HomeMy WebLinkAboutC-4515 - PSA for City-wide Record Retention Schedule ServicesPROFESSIONAL SERVICES AGREEMENT WITH
GLADWELL GOVERNMENT SERVICES, INC. (GGS)
FOR CITY -WIDE RECORDS RETENTION SCHEDULE SERVICES
IS AGREEMENT is made and entered into as of this Ilfn day of
, 2010, by and between the CITY OF NEWPORT BEACH, a
California Municipal Corporation ( "City "), and Gladwell Government Services, Inc.
(GGS), a California Corporation whose address is 1028 Tirol Lane, Lake Arrowhead,
California, 92352 ( "Consultant "), and is made with reference to the following:
RECITALS
A. City is a municipal corporation duly organized and validly existing under the laws
of the State of California with the power to carry on its business as it is now
being conducted under the statutes of the State of California and the Charter of
City.
B. City is planning to update the City -wide Record Retention Schedule.
C. City desires to engage Consultant to review all records retention schedules and
bring them current with changes in law, court cases, and technology
advancements, and conduct a City -wide training meeting to discuss the records
retention schedule update and process, how to use the records retention
schedules, and the process to destroy records ( "Project").
D. Consultant possesses the skill, experience, ability, background, certification and
knowledge to provide the services described in this Agreement.
E. The principal member of Consultant for purposes of Project, shall be Diane R.
Gladwell.
F. City has solicited and received a proposal from Consultant, has reviewed the
previous experience and evaluated the expertise of Consultant, and desires to
retain Consultant to render professional services under the terms and conditions
set forth in this Agreement.
NOW, THEREFORE, it is mutually agreed by and between the undersigned parties as
follows:
1. TERM
The term of this Agreement shall commence on the above written date, and shall
terminate on the 31st day of December, 2010, unless terminated earlier as set forth
herein.
2. SERVICES TO BE PERFORMED
Consultant shall diligently perform all the services described in the Scope of Services
attached hereto as Exhibit A and incorporated herein by reference. The City may elect
to delete certain tasks of the Scope of Services at its sole discretion.
3. TIME OF PERFORMANCE
Time is of the essence in the performance of services under this Agreement and the
services shall be performed to completion in a diligent and timely manner. The failure
by Consultant to perform the services in a diligent and timely manner may result in
termination of this Agreement by City.
Notwithstanding the foregoing, Consultant shall not be responsible for delays due to
causes beyond Consultant's reasonable control. However, in the case of any such
delay in the services to be provided for the Project, each party hereby agrees to provide
notice to the other party so that all delays can be addressed.
3.1 Consultant shall submit all requests for extensions of time for
performance in writing to the Project Administrator not later than ten (10)
calendar days after the start of the condition that purportedly causes a
delay. The Project Administrator shall review all such requests and may
grant reasonable time extensions for unforeseeable delays that are
beyond Consultant's control.
3.2 For all time periods not specifically set forth herein, Consultant shall
respond in the most expedient and appropriate manner under the
circumstances, by either telephone, fax, hand - delivery or mail.
4. COMPENSATION TO CONSULTANT
City shall pay Consultant for the services on a time and expense not -to- exceed basis in
accordance with the provisions of this Section and the Billing Rates attached hereto as
Exhibit B and incorporated by reference. Consultant's compensation for all work.
performed in accordance with this Agreement, including all reimbursable items and
subcensultant fees, shall not exceed One Thousand Four Hundred Forty Dollars and
no /100 ($1,440.00) without prior written authorization from City. No billing rate changes
shall be made during the term of this Agreement without the prior written approval of
City.
4.1 Consultant shall submit a final invoice to City upon completion of project
describing the work performed and all deliverables. Consultant's bills
shall include the name of the person who performed the work, a brief
description of the services performed and/or the specific task in the Scope
of Services to which it relates, the date the services were performed, the
number of hours spent on all work billed on an hourly basis, and a
description of any reimbursable expenditures. City shall pay Consultant
no later than thirty (30) days after approval of the invoice by City staff.
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4.2 City shall reimburse Consultant only for those costs or expenses
specifically approved in this Agreement, or specifically approved in writing
in advance by City. Unless otherwise approved, such costs shall be
limited and include nothing more than the following costs incurred by
Consultant:
A. The actual costs of subconsultants for performance of any of the
services that Consultant agrees to render pursuant to this
Agreement, which have been approved in advance by City and
awarded in accordance with this Agreement.
B. Approved reproduction charges.
C. Actual costs and /or other costs and /or payments specifically
authorized in advance in writing and incurred by Consultant in the
performance of this Agreement.
4.3 Consultant shall not receive any compensation for Extra Work performed
without the prior written authorization of City. As used herein, "Extra
Work" means any work that is determined by City to be necessary for the
proper completion of the Project, but which is not included within the
Scope of Services and which the parties did not reasonably anticipate
would be necessary at the execution of this Agreement. Compensation
for any authorized Extra Work shall be paid in accordance with the
Schedule of Billing Rates as set forth in Exhibit B.
5. ' PROJECT MANAGER
Consultant shall designate a Project Manager, who shall coordinate all phases of the
Project. This Project Manager shall be available to City at all reasonable times during
the Agreement term. Consultant has designated DIANE R. GLADWELL to be its
Project Manager. Consultant shall not remove or reassign the Project Manager or any
personnel listed in Exhibit A or assign any new or replacement personnel to the Project
without the prior written consent of City. City's approval shall not be unreasonably
withheld with respect to the removal or assignment of non -key personnel.
Consultant, at the sole discretion of City, shall remove from the Project any of its
personnel assigned to the performance of services upon written request of City.
Consultant warrants that it will continuously fumish the necessary personnel to
complete the Project on a timely basis as contemplated by this Agreement.
6. ADMINISTRATION
This Agreement will be administered by the Office of the City Clerk. City Clerk
Leilani I. Brown, or her designee shall be the Project Administrator and shall have the
authority to act for City under this Agreement. The Project Administrator or his/her
authorized representative shall represent City in all matters pertaining to the services to
be rendered pursuant to this Agreement.
