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SOME ITEMS SUPERSEDED OR OBSOLETE N1-053-06-005 Accurate as of 05/20/2026 ACTIVE ITEMS. These items, unless subsequently Superseded, may be used by the agency to disposition records. It is the responsibility of the user to verify the items are still active. INACTIVE ITEMS. These items may no longer be used to disposition records. They are Superseded, obsolete, filing instructions, describe non-records, or were lined off and not approved at the time of scheduling. References to more recent schedules are provided below as a courtesy. Some items may be annotated on the schedule. (P) Permanent (T) Temporary ITEM STATUS WHY INACTIVE 0001 Active (T) 0002 Active (T) 0003 Active (T) 0004 Active (T) 0005 Active (T) 0006 Active (T) 0007 Active (T) 0008 Active (T) 0009 Active (T) 0010 Active (T) 0011 Active (T) 0012 Active (T) 0013 Active (T) 0014 Active (T) 0015 Active (T) 0016 Active (T) 0017 Active (T) 0018 Active (T) 0019 Active (T) 0020 Active (T) 0021 Inactive (T) Superseded by GRS 3.2 / 050 (DAA-GRS-203-0006-0007) 0022 Active (T) 0023 Inactive (T) EZ Clear is obsolete. EZ Clear was used from 1988 to 2012. 0024 Active (T) 0025 Inactive (T) Obsolete. Retail no longer produces the department circular. 0026 Active (T) 0027 Active (T)
0030 0035 0040 0045 0050 0055 0060 SOME ITEMS SUPERSEDED OR OBSOLETE N1-053-06-005 Accurate as of 05/20/2026 ITEM STATUS 0028 Active (T) 0029 Active (T) Active (T) 0031 Active (T) 0032 Active (T) 0033 Active (T) 0034 Active (T) Active (T) 0036 Active (T) 0037 Active (T) 0038 Inactive (T) 0039 Inactive (T) Inactive (T) 0041 Inactive (T) 0042 Active (T) 0043 Active (T) 0044 Active (T) Active (T) 0046 Active (T) 0047 Active (T) 0048 Active (T) 0049 Active (T) Active (T) 0051 Inactive (T) 0052 Active (T) 0053 Active (T) 0054 Active (T) Active (T) 0056 Active (T) 0057 Active (T) 0058 Active (T) 0059 Active (T) Inactive (T) 0061 Active (T) 0062 Active (T) 0063 Active (T) 0064 Active (T) WHY INACTIVE Treasury Direct Fees is obsolete with implementation of Treasury Direct Legacy. No fees are paid since customers submit their own data Treasury Direct Fees is obsolete with implementation of Treasury Direct Legacy. No fees are paid since customers submit their own data Treasury Direct Fees is obsolete with implementation of Treasury Direct Legacy. No fees are paid since customers submit their own data Treasury Direct Fees is obsolete with implementation of Treasury Direct Legacy. No fees are paid since customers submit their own data Treasury Direct Fees is obsolete with implementation of Treasury Direct Legacy. No fees are paid since customers submit their own data Obsolete. Securities ledgers used prior to the implementation of electronic master files have been fully disposition
0065 0066 0067 0068 0069 0070 0071 0072 0073 0074 0075 0076 0077 0078 0079 0080 0081 SOME ITEMS SUPERSEDED OR OBSOLETE N1-053-06-005 Accurate as of 05/20/2026 ITEM STATUS WHY INACTIVE Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (T) Active (P) Active (T) Active (P) Active (P)
I II I -�s:_ ,. - LEAVE BLANK (NARA use only) REQUEST FOR RECORDS DISPOSITION AUTHORITY (See Instructions on reverse) JOB NUMBER - 06 -S NATIONAL ARCHIVES and RECORDS ADMINISTRATION (NIR) WASHINGTON, DC 20408 DATE RECEIVED /(t, - I� -�CJtJ�1. FROM (Agency or establishment) BUREAU OF THE PUBLIC DEBT NOTIFICATION TO AGENCY 2. MAJOR SUBDIVISION In accordance with provisions of 44 Retail Securities Services U.S.C. 3303a the disposition request, including amendments, is approved 3. MINOR SUBDIVISION except for items that may be marked 5. TELEPHONE "disposition not approved" or withdrawn" in colunm 10. 4. NAME OF PERSON WITH WHOM TO CONFER (304) 480-8186 ARCHIVIST OF THE UNITED STA TES Robert Konz ', Robert.konz@bod.treas.aov l,.)� 6. AGENCY CERTIFICATION I hereby certify that I am authorized to act for this agency in matters pertaining to the disposition of its records and that the records proposed for disposal on the attached 12page( s) are not now needed for the business of this agency or will not be needed after the retention periods specified; and that written concurrence from the General Accounting Office, under the provisions of Title 8 of the GAO Manual for Guidance of Federal Agencies, � is not required; � is attached; or � has been requested. DATE SIGNATURE OF AGENCY REPRESENTATIVE TITLE Records Officer '�l.l4¥t 7/;1/1( Vicki Thorpe RP.viP.wP.d hv Offi.-P. nf thP. l:hiP.f l:nnm1P.I 7. 9.G RS OR 10. ACTION ITEM 8. DESCRIPTION OF ITEM AND PROPOSED DISPOSITION SUPERSEDED TAKEN(NARA NO. JOB CITATION USE ONLY) -·. S�e the Attached Sheets 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIO!JS EDJTION NOT USABLE Prescribed by NARA \.. 36 CFR 1228 CrJ/'OIJJc, �-ft> A�//lfW"1_�/�Mt,: lvW/nWAt V ·v (J /(J·tAJ ere/ /lJ � .
