retention schedules or records management programs as a whole. Each program is uniquely developed around the City's information management practices and retention requirements. RCS's principals have over 139 years of combined experience and a unique approach to designing Records Improvement Programs. All program components address information governance and best management practices, and follow Generally Accepted Recordkeeping Principles® (GARP®), as defined by the Association of Records Managers and Administrators, International. RCS offers pragmatic solutions tailored to the City's needs, including a thorough evaluation of existing systems culminating into phased recommendations for improvements. Typical program components integrate records retention schedules and uniform function -based filing indices with document management systems to allow rapid access across departments, and to help streamline the lifecycle of both hardcopy and electronic documents. Current projects with several small, medium and large California cities and local districts include: • Strategic planning and comprehensive plan of action development • Retention schedule and uniform index development • Active records management program implementation • Electronic Records and Document Management Software evaluation and integration • Document scanning and image conversion services • Information Governance policies and solutions RCS does not represent any software, equipment or supplies, so we offer an unbiased evaluation of available systems to best fit our client's needs. Recommended materials are purchased through your procurement system to assure the lowest available prices. I am available to answer questions about this proposal or our services and I can be reached directly on my cell at 510-520-1635. Thank you for your time and consideration of a partnership with RCS! Sincerely, Bruce G. Meier, CRM President/CEO 2 Copynghted propnetary informat on by Records Control Sery ces Inc All nghts reserved Records Control Services, Inc. (RCS), a firm of information resource management specialists of Oakland, California, proposes to provide professional expertise for The City of San Rafael, California (City), City Clerk's Office (Department), by developing a uniform taxonomy index and designing an active filing system for managing physical and electronic records, improving the City's Records Management Program. Objectives Implementation of this program, in total, will provide the Department with: • A review of the City's Records Management Policy with suggestions for improvements. • A review of existing record series and physical records housed in the Department's active filing equipment within the Department. • A uniform, function -based index for classifying physical and electronic documents. • Record retention periods directly associated with the Department's record series. • Designated records prepared for inactive storage or destruction. RCS will review the City's current Records Management Policy, if any, and work with the City Clerk to refine and improve the policy. This policy sets the legal basis and support for the Records & Information Management Program and designates program responsibilities for all City staff. Using the Department's active file inventory, RCS will develop a uniform, function -based index to organize the Department's records series (types of records). The index provides a hierarchical taxonomy structure for classifying physical records in filing equipment and electronic documents in the Laserfiche Electronic Document Management Software (EDMS) system. The index is also used to improve the Department's records retention schedules, and to directly associate minimum legal retention requirements and administrative retention periods to each record series. This taxonomy is the first step in a comprehensive Records Management Program and a critical tool for uniform document identification within physical and electronic storage repositories and databases. RCS will then analyze the Department's physical file folders within existing active filing equipment and refine the active file inventory to include concise titles and date ranges. The revised inventory is used to import file folder metadata into an electronic records management software system of the City's choice. The refined inventory is reviewed with the Department to designate records for inactive storage or for destruction. Designated records are then prepared for appropriate disposition. Implementation of the program requires that Department staff be available for index, retention and file inventory review. This time is minimal and will not disrupt daily activities. The resulting tools will allow the City to improve best records management and information governance practices and enhance Generally Accepted Recordkeeping Principals® (GARP®)'. Please reference the proposal that follows this executive summary for details on program implementation and features. This proposal is presented in two phases Phases may be implemented separately or concurrently according to the City's timeline and budgeting process. See the proposal that follows for phase separation and costs. ' ® Generally Accepted Recordkeeping Principals & GARP are trademarked by the Association of Records Managers and Administrators International 0 Copyrighted proprietary information by Records Control Services. Inc All rights reserved Records Retention Updates & Uniform Classification Index RCS Professional Fees and Labor: $19,440.00 RCS Travel Expenses (estimate): $ 557.94 Total: $19,997.94 RCS Professional Fees & Labor include costs for system development and implementation. Travel expenses include mileage to and from City offices. Implementation may begin at a mutually convenient date, following receipt by RCS of a contract (of which this proposal becomes an integral part), purchase order, or the signed approval and acceptance of a remittance copy of this proposal. See Terms and Disclaimer sections within this proposal for suggested retention period information, and RCS service and professional fee payment details. 