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7. CITY'S RESPONSIBILITIES
To assist Consultant in the execution of its responsibilities under this Agreement, City
agrees to, where applicable:
A. Provide access to, and upon request of Consultant, one copy of all
existing relevant information on file at City. City will provide all such materials
in a timely manner so as not to cause delays in Consultant's work schedule.
8. STANDARD OF CARE
8.1 All of the services shall be performed by Consultant or under Consultant's
supervision. Consultant represents that it possesses the professional and
technical personnel required to perform the services required by this
Agreement, and that it will perform all services in a manner
commensurate with community professional standards. All services shall
be performed by qualified and experienced personnel who are not
employed by City, nor have any contractual relationship with City. By
delivery of completed work, Consultant certifies that the work conforms to
the requirements of this Agreement and all applicable federal, state and
local laws and the professional standard of care.
8.2 Consultant represents and warrants to City that it has, shall obtain, and
shall keep in full force in effect during the term hereof, at its sole cost and
expense, all licenses, permits, qualifications, insurance and approvals of
whatsoever nature that is legally required of Consultant to practice its
profession. Consultant shall maintain a City of Newport Beach business
license during the term of this Agreement.
8.3 Consultant shall not be responsible for delay, nor shall Consultant be
responsible for damages or be in default or deemed to be in default by
reason of strikes, lockouts, accidents, or acts of God, or the failure of City
to furnish timely information or to approve or disapprove Consultant's
work promptly, or delay or faulty performance by City, contractors, or
governmental agencies.
9. HOLD HARMLESS
To the fullest extent permitted by law, Consultant shall indemnify, defend and hold
harmless City, its City Council, boards and commissions, officers, agents, volunteers,
and employees (collectively, the "Indemnified Parties ") from and against any and all
claims (including, without limitation, claims for bodily injury, death or damage to
property), demands, obligations, damages, actions, causes of action, suits, losses,
judgments, fines, penalties, liabilities, costs and expenses (including, without limitation,
attorney's fees, disbursements and court costs) of every kind and nature whatsoever
(individually, a Claim; collectively, "Claims "), which may arise from or in any manner
relate (directly or indirectly) to any breach of the terms and conditions of this
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Agreement, any work performed or services provided under this Agreement including,
without limitation, defects in workmanship or materials or Consultant's presence or
activities conducted on the Project (including the negligent and/or willful acts, errors
and /or omissions of Consultant, its principals, officers, agents, employees, vendors,
suppliers, consultants, subcontractors, anyone employed directly or indirectly by any of
them or for whose acts they may be liable or any or all of them).
Notwithstanding the foregoing, nothing herein shall be construed to require Consultant
to indemnify the Indemnified Parties from any Claim arising from the sole negligence or
willful misconduct of the Indemnified Parties. Nothing in this indemnity shall be
construed as authorizing any award of attorney's fees in any action on or to enforce the
terms of this Agreement. This indemnity shall apply to all claims and liability regardless
of whether any insurance policies are applicable. The policy limits do not act as a
limitation upon the amount of indemnification to be provided by the Consultant.
10. INDEPENDENT CONTRACTOR
It is understood that City retains Consultant on an independent contractor basis and
Consultant is not an agent or employee of City. The manner and means of conducting
the work are under the control of Consultant, except to the extent they are limited by
statute, rule or regulation and the expressed terms of this Agreement. Nothing in this
Agreement shall be deemed to constitute approval for Consultant or any of Consultant's
employees or agents, to be the agents or employees of City. Consultant shall have the
responsibility for and control over the means of performing the work, provided that
Consultant is in compliance with the terms of this Agreement. Anything in this
Agreement that may appear to give City the right to direct Consultant as to the details of
the performance or to exercise a measure of control over Consultant shall mean only
that Consultant shall follow the desires of City with respect to the results of the services.
11. COOPERATION
Consultant agrees to work closely and cooperate fully with City's designated Project
Administrator and any other agencies that may have jurisdiction or interest in the work
to be performed. City agrees to cooperate with the Consultant on the Project.
12. CITY POLICY
Consultant shall discuss and review all matters relating to policy and Project direction
with City's Project Administrator in advance of all critical decision points in order to
ensure the Project proceeds in a manner consistent with City goals and policies.
13. PROGRESS
Consultant is responsible for keeping the Project Administrator and /or his /her duly
authorized designee informed on a regular basis regarding the status and progress of
the Project, activities performed and planned, and any meetings that have been
scheduled or are desired.
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14. INSURANCE
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 satisfactory to City.
A. 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. 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.
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 agents, representatives, employees or
subconsultants. The cost of such insurance shall be included in
Consultant's bid.
B. 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.
C. Coverage Requirements.
L Workers' Compensation Coverage. Consultant shall maintain
Workers' Compensation Insurance (Statutory Limits) and
Employer's Liability Insurance (with limits of at least one million
dollars ($1,000,000)) for Consultant's employees in accordance
with the laws of the State of California, Section 3700 of the Labor
Code In addition, Consultant shall require each subcensultant to
similarly maintain Workers' Compensation Insurance and
Employer's Liability Insurance in accordance with the laws of the
State of California, Section 3700 for all of the subconsultant's
employees.
Any notice of cancellation or non - renewal of all Workers'
Compensation policies must be received by City at least thirty (30)
calendar days (ten (10) calendar days written notice of non-
payment of premium) prior to such change.
Consultant shall submit to City, along with the certificate of
insurance, a Waiver of Subrogation endorsement in favor of City,
its officers, agents, employees and volunteers.
ii. General Liability Coverage. Consultant shall maintain commercial
general liability insurance in an amount not less than one million
dollars ($1,000,000) per occurrence for bodily injury, personal
injury, and property damage, including without limitation, blanket
contractual liability.
iii. Automobile Liability Coverage. Consultant shall maintain
automobile insurance 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.
iv. Professional Liability (Errors & Omissions) Coverage. Consultant
shall maintain professional liability insurance that covers the
services to be performed in connection with this Agreement, in the
minimum amount of one million dollars ($1,000,000) limit per claim
and in the aggregate.
