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R-94-0352
J-93-765 5/23/94 94- 352 RESOLUTION NO. A RESOLUTION ELECTING AND REAPPOINTING MATTY HIRAI AS CITY CLERK OF THE CITY OF MIAMI, FLORIDA, TO HOLD OFFICE AS PROVIDED FOR IN THE CITY CHARTER; AND FIXING SALARY AND BENEFITS FOR SAID REAPPOINTEE. WHEREAS, the City Charter provides that the City Commission shall elect and appoint a City Clerk; and WHEREAS, the City Commission is obligated to elect and appoint a City Clerk to hold office until the first Commission Meeting following the next regular City election, as provided for in the City Charter; and WHEREAS, the City Commission, at its meeting of November 23, 1993, deferred the election and appointment of the City Clerk until April 1994; and WHEREAS, Matty Hirai has competently performed her duties as City Clerk in a capable and professional manner; and WHEREAS, the City Commission directed that the City Attorney, City Clerk and Assistant City Clerk be granted a ten percent (10%) increase in salary in addition to the equivalent amount to be applied for pension purposes; CITY +COMKISSION MEETING OF MAY 2 3 1994 Resolution No, 4- 352 1 NOW, THEREFORE, BE IT RESOLVED BY THE COMMISSION OF THE CITY i OF MIAMI, FLORIDA: Section 1. Matty Hirai is hereby elected and reappointed as City Clerk of the City of Miami, Florida, to hold office until the first meeting following the next regular municipal election, as provided for in the City Charter. Section 2. Matty Hirai is hereby granted a ten percent (10%) salary increase based upon her present salary, to become effective May 23, 1994. Section 3. It is further granted that, for pension purposes, the annual salary for Matty Hirai will be $135,694.24, to become effective May 23, 1994. All salary increases for pension purposes approved herein above Matty Hirai's annual salary of $102,991.82, less any increases in payroll deductions related to such salary increases, will be reimbursed by Matty Hirai to the City as long as she remains on the City's payroll. i Section 4. Matty Hirai shall be reimbursed by the City for her ten percent (10%) employee contribution, or she may, at her option, participate in any one retirement program which heretofore has been authorized by ordinance of the City of Miami, Florida. -2- 4- 352 j Seotion B. Matty Hirai is further entitled to all benefits upon the same terms and oonditions presently existing. Seotion 6. This Resolution shall beoome effeotive immediately upon its adoption. PASSED AND ADOPTED this 23rd da of May , 1994. STEPHEN P. CLARK, MAYOR ATT MATTY HIRAI CITY CLERK APPROVED AS TO FORM AND CORRECTNESS: • .. -- A. Q11NN J S, III CITY ATTr3921 Y AQJ:osk: -3- '4- 352 CITY OF MIAMI, FLORIDA INTER -OFFICE MEMORANDUM Honorable Mayor and Members DATE MarOh 23, 1994 FILE: J-93'"7188 TO : of the City C= dzsion SUBJECT : SLeotion and Appointment of City Offioers FROM : A. J IIT REFERENCES : city ©omni,ssion x0etirg City At Apil 14, 1994 ENCLOSURES: (2) The provisions of the City Charter require that the City Commission eleot and appoint the City Clerk and City Attorney to hold offioe until the first meeting fallowing the next regular City eleotion. The City Charter also provides for the appointment of the City Manager, however his term of offioe is indefinite. At the November 23rd City Commission Meeting the City Commission deferred the eleotions and reappointments of the City Attorney and City Clerk until the April 14, 1994 Meeting. The attaohed resolutions are being submitted to the Agenda Offioe for plaoement on said Meeting Agenda. BSS:P944 oo: Cesar H. Odio, City Manager Natty Hirai, City Clerk 3-1 0j4- 352 LE CITY OF MIAMI, FLORIDA INTEROFFICE MEMORANDUM TO: HONORABLE MAYOR STEPHEN P. CLARK AND MEMBERS OF THE CITY COMMISSION FROM MATTY HIRAI City Clerk DATE : May 23, 1994 SUBJECT: New projects within the City Clerk's Office REFERENCES: ENCLOSURES: A. FIRST STEPS TO BE TAKEN PHASE I: PERMANENT] ISH _an FILE : FOLLOWING APPROVAL OF THE T PROJECT. OFF -SITE RECORDS CENTER VE RECORDS. GOAL: * Identify an available City facility to establish an off -site quick retrieval records service center for non -active records. PLAN: * Catalogue, file and centralize said records, and purge non -essential duplicate information. f OBJECTIVE: * Avoid use of expensive floor space for the storing of City records by reducing all City fdepartment's "on -site" record storage by fifty j percent (50%). [Note: In the case of Dade County, once they were able to implement Phase I of the Program, it translated into a cost savings of $2,648,466.00 (or equal to freeing 25,030 cubic feet of space, which avoid the need/or construction of one additional floor in the Metro Dade Center. It took the County between eight to nine months to accomplish this first phase.] PHASE II: RETENTION AND DESTRUCTION PROGRAM. 94- 352 GOAL: * To establish a retention and destruction program in each City department for documents that have exceeded their legally required life -cycle PLAN: * Directives will be issued to all Department Directors. The Records Manager shall train the department's Liaison Officer on the procedures to establish customized departmental schedules for documents within their department. * Will prepare and distribute a Manual of Instruction for City departments. (Note: In this regard, over and beyond having one central comprehensive manual in the Office of the Records Manager, we will issue individual procedures manuals for each City department specifically covering the documents housed in their department, and clearly identifying the specific legal requirements they must comply with.) * Promote Citywide awareness through a Records Management Awareness Week, in conduct with the National Association, by proclaiming a "Records Management Awareness Week," and distributing brochures containing capsulized concepts and guidelines required under the law. Shall prepare a video which can be rotated among the various City departments to visually show and demonstrate what an efficient system should ibe capable of accomplishing. (Note: We are and will continue to work very closely with Metropolitan Dade County in this respect). PLAN: * We intend to closely work with the Office of Computer Services and Information Systems to improve the City Manager's Office filing and tracking system. OBJECTIVE: * To improve the retrieval/tracking of information. RESULTS: * Will develop and distribute written office procedures applicable to the City Manager's Office filing and tracking system. * Will purge duplicate information and consolidate the City Manager's files. We will also identify inactive records which shall be sent for storage to the Records Center. 04- M2 B. GOAL: IMPROVE MICROGRAPHICS PROGRAM. PLAN: * Review all City requisitions for Micrographic products, establish a working relationship with a non-profit vocational rehabilitative service agency for low cost/quality microfilming. (Note: Metro Dade County has successfully implemented such a relationship, and savings have been substantial, to the point where total cost was slashed by almost one-half. COST SAVINGS:* By centralizing the Micrographic Services, the City will save substantial monies previously spent for similar type piece -equipment and supplies stationed at various City facilities. CONCLUSION The establishment of a comprehensive Records Management Program will, from the start, free up expensive office space presently occupied by inactive records which could be stored off -site. We have entered into various partnering agreements with vendors (e.g.: Kodak, Minolta, Xerox, and 3-M Micrographics) who have selected different aspects of our Records Management Program to conduct, on a pro-bono basis, an in-depth study of certain designated areas to be able to recommend to the City the most cost-efficient avenues for enhancements through implementation of available technology. For instance, Kodak Corporation has already completed its analysis involving our Emergency Preparedness Office as to the substantial savings to be derived through off -site storage of inactive City records, as well as, from the implementation of optical imaging technology for the storage and retrieval of data. There is no doubt that the City can no longer continue to ignore the need for a centralized Records Management Program. Implementation of said program would avoid and eliminate, among others, following recurrent problems, as well as, the high cost associated therewith: * Delays in document retrieval due to excess paper filed and the recurrent, unnecessary, duplication of files, as well as the lack of a Citywide uniform indexing system. * Documents are being retained or destroyed in excess because retention schedules are not adhered to by certain City departments, are not enforced by some other departments on totally nonexistent in others. (Attached hereto please find a Surveys Findings and Recommendations report recently prepared 94- 352 by a consultant, procedures followed by most City departments'. His finding form the basis of the report we attach hereto.) * Will eliminate misfiled or missing information due to lack of control and the absence of a standardized to indexing. * Will prevent loss of file security created by a lack of strict access control in connection with certain designated types of documents. Will completely prevent present unproductive use of expensive office space dedicated to documents' storage. It will also put a stop to the unproductive use of office personnel due to inefficient filing and retrieval systems presently being used. * Will prevent unnecessary delays in the "decision making process" due to the inaccessibility of critical information. Between now and the next regular meeting, our Office will meet with the City Manager to present and discuss with him proposed timetables which we have estimated for the implementation of this program, which due to its vast scope, will have be implemented in various phases,'based on the availability of monies. We have also been meeting with Chief Gimenez, Fire Chief, and to the Off -Street Parking Authority, who are planning the acquisition and implementation of optical imaging technology. We shall work in unison in order to bring the implementation cost of said program as low as possible. However, we are happy to say that the savings to be derived following full implementation of the program, will be so substantial that both consultants we have dealt with as well as other reputable studies that have been conducted based on actual, real experiences with this application by other countries/cities throughout the United States, agree that the system will easily pay for itself within two to three years, following which period it will begin to generate substantial positive cash flow for the City. Lastly, I would like to convey to you that last week I had a meeting with Mr. Gregory A. Carney, from Andersen Consulting, whose firm is the Project Manager for the Integrated Optical Imaging System Program to be instituted by Harvey Ruvin's Office, Clerk of the Court and County Commission, which firm is in charge of analyzing all Requests for Proposals which are received in connection with said project, and whose firm has also been retained to act as Project Manager throughout the total implementation of same. I informed Mr. Carney that we are meeting with Mr. Ruvin this week, and he expressed that Mr. Ruvin will probably be very happy to hear about our plans since it is also his philosophy to develop, for the future, more and more joint collaborative efforts, between the City and the County, 94- 352 geared to servicing our County residents out of many sites the like of our Net Offices and Mr. Ruvin's concept of "Kiosks", to be located throughout the County, or any other similar type site of which could provide information, guidance, and needed data by our County residents at the neighborhood level, saving them the need to displace themselves forcing them to travel to the Downtown area in order to obtain said information. We are most excited about this project, and shall certainly come before the Commission seeking its supports and guidance through the different stages of this Program. MH:hr ENC: a/s 94 - 352 ATTACHMENT A APM)OX E SUMMARY OUTLINE I. BACKGROUND The August 24, 1992 hurricane disaster clearly depicted Miami as a governmental entity without a protective vital records program, as a critical component of a Records Disaster Prevention and Recovery Program. In order to ensure against any future recurrence of inadequate disaster records planning and recovery procedures, the City of Miami, through the Office of the City Clerk, is proposing the following vital records restoration, rotection and preservation program from the •Hurricane Andrew ecovery Rebuilding Trust fund.' II. PURPOSE AND GOALS The City of Miami Clerk's Office is requesting funds from the Hurricane Andrew' Relief bill of approximately $269,438.78 to restore vital records, and develop and implement a Citywide Vital Records Restoration$ Protection and Preservation/Records Disaster ` Prevention and Recovery Program. Goals include Improved organizational efficiency and cost-effectiveness In setting forth procedures for salvaging important records that were damaged as a result of Hurricane Andrew; increased offslte security and public j informational access to the City's vital records, identification of hi4torically significant vital City records to be preserved as ■0 or collections; implementing uniform policies, procedures, and departmental standards by producing a Records Disaster Recovery Plan and ongoing Citywide safety education and training program, pnd preparation of a written Vital Records Protection Plan, as well as a Records Disaster Prevention and Recovery Plan. Finally, the aforementioned initiatives will be synthesized into the already axlsting Disaster Preparation Plan of the City of Miami. 111, STATEMENT OF THE PROBLEM This proposed program reflects Miami's commitment to establishing a comprehensive vital records protection program, through inclusion of classifications and procedures for protection of vital records, and protection against destruction and unauthorized disclosure; establishment of a vital records center for the housing of vital records, and to maintain same in a secured environment offering maximum access to a variety of users. For nearly a century, the City Clerk's Office has been the official records custodian for the City Commission. However, a the minutes of City Commission proceedings, along with ordinances and resolutions which have legal force emanating from legislative 94- 352 i action by the City Commission meeting, represent only one category of vital records which are essential to the continuity of the City of Miami's administrative operations, as well as protecting rights of government and of Its citi2ens. Several other categories of records should be either restored and/or protected ' and preserved against future potential disasters. These records are also vital, and deserve special consideration in setting up a vital records program. 1. Financial records which show a record of obligations owed to the City of Miami of government. 2. Records that are essential to the operations of the City and would be difficult to reconstruct (files of blueprints housed in the Public Works Department showing the location of the City's underground water lines, records showing the basis for tax assessments that are housed in the City's Finance Department. 3. Records that document obligations of the City to its employees (which are housed in the City's Department of Personnel Management, and show job status, retirement, and other accrued benefits). Year One 11. Conduct and evaluate current records media in ail City departments. 2. Develop a vital records master list (see Appendix A). 3. Identify vital records as part of the inventory process, considering the consequences of loss each piece of information would have on each City department and for the City. 4. Restore those vital records that were damaged resulting from Hurricane Andrew. b. Develop procedures for transfer of vital records and storage of same. G. Develop the obJectives for a Records Disaster Protection and Recovery Plan, 7. Transfer vital records to a centrallzed vital records center, according to established procedures (which shall include a vital records master list) for handling of vital records. 8. Hire a Vital Records Recovery and Preservation Coordinator. 9 2 94~ �52 . t ti ` �9. Procure the Administration's commitment'�'to designate staff person to serve as the Disaster Records Recovery Coordinator. Year ,Two 1. Design a vital records protection manual (which lists all vital records according to department) containing both the vital record code number and retention date. a. Establish policies on how to determine whether a record is vital, what to do to protect a vital record, how to access and retrieve a vital record, etc. 2. initiate a Citywide safety education training program defining procedures to protect vital records. 3. Establishment of a model vital records protection program. 4. Establishment of a model disaster records planning, prevention and recovery program. a. Establishment of a recovery priority by type of records media master list. ' b. Establishment of a Records Disaster Prevention and Recovery Manual. The Governor's Disaster Planning and Response Review Committee Final Report (hereinafter referred to as the Lewis Report) identified funding recommendations for restoration and implementation of strategies which addressed destruction and damage of residential property; homelessness; destruction and/or damage to business, farmland acreage, public schools, health facilities, traffic signs and signals; power lines; water mains; loss of electricity and telephone service. Also, the Lewis Report outlines certain constraints contained therein, including the failure to address the issue of serious flooding primarily because Hurricane Andrew was a relatively dry hurricane. This tact is further accentuated in the body of the report, wherein the only relevant section that hints indirectly to vital records protection is relatlog to improvement of planning for post -disaster response and recovery. Since 1900, Miami's population has grown from 1,681 residents to a sophisticated world -class city, home to 3S99000 people representing an incredible diversity of cultural traditions and ethnic heritage. However, Miami's population growth has outpaced its growth in technological advancement in government through office automation In responding to the challenges of public informational access, and protection and preservation of vital 3 54- 352 governmental records. As Miami's growth continues' nto the next century, it is appropriate for the City Clerk's Office to take a pivotal role in consolidating, citywide, all vital City records, preserving and protecting them for future generations. IV. PLAN OF WORK (See section of the proposal entitled "Plan of Work• for a detailed explanatioh of :methodology for establishment of a Vital Records Restoration, Protection and Preservation/Records Disaster Prevention and Recovery Program including references to techniques.) A detailed work plan with time -lines was develoaed for this proposal. Major activities include: V. PRODUCTS o Enactment of a model vital records protection ordinance. o Centralized facility for records storage, vital records protection. o Vital Records Protection Manual. o Establishment of Citywide Safety Education Program. o Establishment of a model Vital Records Protection Action Plan/Disaster Prevention and Recovery Program. o Establishment of a vital records master list detailing all vital records In each department. o Preparation of a written Disaster Records Recovery Plan that includes departmental recovery procedures, disaster team listing, priority records schedules equipment needed and computer application documentation. o Recovery priority by Type of Records Media Master List. o Establishment of a Disaster Records Recovery Manual. YI. KEY PERSONNEL Project Director: Telephone: Address: Records Coordinator: Administrative Assistant III: Records Managers City Archivist: Vital Records Recovery and Preservation Coordinator Walter Foeman (305) 250-5360 3500 Pan American Drive Miami, FL 33133 Mercy Robles -Garcia Barbara Brodbar To be hired To be hired; (To be hired) f 4 4- 352 BACKGROUND J� in the early morning hours of August 249 1992, Miami was devastated by one of the most intense hurricanes to hit the United States in this century. Wind gusts were measured up to a stunning 175 mites per hour. The storm surge in South Dade County reached 16.9 test, the highest known in southeastern Florida. More than 65,000 homes were severely damaged or totally destroyed, and 160,000 people were left homeless in Hurricane Andrew's wake. Miami's City Halle listed in the National Register of Historic Places, is on Biscayne Bay's shorefront. Although not directly hit by the hurricane's center, the storm surge at City Hall measured 8.8 feet. Records stored 1n the basement were burled in five feet of filthy salt water, debris, and seaweed (see Appendix B, Damage Report Survey finalized by F.E.M.A.). RECORDS_STORED IN BASEMENT OF CITY HALL_ The damaged materials in the basement are primarily paper records, some stored in metal cabinets, some stacked on shelving, and much of it on the floor. An estimated 750 cubic feet of public records were subjected to water damage and quickly developed mold spores (refer to Attachment A for more specific details). We estimate that approximately two-thirds of these records are past their retention period and can be scheduled for destruction. However, it is not clear whether any of these retards could be categorized as being vital to the City of Miami. Some of the remainder includes records collections which have historical value to the City because they document the growth of Miami. Examples include records of public works projects performed during the past twenty years, designation of plats and municipal subdivisions, City Charter amendments, and papers belonging to Mayors Maurice Ferro and Xavier Suarez. These last two collections, in particular, have archival value because they Were produced during the past twenty years, a period In which Miami experienced tremendous immigration from Cuba and Haiti, and, in the process, was involved in precedent -setting arrangements with state and federal agencies. Unfortunately, no one ever prepared a complete inventory of the records stored. in the basement prior to the hurricane's destruction. We were able to get the conservator from the Florida State Archives to fly to Miami on September 16th for a damage assessment. His report findings are as follows: 'When paper records are subject to flooding, they dry from the top down and from the outside surfaces 1n; as the water drains out and the outer edges are exposed to the air. The records in question were no different. The top boxes and layers of loose records had dried sufficiently that they could be removed, any mold or mildew brushed off with a soft brush (this should be done outdoors), and the items re- 5 34- 352 i� boxed. The middle layers are damp and tYv bottom layers are still quite wet. Not having a moisture ureter, it is impossible to give an exact reading but the damp materials need to be dried immediately or frozen and the wet items most definitely need to be frozen. The room also contained a series of file cabinets that were not accessible. No attempt was evade to assess the condition of the materials therein, but it may be suspected that they will be some of the most seriously mildewed. The cabinets will slow the drainage of water from the records and prohibit any air circulation. It may also be suspected that, depending on the age and condition of the cabinets; there may be significant metal oxidation intrusion on the records. Fortunately, my examination of the records turned up almost exclusively records created with either print inks or typed. While there will most certainly be some mimeograph inks, aniline dyes, and coated papers to contend with, the lack of feathered and bleeding items give cause to suspect a high level of recovery success. Unfortunately, however, such optimism must be restrained in deference to the mycelium and hyphae found on some of the materials. Those items which have access to even minimal oxygen have started to grow mold and mildew. Unless recovery efforts are commended within the next 24-36 hours, the effectiveness of the recovery efforts will be dramatically compromised. The following points should be given very serious consideration in your recovery efforts: o All materials should be checked for compliance with their retention periods. Those Items that have met their retention requirement should be set aside for destruction. o Those items remaining should be re -boxed and note made of the contents on the outside of the carton 1n Permanent ink. The carton should then be assigned a number and so marked with a permanent marker and that number recorded In a ledger noting that number, the contents of the box, the date it was packed, the final retention date, and the contract vendor to which it was assigned. o Materials should be re -boxed in accordance with the specifications of the contract vendor. In 6 I4- 352 general those specifications are that )�.H.ems be separated into packets no more than 2" 'thick and wrapped In freezer wrap or wax paper to prevent their sticking together. if at all possible do not separate items within a folder. Boxes should be packed no more than 314 full to allow air circulation and the vendor may request small holes be placed in the side of the box to improve air flow. o At no time should cleanup be attempted on site. This only complicates the process and places the newly boxed materials at a higher risk of contamination from mold spores. o All damp or wet materials should be frozen and either vacuum dried or vacuum freeze dried depending on the resources of the vendor. o Before any materials are returned to the affected area it must be completely rehabilitated. This will require that all surfaces be disinfected with a fungicide such as OPP, 10% bleach and water, or •Lysol• as directed. All surfaces mean floors, ceilings,' walls, and pipes. In addition, dehumidifiers should be installed with accompanying fans to circulate the dry air and prevent the formation of stagnant air pockets. Finally baked enamel shelving should be installed and boxes stored ' no less than 220 off the floor. o Please keep 1n mind that the best recovery efforts do not kill all the mold spores. Recovered materials, given the proper conditions, will soon develop new mold activity. It 1s of paramount importance that all recovered materials be monitored for six months to a year attar their return for signs of mold outbreak. Per your request, I have looked over the bids returned in response to your RFP recovery assistance. In reviewing the proposals both the high bid and the middle bid seem to provide the services you require. I do, however, have grave reservations about the response of the low bidder. My first concern is that they do not seem to grasp the gravity of the problem at hand. In -situ drying Is fine for areas that have experienced minimal water intrusion. It works well for drying floors, walls, carpets (sometimes) furniture; but not for books and records that have been submerged. It does not address the problem of •blocking" that tends to take frozen 1t materials i alreaardoes t need a to i beer dried and 7 4— 352 �• reconditioned, but this is only a minor part of the problem. This leads to my second concern. I am also hesitant to commend their trying to recover any records 1n-situ. It is Generally considered to be very bad form to try and recover materials on site. This slows the recovery process and risks the spread of mold spores to re -boxed materials. All materials should be removed from the area, treated as appropriate, and only returned to the area after it has been thoroughly disinfected and rehabilitated. I am finally concerned that they have grossly under estimated the time needed to do an effective job of recovering your records. Once they start to dry out the air the records are also going to start drying out. This means they either need to blot, fan, interleave, or do something to keep the records from 'blocking" or sticking together in clumps. I honestly do not believe that one person for one week can accomplish all that would need to be done to provide the satisfactory product you need. if I may be of any further assistance in this regard, please do not hesitate to contact me.' Larry LaFollette FEDgRAL EMERGENCY MANAGEMENT ADMINISTRATION RECORDS The City of Miami's Hurricane Andrew Recovery Team has, for the past nine months, centralized those records in connection with claims, reimbursement and documentation files relating to Hurricane Andrew, formally referred to as F.E.M.A. record - keeping, which will seek reimbursement for the City of about 120,0009000 in hurricane -related operational costs, and 1790006000-$209000tDOO in building losses. Processing claims for the City of Miami to be reimbursed by F.E.M.A. has been made a lot easier since cost documentation records have been brought together under 10,000 square feet of office space, at $11.00 per sq. ft., on the Sth floor of the Dupont Plaza Center. with 15 key City workers comprising the Recovery Team, in one location. This helps F.E.N.A. inspectors and private insurers to handle City claims more efficiently. It 1s anticipated that it will take approximately 3-5 years before all reimbursements to the City are complete. The retention schedule for retaining these records is seven years. At 'the present time, the volume of said documents occupies approximately three legal size lateral file cabinets and four legal size standard file cabinets. Therefore, based on the present rate of growth for file cabinet space, or roughly one legal size lateral file cabinet every 3 months, 1t is projected 6 4— 352 �•' that, for the first year, said Recovery Team wi1.le occupy four legal size lateral file cabinets. if one were to multiply that times the retention schedule of seven years, it is projected that the City of Miami's Hurricane Andrew Recovery Team will occupy approximately 28 legal size lateral file cabinets. Additionally, since the Recovery Team has occupied four legal size standard file cabinets for -the last nine months, it is anticipated that two additional legal size standard file cabinets will be used for the duration of the retention period (based on the projected rate of file growth). A description of these records includes the following: originals of all documentation with damages and expenses related to Hurricane Andrew; damage survey reports (DSRs) with backup material, be it documents, purchase orders, invoices, reimbursement packages, insurance claim packages, and records of correspondence between City Departments, the City and the State of Florida, and any other agency or organization having interest to any specific DSR. The documents that are being housed by the City of Miami's Hurricane Andrew Recovery Team are critical to several phases of the reimbursement process. They are essential to the preparation of initial estimates of damage and expenses, in the preparing of reimbursement requests to F.E.M.A. through the State of Florida, and In preparing insurance claims. These documents are also subject to audit, and because of that, even if the City does, in fact, receive :ponies in connection with a certain project at the beginning of the reimbursement process, and are subsequently audited but cannot produce sufficient documentation to satisfy the auditor, the City may be required to repay the money that we cannot substantiate. it is anticipated that combining the total value of reimbursement, both from F.E.M.A. and insurance claims. should realize a grand total reimbursement of over $4090009000 to the City. Said amount is essential to the continued financial I security and stability of Miami. LAW DEPARTMENT The damaged materials on the third floor of the Dupont Plaza Center, located at 300 Biscayne Boulevard Way, Miami, Florida 33131, were primarily paper records (legal pleadings) which were stored on the floor of one of the Assistant City Attorney's offices in file cabinets. An estimated 49416 pages of legal pleadings 1n connection with the court Case of Tyres v. Cit of Miami (wrongful death action) were damaged- aue— ra wa er 'fin€ usion. These pleadings tat for approximately ten days, before contracting out with slacks Printing Services, Inc. to be duplicated. These records are not beyond their retention schedule, and inasmuch as the Tyres court case is still pending, they cannot be scheduled for— siruction. These records are vital, according to Law Department officials, because of the potential cost to the City of Miami if all pleadings from the Tyres case were lost. To put this cost 1n dollar terms, if all 9 34- 352 { vital records were destroyed tomorrow, it would takft hundreds of man hours to reconstruct the information, at a cost to the City that is uncertain at this time. These active litigation files detail records of pending financial obligations owed to the City, or to third parties. Furthermore, if the Tyres case is lost through sheer inadvertence of the City, tFe resulting legal .impact would be financially significant. The City of Miami was offered a $96,500 settlement; however, said settlement amount was rejected by the City of Miami. Additionally. another Assistant City Attorney had approximately 30-40 active litigation cases that were damaged due to water intrusion to these paper records. These documents are vital since, on an average, each record potentially represents between $100000 to $50s000 in revenue to the City. However, several cases, namely: Watson Island ($332 million), Dads_ Count Jail $2.5 mi 111oniT, IRT—Ri'a_m3' 1aader Co. - Fire Sta"V on W . TTI:3 million), potentially represent substantial reven►,e to the 'City. A significant number of documents from the cases received direct water intrusion from a leaky roof in said office. Said documents, located on the desktop of the secretary of one of the Assistant City Attorneys, included pleadings to and from opposing counsel; letters to and from opposing counsel; discovery documents that were sent out and received from opposing counsel; e' memoranda to the City Commission regarding said matter, etc. If the aforementioned records were destroyed and not damaged, it would require 300 man hours of wotk to reconstruct said litigation files. Since they were damaged, it took approximately three working weeks to completely dry said files, to the extent that one Assistant City Attorney maintained a clothesline in his office to better facilitate said drying process. PERSONNEL MANAGEMENT The damaged records on the second floor of the Dupont Plaza Center were primarily personnel files, which were stored on the floor of the Department of Personnel Management (see attached photographs. An estimated 85 boxes, or 128cubic feet were damaged due to water intrusion. which was caused by a damaged roof. These personnel records were vital because they are all original records, without any duplication of same. Therefore, making duplicates is all but impossible. Furthermore, because approximately 3% are being used as part of active litigation on behalf of the City, the resulting legal import, if destroyed, would be significant. Because the aforementioned records have not been restored and no Disaster Survey Report application has been made to F.E.M.A., and no restoration process resulting from water damage was undertaken, the probability of mold spores exist. Therefore, some professional consultation methods should be undertaken to recommend the appropriate salvaging method, vacuum freeze drying, vacuum drying, freezing, air drying, etc. 10 : 4- 352 DEPARTMENT OF DEVELOPMENT The records on the fourth floor of the Dupont Plaza Center (same address as previously mentioned above) were paper records that were damaged and/or destroyed, including maps and graphic displays and ma,or•joint multi -million dollar projects which were used for presentations at various meetings; architectural blueprints of several Southeast Overtown/Park West redevelopment projects (Bayside Specialty Center, Fire Station No. 4, etc.), and City plat books. Also damaged was a computer hard disc containing a number of development files and two requests for proposals documents for projects located in Watson Island and Virginia Key. Inasmuch as it takes approximately 40 hours to duplicate the process for the RFPs for said projects, we are talking about not only loss of time, but also the 'labor cost of approximately $3,000 of an employee's salary in working on said multi -million projects. what our most recent survey in Miami has 1s value in government protecting its Furthermore, if •we, in the City of Miami, instituted a disaster records prevention with a vital records protection component, the consequences of Hurricane Andrew. II. PURPOSE AND COALS shown us is that there recorded information. could have previously and recovery program, we could have reduced The Miami City Clerk's Office is requesting funding to design and implement a vital records protection program. To optimally restore protect and preserve vital records documenting the City's essential activities, Miami must also establish a comprehensive, Integrated records management and archival system which will be uniform across all City departments. The system will be under the direction of a qualified Records Manager working out of the City Clerk's Office. However, for purposes of this request, our focus is only on vital records, as one component of a comprehensive records program Miami is also requesting Hurricane Andrew relief funds to hire a Records Recovery and Preservation Coordinator. The goals of the Vital Records Protection Program are to: o ►rovide the most efficient and cost-effective records system including space, equipment, procedures for creating, storing, retrieving, retaining, transferring, and disposing of vital records, streamlining forms and reports, and preserving vital historical documents. o Assume a leadership role in fostering cooperative efforts among the various organizations working to preserve Miami's vital historical resources. -- 352 { o Establish a written vital records protectiri- plan to be adopted by the governing municipality. o Establish a disaster records recovery plan for both electronic records, as well as for paper records (closely allied with the vital records program) which will evaluate different types of disasters. and outline procedures to be followed in reconstructing records that are duplicated, and for salvaging records damaged as a result of z disaster. o Design a comprehensive Vital Records Management Manual. o Develop a Citywide safety education and training program. o Evaluate current records media in all City departments. o Compile a Vital Records Master List which identities all vital records in each department. o Locate and establish a central facility for the protection and preservation of vital records. The goats to a Disaster Records Prevention and Recovery Plan are to: t 1. Facilitate effective and efficient methods of S preventing records destruction and damage. 