[Federal Register Volume 69, Number 172 (Tuesday, September 7, 2004)]
[Proposed Rules]
[Pages 54091-54097]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-20274]



[[Page 54091]]

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

[3095-AB31]


Records Center Facility Standards

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: NARA proposes to modify its facility standards for records 
storage facilities that house Federal records to clarify requirements 
relating to design or certification of multiple story facilities and 
fire detection and protection systems; to revise certain requirements 
relating to fire-ratings of roofs, building columns, and fire barrier 
walls; and to clarify the application of other requirements. We are 
proposing these changes to address records center industry concerns 
identified in the 2003 Report to Congress on Costs and Benefits of 
Federal Regulations. The proposed rule will affect commercial records 
storage facilities that store Federal records and applies 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 are due by November 8, 2004.

ADDRESSES: You may submit comments, identified by RIN 3095-AB31, by any 
of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include RIN 3095-AB31 in the 
subject line of the message.
     Fax: 301-837-0319.
     Mail: Regulation Comment Desk, Room 4100, 8601 Adelphi 
Rd., College Park, MD 20740-6001.
     Hand Delivery/Courier: NPOL, Room 4100, 8601 Adelphi Rd., 
College Park, MD 20740-6001.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at telephone number 301-
837-1477, or fax number 301-837-0319.

SUPPLEMENTARY INFORMATION:

A. Background to This Proposed Rule

    NARA conducted a rulemaking in 1999 that culminated with publishing 
a final rule ``Agency Records Centers'' (RIN 3095-AA81) on December 2, 
1999, with an effective date of January 3, 2000 (see 64 FR 67634). The 
regulation was codified as 36 CFR part 1228, subpart K. This regulation 
was nominated as a possible candidate for reform in the 2003 Report to 
Congress on Costs and Benefits of Federal Regulations. The nominations 
identified six provisions of subpart K that were of particular concern: 
Sec. Sec.  1228.228(b), 1228.230(b), 1228.230(e), 1228.230(i), 
1228.230(l) and 1228.230(s). With the assistance of Congressional 
staff, NARA engaged in extensive discussions with the Professional 
Records and Information Services Management (PRISM) International, the 
records center industry association to which many of the 497 nominators 
belong, identified specific concerns with those six provisions. The 
changes reflected in this proposed rule represent a joint agreement 
between NARA and PRISM to mitigate most of those concerns, as well as 
additional provisions that were identified during the follow-up 
discussion with PRISM to clarify those provisions.
    As we discussed extensively in the 1999 rulemaking, Federal records 
provide essential documentation of the Federal Government's policies 
and transactions and protect 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 or invoice payments. NARA 
believes that records storage facilities should be structurally sound, 
protect against unauthorized access, and protect against fire and water 
damage to the records, whether the records are temporary or permanent. 
This rulemaking continues to reflect that belief.

B. Discussion of Proposed Changes

    Following is a section-by-section discussion of the substantive 
proposed changes and the supporting reasons for these changes.

Section 1228.226 (Definitions)

     Proposed change: Existing records storage facility and new 
records storage facility were updated to reflect the date of the final 
rule resulting from this rulemaking. Records storage area was modified 
to clarify that the walls are fire barrier walls, not fire walls.

Section 1228.228(a) (Roof Requirement)

     Proposed change: The existing provision requires that 
roofs (and other building elements) be constructed with non-combustible 
materials and building elements. Existing records storage facilities 
may obtain a waiver until October 1, 2009, if the facility has a fire 
suppression system specifically designed to mitigate this hazard. The 
proposed rule would allow roof elements to be constructed with 
combustible materials if installed in accordance with local building 
codes and if roof elements are protected by a properly installed, 
properly maintained automatic sprinkler system. The waiver process for 
other building elements remains in place.
     Discussion of proposed change: In identifying this as one 
of the six problematic provisions, PRISM stated that the requirement 
that roof elements be constructed with non-combustible materials would 
disqualify many, if not most, commercial storage facilities from 
competing fairly for contracts to store Federal records. PRISM noted a 
properly installed and maintained automatic sprinkler system designed 
to protect roof elements provides ample protection. PRISM further noted 
such construction is recognized by all of the major consensus-based 
building codes. We independently note that wood framed roofs are 
frequently used in new construction in high seismic risk zones. We are 
making the recommended change for these reasons.

