Attachment C-2 TypesofCasefiles.pdf

OP# 7601

01/30/07

Types of Casefiles

Standard Casefiles

Most casefiles will be standard casefiles and will be processed according to standard purging procedures. Standard files are generally in brown, off-white or light green folders. See Standard Purging Procedures section for more information on how to process standard casefiles.

Multi-part

Some casefiles contain too many documents to be kept in one folder.

Generally, files with multiple folders are stored in light green folders. Each folder should have the part number notated on it (for example, Part 1 of 3). A multi-part file can be any type of file such as permanent retention, IRS, marketable, etc.

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Types of Casefiles, Continued

Permanent Retention Casefiles

Permanent Retention files are not purged or destroyed. Nothing is removed from the permanent retention files for filming.

Permanent Retention files will generally be in red folders. The older OSAS permanent retention files are in blue folders. Some older SBOO (1993-1996) files and OSAS (1994-1996) permanent retention files are stored in brown folders with red labels.

Every Permanent Retention file should contain a PDF 3163 (or the equivalent OSAS Permanent Retention form), which specifies to retain the file permanently.

Some files may contain old forms, which are the equivalent of a PDF 3163.

One example of this is the Case Tracking Control Sheet used for some marketable securities files, which can be marked for Permanent Retention. In these instances, the offsite vendor will coordinate with purging liaison to verify the status of the file.

Some PDF 3163 forms may specify a retention period that is not permanent (10 years for instance); if so, the file can be purged after the specified retention period.

If a PDF 3163 or equivalent memo is notated as “Void” or “Cancelled”, disregard the memo and purge the file. Remove the necessary worksheets and documents according to purging procedures.

If a Permanent Retention file (in a red folder) does not contain a PDF 3163 or equivalent memo, refer the file to the BPD contact/purging liaison. The status of the file will need to be verified and documented on BATS.

If a file that is not in a red (or blue) folder contains a PDF 3163 or equivalent memo, do not purge the casefile. Refer the file to the BPD contact/purging liaison. The status of the file will need to be verified and documented on BATS. The file contents should be transferred into a red folder if necessary.

Do not purge Permanent Retention files. Place them into a storage box for further retention and coordinate with BPD personnel to document the corresponding box numbers on BATS for each file.

See Chapter 2 Appendix A for image samples of Permanent Retention forms.

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Lost Paid Bond and Unissued Stock Casefiles

Lost Paid Bond (LPB) or Unissued Stock (Un Stk) files will generally be designated on the customer label as LPB or Un Stk. The labels for such casefiles usually include a bank name as well. These files also generally contain authority letters relating to the Lost Paid Bond or Unissued Stock claims.

Below is an image sample of a LPB letter.

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LPB File Documents

If the file contains an authority letter for a LPB claim, film the following items:

• LBP Authority letters (match with PDF 2517/2517-1)

• DTR 194

• DTR 195

• PDF 2517/2517-1

• Attachment list of bonds for PDF 2517

• PDF 5320

• PDF 2980

• PDF 2777

• Cross reference and cross file slips

• Special forms

• Miscellaneous correspondence with bond numbers or amounts that match the authority letter.

Once removed from the file(s), related documents must be put in order before filming:

• Place the PDF 2517 behind the corresponding authority letter. Use bond numbers, dollar amounts, dates, etc. to match the documents with each letter.

• Place the PDF 5320 behind the PDF 2517 in order according to how the corresponding bonds are listed on the PDF 2517.

• Place special forms behind the PDF 2517 and PDF 5320.

• Authority letters are filed for filming according to date of the letter and then by alphabetical order based on the city, then by bank (within each city).

• If there are multiple letters for each case with different years, these letters will be separated and filed by year and city/bank.

• Letters that are separated by year must be cross-referenced on each other:

Letter dated 1/1/01 for Rich Bank of Boston, MA should be cross referenced on all other separated letters pulled from same file as: “See also Boston, MA 2001 (along with any additional years).”

See Chapter 2 Appendix B for image samples of LPB Letters and forms, which need to be filmed during purging.

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Un Stk

If the file contains an authority letter for an Unissued Stock claim, film the following documents if they have matching serial numbers, dollar amounts, etc. These documents should be placed in the following order before filming.

