[Federal Register Volume 64, Number 83 (Friday, April 30, 1999)]
[Proposed Rules]
[Pages 23504-23510]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-10703]



[[Page 23503]]

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Part VII





National Archives and Records Administration





_______________________________________________________________________



36 CFR Parts 1220, 1222, and 1228



Agency Records Centers; Proposed Rules



Storage of Federal Records; Proposed Rule

  Federal Register / Vol. 64, No. 83 / Friday, April 30, 1999 / 
Proposed Rules  

[[Page 23504]]



NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AA81


Agency Records Centers

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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

SUMMARY: NARA proposes to issue 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 proposed 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.

DATES: Comments must be received by June 29, 1999.

ADDRESSES: Comments must be sent to Regulation Comment Desk (NPOL), 
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: Based upon advancements in technical 
knowledge and experience gained over the past two decades, NARA 
believes it is time to update the standards for the storage of Federal 
records in the legal custody of Federal agencies. For the first time, 
NARA's storage standards will be extended to cover NARA's records 
centers and commercial records storage facilities used by Federal 
agencies, as well as the currently covered centers operated and 
maintained by other Federal agencies. Regardless of where they are 
stored, it is the responsibility of each agency to ensure that records 
in their legal custody are stored in appropriate space. Agencies must 
ensure that any records storage facility they use meets these updated 
standards. Agencies must obtain NARA's approval before establishing an 
agency records center or using an agency records center operated by 
another agency, and must provide to NARA documentation of compliance 
with the standards before transferring any agency records to a 
commercial records storage facility.
    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. The 
proposed facility standards specify the required storage conditions 
when an agency's records are no longer maintained in agency office 
space. These proposed standards, which apply to records still in the 
legal custody of the agency, ensure that permanent records will be 
stored under environmental conditions equal to the office environmental 
conditions in which they were created.
    The proposed basic facility standards outlined in Sec. 1228.228 
will apply to existing NARA and agency records centers and to 
commercial records storage facilities that are currently storing 
records. Any new NARA records center, any new agency-operated records 
center, and any new commercial records storage facility must also meet 
the standards for new facilities in these regulations.
    All records storage facilities must meet the proposed fire-safety 
requirements in Sec. 1228.230 when the rule becomes effective to 
protect against the loss of essential government evidence. We recognize 
that it may not be feasible to implement certain other provisions in 
existing facilities that met the standards in effect before this 
proposed change. Existing facilities must comply with requirements that 
minimize the risk of water damage to records from roof leaks or broken 
pipes within 10 years. Existing facilities that store permanent records 
prior to their transfer to the National Archives of the United States, 
unscheduled records, or sample/select records must meet the proposed 
environmental control standards within 10 years.
    Because we believe that all newly acquired records storage space 
for Federal records should provide appropriate environmental controls 
and the best possible protection against records disasters, we are 
requiring that all new facilities that are used to store Federal 
records after the effective date meet certain higher or additional 
standards that reflect current knowledge on protecting records from 
damage. For example, in proposed Secs. 1228.230(b) and (e), we are 
proposing different fire protection specifications for walls and roofs 
that reflect experience over the past 15 years with fire suppression in 
records storage facilities. Professionally designed fire suppression 
systems function as designed in over 97 percent of all actual fires. 
However, in a small number of cases, either when the system has been 
deactivated, or the fire source far exceeded the design characteristics 
(e.g., arson with large quantities of gasoline), the suppression system 
may fail to contain the fire, resulting in a fire involving a full 
storage module. Since the contents of a 250,000 cubic foot module can 
burn at furnace heat for a day or more, venting a module that is 
totally involved in fire is necessary to prevent the spread of the fire 
to adjacent storage modules. Venting a fire which has involved an 
entire records storage module to the outside through an entire wall or 
roof relieves the heat and allows application of vast quantities of 
water directly to the fire, and allow firefighters to enter adjacent 
(protected) areas of the building to cool doors protecting wall 
openings with hose streams. Venting vast quantities of heat to the 
atmosphere and cooling with hose streams can enable a four hour fire 
wall to endure a fire that rages for many hours. For this reason, we 
require that new records storage facilities have one exterior wall of 
each stack area and the roof designed with a maximum fire rating of 
one-hour. The actual timing of wall or roof failure will depend on the 
specific fire characteristics: a one-hour wall may fail in 30 minutes 
in an extreme fire, or last several hours in a less extreme fire. 
However, it will fail substantially earlier than a four-hour wall, 
providing earlier venting and hose stream access. As the exterior walls 
and roofs play a significant role in protecting the contents from 
incursion of an exterior fire, we require, for new construction, walls 
and roofs rated at least 30-minutes but not more than one-hour.
    NARA has developed the fire-related safety requirements in this 
proposed rule with the assistance of recognized experts in the field of 
fire suppression. These new performance-based standards for fire-
suppression (sprinkler) systems limit the loss of records to a maximum 
of 300 cubic feet per incident. The standard has been set to reflect 
what current sprinkler technology can guarantee. The application of 
these performance-based standards offers significant protection for 
Federal records that are housed in records storage facilities. Our 
previously

