HomeMy WebLinkAboutDIANE GLADWELL - 2001-04-02;, je CITY OF HUNTINGTON BEACH
2000 MAIN STREET CALIFORNIA 92648
OFFICE OF THE CITY CLERK
CONNIE BROCKWAY
CITY CLERK
LETTER OF TRANSMITTAL OF ITEM APPROVED BY THE CITY COUNCIL/
REDEVELOPMENT AGENCY OF THE CITY OF HUNTINGTON BEACH
DATE: April 5, 2001
TO: Diane Gladwell ATTENTION:
Name
P.O. Box 62 DEPARTMENT:
Street Records Consulting
Lake Arrowhead, CA 92352 REGARDING:
City, State, Zip rnn+rnn+
See Attached Action Agenda Item E-5 Date of Approval 4-2-01
Enclosed For Your Records Is An Executed Copy Of The Above Referenced Agenda Item.
Remarks:
Connie Brockway
City Clerk
Attachments: Action Agenda Page x Agreement x Bonds
CC: W. Workman
Name
P. Dapkus
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C. Mendoza
RCA
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Risk Management Dept.
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(Telephone: 714-536.5227 )
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Council/Agency Meeting Held: 01-0
Deferred/Continued to:
A roved ❑ Conditionally A proved ❑ Denied
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W Clerk' ignature
Council Meeting Date: April 2, 2001
Department ID Num er: AD
CITY OF HUNTINGTON BEACH _
REQUEST FOR COUNCIL ACTION
SUBMITTED TO: HONORABLE MAYOR AND CITY COUNCIL MEMBERS
D
SUBMITTED BY: RAY SILVER, City Administratora4p
PREPARED BY: William Workman, Assistant City Administratoo
SUBJECT: Approval of Contract to Hire a Records Consultant to develop to Assist
Staff in Developing a Citywide Records Retention Program
Fstatement of Issue, Funding Source, Recommended Action, Alternative Action(s), Analysis, Environmental Status, Attachment(s)
Statement of Issue: Approval of an interim citywide records retention schedule.
Funding Source: Funds for this program have been budgeted in Non -Departmental
Account #1004010-69390 in the amount of $46,850.
Recommended Action:
Motion:
1. Approve the professional services contract between the City of Huntington Beach and
Diane Gladwell for consultant services for development of a citywide records retention
program and authorize the Mayor and City Clerk to execute same.
2. Approve a waiver of all insurance requirements as recommended by the Settlement
Committee.
Alternative Action(s):
Do not approve Diane Gladwell and direct staff to send out a new request for proposals.
*QUEST FOR COUNCIL ACION
MEETING DATE: April 2, 2001
Analysis:
DEPARTMENT ID NUMBER: AD
Diane Gladwell was selected from among five proposals which were submitted in November.
The proposals were reviewed by a staff committee made up of representatives from
Administration, Administrative Services, the City Attorney's Office, the City Clerk's Office, the
City Treasurer's Office, and Public Works.
Ms Gladwell is a Certified Municipal Clerk with over 15 years experience in managing public
and private sector records.. She has worked as a City Clerk for the City of San Luis Obispo
and Assistant City Clerk for the City of Glendale. Her consulting experience includes over 20
cities throughout California where she has organized records management programs,
document imaging system acquisition, and training sessions in both records and imaging.
She has also put together educational programs and publication in Business Process
Reengineering, Best Practices, Records Management and other relevant subjects. She
comes to us with the highest of recommendations from those cities for whom she has
worked.
Background:
The city's records system has for many years evolved at the department level with each
department maintaining its records independently based on past precedence, requirements
of outside agencies such as the county, state or federal governments, and with a concern for
the historical value of the documents.
Several years ago, the city embarked on a program to create a central records program by
defining a general set of guidelines for storing records and by establishing a long term
storage facility , and developing a process for storage, permanent maintenance, and/or
destruction of records. During the past year the City also began installation of an imaging
system.
As an interim measure, the Council approved the City Clerks' Association of California,
Records Retention Guidelines as the city's records retention schedule last December.
The action for the City Council to consider with this RCA is approval of the contract with
Diane Gladwell for professional services as a records management consultant. They will be
assisting staff in developing a comprehensive records management program. Their role will
be to:
• Assist each department in auditing their records to identify unique record types,
• Identify citywide records series and the department responsible for each of these,
• Identify the city's vital records,
• Determine which records shall be maintained as confidential,
• Develop a process for records maintenance (to include transfer to long term storage,
methods for permanent storage, and a formal system for destruction of outdated
records),
RCA - Approval of Records Contract - revised -2- March 21, 2001 3:38 PM
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QUEST FOR COUNCIL ACION
MEETING DATE: April 2, 2001
DEPARTMENT ID NUMBER: AD
• Develop a manual clearly outlining the steps to be followed in maintaining city records,
and
• Modify this interim Records Retention Schedule to reflect their findings along the way.
Funds have been budgeted in the 2000-01 budget to hire this consultant.
The fundamental purpose of this project is to make Huntington Beach's internal document
processing operations more efficient and make public records more accessible to the public
and City staff through a comprehensive records management system.
Management of records plays a critical role in municipal government. Records management
has the capability of providing significant improvement in customer service and efficiency at
substantially reduced costs. Eighty percent of all office activity is record keeping. This is an
enormous investment for the citizens of Huntington Beach. According to The Records and
Retrieval Report published in 1992,
It costs $46,342 to create the records in one filing cabinet
$1,768 annually to own and maintain that filing cabinet
Filing mistakes cost $142 each .
By more effectively managing records, Huntington Beach will be able to save money by
reducing the cost of cabinet filing and by more effective use of staff. It will also assure that
the city is in compliance with State and Federal law, and that we can meet our disaster
recovery needs. Finally, it will improve customer service levels, and free up floor space for
other important services.
Environmental Status: N/A
Contract for consultant services between the City of Huntington Beach
and Diane Gladwell.
Settlement Committee Recommendation to waive insurance.
Diane Gladwell's P
RCA - Approval of Records Contract - revised -3- March 21, 2001 3:38 PM
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PROFESSIONAL SERVICES CONTRACT BETWEEN
THE CITY OF HUNTINGTON BEACH AND
DIANE GLADWELL
FOR DEVELOPMENT OF A CITYWIDE RECORDS
MANAGEMENT AND RECORDS RETENTION PROGRAM
Table of Contents
1
Scope of Services.....................................................................................................I
2
Designated Contacts.................................................................................................5
3
Time of Performance...............................................................................................5
4
Compensation..........................................................................................................5
5
Extra Work...............................................................................................................6
6
Method of Payment..................................................................................................6
7
Disposition of Plans, Estimates and Other Documents...........................................7
8
Hold Harmless.........................................................................................................7
9
Workers' Compensation Insurance............................................................................7
10
General Liability Insurance......................................................................................7
11
Professional Liability Insurance..............................................................................7
12
Certificates of Insurance..........................................................................................7
13
Independent Contractor............................................................................................7
14
Termination of Agreement.......................................................................................8
15
Assignment and Subcontracting...............................................................................8
16
Copyrights/Patents....................................................................................................8
17
City Employees and Officials..................................................................................8
18
Notices.....................................................................................................................8
19
Modification.............................................................................................................9
20
Section Headings......................................................................................................9
21
Interpretation of Agreement.....................................................................................9
22
Duplicate Original....................................................................................................9
23
Immigration..............................................................................................................9
24
Legal Services Subcontracting.................................................................................10
25
Attorney's Fees.........................................................................................................10
26
Entirety.....................................................................................................................10
PROFESSIONAL SERVICES CONTRACT BETWEEN
THE CITY OF HUNTINGTON BEACH AND
DIANE GLADWELL
FOR DEVELOPMENT OF A CITYWIDE RECORDS
MANAGEMENT AND RECORDS RETENTION PROGRAM
THIS Agreement is made and entered into this 2nd day of April
2001, by and between the City of Huntington Beach, a municipal corporation of the State of
California, hereinafter referred to as "CITY," and DIANE GLADWELL, a sole proprietor,
hereinafter referred to as "CONSULTANT."
