HomeMy WebLinkAboutC33450 - Records Mgmt Consultation-Training-Rcrds RtntionCITY OF PALM DESERT
CITY CLERK DEPARTMENT
STAFF REPORT
REQUEST: APPROVAL OF PROFESSIONAL SERVICES CONTRACT WITH
DIANE R. GLADWELL, MMC, GLADWELL GOVERNMENTAL SERVICES,
INC., TO PERFORM RECORDS MANAGEMENT CONSULTATION AND
TRAINING, AND FOR DEVELOPMENT OF RECORDS RETENTION
SCHEDULES FOR ALL CITY DEPARTMENTS (CONTRACT NO. C33450)
SUBMITTED BY: Rachelle D. Klassen, City Clerk
CONTRACTOR: Diane R. Gladwell, MMC
Gladwell Governmental Services, Inc.
1028 Tirol Lane, P O Box 62
Lake Arrowhead, CA 92352-0062
DATE: March 27, 2014
CONTENTS: • Staff Report
• Professional Services Agreement (Contract No. C33450)
• Gladwell Governmental Services, Inc., Records Management Proposal
• Records Management Needs Assessment - December 2005
Recommendation
By Minute Motion, approve the subject contract with Gladwell Governmental Services, Inc.,
Lake Arrowhead, California, in the amount of $12,200 to perform Citywide Departmental
Records Management Training and Retention Schedule Development, and authorize the
Mayor to execute same — funds are available through the Mid-year Budget Adjustment
approved on February 13, 2014, in City Clerk Professional/Other Account,
No. 110-4111-410-3090, for this purpose.
Backaround
In the early fall of 2005, with City Clerk staff and some departments beginning to fully utilize the City's
Questys document imaging software, the significant amount of development occurring Citywide, and
accompanying increase in support staff to help manage the day-to-day workflow and records
generated, it became apparent to the Clerk's Office that some assistance was needed in helping train
staff on how to best manage the volume of records being created. Solicitation for a Records
Management Professional was made, and Diane R. Gladwell, Gladwell Governmental Services, Inc.,
was chosen to perform a preliminary review and deliver a Records Management Needs Assessment
(attached).
Following that Needs Assessment, staff continued carrying out its responsibilities as business
continued to be brisk for all - with long Council Meeting agendas, including many land-use public
hearing items and related matters - and the time necessary to devote to full-blown records
management training was not available. When the economic downturn began in 2008 - 2009,
budgets were tightened, staff was reduced, and the records management project was put on the back
burner once more.
Now that the City recently celebrated its 40'h anniversary of incorporation, it has generated a goodly
number of official records. As best it can, the City Clerk's Office has provided on-the-spot advice and
input to its counterpart departments in the management of City records. But with the loss of
Contract No. C33450
Staff Report - Professional Services Records Management Agreement- Gladwell Governmental
Services, Inc.
March 27, 2014
Page No. 2
seasoned staff, increased need for retrieval of archived documents, advance of technology, and the
increased number of regulations governing both public records and requirements in the City Clerk's
Office, it will serve the City well today and going forward by retaining a Professional Records
Management Consultant to individually work with all departments in developing a specific Records
Retention Schedule for each and training their designated staff inembers to so administer. The
Clerk's Office has broached the subject with Department Heads and support staff over the past 12
months, with very favorable response.
The Professional Records Management Consultant, Diane R. Gladwell, Gladwell Governmental
Services, Inc., is herself a former City Clerk who has achieved Master Municipal Clerk Designation
(MMC) and is very well known and respected throughout the State of California, and this region of
the country, for her expertise. Her proposal to provide Records Management training and Retention
Schedule Development for all Departments is $12,200, with specifics outlined, including providing
employee training, updating all records schedules to be in compliance with current State and Federal
laws, ensuring efficiency and consistency, freeing up office and storage space, ensuring fast
response times and excellent customer service levels, and providing an efficient base for operations
in the future.
Fiscal Analvsis
Included in Ms. Gladwell's proposal is the following fact: "A recent Coopers & Lybrand study showed
that records information systems often represent 50% of the total cost of doing business, and the
average office makes 19 copies of each document. Average Costs: $20 to file each document, $1.50
to retrieve each document, ($20 x 19 -$380 to file). The average office loses 1 out of 20 office
documents, it then costs: $120 to search for the document, $250 to recreate it, if lost (1 lost
document -$370)." Funds in the amount of $12,200 are available in the City Clerks
Professional/Other Account, No. 110-4111-410-3090, and no appropriation is required.
Submitted by:
Reviewed:
� �
Ra helle D. Klassen, M C, City Clerk �'`aul S. �b`son, Director of Finance
Approved:
CITY COUNCTL�A�TION
� APPROVED DENiED
RECEIVED OTHER
n M. Wohlmuth, City Manager
Attachments (as noted)
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CONTRACT NO. C33450
CITY OF PALM DESERT
PROFESSIONAL CONSULTANT SERVICES AGREEMENT
1. PARTIES AND DATE.
This Agreement is made and entered into this 27th day of March, 2014, by and
between the City of Palm Desert, a municipal corporation, organized under the laws of
the State of California, with its principal place of business at 73-510 Fred Waring Drive,
Palm Desert, California, 92260 ("City") and Gladwell Governmental Services. Inc. a
California Corporation, with its principal place of business at PO Box 62, 1028 Tirol
Lane, Lake Arrowhead, CA 92352-0062 ("Consultant"). City and Consultant are
sometimes individually referred to herein as "Party" and collectively as "Parties."
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of
certain professional Records Management consulting services required by the City on
the terms and conditions set forth in this Agreement. Consultant represents that it is
experienced in providing professional Records Management consulting services to
public clients, is licensed in the State of California, and is familiar with the plans of City.
2.2 Project.
City desires to engage Consultant to render such professional Records
Management consulting services for the Records Retention, E-mail Management,
Records Destruction Procedures and MUFFS File Classification System project
("Project") as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services. Consultant promises and agrees to
furnish to the City all labor, materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately supply the professional Records
Management consulting services necessary for the Project ("Services"). The Services
are more particularly described in Exhibit "A" attached hereto and incorporated herein
by reference. All Services shall be subject to, and perFormed in accordance with, this
Agreement, the exhibits attached hereto and incorporated herein by reference, and all
applicable local, state and federal laws, rules and regulations.
Updated 12/19/13
CONTRACT NO. C33450
3.1.2 Term. The term of this Agreement shall be one year from the date
of this agreement. Consultant shall complete the Services within the term of this
Agreement, and shall meet any other established schedules and deadlines.
3.2 Responsibilities of Consultant.
3.2.1 Independent Contractor; Control and Pavment of Subordinates.
The Services shall be performed by Consultant or under its supervision. Consultant will
determine the means, methods and details of perForming the Services subject to the
requirements of this Agreement. City retains Consultant on an independent contractor
basis and not as an employee. Consultant retains the right to perform similar or
different services for others during the term of this Agreement. Any additional
personnel perForming the Services under this Agreement on behalf of Consultant shall
also not be employees of City and shall at all times be under Consultant's exclusive
direction and control. Neither City, nor any of its officials, officers, directors, employees
or agents shall have control over the conduct of Consultant or any of Consultant's
officers, employees, or agents, except as set forth in this Agreement. Consultant shall
pay all wages, salaries, and other amounts due such personnel in connection with their
performance of Services under this Agreement and as required by law. Consultant
shall be responsible for all reports and obligations respecting such additional personnel,
including, but not limited to: social security taxes, income tax withholding,
unemployment insurance, disability insurance, and workers' compensation insurance.
3.2.2 Schedule of Services. Consultant shall perForm the Services
expeditiously, within the term of this Agreement, and in accordance with the Schedule
of Services set forth in Exhibit "B" attached hereto and incorporated herein by
reference. Consultant represents that it has the professional and technical personnel
required to perform the Services in conformance with such conditions. In order to
facilitate Consultant's conformance with the Schedule, City shall respond to
Consultant's submittals in a timely manner. Upon request of City, Consultant shall
provide a more detailed schedule of anticipated performance to meet the Schedule of
Services.
3.2.3 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of City.
3.2.4 Substitution of Kev Personnel. Consultant has represented to City
that certain key personnel will perform and coordinate the Services under this
Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence upon written approval of
City. In the event that City and Consultant cannot agree as to the substitution of key
personnel, City shall be entitled to terminate this Agreement for cause. As discussed
below, any personnel who fail or refuse to perForm the Services in a manner acceptable
to the City, or who are determined by the City to be uncooperative, incompetent, a
threat to the adequate or timely completion of the Project or a threat to the safety of
persons or property, shall be promptly removed from the Project by the Consultant at
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the request of the City. The key personnel for performance of this Agreement are as
follows: Diane R. Gladwell, MMC, President.
3.2.5 Citv's Representative. The City hereby designates Rachelle D.
Klassen, City Clerk, or her designee, to act as its representative in all matters pertaining
to the administration and performance of this Agreement ("City's Representative").
City's Representative shall have the power to act on behalf of the City for review and
approval of all products submitted by Consultant but not the authority to enlarge the
Scope of Work or change the total compensation due to Consultant under this
Agreement. The City Manager shall be authorized to act on City's behalf and to
execute all necessary documents which enlarge the Scope of Work or change the
Consultant's total compensation subject to the provisions contained in Section 3.3 of
this Agreement. Consultant shall not accept direction or orders from any person other
than the City Manager, City's Representative or his/her designee.
3.2.6 Consultant's Representative. Consultant hereby designates
Diane R. Gladwell, President, or her designee, to act as its representative for the
performance of this Agreement ("Consultant's Representative"). Consultant's
Representative shall have full authority to represent and act on behalf of the Consultant
for all purposes under this Agreement. The Consultant's Representative shall
supervise and direct the Services, using his/her best skill and attention, and shall be
responsible for all means, methods, techniques, sequences, and procedures and for
the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 Coordination of Services. Consultant agrees to work closely with
City staff in the performance of Services and shall be available to City's staff,
consultants and other staff at all reasonable times.
3.2.8 Standard of Care; Performance of Emplovees. Consultant shall
perform all Services under this Agreement in a skillful and competent manner,
consistent with the standards generally recognized as being employed by professionals
in the same discipline in the State of California. Consultant represents and maintains
that it is skilled in the professional calling necessary to perform the Services.
Consultant warrants that all employees and subconsultants shall have sufficient skill
and experience to perform the Services assigned to them. Finally, Consultant
represents that it, its employees and subconsultants have all licenses, permits,
qualifications and approvals of whatever nature that are legally required to perForm the
Services, and that such licenses and approvals shall be maintained throughout the term
of this Agreement. As provided for in the indemnification provisions of this Agreement,
Consultant shall perform, at its own cost and expense and without reimbursement from
the City, any services necessary to correct errors or omissions which are caused by the
Consultant's failure to comply with the standard of care provided for herein. Any
employee of the Consultant or its sub-consultants who is determined by the City to be
uncooperative, incompetent, a threat to the adequate or timely completion of the
Project, a threat to the safety of persons or property, or any employee who fails or
refuses to perform the Services in a manner acceptable to the City, shall be promptly
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removed from the Project by the Consultant and shall not be re-employed to perform
any of the Services or to work on the Project.
3.2.9 Laws and Reaulations. Consultant shall keep itself fully informed
of and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the perFormance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for
all violations of such laws and regulations in connection with Services. If Consultant
perForms any work knowing it to be contrary to such laws, rules and regulations,
Consultant shall be solely responsible for all costs arising therefrom. Consultant shall
defend, indemnify and hold City, its officials, directors, officers, employees, agents, and
volunteers free and harmless, pursuant to the indemnification provisions of this
Agreement, from any claim or liability arising out of any failure or alleged failure to
comply with such laws, rules or regulations.
