Agency Records Centers

SUMMARY: NARA is issuing revised regulations updating the standards

that records center storage facilities must meet to store Federal

records. Since the regulations were last updated in 1982, there have

been a number of advances in sprinkler systems and other general

facility standards that significantly improve the environment and

general safeguards for Federal records. This rule also reflects updated

information on certain measures that may prevent fire and water damage

to records. NARA also recognizes the authority of agencies to contract

with private entities for the storage of Federal records. NARA provides

agencies with standards, procedures and guidelines for the use of such

commercial records storage facilities. The regulation will apply to all

agencies, including NARA, that establish and operate records centers,

and to agencies that contract for the services of commercial records

storage facilities.

As a result of the comments received on the proposed rule, we are

adding new provisions that address handling conflicts with other

regulatory requirements and requests for waivers. We are seeking public

comments on these new provisions.

DATES: This rule is effective January 3, 2000, except Secs. 1228.234,

1228.236, and 1228.238 which will be effective March 2, 2000.

The incorporation by reference of certain publications listed in

the rule is approved by the Director of the Federal Register as of

January 3, 2000.

Comments on Secs. 1228.234, 1228.236, and 1228.238 must be received

by January 31, 2000 at the address shown below. NARA intends to publish

any changes to Secs. 1228.234, 1228.236, and 1228.238 resulting from

this comment period before March 2, 2000.

ADDRESSES: Comments must be sent to Regulation Comment Desk (NPLN),

National Archives and Records Administration, 8601 Adelphi Road,

College Park, MD 20740-6001. Comments may be faxed to 301-713-7270.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at (301) 713-7360, ext.

226.

SUPPLEMENTARY INFORMATION: NARA published a notice of proposed

rulemaking on April 30, 1999, at 64 FR 23504. On June 7, 1999, NARA

announced a June 18, 1999, public meeting on the proposed rule and

extended the comment period to July 7, 1999 (64 FR 30276).

Approximately 30 people attended the public meeting. NARA received

timely comments from 11 Federal agencies, 5 professional organizations,

2 commercial records centers, and 5 other individuals or companies. In

addition, NARA received a number of comments dated on or before July 7,

1999, forwarded from Congressional offices.

On September 15, 1999, at 64 FR 50028, NARA published an initial

regulatory flexibility analysis to aid the public in commenting upon

the small business impact of the proposed rule. Comments on the initial

analysis were received from an industry association, 6 firms that

provide records storage services, 12 Federal agencies, and two other

individuals.

Following is a summary of the comments and a discussion of the

changes that we made to the proposed rule.

Four Federal agencies concurred in full with the proposed rule in

their written comments, as did two individuals and two companies. The

National Association of Government Archives and Records Administrators,

ARMA International, and the Society of American Archivists also

expressed strong support for the proposed rule in their written

comments. Two commercial records centers and PRISM International, a

not-for-profit industry association that includes off-site storage

company members, opposed the proposed rule in their written comments;

these commenters and other commercial records centers also raised

concerns in the June 18 public meeting. The other Federal agencies and

the Federal Information and Records Managers Council, an organization

of Federal information and records management professionals, raised

questions or suggested changes to the proposed rule in their comments.

General Comments

One of the broad concerns expressed by some Federal and private

sector comments was whether the cost of compliance with the proposed

NARA standards would preclude the private sector from competing for

Federal agency business or make them less competitive than NARA Federal

Records Centers (FRCs). Part of the concern expressed in these comments

was based on a misinterpretation of the proposed Sec. 1228.234, which

provided the specifications for NARA's tested fire-safety detection and

suppression system as one alternative way to achieve a system that is

designed to limit the maximum anticipated loss in any single fire event

to a maximum of 300 cubic feet of records destroyed by fire. That

section specified a maximum records storage height of 15 feet, which is

not commonly used in commercial facilities, but is standard in NARA

FRCs. To address this common misinterpretation, we have moved the NARA

FRC specifications to a new Appendix B that clearly states the

specifications are an optional alternative way of complying with the

rule. Another basis for the concern with the cost of the proposed rule

was the requirement in proposed Sec. 1228.230(b) that records storage

areas not exceed 250,000 cubic feet of records. We have also modified

that requirement. Further discussion of the comments on the cost of

compliance is found later in this SUPPLEMENTARY INFORMATION in the

section titled Regulatory Flexibility Act (RFA) Certification.

Another concern expressed by some written comments and at the

public meeting was whether all Federal records warrant the level of

protection that would be provided by the proposed standard. As we noted

in the preamble to the proposed rule and again at the public meeting

and in the September 15, 1999, initial analysis, Federal records

provide essential documentation of the Federal government's policies

and transactions and protect the rights of individuals. The Government

has an obligation to protect and preserve these records for their

entire retention period, even if that retention period is only a few

years, as is the case with IRS income tax returns. We believe that

there is a minimum level of fire safety, security, and structural

integrity that any facility storing Federal records must have, which

are reflected in these standards. For environmental controls, where a

difference in the level of protection is warranted for permanent

records, we have taken a graded approach by retention and media. We

also note that a higher level of physical security is appropriate for

vital records and records of high intrinsic value, but this regulation

focuses on the minimum requirements for protecting all Federal records.

Several industry comments and the FIRM Council expressed skepticism

that NARA's own records centers will meet the standards. As we stated

at the public meeting, all NARA FRCs are in compliance with those

portions of the rule that become effective on ``day one,''

[[Page 67635]]

i.e., the effective date of this final rule. Many NARA records center

facilities are not compliant with environmental and water damage

control provisions that do not become effective until 2009.

Relationship to Existing Industry Standards

One commercial records storage vendor argued that existing industry

storage standards should not be discarded in favor of NARA's proposed

rule; conversely, an individual noted that the proposed rule ``fills a

badly needed void in our Records Management literature. We do not have

definitive or comprehensive standards for a Records Center.'' Currently

there is no standard for records storage facilities larger than 49,999

cubic feet of records (NFPA 232 (1995), Standard for the Protection of

Records). NFPA 232A (1995), Guide for Fire Protection for Archives and

Records Centers, is a guide or recommended practice, and is not

mandatory. However, NFPA 232A does recommend the sprinkler systems and

compartmentalization required by this and NARA's previous rule. Other

standards such as NFPA 13, 231 and 231C treat Federal records the same

as the storage of blank paper (or even used paper for recycling), and

are intended to provide life safety, protection of adjacencies, etc.,

but not necessarily to limit the loss of records to an acceptable level

of risk. Further discussion of the appropriateness of using NFPA 13,

231, and 231C as the only fire protection requirements is found in the

Regulatory Flexibility Act Certification section of this Supplementary

Information.

Conflicts With Other Codes

Several comments questioned why local and regional building codes

could not be followed in place of the proposed NARA standards. At the

June 18 meeting, NARA staff explained that fire-safety components of

building codes are designed to protect the life and safety of

occupants, mitigate against the spread of a fire to adjacent

structures, and to protect fire fighters, not to limit the loss of

valuable contents. NARA's standards in this final rule supplement the

building codes to provide a safety level for the items stored.

We recognize, however, that there may be instances where a NARA

standard differs from a local or regional building code provision. We

have added a new Sec. 1228.234 that outlines how such conflicts should

be handled. Following normal rules of precedence in applying differing

standards or codes, we specify that if any NARA provisions conflict

with local or regional codes, the more stringent fire protection and

life-safety provision applies. If a mandatory NARA requirement cannot

be reconciled with a mandatory local or regional requirement, the local

or regional code applies. We invite public comment on this new

Sec. 1228.234, which has a delayed effective date so that we can

consider any comments on it.

Underground Storage Facilities

Several industry comments pointed out that the proposed rule did

not address the unique characteristics of underground storage

facilities and ignored Mine Safety and Health Administration

regulations for underground facilities. They stated that, in many

cases, MSHA safety guidelines would exceed those outlined in the

proposed rule. To address these concerns, we have added a provision in

Sec. 1228.234(b) that if any of the provisions of this subpart conflict

with mandatory life safety or ventilation requirements imposed on

underground storage facilities by MSHA's regulations at 30 CFR Chapter

I, the MSHA requirement applies. We have also addressed the need for

variances from NARA requirements for roofs of underground facilities in

the new Sec. 1228.236 and Sec. 1228.238. We invite public comment on

the new provisions in Secs. 1228.234, 1228.236, and 1228.238, which

have a delayed effective date so that we can consider any comments on

them. As we noted at the June 18 public meeting, we are concerned with

the potential for severe fire damage to records holdings in an

underground facility because of the fuel load and characteristics of a

mine. In this final rule, we do not require underground facilities to

meet more stringent requirements for fire detection and suppression

systems. We intend to work with the underground storage industry and

MSHA to develop appropriate standards to protect Federal records stored

in underground facilities against catastrophic fire. We will invite

public comment on proposed standards that are developed.

Definitions (Sec. 1228.224)

In response to various comments, we have added definitions of

``auxiliary space,'' ``fire barrier wall,'' ``licensed fire protection

engineer,'' and ``records storage area.'' With ``fire barrier wall'' we

clarified that the type of wall required by this regulation is a wall

other than a fire wall, having a fire resistance rating, constructed in

accordance with NFPA 221 (1994), Standard for Fire Walls and Fire

Barrier Walls, Chapter 4. A fire barrier wall is a less costly wall

than a fire wall. We also changed the terminology throughout the

regulation.

Several comments pointed out that fire protection engineers (FPEs)

are not separately licensed or registered in some States. Our

definition of FPEs includes both licensed or registered professional

engineers with a recognized specialization in fire protection

engineering and, for those States that do not separately licenced or

register FPEs, licensed or registered professional engineers with

training and experience in fire protection engineering who are

professional members of the Society of Fire Protection Engineers.

Multi-Story Facilities (Sec. 1228.228(b))

We received several comments on the proposed Sec. 1228.228(b),

which requires facilities with two or more stories to be designed or

certified by a licensed FPE. One agency questioned whether FPEs

``design'' facilities or perform design reviews for fire protection

systems and features. The rule allows for either the active involvement

of a licensed FPE in the facility design (a highly desirable, but not

required effort) OR that a licensed FPE certify (i.e., conduct a design

review or post construction inspection) to ensure that the facility

actually meets the design criteria.

Another agency pointed out that evaluation of structural aspects of

a multi-story facility were out of the professional scope of an FPE. We

adopted the agency's recommendation that a civil/structural engineer

also be involved in the design or certification.

PRISM International questioned whether this was a facility issue

from which NARA could exempt itself rather than a fire safety issue and

how much it would cost NARA to comply with the provision since NARA has

several multi-story records centers. The provision is primarily a fire

safety issue, but is placed in Sec. 1228.228 because it is also a

structural issue. All multi-story NARA facilities have four-hour rated

intermediate floors and are compliant.

Flood Walls (Sec. 1228.228(c))

In response to a question from ARMA International, we have

clarified that the required flood wall for buildings in a 100 year

flood plain areas must conform to local or regional building codes.

Protection From Water Damage (Sec. 1228.228(g) and (h))

One agency pointed out in its comments that properly designed roof-

mounted equipment could be installed in such a way to minimize

potential damage to the roof membrane and that periodic roof inspection

by appropriately certified professionals

[[Page 67636]]

should allow potential problems to be identified and corrected before

any actual damage occurs. We agree with the agency but note that care

must be taken also to ensure that the foot traffic required by

maintenance personnel to service roof-mounted equipment does not damage

the roof. We have modified paragraph (g) to require only that measures

are taken to ensure that the roof membrane does not permit water to

penetrate the roof. We state that the preferred way of achieving this

is that no equipment be mounted on the roof, but that the agency's

suggested alternative may be used instead.

The same agency also suggested that water damage from overhead

piping could be prevented by stringent design, inspection, and

supplemental techniques such as gutters or shields. We have adopted

this suggestion in Sec. 1228.228(h).

ARMA International suggested that the rule would be more complete

if guidelines for preventing water damage also addressed water coming

from below, e.g., backed up plumbing or broken toilet or kitchen pipes.

We agree with this comment, but have not determined the appropriate way

to address water entering at floor level. There are preservation

concerns that floor drains may permit sewer gas to enter the records

storage area and that the drains themselves may be an avenue for water

to enter the storage area. We intend to address this issue in a future

rulemaking. Until then, we believe that the requirement that the

building be protected against floods (Sec. 1228.228(c)) and the fairly

standard shelving assembly that raises the bottom shelf one to three

inches off the floor mitigates this risk.