WHEREAS, CITY desires to engage the services of a consultant to develop a citywide
records management and records retention program (the "PROJECT"); and
Pursuant to documentation on file in the office of the City Clerk, the provisions of the
Huntington Beach Municipal Code, Chapter 3.03, relating to procurement of professional service
contracts have been complied with; and
CONSULTANT has been selected to perform said services,
NOW, THEREFORE, it is agreed by CITY and CONSULTANT as follows:
SCOPE OF SERVICES
Phase 1.0 Records Retention Schedules. Records retention schedules will
allow staff to destroy records they no longer need, freeing up valuable office and storage space.
The retention schedule process identifies which department keeps the original record, resolving
duplicate or unclear processes in the organization.
Task 1.1 Project Introduction/Interviews/File Reviews. CONSULTANT
will meet with Records Management staff and review Huntington Beach's Records Management
Manual and Interim Records Retention Schedules prior to developing the project to ensure
CONSULTANT's work is consistent with the existing program, future goals are achieved, and to
maximize the benefits of the program.
CONSULTANT will conduct a city-wide project "kickoff' meeting, reviewing
the project and proposed dates for departmental interviews for scheduling. The meeting will also
provide an opportunity for interactive development of goals and objectives for the project,
ensuring that each department's concerns and goals are met in the project.
CONSULTANT will then meet with each department individually.
CONSULTANT will first meet with the Department Director and management staff, then meet
with designated employees, fully addressing the issues identified in the Request for Proposal. To
provide synergistic discussions and maximize City employees' time, it is recommended that this
process occur over a period of three days, allocating 1-1/2 hour to each department. Designated
Records Management liaison(s) will attend these meetings to provide them with the maximum
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-5-01
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level of information and control of project and to ensure the knowledge gathered during this
process is retained by Huntington Beach. CONSULTANT will provide each department with
customized consulting via "on -the -spot" solutions and alternatives to various problems they
identify during this process.
Deliverables: Meeting with Records Management and/or City Attorney staff,
City-wide "kickoff' meeting, 14 interviews with department personnel (3 full
days), customized consulting for each department:
Total Cost: $7,800
Task 1.2 Draft Records Retention Schedules. Based upon the data compiled
from the interviews, CONSULTANT will develop retention schedules for each department, and
one for the City as a whole. The City's Interim Records Retention Schedule, as well as the new
statewide guidelines, and research and analysis of applicable Federal and State laws for the
records will be used to formulate the easy -to -use schedules.
The process identifies which department is responsible for maintaining the
original record, allowing other department to destroy their copies when they no longer need them
for immediate reference. The schedule will be organized to reflect each department's filing
structure and preferences, will address all media forms, show which records may be scanned into
the document imaging system, and identify if the paper version should be destroyed after
imaging. The schedule will also identify which records series may include historical, vital and
confidential records. It should be noted that some records series may include "mixed" records.
■ Vital Records: For example, some resolutions may address subjects not vital to
continuing operations.
■ Confidential Records: For example, business license records may contain sales or
financial data that is not accessible to the public, but the license and majority of the
application would be public. The Public Records Act is amended on a regular basis,
and this analysis would provide information for the current law and court decisions,
as well as advice to contact the City Clerk or City Attorney (the wording and policy
would be approved by both).
■ Historical Records: For example, some awards received by the City may not be
deemed historical in nature.
A format will be developed acceptable to the City Attorney and City Clerk prior to writing the
records retention schedules, and they will be consulted throughout the project.
Deliverables: Draft records retention schedules for all departments, one retention
schedule for records common to all departments.
Total Cost: $4,500
PDA: 2001 Agree: Diane Gladwell
RLS 2001-01 17
3-8-01
Task 1.3. Department Reviews/Legal Research & Revision of Retention
Schedule/Final Retention Schedules. CONSULTANT will meet with each department to review
and edit their draft records retention schedules. CONSULTANT will revise the schedules as
many times as necessary to ensure the departments needs, concerns and goals are addressed. The
schedules will then be approved by the Department Head, City Attorney, and City Clerk.
CONSULTANT will also write the Council agenda staff report and resolution to adopt the
schedules.
Deliverables: 14 review meetings with department personnel (3 full days), final
records retention schedules for all departments, one retention schedule for records
common to all departments, Council staff report and resolution of adoption.
Total Cost: $7,650
Total Cost of Phase 1.0: $19,950
Phase 2.0 Document Imaging Program. Huntington Beach has implemented
an Eastman document imaging system in five departments. Some components have not been
utilized (OCR server, Jukebox), and each department has implemented the system differently.
Task 2.1 Needs Assessment/Action Plan/Phased Expansion Plan.
CONSULTANT will meet with Information Systems (IS) and Records Management (RM) staff,
review the project history and its strengths and weaknesses. CONSULTANT will then meet
with five departments, review their goals for the program, unmet needs, current indexes and
procedures utilized in their implementation of the document imaging system. Following this
information gathering stage, CONSULTANT will jointly meet with IS and RM staff to discuss
issues, alternatives and solutions. During this meeting, issues will be identified that need to be
addresse& with the,vendor, as well as the City's desired outcome. A subsequent joint meeting
with the vendor will be facilitated to negotiate the desired outcomes.
A survey instrument will be written, and provided in draft form for editing and
approval. The survey instrument will be distributed to each department at the conclusion of an
organization -wide Document Imaging Technology meeting. Following receipt of the completed
surveys from department, CONSULTANT will analyze the data collected and provide various
planning documents and analysis tools, including projected budgets for each department
expansion. The consultant will meet with IS staff (and any other staff members they want to
include) to review the data and analysis tools and determine a phased project plan. The phased
project plan will include budgets and timelines for each phase.
Deliverables: Three (3) meetings with Information Systems and Records
Management staff; Meetings with 5 departments (2 full days); meeting with IS
staff, RM staff and vendor; City-wide Document Imaging Technology meeting,
survey and analysis instruments, Phased Expansion Plan, Needs
Assessment/Action Plan for the existing document imaging installation.
Total Cost: $8,850
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
Task 2.2 Department Document Input Plans. Based upon the information
gathered in Task 2.1, CONSULTANT will develop a document input plan for each department.
The document input plan will be based upon the Records Retention schedule, and will identify
each records series, when it is scanned in, what is to be scanned in, and standard naming
conventions. CONSULTANT will meet first.with IS and RM staff to review the plans, then with
each department to interactively train their staff and revise the document input plan.
Deliverables: Meetings with IS and RM staff, then 5 departments (2 full days); 5
customized Document Input Plans.
Total Cost: $4,500
Task 2.3 Citywide Policies and Procedures. Working with IS and RM
staff, CONSULTANT will develop City-wide document imaging policies suitable for
incorporation into the City's Records Management Manual. The policies will ensure legal and
administrative requirements are met and database corruption or IS operational problems are
avoided. - CONSULTANT will train each department on the policies and -procedures as the
introduction to their training on their document input plan.
Deliverables: Two meetings with IS and RM staff to develop the policies, City-
wide Document Imaging Policy (employee training is provided in 2.2).