[[Page 23505]]

established fire safety standards in Subpart K simply described the 
then-existing NARA-developed sprinkler fire suppression systems. The 
proposed rule describes a fire-suppression system that meets the new 
performance-based standard but allows the use of other systems if 
performance tests show they meet the new standard. See Sec. 1228.232 
which outlines the steps needed to certify a fire-safety detection and 
suppression system and Sec. 1228.234 which outlines NARA's certified 
system.
    Several new requirements reflect government-wide requirements 
imposed since the regulations were last updated in 1982. The building 
security requirements are those established by the Department of 
Justice for Level III Federal facilities. Seismic safety provisions are 
required by Executive orders and an integrated pest management program 
is mandated for Federal agencies by the Food Protection Act of 1996.
    The proposed revision to subpart K also modifies the procedures for 
requesting NARA approval to establish or relocate an agency records 
center. The proposed procedures remove the requirement for agency 
justification of its choice of storage facility and provide that NARA 
will deny requests only if NARA determines that the proposed agency 
records center does not demonstrate full compliance with the standards 
in this subpart. No NARA approval is required for an agency to contract 
with a commercial records storage facility, but agencies must ensure 
that any such facility selected complies with NARA's requirements for 
the storage of Federal records. If an agency contracts with a 
commercial records storage facility, the agency must certify to NARA 
that the facility complies with Subpart K.
    In a separate proposed rule published elsewhere in this separate 
part of the Federal Register, NARA is proposing to establish new 
definitions for ``records center,'' ``commercial records storage 
facility,'' and ``records storage facility'' that are referenced in 
this proposed rule. For the convenience of reviewers of this proposed 
rule, terms used in this regulation that are defined (or proposed for 
definition) elsewhere in NARA regulations are restated here:
    Records storage facility is a facility used by a Federal agency to 
store Federal records, whether that facility is operated and maintained 
by the agency, by NARA, by another Federal agency, or by a private 
commercial entity. [proposed definition]
    Commercial records storage facility is a private sector commercial 
facility that offers records storage, retrieval, and disposition 
services. [proposed definition]
    Records center is defined in 44 U.S.C. 2901(6) as an establishment 
maintained and operated by the Archivist or by another Federal agency 
primarily for the storage, servicing, security, and processing of 
records which need to be preserved for varying periods of time and need 
not be retained in office equipment or space. [proposed definition]
    Permanent record means any Federal record that has been determined 
by NARA to have sufficient value to warrant its preservation in the 
National Archives of the United States. Permanent records include all 
records accessioned by NARA into the National Archives of the United 
States and later increments of the same records, and those for which 
the disposition is permanent on SF 115s, Request for Records 
Disposition Authority, approved by NARA on or after May 14, 1973. 
[proposed definition]
    Unscheduled records are records the final disposition of which has 
not been approved by NARA. Unscheduled records are those that have not 
been included on a Standard Form 115, Request for Records Disposition 
Authority, approved by NARA; those described but not authorized for 
disposal on an SF 115 approved prior to May 14, 1973; and those 
described on an SF 115 but not approved by NARA (withdrawn, canceled, 
or disapproved). [36 CFR 1220.14]
    This rule is a significant regulatory action for the purposes of 
Executive Order 12866, and has been reviewed by OMB. As required by the 
Regulatory Flexibility Act, we certify that this proposed rule will not 
have a significant impact on small entities.

List of Subjects in 36 CFR Part 1228

    Archives and records.

    For the reasons set forth in the preamble, NARA proposes to amend 
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 does an agency have to do to certify a fire-safety 
detection and suppression system?
1228.234  What is NARA's certified fire-safety detection and 
suppression system for records storage facilities?
1228.236  What are the requirements for environmental controls for 
records storage facilities?

Approval and Inspection Requirements

1228.240  How does an agency request authority to establish or 
relocate records storage facilities?
1228.242  When may NARA conduct an inspection of a records storage 
facility?

