Attachment C-3 StandardPurgingProcedures.pdf

OP# 7601

01/30/07

Standard Purging Procedures

Purging Procedures

Complete the following steps to purge standard casefiles.

Step Action

1 Determine what type of file(s) you are processing.

• Standard files are in brown, off-white or light green folders.

• Permanent Retention files are generally in red or blue folders and should contain a permanent retention memo.

• IRS files are generally in bright green folders.

• Lost Paid Bond (LPB) and Unissued Stock (Un Stk) files are generally designated on their labels accordingly.

• OSAS files are generally in orange folders while newer marketable files can be identified by referring to the Marketable File Documents Table.

Note: Refer to the sections in this chapter that address each specific type of file for more information on how to identify and process them.

2 Process the file according to its type.

If . . . Then . . .

standard file(s) go to Step 3 any type other than standard file refer to the section in this chapter that addresses the corresponding type of file.

Continued on next page

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Standard Purging Procedures, Continued

Purging Procedures (continued)

3 Open individual standard casefile and check the entire file including envelopes, for the following documents (refer to image samples found in Chapter 2 Appendix D):

PDF 1843 Worksheet PDF 2384 Worksheet PDF 5318 Worksheet Bond Advice Short Form (must have Case ID starting with “23”) Bond Advice Pricing Module Case Report (must have Case ID starting with “23”)

• These forms may appear in variations. For instance, the 1843 worksheet may have a PDF number of 1843-2 or 1843-4. The title may vary slightly as well but these forms need to be filmed also as long as they meet the transaction criteria (see the Purging Exceptions table and the Transaction Codes for more information on which worksheets must be filmed).

• All worksheets and forms must be date stamped “Examined and

Approved for Payment / Reissue.” Forward any without the date stamp to the BPD purging liaison for proper notation before filming.

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(cont.)

• Forms that are to be filmed may contain continuation forms, which often are designated as the form number followed by a hyphenated number or letter, such as 5318-A. Such continuation forms must be filmed as well.

• Do not film any worksheets that have a Redemption (RA) transaction.

• Do not film any worksheets that have a line drawn them, which shows that it was cancelled (the line is usually red).

If you find any worksheet or bond advice form to film, go to Step 4.

If you don’t find a worksheet or bond advice form, don’t pull anything to film. Go to step 5.

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4 Refer to the Purging Exceptions Table to determine if the worksheet / bond advice form needs to be filmed.

If . . . Then . . .

filming a worksheet or bond advice form

• Search through the entire file for all other documents listed in the Purging Criteria Table.

• Pull appropriate documents for filming. Do not film blank forms.

Note: Refer to Purging Exceptions Table as necessary.

Note: Forms that are to be filmed may contain continuation forms, which may be designated as the form number followed by a hyphenated letter, such as 5318-A. Such continuation forms must be filmed as well.

• Film all legal documents, which are the documents bound on the left side of the casefile folder.

• Bind remaining documents back into the casefile.

not filming any worksheets or bond advice forms

Do not remove any documents from the file.

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5 Separate any worksheets and/or bond advice forms that were pulled for filming according to the year on the date stamp.

Note: You may have more than one worksheet/form for a single year. If so, place the most recent in front and any others behind it in descending order according to the date stamp.

6 Separate other documents pulled for filming by year according to their dates and place them behind the worksheet(s) for the same year.

7 Refer to Prepping Documents for Filming and Destroying Casefiles for more information on how to proceed.

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Criteria

The following is a list of documents in order of PDF number, which are to be filmed during purging if a valid worksheet or bond advice form is found in the file (worksheets and bond advice forms are listed in bold).

Ensure that the forms are notated and stamped as necessary before filming;

refer to the Purging Procedures and Purging Exceptions Table as necessary.

If no worksheet or bond advice form from the file is being filmed (for example, Redemption transactions), then no other documents are filmed.

Do not film any blank forms.

See Chapter 2 Appendix D and Appendix E for image samples of the various forms, which need to filmed during purging.

Note: Forms that are to be filmed may contain continuation forms, which may be designated as the form number followed by a hyphenated letter, such as 5318-A. Such continuation forms must be filmed as well.

Note: If any of the following documents are removed for purging, then all legal documents must be filmed as well.

PDF # Title

385-1 Certificate of Identity of Owner 974 Certificate of Owner of US Reg Sec 1031 Bond of Indemnity 1048 Claim for Lost, Stolen or Destroyed 1048-1 Supplemental Statement in Support of Application 1050 Creditor’s Consent to Disposition of

US Securities 1455 Request by Fiduciary for Reissue 1522 Special Form of Request for

Payment 1540 Request for Reissue 1843 Worksheet 1849 Disclaimer and Consent with

Respect to US Savings Bonds 1851 Request for Reissue of USSB 1938 Request for Reissue of USSB

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Purging Criteria (continued)

1946 Application for Disposition 1946-1 Application for Disposition 1980 Description of USSB 1989 Schedule of Miscellaneous Delivery

(to be filmed if dollar amount matches bond advice form)

