Your final step is to implement the changes you’ve designed. This may include developing a timeline and implementation plan for the new recordkeeping system, developing policies and procedures for system maintenance, and actually maintaining the system.
A
Appppeennddiixx BB
GGeenneerriicc OOuuttlliinnee ffoorr aa R Reeqquueesstt ffoorr PPrrooppoossaallss ((R RFFPP))
A request for proposals (RFP) is a formal document that details the services or products your organization is searching for, outlines what deliverables you require, and indicates what formal
requirements prospective vendors must meet. This outline provides a general idea of how a request for proposals might be organized.
The State Archives does not require the inclusion of these sections in an RFP, but they provide a good indication of the type of
information to include in an RFP. In addition to these guidelines, be sure to follow the rules for RFP issuance required by your
organization; your legal counsel must review any RFP before you release it. If you are developing an RFP for GIS services, also refer to the State Archives’ “Guidelines for Developing an RFP for a GIS Needs Assessment,” which is available on the State Archives’
website (www.archives.nysed.gov)
I. Scope and Objectives
Define the scope of the project (what process or system you want to put in place) and specify the objectives (what you expect the newly implemented system to achieve). For instance, the scope may be to implement an electronic document management system for one office, and your objectives may be to improve retrieval,
management of records over their life cycle, and overall efficiency.
II. Organizational Overview
Provide a brief description of your organization, giving vendors an idea of its type, size, location, and mission.
III. Records Management Issues to Address
Indicate the specific records management issues you want the proposed new system to address. These issues might include
•
the need for faster and more accurate retrieval improved retention systems
reduction of duplicate information lost or misplaced files
inadequate records security
reduction of printing and distribution costs
•
• backfile conversion
IV. Overview of Current Recordkeeping Systems and Technical Infrastructure
Detail the specifics of the recordkeeping systems under
consideration (including the records involved and any recordkeeping requirements) and your organization’s technical infrastructure (network type and structure, Internet access speeds, software products used, etc.). This information will allow vendors to develop solutions that will fit your current systems.
V. Deliverables
Specify precisely what deliverables your organization requires for this project. These deliverables could include such details as preparation of the sections required of any needs assessment, required project activities, cost details that must be submitted for various proposed solutions, deadlines for receipt of interim and final needs assessments, and number of copies required.
VI. Vendor Experience and Qualifications
Indicate the relevant experience, references, and financial stability required of prospective vendors.
VII. Evaluation Procedure
Explain how your organization will evaluate vendor responses to the RFP and report its decision.
VIII. Vendor Instructions
Stipulate exactly which requirements and deadlines vendors must meet, specify how vendors must communicate questions
concerning the RFP, specify the requisite number of copies of the RFP, and set the deadline for receipt of vendor responses.
IX. Conditions
List any other conditions that vendors must follow. These may include how and when the RFP might be amended or canceled, how modifications to the proposal will be communicated to vendors, inspection of work performed, etc.
X. Post-RFP Activities
Summarize the process that your organization will follow after evaluating RFPs. These steps might include notification of awards, vendor communication during the project, and monitoring of the project.
lack of storage space
XI. Proposal Requirements
List the format required of vendor responses, the receipt by specified deadlines, and the mailing address for responses.
XII. Attachments
Include any necessary attachments, such as required proposal cost summary forms, vendor certifications, etc.
A
Appppeennddiixx CC
GGeenneerriicc OOuuttlliinnee ffoorr aa NNeeeeddss A Asssseessssm meenntt aanndd FFeeaassiibbiilliittyy SSttuuddyy
This outline provides a general idea of how a needs assessment might be organized. The State Archives does not require the
inclusion of these sections in a needs assessment, but they provide a good indication of the type of information and analysis to expect from a professional needs assessment.
I. Executive Summary
Provide a one- or two-page synopsis of the reasons for and findings of the needs assessment.
II. Current Situation and Problems
Develop a clear picture of the current situation under review, including the problems with the current recordkeeping system, technological infrastructure, and level of staffing. This section might also include process diagrams showing how the applicable work processes currently operate. The latter is especially important for a BPA, which will focus on work process issues.