l .. , REQUEST FOR RECORDS DISPOSITION AUTHORITY 7. ITEM NO. 8. DESCRIPTION OF ITEM and PROPOSED DISPOSITTON Nl-53-06-1- tegory No Title and description 0001 0002 3100c 3101c 3101.01 3101.02 Securities Oper ations General Accountin2 Accounting for Undeliverable, Staledated, and Matured Payments and Securities -Various documents and reports used to receive, account for, and report undeliverable or staledated interest and redemption payments and undeliverable or matured marketable and savings securities. Includes, but is not limited to, reclassification of undeliverable funds to unclaimed monies, reconciliation of accounts, release of held funds, etc. Accounting Ledgers (Retail Securities) -Records of accounts for savings and marketable securities maintained prior to implementation of electronic masterfile s. Ledgers may be maintained in hardcopy, . on microform, or el ectronically. 0003 0004 0005 0006 3101.03 3101.04 3101.05 3101.06 Accounts Receivable and Debt Collection Records (Retail Securities) -Daily and monthly accounts receivable records and reports. May include, but is not limited to, daily and monthly ledgers, audit reports, error reports, reconciliation worksheets, trial balances, memos to charge the Government Losses in Shipment Fund, etc. Advices of Shipment (Retail Securities) -Transmittal documents received or sent with marketable securities and coupons, savings securities, savings stamps, transaction requests, etc. Documents may be used to verifv or audit shipment contents. Audit Records for Internal Control (Retail Securities) -Various records used to monitor, verify, compare, and validate savings and marketable securities processing. Reports are not used for general accounting purposes. Bond/ Note Control Blotter and Transfer Advice -Transmittal document for records relating to retirement of savings securities and savings stamps through redemption, reissue, cancelled sales, exchange, and retired authorities. Supports entries and adjustments to Treasury, Public Debt, and agent accounts. Hardcooies are 115-109 NSN 7540-00-634-4064 PREVIOUS EDITIO N NOT USABLE For the Bureau of the Public Debt Proposed Disposition Bis,esition Rede # 151 t Cutoff at end of fiscal year. Destroy 7 years after cutoff. Oispe&itie:& Ruic # 33 l 'f Cutoff when last entry added to ledgers. Delete when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes. Disposition Rule # 1506 Cutoff at end of fiscal year. Destroy 4 years after cutoff. Disp0&i-1ii.e:& ltinc # l l0j Cutoff at end of month. Destroy 3 years after cutoff. Disr,osition R1ttc # 3214 Cutoff at end of month. Destroy 6 months after cutoff. niSposlctun ft:uic # ll 1 e Cutoff at end of month. Destroy images 36 years and 3 months after cutoff. STANDARD FORM 115 (REV.3-91) Prescribed by NARA 36CFR1228 9. GRS OR SUPERSEDED JOB CITATION Nl-53-86-01, 034 Nl-53-86-01, 061 Nl-53-86-01, 076 Nl-53-86-01, 110 Nl-53-01-05, 0013 NCl-53-78-04, llA NCl-53-78-04, 12A NCl-53-78-04, 14 NCl-53-82-02, 026A NCl-53-82-02, 067A Nl-53-03-08, 0001 NCl-53-78-04, 09A NCl-53-78-04, 14 NCl-53-78-04, 25B July 10, 2006 "' 0. ACTION TAKEN (NARA USE ONLY)
• ,. I I I REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN , Nt-53-06-1- Category No I Title and Description I Disposition I JOB CITATION f (NARA USE ONLY) destroyed after verification of microfilm or electronic images. 0007 3101.07 Ca sh Remittance / Interest Assessment Documents -Variouscc Diip&liliti9R attic fp t,t2 NCl-53-78-04, 018 records used to monitor the timeliness of agent submissions of Cutoff at end of fiscal year. Destroy 10 NCl-53-78-04, 03H savings bond sales proceeds and those relating to the computation, years after cutoff. Nl-53-03-09, 0042 collection, and reconciliation of interest assessments. May include, Nl-53-03-09, 0044 but is not limited to, cash and securities details; detailed reports of interest assessments imposed and collected; delinquent assessment reports; etc. 0008 3101.08 Current Income Bond Interest Payment Documentation Jli8f)8Sitmn ft:nie # t f 86 Nl-53-02-12, 0003 Records pertaining to payment of interest on current income savings Cutoff at end of month. Destroy 4 years Nl-53-02-13, 0002 bonds. Includes, but is not limited to, returned payments listings; after cutoff. NCl-53-78-04, 03F schedules of payments received for overpayments; records of interest NCl-53-78-04, 03H held; adjustment documentation; annual interest rate certification NCl-53-78-04, lOA records; classification and supporting documentation; NCl-53-78-04, 10B errors/adjustments during payments; etc. NCl-53-78-04, 12C NCl-53-78-04, 13B NCl-53-78-04, 13C 0009 3101.09 Daily Balance Wires (Retail Securities) -Records relating to Qi8f)esi1iiett Ws # IS09 Nl-53-86-01, 100 financial wires listing the major receipts and expenditures affecting Cutoff at end of fiscal year. Destroy 6 Treasury's General Account which is reported to Financial years after cutoff. Management Service each day. 0010 3101.10 Ma rketable Securities Accounting and Transaction Records :Qispesiftett llttle �I t t 67 Nl-53-02-07, 0002 Various accounting and financial records relating to transactions in Cutoff at end of month. Destroy 7 years Nl-53-02-07, 0003 marketable securities and special investments. Reports include, but after cutoff. Nl-53-02-07, 0006 are not limited to, security transfer reports, transaction reports, tender Nl-53-03-03, 0058 transfer reports, daily security balance reports, accountability reports, Nl-53-03-04, 0001 batch control sheets, tenders, cancellation requests, cash and financial Nl-53-86-01, 00lC(ll 1) wire reports, etc. Does not include records held solely .for Nl-53-86-01, 030E contingency purposes. Records may pertain to transactions in Nl-53-87-02, 04 Legacy Treasury Direct, Treasury�irect, a prior system, or a Nl-53-87-02, 10 successor system Nl-53-87-02, 11 · NCl-53-82-02? 114 Nl-53-86-01, 027 Nl-53-86-01, 030C Nl-53-86-01, 030P Nl-53-86-01, 071 Nl-53-86-01, 072 Nl-53-86-01, 073 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIOUS EDITION NOT USABLE Pagec2
REQUEST FOR RECORDS DISPOSITION AUTHORITY 7. ITEM NO.ls. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nl-53-06-1- !category No I Title and Description 0011 3101.11 Marketable Securities Interest Coupon Files - Documentation of the payment, audit, and accounting for marketable securities interest coupons, including those converted to book entry (Coupons Under Book Entry System -- CUBES). Records may include, but are not limited to, daily files, proof sheets, mail sheets, and summary and detail audit listings. 0012 3101.12 Matured Marketable Securities Audit - TreasuryDirect and Legacy Treasury Direct documents and reports used to audit maturing notes, bonds, and bills. Audit validates balances to PARS. 0013 3101.13 Public Debt Accounting and Reporting System (PARS) Documentation (Retail Securities) - Records supporting entries to PARS for all securities transactions, including issues, redemptions, adjustments, reconciliations, exception reports, coupons, etc. For the Bureau of the Public Debt I Disposition 9isposition R:ulc # 116'7 Cutoff at end of month. Destroy 7 years after cutoff. Bispes� :Rulu # l��g Cutoff at end of fiscal year. Retain current and previous year onsite. Destroy 6 years after cutoff. Qispglilitiw:i Bule -JI. l l.Q:7 Cutoff at end of month. Destroy 7 years after cutoff. July 10, 2006 b. GRS OR SUPERSEDED I JOBCITATION lo. ACTION TAKEN [ (NARA USE ONLY) Nl-53-86-01, 074 Nl-53-86-01, 081 Nl-53-86-01, 082 Nl-53-86-01, 091B Nl-53-86-01, 093C Nl-53-86-01, 094 Nl-53-86-01, 107 Nl-53-86-01, 110A Nl-53-86-01, l lOB Nl-53-86-01, l lOC Nl-53-86-01, l lOD Nl-53-86-01, 111A Nl-53-86-01, 112 Nl-53-86-01, 166 NCl-53-82-02, 026F Nl-53-86-01, 00lC(l 11) Nl-53-96-04, 0048 Nl-53-00-06, 0003 Nl-53-00-06, 0004 Nl-53-00-06, 0005 Nl-53-00-06, 0006 Nl-53-00-06, 0008 Nl-53-00-06, 0010 Nl-53-00-06, 0012 Nl-53-00-06, 0014 Nl-53-86-01, 049 Nl-53-86-01, 171 Nl-53-00-06, 0004 Nl-53-00-06, 0007 Nl-53-01-01, 0008 Nl-53-01-01, 0009 Nl-53-01-01, 0010 Nl-53-01-01, 0011 Nl-53-01-05, 0010 Nl-53-01-05, 0011 Nl-53-02-07, 0007 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV .3-91) PREVIOUS EDITION NOT USABLE Page03
