Category: Laws and Regulations
Records Management Regulations (36 CFR 1220-1239)
Also known as: 36 CFR Subchapter B, NARA Records Management Regulations, 36 CFR Parts 1220-1239
Simply put
This is a set of United States federal regulations, issued by the National Archives and Records Administration (NARA), that governs how federal agencies manage their records. The rules sit within Title 36 of the Code of Federal Regulations, which covers parks, forests, and public property, and NARA groups its records management provisions in the parts numbered 1220 through 1239. These regulations apply to U.S. federal agencies and do not automatically govern private-sector or state and local recordkeeping, which are subject to their own jurisdictional requirements.
Formal definition
36 CFR Parts 1220-1239 comprise Subchapter B (Records Management) of the National Archives and Records Administration's regulations within Title 36 of the U.S. Code of Federal Regulations. The subchapter operationalizes federal records management obligations for U.S. agencies, with individual parts addressing specific subject areas; for example, Part 1222 sets out definitions of key statutory terms and concepts used in defining a federal record. NARA periodically revises these regulations through the federal rulemaking process, including administrative updates such as revised office names and organizational codes, and has separately developed guidance and standards addressing the management of electronic records, including records created or received via electronic mail. The evidence provided does not enumerate the full content of every part, so the precise scope of individual parts beyond those noted should be confirmed against the current regulatory text.
Why it matters
For U.S. federal agencies, 36 CFR Parts 1220-1239 establishes the regulatory foundation for how records must be created, maintained, and dispositioned throughout their lifecycle. Because these regulations are issued by NARA and operationalize statutory records management obligations, they function as an enforceable framework rather than optional guidance. Agencies that fail to manage records in accordance with these provisions may face challenges to the authenticity, reliability, and accountability of their recordkeeping, which can in turn affect legal proceedings, oversight, and the eventual transfer of permanently valuable records to the National Archives.
Who it's relevant to
Federal agency records officers and managers
Records officers within U.S. federal agencies are the primary audience, as these regulations set the baseline obligations for managing agency records across their lifecycle. They rely on the framework, and particularly its definitional provisions, to classify records, apply retention and disposition, and coordinate transfers to the National Archives.
Compliance and oversight staff in the federal sector
Compliance leads and internal oversight functions use the subchapter to assess whether agency recordkeeping meets its regulatory obligations. Because NARA revises these regulations over time, such staff should track rulemaking changes, including administrative updates to office names and organizational codes, against current agency practice.
Professionals managing federal electronic records and email
Those responsible for electronic records, including records created or received via electronic mail, should be aware that NARA has developed guidance and standards in this area. The regulatory framework and associated guidance inform how electronic records are managed to preserve their authenticity, integrity, and usability.
Records professionals outside the federal government
State, local, and private-sector practitioners may study this framework as a reference point, but should note it does not automatically govern their recordkeeping. Their obligations depend on their own jurisdiction and sector, and any comparison to the federal regime should account for those differences.
Inside Records Management Regulations (36 CFR 1220-1239)
Regulatory scope and applicability
This set of regulations, issued under Title 36 of the U.S. Code of Federal Regulations, addresses the management of federal records by U.S. federal agencies. Its scope is generally limited to federal executive branch agencies and does not by itself govern private-sector, state, or local government recordkeeping, though organizations in those sectors sometimes consult it as reference guidance. Applicability to any specific body of records depends on the agency and the nature of the records involved.
Records lifecycle coverage
The regulations typically address activities across the records lifecycle, including creation, capture, maintenance and use, and disposition. It is important to note that disposition in this context is not synonymous with destruction; it can encompass transfer to permanent storage or archival custody as well as authorized destruction, depending on the applicable schedule.
Records disposition and scheduling
A central concern is the disposition of federal records, which generally requires that records be retained for approved periods and then either destroyed or transferred in accordance with authorized records schedules. Retention here refers to keeping records for defined periods and should be distinguished from archiving, which concerns longer-term or permanent preservation of records identified as having enduring value.
Relationship to the National Archives
These regulations are administered in connection with the U.S. National Archives and Records Administration (NARA), which has a role in oversight, guidance, and the transfer and preservation of records deemed to have permanent value. The precise responsibilities allocated among agencies and NARA depend on the specific provisions and the type of records concerned.
Records as evidence of activity
The framework reflects the principle that records serve as evidence of government activities and decisions. What qualifies as a record subject to these controls depends on its role as authoritative evidence rather than on its format alone, and properties such as authenticity, reliability, integrity, and usability are relevant to whether an item functions as an authoritative record rather than a copy, draft, or transitory material.
Common questions
Answers to the questions practitioners most commonly ask about Records Management Regulations (36 CFR 1220-1239).
