Proposal for
a
Records Improvement Program
for the
March 1, 2024
A Corporation of Information Resource Management Specialists
15 Cornwall Court
,
Oakland, California
94611
Office: 510
-
530
-
6033
Primary Cell: 510
-
520
-
1635
Bruce G. Meier, Certified Records Manager
President/CEO
www.RecordsControlServices.com
™
This proposal was developed for and submitted to The
City of
Hercules
, and it contains
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
H
ercul
es
or its agents. By accepting and/or maintaining a copy of this proposal, all parties mentioned above agree to this statement.
This proposal supersedes all other proposals for similar work provided by Records Control Services, Inc.
R
C
S
ecords
ontrol
ervices
Records Control Services, Inc.
2 Table of Contents
Cover Letter
................................
................................
................................
..............................
3 Scope of Work & General Recommendations
................................
................................
...........
4 Introduction
................................
................................
................................
...........................
4 Purpose
................................
................................
................................
................................
.
4 Project Scope
................................
................................
................................
........................
4 Observations
................................
................................
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.........................
4 General Recommendations
................................
................................
................................
...
5 Approach
................................
................................
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...............................
6 Proposal for Updates to Records Retention Schedules and Records Management Policy
.......
7 Phase 1
–
RIM Policies/Procedures & Retention Schedules
................................
.................
7 Phase 2
–
Retention Schedule Training
................................
................................
................
9 Phase 3
–
Inactive & Obsolete Records Review
................................
................................
...
10 Cost Breakdown
................................
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12 Fee & Payment Terms
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13 RCS Disclaimer
................................
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13 Client Acceptance & Signature Page
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14 Firm Information & Qualifications
................................
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.............................
15 References
................................
................................
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..............................
16 Records Control Services, Inc.
3 15 Cornwall Court
, Oakland, California 946
11 Phone: 510
-
530
-
6033
Cover Letter
Ms.
Eibleis Melendez, City Clerk
City of
Hercules
111 Civic
Drive,
Hercules
, California
94547
Dear
Eibleis
:
Thank you for the opportunity to submit a proposal for your records
retention schedule
s
and
inactive box review
!
You will find that
Records Control Services
, Inc.
(RCS)
is professionally
qualified to assist
the
City
in developing this essential
records management
component.
RCS is a closely held
California small business
located in Oakland
. Since 197
9 ,
RCS
has
designed
and implemented
records management program components for over
8 5
cities,
counties,
and local districts
throughout California.
There is no “canned”, off
-
the
-
shelf solution to retention schedules or records management programs.
Our
program
s
are
uniquely developed
with each department based on
the
City
’s
information management practices and retention requirements.
RCS
’s principals have over 1
4 4
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
in
phased recommendations for improvements.
Typical program
components
integrate records retention schedules and uniform function -
based filing indices with
document management systems to
directly correlate retention periods to record series (types of records)
, and
rapidly access
hardcopy and electronic documents.
Current projects with several small, medium, and large California cities
, counties
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. Reco mmended materials
are
purchased through your procurement system to assure the lowest available prices.
I will be your project manager and
I am available to answer questions about this proposal
or
modify proposed phases and options to best fit your implementation plans.
I can be reached on
my cell at 510
-
520
-
1635
or at [email protected]
. Thank you for your time
and consideration of a partnership with
RCS
!
Sincerely,
Bruce G. Meier, CRM
,
President
/CEO
Records Control Services, Inc.
4 Scope of Work
&
General Recommendations
Introduction
This report contains recommendations and proposals for
a records improvement program,
allowing the
City
to refine best records management and information governance practices.
Detailed tasks are included in the proposal that follows this section.
Purpose
The purpose of this proposal is to provide the
City
with
designing and researching Records
Retention Schedules for managing physical and electronic documents,
a review and
improvements
to
policies and
procedures for program management
, and a review of inactive
boxes stored in two
auxiliary
locations
to allow highly efficient information management and
disposal with
in
the
City
.
