Federal Program- Debt Collection - National Archives

REQUEST FOR RECORDS DISPOSITION AUTHORITY

(See instructions on reverse)

TO NATIONAL ARCHIVES and RECORDS ADMINISTRATION 8601 ADELPHI ROAD COLLEGE PARK, MD 20740-6001

1 FROM (Agency or establishment)

Department of the Treasury

2 MAJOR SUBDIVISION

Fmancial Management Service

3 MINOR SUBDIVISION

Assistant Commiss10ner, Debt Management Services

4 NAME OF PERSON WITH WHOM TO CONFER

5 TELEPHONE

Sharon M Kmg

(202)874-7878

LEAVE BLANK (NARA use only)

DATE RECEIVED

NOTIFICATION TO AGENCY

In accordance with the provIsIons of 44 U SC 3303a the d1spos1t1on request including amendments, ,s approved except for ,terns that may be marked "d1spos1t1on not approved" or "withdrawn" ,n column 10

DATE

ARCHIVIST OF THE UNITED STATES

1,g}j

6 AGENCY CERTIFICATION I hereby certify that I am auchonzed co ace for this agency m matters pertammg to the d1spmmon of its records and that the records proposed for disposal on the attached _ _ page(s) are not now needed for the business of this agency or will not be needed after the retennon penods specified, and that wncten concurrence from the General Accounnng Office, under the prov1s10ns ofTnle 8 of the GAO Manual for Guidance of Federal Agencies,

l;::'J 1s not required,

D 1s attached, or

D has been requested

7 ITEM NO

8 DESCRIPTION OF ITEM AND PROPOSED DISPOSITION

SEE ATTACHED SHEETS

9 GRS OR SUPERSEDED JOB CITATION

10 ACTION TAKEN (NARA

USE ONLY)

115-109

NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE

STANDARD FORM 115 (REV 3-91) Prescribed by NARA 36 CFR 1228

Debt Collection Records

Assistant Commissioner, Debt Management Services

The Fmanc1al Management Service (FMS), a bureau of the Umted States Department of the Treasury, manages the collect10n of delinquent debt owed to the government FMS collects delmquent debts owed to the Umted States government, as well as mcome tax .debts owed to states and overdue child support payments owed to custodial parents This records schedule covers the recordkeepmg copy of mformation used by FMS to establish debt collect10n policies and procedures, perform debt collection services, report on debt collect10n actlv1tles, and manage the Debt Management Services (OMS) busmess lme and debt collect10n systems The mformatlon comes from a number of sources, mcludmg federal agencies, state agencies, credit bureaus, and pnvate collection agencies

This schedule excludes records concerning either Ind1v1dual Indian Moneys (IIM) or Indian Tnbal Trust Funds Under current Department of the Treasury policy, all documents, data, and tangible thmgs contammg mformat10n that relates to IIM and Tnbal Trust Funds and assets are to be preserved until further notice, m compliance with the preservat10n obligations set forth m the Federal Rules of Civil Procedure and vanous court orders pertammg to the retention of such documents, data, and tangible thmgs

This records schedule covers paper and electromc records m Debt Management Services offices for past and current programs, and mformat1on m past and current systems m the Debt Collection segment of FMS 's enterpnse mformation technology architecture This schedule 1s designed to be flexible enough to cover any new programs established by FMS to support the Debt Management Services busmess line, and any successor systems implemented by FMS to contain the types of mformation descnbed below This schedule authonzes the d1spos1tion of the recordkeepmg copy many media (media neutral), to enable FMS to manage records based on mformat10n content, not forn1at

Policy records set forth the rules and procedures governmg debt collect1on activ1t1es, and provide gmdance to agencies and the public These records are covered on this schedule by Item 1, Policy Records

Federal program agency operat10ns records mclude the input received by FMS from federal agencies, the output reported to those agencies, and the transaction processmg data maintained by FMS at the md1v1dual case or agency level of detaII (as opposed to bemg consolidated at the federal level) Typically, the mformation 1s submitted to or reported by FMS on a routine basis, m accordance with reqmrements set forth m the Treasury Fmancial Manual (TFM), TFM supplements, and related publications Often the mformat1on contamed m these records will exist m some form at both FMS and the federal program agency that has a debt or claim These records are covered on this schedule by Item 2, Federal Program Agency Operat10ns Records Examples of federal program agency operat10ns records mclude

