CHAPTER 1. CLAIMS ESTABLISHMENT AND MAIL MANAGEMENT CONTENTS PARAGRAPH PAGE SUBCHAPTER I. CLAIMS ESTABLISHMENT 1.01 General ................................................. 1-I-1 1.02 The BDN Computer System ................................. 1-I-1 1.03 Basic Principles for Establishing BDN Controls .......... 1-I-1 1.04 BDN Commands ............................................ 1-I-1 1.05 Initial Claims Establishment (CEST) Procedures .......... 1-I-2 1.06 Computer Master Record Controls ......................... 1-I-4 SUBCHAPTER II. MAIL MANAGEMENT 1.07 Division Mail Management ................................ 1-II-1 1.08 Mail Control ............................................ 1-II-1 1.09 Mail Classification ..................................... 1-II-1 SUBCHAPTER I. CLAIMS ESTABLISHMENT 1.01 GENERAL This chapter provides procedures concerning workflow control, instructions for establishing automated controls and directives for mail management within the Adjudication Division. The overall mail management program is the responsibility of the Administrative Support Staff under M23-1, part I, chapter 2. 1.02 THE BDN COMPUTER SYSTEM The primary tool used in the adjudication process is a computer claims processing system called the Benefits Delivery Network (BDN). This automated system also facilitates workflow control. Use the BDN System to control all issues unless otherwise directed in this manual. Establish an automated control on all claims or issues within 7 calendar days of receipt in the division. Maintain the control until final action is taken on the claim or issue. The following procedures are premised on a good working knowledge of the BDN System. For additional information about this system, consult the lessons available using the BDN System LERN command and Part V of this manual. 1.03 BASIC PRINCIPLES FOR ESTABLISHING BDN CONTROLS a. Use the following procedures to establish and maintain controls on all pending claims or issues. Establish a pending issue as part of the initial action taken in connection with the claim or issue. (EXCEPTION: In death cases, DO NOT assign a new file number for the purpose of maintaining BDN control until the minimum information required by paragraph 5.11 is of record.) Control establishment includes identification of the end product involved, the type of control needed and the applicable control period. The establishment process also includes a review of any already-existing BDN System pending issue controls for the same file number to ensure that the claim is not related to an existing controlled issue. b. The claims establishment process enables the operator to set up a pending issue to hold the claim data entered. This data is stored in the Pending Issue File (PIF). This process also provides for automatic work measurement and controls. Authorization of the completed action clears the pending issue out of the PIF and automatically generates end product credit. 1.04 BDN COMMANDS a. A BDN pending issue can be established by using one of the commands below. 1. CEST - Claims Establishment. The CEST command is used to establish a PIF control for a pending claim or appeal. CEST processing accesses the BIRLS record to obtain the veteran's service data for all original or reopened transactions (cases with either a terminated master record or no master record at Hines) and when specifically requested on the Ready Screen. A BIRLS record can be established under this command if none exists. 2. CDAT - Claims Data Entry. When an active master record exists, this command may be used to establish an issue. Upon completion of the 101 Screen, processing will return to the original command. 3. CADJ - Claims Adjudication. When an active master record exists, this command may be used to establish a pending issue. Upon completion of the 101 Screen, processing returns to the original command. b. Master record types are discussed in part V, chapter 2. Additional data on the establishment process may be found in part V, chapter 16. 1.05 INITIAL CLAIMS ESTABLISHMENT (CEST) PROCEDURES Initial claims establishment requires completion of the Ready Screen, the Veterans Identification Data (VID) screen and the Claims Establishment screen (101). The Presidential Memorial Certificate (PMC) screen may also be completed in death cases (see par. 1.05e). Some claims may require completion of more than one BIRLS screen. a. Completion of the Ready Screen. The minimum required entries on the Ready Screen for the CEST command are: command, operator's password, payee number, end product code, benefit type, stub name of veteran or beneficiary and the file number, Social Security number, Service number or Insurance number. (1) Benefit types are abbreviated for BDN purposes. Use CPL for a veteran's disability claim (compensation or pension) or apportionment claims against the veteran. Use CPD for a claim based on a deceased veteran's service (DIC, death pension, death compensation or burial benefits). Codes for vocational rehabilitation or education benefit claims are designated by program of participation: CH30, CH31, CH32, CH35, 106, 901 or 903 as appropriate. (2) Always enter the applicable end product code (e.g., 110, 120, etc., or 116, 126, etc. for foreign cases established at WRO or Houston RO). The system does not increment end products (e.g., 121-125 for domestic cases, 127-128 for foreign cases). If the operator enters a basic end product and one already exists, the message DUPLICATE ISSUE EXISTS - INCREMENT EPC UNLESS 700 SERIES START NEW COMMAND WITH PA2 KEY will be displayed. When the current issue is not part of existing issues, the operator must determine the next end product increment and enter it with all other required entries on the Ready Screen. See M21-4, appendix C, for further information regarding end products. (3) Third-digit modifiers are also used for end products 110, 120 and 140 to identify certain specific issues. Use the following third-digit modifiers if a claimant asserts a disability arising from one of the listed conditions: MODIFIER ISSUE 2 Radiation 3 POW Status 4 Post Traumatic Stress Disorder 5 Agent Orange Exposure 9 Desert Shield/Desert Storm Service (this modifier is used for all end products) NOTE: The third-digit modifier "9" is to be used for all pending issues when the veteran served in Operation Desert Shield or Desert Storm. This data is used to set indicators in the C∧P Master and BIRLS records. To avoid removing an existing indicator, it is important that all issues established for these veterans contain the end product modifier "9". When any other third-digit modifier described in paragraph (3) above also applies, the "9" will be used. (4) If access is attempted on a record and the message UNAUTHORIZED ACCESS SENSITIVE FILE is displayed, the operator should immediately notify his or her supervisor. Processing or access to that record must be accomplished by an operator with the appropriate security level. See M23-1, part V, for detailed information on secured records. See paragraph 3.04 re security for employee and other classes of restricted access records. b. Completion of the BIRLS screens. Upon successful completion of the ready screen a BIRLS Veteran Identification Data Screen will be displayed when appropriate. (See part V, para. 16.02f.) (1) Compare the information displayed with the current claim or issue to ensure the record displayed is that of the veteran on whose service the claim is based. If the displayed record is not the correct record, terminate processing by entering END in the NEXT SCREEN field. If the displayed record is correct, review all data for accuracy and completeness. Correct any erroneous data and enter missing data. (2) Determine if a claims folder already exists. If it does not, note the message at the bottom of the VID screen directing the establishment of a folder under the file number displayed. A print of the screen is automatically generated. If a folder already exists and it is not located on station, use the LOC Screen to request transfer. (For CH35 cases, transfer should be requested using the BID Screen.) (3) When the benefit type is CPD and the BIRLS record does not contain a Date of Death, the VID Screen will be displayed in the Notice of Death (NOD) format. This allows for entry of the Date of Death and other death related entries without the need for a separate FNOD entry. (4) When the last required BIRLS screen has been completed, enter UPD in the NEXT SCREEN field. The 101 Screen will then be displayed. c. Completion of the Pending Issue Control Establishment Screen. Detailed instructions on the completion of this screen can be found in part V, chapter 16. (1) To establish a future issue do not enter a DATE OF CLAIM. Instead, enter the SUSPENSE DATE and FUTURE REASON fields. The issue will mature on the date entered in SUSPENSE DATE and convert to a pending issue. The control codes and their descriptions are: Future Date Control Code Description 31 NSC Tuberculosis diary for 6 month review - 38 CFR 3.342(b)(2). 32 Incompetent beneficiary estate limitation review - part IV, chapter 18. Future Date Control Code Description 33 Review of Service-Connected Unemployability grant - part III, para. 5.18. 34 Review of Open-ended Paragraph 29 Rating - part IV, chapter 18 and part VI, para. 10.02g. 35 Hospital adjustments for NSC pensioners - 38 CFR 3.551 and 3.556. 38 Review Future Examination Control - for use in cases with no master record 39 Other d. Completion of the Presidential Memorial Certificate Screen. The Presidential Memorial Certificate (PMC) Screen is displayed during CEST processing of an initial death claim. To avoid issuing more than one PMC, complete the screen only if entering the date of death. If the date of death is already in the BIRLS record at the time a CEST is done, assume that the PMC was already sent. PMC eligibility is discussed in paragraph 5.24. (1) When the veteran's name as displayed from the BIRLS record in the top left hand portion of the PMC Screen is incorrect, enter the correct name in the field, CORRECT VETERAN NAME, to the right. (2) Enter the title, name, address and relationship of the person who is to receive the PMC in the bottom portion of the screen. Accuracy is essential as it is the source used to prepare the certificate. (3) If a PMC cannot be issued because of incomplete or inaccurate information or no certificate should be sent at this time, enter END in the NEXT SCREEN field. 