HomeMy WebLinkAboutO-11159J-94-322
4/21/94
ORDINANCE NO. 1115 9
AN ORDINANCE AMENDING CHAPTER 2 OF THE CODE
OF THE CITY OF MIAMI, FLORIDA, AS AMENDED,
THEREBY ADDING SECTION 2-48 TO PROVIDE THAT
THE CITY CLERK SHALL BE RESPONSIBLE FOR
ADMINISTERING THE CITY'S ARCHIVES AND RECORDS
MANAGEMENT PROGRAM, CONSISTENT WITH 257.36
FLORIDA STATUTES; PROVIDING FOR THE
CUSTODIANSHIP OF PUBLIC RECORDS AND THE
RESPONSIBILITIES OF CITY OFFICIALS AND
EMPLOYEES WITH RESPECT THERETO; PROVIDING FOR
DUTIES OF THE CITY CLERK AND CITY
DEPARTMENTS; CONTAINING A REPEALER PROVISION,
SEVERABILITY CLAUSE AND PROVIDING FOR AN
EFFECTIVE DATE.
WHEREAS, Section 257.36(5) Florida Statutes, entitled
"Records and Information Management," states that it is the duty
of each municipality to establish and maintain an active and
continuing program for the economical and efficient management of
records;
NOW, THEREFORE, BE IT ORDAINED BY THE COMMISSION OF THE CITY
OF MIAMI, FLORIDA:
Section 1. Section 2-48 is hereby added to the Code of
the City of Miami, Florida, as amended, as following:
"Sec. 2-48(a). Short title; purpose.
The "City of Miami Archives and Records Management
Program" is hereby established to provide for the
proper and efficient management of the City of
Miami's public records, and for the operation of a
central repository for same, including the City's
historically valuable records.
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Sec. 2-48(b).Definitions.
(1) City Clerk means the City Clerk of the
City of Miami, Florida, or his/her duly
designated representative, who has primary
supervisory authority over the records
management program.
(2) Maintenance of Public Records means the
creation, maintenance, protection, use and
disposition of Public Records belonging to
the City of Miami, Florida, including the
establishment and maintenance of a system of
filing and indexing Public Records.
(3) Public Records means all documents,
papers, electronic records, letters, maps,
books, tapes, photographs, films, sound
recordings or other materials regardless of
physical form or characteristics, made or
received pursuant to law or ordinance or in
connection with the transaction of official
business by any officer, employee, official
representative, or appointed board/committee
member of the City of Miami.
(4) Archival Records means those Public
Records, manuscripts and other records which
document the origin and history of the
government of the City of Miami and the
development of its departments which are
worthy of permanent preservation and
administration because of their importance.
(5) Sensitive Records means those records
dealing with secret, classified, or delicate
government matters.
(6) Vital Records means those records which
contain information essential to the
continuity of government operations or to the
protection of individual citizen's rights,
and which cannot be replaced.
(7) Inactive Records means those records no
longer required to be active in office areas,
but which require further retention due to
legal, administrative, historical reasons or
other enabling circumstances.
(8) City Records Center means a central
repository for storage of inactive Public
Records.
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Sec. 2-48(c). Custodianship of Public Records.
Custodianship of Public Records shall be the
responsibility of the City Clerk; and in this
regard, the maintenance of such records shall be
in the care of the City departments, City
Commission offices or the City Clerk's Office,
depending on the life cycle of each document.
Outgoing City officials or employees shall deliver
all Public Records in their custody to their
successors. Records not in current use shall be
transferred to the City archives; and, upon
acceptance, the archives shall be considered the
legal custodial site of such records.
Sec. 2-48(d). Duties of City Officials and
Employees.
It shall be the responsibility of a City employee,
under the direct supervision of the City Clerk, to
administer the City of Miami Archives and Records
Management Program. In this regard, the City
Clerk, among all other functions required for the
proper and efficient management of the Public
Records of the City, shall:
(1) Develop and circulate such rules and
regulations as may be necessary and proper to
implement and maintain the Archives and
Records Management Program.
(2) Provide and maintain the City Records
Center to house and preserve records.
(3) Advise and assist City departments and
City Commission offices in the preparation of
records inventory and destruction schedules.
(4) Approve destruction schedules before
disposition of Public Records.
(S) Conduct surveys, studies and
investigations to assist in promoting a
proper and efficient Records Management
Program for the City, including information
retrieval systems.
(6) Identify and ensure the preservation of
City Archival Records.
(7) Provide for and direct appropriate City
personnel to ensure the sound management of
Archival Records and their availability to
the public.
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(8) Ensure adequate security is provided to
protect Vital Records.
Sec. 2-48(e). Duties of City Departments and City
Commission Offices.
(1) Each City department and City Commission
office shall create and maintain all of its
records with adequate and proper
documentation of its organization, policies,
decisions, procedures, and essential
transactions.
(2) Each City department and City Commission
office, with the advice of the City Clerk's
Office, shall establish and maintain an
active, continuing program for the economical
and efficient management of the records of
the department. Such programs shall provide
for:
(A) Effective controls over the
creation, maintenance, and use of records in
the conduct of business.
(B) Cooperation with the City Clerk's
Office in applying standards, procedures, and
techniques designed to improve the management
of records.
(C) Segregation and disposal of records
of temporary value in accordance with
established retention schedules.