D. Other Insurance Provisions or Requirements
The policies are to contain, or be endorsed to contain, the following provisions:
Waiver of Subrogation. All insurance coverage maintained or
procured pursuant to this agreement shall be endorsed to waive
subrogation against City, its elected or appointed officers, agents,
officials, employees and volunteers or shall specifically allow
Consultant or others providing insurance evidence in compliance
with these requirements to waive their right of recovery prior to a
loss. Consultant hereby waives its own right of recovery against
City, and shall require similar written express waivers and
insurance clauses from each of its subConsultants.
ii. Enforcement of Contract Provisions. Consultant acknowledges
and agrees that any actual or alleged failure on the part of the City
to inform Consultant of non - compliance with any requirement
imposes no additional obligations on the City nor does it waive any
rights hereunder.
iii. Requirements not Limiting. Requirements of speck 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. Speck
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
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or insured to be all inclusive, or to the exclusion of other coverage,
or a waiver of any type.
V. Notice of Cancellation. Consultant agrees to oblige its insurance
agent or broker and insurers to provide to City with 30 days notice
of cancellation (except for nonpayment for which 10 days notice is
required) or nonrenewal of coverage for each required coverage.
E. Timely Notice of Claims. Consultant shall give City prompt and timely
notice of claims made or suts instituted that arise out of or result from
Consultant's performance under this Agreement.
F. Additional Insurance. Consultant shall also procure and maintain, at its
own cost and expense, any additional kinds of insurance, which in its own
judgment may be necessary for its proper protection and prosecution of
the work.
15. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS
Except as specifically authorized under this Agreement, the services to be provided
under this Agreement shall not be assigned, transferred contracted or subcontracted
out without the prior written approval of City. Any of the following shall be construed as
an assignment: The sale, assignment, transfer or other disposition of any of the issued
and outstanding capital stock of Consultant, or of the interest of any general partner or
joint venturer or syndicate member or cotenant if Consultant is a partnership or joint -
venture or syndicate or cotenancy, which shall result in changing the control of
Consultant. Control means fifty percent (50 %) or more of the voting power, or twenty-
five percent (25 %) or more of the assets of the corporation, partnership or joint- venture.
16. SUBCONTRACTING
The parties recognize that a substantial inducement to City for entering into this
Agreement is the professional reputation, experience and competence of Consultant.
Assignments of any or all rights, duties or obligations of the Consultant under this
Agreement will be permitted only with the express written consent of City. Consultant
shall not subcontract any portion of the work to be performed under this Agreement
without the prior written authorization of City.
17. OWNERSHIP OF DOCUMENTS
Each and every report, draft, map, record, plan, document and other writing produced
(hereinafter "Documents"), prepared or caused to be prepared by Consultant, its
officers, employees, agents and subcontractors, in the course of implementing this
Agreement, shall become the exclusive property of City, and City shall have the sole
right to use such materials in its discretion without further compensation to Consultant
or any other party. Consultant shall, at Consultant's expense, provide such Documents
to City upon prior written request.
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Documents prepared by Consultant pursuant to this Agreement are not intended or
represented to be suitable for reuse by City or others on any other project. Any use of
completed Documents for other projects and any use of incomplete Documents without
specific written authorization from Consultant will be at City's sole risk and without
liability to Consultant. Further, any and all liability arising out of changes made to
Consultant's deliverables under this Agreement by City or persons other than
Consultant is waived against Consultant and City assumes full responsibility for such
changes unless City has given Consultant prior notice and has received from
Consultant written consent for such changes.
Consultant retains all copyright protections afforded by U.S. Code Title 17, however, in
the event City is requested or required by any provision of State or Federal law;
including, but not limited to the California Public Records Act; interrogatories, requests
for information or documents, subpoena, civil investigation, demand or similar process
to disclose any Copyrighted Documents received pursuant to this Agreement, City shall
make good faith efforts to notify Consultant of such request(s). Further, City shall make
good faith efforts to ensure that Consultant's name and any and all Copyright notices
contained on the Documents are not removed from the Documents produced in
response to such a request. City shall make good faith efforts to ensure Consultant's
work product is not posted in the City's website or distributed by listserve, however, City
may put the Documents on the City's own internal intranet for employee reference.
Nothing in this section shall require the City to defend Consultant's copyright, privacy or
other proprietary interests from release pursuant to any such requests.
18. CONFIDENTIALITY
All Documents, including drafts, preliminary drawings or plans, notes and
communications that result from the services in this Agreement, shall be kept
confidential unless City authorizes in writing the release of information.
19. INTELLECTUAL PROPERTY INDEMNITY
The Consultant shall defend and indemnify City, its agents, officers, representatives
and employees against any and all liability, including costs, for infringement of any
United States' letters patent, trademark, or copyright infringement, including costs,
contained in Consultant's document retention policy provided under this agreement.
20. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed
under this Agreement. Consultant shall maintain complete and accurate records with
respect to the costs incurred under this Agreement and any services, expenditures and
disbursements charged to City, for a minimum period of three (3) years, or for any
longer period required by law, from the date of final payment to Consultant under this
Agreement. All such records and invoices shall be clearly identifiable. Consultant shall
allow a representative of City to examine, audit and make transcripts or copies of such
records and invoices during regular business hours. 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 to Consultant under this
Agreement.
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21. WITHHOLDINGS
City may withhold payment to Consultant of any disputed sums until satisfaction of the
dispute with respect to such payment. Such withholding shall not be deemed to
constitute a failure to pay according to the terms of this Agreement. Consultant shall
not discontinue work as a result of such withholding. Consultant shall have an
immediate right to appeal to the City Manager or his /her designee with respect to such
disputed sums. Consultant shall be entitled to receive interest on any withheld sums at
the rate of return that City earned on its investments during the time period, from the
date of withholding of any amounts found to have been improperly withheld.
22. ERRORS AND
In the event of errors or omissions that are due to the negligence or professional
inexperience of Consultant which result in expense to City greater than what would
have resulted if there were not errors or omissions in the work accomplished by
Consultant, the additional design, construction and /or restoration expense shall be
bome by Consultant. Nothing in this paragraph is intended to limit City s rights under
the law or any other sections of this Agreement.