Page 1 of 5

Information m the Debt Check system, extracted from the TOP database, used to confirm whether potential rec1p1ents of federal financial assistance owe delmquent nontax debt to the federal government

Information on the status and condition of a federal agency's nontax debt portfolio, m the Debt Management Information System/Treasury Reports on Receivables (DMIS/TROR)

Collection files and debt, payment, offset, and reversal mformat1on m the FedDebt system

Informat10n on delinquent debts owed to federal and state governments and matches for the purpose of offsettmg or levymg payments to recoup monies owed, m the Treasury Offset Program/Call Trackmg System (TOP/CTS )

Treasury program operations records mclude the mput, output and transaction processmg data mamtamed by FMS for FMS or Treasury accounts used to support the Debt Management Services busmess lme (for example, to account for fees received by FMS), and data that FMS consolidates at the federal level These records are covered on this schedule by Item 3, Treasury Program Operations Records Examples of Treasury program operations records mclude

Information on the status and condition of the federal government's nontax debt portfolio, m the Debt Management Information System/Treasury Report on Receivables (DMIS/TROR) system, used by FMS, GAO, 0MB, and others to monitor agency compliance with the Debt Collection Improvement Act of 1996

Information m the FedDebt system used to manage and monitor the effectiveness of the debt management program

Call statistics and other mformatlon m the Treasury Offset Program/Call Trackmg System (TOP/CTS) used to monitor TOP Call Center performance

Other items on this schedule cover significant reports produced by Debt Management Services, and the records used to manage and operate the DMS busmess lme and debt collect10n systems These records are covered by Item 4, Consolidated Reports, and Item 5, Program or ProJect Management Records

1. Policy Records

a The recordkeepmg copy of all policy d1rectives Includes policies, procedures, mstructlons, and forms for federal agencies, the public, and other part1c1pants m the Debt Management Services busmess lme, maJor studies or reports, mfom1atlon on key agency dec1s1ons, and records that contam mformatlon of h1stoncal value that 1s not available elsewhere Policy d1rect1ves mclude, but are not limited to, mformation pertammg to Debt

Page 2 of 5

Management Services m the Field Operat10ns Manual (FOM), the Treasury Financial Manual (TFM), and TFM supplements such as ''Managing Federal Receivables", "Gmde to the Federal Credit Bureau Program", and the "Instructional Workbook for preparing the 'Treasury Report on Receivables and Debt Collection Activities"'

PERMANENT Cut off when revised, superseded or canceled Transfer to the National Archives 20 years after cutoff

b Worksheets, announcements, and gmdance materials for federal agencies, the public, and other participants m the Debt Management Services business !me This includes announcements of a routine nature, such as dates for reporting reqmrements, fact sheets, and Frequently Asked Questions (FAQs) or s1mllar lists of anticipated questions and answers, such as those published on FMS Internet sites

TEMPORARY Cut off when revised, superseded or canceled Delete/destroy 20 years after cutoff, or when no longer needed to explain the business context or add to the meamng or value of other records, whichever is later

2. Federal Program Agency Operations Records

Inforn1atlon submitted to FMS by or about other federal agencies, or mamtamed by FMS at the mdiv1dual case or agency level of detail, for debt collect10n transaction processing and servicing operations performed for Federal program agencies This includes mput received from, and output reported to, federal agencies, state agencies, credit bureaus, and private collect10n agencies

TEMPORARY Cut off at the end of the fiscal year m which action on a debt or other item is completed Delete/destroy 7 years after cutoff

3. Treasury Program Operations Records

Input, output and transaction processing data mamtamed by FMS for FMS or Treasury accounts used to support the Debt Management Services business lme, and data that FMS consolidates at the federal level

TEMPORARY Cut off at the end of the fiscal year m which action on a debt or other item is completed Delete/destroy 7 years after cutoff