(3) Those Public Records which are not
required in the current operation of the
office where they are made or kept, and all
Public Records which can properly be disposed
of , shall be transferred to the City Records
Center in order that the Historical Records
of the City may be centralized, preserved and
made more widely available, and ensured
permanent preservation, or approved for
destruction, as the case may be.
(4) City Officials and City Department
Directors shall:
(A) Manage all record management
functions within their respective departments
and act in close coordination with the City
Clerk's Office.
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(B) With the advice and assistance of
the City Clerk's Office, inventory all Public
Records for disposition scheduling and
transfer action in accordance with procedures
prescribed by law or with rules promulgated
by the City Clerk's Office.
(C) Consult with any other personnel
responsible for creation or maintenance of
specific records within his/her department
regarding records retention and transfer
recommendations.
(D) Review established record retention
schedules at least annually to ensure they
are complete and current."
Section 2. All ordinances or parts of ordinances insofar
as they are inconsistent or in conflict with the provisions of
this Ordinance are hereby repealed.
Section 3. If any section, part of section, paragraph,
clause, phrase, or word of this Ordinance is declared invalid,
the remaining provisions of this Ordinance shall not be affected.
Section 4. This Ordinance shall become effective thirty
(30) days after final reading and adoption thereof.
PASSED ON FIRST READING BY TITLE ONLY this 28th day
of April , 1994.
PASSED ON SECOND AND FINAL READING BY TITLE ONLY this
9th day of June 1994.
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ATTEST--/
STEP N P. CLARKJ MAYOR
Y HIRAI, CITY CLERK
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PREPARED AND APPROVED BY:
RAFAEL 0. DIAZ
DEPUTY CITY ATTORNEY
ROD:csk:M2012
APPROVED AS TO FORM AND
CORRECTNESS:
A. NN JO III
CITY ATTO
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MATTY HIRAI
City Clerk
July 26, 1994
Ms. Becky DeNeve
Vice -President - Supplements
Municipal Code Corp.
P.O. Box 2235
Tallahassee, FL 32304
Dear Ms. DeNeve:
CESAR H. ODIO
City Manager
Enclosed herewith please find a copy of the following Ordinances
which amend the Code of the City of Miami, Florida:
11157 11159 11160
If I can be of any further assistance, please do not hesitate to
call.
Very truly yours,
Valerie Green ood rTj/
Deputy Clerk
Enc. a/s
OFFICE OF THE CITY CLERK/ 35M Pan American Drive/P.O. Box 330708/Miami, Florida 33233-0708/(305) 250-5360/FAX(305) 858-1610
QUIR14 of �iami
MATTY HIRAI
City Clerk
July 26, 1994
Office of the State Attorney
Attention: Rosemary Ricotta
1350 N.W. 12th Avenue
Miami, FL 33136-2111
Dear Ms. Ricotta:
CESAR H. ODIO
City Manager
Enclosed herewith please find a copy of the following Ordinances
which amend the Code of the City of Miami, Florida:
11157 11159 11160
Please acknowledge receipt of same by affixing your signature to
the enclosed copy of this letter and return it to this office for
our files.
Thank you.
Very truly yours,
MATTY HIRAI
City Clerk
BY:
DEPUTY CLERK
RECEIVED BY:
DATE:
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Enc. a/s
OFFICE OF THE CITY CLERK/ 35M Pan American Drive/P.O. Box 330708/Miami, Florida 33233-0708/(305) 250-5360/FAX(305) 858-1610
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MATTY HIRAI c`of rim
City Clerk s '�
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July 26, 1994
Louis Tomeo
Court Operations Officer
1351 N.W. 12th Street, Rm 7-701
Miami, FL 33125
Dear Mr. Tomeo:
CESAR H. ODIO
City Manager
Enclosed herewith please find a copy of the following Ordinances
which amend the Code of the City of Miami, Florida:
11157 11159 11160
Please acknowledge receipt of same by affixing your signature to
the enclosed copy of this letter and return it to this office for
our files.
Thank you.
Very truly yours,
MATTY HIRAI
City Clerk
BY:
DEPUTY CLERK
RECEIVED BY:
DATE:
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OFFICE OF THE CITY CLERK/ 3500 Pan American Drive/P.O. Box 330708/Miami, Florida 33233-0708/(305) 250-5360/FAX(305) 858-1610
CITY OF MIAMI, FLORIDA
INTER -OFFICE MEMORANDUM 26
TO HONORABLE STEPHEN P. CLARK,
MAYOR, AND MEMBERS OF THE CITY
7CISSION
i
PROM
MATTY HIRAI
City Clerk
RECOMMENDATION:
DATE April 21, 1994 FILE
SUBJECT Ordinance Establishing
City's Archives and
Records Management
REFERENCES. Program
ENCLOSURES:
It is respectfully recommended that the City Commission adopt the
attached ordinance establishing the City's Archives and Records
Management Program beginning Fiscal Year 1993-94.
BACKGROUND:
The Office of the City Clerk currently is responsible for the
storage, preservation, retrieval and disposition of legislative
records emanating from City Commission actions, administrative
correspondence, microfilm records, contracts, lobbyist
registration, financial disclosure filings, corporate and real
property forms, municipal bond issues, etc. Each City department
is responsible for maintaining its own public records. Because
this approach results in costly practices and unnecessary overlap
in administrative functions, the Office of the City Clerk desires
to centralize the records management function and assume primary
responsibility for the safekeeping of the City's archives.