Total Cost: $1,500
Total Cost of Phase 2.0: $17,100
Phase 3.0 Records Management Manual and Training
Task 3.1 Training. Building upon Huntington Beach's existing
program, a revised City-wide records management manual will be written in an interactive
manner with employees, providing a high level of ownership, education and skill within
Huntington Beach staff. The manual will provide training for staff on Huntington Beach's
records management systems, policies and industry -standard practices, including the Public
Records Act and electronic records. Chapters include:
■ Program overview and structure
■ Responding to Public Records requests
■ Filing Procedures
■ Electronic Records
■ Inventories
■ Records retention
■ Records storage & preservation (equipment)
■ Records disposal
■ Glossary
■ Forms
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
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Five 1-1/2 hour training meetings will be held, suitable for City-wide participation (which is
recommended, using Records Representatives designated by each department). Agendas and
drafts will be presented in advance of the meetings allowing Huntington Beach to review and
make changes as desired. All necessary forms will be developed interactively with City staff.
Certificates for completing the Records Management. Course will be presented to all employees
attending the training sessions.
Deliverables: 20 full Records Management Manuals', 20 additional "contents
only" handouts, five 1-1/2 hour training meetings, Training Certificates for all
attendees.
Total Cost of Phase 3.0: $9,800
2. DESIGNATED CONTACTS
CITY shall assign a staff coordinator to work directly with CONSULTANT in the
performance of this Agreement.
CONSULTANT hereby designates Diane Gladwell, who shall represent it and be
its sole contact and agent in all consultations with CITY during the performance of this
Agreement.
3. TIME OF PERFORMANCE
Time is of the essence of this Agreement. The services of CONSULTANT are to
commence -as -soon as practicable after the execution of this Agreement and all Tasks specified in
Section 1 shall be completed no later than six (6) months from the date .of this Agreement. These -
times may be extended with the written permission of CITY. The time for performance of the
Tasks are set forth in Section 1 herein This schedule may be amended to benefit the PROJECT
if mutually agreed by CITY and CONSULTANT.
4. COMPENSATION
In consideration of the performance of the services described herein, CITY agrees
to pay CONSULTANT on a time and materials basis at the rates identified on the fee schedule
attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth
herein, a fee not to exceed Forty-six Thousand Eight Hundred Fifty and no/100 Dollars
($46,850.00).
' 1 manual for each department, 6 manuals for City Clerk/Records Management staff. Each department then
determines how many manuals they need and duplicates them after the final manual has been produced. This
proposal estimates a total of 40 staff members attending each session, hence the 20 additional "contents only"
handouts.
PDA: 2001 Agree: Diane Gladwell
RLS 2001-01 17
3-8-01
5. EXTRA WORK
In the event CITY requires additional services not included in Section 1, or
changes in the scope of services described in Section 1, CONSULTANT will undertake such
work only after receiving written authorization from CITY. Additional compensation for such
extra work shall be allowed only if the prior written approval of CITY is obtained.
6. METHOD OF PAYMENT
A. CONSULTANT shall be entitled to monthly progress payments toward
the fixed fee set forth herein in accordance with the progress and payment schedules set forth in
Exhibit A.
B. Delivery of work product: A copy of every memorandum, letter, report,
calculation and other documentation prepared by CONSULTANT shall be submitted to CITY to
demonstrate progress toward completion of tasks. In the event CITY rejects or has comments on
any such product, CITY shall identify specific requirements. for satisfactory completion. Any
such product which has not been formally accepted or rejected by CITY shall be deemed
accepted.
C. CONSULTANT shall submit to CITY an invoice for each progress
payment due. Such invoice shall:
1) Reference this Agreement;
2) Describe the services performed;
3) Show the total amount of the payment due;
4) Include a certification by a principal member of CONSULTANT's
firm that the work has been performed in accordance with the
provisions of this Agreement; and
5) For all payments include an estimate of the percentage of work
completed.
Upon submission of any such invoice, if CITY is satisfied that CONSULTANT is
making satisfactory progress toward completion of tasks in accordance with this Agreement,
CITY shall promptly approve the invoice, in which event payment shall be made within thirty
(30) days of receipt of the invoice by CITY. Such approval shall not be unreasonably withheld.
If CITY does not approve an invoice, CITY shall notify CONSULTANT in writing of the
reasons for non -approval within seven (7) calendar days of receipt of the invoice, and the
schedule of performance set forth in Section 1 shall be suspended until the parties agree that past
performance by CONSULTANT is in, or has been brought into compliance, or until this
Agreement is terminated as provided herein.
D. Any billings for extra work or additional services authorized by CITY
shall be invoiced separately to CITY. Such invoice shall contain all of the information required
above, and in addition shall list the hours expended and hourly rate charged for such time. Such
invoices shall be approved by CITY if the work performed is in accordance with the extra work
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
or additional services requested, and if CITY is satisfied that the statement of hours worked and
costs incurred is accurate. Such approval shall not be unreasonably withheld. Any dispute
between the parties concerning payment of such an invoice shall be treated as separate and apart
from the ongoing performance of the remainder of this Agreement.
7. DISPOSITION OF PLANS. ESTIMATES AND OTHER DOCUMENTS
- CONSULTANT agrees that all materials prepared hereunder, including all
original drawings, designs, reports, both field and office notices, calculations, maps, memoranda,
letters and other documents, shall be turned over to CITY upon termination of this Agreement or
upon PROJECT completion, whichever shall occur first. In the event this Agreement is
terminated, said materials may be used by CITY in the completion of the PROJECT or as it
otherwise sees fit. Title to said materials shall pass to CITY upon payment of fees determined to
be earned by CONSULTANT to the point of termination or completion of the PROJECT,
whichever is applicable. CONSULTANT shall be entitled to retain copies of all data prepared
hereunder.
8. HOLD HARMLESS
Waived by Settlement Committee 3/6/01.
9. WORKERS' COMPENSATION INSURANCE
Waived by Settlement Committee 3/6/01.
10. GENERAL LIABILITY INSURANCE
Waived by Settlement Committee 3/6/01.
11. PROFESSIONAL LIABILITY INSURANCE
Waived by Settlement Committee 3/6/01.
12. CERTIFICATES OF INSURANCE
Waived by Settlement Committed 3/6/01.
13. INDEPENDENT CONTRACTOR
CONSULTANT is, and shall be, acting at all times in the performance of this
Agreement as an independent contractor herein and not as an employee of the CITY.
CONSULTANT shall secure at its expense, and be responsible for any and all payment of all
taxes, social security, state disability insurance compensation, unemployment compensation and
other payroll deductions for CONSULTANT and its officers, agents and employees and all
business licenses, if any, in connection with the services to be performed hereunder.
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
14. TERMINATION OF AGREEMENT
All work required hereunder shall be performed in a good and workmanlike
manner. CITY may terminate CONSULTANT's services hereunder at any time with or without
cause, and whether or not PROJECT is fully complete. Any termination of this Agreement by
CITY shall be made in writing, notice of which shall be delivered to CONSULTANT as
provided herein. In the event of termination, all finished and unfinished documents, exhibits,
report, and evidence shall, at the option of the CITY, become its property and shall be delivered
to it by CONSULTANT.
15. ASSIGNMENT AND SUBCONTRACTING
This Agreement is a personal service contract and the supervisory work hereunder
shall not be delegated by CONSULTANT to any other person or entity without the express
written consent of CITY.
16. COPYRIGHTS/PATENTS
CITY shall own all rights to any patent or copyright on any work, item or material
produced as a result of this Agreement.