1993 Reinvestment Application 2001 Release 2216 Application by Preferred Credit for

Disposition 2243 Supplemental Statement 2329 Description of Mutilated USSB 2384 US Savings / Retirement Bonds

Advice 2490 Description of USSB/Notes 2513 Application by Voluntary Guardian of Incapacitated Owner of US Bonds 2517 Application for Relief on Account 2737 Claim Schedule Worsheet 2958 Bond of Indemnity 3062 Claim for Relief on Account of

Loss/Theft 3062-4 Claim for Relief on Account of

Non-Receipt 3183 Recognition of Voluntary Guardian 3253 Exchange Application of US Series

HH

3360 Request to Reissue 3440 Request for Caveat Action 3500 Continuation Sheet for Securities

Listings 3759 Transmittal of Case to Office of

Assistant Chief Counsel for Advice

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Purging Criteria (continued)

3945 Theft Status Report 4000 Request by Owner of Reissue of

USSB

4881 Application for Payment of US

Savings Bonds 5188 Durable Power of Attorney for

Securities and Savings Bond Transactions

5263 Order for Series EE US Savings Bonds to be Registered in Name of Fiduciary

5318 Worksheet 5320 Paid USSB Facsimile Substitution 5327 Securities Listing 5336 Application for Disposition 5385-E Certificate of Application and

Registration 5387 Request for Reissue 5394 Application for Disposition of Series

I Bond after the Death of the Registered Owner

Bank ID #23 is first two numbers of Case ID (doesn’t have a PD F #)

US Savings / Retirement Bonds Advice Pricing Module Case Report

Bank ID #23 is first two numbers of Case ID (doesn’t have a PD F #)

US Savings / Retirement Bonds Advice Short Form

DTR 30 (does not have a PDF #) Foreign Payment Coding Sheet

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Exceptions Table

Worksheets and Bond Advice forms vary according to transaction type, transaction code and special flag, which require exceptions to the standard purging procedures. See the action table below for more information on handling these exceptions.

Transaction

Type Transaction

Code Condition Action

Any Redemption or

RA

(no transaction other than Redemption is marked)

Do not film.

Any Any Multiple Transactions marked.

Film.

Any Any Worksheet notated “To satisfy accounts receivable” or “To satisfy advice of adjustment.”

Do not film.

Any Any Worksheet stamped “Bonds Returned.”

Do not film.

Claims Any Worksheet dated after 4/1996.

Do not film.

Any RWC Worksheet dated on or after 1996.

Do not film.

Any Any Document stamped “Filmed.”

Do not film.

Original Issue Miscellaneous Do not film.

Definitive Bonds Undeliverable Do not film.

Any type other than “Original Issue” or no type.

Miscellaneous Film.

Claims Any Worksheet dated on or before 4/1996.

Film.

Any RWC Worksheet dated prior to 1996.

Film.

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Purging Exceptions Table (continued)

Type

Transaction Code

Condition Action

Any Reinvestment File contains a Request for Reinvestment letter.

Film the worksheet and the letter.

Any Any Red line drawn across worksheet. (This means the worksheet has been cancelled.)

Do not film.

Any None marked. File has another worksheet or bond advice form to be filmed.

Film.

Any None marked. File doesn’t have another worksheet or bond advice form to be filmed.

Do not film.

Any Any other than Redemption

No date stamp. Send to liaison for date stamp.

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Codes

The following is a list of transaction codes, which appear on the various worksheets and schedules that need to be filmed. Some transaction codes are abbreviated on the worksheets; these abbreviations are notated below.

• Registered Claims Issue (RCI)

• Registered Claims Redemption (RCRD)

• Reissue (RI)

• Reissue-validation

• Refund-validation

• Undeliverable Claims Issue (UCI)

• Undeliverable Claims Redemption (UCRD)

• Retired Without Credit (RWC)

• Proceeds Cash

• Proceeds Bond

• Miscellaneous (MISC)

• Exchange

• Reinvestments

• Partial Reinvestments

• Undeliverable (UND) Film only if not marked Definitive.

Note: Do not film Redemption transactions, which are often abbreviated as

“RA.”

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Forms that do not need filmed.

The following forms should not be filmed even if they are on the left side of the file, which is generally reserved for legal documents that need to be filmed. The only exception would be if a form you are filming includes instructions to see an attached copy of one of the following forms (both forms would need filmed).

• Cross Reference Slip

• Cross File Slip

• PDF 2648 Memo

• PDF 4882 Application for Savings Bonds

• PDF 4883 Application for Savings Bonds (H/HH)

• PDF 2777Accounts Receivable Case Status Report

• PDF 2876 Authorities Examination Report

• PDF 2897 Waiver

• PDF 2980 Adjustment Report

• PDF 3245 Issue or Retirement Trans. Referred for Investigation

• PDF 4581 Forwarding Item Transmittal

• PDF 5234 Search Request

• PDF 5331 Record of Credits Earned

• IRS W-8 Certificate of Foreign Request

• IRS W-9 Request for Taxpayer ID Number and Certification

• IRS 1001 Ownership, Exemption or Reduced Rate Certificate

• BPD Internal Journal Voucher

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