Archival Evaluation and Acceptance Decision
The process for managing records within federal agencies, overseen by the National Archives and Records Administration (NARA), is a collaborative and cyclical one. Agencies are responsible for identifying new or existing records that require scheduling, preparing records schedules, and submitting them to NARA for approval.
Once received, NARA appraisers review the schedules, assessing the proposed retention and disposition for archival and legal value. This review process is crucial, as it ensures that records are treated lawfully and efficiently. Agencies are expected to answer the appraiser's questions, provide more information about the records, and schedule appraisal meetings with relevant program staff and their NARA appraiser.
The appraiser's role is to shepherd the records schedule through the appraisal process, which includes internal review and a public comment process for temporary records. The appraiser reviews the schedule to determine if proposed disposition instructions are appropriate, especially when legal rights are involved, and to ensure records proposed as permanent warrant preservation.
During the appraisal process, schedules without action will be returned if they do not meet the standards specified in 36 CFR 1225, and appraisers may ask the agency to revise the schedule at any time. If destruction of the records would harm government interests or individual rights, NARA may rescind a disposition authority.
Public notice is published in the Federal Register for schedules that propose disposal of unscheduled records or a reduction in the retention period of records previously scheduled as temporary, giving the public an opportunity to see proposed schedules and comment on them. NARA considers all public comments submitted by the posted deadline and posts a "Consolidated Reply" on regulations.gov summarizing and responding to the comments.
After NARA approval, agencies must issue their new or updated records schedules within six months. Issuances include all instructions necessary for managing records, such as approved disposition authorities for agency records, applicable General Records Schedules, handling of non-record materials, filing instructions, and any agency or Privacy Act restrictions.
Agencies are expected to review their schedules for clarity and provide additional information as needed during the appraisal process. The processing time for simple schedules is usually six months or less, while for complex schedules it can take up to a year or more.
It's important to note that NARA cannot preserve all records created by the federal government and must be selective in what it appraises as permanent. The appraisal process involves evaluating records to determine their final disposition, with records being identified as either temporary (disposable) or permanent (archival).
In some cases, virtual appraisal meetings are appropriate when records are best viewed through system demonstrations, the appraiser can review records in a virtual environment, and program staff are in different locations. However, virtual appraisal meetings are not appropriate when records are fragile or unique analog formats, classified, or otherwise difficult to duplicate.
In summary, the process for submitting, reviewing, and approving records schedules at NARA is a collaborative, cyclical one where agencies propose schedules, submit for NARA appraisal and approval, then implement and maintain approved schedules to ensure lawful and efficient records management.
The appraisal process in the industry of education-and-self-development, similar to the one at the National Archives and Records Administration (NARA), is also collaborative and cyclical, with individuals preparing proposals, submitting for review, and implementing approved schedules to ensure efficient learning.
Agencies in the finance, business, and education sectors can learn from this process, as they too need to review proposed retention and disposition of records for archival and legal value, ensuring lawful and efficient management of their records.