III. System Requirements
Describe the requirements that any proposed system must meet.
Requirements are issues that must be addressed, that cannot be changed, and that are important constraints on development of a new recordkeeping system.
A. Business Requirements
Explain what the system needs to accomplish for the organization to conduct its work.
B. Records Management Requirements
Explain the records management issues, such as what records must be captured, how long they must be retained, how they must be accessed, and whether there are certain required record formats or authenticity requirements (such as signatures).
C. Technical Requirements
Explain what the system must accomplish technically, including what other software it must interface with.
D. Federal or State Requirements
Explain the applicable governmental regulations, such as retention or privacy requirements, or requirements to conduct certain recordkeeping activities.
IV. Review of Possible Solutions
Provide a list of all solutions considered and the process used to identify and evaluate those possibilities.
A. Identify Possible Technologies and Benchmarks
Describe the process used to identify available technologies that may address the organization’s needs or problems. Describe how others who have implemented similar solutions addressed the problem, the issues they faced, and their recommendations.
B. Identify Costs and Needed Resources
Identify the costs associated with the recommended solution.
Define varying solutions that represent a modest, moderate, and elaborate implementation.
1. Data Acquisition or Conversion Costs
Startup costs required to input enough data into a new system to make it worthwhile.
2. Acquisition Costs
Costs associated with the implementation of a new system.
3. Ongoing Maintenance Costs
Annual costs of maintaining a new system, including software upgrades and annual maintenance fees.
4. Personnel Costs
Costs of paying personnel to maintain the system.
5. Training Costs
Costs of training personnel to use the system.
C. Identify Available Resources
Identify any resources (financial, personnel, equipment, etc.) available to run this new recordkeeping system, and identify any gaps between available and necessary resources.
V. Recommendations and Action Plan
Provide detailed recommendations for how to change the recordkeeping system, including changes in technology, policies, and procedures.
A. Explain the Specific Solution
Provide a detailed description of the solution and the steps needed to arrive at to that solution. For example, this section may include an explanation of what portion of a backfile should be converted, or process diagrams (flowcharts) of a new process.
B. Justify the Specific Solution
Explain why the recommended solution is the best possible choice. Justify it in terms of lower costs, improved performance, or cost-benefit or cost-performance analysis.
C. Implementation Plan and Timeline
Provide a detailed plan for implementing the new system, including a timeline.
VI. Appendices
Include any additional information that provides detail that supports the body of the needs assessment. Appendices can include detailed technical specifications, lists of the characteristics of records series involved, cost estimates, or a glossary of terms.
A
Appppeennddiixx DD
GGeenneerriicc OOuuttlliinnee ffoorr aa BBuussiinneessss PPrroocceessss A Annaallyyssiiss ((BBPPA A))
This outline provides a general idea of how a business process analysis (BPA) might be organized. The State Archives does not require the inclusion of these sections in a BPA, but they provide a good indication of the type of information and analysis to expect from a professional BPA. This outline is similar but not identical to the outline for a needs assessment report.
I. Executive Summary
Provide a one- or two-page synopsis of the reasons for and findings of the BPA.
II. Description of Existing Business Processes
Describe the existing business processes in detail through a step-by-step narrative explanation, and map the processes in detail through a series of process diagrams (flowcharts). Providing both “views”
will ensure a good understanding of the processes and will help identify deficiencies in them.
III. Evaluation of Existing System
Provide a detailed evaluation of the current system, including what works well and what doesn’t. Identify system deficiencies that can be solved by process changes, as well as those that can be solved by changes in technology.
IV. Recommendations for Improved Business Processes
Outline recommended improvements that can be made to the current business processes. Justify these improvements based on anticipated benefits in cost, speed, and quality. Indicate the expected project costs of making such changes, including initial procurement costs, annual maintenance fees, backfile conversion costs, and estimated annual costs. Detail an implementation strategy, including details of a phased strategy (if necessary).