Shelving (Sec. 1228.228(i))

Several comments addressed the shelving requirements in paragraph

(i). One individual recommended that several Federal specifications for

bracing shelving be added. We have not adopted this comment, as the

performance standard to brace to prevent collapse under full load is

sufficient. An agency questioned whether we intended that the shelving

be rated at least 50 pounds per square foot. We confirm that we do mean

pounds per cubic foot, as different facilities use different shelving

schemes, sometimes stacking two, or even three boxes high per shelf. A

cubic foot of wet records can easily weigh 50 pounds.

Security Requirements (Sec. 1228.228(k))

In response to an agency comment, we have clarified paragraph (k)

to permit agencies to require compliance with DOJ Level IV or Level V

facility requirements if the facility is classified at the higher

level. Appendix A contains only Level III requirements. We note that if

an agency requires a commercial records storage facility to implement

higher security requirements, the agency must furnish the facility with

those requirements as part of its contract specifications.

Integrated Pest Management (IPM) Program (Sec. 1228.228(m))

One agency strongly endorsed the requirement to have an IPM program

while another agency stated that it does not seem reasonable to require

the same level of pest control in records storage areas as in food

preparation areas. The IPM program is a systemic approach to pest

management, and not a ``level of pest control'' exclusively for food

preparation areas, and we have made no changes to this paragraph.

Mechanical and Electrical Equipment in Records Storage Areas

(Sec. 1228.228(n))

Several respondents misunderstood that Sec. 1228.228(n) applies

only to new records storage facilities, i.e., facilities established or

converted to use as records storage facilities on or after January 3,

2000. We have rewritten the introductory text to emphasize this more

strongly.

In response to several comments questioning the prohibition on

mechanical and electrical equipment in records storage areas, we have

clarified that our intent was to avoid transformers, switchgear, and

large motors, not lighting and code-required illuminated signs. We have

split the proposed paragraph (n)(1) into separate paragraphs for

mechanical and electrical equipment. Mechanical equipment containing

motors rated in excess of 1 HP and high-voltage electrical distribution

equipment (i.e., 13.2 kv or higher switchgear and transformers) are

prohibited in this final rule. We did not adopt an agency's

recommendation that high efficiency gas HVAC units with open flames be

permitted in smaller records storage areas, given both the fire risk

and the pollution risk, and the minimal impact of requiring the unit to

be installed exterior to the records storage area.

Two agencies questioned the requirement for new facilities to

provide a redundant source of primary electric service. A redundant

source of electrical service provides a higher level of protection than

batteries for fire alarm and fire protection systems, and is required

only in new facilities. We have clarified that we did not intend to

require instantaneous switching between supplies. A third agency asked

whether exit signs should be included in the requirement for secondary

power. Exit sign power is regulated by NFPA 101 (1997), Life Safety

Code. NARA does not intend to be more restrictive in this case.

Compartmentalization of Storage Areas (Sec. 1228.230(b))

The requirement in paragraph (b) that each records storage area

must not exceed a total capacity of 250,000 cubic feet of records drew

both strong support and strong opposition in written comments and at

the June 18 meeting. The purpose of this requirement was to limit the

loss of Federal records in a catastrophic fire where the fire

suppression system failed to contain a fire. One respondent from a firm

that makes records storage vaults stated that

``* * * From a practical application, there is no doubt these

improvements will drastically improve the risk profile of the

records center and reduce losses should a fire occur. One only has

to view the lessons learned from the fires at [four commercial

storage facilities] to confirm what NARA has suggested. * * * [Two

facilities] suffered total losses in warehouses where open space

storage and high bay ceiling were in use. * * * [One facility]

utilized demising walls and the fire was stopped at the first

demising wall as this allowed the fire department to create a

perimeter defense due to the fact that the fire could not breach the

surrounding walls. Compartmentalization does work. * * * [In the

fourth] fire, the demising walls and the low ceiling worked to limit

the loss to 4,000 boxes when 100,000 were at risk. Clearly this

design was most effective. An intelligent analysis of these fires

points out that the NARA Standard is based on performance in actual

fires and the resultant damage. Large open warehouses without in-

rack sprinklers are destined to a complete loss as the fire is not

only unstoppable but unfightable.''

A major commercial records storage vendor stated that the

limitation of records storage areas ``will result in tremendous costs

to retrofit existing buildings especially considering the additional

ventilation problems which will have to be addressed.'' The vendor also

stated that ``without substantial renovations, both existing commercial

and NARA records centers will be virtually disqualified from further

consideration.'' NARA records centers meet this requirement now, as do

any agency records centers that were approved under the previous

subpart K or that procured their records center space through the

General Services Administration. The representative of the storage

vault firm noted in his comments that many commercial

[[Page 67637]]

records centers would be able to comply.

From the lessons NARA learned from the 1973 fire that destroyed the

top floor of the St. Louis National Personnel Records Center and that

have been confirmed with the commercial sector fires in the past year,

we believe that it is essential to provide safeguards against

catastrophic loss of Federal records in a fire. We recognize, however,

that commercial storage facilities have different space configurations

and that they may not want to or be able to modify a facility to

conform to this requirement. Therefore, we modified Sec. 1228.230(b) as

recommended by a Federal agency with extensive experience with

commercial storage facilities. Paragraph (b) in this final rule

provides that if the facility does not have fire compartmentalization

in its records storage areas or the storage compartments are larger

than 250,000 cubic feet, no more than 250,000 cubic feet of Federal

records may be stored in the records storage area.

Fire Barrier Walls (Sec. 1228.230(c)-(f))

In response to an agency comment, we have modified paragraph

(c)(2), which applies to new facilities only, to permit one or more

knock-out panels in one exterior wall of each stack area instead of

designing that wall with a maximum fire resistive rating of one hour.

We also clarified in paragraph (f) that fire doors that maintain the

same rating as the wall are permitted.

Roof Support Structures (Sec. 1228.230(g))

Two agencies questioned the requirement that roof support

structures that cross or penetrate fire barrier walls must be cut and

supported independently. Both agencies were concerned that it may be

extremely difficult to achieve; one of the agencies suggested that the

requirement be imposed for new facilities only. We disagree. This

requirement was also in the existing regulation, which has been in

effect for the past 17 years for NARA and agency records centers. It is

not unreasonable to design a facility to avoid a roof collapse from

bringing down the fire wall.

Automatic Roof Vents (Sec. 1228.230(j))

One agency and PRISM International questioned the prohibition on

automatic roof vents. We agree that appropriately designed roof vents

whose sole purpose is to ventilate a fully involved fire are effective.

We have modified this section to continue to prohibit automatic roof

vents in new facilities for routine ventilation purposes, because they

are a source of later leakage, but to permit automatic vents designed

solely for venting in case of a fire.

300 Cubic Feet Limit on Loss of Records (Sec. 1228.230(s))

Several vendors expressed the view in their written comments and at

the public meeting that limiting loss of records to 300 cubic feet per

incident is unreasonable, even though we noted in the proposed rule

that this maximum limit has been set to reflect what current sprinkler

technology can guarantee. The 300 cubic feet loss per incident is a

design objective, based on live fire testing. It means that if the

system works as intended (i.e., has not been sabotaged, is properly

maintained, etc.) that the anticipated or likely loss will not exceed

300 cubic feet. This has been demonstrated in three separate live fire

tests, each test including multiple burns, and in no case did the

damage exceed 300 cubic feet.

Several questions were asked at the public meeting concerning

whether NARA's existing facilities meet the 300 cubic feet standard and

any testing or certification process used. NARA staff stated that

NARA's centers meet the fire-safety requirements, which have been in

place since at least 1982. The live fire tests were conducted for NARA

by Factory Mutual and Underwriters Laboratory (compact shelving) during

the 1970's and 1980's. NARA's centers were designed to the standard by

fire professionals, but there was no certification process in place

under the previous regulation.

In this final rule, we have moved Secs. 1228.232 (agency

certification of fire-safety detection and suppression systems) and

1228.234 (NARA's certified system) to Sec. 1228.242 and Appendix B,

respectively.

Environmental Controls (Sec. 1228.232)

The Society of American Archivists (SAA), two agencies, and an

underground storage provider commented on this section (Sec. 1228.236

in the proposed rule). SAA stated its view that ``while in an ideal

world permanent records would be stored in an environment suitable for

permanent records from the beginning of their life cycle, the proposed

NARA regulations strike a reasonable compromise for the real world.''

One agency questioned why humidity control was not a requirement for

permanent paper records, while the underground storage provider pointed

out that its salt mine temperature and humidity levels would fall

within the specifications for office space air conditioning. The cited

ASHRAE standards in paragraph (c) address temperature, humidity, and

air exchange aspects of air conditioning. If an underground facility

can meet all three aspects of the standards, its natural air

conditioning would be permitted.

The other Federal agency questioned what standards should be

applied to mixed-media records, e.g., combined microfiche and paper

records. This is a problem not just for the Department of Defense (DOD)

and NARA at our St. Louis facility, but for other agencies that may

retire files that are primarily paper-based records but also contain

microforms, x-rays, photographs, or other nontextual records. While the

ideal solution is for agencies to segregate their nontextual records

before sending them for storage, it is not an easily achievable

solution. We will review this issue further and address it in a future

rulemaking.

Waivers of Requirements (Secs. 1228.236 and 1228.238)

In response to written comments and discussion at the public

meeting, we have added two new sections to address when and how NARA

would consider waiving a requirement in this subpart.

We will consider waiving a requirement in three situations--(1)

when a system, method or device is equivalent or superior to a

requirement prescribed in the NARA regulation; (2) for an agency

records center that met the previous NARA standards but does not meet a

new standard (e.g., environmental controls for permanent nontextual

records); and (3) for roof-related requirements for underground storage

facilities. The information to be provided and NARA's procedure for

processing and approving waiver requests are specified in new

Secs. 1228.236 and 1228.238. We are delaying the effective date for

these sections to permit public comment on them.

Time Limits for Removing Records From a Noncompliant Records

Storage Facility (Sec. 1228.240)

In response to agency comments, we are clarifying both

Sec. 1228.240(a) in this final rule and Sec. 1228.156 in a related

final rule published elsewhere in this separate part of the Federal

Register to require agencies to complete removal of records from

noncompliant storage facilities within 18 months after initial

discovery of the deficiencies.

Content of Requests for Agency Records Centers (Sec. 1228.240(c))

Proposed Sec. 1228.240(a)(1) contained a requirement that an agency

that proposes to store its records in an agency records center operated

by

[[Page 67638]]

another agency must obtain NARA's approval to do so. We have clarified

Sec. 1228.240(c) to include requests for approval in this situation and

to note that such requests do not have to provide documentation of

compliance with the standards in this subpart (the agency-owner/

operator will have provided the documentation).

We also recognize that some agencies may have had unofficial

records storage facilities that did not meet the standards of the

previous regulation. In response to one agency's suggestion, we have

added a new paragraph (c)(2) to allow those agencies to submit requests

for approval of an existing agency records center with a plan to bring

the facility into compliance with current requirements within a three-

year period.

Certification of Fire-Safety Detection and Suppression System

(Sec. 1228.242)

The proposed rule contained a requirement in proposed Sec. 1228.232

that any fire-safety detection and suppression system undergo

independent live testing to be certified as meeting the requirements of

Sec. 1228.230(s). We received a number of written comments and comments

at the public meeting opposing this requirement because it is too

costly. We have reconsidered our position that full testing is the only

way to demonstrate compliance. We have moved the revised section to

Sec. 1228.242, and offer three alternatives for documenting compliance:

A statement that the facility is using a NARA-certified

system described in Appendix B.

A report of the results of independent live fire testing.

A report of the results of computer modeling and a

certification by a licensed FPE that the system has been designed to

meet the requirement of Sec. 1228.230(s).

NARA will approve systems within 10 work days if the facility has

used a previously approved system design or the system is documented

through live fire testing. For systems documented through the third

alternative, NARA will give its approval within 30 calendar days if, in

NARA's judgement, the system clearly demonstrates compliance with

Sec. 1228.230(s). If NARA questions whether the documentation

demonstrates compliance, NARA will consult the appropriate industry

standards body or other qualified expert before making the

determination.

NARA Inspection of Records Storage Facility (Sec. 1228.244)

In response to an agency comment, we have added a paragraph that

NARA will contact the agency operating a records center or holding a

contract with a commercial facility in advance to set a date for the

inspection.

