Vol 1 - Part 4- Chapter 6500 MAGNETIC TAPE CHECK ISSUE AND REPORTING LEVEL 8 Section 6510 - SCOPE AND APPLICABILITY This chapter prescribes the procedures and forms used by Federal agencies (agencies) and Disbursing Offices (DOs) that report check issues by Level 8 (item-by-item) magnetic tape format. All agencies and DOs may now use Level 8 magnetic tape reporting format regardless of monthly volume and instead of using Optical Character Recognition (OCR) machine readable format. Prior approval from the Financial Management Service (FMS) is required before converting to Level 8 magnetic tape reporting format. Section 6515 - AUTHORITY Title 31 U.S.C. 3511 and 3513 prescribe authority to the Comptroller General and the Secretary of the Treasury to establish financial reporting and accounting systems requirements to meet the needs of the President, Congress, and the public on the financial operations of the U.S. Government. Section 6520 - ISSUE REPORTING FOR LEVEL 8 The Level 8 check issue reporting will use more efficient processes and procedures to: - Ensure that issue and payment data are accurate and timely. - Improve accountability and effectiveness of the reconciliation process. - Ensure that the new system is flexible for future changes (such as limited check payability). - Provide pertinent and timely management information. The system also reconciles check issue and payment data on an item-by-item basis, and is accepted directly into the Check Payment and Reconciliation (CP&R) system. Current Level 2 magnetic tape reporting will be phased out through September 30, 1988. Larger Agencies and DOs with computer capabilities exercising administrative control over multiple symbols are requested to furnish FMS with consolidated check issue tapes (multiple symbols and issues consolidated on the same tape) for the small activities that are unable to use Level 8 tape reporting because they lack computer facilities. Section 6530 - CONVERSION TESTING PROCESSES FOR LEVEL 8 6530.10 - General. This section prescribes the requirements for converting to Level 8. - Agencies and DOs submit a test tape. - FMS will officially inform the DOs by letter that the test tape is acceptable. - DO advises FMS of the check serial number for starting Level 8, for example, 00,892,600, and starting date. The starting date need not be at the beginning of a month. Conversion lead time is negotiable with user arrangement with FMS. 6530.20 - FMS Approvals. Agencies and DOs may not start disbursing under Level 8 until testing has been completed and approval is obtained in writing from the Nontape Conversion Project Manager, Systems Requirements Division. 6530.30 - Tape Requirements. Magnetic tapes used in Level 8 must meet the following criteria: - The magnetic tape used must be unlabeled (that is, no internal magnetic tape labels or markings). - The magnetic tape must be a 9-track EDCDIC tape prepared with 6250 bpi density. If 6250 cannot be produced, 1600 bpi is acceptable. (No 800 bpi will be accepted.) - The blocksize is 15,600 bytes (240 records per block). If 15,600 block-size cannot be produced, 7,800 bytes (120 records per block) may be used or 3,900 bytes (60 records per block) or 1,950 bytes or 1950 (30 records) may be used. 6530.35 - Transmittal Preparation Structure. Magnetic tapes will be transmitted to FMS supported by a properly completed TFS Form 0 3510: Magnetic Tape Control Record. 6530.35a - Multiple symbol numbers may be reported on one tape; however, the TFS Form 3510 will be uniquely identified by DO symbol number, check symbol number, and the first check serial number contained in the transmittal. Only one DO symbol and one check symbol number will be on each transmittal, and checks must be in consecutive ascending order within each transmittal. A new transmittal must be created for each break in the symbol and check number symbol. 6530.35b - Transmittals must conform to the same basic structure shown in Appendix No. 1. Standard issue record layouts 0 for header records, issue records, and trailer records are shown in Appendices Nos. 2, 3, and 4, respectively. 6530.35c - Submission of reels. A single transmittal may be split between two or more reels, but may not exceed 10 reels. The entire submission, which may consist of one or more transmittals and/or one or more reels, should be treated as one data set in the job control language (JCL). Each submission must end with two tape marks following the last block of data on the last tape reel. If two or more tape reels are submitted, a single mark must follow, the last block on all preceding tape reels (Appendix No. 1). Other use of tape marks is unacceptable and will cause rejection. If the last block is not full (short block is not full), a short block should be written with the end-of-file tape marks immediately following the last data record. If this cannot be done using available hardware or system software, 6 5-byte dummy records must be written to fill the block to a point where the end-of -file tape marks, immediately following the last 65-byte record, can be entered. These dummy records must contain the character "Z" in all 65 positions. 