V. Appendices
Include any additional information that provides detail that supports the body of the BPA. Appendices can include detailed process diagrams (flowcharts), lists of appropriate vendors for the services required, a glossary of terms, or a draft request for proposals for services related to implementation.
A
Appppeennddiixx EE
GGlloossssaarryy ooff NNeeeeddss A Asssseessssm meenntt TTeerrm mss
a
accccuurraaccyy.. the degree of conformity with a standard, or the degree of correctness attained in a measurement
a
auutthheennttiicciittyy.. the verification that a record has not been altered or manipulated in any way and is what it claims to be
b
baacckkffiillee.. a set of older records that has not yet been processed or converted into a new system b
baacckkffiillee ccoonnvveerrssiioonn.. the conversion of an older set of records into the new standard record format in an office to increase access to the records
B
BPPAA.. See “business process analysis (BPA)”
b
buussiinneessss pprroocceessss aannaallyyssiiss ((BBPPAA)).. an intense, detailed, and logical analysis of each step in a business process to determine how best to improve the process
c
coonnvveerrssiioonn.. (1) the translation of data from one format to another (e.g., TIGER to DXF; a map to digital files); (2) data conversion when transferring data from one system to another (e.g., SUN to IBM)
c
coosstt--bbeenneeffiitt aannaallyyssiiss.. any method for examining the cost advantages that can be realized by modifying the management of records
d
deelliivveerraabbllee.. a product or service that an organization requires a consultant or firm to provide as part of a contract
d
dooccuummeenntt mmaannaaggeemmeenntt ssyysstteemm.. See “electronic document management system”
e
elleeccttrroonniicc ddooccuummeenntt iimmaaggiinngg.. the production of digital pictures of records e
elleeccttrroonniicc ddooccuummeenntt mmaannaaggeemmeenntt ssyysstteemm.. a computerized system that enables the creation, modification, routing, storage, retrieval, and distribution of documents in multiple electronic formats through a single interface
e
elleeccttrroonniicc rreeccoorrddkkeeeeppiinngg ssyysstteemm.. an electronic information system that supports the collection, organization, and categorization of electronic records
ffeeaassiibbiilliittyy ssttuuddyy.. an examination of the practicality of implementing new or modified procedures, methods, or technologies, often folded into an overall needs assessment
fflloowwcchhaarrtt.. a diagram that shows each step in a process through the use of a set of symbols g
geeooggrraapphhiicc iinnffoorrmmaattiioonn ssyysstteemm ((GGIISS)).. a computerized database system used to gather, manipulate, display, and analyze spatial data (including maps, three-dimensional models, and tables)
G
GIISS.. See “geographic information system (GIS)”
g
guuiiddeelliinneess.. recommended criteria designed to ensure the best-quality product is produced by adhering to a specified process (See also “standards”)
iimmaaggiinngg.. the process of electronically capturing the visual appearance of documents, especially those on paper; informally called “scanning”
iimmpplleemmeennttaattiioonn.. the actual installation and launching of a new recordkeeping system
iinnffoorrmmaattiioonn tteecchhnnoollooggyy ((IITT)).. the system for managing the entire range of computing, telecommunications and information; sometimes called “information services” (IS) or “management information services” (MIS)
iinntteerrffaaccee.. the place at which a computer program and a human user interact; the specific layout and functionality of a screen in a computer program
IITT.. See “information technology (IT)”
L
LGGRRMMIIFF.. See “Local Government Records Management Improvement Fund (LGRMIF)”
lliiffee ccyyccllee.. the span of time a record exists, from its creation through its useful life to its final disposition or retention
L
Looccaall GGoovveerrnnmmeenntt RReeccoorrddss MMaannaaggeemmeenntt IImmpprroovveemmeenntt FFuunndd ((LLGGRRMMIIFF)).. a dedicated fund to improve records management and archival administration in New York State’s local governments, comprised of fees collected by county clerks and the New York City Register for the recording of selected documents
m
miiccrrooffiillmm.. (noun) fine-grain, high-resolution photographic film capable of recording images, especially when referring to such film stored on reels (verb) to capture images of documents on such film
m
miiccrrooggrraapphhiiccss.. the science and use of microfilm in all its forms m
miiggrraattiioonn.. the periodic transfer of data from one electronic system to another, retaining the integrity of the data and allowing users to continue to use the data despite changing technology;
sometimes called “data migration”
n
neeeeddss aasssseessssmmeenntt.. a process that systematically examines a records management problem, evaluates options, and recommends solutions via a formal report
o
oppeenn aarrcchhiitteeccttuurree.. the feature of an information technology system of software, hardware, or both, that ensures the system can easily be connected to devices and programs made by other manufacturers
P
PDDAA.. See “personal digital assistant (PDA)”
p
peerrssoonnaall ddiiggiittaall aassssiissttaanntt ((PPDDAA)).. a small, hand-held computer used to carry and update small quantities of important information
p
pllaattffoorrmm.. a hardware or software architecture of a particular model or family of computers (i.e., IBM, Tandem, HP, etc.)
