NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
National Personnel Records Center
St. Louis, Missouri 63132 5100

SUBJECT:  Information and instructions on fee cases (9700 Page)

1. Purpose.  This memorandum issues information and instructions on fee cases at 9700 Page.

2. Cancellation.  NPRC 1852.1L is canceled.

3. Reason for revision.  This memorandum is revised to update procedures and forms used in processing fee cases.

4. Applicability.  The provisions of this memorandum are applicable to personnel in the Mail & Data Input Section, Research Room, and all personnel involved in responding to requests for information from military or administrative records.

5. Instructions.  Instructions for processing fee cases are contained in the attachment.

6. Forms.  This memorandum provides for the use of the following forms:

NA Form 13048, Fee Information Reply
NA Form 13115, Chargeable Case Control
GSA Form 687, Register of Remittances Received
GSA Form 2935, FBF (TID) General Purpose Coding Document
GSA Form 2951, NEAR Input Transmittal
Standard Form 215, Deposit Ticket
OF 41, Routing and Transmittal Slip

R.L. HINDMAN
Director

1. Authority.  Various authorities provide for the charging of fees for reproduction and authentication of records.  These include the Code of Federal Regulations, 32 CFR, Parts 204 and 286; and 36 CFR, Parts 1250 and 1258.

2. System requirements.  The fee operation requires the knowledge and use of the NARA Order Fulfillment and Accounting System Training Guide (POS), NPRC's Fee Assessment Program, Billing List Application, Case Management and Reporting System, and Task.

3. Chargeable services.  Every employee should be familiar with the types of chargeable services routinely provided by the National Personnel Records Center.  Fig. 1-3 lists these services

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4. Nonchargeable services.  Certain services are excluded or excepted from charges.  Examples of such services are provided in fig. 1-4.

5. Control of fee cases.  The Case Management and Reporting System (CMRS) is used to report and control fee cases within the Center.  Accurate assessment of fees requires cooperation from all Center employees involved in the processing of fee cases including mailroom personnel, all personnel responding to requests, and the fee clerks located in the Research Room.

6. General rules.

   1. Evidence of EVERY inquiry pertaining to a record must be entered in that record.  This information is absolutely necessary for proper determination of fee cases.

   2. In chargeable cases, either the request or the tracer, but not both, is chargeable.

   3. Only one copy of each requested document will be sent to a requester at any one time.

   4. Inquiries from military and other federal agencies, including congressional offices, are not subject to fees.  In addition, state and local government agencies, as well as foreign governments, are not charged fees.

   5. Requesters listed as "routine uses" in the latest revision of NPRC 1865.16, Release and access guide for military personnel and related records at NPRC, are not subject to fees.

7. The Freedom of Information Reform Act of 1986.

   1. Effect on fees.  The Freedom of Information Reform Act (FOIA) of 1986 required agencies to completely change their fee schedules for services related to processing FOIA requests, as well as the criteria for waiving these fees.  As a result, there are very few situations in which a fee will be chargeable.

   2. Categories of requesters.  Charges for FOIA requests are based on the category of the requester.  Each request must be analyzed to determine the category of the requester.  The FOIA identifies requesters in the following categories:  commercial use requesters, educational institution requesters, news media representative requesters, non commercial scientific institution requesters, and all other requesters.  To assist in determining the category of the requester the following definitions shall be used:

      (1)  Commercial use requester.  One who is seeking information for a use or purpose that furthers the commercial, trade, or profit interest of the requester or the person on whose behalf the request is made.

      (2)  Educational institution requester.  A preschool, a public or private elementary or secondary school, an institution of undergraduate higher education, an institution of graduate higher education, an institution of professional education, and an institution of vocational education, which operates a program or programs of scholarly research.  The request must serve the scholarly research goals of the institution or school rather than the individual goals of the requester.  A request from a student in furtherance of the completion of a course of instruction does not qualify as an educational institution request.

      (3)  News media representative requester.  Any person actively gathering news for an entity that is organized and operated to publish or broadcast news to the public.