3.2.10 Insurance. Consultant shall not commence work under this
Agreement until it has provided evidence satisfactory to the City that it has secured all
insurance required under this section. In addition, Consultant shall not allow any
subconsultant to commence work on any subcontract until it has provided evidence
satisfactory to the City that the subconsultant has secured all insurance required under
this section.
Without limiting Consultant's indemnification of City, and prior to commencement of
Work, Consultant shall obtain, provide and maintain at its own expense during the term
of this Agreement, policies of insurance of the type and amounts described below and
in a form that is satisfactory to the City.
General Liabilitv Insurance: Consultant shall maintain commercial general liability
insurance with coverage at least as broad as Insurance Services Office form CG 00 01,
in an amount not less than $1,000,000 per occurrence, $2,000,000 general aggregate,
for bodily injury, personal injury, and property damage, including without limitation,
blanket contractual liability. Defense costs shall be paid in addition to the limits. The
policy shall contain no endorsements or provisions limiting coverage for (1) contractual
liability; (2) cross liability exclusion for claims or suits by one insured against another; or
(3) contain any other exclusion contrary to the Agreement.
Automobile Liabilitv Insurance: Consultant shall maintain automobile insurance at
least as broad as Insurance Services Office form CA 00 01 covering bodily injury and
property damage for all activities of the Consultant arising out of or in connection with
Work to be performed under this Agreement, including coverage for any owned, hired,
non-owned or rented vehicles, in an amount not less than $1,000,000 combined single
limit for each accident.
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Professional liabilitv (errors & omissionsl insurance. Consultant shall maintain
professional liability insurance that covers the Services to be performed in connection
with this Agreement, in the minimum amount of $1,OOO,Q00 per claim and in the
aggregate. Any policy inception date, continuity date, or retroactive date must be before
the effective date of this agreement and Consultant agrees to maintain continuous
coverage through a period no less than three years after completion of the services
required by this agreement. Covered professional services shall specifically include all
work to be performed under the Agreement and delete any exclusions that may
potentially affect the work to be performed (for example, any exclusions relating to lead,
asbestos, pollution, testing, underground storage tanks, laboratory analysis, soil work,
etc.). If coverage is written on a claims-made basis, the retroactive date shall precede
the effective date of the initial Agreement and continuous coverage will be maintained
or an extended reporting period will be exercised for a period of at least three (3) years
from termination or expiration of this Agreement.
Workers' Compensation Insurance: Consultant shall maintain Workers'
Compensation Insurance (Statutory Limits) and Employer's Liability Insurance (with
limits of at least $1,000,000). Consultant shall submit to City, along with the certificate
of insurance, a Waiver of Subrogation endorsement in favor of City of Palm Desert, its
officers, agents, employees and volunteers.
Umbrella or Excess Liabilitv Insurance Consultant may opt to utilize umbrella or
excess liability insurance in meeting insurance requirements. In such circumstances,
Consultant shall obtain and maintain an umbrella or excess liability insurance policy
with limits of not less than 4,000,000 that will provide bodily injury, personal injury and
property damage liability coverage at least as broad as the primary coverages set forth
above, including commercial general liability and employer's liability. Such policy or
policies shall include the following terms and conditions:
• A drop down feature requiring the policy to respond if any primary insurance that
would otherwise have applied proves to be uncollectible in whole or in part for
any reason;
• Pay on behalf of wording as opposed to reimbursement;
• Concurrency of effective dates with primary policies; and
• Policies shall "follow form" to the underlying primary policies.
• Insureds under primary policies shall also be insureds under the umbrella or
excess policies
OTHER PROVISIONS OR REQUIREMENTS
Insurance for Subconsultants: All Subconsultants shall be included as additional
insureds under the Consultant's policies, or the Consultant shall be responsible for
causing Subconsultants to purchase the appropriate insurance in compliance with the
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terms of these Insurance Requirements, including adding the City as an Additional
Insured to the Subconsultant's policies. Consultant shall provide to City satisfactory
evidence as required under Insurance Section of this Agreement.
Proof of Insurance: Consultant shall provide certificates of insurance to City as
evidence of the insurance coverage required herein, along with a waiver of subrogation
endorsement for workers' compensation. Insurance certificates and endorsement must
be approved by City's Risk Manager prior to commencement of performance. The
certificates and endorsements for each insurance policy shall be signed by a person
authorized by that insurer to bind coverage on its behalf. Current certification of
insurance shall be kept on file with City at all times during the term of this contract. City
reserves the right to require complete, certified copies of all required insurance policies,
at any time.
Duration of Coveraqe: Consultant shall procure and maintain for the duration of the
contract, insurance against claims for injuries to persons or damages to property, which
may arise from or in connection with the performance of the Work hereunder by
Consultant, his/her agents, representatives, employees or sub-consultants.
Citv's Riahts of Enforcement: In the event any policy of insurance required under this
Agreement does not comply with these specifications or is canceled and not replaced,
City has the right, but not the duty, to obtain the insurance it deems necessary and any
premium paid by City will be promptly reimbursed by Consultant, or City will withhold
amounts sufficient to pay premium from Consultant payments. In the alternative, City
may cancel this Agreement.
Acceptable Insurers: All insurance policies shall be issued by an insurance company
currently authorized by the Insurance Commissioner to transact business of insurance
in the State of California, with an assigned policyholders' Rating of A- (or higher) and
Financial Size Category Class VII (or larger) in accordance with the latest edition of
Best's Key Rating Guide, unless otherwise approved by the City's Risk Manager.
Waiver of SubroQation: All insurance coverage maintained or procured pursuant to
this agreement shall be endorsed to waive subrogation against the City of Palm Desert,
its elected or appointed officers, agents, officials, employees and volunteers or shall
specifically allow Consultant or others providing insurance evidence in compliance with
these specifications to waive their right of recovery prior to a loss. Consultant hereby
waives its own right of recovery against City of Palm Desert and shall require similar
written express waivers and insurance clauses from each of its sub-consultants.
Enforcement of Contract Provisions (non estoppel): Consultant acknowledges and
agrees that any actual or alleged failure on the part of the City to inform Consultant of
noncompliance with any requirement imposes no additional obligations on the City nor
does it waive any rights hereunder.
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Primary and Non-Contributinq Insurance: All insurance coverages shall be primary
and any other insurance, deductible, or self-insurance maintained by the indemnified
parties shall not contribute with this primary insurance. Policies shall contain or be
endorsed to contain such provisions.
Specifications Not Limitina: Requirements of specific coverage features or limits
contained in this Section are not intended as a limitation on coverage, limits or other
requirements, or a waiver of any coverage normally provided by any insurance. Specific
reference to a given coverage feature is for purposes of clarification only as it pertains
to a given issue and is not intended by any party or insured to be all inclusive, or to the
exclusion of other coverage, or a waiver of any type.
Notice of Cancellation: Consultant agrees to oblige its insurance agent or broker and
insurers to provide to City with a thirty (30) day notice of cancellation (except for
nonpayment for which a ten [10] day notice is required) or nonrenewal of coverage for
each required coverage.
Additional Insured Status: General liability, Automobile Liability, and if applicable,
Pollution Liability, policies shall provide, or be endorsed to provide, that the City of Palm
Desert and its officers, officials, employees, and agents shall be additional insureds
with regard to liability and defense of suits or claims arising out of the performance of
the Agreement, under such policies. This provision shall also apply to any excess
liability policies.
Citv's Riqht to Revise Speci�cations: The City reserves the right at any time during
the term of the contract to change the amounts and types of insurance required by
giving the Consultant ninety (90) days advance written notice of such change. If such
change results in substantial additional cost to the Consultant, the City and Consultant
may renegotiate Consultant's compensation.
Self-Insured Retentions: Any self-insured retentions must be declared to and
approved by City. City reserves the right to require that self-insured retentions be
eliminated, lowered, or replaced by a deductible. Self-insurance will not be considered
to comply with these specifications unless approved by City.
Timelv Notice of Claims: Consultant shall give City prompt and timely notice of claims
made or suits instituted that arise out of or result from Consultant's performance under
this Agreement, and that involve or may involve coverage under any of the required
liability policies.
Safetv: Consultant shall execute and maintain its work so as to avoid injury or damage
to any person or property. In carrying out its Services, the Consultant shall at all times
be in compliance with all applicable local, state and federal laws, rules and regulations,
and shall exercise all necessary precautions for the safety of employees appropriate to
the nature of the work and the conditions under which the work is to be performed.
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Safety precautions, where applicable, shall include, but shall not be limited to: (A)
adequate life protection and lifesaving equipment and procedures; (B) instructions in
accident prevention for all employees and subconsultants, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
Additional Insurance: Consultant shall also procure and
expense, any additional kinds of insurance, which in
necessary for its proper protection and prosecution of the
3.3 Fees and Payments.
maintain, at its own cost and
its own judgment may be
Work.
3.3.1 Compensation. Consultant shall receive compensation, including
authorized reimbursements, for all Services rendered under this Agreement at the rates
set forth in Exhibit "C" attached hereto and incorporated herein by reference. The total
compensation shall not exceed $12,200 without written approval of the City Council or
City Manager as applicable. Extra Work may be authorized, as described below, and if
authorized, will be compensated at the rates and manner set forth in this Agreement.
3.3.2 Pavment of Compensation. Consultant shall submit to City a
monthly invoice which indicates work completed and hours of Services rendered by
Consultant. The invoice shall describe the amount of Services provided since the initial
commencement date, or since the start of the subsequent billing periods, as
appropriate, through the date of the invoice. City shall, within 30 days of receiving such
invoice, review the invoice and pay all non-disputed and approved charges thereon. If
the City disputes any of Consultant's fees, the City shall give written notice to
Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth
therein.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed
for any expenses unless authorized in writing by City, or included in Exhibit "C" of this
Agreement.
3.3.4 Extra Work. At any time during the term of this Agreement, City
may request that Consultant perform Extra Work. As used herein, "Extra Work" means
any work which is determined by City to be necessary for the proper completion of the
Project, but which the Parties did not reasonably anticipate would be necessary at the
execution of this Agreement. Consultant shall not perform, nor be compensated for,
Extra Work without written authorization from the City.
3.3.5 Rate Increases. In the event that this Agreement is renewed
pursuant to Section 3.1.2, the rate set forth in Exhibit "C" may be adjusted each year at
the time of renewal as set forth in Exhibit "C."
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3.3.6 Prevailinq Waqes Consultant is aware of the requirements of
California Labor Code Section 1720, et se�c ., and 1770, et se�c ., as well as California
Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which
require the payment of prevailing wage rates and the performance of other
requirements on "public works" and "maintenance" projects. the Services are being
performed as part of an applicable "public works" or "maintenance" project, as defined
by the Prevailing Wage Laws, Consultant agrees to fully comply with such Prevailing
Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per
diem wages in effect at the commencement of this Agreement. Consultant shall make
copies of the prevailing rates of per diem wages for each craft, classification or type of
worker needed to execute the Services available to interested parties upon request,
and shall post copies at the Consultant's principal place of business and at the project
site. Consultant shall defend, indemnify and hold the City, its officials, officers,
employees, agents, and volunteers free and harmless from any claim or liability arising
out of any failure or alleged failure to comply with the Prevailing Wage Laws.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain complete
and accurate records with respect to all costs and expenses incurred under this
Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of City during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents,
proceedings, and activities related to the Agreement for a period of three (3) years from
the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Aqreement.
