Part 5, Chapter 15: Manual Appendix 5-15-D
Records management Program Questionnaire
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SECTION I. POLICY AND PROCEDURE |
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NO |
N/A |
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1.
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Have copies of Part 5, Chapter 15, "Records Management Program," Indian Health Manual, been distributed throughout the records management network and are guidelines being implemented?
Comments:________________________________________________________________________
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2.
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Has a copy of the "Guide to Developing an Indian Health Service (IHS) Files Maintenance and Disposition Plan" been distributed throughout the records management network?
Comments:________________________________________________________________________
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3.
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Are National Archives and Records Administration (NARA) guidelines related to electronic recordkeeping, micrographics, and filing equipment implemented in offices throughout the records management network?
Comments:________________________________________________________________________
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4.
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Do records maintenance, storage, and use practices comply with provisions of the Privacy Act and Freedom of Information Act?
Comments:________________________________________________________________________
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SECTION II. RECORDS MANAGEMENT NETWORK |
YES |
NO |
N/A |
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5.
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Is a Records Management Officer (RMO) or a Records Management Liaison (RML) designated for your organization as the primary coordinator of records management activities?
Comments:________________________________________________________________________
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6.
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Has an organization-wide memorandum or directive been issued to identify the RMO/RML and their related roles and responsibilities?
Comments:________________________________________________________________________
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7.
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Has an organization-wide records management management network been identified to assure flow of program information throughout the organization? If so, is there a current listing of network participants available?
Comments:________________________________________________________________________
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8.
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Have staff members identified as records management network participants been provided information on the responsibilities and roles via training or briefing sessions?
Comments:________________________________________________________________________
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9.
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Do you have a plan to periodically provide managers with information on the records management program activities and requirements?
Comments:________________________________________________________________________
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10.
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Does Area management support activities to promote an active records management program within your organization?
Comments:________________________________________________________________________
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11.
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Do you have a network strategy for disseminating information on records management activities and requirements?
Comments:________________________________________________________________________
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12.
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Has the IHS Records Management Program's communique, "For The Record," served as an effective information sharing and promotional tool for records management activities in your Area?
Comments:________________________________________________________________________
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SECTION III. FILES IMPROVEMENT AND RECORDS DISPOSITION TRAINING |
YES |
NO |
N/A |
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13.
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Have the records management network participants and file managers been provided training in files maintenance and records disposition through NARA workshops or other formal training?
Comments:________________________________________________________________________
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14.
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Do you have a plan to provide periodic, refresher courses in files maintenance and records disposition for records management network participants and file managers?
Comments:________________________________________________________________________
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SECTION IV. FILE SYSTEM DEVELOPMENT AND MAINTENANCE |
YES |
NO |
N/A |
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15.
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Are official file stations identified throughout the organization?
Comments:________________________________________________________________________
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16.
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Are "record" and "nonrecord" material filed in separate filing areas?
Comments:________________________________________________________________________
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17.
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Are staff members in this organization familiar with the difference between "Program Records," "Personal Papers," "Administrative Records," and "Reference Materials?"
Comments:________________________________________________________________________
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18.
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Are "Program Record" files maintained separately from "Administrative Record" files?
Comments:________________________________________________________________________
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19.
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Are "Reference Materials" and "Personal Papers" maintained separately from files containing "Program Records" and "Administrative Records?"
Comments:________________________________________________________________________
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20.
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Are "Reference Materials" periodically (at least annually) reviewed and purged of all superseded/obsolete items?
Comments:________________________________________________________________________
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21.
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Are staff members in this organization aware that the following materials should not be filed: envelopes, routing slips, duplicate copies of reports, or informational copies of memorandums?
Comments:________________________________________________________________________
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22.
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Are there procedures in each office to determine whether each document being created or received must be filed?
Comments:________________________________________________________________________
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23.
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If an office maintains case files, does the office have guidelines to identify the standard set of documents that must be maintained in the case file?
Comments:________________________________________________________________________
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24.
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Have file plans been developed for official file stations throughout the organization, reviewed annually, and updated as necessary?
Comments:________________________________________________________________________
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SECTION V. RECORDS DISPOSITION ACTIVITY |
YES |
NO |
N/A |
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25.
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Have you identified and reported any 'unscheduled records" to the IHS RMO?
Comments:________________________________________________________________________
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26.
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Are files cutoff periodically to identify "inactive records?"
Comments:________________________________________________________________________
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27.
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Are "inactive records" destroyed according to NARA and IHS guidelines?
Comments:________________________________________________________________________
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28.
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Are "Program Records" routinely transferred to the Federal Records Center according to instructions provided in the IHS Records Disposition Schedule (RDS)?
Comments:________________________________________________________________________
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29.
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Are "Program Records" and "Administrative Records" disposed of according to guidelines provided in the IHS RDS and the NARA General Record Schedule?
Comments:________________________________________________________________________
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30.
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Do all file stations in this organization submit an "Annual Records Report?"
Comments:________________________________________________________________________
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SECTION VI. ELECTRONIC RECORDS |
YES |
NO |
N/A |
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31.
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Are staff members in this organization aware of the record status of data/information placed on, stored, and accessed from electronic information systems?
Comments________________________________________________________________________
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32.
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Are e-mail messages that contain record information printed out and filed with related program records?
Comments:________________________________________________________________________
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33.
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Are the instructions regarding the prompt disposition process, followed for non-record e-mail messages?
Comments:________________________________________________________________________
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34.
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Does your organization have restrictions on the use of e-mail?
Comments:________________________________________________________________________
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