1. Policy and Financial Management
   • What is the size, volume, dates, and arrangement of records?
   • What is the function of the office?
   • What programs does the office create?
   • How are decisions and policies made?
   • Where are decisions and policies documented (office of record)?
   • What types of records document decision-making and policy creation (meeting minutes, notes, task force minutes and reports, draft decisions and policies)?
   • What types of records document decisions and policies (e.g., meeting minutes, policy issuances, reports)?
   • Who receives copies of decision and policy documents?
   • What is the reporting structure of the office?
   • Where is the budget planning, advocacy and submission process managed?
   • Does the office raise funds independently from the Smithsonian?
   • Does the office receive endowment funds?
   • Does the office channel budgetary and financial records through central Smithsonian administration (e.g., OPMB, OC, OCon)?
   • Does the office produce annual financial reports?

2. Human Resources
   • What is the size, volume, dates, and arrangement of records?
   • Does the office channel personnel matters through central Smithsonian administration (e.g., OHR, OEEMA)?
   • What types of records are contained in the personnel files?
   • Does the office create its own personnel manuals and/or training manuals?
   • Does the office recruit staff independently of central Smithsonian administration (e.g., OHR)?
   • Does the office have personnel selection committees? Does the committee produce documentation of the selection process (e.g., minutes, reports)?

3. Facilities Management and Safety
   • What is the size, volume, dates, and arrangement of records?
   • Does the office employ the Smithsonian Office of Facilities Engineering and Operations for all renovation, construction, and horticultural design projects?
   • Does the office produce unique renovation, construction or horticultural design and development records unique from OFEO records?
   • Does the office create and maintain contracts and documentation of contractual relationships concerning renovation, construction, horticultural/grounds maintenance, or security?
   • Does the office conduct fundraising for construction independent of central Smithsonian administration?
   • Does the office employ the Smithsonian Office of Protection Services for all security issues?
   • Does the office's security staff create policies or records unique from OPS?

4. Public Programs and Development
   • What is the size, volume, dates, and arrangement of records?
   • What programs does the office create?
   • What publications does the office create?
   • Does the office produce a website? Where is it maintained?
   • Does the office have its own public affairs division?
   • Does the office report visitor statistics to the Deputy Secretary/Chief Operating Officer, or does it record those statistics independently?
   • Does the office produce an annual report?
   • Does the office produce a calendar of events?
   • Does the office have its own membership division?
   • Does the membership division produce annual demographic analyses and membership plans?
   • Does the office have its own development division?
   • Does the office conduct fundraising campaigns or capital campaigns independent from central Smithsonian administration?
   • Does the office have its own special events division?
   • Does the special events division coordinate major unit-level or Smithsonian-wide events?
   • What types of records document the planning, development and production of the office's programs and events?
   • Where is the planning, development and production of the office's programs and events best documented?

5. Institutional Information Management
   • What is the size, volume, dates, and arrangement of records?
   • Does the office have its own information technology division?
   • Does the office create significant technology systems, programs and special projects (systems other than routine technology administration, e.g., email, local area networks)?
   • Does the office develop and/or create policies regarding information management (e.g., technology management and security, records management)?
   • Are the policies Smithsonian-wide, or unit-wide?
   • Does the office produce annual reports?

6. Legal Management
   • What is the size, volume, dates, and arrangement of records?
   • Does the office employ the Smithsonian Office of General Counsel for all legal business and activities?
   • Does the office maintain original records of gifts, bequests, deeds, wills, or estates, including lease agreements?
   • Does the office employ the Smithsonian Office of Equal Employment and Minority Affairs for all discrimination and hiring concerns?
   • Does the office maintain original copyright, patent, trademark or license records?
   
   
7. Institutional Assessment
   • What is the size, volume, dates, and arrangement of records?
   • Does the office produce annual reports?
   • Does the office employ the Smithsonian Office of the Inspector General (OIG) for all financial audits?
   • Does the office maintain any records of financial audits unique from OIG?
   • Does the office participate in audits or self-assessments of their programs?
   • What records document program audits (e.g., staff evaluations of programs; outside task force or contractor assessments, reports, and recommendations for programs; internal review committee meeting minutes and reports)?

B. Acquiring and Maintaining the National Collections

1. Acquisition of Collections
   • What is the size, volume, dates, and arrangement of records?
   • What is the office function?
   • What is the organizational structure of the office?
   • To whom does the office report?
   • Does the office have a published collections policy? (If yes, ask for copy)
   • Does the office have a collections information filing system in place?
   • Where is the filing system?
   • What type of records are created and how are they arranged in the system?
   • Does the office produce records of gifts and bequests? If yes, what do these records include?
   • How does correspondence relate to the acquisition of collections? Is it filed with the accession files?
   • What is the estimated yearly accumulation of the records?
   • Does the office prepare and submit year-end reports on acquisitions?

2. Conservation and Preservation of Collections
   • What is the size, volume, dates, and arrangement of records?
   • Does the office maintain records on preservation and conservation of the collections?
   • If yes, what type of records are maintained? Do they include correspondence, summary reports, or photographs of collections?
   • What do the records document? (e.g., conservation policies and training; grant and other funding; processing and physical care of collections; facilities and holdings maintenance, etc.)
   • Does the office produce condition reports? If so, are they different from those in conservation or registration?