Section 1228.228(b) (Certification--Multi-Story Facilities)

     Proposed change: The existing paragraph requires that a 
multi-story facility be designed or ``certified'' by a licensed fire 
protection engineer and a civil/structural engineer. We propose to 
restate the certification requirement to state more accurately what is 
required, i.e., reviews documented by professional opinions under seal 
that the fire resistance of separating floors is at least 4 hours and 
that there are no obvious structural weaknesses that would indicate a 
high potential for structural catastrophic collapse under fire 
conditions.
     Discussion of proposed change: Industry concerns centered 
on the word ``certify,'' and whether any professional engineer would be 
willing to provide a certification. We recognize that ``certified'' may 
be read as requiring more than we intended, which is that the 
engineer(s) provide a professional opinion under seal. For new 
construction, NARA can accept the seals on the construction drawings as 
adequate proof because current model building codes address structural 
integrity under fire conditions. For buildings constructed more than 10 
years ago, code compliance at time of construction would not guarantee 
that the building complies with the current codes. Therefore, the 
proposed rule specifies what must be addressed in the professional 
letter of opinion. In reviewing and commenting on this provision, 
please note that catwalks are

[[Page 54092]]

not considered to create a ``multi-storied'' building.

Section 1228.228(d) (Building Code Protection Against Natural Disaster)

     Proposed change: The existing provision requires that the 
facility be designed in accordance with regional building codes to 
provide protection from building collapse or failure of essential 
equipment from natural disasters. We are modifying the provision to 
include also applicable state or local building codes.
     Discussion of proposed change: PRISM suggested the change 
as a clarification. Although Sec.  1228.234 provides a procedure for 
applying conflicting provisions which would address state and local 
building codes, we note that local or state building codes may address 
a specific local common natural disaster that the regional code does 
not. We believe that it is helpful to add these other codes for this 
reason.

Section 1228.228(i) (Storage Shelving)

     Proposed change: We propose to add racking systems in the 
standard for records storage shelving and to add state and local 
building code requirements for seismic bracing. The existing provision 
refers to ``storage shelving'' and ``steel shelving'' and states that 
they must provide seismic bracing that meets the requirements of the 
applicable regional building codes.
    Discussion of proposed change: PRISM recommended the 
clarifications, noting that in industry terminology, ``shelving 
systems'' are used in low-density environments, while ``racking 
systems'' are used in high-density environments. The existing NARA 
standard is intended to ensure that the shelving equipment has proper 
seismic bracing as required by code and that the weight of the records 
on the equipment does not cause its collapse. We view this change as a 
clarification of terminology that will not increase costs for records 
centers that use racking systems. As we stated in our discussion of the 
proposed change to Sec.  1228.228(d), it is appropriate to add the 
clarification on use of state and local codes relating to seismic 
bracing.

Section 1228.228(n)(1) (Mechanical Equipment in Records Storage Areas)

     Proposed change: We propose to modify this provision, 
which applies only to new facilities, to allow installation of material 
handling and conveyance equipment that use thermal breakers on the 
motor.
     Discussion of proposed change: Some material handling and 
conveyance equipment used in high density storage areas operate with 
motors in excess of 1 horsepower (HP). These machines are needed to 
lift pallet loads to higher catwalk levels. In the existing regulation, 
NARA prohibits equipment that has motors rated in excess of 1 HP for 
new facilities because such motors can overheat to the point of causing 
a fire. We propose to modify this prohibition to allow material 
handling and conveyance equipment that use thermal breakers. Thermal 
breakers are readily available, low cost, options for such equipment, 
and adding this exception will benefit commercial records centers. We 
note again that this provision applies only to new facilities (i.e., 
facilities that become records centers on or after the effective date 
of any final rule resulting from this rulemaking). There is no 
prohibition on such equipment in existing facilities.

Section 1228.228(n)(4) (Requirement for Positive Air Pressure)

     Proposed change: We propose to limit the requirement to 
new facilities that store permanent Federal records. The existing 
regulation applies the requirement to all new facilities.
     Discussion of proposed change: The purpose of the original 
provision was to limit degradation of long-term records because of 
exposure to exhaust fumes. We agree with PRISM that the requirement 
should be limited to permanent records.