23. CITY'S RIGHT TO EMPLOY OTHER CONSULTANTS
City reserves the right to employ other Consultants in connection with the Project.
24. CONFLICTS OF INTEREST
The Consultant or its employees may be subject to the provisions of the California
Political Reform Act of 1974 (the "Act "), which (1) requires such persons to disclose any
financial interest that may foreseeably be materially affected by the work performed
under this Agreement, and (2) prohibits such persons from making, or participating in
making, decisions that will foreseeably financially affect such interest.
If subject to the Act, Consultant shall conform to all requirements of the Act. Failure to
do so constitutes a material breach and is grounds for immediate termination of this
Agreement by City. Consultant shall indemnify and hold harmless City for any and all
claims for damages resulting from Consultant's violation of this Section.
25. NOTICES
All notices, demands, requests or approvals to be given under the terms of this
Agreement shall be given in writing, and conclusively shall be deemed served when
delivered personally, or on the third business day after the deposit thereof in the United
States mail, postage prepaid, first -class mail, addressed as hereinafter provided. All
notices, demands, requests or approvals from Consultant to City shall be addressed to
City at:
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Attn: Leilani I. Brown, City Clerk
Office of the City Clerk
City of Newport Beach
PO Box 1768
3300 Newport Boulevard
PO Box 1768
Newport Beach, CA 92658
Phone: 949 -644 -3005
Fax: 949 - 644 -3039
All notices, demands, requests or approvals from CITY to Consultant shall be
addressed to Consultant at:
Attention: Diane R. Gladwell, President
Gladwell Governmental Services, Inc.
1028 Tirol Lane
P.O. Box 62
Lake Arrowhead, CA 92352
Phone: 909 - 337 -3516
Fax: 909 - 337 -3526
26. CLAIMS
The Consultant and the City expressly agree that in addition to any claims filing
requirements set forth in the Contract and Contract documents, the Consultant shall be
required to file any claim the Consultant may have against the City in strict conformance
with the Tort Claims Act (Government Code sections 900 et seq.).
27. TERMINATION
In the event that either party fails or refuses to perform any of the provisions of this
Agreement at the time and in the manner required, that party shall be deemed in default
in the performance of this Agreement. If such default is not cured within a period of two
(2) calendar days, or if more than two (2) calendar days are reasonably required to cure
the default and the defaulting party fails to give adequate assurance of due
performance within two (2) calendar days after receipt of written notice of default,
specifying the nature of such default and the steps necessary to cure such default, and
thereafter diligently take steps to cure the default, the non - defaulting party may
terminate the Agreement forthwith by giving to the defaulting party written notice
thereof.
Notwithstanding the above provisions, City shall have the right, at its sole discretion and
without cause, of terminating this Agreement at any time by giving seven (7) calendar
days prior written notice to Consultant. In the event of termination under this Section,
City shall pay Consultant for services satisfactorily performed and costs incurred up to
the effective date of termination for which Consultant has not been previously paid. On
the effective date of termination, Consultant shall deliver to City all reports, Documents
and other information developed or accumulated in the performance of this Agreement,
whether in draft or final form.
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28. COMPLIANCE WITH ALL LAWS
Consultant shall at its own cost and expense comply with all statutes, ordinances,
regulations and requirements of all governmental entities, including federal, state,
county or municipal, whether now in force or hereinafter enacted. In addition, all work
prepared by Consultant shall conform to applicable City, county, state and federal laws,
rules, regulations and permit requirements and be subject to approval of the Project
Administrator and City.
29. WAIVER
A waiver by either party of any breach, of any term, covenant or condition contained
herein shall not be deemed to be a waiver of any subsequent breach of the same or
any other term, covenant or condition contained herein, whether of the same or a
different character.
30. INTEGRATED CONTRACT
This Agreement represents the full and complete understanding of every kind or nature
whatsoever between the parties hereto, and all preliminary negotiations and
agreements of whatsoever kind or nature are merged herein. No verbal agreement or
implied covenant shall be held to vary the provisions herein.
31. CONFLICTS OR INCONSISTENCIES
In the event there are any conflicts or inconsistencies between this Agreement and the
Scope of Services or any other attachments attached hereto, the terms of this
Agreement shall govern.
32. INTERPRETATION
The terms of this Agreement shall be construed in accordance with the meaning of the
language used and shall not be construed for or against either party by reason of the
authorship of the Agreement or any other rule of construction which might otherwise
apply.
33. AMENDMENTS
This Agreement may be modified or amended only by a written document executed by
both Consultant and City and approved as to form by the City Attorney.
34. SEVERABILITY
If any term or portion of this Agreement is held to
unenforceable by a court of competent jurisdiction,
Agreement shall continue in full force and effect.
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be invalid, illegal, or otherwise
the remaining provisions of this
35. CONTROLLING LAW AND VENUE
The laws of the State of California shall govern this Agreement and all matters relating
to it and any action brought relating to this Agreement shall be adjudicated in a court of
competent jurisdiction in the County of Orange.
36. EQUAL OPPORTUNITY EMPLOYMENT
Consultant represents that it is an equal opportunity employer and it shall not
discriminate against any subcontractor, employee or applicant for employment because
of race, religion, color, national origin, handicap, ancestry, sex or age.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on
the day and year first written above.
APPROVED AS TO FORM:
OFFICE OF THE CITY ATTORNEY
'e�_ �
Leonie Mulvihill,
Acting City Attorney,
ATTEST:
By
Li 'an a ngton,
eputy City Clerk
a 1A
C��IF(p8i70
CITY OF NEWPORT BEACH,
A California Municipal Corporation
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By:
Leilani I. Brown,
City Clerk
CONSULTANT: GLADWELL
GOVERNMENT SERVICES, INC., a
California Corporation
By: j2- �,% ,
iane R. GladvWII
President and Chief Financial
Officer
Attachment: Exhibit A — Scope of Services
Exhibit B — Billing Rates
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EXHIBIT A
PROPOSAL FOR NEWPORT BEACH, CALIFORNIA
RECORDS RETENTION UPDATE
EXECUTIVE SUMMARY
The records retention schedules for the City were adopted in 2003, and many changes in
technology, laws, organizational structure, and employee turnover have taken place in the past
seven years. Gladwell Governmental Services, Inc (GGS) developed the retention schedules,
and is familiar with the City, it's operations and records.
