Collapse to view only § 1234.34 - When may NARA conduct an inspection of a records storage facility?
- § 1234.30 - How does an agency request authority to establish or relocate records storage facilities?
- § 1234.32 - What does an agency have to do to certify a fire-safety detection and suppression system?
- § 1234.34 - When may NARA conduct an inspection of a records storage facility?
- APPENDIX Appendix A - Appendix A to Part 1234—Minimum Security Standards for Level III Federal Facilities
- APPENDIX Appendix B - Appendix B to Part 1234—Alternative Certified Fire-Safety Detection and Suppression System(s)
§ 1234.30 - How does an agency request authority to establish or relocate records storage facilities?
(a) General policy. Agencies are responsible for ensuring that records in their legal custody are stored in appropriate space as outlined in this part. Under § 1232.18(a), agencies are responsible for initiating action to remove records from space that does not meet these standards if deficiencies are not corrected within 6 months after initial discovery of the deficiencies by NARA or the agency and to complete removal of the records within 18 months after initial discovery of the deficiencies.
(1) Agency records centers. Agencies must obtain prior written approval from NARA before establishing or relocating an agency records center. Each separate agency records center must be specifically approved by NARA prior to the transfer of any records to that individual facility. If an agency records center has been approved for the storage of Federal records of one agency, any other agency that proposes to store its records in that facility must still obtain NARA approval to do so.
(2) Commercial records storage facilities. An agency may contract for commercial records storage services. However, before any agency records are transferred to a commercial records storage facility, the transferring agency must ensure that the facility meets all of the requirements for an agency records storage facility set forth in this subpart and must submit the documentation required in paragraph (e) of this section.
(b) Exclusions. For purposes of this section, the term “agency records center” excludes NARA-owned and operated records centers. For purposes of this section and § 1234.34, the term “agency records center” also excludes agency records staging and/or holding areas with a capacity for containing less than 25,000 cubic feet of records. However, such records centers and areas, including records centers operated and maintained by NARA, must comply with the facility standards in §§ 1234.10 through 1234.14.
(c) Content of requests for agency records centers. Submit requests for authority to establish or relocate an agency records center, or to use an agency records center operated by another agency, to NARA by mail at National Archives and Records Administration; Storage Coordination and Logistics (B-AD); 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 § 1234.12(s) are specified in § 1234.32.
(d) Approval of requests for agency records centers. NARA will review the submitted documentation to ensure the facility demonstrates full compliance with the standards in this subpart. NARA reserves the right to visit the facility, if necessary, to make the determination of compliance. NARA will inform the agency of its decision within 45 calendar days after the request is received, and will provide the agency information on the areas of noncompliance if the request is denied. Requests will be denied only if NARA determines that the facility does not demonstrate full compliance with the standards in this subpart. Approvals will be valid for a period of 10 years, unless the facility is materially changed before then or an agency or NARA inspection finds that the facility does not meet the standards in this subpart. Material changes require submission of a new request for NARA approval.
(e) Documentation requirements for storing Federal records in commercial records storage facilities. At least 45 calendar days before an agency first transfers records to a commercial records storage facility, the agency must submit documentation to NARA that the facility complies with the standards in this subpart. The documentation may take the form of a copy of the agency's contract that incorporates this subpart in its provisions or a statement from the agency records officer that certifies that the facility meets the standards in this subpart. An agency must provide the documentation for each separate commercial records storage facility where its records will be stored. Send documentation to NARA by mail at National Archives and Records Administration; Storage Coordination and Logistics (B-AD); 8601 Adelphi Road; College Park, MD 20740-6001. The agency must submit updated documentation to NARA every 10 years if it continues to store records in that commercial records storage facility.
§ 1234.32 - What does an agency have to do to certify a fire-safety detection and suppression system?
(a) Content of documentation. The agency must submit documentation to NARA, by mail at National Archives and Records Administration; Storage Coordination and Logistics (B-AD); 8601 Adelphi Road; College Park, MD 20740-6001, that describes the space being protected (e.g., the type and stacking height of the storage equipment used, or how the space is designed, controlled, and operated) and the characteristics of the fire-safety detection and suppression system used. The documentation must demonstrate how that system meets the requirement in § 1234.12(s) through:
(1) A statement that the facility is using a NARA certified system as described in Appendix B to this part;
(2) A report of the results of independent live fire testing (Factory Mutual, Underwriters Laboratories or Southwest Research Institute); 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.
(b) NARA action. (1) NARA will approve the fire-safety detection and suppression system within 10 work days if NARA has previously approved the system design for similarly configured space or if a report of independent testing of a new system design is furnished as documentation.
