Federal records managers must understand a huge range of laws governing records management in the federal government to ensure compliance, accountability, and the preservation of vital information. Understanding the complex legal framework prevents potential violations, protects sensitive data, and facilitates smooth responses to public inquiries or legal demands. It also fosters transparency, enhances organizational efficiency, and safeguards historical records for future generations, promoting good governance and trust in the government’s operations. The most important laws and legal authorities include the following:
Federal Records Act (FRA) of 1950: The granddaddy of all records management rules and regulations, this act establishes the framework for records management in federal agencies and outlines their responsibilities for creating, maintaining, and disposing of records. It also authorizes the National Archives and Records Administration (NARA) to oversee and provide guidance on federal records management.
NARA Regulations: The National Archives and Records Administration (NARA) issues regulations and guidance to federal agencies concerning records management policies and practices. These regulations provide detailed instructions on various aspects of records management. The full list of NARA regulations can be found here.
Presidential Records Act (PRA) of 1978: This act governs the management and preservation of the official records of the President of the United States. It ensures that presidential records are adequately maintained and made available to the public through the National Archives after a specified period.
Freedom of Information Act (FOIA): Although not exclusively focused on records management, FOIA allows the public to request access to federal agency records, including those held by NARA. Agencies must maintain records in a manner that facilitates timely responses to FOIA requests.
Electronic Freedom of Information Act (E-FOIA) Amendments of 1996: These amendments emphasize the role of electronic records and the use of the internet in providing access to federal agency information.
Paperwork Reduction Act (PRA) of 1980: This act aims to reduce the burden of paperwork on the public and federal agencies. It governs the collection, use, and dissemination of information by federal agencies and requires agencies to manage information efficiently.
Privacy Act of 1974: The Privacy Act governs the collection, use, and dissemination of personally identifiable information maintained by federal agencies. It imposes requirements on how agencies handle such information and ensures individuals’ privacy rights are protected.
Office of Management and Budget (OMB) Directives: Over the past decade, OMB has issued multiple directives to modernize federal records management and transition to electronic recordkeeping.
- Managing Government Records Directive (M-12-18) – an extremely consequential directive that initiated the government-wide transition from paper records to electronic format records management.
- Transition to Electronic Records (M-19-21) – an update that expanded on the requirements of M-12-18 and set a series of new deadlines.
- Update to Transition to Electronic Records (M-23-07) – though mostly an extension of the deadline established in M-12-18, in recognition of the impact of the Covid-19 pandemic, M-23-07 also provided some additional clarifications.
It is no exaggeration to say these are a lot of laws and regulatory requirements that must be upheld!
Though federal records management tend to be well-versed in the rules and regulations they are following, not all the personnel involved in creating, managing, or disposing of federal records can say the same thing. Plus, with such a complex array of rules and regulations in effect, oversights are not just easy, they’re virtually guaranteed, at least occasionally.
Managing this complex legal framework can be made much easier, however.
First, good records management policies and schedules will automatically incorporate the variety of requirements, so all internal personnel need to do is follow policy. To get started, read our articles “Creating a Records Schedule Step by Step” and “Records Management Policy Issues for Government Agencies.” It might be helpful to get insight and input from records management specialists during this policy- and schedule-setting process. For help, GSA Schedule 36 is a good place to get qualified records help.
Second, the right records management technology can also help make it a snap to ensure compliance. A good ERM will be able to automatically incorporate relevant legal rules as well as organizational policy into the operation of the system. That way, the technology itself can enforce compliance by enabling or disallowing different functions as required by law for creating, maintaining, using, or destroying government records. “How to Evaluate Electronic Records Management Systems” details other characteristics of a high-functioning ERM system as well.
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