2. Facilitate efficient coordination of recovery tasks. i 3. Minimize interruption of normal operations. 4. Establish an alternate means of operation. S. Provide smooth restoration of services and operations S. Minimize economic impact resulting from , records destruction or damage. i 7. Ensure continuity of the City of Miami government. III. STATEMENT OF THEPROBLEM Miami 1s currently without a well -organized, comprehensive vital records program that will enhance the knowledge and skills of those who work with vital records. One intended outcome of the project will be an outreach program designed to promote cooperation with other governmental entities and private organizations. The establishment of the Vital Records Restoration, Protection and Preservation Program will ensure the protection, preservation, and availability of past and current City vital records to foster an understanding and appreciation of { those records that are critical to the continued life of the City 12 4 52 of Miami government. These records are lrrepla:eable because they give evidence of legal status, personnel status, and financial impact to the city. Miami's commitment to this effort is demonstrated in the new records management ordinance tentatively scheduled for City Commission consideration in November 1992 (refer to Appendix C). Miami has sadly neglected to adequately protect its most vital records. As Hurricane Andrew has shown, the restoring operation is more than simply retrieving backup copies of records. Miami also has not protected valuable historical records. These records are a primary source for documenting -the City's history and for preserving the accounts of the myriad groups who settled in Miami, up to and including the most recent immigration from Haiti. Included in the Appendix are a few photographs documenting the careless disarray in which old records were stored 1n the City Hall basement, and in our Personnel Department. On August 240 1992, Hurricane Andrew's storm surge buried some of these records under five feet of sale water, debris, and seaweed. The City worked with a document restoration contractor to restore those records which are salvageable. ARCHIVAL RECORDS.AT CITY HALL The attached pictures depict the condition of the records stored 1n the basement of Miami City Hall, both prior to and after Hurricane Andrew on August 24, 1992. There are also pictures of the, vital records, as retained by the City's Department of Personnel Management. The City Clerk's Office was recently the recipient of a grant from the State of Florida, entitled Local Historical Records Project, which will call for an on -site survey by a consultant of records to be appraised for archival and vital records value; determine retention schedules, and recommend preservation methods and procedures. When this project is complete, this office would like to expand this project to include archival and vital records value of the damaged records in the Departments of Law and Personnel Management. At the present time, as was previously stated, the City of Miami has neither records management nor vital records protection program. Records management has been carried out informally, If at all, by the various City of Miami departments independently. Records retention procedures have been followed on a limited basis by only a few departments, such as Police and the City Clerk's Office. There is no centralized, Citywide tiling or indexing system, although the City Clerk's Office maintains a computer index of records through its TXbase computerized indexing system software application. The City's storage facilities are haphazarde with many records being housed in office tiling cabinets, closets and improved storerooms. Great volumes of paper are continually generated; much of it is ( redundant and duplicative. Great volumes of encoded electronic/computer data are also generated and stored. This last presents less of a storage problem but no less of a problem 13 !)4- 352 l with regard to access to needed data, and to141ndexing and sorting. The City also lacks standardized procedures for dealing with data. Even memo formats differ from department to department and even within departments. Approximately 180 different forms ale presently used by various departments. Many are duplicative. many cases, multiple copies are sent to and filed in various departments. LEWIS REPORT The Lewis Reports which provided the basis for the $312 million funding in connection with Hurricane Andrew relief. only indirectly provides a window of opportunity for local imperatives as It relates to establishment of a vital records protection plan and/or disaster planningg response and recovery operations. Section 1: Recommendations before the Storm There is a clear delineation of prioritization of a life -over - property policy. This policy was further accentuated in the subsection dealing with communications. The imperatives which addressed the communications campaign aimed at getting information out of the public. as part of emergency preparednessq j was only an affirmation of state policy in protecting the health and welfare of the citizenry and not proprietary interests. Section 2: After the Storm There is one window of opportunity in the subsection dealing with post -Andrew recovery measures which provide for local imperatives with respect to recommendation No. 58 contained in the Lewis Report. This recommendation would allow for programs which would train local government personnel in the area of post -disaster responses and recovery strategies and procedures. it is within this context that the City of Miami will establish a records disaster prevention plan that includes procedures for preventing records damages as well as reconstructing records damaged from not only Hurricane Andrews but future natural disasters. Finally. the latter phase of the Lewis Report dealt with post - disaster response and recovery operations. Here again$ there was a limited window of opportunity in this section which would allow the City's soon -to -be -hired Records Recovery and Preservation Coordinator to develop a vital records recovery priority list (by media used, ranking of recovery$ salvaging techniques$ etc.) In short, the fact of the matter is that there were only minimal indirect references contained in the Lewis Report relating to response and recovery operations. There seemed to have been priority of life of the individual over any property interest. However, because of the fact that records are so essential to i protect the lifeline of the City of Miami governments as well as 14 34- 352 protecting the rights of the individuals in the c:.�ernment, we feel that a single recommendation which addressed 'the issue of a vital records protection and/or disaster planning, recovery and response plan should have been addressed in the Lewis Report for funding from the Hurricane Andrew Relief Trust Fund. Florida Law and -City -of Miami Compliance Municipal records management and retention in Florida are regulated by statute (Chapter 267, Florida Statutes, Florida Archival and Historical Act), both directly and through administrative regulation channeled through the Department of State. The statutes and regulations are not especially complex, and can be summarized as follows: Access: Public access is mandated for most public records. Such access requires, of course, that the records be sufficiently organized so that access to given records is possible. etention: All records must be kept for a certain length of time MpTer— 276, Florida Statutes). Administrative regulations determine the length of time that different types of records must be kept, and in what form. These regulations specify thousands of categories, which usually do not precisely correspond to records and forms actually maintained by the City of Miami. j Records may be disposed of only when the applicable retention period has expired, and only following appropriate approvals from the Division of Archives. Audio and video records and electronic data are covered by these regulations. Microfilming and fiching Is regulated as to quality standards by these regulations. Records Management: Each municipality is required to have a fKg — aR F ras management program or system, and to have one j individual designated RMLO (Records Management Liaison Person) to handle records management. With regard to access, the City of Miami 1s in compliance to the extent to which records are actually available. Obviously, no matter hone strong the commitment to public access, there is, in fact, no compliance when the records that are sought have either been disposed of before the and of the appropriate retention period, or simply cannot be located. With regard to retention, there is only limited compliance, and this is largely accidental, in cases in which records are kept, by habit or tradition, for an indefinite period. In many departments,• records are discarded haphazardly, without seeking appropriate approvals. Very few City departments have an organized retention procedure. The City has no management program or system with regard to records; no retention system or set of standards; no uniform formats; no functioning RMLO, and no centralized storage facilities. VITAL RECORDS 15 — 352 �' 4 F.S. 257.36(i)(k). entitled "Records and Information Management," places joint responsibility on the State Division of Archives and Records Management and the City to establish and maintain a program in cooperation for the selection and preservation. of records considered essential to the operation of government and to the protection of the rights and privileges of citizen.$. This statutory reference establishes the State's commitment toward a vital records protection program. In short, the City of Miami is not in compliance with the state law governing records management and retention in full or even in substantial part, and continuous violations are taking place. The City's failure of compliance is costing a good deal of money and manpower, as well. Every time paper is unnecessarily generated or moved, labor and work time is wasted. Every time data is stored in offices when it could be stored In storage facilities, space and money is wasted. Duplicative and redundant data generation and storage wastes both time and money. The lack of a centralized records system with a vital records component, together with uniform filing, management and indexing, means time wasted and money lost looking for information that should be available at the pull of a drawer or the touch of a computer key. IV. PLAN OF WORK The plan of work is designed, over a two-year period, to establish the foundations for Miami's vital records restoration, preservation and protection program. If the requested funding 1s received, then the City Commission will have enacted a new ordinance providing legal authority to the Vital Records Re;toration, Protection and Preservation Program (refer to Appendix C for draft copy). The ordinance is patterned after the one adopted by the City of Tampa. Later this year, we will recruit and hire a Records Manager to initially evaluate the current records media in each City department and to survey existing records. During this early phase, a senior executive level committee (Records Management Planning Committee) will be formed to develop structure for the records program, set parameters gnd priorities, and evaluate current technology and future needs. Halter Foeman, Assistant City Clerk, will present an executive briefing to the Planning Committee to sell the need- for a coordinated, comprehensive public records management process to become a high priority for the City. As part of this executive briefing session, Nr. Foeman vill present the video tape entitled "Guardians of the Public Record" to urge senior staff to improve the management of vital records in their care. If the funding request is granted, the City will appoint a permanent Vital Records Recovery and Preservation Coordinator who will be responsible for refining the work plan objectives, and 16 U- 352 finding a temporary location for a Vital Records Carter. Working under the direction of the Records Manager, Mercy`Robles-Garcia, Records Coordinator, and Barbara Brodbar, Administrative Assistant III, will carry out the vital records survey process in each department. ANALYSIS OF PRELIMINARY SURVEY An analysis of a preliminary vital records survey shows that many City departments did not appropriately categorize the correct records classification for their records (see Appendix 0). As the records classification chart in the appendix shows, In addition to vital records, there are important records, essential records, and nonessential records that can be destroyed. This fact is further accentuated by the fact that the total cubic feet of vital records in some cases are more than 3-5% of the total records inventory of the department. And the basic rule is that, in most organizations, vital records represent no more than 3-5% of the total volume of records. The preliminary vital records survey also showed that many of the protective methods employed in safeguarding vital records are inadequate. files and cartons are most inadequate. Finally. 20% of the target departments failed to respond to the survey. Therefore, a more comprehensive survey, with additional support documentation, will be prepared for the departments' response (see Appendix E). After the records have been inventoried and a retention schedule is established, then vital records will receive special consideration and protection when the disaster prevention program is -established. Results from a preliminary vital records survey have already been compiled (see attached forms 1n Appendix D). Also included will be a Citywide Vital Records Master List (see Appendix A). The Vital Records Recovery and Preservation Coordinator, along with a designated disaster recovery coordinator (to be chosen by the Administratlon) shall work under the direction of the City Clerk in conducting a risk assessment (which shall evaluate the probabilities of a disaster occurring and the possible extent of damage), and a cost benefit analysis swhich shall compare the cost of making and Implementing a isaster records plan. RISK ASSESSMENT The risk assessment shalt include the following queries: i. Whether the potential risk. of a future hurricane destroying a City of Miami building is greater here in the coastal area than inland. 1 2. Whether the risk of an older City building withstanding the effects of a disaster Is greater than 17 M_ 352 that of a new building with newer, stranger materials and warning devices. 3. The risk of not having a centralized place for vital records (including location of plumbing, gas shut offs, -electrical boxes, air conditioning system controls, along with where emergency equipment and supplies are kept and can be acquired on short notice, etc. (See attached Appendix F) COST BENEFIT ANALYSIS The cost benefit analysis also provides certain necessary information to the City of Miami. This plan will compare the cost of making and implementing a disaster recovery plan (including business interruption insurance) with the cost to the organization associated with the total loss of records. In dollar terms, the following issues will be analyzed: 1. If all vital records had been destroyed as a result of Hurricane Andrew, how long would it take to reconstruct the information, and how much would it cost? 2. Now much time would be unproductive, and what would the dollar cost be? 3. Now many legal claims would be lost, and what is their monetary value? 4. Now many accounts receivables would not be collected, and what is that total cost? 5. How many employee benefits would not be properly identified, and what monetary value would this represent? VITAL RECORDS NASTER LIST After the risk assessment and a cost benefit analysts of risk phase of our work plant immediately following the departmental vital records survey, the Vital Records Recovery and Preservation Coordinator shall prepare a Vital Records Master List (see Appendix A). Information on said Master List shall include: (a) each department's name; (b) storage location: (c) page number; (d) vital records information code; (e) vital records name; (f) retention periods; (g) office of record; (h) vital records protection, and protection instructions. A copy of the Master List should be maintained in the Vital Records Center. Hiring a Vital Records Recovery and Preservation Coordinator will be for a two-year temporary period to be funded by the proposed Hurricane Andrew Relief Funds, after which it is anticipated that the City will fund these positions. A new Records Clerk position will also be requested from the City after this to carry out a multitude of clerical tasks required by the vital records recovery and preservation program. Before the and of the first year of the proposed vital records j protection and preservation plan, the Vital Records Recovery and Preservation Coordinator will begin developing Miami's policies and procedures manual. The Records Disaster Recovery and Preservation Coordinator will prepare a recovery priority by type of records media chart (see Appendix 0). Said Coordinator will also establish a vital records protection plan, detailing for each department and office the different records series which require protection, along with minimal methods of protection to be used, the instructions for providing protection, and the frequency of providing protective actions. Also, the Records Disaster Recovery and Preservation Coordinator will prepare a Records Disaster Prevention and Recovery Manual that will include the following criteria: 1. Methods of preventing or minimizing the effects of future disasters (such as Hurricane Andrew) on vital records, as well as other record formats within the City of Miami. i 2. A description of Initial responses, emergency activities, including activation of a disaster prevention and recovery action plan, contacting of key personnel, coordination of relevant activlttes, insurance activation, and other necessary details that must be attended to during the first hours of any disaster. 3. Assessment: which shall document through narratives and photographs, the disaster records recovery site for purposes of insurance coverage, etc. 4. interim processing: which describes the alternate procedures to be implemented from the time of the natural disaster to a return to normal operations. b. Recovery and restoration: explains how to recover and restore various types of the organization's records. S. Relocation: explains the temporary movement of any operations within the City of Miami government, including the Computer Division, and any special environmental needs. 7. Summary of responsibilities: provides a recap of duties by job title for all sections of the records disaster preservation and recovery plan. t 4- 352 19 The Vital Records Recovery and Preservation Coordinator will establish a vital records program involving the following steps, as outlined in the attached timetable (see pages 23-26): o Identifying records which have such vital importance that measures need to be taken to protect them against loss. o Determining the level of protection needed. o Evaluating the most cost-efficient means of providing the level of protection. o Putting to place the necessary procedures, including training. o Monitoring the program to make sure it is working - properly. o Reevaluating, from time to time.. to determine if changes are necessary. Alsoo a part of the proposed first year accomplishments will be the establishment of a disaster records plan and recovery treasures. Since the vital records program accents the key records of an organ12atiOn and takes steps to provide for their protection, a disaster recovery plan spells out procedures for reconstructing and salvaging records that were damaged resulting from disasters such as Hurricane Andrew. The following elements should be included: o Who will be to charge of recovery operations and assigned to the recovery team(s)? Now can they be reached in an emergency? o Where will the affected offices find alternate quarters? If special facilities are needed, where can they be found? o If it is necessary to obtain the services of expert assistance in records recovery, where are such services available? o If backup copies are on microfilm, where can the needed microfilm readers or reader orators be obtained? If film Is needed to be printed on paper, where can the service be obtained? o If data is on computer, where can replacement computer and computer programs be obtained? o What should be the time in which these operations can be accomplished? f The City Clerk's Office is currently collecting other records management manuals with a vital records/disaster planning and 20 34— 352 recovery component to serve as models and already has several including those from Metropolitan Dade County, Tampa, and Tucson. The Vital Records Recovery Coordinator and Disaster Records Coordinator will also initiate a - Citywide records safety education training program. This will be an ongoing activity of the City Clerk's Office. PROPOSED SECOND YEAR ACTIVITIES The second year of work from the requested Hurricane Andrew relief funds includes beginning to locate a permanent Vital Records Center. Work will continue on the Citywide records management program and will be expanded to incorporate and coordinate the records disaster prevention and recovery program into the City's overall Disaster Prevention and Recovery Program. The Vital Records Recovery Coordinator, along with the Records Disaster Coordinator, will develop a r:heckllst and compliance lo`s to ensure compliance with systems procedures. Other responsibilities by said group will include: 1. Providing insurance liaison for on -site records damage and/or destruction assessment. 2. Beginning steps for salvaging damaged records. 3. Obtaining necessary hardware, software and supplies. 4. Assessing mean tiie to repair and/or replace, and to resume operations. 5. Providing administrative and clerical support to the Coordinator. The City Clark's Office, with input from the Records Management Planning Committee, will develop future plans subsequent to the implementation of the Vital Records Restoration, Protection and Preservation Program/Records Disaster Prevention and Recovery Program. One intended goal will be to purchase one imaging technology hardware linking ail City departments and obviating the need to store inactive, nonvltal records in paper form. The following steps, as outlined In the attached appendix, entitled •Departmental QuestionnalreO. will provide the basis for a cost benefit analysis in connection with the appropriate selection of hardware for our Vital Records Restoration, Protection and Preservation/Records Disaster Prevention and Recovery Program. i. Evaluation of current departmental filing requirements (both primary and secondary) for maintenance of vital 1 records, including cost factors. 352 21 2. ' Impact of existing technological efficiencies (imaging technology, microfilm, etc.) in reducing primary and secondary spatial requirements for filing of documents and resulting cost. 3. Current -.labor cost involved in the collection/data entry; filing; retrieval; refiling; purging; sorting; supervision, and miscellaneous support In maintaining vital records. 4. Impact of proposed technological purchases in reducing the above -mentioned operational costs (see attached departmental questionnaire). On the following pages 23-26 is a tine -tin• chart illustrating activities which will occur if approval of the Heirricane Andrew Relief Funds are granted. M,F:vg:6/2/93 e 22 94- 352 7) survey of historical by consultant. records in the basement of City Raii r 2) Final report, which shall include those records which i have archival and vital records value. 3) City Clerk will ission an ordinance which designaesf thetCity Cle k as the repository of all City records. i 4) City Clerk and/or her designee w113 begin recruitment process to select a qualified Vital Records Recovery and Preservation Coordinator. The City Clerk will appoint the most appropriate applicant. 5) City Clerk and/or bar designee will work with the City ManagCommittee o tee(hereinaftform an e�r referred to an *Planning Committee*) CUUTO 10"I Records Management to assess the organisation'a total vital records needs and to get wIts priorities. Committee composition will include the Director of Finance# Director of Budget/Computer Department, representation from Low and Personnel Departments, Director of Building, Planning A Zoning# Director of General Services the AduiFire and PolicedDepartmientns. potentially the Directors of 6) City Clerk's* Office will conduct a breakfast seminar to promote the new Vital Records Protection/Cisaster Prevention and Recovery Program to the Planning Committee and other a executive staff. Presentations will be made by the &net. City Clerk# the Admin. Asst. III (AAIII), and the new Vital Records Recovery and Preservation Coordinator. The video tape entitled *Guardians of the Public Record" will be previewed. T) Vital Reoords Coordinator, with help Eros the City Clerk# will prepare an organisational analysis surrey in order to Identify vital functions of the City of Miami (i.e.# finance# pension, etc.) and determine our City's operational, legal and governmental requirements. e� bA I Co ca � �R071 4130t/" tat Q.J 2nd 0.13rd 4.14tb i. Tan 1W 7/2194 6/301" tat 0.1 lad 0.13r! Q.1 Ntb C I Aft" t" ?nWWArA 8) The Vital Records Recovery and Preservation Coordinator, with help from the Records Coordinator and A11111, will survey the current mix of records media and formulate preliminary i reagamendations for a Citywide Vital Records Master List. 9) Departmental Directors will designate a Records i Coordinator from each City Department to work with the Vital Records Recovery and Preservation Coordinator and the Disaster Records Planning and Recovery Coordinator in developing a records classification master list, along with vital records transfer and storage procedures. 10) Vital R"OVdS and Disaster Records Coordinators will transfer final vital records master list to the Vital Records Center. 11) Vital Records Recovery and Preservation Coordinator and Disaster Recovery Coordinator, with help from the AA111, will v find a temporary location for the Vital Records Center. ° 12) Vital Records Recovery and Preservation Coordinator, with help from the Assistant City Clerk, Disaster Recovery Coordinator, and the City Nanager's designated liaison will evaluate the progress and accomplishments during the first year and update the waft plan for year two. 13} Vital Records CooMinator will prepare a classification of vital records chart (i.e.p vital, important, useful, or nonessential). 14) Vital. Records Coordinator and Disaster Records Coordinator will prepare a risk assessment and cost benefit analysis of impact. 15) Vital Records Coordinator will examine methods of protecting vital records (dispersal, duplication, on -alto storage, off -site storage). i W Get MR OINK 1148 tat Q. 2md Q. 3" Q. Ath Q. 712094� let Q. 2" Q. 6/3Ol" 3r+t Q: Athw a. - ---- 00/1194 AR TdYDd/9"f 6/3eTRAN 712/9 . Oat a. 204 a. 3rd a. 4th a* lot a. 2nd a• 3" a• 4th Q. 16) Vital Records Coordinator and Administrative Assistant III will establish retention and vital protection codes detailing methods of protection and frequency of protection. 17} Vital Records Coordinator will develop procedures for handling of records# defining duties as to who handles records and what to do during an emergency. 111) : Vital Records Coordinator# with input from the executive level Records Management Planning Committee, will test established procedures for the transfer and storage, with a follow-up and evaluation of the process. 19) Vital Records Coordinator# disaster Records Coordinator# and the City Managers designee for emergency procedures, will establish a safety education program for the City. 20) Vital Records Coordinator# 'Disaster Records Recovery Coordinator and Coordinator of the Department of Budget/Division of Computers Information Center Coordinator will analyse computer applications and prepare an electronic vital records protection plan. 21) Vital Records Coordlestor# Disaster Records Coordinator and Computer Information Center Coordinator will identify an alternate site location ohart{ as a contingency plan for hardware/software after a disaster. 22) Preparation or a Vital Records Protection Manual. - 23) Vital Records Coordinstor, Disaster Records Coordinator, and City Manager's emergency preparedness liaison will establish the objectives of a Records Disaster Preservation and Recovery Plan. 24) City Clark/Assistant City Clerk obtain approval, in concept# and cosmitment from executive management for the Records Disaster Prevention and Recovery Plan. CIO r W CP TUB 0rTIt/9d 6/30/93- T/2/99t 6130/95 - lot Q. 2nd p. 3rd Q. •th a. lot 0. 2nd 0. 3rd 0-.1 Ath 0. • 25) Establishment of Records Disaster Teams and buttes,, 26) Prepare and distribute the Records Disaster Prevention and Recovery Manual as a communications tool in conveying the Records Development Prevention and Recovery Plan. 27) Vital Records Coordinator and Disaster Recovery Coordinator will prepare a Recovery by Priority by Type of Records Media Master Chart. 28) Assistant City Clerk. Vital Records Coordinator, and Administrative Assistant III will prepare a report assessing the accomplishments of the first two years of the program. 29) Vital Records Coordinator, Disaster Recovery Coordinator, and Administrative Assistant III, under the Assistant City Clerk's dirsotions will work on the final report to its organisation. a 30) Vital Records .• Coordinator and Disaster Recovery o, Coordinator to meet with Executive level Planning Committee to discuss future plans for an expanded Citywide records management program implementation. t ' c.� Cat Project Directors Walter Foeman, Assistant City Clerk Applicant Organisations City of Miami Appropriation Periods ; 7/1/93 to 7/1/94 1. salaries and gages • name/title of 2281tion no. method of cost computation Andrew Relief Cost Sharing Total ' see sample � (a) b Z� Disaster Records Recovery Coordinator [1] 6 mo. x 100$; $339800/yr. $ -0- $ 169900 $ 169900 Mercy Robles -Garcia Records Coordinator 12 so. x 100%; $34,761/yr. $ -0- $ 349761 $ 349761 Waiter Foeman Asst. City Clerk [1) 12 ao. x 25%; $77,090/yr $ -0- $ 199273 $ 199273 J Barbara Brodbar Admin. Asst. III [1l 12 no. x 10$; $38,176/yr. $ -0- $ 3,818 $ 39818 Vital Records Coordinator [1! 12 no. x 100%; $24,379/yr. $ -0- $ 24079 $ 249379 SUBTOTAL $ -0- $ 999131 $ 999131 2. Fringe Benefits rate salary base (a) (b) (c) 30 $ of $ 299739.30 $ -0- $ 299739.30 $ 299739-30, SUBTOTAL $ -0- $ 29,739.30 $ 299739.30 Z� t 1- 5• Supplies and Materials Include consumable supplies, materials to be -used in the i.e., equipment items coating leas than $5,000 program, and items Of expendable per Unit. aq uipment, Item basistmethod or coat cos utation (a) Rrgonomiaer'desk chair 2 ! $260 each (b) (c) Storage shelving units $ $76 each _ : 520 $ 52015 Record storage boxes N00 ! $2.70 each $ 1,140 Routine office supplies $75lmo, $ $ 10080 $ 1,080 per employee x 12 moo x 4 FTBs $ $ MOO $ 3,600 5• Capital Outlay SUBTOTAL : -0- $ 9.340 $ �40 Capture (planetary Klerofilmer) Rotary that is upgradable $ -0- ; 5,800 $ 5,800 Capture using bar cads $ -0- $ 23,000 $ 23,000 Indexing aartxare $ -0- $ 25,000 $ 25,000 Automated Retrieval $ -0- $ 5,000 $ 5,000 $ -a- $ 5,000 $ 5,000 SUBTOTAL $ -0- $ 6 800 _ $ 6 800 5. Services Include the cost of duplication and printing, long distance telephone, equipment rental# postage, and to objectives that are not included under other budget categories or in other services related project the indirect cost pool. itea basis/method of cost computation (a) (b) (a) Telephone installation 2 note ! $225 each $ -0- $ 450 $ 450 Long distance calls • get. E $65/mo x V moo x 2 employees (Archie. A Rees. Mgr.) $. -0- $ 1,560 $ 1,560 Print,Records Manual $50 labor + $150 print for covers $.04 j i + 150 looseleafs 6 $5 ea. + per pg. x 120 pp x 150 manuals $ -O- $ 1,670 = 1,670 SUBTOTAL $ -�- $ 3,680 $ 3.680 6. Indirect Costa rate base(s) (a) (b) (c) N 15 134 $234 030.30 -0- $ 35,408 48 $ 35,408 48 '�. Total Project Costs for !Budget Period $ -0- $234,030.30 $269,438.78 e� i Cry . V7 2z i i i i ;e i k i APPENDD I_LI ST A Vital Records Master List $ F.E.M.A. Damage Report Survey C Draft Records Management Ordinance D Preliminary Vital Records Survey E Records Classification F Risk Assessment Chart 0 Recovery Priority by Type of Records Media H Departmental vital Records Questionnaire Photographs APPENDIX 94- 352 APPIENDIZ A VITAL RECORDS MASTER LIST" Departient StoreRe Location Page Vital Records vital Record Dace Retention Periods Office of Vital Records Protection Code No. Record Protection Instructions ' eco s OMOO Center Total REM f CJt 1 1 221 snow 1 2 i 21 p APPENDIX 8 . 0 2 •►s.r.r:.� 1��A M to. . 1.I10) l I • •� ` 1 � r� _ rrllnow/rr 11, MII 11 i QJRAL iMENgq1NCY I!� A NCY 1. DECLARATION NO• I, Din NO. ^ slop TO D&A NO. Y RE OR. SHEET t3 �NIA'bE =URV *OAT esMA• �� _ _P 1 • PART 1 • PROM DESCRI N _ i.. V% NT N Mt/CO�V 1 ` vo & A. PA IVANT� CAT)Ot��Ory_ • �^ c .� .i[ 11 aCT TI 1 1 t. INN'MOTION pATi — dj . /ROdEC7 NO. Y� . 1 . 6 OSq /ACILi Y • %I�l d. A COWLITE • . WORK AC $M KY S d7 PC t,• Y IeOCATION ReConl • ''�'� l4�"' �l �g/ �' i�'�INNt'v Vest 6. FINAL 0414 �a CAT90CAY It,QA fi O;AItNiloNi/ORfOgMTaN/+COFs OF /L1011LE (WORK ` • elud omi aa,,ove C ;+ pip +A � N 1Z�tuiMrtS���i l�s re�,u iNn� �o Lam. IV fStS41mCaFt t J�.. d. 1e! ✓�� b lilf'!►� d e a u pit Atraw' c V V, I o 1l had G d•�' �1�4��✓ f�� j t' i�1 �% co tle}� e rC �� 1 ri ef. borf Qe Sfv;r rl/ •4dcre, S+arwglf Rt*C*Wfrc weed +0 %c .S6IV qr I Price to co f'e � s1eS a�iifx Have berg i►ce r i Ppd 1 7hzs KIZ tr I�ow !91'ei erRt Lt IE OF $9Oi A1,1 TO (fJrNil 4. A ENCY CO 1 OISCO i OAT N AT'TACNM[NTS f!• Iqi► NO. NAME i AT1 INS►SCTOR f 11 AGENCY CODE RSCOMMlNDATION ATTACMMINTS 1 AMC OF L A9PAEt1NTAT1 (RNU CO ATM-#r#A PART 11 • tSTIMATiO COST OF PROPOSED WORK M �..::.:•r t•. 1 • MATSRIAL ANOJOA DESCRIPTION UNIT eF MSAS 4QAr IVY,' vales COST li; �•±r 'r. • ;; ��► " all. •K 1 6 r�A� Will • ' w • 49 i•iw.�• •!sue • ' •• r • �� 1 r, k ' d, w�Ytr TlYA iY.rf��W,� 71_ • WITAL 0 1 �i �T.C�• • 0 ' B-i. - 352 ATTACHMENT B SURVEY OF HURRICANE DAMAGED RECORDS Prepared for the Office of the City Clerk City of Miami, Florida by ,f Claire A. Cardina, CRM, CA August 20, 1993 94- 352 TABLE OF CONTENTS PURPOSE.........................................................................................................................1 EXISTINGCONDITIONS..................................................................................................1 RECORDSINVENTORY....................................................................................................3 ARCHIVES AND RECORDS PROGRAM...........................................................................4 I INACTIVE RECORDS STORAGE.......................................................................................6 FUTUREFUNDING..........................................................................................................6 SUMMARY OF RECOMMENDATIONS.............................................................................7 RECORD SERIES IDENTIFIED............................................................................APPENDIX PHOTOGRAPHS OF RECORDS........................................................................APPENDIX . 34- 352 M 14 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, Matty 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, Merry 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 bored in a variety of ways and in some cases entire file cabinets were moved down to the basement. 94- 352 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 i 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. Lary 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. j 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, j 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. 2 �'4- 352 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. MR 4. Tag the box with the recommended disposition. 0 The 3" x 5" cards provide the information necessary to prepare Records Disposition Requests 0 07s) and pick lists by box number for the records to be destroyed/microfilmed. The disposition noted on the box is an additional confirmation. Unfortunate) it was not possible for me to stay Ion enough to inventory all the boxes in Y, Po Y g g 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 Merry 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. j�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. 4- 352 3 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 - piques 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 4 � 4- 352 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. i 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. 9 4 - 352 5 LL 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, 1 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 � g nificance of its records beyond the City, especially in light of the fact that Miami's multi- 6 94- 352 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 bf 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. 34- 352 7 ■ �1 r1 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. e 94- 352 APPENDIX I� i . log l� 94- 352 9 I I 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 R2-4a, 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-311-17a, 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-1 112-21b, 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 & AgreeJduplicates (City Manager) - destroy 10 94- 352 10 C.F. BC-1 R2-34b, Contracts Leases & AgreeJother (City Clerk) - destroy 22 C.I . 