17. CITY EMPLOYEES AND OFFICIALS
CONSULTANT shall employ no CITY official nor any regular CITY employee
in the work performed pursuant to this Agreement. No officer or employee of CITY shall have
any financial interest in this Agreement in violation of the applicable provisions of the California
Government Code.
18. NOTICES
Any notice or special instructions required to be given in writing under this
Agreement shall be given either by personal delivery to CONSULTANT's agent (as designated
in Section 1 hereinabove) or to CITY's Fire Chief as the situation shall warrant, or by enclosing
the same in a sealed envelope, postage prepaid, and depositing the same in the United States
Postal Service, addressed as follows:
TO CITY:
Assistant City Administrator
City of Huntington Beach
2000 Main Street
Huntington Beach, CA 92648
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
TO CONSULTANT:
Diane Gladwell
P.O. Box 62
Lake Arrowhead, CA 92352
19. MODIFICATION
No waiver or modification of any language in this Agreement shall be valid
unless in writing and duly executed by both parties.
20. SECTION HEADINGS
The titles, captions, section, paragraph, subject headings and descriptive phrases
at the beginning of the various sections in this Agreement are merely descriptive and are
included solely for convenience of reference only and are not representative of matters included
or excluded from such provisions, and do not interpret, define, limit or describe, or construe the
intent of the parties or affect the construction or interpretation of any provision of this
Agreement.
21. INTERPRETATION OF THIS AGREEMENT
The language of all parts of this Agreement shall in all cases be construed as a
whole, according -to 4ts fair meaning; and not strictly for or against any of the parties. - If any
provision of this Agreement is held by an arbitrator or court of competent jurisdiction to be
unenforceable, void, illegal or invalid, such holding shall not invalidate or affect the remaining
covenants and provisions of this Agreement. No covenant or provision shall be deemed
dependent upon any other unless so expressly provided here. As used in this Agreement, the
masculine or neuter gender and singular or plural number shall be deemed to include the other
whenever the context so indicates or requires. Nothing contained herein shall be construed so as
to require the commission of any act contrary to law, and wherever there is any conflict between
any provision contained herein and any present or future statute, law, ordinance or regulation
contrary to which the parties have no right to contract, then the latter shall prevail, and the
provision -of this Agreement which is hereby affected shall be curtailed and limited_ only to the.
extent necessary to bring it within the requirements of the law._
22. DUPLICATE ORIGINAL
The original of this Agreement and one or more copies hereto have been prepared
and signed in counterparts as duplicate originals, each of which so executed shall, irrespective of
the date of its execution and delivery, be deemed an original. Each of the parties hereto shall
retain an originally signed copy hereof.- Each duplicate original shall be deemed an original
instrument as against any party who has signed it.
23. IMMIGRATION
CONSULTANT. shall be responsible for full compliance with the immigration
and naturalization laws of the United States and shall, in particular, comply with the provisions
of the United States Code regarding employment verification.
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
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24. LEGAL SERVICES SUBCONTRACTING PROHIBITED
CONSULTANT and CITY agree that CITY is not liable for payment of any
subcontractor work involving legal services, and that such legal services are expressly outside
the scope of services contemplated hereunder. CONSULTANT understands that pursuant to
Huntington Beach City Charter Section 309, the City Attorney is the exclusive legal counsel for
CITY; and CITY shall not be liable for payment of any legal services expenses incurred by
CONSULTANT.
25. ATTORNEY'S FEES
In the event suit is brought by either party to enforce the terms and provisions of
this Agreement or to secure the performance hereof, each party shall bear its own attorney's fees.
26. ENTIRETY
The Agreement contains the entire agreement between the parties respecting the
subject matter of this Agreement and supercedes all prior:understanding and agreements whether
oral or in writing. The foregoing sets forth the entire Agreement between the parties.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed
by and through their authorized offices the day, month and year first above written.
CONSULTANT
DIANE GLADWELL, a
sole proprietor
MET,
Pe bia'ne v
REVIEWED AND APPROVED:
City Xdministrator
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
CITY OF HUNTINGTON BEACH, a
municipal corporation of the State of
California
7Lr 4 atkn,
M yor
ATTEST:
City Clerk Qp-.Qy 0
APPROVED -AS TO FORM:
i Attorney
y� D J6,o\
INITIATED AND ARRD:
io
Assistant City
EXHIBIT A,.
•
Exhibit "A"
Compensation for services shall be based on a time and materials not -to -exceed basis. The
CONSULTANT shall invoice the City only after services / deliverables have been provided to the City.
It should be noted that the CONSULTANT has never incurred any cost overruns or billed any client for
more than the amount bid on any project.
Project Phase
1.0 Records Retention Schedule
Work Task
Estimated
Labor
Hours
Fee
Task 1.1 Project Introduction /
Interviews/ File Reviews
Planning, Meeting with Project
Director(s)
8
$600
Kickoff Meeting
12
$1,200
Department Meetin 3 days)
24
$3,600
Data Analysis
4
$2,400
Task 1.2 Draft Retention Schedules
Develop Schedules, Legal
Research
30
$4,500
Task 1.3 Department Reviews / Final
Retention Schedules
Department Meetings (3 days)
24
$3,600
Revision, Legal Research
27
$4,050
Sub -Total Task l
$19,950
2.0 Document Imaging
Task 2.1 Needs Assessment/Action
Plan/Phased Expansion Plan
Planning Meetings with Project
Directors(s)
7
$2,850
Meetin s with 5 Departments
16
$2,400
Meetin with IS, RM, and Vendor .
7
$1,050
Survey, Document Imaging
Meetin
8
$1,200
Needs Assessment
8
$1,200
Phased Expansion Plans (included
2 meetings
13
$2,400
Task 2.2 Department Document Input
Plans
Meetings with 5 Departments
16
$2,400
Develop Document Input Plans
14
$2,100
2.3 Citywide Policies and Procedures
Meetings with IS & RM staff
6
$900
Policy
4
$600
Subtotal Task 2
$17,.400
11
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
3.0 Records Management Manual and
Training
Task 3.1 Training
5 Training Classes
20
$3,000
Manual Development
40
$6,000
Materials, Photocopying
$800
Sub -total -Task 3
$91800
GRAND TOTAL:
$46,850
All meeting estimates include preparation time; the total number of hours allotted for attending meetings
is 108 hours. CONSULTANT's standard billing rate is $150.00 per hour. There will be no additional
costs, travel or reimbursable expenses in this PROJECT.
12
PDA: 2001 Agree: Diane Gladwell
RLS 2001-0117
3-8-01
CITY OF HUNTINGTON BEACH
APPLICATION FOR INSURANCE REQUIREMENTS WAIVER OR MODIFICATION
1. Name/Title/Department of Requesting Staff Member PAT DAPKUS
2. Date of Request 2/22/01
3. Name of Contractor/Permittee- Diane Gladwell
4. Description of work to be performed Records Retention Schedule and Process Manual
5. Value of Contract $41,450 -_
6. Length of Contract
7. Type of Insurance Waiver or Modification Requested: General & Professional Liability &
Workers Comp
(a) Limits: (b) Coverage
8. Have you contacted Risk Management to dete i e if professional liability coverage is available
through SCOPE? No
9. Reason for Request for Waiver or Reduction. of Limits Individual, independent contractor who
does not employ others or use subcontractors.
10. Identify the risks to the City if this reques)4or v,�iver oX modifications granted None.
Department Head Signature
(This section to be completed by Risk Manager)
Recommendation: Approve Deny
Risk Manager's Signature/Date
(This section to be completed by City Attorney)
Recommendation: Approve Deny
City Attorney's Signature/Date
Settlement Committee appro al (is] not] required for this waiver. If Settlement Committee approval is
required, submit this form to i o y's Office to be -placed on the agenda.
