3-9.000
FINANCIAL
LITIGATION
POLICY
3-9.100 Introduction
3-9.110 Enforcement
Responsibility
3-9.120 Designation of
Assistant United
States Attorney
Responsible for Financial Litigation
3-9.130 Standards for Debt
Collection Action
3-9.140 Financial Litigation
Staff,
Executive Office for
United States Attorneys
3-9.141 Financial Litigation
Program
Managers
3-9.142 Financial Litigation
Assistance
Program
3-9.150 Outreach and Training
3-9.200 Reporting and
Management --
Financial Litigation
Plan
3-9.211 Reporting and
Management --
Establishing
Quantitative Goals
3-9.212 Compliance Checklist
3-9.220 Case Tracking System
3-9.230 Financial Litigation
Records
3-9.240 Report to United
States Attorney on
Accomplishments
3-9.250 Use of Media
The United States Attorneys' offices handle most financial
litigation matters
for the United States. The Executive Office for United States
Attorneys
appreciates this and recognizes that the Department's financial
litigation goals
will be achieved in large measure by United States Attorneys and
their Financial
Litigation Unit personnel.
Chapters 9 - 12 have been developed by the Financial Litigation
Staff,
Executive Office for United States Attorneys, to assist United
States Attorney
personnel in their day-to-day financial litigation work and to
enable them better
to collect civil and criminal debts due the United States and
victims of crime
in a timely, aggressive, efficient and effective manner. It
contains policy
which will ensure the efficient and effective performance of
financial litigation
work. It sets forth policy for (1) the handling of claims referred
by the
various federal agencies for litigation and enforced collection,
and (2) the
collection of criminal fines, restitution, penalties, assessments,
court costs
and appearance bond forfeitures. Portions of this material,
particularly
Civil Postjudgment Financial Litigation Activity USAM 3-10.200, also apply to the
handling of any
non-tax money judgments obtained by Assistant United States
Attorneys outside of
t
he Financial Litigation Unit, but for which Financial Litigation
Unit personnel
have been assigned collection responsibility. The collection of
tax judgments
is not addressed in this chapter.
The Department of Justice places a high priority on improvement
of
government-wide debt collection efforts. In connection with this
priority, the
Department of Justice has emphasized that the role of United States
Attorneys is
to litigate vigorously and to enforce the collection of debts due
the United
States. Prompt and effective action is necessary if debtors are to
respect the
Department's ability and authority to collect these debts. Prompt
and effective
action is also important to prevent the statute of limitations from
expiring on
claims and to ensure public confidence in the institutions of
government.
Each United States Attorney is responsible for conducting,
handling, or
supervising such litigation or other actions as may be appropriate
to accomplish
the satisfaction, collection or recovery of judgments, fines,
penalties and
forfeitures imposed in the district. However, an Assistant
Attorney General, or
delegate of the litigating division which has jurisdiction of the
case in which
such judgment, fine, penalty or forfeiture is imposed, may notify
the United
States Attorney in writing that the division will assume
enforcement
responsibilities. 28 C.F.R. § 0.171(a).
The importance attached to financial litigation by the
Department of Justice
is reflected in the requirements of 28 C.F.R. § 0.171(b), which
reads:
Each United States Attorney shall designate an Assistant United
States
Attorney, and such other employees as may be necessary, or shall
establish an
appropriate unit within [the] office, to be responsible for
activities related
to the satisfaction, collection, or recovery, as the case may be,
of judgments,
fines, penalties, and forfeitures (including bail-bond
forfeitures).
See also the EOUSA Resource Manual
at 101.
Statutory limitations on the activities of private collection
agents and
agencies are found in the Fair Debt Collection Practices Act, 15
U.S.C. §
1692. These limitations do not apply to activities undertaken by
United States
Attorneys' offices to enforce collection of debts due the United
States.
Nevertheless, whenever specific activities by private collection
agents are
limited by statute, and such activities are analogous to those of
United States
Attorneys' offices, the statutory limitations should be followed.
All financial
litigation action by Department of Justice personnel should meet
the highest
ethical and professional standards.
See the EOUSA Resource Manual at
102.
See the EOUSA Resource Manual at
103.
See the EOUSA Resource Manual at
104.
See the EOUSA Resource Manual at
105.
Each United States Attorney's office must have in place a
Financial
Litigation Plan for the current fiscal year. The Financial
Litigation Staff will
provide a "Model Plan" to be customized by each United States
Attorney's office
to reflect its specific procedures and qualitative goals in
financial litigation.
The Assistant United States Attorney responsible for financial
litigation
shall establish and provide to the United States Attorney and the
Financial
Litigation Staff quantitative goals for the Financial Litigation
Unit for each
fiscal year. Goals should be established for the following
categories: cash
recoveries; net effective rates of collection; total net accounts
receivable; and
cost to collect.
The Financial Litigation Staff prepares an annual Compliance
Checklist which
monitors the district's compliance with its Financial Litigation
Plan. The
Assistant United States Attorney responsible for financial
litigation must
certify the accuracy of the information contained in the Compliance
Checklist.
All Financial Litigation Units should have and make full use of
an automated
tickler system. Such system will serve to ensure that all required
financial
litigation activity and any necessary follow-up is performed in an
efficient and
timely manner.
Debt Collection Records, whether maintained as separate files
or in the civil
or criminal case files when appropriate, should include all
applicable records,
including the following: Claims Collection Litigation Reports
(CCLR);
Certificates of Indebtedness; Conflict of Interest forms;
satisfactions of
judgment or certificates of discharge; court and related documents,
including
financial statements, consent judgments, Abstracts/Notices of Lien,
pleadings,
orders, status reports, and briefs; notes from telephone
conversations and
meetings; settlement agreements; and correspondence.
Any other documentation developed during the negotiation,
compromise,
settlement and/or litigation of the indebtedness shall remain in
the file,
together with Form USA 207, Notice to Close Legal Case File. These
files should
also contain any records maintained by private counsel
participating in the
Department's Private Counsel program and which are turned over to
the United
States Attorney at the completion of financial litigation efforts.
This
information shall be retained in the file when it is shipped to the
Federal
Records Center.
Presentence Investigation Reports and other asset investigation
reports, such
as credit reports and tax returns, may be maintained separately but
must be
secured in a manner which limits access to authorized personnel.
This
information must be destroyed before sending the case file to the
Federal Records
Center.
See the EOUSA Resource Manual at
106.
See the EOUSA Resource Manual at
107.
| September 1997
| USAM Chapter 3-9
|