3.5.1.1 Grounds for Termination. City may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and
without cause by giving written notice to Consultant of such termination, and specifying
the effective date thereof, at least seven (7) days before the effective date of such
termination. Upon termination, Consultant shall be compensated only for those
services which have been adequately rendered to City, and Consultant shall be entitled
to no further compensation. Consultant may not terminate this Agreement except for
cause.
3.5.1.2 Effect of Termination. If this Agreement is terminated
as provided herein, City may require Consultant to provide all finished or unfinished
Documents and Data and other information of any kind prepared by Consultant in
connection with the performance of Services under this Agreement. Consultant shall
be required to provide such document and other information within fifteen (15) days of
the request.
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3.5.1.3 Additional Services. In the event this Agreement is
terminated in whole or in part as provided herein, City may procure, upon such terms
and in such manner as it may determine appropriate, services similar to those
terminated.
3.5.2 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
Consultant: Gladwell Governmental Services, Inc.
PO Box 62
Lake Arrowhead, CA 92352-0062
Attention: Diane R. Gladwell, President
City: City of Palm Desert
73-510 Fred Waring Drive
Palm Desert, CA 92260
ATTN: Rachelle D. Klassen, City Clerk
Such notice shall be deemed made when personally delivered or when mailed,
forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and
addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of
service.
3.5.3 Ownership of Materials and Confidentialitv.
3.5.3.1 Documents & Data: Licensina of Intellectual Propertv.
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual
property embodied in plans, specifications, studies, drawings, estimates, and other
documents or works of authorship fixed in any tangible medium of expression, including
but not limited to, physical drawings or data magnetically or otherwise recorded on
computer diskettes, which are prepared or caused to be prepared by Consultant under
this Agreement ("Documents & Data"). This provision excludes Consultants pre-
existing copyrights (the consultant retains all pre-existing copyrights, and does not
transfer these to the City.) Consultant shall require all subconsultants to agree in
writing that City is granted a non-exclusive and perpetual license for any Documents &
Data the subconsultant prepares under this Agreement. Consultant represents and
warrants that Consultant has the legal right to license any and all Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the City. City shall not be limited in any way in its use of the Documents
& Data at any time, provided that any such use not within the purposes intended by this
Agreement shall be at City's sole risk.
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3.5.3.2 Confidentialitv. All ideas, memoranda, specifications,
plans, procedures, drawings, descriptions, computer program data, input record data,
written information, and other pocuments & Data either created by or provided to
Consultant in connection with the performance of this Agreement shall be held
confidential by Consultant. Such materials shall not, without the prior written consent of
City, be used by Consultant for any purposes other than the performance of the
Services. Nor shall such materials be disclosed to any person or entity not connected
with the perFormance of the Services or the Project. Nothing furnished to Consultant
which is otherwise known to Consultant or is generally known, or has become known, to
the related industry shall be deemed confidential. Consultant shall not use City's name
or insignia, photographs of the Project, or any publicity pertaining to the Services or the
Project in any magazine, trade paper, newspaper, television or radio production or other
similar medium without the prior written consent of City.
3.5.3.3 Confidential Information. The City shall refrain from
releasing Consultant's proprietary information ("Proprietary Information") unless the
City's legal counsel determines that the release of the Proprietary Information is
required by the California Public Records Act or other applicable state or federal law, or
order of a court of competent jurisdiction, in which case the City shall notify Consultant
of its intention to release Proprietary Information. Consultant shall have five (5) working
days after receipt of the Release Notice to give City written notice of Consultant's
objection to the City's release of Proprietary Information. Consultant shall indemnify,
defend and hold harmless the City, and its officers, directors, employees, and agents
from and against all liability, loss, cost or expense (including attorney's fees) arising out
of a legal action brought to compel the release of Proprietary Information. City shall not
release the Proprietary Information after receipt of the Objection Notice unless either:
(1) Consultant fails to fully indemnify, defend (with City's choice of legal counsel), and
hold City harmless from any legal action brought to compel such release; and/or (2) a
final and non-appealable order by a court of competent jurisdiction requires that City
release such information.
3.5.4 Cooperation; Further Acts. The Parties shall fully cooperate with
one another, and shall take any additional acts or sign any additional documents as
may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.5 Attornev's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and
recover from the losing party reasonable attorney's fees and all other costs of such
action.
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3.5.6 I ndemnification.
3.5.8.1 Scope of Indemnitv. To the fullest extent
permitted by law, Consultant shall defend, indemnify and hold the City, its directors,
officials, officers, employees, volunteers and agents free and harmless from any and all
claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of
any kind, in law or equity, to property or persons, including wrongful death, in any
manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions,
or willful misconduct of Consultant, its officials, officers, employees, subcontractors,
consultants or agents in connection with the performance of the Consultant's Services,
the Project or this Agreement, including without limitation the payment of all
consequential damages, expert witness fees and attorneys fees and other related costs
and expenses. Notwithstanding the foregoing, to the extent Consultant's Services are
subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent
required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to
the negligence, recklessness, or willful misconduct of the Consultant.
3.5.6.2 Additional Indemnitv Obliqations. To the fullest
extent permitted by law, Consultant shall defend, with counsel of City's choosing and at
ConsultanYs own cost, expense and risk, any and all claims, suits, actions or other
proceedings of every kind covered by Section 3.5.6.1 that may be brought or instituted
against City or its directors, officials, officers, employees, volunteers and agents.
Consultant shall pay and satisfy any judgment, award or decree that may be rendered
against City or its directors, officials, officers, employees, volunteers and agents as part
of any such claim, suit, action or other proceeding. Consultant shall also reimburse City
for the cost of any settlement paid by City or its directors, officials, officers, employees,
agents or volunteers as part of any such claim, suit, action or other proceeding. Such
reimbursement shall include payment for City's attorney's fees and costs, including
expert witness fees. Consultant shall reimburse City and its directors, officials, officers,
employees, agents, and/or volunteers, for any and all legal expenses and costs
incurred by each of them in connection therewith or in enforcing the indemnity herein
provided. Consultant's obligation to indemnify shall not be restricted to insurance
proceeds, if any, received by the City, its directors, officials officers, employees, agents,
or volunteers.
3.5.7 Entire Aqreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be modified by
a writing signed by both parties.
3.5.8 Governina Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.5.9 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
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CONTRACT NO. C33450
3.5.10 Citv's Riqht to Emplov Other Consultants. City reserves right to
employ other consultants in connection with this Project.
3.5.11 Successors and Assiqns. This Agreement shall be binding on the
successors and assigns of the parties.
3.5.12 Assiqnment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein
without the prior written consent of the City. Any attempt to do so shall be null and void,
and any assignees, hypothecates or transferees shall acquire no right or interest by
reason of such attempted assignment, hypothecation or transfer.
3.5.13 Construction; References; Captions. Since the Parties or their
agents have participated fully in the preparation of this Agreement, the language of this
Agreement shall be construed simply, according to its fair meaning, and not strictly for
or against any Party. Any term referencing time, days or period for performance shall
be deemed calendar days and not work days. All references to Consultant include all
personnel, employees, agents, and subconsultants of Consultant, except as otherwise
specified in this Agreement. All references to City include its elected officials, officers,
employees, agents, and volunteers except as otherwise specified in this Agreement.
The captions of the various articles and paragraphs are for convenience and ease of
reference only, and do not define, limit, augment, or describe the scope, content, or
intent of this Agreement.
3.5.14 Amendment; Modification. No supplement, modification, or
amendment of this Agreement shall be binding unless executed in writing and signed by
both Parties.
3.5.15 Waiver. No waiver of any default shall constitute a waiver of any
other default or breach, whether of the same or other covenant or condition. No waiver,
benefit, privilege, or service voluntarily given or performed by a Party shall give the
other Party any contractual rights by custom, estoppel, or otherwise.
3.5.16 No Third-Partv Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.5.17 Invaliditv: Severabilitv. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.5.18 Prohibited Interests. Consultant maintains and warrants that it has
not employed nor retained any company or person, other than a bona fide employee
working solely for Consultant, to solicit or secure this Agreement. Further, Consultant
warrants that it has not paid nor has it agreed to pay any company or person, other than
a bona fide employee working solely for Consultant, any fee, commission, percentage,
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CONTRACT NO. C33450
brokerage fee, gift or other consideration contingent upon or resulting from the award or
making of this Agreement. For breach or violation of this warranty, City shall have the
right to rescind this Agreement without liability. For the term of this Agreement, no
member, officer or employee of City, during the term of his or her service with City, shall
have any direct interest in this Agreement, or obtain any present or anticipated material
benefit arising therefrom.
3.5.19 Eaual Opportunitv Emqlovment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any subconsultant,
employee or applicant for employment because of race, religion, color, national origin,
handicap, ancestry, sex or age. Such non-discrimination shall include, but not be
limited to, all activities related to initial employment, upgrading, demotion, transfer,
recruitment or recruitment advertising, layoff or termination. Consultant shall also
comply with all relevant provisions of City's Minority Business Enterprise program,
Affirmative Action Plan or other related programs or guidelines currently in effect or
hereinafter enacted.
3.5.20 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Worker's Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.5.21 Authoritv to Enter Aareement. Consultant has all requisite power
and authority to conduct its business and to execute, deliver, and perForm the
Agreement. Each Party warrants that the individuals who have signed this Agreement
have the legal power, right, and authority to make this Agreement and bind each
respective Party.
3.5.22 Counterparts. This Agreement may be signed in counterparts,
each of which shall constitute an original.
3.6 Subcontracting.
3.6.1 Prior Approval Required. Consultant shall not subcontract any
portion of the work required by this Agreement, except as expressly stated herein,
without prior written approval of City. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
[REMAINDER OF THIS PAGE LEFT INTENTIONALLY BLANK.
SIGNATURES APPEAR ON THE FOLLOWING PAGE.]
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CONTRACT NO. C33450
CITY OF PALM DESERT
�
Van G. Tanner, Mayor
Gladwell Governmental Services, Inc.
By:
Diane R. Gladwell, President
[Signature of Principal to be
Notarized.]
[If Corporation, TWO SIGNATURES,
President OR Vice President AND
Secretary OR Treasurer REQUIRED]
ATTEST:
:
Rachelle D. Klassen
City Clerk
APPROVED AS TO FORM:
By:
Best Best & Krieger LLP
City Attorney
�
Robert C. Gladwell, Secretary
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CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT
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State of California
County of
On
Date
personally appeared
before me,
Place Notary Seal Above
Here Insert Name and Title of the Officer
Name(s) of Signer(s)
who proved to me on the basis of satisfactory evidence to
be the person(s) whose name(s) is/are subscribed to the
within instrument and acknowledged to me that
he/she/they executed the same in his/her/their authorized
capacity(ies), and that by his/her/their signature(s) on the
instrument the person(s), or the entity upon behalf of
which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws
of the State of California that the foregoing paragraph is
true and correct.
WITNESS my hand and official seal.
Signature
Signature of Notary Public
OPTIONAL
Though the information below is not required by law, it may prove valuable to persons relying on the document
and could prevent fraudulent removal and reattachment of this form to another document.
