How does NARA enforce records management rules when an agency is found out of compliance?

The National Archives and Records Administration (NARA) is the federal government’s records management oversight authority. Rather than relying on fines or criminal penalties, NARA enforces compliance primarily through guidance, oversight, reporting, and escalation. Its goal is to bring agencies back into compliance and to protect records of enduring value.

How NARA Sets the Rules

NARA issues the regulations, bulletins, and guidance that define how agencies must create, maintain, schedule, and dispose of federal records. Agencies must manage records according to approved records schedules, which authorize when records may be destroyed or must be transferred to NARA. Unauthorized destruction or removal of records is a violation that NARA takes seriously.

How NARA Identifies Non-Compliance

NARA learns of problems through several channels:

• Self-reporting: Agencies submit periodic records management self-assessments and senior-official reports.
• Inspections and oversight: NARA conducts inspections and reviews of agency programs and practices.
• Allegations and referrals: Reports of unlawful destruction or alienation of records may come from agency staff, inspectors general, Congress, or the public.

How NARA Responds

When an agency is found out of compliance, NARA generally proceeds in escalating steps:

1. Engagement and corrective action. NARA works with the agency to identify gaps and requests a corrective action plan with milestones.
2. Investigation of unauthorized disposition. If records may have been destroyed or removed without authorization, NARA investigates and directs the agency to recover records where possible.
3. Notification and escalation. NARA may notify agency leadership and, for serious or unresolved matters, the Archivist of the United States. Statutes governing federal records allow the Archivist to involve the Attorney General to help recover records that have been unlawfully removed.
4. Reporting to oversight bodies. Persistent non-compliance may be reported to Congress and reflected in public oversight reports, creating accountability pressure.

Why This Matters

Federal records document government decisions, protect citizens’ rights, and support transparency obligations such as FOIA. NARA’s enforcement model emphasizes prevention, recovery, and accountability over punishment, aiming to keep recordkeeping reliable across the government.

To explore related topics, see the federal records hub.