Chapter 257.36(5), Florida Statutes, states, in part: "....state,
county or municipal officer, department, division, bureau, board,
commission or other separate unit of government created or
established by law...." to establish and maintain an active and
continuing program for the economical and efficient management of
records. We are proposing that this function be placed under the
City Clerk's supervision.
This ordinance will centralize the records management function
under one department, namely the Office of the City Clerk. In
most cities, these activities are performed by the Office of the
City Clerk. Records management is an administrative function
which provides an organization with information it needs to make
decisions. The proposed Records Management Program will contain
a wide range of activities, including: records inventory, records
retention, archiving of inactive records, storage and disposition
of same, etc. Other responsibilities will include: the
establishment and management of a City Records Center for the
placement of inactive records, implementation of new technologies
to recordkeeping, establishing records management guidelines and
1115 I`;P6-I
procedures, and identifying and preserving historical records.
Responsibility for generation of records and management of active
(work in progress) records will remain under the supervision of
the originating departments.
The centralized administration of the City's records activities
will enhance the City's ability to standardize operational costs
associated with information processing, reduce the need for in -
office storage space, and provide for greater efficiency and
increased savings, while responding to the State mandate to
provide sound and economical management of information to our
City residents.
The Office of the City Clerk has requested a two-year grant from
the National Historical Publication and Records Commission in the
amount of (approximately) $140,000 to develop and implement a
Citywide comprehensive Archives and Records Management Program.
Additionally, the City Clerk's Office, during the '93 Legislative
Session, was the recipient of a $100,000 grant from the State for
the establishment of a Vital Records Restoration, Protection and
Preservation Program, out of the Hurricane Andrew Relief Bill.
M!:: WF : vg
Enc. a/s
cc: Cesar H. Odio, City Manager
A. Quinn Jones, III, City Attorney
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1
TO
CITY OF MIAMI, FLORIDA
INTER -OFFICE MEMORANDUM
HONORABLE STEPHEN P. CLARK, MAYOR DATE
AND MEMBERS OF THE CITY COMMISSION
SUBJECT : proposed adoption of
Ordinance establishing
the City of Miami
FROM REFERENCES: Archives and Records
Management Program
MATTY HIRAI ENCLOSURES:
City Clerk
RECOMMENDATION
April 27, 1994 FILE :
It is respectfully requested that the City Commission adopt, on
First Reading, the attached Ordinance establishing the City of
Miami Archives and Records Management Program (said program to
begin Fiscal Year 1994-1995) in compliance with F.S. Chapter
257.36(5), which calls for the establishment and maintenance by
each municipality of an active and continuing program for the
economical and efficient management of records. The herein
proposed "Archives and Records Management Program" (hereinafter,
the ARM Program) shall provide effective controls for the
creation, distribution, use, retention, storage, retrieval,
protection, preservation, and final disposition of all records
which are essential to the Administration of the City.
Furthermore, the herein ARM Program is being proposed in order
to:
(1) Provide for the proper and efficient management
of inactive, historical and vital records in
accordance with State of Florida guidelines.
(2) To provide for more cost-efficient administrative
practices as follows: (a) minimize overhead
expense; (b) reduce the need for additional
office space (thus, curtailing growth and the
consequent need for additional expensive space),
filing equipment, records maintenance and
personnel expense through the establishment of an
off -site City Records Center to store non -active
records, as well as a separate section within
said facility for the storage of archival and
vital records; and (c) in order to centralize
records and purge non -essential information.
11159
(3) Lastly, this proposed Records Management Program
is being instituted to offer administrative
support to other City departments as they seek
solutions to their problems involving any of the
above -mentioned areas.
The herein Ordinance also proposes to place the administration of
said program under the responsibility of the City Clerk, as is
traditionally done throughout the country by most governmental
units inasmuch as the Clerk (or his/her designee) is the
designated Custodian of Official Records. Once this Ordinance is
adopted, the Clerk will be charged, among others, with the
following basic responsibilities:
(1) The establishment of Citywide guidelines and
standards for: (a) records retention (in
keeping with presently instituted State
guidelines); (b) Citywide standardization of
file classifications and indexing methods,
departmental microfilm programs, standardization
of filing equipment supplies and vital records
protection guidelines; and (c) the
responsibility for the operation and supervision
of a central City Records Center to house and
protect all City non -active records.
(2) To provide ongoing technical assistance and
training programs to other City departments and
their designated Division Records Coordinators.
(3) To perform periodic reviews and audits of the
herein Records Management Program as to
operational cost-effectiveness and various other
efficiencies to be monitored.
In this regard, there exist a considerable number of reputable
studies containing factual data to show that our City could save
anywhere between 15% to 20% of the total governmental agency's
budget earmarked to cover Citywide operational costs. According
to some other studies, said amount could even go as high as 35% -
50%. *[For instance, there is a resent study which was conducted
in the State of Texas to determine if any cost -savings would
accrue from the implementation of a Statewide Record Management
Program. Over the three-year period covered by the study, actual
saving amounted to almost $70 million!]
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*Article published in "Records Management Quarterly" --- April
1993 -- p. 30-39.
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11159
Given the scope of the herein proposed ARM Program System, it
will have to be developed in phases and/or stages, subject to
availability of funds. However, there is abundant data to
demonstrate that the cost -savings associated with the institution
of similar type programs in other states and municipalities
throughout the country are overwhelming, and would translate into
enormous savings for our City, once the program is in place and
fully operational.