OMB Review Under Executive Order 12866

This rule is a significant regulatory action for the purposes of

Executive Order 12866, and has been reviewed by OMB at both the

proposed and final rule stages. It is deemed significant because it is

a NARA regulatory plan regulation. It is also deemed significant in

accordance with section 3(f)(4) because it is related to the new

reimbursable records center program.

Congressional Review of Agency Rulemaking

This rule is not a major rule as defined in 5 U.S.C. Chapter 8,

Congressional Review of Agency Rulemaking.

Regulatory Flexibility Act (RFA) Certification

Background

Several respondents questioned NARA's certification statement in

the proposed rule, which stated ``As required by the Regulatory

Flexibility Act, we certify that this proposed rule will not have a

significant impact on small entities.'' 1 The question was

first raised at the June 18, 1999, public meeting. At that time, NARA

staff stated that NARA had not done any formal cost analysis to support

this certification and invited attendees to provide comments on the

adequacy of that statement.

---------------------------------------------------------------------------

\1\ As discussed in the document published September 15, 1999,

at 64 FR 50028, the certification statement in the proposed rule

inadvertently omitted the phrase ``a substantial number of '',

although NARA intended that phrase to be part of the statement.

---------------------------------------------------------------------------

Two respondents, Underground Vaults and Storage, Inc. and Iron

Mountain, specifically commented that the regulation would have a

significant impact on small business. Underground did not state a

specific cost. Iron Mountain, one of the largest records center vendors

in the United States, asserted that the limitation of storage areas to

40,000 sq. ft. (Sec. 1228.222) would require that company to spend

approximately $500,000 to retrofit each of its existing buildings.

Extrapolating that figure to 2,400 small businesses providing records

management services, Iron Mountain stated that the cost would be $1.2

billion to small businesses if each business only operated one similar

sized center. A third respondent, Hugh Smith (Firelock) stated that

smaller vendors are better able to meet the proposed standards because

they have smaller warehouses than the larger vendors. PRISM

International questioned which of the RFA requirements NARA had used to

review the proposed rule. Additionally, some records storage facilities

wrote to their members of Congress stating that the proposed rule would

have a significant impact on them but did not specify any cost.

After evaluating these comments, NARA decided to publish an initial

regulatory flexibility analysis (analysis) to provide further

information and opportunity for public comment on the small business

impact, if any, of the proposed rule. When the document was published

in the Federal Register, NARA encouraged wide review of the analysis by

posting it on NARA's web site with the proposed rule, and sending

notifications to PRISM International, ARMA, SAA, NAGARA, and the

Records Management and Archives List Serves. Additionally, NARA

notified agency records officers of the availability of the analysis

for comment and sought information on current and planned agency use of

commercial records centers to assist in the assessment of the potential

impact on small businesses.

Succinct Statement of the Need for, and Objectives of, the Rule

Current records center standards were last issued in 1982. They

cite outdated industry standards and do not reflect other government-

wide requirements that have been imposed since 1982. The 1982

regulation addresses only officially established agency records

centers, although NARA Federal records centers voluntarily conform to

that regulation. It is necessary to update the standards applicable to

agency records centers and NARA centers to reflect these changes.

Moreover, as more agencies are turning to the private sector for off-

site storage, NARA finds that it is necessary to explicitly require

agencies to ensure that records in their legal custody are stored in

appropriate space wherever the records are stored.

Federal records provide essential documentation of the Federal

Government's policies and transactions and protect rights of

individuals. These records must be stored in appropriate space to

ensure that they remain available for their scheduled life.

NARA is authorized, under 44 U.S.C. 2907, to establish, maintain

and operate records centers for Federal agencies. NARA is authorized,

under 44 U.S.C. 3103, to approve a records center that is maintained

and operated by an agency. NARA is also authorized to promulgate

[[Page 67639]]

standards, procedures, and guidelines to Federal agencies with respect

to the storage of their records in commercial records storage

facilities. See 44 U.S.C. 2104(a), 2904 and 3102.

Comments Received in Response to Initial Regulatory Flexibility

Analysis

NARA received comments on the analysis from PRISM International, 4

small businesses that provide records services, 2 other records storage

businesses that did not specifically identify whether they were small

businesses, and 2 consultants. Additionally 12 Federal agencies, or

components of agencies, responded to the letter to records officers. We

have carefully reviewed the comments and considered them before issuing

this final rule.

Summary of the Significant Issues Raised by the Public Comments in

Response to the Initial Regulatory Flexibility Analysis

The public comments on small business impact generally concerned

three significant issues:

(1) Availability of alternative standards. PRISM and four records

storage businesses argued that adherence to NFPA standards 13, 231, and

231C and local building codes provide sufficient protection for records

in commercial records centers. One small business added that the

proposed rule would ``effectively quadruple the fire protection

requirements of Federal Records Centers and for commercial records

centers storing government records.'' (We note, however, that NARA's

Federal records centers meet the fire protection requirements now.)

Another small business recommended waiving the 250,000 cubic foot

limitation for facilities that can gain certification of compliance

with NFPA 232A.

(2) The cost of structural changes to comply with the proposed

rule. One small business identified the requirement to have records

storage areas no larger than 250,000 cubic feet to be of particular

concern. This business estimated that its cost to construct fire walls

would be over $250,000, and that the walls would significantly reduce

the efficiency of the workflow within the building. The commenter also

projected losing $600,000 of potential gross revenues from potential

Federal agency customers within their service area during the first

year if the fire walls had to be constructed prior to moving in Federal

customers.

Another records storage firm, which did not identify whether it was

a small business, stated that adopting the proposed NARA rules would

increase capital costs by 216 percent. The commenter identified the

following specific areas where costs would be affected by NARA

requirements: height/module restriction; seismic requirements*;

interior 4-hour fire-walls 20 feet high; fire suppression; fire

protection; added mechanical room for equipment; added mechanical

equipment/HVAC; exterior 1-hour wall; 2 sides to access all modules;

electrical/security system; and Level III security measures.* (Starred

items are government-wide, not NARA, requirements. We note that in this

final rule, there are no height restrictions and the module (records

storage compartment) size restriction relates to the number of Federal

records that can be stored in a module, not to the size of the module

itself.)

PRISM International stated that building costs would more than

triple under NARA's proposed requirements, and provided the results of

a study done for PRISM by Hanscomb, Inc., an international construction

consultant firm, in support of that statement. PRISM also commented

that live fire tests required to obtain certification for alternate

storage and fire protection designs were very expensive, costing

$250,000 or more.

In its comments on the proposed rule prior to the publication of

the September 15 analysis, Iron Mountain (which is not a small

business) asserted that the limitation of storage areas to 40,000 sq.

ft. (Sec. 1228.222) would require that company to spend approximately

$500,000 to retrofit each of its existing buildings. Iron Mountain

further asserted that there are 2,400 small businesses providing

records management services; extrapolating its costs to this universe,

Iron Mountain stated that the cost would be $1.2 billion to small

businesses if each business only operated one similar sized center.

Several other public comments expressed concern that the cost of

alterations needed to comply with the NARA requirements would

discourage or prevent small businesses from doing business with the

Federal Government.

(3) Adoption of NARA standards for non-Federal records. PRISM and

two records storage firms raised concerns that private sector

businesses might incorporate the NARA standards as technical

specifications for storage of general business records. These

commenters stated that such an action would stifle competition and

raise prices.

Other issues. In addition to these three issues, several commenters

reiterated their general concerns over the appropriateness of stringent

standards for most Federal records and the applicability of the

regulation to underground storage facilities, which are addressed

elsewhere in this Supplementary Information.

Summary of NARA's Assessment of Such Issues

(1) Availability of alternative standards. As noted earlier in this

Supplementary Information, we believe that Federal records require a

greater level of protection against fire damage and loss than stocks of

paper being stored as a commodity. Commodities can easily be replaced

if damaged or lost; records containing evidence of Federal agency

actions, individual rights, and fulfillment of individual and

organizational obligations to the Federal government cannot be

replaced. We also note that the professional organization responsible

for developing and issuing fire protection standards, the National Fire

Protection Association (NFPA), also recognizes that protection of

records is distinct from protection of commodities. Since the adoption

of the original edition of NFPA 232A, Guide for Fire Protection of

Archives and Records Centers in 1970, the NFPA has recognized that

large collections of inactive records is not the same as protecting

bulk storage of recycled paper or new bond paper in bulk, and that

separate guidance was needed.

In August 1999, NFPA and ANSI adopted a new NFPA 230, Standard for

the Fire Protection of Storage (1999) and revised NFPA 13, Standard for

the Installation of Sprinkler Systems (1999). Because these standards

were adopted after the proposed NARA rule was published, we have not

incorporated them in this final rule. We intend to do so at the next

revision of this rule, which will be subject to public comment.

Nevertheless, we considered the action of NFPA indicative of the fire

protection industry's assessment of the adequacy of the editions of

NFPA 13, 231, and 231C in effect prior to August 13, 1999. NFPA 230

(1999) cancelled NFPA 231, Standard for General Storage (1998) and NFPA

231C, Standard for Rack Storage (1998). The sprinkler-specific

information from these canceled Standards was transferred to NFPA 13

(1999), which now includes a special hazard classification of ``high

piled storage'' that can be used for the bulk storage of paper products

over 12 feet high.

NFPA has clearly stated that the Technical Committee on General

[[Page 67640]]

Storage (formerly responsible for NFPA 231, General Storage and now

responsible for NFPA 230, Standard for the Fire Protection of Storage)

does not have responsibility for the protection of records: ``This

Committee shall have primary responsibility for documents on

safeguarding general warehousing and commodities against fire where

stored indoors or outdoors. This Committee does not cover storage that

is specifically covered by other NFPA standards.'' 2 The

Technical Committee for Rack Storage (formerly responsible for NFPA

231C, Rack Storage) has clearly excluded the storage of records from

the scope of NFPA 231C (see section 1-1 Application and Scope).

---------------------------------------------------------------------------

\2\ NFPA Committee List 1999, page 59. See also NFPA 230 section

1-1.2 ``This standard shall not apply to the following: . . . (d)

Inside or outside storage of commodities covered by other NFPA

standards, except where specifically mentioned herein (e.g.,

pyroxylin plastics).''

---------------------------------------------------------------------------

For these reasons, we reiterate our view that use of NFPA 13, 231,

and 231C as the sole fire protection standard for records centers is

not an appropriate alternative, even for small businesses.''

We also considered the alternative offered by one small business to

waive the 250,000 cubic foot limitation for facilities that can gain

certification of compliance with NFPA 232A. Because NFPA 232A is a

guide, its provisions are cast in advisory language, e.g., ``Complete

automatic sprinkler protection should be provided, including waterflow

alarms * * *'' [NFPA 232 (1995) section 6-2.3(b)]. We note that NFPA

232A limits fire chambers to 40,000 square feet, which could allow

storage of more than 250,000 cubic feet if higher shelving is used.

NARA would be willing to grant a waiver to a small business if the

business documents that it has adopted all of the provisions of NFPA

232A, i.e., it has adopted the recommendations as if they were

mandatory. The waiver would be processed under Sec. 1228.236.

(3) The cost of structural changes to comply with the proposed

rule. The small business did not provide a detailed breakdown of its

estimate of $250,000 to construct fire walls to create storage

compartments with a capacity of 250,000 cubic feet of records. With the

changes we have made in this final rule, however, the business would

incur costs for constructing fire walls only if it intended to store

more than 250,000 cubic feet of Federal records. The number of fire

walls needed would vary depending on the number of compartments into

which Federal records might be placed. Consolidating Federal holdings

in the fewest possible compartments would reduce the need for and cost

of building fire walls. Two large compartments could hold 250,000 cubic

feet each, or a total of 500,000 cubic feet of Federal records.

We carefully reviewed the cost data provided by PRISM's consultant,

Hanscomb. Hanscomb based its cost data on a hypothetical new center

built to comply with the NARA proposed standards against a new

commercial records center with a capacity of 907,000 storage locations

(we assume that storage location refers to typical 1.1 cubic foot

records storage boxes, and that 907,000 storage locations is similar to

NARA's 1,000,000 cubic foot volume calculation).

The Hanscomb cost estimate contains several significant

misinterpretations of the proposed NARA standards, which result in a

grossly overstatement of the cost of a new records center built to the

proposed NARA standards. Hanscomb estimated the total cost of

structural changes to conform the new center to the proposed NARA

standards to be $7,637,361. When we adjusted for the errors due to

misinterpretation, the revised estimate (using Hanscomb's figures and

15 foot high shelving scenario) would be $2,508,294 for NARA-imposed

requirements, and another $180,000 for government-wide security and

pest management requirements. If the new center used higher shelving

configurations, which the final rule clearly allows, the cost for NARA-

imposed requirements would be significantly lower. A detailed

discussion of Hanscomb's cost estimate and our adjustments is provided

in Appendix A to this preamble, which appears at the end of this rule

document.

