Vol 1 - Part 4 - Chapter 5000 (T/L 545) REQUISITIONING, PREPARING, AND ISSUING TREASURY CHECKS This chapter prescribes the procedures disbursing officers use to requisition, prepare and issue four-digit symbol checks drawn on the Department of the Treasury (Treasury). Topics include submitting disbursing officers' signature specimens, ordering and controlling blank check stock, and check inscription. The procedures apply to all disbursing offices except where otherwise indicated. Section 5010 - General See the Contacts page for addresses for submitting forms, documents, or inquiries described in this chapter to Treasury, the Financial Management Service (FMS), or the Government Printing Office (GPO). Section 5015 - Submission of Disbursing Officers' Signature Specimens and Designation of Assistants Officials who are empowered to designate disbursing officers must only designate the minimum number of disbursing officers necessary to perform disbursing functions efficiently. Agencies are responsible for maintaining records of disbursing officer designations and revocations of authority, including designated disbursing officers' (and assistants') signature specimens. 5015.10 - Manual Signature Specimens A newly designated disbursing officer must forward manual signature specimens to the agency official responsible for maintaining disbursing officer signature specimen files before issuing checks. Manual signatures on checks must show a reasonably uniform agreement with the specimen signatures on file. If the disbursing officer elects to change his signature or if a change in signature occurs as a natural development, a new specimen signature should be submitted. 5015.20 - Requests for Authority to Use Facsimile Signatures and Submission of Specimens A disbursing officer may request authority to use a facsimile signature, if necessary. Such a request is regarded as including an assurance, whether stated or not, that essential security safeguards against unauthorized use of the facsimile signature are provided. The disbursing officer must process notice of approval before the facsimile plates are used to sign checks. The facsimile signature plates must be numbered in sequence in the lower left corner beginning with the number "1," unless another system of identification is approved. Any such alternate system must ensure control of the plates. When a facsimile plate is withdrawn from service and is not to be used again, it is delivered to authorized officials for destruction in accordance with procedures established by the agency involved. When the plate has been destroyed, a properly executed certificate identifying the specific plate and date of destruction is furnished to the disbursing officer and the agency official responsible for maintaining specimen signature files. 5015.30 - Designation of Assistant Disbursing Officers and Submission of Signature Specimens A disbursing officer may designate an assistant disbursing officer to sign checks drawn on Treasury in the name of the disbursing officer. The disbursing officer forwards the original designation form and specimens of the assistant disbursing officer's manual signature to the agency official responsible for maintaining specimen signature files. 5015.40 - Termination or Cancellation of Designation Disbursing officers must promptly notify the agency official who designates disbursing officers of the effective date of designation terminations or cancellations of disbursing officers under their jurisdiction. Section 5020 - Specifications and Characteristics of Treasury Checks 5020.10 - General Physical Characteristics Blank Treasury checks measure 3 1/4" wide and 7 3/8" long (after bursting and separation of check assemblies) and are printed on 28 lb. paper. The paper used for Treasury checks has a distinct watermark pattern (consisting of both "shaded" and "wire") manufactured in the paper. This pattern is continuous with "U.S. TREASURY" repeated randomly. The watermark design "right reads" from both front and back of the check. The color of the check is multihued, ranging from light blue to pale peach, featuring the Statue of Liberty boldly engraved on the left side of the check and faintly reproduced in the middle of the check. 5020.20 - Blank Check Assemblies Blank checks may be ordered in any of the following assemblies according to the need of the disbursing office: o "Assembly A" Single check style. o "Assembly B" Single check and two prenumbered tissue copies assembled in snap-out style interleaved with one-time carbons and a 1/2" binding stub on the right end of the check. o "Assembly C" Single check with one pre-numbered tissue copy assembled in snap-out style interleaved with a one-time carbon and a 1/2" binding stub on the right end of the check. o "Assembly D" Continuous form single checks, 8 1/2" wide (including a 9/16" perforated margin on each side for pinfeed or overplaten feed devices). o "Assembly E" Continuous form checks with right stub (4000 checks and 4000 stubs per carton), 15 7/8" wide (including a check-sized stub on the right side and a 9/16" perforated margin on each side for pinfeed or overplaten feed devices). The stub may be preprinted with the check serial number and other information desired by disbursing offices. o "Assembly ER" Continuous form checks with right stub (40,000 checks and 40,000 stubs on a roll), 15 7/8" wide (including a 9/16" margin on each side for pinfeed or overplaten feed devices). Checks do not have any preprinted symbol or serial numbers. A consecutive Inventory Control Number (ICN) is printed at the top of the check. o "Assembly F" Continuous form of two checks in tandem in fanfold (8000 checks per carton), 15 7/8" wide (including a 9/16" perforated margin on each side for pinfeed or overplaten feed devices). Checks with preprinted symbol and serial numbers are numbered with even numbers on the left and odd on the right. o "Assembly G" Continuous form checks with a check-sized stub on top, 8 1/2" wide, including a 9/16" perforated margin on each side for pinfeed or overplaten feed devices. The stub may be preprinted with the check serial number and other information desired by disbursing offices. o "Assembly H" Continuous form of two checks in tandem (80,000 checks on a roll), 15 7/8" wide (including a 9/16" margin on each side for pinfeed or overplaten feed devices). Checks do not have any preprinted symbol or serial numbers. A consecutive Inventory Control Number (ICN) is printed at the top of the check. Checks with preprinted symbols and serial numbers are numbered with even numbers on the left and odd on the right. Checks ordered without prenumbered symbols and serial numbers have a consecutive inventory control number printed at the top. o "Assembly I" Continuous form checks with stub, 15 7/8" wide (including a check sized stub on the left side and a 9/16" perforated margin on each side for pinfeed or overplaten feed devices). The stub may be preprinted with the check serial number and other information desired by disbursing offices. 