(2) If, in NARA's judgment, the supporting documentation provided in accordance with paragraph (a)(3) of this section clearly demonstrates compliance with § 1234.12(s), NARA will approve the fire-safety detection and suppression system within 30 calendar days.
(3) If NARA questions whether supporting documentation demonstrates compliance with § 1234.12(s), NARA will consult the appropriate industry standards body or other qualified expert before making a determination. Before any consultation, NARA may ask the agency for additional clarifying information. NARA will notify the requesting agency within 30 calendar days of receipt of the request that consultation is necessary and will provide a final determination within 60 calendar days. If NARA does not approve the system, NARA will furnish a full explanation of the reasons for its decision.
(4) NARA will maintain a list of approved alternative systems.
§ 1234.34 - When may NARA conduct an inspection of a records storage facility?
(a) At the time an agency submits a request to establish an agency records center, pursuant to § 1234.30, NARA may conduct an inspection of the proposed facility to ensure that the facility complies fully with the standards in this subpart. NARA may also conduct periodic inspections of agency records centers so long as such facility is used as an agency records center. NARA will inspect its own records center facilities on a periodic basis to ensure that they are in compliance with the requirements of this subpart.
(b) Agencies must ensure, by contract or otherwise, that agency and NARA officials, or their delegates, have the right to inspect commercial records storage facilities to ensure that such facilities fully comply with the standards in this subpart. NARA may conduct periodic inspections of commercial records storage facilities so long as agencies use such facilities to store agency records. The using agency, not NARA, will be responsible for paying any fee or charge assessed by the commercial records storage facility for NARA's conducting an inspection.
(c) NARA will contact the agency operating the records center or the agency holding a contract with a commercial records storage facility in advance to set a date for the inspection.
Appendix A - Appendix A to Part 1234—Minimum Security Standards for Level III Federal Facilities
Recommended Standards Chart
[Reproduced from Section 2.3 (pp. 2-6 through 2-9) of U.S. Department of Justice, United States Marshals Service report
| Level III | Control of facility parking | Required. | Control of adjacent parking | Desirable. | Avoid leases where parking cannot be controlled | Desirable. | Leases should provide security control for adjacent parking | Desirable. | Post signs and arrange for towing unauthorized vehicles | Required. | ID system and procedures for authorized parking (placard, decal, card key, etc.) | Required. | Adequate lighting for parking areas | Required. | CCTV surveillance cameras with time lapse video recording | Recommended. | Post signs advising of 24 hour video surveillance | Recommended. | Lighting with emergency power backup | Required. | Extend physical perimeter with barriers (concrete and/or steel composition) | Desirable. | Parking barriers | Desirable. | Review receiving/shipping procedures (current) | Required. | Implement receiving/shipping procedures (modified) | Required. | Evaluate facility for security guard requirements | Required. | Security guard patrol | Recommended. | Intrusion detection system with central monitoring capability | Required. | Upgrade to current life safety standards (fire detection, fire suppression systems, etc.) | Required. | X-ray & magnetometer at public entrances | Recommended. | Require x-ray screening of all mail/packages | Recommended. | High security locks | Required. | Agency photo ID for all personnel displayed at all times | Recommended. | Visitor control/screening system | Required. | Visitor identification accountability system | Recommended. | Establish ID issuing authority | Recommended. | Prevent unauthorized access to utility areas | Required. | Provide emergency power to critical systems (alarm systems, radio communications, computer facilities, etc.) | Required. | Examine occupant emergency plans (OEP) and contingency procedures based on threats | Required. | OEPs in place, updated annually, periodic testing exercise | Required. | Assign & train OEP officials (assignment based on largest tenant in facility) | Required. | Annual tenant training | Required. | Evaluate whether to locate daycare facilities in buildings with high threat activities | Required. | Compare feasibility of locating daycare in outside locations | Required. | Establish law enforcement agency/security liaisons | Required. | Review/establish procedure for intelligence receipt/dissemination | Required. | Establish uniform security/threat nomenclature | Required. | Conduct annual security awareness training | Required. | Establish standardized unarmed guard qualifications/training requirements | Required. | Establish standardized armed guard qualifications/training requirements | Required. | Co-locate agencies with similar security needs | Desirable. | Do not co-locate high/low risk agencies | Desirable. | Establish flexible work schedule in high threat/high risk areas to minimize employee vulnerability to criminal activity | Desirable. | Arrange for employee parking in/near building after normal work hours | Recommended. | Conduct background security checks and/or establish security control procedures for service contract personnel | Required. | Install mylar film on all exterior windows (shatter protection) | Recommended. | Review current projects for blast standards | Required. | Review/establish uniform standards for construction | Required. | Review/establish new design standard for blast resistance | Required. | Establish street set-back for new construction | Recommended. |