Cognizant of the present budgetary restraints facing our City,
our office began to pursue alternative sources of funding through
the ongoing pursuit of grant monies. When we succeeded in being
awarded our first small grant we engaged the services of Claire
Cardina, a Recordsw Management consultant who conducted a survey
on the aftermath of Hurricane Andrew in connection with damaged
records which were kept in the basement of City Hall. Next, we
engaged the services of an outside consultant from Laguna Hills,
California ("Decision Management Company, Inc.") whose President,
Mr. Pavlovic, is a Systems Integrator Specialist, who was highly
recommended to us by the City of Tallahassee, and the City of
Upland, California.*
Mr. Pavlovic proceeded to review present practices followed by
different departments in our City, and produced a Report making
findings and observations, and recommendations for certain record
enhancement technologies. The Report also outlines the estimated
cost of said system at three different levels of implementation
as well as the anticipated benefits. [Note: Mr. Pavlovic's fee
never exceeded $4,500.00.]
The proposed program is vast in scope, and our only objective, at
this time, is to request that the herein Ordinance be adopted
establishing the program and placing the responsibility and the
administration of said program under the City Clerk. Prior to
the meeting of May 26th, we will meet with members of the City
Commission and the Administration to clarify any possible areas
of concern.
Your favorable consideration and support of this program is
respectfully invited. Thank you.
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*Note: The City of Upland, California was awarded the I.I.M.C.
Award for the best Records Management Program System in
1993. Said City was also the recipient of the Olsten
Award for having the best Records Management Program of
any municipality in the nation the, the system was
developed by said consultant.
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MH : hr 11159
cc: Cesar Odio, City Manager
A. Quinn Jones III, City Attorney
r
14
AkCHIVAL RECORDS AT CITY HALL
These pictures depict tk,, condition of the archives stored in the
basement of Miami City Hall both prior t.*, and after Hurricane
Andrew on August 24, 1992...
43
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WRI
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'WLAIR
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lice ii rr C
SURVEY OF
HURRICANE DAMAGED RECORDS
Prepared for the
Office of the City Clerk
City of Miami, Florida
by
Claire A. Cardina, CRM, CA
August 20, 1993
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TABLE OF CONTENTS
PURPOSE.........................................................................................................................I
EXISTINGCONDITIONS..................................................................................................I
RECORDSINVENTORY...................................................................................................3
ARCHIVES AND RECORDS PROGRAM...........................................................................4
INACTIVE RECORDS STORAGE.......................................................................................6
FUTUREFUNDING..........................................................................................................6
SUMMARY OF RECOMMENDATIONS.............................................................................7
RECORD SERIES IDENTIFIED............................................................................APPENDIX
PHOTOGRAPHS OF RECORDS........................................................................APPENDIX
PURPOSE
The City of Miami, recipient of a grant under the Florida Local Historical Records Grant
Project, requested consultant services to:
Appraise the value and condition of the records in Miami's City Hall basement;
Evaluate the suitability of available physical facilities for storage and preservation
of holdings;
Evaluate the adequacy of the City's proposed system for physical and intellectual
control of the holdings;
Recommend the best methods for treating the damaged materials to ensure their
preservation;
Prioritize short and long term recommendations for the management of the City of
Miami's records; and
Provide recommendations concerning funding sources.
This report details my findings based on an initial visit on May 21, 1993, and five days on
site from July 12, through July 19, 1993. It combines information resulting from detailed
inventory of the records in Miami's City Hall basement and interviews with the City Clerk,
Malty Hirai, Assistant City Clerk Walter Foeman, and Administrative Assistant, Barbara
Brodbar. I appreciate their keen interest in this project as well as their time, full coopera-
tion and insight. I also thank Barbara Brodbar, Mercy Robles -Garcia and Walter Foeman for
so willing spending time with me, gloved and masked, in the basement.
EXISTING CONDITIONS
Miami's City Hall, located in the beautiful Coconut Grove section of Miami, faces the
waterfront overlooking Biscayne Bay. It houses the offices of Mayor, City Commissioners,
City Manager and the City Clerk, as well as the Administrative Office of the Neighborhood
Enhancement Team. The remainder of Miami's twenty departments are located at a variety
of different sites throughout the City.
There is no citywide records management program. The City Clerk's Office has a Kodak
microfilm camera and films such records as Minutes, Ordinances, Resolutions, Contracts,
Leases and Agreements. Original film is stored in Tallahassee at the State Bureau of
Archives and Records Management. City Hall administrative offices as well as certain City
departments had traditionally moved their inactive records to the basement where wood-
en shelving and metal cabinets had been installed. Records were apparently boxed in a
variety of ways and in some cases entire file cabinets were moved down to the basement.
11159
On August 24, 1992, the storm surge from Hurricane Andrew flooded the basement to a
depth of approximately five feet, as evidenced by the watermarks on the wall and the con-
dition of now empty rusty file cabinets, which still remain in the basement.