The President of GGS, 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 -0n 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.
Ms. Gladwell has no vendor affiliations, and therefore can provide objective advice and
recommendations, where appropriate.
Proposal for Newport Beach f Records Retention Update
SubmYded by Gadwd Gw4mrrmtel Services, hic. 908.337.3516 vwvw41advie hW ore page 1
SCOPE OF WORK
UPDATE OF CITYWIDE RETENTION SCHEDULES WITH CITY WIDE MEETING
GGS will review all records retention schedules and bring them current with changes in law,
court cases, and technology advancements using 'Track Changes' format.
The City will then provide direction for changes in organization, descriptions, retention periods,
including the addition of more detailed information.
GGS will provide a draft staff report and resolution of adoption.
Utilizing an interactive, educational approach, GGS would conduct a City -wide training meeting
to discuss the records retention schedule update and process, how to use the records retention
schedules, and the process to destroy records. This would enable the City to educate the
employees that have changed positions or have been hired during the past seven years.
Following adoption, GGS will draft a new index to the schedules.
Deliverables:
• Draft cover memo to send to departments
• Update of all records retention schedules
• Draft resolution of adoption
• Draft staff report
• Index to retention schedules
• City -wide Training meeting
Total Cost:
$1,440
Proposal for Newport Beach f Records Retention Update
SWWOWd by GtBdWW G0VWM ft1 Swvlcw, fro. 809.337.3516 www.0KhW1hW.0g page 2
METHODOLOGY
All work is performed by the President of Giadwell 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 its pre-
existing intellectual property, 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 Newport Beach to ensure the program:
• 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 cost/beneft ratio and return on investment
Drafts of all work will be released to City of Newport Beach during the course of the project
Newport Beach will have an opportunity to edit and comment on these drafts, assuring that (1)
the City will maintain control of the project, and (2) the current work of the organization supports
the final program. In addition, on -site visits, e-mail, and telephone communications will keep
City of Newport Beach apprised of the work progress.
The consultant will 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 City of Newport Beach staff for
information.
"...a records management program Is actually a money saver - a protection against
Ineffective operations. It is even more significant as a safeguard against disaster and
lawsuits"
-1CMA (lnterNewport BeacldCounty ManagerrrentAssociation)
Proposal for Newport Beach / Records Retention Update
S&xMUed by GWavi Govemmerdal SerW=, W— 908.337.3516 wwwgWAweNgovmg page 3 .
RESUME
SUMMARY
Diane R. Gladweil 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 COMDEC.
PROFESSIONAL BACKGROUND
Gladwell Governmental Services, Inc.
President
1989 to present
Clients have included over 100 California Cities, Counties and Special Districts; 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 'InfoSLO' computerized information kiosk, electronic advertising and electronic agendas;
reengineered all programs and processes in the Division.
City of Glendale 1889 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 Newport Beach I Records Retention Update
SubnOW by Giadwel Govemmental Services, krc. 969.337.3516 www.gl Kkv91 gw.ory page 4
Food 4 Less ! Market Basket i Viva 1 Boys Markets 19804989
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.
=LllldiAI lei l
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 Technologioo, Yucatan, Mexico: Attended Institute as a foreign exchange student
ESRI Geographic Information Systems (GIS) training
Olsten Award for Excellence in Records Management Programs;
Association of Records Management Administrators (ARMA)
President's Award of Distinction for Excellence in Organization and Administration;
City Clerks Association of California (CCAC)
Records Management Award for Exceptional Municipal Programs Utilizing Alternative Technologies;
International Institute of Municipal Clerks (IIMC)
President's Award for Exoellence in Public Presentations and Published Articles;
City Clerks Association of California (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 Game Sigma and California Scholarship Federation
Listed in Who's Who of Executives and Professionals
PRESENTATIONS AND PUBLICATIONS
University of Riverside, Technical Track (TTC) Elections Management & Records Management
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)
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
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)
Proposal for Newport Beach i Records Retention Update.
Submkted by GWwel OovemnentW SerWcw, t m. g09.337.3MI6 www.gladweltgov org page 6
Intemational Institute of Municipal Clerks (Current Member, Records Management Committee, Past
Chair, Resource Committee, Membership Task Force)
Proposal for Newport Beach / Records Retention Update
Submtftd by GWdweA Govemmenlol Ser&w. Inc. 909.337.3578 wwwaladwelipo .0ro Page 6
Exhibit B
Excelisnce FarYour Pmgt>am5'"
May 4, 2010
City of Newport Beach
Leilani Brown, MMC
City Clerk
3300 Newport Blvd.
Newport Beach, CA 92663
RE: AGREEMENT FOR RECORDS RETENTION SCHEDULE UPDATES
Dear Leilani,
In regard to the Agreement for the updates to the records retention schedule, the quoted price will not be
exceeded, providing the scope of work remains the same.
If the City would like to modify the scope of work to include additional services, the cost for on -site
services would be $120 hour, which includes all travel expenses. The cost for off -site services are $90
an hour.
Thank you for the opportunity to serve the City of Newport Beach.
Sincerely yours,
Diane R. Gladwell, MMC
President
P.O. Box 62, 1028 Tirol Lane, Lake Arrowhead, CA 92352 -0062
Voice: (909) 337 -3516 • Fax: (909) 337 -3526 • E-mail; infb @gladwellgov.org
www.gladwellgov.org
�J
,�- RECORDS MANAGEMENT CONSULTING AGREEMENT
THIS AGREEMENT is made at Newport Beach, California, as of October 10, 2002, by
and between the City of Newport Beach ("CITY") and Diane R. Gladwell, CMC
("CONSULTANT"), who agree as follows:
I. SERVICES. Subject to the terms and conditions set forth in this Agreement,
CONSULTANT shall provide to CITY Options 1, 2 and 3 of the proposal outlined in Exhibit B.