3. Intellectual Control of Collections
   • What is the size, volume, dates, and arrangement of records?
   • Does the office have records documenting intellectual control of the collections?
   • What types of records does the office produce? (e.g., accession records; curatorial correspondence pertaining to research of collections; photographs and scientific illustrations of collections; final reports and/or summary proposals; needs assessments; loan records, etc.)
   • How are the records maintained? Where?
   • What is the relationship, if any, between the office and the Registrar?
   • What makes the records unique?
   • If the office maintains accession records, how are they different from the records kept by the Registrar?
   • Does the office maintain deaccession records? How are they different from records kept by the Registrar?
   • If the office maintains loan records, how are they different from the records maintained by the Registrar?
   • Does the office maintain records on objects currently on exhibition? If so, are these records different or the same as those kept by the Registrar, curatorial offices, design office, and the exhibition office? Are copies of these records sent to any of these offices?
   • Does the office produce image files? Why (e.g., study, reference, security)?
   • In what format are the image files (e.g., digital, prints, negatives, tranparancies)?
   • Who in the office is responsible for handling rights and reproduction?

C. Conducting and Supporting Original Research

1. Research
   • What is the size, volume, dates, and arrangement of records?
   • What is the organizational structure of the department? Do they have a mission statement? (If yes, ask for a copy)
   • What are the reporting lines for the department and the research scientists?
   • Is there a list of research projects outlined in the annual report?
   • Are there departmental records documenting research planning?
   • Are there minutes of departmental planning meetings? If so, where is the record set of minutes filed?
   • Are there departmental summary reports of research activities? If so, where is the record set filed?
   • Does the office produce any publications or a departmental newsletter? If so, where are the record sets of these publications or newsletters filed?
   • Does the office produce field notes/notebooks?
   • Are field notes/notebooks associated with a specific collection made using SI funds or on SI time? Which collection? Inclusive dates?
   • Are there unpublished manuscripts (final drafts)?
   • Are there drafts of manuscripts with substantive, content-based comments?
   • Does the office produce image files associated with collections or research?
   • In what form are the image files (e.g., digital, prints, negatives, transparencies)?
   • Are image files originals? If not, where are original image files retained (with the registrar/Image R&R)?
   • How are these images used (e.g., study, reference, security)?
   • Does the office have unpublished illustrations associated with research? (Do not want illustrations/plates that have been published.)
   • Are there nomenclature notes or lists?
   • Are there professional activities files directly related to research (e.g., ephemera, conference/symposia/workshops attended, manuscripts of lectures/papers given [final drafts], slides/photos).
   • Is raw data present in the files? If so, raw data should remain in the department with associated collections.
   • What is the significance of the raw data?
   • How is raw data stored (e.g., cards, electronically, etc.)?
   • What is the format of raw data stored in electronic form? How is it backed up?

2. Support and Funding of Research
   • What is the size, volume, dates, and arrangement of records?
   • Does the office have records of funding proposals (final drafts)?
   • Does the office have records of accepted and rejected grant proposals? Are they filed together or separately?
   • Are there records of final grants?
   • How are funds transfers documented? What goes to OC, OSP or OCon? Who administers research funds (e.g., grants, contracts, etc.)?
   • Who is the office of record for funds transfers? Does the department have originals or copies of financial documentation?
   • Is there correspondence with research sponsors?
   • Is there general correspondence with colleagues regarding research?
   • Is there significant departmental correspondence/memoranda regarding the funding or the research projects?

3. Evaluation or Review of Research
   • What is the size, volume, dates, and arrangement of records?
   • Are there technical reports relating to research methodology, techniques used/developed, etc.?
   • Does the office produce an annual report? Where are the record sets of these reports filed?
   • Are there summary reports regarding grant/funding activities? Audits?
   • Are there progress reports?
   • Does the office produce annual reports or financial reports? Office of record?
   • Are there reports regarding grant/fellowship funding?
   • Are there summary/final reports regarding research?
   • Are there departmental review committees?
   • Are there minutes or reports from departmental review committee meetings?
   • Are there minutes or reports regarding peer review committee meetings?
   • Does the office conduct PAEC reviews?
   • Who maintains the PAEC files?
   • Where are the PAEC files stored?

D. Diffusing Knowledge

1. Exhibitions
   • What is the size, volume, dates, and arrangement of records?
   • Who maintains the most complete set of exhibition proposals? How are they arranged? Are rejected proposals filed with accepted proposals? Are the proposals included with the minutes of the Exhibition Committee? Do the minutes of the Committee include discussion of proposals that were eventually rejected for exhibition?
   • Who maintains the most complete set of the Exhibition Committee meeting materials? What types of records do they include?
   • How are exhibition files organized? What is included in the files? How are the files unique? Can non-enduring records be easily weeded from the files?

2. Productions
   • What is the size, volume, dates, and arrangement of records?
   • Does the office have summary reports of production activities?
   • What records best document the planning and development of the publication? (This does NOT include the routine administration of the production process).
   • Are there committee meeting materials? If so, what is included in them?
   • Who has the most complete set of publications?

3. Events
   • What is the size, volume, dates, and arrangement of records?
   • Is there a central file system?
   • How is the office organized? Who is responsible for organizing events?
   • How are event files organized? Can non-enduring records be easily weeded?
   • Does the office produce a calendar of events (or something similar)? If so, what information is included? How is it maintained? How often is it produced? If not, are events featured/listed elsewhere and with which office (VIARC, TSA, etc)?
   • How are invitation lists maintained?
   • What is unique about the event files?
   • What kinds of events does the office sponsor?
   • Is there a record set of all event notices, announcements, invitations, and other ephemera filed separately from the event files?
   • What types of records can be found in the event files?
   • Is there a list or summary of all events that the office sponsored? If so, what information is included in that list or summary?
   • Are there committee meetings? If so, are there minutes?