6530.40 -The criteria for submitting a test tape will be as follows: - A test tape should include a submission of at least two transmittals with 25 sequential check issues each. - A test tape submission must also include a number of void checks (no issue) reported as zero amount issues within the sequential submission. - A test tape submission must include a properly formatted header record, detail records with check serial numbers in consecutive ascending order (note: the check serial number of the first detail record must agree with the header record), and a trailer record. The item count and dollar amount computed from the detail-issue records must be equal to the totals on the trailer record. - A test submission must include a properly completed TFS Form 3510: Magnetic Tape Control Record, for Level 8 Check Issue data (Appendix No. 5). - Information must accompany the test tape showing (1) automated data processing and accounting contracts and their respective addresses and FTS and/or area code with commercial telephone numbers, (2) DO symbol, (3) reel number, (4) beginning and ending check number for each submission of test data, (5) total amount of check issues per submission of test data, and (6) notification that the magnetic tape is a test tape. - Test tapes and their supporting paperwork will be sent to: CP&R Branch - LVL 8 Test Tape Applications Software Division Financial Management Service Prince Georges Center II Room 9OOB 3700 East-West Highway Hyattsville, MD 20782-2092 - If a central office of a Federal agency or a location creates a program for magnetic tape reporting of check issues on one type of computer hardware and the using DO installs the program on a different manufacturer's hardware, the DO must submit a magnetic tape to FMS for further testing and approval. Also, if the using DO changes or modifies the software, a magnetic tape must be sent for testing and approval from FMS. Section 6540 - TAPE REPORTING REQUIREMENTS FOR LEVEL 8 6540.10 -All DOs must forward their magnetic tape reels of check issuances (level 8) and supporting paperwork to FMS no later than the close of business of the week in which the issue dates occur and at monthend. either cardboard boxes or padded shipping bags are suitable as a mailing container for magnetic tapes. The address is: Tape Library - Room 306A - (LVL-8) Computer Services Division Financial Management Service Prince Georges Center II 3700 East-West Highway Hyattsville, MD 20782-2092 - Each reel of magnetic tape must be identified by having the following information externally affixed to the reel and not to thecase: Treasury Check Issues - Level 8 User Reel No. (Up to 6 Characters) First Transmittal No.* XXXX-YYYY-ZZZZZZZZ Block Size 15,600 (or 7,800) BPI 6250 (or 1600) Track 9 Reel Sequence No. **_of_ - Each reel of magnetic tape must have an address for returning processed tapes. The name of a contact person and the submitting organizations FTS and/or area code with commercial telephone number should also be provided. The information should be externally affixed to the reel and not to the case. - Each reel of magnetic tape must also have a separate unique "LVL8" label. * Must agree with first header record on the check issue tape and first line of TFS Form 3510: Magnetic Tape Control Record. ** For multireel submissions, for example, 1 of 2. 6540.20 - The label must be large enough to accommodate all the required information. - The check issues reported on magnetic tape must be in consecutive, ascending order within each submission. - If used, the batch numbers may be assigned at the DO symbol level. Batch numbers will begin with 000 each accounting month and must be in consecutive, ascending order. (This data is on the header record position 29-31J - Batch numbers are not required and are used at the option of the DO. If not used, this field on the header record (Appendix No. 2) should be left blank. There will be no reporting or tracking by the FMS based on DO assigned batch numbers. - If multiple transmittals are on a single tape, the individual transmittal trailer records will contain the count and amount totals for only one transmittal. There is no cumulative total between transmittals. - Check serial numbers and DO symbol numbers must be valid in FMS's data base. - The transmittal must balance internally; the item count and total dollar amount computed from the detail-issue records must be equal to the totals on the transmittal-trailer re- cords. - A single transmittal may not exceed 9,999,999 check issues or $99,999,999,999.99 total dollar value. - Voided checks (no issue) must be reported in sequence as zero amount issues. (See Appendix No. 3, Standard Issue Record Layout, for Notes on Voids.) - DOs submitting Level 8 magnetic tapes are authorized to destroy void checks preferably by using shredding equipment at each DO location. Residue from destroyed checks must be bagged and released to an authorized private contractor for recycling or to a trash collector. DOs should not send voided checks to FMS. - The supporting paperwork, TFS Form 3510: Magnetic Tape Control Record, must be signed and must accompany all Level 8 magnetic tapes (Appendix No. 5). - A self-addressed, stamped envelope or postcard with the DO's complete official address must be included with all magnetic tape submissions. The envelope or postcard should contain sufficient information to identify the item received, that is, DO symbol number, reel number, and transmittal number. The envelopes or postcards will be dated, signed, and returned to DOs as positive confirmation of receipt by FMS. Section 6550 - DISBURSING OFFICE RESPONSIBILITY FOR MAGNETIC TAPES - DOs must quality assure all Level 