Section 1228.230(a) (Certification--Fire Detection and Protection 
Systems)

     Proposed change: The paragraph has been substantively 
revised to clarify the requirement to ``certify'' a fire detection and 
protection system. The existing requirement simply states that the 
system must be designed or certified by a licensed fire protection 
engineer (FPE). The proposed paragraph (a) specifies that the FPE must 
furnish a report under professional seal that provides specific 
information.
     Discussion of proposed change: Industry concerns centered 
on the word ``certify,'' and what the FPE was being asked to do. The 
original wording of this paragraph intended that the fire detection and 
protection system be designed specifically for the records storage 
space by a licensed fire protection engineer or, if the system was 
designed and installed by a NICET technician or other sprinkler 
contractor, that the system be reviewed by a licensed fire protection 
engineer to ensure that the installation would provide appropriate 
protection to the contents (i.e, the records stored). The proposed 
language clarifies this intent.

Section 1228.230(b) (Interior Walls)

     Proposed change: We propose to require that interior walls 
separating records storage areas from each other and from other storage 
areas in the building be at least 3-hour fire resistant. In the 
existing rule, the requirement is for 4-hour fire barrier walls. We 
have also restated in a clearer manner the requirement that no more 
than 250,000 cubic feet of Federal records may be stored in a single 
records storage area.
     Discussion of proposed change: While we continue to 
support the National Fire Protection Association (NFPA) 232-2000 
standard, which specifies 4-hour fire barrier walls to separate records 
storage areas from each other and from other storage areas in the 
building, PRISM identified this requirement as a major cost issue for 
commercial records centers, particularly for centers that are built 
higher than 24 feet because it is necessary to go into the foundation 
if the wall is 25 feet tall or taller. After a careful review of the 
data provided by PRISM, we conclude that changing the requirement from 
a 4-hour fire barrier wall to a 3-hour fire barrier wall will retain 
our primary goal of resisting the spread of fire between storage areas 
at a substantial cost savings for records center operators.
    We have not modified the requirement that no more than 250,000 
cubic feet of Federal records be stored in a single records storage 
area. Our language attempts to clarify that we are not setting a NARA 
limit on the number of non-Federal records than can be stored in a 
single records storage area. Although this is one of the six provisions 
with which industry had significant concern, we continue to believe 
this is an appropriate limit for minimizing the loss of Federal records 
to an uncontrolled fire. We discuss this issue further in the Initial 
Regulatory Flexibility Analysis.

Section 1228.230(e) (Fire Resistive Rating of Roof)

     Proposed change: We propose to delete the requirement that 
new facilities must have a roof with a maximum fire-resistive rating of 
one hour. We also propose to allow protection of the roof by an 
automatic sprinkler system designed, installed, and maintained in 
accordance with NFPA 13, Standard for the Installation of Sprinkler 
Systems, as an alternative to the requirement for a minimum fire 
resistive rating of \1/2\ hour.
     Discussion of proposed change: This change is in keeping 
with our proposed change to Sec.  1228.228(a).

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Section 1228.230(i) (Building Columns)

     Proposed change: We propose to revise the fire resistance 
requirement for building columns in records storage areas from 2 hours 
for existing facilities and 4 hours for new facilities to 1 hour or 
protected in accordance with NFPA 13 for all facilities.
     Discussion of proposed change: According to PRISM, the 
existing provision would impose insurmountable costs on most commercial 
storage facilities, which, in general, use columns (including exposed 
steel) that are not fire rated. The proposed modification of this 
provision would bring it in line with NFPA 13, the standard for the 
installation of automatic sprinkler systems, which requires a one-hour 
fire rating or sprinkler construction for columns within racking 
systems. Our fundamental concern remains the protection of the fire 
suppression sprinkler system itself from collapse, but recognize that 
the latest versions of NFPA 13 adequately address that issue.