Recommendation: Approve Deny
City. Council appr val (i is not] required for this waiver. If City Council approval is required, attach this
form to the RCA afte ideration by the Settlement Committee. This insurance waiver [is not] on City
Council agenda.
Reviewer's initi s:
PROPOSAL FOR
CITYWIDE RECORDS
MANAGEMENT PROGRAM
AND
RECORDS RETENTION
SCHEDULES
Huntington Beach, California
November, 2000
DIANE R. GLADWELL, CMC
P.O. Box 62
LAKE ARROWHEAD, CA. 92352
(909)337-3516
0 •
ExecutiveSummary.............................................................................................. 1
Background and Approach, Methodologies.......................................................... 2
Scope of Work / Work Plan.................................................................................. 3
Project Organization and Staffing......................................................................... 7
Resume................................................................................................................ 8
RelatedExperience............................................................................................ 10
Additional References ... 12
ProjectSchedule................................................................................................ 13
Fees..........................:........................................................................................ 14
i
0 0
EXECUTIVE SUMMARY
"A decision is as good as the information that goes into it."
-John F. Bookout, Jr.
Huntington Beach has expressed a desire to more fully develop a comprehensive records
management program that includes retention schedules, document imaging, manuals and
training for all departments. The City has already identified excellent goals for the project,
including:
• Improve efficiency and reduce costs associated with records maintenance, retrieval and
storage by reviewing current practices and by providing recommendations for their
improvement.
• Improve information quality while allowing wide access to information by both staff and the
public.
• Ensure an excellent "fit" of document management and imaging technology to the existing
computer and document imaging systems, operational structure, organizational values and
the future goals of the City of Huntington Beach.
• Ensure the City's records retention schedule meets all Federal and State and local legal
standards for municipal records.
Diane R. Gladwell is a Certified Municipal Clerk that has developed records management
programs for over 20 municipal governments. Ms. Gladwell was a City Clerk for six years, and
has an excellent knowledge of government operations. She is recognized as a leading expert
in records management and document imaging and has an excellent knowledge of the industry,
products and vendors as well as hands-on user and administration experience with many
systems. Ms. Gladwell is the author of several publications on records management and
document imaging, and is a noted speaker (including AIIM, ARMA, and COMDEX). In addition,
Ms. Gladwell has received multiple awards for document imaging / records management and
administration.
PROJECT COST':
1.0 City-wide Records Retention Schedules $19,950
2.0 Document Imaging Program $17,100
3.0 Records Management Training Course, City-wide Manual $9,800
TOTAL $46,850
. .. _ Includes. all.costs. ____
Proposal for the City of Huntington Beach submitted by Diane R. Gladwell, CIVIC page 1
•
•
BACKGROUND and APPROACH, METHODOLOGIES
The consultant proposes to build on the progress already made in the organization, ensuring
consistency and high levels of development for the project.
The project will be structured to increase participation, expedite results, minimize costs and
ensure the successful implementation of an excellent program by temporarily employing the
skills and knowledge of the contractor as needed.
This approach is customized for Huntington Beach to ensure the program:
• Provides a 'one-time fix";
• Is interactive, producing a high level of participation and ownership;
• Matches the organizations values and structure;
• Provides appropriate solutions;
• Can be implemented quickly;
• Will achieve long-term viability; and
• Has the highest cost/benefit ratio and return on investment.
Drafts of all work will be released to City of Huntington Beach during the course of the project. _
Huntington Beach will have an opportunity to edit and comment on these drafts, assuring that
(1) the City will maintain control of the project, and (2) the current work of the organization
supports the final program. In addition, on -site visits, e-mail, and telephone communications will
keep City of Huntington Beach apprised of the work progress.
The consultant will provide the computer facilities, forms and equipment necessary tocomplete
the work in this proposal. A workspace will be necessary when the consultant is on -site with
access to computer systems, a photocopier, and City of Huntington Beach staff for information.
(Objectives, records retention schedule and records manual information are contained in the
Work Plan section.)
"...a records management program is actually a money saver - a protection against ineffective operations.
It is even more significant as a safeguard against disaster and lawsuits."
-ICMA (International City/County Management Association)
Proposal for City of Huntington Beach submitted by Diane R. Gladwell, cMc page 2
•
•
SCOPE OF WORK / WORK PLAN
There are a variety of constraints, problems, and issues that arise in every project. The
consultant interactively designs each phase and work task to achieve maximum benefit and
minimum work disruption with Huntington Beach staff. Each phase starts with a planning
meeting designed to discuss Huntington Beach's unique constraints and environments and
design the project to overcome these in the most successful manner.
The scope of work includes monthly written progress reports and oral briefings.
1.0 RECORDS RETENTION SCHEDULES
Records retention schedules will allow staff to destroy records they no longer need, freeing up
valuable office and storage space. The proposed process identifies which department keeps
the original record, resolving duplicate or unclear processes in the organization. If desired, a
process can be designed to allow staff to destroy records without seeking Council approval each
time they destroy original records (some cities prefer each records destruction be presented to
Council).
1.1 Project Introduction / Interviews / File Reviews
The consultant will meet with Records Management staff and review Huntington Beach's
Records Management Manual and Interim Records Retention Schedules prior to developing the
project to ensure the consultant's work is consistent with the existing program, future goals are
achieved, and to maximize the benefits of the program.
The consultant will conduct a city-wide project "kickoff' meeting, reviewing the project and
proposed dates for departmental interviews for scheduling. The meeting. will also provide an
opportunity for interactive development of goals and objectives for the project, ensuring that
each department's concerns and goals are met in the project.
The consultant will then meet with each department individually. The consultant will first meet
with the Department Director and management staff, then meet with designated employees, fully
addressing the issues identified in the Request for Proposal. To provide synergistic discussions
and maximize City employees' time, it is recommended that this process occur over a period of
three days, allocating 1 %2 hour to each department. Designated Records Management liaison(s)
are encouraged to attend these meetings to provide them with the maximum level of information
and control of project and to ensure the knowledge gathered during this. process is retained by
Huntington Beach. The consultant will provide each department with customized consulting via
"on -the -spot" solutions and alternatives to various problems they identify during this process.
Deliverables: Meeting with Records Management and/or City Attorney staff; City-wide
"kickoff' meeting, 14 interviews with department personnel (3 full days), customized
consulting for each department.
Total Cost: $7,800
Proposal for the City of Huntington Beach submitted by Diane R. Gladwell, CMC page 3
1.2 Draft Records Retention Schedules
Based upon the data compiled from the interviews, the consultant will develop retention
schedules for each department, and one for the City as a whole. The City's Interim Records
Retention Schedule, as well as the new statewide guidelines, and research and analysis of
applicable Federal and State laws for the records will be used to formulate the easy -to -use
schedules.
The process identifies which department is responsible for maintaining the original record,
allowing other departments to destroy their copies when they no longer need them for
immediate reference. The schedule will be organized to reflect each department's filing
structure and preferences, will address all media forms, show which records may be scanned
into the document imaging system, and identify if the paper version should be destroyed after
imaging. The schedule will also identify which records series may include historical, vital and
confidential records. It should be noted that some records series may include "mixed" records.
• Vital Records: For example,' some resolutions may address subjects not vital to
continuing operations.
• Confidential Records: For example, business license records may contain sales or
financial data that is not accessible to the public, but the license and majority of the
application would be public. The Public Records Act is amended on a regular basis,
and this analysis would provide information for the current law and court decisions, as
well as advice to contact the City Clerk or City Attorney (the wording and policy would
be approved by both).
