Appraisal Methodology
Appendix D: Standard Questions to Ask When Conducting
Records Surveys and Appraisals

The records survey and appraisal process is divided into three distinct segments: research and preparation before visiting the office; inquiries made during an office visit; and follow-up questions asked after an office visit. The answers gathered during the process provide the basis for later appraisal decisions.

The following questions were compiled to assist Archives staff in accomplishing as comprehensive a survey and appraisal of records as possible. The questions address issues of function, organization, specific records created and filing systems.

1. RESEARCH AND PREPARATION: Before the Office Visit

   Organizational Structure

   • What is the office mission and/or function? Do you have a written mission/function statement? If so, how may we acquire a copy?
   • What is the organizational structure of your office? Do you have an organizational chart? If so, how may we acquire a copy?
   • Is the department organized into divisions or sections? If so, what are the divisions/sections? What are their mission/function?
   • What are the office reporting lines? To whom does one report?
   • Does the office have a staff of interns, fellows, or volunteers?
   • How many staff members are in your office? Do you have a staff listing? If so, how may we acquire a copy?
   • Are there office committees? If so, what are they and what are their missions/functions?
   • Has a departmental history or overview ever been written? If so, how may we acquire a copy?
   • Where does the office fit within the four SI functions?
   • Does the department operate special programs? What are they?
   • What is unusual or unique about the department? Why?
   • What is most important to document about the office? Why?
   • Does the office receive funding through grants or other outside sources? Please explain.
   • Does your office submit information about your volunteers, interns, and fellows to another SI office (e.g., OSP, VIARC, OFG, etc)? If so, what do you submit?

   Filing Systems

   • Does the office maintain central files?
   • If the office maintains central files, where are they located in the office? Are they in one location?
   • Does the office have a file plan? (If so, ask for a copy)
   • Are non-current central files stored in another office storage facility? If so, where are non-current office records also stored?
   • Does the office have vertical (upright) or lateral file cabinets for central files? How many cabinet drawers do the files currently occupy?
   • What is filed in the central files?
   • Who in the office is responsible for maintaining the central files?
   • Does the individual responsible for maintaining the central files also decide what records are to be filed there? Who makes this decision?
   • Who uses the central files?
   • In filing records, are duplicate copies maintained by office staff?
   • Describe the structure and method of the central filing system now in place (e.g., alphabetic, subject, numeric, project number, chronological).
   • What is the estimated yearly accumulation of the records?
   • What are the overall dates of non-current central files?
   • How frequently are the central files records used?
   • How old must records be before they are considered non-current and sent to storage?
   • How does the office keep track of what is sent to storage?
   • What is the overall cubic footage of non-current records?
   • Based on a file plan or not, describe the structure and method of the office filing system currently in place (e.g., alphabetic, subject, numeric, project number, chronological).
   • How does the office decide when and whether to weed out files? Is this decision made by individual staff members or administration?
   • How does the office decide when to set up new files?
   • How does the office decide when to send records to the Smithsonian Institution Archives?

   Records Created or Maintained

   • Does the office produce annual reports?
   • Does the office produce photographs or other audiovisual materials?
   • Does the office participate on committees?
   • Do committees produce minutes? Where are the record sets?
   • Are there minutes to staff meetings? Where is the record set?
   • Does the office produce press releases and/or press reviews?
   • Does the office keep visitor logs?
   • What is the volume of the record series?
   • What are the inclusive dates of the record series?
   • What is the estimated annual accumulation of the record series?
   • What is the office's function?
   • Does the office generate organization charts?
   • What is the organizational structure?
   • Does the office have a schedule?
   • Is there documentation for electronic records, or an electronic record keeping system? Is there sufficient documentation that will ensure that future users of these records can access and understand the records? Is the documentation in paper or electronic format? (For example, documentation can be a printout of a disk directory, a user manual for a database, program codes for a database, or a list of database fields and descriptions of those fields.) What has been transferred in the past from this office?
   • Does the office have policy and/or procedure manuals?
   • What series document the office's function? - Check the appendices in the Appraisal Criteria for a listing of typical records produced as an expression of the office's function.
   • How do the records document office activities? SI activities?
   • Does the activity have significance outside of the SI?
   • What do the records document and how? Who created the records?
   • What have we appraised in the appraisal log from this office, or that is similar to series within this office?

   Electronic Records Created or Maintained
   [Try not to think of electronic records as a record type, but as a record form.]