Section 1228.230(l) (Use of Open Flame Equipment)

     Proposed change: We propose to allow open flame oil and 
gas unit heaters or equipment in storage areas if they are installed 
and used in accordance with NFPA 54, National Fuel Gas Code and IAMPO 
Uniform Mechanical Code. The existing regulation bans such heaters and 
equipment.
     Discussion of proposed change: A ban on the use of open 
flame oil and gas unit heaters or equipment would require records 
centers to install prohibitively expensive central or electric heating 
systems. The proposed modification would ensure that any open flame 
units comply with the rigorous standards set forth in NFPA 54, National 
Fuel Gas Code, and the International Association of Plumbing and 
Mechanical Officials Uniform Mechanical Code. Under these standards, 
for example, the heating unit must be at least three feet from any 
surface and must be equipped with a flame monitor that will shut down 
the flow of fuel if the flame fails. For other preservation-related 
reasons, we continue to believe that open flame heaters are 
inappropriate in archival facilities.

Section 1228.230(s) (Design Intent of Fire Safety Detection and 
Supression Systems)

     Proposed change: We propose to clarify the intent of this 
paragraph that the fire-safety detection and suppression system be 
designed to protect against a single ignition and no more than 8 ounces 
of accelerant.
     Discussion of proposed change: The proposed change 
provides necessary details for design of a fire detection and 
suppression system, and is based on the procedure used for Underwriter 
Laboratories (UL) tests.

Section 1228.240(c) (Agency Records Centers)

     Proposed change: We propose to remove a provision relating 
to approval of existing records centers that did not comply with the 
requirements of the regulations in effect before the January 3, 2000, 
effective date of the current regulation.
     Discussion of proposed change: The provision required 
agencies to submit their requests by July 1, 2000. We propose to remove 
the provision as it is no longer needed.

Section 1228.242(a) (Certifying Fire Safety Detection and Supression 
Systems)

     Proposed change: We propose to add Southwest Research 
Institute as a provider of independent live fire testing; remove a 
requirement for computer modeling as part of the report furnished by a 
licensed FPE in lieu of live fire testing or use of a NARA-certified 
system; and to provide the specific details required in such a report.
     Discussion of proposed change: The original wording of 
Sec.  1228.242(a)(3) required a certification by a licensed FPE that 
the fire suppression system meets the design intent of Sec.  
1228.230(s). ``Certification'' may be read as requiring more than we 
intended, which is that the engineer(s) provide a professional opinion 
under seal. While we continue to see the value of computer modeling as 
a supplement to live fire testing, we acknowledge that the costs of 
such modeling may not always be justified in the records center 
environment. We will continue to use modeling in the archival and 
Presidential records environments. As proposed by PRISM, we have also 
added clarifications of the assumptions that may be made in providing 
the report under professional seal. The detailed assumptions relating 
to the accelerant reflect the test procedure for live fire testing.

Other Changes

    We propose to update the effective date for all provisions that the 
existing regulation states are effective on January 3, 2000. We believe 
that the regulation will be easier to apply if there are only two 
applicable effective dates: the effective date of the final rule 
resulting from this rulemaking and October 1, 2009, the date by which 
existing facilities must meet certain provisions.
    We also propose to change ``may'' to ``will'' in Sec.  1228.236(a) 
to reflect NARA's intent to always grant a waiver when the conditions 
in subparagraphs (a)(1) through (a)(3) are met.

C. Initial Regulatory Flexibility Analysis

    NARA believes that this proposed rule will affect small businesses 
that are records storage providers. Therefore we are publishing as an 
appendix to this proposed rule an initial regulatory flexibility 
analysis (IRFA) in accordance with the Regulatory Flexibility Act and 
Executive Order 13272. We specifically invite comments on the IRFA in 
addition to comments on the proposed rule.
    This proposed rule is a significant regulatory action for the 
purposes of Executive Order 12866 and has been reviewed by the Office 
of Management and Budget. This regulation does not have any federalism 
implications.

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 of the CFR 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 paragraph (b) of Sec.  1228.222 to read:


Sec.  1228.222  What does this subpart cover?

* * * * *
    (b) Except where specifically noted, this subpart applies to all 
records storage facilities. Certain noted provisions apply only to new 
records storage facilities established or placed in service on or after 
[the effective date of the final rule].
    3. Amend Sec.  1228.224 by inserting ``NFPA 54, National Fuel Gas 
Code (2002 Edition)'' in numerical order in paragraph (c) and adding 
paragraph (g) to read:


Sec.  1228.224  Publications incorporated by reference.