4 �: Copyrighted proprietary information by Records Contm' Services, Inc All rights reserved rel• • • • • . • Introduction At the request of Ms. Lindsay Lara, City Clerk, RCS obtained information regarding current records management practices within the City Clerk's Office (Department). This report contains recommendations and proposals for developing a uniform classification index to better identify, manage and dispose of documents, providing the basis for a uniform, legally acceptable Records Management Program. This program will refine the Department's retention schedules to significantly reduce administrative expenses incurred through document storage, access and disposal. Implementation may begin at a mutually convenient date, following receipt by RCS of a contract (of which this proposal becomes an integral part), purchase order, or the signed approval and acceptance of a remittance copy of this proposal. Purpose The purpose of this proposal is to provide the City with uniform taxonomy and classification index development, and a review of records within active filing equipment, to allow highly efficient information identification, management and disposal. Scope The program provides uniform taxonomy and classification index development and analysis of on-site physical records for the City Clerk's Office located in the City Hall at 1400 Fifth Avenue. Initial Observations Retention Schedules: In 2013, the City Clerk's Office implemented a set of retention schedules for department records. The schedules are current but may not reflect all record series (types of records) maintained within the City. The schedules are organized alphabetically by City function, and then alphabetically by record series. Divisions are minimally separated, and simplistic identifying codes are assigned to the entries, making the schedules difficult to navigate for end users. Physical Filing Systems: Based on a review of the active file inventory provided by the City Clerk, the Department maintains an estimated 5,494 records in 314 linear filing feet (3,762 linear filing inches) of active filing equipment. This amounts to approximately 10,346 pounds, or 5.2 tons, of physical documents. A MS Word document is used to label and manage the physical records, and records are assigned a file number based on a simplistic functional classification system. Limited, if any, dates are associated with records, making disposition of the records difficult and cumbersome. Refining the file inventory and the classification system would greatly improve the Department's records management processes and allow record metadata to be imported into an Electronic Records Management Software system (ERMS) of the City's choice. The City has many of the necessary tools to develop a structured, legally acceptable RIM program. Creation of a uniform taxonomy and classification index is the first step towards a needs assessment and implementation plan for a comprehensive Records Improvement Program. With continued professional guidance from RCS principals, departments can streamline their records management processes and efficiently respond to requests for information. 5 Copyrighted propnetary nformat on by Records Control Services, Inc All rights reserved General Recommendations The goal of a comprehensive records management program is to control the creation, acquisition, processing, maintenance, storage and final disposition of all recorded information, regardless of form or media, handled during normal business practices. Implementation of such a program would result in significant savings for the City through: • Safe, highly efficient storage and retention of all records in accordance with Federal, State and Local regulations. • Rapid access to all active, semi -active and inactive records stored in offices or off-site facilities. • Immediate reduction of misfiled and lost information. • Cost effective use of prime office and storage space. • Timely disposal of obsolete records through approved retention schedules. • Protection of vital records from natural or man-made disasters. RCS recommends a comprehensive Records Management Policy be adopted by the City Council to form the foundation of a legally acceptable Records and Information Management Program (RIM) in compliance with GARP guidelines. A full RIM program should be implemented in several segments, including: 1. Inactive records storage system. 2. Active files management with a uniform filing system. 3. Records retention management with approved retention periods and schedules. 4. Information governance evaluation and needs assessment plan. 5. Electronic document management and tracking systems. 