Because both Hanscomb and another records center commenter

misunderstood the requirement to design and install shelving in

accordance with Executive Order 12941 or Executive Order 12699, we have

restated the requirement as designing and installing shelving in

accordance with the applicable regional building code. This should

clarify that there is no additional cost for the NARA requirement.

In evaluating the comments on the analysis we also carefully

considered Iron Mountain's comments on the cost of compliance. We

assume that Iron Mountain meant constructing fire barrier (demising)

walls to limit the capacity of records storage areas to 250,000 cubic

feet, since the proposed rule did not set a square foot limit. In this

final rule, we allow this requirement to be met through limiting the

number of Federal records stored in a records storage area that does

not meet the 250,000 cubic feet limit. We believe that this change

would accommodate small records storage vendors in particular. We also

believe that it is likely that Iron Mountain, which is not a small

business, already meets that requirement. Iron Mountain holds a General

Services Administration FSS multiple award schedule contract to provide

records center storage to Federal agencies. The GSA contract requires

Iron Mountain to meet NARA specifications in effect prior to this final

rule which include the requirement for storing records no higher than

15 feet in storage areas no larger than 40,000 sq. ft.

No other comments were offered on the cost for existing records

centers to comply with the regulation. The Health Care Financing

Administration (HCFA), whose 54 contractors store Medicare records in

both small and large commercial records centers, reported that the

agency required the records center vendors used by its contractors to

adhere to the existing NARA facility standards in 36 CFR 1228.220, or

obtain a temporary waiver. All commercial storage facilities currently

used by HCFA's contractors either fully or closely meet the standard.

The Department of the Army also reported that its previous commercial

storage facility in Seattle, a small business that was bought out by

Iron Mountain, complied with standard except for using a dry-sectional

sprinkler system instead of a wet sprinkler.

We acknowledge PRISM's statement that live fire testing is very

expensive, and as noted earlier in this SUPPLEMENTARY INFORMATION, we

have modified the requirement in this final rule to allow less

expensive methods of certifying fire detection and suppression systems.

Adoption of NARA standards for non-Federal records. We acknowledge

the concern that NARA's requirements for storage of Federal records may

be adopted by some private sector companies. The NFPA Technical

Committee on Records Protection has proposed a new standard that will

address the storage of general business records, which will provide

businesses an alternative standard that they can cite in their

solicitations for records storage services. Nevertheless, NARA has the

obligation to determine what level of protection is required for

Federal records, wherever they are stored--in NARA records centers,

agency records centers or private sector centers.

We do not agree that the NARA requirements will necessarily stifle

competition. Indeed, small business

[[Page 67641]]

records centers that meet the NARA requirements should be able to

compete successfully against the dominant Iron Mountain/Pierce Leahy

centers for Federal business.

Statement of Any Changes Made in the Proposed Rule as a Result of Such

Comments

As discussed previously in this SUPPLEMENTARY INFORMATION, we have

made a number of changes in the proposed rule as the results of the

comments we received. The following changes, in particular, are

intended to reduce the burden of this regulation on small businesses:

The 250,000 cubic feet limitation on the size of the

storage compartment has been modified to allow storage of no more than

250,000 cubic feet of Federal records in an uncompartmentalized

facility or in each larger capacity compartment. We note that all but

one of the Federal agencies that responded to our request for

information on their use of commercial facilities reported that they

store no more than 250,000 cubic feet of records in any one facility,

and that most store considerably less than this amount. The one agency

that did not report a maximum volume or range of holdings in commercial

centers is unlikely to store more than 250,000 cubic feet in a single

center (1.5 million cubic feet are stored in at least 54 locations).

We are providing a procedure to grant waivers of certain

requirements for alternative methods that provide equal or better

protection.

We are providing alternative ways to certify a facility's

fire detection and suppression system.

We have modified provisions relating to roof-mounted

equipment and piping in storage areas to provide more flexibility in

meeting those requirements.

We have made changes that will clearly allow underground

storage facilities to be considered for storage of Federal records.

Description of and an estimate of the number of small entities to

which the rule will apply or an explanation of why no such estimate is

available:

As we stated in the Analysis published on September 15, 1999, we

identified commercial records storage facilities as small entities if

they met the Small Business Administration (SBA) definition of a small

business under Standard Industrial Code (SIC) 4226, Special Warehousing

and Storage, Not Elsewhere Classified. For SIC 4226, an SBA small

business must have annual gross receipts of $18.5 million or less.

According to census figures furnished to NARA by SBA, there are 1,230

firms in SIC 4226. Most of these firms do not have multiple

establishments (the number of SIC 4226 establishments is 1,547). We

received no comments on our selection of this SIC as the appropriate

classification for small business records storage vendors.

We stated in the Analysis that we did not have an estimate of the

number of small businesses to which the rule would apply because

agencies are not required, under existing regulations, to report to

NARA when they contract with the private sector for records storage

services. Even if we assume that all 1,230 firms in SIC 4226 would be

interested in an opportunity to provide records storage services for

the Federal government, we estimate that the number of firms that would

be offered such an opportunity is much more limited.

We specifically invited comments from agencies on any contracts

that they currently hold with small businesses and any plans that they

have to contract with small businesses for records center services in

the next 2 years. Twelve agencies responded. Eleven of the agencies

store some records in commercial records centers; all but two of these

store their records only in centers operated by one of the two largest

businesses. One regional office in Seattle currently uses a small

business to store 8,500 cubic feet of records but plans to move ``a

fair amount'' of the records to a NARA center within the next year.

HCFA reported that its Medicare contractors use a combination of large

and small business commercial facilities that are local to the

contractor. The HCFA contractors store a total of 1,469,115 cubic feet

of Medicare records (which are Federal records). FDIC stores a total of

3 million cubic feet in 47 large business commercial facilities. The

three agencies with the next highest volume of records stored in

commercial facilities also reported that they used only large

businesses.

We believe that the continued trend toward consolidation of the

records storage industry, will also have an impact on small business

records centers' ability to compete for Federal business. In recent

years, the two largest commercial records storage companies have

acquired a large number of small and medium sized records storage

companies, and these two large companies have now announced their

intention to merge.

At present, the General Services Administration's Multiple Award

Schedule (MAS) for Records Center Services (FSS-36-IV sin 51 504) has

listed only two qualified companies, the large businesses discussed in

the previous paragraph. The procurement process that an agency must

follow when using an MAS or when entering into an interagency agreement

with NARA or another Federal agency to provide records center services

is much simpler than the process it must use when seeking open market

services.

The agency responses to NARA's request for agency comment and the

ease with which agencies can contract with large centers through the

MAS lead us to believe that it is highly unlikely that more than ten

percent of the small businesses in SIC 4226 would be offered an

opportunity to provide commercial storage services for Federal

agencies. We do not regard this number as a substantial number of small

entities.

Description of the projected reporting, recordkeeping and other

compliance requirements of the rule, including an estimate of the

classes of small entities which will be subject to the requirement and

the type of professional skills necessary for preparation of the report

or record:

Reporting/recordkeeping requirements: The rule does not directly

mandate reporting or recordkeeping within the meaning of the Paperwork

Reduction Act. All reporting requirements are placed on Federal

agencies, which must secure NARA approval before moving Federal records

to a commercial records center. NARA anticipates that the Federal

agencies would include 36 CFR part 1228, subpart K (the facility

standards) in their contracts with commercial records centers. Section

1228.240(e) states that the agency may submit to NARA ``a copy of the

agency's contract that incorporates this subpart in its provisions or a

statement from the agency records officer that certifies that the

facility meets the standards in this subpart.''

Other compliance requirements: All records centers that store

Federal records, including commercial records centers operated by small

businesses, must comply with the facility requirements in the rule.

Certain specific requirements differ for newly constructed facilities

and existing facilities. Also, existing facilities are allowed a 10-

year period to become compliant with some of these requirements. The

facility compliance requirements are found in Secs. 1228.228, 1228.230,

and 1228.232 of this final rule.

Professional skills necessary for preparation of report or record:

If the records center owner has maintained the facility design records,

no special professional skills would be necessary

[[Page 67642]]

to provide documentation to the contracting agency that the facility

meets the NARA standards. If the design records are not available, the

center would have need for the services of a licensed Fire Protection

Engineer to inspect the facility and prepare a report on a one-time

basis. We estimate that the inspection and preparation of a report

would take no more than 8 hours total. We received no public comment on

this estimate, which was published in the September 15 Analysis.

Description of the steps the agency has taken to minimize the

significant economic impact on small entities consistent with the

stated objectives of applicable statutes, including a statement of the

factual, policy, and legal reasons for selecting the alternative

adopted in the final rule and why each one of the other significant

alternatives to the rule considered by the agency which affect the

impact on small entities was rejected.

To the extent possible, the rule specifies performance standards

and incorporates by reference industry consensus standards. NARA chose

this alternative over the other possible regulatory approach--extending

the coverage of the existing regulation that governed agency records

centers to all providers of records storage services to the Federal

government--to provide as much flexibility as possible to all

commercial and agency records centers, including small businesses. To

further minimize significant economic impact on small entities as much

as possible, we are also adopting a procedure for granting a waiver

from specific standards when a facility has an alternative that is

equal or superior to the NARA requirement. We also believe that the 10-

year period we provide for complying with certain requirements will

moderate the impact on small businesses since they will be able to plan

for the necessary modifications and implement them during normal

maintenance, e.g., removing roof-mounted equipment when roof repairs or

replacement is done. We have further clarified the accompanying rule,

Storage of Federal Records, published elsewhere in this separate part

of the Federal Register, to emphasize that a facility is in compliance

with these standards if the facility does not yet meet the requirements

that will go into effect in 2009.

NARA could not adopt an alternative that exempted small entities

from the standards, given the objective of ensuring appropriate

protection for Federal records when they leave agency office space. For

the reasons discussed previously in this SUPPLEMENTARY INFORMATION

section, we also could not adopt an alternative that required small

entities to comply only with local building codes or NFPA codes

governing sprinkler systems.

Statement of Factual Basis for Certification

Under the RFA, at the time it publishes a proposed rule in the

Federal Register, an agency must either prepare and publish a

regulatory flexibility analysis, or must publish a certification that

the regulation will not have a significant economic impact on a

substantial number of small entities. The certification must be

accompanied, at either the proposed rule or final rule stage, with a

statement providing the factual basis for such certification. The

statement providing the factual basis for our certification is provided

here.

Although the final rule may have a significant economic impact on a

small number of small businesses that wish to store records for the

Federal Governement and that are entering the records storage business

for the first time, we believe that the rule will not have a

significant economic impact on a substantial number of small entities

for several reasons:

(1) The number of small businesses that currently provide or are

likely to provide records storage services to the Federal government is

low, as reflected in the agency responses that NARA received.

(2) Those small businesses that do provide records storage services

can store up to 250,000 cubic feet of Federal records without having to

construct interior fire walls. From the agency responses that NARA

received, most agency contracts for commercial storage are well below

250,000 cubic feet per facility. Only one agency reported 250,000 cubic

feet of records in a single facility, and that was a large business.

Although construction of interior fire walls would be a significant

expense for small businesses, the revised limit on the number of

records that can be stored in a storage compartment and the removal of

the implicit limit of 15 feet on shelving records have eliminated this

as a source of significant economic impact.

(3) The agencies that use small businesses to provide their records

storage report that those facilities fully or almost completely comply

with the more restrictive existing NARA standards. Consequently, there

should be no significant economic impact to bring these small

businesses into compliance with the general facility standards in this

final rule. Where NARA itself is imposing other new requirements, e.g.,

environmental controls for permanent paper and nontextual records, the

requirements have either been in force elsewhere in NARA regulations

for three or more years or are required to be phased in over a 10-year

period. Additionally, the environmental controls requirements will

apply to only a small percentage of Federal records that would be

stored in records centers. Only that area of a records center that will

contain these records must be adapted for environmental controls.

Alternatively, a records center could choose to store only temporary

paper records, and not incur these costs.

List of Subjects in 36 CFR Part 1228

Archives and records, Incorporation by reference.

For the reasons set forth in the preamble, NARA amends part 1228 of

title 36, Code of Federal Regulations, as follows:

PART 1228--DISPOSITION OF FEDERAL RECORDS

1. The authority citation for part 1228 continues to read as

follows:

Authority: 44 U.S.C. chs. 21, 29, and 33.