* * * * *
    (c) * * *
    NFPA 54, National Fuel Gas Code (2002 Edition)
* * * * *
    (g) International Association of Plumbing and Mechanical Officials 
(IAPMO) standards. The following

[[Page 54094]]

IAPMO standard is available from the International Association of 
Plumbing and Mechanical Officials, 5001 E. Philadelphia Street, 
Ontario, CA 91761: IAPMO, Uniform Mechanical Code (2003 Edition).
    4. Amend Sec.  1228.226 by revising the definitions of ``Existing 
records storage facility'', ``New records storage facility'', and 
``Records storage area'' to read:


Sec.  1228.226  Definitions.

* * * * *
    Existing records storage facility means any records center or 
commercial records storage facility used to store records on [the day 
before the effective date of the final rule] and that has stored 
records continuously since that date.
* * * * *
    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 [the 
effective date of the final rule].
* * * * *
    Records storage area means the area intended for long-term storage 
of records that is enclosed by four fire barrier walls, the floor, and 
the ceiling.
* * * * *
    5. Amend Sec.  1228.228 by revising paragraphs (a), (b), (d), 
(g)(1), (h)(1), (i) introductory text, (i)(1), (i)(2), (n)(1), and 
(n)(4) to read:


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. Roof 
elements may be constructed with combustible materials if installed in 
accordance with local building codes and if roof elements are protected 
by a properly installed, properly maintained wet-pipe automatic 
sprinkler system. 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 
reviewed 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. For new 
buildings the seals on the construction drawings serve as proof of this 
review. For existing buildings, this requirement may be demonstrated by 
a professional letter of opinion under seal by a licensed fire 
protection engineer that the fire resistance of the separating floor(s) 
is/(are) at least four hours, and a professional letter of opinion 
under seal by a licensed civil/structural engineer that there are no 
obvious structural weaknesses that would indicate a high potential for 
structural catastrophic collapse under fire conditions.
* * * * *
    (d) The facility must be designed in accordance with the applicable 
state, regional or local building codes (whichever is most stringent) 
to provide protection from building collapse or failure of essential 
equipment from earthquake hazards, tornadoes, hurricanes and other 
potential natural disasters.
* * * * *
    (g) * * *
    (1) New records storage facilities must meet the requirements in 
this paragraph (g) [the effective date of the final rule].
* * * * *
    (h) * * *
    (1) New records storage facilities must meet the requirements in 
this paragraph (h) [the effective date of the final rule].
* * * * *
    (i) The following standards apply to records storage shelving and 
racking systems:
    (1) All storage shelving and racking systems must be designed and 
installed to provide seismic bracing that meets the requirements of the 
applicable state, regional and local building code (whichever is most 
stringent);
    (2) Racking systems, steel shelving or other open-shelf records 
storage equipment must be braced to prevent collapse under full load. 
Each racking system or shelving unit must be industrial style shelving 
rated at least 50 pounds per cubic foot supported by the shelf;
* * * * *
    (n) * * *
    (1) Do not install mechanical equipment, excluding material 
handling and conveyance equipment that have operating thermal breakers 
on the motor, containing motors rated in excess of 1 HP within records 
storage areas (either floor mounted or suspended from roof support 
structures).
* * * * *
    (4) A facility storing permanent records 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.
    6. Amend Sec.  1228.230 by revising paragraphs (a), (b), (e), (i), 
(l), and (s) to read:


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 
reviewed by a licensed fire protection engineer. If the system was not 
designed by a licensed fire protection engineer, the review requirement 
is met by furnishing a report under the seal of a licensed fire 
protection engineer that describes the design intent of the fire 
detection and suppression system, detailing the characteristics of the 
system, and describing the specific measures beyond the minimum 
features required by code that have been incorporated to minimize loss. 
The report should make specific reference to appropriate industry 
standards used in the design, such as those issued by the National Fire 
Protection Association, and any testing or modeling or other sources 
used in the design.
    (b) All interior walls separating records storage areas from each 
other and from other storage areas in the building must be at least 
three-hour fire barrier walls. A records storage facility may not store 
more than 250,000 cubic feet total of Federal records in a single 
records storage area. When Federal records are combined with other 
records in a single records storage area, only the Federal records will 
apply toward this limitation.
* * * * *
    (e) The fire resistive rating of the roof must be a minimum of \1/
2\ hour for all records storage facilities, or must be protected by an 
automatic sprinkler system designed, installed, and maintained in 
accordance with NFPA 13.
* * * * *
    (i) Building columns in the records storage areas must be at least 
1-hour fire resistant or protected in accordance with NFPA 13.
* * * * *