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 R2-81a, Memoranda (City Manager) - historic, microfilm and destroy. 94- 352 14 C.F.BC-1 R2-83c, Minutes/duplicates (Commissioners) - destroy 4 C.F. BC-311-80b, Poll Lists (City Clerk) - destroy 8 C.F. BC-1 R24 00a, 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 R2415b1 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 91- 352 e ..r \1\ij r � •`" `k .;Sam - a ,aS � �• rig+ lit, .iT,� s# I art. } it, � - fry. �'`�[ i v}i 1. �' �}n• i�. to f✓ ri ApIN15d.ICATION FOR JADERAL ASSISTANCE p cwwvcw . ATTACHMENT C 1. 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Peeel►at► InoM�® ,153 Na{ Itltt elm• A110 BILII►. ALL aATA IM ft11/ W t.ICJ►TION I�ATIAN Ate MK "COMO. HIE 00cw0a ANC4 K AwAteotA m TMQ IIt.T 0p en C"ftV W" VW AT MWM AilllRANCII � TMI A;$IIT 1a Me IM1 AMCAW WU w TMI oovltu++1es t>�o�r CO Trlt Arnlc+w . Too Nree p AVOWUs0 Aga•+ a rob City 1(anaster0 _ Cesar Otj4n2 • Dow � e bp�swrs a A�efierWd 1lsaes>Mt•w• MK�OrO 01r OMI I;rrc.w t�Oni A •�d1►n t.nA /n+ 1 oral A!®/OduedM ._.___ , . _ _ . _.. 3 4 — 3 5 2 1001 MIAMI MUNICIPAL ARCHIVES AND RECORDS PRCjRAM PROPOSAL SUBMITTED TO NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION TABLE OF CONTENTS _. Assurances and Certifications 1 II. ` Project Summary 5 III. Narrative 7 Purpose and Goals 7 Significance 6 Description of Records 9 Need for Funding 11 Plan of Work 12 Rey Personnel 23 Evaluation 24 IV. Budget 25 ,V. Appendices 35 Proposed Records Management Ordinance 36 Fact Sheet: Neighborhood Enhancement Team Program 40 List of City Departments 45 Table of Organization 46 Job Descriptions 47 Resumes 50 Records Survey Form 69 IIMC Training Program 70 Specifications for Record Tracking System 76 34- 352 9. Will comply, a applicable, with the provisions of the Davis -Bacon Act (40 U.S.C, if 276a to 276a-7), the Copland Act (40 U.S.C. f 276c and 18 U.S.C. if V4), and the Contract Work Hours and Safety Standards Act (40 U.S.C. if 327-333). regarding labor standards for Federally assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Dieatw Protection Act of 1973 (P.L 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which tray be prescribed pursuant to the following: (a) institution of sovironmontal quality control measures under the National Environmental Policy Act of 1%9 (P.L 91- 190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO I1990; (d) ovaluation of flood hazards in floodplains in accordance with EO .11988; (a) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. if 1451 at nq.); (1) conformity of Federal actions to State (Clear Air) Implementation Phu under section 176(b) of the Clear Air Act of 19SS, as amended (42 U.S.C. f 7401 at aq.); (g) protection of uwkwground sources of tricking water under the Safe Drinking Water Ara of 1974, as attpsuded, (P.L 93-523); end (b) protection of endangered species under the Endangered Species Act of 1973. as amended. (P.L . 93-205). Applicant Organizationfindividual: City of tdiami 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. if 1271 at seq.) related to protecting components r-potential components of the National wild and aeaaic rivers system. 13. Will assist do awarding agency in assuring oompliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470). EO I1593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 at seq.). 14. Will ocmply with P.L 93.348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal welfare Act of 1%6 (P.L S9-S44, as amended, 7 U.S.C. 2131 at asq.) pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. if 4901 at seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residem structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1994. IS. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. Name and rifle of Authorized Representative/Individual (typed): Cesar h . Od io , City Manager Signature Date 34- 352 1993-36 st: 443 (4.88) be& 2 CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS; AND DRUG -FREE WORKPLACE 11:t1U MMENTS 1. LOBBYING Pursuant to 31 U.S.C. 1332, the undersigned certifies, Io the best of his or her knowledge and belief, then: (a) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employ** of any agency, a Member of Congress, an officer or employ" of Congress, or an employ" of a Member of Congress on his or bar behalf in connection with the awarding of a Federal grant, the entering law of any cooperative agreement, or the modification of any Federal grant or cooperative agreement resulting from this application. (b) If any !hinds other than Federal appropriated funds (including profit or fee received under a covered Federal ownection) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or bar behalf in connection with this Federal grant or cooperative agreement, the undersigned sball complete and submit OMB Standard Form - LLL, "Disclosure of Lobbying Activities." to the Program Director, and (c) He or she will include the language of this certification in all subgrant awards at any tier and require that all receipients of subgrant awards in excess of $100,000 shall certify and disclose accordingly. (d) Submission of this certification is imposed by 31 U.S.C. 1352 and is a prerequisite for making or entering into this .rsansaction. Any person who fails to file the required certification shall be subject to a civil penalty of not :eta than $10,000 and not more than $100,000 for each !allure. 2. \ DEBARMENT, SUSPENSION, AND 07MM RESPONSIBILITY MATTERS —PRIMARY COVERED TRANSAcnON The prospective primary applicant certifies, to the ban of its kaowledgs sad belief, that it and id priocipals: (a) Are not presently debarred, suspended, proposed he debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department air agency; (b) Have not within a three -yew period preceding this application been convicted of or had a civil judgment rendered against them fbr commission of hard or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust mates; or commission of embezzlement, theft, forgery, bribery, 61sifiwion or destruction of records, malting talee statements, or receiving stolen property; (c) Are scot presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (b) of this certification; and (d) Have not within a three -yew period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default. 3. DRUG -FREE WORKPLACE (GRANTEES OTHER THAN D Drvr=ALS) As required by the Drug -Free Workplace Act of 1988, the grant** certifies that it will provide a drug -free workplace by: (a) Publishing a casement notifying employe" that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against the employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employe" about: (1) The dangers of drug abuse to the workplace; (Z) The grantee's policy of maintaining a drug -free workplace; 0) Any available drug counseling, rababilitation, and employ** assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; �M- 352 1993-37 H (c) Making it a requirement that sub employee to be engaged in the performance of the grunt be Riven a copy of the statement required by paragraph (a); (d) Notifying the employes in the statement required by paragraph (a) that, as a condition of employment under the grant► the employee will: (1) Abide by the Berms of the statement; and (2) Notify the employer of any criminal drug statute sonviction for a violation occurring to the workplace no Elsner than five calendar days afar such a conviction; (e) Notifying the Agency► in writing, within ten cakadar days afar receiving notice under subparagraph (dx2) ltom an employee or otherwise receiving acetyl notice of such conviction; (n Taking one of the following actions. within 30 calendar days of receiving notice under subparagraph (d)(2), with respse:e eo any employee who is so convicted: (1) Taking appropriate personnel action against such an employee, up to and including termination, or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a)► (b). (c). (d)► (e)► and (4• DRUG -FREE WOPMLACEE3 (GRANTEES WHO ARE DMIVE DUALS) �.M (a) The grantee certifies tlut, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a oontrolled substance in conducting any activity with the grant; am (b) If ooavkted of a criminal drug offense readdeS item a violation occurring during the 000duct of any grant activity, be or As will report tha oCnviction, in writing. within 10 calendar days of the Conviction, to: Program Director, National historical Publications and Records Commiarion, National Archives and Records Administration - NP, Washington, DC 2W08- Notice must reference the grant number. The grantee shall insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Serest address, City, county, "te, sip nods) City Clerk's Office 3500 Pan_ American Drive IAMI . Dade County. Florida 33133 As the duly authorised representative of the applicant, I hereby certify that the applicant will comply with the above cartifications. City of Miami APPI iCANT ORGANIZATION/INDIVIDUAL Cesar 1 NAME AND TITLE OF A Odio, City Mana RIZED REPRESENTATIV NHPRC—IM 24- 352 1993.38 PROJECT SUMMARY All applicants must complete a project summary. Do not exceed the two pages allotted (use only one side per page) and do not refer to •see inside' or 'see attached,' except in the case of references to vitae and similar supporting information found elsewhere in the application. 1. PURPOSE AND GOALS OF PROJECT The City of Miami Clerk's Office is requesting a two-year grant of spproximately $140,000 to develop and implement a Citywide comprehensive archives. and records management program. Goals include improved efficiency and cost-effectiveness, increased public and researcher access to the City's archives, identification and accessioning of historically significant City records to be preserved as major collections, establishing uniform policies, procedures, and standards across departments by producing a Records Management Manuel, an ongoing Citywide training program, and .enhanced collaboration with the Florida Bureau of Archives.and Records -Management. 2. SIGN'MCANCE AIM RELATIONSHIP TO NWRC GOAIS AND OBJEC77VES The project reflects Miami's commitment to establishing an historical records program offering maximum access to a variety of users. For nearly a century, the City Clerk's Office has been the official records custodian for the City Commission. Since 1900, Miami's population grew from 1,681 residents to a sophisticated world class city, home to 359,000 people representing: an incredible diversity of cultural traditions and ethnic heritage. :As Miami's growth continues into the next century, it is appropriate for the City Clerk Ia• Office to take a pivotal role in consolidating all City records and preserving them for future generations. I 3. PLAN OF WORK FOR GRAN? PERIOD (including references to techniques) A detailed work plan with time -lines was developed for this proposal. Major activities include: fear One aTvaluate current records management;prectices and survey inactive and historic records o Hire permanent Archivist/Records Manager and Records Systems Specialist o Consolidate all inactive records in a central location o Design and publish a Records Management Manual o Provide public access to City records through neighborhood service centers. Year Two onitiate Citywide training program o Begin project to streamline forms and reports o Develop a finding guide for the historical records o Develop plans for a permanent Municipal Archives Center o Evaluate success of program impleme»tation -4- 352 5 1993-43 4. PRODUCTS/PUBLICATIONS TO BE COMPLETED DURING GRANT PERIOD • Enactment of a model records management ordinance o Centralized facility for records storage and archives processing o Records Management Manual •*Archives brochure - finding guide for historical records • Citywide records treining program • Sipificant contributions to Miami's 1996 Centennial Celebration• • Video tape documenting implementation of -the project a. o'P�iblic access to City records at eleven neighborhood service centers o Establishment of model municipal records management/archives program S. M PERSON'M halter Foeman Project Director. (303) 250-3360 Telepbow ? 3300 Pan American Drive Addres: Miami, FL 33133 Records Coordinators Administrative Assistant IIIS Project Mentors Information Center Manager: Cable Communications Administrator: Archivist/Records Managers Records Systems Specialists Mercy Robles -Garcia Barbara Brodbar Gerard J. Clark Elaine Buza Merry sue smoller ..To be hired To be hired 94- 352 NARRATIVE PURPOSE AND GOALS The Miami City Clerk's Office is seeking a two-year grant to design and implement a municipal archives and records program. To optimally protect and preserve historical records documenting the City's significant activities, Miami must establish a comprehensive integrated records management system which will be uniform across all City departments. The system will be under the direction of a qualified Archivist/Records Manager working out of the City Clerk's Office. As part of this comprehensive records program, Miami is also requesting NHPRC funds to hire a Records Systems Specialist to work with all City departments. The goals of the Miami Municipal Archives and Records Program are to: * Provide the most efficient and cost-effective records system including space, equipment, procedures for creating, storing, retrieving, retaining, transferring, and disposing of records, streamlining forms and reports, and preserving historical documents. * Assume a leadership role in fostering cooperative efforts among the various organizations working to preserve Miami's historical resources. * Establish public access to City records at each of Miami's eleven NET neighborhood service centers. * Continue to locate, identify, and appraise Miami's non- current records to determine archival value. +� Increase public and researcher access to the services and records maintained in the Archives. i * Design a comprehensive Records Management Manual. * Develop a Citywide archives and records training program. * Assure compliance with Florida's public• records statutes and enhance collaboration with the State Bureau of Archives and Records Management. * Locate and establish a central facility for inactive records. * Share Miami's experiences with other cities contemplating establishment of a records management system by producing a video tape documenting project implementation from start to finish. 94- 352 .. -- -- _._...__. IV §IGNIFICANCE This project conforms to the NHPRC's rationale for supporting records programs. A well organized, comprehensive program will increase the knowledge and skills of those who work with historical records. One intended outcome of the project will be an outreach program designed to promote cooperation with other governmental entities and private organizations. The establishment of the Miami Municipal Archives and Records Program will insure the preservation and availability of past and current City records to foster an understanding and appreciation of local history for future generations. Miami's commitment to this effort is demonstrated in the new records management ordinance tentatively scheduled for City Commission consideration in March/April 1994 (refer to Appendix). Miami has sadly neglected to adequately protect its valuable historical records. These records are a primary source for documenting the City's history and for preserving the accounts of the myriad groups who settled in Miami, up to and including the most recent immigration from Haiti. As an example of past records storage practice, approximately 1200 cubic feet of municipal records were stored in careless disarray in the City Hall basement. On August 24, 1992, Hurricane Andrew's storm surge buried some of these records under five feet of salt water, debris, and seaweed. In March 1993, the City was fortunate to receive a Local Historical Records Grant from the State of Florida. This project afforded the opportunity to survey these hurricane damaged records. More detail about this project can be found in the section entitled "Description of Records." Miami's absence of a comprehensive municipal archives/records management system and the lack of an officially designated records custodian violates Florida's public records statutes. Florida Statute 257.36(5) says: "... It is the duty of each agency to: "(a) Cooperate with the division in complying with the provisions of this chapter and designate a records management liaison officer. "(b) Establish and maintain an active and continuing program for the economical and efficient management of records." Additionally, Florida Statute 119.021 states there should be: an "... elected or appointed ... municipal official charged with the responsibility of maintaining the office having public records, ... shall be the custodian thereof." 04- 352 s Clearly, NHPRC support for this project is tremendously significant because it assist Miami in complying with relevant State laws. In 1992, the City of Miami restructured its method of delivering services to its citizens by shifting from centralized management to decentralized neighborhood service centers. The program, called NET, Neighborhood Enhancement Team Program, is fully described in a five -page fact sheet included in the Appendix. As part of the comprehensive records management program, each NET office will be computer-linked to a centralized records repository encompassing both active and inactive public records. Residents and business people will be able to access City records at the local NET office without having to travel to the main office where the records are stored. Finally, the year 1996 marks Miami's centennial. The Archives and Records Program is especially timely. Community groups currently planning centennial celebrations will need information about Miami's history. They will be able to use the City Clerk's Office as a resource. Ultimately, increasing the ease of access to historical records by City officials will facilitate the efficient operation of government. As Thomas Mann wrote, "Order and simplification are the first steps toward mastery of a subject." DESCRIPTION OF RECORDS In December 1992, the City Clerk's Office sent an initial records questionnaire of all City departments. This brief mail survey had a three -fold purpose: to identify the volume of inactive records currently retained in each of the City's sixteen departments (see Appendix for list of all departments); to obtain .an estimate of the volume of historic records on -site at each department; and to elicit the attitude of each department toward participating in a Citywide comprehensive records management program. For purposes of uniformity, the questionnaire defined inactive records as those which are: not eligible for immediate destruction because the State -required retention period has not ended; not needed for day-to-day operations; used very infrequently. All but three departments completed and returned the questionnaire. Survey results indicate there are more than 10,600 cubic feet of inactive records stored in various City offices which could be 94- 352 9 stored off -site at substantial savings, quite likel,1 at one -tenth the cost of storing them in expensive office space. Additionally, the responding departments said there are at least 1,300 cubic feet of historic records, 12 percent of the total, included in their estimates of inactive records. The preservation of these historic records, and others to be identified by the kuture Archivist, will be a significant outcome of the NHPRC-funded project.• It should be noted that seven of the departments responding to the question about establishing a comprehensive Citywide records program were extremely positive and expressed an understanding of the significance to his/her department. As a result of Hurricane Andrew, the Florida Legislature awarded $100,000 to the City Clerk's Office to develop a vital records plan for Miami. The resulting program will fall under the aegis of the Archivist/Records Manager. As an initial planning step in establishing the vital records program, a second survey was conducted in March 1993 to get an estimate of the volume of vital records stored in each department and the methods each is using to protect these records. The responding departments identified a total of 73,778 cubic feet of vital records, 93 percent of which are in the Police Department. Because neither the Finance Department nor the Department of Development and Housing Conservation responded, survey results do not reflect the volume of records documenting obligations owed to the City or documents related to the ownership of City property. During 1993 the City Clerk's Office received a grant from the Florida Historical Records Advisory Board to conduct a project entitled "Survey of Hurricane -Damaged Records." To carry out this project, the City engaged the consulting services of Claire A. Cardina, Certified Archivist and Records Manager for the City of Tampa. A primary objective was to appraise the value and condition of records stored in Miami's City Hall basement which were buried in five feet of salt water, debris, and seaweed. These records include, as examples, City Manager files (correspondence, newspaper clippings, memoranda, etc.), files from past and present Commissioners/Mayors, budget records from the Finance Department, feasibility studies related to several major municipal projects, correspondence files from the Department of Parks and Recreation. Many of the records were identified as having historic value to the City. There are approximately 1200 cubic feet of records in the City Mall basement. Based on the consultant's survey, 23 percent or 276 cubic feet have archival value. Many of these, depending on condition, will be microfilmed for permanent retention. One observation made during the survey process is that many City departments are unaware of basic records management principles including the necessity to group related records into record series, and the fact there are State retention guidelines which should be followed for all public records. In fact, Ms. Cardina 10 D4- 352 began her summary of recommendations with the following statement: "It is imperative the City of Miami avoid future loss of valuable historic records and that steps are taken to ensure thu 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 for 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 history for future generations." One final note relevant to describing Miami's historical records is the fact that a large amount of archival material is not even In the City's possession, but is stored in the main Dade County Library. From the early part of the century through 1971, various City records and reports were sent to the Miami Public Library for cataloging and storage. Included in these archival materials are, as examples, a pamphlet written in 1926 by the first City Manager reporting on Miami's first five years under a Commission/Manager form of government as well as many departmental reports, such as those documenting the City's housing needs and slum clearance projects in the late 1940s. In 1971, the Miami library system was transferred to the new Miami- Dade Public Library under County control. The municipal archival materials remained in the old Miami Library on Biscayne Boulevard until the building was demolished in 1987. At that point, the documents were physically transferred to the main branch of the Miami -Dade Library. One future task for Archivist/Records Manager will be to arrange for the original historic materials and microfilm reproductions to become part of the Municipal .Archives collection. NEED FOR FUNDING Despite Miami's often glitzy image as a tourist mecca for the rich and famous, this is a very poor city. As a city made up largely of immigrants and inner-city blacks, Miami has a higher percentage of residents living in poverty than *all but three other large American cities (Miami Herald: June 25, 1992). Absent the impetus which will be provided by the NHPRC grant, there is little likelihood Miami would be able to support the start-up costs of an archives/records management program with City money. As is the case with so many municipalities facing severe financial hardship, Miami projected an $9 million budget shortfall last fiscal year. Nevertheless, Miami's commitment to establishing the Municipal Archives and Records Program is evidenced by its consideration of enacting the Records Management Ordinance and by its agreement to fully support program costs beyond the two-year grant period. 4- 352 19 The NHPRC grant is viewed as seed money to initia*::e3 this model program. Additionally, other grant opportunities such as those available from the National Endowment for the Humanities and from private foundations will be pursued to continue the work started through the NHPRC grant. PLAN OF WORK The plan of work is designed, over a two-year period, to establish the foundations for Miami's archives program as part of a Citywide comprehensive records management program. By the time this NHPRC grant is received (estimated date: August 1, 1994), the City Commission will have enacted a new ordinance providing legal authority to the Archives and Records Management Program (refer to Appendix for draft copy). The ordinance is patterned after the one adopted by the City of Tampa. The first stage of the NHPRC project involves recruiting and hiring an Archivist/Records Manager and a Records Systems Specialist. Their initial task will be to evaluate the records management practices in each City department and to survey existing inactive records currently stored on -site in each department (see Appendix for draft survey form). Immediately upon grant notification, recruitment notices for the Archivist/Records Manager will be placed in the Society of American Archivists "Employment Bulletin," in the NAGARA "Clearinghouse" publication, and as an announcement on the telephone Job Hotline operated by ARMA. Local advertising for both new positions must take into account Miami's unique racial/ethnic mix. It has been City Commission practice for many years to demonstrate cultural sensitivity by placing advertisements in the major general circulation newspaper (Miami Herald), one publication in Spanish (we selected El Nuevo Herald), and one newspaper in the black community (The Miami Times). Thus, local classified ads will be placed in all three newspapers cited above. During the project's early phase, a senior level committee (Records Management Planning Committee) will be formed to develop structure for the records program, set parameters and priorities, and evaluate current technology and future needs. Walter Foeman, Assistant City Clerk, will present an executive briefing to the Planning Committee to sell the need for a coordinated, comprehensive public records management process to become a high priority for the city. As part of this executive briefing session, Mr. Foeman will present the video tape entitled "Guardians of the Public Record" to urge senior staff to improve the management of records in their care. From the inception of the records program, the City Clerk's Office will coordinate implementation with the NET Administrator and the eleven neighborhood centers to ensure public information access. Elaine Buza, the City's Information Center Manager, will 94- 352 12 oversee the installation of the computers in ea-h center and supervise any programming adjustments. The Archivist/Records Manager and the Records Systems Specialist will train NET staff on bow to access the public records. Ongoing support and troubleshooting will be the role of the Records System Specialist. -, The City plans to document its two-year implementation experience on video tape. Miami has a Cable Communications Division headed by a knowledgeable and very experienced administrator (see Appendix for resume of Merry Sue Smoller) who will oversee the video production. The City will use its own camera operators and equipment. The executive briefing session will be taped as will other milestone activities including the records survey conducted on -site at various City departments, the search for an appropriate records storage center, the transfer of inactive records, etc. The video tapes will become part of the City Clerk's archives. At the project's end, these tapes will be condensed and edited into a one-half hour video documenting the highlights of project implementation. This video tape will be available to other local governments as a training tool and may also be presented at national conferences and seminars. Throughout both the implementation and operational phases of Miami's Archives and Records Program, the City Clerk's Office will avail itself of the expertise and training opportunities offered by the Florida Bureau of Archives and Records Management. The City's Archivist/Records Manager will seek technical assistance on the management of historical records as needed. One of the Bureau's key staff members has graciously accepted our invitation to serve as Project Mentor (fully explained in the following paragraph) and will be invited to participate in the executive briefing for the City's Records Management Planning Committee. The Records Systems Specialist and the Records ,Retention Coordinator will consult with the State's Records Analysis Section on setting retention periods for records not listed in the published general records schedules. Assistance and advice will be sought on information processing, on the future systems study to be conducted by the City Clerk's Office, and on the content of the City's Records Management Manual. On an ongoing basis, the City Archivist/Records Manager will utilize the technical assistance and restoration services available through the Bureau's Document Conservation Laboratory. The City Clerk's staff will continue to take advantage of the seminars and workshops offered by the Bureau of Archives and Records Management as reflected in the Budget Section of this grant application. Gerard Clark, Assistant Chief of Florida's Bureau of Archives and Records Management, will function as Project Mentor for the duration of the grant (see Appendix for his resume). The Mentor will serve as advisor and counselor to project staff. As such, he will be invited to participate in the executive briefing session. Mr. Clark will visit the project biannually during the 94-- 352 13 grant period to offer advice and guidance to staff. This will afford the opportunity to tap into Mr. Clerk's expertise on an intimate and informal basis. It will also enhance Miami's close collaboration with the State and ensure long-term coordination beyond the two-year NHPRC project. Within one month 'of grant receipt, the City will appoint a permanent Archivist/Records Manager who will be responsible for refining the work plan objectives and finding a temporary location for the Records Center. Working under the direction of the Archivist/Records Manager, the new Records Systems Specialist and Mercy Robles -Garcia, Records Retention Coordinator, with help from Barbara Brodbar, Administrative Assistant, will carry out the survey process in each department using a laptop computer. To maximize efficiency and create a state-of-the-art archives/records management program, the City will purchase software for an automated records management system which can be run on the new IBM compatible personal computer to be contributed as in -kind by the City Clerk's Office. Additionally, a laptop portable computer will be purchased to conduct the on -site records inventory in each City department. We will be evaluating a number of software packages currently on the market including the A.R.M.S. Corp Records Management Software, BetaData's Inactive Records System, and the Record Tracking System (RTS) from MicroWest Software. Any software selected must, at minimum, be able to handle records center operations, archives and vital records management, and retention scheduling. Additionally, there should be the capability for some user -defined customization. To assist in selecting the most appropriate software package and to manage the customization process, the new Archivist/Records Manager will use the expertise of Blaine Buza, the City's .Information Center Manager (see Appendix for resume). It will also be Ms. Buza's role to manage the computer linkages at the eleven NET offices. It is estimated that approximately sixty hours of No. Buza's time will be needed during the initial months of project inception. Her time will be included in Miami's in - kind contribution to the NHPRC budget. Included in the Mork Plan is attendance at two State -sponsored seminars during the first year for both new staff members, and attendance for the Archivist/Records Manager at the annual conference of the International Institute of Municipal Clerks (IIMC). The ZINC offers a number of educational sessions dealing with records management and archives, and most appropriately, these are viewed from the perspective of individuals who work in municipal clerks' offices. For examples of relevant topic's presented at past IIMC conferences, please refer to the Appendix. In addition to attending State -sponsored seminars during the project's second year, the Archivist/Records Manager will have the opportunity to attend the annual conference of the Society of American Archivists. Additionally, both the Archivist/Records 94- 352 14 Manager and the Records Systems Specialist will participate in the October 1995 International ARMA Conference in Nashville. By the end of the first grant year, the Archivist/Records Manager will have completed work on the policies and procedures manual. The City Clarks -office has collected other records management Manuals to serve as models including those from Metropolitan Dade County, Tampa, and Tucson. Miami's Records Management Manual will be printed in-house by the City's graphics division and will be used extensively as a training tool for all City departments. The second year of work under the auspices of this grant will include the initiation of a formal Citywide archives and records training program. This will be an ongoing activity of the City Clerk's Office. Some of the training sessions will be included in the video project. The records storage facility established during the first year will most likely be a temporary repository located in an existing City building. During the second year, the Archivist/Records Manager will begin to develop a permanent Municipal Archives and Records Center with the possibility of sponsoring an architectural competition in conjunction with the Miami Anniversary Committee and tied in with Miami's 1996 centennial celebration. Work will continue on the Citywide records management program and will be expanded to encompass streamlining forms and reports. The Archivist/Records Manager will work on developing special finding aids to the permanently valuable records of the City and will publish a preliminary brochure describing the archives including its purpose, services, holdings, etc. Also, grant applications will be submitted to the National Endowment for the Humanities and to private foundations to secure conservation equipment. Throughout the duration of the NHPRC-funded program, the City Clerk's Office, with input from the Records Management Planning Committee and ongoing advice and guidance from the Project Mentor, will develop future plans for after the and of the grant period. One potential future project will be an optical imaging system linking all City departments and obviating the need to store inactive records in paper form. The City will explore electronic image processing to replace microfilming of records with a retention period of ten years or more. At the very least, the Archivist/Records Manager will be expected to develop a centralized, uniform microfilming system for the City. As future plans evolve during the grant period, the City Clerk's Office will keep the National Historical Publications and Records Commission informed via periodic progress reports. On the following page is a timeline chart illustrating activities which will occur during the grant period. M- 352 15 THIS PAGE INTENTIONALLY LEFT BLANK. 94- 352 YEAR ON ftniffy 1. Assistant City Clerk Will begin recruitment Process to qualm seek a and R *c � hivistSRecords Manager Systems Specialist by Placing ads as sPacified in the Preceding narrative section. k• Assistant City Clerk Will applications interview and screen nage the will a Process` The City Clark aPProPr�ats a flee mast qualified, tePlicanta. i. The two aw n staff mewill Manareceigement mbers 4 -a camprehensive Orientation to City V government and to implementation Plan theArchivefor the programs and Records Management 4. Assistant City Clerk Willcoordinate efforts with the Manager to form an s�etiCity .. level Record* Management Committee Planning organi:atian•s total asks the net Priorities. needs and to committee Di will include the therector of Finances Director of er representatioonpafro Division, from the Personnel DePartments Directors of Building Services/and S lid Public Works, General Potentiallywaste, and Fira-Rescuand Poli e p of the partments. i W CF2 i� YEAR TWd ' 8/95 - 7/9Q . ACnVffY 6- City Clerk's Office will conduct a seminar to Promote the new program to the Planning Committee and other executive staff. Presentations Will be made by the new Archivist/Records the Assistant City Clerk, the Protect Mentor. The video tape entitled 042eardiana of the Public Record" will be shown. 6. The Cable Caft"Ications Division will video-tape all significant significant activities involved in101P. Mmn8lgON tIngnt the Archives/Records the executive b is i�tarting with cu 7. The Archivist/Records Manager and attend rds B"tems Specialist will conferences/samins." sponsored by Professional organisations (refer to Budget for specific details). B. The Archivist/Records. Manager will work with Elaine Bona from the City'e Computer Division to select, Purchase, Install, and customise (as necessaZY) am autosmted records management software system. !. Assistant CitY Clark will issue Purchase order and secure a laptop cosimter for use In conducting the deputment records surv". 10. Executive Planning Committee will designate a Records Coordinator co from each City with the Archidepartment ecordst Manag err. f Cat CLI YEAR OtlE YEAR TWO B� - Ttss Sm - 7196 ACTWffT o.I 11. The Archivist/Records Manager, with advice from the City Clerk and Project Kantor, will find a temporary, City -owned location for the Records Center. 