1.06 COMPUTER MASTER RECORD CONTROLS a. General. Computer control can be established and maintained only if there is a master record existing. A maximum of nine segments can be maintained in the master record. (1) Computer-Generated Diaries. Certain future diary controls are generated by the system. These include diaries for generation of Eligibility Verification Reports, dependency verification notices, etc. (2) Controls Established by Adjudication. Adjudication may establish diary controls by the use of specific diary reason codes. Such controls may be entered on the 220 Screen - Future Date Diary Control, the 301 Screen - Rating Data or the 401 Screen - Special Conditions. (3) Selection of Control Dates. The computer reviews diary controls only during end-of-month processing. At that time, the designated month and year of each diary control is examined and those matching the current month and year are selected. For example, EOM July 93 selects cases with diary control dates of 0793. The appropriate notices will be generated for delivery by the first week of August 93. (For EVR selection controls, cases are selected during EOM processing the month preceding the diary date.) This should be kept in mind when establishing diary controls. The date entered should normally be the month prior to that in which follow-up or review action is required. b. The 220 Screen - Future Date Diary Control and the DIAR Command. Future date controls can be established, changed or canceled by use of the 220 Screen. When award action is required, establishment of diary controls can be accomplished by entries on the 301 and 401 Screens. (See part V, chapter 5.) (1) Ready Screen. Access the 220 Screen by entering the command, DIAR, password, file number, payee number, benefit and stub name on the Ready Screen. (2) Establishment. Upon successful entry of the Ready Screen, the 220 Screen will be displayed. Any diaries currently stored in the master record will be displayed. To establish a new diary control, enter an X in the ADD field with the appropriate month, year and reason. The date entered must be at least two months in the future but cannot exceed the time shown in the following chart. DIARY REASON CODES MAXIMUM CONTROL LIMITS 01 - Future Physical Exam 5 years 02 - 100 Percent Unemployable Review 2 years 03 - Helpless Child Review 5 years 04 - NSC TB (38 CFR 3.342) 6 months 10 - Review for $1500 limitation - 38 CFR 3.557 5 years 11 - Reduction under 38 CFR 3.551(B) 6 months 12 - Restore Rate - 38 CFR 3.556(D) 6 months 13 - Disappearance 7-Year Review 7 years 20 - Helpless Child Reaches Majority 3 years 21 - Verify School Attendance 1 year 22 - Verify Income or Dependency 3 years 24 - Dependency Review - issue VA Form 21-0537 or 3 years VA Form 21-0538 25 - Control for return of VA Form 21-0537 or 3 months VA Form 21-0538 27 - Reservist Requires Drill Pay Days 6 months 30 - Local Regional Office Special Use (Specify in Remarks) 15 years 32 - Expiration of Employability Control 20 years 34 - Review for return of VA Form 21-4140, 6 months Employment Questionnaire 41 - EVR Selection Control 1 year (3) Cancellation. When an existing diary control is no longer needed, access the 220 Screen and enter an X in the DELETE field. (4) Changing an Existing Diary Control. When it is necessary to change the date of an existing diary control, you must delete the existing control and reestablish it using the corrected future date. Enter an X in the DELETE field of the existing diary. Then enter an X in the ADD field with the appropriate month, year and reason code. SUBCHAPTER II. MAIL MANAGEMENT 1.07 DIVISION MAIL MANAGMENT Efficient mail management is crucial to the success and control of workflow within the division. The Adjudication Officer will establish explicit delivery procedures for all categories of mail and will communicate these procedures to the Chief, Administrative Support Services Division for inclusion in the station Mail Routing Guide. For information regarding official VA mail procedures, See M23-1, part I, chapter 1, and MP-1, part II, chapter 6. Adjudication will maintain a copy of the guide and will review it for currency at least once a year. The Chief, Administrative Support Services will be notified of any changes desired. 1.08 MAIL CONTROL Incorporate automated control establishment procedures in the WIPP User Plan. Screen and place incoming mail under BDN control within 7 calendar days of receipt in the division. Establish a BDN control prior to referring any mail for claims folder association. 1.09 MAIL CLASSIFICATION For management purposes, division mail is divided into three classes; incoming, in process and outgoing. Each class has a number of categories. The classes and categories are described below. a. Incoming Mail. Incoming mail is defined as mail pertaining to claims for benefits which is received from outside the Adjudication Division. There are essentially four distinct categories for incoming mail: priority, action, file and unidentified. (1) Priority mail consists of items needing immediate attention. It is batched separately and delivered directly to the Unit Chief. It includes First Notices of Death (FNOD), Eligibility Verification Reports (EVR), Congressional/Special Interest Inquiries, Veterans Assistance Inquiries (VAI), VA Forms 22-1999b and 22-1999b1, Notice of Change in Student Status (Under Chapter 30, 32, 34 or 35, Title 38 U.S.C. Chapter 106, Title 10, U.S.C. and Section 901 of Public Law 96-342). Station management may decide to include additional types of mail in this category, but these should be kept to a minimum. (2) Action mail consists of all other forms and letters received from outside Adjudication. Establish specific procedures for the routing and processing of action mail, to include the routing of mail received without a file number. (3) Unidentified mail is broken down alphabetically by last name and given to the person(s) responsible for BDN identification attempts. (4) File mail consists of computer-generated award or disallowance letters received from the Hines and Philadelphia Benefit Delivery Centers (BDC). It is the only mail that is referred directly to the file bank without being placed under control. b. In Process Mail. In process mail consists of all mail that is under BDN control or otherwise being controlled as specified in paragraph 1.10c. c. Miscellaneous Mail Categories. Some mail cannot be identified as either constituting an initial claim for which a folder must be built, or for association with an existing claims folder. For management and control purposes, this mail is categorized as follows: (1) No Record Mail. No record mail is defined as mail which is passed over the local file bank but for which no claims folder or charge card is found. The person designating it as No Record Mail will annotate the top of the mail with NR, the current date and his or her initials. Forward this mail to the person designated to process no record mail. (2) Pending Transfer In (PTI) Mail. If the BIRLS record shows location at another station but jurisdiction belongs to the receiving station, the mail is classified as Pending Transfer In (PTI) mail. If the mail constitutes a request for genealogical or general information from a folder located in a FRC, request the folder using the procedures specified in paragraph 4.11. (See M23-1, part 1, para 15.26.) (3) Pending Transfer Out (PTO) Mail. If the BIRLS record shows location at another station and that station retains jurisdiction, the mail is considered PTO mail. (4) Search Mail. Search mail is defined as controlled active mail which has been passed over the file bank and the claims or XC-folder is charged out of files. Give this mail directly to the person designated as "searcher". See paragraph 3.07 for search mail procedures. (5) Military File Mail. Correspondence of a general nature which pertains to matters over which VA has administrative responsibility but does not refer to a claim for benefits and/or does not include a return address is filed in a military file. See paragraphs 3.22 and 3.23 for more information concerning these files. d. Outgoing Mail (1) Outgoing mail includes all mail being released to elements outside Adjudication. It is divided into three categories: (a) Express mail is mail that must be received by the addressee by the most expedient means. This mail is controlled and must be handcarried to the mailroom. Air bills from the express mail contract carrier are required. A supply should be maintained in Adjudication for that purpose. The operating element responsible for mailroom services will publish written express mail procedures. (b) Regular/routine outgoing mail consists of letters and forms being sent to a person or place outside the regional office that does not require expedited delivery. This includes mail being sent to veterans, dependents and beneficiaries, as well as interoffice mail being sent to VA medical facilities, other regional offices, the RPC or Central Office. Interoffice mail must be clearly marked to show the destination, including the name of the recipient, location of the station and the routing symbol, if appropriate. RPC mail will be sent daily with an OF 41, Routing and Transmittal Slip, signed by the Adjudication Officer or designee no lower than unit chief, certifying that the material was reviewed and properly belongs in the claims folder. Use separate OF 41's to distinguish between action and file mail. Arrange it in double-terminal-digit sequence (last four numbers), then batch each sequence range separately. Sequence ranges for RPC are: up to 9,999,999; 10,000,000 to 24,999,999; 25,000,000 to 27,999,999 and from 28,000,000 on. (c) Intraoffice mail consists of all items to be delivered to other operating elements with the field station. All intraoffice mail will be clearly marked to include the appropriate file symbol. (2) The Administrative Support Services Division will establish local procedures for processing all mail, to include delivery of incoming mail and pickup of outgoing mail. Adjudication will designate at least one central point where Adjudication employees can deliver outgoing mail. To eliminate excessive handling, this should also be the point where incoming mail is delivered to the division. CHAPTER 2. FOLDER ESTABLISHMENT CONTENTS PARAGRAPH PAGE SUBCHAPTER I. GENERAL 2.01 General............................................... 2-I-1 2.02 File Number Assignment................................ 2-I-1 2.03 File Number Establishment in the BIRLS System......... 2-I-2 SUBCHAPTER II. FOLDERS AND CHARGE CARDS 2.04 Creating the Folder................................... 2-II-1 2.05 Lettering the Folder and Establishing Charge Cards.... 2-II-1 2.06 Color Coding.......................................... 2-II-2 2.07 Cross-referencing and Standard Notations on Folders... 2-II-2 SUBCHAPTER III. FILING 2.08 Filing Material in Folders............................ 