[[Page 54095]]

    (l) Open flame (oil or gas) unit heaters or equipment, if used in 
records storage areas, must be installed or used in the records storage 
area in accordance with NFPA 54 (2002 Edition), National Fuel Gas Code, 
and the IAPMO Uniform Mechanical Code (2003 Edition).
* * * * *
    (s) All record 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 involving a single ignition and no more than 8 ounces of 
accelerant to a maximum of 300 cubic feet of records destroyed by fire. 
Section 1228.242 specifies how to document compliance with this 
requirement.
    7. Amend Sec.  1228.232 by revising the introductory text of 
paragraph (b) and paragraph (c) to read:


Sec.  1228.232  What are the requirements for environmental controls 
for records storage facilities?

* * * * *
    (b) Nontextual temporary records. Nontextual temporary records, 
including microforms and audiovisual and electronic records, must be 
stored in records storage space that is designed to preserve them for 
their full retention period. New records storage facilities that store 
nontextual temporary records must meet the requirements in this 
paragraph (b) [the effective date of the final rule]. 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:
* * * * *
    (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) [the effective date of the final 
rule] 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.
* * * * *
    8. Amend Sec.  1228.236 by revising the introductory text of 
paragraph (a) and paragraph (a)(2) to read:


Sec.  1228.236  How does an agency request a waiver from a requirement 
in this subpart?

    (a) Types of waivers that will be approved. NARA will approve 
exceptions to one of more of the standards in this subpart for:
* * * * *
    (2) Existing agency records centers that met the NARA standards in 
effect prior to January 3, 2000, but do not meet a new standard 
required to be in place on [the effective date of the final rule].
* * * * *
    9. Amend Sec.  1228.240 by revising paragraph (c) to read as 
follows:


Sec.  1228.240  How does an agency request authority to establish or 
relocate records storage facilities?

* * * * *
    (c) Contents 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. 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.
* * * * *
    10. Amend Sec.  1228.242 by revising paragraphs (a)(2) and (a)(3) 
to read:


Sec.  1228.242  What does an agency have to do to certify a fire-safety 
detection and suppression system?

    (a) * * *
    (2) A report of the results of independent live fire testing 
(Factory Mutual, Underwriters Laboratories, Southwest Research 
Institute, or equivalent); or
    (3) A report under seal of a licensed fire protection engineer 
that:
    (i) Describes the design intent of the fire suppression system to 
limit the maximum anticipated loss in any single fire event involving a 
single ignition and no more than 8 fluid ounces of petroleum-type 
hydrocarbon accelerant (such as, for example, heptanes or gasoline) to 
a maximum of 300 cubic feet of Federal records destroyed by fire. The 
report need not predict a maximum single event loss at any specific 
number, but rather should describe the design intent of the fire 
suppression system. The report may make reasonable engineering and 
other assumptions such as that the fire department responds within XX 
minutes (the local fire department's average response time) and 
promptly commences suppression actions. In addition, any report 
prepared under this paragraph should assume that the accelerant is 
saturated in a cotton wick that is 3 inches in diameter and 6 inches 
long and sealed in a plastic bag and that the fire is started in an 
aisle at the face of a carton at floor level. Assumptions must be noted 
in the report;
    (ii) Details the characteristics of the system; and
    (iii) Describes the specific measures beyond the minimum features 
required by the applicable building code that have been incorporated to 
limit destruction of records. The report should make specific 
references to industry standards used in the design, such as those 
issued by the National Fire Protection Association, and any testing or 
modeling or other sources used in the design.
* * * * *

    Dated: June 1, 2004.
John W. Carlin,
Archivist of the United States.

Appendix to the Preamble of Proposed Rule, 3095-AB31

Records Center Facility Standards

    This appendix contains NARA's initial regulatory flexibility 
analysis for the above cited proposed rule, as required by the 
Regulatory Flexibility Act.