Project Scope
The program provides records retention suggestions for identified records managed and stored within the
following
City
departments and
divisions
:
City Clerk
City Manager
Finance
Fire
Human Resources
Planning & Building
Police
Parks & Recreation
Public
Works
& Engineering
Observations
RCS obtained
information about
the
City
’s
records
management policies
and retention
schedules
, and r
ecords stored in the
City Hall trailer and
one
Corp Yard cargo container.
The City
’
s records management policy is very comprehensive and sets the
stage for a model
records management program.
The
City’s
retentio
n
schedules
were
adopted
in
2018
but
need
to
meet
more
current
retention
requirements
.
Up
-
to
-
date citations are essential to supporting the City’s retention schedules if they are requested in court.
The City uses the Municipal
Unified
Functional Filing System
™
, or MUFFS
™
, format to
hierarchically
organiz
e record series (types of records)
. This system was implement
ed by RCS
’
s
sister company, Reco
rds Systems Associates
, Inc., in the mid to late 1980
’
s, and is still in use
by several departments.
The MUFFS
™
index structure is still an excellent metho
d of organizing the City
’
s information and
creates an accurate listing of record series in ea
ch department
or Office of Record. This format
will be
reviewed with each department and
updated to ref
lect
new
,
and
remove
obsolete
,
record
series.
Limited legal citations are assigned to record series w here th
ere is no department policy override
to the retention period
. More comprehensive l
egal citations a
ssociated with each record series
should
be listed to show that the City has taken them into consideration when assigning and
approving
the retention pe
riods.
While d
epartment retention preference
s
are
referenced in the schedules
,
a
dministrative retention
decisions
with reasons behind the change
must
be noted to set precedence for
the
chosen
retention periods.
Citat
ions associated with the
record series should
also
be listed for
any entries
that only state the department policy.
Records Control Services, Inc.
5 Due to
recent
legislation, the schedules should be updated to reflect changes in
minimum
retention
and reformatted to
bet
ter
match the departments’ nomenclature and classification
structure
.
Based on a survey of the two st
orage locations, RCS estimates that th
e City maintains
approximately 6,463 lin
ear filing inches of
inactive
and obsolete records in the facilities. This
comprises nearly 18,000 pound
s
, or 9 tons,
of paper.
Documents are maintaine
d in a com
bination o
f modular open shelf filing equipment, standard
fil
ing cabinets, and a var
iety of sizes of
boxes.
The availability
of an inventory of the records is
unknown
.
Boxes are stored amo
ng various office
equipment
an
d f
urniture, making a
ccess to the records
difficult.
A dedicated storage facility or offsite service provider is recommended for optimal storage of these records.
Bo
th
storage locations have had issues with water leaks
which
created
si
gnificant mold issues
and hazardous situations
.
These records should be reviewed for retention
life and
, where
pra
ctical
, repackaged
into new, standard
-
sized record boxes.
Most of
the records stored in the Corp Yard cargo container are beyond salvage due to water, mold,
and
degradation
of the
storage boxes.
RCS
assessed that only 7 out of the 159 boxes are
salvageable
.
Records stored in bo
th locations must be reviewed an
d preserved as efficiently as possible.
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
, including a records retention component, to form the foundation of a legally acceptable Records and Information Management Program (RIM) in compliance with GARP ®
guidelines. A
full RIM program should be implemented in several segments, including:
1. Inactive records storage system.
2. Active files management with a uniform filing system.
3. Records retention management with approved retention periods and schedules.
4. Information governance evaluation and needs assessment plan.
5. Electronic document management and tracking systems.
6. A Vital Records Protection and Disaster Recovery Program.
This proposal addresses the policy development
and
records retention management
components
for a comprehensive RIM Program. Detailed proposals for other segments can be submitted by RCS upon request of the
City
.
Records Control Services, Inc.
6 Approach
This proposal
is separated
into
three
phases.
Phase
1 must be implemented
first, with the
remaining
phases implemented either
separately
or concurrently.
Work will be completed both at the
City
’s
facilities and RCS’s Oakland offices
.