-- • 11 I REQUEST FOR RECORDS DISPOSITION AUTHORITY 7. ITEM N0.,8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nt-53-06-1- Category No I Title and Description I 0014 3101.14 Recap of Series BH/H Transactions - Monthly listings of lilI/H issues and redemptions by Bank and denomination. 0015 3101.15 Savings Bond Agent Fee Documentation - Records relating to the payment of fees to issuing agents that inscribe bonds and paying agents that redeem them. 0016 3101.16 - Savings Securities Accounting and Transaction Daily Work Folders - Various accounting and financial records relating to daily activity in accrual savings securities. Records are used to verify transaction totals, identify and reconcile discrepancies, and monitor worldlow. May include, but are not limited to, trial balances, discrepancy listings, transaction journals, general ledgers, contra balance reports, reissue reports, match reports, and worldlow reports. Does not include records held solely for contingency purposes. Records may pertain to transactions in BESI, SABRS, SaBRe, the HH/H System, the Early Series, or a successor system. 0017 3101.17 Savings Securities Accounting and Transaction Monthly Work Folders - Various detailed and summary accounting and financial records relating to savings securities transactions. Records may support the principal outstanding balances for savings securities and calculation of interest accruals. Records include, but are not limited to, transaction journals, trial balances, reconciliation documents, debit vouchers, deposit tickets, unissued stock claims, general ledgers, preliminary outstanding reports, and advices of adjustment Does not include records held solely for contingency purposes. Records may pertain to transactions in BESI, SABRS, SaBRe, the HH/H System, the Early Series, or a successor system. For the Bureau of the Public Debt Disposition Bisposilitm it:rde ,, I§ 12. Cutoff at end of fiscal year. Destroy 10 years after cutoff. DistJesiti91l. Rule # 15eZJ Cutoff at end of fiscal year. Destroy 3 years after cutoff. DtspostcionRttlc H-t-lffl Cutoff at end of month. Destroy 1 year· after cutoff. t,isposimm Rm" H- 1 t 01' Cutoff at end of month. Destroy 7 years after cutoff. July 1 0, 2006 b. GRS OR SUPERSEDED I JOB CITATION lo. ACTION TAKEN [ (NARA USE ONLY) Nl-53-02-07, 0008 Nl-53-02-07, 0009 Nl-53-02-07, 0010 Nl-53-02-16, 0002 Nl-53-86-01, 00IC(lll) Nl-53-86-01, 047 Nl-53-97-03, 0003.001 NCl-53-78-04, llA NCl-53-83-03, 053 NCl-53-78-04, 05A Nl-53-01-05, 0012 Nl-53-01-05, 0014 Nl-53-03-09, 32 NCl-53-78-04, l0B Nl-53-03-09, 21 Nl-53-01-01, 0003 Nl-53-01-01, 0005 Nl-53-01-01, 0006 Nl-53-01-01, 0007 Nl-53-01-01, 0012 Nl-53-01-05, 0015. Nl-53-02-16, 0001 Nl-53-02-16,0003 Nl-53-04-02, 0001 Nl-53-91-02, 0 IA Nl-53-96-04, 0084 Nl-53-96-04, 0085 NCl-53-78-04, 09C - 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIOUS EDITION NOT USABLE Page04
_;: .... .. Bil - I I• .... REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPE�EDED lo. ACTION TAKEN , Nl-53-06-1- Category No I Title and Description I Disposition I JOB CITATION [ (NARA USE ONLY) 0018 3101.18 Stamp Album Files -Albums containing savings stamps in 1lis�ul@ # :n t3 NCl-53-78-04, 15 denominations of$.10, $.25, $.50, $1.00, and $5.00 originally sold to Cutoff when audit is complete. Destroy accumulate the purchase price of a savings bond. Most are redeemed immediately after cutoff. for cash through post offices and Federal Reserve Banks and are forwarded for audit and subsequent destruction. 0019 3101.19 Suspense Account Documentation (Retail Securities) -Records of -Btspesi1:iBH. lffllc # 15H Nl-53-86-01, 035 payments received and deposited in a holding, or suspense, account Cutoff at end of fiscal year. Destroy 7 pending verification of appropriate disposition. May include, but is years after cutoff. not limited to, records of deposit, account reconciliation, transfers, and copies of PARS reporting documents. 0020 3101.20 Treasury Securities Adjustment Documentation -Records Btspesition*tdc # 1105 Nl-53-02-12, 0002 documenting adjustments initiated to correct accounting, masterfile, Cutoff at end of month. Destroy 3 years NCl-53-82-02, 067A and other discrepancies identified in processing. May include, but is after cutoff. not limited to, adjustment tickets, correspondence, cross match worksheets, discrepancy listings, classification support and control documents, erroneous redemption ledger reporting -input documents, daily security listing, coupon audit reconciliation, daily financial listings, etc. 3102 Administrative Files 0021 3102.01 Backup or Contingency Copies (Retail Securities) -Back.up copies BispmitfflB &ale I- 3i2 i Nl-53-02-12, 0001 maintained for potential use in the event of a processing disruption, Cutoff when created. Destroy when Nl-53-04-04, 0001 system failure, or other unintentional loss of original records. May superseded, when processing of original Nl-53-04-04, 0002 include, but is not limited to, copies of retired savings securities records is confirmed, or when no longer NCl-53-78-04, 22 submitted for credit; listings, reports, and transmittals used to create needed for administrative, legal, audit, or back.up interest payments; contingency copies of Legacy Treasury other operational purposes, whichever is Direct records; etc. later. 0022 3102.02 Consolidation of Savings Bond Processing Sites -Project Files - 1'tspusttionRu1e # ,:it6 Nl-53-01-04, 0004 Records relating to the consolidation of processing centers for Cutoff when project is complete. Review savings bonds. May include, but is not limited to, feasibility and 30 years after cutoff to determine cost/benefit analyses, site proposals, implementation plans, and whether administrative, legal, audit, or correspondence. operational need for retention exists; if not, files may be destroyed. 0023 3102.03 EZ Clear Monitoring Records -Reports received from the EZ Qisposititm Rmc # 1§0i! Nl-53-01-04, 0007 .Clear central site and supporting documents used to monitor, review, Cutoff at end of fiscal year. Destroy 1 and verify EZ Clear activity. year after cutoff. 0024 3102.04 Marketable Securities Interest Coupon Images -Images of Qisf,'1sitmrr lttd� #-t t t l Nl-53-00-06, 0009 marketable securities interest coupons with a par value of$1,000 or Cutoff at end of month. Destroy images NSN 7540-00-634-4064 STANDARD FORM 115 (REV .3-91) PREVIOUS EDITION NOT USABLE Pagec5 115-109