2. Revise subpart K to read as follows:

Subpart K--Facility Standards for Records Storage Facilities

Sec.

General

1228.220 What authority applies to this subpart?

1228.222 What does this subpart cover?

1228.224 Publications incorporated by reference.

1228.226 Definitions.

Facility Standards

1228.228 What are the facility requirements for all records storage

facilities?

1228.230 What are the fire safety requirements that apply to

records storage facilities?

1228.232 What are the requirements for environmental controls for

records storage facilities?

Handling Deviations From NARA's Facility Standards

1228.234 What rules apply if there is a conflict between NARA

standards and other regulatory standards that a facility must

follow?

1228.236 How does an agency request a waiver from a requirement in

this subpart?

1228.238 How does NARA process a waiver request?

Facility Approval and Inspection Requirements

1228.240 How does an agency request authority to establish or

relocate records storage facilities?

[[Page 67643]]

1228.242 What does an agency have to do to certify a fire-safety

detection and suppression system?

1228.244 When may NARA conduct an inspection of a records storage

facility?

Subpart K--Facility Standards for Records Storage Facilities

General

1228.220 What authority applies to this subpart?

NARA is authorized to establish, maintain and operate records

centers for Federal agencies under 44 U.S.C. 2907. NARA is authorized,

under 44 U.S.C. 3103, to approve a records center that is maintained

and operated by an agency. NARA is also authorized to promulgate

standards, procedures, and guidelines to Federal agencies with respect

to the storage of their records in commercial records storage

facilities. See 44 U.S.C. 2104(a), 2904 and 3102. The regulations in

this subpart apply to all records storage facilities Federal agencies

use to store, service, and dispose of their records.

1228.222 What does this subpart cover?

(a) This subpart covers the establishment, maintenance, and

operation of records centers, whether Federally-owned and operated by

NARA or another Federal agency, or Federally-owned and contractor

operated. This subpart also covers an agency's use of commercial

records storage facilities. Records centers and commercial records

storage facilities are referred to collectively as records storage

facilities. This subpart specifies the minimum structural,

environmental, property, and life-safety standards that a records

storage facility must meet when the facility is used for the storage of

Federal records.

(b) Except where specifically noted, this subpart applies to all

records storage facilities. Certain noted provisions apply only to new

records storage facilities.

1228.224 Publications incorporated by reference.

(a) General. The following publications cited in this section are

hereby incorporated by reference into this part 1228. They are

available from the issuing organizations at the addresses listed in

this section. They are also available for inspection at the Office of

the Federal Register, 800 North Capitol Street NW., suite 700,

Washington, DC. This incorporation by reference was approved by the

Director of the Federal Register in accordance with 5 U.S.C. 552(a) and

1 CFR Part 51. These materials are incorporated as they exist on the

date of approval, and a document indicating any change in these

materials will be published in the Federal Register.

(b) American Society of Testing and Materials (ASTM) standards. The

following ASTM standard is available from the American Society of

Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA,

19428-2959, or on-line at www.astm.org:

E 119-98, Standard Test Methods for Fire Tests of Building

Construction and Materials.

(c) National Fire Protection Association (NFPA) standards. The

following NFPA standards are available from the National Fire

Protection Association, 1 Batterymarch Park, P.O. Box 9109, Quincy, MA

02269-9101, or on-line at http://catalog.nfpa.org:

NFPA 10, Standard for Portable Fire Extinguishers (1994

Edition).

NFPA 13, Standard for the Installation of Sprinkler Systems

(1996 Edition).

NFPA 20, Standard for the Installation of Centrifugal Fire Pumps

(1996 Edition).

NFPA 40, Standard for the Storage and Handling of Cellulose

Nitrate Motion Picture Film (1997 Edition).

NFPA 42, Code for the Storage of Pyroxylin Plastic (1997

Edition).

NFPA 72, National Fire Alarm Code (1996 Edition).

NFPA 101, Life Safety Code (1997 Edition).

NFPA 221, Standard for Fire Walls and Fire Barrier Walls (1994

Edition).

NFPA 231, Standard for General Storage (1998 Edition).

NFPA 231C, Standard for Rack Storage of Materials (1998

Edition).

NFPA 232, Standard for the Protection of Records (1995 Edition).

NFPA 232A, Guide for Fire Protection of Archives and Records

Centers (1995 Edition).

(d) Underwriters Laboratory (UL) standards. The following UL

standards are available from the Underwriters Laboratory at www.ul.com

or from Global Engineering Documents, 15 Inverness Way East, Englewood,

CO 80112:

UL 611, Central-Station Burglar-Alarm Systems (February 22,

1996).

UL 827, Central-Station Alarm Services (April 23, 1999).

UL 1076, Proprietary Burglar Alarm Units and Systems (February

1, 1999).

(e) American Society of Heating, Refrigerating and Air-Conditioning

Engineers, Inc. (ASHRAE) standards. The following ASHRAE standards are

available from ASHRAE at ASHRAE Customer Service, 1791 Tullie Circle

NE, Atlanta, GA 30329 or online at www.ASHRAE.org:

ANSI/ASHRAE 55-1992, Thermal Environmental Conditions for Human

Occupancy.

ANSI/ASHRAE 62-1989, Ventilation for Acceptable Indoor Air

Quality.

(f) American National Standards Institute (ANSI) standards. The

following ANSI standards are available from the American National

Standards Institute, 11 West 42nd St., New York, NY 10036:

ANSI/NAPM IT9.18-1996, Imaging Materials--Processed Photographic

Plates--Storage Practices.

ANSI/NAPM IT9.20-1996, Imaging Materials--Reflection Prints--

Storage Practices.

ANSI/NAPM IT9.23-1996, Imaging Materials--Polyester Base

Magnetic Tape--Storage.

ANSI/PIMA IT9.11-1998, Imaging Materials--Processed Safety

Photographic Films--Storage.

ANSI/PIMA IT9.25-1998, Imaging Materials--Optical Disc Media--

Storage.

Sec. 1228.226 Definitions.

The following definitions apply to this subpart:

Auxiliary spaces mean non-records storage areas such as offices,

research rooms, other work and general storage areas but excluding

boiler rooms or rooms containing equipment operating with a fuel supply

such as generator rooms.

Commercial records storage facility has the meaning specified in

Sec. 1220.14 of this chapter.

Existing records storage facility means any records center or

commercial records storage facility used to store records on September

30, 1999, and that has stored records continuously since that date.

Fire barrier wall means a wall, other than a fire wall, having a

fire resistance rating, constructed in accordance with NFPA 221 (1994),

Standard for Fire Walls and Fire Barrier Walls, Chapter 4.

Licensed fire protection engineer means a licensed or registered

professional engineer with a recognized specialization in fire

protection engineering. For those States that do not separately license

or register fire protection engineers, a licensed or registered

professional engineer with training and experience in fire protection

engineering, operating within the scope of that licensing or

registration, who is also a professional member of the Society of Fire

Protection Engineers.

Must and provide mean that a provision is mandatory.

New records storage facility means any records center or commercial

records storage facility established or converted for use as a records

center or commercial records storage facility on or after January 3,

2000.

Permanent record has the meaning specified in Sec. 1220.14 of this

chapter.

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Records center has the meaning specified in Sec. 1220.14 of this

chapter.

Records storage area means the area containing records that is

enclosed by four fire walls, the floor, and the ceiling.

Records storage facility has the meaning specified in Sec. 1220.14

of this chapter.

Sample/select records means records whose final disposition

requires an analytical or statistical sampling prior to final

disposition authorization, in which some percentage of the original

accession will be retained as permanent records.

Should or may means that a provision is recommended or advised but

not required.

Temporary record has the meaning specified in Sec. 1220.14 of this

chapter.

Unscheduled records has the meaning specified in Sec. 1220.14 of

this chapter.

Facility Standards

Sec. 1228.228 What are the facility requirements for all records

storage facilities?

(a) The facility must be constructed with non-combustible materials

and building elements, including walls, columns and floors. An agency

may request a waiver of this requirement from NARA for an existing

records storage facility with combustible building elements to continue

to operate until October 1, 2009. In its request for a waiver, the

agency must provide documentation that the facility has a fire

suppression system specifically designed to mitigate this hazard and

that the system meets the requirements of Sec. 1228.230(s). Requests

must be submitted to the Director, Space and Security Management

Division (NAS), National Archives and Records Administration, 8601

Adelphi Road, College Park, MD 20740-6001.

(b) A facility with two or more stories must be designed or

certified by a licensed fire protection engineer and civil/structural

engineer to avoid catastrophic failure of the structure due to an

uncontrolled fire on one of the intermediate floor levels.

(c) The building must be sited a minimum of five feet above and 100

feet from any 100 year flood plain areas, or be protected by an

appropriate flood wall that conforms to local or regional building

codes.

(d) The facility must be designed in accordance with regional

building codes to provide protection from building collapse or failure

of essential equipment from earthquake hazards, tornados, hurricanes

and other potential natural disasters.

(e) Roads, fire lanes and parking areas must permit unrestricted

access for emergency vehicles.

(f) A floor load limit must be established for the records storage

area by a licensed structural engineer. The limit must take into

consideration the height and type of the shelving or storage equipment,

the width of the aisles, the configuration of the space, etc. The

allowable load limit must be posted in a conspicuous place and must not

be exceeded.

(g) The facility must ensure that the roof membrane does not permit

water to penetrate the roof. NARA strongly recommends that this

requirement be met by not mounting equipment on the roof and placing

nothing else on the roof that may cause damage to the roof membrane.

Alternatively, a facility may meet this requirement with stringent

design specifications for roof-mounted equipment in conjunction with a

periodic roof inspection program performed by appropriately certified

professionals.

(1) New records storage facilities must meet the requirements in

this paragraph (g) January 3, 2000.

(2) Existing facilities must meet the requirements in this

paragraph (g) no later than October 1, 2009.

(h) Piping (with the exception of fire protection sprinkler piping

and storm water roof drainage piping) must not be run through records

storage areas unless supplemental measures such as gutters or shields

are used to prevent water leaks and the piping assembly is inspected

for potential leaks regularly. If drainage piping from roof drains must

be run though records storage areas, the piping must be run to the

nearest vertical riser and must include a continuous gutter sized and

installed beneath the lateral runs to prevent leakage into the storage

area. Vertical pipe risers required to be installed in records storage

areas must be fully enclosed by shaft construction with appropriate

maintenance access panels.

(1) New records storage facilities must meet the requirements in

this paragraph (h) January 3, 2000.

(2) Existing facilities must meet the requirements in this

paragraph (h) no later than October 1, 2009.

(i) The following standards apply to records storage shelving:

(1) All storage shelving must be designed and installed to provide

seismic bracing that meets the requirements of the applicable regional

building code;

(2) Steel shelving or other open-shelf records storage equipment

must be braced to prevent collapse under full load. Each shelving unit

must be industrial style shelving rated at least 50 pounds per cubic

foot supported by the shelf;

(3) Compact mobile shelving systems (if used) must be designed to

permit proper air circulation and fire protection (detailed

specifications that meet this requirement can be provided by NARA by

writing to Director, Space and Security Management Division (NAS),

National Archives and Records Administration, 8601 Adelphi Road,

College Park, MD 20740-6001.).

(j) The area occupied by the records storage facility must be

equipped with an anti-intrusion alarm system, or equivalent, meeting

the requirements of Underwriters Laboratory (UL) Standard 1076,

Proprietary Burglar Alarm Units and Systems (February 1, 1999), level

AA, to protect against unlawful entry after hours and to monitor

designated interior storage spaces. This intrusion alarm system must be

monitored in accordance with UL Standard 611, Central-Station Burglar-

Alarm Systems (February 22, 1996).

(k) The facility must comply with the requirements for a Level III

facility as defined in the Department of Justice, U. S. Marshals

Service report Vulnerability Assessment of Federal Facilities dated

June 28, 1995. These requirements are provided in Appendix A to this

Part 1228. Agencies may require compliance with Level IV or Level V

facility security requirements if the facility is classified at the

higher level.

(l) Records contaminated by hazardous materials, such as

radioactive isotopes or toxins, infiltrated by insects, or exhibiting

active mold growth must be stored in separate areas having separate air

handling systems from other records.

(m) To eliminate damage to records and/or loss of information due

to insects, rodents, mold and other pests that are attracted to organic

materials under specific environmental conditions, the facility must

have an Integrated Pest Management program as defined in the Food

Protection Act of 1996 (Section 303, Public Law 104-170, 110 Stat.