      (4)  Non commercial scientific institution requester.  An institution that is not operated on a basis that furthers the commercial, trade, or profit interests of any person or organization, and which is operated solely for the purpose of conducting scientific research, the results of which are not intended to promote any particular product or industry.

      (5)  All other requesters.  Any person who does not fit into any of the above categories.

   3. FOIA fee schedules are listed in fig. 4-2.2.

Figure 1-3.  Chargeable services

Figure 1-4.  Nonchargeable services

1. Responsibilities.  Mailroom personnel entering CMRS data determine if a case is chargeable or potentially chargeable.

2. Fee Case flag.  For new requests which are determined to be chargeable/potentially chargeable (including FOIA requests), the Fee Case Flag is checked in CMRS (Request Information).  A checkmark (flag) indicates that the request is a fee case or requester included cash/check/money order with a NEW request.  These requests will require fee clerk action before the request can be closed.

   NOTE:  DO NOT enter as a request if the remittance was received as a result of a previous NPRC billing notice.

3. Overnight Delivery flag.  If the request is accompanied by a payment for overnight delivery via Federal Express (FedEx), check the box for Overnight Delivery.

4. Receipt of cash, checks, or money orders.  Insert cash, check, or money order in a plain white envelope.  Write the CMRS Request Number on the front of the envelope.  Place sealed envelope in the out box designated for the Fee Desk in the mailroom manager's office.

   If cash, check, or money order is accompanied by NA Form 13048, Fee Information Reply, or reference is made in the correspondence that the fees enclosed are for payment of services, place the payment with accompanying correspondence in the white envelope.

1. Responsibilities.  Personnel who prepare responses to inquiries perform a review of the inquiry to determine if charges are required.  If it is determined that the request is a fee case, check to be sure the Fee Case Flag is checked in CMRS in Request Information.  If the Fee Case Flag was checked in error, DO NOT remove the check mark.  Once the case is completed, the case needs to be routed through the Fee Desk for possible refund.  If the response to the case is to be sent via Federal Express (FedEx), the Overnight Delivery box must also be checked in Request Information.

2. Personnel responding to requests.

   1. Complete the case and Response Information with the number of copies, amount of time expended on the case, and check Fee Seal Flag, if appropriate.  Update Request Note with comments indicating service rendered or verification of information needed to determine fee case status; e.g., "legal copies of (registry number) prepared - sent for certification," or "called and copies are for adverse attorney."

   2. When sending a fee case to the Support Staff, be sure to identify it clearly as a fee case so that it will be handled appropriately.  Staple an OF-41, Routing and Transmittal Slip, to the flap of the mailing envelope.  DO NOT SEAL ENVELOPE.  In the remarks section of OF-41, write in large letters "FEE CASE-RESEARCH ROOM."  Be sure to attach the bar code.  This includes FedEx envelopes.

3. Support Staffs.  Wand the case In Dispatch.  Do not put the envelope in a blue bin.  Responses to fee requests must go first to the Fee Desk in the Research Room before they can go to Outgoing Mail.  This applies to all FedEx mailers as well as manila envelopes.  Depending on the urgency, Support Staff may hand-carry the response directly to the Fee Desk or place it in one of the brown "messenger" envelopes addressed to the Research Room.  DO NOT send or deliver records to the Fee Desk.

1. Responsibilities.  The Research Room attendant assigned to the fee operation is responsible for:

   1. Returning fees when no charges are assessed;

   2. Making fee determinations on fee cases;

   3. Controlling remittances received and maintaining billing system files and various logs;

   4. Updating reporting systems;

   5. Sending fees and supporting documents collected for the Trust Fund for deposit;

   6. Sending fees and supporting documents collected for Federal Express mailings for deposit;

   7. Sending or delivering copies of deposits and supporting documentation to appropriate offices;

   8. Preparing documentation for refunds;

   9. Sending or delivering copies of refunds and supporting documentation to appropriate offices;

   10. Notifying supervisor of requesters who repeatedly fail to respond to billing notification;

   11. Generating delinquency report on the first of each month;

   12. Sending follow up billings with assessed late charges; and

   13. Advising visitors to the Research Room that service may be chargeable.  Charging and collecting fees from visitors.

2. Fee schedules.  There are two fee schedules applicable to DoD records and one applicable to requests for NARA administrative records.