RCS’s principal
consultant will
visit
City
facilities
for initial
in
-
person
interviews
and records evaluation
,
review
ing
the retention schedule structure, retention periods and policy suggestions , and the inactive and
obsolete physical record review.
Records Control Services, Inc.
7 Proposal for
Updates to Records Retention Schedules and Records Management Policy
This proposal presents the
City of
Hercules
(
City
)
with project tasks and time estimates for
updating current
records retention schedules
,
creating a comprehensive records management
policy,
providing
training to staff and management
, and a review of inactive and obsolete records
in the City
’
s two
designated
storage facilities.
Implementation of this program will provide a highly efficient management and disposition system for
designated records.
The resulting tools will allow the
City
to improve best
records
management and information governance
practices
,
and Generally Accepted Recordkeeping
Principals
®
1 .
Phase
1 –
RIM
Policies
/
Procedures
&
Retention Schedules
Phase
Tasks
1. Introduce the program to
City
staff and management.
2. Review and evaluate the City’s current retention schedules and records management related policies and procedures.
3. Submit and review a model Records Management Policy with the Project Manager, modify as needed.
4. Evaluate records storage and management systems:
a.
Review the current retention schedules with department
Records Coordinators,
modify as needed.
b.
Discuss
operating retention requirements and administrative retention decisions ,
as assigned in the
current retention
schedules
.
c.
Analyze active and inactive physical filing systems
, access activities and
quantities
.
d.
Review physical file listings, taxonomy and/or classification guides, if any.
e.
Discuss
electronic document repositories,
where used
.
f.
Review and finalize the index
changes
with the department
Records
Coordinators
.
5. Develop records retention schedules:
a.
Research
governmental and regulatory body minimum required retention periods.
b.
Assign
suggested
retention periods and summary descriptions of legal citations to each listed record series
in
the
uniform classification i
ndex.
c.
Submit
and review
draft
retention schedules with
the Records Coordi
nators
.
d.
Add
special series aspects
to
the retention schedules, where needed.
e.
Submit retention schedules to
the
Rec
ords Coordinators
for final review and
approval
by department management.
f.
Review final draft retention schedules and policy suggestions with the Project
Team
.
g.
Submit final draft retention schedules, in electronic format, for
the City’s legal
counsel to
review.
As part of a comprehensive, legally acceptable Records and Information Management Program, RCS will review the current records related policies and provide a model Records Management Policy to address records management terminology, staff responsibilities,
and blanket retention
periods for certain electronic, transitory, duplicative, and general administrative records. This forms the basis of the program and a commitment by City management to best records management practices.
1 ® Generally Accepted Recordkeeping Principals & GARP are trademarked by the Association of Records Managers and Administrators, International.
Records Control Services, Inc.
8 RCS will work with the Project Team to adjust the model policy to fit the City’s structure. The final policy will be implemented according to the City’s policy approval process.
RCS will meet with
key
staff
in each department (Records Coordinators)
to
review
the cu
rrent
approved retention schedules
and discuss
physical and electronic document repositories
(where
needed
)
to
compile a comprehensive listing of records series in the City
.
The listing will
improve
the City’s
uniform, function
-
based record series index
(MUFFS
™
Index
)
for classifying all
documents.
The index structure
wa
s created to
include:
A hierarchical coding system compatible with
physical records,
shared file volumes and
electronic document management systems.
Common nomenclature for each record series.
A description of documents associated with the record series, where
needed.
Office of Record of the official record or trusted copy.
A
ny
special attributes
or release restrictions
.
Total required retention period.
Citations, legal research, and any administrative retention decisions
with reasons
.
The
MUFFS
™
Index
is currently
used by
some
departments to improve storage and quickly
identify records in
physical
storage systems
.
This structure is ideal for use as
the City
’
s
records
retention schedules
and
also to classify electronic documents in shared drive
s and the City
’
s
electronic document management system.
After the revisions are approved
by the d
epartments, r
etention research is completed on the
identified records series
to determine minimum legal retention requirements.
Each records series
entry will include a summary of legal citations associated with the series , including
one or more
of the following:
Stated required retention period
.