1512). This states in part that Integrated Pest Management is a

sustainable approach to managing pests by combining biological,

cultural, physical, and chemical tools in a way that minimizes

economic, health, and environmental risks. The IPM program emphasizes

three fundamental elements:

(1) Prevention. IPM is a preventive maintenance process that seeks

to identify and eliminate potential pest access, shelter, and

nourishment. It also continually monitors for pests

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themselves, so that small infestations do not become large ones;

(2) Least-toxic methods. IPM aims to minimize both pesticide use

and risk through alternate control techniques and by favoring

compounds, formulations, and application methods that present the

lowest potential hazard to humans and the environment; and

(3) Systems approach. The IPM pest control contract must be

effectively coordinated with all other relevant programs that operate

in and around a building, including plans and procedures involving

design and construction, repairs and alterations, cleaning, waste

management, food service, and other activities.

(n) For new records storage facilities only, the additional

requirements in this paragraph (n) must be met:

(1) Do not install mechanical equipment containing motors rated in

excess of 1 HP within records storage areas (either floor mounted or

suspended from roof support structures).

(2) Do not install high-voltage electrical distribution equipment

(i.e., 13.2kv or higher switchgear and transformers) within records

storage areas (either floor mounted or suspended from roof support

structures).

(3) A redundant source of primary electric service such as a second

primary service feeder should be provided to ensure continuous,

dependable service to the facility especially to the HVAC systems, fire

alarm and fire protection systems. Manual switching between sources of

service is acceptable.

(4) The facility must be kept under positive air pressure

especially in the area of the loading dock.

In addition, to prevent fumes from vehicle exhausts from entering

the facility, air intake louvers must not be located in the area of the

loading dock, adjacent to parking areas or in any location where a

vehicle engine may be running for any period of time. Loading docks

must have an air supply and exhaust system that is separate from the

remainder of the facility.

Sec. 1228.230 What are the fire safety requirements that apply to

records storage facilities?

(a) The fire detection and protection systems must be designed or

certified by a licensed fire protection engineer.

(b) All walls separating records storage areas from each other and

from other storage areas in the building must be 4-hour fire resistant.

The records storage areas must not exceed a total capacity of 250,000

cubic feet of records each and must be constructed to prevent migration

of fire and smoke to other spaces of the building. If the facility does

not have fire compartmentalization of its records storage area or has

compartmentalized records storage areas larger than 250,000 cubic feet,

the facility may not store more than 250,000 cubic feet total of

Federal records in the records storage area.

(c) Fire barrier walls that meet the following specifications must

be provided:

(1) For existing records storage facilities, at least one-hour-

rated fire barrier walls must be provided between the records storage

areas and other auxiliary spaces.

(2) For new records storage facilities, two-hour-rated fire barrier

walls must be provided between the records storage areas and other

auxiliary spaces. One exterior wall of each stack area must be designed

with a maximum fire resistive rating of one hour, or, if rated more

than one hour, there must be at least one knock-out panel in one

exterior wall of each stack area.

(d) Penetrations in the walls must not reduce the specified fire

resistance ratings. The fire resistance ratings of structural elements

and construction assemblies must be in accordance with American Society

of Testing and Materials E 119-98, Standard Test Methods for Fire Tests

of Building Construction and Materials.

(e) The fire resistive rating of the roof must be a minimum of \1/

2\ hour for all records storage facilities. For new records storage

facilities, the fire resistive rating of the roof must also be a

maximum of 1 hour.

(f) Openings in fire barrier walls separating records storage areas

must be avoided to the greatest extent possible. If openings are

necessary, they must be protected by self-closing or automatic Class A

fire doors, or equivalent doors that maintain the same rating as the

wall.

(g) Roof support structures that cross or penetrate fire barrier

walls must be cut and supported independently on each side of the fire

barrier wall.

(h) If fire barrier walls are erected with expansion joints, the

joints must be protected to their full height.

(i) For new records storage facilities, building columns in the

records storage areas must be 4-hour fire resistant from the floor to

slab above or to the location where they connect to the roof framing

system. For existing records storage facilities, the building columns

must be at least 2-hour fire resistant.

(j) Automatic roof vents for routine ventilation purposes must not

be designed into new records storage facilities. Automatic roof vents,

designed solely to vent in the case of a fire, with a temperature

rating at least twice that of the sprinkler heads are acceptable.

(k) Where lightweight steel roof or floor supporting members (e.g.,

bar joists having top chords with angles 2 by 1\1/2\ inches or smaller,

\1/4\-inch thick or smaller, and \13/16\-inch or smaller web diameters)

are present, they must be protected either by applying a 10-minute fire

resistive coating to the top chords of the joists, or by retrofitting

the sprinkler system with large drop sprinkler heads. If a fire

resistive coating is applied, it must be a product that will not

release (off gas) harmful fumes into the facility. If fire resistive

coating is subject to air erosion or flaking, it must be fully enclosed

in a drywall containment constructed of metal studs with fire retardant

drywall. Retrofitting may require modifications to the piping system to

ensure that adequate water capacity and pressure are provided in the

areas to be protected with these large drop sprinkler heads.

(l) No open flame (oil or gas) unit heaters or equipment may be

installed or used in any records storage area.

(m) For existing records storage facilities, boiler rooms or rooms

containing equipment operating with a fuel supply (such as generator

rooms) must be separated from records storage areas by 2-hour-rated

fire barrier walls with no openings directly from these rooms to the

records storage areas. Such areas must be vented directly to the

outside to a location where fumes will not be drawn back into the

facility.

(n) For new records storage facilities, boiler rooms or rooms

containing equipment operating with a fuel supply (such as generator

rooms) must be separated from records storage areas by 4-hour-rated

fire barrier walls with no openings directly from these rooms to the

records storage areas. Such areas must be vented directly to the

outside to a location where fumes will not be drawn back into the

facility.

(o) For new records storage facilities, fuel supply lines must not

be installed in areas containing records and must be separated from

such areas with 4-hour rated construction assemblies.

(p) Equipment rows running perpendicular to the wall must comply

with NFPA 101 (1997), Life Safety Code, with respect to egress

requirements.

(q) No oil-type electrical transformers, regardless of size, except

thermally protected devices included in fluorescent light ballasts, may

be installed in the records storage areas. All electrical wiring must

be in metal conduit, except that armored cable may

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be used where flexible wiring connections to light fixtures are

required. Battery charging areas for electric forklifts must be

separated from records storage areas with at least a 2-hour rated fire

barrier wall.

(r) Hazardous materials, including records on cellulose nitrate

film, must not be stored in records storage areas. Nitrate motion

picture film and nitrate sheet film may be stored in separate areas

that meet the requirements of the appropriate NFPA standard, NFPA 40

(1997), Standard for the Storage and Handling of Cellulose Nitrate

Motion Picture Film, or NFPA 42 (1997), Code for the Storage of

Pyroxylin Plastic.

(s) All records storage and adjoining areas must be protected by a

professionally-designed fire-safety detection and suppression system

that is designed to limit the maximum anticipated loss in any single

fire event to a maximum of 300 cubic feet of records destroyed by fire.

Section 1228.242 specifies how to document compliance with this

requirement.

Sec. 1228.232 What are the requirements for environmental controls for

records storage facilities?

(a) Paper-based temporary records. Paper-based temporary records

must be stored under environmental conditions that prevent the active

growth of mold. Exposure to moisture through leaks or condensation,

relative humidities in excess of 70%, extremes of heat combined with

relative humidity in excess of 55%, and poor air circulation during

periods of elevated heat and relative humidity are all factors that

contribute to mold growth.

(b) Nontextual temporary records. Nontextual temporary records,

including microforms and audiovisual and electronic records, must be

stored in records storage space that will ensure their preservation for

their full retention period. New records storage facilities that store

nontextual temporary records must meet the requirements in this

paragraph (b) January 3, 2000. Existing records storage facilities that

store nontextual temporary records must meet the requirements in this

paragraph (b) no later than October 1, 2009. At a minimum, nontextual

temporary records must be stored in records storage space that meets

the requirements for medium term storage set by the appropriate

standard in this paragraph (b). In general, medium term conditions as

defined by these standards are those that will ensure the preservation

of the materials for at least 10 years with little information

degradation or loss. Records may continue to be usable for longer than

10 years when stored under these conditions, but with an increasing

risk of information loss or degradation with longer times. If temporary

records require retention longer than 10 years, better storage

conditions (cooler and drier) than those specified for medium term

storage will be needed to maintain the usability of these records. The

applicable standards are:

(1) ANSI/PIMA IT9.11-1998, Imaging Materials--Processed Safety

Photographic Films--Storage;

(2) ANSI/NAPM IT9.23-1996, Imaging Materials--Polyester Base

Magnetic Tape--Storage;

(3) ANSI/PIMA IT9.25-1998, Imaging Materials--Optical Disc Media--

Storage;

(4) ANSI /NAPM IT9.20-1996, Imaging Materials--Reflection Prints--

Storage Practices; and/or

(5) ANSI/NAPM IT9.18-1996, Imaging Materials--Processed

Photographic Plates--Storage Practices.

(c) Paper-based permanent, unscheduled and sample/select records.

Paper-based permanent, unscheduled, and sample/select records must be

stored in records storage space that provides 24 hour/365 days per year

air conditioning (temperature, humidity, and air exchange) equivalent

to that required for office space. See ASHRAE Standard 55-1992, Thermal

Environmental Conditions for Human Occupancy, and ASHRAE Standard 62-

1989, Ventilation for Acceptable Indoor Air Quality, for specific

requirements. New records storage facilities that store paper-based

permanent, unscheduled, and/or sample/select records must meet the

requirement in this paragraph (c) January 3, 2000. Existing storage

facilities that store paper-based permanent, unscheduled, and/or

sample/select records must meet the requirement in this paragraph (c)

no later than October 1, 2009.

(d) Nontextual permanent, unscheduled, and/or sample/select

records. All records storage facilities that store microfilm,

audiovisual, and/or electronic permanent, unscheduled, and/or sample/

select records must comply with the storage standards for permanent and

unscheduled records in parts 1230, 1232, and/or 1234 of this chapter,

respectively.

Handling Deviations From NARA's Facility Standards

Sec. 1228.234 What rules apply if there is a conflict between NARA

standards and other regulatory standards that a facility must follow?

(a) If any provisions of this subpart conflict with local or

regional building codes, the following rules of precedence apply:

(1) Between differing levels of fire protection and life safety,

the more stringent provision applies; and

(2) Between mandatory provisions that cannot be reconciled with a

requirement of this subpart, the local or regional code applies.

(b) If any of the provisions of this subpart conflict with

mandatory life safety or ventilation requirements imposed on

underground storage facilities by 30 CFR chapter I, 30 CFR chapter I

applies.

(c) NARA reserves the right to require documentation of the

mandatory nature of the conflicting code and the inability to reconcile

that provision with NARA requirements.

Sec. 1228.236 How does an agency request a waiver from a requirement

in this subpart?

(a) Types of waivers that may be approved. NARA may approve

exceptions to one or more of the standards in this subpart for:

(1) Systems, methods, or devices that are demonstrated to have

equivalent or superior quality, strength, fire resistance,

effectiveness, durability, and safety to those prescribed by this

subpart;

(2) Existing agency records centers that met the previous NARA

standards in effect on January 2, 2000, but that do not meet a new

standard required to be in place on January 3, 2000; and

(3) The application of roof requirements in Secs. 1228.228 and

1228.230 to underground storage facilities.

(b) Where to submit a waiver request. The agency submits a waiver

request, containing the information specified in paragraphs (c), (d),

and/or (e) of this section to the Director, Security and Space

Management Division (NAS), National Archives and Records

Administration, 8601 Adelphi Rd., College Park, MD 20740-6001.

(c) Content of request for waivers for equivalent or superior

alternatives. The agency's waiver request must contain:

(1) A statement of the specific provision(s) of this subpart for

which a waiver is requested, a description of the proposed alternative,

and an explanation how it is equivalent to or superior to the NARA

requirement; and

(2) Supporting documentation that the alternative does not provide

less protection for Federal records than that which would be provided

by compliance with the corresponding provisions contained in this

subpart. Documentation may take the form of certifications from a

licensed fire protection engineer or a structural or

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civil engineer, as appropriate; reports of independent testing; reports

of computer modeling; and/or other supporting information.

(d) Content of request for waiver for previously compliant agency

records center. The agency's waiver request must identify which

requirement(s) the agency records center cannot meet and provide a plan

with milestones for bringing the center into compliance.