2. COMPENSATION. This work will be performed for the fees as outlined in Exhibit B,
Scope of Work. In no event shall the total payment for time, services, materials and expenses
under this Agreement exceed $24,900.
3. PAYMENT. CITY shall pay CONSULTANT for services rendered pursuant to this
Agreement after the services have been provided satisfactorily to the CITY. CONSULTANT
shall submit all billings for said services to CITY, CITY shall promptly review invoicing and notify
CONSULTANT of any objection thereto in writing within thirty (30) days of receipt of the invoice,
and absent such objection, the invoice shall be deemed proper and acceptable.
4. FACILITIES AND EQUIPMENT. CITY shall provide CONSULTANT with the following
at no charge to CONSULTANT:
A. A working group consisting of members from each city department with authority to
submit and approve information regarding CITY's records management requirements.
B. A city representative with authority to approve various implementation phases and
plans.
C. A resident workspace for use when CONSULTANT is on-site, and access to
appropriate city computer systems and staff.
CONSULTANT shall, at its sole cost and expense, furnish all other facilities and equipment
which may be required for furnishing services pursuant to this Agreement.
5. GENERAL PROVISIONS. The general provisions set forth in Exhibit "A" are part of
this Agreement. In the event of any inconsistency between said general provisions and any
other terms or conditions of this Agreement, the other term or condition shall control only
insofar as it is inconsistent with the General Provisions.
6. EXHIBITS. All exhibits referred to herein are attached hereto and are by this
reference incorporated herein.
EXECUTED as of the day first above -stated.
City of Newport Beach, a municipal corporation
By: 'Y�a ke, vn�-
CONSULTANT
Gladwell Governmental Services, Inc.
Wdr-'�eR. C .• -ll, �y6sident
Approved as to form:
Robin Clauson
Assistant City Attorney
EXHIBIT A
GENERAL PROVISIONS
(1) INDEPENDENT CONSULTANT. At all times during the term of this Agreement,
CONSULTANT shall be an independent contractor and shall not be an employee of CITY.
CITY shall have the right to control CONSULTANT only insofar as the results of
CONSULTANT's services rendered pursuant to this Agreement; however, CITY shall not have
the right to control the means by which CONSULTANT accomplishes services rendered
pursuant to this Agreement.
(2) LICENSES; PERMITS; ETC. CONSULTANT represents and warrants to CITY that
CONSULTANT has all licenses, permits, qualifications and approvals of whatsoever nature
which are legally required for CONSULTANT to practice CONSULTANT's profession.
CONSULTANT represents and warrants to CITY that CONSULTANT shall, at its sole cost and
expense, keep in effect at all times during the term of this Agreement, any licenses, permits,
and approvals which are legally required for CONSULTANT to practice his profession.
CONSULTANT, including any subconsultants, shall obtain any required business license for work
within the City of Newport Beach.
(3) TIME. CONSULTANT shall devote such services pursuant to this Agreement as
may be reasonably necessary for satisfactory performance of CONSULTANT's obligations
pursuant to this Agreement.
(4) RECORDS. CONSULTANT shall maintain adequate records to permit
inspection audit of CONSULTANT's charges under this Agreement. CONSULTANT shall
provide CITY access to such records for approval, funding, or auditing the project, during
normal business hours upon reasonable notice, the reasonable cost of which shall be borne by
CITY. Nothing herein shall convert such records into public records and they will be available
only to CITY for approval, funding, or audit functions. Such records shall be maintained by
CONSULTANT for three (3) years following completion of the work under this Agreement.
Nothing herein shall prevent City from legally complying with the Public Records Act and
Freedom of Information Act. The City agrees to use and modify the electronic file for its internal
use only. Removal of the Consultant name or copyright notices from the documents is
prohibited. Release of the Work Product in paper or electronic form, in whole or part, to other
associations, corporations, consultants, businesses, entities, or persons, without a valid public
records request is strictly prohibited. City shall immediately advise Consultant of any and all
public records request that pertains to the Work Product, however City shall not be required to
defend Consultant's copyright, privacy or any other proprietary interests from release pursuant
to a valid public records act request. City further agrees to provide Consultant with any and all
pertinent information regarding the originator of the public records request. City shall not post
the Work Product on any internet web site or listserve without the advance written consent of
Consultant.
(5) INSURANCE.
(a) WORKER'S COMPENSATION. During the term of this Agreement, CONSULTANT
shall fully comply with the terms of the law of California concerning worker's
compensation. Said compliance shall include, but not be limited to, maintaining in full
force and effect one or more policies of insurance insuring against any liability
CONSULTANT may have for worker's compensation.
(b) AUTOMOBILE LIABILITY. During the term of this Agreement, CONSULTANT shall
furnish an automobile liability policy that is primary insurance as respect to CITY, its
officers, officials, employees and volunteers. Any insurance or self insurance
maintained by City, its officers, officials, employees or volunteers shall apply excess
of, and not contribute with, CONSULTANT'S insurance.
(c) GENERAL LIABILITY AND PROFESSIONAL LIABILITY (Errors and Omissions)
During the term of this Agreement, CONSULTANT shall furnish an general liability /
professional liability policy in the amount of $1,000,000 combined single limit per
occurrence for bodily injury, personal injury and property damage.
(d) CERTIFICATES OF INSURANCE. CONSULTANT shall file with CITY upon the
execution of this agreement, certificates of insurance which shall provide that no
cancellation, major change in coverage, expiration, or nonrenewal will be made during
the term of this agreement, without thirty (30) days written notice to the CITY prior to the
effective date of such cancellation, or change in coverage.
(6) CONSULTANT NO AGENT. Except as CITY may specify in writing, CONSULTANT
shall have no authority, express or implied, to act on behalf of CITY in any capacity whatsoever
as an agent. CONSULTANT shall have no authority, express or implied, pursuant to this
Agreement, to bind CITY to any obligation whatsoever.
(7) ASSIGNMENT PROHIBITED. No party to this Agreement may assign any right or
obligation pursuant to this Agreement. Any attempted or purported assignment of any right or
obligation pursuant to this Agreement shall be void and of no effect.
