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HomeMy WebLinkAboutDecentralized Records Mgt�4�15�II I I �IIII�; IIIIIII IIIIIII City Of SZ 1U1S OBISPO C.A.C. SPECIAL REPORT March 20, 1995 Diane Gladwell, City Clerk!lf FROM: SUBJECT: Records Management Program RECOMMENDATION: Re -affirm the decentralized, voluntary Records Management Program for the City of San Luis Obipso. DISCUSSION: To ensure that I am implementing the Records Management Program in the manner approved by the CAO in January of 1994, I would like to provide an update of past work and obtain re -affirmation of the existing work program and/or any additional direction required. PAST WORK PROGRAM With the approval of the CAO and/or Assistant CAO, the following has been accomplished: APPROACH: Voluntary Decentralized Program. Allow departments control over their records and records management programs, while establishing standard practices and procedures and an educational program through Records Coordinators designated in each department. 1/31/94: Meeting with John Dunn, Bill Statler and Lori Atwater: .Approval received for approach, Records Coordinators concept and responsibilities, records management program tasks (Pert Charts) and approved CIP acquisition. 2/16/94: Kick-off Meeting with Department Heads and Records Coordinators 3/16/94: Records Coordinator Meeting: *Review needs assessment for optical disk (City Attorney, Personnel, Police and Administration chose not to participate in Optical Disk Needs Assessment) .Revise first draft of Records Management Manual 3/23/94: On -Site Needs Assessment Review: Recreation 3/24/94: On -Site Needs Assessment Review: Finance 3/28/94: On -Site Needs Assessment Review: Community Development 3/29/94: On -Site Needs Assessment Review: Utilities 4/1/94: On -Site Needs Assessment Review: Fire 4/6/94: On -Site Needs Assessment Review: Public Works 4/15/94: Needs Assessment Compiled 4/22/94: Purchase of Questys optical disk software (retail: $7,000 Purchased: $700) 7/6/94: Records Coordinator Meeting: •Revise second draft of Records Management Manual .Demonstration and questions for Questys optical disk system 7/29/94: Agreement with Questys rejected; determination to use RFP process 8/31/94: RFP approved by: •Records Coordinators •MIS Steering Committee • Peat -Marwick •CAO Report Process 10/12/94: Three bids evaluated by MIS Steering Committee and Records Coordinators 12/14/94: MIS Steering Committee rejects all bids and recommends deferral of the acquisition of a document imaging system until after the completion of the MIS Master Plan CURRENT STATL]S .Records Management Manual complete, but not issued in its final form pending development of the optical disk chapter. •Microfilming of City Clerk records has been resumed due to concerns about a two- year gap for critical documents. Microfilming had been discontinued in anticipation of the installation of optical disk system. •RFP has been re -submitted to Peat Marwick, who has recommended $70,000 in funding for the optical disk project, rather than the $35,000 currently approved in the current Capital Improvement Plan. All action is deferred until completion of the MIS Master Plan. ALTERNATIVES As stated earlier, Peat -Marwick has recommended increasing the funding for the optical disk system. I have not addressed the alternatives for this system, which is a tool used to effectively manage records, in this CAO Report. The following alternatives address only the administration of the Records Management Program for San Luis Obispo. A) Continue with approved program (recommended) 1) With City Clerk as the lead, continue to implement records management program on a voluntary, decentralized basis through Records Coordinators designated by departments. 2) City Clerk Department: With the conclusion of reorganization of support services, the municipal election and transition to the new Council, significant progress is expected in the completion of the records inventory and retention schedule for City Clerk Department. 3) Records Management Manual: Wait for optical disk implementation to issue this manual in final form. The Records Coordinators participated in the writing of this manual; all have the manual in draft form. FISCAL IMPACT: Maintain current level. B) Alternative A; issue Records Management Manual immediately and continue Records Coordinators training, omitting optical disk chapter. FISCAL IMPACT: Maintain current level. C) Pursue a "mandatory" records management program, with more requirements placed upon Departments for implementation and compliance with standards. This would result in a higher level of program implementation in the organization. FISCAL IMPACT: Increase labor expenses slightly in some departments. D) Pursue a "centralized/voluntary" records management program, with a Records Center to store and retrieve inactive records from departments, at the choice of the department. This will result in a higher level of program implementation throughout the organization than other options listed above. FISCAL IMPACT: Estimated additional appropriation in City Clerk Department: $45,000 (labor, space