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Appraisal Methodology
Appendix F: Appraisal Tools and Resources
The following are tools and resources
to be consulted by the RM Team before, during, and after office
appraisal visits. They will assist the team members to make
informed appraisal decisions.
- RESEARCH AND PREPARATION: Before the Office Visit
Collections Management System
- Contains agency history and biographical information;
restrictions on existing collections; and records SIA
had taken in the past
- Helps to identify records series and dates
- Provides a subjective rating of the value of existing
SIA collections
Appraisal Criteria
- Documents SI functions, SI office(s) that perform
the functions, and types of records that document those
functions
Appraisal Log
- Documents prior decisions from bureau/office visits
Appraisal Questionnaires (Standard
and Specific) for Appraisal Visits
- Provides general information about the office and
can be used in preparation for visit
Biographical Files
- Contain biographical information of records creator
Database Survey (1996-1997)
- Asks what type of systems offices use and determines
to what extent electronic records (ER) document office
activities
- Reveals how ER are used, organized, and maintained,
and how they relate to paper records
Electronic Records Survey Questionnaire
- Asks what type of systems offices use and determines
to what extent electronic records (ER) document office
activities
- Reveals how ER are used, organized, and maintained,
and how they relate to paper records
General and Agreements File
- Contains agency information; restrictions on existing
collections; and records SIA had taken in the past
- Helps identify records series and dates
- Contains agreements and surveys
Guide
to the Smithsonian Archives, 1996
- Contains agency history and biographical information;
restrictions on existing collections; and records SIA
had taken in the past
- Helps identify records series and dates
Institutional Memory
- Senior staff members can provide background information
about an office, person, and records
Records Management Files
- Contain agency information; restrictions on existing
collections; and records SIA had taken in the past
- Help identify records series and dates
Records Management Reference Publications (e.g., Donald
S. Skupsky's Records Retention Procedures and Recordkeeping
Requirements)
- Provide records retention guidelines and consideration
Schedules of Other Government Agencies (e.g., National
Archives and Records Administration, General Records Schedules)
- Provides records retention guidelines and consideration
Provides examples of schedules and disposition instructions
SI Annual Reports and Annals
- Provide background information about offices, such
as organization, function, activities, and staff
SI Schedules
- Provide records retention guidelines and decisions
SI Unit Websites
- Provide background information about offices, such
as organization, function, activities, and staff telephone
directories
- Contain personnel information, position titles, and
office organization
Written Guidelines for Offices and Professional Societies,
including deeds of gift (same functions as schedules)
- Outline appraisal
decisions agreed upon by offices. Guidelines tell offices
what SIA wants and does not want. They are written confirmation
of appraisal decisions.
- RECORDS EXAMINATION: During the Office Visit
Appraisal Questionnaires (Standard and Specific) for
Appraisal Visits
- Answers from the questions can lead to follow-up questions
and help to make decisions about records
Bureau Visit(s)/Staff Conversations
- Answers follow-up questions
- EVALUATION, DECISION, AND DOCUMENTATION: After the Office
Visit
Appraisal Criteria
- Documents SI functions, SI office that performs the
functions, and types of records that document those
functions
Appraisal Log
- Documents decisions from bureau/office visit and can
be used to revise the Criteria
Bureau Visit(s)/Staff Conversations
- Answers follow-up questions
- Notes of the visit
Collection Value List
- Provides a subjective rating of the value of existing
SIA collections
Database Survey (1996-1997)
- Answers will help RM Team make appraisal decisions
and ultimately, it will help RM Team transfer the records
Electronic Records Survey Questionnaire
- Answers will help RM Team make appraisal decisions
and ultimately, it will help RM Team transfer the records
General and Agreements File
- Contain agency information; restrictions on existing
collections; and records SIA has taken in the past
- Help identify records series and dates
- Document appraisal decisions and retention periods
- Help create new schedules and revise existing ones
- Contain agreements and surveys
Guide
to the Smithsonian Archives, 1996
- Contains agency history and biographical information;
restrictions on existing collections; and records SIA
had taken in the past
- Helps identify records series and dates
Institutional Memory
- Senior staff members can provide background information
about an office, person, and records
Records Management Files
- Contain agency information; restrictions on existing
collections; and records SIA had taken in the past
- Help identify records series and dates
- Document appraisal decisions and retention periods
- Help create new schedules and revise existing ones
Records Management Reference Publications (e.g., Donald
S. Skupsky's Records Retention Procedures and Recordkeeping
Requirements
- Provide records retention guidelines and consideration
Schedules of Other Government Agencies (e.g., National
Archives and Records Administration, General Records Schedules)
- Provide records retention guidelines and consideration
- Provide examples of schedules and disposition instructions
SI Schedules
- RM Team can modify existing schedules and create new
ones
- Document appraisal decisions
Written Guidelines for Offices and Professional Societies
(same function as schedules)
- RM Team can write guidelines as follow-up to appointment/visit
- RM Team can copy guidelines in G/A files to document
to document decisions
- RM Team can put these decisions in appraisal log
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