: n-,----====~========~-=-=-=-==-- .. ' REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0.18. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN Nl-53-06-1- Category No I Title and Description I Disposition I JOB CITATION [ (NARA USE ONLY) more. Original coupons are destroyed after verification of image 3 years after cutoff. quality. 0025 3102.06 Production of Department Circulars -Documents used to create 9-i&p0&�llul�2¥1 and publish subject-specific excerpts from the Code of Federal Cutoff when created. Destroy when Regulations. Excerpts are identified as Department Circulars, agency determines that they are no including, but not limited to, those identified as Public Debt Series, longer needed for administrative, legal, revisions, and amendments. audit, or other operational purposes. 0026 3102.07 Savings and Marketable Securities Correspondence and ..Qispesitieft-&»le-#-l-}84 Nl-53-03-03, 0033 Transmittals -Incoming and copies of outgoing memoranda, letters, Cutoff at end of month. Destroy 2 years telegrams and faxes communicating with fiscal agents, issuing and 6 months after cutoff. agents, paying agents, Treasury offices, and bondowners. Does not include customer service files. 0027 3102.08 Savings Bond Masterf"de Special Projects Documentation - QispositieR RBle # 3.rt� NCl-53-78-04, lOA Records of various special projects to correct errors on savings bond Cutoff when project is complete .. masterfile records including, but not limited to, substitute stub errors, Destroy 4 years after cutoff. misprinted savings bonds, counterfeits, sales reported as spoiled bonds, and duplicate sales. Project files are maintained separately and remain open until all corrections are made. 0028 3102.09 Securities Destruction Documentation -Records authorizing and �B.lttrleH-1168 NCl-53-78-04, 04A documenting the destruction of retired savings and marketable Cutoff at end of month. Destroy 10 NCl-53-82-02, 041 securities, coupons, savings stamps, microfilm records of retired years after cutoff. NCl-53-82-02, 047 securities, and other valuables. Includes, but is not limited to, memos NCl-53-82-02, 096 and letters authorizing destruction by FRBs and contractors; securities listings; receipts and other documents related to destruction of bonds alleged stolen; and certificates of destruction. 0029 3102.10 Statistical and Management Reports (Retail Securities) - 1'isp"sitie11 Rme # I� 12 NCl-53-78-04, 05A Statistical and management reports including, but not limited to, Cutoff at end of fiscal year. Destroy 10 Nl-53-02-07, 0004 securities transaction volume reports, comparative volume reports, years after cutoff. Nl-53-03-09, 24 and month-end reports. Does not inclu� records used for general accountin� nurooses. 0030 3102.11 Stock Inventory, Consignment, and Reconciliation (Retail Disposition Rulec# 1§94 NCl-53-78-04, 09B Securities) -Records pertaining to the audit and reconciliation of Cutoff at end of fiscal year. Destroy 3 vault inventory and savings bond issuing agent consignment years after cutoff. accounts. May include, but is not limited to, permanent receipts, sales volume reports, etc. 0031 3102.12 Stock Production Files (Retail Securities) -Records supporting 8isi,esitiett Rme H :31&8 Nl-53-05-05, 0001 -.... ordering and maintenance of savings bond stock supplies including, Cutoff when definitive savings bonds but not limited to, copies of Government Printing Office contracts have reached their final maturity. 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV .3-91) PREVIOUS EDITION NOT USABLE Pagec6
. . ' . . . REQUEST FOR RECORDS DISPOSfflON AUTHORITY For the Bureau ofthe Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. L. GRS OR SUPERSEDED lo. ACTION TAKEN Nt-53-06-1- , Category No I Title and Description I Disposition I JOB CITATION [ (NARA USE ONLY) 0032 3102.13 0033 3103 3103.01 0034 3103.02 0035 3103.03 0036 3103.04 0037 3103.05 with printing vendors; stock orders; documentation of design changes; information about security features; stock production contingencyplans;ccontractcclaims;cetc. Stock Vault Inventory (Retail Securities) -Records used to monitor savings bond stock levels in the centralized vault. Files may include, but are not limited to, vault inventory reports, general stock on hand reports, usage statistics, etc. Investor Payment and Tax System (INP AX) and Le2acy Treasury Direct Electronic Services (TDES} Investor Payment and Tax System (INP AX) Customer/ Bispesff:i9R Rule # 30H Securities Masterfde -The system's primary masterfile contains customer and securities data relating to bearer and registered marketable securities, Armed Forces Leave Bonds, and Adjusted Service Bonds. Investor Payment and Tax System (INP AX) Payment Database - The payment database contains information relating to redemptions of bearer and registered marketable securities, Armed Forces Leave Bonds, and Adjusted Service Bonds. Investor Payment and Tax System (INP AX) Payment Files -Files of payment information, including customer information, payment amounts, etc., generated by the system to accomplish payment for bearer and registered marketable securities, Armed Forces Leave Bonds, and Adjusted Service Bonds and supporting documentation. Electronic payment file is transmitted to an FRB via bulk data transfer. Legacy Treasury Direct Electronic Services (TDES) Transaction Database -Masterfile of transaction requests submitted by Legacy Treasury Direct account holders via phone or internet. May include, but is not limited to, requests to purchase or reinvest Treasury _securities, receive account balances, order account or dup}icate tax statements, change address and/or phone numbers, or pay account maintenance fees by ACH debit from checking or savings accounts. Legacy Treasury Direct Electronic Services (TDES) Transaction Requests -Daily file of requests received from Legacy Treasury Direct account holders via phone or internet. May include,-but is not limited to, requests to purchase or reinvest Treasury securities, receive account balances, order account or duplicate tax statements, change address and/or phone numbers, or pay account maintenance fees by ACH debit checking or savings accounts. Requests are NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE Destroy 20 years after cutoff. 9ispesff:i9R iule # I� Cutoff at end of fiscal year. Destroy 1 year after cutoff. Cutoff when system is superseded or all securities referenced in database have been retired. Destroy after cutoff. Bispes$e& &Ille # 3 tt6 Cutoff at end of payment cycle. Retain 2 years online. Destroy 7 years after cutoff. DH;pesi&en R.ttlc # 3 t 16 Cutoff at end of payment cycle. Retain 2 years online. Destroy 7 years after cutoff. BisJrosition R:tdc # 1511 Cutoff at end of fiscal year. Destroy 7 years after cutoff. Dispg&i1;wR Rulo # 1099- Cutoff at end of day. Destroy 45 days after cutoff. STANDARD FORM 115 (REV .3-91) Pagec7 . \.. Nl -53-05-05, 0002 Nl -53-01-08, 0001A Nl -53-01-08, 0001B Nl -53-01-08, 0003 Nl -53-01-08, 0005A Nl -53-02-02, 0001 Nl -53-02-02, 0005 ...... 115-109