|---|
Terms and Definitions in Recommended Standards Chart
[Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report
| Term | Definition/description | Control of Facility Parking | Access to government parking should be limited where possible to government vehicles and personnel. At a minimum, authorized parking spaces and vehicles should be assigned and identified. | Control of Adjacent Parking | Where feasible, parking areas adjacent to federal space should also be controlled to reduce the potential for threats against Federal facilities and employee exposure to criminal activity. | Avoid Leases Where Parking Cannot Be Controlled | Avoid leasing facilities where parking cannot be controlled. If necessary, relocate offices to facilities that do provide added security through regulated parking. | Lease Should Provide Control for Adjacent Parking | Endeavor to negotiate guard services as part of lease. | Post Signs and Arrange for Towing Unauthorized Vehicles | Procedures should be established and implemented to alert the public to towing policies, and the removal of unauthorized vehicles. | ID System and Procedures for Authorized Parking | Procedures should be established for identifying vehicles and corresponding parking spaces (placard, decal, card key, etc.) | Adequate Lighting for Parking Areas | Effective lighting provides added safety for employees and deters illegal or threatening activities. | CCTV Surveillance Cameras With Time Lapse Video Recording | Twenty-four hour CCTV surveillance and recording is desirable at all locations as a deterrent. Requirements will depend on assessment of the security level for each facility. Time-lapse video recordings are also highly valuable as a source of evidence and investigative leads. | Post Signs Advising of 24 Hour Video Surveillance | Warning signs advising of twenty-four hour surveillance act as a deterrent in protecting employees and facilities. | Lighting with Emergency Power Backup | Standard safety code requirement in virtually all areas. Provides for safe evacuation of buildings in case of natural disaster, power outage, or criminal/terrorist activity. | Extend Physical Perimeter, With Barriers | This security measure will only be possible in locations where the Government controls the property and where physical constraints are not present. (barriers of concrete and/or steel composition) | Parking Barriers | Desirable to prevent unauthorized vehicle access. | Review Receiving/Shipping Procedures (Current) | Audit current standards for package entry and suggest ways to enhance security. | Implement Receiving/Shipping Procedures (Modified) | After auditing procedures for receiving/shipping, implement improved procedures for security enhancements. | Evaluate Facility for Security Guard Requirements | If security guards are required, the number of guards at any given time will depend on the size of the facility, the hours of operation, and current risk factors, etc. | Security Guard Patrol | Desirable for level I and II facilities and may be included as lease option. Level III, IV and V facilities will have security guard patrol based on facility evaluation. | Intrusion Detection System With Central Monitoring Capability | Desirable in Level I facilities, based on evaluation for Level II facilities, and required for Levels III, IV and V. | Upgrade to Current Life Safety Standards | Required for all facilities as part of GSA design requirements, (e.g. fire detection, fire suppression systems, etc.) | X-Ray and Magnetometer at Public Entrances | May be impractical for Level I and II facilities. Level III and IV evaluations would focus on tenant agencies, public interface, and feasibility. Required for Level V. | Require X-Ray Screening of all Mail/Packages | All packages entering building should be subject to x-ray screening and/or visual inspection. | High Security Locks | Any exterior entrance should have a high security lock as determined by GSA specifications and/or agency requirements. | Agency Photo ID for all Personnel Displayed At All Times | May not be required in smaller facilities. | Visitor Control/Security System | Visitors should be readily apparent in Level I facilities. Other facilities may ask visitors to sign-in with a receptionist or guard, or require an escort, or formal identification/badge. | Visitor Id Accountability System | Stringent methods of control over visitor badges will ensure that visitors wearing badges have been screened and are authorized to be at the facility during the appropriate time frame. | Establish Id Issuing Authority | Develop procedures and establish authority for issuing employee and visitor IDs. | Prevent Unauthorized Access to Utility Areas | Smaller facilities may not have control over utility access, or locations of utility areas. Where possible, assure that utility areas are secure and that only authorized personnel can gain entry. | Provide Emergency Power To Critical Systems | Tenant agency is responsible for determining which computer and communication systems require back-up power. All alarm systems, CCTV monitoring devices, fire detection systems, entry control devices, etc. require emergency power sources. (Alarm Systems, Radio Communications, Computer Facilities, Etc.) | Examine Occupant Emergency Plan (OEP) and Contingency