Description of Attached Document
Title or Type of Document:
Document Date:
Signer(s) Other Than Named Above:
Capacity(ies) Claimed by Signer(s)
Signer's Name:
❑ Individual
❑ Corporate Officer — Title(s):
❑ Partner — ❑ Limited ❑ General
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❑ Attorney in Fact •
❑ Trustee Top of thumb here
❑ Guardian or Conservator
❑ Other:
Signer Is Representing:
Number of Pages:
Signer's Name:
❑ Individual
❑ Corporate Officer — Title(s):
❑ Partner — ❑ Limited ❑ General
❑ Attorney in Fact
❑ Trustee
❑ Guardian or Conservator
❑ Other:
Signer Is Representing:
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OO 2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1-800-876-6827
CONTRACT NO. C33450
EXHIBIT "A"
SCOPE OF SERVICES
GGS will meet individually with each employee / function / department (with the records
schedules already prepared based upon GGS's copyright-protected format,) to provide an
interactive, educational approach: Employees will be trained, have a high level of
ownership, and will be making well-informed decisions based upon the best practices of
other cities. It is recommended that the Deputy City Clerk, and/or a designated staff
member, attend these meetings so that the knowledge gained from the operations and needs
of departments remains with the City.
GGS provides a detailed index so employees can easily locate the record they are seeking.
GGS provides detailed citations and rational, identifies vital records, and
provides recommendations on what records series should be imaged, and which records
may have the paper version destroyed after imaging and quality checking. GGS provides
training and education relating to various laws and standards interactively during the
meetings, as well as informing each department about standard business practices in like
departments throughout the State.
This enables each department to make well-informed decisions relating to their
records retention policy, providing a high level of ownership and buy-in for the program.
Deliverables:
• Meetings with each employee / function / department to review their
Records Retention Schedules, including various other information (vital
records, what to image, etc.)
• Two days of on-site meetings
• Records Retention Schedules for each department
• One retention schedule for records common to all departments
• Index to retention schedules
• Draft resolution of adoption
• Draft staff report
Option 1 Cost:
$8,000
Many cities have found that having an outside expert train employees results in higher levels of
acceptance, better compliance and efficiency gains than in-house training.
Following approval of the draft policy, four different one-hour training classes held throughout the day will
allow all employees to be trained without short-staffing departments.
1 BBK: Apri12013
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CONTRACT NO. C33450
Deliverables:
• One on-site meeting with Stakeholders to discuss options for e-mail retention
and best practices in other cities; and to review training materials.
• Advice, review and discussion via telephone and e-mail regarding the e-mail
policy.
• Various Training Materials and Presentations
• One day of on-site employee training
Option 2 Cost:
$1,000
The goal of this day is to assist department employees in making the maximum progress in
an efficient, legal manner to destroy records if they are copies, or if their retention has
expired. This is now possible for the organization because of the Agency's development of
records retention schedules. (The City may want to call this day "Records Destruction Day",
"File Liberation Da�' or whatever other name they desire.)
GGS will interactively design written instructions to ensure all laws, policies and procedures of
the City are followed. GGS will then facilitate a one hour "kickoff' meeting to demonstrate
the procedures, train employees and answer any questions.
Diane Gladwell will assist employees in preparing records
files, answering any questions and ensure they are directing
organization will realize the maximum value.
Deliverables:
• Written procedures for "Free the Files" Day
for destruction and "freeing the
their efforts in areas where the
• Memorandum to Employees
• Various Planning meetings (telephone & e-mail)
• City-wide Kick-off Meeting and/or individual meetings with employees
• Meetings with Departments to provide advice and assistance
• Prizes (gift cards) for participants
Option 3 Cost:
$1,200
GGS will meet with the City Clerk Department, then each Department using the MUFFS file
Classification System, to apply the retention periods to the MUFFS system, and revise the
system to reflect current needs.
GGS will revise the MUFFS document, showing which categories have been made inactive,
and reflecting changes in names, numbers, and adding retention periods for that category
1 BBK: Apri12013
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CONTRACT NO. C33450
Deliverables:
Meetings with departments / divisions that uses MUFFS
One day of on-site meetings
Revised MUFFS File Classification
Option 4 Cost:
$2,000
OVERVIEW OF OPTIONS AND COSTS
1 Records Retention Schedules / Best Practices On Site Meetings $8,000
2 E-mail Best Practices Training $1,000
3 Destruction Procedures and Training /"Free the Files" Day $1,200
4 MUFFS Revision and Application of Retention Periods $2,000
TOTAL
$12, 200
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CONTRACT NO. C33450
EXHIBIT "B"
SCHEDULE OF SERVICES
MEETINGS WITH CITY OF PALM DESERT DEPARTMENT REPRESENTATIVES TO CARRY OUT
TERMS OF THIS AGREEMENT, AS SPECIFIED IN EXHIBIT "A," ABOVE, TO BE SET FOR
MUTUALLY AGREEABLE DATES AND TIMES TO BE DETERMINED IN ORDER TO COMPLETE THE
SCOPE OF WORK DURING THE DURATION OF THIS AGREEMENT.
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72500.00001\8379472.1
CONTRACT NO. C33450
EXHIBIT "C"
COMPENSATION
OVERVIEW OF OPTIONS AND COSTS
1 Records Retention Schedules / Best Practices On Site Meetings $8,000
2 E-mail Best Practices Training $1,000
3 Destruction Procedures and Training /"Free the Files" Day $1,200
4 MUFFS Revision and Application of Retention Periods $2,000
TOTAL
72500.00001 \8379472.1
$12,200
BBK: Apri12013
PROPOSAL FOR PALM DESERT, CALIFORNIA
EXECUTIVE SUMMARY
A recent Coopers 8� Lybrand study showed that records and information systems
often represent 50% of the total cost of doing business, and
the average office makes 19 coaies of each document.
Average Costs:
• $20 to file each document
• $1.50 to retrieve each document
($20 x 19 copies =$380 to file)
The average office loses 1 out of 20 office documents. It then costs:
•$120 to search for the document
•$250 to recreate it, if lost
(1 lost document = $370)
Palm Desert will receive the following benefits from this project:
1. Provide employee training, ownership and knowledge of the City's Records Management
program;
2. Update all schedules to be in compliance with current state and federal law;
3. Ensure efficiency and consistency.
4. Free Office and Storage Space.
5. Ensure fast response times and excellent customer service levels.
6. Provide an efficient "base" for operations in future years.
The President of Gladwell Governmental Services, Inc., Diane R. Gladwell, is a Master
Municipal Clerk that has developed records management programs for over 100 California
cities. Ms Gladwell was a City Clerk for six years, and has an excellent knowledge of
government operations and document imaging. She is recognized as a leading expert in
records management 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, business process reengineering (BPR),
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.
GGS's legal research and knowledge in the retention of California government records is
unsurpassed, as noted by one of our clients:
"Her knowledge of municipal government and its struciure are immense and her legal
research was flawless."
Ms. Gladwell has no vendor affiliations, and therefore can provide objective advice and
recommendations, where appropriate.
Proposal for Palm Desert — Records Management Project (2012)
Submitted by Gladwell Govemmental Services, Inc. 909.337.3516 www.gladwellgov.org p8ge 1
SCOPE OF WORK
RECORDS MANAGEMENT PROJECT
GGS will meet individually with each employee / function / department (with the records
schedules already prepared, and former retention periods clearly disclosed) to provide an
interactive, educational approach: Employees will be trained, have a high level of
ownership, and will be making well-informed decisions based upon the best practices of
other cities. It is recommended that the Deputy City Clerk, andlor a designated staff
member, attend these meetings so that the knowledge gained from the operations and needs
of departments remains with the City.
GGS provides a detailed index so employees can easily locate the record they are seeking.
GGS provides detailed citations and rational, identifies vital records, and
provides recommendations on what records series should be imaged, and which records
may have the
paper version destroyed after imaging and quality checking. GGS provides training and
education relating to various laws and standards interactively during the meetings, as well
as informing each department about standard business practices in like departments
throughout the State.
This enables each department to make well-informed decisions relating to their
records retention policy, providing a high level of ownership and buy-in for the program.
Deliverables:
• Meetings with each employee / function / department to review their
Records Retention Schedules, including various other information (vital
records, what to image, etc.)
• Two days of on-site meetings
• Records Retention Schedules for each department
• One retention schedule for records common to all departments
• Index to retention schedules
• Draft resolution of adoption
• Draft staff report
Option 1 Cost:
$8,000
Option 2: E-mail Best Practices Training
Many cities have found that having an outside expert train employees results in higher levels of
acceptance, better compliance and efficiency gains than in-house training.
Following approval of the draft policy, four different one-hour training classes held throughout
the day will allow all employees to be trained without short-staffing departments.
Proposal for Palm Desert — Records Management Project (2012)
Submitted by Gladwell Govemmental Services, Inc. 909.337.3516 www.gladwellgov.org page 2
Deliverables:
• One on-site meeting with Stakeholders to discuss options for e-mail retention
and best practices in other cities; and to review training materials.
• Advice, review and discussion via telephone and e-mail regarding the e-mail
policy.
• Various Training Materials and Presentations
• One day of on-site employee training
Option 2 Cost:
$1,000
Option 3: Destruction Procedures and Training /"Free the Files" Day
The goal of this day is to assist department employees in making the maximum progress in
an efficient, legal manner to destroy records if they are copies, or if their retention has
expired. This is now possible for the organization because of the Agency's development of
records retention schedules. (The City may want to call this day "Records Destruction Day",
"File Liberation Day" or whatever other name they desire.)
GGS will interactively design written instructions to ensure all laws, policies and procedures of
the City are followed. GGS will then facilitate a one hour "kickoff" meeting to demonstrate
the procedures, train employees and answer any questions.
Diane Gladwell will assist employees in preparing records for destruction and "freeing the
files, answering any questions and ensure they are directing their efforts in areas where the
organization will realize the maximum value.
Deliverables:
• Written procedures for "Free the Files" Day
• Memorandum to Employees
• Various Planning meetings (telephone & e-mail)
• City-wide Kick-off Meeting and/or individual meetings with employees
• Meetings with Departments to provide advice and assistance
• Prizes (gift cards) for participants
Option 3 Cost:
$1,200
Option 4: MUFFS Revision and Application of Retention Periods
GGS will meet with the City Clerk Department, then each Department using the MUFFS file
Classification System, to apply the retention periods to the MUFFS system, and revise the
system to reflect current needs.
GGS will revise the MUFFS document, showing which categories have been made inactive,
and reflecting changes in names, numbers, and adding retention periods for that category
Proposal for Palm Desert— Records Management Project (2012)
Submitted by Gladwell Governmental Services, Inc. 909.337.3516 www.gladwellgov.org page 3
Deliverables:
• Meetings with departments / divisions that uses MUFFS
• One day of on-site meetings
• Revised MUFFS File Classification
Option 4 Cost:
$2,000
OVERVIEW OF OPTIONS AND COSTS
Records Retention Schedules / Best Practices On Site Meetings $8,000
E-mail Best Practices Training $1,000
Destruction Procedures and Training /"Free the Files" Day $1,200
MUFFS Revision and Application of Retention Periods $2,000
TOTAL
$12,200
Proposal for Palm Desert — Records Management Project (2012)
Submitted by Gladwell Governmental Services, Inc. 909.337.3516 www.gladwellgov.org page 4
METHODOLOGY
All work is performed by the President of Gladwell Governmental Services, Inc. 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 also assures the highest quality work.
The consultant proposes to build on the progress already made in the organization and the pre-
existing intellectual property of GGS, ensuring consistency and high levels of quality 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 Palm Desert to ensure the prog�am:
• Provides a "one-time fix";
• Is interactive, producing a high level of participation and ownership;
• Matches the organization's values and structure;
• Provides appropriate solutions;
• Can be implemented quickly;
• Will achieve long-term viability; and
• Has the highest cosUbenefit ratio and return on investment.