• Historical Records: For example, some awards received by the City may not be deemed
historical in nature.
A format will be developed acceptable. to the City Attorney and City Clerk prior to writing the
records retention schedules, and they will be consulted throughout the project.
Deliverables: Draft records retention schedules for all departments, one retention
schedule for records common to all departments
Total Cost: $4,500
1.3 Department Reviews I Final Retention Schedules
The consultant will meet with each department to review and edit their draft records retention
schedules. The consultant will revise the schedules as many times as necessary to ensure the
departments needs, concerns and goals are addressed. The schedules will then be approved
by the Department Head, City Attorney, and City Clerk. The consultant will also write the
Council agenda staff report and resolution to adopt the schedules.
Deliverables: 14 review meetings with department personnel (3 full days), final records
retention schedules for all departments, one retention schedule for records common to
all departments, Council staff report and resolution of adoption.
7
Total Cost: $7,650
Proposal for City of Huntington Beach submitted by Diane R. Gladwell, CMC page 4
Total Cost of 1.0: $19,950
2.0 DOCUMENT IMAGING PROGRAM
Huntington Beach has implemented an Eastman document imaging system in five departments.
Some components have not been utilized (OCR server, Jukebox), and each department has
implemented the system differently.
The consultant has assisted many cities in implementing document imaging systems in the most
efficient manner (including business process reengineering), and has excellent knowledge of
best practices in this discipline.
2.1 Needs Assessment / Action Plan / Phased Expansion Plan
The consultant will meet with Information Systems (IS) and Records Management (RM) staff,
review the project history and it's strengths and weaknesses. The consultant will then meet with
five departments, review their goals for the program, unmet needs, current indexes and
procedures utilized in their implementation of the document imaging system. Following this
information gathering stage, the consultant will jointly meet with IS and RM staff to discuss
issues, alternatives and solutions. During this meeting, issues will be identified that need to be
addressed with the vendor, as well as the City's desired outcome. A subsequent joint meeting
with the vendor will be facilitated to negotiate the desired outcomes.
A survey instrument will be written, and provided in draft form for editing and approval. The
survey instrument will be distributed to each department at the conclusion of an organization -
wide Document Imaging Technology meeting. Following receipt of the completed surveys from
departments, the consultant will analyze the data collected and provide a various planning
documents and analysis tools, including projected budgets for each department expansion. The
consultant will meet with IS staff (and any other staff members they want to include) to review
the data and analysis tools and determine a phased project plan. The phased project plan will
include budgets and timelines for each phase.
Deliverables: 3 meetings with Information Systems and Records Management staff;
Meetings with 5 departments (2 full days); meeting with IS staff, RM staff and vendor;
City-wide Document Imaging Technology meeting, survey and analysis instruments,
Phased Expansion Plan, Needs Assessment / Action Plan for the existing document
imaging installation.
Total Cost: $11,100
2.2 Department Document Input Plans
Based upon the information gathered in 2.1, the consultant will develop a document input plan
for each department. The document input plan will be based upon the Records Retention
schedule, and will identify each records series, when it is scanned in, what is to be scanned in,
and standard naming conventions. The consultant will meet first with IS and RM staff to review
the plans, then with each department to interactively train their staff and revise the document
input plan.
Deliverables: Meetings with IS and RM staff, then 5 departments (2 full days); 5
customized Document Input Plans.
Proposal for the City of Huntington Beach submitted by Diane R. Giadweii, CMC page 5
0 . 0
Total Cost: $4,500
2.3 Citywide Policies and Procedures
Working with IS and RM staff, the consultant will develop City-wide document imaging policies
suitable for incorporation into the City's Records Management Manual. The polices will ensure
legal and administrative requirements are met and database corruption or IS operational
problems are avoided. The consultant will train each department on the policies and procedures
as the introduction to their training on their document input plan.
Deliverables: Two meetings with IS and RM staff to develop the policies, City-
wide Document Imaging Policy (employee training is provided in 2.2)
Total Cost: $1,500
Total Cost of 2.0: $17,100
3.0 RECORDS MANAGEMENT MANUAL AND TRAINING
Building upon Huntington Beach's existing program, a revised City-wide records management
manual will be written in an interactive manner with employees, providing a high level of
ownership, education and skill within Huntington Beach staff. The manual will provide training _
for staff on Huntington Beach's records management systems, policies and industry -standard
practices, including the Public Records Act and electronic records. Chapters include:
• Program overview and structure
• Responding to Public Records requests
• Filing Procedures
• Electronic Records
• Inventories
• Records retention
• Records storage & preservation (equipment)
• Records disposal
• Glossary
• Forms
Five 1 1/2 hour training meetings will be held, suitable for city-wide participation (which is
recommended, using Records Representatives designated by each department). Agendas and
drafts will be presented in advance of the meetings allowing Huntington Beach to review and
make changes as desired. All necessary forms will be developed interactively with City staff.
Certificates for completing the Records Management Course will be presented to all employees
attending the training sessions.
Deliverables: 20 full Records Management ManualsZ, 20 additional "contents
only" handouts, five 1 1/2 hour training meetings, Training Certificates for all
attendees.
2 1 manual for each department, 6 manuals for City Clerk / Records Management staff. Each department then
determines how many manuals they need and duplicates them after the final manual has been produced. This
Proposal for City of Huntington Beach submitted by Diane R. Gladwell, CMC page 6
Total Cost: $9,800
proposal estimates a total of 40 staff members attending each session, hence the 20 additional "contents only"
handouts.
Proposal for the City of Huntington Beach submitted by Diane R. Giadweil, CIVIC page 7
•
•
PROJECT ORGANIZATION and STAFFING
All work is performed by the principal. Assignments are not delegated to less skilled personnel
or subcontractors, assuring the project is well -coordinated without communication problems or
scheduling conflicts among various consultants and their other projects. In addition, this
assures the highest quality work.
Huntington Beach
Diane R. Gladwell, CMC
The consultant has an excellent City Attorney on retainer (Scott Howard, esq.); however, most
cities choose to have their own City Attorney review and approve portions of the project where
appropriate. This ensures Huntington Beach's City Attorney's preferences are articulated
throughout the project, and the City's unique past experiences and operating environments are
addressed in policies, especially in such areas as public records and retention schedules.
The principal is prepared to start the project upon the notice to proceed from the City, and will
produce documents and meetings as directed by the City. The consultant works with each City
to plan the project to meet their specific needs (e.g. many cities choose to delay project
meetings during holiday periods or peak workload periods).
The consultant is available for the duration of the project. The consultant is currently working on
projects for Chino Hills, Concord, Laguna Niguel, Manhattan Beach, Napa,. Santa Clarita, West
Sacramento, and Marin County, California. Because the consultant fits project schedules to city
needs, time gaps of over 6 months may occur in many projects. For example, RFPs will be
distributed in December for three different cities which will result in no time demands on the
consultant for a period of one month, then only 1-3 days per month will be required, depending
upon the City and workscope. The consultant has sufficient time available starting in December
to meet the project goals and timelines desired by Huntington Beach.
