Free Reply to Response to Motion - District Court of Federal Claims - federal

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INDEX OF EXHIBITS

EXHIBIT 1: Navajo Nation Order

EXHIBIT 2: Declaration of Rita Bratcher

EXHIBIT 3: Declaration of Steven D. Tilley

TAB A:

NARA Archival Storage Standards

TAB B: NARA Security for NARA Holdings

EXHIBIT 4: Declaration of Gregory Pomicter

EXHIBIT 5: Declaration of Bruce Maytubby

EXHIBIT 6: Declaration of Richard Fielitz, Jr.

EXHIBIT 7: Declaration of Paulette Sanford

EXHIBIT 8: Declaration of Julia Langan

EXHIBIT 9: Mapquest Directions From Oklahoma City, OK to Anadarko, OK

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EXHIBIT 1 NAVAJO NATION ORDER

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EXHIBIT 2 DECLARATION OF RITA BRATCHER

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EXHIBIT 3 DECLARATION OF STEVEN D. TILLEY

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UNITED STATES COURT OF FEDERAL CLAIMS

THE KAW NATION OF OKLAHOMA Plaintiff,
V.

No. 06-934 L Judge Francis M. Allegra

THE UNITED STATES Defendant. DECLARATION OF STEVEN D. TILLEY I, Steven D. Tilley, do hereby declare: 1. I hold the position of Director ofthe Textual Archives Services Division in the Access Programs unit ofthe Office of Records Services, Washington, DC, National Archives and Records Administration (NARA), located in College Park, Maryland. I have been the Director ofthe Textual Archives Services Division since August 2004. I am responsible for all reference, processing, and preservation work on the permanently valuable textual records in NARA's legal custody (i.e., our archival paper holdings) in our headquarters facilities located in College Park and Washington, DC. Among my overall duties, I supervise a staff of approximately 180 archivists and other personnel. Prior to my present position, I served as the Chief of the Special Access and FOIA Staff in the Textual Archives Services Division from 1997 to 2004. From 1993 to 2004,1 served as the Director ofthe President John F. Kennedy Assassination Records Collection. 2. I am generally familiar with The Kaw Nation of Oklahoma v. U.S. lawsuit, the Court's Document Preservation Order ("Preservation Order") of October 24, 2007, and

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the parties' subsequent filings in connection with defendant's motion to modify the Court's Preservation Order. I am submitting this declaration to provide the Court with additional information on the scope of NARA's holdings and to apprise the Court ofthe extraordinarily burdensome nature of plaintiff s demand for wholesale transfer and/or copying and shipping of records to Pawnee, Oklahoma, in the event the Court is inclined both to read its prior Preservation Order to so require, and to decline fiirther relief in the form of a modification of its Preservation Order along the lines defendant has requested. 3. This declaration is based on my personal knowledge, as well as factual information gathered on my behalf by NARA staff. NARA's Role in the Management and Retention of U.S. Government Records 4. The Archivist ofthe United States has the statutory responsibility to "provide guidance and assistance to Federal agencies with respect to ensuring adequate and proper documentation" of governmental policies and transactions, as well as to ensure "proper records disposition." 44 U.S.C. § 2904. Working in cooperation with the Archivist, the head of each agency is, in tum, required to "establish and maintain an active, continuing program for the economical and efficient management ofthe records ofthe agency." Id., § 3102. Both the Archivist and agency heads have the responsibility "to promulgate standards, procedures and guidelines with respect to records management." Id, § 2904(a). By statute, the Archivist "establish[es] standards for the selective retention of records of continuing value, and assist[s] Federal agencies in applying the standards to records in their custody." Id., § 2905. The statutory scheme thus contemplates that all federal records will be appraised as either having temporary or continuing value, in accordance with records schedules approved by the Archivist. Pursuant to such record

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schedules, records that are designated as permanent are subject to transfer into the legal and physical custody ofthe National Archives under the terms of those schedules. Records in NARA 's Legal and/or Physical Custody - A General Overview 5. The Archivist is responsible for the custody of all records transferred to NARA, and by statute is required to maintain adequate facilities for the housing of those records. 44 U.S.C. §§ 2108(a) & 2110. The Archivist's statutory and regulatory scheme includes a comprehensive framework for ensuring that there are specific environmental and security requirements for the storage of records in NARA's legal custody, including stringent environmental and security standards for the storage of permanent records in our agency's archival facilities. See NARA 1571 ("Archival Storage Standards") & NARA 1572 ("Security for NARA Holdings") (attached at Tabs A & B, respectively). Additionally, pursuant to 44 U.S.C. 2107 and 2904, "[t]he Archivist ofthe United States has authority over the placement of permanent records." 36 C.F.R. 1228.70 Accordingly, permanent records, once placed in an archival facility, are presumptively not subject to further transfer or loan except under very narrow and controlled circumstances. Id 6. To house what at latest estimate is approximately 3.3 million cubic feet of archival holdings, 543,000 artifacts, and over 11.8 billion electronic logical data records, NARA currently maintains two national headquarters facilities in the Washington, DC area. NARA also is responsible for the preservation of hundreds of millions of presidential records contained within 11 presidential libraries throughout the country. A discussion of NARA's separate regional facilities holdings is contained in my colleague Gregory Pomicter's Declaration, filed contemporaneously herewith. In light of my

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principal duties and responsibilities for the management of NARA's archival holdings in the Washington, DC area, I will provide a brief introduction to NARA's holdings, and then will generally limit my discussion to how plaintiffs interpretation ofthe current Preservation Order, and/or a failure to modify the Order along the lines defendant proposes, would affect NARA operations in processing and working with respect to archival holdings in our headquarters buildings in Washington, DC and College Park. NARA's Storage of Records Relevant To This Litigation 7. NARA's vast archival holdings are organized or classified in over 500 record group designations. In general, federal records are arranged by the name ofthe govemment agency with which they are associated (e.g., the Defense Department (formerly War Department), the Treasury Department, the Govemment Accountability Office, the Department of Interior, etc.), and each agency has its own bureaucratic filing system, none of which are known to have been designed to enable a search of records by the name of an Indian tribe. Rather, the records of each agency are arranged and filed by the agency's own bookkeeping and filing system, in accordance with existing file plans and records series set out in each agency's records schedules. For example. Army records might be arranged by the name of a division, fort, or department, not what tribes Army staff might have had contact with. Consequently, NARA archivists are not generally able to search records of all govemment agencies under the search term "Kaw Nation" to locate all records relating to this tribe. Moreover, although, as described in more detail below, most records related to the Kaw Nation would be expected to be found within the Department of Interior's (DOI) record groups, NARA archivists are also aware