For each case:

• Unissued Stock Authority letters (match with PDF 3062)

• PDF 3062

• Attachment list of bonds for PDF 3062

• PDF 2980

• Cross reference and cross file slips

• Special forms

• Miscellaneous correspondence with bond numbers or amounts that match the authority letter.

Filing documents for filming:

• Authority letters are filed for filming according to date of the letter and then by alphabetical order based on the city, then by bank (within each city).

• If there are multiple letters for each case with different years, these letters will be separated and filed by year and city/bank.

• Letters that are separated by year must be cross-referenced on each other:

Letter dated 1/1/01 for Rich Bank of Boston, MA should be cross referenced on all other separated letters pulled from same file as: “See also Boston, MA 2001 (along with any additional years).”

See Chapter 2 Appendix C for image samples of Un. Stk. Letters and forms, which need to be filmed during purging.

IRS Collateral

IRS Collateral Casefiles are in bright green folders. These files may also be designated as having IRS notated on the casefile label. These files should be considered to have permanent retention status.

Do not purge IRS files. Place them into a storage box for further retention and coordinate with BPD personnel to document the corresponding box numbers on BATS for each file.

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OSAS and Marketable Securities Casefiles

Some files may relate to either marketable securities exclusively, or to both savings bonds and marketable securities. No correspondence relating to marketable securities should be removed during purging.

The old OSAS files are generally in orange folders and have a seven-year retention schedule. OSAS Permanent Retention folders are stored in blue folders.

Treasury Direct files also fall within the category of marketable securities casefiles. Some Treasury Direct files may be in bright yellow folders.

If a file relates to both bonds and marketable securities, film the appropriate documents relating to savings bonds. If any of these documents also relate to the marketable securities (such as legal evidence), make copies of them to be filmed and leave the original documents in the file.

The offsite vendor may need to coordinate with the BPD contact / purging liaison to confirm whether a file is a mixed case and needs to have duplicates made of related forms.

Marketable File Documents

The following is a list of documents commonly found in files relating to marketable securities. Refer to this list for help in identifying marketable securities files. These forms generally do not need to be filmed.

Note: Some forms listed in the table relate to Treasury Direct and are notated as “TD” next to the PDF number.

PDF # Form Title

0345 Description of Registered Treasury Bonds and Notes in Definitive/Paper Form

1001 Power of Attorney Authorizing Disposition of Registered Transferable Securities (Individual)

1003 Power of Attorney Authorizing Disposition of Registered Transferable Securities (Corporate)

1010 Resolution by Governing Body of an Organization Authorizing Assignment and Disposition of Delivery of Bonds of Indemnity

1022 / 1002-1 Report / Application for Relief on Account of Loss, Theft, Destruction of Bearer Securities

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Marketable File Documents (continued)

PDF # Form Title 1025 Application for Relief on Account of Loss, Theft or

Distribution of Registered Securities 1014 Certificate of Incumbency of Officers 1461 Application for Recognition as Voluntary Guardian of

Incompetent Owner of Securities 1071 Certification of Ownership of Bearer Securities 1646 Disposition of Registered Securities and Related Checks for Non-administered Estate 1832 Special Form of Assignment for US Registered Definitive

Securities 1832-1 US Bearer Securities for Conversion to BECCS or CUBES 2066 Application by Survivors for Payment of Bond or Check

Issued Under the Armed Forces Leave Act 2471 Certificate to Support Application for Relief on Account of Lost, Stolen or Destroyed US Securities 2481 Application For Recognition as Natural Guardian of Minor

/ Disposition of Minor’s Interest 4094 Affidavit by Individual Surety 5178 TD Transaction Request 5179 TD Security Transfer Request 5179-1 TD Sell Direct Request 5180 TD Reinvestment Request 5182 TD New Account Request 5188 TD Power of Attorney for Security Transactions 5189 TD Resolution for Security Transactions 5191 TD Application for Recognition as Natural Guardian of a

Minor 5192 TD Stop Payment / Replacement Check Request 5199 TD Transmittal Advice 5201 TD Disposition of Payments and Securities for Non-administered Estate 5246 TD Request for Release of Funds 5380 TD Detached Coupon Statement

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