(8) PERSONNEL. CONSULTANT shall assign only competent personnel employed by
Consultant to perform services pursuant to this Agreement. In the event that CITY, in its sole
discretion, at anytime during the term of this Agreement, desires the removal of any person or
persons assigned by CONSULTANT to perform services pursuant to this Agreement,
CONSULTANT shall remove any such person immediately upon receiving notice from CITY of
the desire of CITY for the removal of such person or persons.
(9) STANDARD OF PERFORMANCE. CONSULTANT shall perform all services
required pursuant to this Agreement in the manner and according to the standards observed by
a competent practitioner of the profession in which CONSULTANT is engaged in the
geographical area in which CONSULTANT practices his profession. All products of whatsoever
nature which CONSULTANT delivers to CITY pursuant to this Agreement shall be prepared in a
substantial, first-class, and workmanlike manner, and conform to the standards of quality
normally observed by a person practicing in CONSULTANT's profession. CITY shall be the
sole judge as to whether the product of CONSULTANT is satisfactory.
(10) CONFIDENTIALITY. CONSULTANT shall not disclose to any other public or
private person or entity any information regarding CITY except as authorized by CITY.
(11) CANCELLATION OF AGREEMENT. This Agreement may be canceled at any
time by CITY for its convenience upon written notification to CONSULTANT. CONSULTANT
shall be entitled to receive full payment for all services performed and all costs incurred to the
date of receipt of written notice to cease work on the project. CONSULTANT shall be entitled
to no further compensation for work performed after the date of receipt of written notice to
cease work. All completed and uncompleted products up to the date of receipt of written notice
to cease work shall become the property of CITY.
(12) PRODUCTS OF CONSULTING. All products of CONSULTANT shall be the
property of CITY.
(13) INDEMNIFY AND HOLD HARMLESS. CONSULTANT shall indemnify, defend, and
hold harmless CITY, its officers, agents, employees and volunteers from all claims, suits, or
actions of every name, kind and description, brought forth on account of injuries to or death of
any person or damage to property arising from or connected with the willful misconduct,
negligent acts, errors or omissions, ultra -hazardous activities, activities giving rise to strict
liability, or defects in design by CONSULTANT or any person directly or indirectly employed by
or acting as agent for CONSULTANT in the performance of this Agreement, including the
concurrent or successive passive negligence of CITY, its officers, agents, employees or
volunteers.
It is understood that the duty of CONSULTANT to indemnify and hold harmless includes
the duty to defend as set forth in Section 2778 of the California Civil Code.
Acceptance of insurance certificates and endorsements required under this Agreement
does not relieve CONSULTANT from liability under this indemnification and hold harmless
clause. This indemnification and hold harmless clause shall apply whether or not such
insurance policies shall have been determined to be applicable to any of such damages or
claims for damages.
(14) CONSULTANT -NOT PUBLIC OFFICIAL. CONSULTANT is not a "public official'
for purposes of Government Code §§ 87200 et seq. CONSULTANT conducts
research and arrives at conclusions with respect to his or her rendition of
information, advice, recommendation or counsel independent of the control and
direction of CITY or any CITY official, other than normal contract monitoring. In
addition, CONSULTANT possesses no authority with respect to any CITY
decision beyond the rendition of information, advice, recommendation or counsel.
(15) NOTICES. All notices required by this agreement shall be sent to the following
addresses:
CONSULTANT: Gladwell Governmental Services, Inc.
Diane R. Gladwell, CMC
P.O. Box 62
Lake Arrowhead, CA 92352
CITY: City of Newport Beach
LaVonne Harkless, City Clerk
3300 Newport Blvd.
Newport Beach, CA 92658-8915
EXHIBIT B
PROPOSAL
EXECUTIVE SUMMARY
A 1998 Coopers & Lybrand study showed that records and 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 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
0 lost document = $370)
Newport Beach has expressed a desire to increase the efficiency and processes regarding the
management of their records.
1. Free office space.
2. Eliminate duplication of effort.
3. Improve efficiency and consistency.
4. Improve response times and customer service levels.
The President of Gladwell Governmental Services, Inc., Diane R. Gladwell, is a Certified
Municipal Clerk that has developed records management programs for numerous municipal
governments. 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
(including Alchemy and Berghell, Associates) as well as hands-on user and administration
experience with many systems. Ms. Gladwell is the author of several publications on records
management and document imaging, and is a noted speaker (including AIIM, ARMA, and
COMDEX). In addition, Ms. Gladwell has received multiple awards for document imaging /
records management and administration.
The consultant has no vendor affiliations, and therefore can provide objective advice and
recommendations.
SUMMARY
The project will be highly interactive, resulting in a high level of expertise and "ownership"
among Newport Beach staff members.
Option 1: City -Wide Records Retention Schedules $14,600
Option 2: City -Wide Records Destruction Procedures $400
Option 3: City -Wide Records Management Manual $9,775
Option 4: City Clerk Records Retention Schedule $2,200
Option 5: City Clerk Records Destruction Procedures $200
METHODOLOGY
All work is performed by the principal. Assignments are not delegated to less skilled personnel
or subcontractors, assuring the project is well -coordinated without communication problems or
scheduling conflicts among various consultants and their other projects. In addition, this also
assures the highest quality work.
The consultant proposes to build on the progress already made in the organization, ensuring
consistency and high levels of development for the project.
The project will be structured to increase participation, expedite results, minimize costs and
ensure the successful implementation of an excellent program by temporarily employing the
skills and knowledge of the contractor as needed.
This approach is customized for Newport Beach to ensure the program:
• 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 cost/benefit ratio and return on investment.
Drafts of all work will be released to City of Newport Beach during the course of the project.
Newport Beach will have an opportunity to edit and comment on these drafts, assuring that (1)
the City will maintain control of the project, and (2) the current work of the organization supports
the final program. In addition, on-site visits, e-mail, and telephone communications will keep
City of Newport Beach apprised of the work progress.
The consultant will 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 City of Newport Beach staff for
information.
"...a records management program is actually a money saver - a protection
against ineffective operations. It is even more significant as a safeguard against
disaster and lawsuits"
-ICMA (International City/County Management Association)
PROJECT DESCRIPTION
OPTION 1: CITY-WIDE RECORDS RETENTION SCHEDULES
In an interactive process, the consultant will develop an easy-to-use retention schedule for each
department, and the City as a whole.