   1. User Charges.  32 CFR 204 contains the User Charges which are used to determine the cost of services rendered to the public for DoD records.  (See fig. 4-2.1.)

   2. FOIA fee schedules.  (See fig. 4-2.2).

      (1)  DoD records.  32 CFR 286 contains the FOIA fee schedule which is used to determine the cost of processing requests for DoD records made by members of the public that either explicitly or implicitly invoke the FOIA.

      (2)  NARA administrative records.  36 CFR 1250 contains the FOIA fee schedule which is used to determine the cost of processing requests for NARA administrative records made by members of the public that either explicitly or implicitly invoke the FOIA.

3. Fee waivers.  For all FOIA requests, EXCEPT THOSE FROM COMMERCIAL USE REQUESTERS, the first 100 copies and/or the first two hours of searching are without charge.  In addition, there is an automatic waiver of fees if they are calculated to be less than $15.00 for DoD records, or less than $10.00 for NARA records.  Multiple requests from a single requester or from those acting in behalf of a single requester in an effort to take advantage of a waiver of fees may create a situation in which the waiver should be denied.  Such cases should be brought to the attention of NRPM.

4. Fee application programs and reporting systems.

   1. NPRC's Fee Assessment Program.  This is an NPRC application program developed to record all actions required in the fee operation and create necessary forms and reports.  To access the program, click on the Fee Desk icon on the PC desktop.  Instructions for using the program can be found under Help (Fee Desk Procedures)

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   2. NARA Order Fulfillment and Accounting System (POS).  POS is an acronym for Point of Sale transaction.  This is a NARA based system that is used to record billing actions that meet specific criteria.  To meet the criteria the payment must be for the exact amount of the first billing and all actions must be completed within thirty (30) days (including the receipt of payment).  All other payments (advance deposits, FedEx, those including interest and fees) and refunds are not processed using this system.  Customers that normally meet this criteria are private companies that review records in the Research Room.

      To access the program, use the PC in Research Room that is dedicated for the POS program.  Reference the NARA Order Fulfillment and Accounting System (POS) Training Guide for instructions on using this program or the Help button in the program.

   3. Billing List Application.  This is an NPRC application program developed to track billings for private companies that review records in the Research Room.  This program is used as an initial step to record activity by these customers.  To access the program, click on the Billing List icon.  Instructions for using the program can be found under File and Application Documentation.

      If the bill is paid within thirty (30) days, the action is further documented using POS.  If the customer does not pay the bill within 30 days, the action is recorded using the Fee Assessment Program.

   4. Case Management and Reporting System (CMRS).  CMRS is used to record and track all fee cases within the Center.  The fee clerk checks this system by the case reference number to be sure appropriate fields referencing fees have been populated with correct information and makes changes as needed.  (See Chapters 2 and 3.)

      Information recorded in CMRS (copies and time) are used to calculate and document charges.  The fee clerk creates Notes in CMRS documenting actions taken.  Upon completion, the status of the case is changed from "In Dispatch" to "Fee Work Done" and then to "Closed."  The fee clerk then wands out the case.

   5. TASK.  The Task reporting system is used to record the number of Trust Fund photocopies and certifications for MPR's fee operation.

5. Types of fee operation actions.  The following are the different types of actions requiring fee desk processing.  Instructions for processing these actions are located in Fee Desk Procedures and the Billing List Application.

1. Returned money.  A remittance received with a request that is not chargeable and needs to be returned to the requester.

2. Payment in cash.  A remittance received in cash that may or may not relate to a chargeable case.  NOTE:  Cash must be converted to a money order.