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of many record groups outside of DOI that also might conceivably contain Kaw Nationrelated records. 8. The records of DOI collectively comprise sixteen record groups, including among others located in our headquarters archives. Record Group 75 (Records ofthe Bureau of Indian Affairs (BIA)), and Record Group 48 (Records ofthe Office ofthe Secretary ofthe Interior (OSI)). Many of these DOI Record Groups potentially hold extremely substantial quantities of archival records. For example, in our Main Archives facility in Washington DC, we estimate that there are at least 25,777 cubic feet of BIA records in Record Group 75, housed in 58,549 containers (which would stretch to over five miles of records). Based on NARA's estimate that each cubic foot of records contains, on average, between 2000 and 3000 pages, this record group alone approximately contains between 52 and 77 million pages. In tum, we estimate that we have 34,383 cubic feet (approximately between 69 and 103 million pages) just of "known" records relating to Native Americans in our archival holdings at the Archives II building in College Park. These holdings are drawn from approximately 73,978 cubic feet (approximately between 148 and 222 million pages) of records consisting of Record Group 48 (Records ofthe Office ofthe Secretary ofthe Interior); Record Group 57 (Records ofthe United States Geological Survey), Record Group 79 (Records ofthe U. S. Park Service); Record Group 217 (Records ofthe Office ofthe Accounting Officers of the Department ofthe Treasury); Record Group 381 (Records ofthe Office of Economic Opportunity); Record Group 411 (Records ofthe Govemment Accountability Office), and Record Group 513 (Records ofthe Indian Health Service), each of which may include information on the Kaw Nation tribe relevant to this lawsuit.

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9. As a general matter, although NARA's collections of records in each record group more or less have existing documentation and finding aids associated with them, which normally can be of use to researchers in locating records related to the Kaw Nation tribe, NARA neither has nor generates in the ordinary course of its operations documentlevel indexes of its collections sufficient to identify all records relevant to the present lawsuit. Moreover, neither NARA's holdings, nor our existing finding aids, can be said to be differentiated or segregated into what constitute "trust" and "non-tmst" records pertaining to either Indian affairs generally or Kaw Nation-related records specifically. Accordingly, to make available to plaintiff in Oklahoma all inactive "Kaw Nation tmst records," searches would have to be devised and conducted according to ad hoc and highly variable filing systems developed over the course ofthe past 100 or more years by all the pertinent govemment agencies involved. To the extent that the Preservation Order can be read to obligate NARA archivists to first attempt to engage in isolating solely "tmst" records relating to the Kaw Nation from the larger known or conceivable collections of records groups containing records relating to the Kaw Nation tribe, for the purpose of moving records to Oklahoma, such a reading ofthe Order amounts to imposing an impossible burden on this Agency to perform given the magnitude of performing such a task. 10. Given what might be on the order ofthe thousands of hours involved, see infra, ][ 15, requiring highly-trained NARA archivists to devote their time to a project of isolating Kaw Nation-related records and/or Kaw Nation-related tmst records would, in my view, effectively mean shutting down the ability ofthe significant offices ofthe National Archives ofthe United States in College Park and in Washington DC to perform

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the important mission of providing reference services to the public at large. Such reference services include providing guidance to individual citizens who personally visit NARA headquarters facilities, or who write in or call us, seeking guidance as to where to locate individual records in our vast collections. In FY 06, NARA headquarters staff handled 23,373 written reference requests and 57,642 oral reference requests for information about our holdings. In addition to handling reference requests, my staff also is actively engaged in processing a backlog of more than a million cubic feet of records awaiting being made available to the public; accessioning approximately 23,650 cubic feet of new records from fiscal year 2004 to fiscal year 2008; performing preservation work on existing archival record collections; and screening records for privacy-related information and to ensure that only unclassified records are opened. 11. No less impossible is the task of reliably segregating "all" records related to the Kaw Nation tribe for inspection by plaintiff in Oklahoma, even without regard to a concem for their "tmst" or "nontmst" status. Just with respect to Bureau of Indian Affairs records in Record Group 75, there is a tremendous level of complexity to NARA's records holdings, coupled with highly varying degrees of documentation ranging from the helpful to the unhelpful with respect to isolating holdings related to the Kaw Nation tribe. BIA records are most often arranged by the federal agency that had responsibility with respect to particular tribes, rather than by the name of a specific tribe. The BIA has had responsibilities regarding Indian tribes from 1824 to the present, and was set up in an organizational system of "agencies" under an "agent" that oversaw different tribes or reservations and reported back to Washington to the Commissioner of Indian Affairs. The records were filed in Washington under the name ofthe agency. In

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the case ofthe Kaw Nation, records relating to the Kaw or Kansa Indian Tribe may be found under Fort Leavenworth Agency, 1823-1847, Osage River Agency, 1847-1851, Potawatomi Agency, 1851-1855, Kansas Agency, 1855-1876, and also under the larger mbric ofthe St. Louis Superintendency and Central Superintendency which supervised many agencies in a whole area. In the period from 1881 to 1907, the Kaw records may be under the Osage Agency and the Kaw Agency. The Kaw Agency was not established until 1904. There are no correspondence files in the 20' century that include only the Kaw or Kansa, except for the few years ofthe existence ofthe Kaw Agency, 1904-1912. In 1912, the Kaw Agency was merged with the Ponca. Kaw records stayed with the Ponca when that agency was merged with the Pawnee Agency in 1927. 12. In addition, any other potential records related to the Kaw Nation tribe within NARA's archival collections of BIA records are subsumed within a very large number of more generic categories of Indian records types, including such categories as correspondence files consisting of "Letters Received by the Office of Indian Affairs," broken down into three periods 1824 to 1880/1881, 1881 to 1907, and 1907 to 1957, respectively. There would be thousands of boxes of letters to sort through, filed by a number retrievable by an existing register. In many instances, where particular original documents do not exist amongst NARA's holdings, synopses of letters are available on a separate Register of Letters, or in a series entitled Abstracts of Letters Sent. Other series of records within Record Group 75 that might contain records relating to the Kaw Nation tribe, if examined, would include BIA correspondence files called General Services (1,666 boxes for the years 1909-1939, and 1,500 more for subsequent time periods), as well as records under the headings Surveys, Allotment Books, School Reports, Inspection

