[Federal Register Volume 76, Number 141 (Friday, July 22, 2011)]
[Proposed Rules]
[Pages 43960-43963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-18675]


=======================================================================
-----------------------------------------------------------------------

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1258

[NARA-11-0002]
RIN 3095-AB71


NARA Records Reproduction Fees

AGENCY: National Archives and Records Administration (NARA).

[[Page 43961]]


ACTION: Proposed rule.

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

SUMMARY: NARA is proposing to change its regulations to add the 
methodology for creating and changing records reproduction fees, to 
remove records reproduction fees found in its regulations, and to 
provide a notification process for the public of new or proposed fees. 
This proposed rule covers reproduction of Federal or Presidential 
records accessioned, donated, or transferred to NARA. This rule will 
affect members of the public.

DATES: Comments are due by September 20, 2011

ADDRESSES: NARA invites interested persons to submit comments on this 
proposed rule. Comments may be submitted by any of the following 
methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: Submit comments by facsimile transmission to 301-837-
0319.
     Mail: Send comments to Regulations Comments Desk (NPOL), 
Room 4100, Policy and Planning Staff, National Archives and Records 
Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
     Hand Delivery or Courier: Deliver comments to 8601 Adelphi 
Road, College Park, MD.

FOR FURTHER INFORMATION CONTACT: Stuart Culy on (301) 837-0970.

SUPPLEMENTARY INFORMATION: The National Archives Trust Fund Board 
(NATF) supports the programs of NARA through a variety of activities, 
including the servicing of requests for the reproduction of records. 
Researchers may order electrostatic, digitized and microfilm copies of 
textual (paper) records, reproductions of still pictures, motion 
pictures, sound records, videotapes, maps, architectural drawings, 
computer data sets, and other records. NARA is proposing to remove from 
the Code of Federal Regulations (CFR) the fees for reproduction of 
Federal or Presidential records accessioned, donated, or transferred to 
NARA and maintain its fee schedule on NARA's Web site http://www.archives.gov. The proposed regulations will provide a notification 
process to advise the public on new fees or revisions to existing fees 
and it will also provide the methodology for creating and changing 
fees.

NARA's Reproduction Fee Methodology

    The statutory authority for the NARA Trust Fund provides for the 
recovery of their costs plus 10 percent. Records reproduction fees are 
developed by the process as contained in the proposed regulations. The 
current fees are based on the usual costs, such as salaries, equipment, 
travels, and supplies. However, NARA also has some unique circumstances 
in the development of its costs because of the unique characteristics 
of the records such as the fragility of the documents that necessitate 
additional manual handling or the varying degree of legibility of the 
original documents. If the information on the original document is 
faint or too dark, it requires additional time to obtain a readable 
image.
    In TABLE 1 below, the National Archives Trust Fund (NATF) 
illustrates its baseline costs for records reproductions in DC-area and 
regional archives for fiscal year 2010.

        Table 1--NATF Records Reproduction Costs to be Recovered
------------------------------------------------------------------------
                         Cost item                             FY 2010
------------------------------------------------------------------------
Salaries and benefits......................................   $1,848,646
Travel and transportation..................................       69,559
Rent, communications and utilities.........................      225,184
Printing and reproductions.................................       11,779
Consulting and other services..............................      733,736
Payments to other agencies/funds...........................    2,961,849
Supplies and materials.....................................      243,475
Depreciation...............................................            0
System upgrades/replacement................................      400,000
                                                            ------------
    Total..................................................    6,494,228
------------------------------------------------------------------------

    This proposed rule is not a significant regulatory action for the 
purposes of Executive Order 12866. As required by the Regulatory 
Flexibility Act, it is hereby certified that this proposed rule will 
not have a significant impact on small entities.

List of Subjects in 36 CFR Parts 1258

    Archives and records.

    For the reasons set forth in the preamble, NARA revises part 1258 
of title 36, Code of Federal Regulations., to read as follows:

PART 1258--FEES

Sec.
1258.1 What are the authorities for this part?
1258.2 What definitions apply to the regulations in part 1258?
1258.4 What costs make up the NARA fees?
1258.6 How does NARA calculate fees for individual products?
1258.8 How does NARA change fees for existing records reproductions?
1258.10 How does NARA develop and publicize new records reproduction 
fees?
1258.12 When does NARA provide reproductions without charge?
1258.14 What is NARA's payment policy?
1258.16 What is NARA's refund policy?
1258.18 Where can I find NARA's current fees and order 
reproductions?