I I I• ■ -~ - I I REQUEST FOR RECORDS DISPOSfflON AUTHORITY 7. ITEM NO.ls. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nl-53-06-1- !category No I Title and Description recorded in the system's database, and the daily file is transferred to Legacy Treasury Direct for processing. 310 4 Legacy Treasury Direct Fees 0038 310 4.0 1 Legacy Treasury Direct Fee System (TDFeeS) Initial Dataset - Files received from Legacy Treasury Direct central site used to populate the Legacy Treasury Direct Fee System Masterfile for the upcoming fee cycle. May contain, but are not limited to, investor names, account numbers, taxpayer identification numbers, account balances, account types, check numbers, voucher numbers, fee amounts, dates received, dates processed, and information about fees prepaid from investors' accounts. 0039 310 4.02 Legacy Treasury Direct Fee System (TDFeeS) Payment Reports - Daily Reports - TDFeeS produces reports daily, monthly, and at the end of the fee cycle that are used to update the Legacy Treasury Direct masterfile at the central site. The reports are generated electronically and contain information about fee payments received, fees outstanding, and accounts on which holds should be placed for nonpayment Data may include, but is not limited to, investor names, account numbers, taxpayer identification numbers, account balances, etc. 0040 31 04.03 Legacy Treasury Direct Fee System (TDFeeS) Payment Reports - Monthly and End of Cycle Reports - TDFeeS produces reports daily, monthly, and at the end of the fee cycle that are used to update the Legacy Treasury Direct masterfile at the central site. The reports are generated electronically and contain information about fee payments received, fees outstanding, and accounts on which holds should be placed for nonpayment. Data may include, but is not limited to, investor names, account numbers, taxpayer identification numbers, account balances, etc. 0041 31 04.04 Legacy Treasury Direct Fees Documentation - Records relating to the assessment and payment of fees by Legacy Treasury Direct account holders. 31 05 Savine:s Bond Redemption Values 0042 31 05.01 Savings Bond Redemption Values - Computation - Documents used and created to calculate and verify redemption values for savings securities. May include, but is not limited to, tape dump s, drafts of redemotion value and interest tables, and memoranda. 0043 31 05.02 Savine:s Bond Redemption Values - Master Copies - Originating 11 5 -109 NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE For the Bureau of the Public Debt July 10, 2006 L. GRS OR SUPERSEDED lo. ACTI ON TAKEN I Disposition I JOB CITATION J (NARA USE ONLY) Qispesitmn Rede # 3i i l Nl -53-02-0 1, 0003 Cutoff after verification that data was entered into TDFeeS. Destroy 7 years after cutoff. Qispesi-aen &ale # i 88t' Cutoff at end of day. Destroy 45 days after cutoff. Disposithm lttde # 329:1 Nl- 53- 02-0 1, 0005 Cutoff at end of month and cycle. Nl -53-02-0 1, 0006 Destroy 3 years after cutoff. Nl- 53-02-0 1, 0007 :Qoispositton R.iite # 311 , Cutoff at end of fee cycle. Destroy 7 years after cutoff. Nl- 53-86-0 1, 00 lC (l 11 ) Nl -53-03-03, 0053 1'isposititm ltul" i# I�� Cutoff at end of update cycle. Destroy 3 years after cutoff. Nl -53-02- 13, 0001 .. _ .. - . ----T"lo" �--- TT .;Jkk,IJ, Nl -53-01 -04, 0001 STANDARD FORM 11 5 (REV .3-91) Pageo8
"' -' . -' --�· �.. REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt 7. ITEM N0.,8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. L. GRS OR SUPERSEDED Nl-53-06-1-Category No I Title and Description I Disposition I JOB CITATION office records of redemption values for savings bonds and notes, Cutoff at end of update cycle. Destroy Nl -53-01-04, 0002 including Individual Retirement and Retirement Plan Bonds. May when agency determines they are no Nl -53-01-04, 0003 include, but is not limited to, hardcopy tables of redemption values, longer needed for business, public information tables, and files of electronic bond pricinf.? data. administrative, audit, or legal nurooses. 3106 Tax Reportin2 0044 3106.01 Internal Revenue Information System (IRIS ) Database -Data Biop9sUMilR R.ttle 11 1468 Nl -53-02-08, 0001 extracted from Legacy Treasury Direct and REGII is imported Cutoff at end of calendar year. Destroy electronically and used to report interest paid to foreign investors. 10 years after cutoff. Interest payment data --used to generate interest statements on IRS Form 1042-S or its equivalent for customers and an electronic tax file for the IRS --is maintained in the system's database. 0045 3106.02 Tax Reporting (Retail Securities) -Records pertaining to interest Yispesitimt R.ttlc # 140'7 Nl -53-01-01, 0013 and principal on savings and marketable securities reported to the Cutoff at end of calendar year. Destroy 7 Nl -53-01-08, 0007A Internal Revenue Service and to customers. May include, but is not years after cutoff. Nl -53-02-07, 0001 limited ·to, records pertaining to tax withheld, backup withholding, Nl -53-02-08, 0004 broker reporting, and foreign taxes . .,Records may include payee Nl -53-02-08, 0005 names, interest amounts, amounts withheld, etc. Nl -53-03-03, 0055 3107 Systems 0046 3107.01 Batching and Encoding System for Issues (BESI) Database - Dispasjl;iga lhHB # l§iU Nl -53-96-04, 0155 Information entered in the system database is used to effect issue of Cutoff at end of fiscal year. Retain accrual savings securities as approved by customer service online for 1 year. Destroy 7 years after representatives. Includes, but is not limited to, bondowner names, cutoff. addresses, and taxoayer identification numbers. 0047 3107.02 Checks -Masterfde -Database of checks received in Public Debt. Disp9sititlaiHle # i� Data includes, but is not limited to, check amounts, drawers' names, Cutoff at end of fiscal year. Destroy 2 casefile names, etc. Data is used to establish accountability but is not years after cutoff. used for general accounting purposes. 0048 3107.03 Control and Tracking System (C TS) -Masterfile -Database Bi�sitiw:i Buis # I� supports monitoring of work volumes, workflow, distribution, and Cutoff at end of fiscal year. Destroy 2 turnaround times in the microfilm search operation. Data may years after cutoff. include, but is not limited to, inquiry numbers, casefile names, piece counts, work categories, etc. -· ".J V.I..J 0049 3107.04 Early Sys.tern Masterfde - A database of Series F, G, and I bonds created from numerical register records to facilitate electronic Cu�ff when system is superseded or all searching. securities referenced in database have been retired. Destroy after cutoff. 0050 3107.05 HH/H System Masterfile -The IIlI/H System masterfile consists of Disposition Rulec# 3013 several data tables and is the ui..:UJa.J. v database of current income Cutoff when system is superseded or all 115-109 NSN 7540-00-634-4064 STANDARD FOR M 115 (REV.3-91) PREVIOUS EDITION NOT USABLE Page9 July 10, 2006 lo. ACTION TAKEN [ (NARA USE ONLY) >l" - .. \ - -... I
• ■ I I I ' REQUEST FOR RECORDS DISPOSITION AUTHORITY 7. ITEM N0.,8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nl-53-06-1- Category No I Title and Description savings bond issue and retirement information. 0051 3107.06 Legacy Treasury Direct Fee System (TDFeeS) Masterfile -The system's masterfile contains information used to assess and collect the annual maintenance fee for each Legacy Treasury Direct account that exceeds a specified par value. Data includes, but is not limited to, account numbers, remittance numbers, taxpayer identification numbers, payment amounts, etc. 0052 3107.07 Mail Cost Mast erflle -Database is used to collect statistics pertaining to outgoing mail dispatched using contracted services, including, but not limited to FedEx, FedEx Ground, UPS, etc. 0053 3107.08 Management Reporting System (MRS ) -Masterfile -Database collects and summarizes data from employee daily activity logs that is used to monitor organizational performance. 0054 3107.09 Savings Bonds Redemption System (SABRS) Database - Information entered in the system database is used to effect redemption of accrual savings securities as approved by customer service representatives and for reporting accrued interest for tax purposes. Includes, but is not limited to, payee names, taxpayer identification numbers, accrued interest, and payment amounts. 