HomeMy WebLinkAboutCC 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
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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