[[Page 54096]]

Description of the Reasons That Action by the Agency is Being 
Considered

    NARA proposes to modify its records center facility standards 
for the following reasons:
    1. One of the reasons cited in the nomination of the regulation 
as a candidate for reform was that the regulation had an adverse 
impact on small businesses. The Office of Advocacy of the Small 
Business Administration (SBA), in reviewing the nominations, also 
identified the regulation as a high priority for reform.
    2. Our discussions with PRISM International, the trade 
association for the commercial information management industry which 
includes commercial records centers, identified areas where the 
existing regulation was unclear or misinterpreted. PRISM, in the 
absence of a specific small-business association representing the 
records center industry, is the organization that best represents 
the interests of small business records center operators. PRISM 
International also identified other areas where modification of the 
NARA requirement would not substantively increase the risk to the 
records but would accommodate commercial records centers. NARA 
believes that the clarifications and changes in the proposed rule 
will enable more commercial records centers to be eligible to store 
Federal records.

Objectives of, and Legal Basis for, the Proposed Rule

    NARA's records center regulations specify the minimum 
structural, environmental, property, security, and fire safety 
standards that a records storage facility must meet when the 
facility is used for the storage of Federal records. Because Federal 
records provide essential documentation of the Federal Government's 
policies and transactions and protect rights of individuals, they 
must be stored in appropriate space to ensure that they remain 
available for their scheduled life.
    The objective of this regulation is to clarify the records 
center facility standards and modify them, where appropriate, to 
better enable records centers, particularly those that are small 
businesses, to be able to offer their services to Federal agencies 
while ensuring the continued appropriate protection of Federal 
records stored in off-site facilities.
    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 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.

Description of and, Where Feasible, an Estimate of the Number of 
Small Entities to Which the Proposed Rule Will Apply

    The proposed rule will apply to NARA, to Federal agencies that 
operate their own records centers, and to any individual commercial 
records center facilities that a Federal agency uses to store its 
records. Commercial records centers that meet the appropriate Small 
Business Administration (SBA) size standard are considered small 
entities. The size standard covering commercial records centers is 
North American Industry Classification (NAIC) 493190, $21.5 million 
in average annual receipts. NARA is unable to provide a reliable 
estimate of the number of small entities to which the proposed rule 
will apply for the following reasons:
    1. There are 829 small firms in NAIC 493190 according to the 
SBA. However, NAIC 493190 contains more than records centers. The 
categories of covered businesses includes automobile dead storage, 
bulk petroleum storage, lumber storage terminals, and whiskey 
warehousing, in addition to public and private warehousing and 
storage businesses. Moreover, not all public and private warehousing 
and storage businesses are records centers. At present, the General 
Services Administration's Federal Supply Schedule for Records 
Management Services (Schedule 36, SIN 51 504) lists 7 small 
businesses that offer paper records and/or data storage services. 
Additionally, at least one large records center business is on that 
schedule. Under Schedule 36, storage facilities must conform to NARA 
standards.
    2. PRISM International, was consulted in an attempt to obtain 
more precise information on the universe of commercial records 
centers in the U.S. and the number of such centers that would be 
classified as small businesses. PRISM noted that the universe of 
commercial records centers in the U.S. is a difficult question to 
answer with any degree of accuracy. Using an independent source 
(Info USA) and querying against SIC Codes 4225-10 and 4226-9902 
(which cover records storage businesses and track to NAIC 493190), 
PRISM received a total count of 907 companies who are identified 
with these SIC codes. PRISM's own membership of approximately 1,580 
businesses, includes 351 commercial records center businesses of 
which 99 percent appear to meet the SBA small business threshold.
    3. We note that there is one dominant large records storage 
business with 445 record centers worldwide and a presence in all 
major U.S. markets. We believe that it is reasonable to expect that 
this firm also has a dominant share of the total commercial records 
center capacity in the U.S.