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Reports, Claims, Treaty Files, Land Reserves, Military Bounty Lands, Census Records, Annuity Payment Rolls, Enrollment Records, Personnel and Employment Records, Removal Records, Irrigation Division Records, Forestry Division Records, Education Division Records, records from the office files of several commissioners, records ofthe Health Division, Registers of Contracts, Land Management Standards and Surveys, Farming and Grazing Leases, Land Operations Branch Annual Reports, Administrative Office Files ofthe Branch of Welfare, Job Corps Records, Hearings on Indian Affairs, Economic Development of Tribal Resources, and a plethora of additional categories, all of which conceivably might contain Kaw Nation-related records. 13. As extensive as NARA's BIA archival holdings are, they represent only a fraction ofthe universe of record collections potentially containing records relating to the Kaw Nation tribe. As listed in more detail supra, \ 8, NARA's archival collections in College Park also include Record Groups 48, 57, 79, 217, 381, 411, and 513. Some of these record groups are known to contain substantial holdings of Indian records, and may well hold information about the Kaw Nation tribe; however, although some of these record collections have isolated references to the name Kaw Nation, the majority ofthe records are neither indexed nor searchable under the name Kaw Nation. For such collections, a labor-intensive research effort would need to be undertaken to review individual collections on a file-by-file basis, to determine if records related to the Kaw Nation existed. This would be the case given that existing finding aids are stmctured to correspond to how the records were organized by the various agencies that originally generated or maintained the records, as explained above, and not necessarily by name of tribe. As stated above, supra ^ 8, this substantial subset of "likely places" to find records

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related to the Kaw Nation tribe itself amounts to an estimated 34,383 cubic feet of records holdings. 14. For the foregoing reasons, the task of finding all or substantially all archival records in NARA headquarters collections actually relating to the Kaw Nation is simply not possible without a close review of millions of unindexed records. NARA does not have either the adequate staffing or resources that would be needed to attempt to engage in isolating or indexing these vast records collections, for the purpose of transfer of such records (or copies of records) to Oklahoma. 15. Based on my extensive experience in reviewing archival records, including on very large projects involving thousands of individual pages, I am generally familiar with how much time it would take a NARA archivist reasonably familiar with the relevant records collections to review archival holdings for the purpose of isolating Kaw Nation-related records. I would not wish to quantify the time it would take to review box and file contents at the file- or document level. As a matter of my past experience I can attest that the review process might involve many hours of labor . To review just the 25,777 cubic feet of records at our Main Archives facility involving BIA records would take many thousands of hours of labor by NARA's staff' Pulling any substantial

number of staff members away from all ofthe other functions that NARA archivists perform, solely for the purpose of isolating and copying Kaw Nation-related records, would interfere with all ofthe other competing priority work performed on a daily basis by my NARA staff, including the referencing, processing, and screening functions I described at length, supra, at ^ 10.

' Moreover, the hypothetical does not take into account the additional 34,383 cubic feet of non-BIA records in our College Park holdings likely to contain Kaw Nation-related records that I referenced above.

10

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NARA's Specific Objections To Plaintiff's Interpretation of the Preservation Order 16. On NARA's behalf, I note the following specific objections to plaintiffs interpretation ofthe Preservation Order: 17. First, NARA's policy during the 70 years that our reading rooms have been open and available to the public has been to afford access to all to our permanent archival holdings. As such, Kaw Nation-related records that are contained in various ofthe above-referenced record groups are open and available for research and copying by plaintiffs counsel in this litigation, just as they are to all members ofthe public. NARA objects to any requirement set out in the Preservation Order that would require NARA staff to assume duties never before performed, including isolating "tmst" records on behalf of a party litigant, and/or engaging in wholesale segregating out and copying of records collections solely for the convenience of one plaintiff party. As a matter of principle, this Court should not shift the burden to NARA staff to perform highly intensive research for the benefit of one party, given the fact that all other members ofthe public will suffer due to the diversion of staff resources that would ensue. To the extent that the Preservation Order is being read to impose an additional burden on NARA staff to provide assistance to plaintiff beyond what might be reasonably provided to a member ofthe public asking for reference assistance, those requirements ofthe Order should not be enforced and should otherwise be deemed inapplicable to NARA. 18. Second, for the reasons given above, any reading ofthe Preservation Order to require the imposition of an obligation on NARA staff to cull out and copy Kaw Nationrelated records should not be imposed, as it would place crippling burdens on NARA and

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its staff and in fact should be regarded as simply impossible to comply with, given existing time and resources. 19. Third, NARA objects in the strongest terms to any requirement to move or transfer original copies of archival documents to Oklahoma. Any such contemplated move would risk wholesale dismption of existing archival collections that have been stably placed in NARA's national headquarters for many decades. A long laundry list of concems going to the security, continued integrity, and preservation of our existing collections under appropriate environmental controls would arise if the Court were to order such a transfer. Simply put, NARA's archival custodial responsibilities make any proposal for shipment of records away from archival facilities untenable. It also would be fundamentally unfair to other researchers to be creating large holes in existing collections, solely for the convenience of one plaintiff party. 20. In lieu of plaintiff s interpretation ofthe Preservation Order being made applicable to NARA archival collections, I can represent on behalf of NARA's headquarters staff, that NARA very much wishes to assist plaintiff in providing existing finding aids that deal primarily with records related to the Kaw Nation and other Indian tribes, so as to work with plaintiff and its representatives in an effort to find and review as many Kaw Nation-related tmst records as possible. We have senior and knowledgeable archivists regarding the records of Indian country, and based on our institutional knowledge of our archival holdings (including using existing finding aids effectively), we stand willing to work with plaintiff on a voluntary basis in assisting plaintiffs own efforts to find publicly available, pertinent material during the discovery phase ofthe present lawsuit.