2-III-1 2.09 Filing Flashes in Folders............................. 2-III-3 SUBCHAPTER I. GENERAL 2.01 GENERAL The Administrative/Support Services Division has overall records management responsibility for folder creation, maintenance and disposition. See chapter 3 and M23-1, part I, chapters 2 and 13. 2.02 FILE NUMBER ASSIGNMENT a. The records of all claimants and beneficiaries must be identified by a file number which, in most cases, will be the veteran's Social Security Number (SSN). Original applications from Philippine nationals or other former servicemembers who have never been assigned an SSN require the assignment of an eight-digit claim number by BIRLS. Request assignment of a file number during CEST processing by placing an "X" in front of either CLAIM or SSN in the ASSIGN FILE NUMBER AS field of the VID Screen. For detailed instruction on CEST processing, refer to chapter 1 and M23-1, part I, chapter 2. b. Regional offices will assign a file number, if none currently exists, upon receipt of the following types of applications or records from living veterans. (1) Applications for compensation or pension when the veteran's entire military service was subsequent to July 15, 1903, or Coast Guard service after January 27, 1915. (2) Applications for education and vocational rehabilitation under 38 U.S.C. chapters 30, 31, 32 and 106. (3) Certified copies of certificates of service issued to individuals on the Army, Navy or Air Force Medal of Honor Roll under 38 U.S.C. chapter 15, subchapter IV. (4) Requests from designated officials in connection with applications under 38 U.S.C. chapter 41. (5) VA Forms 29-4373, Request for Disability Compensation Rating for Insurance Purposes (Government Life Insurance). (6) VA Forms 4-1426, Request for Assignment of File Number on Overpayment Cases. (7) Requests for memorandum ratings received from military hospitals. (8) Requests for memorandum ratings received from Loan Guaranty for determination of individual eligibility for loan guaranty benefits under 38 U.S.C. 3702. (9) Inquiries from penal institutions for determination of potential eligibility for burial allowance under 38 U.S.C. chapter 23. (10) Requests for eligibility determination received from Loan Guaranty for cases under section 203(b)(2) of the National Housing Act, as amended by Public Law 89-117. The requests for assignment of file numbers for these cases will be received on OF 41, Routing and Transmittal Slip, attached to a Statement of the Case. (11) VA Forms 10-7131, Exchange of Beneficiary Information and Request for Administrative and Adjudicative Action, indicating the need for adjudicative action or a decision on an other than honorable discharge. (12) VA Forms 21-4502, Application for Automobile or Other Conveyance and Adaptive Equipment. (13) Requests for memorandum ratings received from VA regional office and insurance centers (VARO∧IC) for determination of competency. c. Forward the following types of applications to the Washington regional office (WRO) for file number assignment: (1) Veterans having military service prior to July 16, 1903. (2) Chapter 31 claims filed by persons claiming service in Allied Forces during World War II. (3) Claimants residing outside the continental limits of the United States other than within the territories assigned to the regional offices in Alaska, Hawaii, Puerto Rico and the Philippines. (a) Education applications for enrollment in a United States school will be forwarded to the regional office having school jurisdiction. (b) Applications from claimants residing in Mexico will be forwarded to the Houston regional office. d. See paragraph 5.11 concerning assignment of file numbers for death claims.2.03 FILE NUMBER ESTABLISHMENT IN THE BIRLS SYSTEM Establish a file number in the BIRLS system during CEST processing or by using the FNOD or BADD command. Use of the BADD command for this purpose should be limited to instances when the CEST or FNOD command is not appropriate. The following types of folders may be established in BIRLS: a. Claims Folders (1) On the LOC Screen place an "X" in front of the ESTABLISH A FOLDER field and the entry "CLAIM" in the blank field in front of FOLDER. (2) Enter "UPD" in the NEXT SCREEN field and press the ENTER key. (3) The Target system generates an "ESTABLISHMENT DATA" print on a tearsheet. Save this generated print for filing in the folder being established. b. NOD (Notice of Death) Folders (1) On the LOC Screen place an "X" in front of the ESTABLISH A FOLDER field and the entry "NOD" in the blank field in front of FOLDER. If a NO FOLDER EST RSN appears, do not delete it. (2) Enter "UPD" in the NEXT SCREEN field and press the ENTER key. (3) The Target system generates an "ESTABLISHMENT DATA" print on a tearsheet. Save this generated print for filing in the folder being established. c. DEA (Dependents Educational Assistance) Folders. Use the CEST command to create a DEA file. The Ready Screen entries are CEST, password, file number, payee number, EP (end product) code, benefit type, veteran's stub name and beneficiary's full name. Enter "UPD" in the NEXT SCREEN field on the displayed VID Screen. NOTE: Do not establish a DEA folder until eligibility has been established. (1) When establishing the first DEA folder, complete the 101 Screen. Press the ENTER key and the BID Screen will be displayed. Enter ID data. The message "ESTABLISH PROCESSING OF DEA FOLDER IN PROGRESS - CERTAIN FOLDER CONTROL FIELDS ARE PROTECTED" is displayed. Enter "UPD" in the NEXT SCREEN field and press the ENTER key. (2) When establishing subsequent DEA folders, also complete the 101 Screen. The BID Screen for the first child will be displayed with the message "ENTER ADD IN NEXT SCREEN TO ESTABLISH NEW PAYEE." The BID Screen for the new payee will be displayed with the message "ESTABLISH PROCESSING OF DEA FOLDER IN PROGRESS - CERTAIN CONTROL FIELDS ARE PROTECTED." Enter ID data. Enter "UPD" in NEXT SCREEN field and press the ENTER key. d. Chapter 30 Folders (1) Use the CEST command to establish a Chapter 30 folder. (2) On the LOC Screen place an "X" in front of the ESTABLISH A FOLDER field and the entry "CH30" in the blank field in front of FOLDER. (3) Enter "UPD" in the NEXT SCREEN field and press the ENTER key. NOTE: Chapter 30 folders are currently maintained only in the Atlanta, Buffalo, Muskogee and St. Louis regional offices. e. R∧E Folder. Use the BUPD or BFLD command to create an R∧E folder. Complete the two ESTABLISH A FOLDER fields on the LOC Screen with "X" and "R∧E" and enter "UPD" in the NEXT SCREEN field. Press the ENTER key. f. JOBS (Job Training Folders) and REPS (Restored Entitlement Program for Survivors) Folders. These types of folders are not tracked in BIRLS. SUBCHAPTER II. FOLDERS AND CHARGE CARDS 2.04 CREATING THE FOLDER There are specific folders for the various claims filed. Refer to M23-1, part I, chapter 13, for detailed information. Select the specific type of folder shown below for the indicated categories: a. Claims Folder. A red-rope, three-flap folder with fasteners attached on the inside (stock number NSN 7530-00-707-8406) is established when VA receives an initial claim for benefits from a veteran. b. NOD Folder. A lightweight, two-flap manila folder with fasteners attached on the inside (stock number NSN-7530-00-757-4108) is created when a first notice of death (FNOD) results in a new file number assignment or an FNOD is processed and a claim number exists but there is no claims folder or the claims folder is located at RPC. (See par. 5.13 for more information.) c. R∧E (Rehabilitation and Education) Folder. A kraft folder (stock number NSN 7530-00-680-2420) is created for each veteran who enters a Chapter 31 vocational rehabilitation program. d. DEA Folder. A blue, two-flap folder with fasteners attached on the inside (stock number NSN-7530-00-680-2421) is created for each eligible person for whom a VA Form 22-5490, Application for Survivors and Dependents Educational Assistance, is filed. NOTE: Do NOT establish a DEA folder until eligibility is determined by an adjudicator. e. Job Training Folder. A yellow, two-flap folder with fasteners attached on the inside (stock number NSN 7530-00-761-4110) is created when a veteran files an initial VA Form 22-8932, Application for a Certificate of Eligibility. f. Chapter 30 Folder. A gray, two-flap folder with fasteners attached on the inside (stock number NSN 7530-00-761-4110G) is created when an original claim for Chapter 30 benefits is received at the Atlanta, Buffalo, Muskogee or St. Louis regional office. 2.05 LETTERING THE FOLDER AND ESTABLISHING CHARGE CARDS Integral parts of the folder creation are the lettering of the folder and the completion and filing of the charge card. Adhere to the following procedures: a. Print the veteran's name, or the claimant's name if creating a DEA folder, last, first and middle name or initial (if only initial is known), in letters at least 3/8-inch high on the upper left corner of the cut edge of the left flap of the folder. b. Print the file number, including the proper prefix C, SS, XC or XSS, in digits at least 1/2-inch high on the upper right corner of the cut edge of the left flap of the folder. For a DEA folder include the correct letter suffix (W, A, B, etc.). c. Establish a VA Form 3025, File Charge Card, for each folder established. Print the veteran's name, or the claimant's name for a DEA folder, last name first at the upper left corner of the VA Form 3025. d. Print the file number, including the prefix C, XC, SS or XSS as appropriate, at the upper right corner of the VA Form 3025. Also, for DEA folders include the correct letter suffix (W, A, B, etc.). In addition, annotate charge cards for R∧E folders and Job Training folders "R∧E FOLDER" or "JOB FOLDER," as appropriate, below the claim number. e. Color code all charge cards except those for claims folders and Chapter 30 folders according to the classification of folder. Color code the charge card by centering a 3/4-inch strip of colored tape at the top of the VA Form 3025. The color codes for charge cards are as follows: (1) R∧E folder Orange (2) Job Training folder Yellow (3) DEA folder (Spouse or Red Surviving Spouse) (4) DEA folder (Child) Light Blue 2.06 COLOR CODING a. Claims, R∧E, Job Training, DEA, NOD and Chapter 30 folders must be color-coded based on the last two digits of the claim number. To color code a claims folder, place a single strip of 3/4-inch self-adhesive tape, 3 inches long, over the center fold of the claim folder (1 1/2-inch overlap on each side) 1 inch from the edge of the upper right corner; on R∧E, DEA, Job Training, NOD and Chapter 30 folders, center the tape on the square-cut edge of the folder