0055 3107.10 Spe�imen Securities Masterfile -Database of unissued securities held as specimens for legal and informational purposes. Includes, but is not limited to, securities descriptions, serial numbers, loan titles, records of release and return, etc. 0056 3107.11 Undeliverable and Staledated Cheeks Masterfile (DTR 87 Card File Program) -Database supports tracking and accounting functions associated with undeliverable and staledated checks issued upon redemption or in payment of interest on savings bonds, notes, and stamps. Data may include, but is not limited to, customer casefile name and state; account and case identification numbers; check date; check inscription; check status (staledated, undeliverable, or returned); check number, originating system, and accounting information. 0057 3107.12 Unissued Stock System -Masterfile -Database supports tracking and accounting functions for claims for loss, theft, mutilation, or destruction of unissued savings bond stock held by issuing agents. 115-109 NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE For the Bureau of the Public Debt July 10, 2006 b. GRS OR SUPERSEDED - lo. ACTION TAKEN I Disposition I JOB CITATION r (NARA USE ONLY) securities referenced in database have been retired. Destroy after cutoff. DiSf)BSitiiQR lil WG # 311 8 Nl-53-02-01, 0001 Cutoff at end of fee cycle. Destroy when no longer needed for business, administrative or legal purposes. QiSl'esitien Rttle # i�6, Cutoff at end of fiscal year. Destroy 6 years after cutoff. DispesitieB RBI@# 1912 Cutoff at end of fiscal year. Destroy 10 years after cutoff. ;Qisf,esitimi lfflt" # t :5!2- Nl-53-96-04, 0089 Cutoff at end of fiscal year. Retain 18 months online. Destroy 7 years after cutoff. Yis,esitien Rme # :i:i t!f. Cutoff when system is superseded or when the agency determines masterfile is no longer needed for administrative, legal, audit or other operational purposes. Destroy after cutoff. \Diiaposition ltUte # .3.3 t4 Nl-53-02-03, 0001 Cutoff when system is superseded or I when the agency determines masterfile is no longer needed for administrative, le gal, audit or other operational purposes. Destroy after cutoff. BisposittonItttre # 3314 Nl-53-02-06, 0001 .._. Cutoff when system is superseded or when the agency determines masterfile is STANDARD FOR M 115 (REV .3-91) Page 10
-- -- ■ REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8: DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN Nl-53-06-1- , Category No I Title and Description I Disposition I JOB CITATION [ (NARA USE ONLY) Data may include, but is not limited to, the name and address of no longer needed for administrative, agents that have submitted unissued stock claims and the amount of legal, audit or other operational purposes. credit extended. Destroy after cutoff. 3108 Primary Records 0058 3108.01 Savings Bond Replacement System (SaBRe) Masterfile -The Qiepesitierr Rate # ,oot Nl-53-03-09, 0001A SaBRe masterfile consists of several data tables, including but not Cutoff when system is superseded or all _,.,.. limited to the Bond Identification (BOID) table --the primary securities referenced in database have . database of accrual savings bond issue and retirement information. been retired. Destroy after cutoff. 0059 3108.02 Securities Issue Records -Records of issue of savings and l)iepesition ft:ate # ='='!6 Nl-53-86-01, 127 marketable securities received from agents or generated internally, Cutoff when all definitive securities have Nl-53-86-01, 128 with associated batch cards, camera operator reports, etc. Issue been retired. Destroy when the agency Nl-53-86-01, 134B records may be received in hardcopy or electronically and may be determines that they are no longer Nl-53-86-01, 137 maintained in hardcopy, on microform, or electronically. Hardcopy needed for administrative, legal, audit, or Nl-53-86-01, 139 issue records are microfilmed or imaged and are destroyed after 5 other operational purposes. Nl-53-86-01, 144 days or when film or image has been verified. Nl-53-86-01, 145 Nl-53-86-01, 147 Nl-53-86-01, 148 Nl-53-86-01, 149 Nl-53-86-01, 153 Nl-53-86-01, 157 NCl-53-78-04, 0lA 0060 3108.03 Securities Ledgers -Records of issue and/or retirement of savings llililp'1iiti,;m lhlls # :Bi'=/ Nl-53-86-01, 152 and marketable securities maintained prior to implementation of Cutoff when last entry added to ledgers. Nl-53-86-01, 167 electronic masterfiles. Ledgers may be maintained in hardcopy, on Delete when the agency determines that Nl-53-96-04, 0043 microform, or electronically. they are no longer needed for NCl-53-78-04, 24 administrative, legal, audit, or other Nl-53-86-01, 150 operational purposes. Nl-53-86-01, 151 Nl-53-86-01, 154 Nl-53-86-01, 155 0061 3108.04 Securities Retirement Records -Records of retirement of savings Bispos� ..... Rut" # ,,�6 Nl-53-86-01, 156E and marketable securities received from agents or generated Cutoff when all definitive securities have Nl-53-01-05, 0016 internally, with associated batch cards, camera operator reports, etc. been retired. Destroy when the agency Nl-53-03-09, 0005 Retirement records may be received in hardcopy or electronically and determines that they are no longer Nl-53-86-01, 134C may be maintained in hardcopy, on microform, or electronically. needed for administrative, legal, audit, or Nl-53-86-01, 139 Hardcopy retirement records are microfilmed or imaged and are other operational purposes. Nl-53-86-01, 144 destroyed after 5 days or when film or image has been verified. Nl-53-86-01, 145 Nl-53-86-01, 147 Nl-53-86-01, 148 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIOUS EDffiON NOT USABLE Page 11
n-,-----====~=-=-=-=-=-=-=-=-~=-=-=-=-=--- ■ • I I -- REQUEST FOR RECORDS DISPOSfflON AUTHORITY 7. ITEM N0.,8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nt-53-06-1- Categmy No I Title and Description 0062 31 08.05 Securities Transaction Requests - Requests for transactions in savings and marketable securities processed by Public Debt or fiscal agents. May include, but is not limited to, claims, requests for reissue, redemption, exchange, and reinvestment. Hardcopy transaction records are microfilmed or imaged and are destroyed after 5 days or when film or image has been verified. 3200 Investor Services - 3201 Customer Service Files / Documents - 0063 3201.01 Immediate Disposition Customer Service Documents - These items include returned (undeliverable) statements and notices on which no action is taken. 0064 3201.02 Temporary Investor Locator Files - These documents include letters, e-mails, telephone call messages, screen prints, and reports. These are records of unsuccessful attempts to contact owners of matured unredeemed securities or owners with undeliverable securities or payments. Also included are any responses received in the attempt to contact the owner. The information contained in these documents includes, but is not limited to, customer names, addresses, social security numbers, telephone numbers, bond serial numbers, and pavment amounts. 