13. The Archivist/Records Maanager, Records Systems specialist, Records Retention Coordinator, and Administrative Assistant III will conduct the survey of inactive and historical records in all City departments. At. least two departmental survey visits will be video-taped. 13. The Records Retention Coordinator will work on an ongoing basis with the departmental Records Coordinators to assist them in Implementing the appropriate retention schedules, secure State approval for destruction, and • transfer inactive records to the temporary records storage center. 14. City Clerk's office will order shelving and any other a pipment needed in the records storage center. 15. Inactive records which have been surveyed will be transferred to the records storage enter. Part of this process will be videotaped. YEAR ONE YEAR TWO 8/94 - 7/9S 8/9s • 7/96. f I ACTIMY 16. The ArchivistlRacords Manager will design and implement two training sessions dealing with historical records= one for executive level staff on the Planning Cosmittee, and one for the • Records Coordinators and selected supervisors from each department. These sessions will be video-taped. 17. The Archivist/Records Manager will initiate and maintain an ongoing relationship with the Miami Anniversary Committee and participate in implementing relevant centennial activities. 19. The Archivist/Records Manager will assume an active role in existing organizations concerned with preserving local historical records. (Examples include the Historical Association of South Florida, Dade Heritage Trust, Slack Archives Foundation, etc.) 19. The Archivist/Records Manager, with assistance from the Assistant City Clerk and the Administrative Assistant III, will work with departmental Records Coordinators to draft and publish the City Records Management Manual. Significant activities/msetings in this process will be video-taped. Advice will be sought from the Project Mentor. i W CR tN: e.1 TEAN ONE YEAR 8/96 - T/W 8/9S -T/99 91 ACi1Vr" 20. The Archivist/Records Manager will initiate an ongoing Citywide training program to familiarise employees Jaiddle managers, supervisors, line staff) with the requirements of a public records program including inventory procedures, retention schedules, protection of vital records, disposal policies and procedures, etc. The Records Retention Coordinator will handle the scheduling logistics and participate as a trainer. All sessions will be video-taped. 21. The Archivist/Records Usnagers City Clerk, Assistant City Clerk, and Project Mentor will evaluate the progress and accomplishments achieved during the first year and update plans for the future. 22. on 10/i/95 the Archivist/Records Manager's salary will be shifted to the City budget. 23. The Archivist/Records Manager will work with the Mimi Anniversary Committee to explore the feasibility of sponsoring an architectural competition for design of a Municipal Archives Center. 24. The Archivist/Records Manager with assistance from the Administrative Assistant lli will pursue grants and other funding opportunities for C.0 future support for innovative projects involving historical records and to secure conservation equipment to enhance the ongoing W. program. CFE z..� I Q1 YEAR ONE 0/94 - 7/95 YEAR TWO 6/9S - 7/96 02 Q3 0.4 r Qi O.2 Ci3 GA Af:IMY 25. . TM Archivist/FWKxMds Manager working with departmental Records Coordinators will begin the planning process for a program to streamline City forms and reports. } 26. City Clerk's Office will design and conduct a survey to measure the satisfaction of various City departments with the Archives and Records Management Program and to 3 elicit suggestions for future activities. 27. A professional video/film editor, working under the direction of the Archives/Records Manager and the Cable Communications Administrator, will edit the archival video tape to produce a half hour tape highlighting the milestones of implementing the program. V V 28. The Archivist/Records Manager under , the Assistant City Clerk's the final direction wil�l.. �w/r�ite report to the ....tiro. 29. Ongoing contact and coordination with the eleven Mr centers to assure eampaiter linkages are established and maintained between the centers and the centralised records repository. e.0 t G"Y YEAR ONE YEAR TWO tm-71" WN-Tlf .. KEY PERSONNEL Resumes are included in the Appendix for currently employed personnel as well as job descriptions for the new positions needed to carry out this program. Xey personnel are as follows: PROJECT DIRECTOR Walter Foeman who has served as Assistant City Clerk since 1986 will function as Project Director for this program. Mr. Foeman has extensive experience in the implementation of records management procedures as related to official City Commission records. He has excellent working relationships with many City department directors who will become key players in the proposed comprehensive archives and records management project. RECORDS RETENTION COORDINATOR Mercy Robles -Garcia has been employed by the Office of the City Clerk since January 1990. She is the City's liaison with the Florida Bureau of Archives and Records Management and works with all City departments to assist with their records retention scheduling. She will be a key player in establishing the records management project and will work under the direction of the new Archivist/Records Manager. ADMINISTRATIVE ASSISTANT III Barbara Brodbar has served in this capacity in the City Clerk's Office since March 1992 and has extensive government work experience both at the state and county levels. She has established working relationships with individual archivists and related organizations interested in preserving South Florida's historical records. She is also involved with the Miami 'Anniversary Committee in planning special centennial projects, some of which could result in continued funding for initiatives started under the auspices of this NHPRC grant. PROJECT MENTOR Gerard Clark is a senior manager in the Florida Bureau of Archives and Records Management and teaches several graduate archives courses at Florida State university. He is a member of and the Deputy Coordinator for the Florida State Historical Records Advisory Board. Mr. Clark has a Master's Degree in archival administration and extensive work experience dealing with public records. He will function as Project Mentor during the two years of starting Miami's Municipal Archives and Records Program.. OTHER KEY PERSONNEL Several other City employees who are not part of the City Clerk's Office will be key players in establishing the Archives and 94- 352 Records Program. Elaine Buza, Information Center Manager in the Finance Department's computer division, will assist in selecting and customizing a records management software system. Merry Sue Bmoller, Cable Communications Administrator, will manage the video-taping project, oversee the editing process, and supervise the two technicians doing the camera work. Resumes for Ms. Buza and Ms. Bmoller are included in the Appendix. Job descriptions for the two new positions required to carry out this program are included in the Appendix. All proposed salaries reflected in the budget are in accord with City of Miami pay grades for comparable work, and are within the low and of Metro - Dade County's pay scale for equivalent positions. RVALUATION The project will be evaluated at each stage of. the work and at least annually to determine the status and accomplishments of the Archives and Records Program. The Archivist/Records Manager, under the direction of the Assistant City Clerk, will submit periodic reports to the National Historical Publications and Records Commission, the Florida Bureau of Archives and Records Management, City of Miami administrators, and other interested parties. There will be an opportunity for City staff to provide feedback in a specially designed questionnaire after the second year. The Project Mentor will most with the City Clerk and the staff directly involved in the Archives and Records Program to make recommendations for improvements and future directions. At the end of the grant period, Miami will have instituted the groundwork for one of the most comprehensive and professionally managed archival and records management programs of any major city in America. 94- 352 BUDGET FORM Pale one C4 410o Nect Director - if this is a revised budget, ind=.ahe the Ni1PRC Walter oe rna n Asst. e i+ C (erK appliculotVgmt number, Applicant Organisation Requested Grant Period C'i•i of /li�rrh•h From f V to aoolyr The tbneaeolumn budget lhas been developed for the convenience of those applicants who wish to ident�y the pro)ea cost: that Will be t&atged s4 Oommsission funds and those that will be cost shared. In eaootdana with Federal regulations, dx oaJy Column that applicants j on mquired to complete is Column C although applicants may with to mmplete Columns A & B in order to provide sufficient detail b Wow to a bens understanding of their budget nVest. The method of cost computation should dearly indicate bow the total charge for each budget item was determined. If more span Is needed for say budget category, Please fellow the budget famat on a separate sheet of poper.Whea the r0qu"ted gn�nt period is eighteen months of km*er, sepaim budgets for each twelve-month pealod of the project must be �evebped aP' I SEMON A —Budget detail for the period from F let y to 7 AS saalrr Garr 1. Salaries and Wages i Ftovide the Dames and dtks of painciptl projaa personnel. Re support staff, include the dtie of es paitioa and indicate in brackets the auket of persons who will be employed in that capacity. For persons employed on aD waderik yew basis, list separately any salary chap for work done outride the academic year. NHPP.0 C981 Taw Faab SM&S (a) (b) (e) ,11,toes. x too *4F3.6oOyr• s 39.41 sue_ R ` 1 �led�13 S,I�ta,� SfQCiRiSi ere 1�i�bleS-GaT��a Rt-►on - Ceet . tA�dlhr � Foen�ean -- C44 C1Q k _ _arbdra $rod bar d.n►n. Assn. jElacne .buz4 ' Ti+% . i!errFer M n dr. 11 mes. x 100li Pat%. — �+ Ge4 T r. o s• a5N '� SUBTOTAL ssT- s- s ?-- ems S— S3206g, S o b,q S._ S/�-2 S_.:�.213 S----- S A 9 5--49 S_ S Se /07 S .01? SEE MsxT PA 6 E 2. , Fringe Benefits If more than ace scree is used, list cub rate ad alm base. — SEE WE XT PHGE Rate Salary Ore (a) (b) (e) .16 of S 96 of S SUBMAL I Consultant Fees liadude payments for prodessibnal and tecbnicaJ eottstbars and hanoawIL Name or Type of Cbmalow No. of Days Day Ilse d an Projaa Ccahpeoudon S_ S_ S_ S_, 'S_ S. Se S- f+) (b) (c) .-- S S_ $ _._. S___.� S� s!® S_S� S �_� S ���� S_ I S i SUBTOTAL S_ S_ S � WATIONAL ARCIMTJ ANM WORM AOUMFUTiON — 5 AA roamrlfil fRw,1a1 *MR ""OvAL No. I "4M UMUTM OAT: ual-ft e/ 1993.49 Fate �'vJo o� -t'd� O • BUDGET FORM • Nect Director if that is a revised budget, iadiaM the NWpic gtPliadoe/grant number. Water Foeman 46st. er Applicant Orgeaiatan 1RRequetted Grant Period From to t'v ci+ of MiQ�M { r 'Bite three•Cdumn budget hu been developed for thost e cooveaienee of date applicants who with to identify the project Coast that will be eJrw to Caavmission funds and those that WiU be Cshared. In e000rda= With Federal rtgulations, the OWY Column that applicants arm requited t0 complete it Column C although apPUMS may with to complete Columns A dk B in order to provide sufficient detall to allow for a bever understanding of their budget request. The avdW of Cost computation should dearly indicate how the toW diarge for each budget item Was determined. If more space is :seeded for my budget category, please follow the budget format on a aepuate sheet of peper.Wheo the requested pant period is eighteen months of low, separate budgets for each twelve-month period of the project must be developed on dupaiated Copies of the budget form. SEMON A• —Budget detail for the period from ZJqY to 7 95 yr 1. Salarles and Wages Provide the acme: and dda of principal project personnel. For wpport suit include the tide of each position and indicate in brackets the rumba of persons who will be employed in that capacity. Fn persons employed on an academic year basis, list separately any salary charge for work done outside the academic year. WAPRC Gast That Funds sharing Merry Sue Sekolkr (a) (b) (e) Chkk '%604i 4 min. 1,6I o ITT S S Ste.,.' . ViOddn�j�1 fit.-0 � {�I11c. T•+To/Ca►rr"-1't�o�i. Lo mosx a2'l: Ti�P_��✓r• s s S-- — ordgpnAA�o .41' in � QgMg#aNren Ar ri�J tot .",^Ls. K .2 %_ TT. SS .SY� S s s— S_.__�. S_ S_ S� 2. ' Fringe Benefits lit more than one rite is aced, list each sue and salary base. Rate Salary Base of S SUBTOTAL 3. Consultant Fees Include Payments for professional and technical ooasultmtt and honoraria. ldaate at Type of Cbatatnat ewe ef Dos Dapy I" of how CP s s____._ s____� 5A I= sJAZo,,.LI/b (8) (b) (e) 5 14 s 1T�.$$.`i S � (a) (b) (e) ._._ S S S— S �- 5.�. S __...� _.s._ s._._._ s s_._.. S--� SUBMAL S- 5- S 11At70KAL AI1f Irr� ti AND RtCORDO ADMT.41n aA"ON W 17M1 Me. /•A) UPWAA°�`Tioo OATL 11.3i.4n V A10 1993-49 MVRC D*n Fam hp 2 ' 4. Tlvel For each trip indicate the number of persons traveling, the total days they will be in travel tutus, and the , P�ai subsistence and transponation coma for the trip. When a project will involve the travel of a number of people to a tcoaference, institute, etc, these oasts may be summarized on one line by indicating the point of origin as "various" All foreign travel must be listed n+eparately. Yap NO. Total Subsistena hmspomdon PWRC Cat Told of iri� r.�lsl+ara/Ni,:, Travel Coos + Coact Funds >4ri c•) itiartot ro) (C) t Mch �6 0 S, g�•,?� r: r [ D [ •1' D Ste. S S� S- .5P, AA A,6er S sa,.� �a1r�.I .t D t to l S�& S # p O s_..�L s� s SW9E Il -.Js /I//T. t D t D S- S� s- S- S �-• .Sae n,;►n P I t D[ 6f l S •?? S.—&y s/ V-Z S/2.-2 S 0?R", °A [ D I D S- S- S— S S S 64-10 SApo 00 t D t DS s s S— S :usm+wz, S S, /. 705 s S. Supplies and Materials e see CYPIOM40Y Not �/. (/FtfarAmeQ� -W*Se4 Err l.ha•1 * N 11�� Point, hdude consumable supplies, materials to be used in the project, "Items of es�pen�able; Le, equipment items costing less than S5A00 per unit. iitem BasiwMetbW of C'M CmPuation (•) 'esfCast t of sK Iva mi!c a (b) (C) al7r;e ripI� 4lcLrh,,4LLtG rs e w w� S S 1 C% S fiD O� ��etaaQ s%e�Vigo IS yhi�S @ *9b eqrA S_ SI 4tq S 1, sfer•ae boxes S- S,i 08o S ao �oy1i� o%. s.raolits !g5T par �Ao. x �� �,as x .! F7Es S- S12110 S 1 SE0 ,QPs8c4ea co.00utar !AM ygh cohseai:66- gLy� 9 cest S S o S 0,- o0 f��o eon,, o�+ter 'Jtik esei,�i eosi S 80o i O D S_y�Q,o =.tsoo it, RTS 0RcA'&X* S:Z, -410 Shod o SJW lAswf,�,f $t on-si'fG S S S__, * * * ,* S S- S 464;& s ge 0-act s s AO i�.� s_. S- s- s11E Set E K p 1 snd�er� Noe *.S. SUBMAL S _ 8�Q S JAI A Q S -•2 boo 6. SaMces Include the cost of dupiiation and primi* long distance telephone. equipment renal. postage. and other services related to project Objectives that are not included under other budget categories or in the indirect cost pool. itlM east mffiod of Cost Cetnpination (a) (b) (e) eLono iWSr Lllsiie►, 2 st+s (V s.ZILS 4QJL. S� S 470 S_ !70 Iong e(rs•lSMee Ca ft 0 *.lad AM x /a +o•rs. S-.: ep cc S�bc t RWA*46, c y t /e 0. Af sic4mc Ce+d� r RTS S11 PtC?�. .i�6OQ. S(00. S sseo*ds Mat. 3Ln Mr moot gi, <J aest on. 0,4y ;0?,-d' 51i "* S- S A-PVO S �? J S_..._ $S_.____ SUBTOTAL S fad S 3,r /o S _t is& RA♦IOUL AItCRT%lrA AND RWORM ADM!lnrrr TION orA 4V 4�i *7 FORM ram... .) OKa APPROVAL NO. nrrs.a0 lfaSL�e Ex ICII't sit• N Ole. T. nu tan sro rtaAnoNarc ssaun '" J" & EKfIQ, +Dr6 NO-fe '*S. 1993.51 MWRC Dart FOM pw3 • 7. Othehe iinclude .r Costs purcbeses of S3,000 or tore per unit, training costs and registration fees, and other items not previously listed. Please Rote that llaneous" and "contingency" are not acceptable budget categories. Refer to the budget instructions for the restriction on the purchase of permanent equipment. N>iIPRC CAM ifunds hem V DoWs edtod of troy Con oo (a) L.,Czl a lassi fig ctc�s aiorsAge,€rA(R/,ta jAPrn� S � „92 wares @__e.93 yamS .9 t� *+-?6 der ' S4 s-/0Q sac; e���er s —S � I shaft awl (b) (e) S_..�..r.. S..4 U9 S S- S S_.,.IB S.,.. V 1t2 s--9.160. s._..LMA sv102 SIgg 500 s_____.. s__—._. — S— suBrorw1. s s � o S - & Tote Direct Costs (add subtouls of items 1 through 7) S 'J?-2 s,(,?4 di 7 9. IOdirect Costs (This budget item applies only to institutional applicants.) If indirea costs are included, check the appropriate box below and provide the information requested. Refer to the budget instructions for explanations of dM options. atrrent indirect cost nue(s) hasfiave been negotiated vmith a Federal agency. (Complete item A and B.) p Indirect cost proposal has been submitted to a Federal agency but not yet negotiated. (Indicate the name of the agency in item A and show proposed rate(&) and bau(s), and the amount(s) of indirect oasts in item B.) O Applicant dbooses to use a rue not exceeding 10% of direct costs up to a maximum charge of S5,000. (Under Bern B. enter the proposed rue, the but a&nst which the rate will be charged, and the computation of indirect oosts or SS,000, whichever sum is leas.) A. of Nousins i Urken 22y& 62MS" ;i_- tt►naeo f Federal Apsey_7 Date of AVWWW B. i? MC Cad Ramrods She ft Taal ask B+taK&) (a) (b) (e) 15. % of S . f q5. 497 Ste.... S S ai of S s_..._ S� 10. Total Project Costs (Direct and Indirect) for Budget Period 94- 352 WAflOML ARCKM1U A%M WORDS AD%. Nlf UTM NA foRM %? M tan.1451 ' 1'a�t ant' 0� '�'tNo . BUDGET Foy Nect Director U thit is a revind budget, Mate the NWRC �grat amber: man C�fi � Apowt Orgtniraiiott f Requested Ckmt Period The tlaae.Cohtma budget ha been doped for 1be convaieaa of ttion e*aaa who with to ideatify the oj0a Costs that will be dtt pd to Cmmissioa funds and thaw that will be am "-a in tC wUnce with Fedasl tttphdolm thte only column that appliaats are too" to complete is Caluma C although appliaat: miywith — oompiete Colaam A a Bin order to provide suftieat det" to allow famboavaderstandin of dteir bodg+et request. The method of of coat attmputatica diould deafly indimte * w the tool Charge for each badge item was . If mere ttpact is needed for soy budget ategory, plan follow the budget format on a selwtte sheet of paper.Wbea the rogue: grant period is dot= mwtht or loq v, wposte budgets for ate twelve-month period of the project must be developed oo duplicated copies of the budget form. SECI70N A --Budget detail f®r the period frotn 9� to cmo � awn 1. Sags and Warms PmvWe the tattmes tad titles of prioc4W project paaaetnA. For affort st4 include the tWe of each position and 1 diaw in Wackets the wn*a of persons who will be employed In that opacity. For persons employed on at tcademic year basis, Let aeparstely any salary dirge for work dome outside the wAdem year. PWRC Cost TOW Ftmds r�erds �/nqr. (gZ A.5. w /A0%.: ��i��9b%yr. sZ 5 1%, rd8 s i Rleords S,K'�tMS SKGa�'St ra gfet. i 100 % 0.73. (.9 s.2 9,&2G a— s 3 %w j Mtre.y- RobIK-�.taa e b � r .La s_.tL° �sd r. S S 1 6 S a,lfiei^ Fotraor� Assf. IerK Mas. x to % • �??' g4r. Ste_ SS� �ttbat•d $rod6>dr S— S ro`��f S—ue i CoNT/�VveD ON NEXT P�'GE: _— S— S� RW MAL S- s� 5- 2. Fringe Benefits If mare that out rate is awed, list twh rate ad Way base. See nt xt T L%e . Rue Sduy ear (a) (b) (c) s� s- s...._._._ .S— S_.� SVBMAL S_._ S- S _.�.._ 3. Consultant Fees . ldude payments for pro mioiW tad adnics caewhaats and howmia. Name a Type of ocosahaat No. of Deys Day Rate of (a) (b) (c) on rsoject Cmpanda ..,� S s__.____ s______. s_____._ .�. S s- s___v__ S...� .,� s S____v_ s.4,._. suB=AL s- s� s..� 1dAT L AACXn?S AND LWOM ADMhgITRATIO:+f OMIAlMM'ALNO. N"40" � See ax""TMDATL &II-S .0f ErcPldr,a•�Ty I j� hl0+e.. ry J .� � — t�NA FORM r7M1 fM. lA01 3 J 1993.49 � � ;WItC 1M*0 Form hp _ • 4. 'i wel Fot welt trip indicate the number of persons traveling. the total days they will be in travel tutus, and the .,xal subsistence and transponation institute, these be coats for the trip. When a project will involve the travel of a number of people to a conference, etc., costs may summarized on one line by indicating the point of origin as "various." All foreign travel trust be listed separately. Wm No. Total Subsistence itu"wudon NNPRC Cost Total L �/ of Travel Costs a Can • Funds flays (a) '�Fi T4 �/� �fJl�t/�'I��Af i P !anal (b) (C) .f.was .tip_ t/ 1 t 4 1 s096mg seftr SA,�V $ SX-6-0 �tAWOR t^OArtr+nre_t .� 1 t 8 Is 41 Teo S 'IF-0 S11. s22 S -4-156 in Ala rhy,//e— t 1 ( 1 S— Se._ $— S— S� /�invdlJ ea- Se aeN 2� t l 1 t 5 1 S . 73(o S�' clo S —"A S513 s 10 18,6 l� Aip;s-ts t 1 t 1 S� S_.. S� s- So.�. yoga; efteJs ". J:L.Opr t 1 [ J 1 S-- 70 S_2' S� S.�.79' S- 7F t l [ 1 s- s s- S____r S� SUB=AL s�4.2 // s 4 b-d 9 S o'io S. Supplies and Materials tuclude consumable supplies, materials to be used in the project, and items of expendable equipment, ix, equipment items costing less than S5,000 per unit. hem BuILIMethod of Cat Computstim (a) (b) (c) se�`�Q OTQ. S1JOGf%tS r.'SS/IIIO. Ae� s s' 4-3-2 S4 A R0 /.2 Mgs. x d em I.W..r TE) S- S ��eelYr' .0,,5 4&s � /r 00e.a S S?30 S a S- S- S- s- S- s S- s s s s S- S_ s S_ S,_._,_ s_____ S- S_ S_ S S_ S_._,_ S- SUB' WAL S' S 4.9 S.�.'�?p 6. Services include the cost of duplication and printing, long distance telephone. equipment rental. postage, and other services related to project objectives that are not WNW undo other budge: categories or in the indirect cost pool. Item BASMOIetfiod of Cat Oaapntatboo (a) (b) (c) L.one1 4i's4ance palls Exf 60 t mo. x 42 wren S_v s, 2 22 s..94�0 Aeeo 11rA es Apoha s A-W cid otT r Grated Adr,eq S_4—le . S .23o S--Mg arawtrn• "ngct „(8'� �� ��1s^ler�rt eesf(= RTS) S too O S (000 s_jsAQ.Q free-fesst.nJ - cape eJ*-hr !tJgId" v r is C4 4o f-COY- S— S___._ S__o Wrox . 90 Ars. dike: ►Da S,.21,Q S .7,11 S % Lk o ..OTV&Aks QQV VW92 AduaJl nest eat- Snits Aahn S 100 S100 S P00 StMMTAL s.,Jtie s- S-7,_.W %A,no%AL Ascmvu AMo RuoRos ADm arraAnow 9 Q — 3 J voR+a nwi o>r.. t.a, OMa 4"ROVAL N0. tM%MM ttat'ta►*to, nA*>r �ar� 31 1993-51 • hr3 • % Other Costs Wdude equi nt purdufes of SSAW or more per unit, training cats and registration fees, end other items not previously listed. Please tote that Wneous" and "contingency" am not acceptable budget ateaories. Refer to the budge) instructions for the restriction on *a p aheae of permanent equipment. PWRC Cad h mm 8Mig"S&od of Cast CM PJ%dm � Gi��V d/��' 1�.rapp�.//1fQn�iyi5'L's ���y ¢^ ee ear 1ftAS�Ya}+ON1 AhhtLI.X �Al_ t C� sc, �r ttwis tat�1D_n-- gdaLr }' SIM"iaS TOW (a) (b) (c) S_.■3,;1.■3 S--3 S D� } t - S �` s r.TlSSisea] MAtM624D .&4thurl �r. &Ai Its-, I s..L2,Q s10 00 *.:1 00 Aa t r..� s .......� S .......�. s, suv=AL 5... s s7,25 s 4.,VO E) $. Total Direct Costs (add ralbtoWs of items 1 through 7) 5,MtJ&4itr't SjAj �9Z 9. Indirect Costs (This budget hem applies only to hlsatuamw appliceau.j if indirect costs are included, check the appropriate box below and provide the information requested. Refer to the budget imstructkms for ettplamations of these options. Current indirect cost me(s) has/lave been negotiated with a Federal agency. (Complete items A and B.) O Indirect cost proposal has been submitted to a Federal agency but trot yes negotiated. (Indicate the name of the Agency in hem A and show proposed me(s) and base(s), ad the mount(s) of indirect costs in item B.) O Applicant chooses to we a rate not exceeding 10% of direct costs up to a maximum ehne of S5,000. (Under ham B. enter the proposed rue, the base sgainst which the rate will be darged, and the computation of k&ea cum or SS,000, whichever sum is lees.) A..No- J fioustra * V*bw �tre(orl•.�•es+t �1133'9 t�nae of FideW ApM eJrse of AFWWW >m. if MC COd Faads ii bW* TOW Rase 8eae(a) 441) - (b) (e) Za % of 5- oesue,. 41 M S_ S % Of S s._._._ s- s�. 10. Total Project Costs (Direct and Indirect) for Budget Period : NZ 00 o s o e s 94- 352 KAT omt. ARf ILS ANo "Com ADmmf7'aA"" M roam 1"13 Mr.140) Obey 4"ROVAL NO. 3Nr41M ZLKMTVM DATL• u 3an ---- _. 32 1993-53 NMC &Apt Form by 4 ° SECTION B—Summary Budget and Project Funding .� SUMIARY BUDGET Traoder from section A the total costs (column c) for each category of project expetvie. When the proposed grant period is eighteen months or loo er, project expemes for ewb twelve-month period one to be listed wparately and tooled in the list column of the summary budget. For projecss dot will run less dw eig4axn mon* only the last column of the terry, budget should be completed. First Y Saomd Yppr/ Thiel Yar/ MAL COSTS FOR $udgtl GteQOt�t'S than: 4/1 fliattn: d /1S' Baru: ENTIRE GRANT so:7/9S 0:7/9(o b: PERIOD I. Salaries and wages s12.04`l. fe S /�3�� Ss ■ $? j3 97Y 2. Fringe Benefit: S-Itjj sJZ6 S® • s/�9-Y 3. Consulut Fees s s` S� • $ 4. Ttavel S 4 : Zo s_,.._.. • $o Id.2 S. Supplies and Materials $ 9 b s _70 S _._ • $ o 6. Services s- 41 S ;,ft s_ • s /.2l ,570 % Other Costs S-Zl.?s S_.4 #0 S- • 1 14 / & Taal Dirw Costs (kerns 1-7) s/�17 s j .2s,__,__ • s 3 5 Z Lf f A. b irrct Costs S s�9 s .A4ALS- s : $ st 16AY Io. Taal Prgjed Casts (Direct & Indirect) $2gja7e. : /l 07 S . s 3 PROJECT FUNDING FOR ENTIRE GRANT PERIOD Requested from NfIPRV Outright s-L4z-z.-?Z Matching S� TOTAL NHPRC FUNDWO s�3 „7.s CDt ' Cash Conaftlioas 5,.1, 7 In -Kind Cotnaftdcns SJ-4a-z Projea Income $ Other Federal Grants' $ TOTAL COST SHARING i .2 iT Total Fmject Funding (NHPRC Funds + Cost Sharingr a S 411 , /,:Z-8 I bdkaw the :moan of aw0t "W F°derat madtq bob ttq h wgoemd fts Ale Cmwhim 9 h dtane sae mom of" oo &h)doel dw Will k mode by Aw epp&mt or Aced prd" to taspport pl*0 apma Art WPM In due budpeL bdgde it Ale wool tied fang IsutA IM Art wM Ae end b lekm FodrW :lolly M& (Clmd 1W , p - — #aidetltta lot Iormt - an ow—dw* sMgytsear>a:trt.) tta cm Ar amoatn d owd at mtidpsled nab be oba Fadad apaida foe t h p*at ad slit tti t" a*. d TOW h*a haatlst taAoudd and Tod has peso. . tloaal Gnat Mtda4>Drstats lia&w dw amne, ddt:, addms. and phone rpnnbet of dw prices who will be rapoenlbk for the scowl tiaulcial admioiwuioo of due grant if the mud Is mad:-s.g., auuriq cornplk= with dig leans and cooditiom of Ale awu4 subrnittirlg finsneitl status reports. trd 7i18e (ptaue hype a Fiat) Tilephons (-q050-5.5 C00 Ms — 352 Dag SnV Uavg 111, 199+ mno%a AR[Re1'L1 ANC RWOM ADMDMUT1aN IPA PORN 1"81 Mr.14M oMa A► 1110VAL NO. W144101 1993 SS Isr"TUON DATL 11"M sa r' ZXPLANATORY NOTES TO BUDGET 1. Subsistence costs for the Project Mentor include $21 per diem for Weals based on the allowable State rate as of 1/1/94 plus $89 per night hotel rate (total of two nights) based on the Runzheimer Meal -Lodging Cost Index 2. The International Institute of Municipal Clerks offers a number of educational seminars dealing with records management and archives. Refer to the Appendix for examples of relevant topics presented at pest IIMC conferences. 3. Per NHPRC grant support guidelines, page 1993-21, computers and peripherals are allowable equipment expenditures. 4. RTS (Record Tracking System), produced by MicroWest Software Systems, is one of several records/archives management software programs we will be evaluating before selecting the most appropriate one for Miami. Refer to the Appendix for a four -page description of the RTS system and its specifications. 5. The City Print Shop/Graphics Division estimates the cost of printing 150 copies of the Records Management Manual as $260 for labor costs, plus $150 to print covers, plus 150 looseleaf binders at $5 each, plus six cents per page, times 120 pages, times 150 manuals. 6. Two classified ads will be run in the Miami Times at a cost of $60 each. One 10-11ne ad and one 20-line ad will be placed in both the Miami Herald and El Nuevo Herald to run for two days each, Saturday and Sunday. The cost is $15.69 per line, per day, times 30 lines total, times two days, times two newspapers. 7. On 10/l/95 the Archivist/Records Manager's salary will be absorbed in the City budget. The Records Systems Specialist's salary will be transferred to the City budget on B/l/96. 34- 352 U THIS APPENDIX CONTAINS 44 PAGES (SEE TABLE OF CONTENTS FOR LIST OF ITEMS). SHOULD YOU DESIRE COPIES OF ANY OR ALL OF THESE MATERIALS, KINDLY CONTACT: BARBARA BRODBAR, ADMINISTRATIVE ASSISTANT OFFICE OF THE CITY CLERK CITY OF MIAMI TELEPHONE: 3OW50.5371 94- 352 ..i ATTACHMENT ♦A J-84-322 s 4/21/94 ORDINANCE NO. 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 THH 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, Seotion 287.36(8) Florida Statutes, entitled "Reoords and Information Management,` states that it is the duty of teaoh munioipality to establish and maintain an aotive and Continuing program for the eoonomioal and effioient management of reoords; NOW, THEREFORE, BE IT ORDAINED BY THE COMMISSION OF THE CITY •OF MIAMI, FLORIDA: 8eotion 1. 8eotion 2-48 is hereby added to the Code of j the City of Miami, Florida, as amended, as following: I 08e0. 2-48(a). short title; purpose. ! The 'City of Miami Arohives and Reoords Management Program" is hereby established to provide for the proper and effioient management of the City of Miami's publio reoords, and for the operation of a . oentral repository for same, inoluding the City's historically valuable reoords. 34- 352 0 6eo. 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 suyervisory authority over the reoords Management program. (2) Yap ntenenoe of Public Reoords means the creation, maintenance, proteotion, use and disposition of Publio Reoords belonging to the City of Miami, Florida, inoluding the establishment and maintenanoe of a system of filing and indexing Publio Reoords. (3) Public Records Means all doouments, papers, eleotronio reoords, letters, maps, books, tapes, photographs, films, sound recordings or other materials regardless of physioal form or oharaoteristios, made or reoeived pursuant to law or ordinanoe or in oonneotiou with the transaotion of offioial business by any offioer, employee, offioial representative, or appointed board/oommittee member of the City of Miami. (4) ArohivalReoords means those Publio Reoords, manuscripts and other reoords whioh dooument 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 bsoause of their importanoe. (8) Aenyaitive Reoords means those reoords dealing with seoret, classified, or delicate government matters. (6) Vital Records means those reoords which contain information essential to the continuity of government operations or to the proteotion of individual oitisen'e rights, and vhioh oannot be replaoed. (7) Zaaotive Records Means those reoords no longer required to be Motive in offioe areas, but which require further retention due to legal, administrative, historical reasons or other enabling circumstances. (a) City Reoords Center means a oentral repository for storage of inaotive Public Reoords. -2- 94- 352 M Sao. 2-48(o). Custodianship of Public Reoords. Custodianship of Public Reoords 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 oyole of each document. Outgoing City officials or employees shall deliver all Public Reoords in their custody to their successors. Records not in current use shall be transferred to the City archives; and, upon acceptance, the arohives shall be considered the legal custodial site of such records. Sao. 2-48(d). Duties of City Officials and Employees. It shall be the responsibility of a City employee, under the direot supervision of the City Clerk, to administer the City of Miami Archives and Reoords Management Program. In this regard, the City Clerk, among all other functions required for the proper and efficient management of the Public Reoords 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 Reoords Management Program. (2) Provide and maintain the City Reoords 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 Reoords. (6) Conduct surveys, studies and investigations to anoint in promoting a proper and efficient Reoords Management Program for the City, including information retrieval systems. (8) Identify and ensure the preservation of City Archival Reoords. (7) Provide for and direct appropriate City personnel to ensure the sound management of Archival Records and their availability to the public. -3- 34- 352 (8) Ensure adequate seourity is provided to proteot Vital Reoords. Sao. 2-48(e). Duties of City Departments and City Commission Offioes. (1) Eaoh City department and City Commission offioe shall create and maintain all of its reoords with adequate and proper documentation of its organization, policies, decisions, prooedures, and essential transactions. (2) Eaoh City department and City Commission offioe with the advice of the City Clerk's Office. shall establish and maintain an active, continuing program for the eoonomioal and efficient management of the reoords of the department. Suoh programs shall provide for: (A) Effeotive controls over the creation, maintenanoe, and use of reoords in the oonduot of business. (E) Cooperation with the City Clerk's Offioe in applying standards, procedures, and teohniques designed to improve the management of reoords. (C) Segregation and disposal of reoords Of temporary value in accordance with established retention schedules. (3) Those Public Reoords which are not required in the current operation of the offioe where they are made or kept, and all Public Reoords which can properly be disposed of, shall be transferred to the City Reoords Center in order that the Historical Reoords 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 Direotors shall: (A) Nonage all reoord management functions within their respeotive departments and act in close coordination with the City Clerk's Office. 24- 352 -4- (H) With the advioe and assistanoe of the City Cleric's Office, inventory all Publio Records for disposition scheduling and transfer action in a000rdanoe with prooedures presoribed by law or with rules promulgated by the City Clerk's Office. (C) Consult with any other personnel responsible for creation or maintenanoe 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 oonfliot with the provisions of this Ordinance are hereby repealed. Section 3. If any section, part of seotion, paragraph, clause, phrase, or word of this Ordinance is declared invalid, the remaining provisions of this Ordinance shall not be affeoted. section 4. This Ordinance shall become effeotive thirty (30) days after final reading and adoption thereof. PASSED ON FIRST READING BY TITLB ONLY this 28th day of ,mil_, 1994. i PASSED ON SECOND AND FINAL READING 8'Y TITLB ONLY this day of , 1994. ATTEST: NATTY HIRAI, CITY CLERK -5- STEPHEN P. CLERK, MAYOR 94- 352 PREPARED AND APPROVED BY: RAFAEL O. DIAZ DEPUTY CITY ATTORNEY ROD : ook : X2012 4 APPROVED • FORX AND CORRECTNESS: -6- �4- 352 OUTLINE OF PRESENTATION RE PROPOSED RECORDS MANAGEMENT ORDINANCE I. INTRODUCTION AND BACKGROUND Establish Records Management Program A. Purpose of Proposed Ordinance 1. Centralize the records management function under one department -- Office of the City Clerk 2. Establish Certain Records Activities a. Records inventory b. Records retention C. Archiving of inactive records d. Storage of inactive records e. Disposal of inactive records f. Preservation of historical records g. Protection of vital records 3. Create guidelines, standards, and methods for indexing, preservation, disposal, retention, archiving, and retrieving of records B. Justification of Need for Program 1. Respond to State mandate F.S. 267.051 requiring cities to establish sound economical records management programs 2. Need to conduct a complete inventory of records Citywide to ascertain what records we have and where they are located (survey of damaged records re Hurricane Andrew) a. Establishment of a comprehensive file index reference system for all City records 3. Reduce sheer volume of records [total volume of records in the City versus annual growth rate] a. Average four -drawer filing cabinet holds 10,000 pages; we have apx. 100,000,000 records in the City. Divide the total number of records in the City (100,000,000) by the number of pages in each filing cabinet, which gives you the total approximate number of filing cabinets (10,000); then multiply the average floor area per filing cabinet (12 sq. ft.) times the number of filing cabinets, which ,equals 120,000 square feet of storage space for records 9 4` 352 Proposed RMO 1 April 26, 1994 C. b. Annual growth rate calculation i. Equals between 10-20% (10,000,000 to 20,000,000 documents growth annually) c. Industry officials document that the implementation of a records management program results in savings of between 10% and 4*5% of total operational costs in an organization 4. Improve storage and retrieval of records a. One third of all documents and information can be thrown away; another third to inactive storage; and another third can be retained b. Each inch of paperwork in files cost approximately $300 to create and $1397 per year to store C. Cost of maintaining active files: At $5 each, 1,500 copies per file drawer, the cost is $6,000 per file drawer; a four -drawer cabinet contains $24,000 worth of records 5. Increase efficiency of records processing a. One office form costs approximately seven cents to produce. Combined with personnel cost, that amount is approximately $1.40 b. Sixty-five cents of every dollar spent is consumed with handling of records C. Records management officials indicate two- thirds of total work hours are spent on research, storage and retrieval of documents d. Approximately 3 to 5% of all records filed are misfiled (monetary input) i. Average cost of a misfiled document is $100 6. Identify and protect vital records 7. Delay in the decision -making process; unproductive use of administrative staff due to lack of access to critical data (Statistical data was obtained by Mark Langemo, Records Management Authority) Description of Ordinance 94- 352 Proposed RMO 2 April 26, 1994 a 1. Centralize the administration for records management and archives with the City Clerk 2. Establish certain definitions and terms 3. Establish a City records center 4. Placement of inactive records, security of vital records, and preservation of historical records. 5. Define certain duties of the City Clerk re preserving records at the records center; records inventory; destruction schedules; conduct of surveys and studies in furtherance of the administration of program and preservation of the City's archives 6. Vital records security D. Duties of Departments and Commission Offices 1. Provide for departmental training, retention schedules, and filing, as well as assistance in setting up filing system for work in progress documents and the manner of usage of records during the conduct of daily business E'. Public Benefit 1. 2. 3. 