    Authority:  44 U.S.C. 2116(c) and 44 U.S.C. 2307


Sec.  1258.1  What are the authorities for this part?

    The regulations in this part implement the provisions of 44 U.S.C. 
2116(c) and 44 U.S.C. 2307.


Sec.  1258.2  What definitions apply to the regulations in part 1258?

    Accession means the method of acquiring archival records or donated 
materials from various Governmental bodies.
    Archival records means records that have been accessioned into the 
legal custody of NARA, donated historical materials in the legal 
custody of NARA and its Presidential libraries, and Congressional, 
Supreme Court, and other historical materials in NARA's physical 
custody and for which NARA has a formal agreement for their permanent 
retention.
    Certification means affixing a seal to copies certifying the copies 
are a valid reproduction of a file; this service is available for an 
additional fee.
    Cost means the total amount of money spent by the NATF for 
providing services including, but not limited to, salaries; benefits; 
rent; communication and utilities; printing and reproductions; 
consulting and other services; payments to other agencies/funds; 
supplies and materials; depreciation; system upgrades/replacements; 
etc.
    Custodial units mean NARA's Federal Records Centers, National 
Personnel Records Center, archival reference operations nationwide, and 
Presidential Libraries.
    Fee means the price researchers pay for reproductions of records. 
Certification of records is also a reproduction fee.
    Records center records means Federal records in the physical 
custody of NARA records centers, but still in the legal custody of the 
agencies that created and maintained them.


Sec.  1258.4  What costs make up the NARA fees?

    (a) 44 U.S.C. 2116(c) allows the NATF to recover all of its costs 
for providing records reproduction services to the public. The vast 
majority of materials that are reproduced are from the holdings of 
NARA, which require special handling, due to the age, condition and 
historical significance. Examples of special handling include the 
following:

[[Page 43962]]

    (1) The placement of each record by hand on the reproduction 
equipment. Many of the records are fragile and have historical 
uniqueness; reproduction equipment operators must take great care in 
handling these records. For example, each page of a document must be 
carefully placed by hand on the reproduction equipment, a copy made, 
the page removed, and the process re-started.
    (2) Clarity and legibility of the reproduced records. Older records 
may be handwritten and darkened from age, which requires extra time to 
make sure we produce copies that are as clear and legible as possible.
    (3) Inability to use automatic document feeders. Because of the 
requirements in (1), automatic document feeders cannot be used for the 
duplication of paper materials. This adds time and cost to the price of 
copying these irreplaceable documents.
    (b) The NATF costs, at a minimum, include:
    (1) Salaries and benefits of the NATF staff involved in all aspects 
of the records reproduction process (includes, but is not limited to, 
compensation for full- and part-time employees, temporary appointments, 
overtime, awards, Civil Service Retirement Service and Federal 
Employees' Retirement System contributions, health benefits, life 
insurance benefits and Thrift Savings Plan contributions).
    (2) Travel and transportation (includes, but is not limited to, 
travel and transportation of persons, transportation of things, and 
contract mail service).
    (3) Rent, communications and utilities (includes, but is not 
limited to, telecommunications, equipment rental, and postage).
    (4) Printing and reproductions (includes, but is not limited to, 
commercial printing, advertising, and printing of forms).
    (5) Consulting and other services (includes, but is not limited to, 
management and professional services, contract labor, work performed in 
support of reproduction orders, and maintenance of equipment).
    (6) Payments to other agencies/funds (includes, but is not limited 
to, reimbursements and payments to other agencies and other funds 
within NARA). Specifically, the NATF ``hires'' the NARA custodial units 
to do reproduction work. In return, the NATF reimburses the custodial 
units for the cost of salaries and benefits.
    (7) Supplies and materials (includes, but is not limited to, 
general supplies, and materials and parts).
    (8) Depreciation (spreading the cost of an asset over the span of 
several years).
    (9) System upgrades/replacement (includes, but is not limited to, 
installation of operating equipment, software upgrades, and system 
changes).


Sec.  1258.6  How does NARA calculate fees for individual products?