Project Estimated Hours
Phase 1.0 Records Retention Schedules
Phase 1.1 Project Introduction / Interviews / File Reviews
Phase 1.2 Draft Retention Schedules
Phase 1.3 Department Reviews / Final Retention Schedules
Phase 2.0 Document Imaging
Phase 2.1 Needs Assessment / Action Plan / Phased Expansion Plan
Phase 2.2 Document Input Plans
Phase 2.3 Citywide Policies & Procedures
52
30
51
59
30
10
Proposal for City of Huntington Beach submitted by Diane R. Gladwell, CMC
page 8
Phase 3.0 Records Management Manual and Training 80
Proposal for the City of Huntington Beach submitted by Diane R. Gladwell, CMC page 9
RESUME
SUMMARY
Diane R. Gladwell is a Certified Municipal Clerk with over fifteen years experience managing in
public and private sectors. Recipient of multiple awards recognizing excellence in municipal
clerk administration. Facilitator, author and instructor for document imaging, best practices and
reengineering in over 20 organizations, including AIIM, ARMA and COMDEX.
PROFESSIONAL BACKGROUND
Consultant
1989 to present =
Clients have included the cities of Brea, Chino Hills, Concord, El Monte, Fairfield, Hesperia,
Irvine, Laguna Hills, Laguna Niguel, La Verne, Lawndale, Manhattan Beach, Napa, Norwalk,
Pico Rivera, Riverside, Santa Clarita, Solana Beach, Turlock, Tustin, and West Sacramento,
California; Los Angeles and Marin County, California; VISA Corporation; City and County of
Kansas City, Kansas; Saint Paul, Minnesota; the International Institute of Municipal Clerks
(IIMC); and the City Clerks Association of California (CCAC). Projects have included:
1. Organization -wide and Department -level Records Management Programs:
Inventories, Retention Schedules, Procedures, Manuals and Training
2. Document Imaging (Optical Disk) System Acquisition or Remediation
3. Educational Programs and Publications in Technology, Business Process Reengineering,
Best Practices, Records Management and other subjects.
4. Facilitation of Business Process Reengineering
City of San Luis Obispo
City Clerk
1992 to 1995
As a member of the management team, responsible for records management, election
administration, municipal code maintenance, FPPC disclosures, special event permits, City
Council support, and coordination of over 20 boards and commissions for the City of San Luis
Obispo. Administration of the agenda process and all public notification and advertisement.
Received the Presidents Award of Distinction for Excellence in Organization and Administration
from the California Clerks Association (1994). Reduced expenses by 22% while increasing
services to the public; developed "InfoSLO" computerized information kiosk, electronic
advertising and electronic agendas; reengineered all programs and processes in the Division.
City of Glendale 1989 to 1992
Assistant City Clerk
As a member of management, responsible for records management, election administration,
municipal code maintenance, FPPC disclosures, business licensing, film permits and special
events for Glendale (population 187,000). Supervised Council and Redevelopment Agency
agendas, packets and minutes preparation as required; administrated publication and mailing of
legal notices, bids, and process claims for the City. Develop, presented and administrated City
Clerk annual budget of $800,000. Acted as Public Information Officer for the City during
---Proposal for City of Huntington Beach submitted by Diane R. Gladwell CMC — --- — ._ page ----_-----
10 -
emergencies (Glendale fire, storm damage). Supervised a staff of nine who serve a culturally
diverse community.
Developed, implemented, and administrated a city-wide records management program based
on optical disk technology which has received international, national and state awards for
exceptional records management programs.
Food 4 Less / Market Basket / Viva / Boys Markets 1980-1989
Credit Management Services Supervisor
Administered payment systems and collections for a chain of 50 grocery stores (over five million
transactions annually.) Records management for payment transactions, criminal and civil
incidents for chain. A key member of the management team that developed and implemented
computerized Electronic Funds Transfer for checks and credit cards as well as several custom
applications to track returned items and issue check cashing cards. Budget development and
administration for four Divisions representing expenditures of over $8,000,000.
EDUCATION
Pacific Southern University, Los Angeles: Bachelor of Science, Business Administration
California Polytechnic University, Pomona: Business administration courses
Citrus College, Azusa: Associate of Science, Business Administration
UCLA: Business management courses
Institution de Technologico, Yucatan, Mexico: Attended institute as a foreign exchange student
ESRI Geographic Information Systems (GIS) training
HONORS
Olsten Award for Excellence in Records Management Programs;
Association of Records Management Administrators (ARMA)
President's Award of Distinction for Excellence in Organization and Administration;
City Clerks Association of California (CCAC)
Records Management Award for Exceptional Municipal Programs Utilizing Alternative
Technologies;
International Institute of Municipal Clerks (IIMC)
President's Award for Excellence in Public Presentations and Published Articles;
City Clerks Association of California (CCAC);
(3) Honorary Service Awards (California PTA for Outstanding Service to Youth and Community)
Life Member: Delta Mu Delta, Alpha Gama Sigma and California Scholarship Federation
Listed in Who's Who of Professionals
PRESENTATIONS AND PUBLICATIONS
COMDEX
AIIM (Association for Information and Image Management)
ARMA (Association of Records Mangers and Administrators)
IIMC (International Institute of Municipal Clerks)
CCAC (City Clerks Association of California)
County of Los Angeles
Government Technology Conference
Author: Document Imaging (May, 1998)
Proposal for the City of Huntington Beach submitted by Diane R. Gladwell, CMC - - --- -- - page
11
C]
•
Efficient Filing (Summer, 1999)
Funding Records Management Projects (Winter, 2000)
Various articles published by ARMA, ICMA, IIMC and NAGARA
Proposal for City of Huntington Beach submitted by Diane R. Gladwell, CMC - - - page
12
RELATED EXPERIENCE
Pam Means-Nigliazzo, CMC/AAE, City Clerk
Scott Nielsen, Director of Information Services
City of Napa
955 School St.
Napa, CA. 94559
(707) 257-9503
Project Overview: Developed a city-wide records management program, retention
schedules and facilitation of a city-wide document imaging system. Project included
conducting four City -Wide training classes; facilitating an executive team to acquire and
select a document imaging system via RFP, presentations at Executive Staff Meetings,
reengineering of processes and customized training program for document imaging.
The consultant currently meets with each department to plan expansions of the
document imaging system and train employees as needed.
Project Director: Pam Means-Nigliazzo; Walt Browning (Information Systems) is the
Project Director for the document imaging system portion of the project. The Project
Team included representatives from each department, and included up to 40 people,
depending upon the phase. -
Dates: February, 1998 to present
Elaine Capps, CMC/AAE, City Clerk
Ray Drlick, Manager of Information Services
City of Brea
Number One Civic Center Cir.
Brea, CA. 92621
(714) 990-7757
Project Overview: Evaluated legislative tracking alternatives, developed city-wide
records management program, retention schedules and facilitation of a city-wide
document imaging system. Project included conducting six city-wide training classes;
individual meetings with all departments, facilitation of an executive team to acquire a
document imaging system via RFP, reengineering of City Clerk processes and
customized training program for document imaging.
Project Director: Elaine Capps; Ray Drlick was Project Director for the document
imaging system portion of the project. The Project Team included representatives from
each department, and included up to 60 people, depending upon the phase.
Dates: March, 1997 to June, 1999
- Proposal for the City of Huntington Beach submitted by Diane R. Giadwell, CMC — page
13
0 . 0
Gail Vasquez -Connolly, CMC/AAE, City Clerk
City of Norwalk
12700 Norwalk Blvd.
Norwalk, CA. 90650-3144
(562) 929-5700
Project Overview: Conduct an inventory and purge of all City Clerk, Planning and Public
Services records; development of retention schedules; design, procedures, conversion
and training of a new filing system; reengineering. of City Clerk processes,
implementation & training of City Clerk document imaging system (Liberty had already
been purchased), conduct four city-wide records management classes to facilitate the
writing of a city-wide records management manual; conduct a six-month audit.
Project Director: Gail Vasquez -Connolly. The Project Team included representatives
from each department, and included up to 50 people, depending upon the phase.