At the request of the City Clerk, on September 16, 1992, Larry LaFollette, Archives
Supervisor (and Conservator), Florida State Archives, visited City Hall to inspect the site and
review bids for recovery. His report of September 17, states in part that "Unless recovery
efforts are commenced within the next 24 to 36 hours, the effectiveness of the recovery
efforts will be dramatically compromised", and goes on to detail specific recovery require-
ments. Larry also reviewed the bids received in response to the City's RFP recovery assis-
tance, and advised against accepting the low bid option of drying the records on site inas-
much as it was deemed by the City administration to be nonresponsive.
In spite of Mr. LaFollette and the City Clerk's recommendations, negotiations with FEMA
resulted in FEMA's decision to award the contract to the low bidder, whose bid only offered
to dehumidify the records. The records were not frozen as they should have been. Work
did not begin until late October. Two dehumidifiers were brought in to dry the basement
and its contents, including the records in boxes and file cabinets. Resulting present condi-
tions are:
The basement appears orderly. It has probably been swept, but not thor -
oughly cleaned or sanitized. Some debris, including the rusted file cabinets,
remains and should be removed.
The basement is air conditioned but the humidity level is extremely high. The
air conditioning unit leaked water onto the floor during my visit.
The records were not touched during the air drying process. However, FEMA
extended the low bidder's contract to allow them to repack, often too
tightly, into two cubic foot transfile boxes and labeled, with fair accuracy,
with the name of an identifying office or person.
The records stored below the five-foot water level exhibit severe mold,
mildew, rust (from hanging pendaflex file folders), and blocking. (see
attached photographs for examples of average condition. These are not the
worst, just the ones we happened to be inspecting at the time.)
No surface cleaning of the records was done. There is evidence of silverfish,
spiders and new mold growth.
Records stored above the five-foot level are in satisfactory condition, but do
not form complete records series because records of the same series were
stored at different levels.
11159
E
RECORDS INVENTORY
During my visit, with the invaluable assistance of Barbara Brodbar and Mercy Robles -
Garcia, who worked with me in the basement, we inventoried 238 boxes, approximately
476 cubic feet of records. As we opened each box, our procedure was:
1. Identify the department/division, record series title, retention schedule
number, inclusive dates, retention and disposition of the records. (A retention
schedule needs to be established for Lobbyist Registration Records.)
2. Prepare a 3" x 5" card for each record series as it is determined. Prepare
separate cards for different departments with the same record series. The
cards, filed alphabetically by record series title, indicate: the record series
title, retention schedule number, retention period, and department/division.
3. Number the box (sequentially) with a black magic marker. Enter the box
number, inclusive dates, and recommended disposition (destroy, microfilm
and destroy, or retain until retention met) on the appropriate 3" x 5" card.
4. Tag the box with the recommended disposition.
The 3" x 5" cards provide the information necessary to prepare Records Disposition
Requests (107s) and pick lists by box number for the records to be destroyed/microfilmed.
The disposition noted on the box is an additional confirmation.
Unfortunately, it was not possible for me to stay long enough to inventory all the boxes in
the allotted time. Boxes had to be removed from shelves to examine the contents. We set
up work tables in the basement to hold about 15 boxes. The boxes were too big and too
heavy to manage ourselves. The City Clerk arranged for assistance which was cheerfully
given. The necessity to contact help to reshelve inventoried boxes, and pull down new ones
did, however, slow down our progress.
There remain 340 boxes (approximately 680 cubic feet) still to be inventoried. Examination
of these boxes indicates that their content is similar to those already inventoried. With the
system in place, Barbara and Mercy have agreed to continue the inventory until it is com-
plete. They have the 3" x 5" cards and instructions for preparation of Records Destruction
Requests.
A list of the record series identified during the inventory of the first 322 cubic feet is
attached. Of these, 74 cubic feet have historic value to the City of Miami. The City Clerk's
permanent records were placed in the basement after microfilming. The original records
have no intrinsic value and immediate destruction is advised.
3 11159
The Administrative Support Records of the City Manager, and the correspondence files of
the Mayor and Commissioners contain information that is valuable to the history of Miami.
The vast majority of the City Manager's records are damaged beyond salvage or microfilm-
ing. It is my recommendation that these records be destroyed without trying to salvage iso-
lated, out -of -context portions of them.
The records of the Mayor and City Commissioners are in very poor condition. They cannot
be salvaged, but there is a possibility of microfilming them if the City is able to devote the
time, effort, and funds required. It is questionable whether an outside micrographics ser-
vice bureau can be found and that would be willing to work with and properly prepare
these mold infested records for filming. If one can be found, the cost may be prohibitive.
The condition of these records is growing worse. If a decision to film is made, the work
should be done immediately.
It should be noted that the State approved retention for the above record series is three fis-
cal years. The records of the Mayor and City Commissioners do not fall within the collec-
tion policy of the Florida State Archives. When appraised from a local point of view, how-
ever, such records provide substantial documentation of the City of Miami's development,
policies, procedures, and activities, and should be designated as archival.
Other records identified as having historic value include: 1965 bond issue books (2 books);
newspaper clipping files (6 cubic feet); capital improvement project bid tabulating ( 6 cubic
feet); bond books ( 2 cubic feet); Planning Department correspondence ( 4 cubic feet);
Parks/Public facilities Correspondence ( 2 cubic feet); City Manager's Office feasibility
study reports ( 2 cubic feet); Pension/Dinner Key annual financial reports ( 2 cubic feet);
City Manager memoranda ( 14 cubic feet); and Resolution and Ordinance backup files (27
cubic feet).