making sure that neither the name nor the file number is covered by the tape. b. Color codes for the terminal digits are as follows: 00-09 red 50-59 medium blue 10-19 light blue 60-69 yellow 20-29 orange 70-79 black 30-39 light green 80-89 white 40-49 brown 90-99 medium green 2.07 CROSS-REFERENCING AND STANDARD NOTATIONS ON FOLDERS Notations stamped on claims folders are used to denote existence or disposition of a record allied to the basic claims folder. The current standard notations are: a. "R∧E FOLDER ESTABLISHED." Placed on the jacket of a claims folder concerning a veteran for whom an R∧E folder has also been established. Upon establishment of an R∧E folder, place the following rubber stamp impression in the lower left quarter of the front of the claims folder: "R∧E FOLDER ESTABLISHED" (letters at least 3/8-inch high). b. "R∧E FOLDER RETIRED PL (346)(16)(550)(894)(815) To: FEDR REC CTR (Location) By: (Retiring office) (Date) " " PL (Number) R∧E FLDR RETIRED To: FED REC CTR (Location) " "TERM 346 R∧E FLDR RETIRED To: FEDR REC CTR (Location) By: (Retiring office) (Date) " "CHAPTER 31 R∧E FOLDER RETIRED To: FARC (City, state) (FARC Accession No.) (FARC Shelf Location No.) (VA Box No.) By: (Retiring office) (Date - Year only) " These notations are placed on claims folder jackets to indicate retirement of corresponding R∧E folders to Federal records centers. c. "REBUILT FOLDER-NOTIFY RPC (232C) WHEN CONSOLIDATION WITH LOST FOLDER OCCURS." Place this notation on the jacket of a folder established because the original record could not be located. d. "EMPLOYEE." Affix VA Form 23-8949, VA Employee Folder Label, to the front of all veteran-employee folders which are maintained in locked files in the regional office. If the folder is maintained at a station other than that in which the veteran-employee works, affix VA Form 23-8949a, VA Employee Label, to the front of the folder. Under normal circumstances, do not maintain the latter class of folders in locked files. e. "(Name) RO OUTPATIENT TREATMENT RECORDS REVIEWED FOR DEATH COMPENSATION OR PENSION CLAIM DATE . INITIALS " This notation, stamped on the inside right cover of the XC-folder, indicates review by the Adjudication Division of the associated outpatient treatment folder for existence and removal of relevant adjudicatory material not appearing elsewhere. Adjudication personnel place this notation on the folder. f. "COUNSEL FLDR LOC (name of station)(year)." Place this notation on the related claims folder before sending it to the inactive storage area. g. "INACTIVE XC-FOLDER EXISTS." Stamp this notation on the newly created XC-folder at the time the inactive XC-folder is created. It indicates that the records created or received in the regional office before the veteran's death are in the inactive XC-folder. (See par. 3.18.) h. "POW" (Prisoner of War). Affix VA Form 10-5558, POW Label, to the front cover of the veteran's claims and active R∧E folders approximately 1 inch below and parallel to the veteran's name. Follow this procedure for each veteran identified by an indicator in BIRLS as a POW. i. "JOB TRAINING FOLDER EXISTS." Stamp this notation on the front cover of any existing claims folder when a Job Training folder is prepared. The Job Training folder will be stamped "NO C FILE EXISTS" or "C FILE EXISTS," depending on whether or not one is in existence when the Job Training folder is created. j. "DUAL BENE." If a beneficiary is receiving benefits from two or more deceased veterans, stamp the claims or NOD folder with the notation "DUAL BENE." followed by the file number(s) of the cross-referenced case(s). Pull the companion folder when a folder in which beneficiaries are receiving benefits from more than one veteran is requested. NOTE: There is no prohibition against adjusting dual beneficiary awards without reviewing the XC-folders if the Target data are sufficient to properly work the awards. SUBCHAPTER III. FILING 2.08. FILING MATERIAL IN FOLDERS a. Only essential material should be filed in a claims folder. Material of nonrecord value will not become part of official records. Remove and dispose of material contained in claims folders which is redundant or of nonrecord value under Records Control Schedule (RCS) VB-1, part I, item No. 13-052.200 unless it was submitted by the claimant. In that case date stamp the material and return it with a cover letter (see pt. IV, par. 3.09). Remove from claims folders the following material provided it has served its initial purpose and has no additional legal, administrative or historical value: (1) Diary forms and suspense copies of correspondence. (2) Reference and routing slips. (3) Control records. (4) Incoming transmittal or cover letters with no evidentiary value. (5) Envelopes and returned VA original letters with no evidentiary value. (6) Requests for civil service preference certificates. (7) VA form and form letter requests for evidence (returned originals or file copies). (8) Rating board worksheets. (9) Flashes. (10) Target prints not specifically required by directives. b. Do not file documents and correspondence containing changes of address which can be entered in the master record. Dispose of all documents and correspondence containing changes of address in accordance with Records Control Schedule VB-1, part I, item No. 13-051.000. EXCEPTIONS: Instances where the source document contains data of record value in addition to the address; the address change is for a nursing home, penal institution or fiduciary payee; and address changes which cannot be entered and retrieved from a Hines master record. c. Do not stamp, staple, punch or mark original records which are to be returned to the claimant. Stamp the date of receipt on a paper tag and fasten it to the original record with a paperclip. (1) Before returning the original to the claimant, make and file a true, certified copy containing the date and VA office at which the original was received and the signature and title of the person authorized to certify authenticity. (2) The term "original record" is not to be strictly construed. Any nonoriginal document which, because of age, issuance by a foreign government or other factor, has high sentimental value and is irreplaceable or replaceable only at considerable expense or effort, may be treated as an original record. d. The law prohibits the reproduction of the following documents. If one of these documents is received, after it has served its purpose, make a memorandum to file identifying the record, the date the original was received and a resume of pertinent contents. An adjudicator or authorizer will sign the memorandum. (1) U.S. Certificates of Citizenship or Naturalization. (2) U.S. Passports. (3) U.S. Immigration papers. e. File VA Form 10-3884, Exchange of Beneficiary Information and Request for Eligibility Data CHAMPVA, in the center portion of the folder in reverse filing order. f. Top file all material filed in veterans folders. Convert all folders currently in use which provide for side filing to top filing whenever such a file is pulled for any purpose. File material in newly created and existing nonsegregated folders as follows: (1) Left Flap. File awards, overpayment material and all documents relating to payments, allowances and disallowances on the left flap of the folder. File Target prints of name changes on the left flap. File VA Form 26-1833, Advice Regarding Indebtedness of Obligors on Guaranteed or Insured Loans, or VA Form 26-6822, Advice of Termination and Indebtedness on Portfolio Loans, on the left flap of the claims folder in reverse filing order to ensure it will remain on top of all subsequent documents filed. (2) Center. File material such as birth certificates, marriage certificates, divorce decrees, legal documents and any other permanent type of adjudicative material, including C∧P applications in support of the claim, chronologically in the center portion of the folder. (3) Right Flap. File educational training material, including the applications, on the right flap of the folder. File VA Form 21-22, Appointment of Veterans Service Organization as Claimant's Representative, or VA Form 2-22a, Appointment of Attorney or Agent as Claimant's Representative, on the right flap in reverse filing order to ensure these forms appear above the training material at all times. If necessary, add an ACCO fastener to the right flap of an existing folder to accommodate this method of filing. g. File material in R∧E, Jobs Training, DEA and Chapter 30 folders as follows: (1) Left flap. All documents relating to allowances, disallowances, awards, payments and overpayments. (2) Right flap. Applications, award letters and any other type of evidence. 2.09 FILING FLASHES IN FOLDERS a. File VA Form 22-6564, Claims Folder Flash - Vocational Rehabilitation Trainee, on the left flap of the claims folder in reverse filing order so that it can be folded back to remain on top of all subsequent material. b. File VA Form 20-6879, Overpayment Flash, on the left flap of the claims or XC-folder in reverse filing order so that it can be folded back to remain on top of all subsequent material. c. File VA Form 27-8886, Insurance Flash, on the left flap of the claims or XC-folder in reverse filing order so that it can be folded back to remain on top of all subsequent material. Once the original death pension claim has been adjudicated and the insurance payment has been included in income considerations or if there is no claim for more than 45 days after the date of death (provided the insurance is paid within the 45 days), there is no need to continue to reverse file the form. CHAPTER 3. FILES AND FOLDER CONTROL SUBCHAPTER I. STORING FOLDERS 3.01 GENERAL Follow the procedures in chapters 2 and 4 and M23-1, part I, chapter 13, for establishing folders, determining jurisdiction of folders and transferring folders. 3.02 FILING OF FOLDERS a. File folders only in cabinets designated for that purpose. UNDER NO CIRCUMSTANCES STORE VETERANS RECORDS IN DESKS OR OTHER UNAUTHORIZED PLACES. Do not remove veterans records from VA premises for any purpose unless authorized by station management. b. Arrange claims, XC-, Job Training and DEA folders numerically within terminal digits (last two numbers). (1) Use the last two numbers of the file number to establish the terminal-digit category in which the folder should be filed. The filing sequence then becomes a strict numeric system, reading numbers from left to right. (2) Identify folders by claim numbers or by Social Security numbers (SSN). Interfile folders bearing SSN's with folders bearing claim numbers. Leading zeroes have no numerical value and will be disregarded. As a result, the bulk of the folders identified by SSN's will be filed at the end of each terminal digit, but folders bearing SSN's preceded by zeroes may still fall within existing claim number sequence. Whenever a claim number and an SSN are numerically identical, file the folder identified by the claim number ahead of the folder bearing the SSN. Inter-file DEA and Job Training folders with the claims and XC- file series. File DEA and Job Training folders behind the correspondingly numbered claims folder. EXCEPTION: VA regional office, Manila, will maintain DEA folders as a separate file series. c. Counseling/Evaluation/Rehabilitation (CER) folders are established and maintained by the Vocational Rehabilitation and Counseling (VR∧C) Division. 