Who audits federal agencies for records management compliance, and what do they look for?

Federal records management compliance is overseen through several layers, each with a distinct role. No single office does all the work; oversight is shared among the National Archives, agency leadership, and independent watchdogs.

Who Does the Auditing

The National Archives and Records Administration (NARA). NARA sets government-wide records policy and conducts oversight of how agencies manage their records. This includes reviewing agency records programs, evaluating compliance with federal records statutes and regulations, and following up on allegations of unlawful records destruction or loss. NARA also approves the schedules that govern how long records are kept and when they may be destroyed or transferred.

Agency Inspectors General (IGs). Most federal agencies have an independent Office of Inspector General that audits programs for efficiency, legal compliance, and waste, fraud, or abuse. IGs frequently examine recordkeeping as part of broader program reviews, especially where poor records practices create legal or operational risk.

The Government Accountability Office (GAO). As the investigative arm of Congress, GAO conducts audits and evaluations that can include how agencies create, maintain, and dispose of records.

Agency officials themselves. Each agency is expected to designate records officers and conduct internal self-assessments. Senior agency leadership bears ultimate responsibility for an adequate records program.

What Auditors Look For

Reviews typically focus on whether an agency:

• Has a documented program — clear policies, a designated records officer, and staff training.
• Captures complete records — covering all formats, including email, electronic systems, and modern messaging tools.
• Uses approved schedules — applying retention periods that NARA has authorized, with nothing kept arbitrarily or destroyed prematurely.
• Disposes lawfully — destroying or transferring records only as authorized, with documentation of disposition.
• Protects and preserves records — maintaining accessibility, integrity, and security throughout the lifecycle, and transferring permanent records to NARA on schedule.
• Manages electronic records properly — ensuring digital records remain usable and are not lost through system migrations or departures.

Common findings include incomplete inventories, expired or unapplied schedules, weak email and electronic recordkeeping, and gaps in training.

For more on federal obligations and oversight, see the federal records topic hub.