6. A Vital Records Protection and Disaster Recovery Program. This proposal addresses the policy development, records retention management and active file management components of a comprehensive RIM Program (Segments 2 and 3 as listed above). Detailed proposals for other segments can be submitted by RCS upon request of the City. Approach This proposal is separated into 2 phases. Phases may be implemented separately or concurrently based on the City's timeline and budgeting process. Phase 1 includes improvements to the City's records management policy, and development of a uniform taxonomy and classification index for the Department. Most work on this phase is completed at RCS's Oakland offices with visits to the City to review policy, index and retention suggestions. Phase 2 includes a review of physical records housing in active filing equipment and refining the Department's current records inventory to allow disposition of inactive and obsolete records. This phase is completed at the City in the Department's offices. When at City facilities, RCS requires a small work area near filing equipment with power and internet access to complete certain project tasks. ' Copyrighted proprietary nformation by Records Control Services Inc All rights reserved Proiect Introduction This proposal presents project tasks and time estimates for developing a uniform taxonomy index and designing an active filing system for managing physical and electronic records for the City of San Rafael (City) within the City Clerk's Office (Department), preparing a pilot Records Improvement Program for the City. Implementation of this program, in its entirety, will provide the basis for a highly efficient management and disposition system for designated records. The resulting tools will allow the City to improve best records management and information governance practices, and Generally Accepted Recordkeeping Principals®z. Phase 1 — Policv Improvements and Uniform Taxonomv 8r: Classification Index Project Tasks 1. Introduce the program to Department staff and management. 2. Review the City's records and information management policies, if any, and suggest improvements. 3. Submit a model, comprehensive Records Management Policy for management review. 4. Review model policy with the City Clerk, modify as needed. 5. Design the Uniform Functional Index of Record Series TaxonomyT"' (UFIRSTTm Index). a. Review the Department's current retention schedules, record series listings and records inventory. b. Develop a comprehensive listing of records series. c. Organize records series by Department function, and divisions or groups within each function. d. Hierarchically assign identification codes to record series. 6. Review the draft Index with the City Clerk, modify as needed. 7. Assign approved retention periods to series in the Index. 8. Submit the final Index, in electronic format, for City Clerk review. 9. Integrate the Index structure into the Laserfiche EDMS. As part of a comprehensive, legally acceptable Records and Information Management Program, RCS will review the City's current Records Management Policy and suggestion improvements to address records management terminology, staff responsibilities, and blanket retention periods for certain electronic, transitory, duplicative and general administrative records. A model policy is reviewed with the City Clerk and modified to fit the City's policy structure and work culture. RCS will review the Department's current retention schedules and active file inventory document and compile a comprehensive listing of records series maintained in the active filing equipment. The listing will form the basis of a uniform, function -based record series taxonomy index for classifying physical and electronic documents. RCS will then review the draft Index with the City Clerk for accuracy and initial approval. Approved retention schedules are then assigned to each records series to directly correlate the retention periods for quick reference. RCS will review the final draft Index with the City Clerk prior to entry into a test "sandbox" in Laserfiche for electronic document classification. The Department is responsible for creating metadata templates and associating retention periods to record series entries in the EDMS. Due to the detailed level of research and contact time, RCS can provide these services under a separate EDMS assessment and implementation plan project. Z ® Generally Accepted Recordkeeping Principals & GARP are trademarked by the Association of Records Managers and Administrators, International. Copyrighted proppetary nformation by Records Control Services, Inc All rights reserved The resulting function -based index and retention schedule format developed in this phase is used to design a uniform filing system for highly efficient access, storage and disposal of physical records, which continues in Phase 2. Project Costs and Payment Schedule RCS Professional Fees and Labor: $ 2,880.00 RCS Travel Expenses (estimate): $ 98.46 Total: $ 2,978.46 RCS Professional Fees & Labor include costs for system development and implementation. Travel expenses include mileage to and from City offices. Invoices for RCS Professional Fees and Labor will be submitted according to the following schedule: Progress payment 1: $1,440.00 at Phase initiation Progress payment 2: $1,440.00 upon completion of Phase Task 9 See the Terms section of this proposal for RCS service and professional fee payment details. Project Results Implementation of the program, in total, will provide the Department with: • A comprehensive Records Management Policy for all City documents and information, regardless of storage media format. • A uniform, function -based record series index to classify physical and electronic records. • Reformatted, user-friendly record retention listings for the Department's record series. • Improvements to information governance practices and Generally