3. Advanced deposit.  A remittance received with a request that is chargeable and needs to be deposited.

4. Billings (new request).  A new request received at the Center that is chargeable.  The case has been completed and requires billing action.

5. Additional billings.  A request that was received with an advanced deposit.  The case has been completed and results in additional charges to the requester (exceeding the amount received).

6. Delinquent account.  Bill not paid within 30 days and the balance is over $15.00.

7. 2nd and 3rd billings.  Subsequent billing actions taken with penalties and interest when payment has not been received in 30 days and 60 days, respectively, after original bill was sent.

8. Payment received.  A remittance received from a customer as a result of a billing notice.

9. Deposits.  Remittance received and sent forward to the Federal Reserve Bank.

10. Refund.  Amount owed to a customer as the result of fees collected that exceed the amount of the billing.

11. Federal Express mailings.  Remittance received from customer to have the response sent overnight via Federal Express (FedEx).  NOTE:  Excluded from billings and collections for the Trust Fund.

6. Fee operation forms.  The forms used in the fee operation are either generated from the Fee Assessment Program or prepared manually by the fee clerk.  The fee clerk enters pertinent data in the program/on the form, prints the forms or reports (if generated from the system), and sends/delivers original and copies in accordance with instructions.  See fig. 4-6.1 for further instructions on the disposition of forms.

   1. NA Form 13115, Chargeable Case Control.  Part III of this form is used by the fee clerk to record fees, show fee calculations, and document appropriate action.  The instructions and samples of these forms can be found in the Fee Desk Procedures.  To access the form, click on Reports and NA Form 13115.

   2. NA Form 13048, Fee Information Reply.  This form is used to respond to the requester.  Copies are maintained by the fee clerk to control pending payments.  The instructions and samples of these forms can be found in the Fee Desk Procedures.  To access the form, click on Reports and NA Form 13048.

   3. GSA Form 687, Register of Remittances Received.  This form is used to record deposits of remittances received for MPR services and remittances received for FedEx mailings.  A separate register is used to record these actions.  The instructions and samples of these forms can be found in the Fee Desk Procedures.

      (1)  Deposits.  A separate register, GSA Form 687, is prepared on a weekly basis, or as needed, to list deposits of remittances received for MPR services.  To access the form, click on Reports and Deposit.

      (2)  Federal Express mailings.  A separate register, GSA Form 687, is prepared for deposits related to FedEx mailings.  To access the form, click on Reports and FEDX Deposit.

   4. GSA Form 2951, NEAR Input Transmittal.  This form is used to record and transmit refunds recorded on NA Form 13115.  It is prepared on a weekly basis, or as needed, to list refunds.  To access the form, click on Reports and Refunds.

   5. Standard Form 215, Deposit Ticket.  This form is completed manually and is used to deposit funds to the Federal Reserve Bank.  See fig. 4-6.2 for a sample of this form.

   6. GSA Form 2935, FBF (TID) General Purpose Coding Document.  This form is completed manually to document deposits reported to GSA, (6BCE).  See fig. 4-6.3 for a sample of this form.

7. Blank checks.  Blank checks or checks limiting the amount charged are returned to the requester along with NA Form 13048 indicating that these types of checks are not accepted.  If the request is later determined to be a fee case, the requester will be charged when the response is sent.

8. Audits.  An administrative audit is conducted semiannually by NRPS (Budget).  The results of these audits are submitted to the Center Director.

9. Fee operation filing.  Files are maintained containing documentation relating to deposits, refunds, and completed actions on Federal Express mailings.

10. Retention of documents.  Documents maintained in connection with the fee systems are cut off annually at the end of the fiscal year, then destroyed 3 years from date of cut off.  The authority for this is contained in the General Records Schedules, GRS 6, Item 4.

Figure 4-2.1.  User Charges

Figure 4-2.2.  FOIA fee schedules

Figure 4-6.1.  Disposition of forms

Figure 4-6.2.  Standard Form 215, Deposit Ticket

Figure 4-6.3.  GSA Form 2935, FBF (TID) General Purpose Coding Document