ARCHIVES AND RECORDS PROGRAM
Florida's Public Records law Chapter 119.01, provides that "All agencies shall establish a pro-
gram for the disposal or records that do not have sufficient legal, fiscal, administrative, or
archival value in accordance with retention schedules established with the Division of
Archives, History and Records Management of the Department of State". Chapter 267.051 (4)
(b), requires each agency to "establish and maintain an active and continuing program for the
economical and efficient management of records". The Rules of the Department of State,
Bureau of Archives and Records Management, establish requirements regarding retention
schedules; records destruction; and the development and application of procedures and tech-
niques designed to improve the management of records, assuring the maintenance and secu-
rity of records of continuing value. Cities are included in the statute's definition of "agency".
Although the statutes require municipalities to have, in effect, a Records Management
Program, they do not dictate how and under whose authority the program is to be carried
out. Because of the nature of the City Clerk's recordkeeping responsibilities it is most appro-
4 11159
priate that local government place records management and archives within that office.
Failure to destroy records in accordance with established retention schedules not only puts
the City at risk, but is also costly in terms if equipment, space and staff time. Greater risk
is incurred by failure to identify and protect vital and historical records. In the City of Miami
at the present time there is no central control. Each department is responsible for its own
records. The City Clerk has established procedures for her office and is aware that central-
ization of the records management and archives functions is necessary. Her staff includes
an Assistant City Clerk, an Administrative Assistant and a Records Retention Coordinator
who are all informed about Records Management. Each of these people have other duties,
however, and no Records Manager or Archivist positions have been designated. A grant
proposal to the National Historical Publications and Records Commission (NHPRC) in
September, 1992, for the purpose of establishing a Records Management and Archives
Program, was not funded. The work plan for this proposal demonstrates, however, the City
Clerk's awareness of the need for and requirements of such a program.
Because of Hurricane Andrew, and delayed and inadequate restoration, many historically
valuable records have been forever lost to the City Such a disaster also provides an oppor-
tune moment to evaluate and plan for the future. Implementation of a comprehensive
Records Management and Archives Program under the City Clerk will:
Ensure that complete records inventories are maintained so each department will know
what records they have and where they are located;
Establish retention periods for all records, and destroy records that are no longer. useful, in
a timely manner, saving the City space and money;
Identify vital records and plan for their protection so the City will be able to fulfill its oblig-
ations to itself, its employees, and its citizens in the event of disaster;
Ensure compliance with the State and Federal regulations and protect the City in the event
of litigation;
Identify and preserve for future generations the City's valuable historic records; and
Arrange inexpensive inactive records in a facility which meets standards of safety and secu-
rity as well as retrieval, destruction or archiving in a systematic manner.
This kind of an integrated approach, with standardized procedures and trained personnel,
will prove efficient and cost-effective for the City of Miami. I recommend that the City of
Miami take immediate steps to implement a comphrensive Records Management and
Archives Program under the Office of the City Clerk, and that such authority be mandated
by local ordinance or administrative order of the City Manager.
5 11159
INACTIVE RECORDS STORAGE
There is an obvious need to locate a suitable storage facility for the inactive records ema-
nating from City Hall offices. Prior to doing so however, the inventory of records in the
basement must be completed and determination made regarding the present and future
quantity of storage space needed. Most of the existing records should be either destroyed
or microfilmed for long term preservation.
For the short term, it may be possible to use another City owned facility. For the long term,
records storage requirements should be based on an inventory and needs assessment for all
City departments under a comphrensive Records Management Program. A complete inven-
tory of all departmental records will also provide the information needed to identify vital
and historical records throughout the City, and to quantify and preserve them.
The primary considerations for records storage include the soundness of the structure, the
safety of the location, fire and burglary protection, accessibility for retrieval/delivery,
destruction of records, and floor load capacity. It is preferable to have a separate building
but if this is not possible, access by nonauthorized personnel working in the building
should be restricted.
FUTURE FUNDING
Although NHPRC did not fund Miami's initial grant proposal, I believe its response encour-
ages a second application. The new NHPRC guidelines state: "in some cases, where state -
based assistance is not feasible, funding for individual local governments may be provid-
ed. Such funding however, will be limited to larger local governments or to local govern-
ments whose records have more than local significance". Miami fits in this category.
Miami's case would be strengthened considerably by showing it is sincere in carrying out
this project if:
a a)) a Records Management Program were to be mandated by the City
Commission;
b) a staff position were to be created to implement the program, and;
c) a site were to be designated as the Records Center.
If these goals were accomplished, I believe NHPRC grant reviewers would then be much
more amenable to approving Miami's request for funding.
A new application should also include added information about: the size of Miami; the sig-
nificance of its records beyond the City, especially in light of the fact that Miami's multi-
6 11159
ethnic, multicultral mix is a microcosm of what many other large municipalities will look
like in the future; the strength of the State program; the fact that State financial assistance
is not feasible; Miami's cooperation with the State; and, the State's leadership role and sup-
port.
SUMMARY RECOMMENDATIONS
It is imperative the City of Miami avoid future loss of valuable historic records and that steps
are taken to ensure the protection of records for which it is custodian. A centralized
Records Management and Archives Program under the City Clerk will provide for efficient
and economical management of City records, ensure compliance with State and Federal
legal requirements, protect the City in the event of litigation, identify and protect records
that are vital to the City and its citizens, and preserve the records of Miami's unique histo-
ry for future generations.