12

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21. In sum, plaintiffs preferred reading ofthe Preservation Order would cripple NARA's ability to perform its important mission to U.S. citizens, by hugely diverting scarce staff resources for a collection, copying and transfer of records enterprise of vast dimension, but uncertain utility and result, in any reasonable time frame. Any such interpretation ofthe standing Preservation Order would also impose unprecedented burdens on this Agency to the extent it requires the expenditure of resources towards the isolation or segregation of particular types of records otherwise fully open and available to the public, merely on behalf of a party seeking records in furtherance of litigation. On behalf of this agency, I urge the Court not to read into the existing Preservation Order any such requirement for the transfer of records, or any other requirement that would impose such severe burdens on NARA and its staff, and severely constrain NARA's ability to serve the public at large, including those who seek research assistance and access to NARA holdings. I declare under penalty of perjury that the foregoing is tme and correct.

STEVEN D. TILLEY Executed on this / / day of January 2008

13

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TAB A TO EXHIBIT 3

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National Archives and Records Administration
NARA 1571 Febmary 15,2002 SUBJECT: Archival Storage Standards 1571.1 What is the purpose of this directive? This directive establishes stmctural, environmental control, fire safety, preservation, and security standards for appropriate archival storage conditions in NARA archival facilities. 1571.2 What is the authority for this directive? The authorities for this directive are a. 44 U.S.C. 2109, which makes the Archivist ofthe United States responsible for the preservation of records or other documentary material transferred to the Archivist's legal custody. Appropriate storage conditions are an essential component of a strategy for preservation of archival records. b. 44 U.S.C. 2112 and 2903, which make the Archivist responsible for custody, control and operation of certain buildings, land, and space. c. 44 U.S.C. 2112(a)(2), which requires the Archivist to promulgate architectural and design standards for new and existing Presidential libraries. 1571.3 Definitions

For purposes of this directive, the following definitions apply a. Archival facility means (1) (2) or (3) 2112(a)(l)(B)(i). b. A Presidential library acquired by agreement in accordance with 44 U.S.C. A NARA-owned or leased facility used to store archival records; A GSA-owned or leased facility used by NARA to store archival records;

Archival records means

(1) Federal records. Presidential historical materials, Presidential records, and donated historical materials transferred to the legal custody of NARA; and (2) Supreme Court records and the records of Congress that have been deposited in NARA's physical custody.

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Febmary 15, 2002

NARA 1571

c. Facility manager means the program official who is responsible for facility management activities within that building. d. Records area means a records storage area, a designated processing area, an exhibit area, or a preservation (conservation, duplication, microfilm, digital imaging) laboratory. The term covers areas where records may be kept for extended periods. e. Records storage area means an area containing archival records that is enclosed by four firewalls, the floor, and the ceiling. The term includes general stack areas, vaults, and storage areas for exhibits and museum objects, but does not include reference space, staff offices, public spaces (e.g., restrooms and lobbies) or processing areas. f Research room means a room in which researchers may use original records and for which they must be issued a researcher identification card. 1571.4 Responsibilities a. Space and Security Management Division (NAS)

(1) Conducts periodic building condition surveys as outlined in par. 1571.23 and assists the program offices in establishing and maintaining a system-wide facility improvement and renovation program; (2) In coordination with other NARA offices, establishes architectural and design standards for all leased and NARA-owned facilities; (3) Fumishes professional and technical advice on the design and constmction of archival storage facilities; and (4) projects. b. Preservation Programs (NWT) conducts an integrated, scientific preservation program, including (1) Developing and recommending long-range preservation plans and policy for archival records, coordinating with the Office of Presidential Libraries (NL) and the Office of Regional Records Services (NR), as necessary; (2) Writing specifications for and providing quality assurance testing of those materials used to prolong the useful hfe of records (e.g., folders and boxes) and of materials that will be used in the proximity of records (e.g. paint, adhesives and finishes, carpeting, pesticides, and cleaning supplies); Acts as project manager for archival facility design and constmction

(3)

Monitoring environmental conditions of archival facilities; 2

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Febmary 15, 2002

NARA 1571

(4)

Administering integrated pest management programs;

(5) Providing technical advice and consultant services on specialized storage requirements to NL, NR, and the Office of Records Services - Washington, DC (NW); (6) Fumishing professional and technical preservation assistance; and

(7) Reviewing the design and constmction of archival storage facilities for records preservation issues. c. Presidential library directors administer the day-to-day facilities management program ofthe library in coordination with the NL, and major renovation and restoration projects in coordination with NL and the Office of Administrative Services (NA). d. Regional administrators and facility directors administer the day-to-day facility management programs ofthe regions in coordination with NR. e. Facilities and Materiel Management Services Division (NAF) is responsible for the day-to-day facility management program ofthe National Archives Building and the National Archives at College Park (Archives II). 1571.5 To what NARA archival facilities does this policy apply?

a. This policy applies to all new NARA archival facilities occupied by NARA on or after October 1, 2001, except new space leased for archival programs on a short-term basis while a permanent archival facility is being built or renovated. Additional facility specifications that are not directly related to appropriate storage conditions for archival records may be included in supplements to this directive. b. New space leased on a short-term basis must meet the facility standards for storage of permanent Federal records specified in 36 CFR Part 1228, Subpart K. c. To the extent feasible and financially practicable, existing NARA archival facilities should conform to these standards when the facility is renovated or otherwise significantly modified. If the facility cannot be brought into conformance with every standard, NA and the affected program office determine what mitigating action will be taken to minimize threats to the holdings. For example, if piping within a storage area cannot be removed, a mitigating action, such as frequent inspections, may be identified. Mitigating actions must be coordinated with NWT and approved by the Archivist. d. All NARA archival facilities must have an Integrated Pest Management program (see par. 1571.17) and must enforce the facility poHcies specified in par. 1571.24. e. All NARA archival facilities must comply with pars. 1571.14 and 1571.15 when selecting and installing new fumishings and materials, including carpet, in the facility and par.
3

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Febmary 15, 2002 1571.12 when painting records storage areas. 1571.6

NARA 1571

What are the general structural standards for NARA archival facilities?