p
poolliiccyy.. a broad document that specifies a general rule for records and information management in an organization
p
prroocceedduurree.. a detailed document that specifies step-by-step rules for records and information management in an organization
p
prroocceessss.. one or more tasks that add value by transforming a set of inputs into a specified set of outputs (goods or services) for a customer
p
prroocceessss ddiiaaggrraamm.. a flowchart that outlines a business process p
prroopprriieettaarryy.. (said of a computer file format) owned and controlled by a single company and therefore usually only readable in a certain software and hardware environment, and not necessarily exportable to another environment
R
RAAOO.. See “regional advisory officer (RAO)”
rreeccoorrdd
(informal definition) information, in any format, that is created by an organization or received in the formal operation of its responsibilities
(legal definition for local governments in New York State) any book, paper, map, photograph, microphotograph or any other information storage device regardless of physical form or characteristic which is the property of the state or any state agency, department, division, board, bureau, commission, county, city, town, village, district or any subdivision thereof by whatever name designated in or on which any entry has been made or is required to be made by law, or which any officer or employee of any said bodies has received or is required to receive for filing (legal definition for state agencies in New York State, plural): all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by any agency of the state or by the legislature or the judiciary in pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities, or because of the information contained therein
rreeccoorrddkkeeeeppiinngg.. the creation and maintenance of reliable evidence of business transactions in the form of recorded information
rreeccoorrddss mmaannaaggeemmeenntt.. the systematic control of all records in an organization throughout their life cycles
rreeccoorrddss mmaannaaggeemmeenntt aapppplliiccaattiioonn ((RRMMAA)).. an electronic document management system that includes automated retention controls as described by the Department of Defense standard DoD 5015.2-STD
rreeccoorrddss sseerriieess.. a group of related records (such as minutes of a board, payrolls, or purchase orders) that are normally used and filed as a unit and that normally have the same retention requirements
rreeccoorrddss rreetteennttiioonn..See “retention”
rreeggiioonnaall aaddvviissoorryy ooffffiicceerr ((RRAAOO)).. a representative of the New York State Archives who provides records management advice to local governments and state agencies in a region of the state rreegguullaattiioonn.. a rule promulgated by a government to explain how to comply with specific legislation
rreelliiaabbiilliittyy.. the authority and trustworthiness of records as evidence
rreeqquueesstt ffoorr pprrooppoossaallss ((RRFFPP)).. a formal document used in negotiated procurement in which an organization communicates its requirements for a product or service and solicits preliminary bids and proposals
rreetteennttiioonn.. the act of keeping records for a specific amount of time given their administrative, fiscal, legal, or historical value and use; also called “records retention”
R
RFFPP.. See “request for proposals (RFP)”
R
RMMAA. See “records management application (RMA)”
sseeccuurriittyy. the protection of records by controlling which users can access which documents and for what purpose
ssooffttwwaarree.. programs that run operations on a computer
ssttaannddaarrddss.. required criteria designed to ensure that the best-quality product is produced by adhering to a specified process (See also “guidelines”)
w
woorrkkffllooww.. the path that a record takes and the processes that occur as the record travels through an organization
93-85550 93-058 CDC