[Federal Register: September 7, 2004 (Volume 69, Number 172)]
[Proposed Rules]
[Page 54091-54097]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07se04-22]
[[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: comments@nara.gov. 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).
[[Page 54093]]
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