Scheduling and Evaluation of Documents
The National Archives and Records Administration (NARA) plays a crucial role in managing federal records, ensuring their proper preservation and disposal. Here's an overview of the Records Scheduling, Appraisal, and General Records Schedules (GRS) processes, along with the key steps, policies, and stakeholders involved.
**Records Scheduling Process** The purpose of records scheduling is to ensure that federal records are managed according to their value, with clear guidance on retention and disposition as approved by NARA. The key steps involve: 1. Identifying Records: Agencies identify all records created or received in the course of official business. 2. Determining Value: Agencies, often in consultation with NARA, determine whether records have permanent or temporary value. 3. Proposing a Schedule: Agencies submit a proposed records schedule to NARA for approval, outlining how long records will be retained and their final disposition. 4. NARA Review: NARA appraises the records, confirms their value, and approves the schedule. 5. Implementation: Agencies implement the approved schedule, ensuring records are managed and disposed of according to the schedule. 6. Monitoring and Compliance: Agencies monitor compliance with records schedules and update them as necessary.
**Appraisal Process** Appraisal is the process of evaluating records to determine their long-term value for historical, legal, or operational purposes. The key steps are: 1. Categorization: Records are categorized based on their function and origin. 2. Evaluation: NARA reviews the records' content, context, and use to assess their value. 3. Decision: NARA decides which records should be kept permanently (archival) and which can be destroyed after a set period (non-archival). 4. Documentation: Appraisal decisions are documented and incorporated into the records schedule.
**General Records Schedules (GRS)** The GRS provide a standardized set of retention and disposition instructions for administrative records common to many federal agencies. The key steps are: 1. Review Applicability: Agencies determine which GRS categories apply to their records. 2. Adoption: Agencies adopt relevant GRS instructions for their records management. 3. Implementation: Agencies apply the GRS instructions to manage administrative records, ensuring they are retained and disposed of according to NARA standards. 4. Updates: Agencies and NARA periodically review and update the GRS to reflect changes in recordkeeping practices.
**Policy Framework** NARA’s policies require that all federal agencies manage records according to approved schedules, ensuring that only records of value are retained and that disposition is conducted in a timely, secure, and documented manner. Agencies must: - Schedule all records: Only records scheduled and approved by NARA may be destroyed. - Follow disposition instructions: Disposition must be performed as scheduled. - Maintain accountability: Agencies must document disposition actions and ensure compliance with NARA regulations.
**Legal Basis** The process is governed by the Federal Records Act and NARA regulations, which mandate proper records management, scheduling, and disposition for all federal agencies.
An approved records schedule is a legal authority that identifies and allows for the disposal of a federal agency's records. Agencies must obtain approval from the Archivist of the United States before disposing of their records.
**Resources** NARA offers Records Management Training Program, Resources for Records Management Staff, and provides the Guide to Inventorying, Scheduling and Disposal of Federal Records as a useful resource. The Records Control Schedule (RCS) Repository is another valuable resource for Records Scheduling. Additionally, there are Frequently Asked Questions (FAQs) About Records Scheduling & Appraisal, Records Management in general, and the Appraisal Policy of the National Archives.
This framework ensures that federal records are managed efficiently, with clear accountability and alignment with national standards for records preservation and disposition.
In the context of federal records management, finance and business are integral components. Agencies identify records created or received in the course of official business during the Records Scheduling Process, demonstrating the importance of maintaining financial records effectively. Furthermore, the General Records Schedules (GRS) provide standardized retention and disposition instructions for administrative records common to many federal agencies, including financial records, ensuring consistent and accountable records management across various agencies.