a. The facility must be designed in accordance with regional building codes to provide protection from building collapse or failure of essential equipment from earthquake hazards, tomadoes, hurricanes, and other potential natural disasters. b. The facility must be constmcted with non-combustible materials and building elements, including roofs, walls, columns, and floors. c. A floor load limit must be established for the records storage area by a licensed stmctural engineer. The limit must take into consideration the weight ofthe specific type(s) of archival records to be stored, height and type ofthe shelving or storage equipment, the width of the aisles, the configuration ofthe space, etc. The allowable load limit must be posted in a conspicuous place and must not be exceeded. d. The architectural and engineering design team for the facility must include and work closely with a preservation specialist, who has experience in developing archival storage facilities and has been approved by NARA. The plans for the facility must be reviewed by NWT at each submission stage. 1571.7 What standards must be followed to protect against water damage?

a. Location of facility. The archival facility must be sited a minimum of five feet above and 100 feet from any 100 year flood plain area, or be protected by an appropriate flood wall that conforms to local or regional building codes. b. Roof. The facility must ensure that the roof membrane does not permit water to penetrate the roof Place nothing on the roof that may cause damage to the roof membrane, including equipment. Do not install skylights or sloped glazed windows in areas where records are regularly present. Avoid roof penetrations, including vents, over these areas. However, automatic roof vents, designed solely to vent in the case of a fire, with a temperature rating at least twice that ofthe sprinkler heads, may be used over records storage areas. c. Piping.

(1) Do not mn piping (except fire protection sprinkler piping and storm water roof drainage piping) through records storage areas. (2) If drainage piping from roof drains must be mn though records storage areas, the piping must be mn to the nearest vertical riser and must include a continuous seamless gutter sized and installed beneath the lateral runs to prevent leakage into the storage area. Vertical pipe risers in records storage areas must be fully enclosed by shaft constmction with appropriate maintenance access panels.

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Febmary 15, 2002 d. Location of records within the facility.

NARA 1571

(1) Do not store records below grade. Cave/underground facilities may be exempted from the requirement to store records above ground if the facilities (a) Meet the other standards in this directive; (b) Demonstrate long-term low risk to records because of water, fire, or stmctural threats; and (c) Are granted a waiver from a specific standard by the Archivist. (2) Store records at least 3 inches from the floor surface.

(3) NWT and NAS must review plans to place records shelving equipment along an exterior wall in advance. (4) No fountains, pools, or standing water are allowed over or adjacent to areas where records are stored, processed, used, or exhibited. e. Water detection system. If special considerations indicate concems with possible water damage in records storage areas, consult with NWT on the advisability of installing a water detection system. 1571.8 What are the general heating, ventilation, and air conditioning (HVAC) requirements? a. Archives storage areas, processing areas, and preservation laboratories must be served from separate HVAC systems. All other areas ofthe building may share the same HVAC system. HVAC equipment must not be mounted on the roof of a new facility. b. Air handling units serving records storage and processing areas must provide sufficient air exchanges to maintain requirements for temperature, relative humidity, and pollutant control. The number of air exchanges are determined by the planned size ofthe room, volume of records, volatile organic compounds coming off the records, occupancy, etc. c. The records storage areas ofthe facility must be kept under positive air pressure especially in the areas adjacent to the loading dock. Loading docks must have an air supply and exhaust system that is separate from the remainder ofthe facility. d. Areas where records are used, processed, stored, or exhibited must be isolated from sources of pollutants and particulates, such as the loading dock, machine rooms, or areas where woodworking or painting take place. Doors to the record areas must not open directly onto the loading dock, machine rooms, locations where woodworking or painting takes place, or other similar areas. The air intakes and retums must be designed such that lower quality air and environment cannot affect the records areas, and must have direct venting to the outdoors.
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1571.9

What are the temperature and humidity standards?

a. Appendix A specifies the maximum acceptable temperatures in areas where records are stored, and the maximum acceptable temperature set point for areas where records are exhibited, processed, or used. Appendix A also specifies the acceptable range for relative humidity in areas where records are stored, processed, exhibited, or used. Use cooler temperature and drier relative humidity set points whenever possible, as these conditions extend the life and significantly enhance the preservation ofthe records. Coordinate the selection of temperature and relative humidity set points with NWT. b. The standards specified in Appendix A must be maintained 24 hours per day, 365 days per year, unless otherwise stated. Once a set point is programmed, daily fluctuations must not exceed 5° F and/or 5 percent relative humidity. Relative humidity levels represented in a range indicate minimum and maximum set points. Seasonal movement between these set points must not exceed 5% per month while staying within the +/-5% daily band restriction. c. Seasonal relative humidity drift in actual operation ofthe system to reconcile energy efficiency and extemal climate extremes in certain geographical locations and with certain building types may occur. The building should be designed to accommodate the environmental requirements in a highly energy efficient manner. d. Temperature and relative humidity conditions in records areas must be continuously monitored and must be recorded at intervals that are frequent enough, and in a sufficient number of locations to demonstrate and confirm compliance with the standard. The facility manager must maintain the HVAC systems and integrated monitoring equipment according to manufacturer's specifications. The facility manager is responsible for monitoring the temperature and relative humidity conditions in the facility following NWT guidance and specifications, and ameliorating problems as they develop. Report ongoing problems to NWT and NAS. 1571.10 What are the limits for air pollutants (particulate and gases)? Appendix B specifies the maximum allowed levels of particulates and gases in records storage areas, processing areas, exhibit areas, and research rooms. The facility manager is responsible for monitoring for pollutants in the facility at intervals frequent enough to demonstrate and confirm compliance with the standard, following NWT guidance and specifications. The facility manager is responsible for maintaining particulate and gas filtration systems according to manufacturer's specifications and ameliorating problems as they develop. Report ongoing problems to NWT and NAS.