Target document type, where available
.
Trigger action (i.e., completion of project, date of loss, meeting date, etc.)
RCS will review the
updated
retention schedules with
the Records Coordinators
and integrate
specific attributes, including:
C
onfirming
administrative
/operational retention requirements
.
Reasons for any retention extensions or reductions
.
Confidentiality, vitality and/or historical nature, where necessary .
Administrative decisions extending or modifying the minimum requirements are added to the citations, where needed, to set precedence for record destruction in the normal course of business.
The resulting retention schedule provides a direct correlation between the record series and the approved retention period.
RCS will then review the retention schedules with the Project Team
and provide an electronic
version for legal counsel review. The
City
is responsible for
submission to
legal counsel, and
RCS will modify the schedules after the
review, as needed
, prior to
final
approval
by the
City
Council
.
The resulting approved retention schedules will address all
City
records
and directly correlate
retention periods with record series
, regardless of physical or electronic format
.
Please read the
Disclaimer section within this proposal regarding suggested retention periods and schedules.
Records Control Services, Inc.
9 Phase
Results
Implementation of th
is phase
, in total, will provide the
City
with:
A comprehensive records and information management policy.
A uniform
classification index that accurately represents record series maintained in each department.
R
etention period
suggestions
for each record series, based on current regulations, legal citations,
and industry recommendations.
Council
-
approved records retention schedules addressing all physical and electronic records.
I
mprovements
to information governance practices and Generally Accepted Recordkeeping Principals
®
.
Phase
Duration
Estimate
Depending upon staff availability and current RCS client obligations, this phase can be completed in approximately
10 to
1 2
weeks after initiation. Availability of
City
staff for schedule
reviews is essential to phase completion within RCS time estimates.
Phase
2 –
Retention Schedule
Training
Phase
Tasks
1. Create a PowerPoint presentation addressing the retention schedules, policy,
and
procedures.
2. Develop a Records Retention Program reference guide
for
staff
and management.
3. Review reference guide with the
Project Manager
, modify as needed.
4. Provide
training sessions to
staff.
Based on the final records management policy, RCS will develop a set of procedures for working with the approved retention schedules and create a how
-
to reference booklet to distribute at
training sessions. The booklet
is
reviewed with the
Project
Team
and modified, as needed, prior
to in
-
house printing.
RCS will create a training presentation for
staff
and management. The presentation is based on
the final policies and procedures and will include:
Definitions of records management program terms
Staff responsibilities
General retention periods for certain administrative, transitory, reference and duplicate records.
Procedures for analyzing records, determining retention periods, processing inactive records,
and preparing records for destruction.
Training will include at most 2 sessions to accommodate staff schedules.
T
he
training
session
may be completed either onsite or remotely.
Phase
Results
Implementation of the
phase
, in total, will provide the
City
with:
Training and how
-
to guides for program maintenance.
Staff and management
trained in retention program terminology,
polic
y
,
and operating
procedures.
Records Control Services, Inc.
10 Phase Duration Estimate
Depending upon staff availability,
City Council
approvals and current RCS client obligations, this
phase can be completed in approximately
3 to
5 weeks after initiation. Availability of
City
staff for
training is essential to phase completion within RCS time estimates.
Phase
3 –
Inactive & Obsolete Records Review
Imp
lementation of this
phase
provides
identification of
ina
ctive
and obsolete
records
within
the
City Hall trailer and
one
Co
r
p Yard car
go contai
ner
.
Summary
box
listings
identifying
record
s
and record
series maintained
in
the
locations
will
allow management to review and designate
records for
permanent
storage or other
disposition
.
Phase
Tasks
1. Intro
duce
the
project to
the Department
.
2. Review the
City
’s
inactive records within the
des
ignated locations
:
a.
S
tage
boxes
for review
inside or outside of the storage locations (
*
see note
below)
.
b.
Repackage any damaged or odd
-
sized boxes into new standard sized
record
boxes.
c.
Pack records currently in file cabinetry into new
standard sized record boxes
.
d.