0065 3201.03 One-Year Customer Service Files - One-year customer service files include, but are not limited to, customer letters, changes of address, copies of incoming e-mail messages, enclosures, copies of forms submitted to request transactions that are subsequently rejected, envelopes, notes from telephone conversations, copies of letters, copies of e-mails sent to customers, copies of case file documents, screen prints of account information from automated systems, mutilated savings securities, and documents related to mailings by the Internal Revenue Service to aid in locating customers. 0066 3201.04 Ten-Year Customer Service Files - These are case files containing documentation for conductin� transactions related to Treasury 11 5-109 NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE For the Bureau of the Public Debt I Disposition Bispesitmn Rme # 9928 Cutoff when all definitive securities have been retired. Destroy when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes. Disp91i1�8tt Rme # 9 t:N Cutoff when received Destroy when no longer needed for business, administrative, legal, or :financial purposes. Dj51pgijtiga ;aw.lae# I 182 Cutoff at end of month Destroy 3 months after cutoff. - 9ispesimm Rme # t t6' Cutoff at end of month. Destroy 1 yeai: after cutoff. DistJesitieR ;aule # I 198' Cutoff at end of month. Destroy 10 STANDARD FORM 115 (REV.3-91) Page 12 July 10, 2006 b. GRS OR SUPERSEDED lo. ACTIONeTAKEN f JOB CITATION f (NARA USE ONLY) Nl -53-86-01, 149 :N"l-53-86-01, 153 Nl- 53-86-01, 157 Nl- 53-86-01, 164 Nl- 53-86-01, 16 5 Nl -53-03-09, 0007 Nl -53-03-11 , 0001A Nl -53-03-11 , 0001B Nl -53-97-03, 0002.003 NCl -53-78-04, 09D Nl -53-03-11 , 0002 Nl -53-03-08, 0004 NCl-53-78-04, 03C NCl -53-78-04, 13D NC1�53-78-04, 17 Nl -53-96-04, 0087 ..... Nl -53-03-08, 0005 Nl -53-04-06, 0001
REQUEST FOR RECORDS DISPOSITION AUIBORITY For the Bureau ofthe Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN Nl-53-06-1- , Category No I Title and Description I Disposition I JOB CITATION [ (NARA USE ONLY) securities and of communications with the owners of Treasury years after cutoff. Nl-53-87-02, 01 securities and their representatives. These transactions include, but Nl-53-91-02, 0lD are not limited to, new account requests, original issue loan files, security transfers, reissues, reinvestments, exchanges, and redemptions including federal estate tax redemptions. Redemptions, include, but are not limited to, redemptions to owners or their representatives or estates, settled with or without administration, regardless of dollar amount This item also contains certain types of claims for lost, stolen, missing, or destroyed securities, including marketable securities claims in which the securities were recovered by the owner and no relief was granted; marketable securities claims in which relief was granted, the securities were retired without credit, and any possibility of double payment by Treasury is eliminated; marketable securities claims in which the securities are closed in the numerical registers and no relief was granted; and savings bonds claims approved after January 1996 that do not involve reissue transactions. Related documents contained in case files include, but are not limited to, envelopes, Public Debt and Internal Revenue Service forms, associated correspondence, system screen prints and advices, and supporting documentation, including legal evidence, such as marriage and death certificates. Files of names and siJ01atures of authorizing officials are contained in this category. 0067 3201.05 Long-Term Customer Service Files -Long-term customer service Bispusidoii It.ate # 33 t 8 Nl-53-03-08, 0006 files include, but are not limited to: Cutoff at end of month. Destroy when Nl-53-91-02, 01 C 1) Savings bonds files related to: no longer needed for business, NCl-53-82-02, 111 • Bonds of indemnity, PDcF 2958, PDcF 2958-1, and PDcF 1031 administrative, or legal purposes. NCl-53-78-04, 0lB that have been executed, returned, and approved prior to January 1996; • Bonds of indemnity approved after January 1996 involving a reissue transaction; • Bonds alleged to have been pledged as collateral or to be in the possession of a known person, including scalper cases; • Funds being held for a missing heir until such funds have been disbursed, at which point the retention period must be changed to ten years; • Relief granted for undeliverable savings stamps until the funds --- deposited to the subsidiary account for undeliverable miscellaneous proceeds have been disbursed. The retention 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV .3-91) PREVIOUS EDITION NOT USABLE Page 13
REQUEST FOR RECORDS DISPOSfflON AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED · lo. ACTION TAKEN Nl-53-06-1- , Category No I Title and Description I Disposition [ JOB CITATION [ (NARA USE ONLY) period must then be changed to ten years; • Approved recommendation to discontinue investigation of the payment of original bonds. When the original bonds for which ..relief was granted are recovered and retired, the retention period . must be changed to ten years; and • Forfeitures. 2) �arketable Securities files related to: • Claims case files for which relief was granted and the possibility of double payment of the security exists. When the original securities for which relief was granted are recovered and retired, the retention period must be changed to ten years; and • Cases involving undeliverable payments in which the payments are not released. When the payments are released, the retention period must be changed to 10 years. 0068 3201.06 Securities Payment Tickets - Payment tickets document the Dis1u1sitie& l@tlci!;! t,t, NCl-53-82-02, 026C payment of marketable, savings, or agency securities or coupons. Cutoff at end of fiscal year. Destroy20 NCl-53-82-02, 026D The tickets may contain name and address of the payee, taxpayer years after cutoff. identifying number, a description of the securities being paid, and a payment voucher number. If the proceeds from the securities or coupons are deposited into an account ( e.g., undeliverable), the name or number of the account is included on the payment ticket. 0069 3201.07 Federal Estate Tax (FET) Reinstatement$ - A Federal Estate Tax QiSf'OSif:ien Rttle # t t t! NCl-53-82-02, 1041 (FET) reinstatement occurs when securities that. were redeemed in Cutoff at end of month. Destroy 47 years payment of FET are subsequently reinstated and returned to the estate after cutoff. of the owner. The files must be kept to supplement the numerical ledgers in order to ensure that a complete history of each security is maintained. 0070 3201.08 Tracking System Request and Customer History Data Tables Dis,esitim1 Bnle # l906 Nl-53-03-07, 0001B The electronic tracking system tracks customer files, both those Cutoff at end of day. Destroy 18 months created and maintained solely as electronic customer files and those after cutoff. in which physical (paper) customer case files are created and maintained. A customer file is created when a request is received from a customer. The tracking system contains information taken from the customer request, the location of the ,physical file (if any), the person to whom the case is assigned, and actions taken, when ..... completed. The current system used to maintain this data is the BATS (Bureau Automated Tracking System) application. 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIOUS EDITION NOT USABLE Page 14