This summary of recommendations is presented with a view toward assisting the City of
Miami with program improvements that will work toward the accomplishment of these
goals.
1. The highest priority must be given to officially designating responsibility for a
comphrensive, citywide, Records Management and Archives Program under the office of
the City Clerk.
2. Present staff must complete the inventory of records stored in the basement of City Hall;
prepare records Disposition Requests for those that have met retention, and destroy them;
and microfilm and, following procedures, destroy those records appraised as having his-
toric significance to the City.
3. Designate and fund a Records Manager position on the City Clerk's staff to initiate and
carry out the program.
4. Prepare a Records Management and Archive Manual to delineate the responsibilities of
the City Clerk and the departments. This manual should include the appointment of
Departmental Records Coordinators, as well as procedures for retention scheduling, trans-
ferring records to a records center/archives, and destruction.
5. Following training of Departmental Records Coordinators, conduct an inventory of all
City records in all departments. The inventory should include records stored at off -site loca-
tions and those that may have been transferred to the Dade County library.
6. Based on the inventories, establish retention schedules for all record series, and identify
those that are vital and/or archival. Retention schedules are permanent records and should
be retained accordingly in the City Clerk's Office.
7. Arrange for the destruction of all departmental records that have met retention.
Departmental Records Coordinators should be given a copy of the completed Records
Disposition Request, and the official copy maintained as a permanent record in the City
Clerk's Office.
8. Determine the present and future anticipated quantity of semi -active or inactive records
and select a records center facility that will meet these needs.
9. Initiate a disaster preparedness/prevention plan that will protect the City's vital records.
Such a plan will also include procedures to be taken should recovery be required for
records in any format or media.
10. Provide for the proper storage and preservation of the City's historically valuable
records.
11. Fund the professional membership and training necessary for the Records Manager to
have the knowledge to properly carry out assigned responsibilities and to maintain aware-
ness of changing requirements.
12. If the City is unable to fully fund a Records Management and Archives Program, seek
additional funding sources including a re -application to the National Historical
Publications and Record Commission.
8 11159
APPENDIX
11159
RECORD SERIES IDENTIFIED
2 C.F. 1965 Bond Issue Books (prospectus) - retained 2
2 C.F. Lobbyist Registration Records (Need to schedule)
6 C.F. Newspaper clipping files (historic, not public record)
3 C.F. Sch. 5, Outside Employment Statements - destroy
88 C.F. BC-1 R2-4a, Administrative Support Records (City Manager) - historically
valuable but condition too poor to save - destroy
2 C.F. BC-1 R24a, Administrative Support Records (Industrial Engineering) - destroy
8 C.F. BC-1 R2-4a, Administrative Support Records (City Clerk) - destroy
6 C.F. BC-1 R2-4a, Administrative Support Records (Asst. City Manager) - microfilm and
destroy
2 C.F. BC-1 R2-12b, Ballots - destroy
2 C.F. BC-3R-17a, Campaign Contributions & Expenditures - destroy
6 C.F. BC-1 R-18c, Bid Records/CIP, Bid tabs. - microfilm
20 C.F. BC-1 R2-18c, Bid Records/CIP, Unsuccessful bids (Public Works) - destroy
2 C.F. Bond Books (City Clerk) - microfilm
4 C.F. BC-1 R2-21b, Budget Records/Supporting Documents (Management & Budget) -
destroy
2 C.F. BC-1 R2-21 c, Budget Records/duplicates (Finance) - destroy
2 C.F. BC-1 R2-23a, Cash Receipts/Reports Records (Marina) - destroy
2 C.F. BC-1 R2-23a, Cash Receipts/Reports Records (City Clerk) - destroy
2 C.F. BC-1 R2-26a, Check Registers (Pension Office) - destroy
2 C.F. BC-1 R2-28a, Canceled Checks (Finance) - destroy
4 C.F. BC-1 R2-34c, Contracts Leases & Agree./duplicates (City Manager) - destroy
10 11159
10 C.F. BC-1 R2-34b, Contracts Leases & Agree./other (City Clerk) - destroy
22 C.F. BC-1 R2-34a, Contracts Leases & Agree. (City Clerk) - microfilm any not already
filmed - destroy
38 C.F. BC-1 R2-34a, Contracts Leases & Agree. (Contract Specs-CIP) - destroy when
retention met; microfilm and destroy where retention not met
16
C.F.
BC-1 R2-36a,
Correspondence (Mayor's Office) - historic, microfilm and destroy
6
C.F.
BC-1 R2-36a,
Correspondence (City Manager) - historic, microfilm and
destroy
26 C.F.
BC-1 R2BC01
R2-36a, Correspondence (Commissioners) - historic, microfilm and
destroy
2 C.F.
BC-1 R2-36a,
Correspondence (City Clerk) - destroy
8 C.F.
BC-1 R2-36a,
Correspondence (Asst. City Manager) - destroy (condition is too
poor to film)