Dates: December, 1998 to September, 2000
Proposal for City of Huntington Beach "submitted by Diane R. Giadwell, CIVIC page
14
•
ADDITIONAL REFERENCES
Kathryn Kirk, City Clerk
City of Solana Beach
635 S. Highway 101
Solana Beach, CA 93063-2117
(619) 755-2998
Linda Kimbro, City Clerk
City of Irwindale
5050 Irwindale Ave.
Irwindale, CA. 91706-2133
Mardie Traver, Manager of Administrative
Services
City of Concord
1950 Parkside Drive Ms03
Concord, CA 94519-2578
(925) 671-3417
Mary Carlson, CMC/AAE, City Clerk
City of Laguna Hills
25201 Paseo De Alicia Ste 150
Laguna Hills, CA. 92653
(714) 707-2635
Valerie Crabill, Chief Deputy City Clerk
City of Tustin
300 Centennial Way
Tustin, CA. 92780
(714) 573-3025
Helen Kanowsky, City Clerk
City of West Sacramento
P.O. Box 966
West Sacramento, CA 95691-0966
(916) 373-5800
Dr. Maurice Bisheff, Resource Center
Director
International Institute of Municipal Clerks
(IIMC)
1206 N. San Dimas Canyon Rd.
San Dimas, Ca. 91773
(909) 592-4462
Kathleen Hamm, CMC, City Clerk
City of La Verne
3660 "D" St.
La Verne, CA. 91750
(909) 596-8726
Christine J. Schaefer, City Clerk / Director of
Admin. Services
City of Pico Rivera
6615 Passons Blvd.
Pico Rivera, CA. 90660
(562) 801-4378
Liza Tamura, City Clerk
City of Manhattan Beach
1400 Highland Ave.
Manhattan Beach, CA. 90266
(310) 545-5621
Pamela Giamario, Acting City Clerk
City of Lawndale
14717 Burn Ave.
Lawndale, CA. 90260
(310) 970-2100
Molly O'Rourke, Former City Clerk
City of Saint Paul
1371 Midway
Saint Paul, MN 55108
(612) 266-8688
- Proposal for the City of Huntington- Beach submitted by Diane R. Giadwell, CMC page -
15
PROJECT SCHEDULE
The proposed project schedule assumes a one -week turnaround from Huntington Beach staff.
Huntington Beach is free to adjust the schedule so it better suits their needs and fits into other
projects they are currently implementing.
Phase and Work Task 15-Dec 29-Doc 12-Jan
1.0 Records Retention Schedules
26-Jan
9-Feb
23-Feb 9-Mar
23-Mar 6-Apr 20-Apr 4-May 18-May I -Jun
1.1 Project Intro I Interviews / File Reviews
Planning, Meeting with Project Directors) I
I
Kickoff eating
Department Meetings (3 days)
-
Data Analysis
I
I I I
I
1.2 Draft Retention Schedules
Draft Retention Schedules, Legal Research
I
I
1.3 Department Reviews / Final Retention Schedules
I
Department Meetingsdays)
I
i
I
Revisions, Legal ResearcF_2.0 I
i
Document Imaging I
I
2.1 Needs Assessment / Action Plan I Phased Expansion Plan
!
I
Planning, Meeting with Project Director(s) I
eetings with epartments
I
I I
I
eetmg with and Vendor
I
Survey, Document Imaging Meeting
Needs Assessment
Phased Expansion Plans
I
I
I i
2.2 Department Document Input Plans
i
Meetings with 5 departments (2 days)
i
I
i
Develop Document Inputans
I
I I
2.3 Citywide Policies and Procedures
Meetings with Staff
I
I
a icy eve opmen t-
i
I I
I (-
3.0 Records Management Manual & Training
!
j
Manual Development / Drafts
Training Classes per month)
Final Manual Produced, Approved and Adopted! i
Proposal for the City of Huntington Beach by Diane R. Gladwell, CMC (909) 337-3516 page 16
FEES
Compensation for services shall be based on a time and materials not -to -exceed basis. The
consultant shall invoice the City only after services / deliverables have been provided to the City.
It should be noted that the consultant has never incurred any cost overruns or billed any client
for more than the amount bid on any project.
Project Phase
1.0 Records Retention Schedule
Work Task
LaborEstimated
Hours
1.1 Project Introduction / Interviews /
File Reviews
Planning, Meeting with Project
Director(s)
8
$600
Kickoff Meeting
12
$1,200
Department Meetings (3 days)
24
$3,600
Data Analysis
4
$2,400
1.2 Draft Retention Schedules
Develop Schedules, Legal Research
30
$4,500
1.3 Department Reviews / Final
Retention Schedules
Department Meetings (3 days)
24
$3,600
Revisions, Legal Research
27
$4,050
2.0 Document Imaging
2.1 Needs Assessment / Action Plan /
Phased Expansion Plan
Planning, Meeting with Project
Director(s)
7
$2,850
Meetings with 5 Departments
16
$2,400
Meeting with IS, RM and Vendor
7
$1,050
Survey, Document Imaging Meeting
8
$1,200
Needs Assessment
8
$1,200
Phased Expansion Plans (includes 2
meetings)
13
$2,400
2.2 Department Document Input Plans
Meetings with 5 Departments
16
$2,400
Develop Document Input Plans
14
$2,100
2.3 Citywide Policies and Procedures
Meetings with IS & RM staff
6
$900
Policy
4
$600
3.0 Records Management Manual
and Training
5 Training Classes
20
$3,000
Manual Development
40
$6,000
Materials, Photocopying
$800
All meeting estimates include preparation time; the total number of hours allotted for attending
meetings is 108 hours. The consultant's standard billing rate is $150.00 per hour. There will be
no additional costs, travel or reimbursable expenses in this project.
Proposal for the City of Huntington Beach by Diane R. Giadweu, CIVIC (909) 337-3516 page 17
.1111
RCATROUTING 9HEET
INITIATING DEPARTMENT: ADMINISTRATION
SUBJECT: Approval of a contract to Hire a Records Consultant to
develop to Assist Staff in Developing a Citywide Records
Retention Program
COUNCIL MEETING DATE: Aril 2, 2001
Ordinance (w/exhibits & legislative draft if applicable)
Not Applicable
Resolution (w/exhibits & legislative draft if applicable)
Attached
Tract Map, Location Map and/or other Exhibits
Not Applicable
Contract/Agreement (w/exhibits if applicable)
(Signed in full by the City Attorne
Not Applicable
Subleases, Third Party Agreements, etc.
(Approved as to form by City Attorney)
Not Applicable
Certificates of Insurance (Approved by the City Attorney)
Not Applicable
Financial Impact Statement (Unbudget, over $5,000)
Not Applicable
Bonds (If applicable)
Not Applicable
Staff Report (If applicable)
Not Applicable
Commission, Board or Committee Report (If applicable)
Not Applicable
Findings/Conditions for Approval and/or Denial
Not Applicable
RCA Author: P. Dapkus
• � . H6Mc § 3.03
LIST OF BIDDERS to the Records Consultant.RFP.
Enterprise Management Solutions, Inc.
18663 Ventura Blvd., Suite 232
Tarzana, CA 92356
Diane R. Gladwell, CMC
P. O. Box 62
Lake Arrowhead, CA 92352
AEF systems Consulting, Inc.
8502 E. Chapman Ave.
Orange, CA 92869-2461
David C. Jackson, CRM
P. O. Box 763
Hermosa Beach, CA 90254
Ictus Consulting, LLC
74 E. Montecito Ave.
Sierra Madre, CA 91024