Procedures Based on Threats | Review and update current OEP procedures for thoroughness. OEPs should reflect the current security climate. | Assign and Train OEP Officials | Assignment based on GSA requirement that largest tenant in facility maintain OEP responsibility. Officials should be assigned, trained and a contingency plan established to provide for the possible absence of OEP officials in the event of emergency activation of the OEP. | Annual Tenant Training | All tenants should be aware of their individual responsibilities in an emergency situation. | Re-Evaluate Current Security and Safety Standards | Conduct a thorough review of security and safety standards. | Assess Feasibility of Locating Day Care Within Federal Facility | If a facility is being considered for a day care center, an evaluation should be made based on the risk factors associated with tenants and the location of the facility. | Establish Law Enforcement Agency/Security Liaisons | Intelligence sharing between law enforcement agencies and security organizations should be established in order to facilitate the accurate flow of timely and relevant information between appropriate government agencies. Agencies involved in providing security must be part of the complete intelligence process. | Review/Establish Procedures for Intelligence Receipt/Dissemination | Determine what procedures exist to ensure timely delivery of critical intelligence. Review and improve procedures to alert agencies and specific targets of criminal/terrorist threats. Establish standard administrative procedures for response to incoming alerts. Review flow of information for effectiveness and time critical dissemination. | Establish Uniform Security/Threat Nomenclature | To facilitate communication, standardized terminology for Alert Levels should be implemented. (Normal, Low, Moderate, and High—As recommended by Security Standards Committee) | Conduct Annual Security Awareness Training | Provide security awareness training for all tenants. At a minimum, self-study programs utilizing videos, and literature, etc. should be implemented. These materials should provide up-to-date information covering security practices, employee security awareness, and personal safety, etc. | Establish Standardized Armed And Unarmed Guard Qualifications/Training Requirements | Requirements for these positions should be standardized government wide. | Co-Locate Agencies With Similar Security Needs | To capitalize on efficiencies and economies, agencies with like security requirements should be located in the same facility if possible. | Do Not Co-Locate High/Low Risk Agencies | Low risk agencies should not take on additional risk by being located with high risk agencies. | Establish Flexible Work Schedule in High Threat/High Risk Area to Minimize Employee Vulnerability to Criminal Activity | Flexible work schedules can enhance employee safety by staggering reporting and departure times. As an example flexible schedules might enable employees to park closer to the facility by reducing the demand for parking at peak times of the day. | Arrange for Employee Parking In/Near Building After Normal Work Hours | Minimize exposure to criminal activity by allowing employees to park at or inside the building. | Conduct Background Security Checks and/or Establish Security Control Procedures for Service Contract Personnel | Establish procedures to ensure security where private contract personnel are concerned. Procedures may be as simple as observation or could include sign-in/escort. Frequent visitors may necessitate a background check with contractor ID issued. | Install Mylar Film on All Exterior Windows (Shatter Protection) | Application of shatter resistant material to protect personnel and citizens from the hazards of flying glass as a result of impact or explosion. | Review Current Projects For Blast Standards | Design and construction projects should be reviewed if possible, to incorporate current technology and blast standards. Immediate review of ongoing projects may generate savings in the implementation of upgrading to higher blast standards prior to completion of construction. | Review/Establish Uniform Standards For Construction | Review, establish, and implement uniform construction standards as it relates to security considerations. | Review/Establish New Design Standard for Blast RESISTANCE | In smaller facilities or those that lease space, control over design standards may not be possible. However, future site selections should attempt to locate in facilities that do meet standards. New construction of government controlled facilities should review, establish, and implement new design standards for blast resistance. | Establish Street Set-Back for New Construction | Every foot between a potential bomb and a building will dramatically reduce damage and increase the survival rate. Street set-back is always desirable, but should be used in conjunction with barriers in Level IV and V facilities. | (Reproduced from Appendix C, | Level | Typical location | III | Agency Mix: Government Records. |
|---|
Appendix B - Appendix B to Part 1234—Alternative Certified Fire-Safety Detection and Suppression System(s)
1. General. This Appendix B contains information on the Fire-safety Detection and Suppression System(s) tested by NARA through independent live fire testing that are certified to meet the requirement in § 1234.12(s) for storage of Federal Records. Use of a system specified in this appendix is optional. A facility may choose to have an alternate fire-safety detection and suppression system approved under § 1234.32).