    NARA calculates the fees for individual products using the 
following:
    (a) Cost Summary. A summary of all costs incurred by the NATF in 
providing records reproduction services.
    (b) Percent of Revenue. The percentage of the total NATF revenue 
represented by sales of a product. This is determined and used where a 
more accurate percentage based upon actual usage is not available. To 
calculate this percentage, an analysis is made to determine the current 
percent of NATF sales revenue represented by each product line. The 
sales volume is then reviewed with the custodial units to determine if 
this represents anticipated sales.
    (c) Actual Cost Percent Calculation. Using the information 
calculated in the Cost Summary, the actual revenue cost percentage is 
determined. In some cases, the actual percentage of cost can be 
calculated from available data or known constraints of the product 
line. For example, if the contractor responsible for providing copy 
support does not support the reproduction of a given product line then 
zero (0) percent of the contractor's costs would be allocated to that 
product line.
    (d) Forecasted Volume. The prediction of a product's sales volume 
in future year(s). These estimates are made by working with the 
custodial units and taking into account historical sales volume. An 
annual percent change is then estimated.
    (e) Reimbursements to the Custodial Units. The amount paid to the 
custodial units for records reproductive services in support of NATF 
customer orders. The NATF reimburses the custodial units for services 
rendered to the NATF for the reproduction of NARA holdings. To 
determine the reimbursement per copy for an item, past reimbursement 
fees are changed by the compounded annual Government salary changes as 
issued by the Office of Personnel Management for the fiscal years being 
projected. The new rates are reviewed with custodial unit personnel and 
adjustments are made as required.
    (f) Additional Cost Allocation. The costs unique to a given product 
line. Each product line is evaluated to determine the costs that are 
unique to that product line, such as purchase and installation costs of 
specialty equipment, replacement costs for aging equipment, copier 
leases and maintenance costs, etc. These costs are then allocated 
against those product lines that use the equipment. Where costs cross 
product lines, the allocations are apportioned based upon the percent 
of the estimated copy volume for each product line.
    (g) Fee Calculation. The product fee is calculated by the following 
formula:{[(Percent of Revenue * NATF Overhead Costs) + Reimbursement + 
Additional Costs]/Projected Sales Volume{time} 
    This calculation is completed for each product.
    (h) Final Review. After the suggested new fees are calculated, NATF 
reviews them to establish the final fees. Fees may be adjusted across 
product lines to ensure that the NATF can succeed in total cost 
recovery.


Sec.  1258.8  How does NARA change fees for existing records 
reproductions?

    (a) The NATF conducts periodic reviews of its fees to ensure that 
the costs of providing services to the public are properly recovered.
    (b) Existing records reproduction fees may be adjusted annually 
based on the following factors:
    (1) Inflation.
    (2) The Office of Personnel Management (OPM) salary changes.
    (3) Reallocation of shared costs across product lines using the 
methodology described in Sec.  1258.6.
    (4) The projected sales volume for the product.
    (5) The actual sales volume for the product.
    (6) The approval of the Archivist of the United States.
    (c) NARA will place a notice on our Web site (http://www.archives.gov) annually when announcing that records reproduction 
fees will be adjusted in accordance with this regulation.


Sec.  1258.10  How does NARA develop and publicize new records 
reproduction fees?

    (a) Custodial units prepare a justification proposal for a proposed 
records reproduction service and send the justification to the 
custodial unit office head, through appropriate channels, for 
concurrence and forwarding to NATF. The justification proposal 
includes, at a minimum, the following information:
    (1) Estimated monthly volume of product orders based on available 
historical data;
    (2) Identification of the equipment and supplies required to 
provide the product and service;
    (3) Brief description of the process required to provide the 
product and

[[Page 43963]]