Accepted Recordkeeping Principals®. Project Duration Depending upon staff availability and current RCS client obligations, this phase can be completed in approximately 2 to 4 weeks after initiation. Availability of Department staff for initial interviews and index reviews is essential to phase completion within RCS time estimates. t' Copynghled proprietary informal on by Records Control Services, Inc All rights reserved Phase 2 — Active Filing System Review & Improvements In this phase, RCS will review the Department's active file inventory listing and compare the entries to existing records in active filing equipment. The refined inventory is used to designate inactive and obsolete records, and to import record metadata into an electronic records management software system (ERMS) of the City's choice. Project Tasks 1. Review the Department's active file inventory listing in MS Word. 2. Convert the inventory to an MS Excel spreadsheet for data entry and modification purposes. 3. Refine the inventory: a. Compare inventory entries to physical files stored in active filing equipment. b. Verify file titles and record series. c. Add or update date ranges associated with documents in the files. d. Assign record series based on the UFIRSTTA° Index created in Phase 1. 4. Review the refined inventory with the Department. 5. Designate records for inactive storage or destruction, as needed. 6. Prepare inactive and/or obsolete records for disposition. a. Box inactive records for storage. b. Complete Records Transfer & Destruction Notices for each box. c. Prepare obsolete records for destruction d. Complete destruction approval forms for Department review. 7. Submit final inventory database, in electronic format, to the City Clerk. In this phase, RCS will review the Department's active file inventory listing and convert the document to an MS Excel spreadsheet to simplify importing metadata into a database management system or Electronic Records Management Software (ERMS) system of the City's choice. The modified inventory listing is then compared to physical files housed in the Department's active filing equipment. RCS will evaluate each file and refine the metadata to more accurately represent the associated documents and assign a record series code from the UFIRSTTM Index. The inventory listing is reviewed with the City Clerk to designate inactive and obsolete records, as needed. RCS will box inactive records and prepare the City's records transfer notices for storage. Obsolete records are either boxed or otherwise prepared for destruction. RCS will prepare destruction approval forms for the Department. The final inventory database is then submitted to the City Clerk for maintenance and use. The City has options for ERMS systems or more simplistic management systems for active files RCS will discuss available options with the City during this phase. The resulting inventory developed in this phase is used to implement a uniform filing system, with color -coded identification and barcode tracking, for highly efficient access, storage and disposal of physical records. Project Costs and Payment Schedule RCS Professional Fees and Labor: $16,560.00 RCS Travel Expenses (estimate): $ 459.48 Total: $17,019.48 RCS Professional Fees & Labor include costs for system development and implementation. Travel expenses include mileage to and from City offices. Copyrighted proprietary riformation by Records Control Services Inc All rights reserved Invoices for RCS Professional Fees and Labor will be submitted according to the following schedule: Progress payment 1: $5,630.40 at Phase initiation Progress payment 2: $5,464.80 upon completion of Phase Task 3 Progress payment 3: $5,464.80 upon completion of Phase Task 7 See the Terms section of this proposal for RCS service and professional fee payment details. Project Results Implementation of the program, in total, will provide the Department with: • An accurate inventory of physical records in current filing systems prepared for importing into a management database of the City's choice. • Inactive and obsolete records prepared for disposal. • The initial stages of a uniform, function -based filing system. • Improvements to information governance practices and Generally Accepted Recordkeeping Principals®. Project Duration Depending upon staff availability and current RCS client obligations, this phase can be completed in approximately 12 to 14 weeks after initiation. Availability of Department staff for inventory reviews is essential to phase completion within RCS time estimates. 10 Copyrighted proprietary information by Records Control services, Inc All rights reserved Terms • Unless otherwise noted, professional fees for each phase include all costs for labor and are firm for a period of 60 days from the date of this proposal. • Invoices will be due upon receipt by the City, and payment must be received by RCS within 30 days of the invoice date. If payment is not received within 30 days of the invoice date, the invoice will be resubmitted with a 2.5% finance charge and a $25.00 administrative fee added to the total invoice amount. Finance charges and administrative fees are compounded for each 30 -day late period. • Additional contact time unrelated to this proposal will be billed at $200.00 per hour, in 15 - minute minimum increments. RCS will notify the City prior to incurring any unrelated contact time, and obtain approvals from City management or designated project manager. • All travel expenses are estimates. Actual expenses will be billed periodically as incurred