4. Proposed RMO Increase public informational access a. Efficiency in the availability of records b. Efficiency in the retrievability of records Reduce operating cost a. Reduce unnecessary duplication of records i. Records mini study showed that of the duplicated records that were randomly received, said documents were reproduced on an average of ten times during the document's life cycle Reduce redundancy Documents are prepared on Unisys PC's, then printed, copied, distributed and stored, thus requiring additional filing cabine space and impacting on time and personnel cost Address technica � olescence a. Example of City Clerk's Kodakof Retriever `� TO-- 2 3 April 26, 1994 5. Cost Avoidance a. Reduce purchase of filing cabinets b. Avoid purchase of certain equipment and supplies in al City departmVse-,e--G• 09U6I G G r v 1, H RCµJ c3�a 6. Free up additional office space (dollars per cubic foot) F. Start -Up Cost 1. Personnel cost a. Retraining of staff to assume additional responsibilitiesGGA,,*i& wAk.,"-00 � •oL&,(3� 1, r- .7 b. Hiring of records manager c. Filling in-house of records specialist position 2. Ascertaining a records center 3. Acquiring a City vehicle for pickup of department records 4. Additional storage cost for microfilm reels at the State's archives facility in Tallahassee G. Revenue Initiatives 1. Collaborative ffort wtth Dade County re kiosk concept for heir proposed imaging system - private sector to new technological acquisition 2. NHPRC Grant ($140,000) 3. $100,000 grant for vital records plan 4. Inclusion of the City Clerk's Office in the G.O. Bond Program for Police and Fire 5. Dialogue with County Clerk on potential areas of joint concern where we can establish a data base for Countywide public informational access, perform certain municipal services (for a fee) in connection thereto, and establish an interlocal agreement with municipalities for apportionment of cost of new technology. 6. Telecommunications Grant re U.S. Department of Commerce National Telecommunications and Information Administration Telecommunications and Information Infrastructure Assistance Program: 94- 352 Proposed RMO 4 April 26, 1994 i a. Would assist our office in conjunction with the Division of Computers in providing certain enhancements to our equipment and band width in order that we may upgrade the interconnection between City buildings to Ethernet Protocol H. Conclusion Proposed RMO 94-- 352 5 April 26, 1994 TO: CESAR H. ODIO Cit Manager FROM : MATTY HIRAI City Clerk ATTACHMENT E CITY OF MIAMI, FLORIDA INTER -OFFICE MEMORANDUM DATE : April 28, 1994 FILE : SUBJECT : Proposal for a Citywide Archives and Records Management Program/ Electronic Imaging REFERENCES System project ENCLOSURES: This memorandum is being written in proposal form for the sole purpose of responding to a most urgent need in the City of Miami, as was reiterated in our 1991 Executive Management Retreat, and that is, the necessity to begin the development of the parameters relevant to the establishment and implementation of a Citywide Archives and Records Management Program/Electronic Imaging System Project. WHY ESTABLISH AN ARCHIVES AND RECORDS MANAGEMENT PROGRAM? Violation of the Law 1. The most critical rationale for expeditiously establishing an Archives and Records Management Program is that the City of Miami is in violation of the Law. F.S. 267 requires municipalities to maintain efficient records management systems, and designates a Citywide Records Management Officer to coordinate said program. Additionaly, the Florida City Clerk is required by the Administrative Procedures Act (F.S. 120.53) to maintain a comprehensive general index to City files. Varying Departmental Standards 2. Other essential reasons include varying departmental standards for collecting, researching, processing, and interpreting data without consulting each other. (A quick survey around the City would point toward the fact that there is no standardized method for information and records management processing.) Costs Associated with Information Processin 3. Costs involved with information processing: a primary example of this fact (as noted by Dr. Mark Langemo, one of the foremost authorities on the subject of records management in the country) is that if we were to assign a dollar value to "designated paper items" within our organization, we would discover that the average cost to produce one letter would be roughly $10.25; sixty-five cents of every dollar spent is consumed with handling of records. Approximately 3%-5% of all 34- 352 records filed are misfiled. The average cost of a misfiled document is $100. In our recent mini departmental survey, the sheer volume of records indicated that an average four -drawer filing cabinet holds approximately 10,000 pages. We have, according to our consultant, approximately between 25,000,000 and 100,000,000 documents in the City; 10,000,000 to 20,000,000 pages are added, and a similar number of documents are disposed of annually; at least ten copies of each document are in existence. Presuming that the imaging technology would reduce the number of copies in half, the total annual volume of copies would be reduced by five to ten million pages. If the average cost of a copy is 10 cents, the City of Miami could realize annual savings between $500,000 and $1,000,000. If an average four -drawer filing cabinet holds 10,000 pages, storage of City's documents requires between 2,500 and 10,000 filing cabinets. At $300 for a regular filing cabinet and $800 for a fireproof unit, potential savings are in the order of $750,000 to $8,000,000. If a typical filing cabinet with access space requires 12 square feet of floor area, the City is using 30,000 to 120,000 square feet of space for storage. At least 90% of that space would be released by implementation of an imaging system, and result in annual savings on the order of $500,000 and $2,000,000. Inadequate Storage Space 4. Inadequate storage space and the cost factor involved in storing voluminous records: a sad state of affairs is the records storage of voluminous documents in the basement of City Hall, which, in the event of natural disaster, or some unforeseen circumstance, would place the City in the unfortunate position of possibly losing vital records. Lack of Concrete Training Program 5. The lack of a concrete training program for information and records management within our organization. Lack of Knowledge Regarding Retention and Disposal Policies 6. Inadequate access to knowledge interdepartmentally regarding retention and disposal policies, thus prompting many offices to maintain information longer than needed, etc. Preservation of Records 7. The highest priority should be given to preservation of historic records. On August 24, 1993, the storm surge from Hurricane Andrew flooded the basement of City Hall to approximately five feet. At that time, the City was unaware as to the value and condition of the records in Miami City Hall basement, as well as the suitability of our physical facilities to store and preserve said holdings. As this experience clearly 2 94- 352 indicates, there is a dire need for our City to avoid future loss of valuable historic records, and, consequently, take steps to ensure protection of same, for which it is custodian. A centralized Archives and Records Management Program, under the City Clerk, will preserve the records of Miami's unique history for future generations. Why Select Imaging Technology? 8. Standardize records retention, retrieval and disposal methods. Facilitate the retrieval of information. • Encompass all media of interest to the City. • Assure preservation of records. • Provide disaster recovery capabilities. • Optimize use of available space. • Reduce volume of inactive records stored in various departments. • Eliminate redundancy of records. • Result in long term savings to the City. • Protect vital records. It has been suggested by several high-ranking records management professionals that as much as 75% of all U.S. organizations have inadequate records management systems. Therefore, it is imperative, in our organization's history, to convey to you, on the succeeding pages, a suggested outline of the essential milestones, the purpose of same affected personnel, along with an accompanying work plan/activity timetable for completion of same. Milestone #1 Completion of the Citywide Records Survey Process (including vital and inactive records only) A. Purpose: 1. Ascertain what records the City has. 2. Comply with Florida Administrative Procedures Act i 120.53 in maintaining a comprehensive general index to City files. 3. Identify classes of documents to be put into proposed Archives and Records Management System. 4. Prioritize records system implementation by department and document category. 5. Appoint/hire a Records Manager for the City of Miami to coordinate records management activities. 3 94_ 352 6. Selection by the City Manager of an executive level Information System and Records Management Planning Committee to advise the Archivist/Records Manager of the organization's records needs; determine short and long term objectives; set priorities and parameters, and be continually informed as to the status of said project. B. Who: Assistant City Clerk, Archivist/Records Manager, Records Retention Coordinator, and Project Management Team. C. When: See attached work plan/activity schedule (page 8). Milestone #2 Development of a strategic plan, a comprehensive system design, and,a procurement initiative for implementing Miami's records management system. A. Purpose: 1. Give overview of the project (summary of project objectives). 2. Identify project deliverables. 3. Prepare evolution of the Software and Hardware Project Management Plan. 4. Clearly define the project organization: a. Process Model (define project functions and activities; specify timing of milestones, work products, etc.) b. Organizational structure. C. Organizational boundaries. d. Project responsibilities. 5. Define the role of the managerial process. a. Management objectives and priorities. b. Assumptions, dependencies, and constraints. C. Risk management. d. Monitoring and controlling mechanisms. e. Staffing plan. 4 34- 352 6. Technical Process a. Identify what methods, tools, and techniques are needed. b. Software, hardware documentation. C. Project support functions. 7. Identify work packages, schedule and budget. a. Work packages. b. Dependents. C. Resource requirements. d. Budget and resource allocation. e. Schedule. B. Who: City Clerk, Assistant City Clerk, Project Management Team, Executive Level Records Planning Committee. C. When: See attached work plan/activity schedule (page 9). Milestone #3 Publication of the City's Records Manual. A. Purpose:To acquaint City employees with the requirements of a public records program, through written procedures, standards, policies and guidelines covering inventory procedures, retention schedules, protection of vital records, disposal policies, etc. B. Who: Archivist/Records Manager, Records Specialist. C. When: See attached work plan/activity schedule (page 10). Milestone #4 Installation of pilot imaging systems at the Fire Department, Law Department, and the City Clerk's Office.. A. Purpose: To acquaint the City of Miami user with imaging as a new records technology, during the interim developmental period of a comprehensive system design, and strategic plan. In gaining hands-on knowledge with said technology, we are 5 94- 352 • simultaneously minimizing risk by getting a first hand view of technical challenges involved with selecting proven versus state-of-the-art technologies. B. Who: Project Management Team, Archivist/Records Manager, Records Retention Coordinator, designated personnel from Law and Fire. C. When: See attached work plan/activity schedule (page 10). Milestone #5 Publication of a Citywide Disaster Recovery Manual detailing, for each department: protection, restoration and recovery procedures, and implementation of a safety education program. A. Purpose: To use as a communications tool in detailing the policies, standards, guidelines and procedures in the restoration, recovery and prevention of records destruction, as a viable component in disaster preparedness. B. Who: Archivist/Records Manager, Records Specialist, Assistant City Clerk. C. When: See attached work plan/activity schedule (page 11). Milestone #6 Establish access to City records at the NET centers. A. Purpose: To enhance public informational access by providing an alternative way from one centralized location for receipt of public documents to availability of same, upon request, at decentralized service centers. This will allow any member of the public, at any NET location, to use the workstation, access the City's main data base and its optical library, and retrieve records. These records can either be viewed on a screen or printed on a laser printer. It is also anticipated, in the future, that neighborhood residents, as well as City employees, will be able to access the same data from their personal computers. B. Who: NET Administrators, Archivist/Records Manager, Records Specialist, Project Management Team, and consultant and/or his designees. C. When: See attached work plan/activity schedule (page 12). 9 94- 352 Milestone #7 Assessment of the progress and feasibility of the strategic plan to have other City departments phased into the proposed local area network for the optical imaging system. A. Purpose: To evaluate the impact that the initial installation of imaging technology to certain designated City departments has made to productivity; reduction of risk; avoidance of filing space requirements and enhance space utilization; increase accuracy and effectiveness of research; reduction in document retrieval time; allow quick access to documents, and improve communications between the City of Miami government and its citizenry. B. Who: City Manager, City Clerk, Project Management Team, and Executive Level Records Planning Committee. C. When: See attached work plan/activity schedule (page 13) . 7 34- 352 ACTIVITY L Coropilefon of Ow CttywNte rand a I am" puma (Including =Ndr tnae ve, and hisioricai records aft and lionallm Owe records to the tompor ay 1) The Assistant City Clerk and ArchlWWRecords Manager will work with the Clgrs C.onnput r Melon to select, pudrmse, Inslak and customized (as necessary) to irrfUat records management software for Inventory purpose:. 2) Assistant City Clerk will Issue pusdrase ardor and secure a laptop computerfor use in conduc" tta deperhnerrtd r000rds survey. 3) The Arch Wisoords Mnmgw. with advice from the City Clerk and the Director of the Of loos of And Monagenrart and Capin Improvements, will find a temporary. C4,owned location for the Records Center. 4) The Ard*W4PA deeds Manager, Records System Specialist Records Retention Cowdinstor, and Tedmicat Opendlann Liaison will conduct the survey of inaclive, vital, and historical records In all City depwbnw ts. 5) As part of fho survey pea m ma tta proled town b*" will Include the Aastard City Clerk, the Ard*A lfRecwrds Manager, Decision Management, Inc. (outside consult". and designated City atadfy will assemble sample docurnerts, develop dnuts deft inng document We cycles and resporabiliNes for dwk croaft , nwiitication, storage, access, use, arnd destruction, and will Mently dawn of doaanerrts to be Included In the new rearms system, The project town and City Clerks stag wit' drsrnaec and ro ps of City's records: rno nagemant krfornnation > and practices raWkft ant; sslkrnMas of existing volanes of documents and annual additions; fregL*vv of atom to such docxrment typo, volume of herd copy output and, fitng space 5) The Records Retention Coordinator will work on an ongoing bads with the deparfinentd Records Coordinators to meet area In knpknwn *V the appropriate Wmten0on adnedules, secure State approval for destruction, and Unen transfer inactive to firs temporary records storage carrier. 7) City Clark will pursue a grant. using precedent soldMehed by the enabling Side Wisgisle#lon for recycing, In connection with hok*V apace for recyclable records. CPS) City Clerk's Office will order *Wit and other egulpmeat needed M it* records ZsZetorage center. 9) lrmnctive records and duplicate vital records whllr have been surveyed will be tarrdanect to the mecards atarags center: 8 YEAR ONE 1994/95 YEAR TWO 1995M &I 02 Q3 Q4 ACTIVITY IL D..W nswm of a straispic pier, a a° airs sysMnt dsslps, Own p = wunwin i hillhave ve for irrrplsrrsastrrsp MIaM'a sacords " ' 1) city Clerk and/or designs will begin � aified v to seek a qu flid WRecords Manager and a Records System Spedaliet. lF► on In the CRY C e d I vital records ww nation will be assumed by an asking l Office.) 2) Aunt city Clerk will ecrserr appNeations and menage the kdwAsw Process- Th. City Cleric will sppdntfho most qualified, appropriate applican s- 3) the two new Records Management doff members � , mp Records WIVO a ion to City gwerntnent and to tho Rnpbnranpr Plan Managemas Program. ) Assistant CRY Cfak will coved rAds efforts with the City Manager to form an eXSCUtlrrs bust Records Mensgenbnt Ptar*V C nwnftEee to "fill8048Include Ow organfzstion'stotal needs and to set p Writ es. CaMnebe =Moe hion the Director of Finance. Director of the Computer Division, rsp on from Pow —I Management. Dkectas of Dui�ng and Zonlrig. Pablic works. General ServimMotd wash. and the Directors of the Rre-ftesass and Police Dapartmetrts. pork's oNice wit conduct a seminar to promote ttrs new Program to tf►e p�j�irr� Corrrrrdttse and other exeaMvq stall. presentations will be made by the new ArdWWRecords , the Assistant city Clerk and the CRY 's selected mxx* mattggerrmt wmdtant. The video #ape ardilled -Guardians of the Public Record" will be showm. SI Directors will magnate a Records Coordinator from each City departmenttc work with to ArdriuWRecords Manager. C G7 town to dewebp the system design for the opkai imaging lot a wood will include representatives "and �, prepare an impienrentsdiorr plan- The profect team w 1 from the lsw OsPartment, the Department of Equal Opporo tY, C,omputens. City Clerk's Onlos. Fire DeparbmeM. PcteroW Parsonnei Management and the Police CC ospartmo t Personnel Division. and the selected consultant and/or designee. Gilt 8) The Am MvM#Wwrds Manager. working with depwbnw ai Records Coordinators. ts: will begin the process for a program to *beamik>IO City forms and reports. YEAR ONE 134t/95 oa Q3 FU YEAR TWO 19KM 0,1 O.2 03 Oat ACTIVITY Ni. P"Ca"On of the City's RaOrdS Yaeagerrren t Noma am ptm ASI on Of CLI ukft In a9 dopy b. 1) The NdtvlsflRecorda Manager WN deems and Implement tVVO training sessions dealing with historical reoade; one for the WOKI M level shelf on the Ptannkng C,rxm illas, and one for the departmental ROM& Cbadkudm as well as selected N*Wvbom om each deparWW* 2) no TqdWkW Operations n who OPecisitzes in vital records will provide training sessions to departments! Records Coordinators and to dyer key City sa desilpnsted by Deparhnerd Dknnciom. 3) The NdnivistgWoorde Manager, with assistance from tits Assistant CRY Clark and the Technical Operations LW9on, will wank with depobner" Records C;oadkratonto draft and publish dos City Records ManagemantMWPol- 4) The NcnivisURecads Manager" kdfefs an ongoingtrr*** Program to bm"ize emp"eas [middle managers. �• tins with of a public rex:arde program iPrduding inventory procedures, retention ' protection -Records Retention of vital records. dapood p ad as a trtekneE. AN C� wi l howls the sdn xkft l and participate sessions will be videotaped. N. hrstalk . d ---- imams system at flee Fin art DapaA., Law bsparbr111 add the CRY ;are ";; 1) The project tam. will prepare a plan for installing and tn*V the first phase of the akctrol records management "Item. 102) The City w6 accept vokmbsy loan of optical g hardware and k�.kwla&ths equipment, kntNe ft at City tall, during the knterkn while the PMIs t plan and 1 design is being davaloPd. W 3) Train staff in the operation of the pilot krregkng system. C.R 4) Facilitate gradual eaWngon of the Pik+t system to the Law Depmb.mt and Fire J,Z Deportment 5) The project temn will evakmtethe atfdency and pvoducMty of the pNeot system. 10 YEAR ONE 1"4/95 az Qa CA YEAR Two 19OW96 CL1 QZ Q3 CIA ACTIVITY V. Publication of a CitysrNN DbnW Recovery Mmuol detWinp forr each delParirreue l% (a" reekwatieri, WW recovaq POCO&N e, sr4 brrplements tort of a on" {dLmm* rr program 1) CRy Cleric's OMice wive a mduct a serrQnsr to Mwxde the new Vital Records Program to designated tmenMtl Records ors. (See 1-6 above.] 2) The Tedrrdcd Operations Halsor If (ties designated employee assuxrdrg responaibility for vital records wordtnallm), with help tram the City Clerk and the Ar lOvinURecords Manager, will prepare an orgardzatkrual analysis survey in order to Identify vital hawlions of the City of Merril [Le., finance, legal, and gone mwntal req] 33) The Tedxdcsl Operations Lisbon, with help hom the Records Coorrdirredor and AAIII, will a"" the rxsrent ndx of records media and formda% p v**u y far a Citywide Vital Records Master Liat. 4) The Technical Opersllorm d.Waor will prepare a classification of vital records chart [Le.. vital, hpwtant, useful, or ror mntk l.] ti) The Tedsdcal Operations LWrwn veil p Wm a risk assesenwrt and coed benefit of Irnpact- 6) The Tedrnised Operations LWbm will examine and eves MWKKis of W*tWMng vial records irs*Nng dispersal, dam, or"m storage, and off -site storage. 7) The Tedxaai Operatksrs LMm and the AmMvistFRe=& Manager will establish rslentim and vital records protection codes deta*q methods of protaatlon and C� frlrcpuerwy of protection. 8) The TedwkW Operations Unison will dwedop procedures for harrcttrrg of records, I deMnMeg duties as to who handles records arxf what to do during an eruergsncy. Forward c*y of the procedures to the Recovery Task Fora for kudusion In the G� 9) The Tedmical Operations Lidaon, with lout from the executive level Records CID Maruagernert P k mkeg Comndttee, will test established procedures for the transfer and storage, kuckuding an evakcaticn of the process by the AmNvistl Wwrds Manager. lI YEAR ONE 1994/95 Qi Q2 423 Q4 YEAR TWO 1995/96 �� C►,1 Q2 Q3 Q4 YEAR ONE YEAR TWO 1994195 TWUWsv ACTiY1TY a9 aZ as a4 at OZ a3 a to 10) The Twin" Operatom itakron and tre City Manages � s � emergencyp'O.Kka will establish asafetyeducton p ograrn - Co The Tsdrn na on Cod rs Llrrie er in andator the � � and prepare � aledronlovital fswr& polecifonplam 12) The Tedrrkol OpeKedions L.ialacn and Computer Information Coder Coordinator will Wordily an alternate alto' on chart as a cantngrxwy p1 hardwere/soRwareafter a diva der. tLWW and md&WRecords Manager will v" he Paw de P robKow Manual vft assistance ftm dqp'rhnenW Become Coordinators. t 4) The Tedrf" Operatorrs Lidsan aid tre Roww"y Task Farce will *OWIsh the ObjedlvM of a Records f3laadw. Preservatkm, and Recovery Plan• t gj city C(wklAssistard Cdty Clark wE present the proper Records Diameter, Prosar m*41, and Racovery Plan to the executive Reronts Mil agernent Pkuxring Corrxrdtkre. Iq Print and dkdributs the Vial Records Protector► Manual ore a Mons tool In conveykrg the Records Dbaster, Preeemation, and Recovery Plan. A Eeb bNah aocmwt c Clh recorda at the NET ce dm- t) Corbult With the Dada Prooeesing Tedrnlcal ROOM , fiber optic. OMA" to �� decisions related to the network kdrasbuct'" Poad Nl�-- 2) Make mmm etxlatons to tre CRY Manager regarding mcp°f of the refills* I kdrosWduretokderoonner.'tvarimmCityA undo be **ad- City Ha. Rm Deparlynod, P CZ Zoning, the Dupont Plaza building, NEC olfloee�and OffStrgeet Parking. � 4t7t 3) The NET a*Wr&katom wE vb# ona Cfty,yam \•.e.r Fire Depertment, CRY 2�' Clok's Office] reptto observe a dan xnbatorud tot oPtcat knagft System' 4) NEC adnriMdmtDm WE meat wits tre project team to presentft wMhneeds ofwill 00 dozens wtw use each NEf office. The Pro)ect team. working 12 the kdomration needs. ACTIVITY � input from the GAB*V OPftW fSWIN a �t researchavaRa Of - outside funding for the hardware and Mrstnrctrxs enfranicements needed to expand the krogkug system to the NET Offices. 6) Sect" the necessary funding to establish the local wea network all NET centers into the system. 7) OngoiM contact and coordirollon with the NET centers to assure brat +computer Inksges srs rnskrtsined between the centers and other City offices ceded In to localarea network. VL Asaesssnt of #0 progress aced fenaft of tlMe stralagic plan to have ollm Chic departments posed Into 11a proposed food area network for the airticalknooMsystaft 1) The Aedeivkd/ Wcords Mana(er, CRY Clerk. and Project town will rvakeste the progress arc! saaco *-MN uncross achieved during the fist year and t4xk" plans for tors future. The asesment of risk of tors new technology, qualify, and Potential obsolscenceshould be considrrM. 2) City Clwk"s OlNce will design and conduct a survey to measure to satisfaction of various departments with the Records Managern ent Program and skit suggestions fort uture adivities. 3) Submit re� consultant who will revise and update Use atrate& plan as Co • f W CSt 13 YEAR ONE 1994/95 O.1 O2 Q3 Limli LM YEAR TWO 19i99196 O2 CL3 at A ATTACHMENT F Comments of the Florida State Historical Records Advisory Board and Peer Reviewers for the National Historical Publications and Records Commission Grant Proposal 3504-FL for the City of Miami's Municipal Archives and Records Program 94- 352 ATTACHMENT F Comments of the Florida State Historical Records Advisory Board and Peer Reviewers for the National Historical Publications and Records Commission Grant Proposal 3504-FL for the City of Miami's Municipal Archives and Records Program 94- 352 m Grant Proposal 3504-FL Miami Municipal Archives and Records Program City of Miami, Office of the Clerk Summary of Board members' evaluation forms: Four of the five reviews believed that the plan of work was sound and that the budget was documented and appropriate. One reviewer felt that the budget is questionable in the area of cost sharing for software and maintenance, and that the plan of work detail was vague. The only other question concerning the workplan and budget related to the cost of advertising in the local ethnic newspapers. All members felt that the proposal provides for an ongoing commitment by the city and that the qualifications of the personnel (current and proposed) are well documented. The plan to make the information available with the use of technology was positively received by all members with one member concerned that there is no detail as to mention of any major automated system such as OCLC or RLIN. All reviews approved and support the recommendation of the Mentor involvement. Mr. Gerard Clark, Deputy Coordinator is named as mentor in this project and therefore did not complete a evaluation form even though he will not be paid as part of this project. - A general comment by almost all reviewers is the importance of the multi -cultural, multi -racial, and -multi -national combos t on o the cit—y-EnZ is recor ss. � -- --- --- The board is currentlyworkin on a strst�gic plan which 'includes establishingpriorities for funding. The Board has in the past endorsed and supported funding of projects that: develop archives and records management programs leading to the improved management of historical records. , Identify records of archival value especially those that are not under archival control. Arrange and describe records that are not currently accessible, including the preparation of inventories and finding aids. Provide for restoration, preservation, duplication and protection of records that are endangered or inaccessible because of physical form, storage conditions and/or neglect. The Board also established funding priorities in its regrant program which followed similar priorities. 94- 352 City of Miami Records Management Propos,..,. A. Reviewer's Comments 1. a. The proposal submitted by the City of Miami strikes me as comprehensive and well thought out. The plan of work is ambitious - due basically to years of neglect - but an organized, team oriented approach to the problem should yield highly satisfactory results. The key will be the recruitment of a dynamic records manager. The initial recce- survey that has been undertaken will help "jump-start" the process. b. The administrative staff appears to be qualified to oversee the project. On -site jurisdiction of the project will, however, e---A - . CxnarfAnnaA va^-dZ mgnag2r. Since one has yet to be hired, the qualifications of this individual will require an investment of faith. c. Obviously -the records of any city contain significant' administrative value. That value is enhanced when the city is the size of Miami, since the dual problems of storage and access are generally , more severe in a large city than in a smaller one. Sometimes the records of a small city can be housed in a relative y limitea area where access is 3mme i-a-Ye.--TH-a-U-Ts hardly die case n mi w pe-�2iZr-pro�?emis compounded by the city's r-1-ch heritage an i s suscep a i r y to es ruc-Tive� storms._ The damage created by Hurricane An�few; whichis reference in the proposal, illustrates the city's predicament. d. I'm impressed by such work products as a Records Management Manual, providing public access to city records through neighbor- hood service centers, citywide training programs, and the establishment of a centralized records center. These are worthy projects that if implemented and maintained, will elevate the City of Miami into the forefront of cities that are served by modern, systematic records management programs. e. The proposed budget whould provide the necessary start-up and program maintenance costs. The suggested expenditure for the records management software, however, seems a bit extravagant. Other software packages can be obtained for considerably less money. -The proposed salary for the position of records manager should attract wome talented candidates.•- 2. There is little doubt that this proposal has the potential to elevate records management in the City of Miami from abysmal to admirable. A lot of hard work and frustration lies ahead, but if the plan of work is vigorously followed the city should experience a remarkable turnaround in the way it manages its 94- 352 (2) records. It will also demonstrate to officials in cities where the quality of records management is inferior that they too can achieve the same degree of improvement. 3. The information provided is adequate. 4. None. 5. As demonstrated by this well -prepared grant proposal, officials in the City of Miami obviously are approaching the task of establishing a legitimate records management program with • serious intent. They are to be applauded. One thing bothers me, however: the seemingly exorbitant cost of the records managment software under consideration. I believe other software packages are available (perhaps without some of the superfluous features) at a more reasonable cost. Other than that, this is a commendable proposal. 94- 352 REVIEWERS COMMENTS ON PROPOSAL R3504-FL-MIAMI ARCHIVES/RMANG. A. REVIEWERS COMMENTS 1. a. Basically a sound plan with many necessary steps covered. Activity 11, page 19 (locating a records center) should actually follow activity 13, page 19 (retention schedule development/implementation) since only when the schedules are implemented will the city have a realistic picture of the size facility that is needed. b.Personnel appear well qualified to handle the tasks outlined. Cooperation with Florida Archives personnel is especially commendable. c. Locations of records are mentioned but more descriptions of the type of historical records that are present (Minutes, Ordinance, Resolutions, Deeds, Tax Digests, etc.) or believed to be present should be included. d. very useful products that should leave an enduring impact on the city are listed on pages 5-6. These include a Municipal Archives, records management manual, training opportunities, records survey and implementation of retention schedules, etc. e.,Budget appears very complete with helpful footnote information provided. The applicant avoids use of NHPRC funds in areas that are forbidden such as shelving. Can NHPRC funds be used to pay for SAA memberships as listed on page 32? 2. A. if conducted as proposed, this should have a very positive, far-reaching impact on the City's records program. The project should result in records retention schedules that can be used on .an on -going basis, identification and preservation of permanently valuable records,.a full-time archivist and afu].1-time records special This i a ly ance the security of thity�s istorical records and go along way towards insuring their future preservation. B. ) The ea for roducin a vi c t is an excellent one and could be of great use to other local governments considering similar projects. The relationship that will be established with Florida Archives could pave the.way to distributing this video to other cities in the state. 3. Fully explain how the NET neighborhood service centers will be used to increase public access to records. Any idea of how many record series will be covered by Florida Archives general schedules (referred to on bottom of page 10) and how many specific schedules will need to be prepared? Proposal mentions records stored in old library as well as City Hall basement. As noted on page 10, these were surveyed by a consultant. Should 94- 352 list those series judged to be of historical value. 4. The statement on page 15 indicates a philosophy that the use of optical disk will eliminate the need for both paper records and microfilm. It mentions OD replacing microfilm copies of records having a value longer than 10 years. If the city is truly interested in preserving their historical records, they should not view optical disk in this manner. This section should y definitely be revised to reflect the realities and limitations of j optical disk. Also, another automated records software firm tin 1 addition to those on page 14) they may want to consider is: MIS Software Development, Inc. 1 f i j i i l i i i I i I f I j . i • 94-- 352 A. Reviewers Comments .,� 1. a. The work plan presented is detailed and well thought out. Assistance from the State Archives, especially the Project Mentor, will be invaluable to the success of the program. The selection of a records repository, however, should be one of the first priorities. If possible, the City Clerk's office should take steps to secure this temporary s ace, with assistance from the State Archives, before the ,rant pp erio�d"becrirs_�mplxcations in geb`�ing the repository prepare or records storage during the grant period could seriously impact the effectiveness of the program. This space should be chosen with use beyond the first two years in mind. While it is sincerely hoped that a new facility could be constructed as part of the city's centennial celebration, the temporary facility should be suitable for records storage in case new construction is delayed. b. The project personnel are qualified to carry out their duties, choose qualified staff for the professional positions, and implement the program. d. The project will yield many useful products including a municipal records management manual, guide to historical records, and videotape documenting the project, for possible use by other cities. If an emphasis on cooperative efforts with existing historical/preservation organizations is pursued, it will reap many future benefits for the program with reguard to volunteer labor, g s roots support, and possible monetary support. "Gerwc./ 7 e. The budget for this project is good, with approx. 66% of the total project being supprant. ted by cash and in -kind contributions from the appli The three major conferences {IIMC, ARMA. AW are not essential to the completion of this project and should not be funded by the NHPRC. By eliminating this expense, all travel, conference, and professional membership -expense for both years could be paid for by the applicant without raising the amount of money they were intending to spend in the first place. Funding of the Records Systems Specialist could be limited to the first year of the project. This would reduce the amount of grant funds requested to close to $100,000. Otherwise. the use of cash and in -kind contributions to grant funds is fair and resourceful. 2. The project will establish a comprehensive archives and records management program for the City of Miami and will lead to the funding of a permanent Archivist/Records Manager and Records Systems Specialist. The City's current program will be greatly improved by having a central records 94- 352 I repository, updated records schedules, and &`city-wide records management manual. Access to historical records will also be improved by having them inventoried, arranged, described, and housed in a central repository. Potential spin offs from the grant project will be serious research use of the archives during the city's centennial celebration, perhaps a city history if one has not aleready been written. An established archives will certainly be a great asset to the individuals and groups involved in planning the celebration. The publicity generated from the project and video documenting it could foster a greater awareness for the preservation of Miami's cultural heritage. Future cooperation between the city archives and local historical/preservation groups could reap many benefits in the form of shared resources and -volunteer labor for certain projects and activities. The project will also lead to further efforts to improve efficiency in use and preservation of records through the development of microfilm and optical imaging systems The applicant has shown its commitment to the overall project by requesting funds for only a third of the total project cost, the other two thirds being cash or in -kind contributions from the applicant. As stated in the grant proposal, the fLnd4s requested would be used as start up money for the .pr_a which the c i ty would coat a nue to after the cr_rant 4Wriod Rlams is a significant erican ci y in need of preserving its documentary heritage from future natural disasters and neglect through inaction. The city is willing to do its part and has wisely timed this project to coincide with the centennial celebration. As a result, Miami wi l l not only have improved its records 1nwmgement-And, ope3ran archival program, but. wi 1 �jLve made the planning and mi plemeti-aj:' n of its centennial celebration mar i�ea�iel mox _sffic e-hawawg documentary resources easily at hand. 3. The applicant has provided sufficient information on all fronts to fully understand and evaluate the proposal. 