5020.30 - Check Symbol Numbers Except for certain control checks (Section 5020.50) and checks prepared on printing equipment with post-print verification capability, checks are preprinted with the four-digit checking account symbol assigned to the station from which the checks are issued. FMS's Check Reconciliation Branch, (see Contacts page) controls and assigns checking account symbol numbers. The symbol number will be in the upper right corner of the check, just before the preprinted serial number. These two numbers, separated by a dash or a space, constitute the check number. The symbol number and related check digit will be preprinted in ink in MICR positions 53 through 49. 5020.40 - Check Serial Numbers Except for certain control checks (Section 5020.50) and checks prepared on printing equipment with post-print verification capability, checks are preprinted with a serial number in the upper right corner immediately following the check symbol number. Such numbers must not be duplicated within the same checking account symbol. Serial numbers for each account symbol begin with 00,001,000 and continue through 99,999,999. The serial number and related check digits will be preprinted in MICR positions 31 through 23. Certain control checks (Section 5020.50) and checks prepared on printing equipment with post-print verification capability will not have a preprinted four-digit checking account symbol number or eight-digit serial number on the check. Systems used to print these checks must be able to properly print the symbol and serial numbers and certify that they are correct. When all serial numbers of a symbol have been used, FMS will assign a new checking account symbol for the next supply of checks, if necessary. Accordingly, as serial numbers of checks issued approach 99,999,999, the disbursing officer should notify FMS's Check Reconciliation Branch (see Contacts page), so a new checking account symbol can be assigned before the next supply of blank checks is ordered. When ordering the new check supply, the disbursing officer should allow additional time for the proof to be changed (in addition to the time normally required to print and deliver the checks) (Sections 5025.30 and 5025.40). 5020.50 - Control Checks Control checks are checks without the total preprinting contained on regular preprinted checks. Control checks are used to replace original checks that were spoiled in-house during the disbursing process. Control checks are not serially numbered. Instead, they have an eight-digit consecutive control number (for example, 00,034,263) printed in non-magnetic reflective black ink within the MICR band. The control number will be printed in OCR-B, size I type font. The control numbers will be positioned between 3-1/4 inches from the left edge of the check and 3 inches from the right edge of the check. The top of the numbers must be 9/16" and the bottom of the numbers must be 7/16" from the bottom edge of the check. Control checks are MICR encoded with only the Transit Number of 000000518 in positions 42 through 34. The Transit Number symbol (stroke 10) must be printed in MICR positions 43 and 33. The dateline (issuing office location) may or may not be preprinted on the check at the option of the ordering office. Control checks may be purchased as single individual checks or continuous form single checks. 5020.60 - Emergency Check Stock Disbursing sites with high volume printing equipment using check stock without preprinted Check Symbol/Serial Numbers and MICR encoding must have check printing equipment that can print the Check Symbol/Serial Numbers and related MICR encoding on the blank check stock. Under emergency situations only, these offices may use their print systems to produce prenumbered and MICR encoded check stock for use by other offices within that agency. An example of an emergency situation is when office "A" has a fire and its entire supply of Symbol 1234 check stock is destroyed. That disbursing site can create a limited supply of emergency Symbol 1234 checks for office "A" to last until regular stock is available through normal channels. The emergency check stock created bears Symbol Number 1234 and Check Serial Numbers in the 90-99 million range, in accordance with arrangements with the Check Reconciliation Branch (see Contacts page). Another example where emergency check stock systems may be used is during unexpected military deployment. Emergency military checks will bear the appropriate Check Symbol and Serial Numbers in the 90-99 million range, in accordance with agreements with the Check Reconciliation Branch. Agencies must submit to the Check Reconciliation Branch (see Contacts page) manual signatures of designated officials authorized to disburse emergency check stock to disbursing activities. The Check Reconciliation Branch must be notified of the check symbol and serial number ranges involved prior to the creation and use of emergency checks. The emergency check stock system is not to be used to avoid ordering checks through normal channels. Any emergency check stock must be created under the following conditions: (1) produced on a print system that has a post/print verification feature to ensure the integrity of the printed and MICR encoded symbol Serial Numbers and (2) that internal control procedures are in place to prevent issuing duplicate payments bearing the same Check Symbol/Serial Numbers. 