service, including the amount of time for each number and grade level 
of staff.
    (4) Identification of any services or products that will be 
replaced by the proposed products and services;
    (5) Identification of other NARA units that may have a demand for 
the proposed services; and
    (6) Any other relevant information.
    (b) After receiving the proposal, NATF staff:
    (1) Assesses the potential customer base for the proposed products 
and services, consulting other NARA offices.
    (2) If the potential demand does not warrant establishing fees for 
new records reproduction products and services, NATF notifies the 
proposing office that the new product and service are not approved and 
the reasons why.
    (3) If the potential demand warrants, NATF prepares a cost analysis 
following the methodology in Sec.  1258.6 and develops a proposed 
recommended fee for review by NARA's Financial Resources Division and 
approval by the Archivist of the United States.
    (c) Notification of new records reproduction services and trial 
periods:
    (1) The public will be notified of new records reproduction 
services, including the business case for determining initial fee, on-
line at http://www.archives.gov, by press releases, and through NARA's 
social media outlets.
    (2) New records reproduction services fees have an initial trial 
period of one year. During this time, the public is encouraged to 
provide feedback to NARA about the new records reproduction services 
and their fees as directed in the notification of the new services.
    (3) Prior to the expiration of a trial period, NATF will assess the 
validity of the fees for the new records reproduction products and 
services, and make one of three determinations:
    (i) Retain products, services and fees;
    (ii) Retain products or services but adjust fees up or down; or
    (iii) Discontinue products or services.
    (d) The public will be notified of NATF determination, including 
business case for determination, in NARA research rooms nationwide, on-
line at http://www.archives.gov, press releases, and through NARA's 
social media outlets.


Sec.  1258.12  When does NARA provide records reproductions without 
charge?

    At the discretion of the Secretary of the NATF, customers are not 
charged a fee for records reproductions or certifications in the 
instances described in this section.
    (a) When NARA furnishes copies of records to other elements of the 
Federal Government. However, a fee may be charged if the appropriate 
director determines that the service cannot be performed without 
reimbursement;
    (b) When NARA wishes to disseminate information about its 
activities to the general public through press, radio, television, and 
newsreel representatives;
    (c) When the reproduction is to furnish the donor of a document or 
other gift with a copy of the original;
    (d) When the reproduction is for individuals or associations having 
official voluntary or cooperative relations with NARA in its work;
    (e) When the reproduction is for a foreign, State, or local 
government or an international agency and furnishing it without charge 
is an appropriate courtesy; and
    (f) For records of other Federal agencies in NARA Federal records 
centers only:
    (1) When furnishing the service free conforms to generally 
established business custom, such as furnishing personal reference data 
to prospective employers of former Government employees;
    (2) When the reproduction of not more than one copy of the document 
is required to obtain from the Government financial benefits to which 
the requesting person may be entitled (e.g., veterans or their 
dependents, employees with workmen's compensation claims, or persons 
insured by the Government);
    (3) When the reproduction of not more than one copy of a hearing or 
other formal proceeding involving security requirements for Federal 
employment is requested by a person directly concerned in the hearing 
or proceeding; and
    (4) When the reproduction of not more than one copy of a document 
is for a person who has been required to furnish a personal document to 
the Government (e.g., a birth certificate required to be given to an 
agency where the original cannot be returned to the individual).


Sec.  1258.14  What is NARA's payment policy?

    Fees may be paid:
    (a) By check or money order made payable to the National Archives 
Trust Fund.
    (b) By selected credit cards.
    (c) Payments from outside the United States must be made by 
international money order payable in U.S. dollars or a check drawn on a 
U.S. bank.
    (d) In cash (note that some locations do not accept cash).


Sec.  1258.16  What is NARA's refund policy?

    Due to the age, original media type, and general condition of many 
of the items in NARA's holdings, it is occasionally difficult to make a 
legible reproduction. NARA staff will notify customers if they 
anticipate that the original will result in a reproduction of 
questionable legibility before requesting the reproduction and after 
approval of the customer. After a records reproduction is completed, 
the product undergoes a review to determine if it is an accurate 
representation of the original item. Because of the preapproval 
process, NARA does not provide refunds except in special cases. If a 
customer requests a refund, a review is made of the order to determine 
if the customer was properly notified of the questionable nature of the 
original and if the product is a true representation of the original. 
If the customer authorized proceeding and the product is a true 
representation of the original, no refund will be issued.


Sec.  1258.18  Where can I find NARA's current fees and information on 
how to order reproductions?

    (a) NARA's fee schedule and ordering portal are located at http://www.archives.gov.
    (b) Fee schedules for reproductions made from the holdings of 
Presidential libraries may differ because of regional cost variations. 
Presidential library fee schedules are available at http://www.archives.gov/presidential-libraries/. Some services may not be 
available at all NARA facilities.
    (c) In order to preserve certain records which are in poor physical 
condition, NARA may restrict customers to photographic or other kinds 
of duplication instead of electrostatic copies.

    Dated: July 15, 2011.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2011-18675 Filed 7-21-11; 8:45 am]
BILLING CODE 7515-01-P