4. Overall, this is a very good grant proposal. If there is anything at all to critique, it would be that the proposal is too detailed and hopes to accomplish more than it realistically can with reguard to certain aspects of the project. I hesitate to recommend revision, as the full benefit of the project is geared toward 'obtaining funding this year, so that the program is established by the time centennial planning work begins in earnest. I would recommend cutting out all funding for travel, for while attendance at the three major conferences (IIMC, ARMA, SAA) would be beneficial, they are not crucial to the success of 94- 32 the project. All other travel, conference, and profeeeional membership expenses could paid for by the applicant without a significant change in the amount of money budgeted. unless they want to pay the conference expense themselves. Many of the most essential functions of the Records Systems Specialist could be performed in the first year thus limiting NHPRC funding of this position to one year. This would reduce the amount of grant funds awarded by approximately $30,000. Otherwise, the project proposal is strong and certainly worthy of funding. 94- 352 city of Miami iol Municipal Archives and Records Management Project R3504-PL The is no doubt that an archives and records management program is needed in Miami, especially one that addresses preservation issues. This grant proposal does a reasonably good job of laying out the problem --no existing records program, improper storage of archival material, office space inundated with non -current records, potential (and real) danger from natural disaster, etc. In addition, Miami is an important City, especially from a sociological perspective, and I would anticipate that City records are particularly valuable in documenting issues of ethnicity, crime, aging, and a myriad of other social concerns. I would like to support rfunding-for this project; howevair, I have several concerns --some general and some specific --regarding the focus of the proposal as it is written. Despite the proposal title and some of the language of the text, - this is essentially a records management project. Despite the use throughout of terms such as "historical records" and "archives," the work plan is so heavily oriented to records management as to place it outside of NHPRC's funding guidelines. For instance, there is almost nothing in the work plan that addresses archival arrangement and description. How will records be described? In what format? To what level? What kind of indexing will be done? The discussion of a software package does not address these questions, nor does it appear that the applicants have conducted much preliminary research in this area. It almost seems that archives is an after -thought. The idea of providing decentralized service centers for citizen access to information is laudable. But I would like to see some discussion of what types of information this will include, how archival description/indexes will be linked, what detail will be available. The plan seems a little hazy at this point. Before approving this grant, I would like to know that the proposed records management ordinance has been passed by the City Commission. As it stands the draft does not show no a strong commitment on he -part of City government. xt would also hel�to_ see a letter o support ro ram rom the ity.Manaher A chair of t e City Commission. On pages 8-9, it is stated that the grant will assist the City in reaching compliance with the State's records law. This may, indeed, be an outcome of the project, but I do not think it should be a justification for the grant. It is not NHPRC's role to insure that local governments meet their statutory obligations. A strong element of the grant which was not exploited enough is the $100,000 award to the City Clerk's Office to develop a vital 94- 352 records plan. Also, I find it unfortunate that after reporting 3'• of the award, we are given the results of a survey that claims there wh 7• are 73,778 cubic feet of vital records. Obviously the police department (claiming 93 percent of the total) figures are heavily, inflated. Some discretion should have been used in reporting vital statistic figures, because the inflated number could call into question, by inference, other statements in the proposal. Documenting the project on videotape is an interesting idea. I can see value in having such a product for other jurisdictions to use in establishing records programs. On the other hand, I an reluctant to see NHPRC funds go to this work element --they can be better spent providing direct support for other records projects. I think the budget for this project is generally sound. The cost sharing and in -kind is reasonable and the • NHPRC Rinds • rc tjUested are not out of line or overly inflated. However, if this project were to be funded, I would recommend eliminating $16,017 from the requested NHPRC funds as follows: $ 1,672 Mentor's travel --since Miami is making the effort to conform to State law, the State should provide this. 9,500 Computer equipment/software/maintenance--although funding policies state that NHPRC will assist with these purchases, I believe they should be the responsibility of the requestor. 2,165 Advertising and memberships --this should be in -kind. 2,680 Videotape editing and graphics --I recommend dropping this element from the proposal. There are flaws in this proposal, but the I believe the Miami need is great. Therefore, I recommend funding of the Miami grant with a strong directive that the issues raised in this review be addressed. I also recommend a reduction in funding to no more than $123,705. 94- 352 3-22-1994 ,A Re: Project Proposal # R3504-FL City of Miami, Municiple Archive and Records Mgmt. Project. Having had the opportunity of reviewing the first application from the City of Miami, I find that this application for funding is very well written. Any objections that may have occured to me in my review of the first application have been handled very well in this application. This project, if funded, will begin•a strong records management pro- gram in Miami. The proposed building of their Archive will be an encouragement to continue the process of identification of all of the archival records produced by the City of Miami. The soundness of the plan of work is excellent, as are the qualifi-. cations of the personnel. As this project will not only impact on the records of the City of Miamifbut will impact on other municipalities when this project is used as a model)is very significant. The pro- posed budget is very realistic; it's neither inflated or under funded. I would recommend this project. I have had a tendency to view the City of Miami as a wealthy city. One area of the proposal had never occured to me, and that is the fact that Miami has a very large population of minorities and elderly people, which would have an impact on the tax base of the city. I believe that funding of this project is therefore necessary and needed. 34- 352 Reviewers Comments I . a. Soundness of ylan of work • The City of Miami has developed a sound work plan that is consistent with N13PRC objectives to fiord local government records projects for larger local governments where state -based assistance is not available at this time. It is to be commended for seeking a close working relationship with the state Bureau of Archives and Records Management and for including a "mentor" from the Bureau. The following am not major to the project but should, I feel, be further examined: 1. I question the value of an executive level Records Management Planning Committee. The ordinance will give the City Clerk program authority and mandate departmental responsibilities. The seminars and promotional plans to upper management are excellent. If the City Clerk feels that a Planning Committee will enhance support, she needs to be carcIW to structure it as a support group, but not as a policy making body. 2. Training needs to be developed and departmental Records Coordinators tr�n�ed_prior to the so that the b e to assist a mventory. 3. 1 agree Qvr@n the purchase of records management software. The City should also purchase/ evaluation of available software. 4. I am not sure just what records the City wants to put on its NET system. The semi -active or inactive one stored in the records center? The City Clerk's records? Active records in other departments? Or access to its records management software program? Clarification is needed hare. S. A need for conservation equipment has not been identified or justified. 6. Forms and reports management is overly ambitious for the two years covered by this project. 7. Reports to NBPRC should be made by the Project Director, not the Archivist/Records Manager. l.b. Qualifications of Personnel: - The personnel identified are well qualified. I.C. jr42ost QO ofR�ds: The City of Miami approaches its centennial without a records management program that will identify its historic records or its vital records. Miami is an important city with a history that is unique and significant to the country. Certainly, it is essential that their records be preserved and made available. IA Usefulness of the Product: The video is an excellent idea, one that can be shared and useful to other local governments beginning a records management and archives program, especially if it 34- 352 ,A documents the pitfalls as well as the successes. The Records Management Manual will also be useful to other local governments. I.e. Soundness of the Dudggt The budget is generally sound. The City's commitment to fund most of the salary of the Archivist /Records Manager during the second year of the project weighs heavily in favor of project support. I feel that the City, not NHPRC, should fund dues and travel for professional associations . The request for NHPRC to fund half the cost of records management software is reasonable. Software maintenance costs should be paid by the City. 2. Ing. This project will meet an urgent need for the City of Mianti to develop an archives and records management program. The desire is evident, but the City has been severely impacted by lack of funds. The Florida State Historical Records Advisory Board recognized the significance of Miami's records and its need for, as well as interest in, initiating such a program when it awarded re -grant funds for consultant services. The City, which has also recognized its vulnerability, has responded well by following recommendations, committing to continue the Archivist/Records Manager position, and demonstrating its intention to use NHPRC funding as leverage to draw out other sources of support. This project will enhance the City's position and better enable a cooperative effort between it and other archives and historical associations in the City. 4. $rvislons; I feel that the reference to forms and reports management'should not be a requirement of this project, and that any NET requirement should be limited to access to information on the records management software program The City of Miami's grant application is complete however, and should not have to be revised to accomplish this. S. Other C-omments: In total, I feel that the City of MiamPs grant proposal meets all of the requirements of NHPRC and should receive a top priority. The ravages of hurricane Andrew have made what was desirable, a recognized necessity. Seed money now will put a program in place &at will, I believe, be continued to save the history of this important city for future generations. I_would however. recommend that funding of the grant be on City Council first passing the Records Management Ordinance. 94— 352 1 R3504-FL Archival and Records Management Programs in Local Governments City of Miami REVIEWER COMMENTS Section A i.a. Soundness of the plan of work: This grant seeks to develop and implement a city-wide comprehensive archives and records management program. The plan of work is detailed, well thought-out, and described. Applicant clearly identifies what the major activities are to be completed in each year of the grant: Year One: evaluate current records management practices and survey inactive and historic records; hire permanent Archivist/Records Manager and Records Systems Specialist; consolidate all inactive records in a central location; design and publish a Records Management Manual; provide public access to city records through neighborhood service centers. Year Two: initiate citywide training program; begin project to streamline forms and reports; develop a finding guide for the historical records; develop plans for a permanent Municipal Archives Center; evaluate success of program implementation. Most of the above activities are well-defined approaches and are appropriate and necessary for the proposed grant project. However, the grant narrative does not really detail nor explain these particular activities. Additionally, I would like the applicant to explain the manner in which public access to city records will be carried out through NETs. What type of computer link will be provided to citizens at each NET office? Clarify the aims and goals for this community service. Will the computer contain bibliographic records?• Or •will it be some type of optical system with on -screen access to city records? Applicant should explain the sentence on Page 9: "Residents and business psoole will be able to access city records at the local NET office without having to travel to the main office where the records are stored." The goal of public access is a commendable one however I would like clarification on just' how this will be achieved. The applicant should )also explain what is meant by "streamline forms and records". This task is mentioned 94- 352 ;1 2 in a couple of places in the application without further explanation. Additionally, what are the proposed contents of the City Records Management Manual and the intended audience? Where does records scheduling of city records enter into the plan of work? The project narrative reads that the Archivist/Records Manager will primarily be involved in assisting with with the exploration of an architectural competition for the Center; however, I think there should be more emphasis on that position''s work on the planning, design and environmental needs/conditions for the •Municipal Archives Center instead of on the competition. I believe that the project's use of the Project Mentor from Florida Bureau of Archives and Records Management fulfills an aspect of state -based support for this local government records project thus meeting one of NHPRC's objectives for funding records projects in larger local governments. l.b. Qualifications of the personnel involved: The qualifications and experience of the key personnel including the Records Coordinator, Administrative Assistant, Project Mentor, Information Center Manager and Cable Communications Administrator appear more than appropriate. The applicant attached position descriptions for the Archivist/Records Manager and Records Systems Specialist they hope to acquire with federal grant money. Characteristics of work, functions, and qualifications are consistent with the nature of the work most of these individuals will carry out. However, the Records Systems Specialist will need technical computer skills and expertise to provide the ongoing -support:-and trouble shooting ampected•.of this position (see top of Page 13). Applicant may want to consider a professional instead of a paraprofessional person for this position. l.c. Importance of the records to be dealt with: City records do have indispensable value in facilitating the day-to-day business of city government. Local government records protect the rights of citizens, interests of the city, and the history of the community. Miami city government has already taken some initiatives to deal with records management and historical records issues. The 1992 Initial records questionnaire of all city departments resulted in important findings that 94- 352 .'` 3 point toward the need for a comprehensive records program. Also, the city's success in securing a Local Historical Records Grant in 1993 to survey hurricane damaged records speaks to the recognition that city records warrant attention. A plan to deal with vital records was also funded. i.d. Usefulness of the "products" of this project: Most of the products and publications are commendable and legitimate for a project of this scope. However, I question the videotape portion of this project. The applicant mentions that the video will document the implementation of the records project. The specific purpose and intended audience(s) are not sufficiently detailed to justify the costs involved with the production of this video. In the budget section, it is noted that 90 hours of video tape will be edited down to a one-half hour tape. This seem excessive without the necessary justification for video production and associated costs. l.e. Soundness of the budget: The budget is put together very well in terms of the equal mix of grant funds being sought from NHPRC and the city's cost sharing/match portion. Applicant does a good job throughout the grant of justifying the use of grant money especially in how the numerous professional conferences and training sessions will assist the records personnel and help to realize the goals of the project. However, I see an inappropriate use of project time and money ( see Activity 24 on Page 21) to pursue other grants and funding opportunities for conservation equipment. The city mentions that it can use the state's Bureau of Archives and Records Management's Document Conservation Lab so unless the volume warrants I see no need for the city to own elaborate conservation equipment. Applicant also need to provide further specifications and plans for the use of the Records Management software in order to justify the high costs of this budget element. 2. Impact of the project: The training and evaluation aspects of the grant are commendable and worthwhile (see esp. Activity 20 and 21 on Page 21). Evaluating the progress and accomplishments is necessary to refine the project for its second year and to plan future work. Designation of Records Coordinators from each city department to work with the Records Manager is extremely important for the success of any records management project. 94- 352 4 3. Additional information needed: *NETs (Neighborhood Enhancement Team Program). See Question 1. *Need defined goals and specifications for the Records Management software. See Question l.e. *Where are the Municipal Archives presently stored? How are the historical city records identified and who appraises the city records for historical value? 4. Proposal revision: See numerous points for revision in the Question segments above. I would also recommend the removal of the videotape portion of the project and the associated funding. or the applicant should revamp the video enough to make it more useful as a city staff training tool. I think that the video would be more useful if the intended audience was the local city staff and not other local governments or national conferences and seminars. The records program in Miami does not appear to be at a point where it can be used as a model for other records programs or program implementation just yet. 94- 352 GRANT REVIEW - CITY OF MIAMI According to the guidelines on page 9, "funding for individual local governments may be provided. Such funding, however, will be limited to larger local governments or to local governments whose records have more than local significance." The City of Miami is a larger local government with records of many different ethnic groups; its records are critical to understanding the development of south Florida during the last one hundred years. Thus, the records of the City meet the qualifications described in the guidelines. The records to be dealt with in the grant project are extraordinarily important. Local government records touch the lives of the citizens more directly than any other kind of records preserved by archives. Local government records have also be typically ignored and treated poorly for years. This is an excellent application and Miami is most deserving of a grant. This looks like a very well developed plan that should leave the City with an excellent archives and records program when the grant period ends. The budget looks good, the personnel and the job descriptions look excellent, and I love the fact that the State Archives' staff member is going to be the Miami Archives "Mentor." I hope other state archives will adopt this example and provide designated mentors to be of assistance to new local government archival programs (while letting. the local government pick up travel expenses and thus costing State Archives only the salary.) I also like' the fact that Miami is planning to make the archives staff members permanent in 1995 and 1996 (though do we need some kind of written assurances from the City attesting to this - or does NHPRC take the word of the applicant?) The end products also look very interesting - especially the video. I.hope it will be of use for both the folks in Miami and to local governments everywhere investigating archival programs. The people look well. qualified, the budget looks carefully thought out and the records are extraordinarily important. If Miami is going to save its records, now is the time to begin. [Since I think the grant application is very good and should be fully funded, I think that is all I need to say. The only thing I would have done differently is add another page under the category of significance of the records about the different ethnic groups represented in Miami and more about how Miami's records are different from those of any other city in the U.S.] 94- 352 Al 01: NO - I -E ON , MANAGEMENT REQUIREMENTS SURVEY FINDINGS & RECOMMENDATIONS Prepared by Decision Management Company, Inc. February 1994 34- 352 TABLE OF CONTENTS PAGE I INTRODUCTION 1 H FINDINGS AND OBSERVATIONS 2 III PRI V RY RECOMMENDATIONS 4 IV SYSTEM CONFIGURATION ALTERNATIVES 5 V SYSTEM COSTS AND BENEFITS 9 VI IMPLEMENTATION PLAN 12 LIST OF FIGURES AND TABLES Figure 1: Option 1 System 5 Figure 2 Option 2 System for the Fire Department 6 Figure 3: Option 3 Central Storage System 6 Figure 4: Departmental System for Business Records 7 Figure 5: Departmental System for all Records 7 Figure 6: System for NET Field Offices 8 Figure 7: Central Document Storage System 8 Table 1: Summary of System Costs 9 94- 352 City of Miami Records Management Requirements Survey Findings s and Recomendations ®' I - INTRODUCTION Responsibility for management of official records at the City of Miami is divided between numerous Offices and Departments of the City. In summary, the Office of the City Clerk (OCC) is responsible for storage, preservation, retrieval, and disposition of legislative history records, agreements, contracts and lobbyist information, while the records generated by other Offices and Departments are maintained by originating agencies. Because this approach results in heterogeneous and incompatible systems and practices, the Office of the City Clerk desires to centralize the records management function and assume the primary responsibility for safekeeping of the City's archives. In addition, the OCC wishes to update its technical capabilities, eliminate areas of obsolescence present in its existing system, and elevate its operations to a high,or standard of excellence possible with the current technology. Improvements being sought are driven by the OCC's resolve to maximize its effectiveness, and by its goals for reduced operating cost and enhanced services to other City Departments and the citizens of Miami. To accomplish its mission, the Office of the City Clerk wishes to implement a new records management system that incorporates the latest advances in constituent technologies, including imaging, automated document indexing and other state-of-the-art hardware and software. Objectives set for the new system are to: • Standardize records retention, retrieval and disposal methods, • Facilitate the retrieval of information, • Encompass all media of interest to the City, • Assure preservation of records, • Provide disaster recovery capabilities, • Optimize use of available space, • Reduce volume of data, • Eliminate redundancy of records, and • Result in long term savings to the City. As the first step in its quest toward the attainment of stated goals, the City retained Decision Management Company, Inc. (DMC), a consulting firm headquartered in Laguna Hills, California, to perform a brief survey of City's records management practices and assess its needs for an improved records management system. This document presents the results of the survey performed by DMC, and documents recommendations for enhancement of the records management function at the City of Miami. 34- 352 Page 1 -1 City of Miami Records Management Requirements -Survey Findings and Recomendations II - FINDINGS AND OBSERVATIONS The following findings describe areas of concern with the greatest impact on the Records Management function at the City of Miami. They require immediate attention and resolution. Awareness of these problems and the need for a prompt resolution on the part of the management and staff of the City Clerk's Office and other Offices and Departments were the primary impetus for this study. The responsibility for management of official records at the City of Miami is divided between numerous Offices and Departments of the City. Due to a lack of City-wide guidelines for indexing, retention and disposal of records, methods used by individual agencies are heterogeneou,i, records indices are incompatible, and systems and practices exhibit a great deal of variation. 2 While the records management personnel at City's Offices and Departments visited by DMC are cognizant of the requirements and statutes of the State of Florida concerning this matter, it is possible that the State's requirements and statutes are not met in all instances. 3 In an overwhelming majority of locations records are maintained by means of manual systems. Typically, documents are stored in filing cabinets and boxes and indices are maintained manually. In some instances records are stored in automated retriever devices and, in rare occasions, in a form of electronic files. 4 Some documents, such as Police Department's criminal records, Building and Zoning Department's plans and legislative history records at the City Clerk's Office are maintained on microfilm. In many instances, existing microfilming equipment is at the end of its useful life cycle, and the technology is becoming obsolete. 5 Since most of the records are not available in duplicate, the City is unprepared to deal with either a man-made or natural disaster. While most of the documents are stored in facilities equipped with a monitored fire and burglar alarm system, these measures are inadequate to assure the safety of City's records. A fire, flood or other such accident would result in the loss of many invaluable records. Maintaining a complete duplicate set of all City records, however, would be impractical and extremely costly. 6 Records retention facilities throughout the City are overcrowded to the extreme. The effect of these conditions on the efficiency of the storage and retrieval function is intuitively clear. 94— 352 Page 2 City of Miami Records Management Requirements Survey Findings and Recomendations 8/ Y � 7 Most documents reviewed during the course of this study are prepared using electronic equipment, but are then printed and processed manually. For example, City Commission Agenda material is prepared on word processing equipment, printed, copied, distributed and filed. This system is cumbersome, prone to errors and omissions, and it generates m�fltiple stored copies of identical material. By using electronic storage and information transmission technology the City would achieve significant productivity gains and cost savings. 8 The small sample of records generation and retention activities reviewed during this study indicates a lack of uniformity in approach among City Offices and Departments. This lack of uniformity complicates records storage and retrieval and, conceivably, other functions involving multiple Departments. A standardized file indexing system is fundamenraal to any successful records management program. 9 The City's computing equipment lacks standardization, which causes numerous problems with interconnectivity, application integration and data exchange. Data processing equipment entails Unisys mainframe computer, mini computers, Reduced Instruction Chip Set (RISC) workstations of diverse manufacturers, Unisys PC's and DOS/Windows- compatible PC's. Equipment is interconnected on an add -hoc basis via a variety of interfaces. Unisys PC's are proprietary boxes, and are difficult to interface with DOS/Windows based PC's, mini computers and workstations. As a result, City Offices and Departments operate in a relative "data vacuum", information exchange is minimal and duplication of effort prevalent. 10 The City's facilities are interconnected via a broad -band cable owned by TCI, the local cable television company. While this cable is ideally suited to the City's communications needs, its use is minimal and grossly inadequate. While a broad band cable is capable of operating at high speeds and of supporting ethernet network channels running at ten million bits per second, the cable available to the City of Miami is more than one thousand times slower. DMC believes this undesirable situation could be improved at a reasonably low cost. The management and staff from several Offices and Departments expressed strong opinions concerning the current state of technology and even stronger yearnings for needed improvements. DMC is convinced that opportunities for streamlining and process re -engineering are many, and that any and all enhancements capable of redressing the existing shortcomings will be welcomed and implemented enthusiastically. 34- 352 Page 3 City of Miami Records Management Requirements Survey Fin dings s and Recomendations III - PRIMARY RECOMMENDATIONS Based on experience with similar projects, DMC believes the opportunities for enhancement of current systems and practices made possible by recent developments in the electronic records management technology, and the attendant cost savings, are great indeed. DMC recommends that the City of Miami avail itself of these savings and benefits by implementing an enterprise -wide image records management system described in this report. DMC's primary recommendations are outlined below: 1 The City of Miami should centralize its records management function and institute City-wide guidelines concerning indexing, retention and disposal of records. The guidelines should assign the responsibility for generation of records and management of active (work -in -progress) documents to originating Offices and Departments, and vest the responsibility for retention, archiving and disposal of completed documents to the Office of the City Clerk. 2 The City of Miami should develop a new records management system that incorporates the latest technological advances. Preferably, the new system should provide a centralized depository of records that is accessible via network facilities by all City Offices and Departments. 3 The City of Miami should develop a City-wide network capable of providing high speed data links between various facilities. If feasible, the network should be operating on existing broad band cable owned by the TCI, and it should interconnect all facilities. As a minimum, the network should be capable of interconnecting the City Hall, the Fire Department Headquarters, the Zoning Department, the Police Department and the Du Pont Plaza building. 4 DMC recommends that the City of Miami consider forming a Technology Steering Committee (TSC) and charge it with the responsibility for overseeing the implementation of imaging technology and City-wide process re -engineering efforts. The charter of the TSC should include, without being limited to, the following: Review of information needs of City Offices and Departments, Identification of targets of opportunity for productivity enhancement through technology and standardization, and Planning and management of process re -engineering projects. 94-- 352 Page 4 M City of Miami Records Management Requirements Survey Findings and Recomendations Y g IV - SYSTEM CONFIGURATION ALTERNATIVES To provide a basis for system planning and budgeting, and in recognition of budgetary constraints, DMC developed four alternate configurations of the City of Miami Text & Image Records Management system. Briefly, these alternatives are as follows: • Option 1 includes an intermediate level system for the Office of the City Clerk; • Option 2 includes autonomous intermediate level systems for the Office of the City Clerk and the Office of the City Attorney, and an expanded system for the Fire Department; • Option 3 includes networked systems at the City Hall, the Fire Department and the Du Pont Plaza building, and autonomous intermediate level systems at the Department of Parks and Recreation and the Personnel Division of the Police Department; • Option 4 includes a City-wide networked system. Configuration of the four options and prices associated with each is included in Appendix A and described below. Option 1 Option 1 system (see Figure 1) consists of a document scanning workstation, database server, optical library server, printer server, three search workstations, scanner, 1 gigabyte (Gb), 5 1/4" optical disk drive 25 Gb 5 1/4" optical ! 7 library jukebox and a printer. The system will use a Fujitsu 3096 scanner, which will provide capacity for input of approximately 4,000 11" x 17" pages per day. The proposed optical library jukebox holds 25 one -gigabyte cartridges, which will provide space for storage of some 500,000 to 750,000 pages. In addition, a stand-alone optical drive will provide means for storage and retrieval of an unlimited number of documents. w r notes that, while this system does not Figure 1: Option ]System represent the most desirable solution, it will be adequate for storage of legislative history files and other records maintained by the Office of the City Clerk. This solution, however, will not resolve the problems and shortcomings identified during the survey, and it should be implemented only as a temporary measure. Page 5 34- 352 City of Miami Records Management Requirements Survey Findings s and Recomendations �" � Option 2 Option 2 will include two autonomous intermediate level systems (for the Office of the' City Clerk and the Office of the City Attorney), and an expanded system (for the Fire Department). The City Clerk's and City Attorney's systems would be the same as the Option 1 system. The system for the Fire Department (see Figure 2) will consist of a document scanning workstation, drawing scanning workstation, database server, optical library server, printer server and six search workstations; document scanner and `"""`" drawing scanner/printer/facsimile unit; 12", 5.6 Gb optical disk drive and 12", 28 Gb optical disk JL . jukebox; and a printer. This configuration will use a Fujitsu 3096 document scanner and SLC-36 drawing scanner/printer/facsimile unit. These Figure 2: Option 2 System for the Fire Department two scanners will provide capacity for input of approximately 4,000 11" x 17" pages and 400 E-size drawings per day. The 28 gigabyte optical library jukebox holds 5 5.6 Gb cartridges, which will provide space for storage of some 600,000 to 800,000 pages. In addition, a stand-alone optical drive will provide means for storage and retrieval of an unlimited number of documents. While this system does not represent the most desirable solution, it will provide significant enhancements to records storage and retrieval practises at the three agencies of the City. Option 3 Option 3 entails three systems (at the City Hall, Fire Department building and Du Pont Plaza building) networked within individual buildings (but not connected to one another) and two autonomous intermediate level systems (at the Personnel Division of the Police Department and at the Department of Parks). Each of the three networked systems would consist of a Central Storage System and several Departmental ;m Systems. Central Storage Systems (see Figure 3) would include a Reduced Instruction Set Chip (RISC) -based database server, a RISC -based optical library server, a 12", 328 Gb optical op"jukebox and a 12", 6.55 Gb optical disk drive. °"t""n"" °pt d1t"�``�`'" ""� These devices would provide storage space for Figure 3: Option 3 Central Storage System documents of all Departments located in the aforementioned buildings. Each jukebox will be able to store between 7.5 and 10 million pages; stand-alone optical drives will provide redundancy and ability to store a virtually unlimited number of documents. While Option 3 represents a more complete solution than Options 1 and 2, it is not recommended due to excessive cost caused by duplication of equipment and the lack of interconnectivity. 94- 352 Page 6 City of Miami Records Management Requirements Survey Findings and Recomendations a The Central Storage System in each of the three facilities would be interconnected via a Local Area Network (LAN) to Departmental data acquisition, search and retrieval systems. i semminII'N'o�Nt'M LAU*t prima Prima lava j.-. 4wA t)w-1 k ma 12 s sarce workwWon sorb Wabt da, sumb worrtudao Figure 4: Departmental system for business records Figure 5: Departmental system for all records For Departments that manage business size documents (up to I x 17"), the system will include a document scanning workstation, printer server, one or more search workstations (see Figure 4). The cost of Departmental Systems was computed assuming the following number of search workstations: City Manager 6 City Clerk 6 City Attorney 6 NET Coordinator 2 Risk Management 3 Personnel 3 Development 3 Finance 3 Computer Services 3 For Departments that manage business size documents (up to 11" x 17") and drawings (up to "E" size, 36" wide), the system will include a document scanning workstation, drawing scanning workstation, printer server, one or more search workstations, document scanner, drawing scanner and printer (see Figure 5). The cost of Departmental Systems was computed assuming the following number of search workstations: Fire Department 6 Building and Zoning Department 3 Each building will require installation of a thick -wire ethernet backbone; each floor within a building would be interconnected to the backbone via a routing bridge and a transceiver assembly. Departmental systems and the Central Storage System will be networked via a thin - wire ethernet connected to the backbone. Intermediate level systems for the Personnel Division of the Police Department and at the Department of Parks would be the same as that shown in Figure 1. 