5020.70 - Transit Number Symbol Blank Treasury checks bear Transit Number Symbols preprinted in magnetic ink within the 1/2" band provided at the bottom of the document. This number, 0000-0051, plus the check digit 8, is in MICR positions 42 through 34 and is used by the banking system in routing and processing items for payment. Disbursing offices should verify the accuracy of these Transit Numbers and other preprinted and MICR encoded information before using or issuing checks. Section 5025 - Requisitioning Treasury Checks 5025.10 - Contract Information The Government Printing Office (GPO) awards a five-year contract for printing blank checks and exercises overall control over their procurement. Administrative control is exercised by the Printing Procurement Branch of Treasury. After each contract is awarded, the Printing Procurement Branch (see Contacts page) issues a notice to all disbursing organizations specifying the unit cost of blank checks by type of assembly and changes to related costs such as new or altered proofs. Prices are subject to annual changes based on the Bureau of Labor Statistics (BLS) "Consumer Price Index - Commodities Less Food" (CPI) (excluding paper and reimbursable postage or transportation costs). Prices are also subject to change due to changes in paper cost. This change is based on the Bureau of Labor Statistics (BLS) "Table 6 - Producer Price Indexes and Percent Changes for Commodity Grouping and Individual Items" in Producer Price Indexes Report - BLS code 0913-01 for "Paper less Newsprint". Fluctuating paper prices may cause monthly paper price changes. Current contract information inquiries should be addressed to the Printing Procurement Branch (see Contacts page). 5025.20 - Designation of Officials Authorized to Sign Check Requisitions Before any check purchase orders are submitted, the ordering agency must have designated one primary and one alternate official as having authority to sign check purchase orders. Designations for this purpose are accomplished by completion and submission of a FMS Form 5-89, Signature File - U.S. Treasury Check Orders to the Financial Management Service, Check Reconciliation Branch. These forms may be obtained by contacting the Check Reconciliation Branch (see Contacts page). The FMS Form 5-89 is used to verify the signature on check purchase orders to ensure that only authorized officials requisition checks. 5025.30 - Purchase Order Form GPO Form 2431: Print Order - Department of the Treasury Paper Check and Proofs (Appendix 1), will be used by disbursing offices to order checks, proofs, and revisions to proofs. (Exception - FMS's Production Integrity Division will solicit and consolidate the requirements of FMS Regional Financial Centers on an annual basis and prepare GPO Forms 2431 as appropriate.) Current contract prices for check assemblies and new or altered printing plates apply to orders approved by FMS and received by the contractor up to midnight of the last day of the contract period. All such orders are to be delivered within 30 work days after the contract expires. Disbursing offices must be guided by these conditions, making sure not to request that deliveries be made more than 30 work days after the termination of the contract under which an order is placed. When an order is submitted near the end of a contract period and the disbursing office is placing an order under that contract, it should allow FMS a minimum of 3 working days to process the order and deliver it to the contractor before the period expires. Orders may be submitted requesting deliveries over a period of time. Final delivery must be made, however, within 30 days after the contract expires. When specifying delivery dates, disbursing offices should allow 2 months for printing time (including approval of the order by Treasury and GPO). An additional 2 weeks should be allowed when a change in the check form (proof) is requested. 5025.40 - Check Specimens and Check Proofs An order for checks that involves making a new master printing plate, or altering an existing plate, will be accompanied by a specimen showing the exact position of all printing desired on the check; this would include the initial order for checks of any disbursing symbol. A blank check marked "Void - Not Negotiable, No Check Issued Under this Number" should be used if available; otherwise, a piece of paper or card of check size (3 1/4" X 7 3/8") may be used. Any specimen so furnished will be retained by the Financial Management Service. If a blank Treasury check is used, the disbursing office will account for the item by including the serial number in the listing of void checks it forwards to Treasury at the end of the month. A notation will be made on the listing that the check was used as a specimen. On initial orders for checks which call for a change in the check design, the Printing Procurement Branch will forward to the disbursing office or the administrative office two photoprint proofs of the design as furnished by the contractor. The proofs should be reviewed and one copy should be approved by an authorized individual and returned promptly to the Printing Procurement Branch. The approved proof will be the authority for the contractor to proceed with the manufacture of the printing plate and the subsequent printing of the checks, as ordered. Treasury's Printing Procurement Branch must have in their possession an "OK to Print" proof prior to placement of first Print Order Form 2431 for printing. 5025.50 - Quantities of Checks Disbursing offices should order a supply of checks to last a year, unless there is a good reason to request a supply for a longer or shorter period. Any such reason should be explained on GPO form 2431 under "Remarks." The minimum amount of any assembly should be 1,000 checks. Larger quantities should be in even multiples of the quantities shown on GPO Form 2431. 5025.60 - Check Numbers The initial order for serially numbered checks must specify that the numbers begin with 00,001,000. Depending on the quantity of checks ordered, the serial numbers must end in 00,000,999, as appropriate. Subse- quent orders must specify serial numbers that follow exactly in sequence as those on preceding orders. The initial order for control numbered checks will specify the beginning number as 00,000,001 and the ending number as the quantity of checks ordered; for example, 00,002,000 for 2,000 checks. Subsequent orders for control checks must specify control numbers that follow exactly in sequence those on preceding orders. 