3.03 MISFILED RECORDS a. Maintain all folders (claims, XC-, Job Training, DEA) in strict numerical sequence in the order prescribed in paragraph 3.02 for each file series. A folder not in the proper sequence is considered "misfiled." Look for misfiled folders during sequence checks, reconciliationsretirements and other special projects, as well as during normal file servicing. b. When a misfiled claims folder is found, determine if the folder has been reported lost and whether or not a rebuilt folder exists. Check the charge card in files. If the charge card indicates that circularization was requested, notify the RPC that the folder has been found, as prescribed in paragraph 3.13. If the charge card indicates a rebuilt folder is located at the station, consolidate the two folders and notify the RPC when consolidation is completed. If the charge card does not indicate a folder has been circularized or rebuilt, or if there is no charge card in file, do a BINQ transaction on Target to ascertain the folder location shown in BIRLS. If Target shows folder location at the same station, return the folder and charge card to the proper file series. If Target indicates the folder is located at another station, check with the other station to ascertain if another folder exists. If no other folder exists, do a BUPD transaction to show correct folder location. If another folder exists, take action to transfer and consolidate the folders and notify RPC when consolidation has been accomplished. When the RPC receives notification of folder consolidation, they will remove the rebuilt-folder indicator in BIRLS. 3.04 LOCKED FILES a. Maintain "locked files" in the office of the Adjudication Officer to house all claimants' records of a restricted nature. File a VA Form 3025, File Charge Card, in proper sequence in the claims folder file series to show that a record was placed in locked files. The AO or AAO is the sole custodian and is responsible for the necessary recording, filing, safeguarding and release, upon proper request, of all material housed in the locked files. Records, documents or other data released therefrom will be delivered only to the chief of the division requiring their use, or to a properly designated alternate, or to the representative of the recognized service organization holding the proper power of attorney. The following are to kept in locked files: (1) Reports from the FBI (See subpar. b below). (2) All records of veterans who are employees of the immediate regional office or center if jurisdiction of records is assigned to the employing office. For the purpose of this subparagraph, "veterans who are employees" will include veterans who are employees of the Veterans Canteen Service and those salary-basis employees appointed under 38 U.S.C chapter 73 as well as work-study personnel. See chapter 4 for offices of jurisdiction for employee-veteran records. (3) All records pertaining to veterans serving in field stations as representatives (accredited or otherwise) or employees of veterans organizations or as employees of cooperating public or private agencies engaged in the presentation of claims to VA. (4) In addition to the records specified above, maintain records belonging to the following individuals in the locked files during their tenure of office or while they are candidates for election: (a) Governors of states or commonwealths. (b) Lieutenant Governors of states or commonwealths. (c) Attorneys General of states or commonwealths. (d) Members of U.S. Congress. (5) Any other records which the Director determines should have special storage because of the nature of their content or public interest in the veteran concerned. b. Maintain all restricted material not normally housed in a claims or CER folder in kraft envelopes in locked files. Properly identify the contents in writing on the front of the envelope. Prepare VA Form 70-3797, Cross-reference to Confidential Report, indicating the existence and location of the veteran's confidential records, including FBI reports, and file it on the inside left flap of the claims folder (compartment B of segregated claims folder) or other file involved. IT WILL REMAIN ABOVE ALL OTHER MATERIAL AT ALL TIMES. If the claims folder is temporarily transferred out before preparation of VA Form 70-3797, retain the form in the file series in the same manner as file mail. c. The station Director determines the length of time restricted records may be charged out of locked files to an organizational element. The using element will take necessary protective measures during the period records are in its custody. Annotate the charge card in locked files to show the current location of veteran's restricted records. d. Establish local procedures to ensure records identified as meeting the sensitive file criteria contained in M23-1, part V, chapter 6, are placed in locked files. For each action to enter or remove a record in the sensitive file, a corresponding action will be taken to enter or remove the claims folder in locked files. Conduct a semiannual audit of both sensitive file holdings and locked file holdings. Immediately resolve any discrepancies. Additionally, establish procedures for ascertaining if an employee or a relative of an employee is assigned a file number. Employees who are assigned file numbers after their employment are required to notify their supervisor who, in turn, notifies the Security Officer. Use similar notification procedures if an employee is reassigned to another station or terminates employment. 3.05 HANDLING OF VA RECORDS PERTAINING TO TREATMENT OF (HIV) OR (AIDS), ALCOHOL ABUSE, DRUG ABUSE OR SICKLE CELL ANEMIA a. Title 38 U.S.C 7332 provides for the confidentiality of VA records pertaining to human immunodeficiency virus (HIV) or syndrome (AIDS), alcohol abuse, drug abuse or sickle cell anemia. This includes information received, obtained or maintained by an employee or contractor of VA for the purpose of performing HIV-AIDS, drug abuse, alcoholism or sickle cell anemia program functions regarding an identifiable patient. A program includes treatment, rehabilitation, education, training, evaluation and research information. b. Veterans Health Administration (VHA) is responsible for identifying and permanently maintaining the original VA records pertaining to these conditions. Such records will be specifically identified as coming under the purview of 38 U.S.C. 7332. c. For purposes of processing benefit claims, copies of such records prepared by VHA will merely be LOANED to Adjudication. d. No additional copies of these records will be made by regional office personnel and, after adjudication or other proceedings have been completed, the records will be destroyed in accordance with RCS VB-1, part I, item No. 13-052.300. Appropriate disposition of these records will be accomplished using whatever method is available at the regional office, i.e., shredding, incineration. e. These VA records can be kept in the file only if the claimant submits them. However, the veteran must be advised that such documentation is available upon request from the VA medical facility and need not be maintained in the claims folder unless the claimant so desires. f. Reports of VA physical examinations for the purpose of evaluating a disability are not included under 38 U.S.C 7332 and, therefore, will be maintained in the claims folder. g. Records pertaining to HIV-AIDS, alcohol abuse, drug abuse or sickle cell anemia which pertain to non-VA programs will also be maintained in the claims folder. h. Generally, records specified in subparagraphs e and g above will not be redisclosed without the individual's consent. i. A service organization representative holding a valid power of attorney will have access to section 7332 records unless the folder contains a statement signed by the veteran specifically denying such access. 3.06 CONTROL AND SEQUENCING OF RECORDS a. Establish controls essential to ensure locating folders charged out of files storage. (1) VA Form 3025 is the only control maintained of records charged out of storage. Fill out the card to show the mail routing symbol of the organizational element to which the folder was charged, the type of mail, e.g., form number, which caused the folder to be pulled, date folder was charged out of file and the initials of the person who made the charge. (2) Use VA Form 70-3770, Requisition for Numbered Folder, for requisitioning individual folders. As required, this form may also serve as a record of folders located within an operating element. (3) Use VA Form 20-3770a, Notification of Recharge of Numbered Folder, for recharging individual folders from one organizational element to another. As required, this form may also serve as a record of folders located within an operating element. b. Proper and continual sequence checking improves control of veterans records. A file sequence check consists of checking each folder in a file drawer to ensure that every one is in strict numerical sequence within each terminal digit and that DEA and Job Training folders are properly interfiled with claims and XC-folders. (1) Accomplish some sequence checking on a daily basis. Station management should establish a schedule so that ALL regional office file banks are checked AT LEAST once a year. (2) During sequence checks, remove charge cards eligible for disposition, pull folders in need of renovation and shift folders to avoid overcrowded drawers. (3) Maintain documentation of the sequence checks performed. SUBCHAPTER II. MAIL 3.07 ACTIVE MAIL a. Process all mail as it is received for attachment to related veterans records and delivery to an operational element. Using paperclips, attach special or priority correspondence to the front of the related folder with the least possible delay and deliver it immediately. b. When processing mail across the files, if the related claims folder is charged out, annotate the VA Form 3025 in red showing the type of mail that is pending