Create box entries
with summary descriptions
in
an MS Excel spreadsheet
.
e.
Classify
the box contents
into the
City’s retention schedules
.
f.
Number boxes to correspond to the s
preadsheet
entries
.
3. Review
inventory reports with the
Project Manager
.
4. Prepare
designated
records for destruction:
a.
Add obsolete boxes to the City’s records destruction authorization forms.
b.
Review significantly damaged and unrecoverable r
ecords with the Project
Manager, add to records destruction au
thorization forms.
c.
Submit authorization forms to the Project Manager for
distribution.
*
This
project
will require a moderate level of hazardous waste protection and prevention by RCS
, including protective Tyvek suits, filtered breathing apparatus, gloves ,
eyewear
and
electronic air filters
.
RCS
will
purchase
protective gear
and equip
ment
as part of th
is
proposal.
In this
phase
,
the
City
’
s
inactive
and obsolete
files located in the
City Hall
tra
iler and
one
Corp
Yard car
go container
are
reviewed
and classified into
the
City’s approved retention schedules
.
RCS will
stage the
boxes
for
review
and determine the condition of the records inside each box.
Any
inactive
records in
minim
ally
damaged
standard records boxes
or odd
-
sized boxes are
repackaged
into
new
standard records storage boxes. Boxes are
then
identified
with a unique,
sequential number
and summary contents information
for
reference
.
No labels are applied to file
folders
or boxes.
R
ecords
designated as obsolete
remain in current boxes and
are
added to destruction
authorization forms provided by the City. If the City does not maintain destruction authorization forms, RCS will provide a model form for use.
Significantly d
amaged
boxes and/or
records are
prepared for destruction approvals. Damage
may include
, but
is
not limited to
:
Moisture and/or
significant water damage
Mold and m
ildew
Pest d
amage
Depen
ding on the
state of the
boxes, damaged records may not
be relocated for review.
RCS
will review external
information
on any
significantly
damaged boxes, where avail
able, and enter
a summary
into the inventory spreadsheet
and on destruction approval forms.
Records Control Services, Inc.
11 Significantly d
amaged records may have
long
-
term or permanent re
ten
tion period
s
.
These
records
should
be evaluated
by the C
ity
for recovery through a
service provider
.
Significantly damaged
, unrecoverable
records
must be no
ted on destruction
approval forms and
certificates
as unrecoverable and illegible for audit purposes.
The final spreadsheet will
include a
summary
of the box
contents and
allow
City
staff and
management to review
records for
disposition.
RCS will review the spreadsheet with the Project
Manager to determine
the activity
status of the boxes.
Obsolete
and
damaged
records must be reviewed and approved by
City
management, the City
Attorney, and the City
C
lerk prior to destruction.
The
City
is responsible for
the final
destruction
of any obsolete
or damaged
records.
The
City
is also responsible for relocat
ing
the processed
inactive
boxes to a secure storage
location
after
RCS
completion of the project.
RCS
requires
a work surface near
the
designated
storage
locations
with power and a surge
protected power strip, overhead protection from the elements (in case of rain or extreme sun), waste and recycling receptacles,
and wireless internet
access
if available
.
To implement the program as recommended, the
City
and RCS
must purchase certain supplies.
Estimates for these materials
are in
the Cost Breakdown section and
are
based on current retail
vendor pricing.
Estimates for s
uppl
ies
and equipment
include:
New, durable, quick
-
assembly records storage boxes
.
Personal p
rotective
supplies, including
:
Tyvek suit
s
R
ubberized
gloves
Small particle
f
iltered
br
e
athing masks
Protective eye
wear, as needed
Electronic air filters with additional HEPA level filter, as needed .
Miscellaneous sup
plies, including
permanent
markers
and other
minor
supplies, as
needed
.
Tax and shipping estimates
.
RCS
does not sell any supplies, equipment or software and all estimates are based on direct purchas
ing
from vendors.
Some
items may be purchased through the City’s
vendors if
they are
of comparable quality to
RCS
recommendations.