(e) Content of request for waiver of roof requirements for

underground facility. The agency's waiver request must identify the

location of the facility and whether the facility is a drift entrance

facility or a vertical access facility.

Sec. 1228.238 How does NARA process a waiver request?

(a) Waiver for equivalent or superior alternative. NARA will review

the waiver request and supporting documentation.

(1) If in NARA's judgement the supporting documentation clearly

supports the claim that the alternative is equivalent or superior to

the NARA requirement, NARA will grant the waiver and notify the

requesting agency within 30 calendar days.

(2) If NARA questions whether supporting documentation demonstrates

that the proposed alternative offers at least equal protection to

Federal records, NARA will consult the appropriate industry standards

body or other qualified expert before making a determination. NARA will

notify the requesting agency within 30 calendar days of receipt of the

request that consultation is necessary and will provide a final

determination within 60 calendar days. If NARA does not grant the

waiver, NARA will furnish a full explanation of the reasons for its

decision.

(b) Waiver of new requirement for existing agency records center.

NARA will review the agency's waiver request and plan to bring the

facility into compliance.

(1) NARA will approve the request and plan within 30 calendar days

if NARA judges the planned actions and time frames for bringing the

facility into compliance are reasonable.

(2) If NARA questions the feasibility or reasonableness of the

plan, NARA will work with the agency to develop a revised plan that

NARA can approve and the agency can implement. NARA may grant a short-

term temporary waiver, not to exceed 180 calendar days, while the

revised plan is under development.

(c) Waiver of roof requirements for underground storage facilities.

NARA will normally grant the waiver and notify the requesting agency

within 10 work days if the agency has not also requested a waiver of a

different requirement under Sec. 1228.236. If the agency has another

waiver request pending for the same facility, NARA will respond to all

of the waiver requests at the same time and within the longest time

limits.

Facility Approval and Inspection Requirements

Sec. 1228.240 How does an agency request authority to establish or

relocate records storage facilities?

(a) General policy. Agencies are responsible for ensuring that

records in their legal custody are stored in appropriate space as

outlined in this subpart. Under Sec. 1228.156(a), agencies are

responsible for initiating action to remove records from space that

does not meet these standards if deficiencies are not corrected within

6 months after initial discovery of the deficiencies by NARA or the

agency and to complete removal of the records within 18 months after

initial discovery of the deficiencies.

(1) Agency records centers. Agencies must obtain prior written

approval from NARA before establishing or relocating an agency records

center. Each separate agency records center must be specifically

approved by NARA prior to the transfer of any records to that

individual facility. If an agency records center has been approved for

the storage of Federal records of one agency, any other agency that

proposes to store its records in that facility must still obtain NARA

approval to do so.

(2) Commercial records storage facilities. An agency may contract

for commercial records storage services. However, before any agency

records are transferred to a commercial records storage facility, the

transferring agency must ensure that the facility meets all of the

requirements for an agency records storage facility set forth in this

subpart and must submit the documentation required in paragraph (e) of

this section.

(b) Exclusions. For purposes of this section, the term ``agency

records center'' excludes NARA-owned and operated records centers. For

purposes of this section and Sec. 1228.244, the term ``agency records

center'' also excludes agency records staging and/or holding areas with

a capacity for containing less than 25,000 cubic feet of records.

However, such records centers and areas, including records centers

operated and maintained by NARA, must comply with the facility

standards in Secs. 1228.228 through 1228.232.

(c) Content of requests for agency records centers. Requests for

authority to establish or relocate an agency records center, or to use

an agency records center operated by another agency, must be submitted

in writing to the Director, Space and Security Management Division

(NAS), National Archives and Records Administration, 8601 Adelphi Road,

College Park, MD 20740-6001.

(1) The request must identify the specific facility and, for

requests to establish or relocate the agency's own records center,

document compliance with the standards in this subpart. Documentation

requirements for Sec. 1228.230(s) are specified in Sec. 1228.242.

(2) If the request is for approval of an existing agency records

center that did not comply with the requirements of this subpart in

effect on January 2, 2000, the request must also contain the agency's

plan to modify the facility to bring it into compliance with current

requirements within a three year period. Such requests must be

submitted to NARA no later than July 1, 2000.

(d) Approval of requests for agency records centers. NARA will

review the submitted documentation to ensure the facility demonstrates

full compliance with the standards in this subpart. For requests

submitted under paragraph (c)(2) of this section, NARA also will review

the submitted plan to ensure that the plan is realistic. NARA reserves

the right to visit the facility, if necessary, to make the

determination of compliance. NARA will inform the agency of its

decision within 45 calendar days after the request is received, and

will provide the agency information on the areas of noncompliance if

the request is denied. Requests will be denied only if NARA determines

that the facility does not demonstrate full compliance with the

standards in this subpart. Approvals will be valid for a period of 10

years, unless the facility is materially changed before then or an

agency or NARA inspection finds that the facility does not meet the

standards in this subpart. Material changes require submission of a new

request for NARA approval.

(e) Documentation requirements for storing Federal records in

commercial records storage facilities. At least 45 calendar days before

an agency first transfers records to a commercial records storage

facility, the agency must submit documentation to NARA that the

facility complies with the standards in this subpart. The documentation

may take the form of a copy of the agency's contract that incorporates

this subpart in its provisions or a statement from the agency records

officer that certifies that

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the facility meets the standards in this subpart. An agency must

provide the documentation for each separate commercial records storage

facility where its records will be stored. Documentation must be sent

to the Director, Space and Security Management Division (NAS), National

Archives and Records Administration, 8601 Adelphi Road, College Park,

MD 20740-6001. The agency must submit updated documentation to NARA

every 10 years if it continues to store records in that commercial

records storage facility.

Sec. 1228.242 What does an agency have to do to certify a fire-safety

detection and suppression system?

(a) Content of documentation. The agency must submit documentation

to the Director, Space and Security Management Division (NAS), National

Archives and Records Administration, 8601 Adelphi Road, College Park,

MD 20740-6001, that describes the space being protected (e.g., the type

and stacking height of the storage equipment used, or how the space is

designed, controlled, and operated) and the characteristics of the

fire-safety detection and suppression system used. The documentation

must demonstrate how that system meets the requirement in

Sec. 1228.230(s) through:

(1) A statement that the facility is using a NARA certified system

as described in Appendix B to this part;

(2) A report of the results of independent live fire testing

(Factory Mutual, Underwriters Laboratories or equivalent); or

(3) A report of the results of computer modeling, and a

certification by a licensed fire protection engineer that the system

has been designed to limit the maximum anticipated loss in any single

fire event to a maximum of 300 cubic feet of records destroyed by fire.

If this method of demonstrating compliance is chosen, the description

of the system must include specific references to any industry

standards used in the design, such as those issued by the National Fire

Protection Association (see NFPA 13, NFPA 231, NFPA 231C, NFPA 232 and

NFPA 232A).

(b) NARA action. (1) NARA will approve the fire-safety detection

and suppression system within 10 work days if NARA has previously

approved the system design for similarly configured space or if a

report of independent testing of a new system design is furnished as

documentation.

(2) If, in NARA's judgment, the supporting documentation provided

in accordance with paragraph (a)(3) of this section clearly

demonstrates compliance with Sec. 1228.230(s), NARA will approve the

fire-safety detection and suppression system within 30 calendar days.

(3) If NARA questions whether supporting documentation demonstrates

compliance with Sec. 1228.230(s), NARA will consult the appropriate

industry standards body or other qualified expert before making a

determination. Before any consultation, NARA may ask the agency for

additional clarifying information. NARA will notify the requesting

agency within 30 calendar days of receipt of the request that

consultation is necessary and will provide a final determination within

60 calendar days. If NARA does not approve the system, NARA will

furnish a full explanation of the reasons for its decision.

(4) NARA will maintain a list of approved alternative systems.

Sec. 1228.244 When may NARA conduct an inspection of a records storage

facility?

(a) At the time an agency submits a request to establish an agency

records center, pursuant to Sec. 1228.240, NARA may conduct an

inspection of the proposed facility to ensure that the facility

complies fully with the standards in this subpart. NARA may also

conduct periodic inspections of agency records centers so long as such

facility is used as an agency records center. NARA will inspect its own

records center facilities on a periodic basis to ensure that they are

in compliance with the requirements of this subpart.

(b) Agencies must ensure, by contract or otherwise, that agency and

NARA officials, or their delegates, have the right to inspect

commercial records storage facilities to ensure that such facilities

fully comply with the standards in this subpart. NARA may conduct

periodic inspections of commercial records storage facilities so long

as agencies use such facilities to store agency records. The using

agency, not NARA, will be responsible for paying any fee or charge

assessed by the commercial records storage facility for NARA's

conducting an inspection.

(c) NARA will contact the agency operating the records center or

the agency holding a contract with a commercial records storage

facility in advance to set a date for the inspection.

3. Appendixes A and B are added to part 1228 to read as follows:

Appendix A to Part 1228--Minimum Security Standards for Level III

Federal Facilities

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Appendix B to Part 1228--Alternative Certified Fire-safety

Detection and Suppression System(s)

1. General. This Appendix B contains information on the Fire-

safety Detection and Suppression System(s) tested by NARA through

independent live fire testing that are certified to meet the

requirement in Sec. 1228.230(s) for storage of Federal Records. Use

of a system specified in this appendix is optional. A facility may

choose to have an alternate fire-safety detection and suppression

system approved under Sec. 1228.242.

2. Specifications for NARA facilities using 15 foot high records

storage. NARA fire-safety systems that incorporate all components

specified in paragraphs 2.a. through o. of this appendix have been

tested and certified to meet the requirements in Sec. 1228.230(s)

for an acceptable fire-safety detection and suppression system for

storage of Federal records.

a. The records storage height must not exceed the nominal 15

feet (+/-3 inches) records storage height.

b. All records storage and adjoining areas must be protected by

automatic wet-pipe sprinklers. Automatic sprinklers are specified

herein because they provide the most effective fire protection for

high piled storage of paper records on open type shelving.

c. The sprinkler system must be rated at no higher than 285

degrees Fahrenheit utilizing quick response (QR) fire sprinkler

heads and designed by a licensed fire protection engineer to provide

the specified density for the most remote 1,500 square feet of floor

area at the most remote sprinkler head in accordance with NFPA 13

(1996), Standard for the Installation of Sprinkler Systems. For

facilities with roofs rated at 15 minutes or greater, provide \1/

2\'' QR sprinklers rated at no higher than 285 degrees Fahrenheit

designed to deliver a density of 0.30 gpm per square foot. For

unrated roofs, provide 0.64'' QR ``large drop'' sprinklers rated at

no higher than 285 degrees Fahrenheit. For facilities using 7 or 8

shelf track files, use QR sprinklers rated at no higher than 285

degrees Fahrenheit. For new construction and replacement sprinklers,

NARA recommends that the sprinklers be rated at 165 degrees

Fahrenheit. Installation of the sprinkler system must be in

accordance with NFPA 13 (1996), Standard for the Installation of

Sprinkler Systems.

d. Maximum spacing of the sprinkler heads must be on a 10-foot

grid and the positioning of the heads must provide complete,

unobstructed coverage, with a clearance of not less than 18 inches

from the top of the highest stored materials.

e. The sprinkler system must be equipped with a water-flow alarm

connected to an audible alarm within the facility and to a

continuously staffed fire department or an Underwriters Laboratory

approved central monitoring station (see UL 827, Central-Station

Alarm Services (April 23, 1999)) with responsibility for immediate

response.

f. A manual fire alarm system must be provided with a

Underwriters Laboratory approved (grade A) central monitoring

station service or other automatic means of notifying the municipal

fire department. A manual alarm pull station must be located

adjacent to each exit. Supplemental manual alarm stations are

permitted within the records storage areas.

g. All water cutoff valves in the sprinkler system must be

equipped with automatic closure alarm (tamper alarm) connected to a

continuously staffed station, with responsibility for immediate

response. If the sprinkler water cutoff valve is located in an area

used by the public, in addition to the tamper alarm, the valves must

be provided with frangible (easily broken) padlocks.

h. A dependable water supply free of interruption must be

provided including a continuous site fire loop connected to the

water main and sized to support the facility with only one portion

of the fire loop operational. This normally requires a backup supply

system having sufficient pressure and capacity to meet both fire

hose and sprinkler requirements for 2-hours. A fire pump connected

to an emergency power source must be provided in accordance with

NFPA 20 (1996), Standard for the Installation of Centrifugal Fire

Pumps, when adequate water pressure is not assured. In the event

that public water mains are not able to supply adequate volumes of

water to the site, on-site water storage must be provided.

i. Interior fire hose stations equipped with a 1\1/2\ inch

diameter hose may be provided in the records storage areas if

required by the local fire department, enabling any point in the

records storage area to be reached by a 50-foot hose stream from a

100-foot hose lay. If provided, these cabinets must be marked ``For

Fire Department Use Only.''

j. Where fire hose cabinets are not required, fire department

hose outlets must be provided at each floor landing in the building

core or stair shaft. Hose outlets must have an easily removable

adapter and cap. Threads and valves must be compatible with the

local fire department's equipment. Spacing must be so that any point

in the record storage area can be reached with a 50-foot hose stream

from a 100-foot hose lay.

k. In addition to the designed sprinkler flow demand, 500 gpm

must be provided for hose stream demand. The hose stream demand must

be calculated into the system at the base of the main sprinkler

riser.

l. Fire hydrants must be located within 250 feet of each

exterior entrance or other access to the records storage facility

that could be used by firefighters. Each required hydrant must

provide a minimum flow capacity of 500 gpm at 20 psi. All hydrants

must be at least 50 feet away from the building walls and adjacent

to a roadway usable by fire apparatus. Fire hydrants must have at

least two, 2\1/2\ inch hose outlets and a pumper connection. All

threads must be compatible with local standards.

m. Portable water-type fire extinguishers (2\1/2\ gallon stored

pressure type) must be provided at each fire alarm striking station.