94- 352 Page 7 City of Miami Records Management Requirements Survey Findings s and Recomendations a optical drive Search workstation Scannerftnter/Fax/Copier, Figure 6: System for NET Field Offices Option 4 System Phase 3 should also include search and retrieval systems for 14 NET Offices. Each of these will consist of a search workstation, 5-1/41, 1 Gb optical disk drive and a scanner/printer/ facsimile/copier unit. Configuration of data entry, search and retrieval systems for NET field offices is shown in Figure 6. Option 4 includes a central records storage system at the Office of the City Clerk and several data entry, storage and retrieval systems at various City Offices and Departments. Preferably, the system should be interconnected via an ethernet network operating at 10 megabits per second over TCI's broad band cable. In the event this solution cannot be implemented, the City may investigate a possibility of installing a thick -wire ethernet backbone at all its primary buildings and interconnecting them via microwave links. The central records storage system would consist of three scanning workstations, two database servers and two optical library servers; one simplex document scanner, one duplex document scanner and one drawing scanner; one 6.55 Gb optical disk drive and two 500 Gb optical disk jukeboxes. This system would provide the City of Miami with a full spectrum of text and image management functions and enough space for on-line and near -line storage of 25 million documents. To minimize risk of system failure, design configuration is redundant (i.e., it includes two database servers). Option 4 Departmental Systems would be the same as those described in Option 3. 94- 352 Page 8 City of Miami Records Management Requirements Survey Findings and Recomendations a V - SYSTEM COSTS AND BENEFITS Detailed specifications of components and prices for various system configurations discussed earlier are presented in an attachment to this report. The first two specifications address Option 1 system and Option 2 system for the Fire Department. The next three specifications present Option 3 Central Storage Systems and Departmental Systems. The final two specifications define systems for NET Offices and the Option 4 Central Storage System. This information was used as a basis for the cost estimate presented in Table 1. Table 1: Summary of System Costs 94- 352 Page 9 City of Miami Records Management Requirements Survey Findings and Recomendations b Table 1 indicates that Option 4, in addition to being a superior technical solution, is also a more economical choice for the City-wide records management system. However, irrespective of which solution is selected, the system will pay for itself through enhanced productivity within a very short time period. Specifically, our experience with other clients indicates that all four options would repay the capital investment and the cost of document conversion within two years from project completion. This conclusion is evident from the following examples: • Office of the City Clerk of City of Upland, California is managing its records with one part time person. Another nearby city of similar size requires six to seven personnel to perform the same job. This statement can be confirmed with Ms. Sheryll Shroeder, Upland City Clerk (909/982-1352). • U.S. District Court for the District of Puerto Rico concluded that the cost of records retention for a case involving over three million document by means of a text and image management system, including capital cost and data conversion expenses, is less than the cost of fulfilling a single major data request by means on a manual system. This statement can be confirmed with Ms. Suzanne Foulds, Repository Administrator (702/732-2626). • Prior to installing its text and image records management system, the Office of the City Clerk of City of Moorpark, California, used to spend several person -weeks of effort to provide the City Attorney with documents relevant to a litigation. This time consuming research usually resulted in thousands of pages of information that had to be read by the legal staff, which further increased the cost. Now, the City Clerk can fulfill such information requests in less that an hour, and the volume of relevant information is reduced at least tenfold. Ms. Lillian Hare, Moorpark City Clerk, (805/529-6864) estimates that savings associated with just a few data requests from the City Attorney are sufficient to recover the cost of the entire system. During the survey of records management needs of the City of Miami performed last week, we heard and saw several convincing examples of savings that will accrue to the City as a result of automation of the records management function: • While precise estimates of the total volume of documents kept by various Offices and Departments are unavailable, the City maintains between 25,000,000 and 100,000,000 documents. The City employees we interviewed conservatively estimate that at least ten copies of each document are in existence. Presuming that the average cost of a copy, including the cost of labor, equipment and supplies is 15 cents, and that the imaging technology would reduce the number of copies in half, the City of Miami could save between $2,000,000 and $8,000,000. These savings alone are sufficient to pay for the system. 94- 352 Page 10 City of Miami Records Management Requirements . / Survey Findings and Recomendations Virtually all facilities we visited were overcrowded to the extreme. Offices are filled to capacity with filing cabinets crammed with documents. Often, on top of the cabinets were piles of boxes crammed with more documents. Several Departments indicated that they use a separate building containing only shelves frill of boxed documents. Paper invasion is overwhelming: people were being displaced by sprawling archives and there is no room for growth. Security of vital records is questionable and information retrieval takes hours, or even days. If an average four drawer filing cabinet holds 10,000 pages, storage of City's documents requires between 2,500 and 10,000 filing cabinets. If a typical filing cabinet with access space requires 12 square feet of floor area, the City is using 30,000 to 120,000 square feet of space for storage. At least 90% of lbat space would be released by implementation of an imaging system, e.nd result in annual savings on the order of $500,000 and $2,000,000. Crowded conditions described in the previous point also lead to lower productivity. We have observed offices that were so crammed with drawings, that there was no space left to spread a drawing for review. While the costs associated with this factor are difficult to estimate, I am convinced that, on a City-wide basis, they are in millions, if not in tens of millions. Records management professionals indicate that, in an Office environment, at least two-thirds of total workhours are spent on information search, storage and retrieval. Even under conservative assumptions that (A) 10% of the total City budget is expended on these functions, and (B) electronic imaging technology will reduce workhours associated therewith by one-half, the City of Miami will realize annul savings in excess of $10,000,000. There are many other examples of potential savings possible through technology: reduction of risk, increased security of records, better disaster preparedness, better decisions made possible by more complete and timely information, and many more. These additional benefits notwithstanding, this review clearly indicates that by embracing imaging technology, the City of Miami would enhance its effectiveness, improve service to its citizens and realize savings in excess of $10,000,000 per annum. Every year of delay in implementing this solution is an opportunity lost and millions of dollars of potential savings wasted. Clearly, the time for action is now. 94- 352 Page 11 City of Miami Records Management Requirements Survey Findings and Recomendations V - IMPLEMENTATION PLAN Because of the reasons presented in preceding sections, DMC recommends that the City of Miami select Option IV and begin the implementation of imaging technology in the near future, and avail itself of savings and productivity gains possible with this state-of-the-art technology. To create an environment which will assure that system implementation is accomplished in a deliberate and controlled manner, the project should be subdivided into three phases. Phase 1 included a mini -survey of City of Miami's Records Management Requirements and it will be completed with issuance of this report. Phase 2 should include a detailed system design, development of a plan for procurement and implementation of a new records management system and installation of one or more pilot systems. Phase 3 should entail a multi -year system implementation project. The scope of work associated with Phase 2 is outlined below. To optimize utilization of City's resources, the system design and implementation plan should be developed by a joint project team composed of City of Miami and DMC personnel. Task 1 - Design Basis City's staff will assemble sample documents and, where appropriate, develop charts defining document life cycles and responsibilities for their creation, modification, storage, access, use and destruction. In addition to charts, they will document attributes and relationships of City's records; management information requirements; strengths of current systems and practices and areas requiring improvement; estimates of existing volumes of documents and annual additions; frequency of access to each document type; volume of hard copy output, filing space requirements and other relevant information. Upon completion of the review, the project team will identify classes of documents to be included into the new records management system and prioritize system implementation by Office/Department and document category. DMC will provide technical support to the City staff as required. Task 2 - System design The project team will develop system design and prepare a project plan. System design will include a complete specification of hardware and software components. The design will be modular, so that the system may be implemented gradually and expanded to accommodate growth of City's requirements and availability of resources. In addition, this task will include review of budgetary constraints and development of a plan for Phase 3 of the project. The system implementation plan will subdivide Phase 3 into several sub -phases, provide a detailed cost estimate for each sub -phase, and schedule implementation of the system in accordance with the list of priorities and budgetary constraints. 9 4 r 352 Page 12 City of Miami Records Management Requirements Survey Findings and Recomendations b Task 3 - Pilot System in parallel with Tasks 1 and 2, DMC will begin implementation of pilot imaging systems at the Fire Department and the Office of: the City Clerk. This effort will entail development of a Technical Requirements document for inclusion with City's RFP, and technical support during the procurement, installation and testing of pilot systems. DMC anticipates that the system will entail several modules including, but not limited to the following: • Data entry subsystem (scanning, optical character recognition, electronic file import, incoming facsimile import and image annotation) • Full text database subsystem (full text and pseudo -relational database generation and maintenance, indexing and retrieval) • Relational database subsystem (off -the -shelf SQL database preferred by the City of Miami) • Workflow management subsystem (electronic forms management, electronic signatures and rule -based document routing) • Desktop publishing subsystem (import of text and image files into word processor/desktop publisher, text and image manipulation, compound document editing and output) • Engineering document management subsystem (large document input, processing and management; drawing view/markup; CAD, etc.) • Output subsystem (document viewing and printing and outgoing facsimile) • Communications subsystem (LAN, WAN and electronic mail) DMC will recommend to the City of Miami those subsystems and equipment that are best suited to City's operating environment and specific requirements. Wherever appropriate, the system be comprised of existing equipment and software, and new components will be used only when required to achieve desired functionality. Should the City decide to implement full text management capabilities, DMC may recommend the award -winning Questys Text and Image Management System, a proven imaging product used by numerous City and County government agencies. Following a successful completion of Phase 2, the project team will obtain requisite authorizations from the City of Miami and commence Phase 3 of the project. As indicated earlier, this phase will include acquisition and implementation of a City-wide electronic records management system. 94- 352 Page 13 ATTACHMENT G-1 V1 a r] c, 7. � I N I` SURVEY FINDINGS & RECOMMENDATIONS Prepared by Decision Management Company, Inc. March 1994 34- 352 OY4- 352 City of Miami Records Management Requirements Survey Findings s and Recomendations I - INTRODUCTION Responsibility for management of official records at the City of Miami is divided between numerous Offices and Departments of the City. In summary, the Office of the City Clerk (OCC) is responsible for storage, preservation, retrieval, and disposition of legislative history records, agreements, contracts and lobbyist information, while the records generated by other Offices and Departments are maintained by originating agencies. Because this approach results in heterogeneous and incompatible systems and practices, the Office of the City Clerk desires to centralize the records management function and assume the primary responsibility for safekeeping of the City's archives. In addition, the OCC wishes to update its technical capabilities, eliminate areas of obsolescence present in its existing system, and elevate its operations to a high,:r standard of excellence possible with the current technology. Improvements being sought are driven by the OCC's resolve to maximize its effectiveness, and by its goals for reduced operating cost and enhanced services to other City Departments and the citizens of Miami. To accomplish its mission, the Office of the City Clerk wishes to implement a new records management system that incorporates the latest advances in constituent technologies, including imaging, automated document indexing and other state-of-the-art hardware and software. Objectives set for the new system are to: • Standardize records retention, retrieval and disposal methods, Facilitate the retrieval of information, Encompass all media of interest to the City, • Assure preservation of records, • Provide disaster recovery capabilities, • Optimize use of available space, • Reduce volume of data, • Eliminate redundancy of records, and • Result in long term savings to the City. As the first step in its quest toward the attainment of stated goals, the City retained Decision Management Company, Inc. (DMC), a consulting firm headquartered in Laguna Hills, California, to perform a brief survey of City's records management practices and assess its needs for an improved records management system. This document presents the results of the survey performed by DMC, and documents recommendations for enhancement of the records management function at the City of Miami. 94— 352 City of Miami Records Management Requirements Survey Findings and Recomendations ' "' ` II - FINDINGS AND OBSERVATIONS The following findings describe areas of concern with the greatest impact on the Records Management function at the City of Miami. They require immediate attention and resolution. Awareness of these problems and the need for a prompt resolution on the part of the management and staff of the City Clerk's Office and other Offices and Departments were the primary impetus for this study. 1 The responsibility for management of public records at the City of Miami is divided between numerous Offices and Departments of the City. Due to a lack of City-wide guidelines, methods and systems for indexing, retentioQ and disposal of records used by individual departments are heterogeneous and M ees in nmpahblee. 2 While the personnel charged with the duties of records management at the City Offices and Departments visited by DMC are cognizant of the requirements and statutes of the State of Florida concerning this matter, it is conceivable that the State's requirements and statutes are not met in all instances. 3 In an overwhelming majority of locations, records are maintained by means of manual systems. Typically, documents are stored in filing cabinets and boxes and indices are maintained manually. In some instances records are stored in automated retriever devices and, in rare occasions, in a form of electronic files. There is, however, an automated indexing system in use in the City Clerk's Office. 4 Some documents, such as Police Department's criminal records, Building and Zoning Department's plans and legislative history records at the City Clerk's Office are maintained on microfilm. In some instances, existing microfilming equipment is at the end of its useful life cycle and will have to be replaced if newer technology is not implemented. The State of Florida now permits optical imaging technology. 5 Since many of the existing records are not available in duplicate, the City is unprepared to deal with either a man-made or natural disaster. While most of the documents are stored in facilities equipped with a monitored fire and burglar alarm system, these measures are inadequate to assure the safety of City's records. A fire, flood or other such accident would result in the loss of many invaluable records. Maintaining a complete duplicate set of all City records, however, would be impractical and extremely costly. 6 Records retention facilities throughout the City are overcrowded to the extreme. The effect of these conditions on the efficiency of the storage and retrieval function is intuitively clear. Page 2 94- 352 City of Miami Records Management Requirements Survey Findings s and Recomendations ®' 7 Most documents reviewed during the course of this study are prepared using electronic equipment, but are then printed and processed manually. For example, City Commission Agenda material is prepared on word processing equipment, printed, copied, distributed and filed. This system is cumbersome, prone to errors and omissions, and it generates multiple stored copies of identical material. By using electronic storage and information transmission technology the City would achieve significant productivity gains and cost savings. 8 The small sample of records generation and retention activities reviewed during this study indicates a lack of uniformity in approach among City Offices and Departments. This lack of uniformity complicates records storage and retrieval and, conceivably, other functions involving multiple Departments. A standardized file indexing system is fundamental to any successful records management program. 9 The City's computing equipment is currently undergoing modernization. Data processing environment includes a UNISYS A17 mainframe that supports a large network of terminals, DEC mini computer, UNISYS BTOS/CTOS workstations (most of which are configured in departmental LANs) and a growing number of DOS/Windows-based PCs (both networked and stand-alone). 10 The City's computing facilities are interconnected via a broad -band cable owned by the City and maintained by the City and TCI, the local cable television company. While a broad band cable is capable of operating at high speeds and of supporting ethernet network channels running at ten million bits per second, its present operating speed is 9,600 baud (more than one thousand times slower). Research into equipment and band width is needed to upgrade the interconnection between major buildings to a high-speed Ethernet protocol. The management and staff from several Offices and Departments expressed strong opinions concerning the current state of technology and even stronger yearnings for needed improvements. DMC is convinced that opportunities for streamlining and process re -engineering are many, and that any and all enhancements capable of redressing the existing shortcomings will be welcomed and implemented enthusiastically. 94- 352 Page 3 City of Miami Records Management Requirements Survey Findings and Recomendations /y g III - PRIMARY RECOMMENDATIONS Based on experience with similar projects, DMC believes the opportunities for enhancement of current systems and practices made possible by recent developments in the electronic records management technology, and the attendant cost savings, are great indeed. DMC recommends that the City of Miami avail itself of these savings and benefits by implementing an enterprise -wide image records management system described in this report. DMC's primary recommendations are outlined below: 1 The City of Miami should centralize its records management function and institute City-wide guidelines concerning indexing, retention and disposal of records. The guidelines should assign the responsibility for generation of,,.. P� and management of Active (work -in -progress) documents to orieinatine_ Offices and Departments and vest the responsibility for retention. archiving and disposal of ob� f r% Dleted.dac. .;.s to the Offige of the City, Ch-Ag with the exception of the Police Department. 2 The City of Miami should develop a new records management system that incorporates the latest technological advances. Preferably, the new system should provide a centralized repository of records that is accessible via network facilities by all City Offices and Departments. 3 The City of Miami should develop a City-wide network capable of providing high speed data links between various facilities. If feasible, the network should be operating on existing broad band cable owned by the TCI, and it should interconnect all facilities. As a minimum, the network should be capable of interconnecting the City Hall, the Fire Department Headquarters, the Zoning Department, the Police Department and the Du Pont Plaza building. 4 DMC recommends that the City of Miami consider forming a Technology Steering Committee (TSC) and charge it with the responsibility for overseeing the implementation of imaging technology and City-wide process re -engineering efforts. The charter of the TSC should include, without being limited to, the following: Review of information needs of City Offices and Departments, Identification of targets of opportunity for productivity enhancement through technology and standardization, and Planning and management of process re -engineering projects. 94- 352 Page 4 City of Miami Records Management Requirements Survey Findings and Recomendations /Y g IV - SYSTEM CONFIGURATION ALTERNATIVES To provide a basis for system planning and budgeting, and in recognition of budgetary constraints, DMC developed four alternate configurations of a proposed City of Miami Text & Image Records Management system. Briefly, these alternatives are as follows: • Option 1 includes an intermediate level system for the Office of the City Clerk; • Option 2 includes autonomous intermediate level systems for the Office of the City Clerk and the Office of the City Attorney, and an expanded system for the Fire Department; • Option 3 includes networked systems at the City Hall, the Fire Department and the Du Pont Plaza building, and autonomous intermediate level systems at the Department of Parks and Recreation and the Personnel Division of the Police Department; • Option 4 includes a City-wide networked system. Configuration of the four options and prices associated with each is included in Appendix A and described below. Option 1 Option 1 system (see Figure 1) consists of a document scanning workstation, database server, optical library server, printer server, three search workstations, scanner, 1 gigabyte (Gb), 5 1/4" optical disk drive, 25 Gb, 5 1/4" optical Figure 1: Option 1 System be adequate for storage of legislativ Office of the City Clerk. This sol shortcomings identified during the temporary measure. library jukebox and a printer. The system will use a Fujitsu 3096 scanner, which will provide capacity for input of approximately 4,000 11" x 17" pages per day. The proposed optical library jukebox holds 25 one -gigabyte cartridges, which will provide space for storage of some 500,000 to 750,000 pages. In addition, a stand-alone optical drive will provide means for storage and retrieval of an unlimited number of documents. e DMC notes that, while this system does not represent the most desirable solution, it will history files and other records maintained by the ution, however, will not resolve the problems and survey, and it should be implemented only as a 34- 352 Page 5 City of Miami Records Management Requirements Survey Findings s and Recomendations ®" Option 2 Option 2 will include two autonomous intermediate level systems (for the Office of the City Clerk and the Office of the City Attorney), and an expanded system (for the Fire Department). The City Clerk's and City Attorney's systems would be the same as the Option 1 system. The system for the Fire Department (see Figure 2) will consist of a document scanning workstation, drawing scanning workstation, database server, optical library server, printer server and six search workstations; document scanner and drawing scanner/printer/facsimile unit; 12", 5.6 Gb optical disk drive and 12", 28 Gb optical disk jukebox; and a printer. This configuration will use a Fujitsu 3096 document scanner and SLC-36 drawing scanner/printer/facsimile unit. These Figure 2: Option 2 System for the Fire Department two scanners will provide capacity for input of approximately 4,000 11" x 17" pages and 400 E-size drawings per day. The 28 gigabyte optical library jukebox holds 5 5.6 Gb cartridges, which will provide space for storage of some 600,000 to 800,000 pages. In addition, a stand-alone optical drive will provide means for storage and retrieval of an unlimited number of documents. While this system does not represent the most desirable solution, it will provide significant enhancements to records storage and retrieval practices at the three agencies of the City. Option 3 Option 3 entails three systems (at the City Hall, Fire Department building and Du Pont Plaza building) networked within individual buildings (but not connected to one another) and two autonomous intermediate level systems (at the Personnel Division of the Police Department and at the Department of Parks). Each of the three networked systems would consist of a Central Storage System and several Departmental Systems. Central Storage Systems (see Figure 3) would include a Reduced Instruction Set Chip (RISC) -based database server, a RISC -based optical library server, a 12", 328 Gb optical a,ubw saw a OpdcW lbruy SYMM jukebox and a 12", 6.55 Gb optical disk drive. These devices would provide storage space for Figure 3: Option 3 Central Storage System documents of all Departments located in the aforementioned buildings. Each jukebox will be able to store between 7.5 and 10 million pages; stand-alone optical drives will provide redundancy and ability to store a virtually unlimited number of documents. While Option 3 represents a more complete solution than Options 1 and 2, it is not recommended due to excessive cost caused by duplication of equipment and the lack of inferconnectivity. 0 4` 352 10 Page 6 City of Miami Records Management Requirements /. Survey Findings and Recomendations a The Central Storage System in each of the three facilities would be interconnected via a Local Area Network (LAN) to Departmental data acquisition, search and retrieval systems. Figure 4: Departmental system for business records es:.x..::kr' optial Give `tln Smming workswim primer carver uoamem eaener •f� lA wrjet priaw samina work ution ;:WWt OanW/PWrwlfax Figure 5: Departmental system for all records For Departments that manage business size documents (up to 11 rr x 17"), the system will include a document scanning workstation, printer server, one or more search workstations (see Figure 4). The cost of Departmental Systems was computed assuming the following number of search workstations: City Manager 6 City Clerk 6 City Attorney 6 NET Coordinator 2 Risk Management 3 Personnel 3 Development 3 Finance 3 Computer Services 3 For Departments that manage business size documents (up to I I" x 17") and drawings (up to "E" size, 36" wide), the system will include a document scanning workstation, drawing scanning workstation, printer server, one or more search workstations, document scanner, drawing scanner and printer (see Figure 5). The cost of Departmental Systems was computed assuming the following number of search workstations: Fire Department 6 Building and Zoning Department 3 Each building will require installation of a thick -wire ethernet backbone; each floor within a building would be interconnected to the backbone via a routing bridge and a transceiver assembly. Departmental systems and the Central Storage System will be networked via a thin - wire ethernet connected to the backbone. Intermediate level systems for the Personnel Division of the Police Department and at the Department of Parks would be the same as that shown in Figure 1. ,94- 352 Page 7 City of Miami Records Management Requirements Survey Findings s and Recomendations ®' r Optical drive Search workstation Scanner/Printer/Fax/Copier Figure 6: System for NET locations Option 4 System Phase 3 should also include search and retrieval systems for 14 NET Offices. Each of these will consist of a search workstation, 5-1/4", 1 Gb optical disk drive and a scanner/printer/ facsimile/copier unit. Configuration of data entry, search and retrieval systems for NET field offices is shown in Figure 6. Option 4 includes a central records storage system at the Office of the City Clerk and several data entry, storage and retrieval systems at various City Offices and Departments. Preferably, the system should be interconnected via an ethernet network operating at 10 megabits per second over TCI's broad band cable. In the event this solution cannot be implemented, the City may investigate a possibility of installing a thick -wire ethernet backbone at all its primary buildings and interconnecting them via line -of -site data links. The central records storage system would consist of three scanning workstations, two database servers and two optical library servers; one simplex document scanner, one duplex document scanner and one drawing scanner; one 6.55 Gb optical disk drive and two 500 Gb optical disk jukeboxes. This system would provide the City of Miami with a full spectrum of text and image management functions and enough space for on-line and near -line storage of 25 million documents. To minimize risk of system failure, design configuration is redundant (i.e., it includes two database servers). Figure 7: Central document storage system Option 4 Departmental Systems would be the same as those described in Option 3. 94- 352 Page 8 City of Miami Records Management Requirements Survey Findings and Recomendations 8� Y g V - SYSTEM COSTS AND BENEFITS Detailed specifications of components and prices for various system configurations discussed earlier are presented in an attachment to this report. The first two specifications address Option I system and Option 2 system for the Fire Department. The next three specifications present Option 3 Central Storage Systems and Departmental Systems. The final two specifications define systems for NET Offices and the Option 4 Central Storage System. This information was used as a basis for the cost estimate presented in Table 1. Table 1: Summary of System Costs Page 9 °4- 352 City of Miami Records Management Requirements Survey Findings and R.ecomendations Table 1 indicates that Option 4, in addition to being a superior technical solution, is also a more economical choice for the City-wide records management system. However, irrespective of which solution is selected, the system will pay for itself through enhanced productivity within a very short time period. Specifically, our experience with other clients indicates that all four options would repay the capital investment and the cost of document conversion within two years from project completion. This conclusion is evident from the following examples: • Office of the City Clerk of City of Upland, California is managing its records with one part time person. Another nearby city of similar size requires six to seven personnel to perform the same job. City officials indicate that increased efficiency, security of records and cost savings which accrued since installation of Questys have surpassed their best expectations. Because of automated OCR and indexing capabilities, data entry operations are very cost effective. Security of records is enhanced since documents do not have to be sent out for processing. Reduction of the volume of paper created space to house over a dozen new employees. Information retrieval is accomplished in seconds, not hours or days, and lost records are a story long forgotten. These statements can be confirmed with Ms. Sheryll Shroeder, Upland City Clerk (909/982-1352). • U.S. District Court for the District of Puerto Rico concluded that the cost of records retention for a case involving over three million document by means of a text and image management system, including capital cost and data conversion expenses, is less than the cost of fulfilling a single major data request by means on a manual system. This statement can be confirmed with Ms. Suzanne Foulds, Repository Administrator (702/732-2626). • Prior to installing its text and image records management system, the Office of the City Clerk of City of Moorpark, California, used to spend several person -weeks of effort to provide the City Attorney with documents relevant to a litigation. This time consuming research usually resulted in thousands of pages of information that had to be read by the legal staff, which further increased the cost. Now, the City Clerk can fulfill such information requests in less that an hour, and the volume of relevant information is reduced at least tenfold. Ms. Lillian Hare, Moorpark City Clerk, (805/529-6864) estimates that savings associated with just a few data requests from the City Attorney are sufficient to recover the cost of the entire system. Page10 94_ 352 City of Miami Records Management Requirements Survey Findings s and Recomendations During visits to various City facilities, DMC heard and saw several examples of savings that will accrue to the City as a result of automation of the records management function: • While precise estimates of the total volume of records are unavailable, City staff we interviewed provided the following conservative estimates: The City maintains a total of 25,000,000 and 100,000,000 documents 10,000,000 to 20,000,000 pages are added and a similar number of documents disposed -off annually At least ten copies of each document are in existence Presuming that the imaging technology would reduce the number of copies in half, the total annual volume of copies would be reduced by five to ten million pages. If the average cost of a copy is mere 10 cents, the City of Miami could realize annual savings between $500,000 and $1,000,000. • Virtually all facilities we visited were overcrowded to the eztreme. Offices are felled to capacity with filing cabinets crammed with documents. Often, on top of the cabinets were piles of boxes crammed with more documents. Some Departments indicated they use separate buildings containing only shelves full of boxed documents. Paper invasion is overwhelming: people are being displaced by archives and there is no room for growth. An imaging system would rectify this undesirable situation and yield additional savings: If an average four drawer filing cabinet holds 10,000 pages, storage of City's documents requires between 2,500 and 10,000 filing cabinets. At $300 for a regular filing cabinet and $800 for a fireproof unit, potential savings are on the order of $750,000 to $8,000,000. If a typical filing cabinet with access space requires 12 square feet of floor area, the City is using 30,000 to 120,000 square feet of space for storage. At least 90% of that space would be released by implementation of an imaging system, and result in annual savings on the order of $500,000 and $2,000,000. • Crowded conditions described in the previous point also lead to lower productivity. While the costs associated with this factor are difficult to estimate, they are certainly significant. • Records management professionals indicate that, in an office environment, at least two-thirds of total workhours are spent on information search, storage and retrieval. Even under conservative assumptions that (A) 5% of the total City budget is expended on these functions, and (B) electronic imaging technology will reduce workhours associated therewith by one-half, the City of Miami would realize annul savings in excess of $5,000,000. Page 11 34- 352 City of Miami Records Management Requirements Survey Findings and Recomendations'' There are many other examples of potential savings possible through technology: reduction of risk, increased security of records, better disaster preparedness, better decisions made possible by more complete and timely information, and many more. These additional benefits notwithstanding, this review clearly indicates that by embracing imaging technology, the City of Miami would enhance its effectiveness, improve service to its citizens and realize significant savings. Every year of delay in implementing this solution is an opportunity lost and millions of dollars of potential savings wasted. Clearly, the time for action is now. V - IMPLEMENTATION PLAN Because of the reasons presented in preceding sections, DMC recommends that the City of Miami select Option IV and begin the implementation of imaging technology in the near future, and avail itself of savings and productivity gains possible with this state-of-the-art technology. To create an environment which will assure that system implementation is accomplished in