Phase
Results
Implementation of this phase will provide the
City
with:
I
nactive
records
repackaged into new, standard records storage boxes.
A summary listing of
the
City
’s
boxes
located in the
designated storage locations
.
Designated obsolete
and damaged
records prepared for destruction.
Improvements to the
City
’
s best records management practices.
Phase
Duration
Estimate
Depending upon
City
staff availability and prior
RCS
client obligations, this phase can be
completed in approximately
13 to
1 5
weeks after initiation.
Avai
lability of City staff
for
the review
of
inventory lists, dest
ruction approval forms
, and
significantly damaged records
is essential to
phase completion within RCS time estimates.
Records Control Services, Inc.
12 Cost
Breakdown
R
CS
Professional Fees
,
Labor
& Travel
include
all
costs for system development and
implementation.
Travel
expenses are based on anticipated travel to City offices
from RCS
Oakland offices
.
Esti
mates for sup
plies and equipment are based on current vendor pricing. Th e City may
purchase supplies and equ
ipment directly from their approved vendors
or through RCS. RCS
will bill
only direct costs for proj
ect supplies and equipment.
I
mplementation costs are billed according to the schedules listed below by phase.
P
hase 1
–
RIM Policy/Procedures
&
Retention Schedules
R
CS Professional Fee
s
,
Labor
& Travel
:
$ 13,422.16
I
nvoices will be submitted according to the following schedule:
P
rogress payment 1:
$3,355.54
at Phase initiation
P
rogress payment 2:
$3,355.54
upon completion of Phase Task
4 .
f
P
rogress payment 3:
$3,355.54
upon completion of Phase Task
5 .b
P
rogress payment
4 :
$3,355.54
upon completion of Phase Task
5 .
g
P
hase
2 –
Retention Schedule
Training
R
CS Professional Fee
s
,
Labor
& Travel
:
$ 2,400.26
I
nvoices will be submitted according to the following schedule:
P
rogress payment 1:
$1,200.13
at Phase initiation
P
rogress payment 2:
$1,200.13
upon completion of
Phase
Task
4 Phase
3 –
Inact
ive & Obsolete Record Review
R
CS Professional Fee
s
,
Labor
& Travel
:
$ 20,124.00
Supplies & Equi
pment Estimate:
$ 2,199.49
Phase Total:
$ 22,323.49
Invoices will be submitted according to the following schedule:
Progress payment 1:
$5,031.00
at Phase initiation
Progress payment 2:
$5,031.00
upon
50%
completion of Phase Task
2 Progress payment 3:
$5,031.00
upon
100%
completion of Phase Task
2 Progress payment
4 :
$5,031.00
upon completion of
Phase
Task
4 Supplies and equipm
ent are billed
at RCS costs as incur
red.
T
otal Project Cost:
R
CS Professional Fee
s
,
Labor
& Travel
:
$ 35,946.42
Suppl
ies & Equipment
Estimate:
$ 2,199.49
P
roject
Total:
$ 38,145.91
Records Control Services, Inc.
13 Fee & Payment
Terms
U
nless otherwise noted, professional fees for each phase include all costs for labor and are firm for a period of
90 days from the date of this proposal.
I
nvoices 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 $ 75 .00 administrative fee added
to the total invoice amount. Finance charges and administrative fees are compounded for each 30
-
day late period.
O
n
-
demand contact time
separate from this proposal
will be billed at $
2 2
0 .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
the
designated project manager.
T
ravel expenses include travel from and to RCS’s Oakland offices will be billed only as
incurred.
P
roject 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.
™
Municipal
Unified
F
unctional Filing System
and MUFFS
are trademarked by Records
Systems Associates
, Inc. in
1976
. All program tasks, recommendations, suggestions and/or other project development information are the proprietary property of Records Control Services, Inc. Any and all information contained in this proposal, or its attachments, if any, shall not be relea
sed or made available to any entity outside of the City or its agents.
R
CS
Disclaimer
A
ll 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, mone
tary 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.
I
n addition to
the design
and implementation of services mentioned above, this proposal may include development of suggested record retention periods and schedules.