attachment. Note the latest chargeout information on the mail along with the file clerk's initials and the date. When the pending mail is attached, either in an operating element or after the folder is returned to files, close the flash by entering the appropriate organizational element, date of charge and the initials of the employee completing the charge. c. File clerks designated as searchers are responsible for locating folders charged out of file within the regional office. Search activities are classified as "Expedite" or "Routine." (1) Expedite searches include locating a folder on which priority mail or a priority request from a Division is pending. After location of the folder on an "expedite" search request, remove the folder and notify either the clerk or supervisor in the section of such action and the reason therefor. Handcarry the folder to the requester, and close the flash on the VA Form 3025 as specified above. (2) Make routine searches for active mail not considered priority which has been annotated with the latest chargeout data from the VA Form 3025. Process routine search mail daily as follows: (a) Place the mail in a manila folder, sorted into strict numerical sequence within terminal-digit order. (b) Make a list, in terminal-digit order, of all file numbers pertaining to the material in the folder. Stations may wish to use either a PC program or the sort feature on the Wang system for preparing and maintaining this list. (c) Check the areas in the unit for the folders on the list, then proceed to the other operating elements in the regional office. (d) When a folder on the list is located, attach the search material and return the folder to where it was found. The section in possession of the folder is responsible for forwarding it to the next operating element. (e) Circle the number on the listing and annotate it with the mail routing symbol of the operating element in which the material was attached. (f) After completion of the day's search activities, take the list to the files and close the flash on the VA Form 3025, as prescribed above, for each case in which the material was attached, and update the current location of the file on the charge card. THIS IS ONE OF THE MOST IMPORTANT STEPS IN THE SEARCH PROCEDURE. UNLESS THE FLASH IS CLEARED ON THE CHARGE CARD, IT WILL BE IMPOSSIBLE TO KEEP TRACK OF THE CURRENT STATUS OF THE CLAIMS FOLDER. (g) Interfile all material remaining in the manila folder for which a folder was not found with the newly received routine search material. Prepare a new list of file numbers in strict numerical sequence. d. Mark all mail for which no VA Form 3025 or claims folder can be located in the upper right corner with the initials of the file clerk and the date such mail was processed, as well as the annotation "No Record." Give this material to the individual in the unit or section responsible for processing "No Record" mail. 3.08 FILE MAIL See M23-1, part I, chapter 13, for additional information on file mail. a. General (1) Material referred to the Files activity is accepted as file mail only when properly marked "DROP FILE." The name and mail routing symbol of the person authorizing the file action and the date of the authorization must appear on the correspondence. (2) Attached mail that is subsequently filed down in the folder by authorization need not be marked "File" if it has resulted in a rating, authorization action or release of a letter referring to or indicating receipt of such mail. If, after review, it is filed down without action, it shall be annotated "NAN," initialed and dated by the employee filing it down. (3) When correspondence requiring a reply is filed, the file copy of the reply will bear the name or initials of the dictator and other persons, if any, who reviewed the reply before release. In such cases, "File" need not be noted on the incoming correspondence. Letters and all copies will be dated before release and the person signing will either write or stamp his or her name or initials on the file copy. All papers will be securely fastened in the folder before returning it to file. (4) Route all copies of computer-generated award or disallowance letters, VA Forms 20-8992 and 20-8993, received from the Regional Data Processing Center (RDPC) for filing in claims folders to the Files activity without being date stamped or marked "For File." (5) Drop file material which has been accepted as file mail in the appropriate folder. Take extreme care to avoid mutilating papers or documents when drop filing. Material which has been drop filed will be filed down in the folder at the time of the next chargeout. (6) Folders will not be searched for attachment of file mail. File mail for folders out of file will be placed in a blank manila folder placed with the corresponding charge card in proper sequence in files storage. Mail will be drop filed when the folder is returned to storage. The manila folder will be retained for reuse. (7) File mail for folders located at RPC will be handled in accordance with paragraph 1.10d. (8) File mail for folders located at FRC's will be forwarded by Optional Form 41 (OF 41) to the appropriate FRC. File mail for each file number will have a separate OF 41 attached and will contain necessary information to identify and locate the folder, to include the veteran's name and file number, the date of retirement, the station from which retired, and the FRC name and identification number. See paragraph 1.10d concerning review procedures. The statement, "RECORD VALUE - FOR FILE PURPOSES," will also be included on the OF 41. If desired, stations may overprint OF 41. (See M23-1, pt. I, par. 15.20.) b. Microfiche File Copies (1) Several times each year, special projects are run at Hines Benefits Delivery Center (BDC) that result in the release of a large number of computer-generated letters. When Hines runs one of these special projects, it will prepare microfiche copies of the letters. The letters contained on each microfiche will be in claim number order for each regional office. The range of the claim numbers contained in a microfiche will be noted on the top front of each microfiche. Each microfiche will contain up to 269 separate letters. If, in the original letter, the appeal information is printed on the back, a copy of the back page will appear in the first block on the microfiche. The letters will appear in claim number order starting in the next block. Hines will send the microfiche copies to the respective regional offices, ATTN: 00/21, at the same time the original letters are mailed. Any copy for the Power of Attorney will continue to be printed and released by Hines BDC to the regional office for distribution. (2) Field stations will be informed by letter when this procedure will be used for a mailing. Each regional office should receive its microfiche within 10 days of the release of the mailing. If the microfiche is not received within 10 days, contact the Compensation and Pension Service Computer Systems Staff (213C) at VACO. If necessary, they will have Hines create another microfiche. Since Hines only maintains the tapes for a limited time, it is important that VACO be promptly notified of non-receipt. The regional office will designate an area within Adjudication where the microfiche will be stored. The microfiche will be maintained for a 25-year period and disposed of in accordance with then-current disposition instructions. (3) Since hardcopies of some of the microfiche letters may be required, each office will ensure that any equipment needed for this purpose is available. When a copy of a letter is required, use a microfiche printer to make it. If there is a second page to the letter shown in the first block of the microfiche, ensure that this is printed also. (4) Do not routinely make a hardcopy of a microfiched letter when a file is permanently transferred. If the receiving station needs a copy of the letter, it will request one from the regional office holding the microfiche. To determine the station holding the microfiche, review the past station locations in BIRLS or review the claims folder. SUBCHAPTER III. DELIVERY AND RECHARGE OF FOLDERS 3.09 DELIVERY OF FOLDERS ON REQUISITION Deliver folders to operating elements upon receipt of active mail, termination of suspense periods or upon receipt of a properly executed requisition. Requisitions by listings are acceptable upon mutual agreement between the AO and the chief of the division submitting the request. 3.10 DELIVERY OF FOLDERS TO SERVICE ORGANIZATIONS Honor requisitions for delivery of veterans records to a veterans service organization (VSO) only if the folder contains a current power of attorney designating the requisitioning organization to act for the claimant. Folders will not be delivered to organizations holding a limited power of attorney but will be delivered to the VSO with a specific request that contact be made with the representative of the requisitioning service organization. 3.11 DELIVERY OF FOLDER OR SUBSIDIARY RECORDS - VETERAN WAITING a. Deliver folders within 15 minutes when requested by employees of Veterans Services Division (VSD) or representatives of service organizations to process "veteran waiting" cases. If the request is from a service organization, the folder must contain a current power of attorney for that service organization, or the service organization representative must state he or she is holding a current power of attorney. This must be verified at the time the folder is delivered. b. If a folder is charged out of file, advise the requester as to the operating element having possession of the folder and ask if a search is desired. Make a special search if requested, and deliver the folder as soon as possible. 