1571.11 What air handling and filtration systems are required? The following filtration systems are required in the air handling unit for the records storage and processing areas: a. Gas-phase filtration system. The gas phase filtration system must control 6

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effectively gas phase contaminants including, aromatic, aliphatic, oxygenated hydrocarbons, chlorinated hydrocarbons, and inorganic acid/basic compounds. The operation ofthe air purification system may be a combination of chemisorption, adsorption, and catalytic processes. The system must be designed to allow periodic monitoring ofthe filter performance by providing sampling ports or access to the filter ports. b. Particulate filtration system. The particulate filtration system for archival records storage and processing areas must have a Minimum Efficiency Reporting Rating (MERV) of 14 or greater based on ASHRAE 52.2, "Methods of Testing General Ventilation Air Cleaning Devices for Removal Efficiency by Particle Size." To extend the service life ofthe system, it may be desirable to install preliminary filters with lower MERV ratings. A pressure drop measurement system or other equipment must be provided to determine when the filters need to be changed c. Humidification control system. The air handling units must be designed for both humidification and dehumidification. Humidification must be achieved by a clean steam injection system (such as an electronic steam humidifier), an atomized air system using clean water, or equivalent system located down stream ofthe gas filtration system. The design ofthe system must ensure that the system does not generate or harbor microorganisms. 1571.12 What finishes are permitted in records areas? a. Use a water-based latex paint for painting walls and ceilings. All concrete block walls in the storage area must be primed and painted to prevent dust. b. Use a low volatile organic compound (VOC) acrylic membrane curing compound for the concrete floors ofthe records storage areas, after which apply a floor epoxy. Limit the VOC off-gassing of any epoxy and floor coatings in any area where records are processed, used, stored, or exhibited to less than 0.1 part per million by restricting the use of toluene and xylene in the floor coating mix. c. Use a powder-coating system to paint all painted metal shelving surfaces (including map cases, museum cabinets, etc.) used within all records areas. The powder-coating polymer must be a polyester epoxy hybrid or best equivalent available that passes NWTconducted or independent lab tests for hardness, coating stability, bending, coating adhesion, and coating durability. The paint must not exceed the off-gassing limits specified in Appendix B. Do not apply powder coating to the metal surfaces onsite in the storage area. d. If ceiling pipe or exterior stack wall metal panels are to be painted, use an acrylic water reducible primer covered by two latex paint coats. 1571.13 What finishing materials are prohibited in areas where records are used or stored? The following materials are not permitted in the areas where records are used, processed, exhibited and stored, including vaults, but may be used in other areas ofthe facility. For renovated facilities, this paragraph does not apply to previously installed or applied materials.

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Febmary 15, 2002 a. b. c. d. e. f g. h. i. Cellulose nitrate lacquers and adhesives; Polyurethane products, including paints, vamishes, and foams; Acid-curing silicone sealants and adhesives; Sulfur containing materials that could release SO2; Pressure sensitive adhesives that release VOCs; Unstable chlorine polymers (PVCs);

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Formaldehyde emitting compounds, such as might be found in particle boards; Vinyls; and Oil-based paints and vamishes.

1571.14 What materials may be used in records storage areas and records areas, and how is their suitability determined? a. Finishing materials, such as paints, finishes, fabrics, carpeting, and floor and wall coverings, used in areas where records are processed, stored, or exhibited for any purpose, must be approved by NWT. NWT may need to test or direct the testing of materials to determine suitability and render approval. Sufficient time to undertake testing must be incorporated into plarming and constmction schedules. b. Cleaning supplies used in areas where records are regularly present should be selected carefully to minimize potential damage to records. NWT will provide more specific guidance on how to select appropriate products, and types of products or specific products whose use is restricted or prohibited. 1571.15 Are carpeting and wall coverings permitted? Carpeting, vinyl tiles, and wall coverings are not permitted in the records storage areas, but may be used in other parts ofthe archival facility. Carpeting, vinyl tiles and wall coverings that minimize off gassing of VOCs must be used in areas where records are regularly present.

1571.16 What are the requirements for lighting? a. Records storage areas. (1) Normal light levels must not exceed 500 Lux measured 36 inches above the floor level. Ultraviolet (UV) filtration on emergency lighting is required so that UV radiation below 400 nanometers in wavelength does not exceed 75|a. W/lumen and 75 )iW per square meter 8

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Febmary 15, 2002 of surface area. (2) Where records are not protected by an enclosure: (a)

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UV filtration as specified in subpar. a(l) is required on all lights.

(b) Lights in the storage areas that are not required for safety must be off when work is not taking place. Systems (e.g. motion detectors, timers, etc.) should be incorporated to ensure that light exposure to the holdings is minimized. b. Processing areas. Lighting levels for normal office space may be used. UV filtration is required so that UV radiation below 400 nanometers in wavelength does not exceed 75|J, W/lumen and 75 |J.W per square meter of surface area. c. Exhibit areas. Lighting must have the capability of full control for light levels 0200 lux. UV filtration is required so that UV radiation below 400 nanometers in wavelength does not exceed 75\i W/lumen and 75 \xW per square meter of surface area. d. Research rooms. Lighting levels for normal office space may be used. UV filtration is required so that UV radiation below 400 nanometers in wavelength does not exceed 75|j. W/lumen and 75 |J.W per square meter of surface area. 1571.17 What are the requirements for pest and vermin control? The archival facility must have an Integrated Pest Management (IPM) program as defined in the Food Protection Act of 1996 (Section 303, Pubhc Law 104-170, 110 Stat. 1512). The facility manager is responsible for monitoring and amelioration of problems as they develop. Report problems to NWT. 1571.18 What are the general fire-safety requirements for archival facilities? a. NARA archival facilities must comply with requirements and recommended practices specified in NFPA 232-2000, Standard for the Protection of Records unless a requirement in this directive is more stringent. b. Do not install mechanical equipment containing motors rated in excess of 1 HP within records storage areas.

c. Do not install high-voltage electrical distribution equipment (i.e., 13.2kv or higher switchgear and transformers) within records storage areas. d. Penetrations in the walls must not reduce the specified fire resistance ratings.

e. Provide a redundant source of primary electric service, such as a second primary service or an appropriately rated emergency generator to ensure continuous, dependable service to the fire alarm and fire protection systems. Manual switching between sources of service is 9

