Loading...
CC Records Management Program Consulting Amendment 1AMENDMENT TO AGREEMENT FOR PROFESSIONAL SERVICES FOR RECORDS MANAGEMENT PROGRAM CONSULTING SERVICES THIS Al FINDMENT to Agreement for Professional Services is made and entered into this day of +P`1119r19, by and between the CITY OF SAN RAFAEL (hereinafter "CITY") and Records Control Services, Inc. (hereinafter "CONTRACTOR"). RF.fTTAYN WHEREAS, on August 25, 2018, CITY and CONTRACTOR entered into that certain "Agreement for Professional Services for Records Management Program Consulting Services" by which CONTRACTOR agreed to provide records management program consulting services (the "Agreement"); and WHEREAS, CITY and CONTRACTOR wish to amend the Agreement to increase the travel costs to complete the project. AGREEMENT NOW, THEREFORE, the parties hereby agree as follows: 1. Paragraph 4 of the Agreement, entitled COMPENSATON, is amended to read in its entirety as follows: For the full performance of the services described herein by CONTRACTOR, CITY shall pay CONTRACTOR an amount not to exceed $20,406.00, including transportation, as described in Exhibit A. Payment will be made monthly upon receipt by PROJECT MANAGER of itemized invoices submitted by CONTRACTOR. 2. Except as specifically amended herein, all of the other terms of the Agreement shall remain unchanged. IN WITNESS WHEREOF, the parties have executed this Agreement as of the day, month and year first above written. CITY OF SAN RAF JIM S H-3-10 CONTRACTO By. City Mana er Name: Title: 10z",4 ORIG .AL ATTEST: LINDSAY LARA, City Clerk APPROVED AS TO FORM: ROBERT F. EPSTE , City' tomey [If Contractor is a corporation, add signature of second corporate officer] By: Nam . 111m Title: "� Proposal for a Records Improvement Program for the City Clerk's Office March 25, 2018 Mecords ontrol 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 '' 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. Ej.�HBIT A mecordspontroiFgjervices A firm of Information Resource Management Specialists & Consultants 4638 Park Bou evard 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 Copyrighted proprietary informal on by Records Control Services Inc All rights 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 8 GARP are trademarked by the Association of Records Managers and Administrators International 0 Copyrighted proprietary .nlormal on 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 Control Services. Inc k rights reserved • • • •I I • . • 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. "Copyrighted proprietary nformal.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 GARP5 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. 6 Copyrighted proprietary ntarmat on by Records Contin, Services Inc All rights reserved Proposal for a Records Improvement Program 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 Principals82. Phase 1 — Policy Improvements and Uniform Taxonomy & 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 TaxonomyTM (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 7 Copynghled p•opr etary ntormat:on by Records Control Services Inc A I 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. 8 Copyrighted proprietary normal on by Records Control Services, Inc All rights reserved Phase 2 — Active Filinq 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 UFIRSTTm 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 UFIRST1111 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 nformation 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 Copynghted 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 suqqestions 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 Remrds Control Services nc A rights reserved 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: Bruce G. Meier, CRM President Records Control Services, Inc. Print Name: Date: 0-- Bruce G. Meier, CRM 2018.03.25 13:14:39 -07'00' 12 Copyrighted proprietary nformation by Records Control Services Inc All rights reserved RAF,q�` i 2 yo wirH 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 Project: Amendment of 8/25/2018 PSA Step RESPONSIBLE DESCRIPTION COMPLETED REVIEWER DEPARTMENT DATE Check/Initial 1 Project Manager a. Email PINS Introductory Notice to Contractor b. Email contract (in Word) & attachments to City Atty c/o Laraine.Gittens@cityofsanrafael.org 2 City Attorney a. Review, revise, and comment on draft agreement 2/5/2019 ® LG and return to Project Manager 2/5/2019 ® LG b. Confirm insurance requirements, create Job on Project Manager PINS, send PINS insurance notice to contractor 3 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 Click here to Project Manager Date of Council approval enter a date. CONTINUE ROUTING PROCESS WITH HARD COPY 5 Forward signed original agreements to City 3/4/2019 LL City Attorney Attorney with printed copy of this routing form 6 Review and approve hard copy of signed agreement 7 City Attorney Review and approve insurance in PINS, and bonds (for Public Works Contracts) / `7 8 City Manager/ Mayor Agreement executed by Council authorized official Attest signatures, retains original agreement and 9 City Clerk forwards copies to Project Manager 2 4-3 -Iy1