5025.70 - Shipping Checks will be shipped by registered mail to the delivery destinations designated on GPO Form 2431, except when large quantities are ordered requiring palletizing and shipment by truck. The contractor will forward advice of shipment notice to the consignee after the order has been shipped. Appendix 2 shows weights of checks by units in which the different assemblies are packaged and should serve as a guide in determining delivery cost. a. Postal Service Shipments Prepaid by the Contractor If shipment via registered mail, the contractor will ship checks by registered first class mail and prepay the postage charges. These charges will be included in the contractor's invoice. b. Shipments by Other Means The Government Printing Office determines the most economical and secure method of shipment. A Government Bill of Lading is used for billing purposes. 5025.80 - Cancellation of Orders A minimum charge of $10.00 will be made by the Government Printing Office when an order is canceled before any check production operations are initiated. If, however, production operations have begun, the Printing Procurement Branch, U.S. Department of the Treasury, will advise the disbursing office of the cost charged. The GPO Form 2431 requesting the order will then be canceled, properly notated as to amount charged, and used as the basis for the contractor's invoice to the disbursing office or its administrative office. Also, when a print order has been canceled, the disbursing office or its administrative office must notify the Check Reconciliation Branch (see Contacts page). Section 5030 - Safekeeping and Control of Blank Check Stock 5030.10 - Safekeeping Disbursing officers are responsible for strictly protecting blank checks against loss or theft. Procedures should include such security measures as the following: The level of security required for Blank Check Stock (BCS) storage and construction of a secure storage room or installation of a GSA-approved security container will be addressed in the context of the following: o Level of risk to which it is exposed. o Other security provided by the facility within which it is located. o Meeting minimum requirements set forth for the protection of BCS. BCS may be stored in either an appropriately protected GSA-approved security container or in a secure room (see Appendix 3). BCS storage should provide a high standard of security against theft and prevent damage to checks from moisture, light, and heat. The container must be protected by volumetric or capacitance intrusion detection devices whose alarms result in appropriate, timely responses. Volumetric devices detect the presence of a body or moving object within a specific area via the use of infrared, microwave, or sonar measurement devices. Capacitance devices detect intruders via the use of measurement devices that detect electrical properties of the human body. Typically, both volumetric and capacitance detection devices are used together to reduce the likelihood of false alarms. Used in concert, these two types of devices are capable of detecting relatively harmless intruders, such as mice, while simultaneously indicating that the electrical measurements of the intruders do not indicate human bodies; therefore, no alarm will be initiated. Each type of detection device has its strengths and weaknesses, which must be considered in designing a system that makes effective use of both types of technology. NOTE 1 - All intrusion detection devices must be connected to a manned, 24-hour monitoring station and utilize supervised or secure lines. The monitoring station must be supported by an appropriate, timely response capability. NOTE 2 - If volumetric devices are used, dual technology volumetric intrusion devices are preferred due to them minimizing the potential for false alarms. Access to BCS storage should be restricted to officially authorized persons only. Entry and exit to storage will be logged and logs will be maintained for a minimum of one year. Automated access control into and out of the secure area is recommended in lieu of manually maintained logs, but is not mandatory. Prohibitions should be established against smoking, eating or other activities in the area of storage that could damage blank check stock. Access controls such as lock combinations or personal identification numbers will immediately be changed when the possibility of compromise exists. Circumstances that warrant combination changes include-- o The transfer, retirement, termination, or resignation of a person having the combination or access code. o Installation of new secure storage areas. o Repairs being made to the locking mechanism. o Upon notification that any records containing combinations or access control codes or devices have been lost, stolen, or compromised. o One year has elapsed since the combination or access control codes were changed. Access control cards and similar devices must be immediately deactivated any time the individual to whom it is issued no longer requires access or when the individual retires, resigns, or is terminated. Intrusion detection devices must be installed in the secure room and coupled with an appropriate and timely response capability (for instance, Federal Protective Service, contract security, police, or other designated personnel). Automated assessment capability is acceptable; however, response capability must exist. Secure storage containers or areas for BCS storage should be inspected and locked by officially designated persons. Persons so designated should inspect the secure container or storage area prior to locking and should certify the result of the inspection and the security of storage in a written log. The disbursing officer or an authorized representative should conduct unannounced inventories of blank checks at irregular intervals. Unannounced inventories should be conducted at least every 60 days. Irregularities should be investigated immediately and any loss or theft should be reported, as prescribed in Section 5030.20. 