Drafts of all work will be released to Palm Desert during the course of the project. Palm Desert
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 Palm
Desert apprised of the work progress.
The consultant witl provide the computer facilities, forms and equipment necessary to complete
the work in this proposal. A resident workspace will be necessary when the consultant is on-
site with access to computer systems, a photocopier, and Palm Desert staff for information.
"...a records management program is actually a monev 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 Palm Desert — Records Management Project (2012)
Submitted by Gladwell Governmental Services, Inc. 909.337.3516 www.gladwellgov.org page 5
RESUME
SUMMARY
Diane R. Gladwell is a Master Municipal Clerk with over twenty 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 100
organizations, including AIIM, ARMA and COMDEX.
PROFESSIONALBACKGROUND
Gladwell Governmental Services, Inc.
President
1989 to present
Clients have included over 100 California Cities and Counties; 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:
Retention Schedules, Procedures, Manuals and Training
2. EDMS / 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.
5. Elections Management.
City of San Luis Obispo 1992 to 1995
City Clerk
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 "tnfoSLO" 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 emergencies (Glendale fire, storm damage). Supervised a staff of
nine who serve a culturally diverse community.
Developed, implemented, and administrated a Citywide records management program based on optical
disk technology which has received international, national and state awards for exceptional records
management programs.
Proposal for Palm Desert — Records Management Project (2012)
Submitted by Gladwell Governmental Services, Inc. 909.337.3516 www.gladwellgov.org page 6
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)
PresidenYs 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)
PresidenYs Award for Excellence in Public Presentations and Published Articles;
City Clerks Association of Califomia (CCAC);
Rotary, International, Lake Arrowhead Chapter: (2) Special Service Awards for Projects which raised
over $40,000 for fire victims.
(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 Executives and Professionals
PRESENTATIONS AND PUBLICATIONS
University of Riverside, Extension / Technical Track for Clerks: Records Management, Elections
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)
Government Technology Conference
Co-Author: Ballot Counting Procedures and Guidelines (various voting systems)
Author: Document Imaging
Efficient Filing
Funding Records Management Projects
Elections Management and Performance Measurement
Various articles published by ARMA, ICMA, IIMC and NAGARA
PROFESSIONAL MEMBERSHIPS
AIIM Professional Level Member
Association of Records Managers and Administrators
California Association of Clerks and Elections Officials
City Clerks Association of California (Past First Vice President, Past Second Vice President)
Continuing Education for Public Officials: Member, Executive Board of Directors
International Institute of Municipal Clerks (Past Chair, Resource Committee, Membership Task Force,
Vice Chair, Records Management Committee)
National Association of Government Archives and Records Administrators (NAGARA)
Proposal for Palm Desert — Records Management Project (2012)
Submitted by Gladwell Governmental Services, Inc. 909.337.3516 www.gladwellgov.org page 7
CITY OF PALM DESERT
COMMUNITY SERVICES DIVISION
CITY CLERK OPERATIONS
INTEROFFICE MEMORANDUM
To: CARLOS L. ORTEGA, CITY MANAGER
ASSISTANT CITY MANAGERS
ALL CITY DEPARTMENT HEADS
From: City Cierk
Date: November 10, 2005
Subject: Records Manaaement Needs Assessment
Through my office, the City has hired Gladwell Governmental Services, Inc. (GGS),
specializing in records management in California municipal governments, to produce a
Needs Assessment of our Records Management Program. The President of the firm,
Diane R. Gladwell, is a Certified Municipal Clerk with over 20 years' experience managing
in the public and private sectors.
Ms. Gladwell has facilitated records management and records retention programs,
including document imaging systems, for over 100 California cities, counties, and special
districts, and has received multiple awards recognizing excellence in municipal government
administration. GGS has no vendor affiliations and does not sell any products, which
allows us to benefit from "Best Practices" of other cities and obtain objective advice.
She will be on site on Tuesday. November 22. There is no set agenda; we may be
stopping by your office to ask you and your staff some questions that morning, depending
upon what is determined as an unmet need or concern. I encourage you to also be ready
with some questions of your own while she's here.
The deliverable of this project is a formal Needs Assessment document, outlining our
accomplishments, our unmet needs, and a prioritized, long-range action plan to improve
our Records Management Program overall. Ms. Gladwell and I look forward to working
with you in this process. Please call me at extension 304 or e-mail me if you have any
questions.
� � —
R CHELLE D. KLASSEN, CMC � J
CITY CLERK
cc: Grace L. Mendoza, Deputy City Clerk
M. Gloria Martinez, Records Technician
Rosie Griffin, Office Assistant II
RECORDS MANAGEMENT NEEDS ASSESSMENT
CITY OF PALM DESERT
December, 2005
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TABLE OF CONTENTS
Executive Summary and Background ...........................................................................................1
ProjectOverview ...........................................................................................................................2
Accompl ish ments .......................................................................................................................... 3
Findings/ Unmet Needs ...............................................................................................................6
Finding F-1: A High Volume of Complex Documents are Produced by the City ............... 6
Finding F-2: Most Records Storage Areas Have Reached or Exceeded Their Capacity. 6
Finding F-3: Retention Schedules Result in Unnecessary Imaging and Retention of
Records........................................................................................... .................................. 7
Finding F-4: The Questys EDMS (Electronic Document Management System) Requires
Policies, Procedures, Planning and Standards ................................................................. 7
Finding F-5: Records Stored in the Records Storage Room Have Exceeded Capacity
andare Not Organized ...................................................................................................... 7
Finding F-6: Older Systems Have Continued to Be Supported in the City Clerk's Office 8
Finding F-7: City Wide Records Management Policies, Procedures, and Employee
TrainingNeed to be Developed ........................................................................................8
Finding F-8: Some Records are Time-Consuming to Research & Retrieve .....................8
Finding F-9: The City Clerk's Records "VaulY' Does Not Meet Industry Standards..........8
Finding F-10: Protection of Vital Records is Inadequate .................................................. 9
Best Practices Option: Recommendations / Action Plan ..........................................................10
Recommendation BPR-1: Do Not Invest In Physical Plant Improvements ...................10
Recommendation BPR-2: Update City-wide Records Retention Schedules ..................10
Recommendation BPR-3: Develop Policies, Procedures, Plans and Standards for the
QuesytsEDMS System ...................................................................................................11
Recommendation BPR-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department ........................................................................................................14
Recommendation BPR-5: Develop Clear Responsibilities, Policies and Procedures for
theRecords Storage Room .............................................................................................14
City of Palm Desert Needs Assessment - December, 2003
002003 Gladwell Governmental Services, Inc. (909) 3373516 II
Recommendation BPR-6: Develop Efficient Destruction Procedures, Train Employees,
and Conduct "Free the Files" Days .................................................................................15
Recommendation BPR-7: Provide a Robust Records Management Manual and
Training Program for Representatives from All Departments ..........................................15
Recommendation BPR-8: Consider a City-wide Computerized File Tracking / Color
CodedLabeling Program ................................................................................................16
Best Practices Option Recommendation Summary ........................................................17
Least Cost Option: Recommendations / Action Plan ................................................................18
Recommendation LCO-1: Do Not Invest In Physical Plant Improvements ...................18
Recommendation LCO-2: Update City-wide Records Retention Schedules ..................18
Recommendation LCO-3: Develop Policies, Procedures, Plans and Standards for the
QuesytsEDMS System ...................................................................................................18
Recommendation LCO-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department ........................................................................................................19
Recommendation LCO-5: Develop Clear Responsibilities, Policies and Procedures for
the Records Storage Room .............................................................................................19
Recommendation LCO-6: Develop Efficient Destruction Procedures, Train Employees,
and Conduct "Free the Files" Days .................................................................................19
Recommendation LCO-7: Provide a Robust Records Management Manual and
Training Program for Representatives from All Departments ..........................................19
Recommendation LCO-8: Do Not Consider a City-wide Computerized File Tracking /
Color Coded Labeling Program .......................................................................................19
Least Cost Option Recommendation Summary ..............................................................20
Personnel, Approach and Methodology
21
Qualifications.............................................................................................................................. 22
Appendix A: Document Imaging Laws
Appendix B: Filing System Authorities
Appendix C: Current Retention Schedules
24
26
Palm Desert Records Management Needs Assessment - December,2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 I
EXECUTIVE SUMMARY
iblsoN w���
"A decision is as good as the information that goes into it."
�lohn F. Bookout, Jr.
In December of 2005, an on-site records management needs assessment was conducted for
the City of Palm Desert to assist the City in developing efficient, effective services for internal
and external customers.
Several industry-wide factors have increased the importance of records management issues to
the City:
• Increased volume of records
• Commitment to excellent customer service levels
• Increased litigation and the expense of responding to records discovery;
• Release of ISO 15489 (International Records Management Standards);
The volume of documents has dramatically increased as a result of the computer age and the
increased regulation, sophistication and complexity of municipal government services. Paper
usage has doubled since 1966', and the average office currently makes 19 copies of every
document they produce2.
Systems, policies and procedures that have not been adequately developed can result in
expensive and embarrassing mistakes for the City. For example, in one California City, the
Planning Department stored printed e-mails and correspondence from their City Attorney in their
project files without identifying them as attorney-client privileged communications. These e-
mails were provided to a member of the public over the counter, then later used against the City
in an expensive litigation case.
Many of the services provided by the City affects the lives of its citizens and businesses, and
the records management systems impact many critical projects
' United Nations Food and Agriculture Organization
2 Coopers and Lyband Study; 1998
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516
Project Overview
The project's goal is to ensure the most cost-effective, efficient application of resources to
increase customer service levels in the City as it relates to records management in City Hall.
Rather than use a"shotgun" approach, the City Clerk's office procured this assessment to
ensure the City was making investments that had a high ROI (Return on Investment), were cost-
effective, and were sustainable over time.
Gladwell Governmental Services, Inc. (GGS) has assisted over 80 California cities in improving
various policies and procedures. The President of the firm, Diane R. Gladwell, CMC is a former
City Clerk. For more information about the firm, refer to Personnel, Approach and Methodology
and Qualifications sections of this document.
On-site interviews were provided and "Best Practices" and alternatives to solve issues were
discussed with employees.
The Findings and Recommendations in this document are based upon various standards,
guidelines and publications, including California Secretary of State's Guidelines for Local
Government Records, ISO 15489 (the International Records Management Standard), NISO
(National Information Standards Organization), ARMA (Association of Records Management
and Administrators, Inc.), NAGARA (National Association of Government Archives and Records
Administrators), and ICMA (International City/County Management Association), and State and
Federal laws.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 2
Palm Desert has used the existing space in City Hall as efficiently as possible, within the design
of the floor space and existing office equipment.
In order to minimize labor expenses, the City has implemented a hybrid "decentralized" Records
Management program. In this business model, each department devotes the labor required to
manage their records, and creates their own filing systems and labels. Within this hybrid
decentralized program, the City has developed and applied many efficient and effective records
management programs, some of which are mentioned here.
The City has implemented a Quesyts Electronic Document Management System (EDMS) that is
capable of supporting all departments in the City, and integrating with other information
technology systems. The system can provide the following benefits to the City for records that
are properly imaged in the system:
• Improved Customer Service Levels
• Improved Access to Documents
• Reduced Duplication of Effort, Copying and Filing
• Powerful Research
• Fast Retrieval
• Disaster Recovery: Replaces Microfilm
• Immediate, Random Input (faster protection from Disasters)
High density file cabinet systems have been purchased and installed in most departments.