-.. REQUEST FOR RECORDS DISPOSITION AUTHORITY 7. ITEM NO.ls. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. Nl-53-06-1- lcategory No I Title and Description 0071 3201.09 Matured Unredeemed Bonds System (MUD BONDS) Data Files - This system tracks calls made to owners of matured but unredeemed bonds. The calls verify that customers are aware that their bonds are no longer earning interest and to inform them of their options. This is a small application with one continuous data table. Completed calls are dated and marked for deletion. They will automatically be removed from the data table at the set retention period based on comoletion dates. 3202 Customer Service Support Files & Reports 0072 3202.01 Audit Copies of Advices -These files contain unbroken copies of system advices. These advices are used to maintain an audit trail of system activity that may support the documents that are kept in the case files. The advices show securities account information and general broadcast messages. 0073 3202.02 Payment Due Notices -Payment due notices are sent to investors informing them that additional payments are due on their Treasury security accounts. Payment due notices are generated when securities are sold at a premium or accrued interest is due. Information contained on payment due notices includes, but is not limited to, account number, investor name and address, security title, par amount, and the amount due. 0074 3202.03 Employee Production, Job Assignments, and Work Progress Reports -These are documents used to track and document activities such as work in progress, job asshmments, and emoloyee production. 0075 3202.04 Legacy Treasury Direct Rejected Reinvestments Reports -These documents include, but are not limited to, reports of unsuccessful reinvestment attempts both by customers who used Legacy Treasury Direct Electronic Services and by customers who mailed in Reinvest Direct Notices. Rejected partial reinvestment reports are also included. Data on the reports may include, but is not limited to, the account number, the loan term, number of reinvestments, amount of the attempted reinvestment, and an error message. 0076 3202.05 Customer Service Short Term System-Generated Reports -These are system-generated reports that are used to process work and support customer transactions and may provide short-term audit trails. They include, but are not limited to, Legacy Treasury Direct Miscellaneous Report and Report Unverified File Delete Listings. 0077 3202.06 Customer Service Long Term System-Generated Reports -These 115-109 NSN 7540-00-634-4064 PREVIOUS EDITION NOT USABLE For the Bureau of the Public Debt Disposition Qispesitmn Rafe # 336' Cutoff when complete, closed, settled, expired, or final action is complete. Destroy 3 years after cutoff. Disp9S�8ft R-me # 1904 Cutoff at end of day. Destroy 6 months after cutoff. Di11p9S�8ft R'U'.re # t t" Cutoff at end of month. Destroy 13 months after cutoff. Siliipglil�ett Rm!c,, t tt,:, Cutoff at end of month. Destroy 1 year after cutoff. DililpHil!ien: I m:1 1 I t02 Cutoff at end of month. Destroy 3 months after cutoff. lili11pesitie1t Rttle # I i'85 Cutoff at end of month. Destroy 1 year after cutoff. Disposition Rule # 1107 STANDARD FOR M 115 (REV .3-91) Page 15 b. ORS OR SUPERSEDED [ JOB CITATION Nl-53-01-05, 0006 Nl -53-01-05, 0007 Nl-53-01-05, 0008 Nl-53-03-08, 0002 Nl-53-03-08, 0003 NCl-53-78-04, 02 NCl-53-78-04, 03E NCl-53-78-04, 06 Nl-53-00-04, 0002 Nl -53-01-05, 0005 Nl -53-87-02, 06 Nl-53-87-02, 05 July 10, 2006 lo. ACTION TAKEN [ (NARA USE ONLY) .. .. .
..,_ .. • ■ I r : . . ' ' ,< I .. - I I I I Bfb J2-V • : II:_- REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN , Nl-53-06-1- Category No I Title and Description I Disposition [ JOB CITATION [ (NARA USE ONLY) are system-generated reports that need to be kept for a longer period Cutoff at end of month Nl-53-87-02, 07 of time to provide long-term audit trails and to support and research Destroy 7 years after cutoff. customer transactions. They include, but are not limited to, Payment . ;,. & Check Reports, Maintenance Reports, Suspense Reports, and History Reports. 3400 Investor Education 3401 Market Surveys, Product Studies, and Consumer Research •• 0078 3401.01 Market Surveys, Product Studies, and Consumer Research Final Qisf,esition ltttle # 3� t � Nl-53-05-01, 0001B Reports -These are studies, surveys, questionnaires and research PERMANENT. notes collected about the market, product or consumers of the Cutoff when created. Transfer to NARA services and products of Public Debt This information is used to 8 years after cut off. develop plans on how to market and inform investors about U.S. Treasury securities. Methods of collecting information include mall intercepts, phone intercepts, focus groups, mailed-in questionnaires, and others as approved by 0MB. The end products of these studies are reports that generally will alter business practices. 0079 3401.02 Market Surveys, Product Studies, and Consumer Research 1'isf3sstti&1t Uule # 3312 Nl-53-05-01, 0001A Working Papers -These are studies, surveys, questionnaires and Temporary. research notes collected about the market, product or consumers of Cutoff when created. Destroy 10 years the services and products of Public Debt This information is used to after cutoff. develop plans on how to market and inform investors about U.S. Treasury securities. Methods of collecting information include mall intercepts, phone intercepts, focus groups, mailed-in questionnaires, and others as approved by 0MB. The end products of these studies are reports that generally will alter business practices. '3402 Promoti9nal Materials 0080 3402.01 Printed Promotional Materials -Prhttc:ipromotional material is S�ee i-1:i:ett Rule # lS F7 Nl-53-02-10, 0012 used to promote the s-a .Q?, Program for each fiscal year. Permanent These items include, bu �'ffi: limited to, posters, pamphlets, Cutoff at end of fiscal year. Transfer to handouts, flyers, and forms. m l 3 ]ea Promotional N� l year/ after cut off. Representatives distribute these items to companies and individuals . during campaigns to provide consumers with updated information on � Sa i g ft 1 d what marketing materials were used to do so for each fiscal year. 0081 3402.02 Videos Promotional Materials - A variety of videos and films Bispositiun R:tdc # 15 t'f Nl-53-03-06, 01 promoting Savings Bonds including new stories, company. produced Permanent Cutoff at end of fiscal year. Nl-53-03-06, 02 videos, infomercials, historical (50th anniversary), celebrity and Transfer to NARA �ears after cutoff. Nl-53-03-06, 03 government official PSA's and misc. Videos pertaining to the 512M Nl-53-03-06, 04 115-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV.3-91) PREVIOUS EDITION NOT USABLE Page 16
' I I I I' l J 1 - 1 1 _J REQUEST FOR RECORDS DISPOSITION AUTHORITY For the Bureau of the Public Debt July 10, 2006 7. ITEM N0. 8. DESCRIPTIQN OF ITEM and PROPOSED DISPOSITION. b. GRS OR SUPERSEDED lo. ACTION TAKEN . Nl-53-06-1- , Category No I Title and Description I Disposition [ JOB CITATION [ (NARA USE ONLY) Savings Bonds Program. Nl-53-03-06, 05 Previous document titles included in this item: Nl-53-00-05, 0001 - Original Film, Film Transfers & Video Copy/Dub Historical Nl-53-00-05, 0002 ... Savings Bonds FilmNideo Nl-53-00-05, 0003 - Original Film, Film Transfers & Video Copy/Dub-Savings Bonds Campaign Films - Video Master and Video Copies/Dubs-Historical Savings Bonds Videos - Video Master and Video Copies/Dubs-Savings Bonds Campaign Films - Video Master and Video Copies/Research/Focus Groups 11 5-109 NSN 7540-00-634-4064 STANDARD FORM 115 (REV .3-91) PREVIOUS EDITION NOT USABLE Page 17