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f Do not store hazardous materials, including records on cellulose nitrate film, in records storage areas. Records on cellulose nitrate film may include still photographic negatives, still photographic transparencies, x-rays, motion picture film and microfilm. Nitrate motion picture film and nitrate sheet film may be stored in separate areas that meet the requirements of the appropriate NFPA standard, NFPA 40 (1997), Standard for the Storage and Handling of Cellulose Nitrate Motion Picture Film, or NFPA 42 (1997), Code for the Storage of Pyroxylin Plastic. 1571.19 What are the smoke detection system requirements? a. The archival facility must have an approved, supervised automatic smoke detection system providing full-building coverage. Smoke detection systems must meet the requirements of NFPA 72, National Fire Alarm Code, and must be maintained in accordance with NFPA 72, Part H. b. Locate smoke detection devices to provide a 99 percent reliability of detecting the origin ofthe fire in less than 5 minutes. Use photoelectric-type detectors in records storage areas. 1571.20 What are the requirements for automatic sprinklers? a. All records storage and adjacent areas must be protected by a professionally designed automatic sprinkler system that is designed to limit the maximum anticipated loss from any single fire event to a maximum of 300 cubic feet of records destroyed. Sprinkler systems for records storage areas must be separately zoned from other building areas. b. A wet sprinkler system, installed in accordance with NFPA 13, Standard for the Installation of Sprinkler Systems, must be used except as provided in subpar. c. c. Clean agent systems that comply with NFPA 2001, Standard on Clean Agent Fire Extinguishing Systems, or pre-action sprinkler systems must be used in cold-storage rooms and other areas subject to temperatures below 40°F, and may be used in records storage vaults and museum storage areas. These systems also may be used in computer rooms and electrical and telephone closets. 1571.21 What are the security requirements for archival facilities? a. The facility must comply, at a minimum, with the security specifications for a Level III facility as defined in the Department of Justice, U. S. Marshals Service report Vulnerability Assessment of Federal Facilities dated June 28, 1995. A copy ofthe specifications is provided in Appendix A to 36 CFR Part 1228. NAS designates facilities that require higher level security specifications. b. The facility must have an anti-intmsion alarm system to protect against unauthorized entry. 10

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c.

The facility must enforce controls on access to records storage areas.

d. Special security measures may be required for records storage vaults to comply with information security requirements or to protect materials of high intrinsic or monetary value. 1571.22 How should the building condition be monitored and maintained? The facility manager must ensure that a. Schedules are developed for maintenance and calibration of control system devices for all major building systems in accordance with manufacturers' recommendations; b. c. Scheduled maintenance is performed promptly; and Schedules are reviewed and updated annually.

1571.23 How often should building condition surveys be conducted? To ensure that archival facilities subject to this directive meet the standards, NAS should conduct (or contract for) building condition surveys according to the following schedule: a. New facilities. Once before acceptance of a new archival facility, at two years, and again when 10 years old. After 10 years, follow the schedule for existing facilities. If any "punch-list" items are identified in the inspection before acceptance, NAS must monitor correction/completion of those items. b. Existing facilities. Every 5 years. When an existing facility is renovated or significantly modified, the 5-year cycle begins again in the fiscal year following completion of the renovations or modifications. A pre-acceptance inspection is performed for building renovations. If any "punch-list" items are identified in the inspection before acceptance, NAS must monitor cortection/completion of those items.

1571.24 What other facility use policies contribute to appropriate archival storage conditions? a. Prohibit smoking, eating, and drinking in all areas in which records are stored, exhibited, or used. b. In facilities that have records processing areas, prohibit processing records and photocopying in the records storage areas. To ensure that records are subjected to the best environmental conditions available, retain them in processing areas for as short a time as possible.

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Appendix A Temperature and Relative Humidity Standards for Archival Records Table 1. Records Storage Areas Records medium Dry Bulb Maximum Temperature 65°F* Relative Humidity Set Point 35 - 45%* ± 5%

Paper Textual records including files, cards, bound volumes, computer printout and other papers Cartographic records including maps, charts, architectural drawings, posters Photographic media (black and white) Black and white non-acetate/non-nitrate motion and still picture negatives/ film, photographic paper prints, x-rays, and microforms Photographic media (black and white) Black and white acetate motion and still picture negatives/film, x-rays, and microforms; diazo and vesicular microfilm (not including reference copies) Photographic media (color) Color still and motion picture negatives/ film, slides, and prints Modem digitally produced prints (Inkjet, dye sublimation, electrophotographic, and thermal) Transition/barrier room at "cold" storage stack Magnetic/electronic media including computer tapes and disks, video tapes, audio tapes, optical disks Other Artifacts and Presidential library gifts

65°F*

35% ± 5%

35°F

35% ± 5%

35°F*

35%± 5%

50°F 65°F* 65°F

35%± 5% 35%± 5% 35 - 45%± 5%

Note to Table 1: Specific microclimates (cases, sealed frames, special housings) may be required for some materials on exhibit and in storage. Materials may include: parchment, photos, fragile bound volumes, metals, or textiles. Items loaned from other institutions may require tighter RH control as per loan agreements *Cooler temperature set points and within the specified range drier relative humidity set points should be used for these media whenever possible in order to improve the preservation ofthe records. Magnetic/electronic media should not be stored at a temperature lower than 46°F.

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Febmary 15,2002 Table 2. Other Areas/Rooms

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Space used for:

Processing areas/rooms Exhibit areas/rooms (see Appendix A, Note 1) Research rooms

Maximum Dry Bulb Temperature Set Point* 70°F ± 5° 70°F ± 5° 70°F ± 5°

Relative Humidity Set Point* 35-45% ± 5% 35-50% ± 5% 35-50% ± 5%

*Cooler temperature set points and, within the specified range, drier relative humidity set points should be used for these media whenever possible in order to improve the preservation ofthe records. Magnetic/electronic media should not be stored at a temperature lower than 46°F.

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Appendix B Air Pollutant Limits Following are the limits for pollutant gases in records storage, processing, and exhibit areas. The levels of pollutant gases specified in this appendix are based on the lowest concentrations that can readily be measured and achieved with current air filtration technology. There are no known "safe" lower limits below which pollutants will not cause damage. Type of pollutant Sulfur dioxide Nitrogen dioxide Ozone Formaldehyde Acetic acid Maximum permitted after air filtration 1 ppb (part per billion); 2.7 |J.g/m^. 2.6 ppb; 5.0 i^g/m^ 2.0 ppb; 4.0 |Ltg/m^ 4.0ppb;5.0^g/ml 4.0 ppb; 10.0|ig/m^

Note: Research rooms must have at least office quality air filtration.

