Affliated Archives Self-Assessment

Affiliated Archives Self-Assessment

1. Contact person / Position title:
2. Mailing address:
3. Facility location:
4. Contact phone:
5. Emergency phone:
6. Contact email:
7. Is your organization’s affiliate status with NARA identified on your web site?
Yes__ [Please provide URL for page showing affiliation]
No__
8. How are researchers registered? Please check all that apply.
a. Entered into a computer system
b. Documented with a paper log
c. Provide government identification (e.g., driver’s license or passport)
d. Issued a researcher card
e. Photographed
f. Researcher registration is not required
g. Other (please explain) [comment box]
9. What security procedures are in place to protect records in your public research room(s)?
Please check all that apply.
a. Restrictions/limitations on personal belongings that can be brought inside research
room
b. Researcher limited to one box on desk and one folder out of box at a time
c. Closed-circuit television (CCTV) monitoring
d. Staff monitoring
e. Tracking of researcher visits and record use
f. Exit inspections of personal belongings/scanning equipment
g. Other (please explain) [comment box]
10. Do all individuals who handle NARA records (e.g., staff, researchers) receive an orientation
and/or training concerning records handling procedures? Yes__ No__
11. Do the NARA holdings in your custody include records exempt from release under the
Freedom of Information Act (FOIA)? Yes__ No__
Logic - If yes to 11, go to 12 and 13. If no, skip to 14.

12. Briefly describe the NARA records in your holdings that are FOIA restricted. [comment
box]
13. Have staff been trained on applying FOIA exemptions to NARA holdings? Yes__ No__
14. Do the NARA holdings in your custody include classified records? Yes__ No__
15. Do you screen for restricted records (FOIA restricted or classified) prior to granting access?
Yes___ No__
16. How are restricted records protected from being served?
a. Labels on boxes indicating restricted records
b. Stored separately
c. Other (please explain) [comment box]
17. Are any NARA records in special media formats (negatives, motion picture film, sound
recordings, etc)? Yes__ No___
Logic - If yes to 17, go to 18. If no, skip to 19
18. Are there dedicated storage areas for special media records? Yes__ No___
19. If NARA records have been digitized or otherwise reformatted, please check all that apply:
a) Microfilm available onsite
b) Digitized files online
c) Analog audiovisual service copies available onsite
d) Digitized audiovisual files available online
e) Following reformatting, original records have been removed from general circulation
f) Reformatted copies are being maintained and preserved
g) Other [comment box]
h) No NARA records have been digitized
20. If you have any NARA records that have not been digitized, is there a current project or plan
to scan them? Yes__ No__
21. Is your repository still actively accessioning federal records? Yes__ No__
Logic – If yes to 21, go to 22 and 23. If no, skip to 24
22. Have all eligible accessions of federal records been reported to NARA? Yes__ No__
23. How are new accessions of NARA records documented and reported? Please explain in the
space provided [comment box]
24. Does your archive maintain NARA holdings as their own separate entity? (i.e., NARA
holdings are not physically intermixed with other collections) Yes__ No__

25. Has your archive changed the arrangement of NARA holdings before, during, or after
processing? Yes__ No__
26. For NARA records in your care, please indicate if the following has been performed (please
check all that apply):
a. Rehousing has been performed on some records
b. Rehousing has been performed on all records
c. Rehousing needs to be performed on some or all of NARA records
d. Holdings maintenance has been performed on some records
e. Holdings maintenance has been performed on all records
f. Holdings maintenance needs to be performed on some or all of NARA records
g. Conservation treatment has been performed on some records
h. Conservation treatment has been performed on all records
i. Conservation treatment needs to be performed on some or all of NARA records
27. Do any NARA records have condition issues that affect safe handling and ability to provide
safe access (e.g., fragile or brittle documents)? Yes__ If yes, please explain. [comment box]
No__
28. Have any NARA records been damaged while at your archive? Yes__ If you selected
“yes”, please explain using the space below. [comment box]
No__
29. Has your archive removed/disposed of any record or non-record materials from its NARA
holdings? Yes__ No__
Logic – If yes to 29, go to 30. If no, skip to 31
30. What materials were removed and why? Please explain using the space below. [comment
box]
31. How are NARA records described by your institution? Please check all that apply.
a. Paper finding aids
b. Electronic finding aids
c. Online catalog at your institution
d. National Archives Catalog
e. Not described in finding aid or online catalog
f. Other [please describe]
32. Is there an accurate and current location registry documenting all archival storage space and
container locations for your NARA holdings? Yes__ No__
Logic – If yes to 32, go to 33. If no, skip to 34
33. Please describe the system for tracking locations of archival containers. [comment box]

34. Please check all that apply. Records are stored in spaces that are:
a.
b.
c.
d.
e.
f.
g.
h.

Temperature controlled (24/7)
Humidity controlled (24/7)
Free of natural light (i.e. no windows, skylights or other sources of sunlight)
Inspected for pests
Free of food and drink
Cleaned on a regular schedule
Used exclusively for storage of NARA records and similar permanent collections
Free of water leaks or other situations that have damaged records or put records at
risk of damage
i. protected by a fire/smoke detection system
j. equipped with sprinklers or any other forms of fire suppression
35. Does your repository have sufficient shelf or drawer space to properly house existing NARA
records? Yes__ No__
36. Have any NARA records been stored at a location other than your repository’s primary
location (e.g., off-site storage, records center, etc.)? Yes__ No__
37. Are any original NARA documents currently (please check all that apply):
a) on exhibit or display at your organization or institution
b) on loan to or exhibited at another organization or institution
c) with a vendor, contractor or at another location
38. Is there controlled access (i.e., secured entry/exit, badge or key lock) to stacks or other areas
where records and holdings are stored? Yes__ No__
39. What security protocols do you have in place to protect the records from theft or loss while in
use or in storage? Please check all that apply.
a)
b)
c)
d)
e)
f)

Alarms
Locks
Guard service
Closed-circuit television (CCTV)
None
Other (please explain)

40. Are any NARA holdings missing? Yes__ No__
Logic – If yes to 40, go to 41. If no, skip to 42
41. Please describe the missing NARA records and whether or not they were reported to NARA.
[comment box]
42. Is there a process for identifying and protecting records vulnerable to theft or other loss that
should be specially protected? Yes___ No___

Logic – If yes to 42, go to 43. If no, skip to 44
43. If yes, please describe [comment box].
44. Have all individuals (paid or unpaid, staff or contractors) who work directly with records or
assist researchers in research rooms undergone background security checks? Yes___ No___
45. Is there a detailed and current series-level inventory of all NARA holdings in your custody?
Yes__ No__
46. Are there processing backlogs for NARA records? Processing, in this instance, is defined as
a series having had actions completed to meet the basic standards of physical and
intellectual control while allowing the user to discover the records and request them for use,
or receive a response as to why the records are not available (e.g., records are housed,
arranged, labeled and described at the series level). Yes__ No__
47. Please list any unprocessed NARA series. [comment box]

PAPERWORK REDUCTION ACT PUBLIC BURDEN STATEMENT: You are not required to provide the information requested on a form that is subject
to the Paperwork Reduction Act unless the form displays a valid OMB control number. Public burden reporting for this collection of information
is estimated to be 2 hours per response. Send comments regarding the burden estimate or any other aspect of the collection of information,
including suggestions for reducing this burden, to National Archives and Records Administration (MP), 8601 Adelphi Rd, College Park, MD 207406001. DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
OMB Control No. 3095-0070, expiration date 10/31/2017

(09-17 version)