by RCS staff and principals. • Project duration estimates depend upon City staff availability and current RCS client obligations. If project implementation is delayed due to availability of City staff, RCS reserves the right to modify payment schedules according to completed project tasks and/or delay timelines. • - UFIRST, Uniform Functional Index of Record Series Terminology and the index structure are trademarked proprietary property of Records Control Services, Inc. 1999. All rights are reserved. All program tasks, recommendations, suggestions and/or other project development information are the proprietary property of Records Control Services, Inc. Any and all information contained in this proposal, or its attachments, if any, shall not be released or made available to any entity outside of the City or its agents. Disclaimer All recommendations, management systems, research or other information or work papers resulting from implementation of this proposal are suggestions to the City. The City is responsible for the disposition or destruction of any documents designated active, inactive or obsolete. RCS will not alter or destroy, in any way, City documents, regardless of format, without specific written approval from the City or its authorized agents. RCS will not be responsible for loss or damage to the City or its agents, monetary or otherwise, resulting from implementation of this proposal or program, including, but not limited to, destruction of records by the City, or other damage to or loss of City documents, records and/or other information or sources of information. In addition to design and implementation of services mentioned above, this proposal may include development of suggested record retention periods and schedules. Record retention periods are often arbitrary time periods based upon industry operational requirements. If required, RCS will perform a reasonable search of specific record retention information resources to obtain suggested retention periods for designated City records and information. The City is responsible for reviewing and approving any suggested retention periods with its legal counsel, the executive management team, and the City Council, prior to implementation and/or document disposition or destruction. This proposal offers services and materials to the City in the form of system development, suggestions, recommendations, legal research, reports, forms, and/or other documents or actions (Products) that are copyrighted, trademarked and/or proprietary work of RCS. Per Government Code 6254.7 Subsection (d), RCS reserves the right to protect its interests by restricting distribution of certain Products outside of the City while still allowing transparency within the California Public Records Act. By accepting and implementing this proposal, the City agrees to this disclaimer and all terms mentioned herein, and shall indemnify, defend and hold harmless RCS against any and all loss or damage resulting from the design and/or implementation of recommendations and/or 11 Copyrighted proprietary informal on by Records Control Services uric A i nghts rewved suggestions within this proposal, except to the extent that the loss or damage is caused by the willful misconduct or negligence of RCS. Client Approval and Acceptance The City of San Rafael accepts this proposal and its contents for a Records Improvement Program for designated City records, as provided by Records Control Services, Inc., dated March 25, 2018. Signature: Title: Print Name: Date: Bruce G. Meier, -j CRM 2018.03.25 13:14:39 -07'00' Bruce G. Meier, CRM President Records Control Services, Inc. 12 f Copyrighted proprietary information by Records Control Services. Inc All rights reserved RAFq�I �1 F yo 'Tr WITH A' CONTRACT ROUTING FORM INSTRUCTIONS: Use this cover sheet to circulate all contracts for review and approval in the order shown below. TO BE COMPLETED BY INITIATING DEPARTMENT PROJECT MANAGER: Contracting Department: City Clerk Project Manager: Lindsay Lara Extension: 3065 Contractor Name: Bruce Meier, Records Control Services Contractor's Contact: 510-520-1635 Contact's Email: bmeier@RecordsControlServices.com ❑ FPPC: Check if Contractor/Consultant must file Form 700 Step RESPONSIBLE DESCRIPTION COMPLETED REVIEWER DEPARTMENT DATE Check/Initial 1 Project Manager a. Email PINS Introductory Notice to Contractor 7/24/2018 b. Email contract (in Word) & attachments to City 7/24/2018 Atty c/o Laraine.Gittens@cityofsanrafael.org 2 City Attorney a. Review, revise, and comment on draft agreement 7/31/2018 and return to Project Manager 7/31/2018 ®LMM b. Confirm insurance requirements, create Job on PINS, send PINS insurance notice to contractor ©LMM 3 Project Manager Forward three (3) originals of final agreement to Click here to ❑ contractor for their signature enter a date. 4 Project Manager When necessary, * contractor -signed agreement ® N/A agendized for Council approval *PSA > $20,000; or Purchase > $35,000; or Or ❑ Public Works Contract > $125,000 Date of Council approval Click here toenter a date. PRINT CONTINUE ROUTING PROCESS WITH HARD COPY 5 Project Manager Forward signed original agreements to City Attorney with printed copy of this routing form 6 City Attorney Review and approve hard copy of signed ZS 1 agreement 7 City Attorney Review and approve insurance in PINS, and bonds (for Public Works Contracts) 8 City Manager/ Mayor Agreement executed by Council authorized official 9 City Clerk Attest signatures, retains original agreement and forwards copies to Project Manager �I11 '( +,�- -:H�q