3.12 RECHARGE OF FOLDERS The need for prompt location of veterans records requires enforcement of a good folder recharge system. Folders crossing division lines must be recharged by operating elements. Requirements for recharge of records crossing lines within a division will be established locally as determined by the size of the element serviced and by the normal traffic pattern of a folder within the section. SUBCHAPTER IV. LOST FOLDERS 3.13 LOST FOLDERS a. If a claims, XC- or DEA folder cannot be located, make an exhaustive search of the entire office. Do a name search of the entire drawer in which the folder should be filed, and add the file number to the search list. Check the Transfer and Correspondence activities pending files, the principal guardianship files, and the microfilm of checks issued the previous month if the BIRLS reply message shows an active compensation, pension or education record. If the results of the search are negative, consider the folder lost. Report the loss to the Director, Records Processing Center who will circularize the other field stations to locate the folder and advise the concerned station of the results. In no instance will a field station cause a search to be made in other field stations. NOTE: If the office actually having the folder cannot be determined, the station in possession of the material for which the folder is required will report the folder missing. b. Every request for circularization, including one for "Location Only," results in a rebuilt folder if the original folder is not located. Consequently, if the claims folder is not required to process the pending material, do not request circularization unless that material is of permanent record value. c. If a DEA folder cannot be located after complete circularization, the station concerned will be so notified and will rebuild the DEA folder from available claims, fiscal and education records. d. If a lost folder is found, combine the rebuilt folder and the original folder and forward it to the controlling operational element for review. Notify RPC that the original folder was found. 3.14 REQUESTS FOR CIRCULARIZATION OF MISSING CLAIMS AND XC-FOLDERS a. Each station's glossary library contains a Circularization Request Format consisting of four documents. (1) Request for Missing Folder. Use this glossary document for routine circularization requests to RPC. (2) 24-Hour Search Request. This glossary document contains fields for the veteran's name, file number, reason for search and action desired. Use it for emergent search requests only. (3) Response to Circularization Request. Use this glossary document for responding to circularization lists. It provides for a standardized response format from each station. (4) Response to 24-Hour Search Request. This glossary document provides a standardized format for use in responding to 24-hour search requests. Negative responses are not desired. b. Wang E-mail will be used for circularization purposes. (1) If a claims or XC-folder cannot be located after thoroughly searching the entire office, attach the circularization glossary and access the glossary document listed in subparagraph a(1) above. Enter as much identifying information as is available and any other pertinent information which may be helpful in the search for the folder. Transmit the document via Wang E-mail to the VA RPC mailbox identified as MAIL VBA RPC/CIR. (2) The RPC will create a listing of missing folders and transmit the list to each field station. (3) Once it has been received at the field station, print the listing and distribute it to the files element. Follow normal search procedures. Field stations will access the glossary document listed in subparagraph a(3) above for response to the circularization list for those folders found. Reply by E-mail within 5 workdays to the RPC mailbox. This mailbox is reserved for circularization requests and responses only. Do not use it for any other purpose. The printout of the listing may be destroyed after E-mail transmittal to the RPC under RCS VB-1, part I, item No. 3-191.100. (4) Follow these same procedures for emergent case requests, but access the glossary document shown in subparagraph a(2) above for initiating the request. The circularization will be E-mailed within 24 hours of the request and will be titled "24-Hour Search Request." Create responses to emergent requests by accessing the document shown in subparagraph a(4) above. 3.15 FILE NUMBER ADJUSTMENT AND CANCELLATION a. Forward all claims folders and applications involved in duplication of file numbers within a regional office (except Finance activity records) to the Correspondence activity for adjustment action. b. Use the DUPC command to adjust BIRLS records for a veteran if it is discovered that two BIRLS records for that veteran exist, each identified by a file number (C or SSN). c. Both folders are required to process the adjustment of duplicate records. If both claims folders are not in the possession of the regional office discovering the duplicate records, that office will request the other folder on a permanent transfer. NOTE: If both folders involved in duplication of file number assignment are located in the RPC, RPC will accomplish adjustment action. d. Take the following actions when adjusting duplicate file numbers: (1) Retain the file number under which an award has already been approved. (2) If both claims are for monetary benefits and carry active awards, retain the file number pertaining to compensation or pension. If both records contain compensation or pension awards and one of the files is identified by a social security number and the other by a claim number, retain the claim number. If both are identified by claim numbers, retain the lower claim number. (3) If both claims are for monetary benefits and neither contains an award, retain the file number under which the more important evidence has been developed. (4) If both claims are for hospitalization, retain the first number assigned. NOTE: Applications for outpatient and domiciliary care are considered hospital applications. (5) In all instances, cancel a file number previously assigned on the basis of a disability insurance claim. (6) If both records pertain solely to education and only one record indicates entitlement used, retain the record in which entitlement was used. (7) If both records pertain solely to education and both records have active awards or both have terminated awards, retain the record with a claim number versus a Social Security number. If both records have claim numbers assigned, retain the lower claim number. (8) If both records pertain solely to education and one record has an active award and the other a terminated award, retain the file number with the active award. (9) If one of the education records being adjusted has been transferred in from the RPC, perform a MINQ transaction to determine if an active Hines master record exists. Display of an abbreviated education master record (M25) screen indicates the record is inactive and needs to be referred to authorization for action prior to DUPC processing. Display of any other education master record (M21, M22, M23, M24) screen indicates the record is active, and a DUPC transaction can be processed. (e) After making any necessary determination, process a DUPC transaction. (1) Enter DUPC and the operator's password on the Ready Screen. After depressing the ENTER key, the Record Consolidation (CON) Screen will be displayed for entry of the file number and name of both records being consolidated. If the data (number and name) entered on the CON Screen for the retained record do not match the BIRLS record being retained, the consolidation will NOT process. If more than one record is found, the NUM Screen will be displayed. If no record is found for either file number, the transaction will terminate. (2) During DUPC processing, Target will display the retained record, the canceled record and the consolidated record after each depression of the ENTER key. Make prints of the first two VID Screens being consolidated to compare data fields of the two records with the consolidated BIRLS record. No data correction is allowed on the first two screens. After the ENTER key is depressed for the third time, consolidation occurs and the consolidated VID Screen is displayed for review. After consolidation, data fields may be updated on any screen in the retained record except INS by entering the individual screen name in the NEXT SCREEN field. Only stations 101, 376, 310 and 335 can update the INS Screen. Enter UPD in NEXT SCREEN to complete the transaction. (3) During consolidation, data contained in identical fields of both records are combined in the retained record. Higher priority data have precedence over lower priority data, e.g., complete dates will replace incomplete dates. REBUILT, 376 and DES indicators (in order of priority) have priority over the NO FOLDER EST RSN codes. Review the consolidated BIRLS record to verify the retained data. (4) Each data field has a limited capacity. If more data exist in the two records than can be retained in the consolidated BIRLS record, data are lost (not retained in the system). For example, if there are more than three service periods, only three periods are retained. (5) MSC Screen flash-code data in the two combined records are considered equal if the FLASH-TYPES are the same. If flash data cannot be stored and are lost, the message CON-DEL will appear in the TYPE ACCESS field on the Flash Message print screen. See paragraph 6.08. (6) Beneficiary records of the canceled and retained veteran BIRLS records are considered duplicates if the payee number and name match. Duplicate beneficiaries are not consolidated; only the beneficiaries in the retained record are kept. If the DEA folder CURRENT LOCATION is different from the veteran folder CURRENT LOCATION, a message is sent to the DEA station of jurisdiction informing it of the consolidation. Manually consolidate duplicate DEA folders and, if necessary, charge entitlement. (See M22-2, pt. V, ch. 11, subch. III.) (7) DUPC processing does NOT consolidate Hines master records. If there are two Hines master records, the data in the retained master record will remain after a successful DUPC transaction. Data in the canceled master record will be lost. Therefore, it is necessary to reestablish any accounts receivable from the canceled number under the retained number and to manually adjust the retained number for any educational entitlement used under the canceled number. If a DUPC transaction involves two BIRLS records but only one Hines master record, the data from that master record will appear under the retained file number. f. After taking the adjustment action in BIRLS, ensure that associated records adjustment actions are taken. (1) Remove all documents from the folder identified by the canceled file number. Line out the file number on each piece of paper and mark or stamp each piece "Canceled Duplicate." Write the retained file number above the canceled number. (2) Combine the documents from the two folders in chronological order. File the material on the proper flap of the folder identified by the retained file number. (3) Annotate the canceled file number on the outside of the retained folder immediately below the retained file number. Draw a single line through the canceled number and write the notation "Canceled Duplicate" next to it. Duplicate all other markings on the jacket identified by the canceled number on the jacket identified by the retained file number. After the markings are transferred, dispose of the old jacket under RCS VB-1, part I, item