5030.20 - Loss or Theft Immediately upon discovery of a loss or theft of blank checks, the disbursing office will notify the nearest office of the U.S. Secret Service (or other appropriate agency) and FMS's Security Branch (see Contacts page). The notice should be made by telephone, or the most expeditious means otherwise available and include both of the following: 1. The checking account symbol and serial numbers of the checks (or control numbers of control checks) involved. 2. A statement giving complete information concerning the circumstances of the loss or theft. If the loss involves a range of consecutive serially numbered checks, only the beginning and ending serial numbers of the range are needed. Checks that are discovered to be missing, lost or stolen prior to issuance (including any items missing from blank check shipments received from the contractor), should be treated as voids in accordance with I TFM 4-6045.30 and reported on magnetic tape or hard copy to FMS's Check Claims Branch (see Contacts page). 5030.30 - Quality Control Inspections and Reporting Irregularities Immediately prior to using blank checks, a sample group should be examined to ensure the checks are satisfactory and bear correct preprinted information. The checks should have a proper background tint and printing that is clear, complete, and of uniform density with no smears or blotches. Preprinted checking account symbols and serial numbers, MICR encoding, and other information should be verified and have no discrepancies. If discrepancies between preprinted and prepunched symbols and serial numbers, or other defects are discovered, the manufacturer should be notified through the Treasury Printing Procurement Branch, for adjustment (providing the number of items involved is large enough to warrant such action). The irregular checks should be voided and processed as prescribed in I TFM 4-6045. Apparent gaps or "skips" within the serial number ranges should be treated as possible losses of the items bearing the missing serial numbers and must be handled as prescribed in Section 5030.20. 5030.40 - Disposition of Unused Blank Check Stock When a new disbursing officer takes over the four-digit symbol checking accounts of his or her predecessor, the unused blank check stock will also be taken over by the new disbursing officer. Checks preprinted as to symbol number must not be altered nor issued over a different account symbol. Disbursing offices have been given authority to destroy unused checks locally and report the destroyed checks as void checks (I TFM 4-6045). Destruction must be accomplished by shredding or incineration. Shredded fragments must not be larger than 1" in width and 1/4" in length, and FMS strongly recommends the use of a cross-cut shredder. A Certificate of Destruction, signed by the disbursing officer and three witnesses to the actual destruction, must be completed each time checks are destroyed. The Certificate of Destruction must show the method and date of destruction, quantity of checks destroyed, applicable check symbol number, and serial numbers of checks destroyed (beginning and ending numbers for each range of consecutively numbered checks). The Certificate of Destruction should be retained as part of the disbursing officer's blank check inventory control records. Section 5035 - Drawing and Inscribing Treasury Checks 5035.10 - Protection of Checks in Process of Preparation Disbursing officers should maintain efficient controls for checks in the process of preparation. These controls should be designed to protect against loss or theft and provide for prompt disclosure of check loss or theft. See Section 5030.20 for procedures to be followed in the event of loss or theft. 5035.15 - Post Print Verification of Checks without Preprinted Symbol and Serial Numbers Troy check printing systems using checks without preprinted symbol and serial numbers must have a post print verification unit that reads and verifies certain critical data elements after the OCR-B and MICR data has been printed. The data elements read are the OCR-B check symbol, serial number, the dollar amount, and the entire MICR line. The system must internally calculate the check digits for the check symbol and serial number on the MICR line and verify correctness. It must compare the MICR data with the OCR-B data and both OCR-B and MICR with the data from the input tape. If any character fails to verify correctly, the check or checks must be rejected, marked "void-not negotiable," and re-printed correctly at a later time. 5035.20 - Mechanical Equipment for Drawing Checks a. General - Machinery should be selected according to its ability to draw checks according to procedures and standards in this chapter. Disbursing offices should not enter requisitions for checks with radical changes in standard forms just to compromise with the peculiarities of a certain machine. The manufacturer's ability to service the machinery is a factor to be considered in selecting any equipment. Disbursing offices should maintain the equipment to produce the best results in writing checks. Adjustments that provide for placement and alignment of the data added to the check must always be in good order. The inking mechanism should receive careful attention. Excessively inked ribbons and worn ribbons should not be used. b. Requirements Applicable to Check Signing Machines - Machines that print facsimile signatures on checks should have mechanical features to prevent unauthorized use of the disbursing officer's facsimile signature. 5035.25 - Quality Standards of Printing The printed or written characters of the data added in drawing checks, including the facsimile sig- nature, should be characterized by sharp lines, a continuous and homogeneous deposit of ink, and absence of filling. Also, the characters printed using ribbon technology must not have a pronounced ribbon pattern. Data added in drawing checks should show no appreciable impairment of legibility after passage of the check through endorsers. Contrast between added printed or written data and the surface tint of the check should ensure high legibility for accurate reading in rapid handling and serve as a deterrent to alteration. 