and equipment) annually. Unknown labor and space savings in other departments. E) Pursue a "centralized/mandatory" records management program, with a Records Center to store and retrieve inactive records from all departments. This will result in a higher level of program implementation throughout the organization than other options listed above. FISCAL IMPACT: Estimated additional appropriation in City Clerk Department: $85,000 annually. Unknown labor and space savings in other departments. ATTACHMENTS: Agenda from 1/31/94 Meeting Memorandum dated 2/2/94 to Management Team Memorandum dated 3/16/94 to Records Coordinators Approved Project Pert Chart Draft Records Management Manual CA© REPORT TRAM MITTAL This form should be completed in legible handwriting. Date Received PURPOSE (Check one—see reverse side for required documentation) S-/10- ?S - Admin Use Only - ED Authorize Invitation for Bids (IFB) or Request for Proposals (RFP) After CAO approval, the City Clerk will return the original submittal package to the initialing department and publish the notice inviting bids or requesting proposals. Printing and distributing the IFB or RFP package to prospective bidders is the responsibility of the initiating department. Recommended Vendor [- Award Contract F_ After CAO approval, the City Clerk will make two (2) copies of the complete transmittal (excluding the proposed agreement and the bidder's proposal if it is a large, separately bound document) and distribute as follows: original to be retained by the City Clerk; one (1) copy to Finance; and one (1) copy to the initiating department. Are there any special award circumstances? Yes No El Ifycs, a CAOReport describing them should be attached Other Action Requiring CAO Approval (See reverse side for description) The initiating department should indicate in this space the appropriate distribution after CAO approval. l ie&jrttyot l i70 V t Ymn vV '?. a�i�LJ REQUEST SUMMARY Re rt Title % �y,,,, specilication r4o.- �r°-- City Engineer Assists Q Personnel it dmin r,*ati4 PfQccr hate Initiatin De artment Department Mad A royal. Transmittal D to hinaneial n Reference B et Bid ldstianatc Bid Amount * All formal IFB or RFPpackages must be assigned a specification number by the City Clerk's Office before submitting this form. APPRCIVAI.0 fVhnnk- appropriate box if review is required—see reverse side for guidancc) Departmentof. itinan % �y,,,, Department of: City Attor a w City Engineer Assists Q Personnel it dmin r,*ati4 PfQccr hate Routing will occur in the order listed unless otherwise n ed by the initiating d partment. REVIEWER UUMMEN 1J Ct't 4-1.1kt usc-1--Il or RFP aekagcs and contracts f►uacn auuuiunai saxes as Reccved By Date Tile Ref No. - Cit Clerk Date INSTRUCTIONS See Section 735of the Financial Management Manual for complete guidelines for preparing and processing CAO Reports. AUTHORIZE IFB OR RFP PROCESS — ItI?QUI RED ATTACHMENTS s CAO Report authorizing invitation forbids or request for proposals process Bidders list Invitation for bids (IFB) or request for proposal (RFP) package See Section 250 of the Financial Management Manual for information regarding the City's standard H-13 and RFP documents. • Check box if required documentation is attached AWARD CONTRACT — REQUIRED ATTACHMENTS FE -:1 Summary matrix of bids or proposals received L—J Original of the bidder's proposal document Return original of all unsuccessful proposals directly to the City Clerk's Office Original of the proposed agreement Copy of CAO or Council Agenda Report originally authorizing IFB or RFP process Budget Amendment Request form This may nor be required for operating expenditures such as supplies, equipment, or operating & maintenance services where sufficient budgetary authorization for the purchase already exists. CAO Report describing special award circumstances This memorandum is ONLY required when there are special circumstances regarding the recommended contract award. Generally, this would include: any recommended award that is not based on the lowest cost proposal received oris in excess of the approved bid estimate; waivers in bid requirements,; rejection of bids; and RFP approaches to the purchasing process. ' Check box if required documentation is attached DESCRIPTION OF OTHER ACTIONS REQUIRING CAO APPROVAL • Organizational changes and any related reclassifications • Requests to fill vacant positions if "hiring freeze" is in place • Budget requests such as the use of ventures & contingencies or operating program carry- • Other significant management or policy decisions GUIDE FOR WHEN DEPARTMENTAL REVIEW IS USUALLY REQUIRED Other Operating Departments City Engineer Personnel Finance City Attorney Assistant CAO and CAO ■►- Two spaces are provided for the concurrence of other departments affected by the recommended action *- Construction projects ■F- Actions that affect staffing, labor relations, or deviate from standard insurance requirements ■O- Requests that affect the City's financial condition, revenues, budge t appropria tions, or p urchasingprocedures W Contracts & otheractions with significant legal implications W All CAO Reports