RCS
, its principals,
staff and/or agents do not practice law or provide professional legal advice.
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 de
signated
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.
B
y 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 suggestions within this proposal, except to the extent that the loss or damage is caused by the willful misconduct or negligence of
RCS.
Records Control Services, Inc.
14 Client Acceptance & Signature Page
T
he
City of
Hercules
accepts this proposal and its contents for
updating
Records Retention
Schedules
,
policies and procedures
for managing physical and electronic documents
,
staff
training
, and a review of design
ated inactive and obsolete rec
ords
to allow highly efficient
information management and disposal within the
City
,
as provided by
Records Control Services
,
Inc., dated
March 1, 2024
.
_
_________________________
S
ignature
_
_________________________
__________________________
P
rint Name & Title
Bruce G. Meier, CRM, President
Records Control
Services
, Inc.
_
_________________________
D
ate:
Records Control Services, Inc.
15 Firm Information & Qualifications
I
ncorporated in 1979, Records Control Services, Inc. is a privately held, California small business
firm
of information resource management specialists offering development and implementation of partial or full
-
scale records and information management (RIM) programs in government and industry.
R
ecords and Information Management Services include:
I
nactive Record Management Solutions
O
n
-
site Inactive Record
Storage Facility Design
O
ff
-
site Storage Vendor Evaluation/Feasibility Studies
V
ital Records Protection/Disaster Recovery Programs
A
ctive Records Management Solutions
R
ecord/Document Indexing & Inventory
C
olor Coded File Conversion & Storage Systems
B
ar
-
coded File Tracking Systems
H
igh Density Document Storage Solutions
F
iling System Relocation Services
R
ecord Retention Management
R
esearch and Development
I
ndex Development
T
raining and Maintenance Programs
E
lectronic Records & Document Management Solutions
E
lectronic Records Management Software Systems
E
lectronic
Document Management System software
D
ocument Imaging Solutions
D
ocument Control Solutions
A
lternative Storage Solutions
I
nformation Governance Policies and Procedures
R
FP/RFQ Development
H
ourly/Daily Consultation Services
F
irm Highlights & Specialization:
T
he Principal Consultant
is a
Certified Records Manager.
I
nstitute of Certified Records Managers (ICRM)
A
combined total of over
144
years of comprehensive RIM experience.
M
embers and Chapter Board Members of the Association of Records Managers and Administrators, International (ARMA).
C
alifornia Small Business.
P
rovide educational workshops and seminars to state, local and regional government entities and private industry professional associations and organizations.
R
ecords Control Services, Inc. has designed
and implemented
partial and full
-
scale RIM
programs for over
85 municipalities and government agencies, and numerous clients in private industry, throughout California.
V
isit us at
www.RecordsControlServices.com
for more information about our services.
Records Control Services, Inc.
16 References
C
ity of Monrovia
D
esigning
a
City
-
wide Records Management Policy
and retention schedule updates.
P
roject includes:
o
R
ecommending improvements to record management policies and procedures.
o
C
reating a uniform, function
-
based records series classification index.
o
E
valuating and updating records retention schedules for all departments based on the classification index.
o
C
reating a how
-
to reference guide on records management program activities.
o
T
raining staff on retention schedule use and maintenance.
M
s.
Alice Atkins, City
Clerk
6 26
-
932
-
5505
4 15 S. Ivy Avenue, Monrovia, CA 91016
C
ity of San Rafael
D
esigned
a
City
-
wide Records Management Policy
, City Clerk
retention schedule
updates and improvements to the Electronic Document Management System in the City Clerk’s Office.
I
mplemented
a
records inventory and active filing system, including electronic records management software solutions, in the City Clerk’s Office
for
records disposition and
future
conversion to electronic format.
M
s.
Lindsay Lara, CMC
,
City Clerk
4 15
-
485
-
3066
1 400
Fifth Ave, San Rafael, CA 94901
C
ity of Vacaville
D
esigning
a
City
-
wide Records Management Policy
, retention schedule updates, and
recommendations for improvements to electronic document management in the City.