5035.30 - General Instructions for Inscribing and Positioning of Data Added to Checks The correct position of the date, amount, payee's name, and signature of the disbursing officer is determined by the physical characteristics and layout of the blank check. Deviations from the normal positioning of this information on checks should be avoided. If not reprinted on the checks by the contractor, the disbursing office shall ensure that the place of issue and the object for which drawn are shown on checks prior to issuance. To standardize printing and facilitate accuracy verification, words on checks should be inscribed in all uppercase (that is, capital) letters and punctuation should be omitted, except commas used in addresses and to set off names of more than two payees. Spaces shall not be left unfilled in a manner that would invite or facilitate alteration and addition. Data not essential to the purpose of issuance and payment should be reduced to a minimum and may appear only to the left of the center of the check, just above the line running completely across the face of the check above the MICR line. 5035.35 - Inscription of Payee Name and Other Identification Data a. Payee's Name - Checks will clearly be inscribed with the complete payee name(s), in order to facilitate accurate payee identification at the time of check negotiation. Disbursing offices and others who prepare vouchers and schedules upon which disbursing offices must rely when preparing checks should write the names in a manner that will ensure proper identification procedures. To ensure correct endorsement and for other customary reasons, the surname of the payee should appear last. The correct order is first name, middle name or initial, and last name. Where the payee has an often-used surname, the use of initials only (such as "J D MILLER" or "R T JONES") in lieu of full given names constitutes an inadequate writing of a payee's name and can cause confusion as to the identity of the rightful payee. When a payee's legal given name consists of initials only, the words "Initials Only" should be shown after the initials. In view of important services provided by banks and merchants in cashing Treasury checks, the Federal Government has a special obligation to see that payees' names, as they appear on checks, contribute to prompt and specific identification of the payees when the checks are presented for cashing or are received by banking institutions for deposit to the payees' accounts. Requirements of inscribing checks drawn to agencies of the Federal Government are prescribed in I TFM 5-2015. b. Address - When checks are to be mailed, care should be exercised to ensure that the full and complete address of the payee is entered on the checks or envelopes, including as necessary: rural route numbers, box numbers, house numbers, zip codes, and any other information essential to correct delivery. c. Other Identification Data - Checks drawn to commercial concerns, institutions, grantees or vendors often require account or invoice numbers and other kinds of identification data as well as payee name in order to be properly applied to the account for which moneys are due. Such identification data will be inscribed on the checks on the basis of voucher-schedules of payments prepared by the agencies in accordance with procedures in I TFM 4-2000. Identification data shall not be placed in any position on a check where it is visible through the envelope window. In the absence of such data on the voucher-schedules, enclosures (that is, invoices, tear-off coupons, or other forms) containing the identification data may be furnished for mailing with the checks. 5035.40 - Position of Check Issue Date Disbursing offices using check stock without a date box should write the date of issue in the upper right portion of the check, either above or below the check number. In writing the date, the month should be spelled out or abbreviated. Also, the date should be written in month, day, year sequence. 5035.45 - Restriction on Postdating of Checks Disbursing offices will not inscribe checks with a date of issue which is later than the date the checks are delivered to the payees. If the checks bear issue dates predetermined in accordance with a time schedule, they shall not be delivered to the payees in advance of the scheduled payment date. However, checks to be mailed should be released to the Postal Service reasonably in advance of the issue date to allow for transit time. 5035.50 - Inscription of Check Amount a. General - The amount must be printed in accordance with the quality standards prescribed in Section 5035.25. The amount should be printed in clearly distinguishable type characters. For example, the "l" and "7" should be clearly distinct. In addition, the type should be of a conservative and standard design and of a size to discourage alteration and make any such attempts at altering figures clearly evident (OCR-B is recommended). Particular attention should be given to characters that might be susceptible to conversion to a higher figure; for example, altering a "1" to a "7" or a "3" to an "8". The printing should be of large enough size to withstand folding, spindling, and small tears. This data should not be visible through the envelope window, however, in the address field, since the numbers might confuse U.S. Postal Service address scanning equipment. b. Printing Dollar Sign - If the amount is printed once, only in numerical figures, then the dollar sign must be included as part of the amount printing. This applies whether or not the amount is printed within the convenience amount box. If the amount is printed twice on the checks (once in numerical figures and the second in alphabetical letters) the dollar sign does not have to be used for the numerical figures, provided these figures are printed within the convenience amount box and all available print sections within the block contain asterisks. c. Printing and Positioning of Marginal Amount - On checks without preprinted amount boxes, the amount of the check should appear in the right quarter section of the check in the area above the signature of the disbursing officer and below the check number; it should be in horizontal alignment with the name or address of the payee. The amount figures should fill their allotted area completely. No space should be left unfilled that might be susceptible to use for fraudulent insertion. d. Inscription of Medial Amount in Body of Checks - Writing the