Advantages of open shelf files with end-tabbed file folders are3:
1. Retrieval may be 40% faster and refiling approximately 50% faster
2. Errors are reduced, primarily due to color coding
3. The cost of shelving is lower
4. Open-shelf filing requires less than half as much floor and aisle space as traditional filing
cabinets
3 Mims I II, Julian L.. Records Management: A Practical Guide for Cities and Counties. Washington, DC:
International City/County Management Association, 1996.
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 3373516
olc.ers in various departments
The City has developed and implemented a numeric file classification system based on MUFFS
(Municipal Unified Functional Filing System), which is less subjective and error-prone than
alphabetic systems. The City has also developed a records retention schedule that was based
upon Statewide guidelines.
Racked shelving systems that meet records management standards are utilized in the shared
inactive records storage room; most departments have inactive records and other material
stored in this room.
Boxes stored on racked shelving in the records storage room
Most Departments have maintained indexes to records so they are able to quickly and efficiently
locate and retrieve them.
�s in f at files with index posted on the wall
Several departments utilize a commercial off-site records storage vendor to store inactive
records, providing inexpensive storage and retrieval of records. All Valley Document Storage's
costs compare favorably to industry standards.
The City has had an active microfilming program, providing disaster recovery and space
maximization for many years. The City has maintained indexes of what records series were
microfilmed.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 4
Microfilm rolls �
Correct orientation for 1
minute books
Planning is in the process of a large file conversion project and preparing its files in anticipation
of imaging the records by removing preliminary drafts and photocopies from their files.
(NOTE: I never received a list of questions from Mary, who wasn't there the day I was on site)
Clerk's vault
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516
Finding F-1: A High Volume of Complex Documents are Produced by the City
Palm Desert provides a variety of robust, complex services to its citizens, and necessarily
generate many complex, voluminous records as a result.
Finding F-2: Most Records Storage Areas Have Reached or Exceeded Their Capacity
Most records storage areas are at, or have exceeded, their capacity. It should be noted that
according to ARMA, International (Association for Information Management Professionals) the
average filing system grows at 20%; so this will be a continuing issue that the City must
address.
Boxes stacked on floor in storage room
DDA's overflowing their cabinet in Redevelopment
Palm Desert Records Management Needs Assessment — December, 2005
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Full Filing Cabinets in the City Clerk's Vault
Full department-level cabinets
Finding F-3: Retention Schedules Result in Unnecessary Imaging and Retention of
Records
The City's records retention schedules, developed based upon Statewide Guidelines, require
microfilming many unnecessary records series, do not properly identify who is responsible for
retaining the original, and result in the unnecessary imaging and retention of some records (a
copy of the current records retention schedule is in Appendix C).
Many employees expressed a desire to understand what they should keep, how long to keep it,
and when they could destroy different records.
Finding F-4: The Questys EDMS (Electronic Document Management System) Requires
Policies, Procedures, Planning and Standards
The Questys EDMS is a scaleable, robust system, and is sufficient to support the long-term
document management needs of the City. Although the system was not functioning for over a
year, the City has been upgrading software and expanding the use of the Questys system, and
has purchased sufficient licenses to support City-wide use of the system.
Employees have reported siqnificant backlogs in importing, quality checking, indexing and
OCRing documents after they have been imaged by an outside scanning bureau. There has
been an overall lack of active management of what records series are imaged, written
standards, plans, policies and procedures to ensure efficient and effective records storage and
retrieval over time (e.g. some departments have not OCR'd all their text documents).
Employees stated they had retained the paper files, but it was difficult for them to determine
what had been imaged, and what had not been imaged. Different employees had started, then
stopped imaging projects before they were completed because they didn't have the time to
complete the project.
Management controls should be developed and put in place to ensure legal compliance and
consistent, effective, efficient use of the system in the future.
Finding F-5: Records Stored in the Records Storage Room Have Exceeded Capacity and
are Not Organized
Palm Desert Records Management Needs Assessment - December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 %
The records storage room has been cleaned and organized several times in the past, but the
room has again fallen into a state where boxes have exceeded shelving space, are being
stacked on the floor, and records are being crushed and are difficult to locate.
Equipment and supplies have been stored among records.
Finding F-6: Older Systems Have Continued to Be Supported in the City Clerk's Office
Microfilming is an analog document imaging technology, and the City has taken a wise,
conservative approach to imaging by having the outside service bureau produce both digital
images to import into Questys, and microfilm images. The microfilm is then indexed by the
Office Assistant in the City Clerk's department.
In addition, the City Clerk's Department is continuing to perform data entry into the Munimetrix
legislative history system.
Finding F-7: City Wide Records Management Policies, Procedures, and Employee
Training Need to Be Developed
Clear procedures have not been developed in a variety of areas, including the procedure for
destruction of appropriate records that have exceeded their usefulness to the City. There has
been minimal training for City employees performing these functions.
Employees had valid questions and concerns about how to properly managing electronic
records and e-mail, a complex and changing area of law, in addition to a variety of questions
relating to filing systems and techniques, which records were accessible to the public and other
records management subjects.
Finding F-8: Some Records Are Time-Consuming to Research & Retrieve
Several employees reported that searching for, and retrieving images from microfilm was time-
consuming, reducing customer services levels. Employees that used Questys EDMS reported
that searching and retrieving records via Questys was much faster, and provided better quality
records than microfilm.
Finding F-9: The City Clerk's Records "Vault" Does Not Meet Industry Standards
The City Clerk's vault is well-organized, and has been designed by employees to maximize
capacity and efficient operations. However, there are fire sprinklers overhead, and it does not
meet ARMA4 and NAGARAS specifications for paper archiva► records storage, which include:
A. Walls, floor and ceiling should be at least 6" reinforced concrete.
B. The lowest records storage space should be not less than 4" above the floor and four
feet below light fixtures.
4 Association for Information Management Professionals
5 National Association of Government Archives and Records Administrators
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516
C. Records storage areas should have fire suppression systems that will not damage
records; no water sprinkler valves.
D. Temperature should be kept between 60° - 70° (must not fluctuate).
E. Humidity should be kept between 40% - 50%.
Finding F-10: Protection of Vital Records is Inadequate
Vital recordss have not been identified; many have not been protected via imaging (microfilmed
or scanned into a digital document imaging system, then burned onto optical disk media) to
protect them in the event of a disaster or inadvertent loss (including misfiling or missing
documents.)
Protection of vital records is particularly important for the City because of the role the City
organization plays in protecting the life and property of the citizens they serve.
6Vital Records are records essential to the continued functioning or reconstruction of an organization during and after
an emergency; also those records essential to protecting the rights and interest of that organization and of the
individuals directly affected by its activities.
Palm Desert Records Management Needs Assessment — December, 2005
�02005 Gladwell Governmental Services, Inc. (909) 337-3516 9
Implementation of the proposed action plan will gain many benefits for the Department, and to
the City as a whole:
• Improve response times and customer service levels.
• Decrease the incidence of lost or misplaced records.
• Increase efficiency and consistency.
• Protect vital records.
• Eliminate some duplication of effort.
• Free some space.
• Ensure the City is in compliance with complex regulations.
• Provide employee training and education.
• Provide an efficient "base" for operations in future years.
This Action Plan is presented in the recommended chronological order.
In recognition of the State budget crisis and the financial constraints of the City, the least
expensive "best practice" alternative is being recommended in each instance.
Priorities: 1=crifical need 5=lowesf need
Recommendation BPR-1: Do Not Invest In Physical Plant Improvements (Priority 1) —
Significant Cost Avoidance
As noted in the findings section of this document, the City has generally made excellent choices
in equipment and the use of available City Hall space to maximize capacity and efficiency.
Rather than invest in remodeling, or other equipment purchases, GGS recommends utilizing
existing systems and improving the efficiency and utilization of them. It should be noted that
GGS found that the systems selected in the past by the City (e.g. Questys EDMS, All-Valley
Document Storage, etc.) have also been efficient and cost-effective.
Rather than upgrade the City Clerk's vault, remodel or add on to the building to created needed
space to house additional records, using existing contracts with All-Valley Document Storage,
more efficient use of Questys and other systems will create the additional storage capacity need
by the City for future operations.
Of course, proper filing equipment should be provided for the DDAs in Redevelopment (see
Finding F-2).
Recommendation BPR-2: Update City-wide Records Retention Schedules (Priority 1) —
Cost Esfimate - Two Days onsite (recommended): $7,800'
�Includes meetings with each department, Records Retention Schedules for each department, one retention schedule
for records common to all departments, agenda staff report, resolution, detailed index to schedules (a total of two
days on-site).
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 3373516 � 0
As noted in the findings section of this document, the City's records retention schedules do not
establish clear responsibilities for the retention of original records, result in unnecessary
imaging and retention expenses, and do not address all records series used by the City. See
Appendix C for the current records retention schedule.
This recommendation will provide the least expensive, fastest method to increase capacity by
eliminating the storage, management, imaging, and retention of unnecessary records. The on-
site update will also provide education on "Best Practices" of other like departments across the
State, and will provide controls and better choices for which records series the departments
spend money to image into the Questys system.
The update is being recommended on a City-wide basis, since many records stored in several
departments (invoices, personnel files, time cards, etc.) will be managed by other departments,
and the project will increase the efficiency of operations of all departments. This will provide for
immediate efficiency gains in the organization.
It should be noted that retention periods must be articulated in the Questys system, and in
microfilm (the retention period applies no matter what media the record is stored in).
Employees must know how long to keep different records series prior to scanning them so they
can design a method to purge them from Questys.
In an interactive and educational process, GGS would revise the current schedules into an
easy-to-use retention schedule for each department, and the City as a whole. The revised
schedule will be far more detailed than the current schedule, will identify vital records, and
provide information about what documents should be imaged, and information about whether
the paper version of a record should be destroyed prior to its retention expiring.
A detailed cross-reference Index to the schedules will be produced for the retention schedules
following Council adoption.
Recommendation BPR-3: Develop Policies, Procedures, Plans and Standards for the
Questys EDMS System (Priority 1) — Cost Estimate: $4,440 +$35,000 annually (see below)
In a Price Waterhouse study in attorney offices searching for specific topic, author and date range:
Manually, para/egals took 67 hours and found 15 documents
Electronically, the same search took 4.5 seconds and found 20 documents
As this study demonstrates, there are a variety of benefits to be gained through Questys
Document Imaging (or Electronic Document Management Systems, EDMS). The Information
Technology department reported that the software and hardware were sufficient to support the
system, and no further analysis of the system configuration was conducted by GGS.
Employees from several departments reported serious backlogs in importing / QCing / OCRing /
Indexing outsourced scanned images in the system, a serious concern. Even if scanning is
outsourced, City employees must not only locate and prepare documents for scanning, they are
legally required to quality check both the images and indexing prior to destroying the paper
version, making the process labor-intensive.
In addition, most departments are continuing to store the paper version of documents after they
have been scanned, a prudent decision until policies and procedures can be developed that
ensure the images are legally admissible as the original in full compliance with California law.
Palm Desert Records Management Needs Assessment — December, 2005
�02005 Gladwell Governmental Services, Inc. (909) 337-3516 11
BPR-3, Step 1. Develop Citywide Document Imaging Policies and Procedures,
Including Written Naming Conventions and Standards for Existing Applications Cost
Estimate: $9608
Policies and procedures will ensure compliance with California law (see Appendix A), and
provide a mechanism to ensure document imaging projects are approved, are supportable
long term (no starts and stops, and scanned documents are properly managed and tracked),
are beneficial to the City as a whole, and indexing for each records series is appropriate and
performed consistently over time.