Do these regulations apply to all organizations that manage records?
No. The regulations in this part of the Code of Federal Regulations are directed at United States federal agencies and the recordkeeping obligations that arise under the federal records framework. They do not govern private-sector organizations, and they are not a general-purpose standard for records management outside the federal context. Private entities, state and local government bodies, and organizations in other jurisdictions are typically subject to their own statutory, regulatory, and policy requirements. Where a private organization looks to these regulations, it is usually as a reference point or influence rather than as a binding obligation.
Is complying with these regulations the same as having a complete information governance program?
Not on its own. These regulations address records management concerns, meaning the control of records as evidence of agency activity across their lifecycle, including creation, capture, maintenance, and disposition. Information governance is a broader accountability framework that also encompasses matters such as privacy, information security, risk, and the value of information more generally. Meeting records management regulatory requirements is an important component but does not by itself constitute a full information governance program, which typically extends beyond what these regulations cover.
How do these regulations relate to the disposition of records, and does disposition mean destruction?
The regulations address disposition as part of the records lifecycle, but disposition is broader than destruction. Depending on how a record is scheduled, disposition may involve destruction after an approved retention period, or it may involve transfer to permanent preservation, such as transfer to the national archival authority for records identified as having enduring value. Implementation therefore depends on applying the relevant records schedules, which distinguish between records approved for eventual destruction and those designated for permanent retention.
What role do records schedules play in applying these regulations?
Records schedules are typically central to implementation because they establish how long particular records are retained and what their eventual disposition will be. Under this framework, agencies generally may not dispose of records without an approved schedule authorizing that action. In practice, implementation involves identifying records, associating them with the appropriate schedule, applying the specified retention period, and carrying out the authorized disposition, whether that is destruction or transfer for continued preservation. The specifics depend on the schedules that apply to a given agency and record type.
How should an organization approach retention obligations under this framework?
Retention under this framework is generally driven by approved schedules rather than by ad hoc decisions, and retention should be distinguished from archiving. Retaining a record for a specified period keeps it available and usable for as long as required, but it does not necessarily mean the record is being preserved permanently. Practical implementation usually involves ensuring that retention periods are consistently applied, that records remain authentic, reliable, and usable throughout that period, and that disposition occurs only when authorized. Requirements can vary by record type, so organizations typically map obligations to the applicable schedules and policies.
What is required to demonstrate that records subject to these regulations are being properly managed?
Demonstrating proper management typically involves maintaining records in a manner that preserves their authenticity, reliability, integrity, and usability across their lifecycle, and being able to show that disposition actions were authorized and carried out in accordance with approved schedules. In practice this often means keeping evidence of how records were created or captured, classified, retained, and ultimately disposed of. The particular documentation and controls expected can depend on organizational policy and the specific obligations that apply, so implementation is usually tailored to the records and processes involved.
Common misconceptions
These regulations apply to all organizations operating in the United States.
They are generally directed at U.S. federal agencies and their federal records. Private-sector, state, and local recordkeeping obligations typically arise from different legal and regulatory sources, and requirements vary by jurisdiction and sector. Organizations outside the federal government sometimes reference these regulations for guidance, but that does not make them directly binding on those organizations.
Disposition under these regulations means destruction of records.
Disposition is a broader term that can include authorized destruction, transfer to another entity, or transfer for permanent preservation. Treating disposition as identical to destruction misrepresents the possible outcomes, which depend on the applicable records schedule and the assessed value of the records.
Complying with these records management regulations is the same as having an information governance program.
Records management, as addressed here, focuses on controlling records as evidence across their lifecycle. Information governance is a broader accountability framework that also spans policy, risk, privacy, security, and information value. The two overlap but are not equivalent, and satisfying records regulations does not by itself establish a complete governance program.
Best practices
Confirm whether and how these regulations apply to your organization before relying on them, recognizing that they are generally aimed at U.S. federal agencies and that other bodies face different, jurisdiction- and sector-specific obligations.
Manage records across the full lifecycle, distinguishing creation, capture, maintenance and use, and disposition, rather than focusing only on retention or destruction.
Treat disposition as a decision that may result in destruction, transfer, or permanent preservation, and document the basis for each outcome against an authorized records schedule.
Distinguish authoritative records from copies, drafts, and transitory information, and preserve the properties, authenticity, reliability, integrity, and usability, that allow records to serve as evidence of activity.
Coordinate with the National Archives and Records Administration where its oversight, guidance, or custody responsibilities apply, particularly for records identified as having enduring or permanent value.
Situate records management within a broader information governance approach, while keeping the two concepts distinct, so that policy, risk, privacy, and security considerations are addressed alongside recordkeeping controls.