Page 3 of 5

4. Consolidated Reports

a The "Annual Report to the Congress, US Government Debt Collection Act1v1t1es of Federal Agencies", and s1gmficant reports on debt collection and debt management services contammg mformat1on of h1stoncal value that does not appear m other Treasury reports

PERMANENT Cut off at the end of the fiscal year Transfer to the National Archives 20 years after cutoff

b Other mforrnation validated, compiled, consolidated, and reported by FMS on debt collection and debt management services

TEMPORARY Cut off at the end of the fiscal year Delete/destroy 7 years after cutoff

5. Program or Project Management Records

Correspondence, reports and other records accumulated m managmg and carrymg out assigned functions These records document program or project management functions, mtemal procedures, mitiat1ves, plannmg, management controls, performance measurement, and other program or project-related issues

a Program or project management records that are used throughout the duration of a program or project, or until superseded by a new vers10n Includes records used to document performance cntena for services, management controls, roles and respons1b1ht1es, the allocation of charges and payments, and mtegnty guarantees, or to momtor and evaluate a program or project. These records may mclude, but are not hm1ted to memorandums of understandmg, mteragency agreements, service level agreements, fiscal agency agreements, financial agency agreements, non-disclosure agreements, and the busmess owner's copy of contracts

TEMPORARY Cut off at the end of the program or project, or when superseded by a new version Delete/destroy 7 years after cutoff, or when no longer needed to explam the busmess context or add to the meanmg or value of other records, whichever 1s later

b Subject files pertammg to a specific aspect of the program or project, for example, a specific issue, a specific program part1c1pant, or activities dunng a specific time penod These records may mclude, but are not limited to, analyses of specific issues, correspondence with federal agencies or other program participants, mtenm reports, or the busmess owner's copy of audit reports

TEMPORARY Cut off files after action on the subject 1s completed, for example, when the issue 1s resolved, the part1c1pant leaves the program, or the time penod ends Delete/destroy 7 years after cutoff

Page 4 of 5

c Records that relate to the mtemal admm1strahon or housekeepmg act1v1ties of a program or project This may mclude mtemal act1v1ty and workload reports, routme not1ficat10ns of meetings, letters of transmittal that do not add any mformation to that contamed m the transmitted material, suspense and tickler files, and smular materials that do not serve as the basis of ofiicial action or umque documentation the functions for which the program or project exists TEMPORARY Cut off at the end of the fiscal year Delete/destroy 3 years after cutoff Longer retention 1s authorized 1f records are still needed for busmess purposes

Page 5 of 5

RECORDS ITEM ORGANIZA

SCIIIWUI..l

TION

RECORD SERIES

DESCRIP110'

ClJRREVf nlSPOSITIO'

RECORD SCHEDULE Nl-425--09--01

GENERAL

RECORDS SCHEDULES

Nl-4:!.5-

I DMS DSD

03 I

AWGB AWGB

lleml a. l1eml h Item 2 lleml llrm?a. ltem?b, ltrm5a. ItrmSb, llem5r

Polle)

Polk)' Federal Tn:llllUry Coruolldarrd Col'l!lolldated Prog/Proj Pro1,IPrt1J ProglProj

Rrronls Records Program Procram R.rp(lrls

Rrporls

Mgmr

Mgmt

M&m<

(pern.nenl) (tempora'")) Az;enq O['Cnllo!D (pern.ix:nt) (tempon'")) R.eeonl1 Records Records

......... O['Cr&lluru. R.eeords

(ll.'lrd (,uhjrrt (program 1tu-ous.huut Oin) admlnlslr?

nntll'ram)

