Electronic Certification System (ECS)

Updated October 17, 2001

• Formats And Notes For Mainframe Alternate Data Entry Methods for ECS Production PC

If the Electronic Certification System (ECS) is not available for any reason (e.g., individual PC outage at FPA, telephone line problems, FMS host computer outage), the Federal Program Agency (FPA) may submit manual SF 1166, Voucher and Schedule of Payments, to its servicing Regional Financial Center(s) (RFC). The SF 1166 may be signed ("certified") by any existing FPA Certifying Officer authorized for the Agency Location Code being charged.

I TFM 4-2000 addresses the use, preparation and submission of SF 1166 "Voucher and Schedule of Payments." Specific areas that are useful for the procedures noted below are:

2020.60	"Certification and Submission of Vouchers"
2030	"Standard Form Vouchers"
2030.30	"Voucher and Schedule of Payments - SF 1166 and SF 1167"
2035	"Information to be Furnished on Vouchers"
2040	"Certification and Approval of Vouchers"
2060	"Payments from paper SF 1166 Voucher and Schedule of Payments"
2065	"Payments from SF 1166 EDP, Voucher and Schedule of Payments"
Appendix 1	"SF 1166 Voucher and Schedule of Payments"

Volume

There is NO limit to the number of ECS "Summary Schedules" (voucher covering a bulk file transmitted/delivered to FMS external to ECS) FPAs may submit via SF 1166, in the event of an ECS outage. There is also no limit to the number of payments covered by each Summary Schedule. FMS strongly encourages FPAs to submit as many payments as possible in bulk files, certified by a Summary Schedule. There is no minimum number of payment records in a bulk file.

There IS a limit to the number of payments FPAs may submit on schedules with detailed individual payment data typed/printed directly on the SF 1166. RFCs will be manually key-entering payment data from such SF 1166s. RFC staffing levels do not permit handling of large volumes of manual data entry of payments. Therefore, FPAs should limit use of this procedure to true emergency payments, especially if the problem is expected to be of short duration. While FMS will not set absolute volume limits, in the event of a large-scale outage, we will monitor incoming volumes, and prioritize as necessary (i.e., payments for large amounts will be made prior to payments for smaller amounts). Same day payments will have the highest priority. Check and ACH payments will be prioritized by individual payment amount.

SF 1166 Delivery Mechanism

FPAs may deliver SF 1166s to the RFCs by regular mail, express mail, or courier.

With prior consent of the RFC Director, FPAs may submit SF 1166s via FAX. However, if the SF 1166 is FAXed, the FPA must submit the original, signed SF 1166 to the RFC to confirm the FAXed SF 1166. The original should be prominently marked "CONFIRMATION OF FAXED SCHEDULE". RFC's WILL NOT RELEASE PAYMENTS BASED ON A FAX'ED SF 1166 UNTIL THE ORIGINAL, SIGNED SF 1166 IS RECEIVED.

SF 1166 EDP

RFCs will accept "computer/machine generated" SF 1166 EDP in lieu of official pre-printed forms. "Computer/machine generated" SF 1166 EDP should resemble pre-printed forms in terms of location of required data, to the extent possible. Whether using the pre-printed SF 1166 or a computer/machine generated form, it is only necessary to submit the original copy to the RFCs. The carbon copies on the pre-printed forms are not required.

Font/Case

There is no specified type font for completion of SF 1166 entries. However, because RFC personnel will be retyping data from the SF 1166 to create the payment, the font used on the SF 1166 should be one that is easily read.

All alpha characters should be in UPPER CASE.

Required Information

The following standard information is required on ALL SF 1666s. FMS will not accept vouchers that do not contain all of the information specified below.

Name of Department/Agency

Name of Bureau/Office

Location of Transmitting Office (street address of site where voucher is prepared)

Agency Location Code/Agency Station Code

Appropriation Code

Schedule/Voucher Number

Grand total amount of payments

Certification Statement - "Pursuant to the authority vested in me, I certify that the items listed herein are correct and proper for payment from the appropriation(s) designated hereon or on supporting vouchers."

Signature of Authorized Certifying Officer (any existing FPA Certifying Officer authorized for the Agency Location Code being charged)

Authorized Certifying Officer's name typed or printed under signature

Authorized Certifying Officer's telephone number

Date signed

There are two general forms (usage) for SF 1166:

"TYPE A" - Voucher and Schedule of Payments where detailed payment data and certification are both included on the SF 1166/1167.

"TYPE B" - Voucher and Schedule of Payments where detailed payment data is submitted in bulk form (magnetic media or electronic file) and certification is provided via the SF 1166.

Procedures for each type of schedule are as follows:

TYPE A

FPAs SHOULD ATTEMPT TO LIMIT THE LENGTH OF ADDRESS AND PAYMENT IDENTIFICATION INFORMATION, USING ABBREVIATIONS WHENEVER POSSIBLE.

Data Entry Format - Check

If using pre-printed SF 1166, enter payment lines 1, 3, 5, and 7 in column 1, and payment lines 2, 4, 6, and 8 in column 2, as indicated on the form. Enter the payment amount in the "Amount" column.

If using a simulated form, enter all payment lines in one column (as if printing an address on an envelope). Enter the payment amount below the last line of payee name/ address/payment identification.

Payee name (limited to 35 characters)

Address lines 1, 2 (limited to 35 characters)

Address lines 3, 4 (limited to 30 characters)

2 (optional) Payment Identification Lines (limited to 40 characters each) are available for identifying information (e.g., invoice number) for use by the check recipient.

Payment amount = $nn,nnn,nnn.nn

Data Entry Format - ACH

Regardless of whether using a pre-printed SF 1166 or a simulated form, enter all payment lines in one column, as follows:

Payee Name (limited to 22 characters)

Routing Transit Number (8-digit number + check digit) = nnnn-nnnn-n

Depositor Account Number (limited to 17 characters)

Account Code = "C" or "S"

Payment amount = $nn,nnn,nnn.nn

Up to 80 characters of addendum record are available for payment identification purposes.

Data Entry Format - Same Day (Fedwire)

Name of financial institution

City/state of financial institution

ABA number of financial institution (8-digit number + check digit) = nnnn-nnnn-n

Customer account number at financial institution (limited to 17 characters)

Payee name

Payment due date

Payment amount = $nnn,nnn,nnn.nn

TYPE B

Data Entry Format - Summary Schedule

Summary Schedules are those SF 1166s, Voucher and Schedule of Payments, used to provide certification of payment requests for which the payment data is submitted to the RFC in bulk form (file on magnetic media or electronic file). All Summary Schedules must contain the following information.

Agency Name/Address

Agency Location Code (ALC) to be charged

Schedule Number (must be unique within ALC)

Signature (and date) by authorized Certifying Officer

Requested Date of Payment

Identification of file containing payment data (tape or file name)

Type of Payment

Schedule Total for Items (number of payments) and Dollars (sum of payments)

Enclosures

FMS will not process manual enclosures with checks during emergency situations. FPAs should use the 2 40-character Payment Identification lines, if necessary.

Treasury Offset Program

FMS will not submit emergency "Type A" ECS payments to the Treasury Offset Process.

For additional information send an email to ecs.contingency@fms.treas.gov