amount in the body of a check in words (usually feasible when a machine capable of writing words is used) provides the disbursing office and Treasury greater safety against alteration of amount. Accordingly, the practice is encouraged. However, if the disbursing office determines that a substantial saving in the cost of issuing checks would result from not writing the medial amount, this is permitted. If the disbursing office determines that substantial savings in the cost of issuing checks would result from writing the medial amount in figures, either of the following forms may be used: $50and75cents or $50and75/100. No spacing appears within an amount written in either form. The Support Services Section is available for guidance (see Contacts page). e. Maximum Amount for Which Checks Can be Issued - Disbursing offices shall not issue a check in an amount exceeding $99,999,999.99. When it is necessary to make payment in excess of this amount, the disbursing office must issue two or more checks. 5035.55 - Signatures of Disbursing Officers Each check issued must bear one of the following: (1) the manual signature of the disbursing officer; (2) an approval facsimile signature of the disbursing officer; or (3) the manual signature of an assistant disbursing officer who has been officially designated as prescribed in Section 5015.30. a. Manual Signatures of Disbursing Officers - Manual signatures should generally agree with specimens previously submitted to the agency official responsible for maintaining specimen signature files (Section 5015.10). Disbursing officers should avoid awkward or unusual conditions that would cause an abnormal signature on the checks. A permanent dark blue, blue-black, or black ink should be used for manual signatures; it should not be subject to fading and not readily soluble in water. b. Facsimile Signatures - The disbursing officer's approved facsimile signature should be printed on checks in accordance with Section 5035.50. The facsimile should appear within a frame or border that conforms to the design adopted by the disbursing officer's department or administrative office. c. Manual Signatures of Assistant Disbursing Officers - Checks drawn by an assistant disbursing officer shall be signed by the assistant below the printed typed, or stamped title of the disbursing officer for whom he is acting, as follows: (Title of Disbursing Officer) By___________________________ (Signature of Assistant) The assistant will abide by Section 5035.55a for the manual signature of the disbursing officer. 5035.60 - Space Provided for Printing in Magnetic Ink The standard Treasury check format provides space at the bottom of the check for information encoded in magnetic ink used by banks in proof and payment operations. Disbursing offices must be careful not to enter printed data within the 1/2" band at the bottom of the check. 5035.65 - Controls to Prevent Release of Imperfect Checks Disbursing offices should establish controls to prevent the release of imperfect checks. Checks prepared on defective check stock or bearing erasures, alterations, overprinting, strike-overs, and imperfect letters or figures should be treated as spoiled (if replaced by control checks) or should be voided. Such items should be defaced to prevent the possibility of being negotiated and disposed of as prescribed in I TFM 4-6030.20 or I TFM 4-6045.40. 5035.70 - Imperfect Checks Returned by Holders If an imperfect check is returned by a holder, the item should be carefully examined to determine: (1) if the imperfection may have occurred during the issuance process or was the result of accidental mutilation after issuance; or (2) if the imperfection and circumstances surrounding the return of the check constitute likely evidence of an attempt to alter or fraudulently negotiate the check. Depending on the circumstances, the following action should be taken: a. No Apparent Evidence of Attempted Fraud - If the inspection reveals no basis for a belief that the imperfection resulted from an attempt to fraudulently alter the check, the holder should be issued a control check or an alternate serially numbered check. See I TFM 4-6035, 6040, and 6045 for procedures concerning spoiled and void checks. b. Evidence of Possible Fraud - If a check that has been returned by a holder bears evidence of attempted fraud, the disbursing office will send the check immediately to the nearest office of the U.S. Secret Service with an explanation of how and from whom it was received. The disbursing office must also place stoppage of payment of the check by forwarding SF 1184: Unavailable Check Cancellation, to Financial Management Service, Stop Pay Branch (I TFM 4-7000). The SF 1184 should be noted with the date the matter was referred to the Secret Service, and accompanied by a photocopy of the altered check. CONTACTS Inquiries concerning contract prices and other contract related matters, shipping costs, requests for approving alternative methods for shipping blank checks, and notices to cancel orders for blank checks should be sent to the following address: Department of the Treasury Printing Procurement Branch Treasury Annex, Room B-39 PA Avenue & Madison Pl., NW. Washington, DC 20220 (Telephone 202-622-2150) The address below should be used for-- o Requests for assignment of check symbols. o Requests for and submission of FMS Form 5-89. o Submission of manual signatures of designated officials authorized to disburse emergency check stock to disbursing activities. o Prenotification of check symbol and serial numbers involved in emergency check stock cases. o Submission of GPO Form 2431. o Notification of cancelled print orders. Check Reconciliation Branch Financial Management Service Department of the Treasury 3700 East West Highway Room 711A Hyattsville, MD 20782 (Telephone 202-874-8150) Requests for GPO form 2431 should be directed to the Agencies Printing Officer. The Printing Officer should forward the request on an SF-1: Printing and Binding Requisition, to-- Government Printing Office Paper Control Section CSP Mail Stop Washington, DC 20401 (Telephone 202-512-0208) Missing, lost, or stolen (prior to issuance) checks, including items missing from blank check shipments received from the contractor, should be reported on magnetic tape