Description of the Projected Reporting, Recordkeeping and Other 
Compliance Requirements for Small Entities

    All reporting requirements are placed on Federal agencies, which 
must secure NARA approval before moving Federal records to a 
commercial records center. However, we expect that a substantial 
portion of the reporting requirements would ``flow down'' to 
commercial records center operators. To demonstrate compliance with 
requirements in Sec. Sec.  1228.228(b) and 1228.230(a) relating to 
design of facilities with two or more stories and the fire detection 
and protection system, respectively, the proposed rule offers the 
records centers an option of obtaining a report under professional 
seal by a licensed fire protection engineer (both sections) and a 
licensed civil/structural engineer (Sec.  1228.228(b)). We believe 
that the documentation requirements relating to multi-story 
facilities would apply to a relatively small percentage of small 
business records centers; we invite comment on this point.
    If the records center owner has maintained the facility design 
records, no special professional skills would be necessary 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 16 hours total.
    All records centers that store Federal records, including 
commercial records centers operated by small businesses, must comply 
with the facility requirements in the proposed rule. Certain 
specific requirements differ for newly constructed facilities and 
existing facilities. Also, existing facilities have until October 1, 
2009, to become compliant with some of these requirements. The 
facility compliance requirements are found in the proposed 
Sec. Sec.  1228.228, 1228.230, and 1228.236.
    Other Federal rules which may duplicate, overlap or conflict 
with the proposed rule. We are not aware of any relevant Federal 
rules that duplicate, overlap, or conflict with the proposed rule. 
The Legislative Branch has voluntarily adopted the NARA standards 
for facilities constructed by the Architect of the Capitol and 
maintained by the Library of Congress.

Alternatives to the Proposed Rule

    As discussed earlier in this appendix, the objective of the NARA 
regulation is to ensure that Federal records are stored in 
appropriate space. NARA considered, but did not adopt the following 
alternatives to this proposed rule:
    1. No regulation. One alternative would be to replace the 
existing regulation with a single requirement that agencies must use 
a records center that complies with NFPA/ANSI 232-2000, Standard for 
the Protection of Records. This is the voluntary consensus standard 
that applies to records storage facilities (we note that other NFPA 
standards apply to other types of warehousing). Office of Management 
and Budget (OMB) Circular A-119 Circular directs agencies to use 
voluntary consensus standards in lieu of government-unique standards 
except where inconsistent with law or otherwise impractical. We did 
not adopt this alternative as it would be more stringent with regard 
to fire protection issues than the existing NARA records center 
facility standards (which incorporate most but not all of the NFPA 
232 provisions), while not including the environmental and pest 
control portions of our existing regulation. Based on the industry 
comments made on the draft 2003 Report to Congress on Costs and 
Benefits of Federal Regulations and subsequent dialog with PRISM 
International, we believe that this alternative would not minimize 
the economic impact on small business records centers that

[[Page 54097]]

want to provide records storage services for Federal agencies. We 
are unable to quantify the economic impact of this alternative on 
small business.
    2. Relax the waiver process for small businesses. The proposed 
rule addresses the provisions that industry identified in their 
comments as major obstacles for small businesses. The alternative 
considered here would be to allow records centers that qualify as 
small businesses to apply for a waiver from Sec.  1228.228(a)'s 
requirement for noncombustible roofs, and to have two tiers of 
requirements in Sec.  1228.230 relating to the fire-resistive rating 
of building elements. The proposed requirements specified in this 
proposed rule would apply to small businesses; the existing (January 
2000) requirements would be retained for NARA records centers, 
agency records centers, and commercial records centers that are 
other than small businesses. We would still make the proposed 
changes to the sections that are being modified to clarify language 
(e.g., relating to ``FPE certifications,'' racking systems, and 300 
cubic foot limit in Sec.  1228.230(s)), which would apply to all 
facilities. Because many commercial records centers are small 
businesses, we felt that this approach would merely add an 
additional step and paperwork for small businesses. Moreover, the 
two-tier approach may be confusing to them.

Questions for Comment To Assist Regulatory Flexibility Analysis

    1. Please provide comment on any or all of the provisions in the 
proposed rule with regard to
     The impact of the provision(s) including the benefits 
and costs, if any, on small business, and
     Other alternatives, if any, NARA should consider, as 
well as the costs and benefits of those alternatives to small 
business.
    2. We are particularly interested in hearing from existing small 
business-owned records centers that currently have more than 250,000 
cubic feet of existing, unused capacity within a single facility 
that are interested in providing records storage services to the 
Federal government.

[FR Doc. 04-20274 Filed 9-3-04; 8:45 am]
BILLING CODE 7515-01-P