flonl

Adrmnistratwe Wage

Paper case files that mclude an AWG request fonn CutolT closed cases at the

Garmshment Debtor Case which IS sent to the AWG branch by the pnvate

end of each Fiscal Year

Files

collect1on agency serv1cmg the debtor that owes the Retain on site for I year

debt and an AWG package which 1s sent to the

and transfer to the

debtor s employee The AWG package includes a

Washmgton National

Notice Letter (SF-3:!9A) Wage Garnishment Order Records Center Destroy

(SF 329B) Wage Garnishment Worksheet (SF-3:!9C) 7 years after cutoff

Employer Ceruficauon (SF 329D) AWG

Garnishment Request fonns AWG Employer Non

Compliance form AWG Tennmat10n or Debtor

X

Hardship Heanng Request form debtor heanng

documentat10n and AWG Heanng Resolution form In

add111on. AWG has an mtemal AWG package

checkl1St that lS mcluded m the file but IS not sent to

the employer On occasion the case file will include a

Pnvate Collecuon Agency Momtonng System

(PMAC) or Debt Management Serv1cmg Center

(DMSC) system pnntout that venfies debt obhgat1on

NI 425 03 I

I CPB

DMSDSD CPB

Nl-42.5 03-1

I PCB DMSDSD CT PCB CT

Nl-425-

2 DMSDSD

03-1

AWGB AWGB

Nl-425 2 PCB DMSDSD

03-1

CT PCB CT

NI-42503-1

2a DMS DSD CPB CPB CSCLS CSCLST

T

Ongmals of the guidance presented to agencies about Close files at end of fiscal

the Cross Serv1cmg Program at the annual debt

year Destroy when no

collect10n conference or at meetmgs throughout the longer needed

Workshop and Debt

year with new and exJStmg agencies pan1cipatmg m the

Collect1on Conference Fdes

Cross-Serv1cmP- Provram Information about debt collection conference or

Close files at end of f15cal

meetmg logistics and adnnn1Strat1on such as the

year Destroy when no

conference organizer's copy of procurement

longer needed

documents for the conference fac1htv

Compliance Review Case Annual audits are conducted on Pnvate Collection Close lile at end of fJScal

Files

Agencies (PCA) lo ensure they are m compliance with year m which the contract

Treasury s PCA contracL An 1mhal repon IS prepared expires Transfer to the

pnor to the on sue VJSlt, which includes documentation Federal Records Center regardmg demand letters, payment agreements the Destroy 7 years after

number of account resolunons file reJecUon reports expiration of contracL and any other JSsues While on site a worksheet 1s

ofien unhzed to check certain areas of concern and to

document where unprovement IS needed Upon return from the Comphance ReVJew a fmal repon IS

prepared and 1Ssued with a cover letter to the PCA

The PCA sends a response to the report to dJScuss how the findmgs will be met

Admm1Strat1ve Wage

A debtor may request a heanng about the exJStence or Cutoff when a final

Garn1Shment Heanng

amount of debt of the terms of the proposed

dec1s1on IS made Retam

Resoluuon Flies

repayment schedule under the garn1Shment order

on site for I year and

These files mclude the heanng resolution fonn and. m transfer to the

some mstances the documentation associated with the Washington National

dec1s1on (1e a lener from the creditor agency to the Records Center Destroy

debtor and background mvesugauon documenls form 7 years afier cutolT

the creditor agency)

Ongmals of the guidance presented to PCAs at annual Close files at end or flScal

conference or at mtenm meetmgs throughout the year year Destroy when no

Pnvate Collecuon Agency

lomier needed

(PCA) Conference Files lnfonnat1on about PCS conference or meetmg logistics Close files at end of fJScal

and admm1Strat1on, such as the conference organIZeT s year Destroy when no

copy of procurement documents for the conference longer needed

fac1htv

Agency Program Profile Letters of Agreemenls (LOA) deta1lmg the manner m Close file at end of fiscal

Case Files

which FMS will service and be compensated for

year m which agreement

managmg an agency s debt portfolio are mamtamed expires Destroy when no

by lhe CPB

longer needed for program purposes

X

X X

X X

X X

CO\IMENTS

Recs X-Walk DMS Oct-21-2010

Page I

RECORDS ITEM SCHEDULE

ORGANl7.A TION

RECORD SERIES

DESCRIPTIO'-'

cuR.RE,T DISPOSITIO'