Managerial controls should be established to prevent inefficient operations and ensure all
departments are implementing the technology in the most efficient, effective manner.
Policies and procedures are the foundation for legal admissibility of documents stored in a
document imaging system. California law is complex, and it is critical to comply with various
requirements prior to destroying the paper version of a document before its retention period
has expired.
The policy should establish clear responsibilities and procedures to ensure legal compliance
for the City. The original paper versions of documents should not be allowed to be
destroyed until full legal compliance can be determined and documented.
The recommendation includes developing written naming conventions and indexing
standards for documents currently supported in Questys. This should be a pre-requisite for
any record series stored in the system to ensure thoughtful development, and consistency of
data entry (and therefore searching and retrieval) in the system. Decisions regarding
naming conventions should be based upon integration with GIS, HTE, and other systems,
and the Searchinq, logic in Questys, with the vision of thousands of potential "hits" after
many years of input, and ties into GIS, building permit or other applications. Written
documentation of the naming conventions, indexing standards, and document standards
(what constitutes a document in Questys) should be developed so that it is consistently
followed by all employees over the years.
BPR-3, Step 2. Develop Document Imaging Plans / Action Plans for Departments Cosf
Esfimate: $2, 5209
To ensure the most valuable records are scanned into the system first, and that there is
appropriate funding or labor to scan in proposed documents over time, Document Input
Plans should be developed for those departments wishing to scan or import records into
Questys. Outsourcing can also be discussed and considered by departments, including the
administrative impacts and different strategies and budgets (e.g. having the vendor provide
the Quality Checks required by law).
$ Includes Citywide policies and procedures, training, documentation of standards for existing Questys applications,
and one day of on site facilitation.
9 Includes Document Input Plans and Action Plans for various departments in prioritized order with naming
conventions and three days of on-site facilitation.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 � 2
These plans will allow the City to make well-informed decisions on whether to proceed (or
not proceed) with each records series, so that the program is consistent and sustainable
over time.
Each Plan will include an Action Plan to address their existing data inconsistencies /
backlogs in the system.
Each plan should be prioritized in order of benefit and importance to the organization, and
establish various administrative controls to ensure consistent indexing and scanning
methodologies over time, ensure retention periods are articulated in the document imaging
system, and ensure various privacy and security concerns are addressed in the system.
Each records series that has a retention period of less than permanent will have a retention /
destruction methodology developed.
Document Input Plans will include naming conventions and indexing standards for each
records series, and identify future applications to integrate systems (e.g. HTE or GIS and
Questys).
BPR-3, Step 3. Provide City-Wide Training Program. Cost Estimate: $96010
After steps 1— 2 have been implemented, all employees should participate in a training
program that reviews the program, goals, policies, database, and how to perform searches.
Several 1 hour classes can be provided over the period of one day so that departments to
not leave their offices short-staffed during the training sessions. Training should include
the use of the multi-function copiers, since all department employees have not been trained
on their use to capture images into Questys.
Training should include procedures and forms to track what records have been imaged, and
how to destroy the paper version of documents that have been imaged that will ensure full
compliance with California law, freeing up space and reducing the cost of paper records
stored at All-Valley Document Storage.
This is an on-going expense for any document imaging system, no matter what the brand of
the system, and should be scheduled on at least an annual basis; subsequent training can
be provided by the City Clerk or other in-house personnel.
BPR-3, Step 4. Hire a Full-Time Imaging Clerk Cost Esfimate: $35,000/year
In order to address the backlog of images to be placed into the system, scan more
documents into the system, and to implement document imaging plans in various
departments, a full-time clerical position should be created that is devoted to importing or
scanning documents into Questys in accordance with standards and the document imaging
plans. The position can "rove" among departments so that the backlogs in all departments
are addressed.
The scanner should report to the City Clerk to ensure all records are scanned in compliance
with legal requirements and records management policies and procedures, and different
imaging projects are not started, then stopped before they are completed.
�o Includes one day on-site and "Quickstarts"
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 � 3
BPR-3, Step 5. After all Current Departments' Imaging Projects are Up-to-Date,
Expand Program to Other Departments . Cost Estimate: None - Use Internal Labor
Some departments (e.g. Redevelopment, Planning) have not begun imaging projects yet.
Expansion of new records series should be commenced only after steps 1— 4 have been
completed, and then done in compliance with policies and procedures (e.g. develop a
document imaging plan first.)
It should be noted that Planning has been preparing files for scanning (by deleting drafts
and photocopies from their files).
BPR-3, Step 6. Provide an Annual Training Program. Cost Esfimate: None - Use
Infernal Labor
New employees, as well as current employees will always need "refreshers", and
improvements in their skills will reap many efficiency improvements.
After the initial user training recommended in Step 3, user training can be provided by City
Clerk personnel visiting every department, or in groups with demonstrations using a
computer and LCD monitor.
On-going, individual training should be provided to any employee that demonstrates a need
by the City Clerk's staff throughout the year.
It is typical that areas for system improvement are identified during these training sessions,
and a list should be kept of these issues and improvements, and then implemented with the
advice of the vendor and/or GGS.
Recommendation BPR-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department (Priority 1) — Savings: Software Maintenance Cosfs of Munimetrix, Internal
Labor Savings
Provided Recommendation BPR-x (improvement of the Questys system) is implemented, the
expenses associated with microfilming, indexing the microfilmed records, and performing data
entry / legislative history tracking in the Munimetrix system can be discontinued.
Questys must be implemented so that it fully replaces the functionality of these two systems
before they are discontinued.
Recommendation BPR-5: Develop Clear Responsibilities, Policies and Procedures for
the Records Storage Room (Priority 1) — Cost Esfimate $480"
Clear roles and responsibilities, including overall management and oversight of the room should
be established, so that departments know what records are stored in what boxes. This
recommendation includes developing policies and procedures based upon "Best Practices" of
11 Includes policies, procedures, and one-half day on site.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 14
municipal and commercial records storage areas, without significant investments in software or
systems.
In addition, a separate area for surplus equipment and/or decorations and supplies should be
provided that is adequate to store surplus computer equipment, chairs, desks, etc.
When the capacity of the shelving is exceeded, departments should be instructed use All-Valley
Document Storage.
Recommendation BPR-6: Develop Efficient Destruction Procedures, Train Employees,
and Conduct "Free the Files" Days (Priority 1) — Cost Esfimate for services $96012 (Net Cost
could be $0, offset by savings from records sfored at All-Valley Document Storage)
Following the adoption of the revised records retention schedules, and development of
Responsibilities, Policies and Procedures for the Records Storage Room, records no longer
required to conduct business can be destroyed.
This recommendation includes developing policies and procedures to destroy the paper version
of records after they have been imaged, ensuring full legal compliance with California State law.
It is important that an efficient procedure to destroy original records with checks and balances is
established by the City to ensure employees are destroying original records in accordance with
various laws, and that employees be fully trained.
The cost of this recommendation includes GGS developing the destruction procedures and
forms, providing employee training and assisting employees on site to ensure they are
maximizing their productivity, and GGS's assistance for one full day on site to ensure records
are properly destroyed and/or organized. City employees would properly destroy, label, and
reorganize records managed by their own departments, including those stored in the Records
Storage Room and All-Valley Document Storage.
Recommendation BPR-7: Provide a Robust Records Management Manual and Training
Program for Representatives from All Departments (priority 2) — Esfimated Cosf: $4,90013
Building upon Palm Desert's existing program, a new Citywide records management manual
should be written in an interactive manner with employees, providing a high level of ownership,
education and skill within Palm Desert staff. The manual will provide training for staff on Palm
DeserYs records management systems, policies and industry-standard practices, including the
Public Records Act. The following subjects are proposed to be included:
•Program overview and structure (responsibilities)
•What records are accessible to the public, and the Public Records Act, Procedures
•Electronic Records and e-mail
•Filing Pracedures
•Policies and Procedures for Inactive Records Storage
•Inventories
12 Includes policies, procedures, and employee training provided by GGS; all travel expenses and one full day on-site.
13 Includes Records Management Manuals (1 for each department suitable for additional reproduction), five 2 hour
training meetings, Training Certificates for Attendees.
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 15
•Records Retention
•Filing Equipment & Off-site storage
•Disaster Recovery
•Document Imaging Policies (basic guidelines)
•Records Disposal
•Glossary
•Forms
•Listing of records exempt from public disclosure
Five 2-hour training meetings will be held, suitable for Citywide participation (which is
recommended, using Records Coordinators designated by each department). Agendas and
drafts will be presented to the City Clerk in advance of the meetings allowing them to review and
make changes as desired. All necessary forms will be developed interactively with Palm
Desert's staff.
Certificates for completing the Records Management Course will be presented to all employees
attending the training sessions.
This recommendation is designed to solve several unmet needs, including policies and
procedures for inactive records, filing systems, electronic records and e-mail, etc.
Recommendation BPR-8. Consider a City-wide Computerized File Tracking / Color-
Coded Labeling Program (priority 4) — Estimated Cost: unknown
Some departments are not using color-coded labels at all; some departments are using the
"press-on" color labels, and some departments have a computerized color-coded labeling
system.
These systems can provide complete records life-cycle tracking systems (for paper files), not
only creating the color-coded label with bar codes, but enabling staff to track the existence and
locations of file folders that have been created within the system, including after they have been
sent to All-Valley Document Storage (commercial off-site storage), and using the system to
facilitate destruction after their retention periods have expired.
If the software is common to all departments, and all departments use the software for all file
folders, it can provide searching capability through active records stored in departments to
assist with records research needed by internal staff, public record acts or litigation discovery, in
addition to creating detailed indexes of records stored at All-Valley Document Storage.
The disadvantages of centralized software include ongoing training, software maintenance,
labor, and administrative support costs.
Palm Desert Records Management Needs Assessment - December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 16
BRR-1: Do Not Invest in Physical Plant Improvements
BPR-2: Update City-wide Records Retention Schedules
BPR-3: Develop Policies, Procedures, Plans and Standards for the
Questys EDMS System
BPR-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department
BPR-5: Develop Clear Responsibilities, Policies & Procedures for the
Records Storage Room
BPR-6: Develop Efficient Destruction Procedures, Train Employees,
Conduct "Free the Files" Days
BPR-7: Provide a Robust Records Management Manual and Training
Program for Representatives from All Departments
BPR-8: Consider a City-wide Computerized File Tracking / Color Coded
Labeling Program
TOTAL COST: BEST PRACTICES OPTION
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516
1
1
1
1
1
1
2
4
(significant cost
avoidance)
$7,800
$4,440 +
$35,000
annually
(savings)
$480
$960
$4,900
unknown
$18,580 +
$35,000
annually
17
Please read the Besf Practices Option fo provide context to these options.
Recommendation LCO-1: Do Not Invest In Physical Plant Improvements (Priority 1) —
Significant Cost Avoidance
This recommendation remains unchanged from the Best Practices Option.
Recommendation LCO-2: Update City-wide Records Retention Schedules (Priority 1) —
Cost Estimate - Two Days onsife (recommended): $7,80014
It would be very expensive to develop the expertise to perform this in-house, or have an
attorney develop this. This recommendation remains unchanged from the Best Practices
Option, as it is the least cost option (other than remain with the status quo, which is not
recommended.)
Recommendation LCO-3: Develop Policies, Procedures, Plans and Standards for the
Questys EDMS System (Priority 1) — Cost Estimate: $4,440 +$35,000 annually (see below)
See the Best Practices Option for more information.