Project in process.
P
roject includes:
o
R
ecommending improvements to record management policies and procedures.
o
D
eveloping an assessment of current physical and electronic records management activities in all departments.
o
C
reating a uniform, function
-
based records series classification index.
o
E
valuating and updating records retention schedules for all departments based on the classification index.
o
C
reating a how
-
to reference guide on records management program activities.
o
T
raining staff on retention schedule use and maintenance.
o
D
eveloping an information governance plan of action for future records management program improvements.
o
C
reating a request for proposal to purchase an electronic records management system.
M
s.
Lorina Fernandez, Administrative Technician
7 07
-
449
-
5100
6 50 Merchant Street, Vacaville, CA 95688
Records Control Services, Inc.
17 C
ity
of
Vallejo
C
urrently improving the City’s
Electroni
c Document Management System
.
D
esigned and implemented a
City
-
wide Records Retention Program, including a
comprehensive Records Management Policy and uniform filing index in Vallejo. Project included interviews with all
City
departments and divisions to develop a comprehensive
list of records series and the uniform filing index structure.
D
esign
ed
and
implemented
Active Records Improvement Programs for the
City
Clerk’s
Office, Planning and Housing & Community Development departments, including installation of an Electronic Records Management Software system, an inventory of all active records, and hardcopy file conversion to a color -
coded labeling structure usin
g the
retention schedule’s uniform index structure.
O
ver the past
18 years, RSA also completed a multi
-
stage retention program for the
City
of Fremont
and the
City
of
Pinole
with Ms. Abrahamson.
M
s. Dawn Abrahamson,
M
MC,
City
Clerk
C
ity Clerk’s Office
7 07
-
648
-
4528
5 55 Santa Clara St, Vallejo, CA 94590
C
ity of Emeryville
D
esigned and implemented a
City
-
wide Records Retention Program, including a
comprehensive Records Management Policy and uniform filing index. Project included interviews with all
City
departments and divisions to develop a comprehensive list of records series and the uniform filing index structure.
A
ssisted in evaluating departments for rolling out
a City
-
wide
Electroni
c Document
Management System
.
D
esigned
and
implemented
Active Records Improvement Programs for
administrative,
Planning and Building departments,
including installation of an Electronic Records
Management Software system, an inventory of all active records, and hardcopy file conversion to a color
-
coded labeling structure using the retention schedule’s uniform index structure.
M
s. Lorrayne Leong, Deputy City Clerk
5 10
-
596
-
4383
1 333 Park Ave, Emeryville, CA 94608
D
ublin San Ramon Services District
D
esigning and implementing a m
ulti
-
year, District
-
wide records management program
started in 1995, with numerous project components, including uniform records series classification and taxonomy index, comprehensive active and inactive records management system, records retention progra
m and updates, and electronic document
management system evaluation and recommendations.
R
ecently completed updating retention schedules originally created in 2006.
M
s. Nicole Genzale, CMC, Executive Services Supervisor / District Secretary
9 25
-
875
-
2203
7 051 Dublin Blvd, Dublin, CA 94568
Records Control Services, Inc.
18 C
ity of Fresno
D
esigning
a Records Management Policy
, retention schedule updates, and a needs
assessment with recommendations for improvements to electronic document management in the City Clerk’s Office, Personnel Services, Risk Management and Public Works departments.
P
roject includes:
o
R
ecommending improvements to record management policies and procedures.
o
C
reating a
uniform, function
-
based records series classification index.
o
E
valuating and updating records retention schedules for target departments based on the classification index.
o
D
eveloping an assessment and gap analysis of current physical and electronic records management activities in the target departments.
o
C
reating a how
-
to reference guide on records management program activities.
o
T
raining staff on retention schedule use and maintenance.
P
roject
will be continued
with additional departments in 2024.
M
s.
Briana Parra, Assistant City Clerk
C
ity Clerk’s Office
5 59
-
621
-
2489 (main line)
2 600 Fresno St, Fresno, CA 93721