The minimum number and locations of fire extinguishers must be as

required by NFPA 10 (1994), Standard for Portable Fire

Extinguishers.

n. Single level catwalks without automatic sprinklers installed

underneath may be provided in the service aisles if the edges of all

files in the front boxes above the catwalks are stored perpendicular

to the aisle (to minimize files exfoliation in a fire). Where

provided, the walking surface of the catwalks must be of expanded

metal at least .09-inch thickness with a 2-inch mesh length. The

surface opening ratio must be equal or greater than 0.75. The

sprinkler water demand for protection over bays with catwalks where

records above the catwalks are not perpendicular to the aisles must

be calculated hydraulically to give .30 gpm per square foot for the

most remote 2,000 square feet.

Dated: November 23, 1999.

John W. Carlin,

Archivist of the United States.

Note: The following appendix will not appear in the Code of

Federal Regulations

Appendix A to the Preamble--Analysis of Cost Estimate

This appendix provides a detailed discussion of the cost

estimate submitted by PRISM International as part of its comments on

the Initial Regulatory Flexibility Analysis, published September 15,

1999. The cost estimate was prepared by Hanscomb, an international

construction consulting firm, for a hypothetical new commercial

records center located in Dulles, VA built to comply with the NARA

proposed standards. Hanscomb stated that the ``base'' commercial

records facility is an ``industry standard commercial records

facility.'' In this appendix we refer to this facility as the ``base

facility'' and to the facility that would be built to Hanscomb's

interpretation of NARA specifications as the ``proposed facility.''

We refer to NARA recalculations based on correction of errors as

``NARA'' estimates.

Description of base facility. Hanscomb describes the base

facility as a 73,442 square foot building that has no

compartmentalization or interior fire walls. The capacity of the

building is 1,000,000 cubic feet of records (total building volume

2,864,238 cubic feet) with a storage height of 39 feet.

Description of proposed facility. Hanscomb describes the

proposed facility as having storage compartments of 250,000 cubic

feet, in storage areas not exceeding 12,500 square feet with a 15

foot storage height. To provide a comparable records storage

capacity to the base facility, the square footage of the proposed

building would be increased to 188,700 square feet. (We note that

the final rule clearly does not limit shelving to 15 feet. We are

currently sponsoring live fire testing to demonstrate that the 300

cubic foot loss per incident level of protection can be achieved in

28-foot high shelving with in-shelf sprinklers. However, for the

purpose of evaluating Hanscomb's estimate, we are only addressing

clear errors in their estimate. We are also assuming that the

proposed facility would store only Federal records, which is the

most conservative assumption that can be made.)

Errors in cost estimate. The Hanscomb cost estimate contains

several significant misinterpretations of the NARA standards

contained in the proposed rule.

The NARA standard limits the volume of records stored

in a single fire chamber to

[[Page 67661]]

250,000 cubic feet of Federal records, not a total room volume of

250,000 cubic feet as Hanscomb assumes. Using the NARA standard, the

total room size would be ca. 800,000 cubic feet or 40,000 square

feet, which represents a storage capacity of 250,000 cubic feet of

records, the required service aisles, and the space between the top

of the records and the roof. Hanscomb's proposed facility is over-

sized by at least 28,700 square feet. A typical NARA records center

layout, with 15 foot high shelving and compartmentalization, is

160,000 square feet. The error also grossly overstates the amount of

interior fire barrier walls required (proposed 2,158 linear feet

versus NARA's 800 linear feet), and overstates the number of

connecting fire-rated doors (proposed facility's 10 versus NARA's

4). The error also overstates the electrical feed cost, which is

based on square footage. Adjusting for the error in sizing the

proposed building would lower the cost of the proposed facility by

at least $1,381,387 as shown below:

------------------------------------------------------------------------

Hanscomb proposed

facility cost NARA adjusted cost

------------------------------------------------------------------------

General construction \1\.... $2,415,036 $1,700,254

Interior fire walls @ $450/ 971,100 360,000

sq.ft......................

Interior fire doors @ $5,000 50,000 20,000

each.......................

Electrical--double primary 47,175 21,640

feed.......................

------------------------------------------------------------------------

\1\ NARA adjusted cost multiplied Hanscomb unit costs in category 1 by

86,558 square feet instead of 115,258 square feet (Corrected increased

proposed building size of 160,000 square feet minus base facility

square footage of 73,442 square feet).

Hanscomb assumes that Federal seismic requirements

would add two pounds of steel tonnage per square foot to brace the

building, at a cost of $180,000. The actual requirement, in both the

proposed and final rule, is that ``the facility must be designed in

accordance with regional building codes to provide protection from

building collapse or failure of essential equipment from earthquake

hazards, tornadoes, hurricanes and other potential natural

disasters.'' (Sec. 1228.228(d)). We believe that the base facility,

if built to regional building code requirements, would have the

necessary bracing. We also have clarified Sec. 1228.228(i)(1) to

reflect this requirement to adhere to the applicable regional

building code.

Hanscomb also has added $150,000 for a mechanical room

for equipment and boilers. The proposed and final NARA rule does not

require an additional mechanical room. We do require that the

mechanical room with the boiler(s) be separated from the storage

area by a 4-hour rated fire barrier wall. NFPA 101, Life Safety

Code, requires a 1-hour rated fire barrier wall, so we have adjusted

the Hanscomb cost to reflect the additional cost of the NARA 4-hour

fire barrier wall requirement, at $14,000.

Hanscomb further assumes that the entire facility would

be required to have HVAC systems designed for the storage of

permanent records, even if the vast majority of the records were

temporary, ``as mix of records types would be unknown.'' The NARA

standard has no requirement for HVAC for the storage of temporary

records. Because Federal agencies are required to separate their

records by retention authority prior to transferring the records to

a records center, segregating boxes of permanent records from boxes

of temporary records is not a problem. The permanent records would

always be retired to the records center in separate accessions.

Based on NARA holdings of agency records in our records centers,

less than 5 percent of the Federal records that might be retired to

a records center are permanent. If the proposed facility wished to

store both permanent and temporary records, it could provide office-

level HVAC for a much smaller area than Hanscomb estimates. If 5

percent of the 1.0 million cubic feet storage capacity of the base

facility is devoted to permanent records, the proposed facility

would need to provide HVAC to a 10,000 square foot compartment

holding 50,000 cubic feet of permanent records. This scenario would

cost $150,000 rather than the $2,830,000 in the Hanscomb estimate.

The Hanscomb estimate misinterprets several of the NARA

fire protection requirements. The estimate for the proposed facility

assumes that additional upright sprinklers would be required to

protect the roof. This would be necessary if the roof was

constructed of wood trusses and decking, but Hanscomb specifies

metal decking and sheet metal roofing. This represents an additional

$94,350 that is not actually required by the proposed NARA

regulation. Hanscomb also assumes incorrectly that the trusses, as

well as the columns, must be four-hour rated. The actual requirement

where lightweight steel roof support members are used is to either

provide a 10-minute fire resistive coating to the top chords of the

joists, or to use large-drop sprinklers. We estimate that this

misunderstanding added at least $250,000 to Hanscomb's estimate. We

also find Hanscomb's estimate of $98,100 for providing two exterior

walls with a maximum one-hour fire rating to be unsupported. We

assume that any exterior wall would require column footings and

columns, so those additional costs are inappropriate. We fail to

recognize that applicability of ``Fire Protection 4 hr, 12040 sq.ft

at $5.00 per sq.ft.'' to the NARA requirement that at least one

exterior wall have a maximum (not minimum) fire rating of one hour.

Adjusting the costs of the proposed facility to correct these errors

would lower the cost of the proposed facility by at least $442,450.

Hanscomb estimates that the fire suppression costs due

to NARA requirements are $180,000 for a 10-foot by 10-foot grid.

Hanscomb's estimate includes both an overstatement of the size of

the facility and an arithmetical error (188700 square feet @ $0.50

does not equal $180,000.) We are unable to evaluate Hanscomb's fire

detection and suppression system costs to determine what, if any, of

the costs are attributable to NARA requirements and not NFPA or

local code requirements. NFPA 231C (1998) and NFPA 13 (1999) provide

multiple different ways to protect ``rack'' or ``high piled''

storage, and it is simply impossible to compare without knowing what

was installed in the Hanscomb facility. Storage height, aisle width,

levels of in-rack sprinklers, type of sprinkler (ordinary spray,

quick response, etc) all impact on the design, and thus the costs.

However, both standards require a sprinkler system that exceeds the

minimum for ``Ordinary Hazard, Class III'' commodities when the

storage height exceeds 15 feet. Adjusting only for the sizing and

arithmetical errors would reduce the cost of the proposed facility

by $100,000.\1\

---------------------------------------------------------------------------

\1\ NARA adjusted cost multiplied Hanscomb unit cost ($0.50) by

160,000 square feet instead of 188,700 square feet.

\2\ This estimate appears over-stated, as the typical records

center has very few exterior doors to monitor, and the open aisle

allow for the use of beam detectors. We have also adjusted the cost

to reflect a 160,000 sq. ft. building.

---------------------------------------------------------------------------

Hanscomb further attributes costs to the proposed

facility that are in fact required by other Federal requirements

(security system--$160,000 \2\ and pest control prevention--

$20,000).

Other issues. The NARA requirement for a secondary water supply

exists only in those cases where the public main is dead-ended

rather than looped or where there is no public fire main and the

water is taken from a reservoir or natural lake. The majority of

municipal water mains are ``looped.'' Dead-ends on fire mains are

most likely to occur in more rural areas. For purposes of this cost

estimate, we accepted Hanscomb's estimate of $25,000 as appropriate.

We also note that if the owner of a new records storage facility

chose to use a shelving configuration other than 15 feet high, as

permitted in the NARA rule, there would be significant cost savings

from the Hanscomb estimate for general construction costs. While

there would be some additional costs for the fire suppression system

and for obtaining Fire Protection Engineer Certification of the

system, these would be significantly less than the adjusted general

construction costs of $1,700,254 for a proposed facility with 15-

foot-high shelving.

A summary of the Hanscomb total added costs due to the proposed

NARA requirements and NARA's adjustments follow:

[[Page 67662]]

----------------------------------------------------------------------------------------------------------------

NARA adjusted cost

Hanscomb estimated cost \1\ (15' shelving)

----------------------------------------------------------------------------------------------------------------

Current cost of base building........... $3,543,540..................................... $3,543,540

Added ``NARA'' Requirements............. $7,637,361 *................................... 2,508,293

Added Govt.-Wide Requirements........... *The $388,700 government-wide requirement costs 180,000

are incorporated in Added ``NARA''

Requirements.

Cost of building With NARA Req.......... $11,180,901.................................... 6,051,834

% Increase.............................. 216%........................................... 71%

----------------------------------------------------------------------------------------------------------------

\1\ These numbers reflect the costs presented in the original submission from PRISM International. We have not

adjusted Hanscomb's arithmetical errors here.

[FR Doc. 99-30973 Filed 12-1-99; 8:45 am]

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