RECORD SCIIEDULE Nl...,tlS-09-01

GEl'liERAL RECORDS SCHEDULES

Nl-425 03-1

2b DMS DSD CPB CPB CSCLS CSCLST

T

NI 425

3 DMSDSD

03 I

AWGB AWGB

NI 42503-1

3 CPB DMS DSD SCSLS CPB

T CSCLST

N1 425 03 I

3 PCB DMSDSD DT PCBDT

Nl-425

4 DMSDSD

03-1

AWGB AWGB

Nl-42503 I

4CPB DMSDSD CSCLS CPB

T CSCLST

Agency Program Profile Subsequenl lo lhe execution of an LOA agencies

Case Flies

subm11 one or more program profiles mcludmg

Close file at end of fiscal year m which lhe

lreml a. Pullq

[uc:onb (permanent)

Item I b. PoHc:y

[uc:orlh (lr1J111tral'))

Item? Fedrral Program Agency

Oper llons

[uc:ords

lleml Trt&llUI") Pror;ram Operallo115 Rrc:ord1

llem4a,

Coiuulid lrd

ruports

(perm ntnl)

llem4b,

ConsoUd lrd

ruporlll (temporal')')

llemSa, Prog/ProJ

Mgmt ruc:ords

(U!led lhro11&:hout nro rml

ltrmSb. ProglProJ

Mr;mt Rcconb (1ubjrc:I

file?)

ltrmSc:

.......Prog/ProJ Mgml

(program 1drrinlsrra

lion)

updates which are mamlamed by CPB personnel

agreement expires

Transfer to the Federal

X

Records Center when :?

years old Destroy 7 years

after cutoff

Admm1strauve Wage Garmshmenl Workshop Documents

Ongmals of Lhe guidance presented at workshops conducted for Federal agencies m implementing AWG These documents mclude the workshop

Destroy when superseded or obsolete

agenda. fact sheets a hst of Frequently Asked Questions program and process overview AWG

X

1ntplemental1on success. organLZaUonal responsib1hues

and debtor nghts, PowerPomt presentation ofLhe

Regulations and Heanng Procedures and workshop

Debi Referrals Case Files Debt referrals submitted to FMS by creduor agencies Close case at end of each

thal do not have electronic lihng capab1h11es

fiscal year m which debt

1s resolved or returned lo

the agency as

uncollectible Retam on-

s1le for 2 years or when

X

no longer needed and

transfer to the Federa1 Records Center Destroy 7 years after cutoff

Debtor D1spule Case Files When attemptmg to collect a debt, lhe deblor ofien Close files at end of each disputes either the vahd1ty of the debt or the amount calendar year Transfer to

owed on the debt The Pnvate Collection Agencies the Federal Records

(PCA) receive this documentation and forward II to Center when 2 years old

the Treasury for resolution Treasury will then forward Destroy when 7 years old

X

the documentation to the Federal agency for a

response Treasury mamtams the mll1al dispute documentation the resolution documentation, and reports concerning the status of disputes

AWG advice proV1ded to Federal agencies These

Destroy when no longer

Adnumstrat1ve Wage

documents mclude the Code of Federal Regulations needed for currenl (31 CFR Secoon 265 11) US Code annotated and busmess or convemence

X

Garmshment Operatmns the AWG technical bulletin

of reference

and Procedure Documents Internal procedures for managing the AWG program Destroy when no longer

Includes the AWG Operations and Procedural ManuaJ needed for current business or convenience

X

of reference

Credit Bureau Disputes

Many delmquenl Federal debts are reponed to regional Close files at end of each credit bureaus Commercial and consumer debtors fiscal year upon whose credit profiles reflect delinquent debts owed to resolution of dispute

the Federal Government often dispu1e mfonnauon Transfer to Federal

reponed by FMS Dunng collect1ons debtors often dispute e11her the vahd1ty of the debt or the amount

Records Center when I year old Destroy 4 years

owed on the debt CPB h31Son personnel are responsible for managmg mcommg and responsive

after cutoff

correspondence between FMS and regional creditor

X

bureaus CPB haJSons mteract with creditor agencies

requesting venficahon ofdebt mfonnauon CPB

mamtams the 1m11al dispute documentatmn the

resoluuon documentation. and related correspondence

surroundmg these disputes In add111on, CPB also

mamtams documental10n requestmg mod1licahon or

deleuon of previously reponed credit bureau

mfonnallon

CO\IMENTS

Recs X-Walk OMS Oct-21-2010

Page 2

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