a deliberate and controlled manner, the project should be subdivided into three phases. Phase 1 included a mini -survey of City of Miami's Records Management Requirements and it will be completed with issuance of this report. Phase 2 should include a detailed system design, development of a plan for procurement and implementation of a new records management system and installation of one or more pilot systems. Phase 3 should entail a multi -year system implementation project. The scope of work associated with Phase 2 is outlined below. To optimize utilization of City's resources, the system design and implementation plan should be developed by a joint project team composed of City of Miami and DMC personnel. Task 1- Design Basis City's staff will assemble sample documents and, where appropriate, develop charts defining document life cycles and responsibilities for their creation, modification, storage, access, use and destruction. In addition to charts, they will document attributes and relationships of City's records; management information requirements; strengths of current systems and practices and areas requiring improvement; estimates of existing volumes of documents and annual additions; frequency of access to each document type; volume of hard copy output, filing space requirements and other relevant information. Upon completion of the review, the project team will identify classes of documents to be included into the new records management system and prioritize system implementation by Office/Department and document category. DMC will provide technical support to the City staff as required. Page12 34_ 352 City of Miami Records Management Requirements Survey Findings and Recomendations Task 2 - System design The project team will develop system design and prepare a project plan. System design will include a complete specification of hardware and software components. The design will be modular, so that the system may be implemented gradually and expanded to accommodate growth of City's requirements and availability of resources. In addition, this task will include review of budgetary constraints and development of a plan for Phase 3 of the project. The system implementation plan will subdivide Phase 3 into several sub -phases, provide a detailed cost estimate for each sub -phase, and schedule implementation of the system in accordance with the list of priorities and budgetary constraints. Task 3 - Pilot System In parallel with Tasks 1 and 2, DMC will begin implementation of pilot imaging systems at the Fire Department and the Office of the City Clerk. This effort will entail development of a Technical Requirements document for inclusion with City's RFP, and technical support during the procurement, installation and testing of pilot systems. DMC anticipates that the system will entail several modules including, but not limited to the following: • Data entry subsystem (scanning, optical character recognition, electronic file import, facsimile import and image annotation) • Full text database subsystem (full text and pseudo -relational database generation and maintenance, indexing and retrieval) • Relational database subsystem (off -the -shelf SQL database preferred by the City of Miami) • Workflow management subsystem (electronic forms management, electronic signatures and rule -based document routing) • Desktop publishing subsystem (import of text and image files into word processor/desktop publisher, text and image manipulation, compound document editing and output) • Engineering document management subsystem (drawing input, processing and management; drawing view/markup; CAD, etc.) • Output subsystem (viewing, printing and outgoing facsimile) • Communications subsystem (LAN, WAN and electronic mail) DMC will recommend to the City of Miami those subsystems and equipment that are best suited to City's operating environment and specific requirements. Wherever appropriate, the system will include existing equipment and software, and new components used only when required to achieve desired functionality. If the City decides to implement full text management capabilities, DMC may recommend the award -winning Questys Text and Image Management System, a proven imaging product used by numerous government agencies. Page13 34_ 352 City of Miami Records Management Requirements Survey Findings and Recomendations Following a successful completion of Phase 2, the project team will obtain requisite authorizations from the City of Miami and commence Phase 3 of the project. As indicated earlier, this phase will include acquisition and implementation of a City-wide electronic records management system. DMC believes that implementation of an enterprise -wide imaging system at the City of Miami is well advised, and that a decision to that effect will: • Enhance productivity in all City Offices and Departments; • Reduce exposure to risk and litigation; • Delay need for addition of permanent staff; • Reduce filing space requirements and enhance space utilization throughout the City Hall, Fire Headquarters, the Du Pont Plaza building, Police Headquarters and other facilities; • Increase effectiveness and accuracy of research; • Reduce document retrieval time from hours to seconds; • Increase quality of information; • Allow multiple access to work -in -progress documents; • Enhance inter and intra-Departmental communications; • Improve communications between City Government and citizens of Miami; • Allow virtually instantaneous access to documents 24 hours a day; and • Provide an appropriate disaster recovery capability. Because system implementation plan calls for phased implementation of the system, the City can avail itself of these benefits at a minimum risk. This design can spread the cost over several years; provide the ability to stop or restrict system expansion at logical points; facilitate gradual introduction of the system and its acceptance by user Departments; and it allows City staff adequate time to transition from existing systems. - Page14 94- 352 ` TECHNOLOGY!' 1 I MISSION The Office of the City Clerk of the City of Miami (OCC) wishes to update its technical capabilities, eliminate areas of obsolescence present in its existing system, and elevate its operations to a higher standard of efficiency possible with the current technology. Improvements being sought are driven by the OCC's resolve to increase the value of its service delivery, and by its goals for reduced operating cost and enhanced services including increased public informational access to other City Departments and the citizens of Miami. CO e W C17? OBJECTIVES i To accomplish its mission, the OCC wishes to implement a new records management system that incorporates the latest advances in constituent technologies, including imaging, automated document indexing and other state-of-the-art hardware & software. ObPiectives set for the new system are to: • Standardize records retention/retrieval/disposal methods, • Facilitate the retrieval of information, • Encompass all media of interest to the City, • Assure preservation of records, • Provide disaster recovery capabilities, • Optimize use of available space, Reduce volume of inactive records stored -in various ]Departments, • Eliminate redundancy of records, and �? Result in long term savings to the City. w c� IMAGING TECHNOLOGY FOR THE CITY OMIA, APPROACH To create an environment which - will assure that system implementation is accomplished in a deliberate and controlled manner, the project was subdivided into three phases. • Phase 1: Mini -survey of City of Miami's RMS requirements. +� Phase 2: Detailed system design, development of a plan for procurement and implementation of a new records management system and installation of one or more pilot systems. * Phase 3:. Multi -year system implementation project. e W Wz e.0 IMAGING TECHNOLOGY FOR THE CITY OF MIAMI The study identified conditions causing negative impact on the Records Management function at the City of Miami. They require immediate attention and resolution. 1 Methods used for management of public records at the City of Miami are heterogeneous, records indices are incompatible, and systems and practices exhibit a great deal of variation. 2In an overwhelming majority of locations, records are maintained by means of manual systems. 3 Since many of the existing records are not available in duplicate, the City is unprepared to deal with either a man- made or natural disaster. IMAGING TECHNOLOGY FOR THE CITY OF MIAMI k f; 4 Records retention facilities throughout the City are overcrowded. These conditions cause negative impact on the efficiency of the storage and retrieval function. 5 Most documents reviewed during the course of this study are prepared using electronic equipment, but are then printed and processed manually. This system is cumbersome, prone to errors and omissions, and it generates multiple stored copies of identical material. 6 Opportunities for streamlining and process re -engineering are plentiful, and the management and staff from several Offices and Departments expressed strong desire for needed improvements. �z ZZ IMAGING TECHNOLOGY FOR THE CITY OF • RECOMMENDATIONS Resolution of problems identified by the study requires implementation of the following key recommendations: 1 The City should centralize its records management function and institute City -vide records management guidelines. 2 The City should implement a new electronic records management system that incorporates the latest technological advances in imaging, optical character recognition, automated indexing and related technologies. 3 To maximize benefits, the City should develop a City-wide network capable of providing high speed data links between various facilities. W TECHNOLOGYIMAGING ! .THE CITY OF MIAMI OPTIONS UNDER CONSIDERATION To provide a basis for system planning and budgeting, and in recognition of budgetary constraints, the OCC developed four alternate system configurations . option 1: An intermediate level system for the City Clerk; s option 2: Intermediate systems for the City Clerk and the City Attorney, and an expanded system for the Fire Department; • option 3A: Networked systems at the City Hall, the Fire Department and the Du Pont Plaza building, and autonomous intermediate level systems at the Department of Parks and the Personnel Division of the Police Department; and . Option 3B: A City-wide networked system. W G7 IMAGING TECHNOLOGY FOR THE CITY OF MIAMI • Partial, incomplete solution • Adequate for storage of legislative history files and other OCC records. • It will not resolve areas of concern identified. • It should be implemented only as a temporary measure. w G� IMAGING TECHNOLOGY FOR THE CITY OF MIAMI NNW CITY-WIDE SYSTEM lTii-z�lii m m,ejopmmwQ&wd— ft.. f ww woeamom IMAGING TECHNOLOGY FOR THE CITY OF MIAMI We have to make significant investment to gain desired benefits The Office of the City Clerk analysed costs associated with implementation of new technologies mdiscossed herein. WE BELIEVE THE REWARD WILL BE COMENSURA,TE ]Experience of other agencies of city government indicates that the City of Miami will recover its investment in technology within two years from project completion. • City of Upland, California, is managing its records with one part time person. Another nearby city of similar size requires six to seven personnel to perform the same job. • U.S. District Court for the District of Puerto Rico concluded that the cost of records retention for a case involving over three million document by means of a text and image management system, including capital cost and data conversion expenses, is less than the cost of fulfilling a single major data request manually. • Prior to installing its text and image records management system, the Office of the City Clerk of City of Moorpark, California, used to spend several person -weeks of effort to provide the City Attorney with documents relevant to a litigation. This time consuming research usually resulted in thousands of pages of information that had to be read by the legal staff, which further increased the cost. Now, the City Clerk can fulfill such information requests in less that an hour, and the I volume of relevant information is reduced at least tenfold. w c.� IMAGING TECHNOLOGY FOR THE CITY OF MIAMI CONCLUSION Since opportunities for improvement are plentiful and the solutions are available, similar (or better) results will be achieved by the City of Miami. Every day of delay in implementing this solution is an opportunity lost and many dollars of potential savings wasted. Clearly, the time for action is NOW. ATTACHMENT G-2 3•.94-271 ? /241 94 ORDINANCE NO. AN ORDINANCE RELATED TO LOBBYISTS AND AMENDING THE CODE OF THE CITY OF MIAMI, FLORIDA, AS AMENDED, BYs ADDING AND AMENDING DEFINITIONS, EXPANDING LOBBYIST REGULATIONS TO INCLUDE ACTIONS, DECISIONS AND RECOMMENDATIONS OF CITY COMMISSION, CITY STAFF AND CITY BOARDS, PROVIDING A FEE FOR LOBBYIST REGISTRATION, PROVIDING EXCEPTIONS; REQUIRING THE CITY CLERK TO PUBLISH PERIODIC LOGS, PROVIDING EXCLUSIVE PENALTIES, PROHIBITING CONTINGENCY FEES, AND PROVIDING A SAVINGS CLAUSE; MORE PARTICULARLY BY AMENDING SECTIONS 2-313, 2-314, 2-3161 AND 2-318, AND BY ADDING NEW SECTION 2-319; CONTAINING A REPEALER PROVISION, A SEVERABILITY CLAUSE AND PROVIDING FOR AN EFFECTIVE DATE. NHEREAu, the City of Miami wishes to align its lobbyist �:ia..L.�;tation and reporting provisions to those provided in :.-:.c1 11.04.1 # Florida Statutes; 001VI, THEREFORE, BE IT ORDAINED BY THE COMMISSION OF THE -CITY (J' 141AMl, F'LORIDA s Section 1. Sections 2-313, 2-3141 2-316, 2-318 and 2-319 the Code of the City of Miami, Florida, are hereby amended in tW following particulars:l� ?/ Words -and/or figures stricken through shall be deleted. .nderscored words and/or figures shall be added. Remaining provisions are •now in effect and remain unchanged. Asterisks indicate omitted and unchanged material. 34- 352 "Sec. 2-313. Definitions. As used in this article: "LOBBY" or "LOBBYING" means any attempt by an individual to influence City officials (whether by private interview,, -postal or telephonic communications or by any other means) to express support for or opposition to any_ ordinance, resolution, decision or action of the City Commission; or any resolution, action, recommendation or decision of any City board or of the CityManager or City staff. "Lobbyist" means all paid pereons,, firms, earperatimm any person or entity acting on behalf of a principal, who lobbies. seek to encourage the • defeeb, resolution,eity eownia9ion; or any action, AeP41joik at we,eemm-enda--Ion of any eity board at eommittee, or a" inn • e or— emnibbee; or any Metio.111 decision, —or or reeornmendabion of any city beard beard of eommittee. "Lobbyist" specifically includes any agent, officer or employee of a principal, regardless of whether such lobbying activities fall within the normal scope of employment of such agent, officer or employee. "Lobbyist" also means any member ofhike-staff of wno appears as _a __member of a presentation team representing the interests or I involved in, but not limited to, proposal, invitation to bid, or with the City. Presentation tea are not limited to, architects, architects, land surveyors, and c -2- v igineers, r professi 8 '34— 352 "Lobbyist" does not mean airy a person who merely appears before the eCity eCommission, eCity board or co;waittee, or the eCity &anager in an individual capacity for the purpose of self -representation or for ..}te--re re4Irtb&rsement to express support for of or 4rn opposition to any ordinance, resolution, decision or action of the city commission; or any resolution, action] recommendation or decision of any eCity board or committee; or any action, decision or recommendation of the eCity jiManager or any member of his/her staff. -LB6bbyietm does IkOb Mean a pereen who, the term-- --f -a eelleetive bargaining evreementp he* eo . "Person" means an individual, entity, corporation, partnership, firm, association, committee, club, or organization, whether or not operated for profit. Principal means the person, firm, corporation, or other entity, whether for profit or nonprofit, which has enp!eyed --ter retained a lobbyist and pays sue! lebbyiet any remuneratien or expenses for labbying "Government employee" means an agent of government, whether elected, appointed or hired, paid or unpaid, who is acting on behalf of the United States, the State of Florida, its agencies, political subdivisions, special districts. counties. or "Compensation" means money or anything of cial benefit received in return rmannn of 1^V%I'1Y,4n" not4%V4}{nm " "Sec. 2-314. Registration and Exclusions. (a) bobbyiets shallp before enwaying' in sueb register with the city C-lee-sak's =f�-: A person may, not lobby a City official, board or committee member. or Citv staff until such Derson ..as registerea as a loDDyist wltn the city cierx. 5ucn registration shall be due initially upon being retained to lobby, and definitely, always prior to any type of lobbying activity, and is renewable on a calendar year basis thereafter. The annual registration fee for each lobbyist shall be One Hundred Dollars ($100.00)_. Regardless of a given date of registration, all lobbvists' registrations shall expire December_31st of -3- 34- 352 ach cal alendar sha newable on a 16 :1I�taf-��tt...�t�=ila��L•t-t �t�-r-i-�t-��i_*�-1-i-s�•f ti��tti�•�u-tam-tf.t separate regiebration is required for eftCh PrinLiLD&I represenbed. Every person required to register shall ,(1) register on forms prepared by the city clerk, _ (2 ) pay a registration fee of One Hundred Dollars ($100.00), and (3) state under oath his or her name, business address, the name and business address of each principal who has employed said registrant to lobby, and the specific issue on which he or she has been Employed to lobby.• If the lobbyist represents a,,' corooration, partnership or trust, the chief officer, partner or beneficiary shall also be identified. Without limiting the foregoing, the lobbyist shall also, identify all persons holding, directly or indirectly, al five (5) percent or more ownership interest in such' corloration, partnership, or trust. - A separate': registration is required for each principal represented and for each issue represented. Thereafter, a separate,. recistration form shall be filed by the lobbyist, and an additional fee of $25.00 shall be required of each lobbyist for each separate principal represented. Initially, all lobbyists shall register on or before April 1, 1993; and thereafter, in accordance with the provisions of this ordinance. (c) In addition, every registrant shall be required to state under oath the extent existence of any direct or indirect business association.L or fif.kebiker as an ageneyi r d, committee and the city manager or. with any eurrent member of bike city partnership, or financial relationship with any City official, board member, or City employee before which he lobbies, or intends to Iobbv. The city clerk shall prepare a log on a c�unrterly and an annual basis reflecting the lobbyist reafstrations filed in accordance with this section. T clerk shall prepare a log during the first quarter -4- 34-r 352 each calendar year, or as soon as practicable after effective date of this ordinance. All logs uired by this ordinance shall be prepared in pliance with Section 11.045 of the Florida Statutes. members of the City Commission or City boards, and y staff shall be diligent to ascertain whether sons required to register pursuant to this section have complied. Commissioners may not wingly permit a person who is not registered suant to this subsection to lobby the Commissioner, any relevant committee or board. In addition to the istration requirement in (b) above, a separate istration form and an additional fee of S25.00 shall sucn issue snaii De aescripea witn as much aetaii as is practical, including, though not limited to, a specific description -(where applicable) of a pending request for eproposal, invitation to bid, ordinance, resolution, a given item on the agenda, etc. The city clerk or the clerk's designee shall reject any registration statement which does not provide a clear description of the specific issue on which such lobbyist has been employed to•lobby. Registration of all lobbyists shall be required prior to any lobbying activity conducted by them before the City Commission as a body, or by _prroaching one or more Commissioners personally, any boards or committees, the City Manager or any member of City staff. Each person who withdraws as a lobbyist for a particular principal shall file an appropriate notice of withdrawal concerning representation for that principal. All registration fees required by this section shall be deposited by the clerk into a separate account and shall be expended for purposes of recording, transcription, administration and/or any other associated costs incurred in maintaining these records for availability to the public. There shall be no fee required for filing a notice of withdrawal. The City Commission may, in its discretion, waive the registration fee in demonstrated instances of financial hardship. The validity of any action or determination of the city commission, or any other city* board or committee shall not be affected by the failure of any *person to comply with the provisions of this section. The following. persons shall not be required to register as lobbyists: government employees anti/or law enrorceme nersonnel discussing government business; -5- 94- 352 .(2) (3). L1 Foreign dignitaries auoearina in their official capacity; any person appearing strictly on his/her own behalf or solely to provide factual information requested by a member of the City Commission or a ,(e) The following persons shall be required to register but will be exempt from paying the fee: .(�1, person who, pursuant to the terms of a collective bargaining agreement, has been designated and is so recognized by the City as a representative of a collective bargaining unit composed of City employees; (22) a person(s) appearing before the Commission committee, or board on behalf of the community's interest, as a volunteer and without compensation, representing the position of a bona fide community organization such as a taxpayers' association, a civic or homeowners' association, a public interest group, a chamber of commerce, or a merchants' association. (df) All registration forms shall be open to the public upon the filing thereof." "Sec. 2-316. Annual statements. IWO ME 94- 352 A lobbyist must submit to the city clerk's office, annually, a signed expenditure report summarizing ET-s her lobbying expenditures, including meals, entertainment, gifts for public officers and employees 'far the preceding calendar year. This statement of expenditures, entitled Annual Financial Report, shall be due on January 15 of each year. Lobbying expenditures shall not include personal expenses for Io6ging, meals, travel, salary, and office expenses. An Annual Financial Report shall be filed even if there '=ve been no expenditures during the preceding calendar year. Such statements shall be rendered on the form provided by the city clerk's office and shall be open 1-^ ,1.}i1I i n 4 nnYven4 i ^h " "Sec. 2-317. Advisory opinions. (a) A lobbyist, when in doubt about the applicability and interpretation of this article in a particular context, shall submit in writing the facts for an advisory opinion by the city attorney. The city attorney shall render advisory opinions to any lobbyist who seeks advice as to whether the facts in a particular case would constitute a violation of this section. All advisory opinions of the city attorney shall be numbered, dated and furnished to the city clerk's office and shall be open to public inspection. (b) The city clerk's office shall keep all advisory opinions of the city attorney relating to lobbyists and lobbying activities, as well as a current liat of registered lobbyists and their respective reports required under this article, all of which shall be open for public inspection." "Sec. 2-318. investications of vessible vViolations. TY l-SR'W-f JAI Any lobbyist who fails to file the Annual Financial Report by the January 15th deadline each KFs Upon v the city clerk certified letter day following r -lox'_ivist fail failure to file b ,mmediately send ti tine filing within of the communicatii ioly with this s -7- a lobbyist, lobbyist a ve business . Should a 94- 352 deadline, said lobbyist's name shall be automatically removed from the list of active lobbyists. Should said individual wish to reoister again, he/she shall submit regulrea une munarea Dollars (Sauu.uu) registration ree plus any and all outstanding fines prior to being reinstated as a lobbyist. (c) The City Clerk shall submit a report to the City Commission as to those lobists who failed to comply with registration and or the annual filing requirement of this ordinance. The Citv Commission st " s Section 2. New Section 2-319 is hereby added to the Code of the City of Miami, Florida, as amended, as follows: "Sec. 2-319. Contingent Fees. No person shall retain or employ a lobbyist for compensation contingent in whole or part upon the passage or defeat of any legislative or administrative matter, and no person shall accept any such employment or render any service for compensation contingent upon the passage or defeat of any legislative or ' arin�inia4r�*�.se .niltew " Section 3. All ordinances or parts of ordinances insofar as they are inconsistent or in conflict with the provisions of this Ordinance are hereby repealed. Section 4. If any section, or 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 5. This Ordinance shall become effective thirty (30) days after final reading and adoption thereof. -8- 04- 352 ' PASSED ON FIRST READING BY TITLE ONLY this 14th day of January , 1993. PASSED AND ADOPTED ON SECOND AND FINAL READING BY TITLE ONLY this day of , 1994. STEPHEN P. CLERK, MAYOR ATTEST: MATTY HIRAI CITY CLERK PREPARED AND APPROVED BY:' 11 ASSISTA7AS Y ATTORNEY `` APPROVEO FORMAND CORRECTNESS: AO A. QU J , III CITY ATTO RI:bf:M963 -9- ;4" 352 ATTACHMENT City of Miami Records Management Vequirements Survey Findings and Recomendations 8/ AMv There are many other examples of potential savings possible through technology: reduction of risk, increased security of records, better disaster preparedness, better decisions made possible by more complete and timely information, and many more. These additional benefits notwithstanding, this review clearly indicates that by embracing imaging technology, the City of Miami would enhance its effectiveness, improve service to its citizens and realize significant savings. Every year of delay in implementing this solution is an opportunity lost and millions of dollars of potential savings wasted. Clearly, the time for action is now. V - IMPLEMENTATION PLAN Because of the reasons presented in preceding sections, DMC recommends that the City of Miami select Option IV and begin the implementation of imaging technology in the near future, and avail itself of savings and productivity gains possible with this state-of-the-art technology. To create an environment which will assure that system implementation is accomplished in a deliberate and controlled manner, the project should be subdivided into three phases. Phase 1 included a mini -survey of City of Miami's Records Management Requirements and it will be completed with issuance of this report. Phase 2 should include a detailed system design, development of a plan for procurement and implementation of a new records management system and installation of one or more pilot systems. Phase 3 should entail a multi -year system implementation project. The scope of work associated with Phase 2 is outlined below. To optimize utilization of City's resources, the system design and implementation plan should be developed by a joint project team composed of City of Miami and DMC personnel. Task 1- Design Basis Chy's staff will assemble sample documents and, where appropriate, develop charts defining document life cycles and responsibilities for their creation, modification, storage, access, use and destruction. In addition to charts, they will document attributes and relationships of City's records; management information requirements; strengths of current systems and practices and areas requiring improvement; estimates of existing volumes of documents and annual additions; frequency of access to each document type; volume of hard copy output, filing space requirements and other relevant inforiation. Upon completion of the review, the project team will identify classes of documents to be included into the new records management system and prioritize system implementation by Office/Department rand document category. DMC will provide technical support to the City staff as required. Page 12 94- 352 ' City of Miami Records Management Requirements 4 Survey Findings and Recomendations Task 2 - System design The project team will develop system design and prepare a project plan. System design will include a complete specification of hardware _ and software components. The design will be modular, so that the ' system may be implemented gradually and expanded to accommodate growth of City's requirements and availability of resources. In addition, this task will include review of budgetary constraints and development of a plan for Phase 3 of the project. The system implementation plan will subdivide Phase 3 into several sub -phases, provide a detailed cost estimate for each sub -phase, and schedule implementation of the system in accordance with the list of priorities and budgetary constraints. Task 3 - Pilot System In parallel with Tasks 1 and 2, DMC will begin implementation of pilot imaging systems at the Fire Department and the Office of the City Clerk. This effort wiU entail development of a Technical Requirements document for inclusion with City's RFP, and technical support during the procurement, installation and testing of pilot systems. DMC anticipates that the system will entail several modules including, but not limited to the following: • Data entry subsystem (scanning, optical character recognition, electronic file import, facsimile import and image annotation) • Full text database subsystem (full text and pseudo -relational database generation and maintenance, indexing and retrieval) • Relational database subsystem (off -the -shelf SQL database preferred by the City of Miami) • Workflow management subsystem (electronic forms management, electronic signatures and rule -based document routing) • Desktop publishing subsystem (import of text and image files into word processor/desktop publisher, text and image manipulation, compound document editing and output) • Engineering document management subsystem (drawing input, processing and management; drawing view/markup; CAD, etc.) • Output subsystem (viewing, printing and outgoing facsimile) • Communications subsystem (LAN, WAN abd electronic mail) DMC will recommend to the City of Miami those subsystems and equipment that are best suited to City's operating environment and specific requirements. Wherever appropriate, the system will include existing equipment and software, and new components used only when required to achieve desired functionality. If the City decides to implement full text management capabilities, DMC may recommend the award -winning Questys Text and Image Management System, a proven imaging product used by numerous government agencies. Page 13 CaBLeTRon SYSTMSIMC. r ' The ComplWo Networking Solutlon" May 4, 1994 Walter P'oeman _ Miami;City of Office Of City Clerk Po Box 330708 Miami, FL 332330708 Dear Walter, ATTACHMENT i 35 Industrial Way P.O. Box 5005 Rochester, NH 03867-0505 1603) 332-4400 Thank you for your interest in Cabletron Systems, the leading intelligent hub vendor and fastest growing local area networking (LAN) company in the industry. Cabletron has built a reputation for developing consistent technological advancements, manufacturing quality products, and providing unparalleled service to the networking industry. By supplying our customers with flexible, standards -based connectivity and network management solutions for Ethernet, Token Ring, FDDI, and ATM, we have quickly become a major force in the networking industry. Since 1983, our product offerings have grown to include more than 100 connectivity products: break -through network management software; intelligent wiring hubs; interconnetion equipment; SNMP-manageable adapter cards; bridges; repeaters; transceivers; diagnostic test instruments; transmission media, components, and accessories. Our commitment to standards and sensitivity to customers' needs is the driving force behind Cabletron`s success. A force powerful enough to create a vital, growing install base of more than three million nodes and propel our revenues to more than $418 million for fiscal year 193. If you have any questions after reviewing the enclosed material, please do not hesitate to call. Sincerely, Michael R. Thomson Sales Representative 603-337-2123 94- 352 i a CaMe /(R��iV/'�n 1SI�..► 1 Sine. The Complete Networking Solution" 35 Industrial Way P.O. Box 5005 Rochester, NH 03867-0505 (6031332-9400 April 11, 1994 FLORIDA R2FU1 NCaB COULTER CORPORATION Miami, FL MMACs, DNI Cards, 400+ nodes Joe O'Rourke (305) 380-2629 108ase-T, Token Ring, Mgt. CARNIVAL CRUISE LINER Miami,, FL Doug Eney (305) 599-2600 X 5048 ROKE 5X0PPXXQ NSTAORE Clearwater, FL Kolt Johnson (813) 572-8585 X 4570 BELL •OUTH Jacksonville, FL Fred Alterman (904) 350-2774 GTE TELSPZONE Tampa, FL Tom Smith (813) 224-6040 Bob White (813) 224-6219 BLOCKBUSTER ENTERTAINKZUT Fort Lauderdale, FL Kevn Allaway (305) 970-9100 MMACs, DNI Cards, T1 Bridges, Management, 300 109ase-T nodes MMACs, MRX-2s, DNI Cards, Management, 600 10Base-T nodes Standardized on Cabletron, corporate -wide 175 MMACs, 4000 nodes, management 7 MMAC-BFNBs, 7 TR Management Modules, DNI Cards, TRMIM-24As, Remote Lanview UNIVERSITY OF KIAKX - KZDICAL VXTiiOR>I SNRVIXCN. Miami, FL MMACs, DNX Cards, 1500 users, Fiber, 108ase-T, BNC Reeza Rossie (305) 547-6475 UNIVERSITY OF FLORIDA Gainesville, FL Patricia Hanna (904) 392-6382 UNIVERSITY OF SOUTB FLORIDA Tampa, FL John Moore (813) 974-5369 MMACs, DNI Cards, Management, 400 1OBase-T nodes MMACs, DNI Cards, Management, 400 10Base-T users NOVA ONIVNRBITY Fort Lauderdale, FL Arelys Catena (305) 424-5774 PV8LS8HaNG ORLANDO UNTIML Orlando, FL Bob Stramburg (407) 420-5085 202111TALe 88AND8 MOSPITAL Gainesville, FL Rick Brown (904) 395-0410 PAL![ DRACH GARDSK XZDICAL CZXTER Palm Beach Gardens, FL Marvin Santertiet (407) 694-7141 rxmcIAL RAYMOND DIMS St.'Petersburg, FL MMACs, ETSMIMs, 300 Nodes 1OBase-T, Management MMACs, Active TR Boards, Management, 100+ Token Ring nodes MMACs, DNI Cards, Management, 400 10Base-T users MRXis, PCOV, 55 10Base-T nodes MMACs, DNI Cards, MRX-2s, Transceivers, Management, 300 nodes Deborah Brock (813) 573-3800 AKHRICAN EYPRX88 Fort Lauderdale, FL MMACs, DNI Cards, Management, 100 10Base-T nodes Ray Sharp (305) 473-7775 R'1'ATH. LOCAL. TZDHRAL A'iD2QEUXX= REFSRHiiCNB CITY OF TALLAHA8822 Tallahassee, FL MMACs, 1OBase-T, Transceivers, Routers Joe Kaperak (904) 599-8528 XVRL88RT FI81D Colonel Mike Langlois (904 884-2450 tLORIDA DzPT. OF Law Tallahassee, FL Jim Wright (904) 480-6041 BVERGLADB NATIONAL PARK Homestead, FL David Buker (305) 242-7800 MMACs, DNI Cards, Management MMACs, DNI Cards 34- 352 BROWARD COUNTY 88E1IFF'S OFFICE Fort Lauderdale Elvin Lopez (305) 765-8900 3� MMACs, DNi Cards, ETSMIM FLORIDA AUUS1tCES COULTER cORPOiv1TION Miami, FL MMACs,DNI Cards, 400+nodes Joe O'Rourke (305)380-2629 108ase-T, Token Ring, Mgt. CARNIVAL CRUI8E LINE8 Miami, FL Doug Eney (305) 599-2600 X 5048 MMACs, DNI Cards, Ti Bridges, Management, 300 108ase-T nodes ZONE BROPPING NETWORK Clearwater, FL MMACs, MRX-2s, DNI Cards, Kolt Johnson (813) 572-8585 X 4570 Management, 600 lOBaae-T nodes BELL NOMM Jacksonville, FL Fred Alterman (904) 350-2774 GTE,TELMONE Tampa, FL Tom Smith (813) 224-6040 Bob White (813) 224-6219 BLOCKBUSTER BMTERTAIM MT Fort Lauderdale, FL Xevn Allaway (305) 970-9100 Standardized on Cabletron, corporate -wide 175 NMACs, 4000 nodes, management 7 MMAC-8FNBs, 7 TR Management Modules, DNI Cards, TRMIM-24As, Remote Lanview UNIVERSITY OF MIMI -MEDICAL NETWORK BERVICES Miami, FL MMACs, DNI Cards, 1500 users, Reeza Rossis (305) 547-6475 Fiber, 10Base-T,.BNC UNIVERSITY OF FLORIDA Gainesville, FL MMACs, DNI Cards, Management, Patricia Manna (904) 392-6382 400 10Base-T nodes UNIVERSITY OF 80UTN FLORIDA Tampa, FL MMACs, DNI Cards, Management, John Moore (613) 974-5369 400 lOBase-T users 94- 352 , ` ame on �Ysrems,�c. The Complete Netaror" Solution" FLORIDA RstERSNC38 • GTE - Tampa 150 MMAC's, over 3000 users • Martin Marietta - Orlando 50 plus MMAC's, over 1000 users • CSX Railroad - Jacksonville S MMAC's, over 500 users • Raymond James - Tampa 12 MMAC's, 900 users • University of Florida - Gainesville 40 MMAC's, 3000 users Universities Univ. of South Florida Florida State Univ. of Central Florida Univ. of North Florida Florida International Univ. Florida Atlantic University University of Miami Stetson University Nova University Tam2a Say GTE Mobilnet -Home Shopping Network . Critikon Kash N Karry Veteran's Admin. Medical Center Precision Software Honeywell Hercules Defense Lakeland Ledger Pinellas County Schools Osceola County, Board of County Commissioners NASA Orlando Sentinel Harris Controls i Composition Westinghouse 35 Industrial Way P.O. Box 5005 Rochester, NH 03867-0505 (603) 332-9400 April 11, 1994 Ethernet Ethernet Token Ring Ethernet Ethernet CW I %V%Af% I QV%SA o%® Nnjbl4 frP%r%* I A Grumman Aerospace Lockheed Space Systems Tupperware International Rockwell International General Mills Holmes Regional Ned. Center McDonnell Douglass NCR AAA World Headquarters Patrick Air Force Base Jacksonville U.S. Postal Service St. John's River Water Duval County Schools City of Jacksonville Miami/Ft. Lauderdale Carnival Cruise Lines Motorola Broward School Board Naval Underwater Systems Center GE Government Services Public Defender's Office of Miami Baxter Diagnostics Encore Computer Modcomp Pratt i Whitney North Miami Medical 94- 352 jA-. FLORIDA REFERENCES, CONT'D Pensacola Gulf Power City of Pensacola Hurlbert Field Elgin Air Force Base Kiami/Ft.L•auderdale Cont•d Coulter Electronics US Coast Guard Martin Memorial Hospital Tallahassee City of Tallahassee Centel Florida Dept. of Law Enforcement Leon County, Board of County Commissioners Florida Dept. of Corrections Florida Dept. of Highway Safety i Motor Vehicles 94- 352