8 check-issue tapes submitted to FMS for processing. - When a DO is notified of a rejected tape or rejected transmittal within a tape, the DO must submit a corrected tape or transmittal within 10 workdays of the notification date. - When a magnetic tape or transmittal has been rejected, the DO will continue to submit subsequent tapes and transmittals. - DOs are encouraged to maintain an open suspense file or control log for tapes submitted to FMS. When FMS processes the magnetic tapes, they must be returned as successfully processed (between 5 to 10 days). Rejected tapes must be returned to the DOs within 2 days of being logged in by CSD. - DOs must be able to recreate tape issue data for a period up to 180 calendar days following submission or replacement of a magnetic tape. Section 6595 - INQUIRIES Inquiries concerning Level 8 production tapes should be directed to the Production Support Section, Input Control Unit, or telephone 301-436-6640. Any other questions concerning this chapter should be directed to the Systems Requirements Division, Information Systems, Financial Management Service, Department of the Treasury, 3700 East-West Highway, Hyattsville, MD 20782, ATTN: Nontape Conversion Project Manager (Telephone 301-436-7098). APPENDICES LISTING FORMS AND LIST'S PRESCRIBED FOR LEVEL 8 MAGNETIC TAPES App No. Form Title 1 Sample Tape/Transmittal Structure 2 Standard Issue Transmittal Header Record 3 Standard Issue Record 4 Standard Issue Transmittal Trailer Record 5 TFS 3510 Magnetic Tape Control Record Explanation APPENDIX NO. 1 Sample Tape/Transmittal Structure Tape Reel Transmittal Data Records 1 1 Transmit Header Standard Issue Records - - - - Transmittal Trailer - - Transmittal 1 Totals 1 N Transmittal Header Standard Issue Records - - - Tape Mark 2 N Standard Issue Records - - - - Transmittal Trailer - -Transmittal N totals - 2 Z Transmittal Header Standard Issue Records - - - Transmittal Trailer -Transmittal Z totals Tape Mark Tape Mark APPENDIX NO. 2 Standard Issue Transmittal Header Record Data Element Length Format 1. Record ID 1 X(l) 2. Transmittal Type 2 X(2) 3. Transmittal Creation Date 5 9(5) 4. DO Symbol 4 9(4) 5. Check Symbol 4 9(4) 6. First Serial Number 8 9(8) 7. Accounting Month & Year 4 9(4) 8. Batch Number 3 x(3) - Optional 9. Filler 34 X(34) --- 65 1) Identifies header record. Constant value =H. 2) Identifies transmittal reporting method. Constant value =IR. 3) Julian date (YYDDD format). 4) Zero-fill left. If DO symbol = check symbol, repeat the symbol. 5) Zero-fill left. If DO symbol = check symbol, repeat the symbol. 6) Zero-fill left. Serial number of the first issue item in the transmittal. 7) MMYY format, where YY is the last two digits of year. This is the accounting month under which the check issues in the transmittal will be reported on the SF 1219: Statement of Accountability. 8) Ascending sequential number beginning with Batch 001 for the first transmittal in each accounting month. Field should be blank when not used. 9) Spaces. APPENDIX NO. 3 Standard Issue Record Data Element Length Format 1. Check Serial Number 8 9(8) 2. Issue amount 11 9(9)v99 3. Issue Date 5 9(5) 4. *Payee II) Number 16 X(16) - OPTIONAL 5. Agency Location Code* 8 9(8) 6. Account Symbol 16 X(16) 7. Payment Type 1 X(l) ___ 65 * Data Element 5, Agency Location Code is required only for those agencies (VA, SSA, SSI, and RRB) that are participating in administrative cancellation. If not used, zero fill. 1. Check serial number (check symbol) zero-fill left. 2 Zero-fill left (no decimal points or commas). 3. Julian format (YYDDD). This is the date on the check. 4. Payee ID number should be blank when not used. 5. Agency location code (ALC) is defined as the 3-, 4-, or 8-digit accounting station symbol designation. For non-Treasury disbursing stations, it is also the Do symbol (4 digits). ALC must be a valid, authorized symbol. Zero-fill left. 6. Account symbol is defined as the appropriation account assigned by Treasury that has been charged with this check issue payment. The account symbol should be blank when not used. Left justify account symbols less than 16 characters. 7. Payment type indicates to the agency the category of the issues, for example, Payroll Payments, Benefit Payments, Vendor Payments, Grant Payments, and Miscellaneous Payments. It should be blank when not used. Note: Voided issues are reported as follows: - Check serial number, issue amount, and issue date are required. - Issue amount is zero. - Issue date is the date the check is voided. - Payee ID number, account symbol, and payment type should be blank. - Agency location code should be zero-filled. APPENDIX NO. 4 Standard Issue Transmittal Trailer Record Data Element Length Format 1. Record ID 1 X(l) 2. Transmittal Amount 13 9(1l)v99 3. Transmittal Item Count 7 9(7) 4. Filler 44 X(44) ___ 65 1) Identifies trailer record. Constant value = T. 2) Zero-fill left 3) Zero-fill left 4) Spaces. [GRAPHIC] TFS Form 3510 APPENDIX NO. 5 Explanation (a) From header record, field 4, DO symbol, record position 9-12. (b) From header record, field 5 , check symbol, record position 13-16. (c) From header record, field 6, first serial number, record position 17-24. (d) From trailer record, field 3, trailer item count, record position 15-21. (e) From trailer record, field 2, transmittal amount, record position 2-14. (f) From header record, field 7, accounting month and year, record position 25-28.