A records retention schedule will allow all departments to purge unnecessary records from their
filing systems, freeing filing space. The process identifies which department is responsible for
maintaining the original record, allowing other departments to destroy their copies when they no
longer need them for immediate reference. The schedule will be organized to reflect each
department's filing structure and preferences, will show which records could be scanned into a
future document imaging system, and identify if the paper version should be destroyed after
imaging.
The records retention schedule form will be approved by Newport Beach prior to the
development of the schedule. State-wide guidelines, and research and analysis of applicable
Federal and State laws for the records will be used to formulate the retention schedule. The
City Clerk and City Attorney will be consulted throughout the project.
Deliverables: City-wide "kickoff' meeting, meetings with each of fourteen departments,
Records Retention Schedules for fourteen departments, one retention schedule for
records common to all departments (three days on site).
Cost:
$14,600
OPTION 2: CITY-WIDE RECORDS DESTRUCTION PROCEDURES
The consultant will facilitate the development of a records destruction procedure and forms to
ensure compliance with the adopted retention schedule, various Federal and State laws (e.g.
the new law requiring "obliteration" of any private data), and provide for "checks and balances"
in the procedure.
Cost:
Deliverables: City-wide Records destruction procedure and forms
$400
OPTION 3: CITY-WIDE RECORDS MANAGEMENT MANUAL AND TRAINING
Building upon Newport Beach's existing program, a new city-wide records management manual
will be written in an interactive manner with employees, providing a high level of ownership,
education and skill within Newport Beach staff. The manual will provide training for staff on
Newport Beach's records management systems, policies and industry -standard practices,
including the Public Records Act. The following subjects will be included:
-Program overview and structure
-Responding to Public Records requests
-Electronic Records and e-mail
-Filing Procedures
-Inventories
-Records retention
-Filing Equipment & Off-site storage
-Disaster Recovery
-Document imaging policies (basic guidelines)
-Records disposal
-Glossary
-Forms
•22 -page listing of records exempt from public disclosure
Five 2 -hour training meetings will be held, suitable for city-wide 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
Newport Beach's staff.
Certificates for completing the Records Management Course will be presented to all employees
attending the training sessions.
Cost:
Deliverables: Records Management Manuals (1 for each department suitable
for additional reproduction), five 2 hour training meetings, Training Certificates
for Attendees.
$9,775
OPTION 4: CITY CLERK DEPARTMENT RECORDS RETENTION SCHEDULE
A records retention schedule for the City Clerk's Department would allow the department to
purge unnecessary records from their filing system, freeing filing space. The schedule will be
organized to reflect the department's filing structure and preferences, will show which records
could be scanned into a future document imaging system, and identify if the paper version
should be destroyed after imaging.
The records retention schedule form will be approved by Newport Beach prior to the
development of the schedule. State-wide guidelines, and research and analysis of applicable
Federal and State laws for the records will be used to formulate the retention schedule. The
City Clerk and City Attorney will be consulted throughout the project.
Deliverables: One retention schedule for the City Clerk Department (1/2 day on site).
Cost:
$2,200
OPTION 5: CITY CLERK DEPARTMENT DESTRUCTION PROCEDURES
The consultant will facilitate the development of a records destruction procedure for the City
Clerk Department and forms to ensure compliance with the adopted retention schedule, various
Federal and State laws (e.g. the new law requiring `obliteration" of any private data), and
provide for "checks and balances" in the procedure.
Deliverables: Records destruction procedure and form
Cost: $300
RESUME
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 20
organizations, including AIIM, ARMA and COMDEX.
PROFESSIONAL BACKGROUND
Gladwell Governmental Services, Inc.
President
1989 to present
Clients have included over 30 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. 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 city-wide records management program based on optical
disk technology which has received international, national and state awards for exceptional records
management programs.
Food 4 Less / Market Basket / Viva / Boys Markets 1980-1989
Credit Management Services Supervisor
Administered payment systems and collections for a chain of 50 grocery stores (over five million
transactions annually.) Records management for payment transactions, criminal and civil incidents for
chain. A key member of the management team that developed and implemented computerized Electronic
Funds Transfer for checks and credit cards as well as several custom applications to track returned items
and issue check cashing cards. Budget development and administration for four Divisions representing
expenditures of over $8,000,000.
EDUCATION
Pacific Southern University, Los Angeles: Bachelor of Science, Business Administration
California Polytechnic University, Pomona: Business administration courses
Citrus College, Azusa: Associate of Science, Business Administration
UCLA: Business management courses
Institution de Technologico, Yucatan, Mexico: Attended institute as a foreign exchange student
ESRI Geographic Information Systems (GIS) training
HONORS
Olsten Award for Excellence in Records Management Programs;
Association of Records Management Administrators (ARMA)
President's Award of Distinction for Excellence in Organization and Administration;
City Clerks Association of California (CCAC)
Records Management Award for Exceptional Municipal Programs Utilizing Alternative Technologies;
International Institute of Municipal Clerks (IIMC)
President's Award for Excellence in Public Presentations and Published Articles;
City Clerks Association of California (CCAC);
(3) Honorary Service Awards (California PTA for Outstanding Service to Youth and Community)
Life Member: Delta Mu Delta, Alpha Gama Sigma, and California Scholarship Federation
Listed in Who's Who of Professionals
PRESENTATIONS AND PUBLICATIONS
COMDEX
AIIM (Association for Information and Image Management)
ARMA (Association of Records Mangers and Administrators)
IIMC (International Institute of Municipal Clerks)
CCAC (City Clerks Association of California)
Washington State Clerks Association
County of Los Angeles
Government Technology Conference
Author: Document Imaging (May, 1998)
Efficient Filing (Summer, 1999)
Funding Records Management Projects (Winter, 2000)
Elections Management and Benchmarking (Spring, 2001)
Various articles published by ARMA, ICMA, IIMC and NAGARA
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)
International Institute of Municipal Clerks (Past Chair, Resource Committee)