Subpart K--Facility Standards for Records Storage Facilities

General


Sec. 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.


Sec. 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

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provisions apply only to new records storage facilities.


Sec. 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 Conshocken, PA, 
19428-2959, or on-line at www.astm.org:
    E-119 (1998), 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, Quincy, MA 02269-9101, or 
on-line at www.catalog.nfpa.org:
    NFPA 10 (1994), Standard for Portable Fire Extinguishers.
    NFPA 13 (1996), Standard for the Installation of Sprinkler Systems.
    NFPA 20 (1996), Standard for the Installation of Centrifugal Fire 
Pumps.
    NFPA 40 (1997), Standard for the Storage and Handling of Cellulose 
Nitrate Motion Picture Film.
    NFPA 42 (1997) Standard for Storage of Pyroxylin Plastics.
    NFPA 72 (1996), National Fire Alarm Code.
    NFPA 101 (1997), Life Safety Code.
    NFPA 231 (1998), Standard for General Storage.
    NFPA 231C (1998), Standard for the Rack Storage of Materials.
    NFPA 232 (1995), Standard for the Protection of Records.
    NFPA 232A (1995), Guide for Fire Protection of Archives and Records 
Centers.
    (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 Burglar Alarm Systems.
    UL 827, Central Fire Alarm Stations.
    UL 1076, Proprietary Burglar Alarm Units and Systems.
    (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:
    ASHRAE 55-1992, Thermal Environmental Conditions for Human 
Occupancy.
    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/PIMA IT9.11-1998 Imaging Materials--Processed Safety 
Photographic Films--Storage
    ANSI/PIMA IT9.18-1996 Imaging Materials--Processed Photographic 
Plates--Storage Practices.
    ANSI /PIMA IT9.20-1996 Imaging Materials--Reflection Prints--
Storage Practices.
    ANSI/PIMA IT9.23-1997 Imaging Materials--Polyester Base Magnetic 
Material--Storage Practices.
    ANSI/PIMA IT9.25-1998 Imaging Materials--Optical Disc Media--
Storage.


Sec. 1228.226  Definitions.

    The following definitions apply to this subpart:
    (a) The terms must and provide indicate that a provision is 
mandatory.
    (b) The terms should or may indicate that a provision is 
recommended or advised but not required.
    (c) Records center has the meaning specified in Sec. 1220.14 of 
this chapter.
    (d) Commercial records storage facility has the meaning specified 
in Sec. 1220.14 of this chapter.
    (e) Records storage facility has the meaning specified in 
Sec. 1220.14 of this chapter.
    (f) 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 
October 1, 1999.
    (g) Existing records storage facility means any records center or 
commercial records storage facility used to store records on September 
30, 1999, and has stored records continuously since that date.
    (h) Permanent record has the meaning specified in Sec. 1220.14 of 
this chapter.
    (i) Temporary record has the meaning specified in Sec. 1220.14 of 
this chapter.
    (j) Unscheduled records has the meaning specified in Sec. 1220.14 
of this chapter.
    (k) 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.

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 has been certified in accordance with Sec. 1228.232 to 
meet 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 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.
    (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.

[[Page 23507]]

    (g) All roof mounted equipment is prohibited. Place nothing on the 
roof that may cause damage to the roof membrane. The requirements in 
this paragraph are effective [effective date of final rule] in new 
records storage facilities. Existing facilities must meet this 
requirement 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. 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. The requirements in this paragraph are effective 
[effective date of final rule] in new records storage facilities. 
Existing facilities must meet this requirement no later than October 1, 
2009.
    (i) The following standards apply to storage shelving:
    (1) All storage shelving must be designed and installed to provide 
seismic bracing that meets the requirements of Executive Order 12941, 
Seismic Safety of Existing Federally Owned or Leased Buildings (3 CFR, 
1994 Comp., p. 955), or Executive Order 12699, Seismic Safety of 
Federal and Federally Assisted or Regulated New Building Construction 
(3 CFR, 1990 Comp., p. 269);
    (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 Standard 1076, Proprietary 
Burglar Alarm Units and Systems, 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 
Underwriters Laboratory (UL) Standard 611, Central Burglar Alarm 
Systems.
    (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.
    (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 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) New records storage facilities also must meet the requirements 
in this paragraph (n):
    (1) Do not install mechanical and/or electrical equipment within 
records storage areas (either floor mounted or suspended from roof 
support structures).
    (2) 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.
    (3) 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 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.
    (c) Fire walls that meet the following specifications must be 
provided:
    (1) For existing records storage facilities, at least one-hour-
rated fire walls must be provided between the records storage areas and 
other auxiliary spaces.
    (2) For new records storage facilities, two-hour-rated fire 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 1 hour.
    (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, 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 walls separating records storage areas must be 
avoided to the greatest extent possible but if openings are necessary 
they must be protected by self-closing or automatic