   • What kinds of electronic records does the office create and maintain?
   • What is the function of the electronic records?
   • What types of electronic records (e.g., meeting minutes, correspondence, memoranda, word-processed documents, databases, email, web sites, graphic design files, image files, audiovisual records)?

2. RECORDS EXAMINATION: During the Office Visit

   Organizational Structure

   • What are the office reporting lines? To whom does one report?
   • Are there office committees? If so, what are they and what are their missions/functions?
   • Is a function better documented elsewhere? If so, where?
   • Does the department operate special programs? What are they?
   • What is unusual or unique about the department? Why?
   • Does the office receive funding through grants or other outside sources? Please explain.
   • Does the office submit information about volunteers, interns, and fellows to another SI office (e.g., OSP, VIARC, OFG, etc)? If so, what is submitted?

   Filing Systems

   • Does the office have vertical (upright) or lateral file cabinets for central files? How many cabinet drawers do the files currently occupy?
   • In filing records, are duplicate copies maintained by office staff?
   • Describe the structure and method of the central filing system now in place (e.g., alphabetic, subject, numeric, project number, chronologic).
   • What is the estimated yearly accumulation of the records?
   • How does the office keep track of what is sent to storage?
   • Based on a file plan or not, describe the structure and method of the office filing system currently in place (e.g., alphabetic, subject, numeric, project number, chronologic).
   • How does the office decide when and whether to weed out files? Is this decision made by individual staff members or administration?
   • How does the office decide when to set up new files?
   • How does the office decide when to send records to the Smithsonian Institution Archives?

   Records Created or Maintained

   • Are there central files?
   • How are the records created?
   • Who creates the records?
   • Who uses the records?
   • When are the records filed?
   • What are the inclusive dates of records?
   • What is the volume of series/records?
   • What is the estimated annual accumulation of the series/records?
   • Do the records serve an administrative, legal, fiscal, or historical purpose?
   • Are these duplicate records? Unique records?
   • Are the records detailed, drafts, or finals?
   • Are there restrictions, e.g., privacy?
   • Do the records document an activity we want to document?
   • How do we know it is something we want to document? Some indicators may be controversy, size, expense/cost, uniqueness, firsts, openings.
   • What is the format of the records (e.g., paper, audiovisual recordings, photographs, electronic)?
   • Does the office cull/purge/weed its records? How often?
   • What electronic systems document the office's function? What systems are used?
   • Does another office maintain the official copy of records series within this office? Consider where else an activity may be documented.

   Electronic Records Created or Maintained
   [Try not to think of electronic records as a record type, but as a record form.]

   • What is the function of the electronic records?
   • What types of electronic records (e.g., meeting minutes, correspondence, memoranda, word-processed documents, databases, email, websites, graphic design files, image files, audiovisual records)?
   • Are the records of enduring value? Does the information contained in the records meet our appraisal criteria?
   • Do the electronic records duplicate paper records? Is the electronic version the archival/official copy, or the only copy?
   • If the electronic records are archival, how do they link to archival paper records with similar function, or of similar type?
   • Is the value of the records improved by its electronic format?
   • Can the records creator ensure the integrity of the electronic records? Could changes have been made to alter the official record?
   • What software is used to create records?
   • Where are electronic records stored (e.g., shared drive, hard drive, CD)?
   • How does the office use email?
   • Is email used for routine administrative announcements and correspondence?
   • Is email used as correspondence and memoranda that documents policies, programs, decision-making, and activities or communications with offices outside the unit, throughout the Smithsonian, or with the general public?
   • Is email used to distribute documentation of the office's programs and activities (e.g., meeting minutes, reports, policy issuances)?
   • Does office staff print out email documenting policies, programs and decision-making?
   • If not, how are the messages stored?

3. EVALUATION, DECISION, AND DOCUMENTATION: After the Office Visit

   Organizational Structure

   • Is a function better documented elsewhere? If so, where?
   • Are financial/accounting records handled by central SI offices, or internally within the unit? Please explain.

   Electronic Records Created or Maintained
   [Try not to think of electronic records as a record type, but as a record form.]

   • Are the records of enduring value? Does the information contained in the records meet our appraisal criteria?
   • Do the electronic records duplicate paper records? Is the electronic version the archival/official copy, or the only copy?
   • If the electronic records are archival, how do they link to archival paper records with similar function, or of similar type?
   • Is the value of the records improved by its electronic format?
   • Can the records creator ensure the integrity of the electronic records? Could changes have been made to alter the official record?