or hard copy to-- Check Claims Branch Financial Management Service Department of the U.S. Treasury 3700 East-West Highway P.O. Box 1849 Room 800D Hyattsville, MD 20782 (Telephone 202-874-8445) Inquiries concerning all other matters, including requests for approval of the placement of printing on checks and for approval of additional printing and inquiries concerning any other matter not covered above should be directed to-- Support Services Section Financial Management Service Department of the Treasury Liberty Center, Room 353B 401 14th St., SW. Washington, DC 20227 (Telephone 202-874-6800) Matters regarding BCS security, loss, or theft should be directed to-- Security Branch Financial Management Service Department of the Treasury 3700 East-West Highway Room 1B07 Hyattsville, MD 20782 (Telephone 202-874-7030) APPENDICES LISTING [Graphic] Appendix No. 1 GPO Form 2431 [Graphic] Appendix No. 2 Packing Units and Shipping Weights DEFINITION OF SECURE ROOM I. Interior walls of rooms intended to be utilized for security purposes. other than vaults, shall be constructed as follows: Walls shall be built from the true floor to the true ceiling. The area ceiling and floor must meet at least the same security requirements as the walls. If an intermediate ceiling is used, the security room ceiling will be at least as resistant to penetration as the interior walls and will incorporate intrusion detection devices in the space immediately over the secure room. Construction shall consist of: 1. The minimum construction will be standard drywall construction over extruded/expanded metal security screen. The extruded/ expanded metal will be of at least 12 gauge and will be welded at one foot intervals (top to bottom) to metal studs set at no greater spacing than 16 inches on center. For wood studs. the screen will be affixed by bolts which have been peened on the interior side; or 2. Prestressed (3000 psi) or poured concrete with #6 rebar on 8 inch center: or 3. Running bond mortar filled concrete block reinforced with #6 rebar in each concrete block core with reinforced horizontal joints on each course; or 4. Masonry and brick construction reinforced with #8 rebar on 8 inch center; or 5. Equivalent construction standard. II. Exterior walls that constitute the building Perimeter wall shall be constructed as follows: A. Prestressed (3000 psi) or poured concrete section with # 6 rebar on 8 inch center; or B. Running bond mortar filled concrete block reinforced with #6 rebar in each block core with reinforced horizontal joints on each course: or C. Brick and masonry construction reinforced with #8 rebar on 8 inch center: or D. Equivalent construction standard. III. Doors A. Perimeter exterior doors shall be constructed as follows: 1. Fire rated, hollow core, 18 gage metal construction, standard industrial door. 2. Solid core, wood construction, reinforced with # 12 gauge steel affixed where it cannot be readily removed from the exterior side of the door. Exterior doors will have a minimum amount or no glassed areas whenever feasible. If glass is used, it will be break/shatter resistant Doors shall meet the requirements of NFPA 80 - Doors and Windows, e.g, shall maintain the integrity of fire resistance of the walls. 4. Exterior doors shall be hung on butt hinges with non-removable hinge pins, or the hinges, if exposed to the exterior of the building, shall be spot welded to preclude easy removal of the door. B. Interior doors having security application shall be constructed in the same manner as perimeter exterior doors, as prescribed above. IV.Locks A. Perimeter and interior doors having security application shall be equipped with locks as follows: Locks with security application shall be of a high quality, dead- bolt type, mortise, with a minimum of one-inch throw for use when the building is unoccupied. 2. Emergency egress hardware, as needed. so that the door is secured while the building is occupied but can still be used to leave during an emergency situation. 3. Exterior locks shall be, or equivalent in quality to, Medeco security locks. Exterior locks shall be single cylinder (key way on the interior side) when feasible. 4. Interior locks with security application shall be high quality dead bolt type mortise or rim lock, with one-inch throw. 5. Exterior and interior doors with security application shall not be placed on any building grand master. master or sub-master lock system. To reduce re-keying cost, these locks shall be keyed differently so that if a key is lost or stolen, only one door will be compromised and require re-keying. B. Roof hatches, doors, or other roof access devices shall be equipped with locks as follows: Roof access ways shall be equipped with locking devices as specified for exterior doors. Security hasp and Medeco or equivalent padlock are acceptable for security roof hatches, etc. V. Windows A. Windows should be limited as much as possible on the first floor of the building. If the secure room is an operational area, it is suggested that consideration be given to placing long narrow windows high on the first floor walls to provide natural lighting and more open working environment in the operational areas. B. All first floor windows and all skylights shall be equipped with a quality key operated lock, permanently secured (locked closed), or manufactured so as to preclude opening the windows. C. Public access entrances, including windows, pass-through windows, etc. will, where deemed necessary, be hardened using lexan (UL Class 3) for glassed areas, standard drywall over 1/4 inch case hardened steel plate on the walls with comparably constructed doors. Exterior area windows may be laminated plate glass coated with bullet/puncture resistant film of appropriate thickness to the threat. D. Glass areas shall meet the requirements of NFPA 80 - Doors and Windows, e.g, shall maintain the integrity of fire resistance of the walls. VI. Other Openings - Other openings in perimeter walls, floors, or roofs shall be protected by use of extruded steel security screening or securitY bars (#8 rebar minimum) so that no single opening exceeds 96 square inches. Any single opening exceeding 96 square inches whose smallest dimension is equal to or greater than six inches requires # 8 rebar set on six inch center.