[[Page 23508]]

Class A fire doors, or equivalent, on each side of the wall openings.
    (g) Roof support structures that cross or penetrate fire walls must 
be cut and supported independently on each side of the fire wall.
    (h) If fire 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 must not be designed into new records 
storage facilities.
    (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 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 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 the Life Safety Code (NFPA 101) 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 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 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, 
Standard for the Storage and Handling of Cellulose Nitrate Motion 
Picture Film, or NFPA 42, Standard for Storage of Pyroxylin Plastics.
    (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. 
Sections 1228.232 and 1228.234 provide alternate means of complying 
with this requirement.


Sec. 1228.232  What does an agency have to do to certify a fire-safety 
detection and suppression system?

    (a) The NARA fire-safety detection and suppression system specified 
in Sec. 1228.234 has been tested and certified to meet the requirement 
in Sec. 1228.230(s).
    (b) Other automatic extinguishing systems or protective measures 
may meet the requirement in Sec. 1228.230(s) depending upon specific 
conditions, such as the type and stacking height of the storage 
equipment used, or how the space is designed, controlled, and operated. 
Standards, such as those issued by the National Fire Protection 
Association (see NFPA 13, NFPA 231, NFPA 231C, NFPA 232 and NFPA 232A), 
may be used to design an alternative system. The effectiveness of 
alternative designs in meeting the requirements of Sec. 1228.230(s) 
must be supported by independent testing (Factory Mutual, Underwriters 
Laboratories or equivalent).
    (c) Send a description of the alternative fire-safety detection and 
suppression system and documentation of the independent testing results 
to the Director, Space and Security Management Division (NAS), 8601 
Adelphi Road, College Park, MD 20740-6001. NARA will maintain a list of 
approved alternative systems.


Sec. 1228.234  What is NARA's certified fire-safety detection and 
suppression system for records storage facilities?

    Fire-safety systems that incorporate all components specified in 
paragraphs (a) through (o) of this section have been tested and 
certified to meet the requirements in Sec. 1228.230 for an acceptable 
fire-safety detection and suppression system for storage of Federal 
records.
    (a) The records storage height must not exceed 15 feet.
    (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 0.30 gpm 
per square foot for the most remote 2,000 square feet of floor area at 
the most remote sprinkler head in accordance with NFPA 13. 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 0.56 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.
    (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

[[Page 23509]]

Laboratory approved central monitoring station (see UL 827, Central 
Fire Alarm Stations) 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 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. 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.


Sec. 1228.236  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. Temporary nontextual 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 following requirements 
[effective date of final rule]. Existing records storage facilities 
that store nontextual temporary records must meet the following 
requirements no later than October 1, 2009. At a minimum, temporary 
nontextual 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/PIMA IT9.23-1997 Imaging Materials--Polyester Base 
Magnetic Material--Storage Practices;
    (3) ANSI/PIMA IT9.25-1998 Imaging Materials--Optical Disc Media--
Storage;
    (4) ANSI /PIMA IT9.20-1996 Imaging Materials--Reflection Prints--
Storage Practices; and/or
    (5) ANSI/PIMA 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 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 this requirement [effective date of 
final rule]. Existing storage facilities that store paper-based 
permanent, unscheduled, and/or sample/select records must meet this 
requirement 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

[[Page 23510]]

parts 1230, 1232, and/or 1234 of this chapter, respectively.

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 removing 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.
    (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. 1228.242, 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 1228.236.
    (c) Content of requests for agency records centers. Requests for 
authority to establish or relocate an agency records center 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. The request must identify 
the specific facility and must document compliance with the standards 
in this subpart.
    (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. 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 days 
after the request is received. 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 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 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  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.
    3. Appendix A is added to part 1228 to read as follows:

Appendix A to Part 1228--Minimum Security Standards for Level III 
Federal Facilities

    Note: The full text of this appendix will appear in the final 
rule. Copies of the appendix may be obtained from the person listed 
in FOR FURTHER INFORMATION CONTACT.

    Dated: February 25, 1999.
John W. Carlin,
Archivist of the United States.
[FR Doc. 99-10703 Filed 4-29-99; 8:45 am]
BILLING CODE 7515-01-P