2. Specifications for NARA facilities using 15 foot high records storage. NARA fire-safety systems that incorporate all components specified in paragraphs 2.a. through n. of this appendix have been tested and certified to meet the requirements in § 1234.12(s) for an acceptable fire-safety detection and suppression system for storage of Federal records.
a. The records storage height must not exceed the nominal 15 feet (±3 inches) records storage height.
b. All records storage and adjoining areas must be protected by automatic wet-pipe sprinklers. Automatic sprinklers are specified herein because they provide the most effective fire protection for high piled storage of paper records on open type shelving.
c. The sprinkler system must be rated at no higher than 285 degrees Fahrenheit utilizing quick response (QR) fire sprinkler heads and designed by a licensed fire protection engineer to provide the specified density for the most remote 1,500 square feet of floor area at the most remote sprinkler head in accordance with NFPA 13 (incorporated by reference, see § 1234.3). For facilities with roofs rated at 15 minutes or greater, provide 1/2″ QR sprinklers rated at no higher than 285 degrees Fahrenheit designed to deliver a density of 0.30 gpm per square foot. For unrated roofs, provide 0.64″ QR “large drop” sprinklers rated at no higher than 285 degrees Fahrenheit. For facilities using 7 or 8 shelf track files, use QR sprinklers rated at no higher than 285 degrees Fahrenheit. For new construction and replacement sprinklers, NARA recommends that the sprinklers be rated at 165 degrees Fahrenheit. Installation of the sprinkler system must be in accordance with NFPA 13 (incorporated by reference, see § 1234.3).
d. Maximum spacing of the sprinkler heads must be on a 10-foot grid and the positioning of the heads must provide complete, unobstructed coverage, with a clearance of not less than 18 inches from the top of the highest stored materials.
e. The sprinkler system must be equipped with a water-flow alarm connected to an audible alarm within the facility and to a continuously staffed fire department or an Underwriters Laboratory approved central monitoring station (see UL 827 (incorporated by reference, see § 1234.3)) with responsibility for immediate response.
f. A manual fire alarm system must be provided with a Underwriters Laboratory approved (grade A) central monitoring station service or other automatic means of notifying the municipal fire department. A manual alarm pull station must be located adjacent to each exit. Supplemental manual alarm stations are permitted within the records storage areas.
g. All water cutoff valves in the sprinkler system must be equipped with automatic closure alarm (tamper alarm) connected to a continuously staffed station, with responsibility for immediate response. If the sprinkler water cutoff valve is located in an area used by the public, in addition to the tamper alarm, the valves must be provided with frangible (easily broken) padlocks.
h. A dependable water supply free of interruption must be provided including a continuous site fire loop connected to the water main and sized to support the facility with only one portion of the fire loop operational. This normally requires a backup supply system having sufficient pressure and capacity to meet both fire hose and sprinkler requirements for 2-hours. A fire pump connected to an emergency power source must be provided in accordance with NFPA 20 (incorporated by reference, see § 1234.3), when adequate water pressure is not assured. In the event that public water mains are not able to supply adequate volumes of water to the site, on-site water storage must be provided.
i. Interior fire hose stations equipped with a 1 1/2 inch diameter hose may be provided in the records storage areas if required by the local fire department, enabling any point in the records storage area to be reached by a 50-foot hose stream from a 100-foot hose lay. If provided, these cabinets must be marked “For Fire Department Use Only.”
j. Where fire hose cabinets are not required, fire department hose outlets must be provided at each floor landing in the building core or stair shaft. Hose outlets must have an easily removable adapter and cap. Threads and valves must be compatible with the local fire department's equipment. Spacing must be so that any point in the record storage area can be reached with a 50-foot hose stream from a 100-foot hose lay.
k. In addition to the designed sprinkler flow demand, 500 gpm must be provided for hose stream demand. The hose stream demand must be calculated into the system at the base of the main sprinkler riser.
l. Fire hydrants must be located within 250 feet of each exterior entrance or other access to the records storage facility that could be used by firefighters. Each required hydrant must provide a minimum flow capacity of 500 gpm at 20 psi. All hydrants must be at least 50 feet away from the building walls and adjacent to a roadway usable by fire apparatus. Fire hydrants must have at least two, 2 1/2 inch hose outlets and a pumper connection. All threads must be compatible with local standards.
m. Portable water-type fire extinguishers (2 1/2 gallon stored pressure type) must be provided at each fire alarm striking station. The minimum number and locations of fire extinguishers must be as required by NFPA 10 (incorporated by reference, see § 1234.3).
n. Single level catwalks without automatic sprinklers installed underneath may be provided in the service aisles if the edges of all files in the front boxes above the catwalks are stored perpendicular to the aisle (to minimize files exfoliation in a fire). Where provided, the walking surface of the catwalks must be of expanded metal at least .09-inch thickness with a 2-inch mesh length. The surface opening ratio must be equal or greater than 0.75. The sprinkler water demand for protection over bays with catwalks where records above the catwalks are not perpendicular to the aisles must be calculated hydraulically to give .30 gpm per square foot for the most remote 2,000 square feet.