3-9.100
Introduction
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.
3-9.110
Enforcement Responsibility
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).
3-9.120
Designation of Assistant United States Attorney Responsible for
Financial Litigation
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.
[cited in
EOUSA Resource Manual 101]
3-9.130
Standards for Debt Collection Action
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.
3-9.140
Financial Litigation Staff, Executive Office for United States
Attorneys
See the EOUSA Resource Manual at
102.
3-9.141
Financial Litigation Program Managers
See the EOUSA Resource Manual at
103.
3-9.142
Financial Litigation Assistance Program
See the EOUSA Resource Manual at
104.
3-9.150
Outreach and Training
See the EOUSA Resource Manual at
105.
3-9.200
Reporting and ManagementFinancial Litigation Plan
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.
3-9.211
Reporting and ManagementEstablishing Quantitative Goals
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.
3-9.212
Compliance Checklist
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.
3-9.220
Case Tracking System
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.
3-9.230
Financial Litigation Records
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.
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