2 C.F.
BC-1 R2-36a,
Correspondence (Parks/Public Facilities) - historic, microfilm and
destroy
2 C.F.
BC-1 R2-36a,
Correspondence (Legislative Affairs) - destroy January 1994
4 C.F.
BC-1 R2-36a,
Correspondence (Planning Director) - historic, microfilm and
destroy
5 C.F. BC-3R-49f, Financial, Disclosure Statements - destroy
2 C.F. BC-1 R2-53a, Feasibility Study Reports (City Manager) - microfilm and destroy
2 C.F. BC-1 R2-57c, Annual Financial Reports/duplicates - destroy
2 C.F. BC-1 R2-57a, Annual Financial Reports (Pension/Dinner Key) - historic, retain
2 C.F. BC-1 R2-67b, Journals, General/Daily Transactions - destroy
1 C.F. BC-1 R2-70a, Legal Advertisement Records - destroy
1 C.F. BC-1 R2-81 a, Memoranda (City Clerk) - destroy
14 C.F. BC-1 R2-81 a, Memoranda (City Manager) - historic, microfilm and destroy.
14 C.F. BC-1 R2-83c, Minutes/duplicates (Commissioners) - destroy
4 C.F. BC-3R-80b, Poll Lists (City Clerk) - destroy
8 C.F. BC-1 R2-100a, Project Files/Cap. Improvements - badly damaged, destroy
3 C.F. BC-1 R2-106a, Purchasing Records (City Clerk) - destroy
8 C.F. BC-1 R2-115b, Resoultion & Ordinance Back-up Files/duplicates
(Commissioners) - destroy
2 C.F. BC-1 R2-115b1 R2115b, Resolution & Ordinance Back-up Files/duplicates
(Mayor) - destroy
18 C.F. BC-1 R2BC1 R2-115b, Resolution & ordinance Back-up Files/duplicates
(City Manager) - destroy
27 C.F. BC-1 R2-115a, Resolution & Ordinance Back-up Files (City Clerk) - historic,
microfilm and destroy
4 C.F. BC-1 R2-116b, Resolution Records/duplicates (City Clerk) - destroy
2 C.F. BC-1 R2-121 a, Telephone Message Records (City Clerk) - destroy
3 C.F. BC-1 R2-121 a, Telephone Message Records (City Manager) - destroy
2 C.F. BC-1 R2-113b, Voter Registration Books/duplicates (City Clerk) - destroy
12 11159
13 11159
MIAMI DAILY BUSINESS REVIEW
Published Dally except Saturday, Sunday and
Legal Holidays
Miami, Dade County, Florida.
STATE OF FLORIDA
COUNTY OF DADE:
Before the undersigned authority personally appeared
Sookle VAIllams, who on oath says that she Is the Vice
President of Legal Advertising of the Miami Dally Business
Review tilde Miami Review, a daily (except Saturday, Sunday
and Legal Holidays) newspaper, published at Miami In Dade
County, Florida; that the attached copy of advertisement,
being a Legal Advertisement of Notice in the matter of
CITY OF MIAMI
ORDINANCE NO. 11157
In the .......... XXXXX...................... Court,
was published In said newspaper in the Issues of
Jun 17, 1994
Affiant further says that the said Miami Dally Business
Revisw is a newspaper published at Miami In said Dade
County, Florida, and that the said newspaper has heretofore
been continuously published In said Dade County, Florida,
each day (except Saturday, Sunday and Legal Holidays) and
has been entered as second class mall matter at the post
office In Miami In said Dade County, Florida, for a period of
one year next preceding the first publication of the attached
copy of advertisement; and afflant further says that she has
nelth nor promised any person, firm or corporation
any sco t, rebate, commission or refund for the purpose
of u g thla ertlsement for publication In the amid
p r. ►
Swom to and aubscrib fore me this
17 June 94
...... d of .....�.—�......... ^., A.D. 1 .....
......... C3FfifYlM1� AKT•+�EA.a...... .....
(SEAL) AGNES E. PE:vA
VaN: AR. Bu
c srATE OF FLORMA
ASookle WIIms ,lip"Ntt1 QC 172106
MY
MIAMI DAILY BUSINESS REVIEW
Published Daily except Saturday, Sunday and
Legal Holidays
Miami, Dade County, Florida.
STATE OF FLORIDA
COUNTY OF DADE:
Before the undersigned authority personally appeared
Sookle Williams, who on oath says that she is the Vice
President of Legal Advertising of the Miami Daily Business
Review flkla Miami Review, a daily (except Saturday, Sunday
and Legal Holidays) newspaper, published at Miami In Dade
County, Florida; that the attached copy of advertisement,
being a Legal Advertisement of Notice In the matter of
CITY OF MIAMI
ORDINANCE NO. 11259
In the .......... XXXXX ..................... Court,
was published in said newspaper In the Issues of
May 26, 1995
Afflant further says that the said Miami Daily Business
Review is a newspaper published at Miami in said Dade
County, Florida, and that the said newspaper has heretofore
been continuously published In said Dade County, Florida,
each day (except Saturday, Sunday and Legal Holidays) and
has been entered as second class mall matter at the post
office In Miami In said Dade County, Florida, for a period of
one year next preceding the first publication of the attached
copy of advertisement; and afflant further says that she has
neither r promised any person, firm or corporation
air" oun rebate, commission or refund for the purpose
of s rin this advertisement for publication in the said
news
Sworn to and subscritore me this
26 �.- May 95
�dj� of �•••••or« .�..... D. 19..... .
i W."
(sEAL)Sookle Wllllams p D meN
.rSEAL
M
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ORDNANCE NO. 11127, _ADOPTED 41114RCH". 24. 11
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ENFORCEME? AUTICTHS. CITY 1�AANA M
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