LCO-3, Step 1. Develop Citywide Document Imaging Policies and Procedures,
Including Written Naming Conventions and Standards for Existing Applications Cost
Estimate: $0 (developed by in-house employees)
The City would forgo discussing / incorporating "Best Practices" from other Cities.
LCO-3, Step 2. Develop Document Imaging Plans / Action Plans for Departments Cost
Esfimate: $0 (developed by in-house employees)
The City would forgo discussing / incorporating "Best Practices" from other Cities.
LCO-3, Step 3. Provide City-Wide Training Program. Cost Estimate: $0 (provided by in-
house employees)
LCO-3, Step 4. Hire a Full-Time Imaging Clerk Cost Estimate: $35,000 / year
This recommendation remains unchanged from the Best Practices Option.
An alternative would be not to allow departments to send out any outsource scanning until
their backlogs are caught up, and control the quantity of outsourcing that is done so that
each department is complete their projects in a timely manner.
141ncludes meetings with each department, Records Retention Schedules for each department, one retention
schedule for records common to all departments, agenda staff report, resolution, detailed index to schedules (a total
of two days on-site).
Palm Desert Records Management Needs Assessment — December, 2005
�02005 Gladwell Governmental Services, Ina (909) 3373516 � 8
LCO-3, Step 5. After all Current Departments' Imaging Projects are Up-to-Date,
Expand Program to Other Departments . Cost Estimate: None - Use Internal Labor
This recommendation remains unchanged from the Best Practices Option.
LCO-3, Step 6. Provide an Annual Training Program. Cost Estimate: None - Use
Internal Labor
This recommendation remains unchanged from the Best Practices Option.
Recommendation LCO-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department (Priority 1) — Savings: Software Maintenance Costs of Munimefrix, Internal
Labor Savings
This recommendation remains unchanged from the Best Practices Option.
Recommendation LCO-5: Develop Clear Responsibilities, Policies and Procedures for
the Records Storage Room (Priority 1) — Cost Estimate $0 (developed by internal employees)
The City would forgo discussing / incorporating "Best Practices" from other Cities.
Recommendation LCO-6: Develop Clear Destruction Procedures, Train Employees, and
Conduct "Free the Files" Days (Priority 1) — Cost Estimate $0 (developed by internal
employees)
The City would forgo discussing / incorporating "Best Practices" from other Cities.
Recommendation LCO-7: Provide a Robust Records Management Manual and Training
Program for Representatives from All Departments (priority 2) — Cost Estimate $0
(developed and conducted by internal employees)
The City would forgo discussing / incorporating "Best Practices" from other Cities.
Recommendation LCO-8. Do Not Consider a City-wide Computerized File Tracking /
Color-Coded Labeling Program (priority 4) — Estimated Cost: $0
Continuing with the Status Quo does not have significant negative impacts.
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 19
LCO-2: Update City-wide Records Retention Schedules
LCO-3: Develop Policies, Procedures, Plans and Standards for the
Questys EDMS System
LCO-4: Discontinue Microfilming and Indexing Records in the City
Clerk's Department
LCO-5: Develop Clear Responsibilities, Policies & Procedures for the
Records Storage Room
LCO-6: Develop Clear Destruction Procedures, Train Employees,
Conduct "Free the Files" Days
LCO-7: Provide a Robust Records Management Manual and Training
Program for Representatives from All Departments
LCO-8: Do Not Consider a City-wide Computerized File Tracking / Color
Coded Labeling Program
TOTAL COST: LEAST COST OPTION
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516
1 $7,800
$0
1 + $35,000
annually
1 (savings)
1 $0
1 $0
2 $0
4 $0
$7,800 +
$35,000
annually
�
PERSONNEL, APPROACH and METHODOLOGY
CONSULTING SERVICES
Gladwell Governmental Services, Inc
DIANE R. GLADWELL, CMC
The principal, who has no vendor affiliations, performs all consulting work. 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 also assures the highest quality work.
The consultant will 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 Palm Desert 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 Palm Desert during the course of the project. Palm
Desert 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
Palm Desert apprised of the work progress.
The consultant will provide the computer facilities, forms and equipment necessary to complete
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 Palm Desert staff for information.
Palm Desert Records Management Needs Assessment — December, 2005
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QUALIFICATIONS
SUMMARY
Diane R. Gladwell is a Certified Municipal Clerk with over twenty 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 80 organizations, including AIIM, ARMA and COMDEX.
PROFESSIONAL BACKGROUND
Gladwell Governmental Services, Inc. 1989 to present
President
Clients have included over 100 California cities, special districts, and counties; 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:
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.
5. Elections Management.
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 emergencies (Glendale fire, storm damage). Supervised a
staff of nine who serve a culturally diverse community.
Developed, implemented, and administrated a Citywide records management program based on optical
disk technology which has received international, national and state awards for exceptional records
management programs.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 22
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, International)
PresidenYs Award of Distinction for Excellence in Organization and Administration;
City Clerks Association of Califomia (CCAC)
Records Management Award for Exceptional Municipal Programs Utilizing Alternative Technologies;
International Institute of Municipal Clerks (IIMC)
PresidenYs Award for Excellence in Public Presentations and Published Articles;
City Clerks Association of California (CCAC);
Rotary, International, Lake Arrowhead Club: Special Service Award ("Old Fire" Sticker Project
which raised over $20,000 for fire victims)
(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 in Executives and 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)
Washington State Clerks Association
County of Los Angeles
Government Technology Conference
Author: Document Imaqinq
Efficient Filinp
Fundinq Records Manaqement Proiects
Elections Manaqement and Performance Measurement
Various articles published by ARMA, ICMA, IIMC and NAGARA
MEMBERSHIPS
ARMA, International (Association for Information Management Professionals)
California Association of Clerks and Elections Officials
California Special Districts Association
City Clerks Association of California (Past First Vice President, Past Second Vice President)
Palm Desert Records Management Needs Assessment — December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 23
International Institute of Municipal Clerks (Past Chair, Resource Committee, Membership Task Force)
Palm Desert Records Management Needs Assessment - Decembe�, 2005
002005 Gladwell Governmental Services, Inc. (909) 3373516 2�}
APPENDIX A
DOCUMENT IMAGING LAWS
CALIFORNIA GOVERNMENT CODE EXCERPT (2005)
34090.5. Notwithstanding the provisions of Section 34090, the City officer having custody of public
documents, instruments, books, and papers, without the approval of the legislative body or the written
consent of the City attorney, cause to be destroyed any or all of the records, documents, instruments,
books, and papers, if all of the following conditions are complied with:
(a) The record, paper, or document is photographed, microphotographed, reproduced by electronically
recorded video images on magnetic surfaces, recorded in the electronic data processing system,
recorded on optical disk, reproduced on film or any other medium that is a trusted system and that does
not qermit additions, deletions, or chanaes to the oriqinal document, or reproduced on film, optical disk, or
any other medium in compliance with Section 12168.7 for recording of permanent records or
nonpermanent records.
(b) The device used to reproduce the record, paper, or document on film, optical disk, or any other
medium is one which accurately and legibly reproduces the original thereof in all details and that does not
permit additions, deletions, or changes to the original document images.
(c) The photographs, microphotographs, or other reproductions on film, optical disk, or any other medium
are made as accessible for public reference as the original records were.
(d) A true copy of archival quality of the film, optical disk, or any other medium reproductions shall be kept
in a safe and separate place for security purposes. However, no page of any record, paper, or
document shall be destroyed if any page cannot be reproduced on film with full legibility. Every
unreproducible page shall be permanently preserved in a manner that will afford easy reference. For
the purposes of this section, every reproduction shall be deemed to be an original record and a transcript,
exemplification, or certified copy of any reproduction shall be deemed to be a transcript, exemplification,
or certified copy, as the case may be, of the original.
12168.7. (a) The California Legislature hereby recognizes the need to adopt uniform statewide standards
for the purpose of storing and recording permanent and nonpermanent documents in electronic media.
(b) In order to ensure that uniform statewide standards remain current and relevant, the Secretary of
State, in consultation with the Department of General Services, shall approve and adopt appropriate
standards established by the American National Standards Institute or the Association for Information and
Image Management.
(c) The standards specified in subdivision (b) shall include a requirement that a trusted system be
utilized. For this purpose and for purposes of Sections 25105, 26205, 26205.1, 26205.5, 27322.2,
34090.5, and 60203, Section 102235 of the Health and Safety Code, and Section 10851 of the Welfare
and Institutions Code, "trusted system" means a combination of techniques, policies, and procedures for
which there is no plausible scenario in which a document retrieved from or reproduced bv the system
could differ substantiallv from the document that is oriqinallv stored.
(d) In order to develop statewide standards as expeditiously as possible, and until the time that
statewide standards are adopted pursuant to subdivision (b), state officials shall ensure that microfilming,
electronic data imaging, and photographic reproduction are done in compliance with the minimum
standards or cauidelines, or both, as recommended bv the American National Standards Institute or the
Association for Information and Ima4e Manaaement for recordinq of permanent records or nonpermanent
records.
ANSI/AIIM EXCERPT
"Proper scanning and quality control procedures are consequently essential to ensure that the digitized
images represent true copies of the original documents. To be considered a true copy, a digitized image
must contain all significant details from the original and must be an adequate substitute for the original
document for all purposes for which to the document was created or maintained."
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 2r'J
"At a minimum level, such (quality control) procedures involve the following:
• Visually inspecting digitized document images
• Testing and adjusting the scanner
• Verifvinq the imaqe recordinq
• Verifvina the index data"
Palm Desert Records Management Needs Assessment - December, 2005
02005 Gladwell Governmental Services, Inc. (909) 337-3516 26
APPENDIX B
OPEN SHELF FILING SYSTEM AUTHORITIES
Filing Cabinet Comparison Chart:
Type of Space Fast High Growth Attractive Secure Cost
Equipment Efficiency Access Capacity Manage-
ment
Drawers I I I
Shelves
Dual Units
Sliding Units
Compressed
Mobile
Shelving
Excellent Average Poor
Source: Balough, Ann, Records & Information Management Report, November, 1999
�:�m,�,����u. r.
g��,�j,
S.
Advantages of open shelf files are15:
5. Retrieval may be 40% faster and refiling approximately 50% faster
6. Errors are reduced, primarily due to color coding
7. The cost of shelving is lower (approximately 1/4 of traditional filing cabinets)
8. Open-shelf filing requires less than half as much floor and aisle space as traditional filing
cabinets
15 Mims III, Julian L.. Records Management: A Practical Guide for Cities and Counties. Washington, DC:
International City/County Management Association, 1996.
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 2%
Mechanized Shelving / Compressed Mobile Units
Advantages: Provides the maximum folder capacity in the smallest space; can double or triple
your storage capacity.
Disadvantages: Requires file folders be converted to end-tabbed (typically color-coded) labels.
Very heavy systems; requires adequate floor load limits in the building. Because employees
have to take the time to roll shelving out of the way, these systems are more inconvenient to file
and retrieve files. Additionally, files can be retrieved or filed from only one section at a time (e.g.
You couldn't have one person filing in one area, another person retrieving files from another.
One person would have to wait for another to complete their filing in one section to move the
shelving to expose the files they want.)
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Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 3373516 2$
APPENDIX C
CURRENT RETENTION SCHEDULES
Palm Desert Records Management Needs Assessment — December, 2005
002005 Gladwell Governmental Services, Inc. (909) 337-3516 2Q