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TAB B TO EXHIBIT 3

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National Arcliives and Records Administration
NARA 1572 January 14, 2006 SUBJECT: Security for NARA Holdings 1572.1 What is the purpose of this directive? This directive specifies NARA's pohcy on security for NARA holdings, especially archival materials needing special protection, and the procedures for implementing the policy. 1572.2 What are the authorities for this directive? 18 U.S.C. 2071, 44 U.S.C. 2107, 44 U.S.C. 2111, 44 U.S.C. 211 Inote, 44 U.S.C. 2112, 44 U.S.C. 2118, 44 U.S.C. 2202, 44 U.S.C. 2207, 44 U.S.C. 2905(a), and 44 U.S.C. 3106. 1572.3 What NARA holdings are covered by this directive?

a. This directive covers Federal records. Presidential and Vice Presidential records, Nixon Presidential historical materials, and donated historical materials, including artifacts, in the National Archives ofthe United States regardless of their location. This directive also covers records ofthe U.S. Senate, U.S. House of Representatives, Architect ofthe Capitol, and the U.S. Supreme Court that NARA maintains and preserves. b. This directive does not apply to classified national security information. Other NARA policy directives and guidance apply to the access and handling of classified national security information, records of concem, or the handling of incumbent Presidential gifts. These include: Interim Guidance 202-1, NARA Information Security Program; Interim Guidance 16003, Access to Archival Materials in the Context of Concem about Terrorism; Interim Guidance 1600-5, Access to Materials Containing Classified Information in NARA Research Rooms by Non-Govemmental Persons; Life Cycle Controls for Presidential Artifacts; and our regulations at 36 CFR part 1275. 1572.4 Responsibilities

a. All staff working with NARA holdings are responsible for properly securing them during storage and use. (1) Staff must report the compromise of holdings storage areas or the discovery of theft, damaged, missing, or vandahzed holdings to their immediate supervisor. (2) The supervisor determines, generally within 24 hours, whether to further report compromise of storage space, theft, damage, or vandalism to the division and office level in the Washington, DC, area, or their equivalents in the regional archives and Presidential libraries. Before reporting further, supervisors must try to determine the following: (a) stack after use? Have the materials been misfiled when placing them back in the

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(b) Are the materials being used in a research room, awaiting reproduction in a copying area, on exhibition, undergoing conservation treatment, or in an office area to show to a special visitor or group? (c) Could the materials have been placed in a parallel file by mistake?

(d) In the case of physical damage to materials, was vandalism involved? Or did an accident occur on the part of staff, researchers, or other users? (3) Managers must report suspected theft or vandalism to the Office of Inspector General (OIG) as indicated in NARA 1202, Office ofthe Inspector General Investigations. b. The Office of Presidential Libraries (NL), Office of Regional Records Services (NR), and Office of Records Services-Washington, DC (NW): (1) Develop and implement standard operating procedures for each records storage area where materials requiring special protection are kept. (2) Nominate selected staff for background checks required to access vaults or other specially protected areas and train the staff in the handling and storage of materials under special protection. (3) Ensure that research rooms are staffed with personnel who have been trained to enforce NARA's holdings use regulations in 36 CFR 1254, Using Archival Records and Donated Historical Materials. (4) Notify on site security personnel and the Security Management Branch (NASS) security staff of the possible theft. (5) vandalism. (6) Provide background information about the holdings to OIG or other investigatory body on request, in accordance with all goveming statutory authorities. (7) Take appropriate disciplinary action in the cases where staff have compromised or damaged holdings. c. The Space and Security Management Division (NAS) manages physical security and background checks through the personnel security officer in the Security Management Branch (NASS). d. In the Washington, DC, area: Notify the OIG immediately of any reports relating to suspected theft or

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(1) Access Programs (NWC) manages NW custodial control of textual stack areas, including stack space management, with the exception of those for the Center for Legislative Archives (NWL). NWL manages its own stack areas in The National Archives Building (Archives I). The Special Media Archives Services Division (NWCS) provides that function for the stack areas storing primarily special media archives. The Electronic and Special Media Records Services Division (NWME) oversees control of electronic media storage areas. (2) The Nixon Presidential Materials Staff (NLNS) manages the custodial control of all Nixon Presidential Historical Materials including textual, audiovisual, and specially compartmented information facility (SCIF) areas in the National Archives at College Park (Archives II). The Presidential Materials Staff (NLMS) manages textual, audiovisual, electronic artifact, and SCIF areas in NLMS control in Archives I. e. Presidential library and staff directors (NL) and regional archives directors (NR) oversee management of archival storage space at their facilities. For holdings that require special protection beyond the facility's capacity, the director consults with the office head and NAS for assistance. f NR and NW as appropriate also ensure that NARA's affiliated archives comply with this directive. PART 1. GENERAL HOLDINGS PROTECTION REQUIREMENTS 1572.5 What are the minimum requirements for securing holdings when they are not in use 9 At a minimum, holdings not in use must be stored in stack or storage areas with accessibility limited to authorized personnel. Managers of custodial units maintain location registers that specify the storage location of holdings at an appropriate level of physical control. 1572.6 What are the minimum requirements for securing classified holdings when not in use? The additional requirements for securing holdings that contain classified national security information are described in Interim Guidance 202-1, NARA Information Security Program. 1572.7 What are the minimum requirements for controlling holdings when they are removed from secure storage locations? Whenever holdings are removed from secure storage locations for any reason, staff must document the removal by completing a Reference Service Slip (NA Form 14001), a Request for Military Records (NA Form 14027), a NARA out-card, or some other NARA-approved, appropriate record ofthe removal that identifies the removed holdings, the staff member responsible for the removal, the reason for the removal, and the date ofthe removal. Requirements for materials needing special protection are in Part 2 of this directive. 1572.8 What are the minimum requirements for securing holdings when they are in use by persons other than NARA staff? a. Before using any original holdings, researchers must apply to conduct research as 3

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indicated in Interim Guidance 1600-4, Research Application Procedures. Some exceptions may be made for non-NARA users who are accessing holdings for ongoing govemment business or the representatives of a former or incumbent President, but such researchers must fulfill other goveming statutory or regulatory requirements. b. A NARA staff member must be present to oversee any use of holdings by persons other than NARA staff. Staff must document use of holdings by persons other than NARA staff by completing those portions ofthe NA Form 14001, NA Form 14027, or some other NARAapproved, appropriate record ofthe removal with the name ofthe non-NARA user and the date and times of use. Managers are responsible for communicating to users all mles for safe handling of holdings. c. Requirements applicable to the use of holdings that contain national