No. 3-092.000. (4) If any other action is required, refer material showing the canceled file number and the retained file number to the appropriate operating activity with an Optional Form 41, Routing and Transmittal Slip, showing the actions taken in the process of adjustment. (5) Mark the VA Form 3025 for the canceled number "Canceled" and enter the retained file number on the charge card as a reference. File the charge card in proper sequence in folder files under the canceled file number and dispose of it 1 year after the date of consolidation as required by RCS VB-1, part I, item No. 03-075.100. Annotate the file charge card at the top to show the month it becomes eligible for disposal. (6) After the records have been consolidated under the retained file number, complete a VA Form 23-39a, Your VA File Number, and mail it to the claimant. (7) Notify the veteran's representative and any VA medical facility with which there has been recent correspondence that the file number has been changed. Make this notification by sending an Optional Form 41 to those activities providing the veteran's name, retained file number, canceled file number and date of consolidation. If the veteran's representative is not a service organization, use a locally generated letter for notification. (8) If a CER folder exists in BIRLS or a Chapter 31 master record exists, forward notification of the DUPC action to the VR∧C Division. SUBCHAPTER V. SEGREGATED FOLDERS 3.16 FILING MATERIAL IN SEGREGATED FOLDERS a. Segregated folders are no longer being created for new claims, but those already in existence will be used and maintained. When such folders are in need of renovation or rejacketing, repair the existing folder or transfer the contents to another folder, continuing the segregated format. Do not convert such folders to the standard format. b. Segregated folders have four compartments. File documents in each compartment as follows: (1) Compartment A. Authorization forms, controls and other specified material of the types indicated for filing on the left flap of standard claims folders. (2) Compartment B. Documents constituting the basis for adjudicative determinations other than ratings. (a) Formal or informal claims or applications, including claims for increase or apportionment. (b) Requests for and records received from service department or foreign governments concerning service data, medical and dental examinations. (c) Evidence relating to marital status, dependency, relationship, birth, age, income or value of estate. (d) Requests for determination of basic eligibility of veterans for benefits. (e) All legal decisions affecting the case. (3) Compartment C. Evidence and documents on medical treatment and rating phases of the claim. (a) Requests for and reports of examinations, hospitalization, observation and treatment by VA and private physicians. (b) Reports of investigations or social surveys and affidavits of persons other than physicians on the physical or mental condition of a claimant. (c) Decisions of rating boards and appellate bodies, including reports of personal hearings related to ratings. (4) Compartment D. File copies of all communications, records and documents not for filing in one of the other compartments. SUBCHAPTER VI. XC-FOLDERS 3.17 ESTABLISHMENT OF AN XC-FOLDER If a claims folder exists at the time of the veteran's death, convert it to an XC-folder unless the claims folder is at the RPC. (See chs. 2 and 5.) Before combining XC-folder material, remove all duplicate and unnecessary material from the claims folder. File the Notice of Death Data print above the record of the last action taken on the claims folder. In segregated folders, file this print and related material in compartment B. In new XC-folders, file the print and related material on the right flap. 3.18 ESTABLISHMENT OF INACTIVE XC-FOLDERS Establish inactive XC-folders on an optional basis if it is determined that a critical shortage of local files space or filing equipment exists. Where inactive XC-folders are established, separate them as indicated below. Place the records in an inactive storage area until they are retired under RCS VB-1, part I, item No. 03-140.000 and chapter 15 of M23-1, part I. a. If the size of the claims folder existing at the time of the veteran's death indicates that it is potentially eligible for future establishment of an inactive XC-folder (at least 1/2 inch or more in thickness), place a suitable separator of lightweight material of distinctive color on top of all other material to facilitate later separation, if necessary. Place all material received and created after the veteran's death on top of the separator. b. When all pending claims for death benefits and insurance have been completely processed and result in one or more awards of recurring payments, the XC-folders which contain at least 1/2 inch or more of material received in the regional office before the veteran's death will be eligible for separation. c. If the XC-folder is eligible for separation, prepare a new XC-folder (red rope). File all material received or created by the regional office after the veteran's death on the proper flaps. Remove the last COMPLETE VA Form 21-6796, Rating Decision, which was prepared while the veteran was alive and a copy of the veteran's discharge papers from the old XC-folder and file them in the center section of the new XC-folder. All other material will remain in the old XC-folder. Stamp the old XC-folder in 1/2-inch letters, "INACTIVE XC-FOLDER." Place a date stamp showing the date the inactive folder was created so it is readily seen for subsequent retirement purposes. d. Stamp the newly created XC-folder in 1/2-inch letters, "INACTIVE XC-FOLDER EXISTS." 3.19 SECURING ADJUSTED COMPENSATION FILES The unsettled adjusted compensation (A) file will not be combined with an XC-folder in the Washington regional office but will be secured and forwarded with the XC-folder to authorization. After authorization effects the settlement, dispose of the A-file under MP-4, part X, item 6-5. SUBCHAPTER VII. MAINTAINING FOLDERS 3.20 RENOVATION OF FOLDERS a. Maintain veterans folders to provide maximum protection of their contents. Avoid overcrowding in file cabinets. Replace folder jackets and envelopes damaged through excess use. b. Renovate folders as needed to protect the contents. Perform any required renovation for folders being transferred before transfer. c. Renovation of segregated folders includes the screening of compartments A and D to remove from compartment A noncurrent change of address notices, superseded stop or suspend pay notices and worksheets and, from compartment D, material dated 1 year or older. Check material contained in all compartments for filing sequence. d. Review nonsegregated folders to ensure that all documents relating to payments, allowances and disallowances are filed on the left flap of the folder. File documents in chronological order. Take care to ensure that replies to incoming correspondence are filed immediately above the incoming correspondence. (1) Remove duplicate copies of documents in the folder unless they contain notations of record value. (2) Remove worksheets, control or suspense copies of VA forms, form letters, diary slips, routing slips and letters of transmittal which have served their purpose and have no record value. e. Dispose of material removed from renovated files under RCS VB-1, part I, item No. 13-052.000. f. Duplicate markings shown on the old jacket of a renovated folder on the new jacket with the exception of those now considered obsolete. 3.21 NONCURRENT STANDARD NOTATIONS ON CLAIMS AND XC-FOLDER JACKETS Standard notations previously used in denoting existence or disposition of allied records or actions are no longer required and will not be perpetuated by appearing on new jackets prepared for folders showing these notations. If the noncurrent notation has been superseded, the current notation will be used. (See par. 2.07 for a list of current notations.) There are a great number of obsolete notations, a partial list of which follows. a. "POWER OF ATTORNEY (date)." This notation indicates a discontinued procedure whereby receipt of a current power of attorney was reflected on the jacket(s) of the veteran's records. The existence of status of powers of attorney cannot presently be determined without a review of the folder content. b. "RETIRED FILE IN VARSC" and "CURRENT FILE." These notations denote a discontinued procedure. "Retired Files" consisting of correspondence removed from claims folders were retired to the VA Records Service Center which is no longer in existence. All such records have been disposed of in accordance with appropriate records disposition authority. Current procedure does not provide for creation of "Retired Files." c. "R∧E FLDR TRFR TO VA REC (SERV) CENTR (date trfr)." Obliterate this stamp when noted during routine operations. Folders transferred to VA Records Service Center have been destroyed. d. "R∧E FLDR LOC (name of station)." This notation was placed immediately contiguous to the "R∧E FLDR" stamp when R∧E or OE folders were at another station by reason of VR∧C workload considerations. e. Others. "DECEASED CASE;" "PAY RECORDS LOCATED ;" "RATED 1945S;" "REVIEWED UNDER PUBLIC LAW NO. 2, 73RD CONGRESS;" "REVIEWED LETTER D A 12-14-54;" "REVIEWED UNDER INSTRUCTION #3 SECTION 27 AND 28 PUBLIC LAW 144, 73RD CONGRESS;" and "7-195 FILED IN R∧E FOLDER ON ." SUBCHAPTER VIII. MILITARY AND PENDING FILES 3.22 MILITARY FILE a. Adjudication will maintain a file, called the military file, comprised of the following: (1) Correspondence of a general nature relating to matters for which VA has administrative responsibility which may be of value as supporting record material if a claim or application for benefits is filed at some future date and which cannot be returned to the originator because of no return address or a faulty address. (2) Applications for benefits and related correspondence pertaining to persons who cannot be identified by service departments as having had military service and which cannot be returned to the originator because of no return address or faulty address. b. Material in the military file will be maintained in alphabetical order by calendar year. At the end of the calendar year, close the file and dispose of it under RCS VB-1, part I, item No. 03-132.200. c. Annotate "no record" material processed across the military file with results of the search. 3.23 TEMPORARY MILITARY FILE a. Adjudication will maintain a temporary military file containing copies of the following types of material: (1) Followups and acknowledgments of followups on mail pertaining to transfer of veterans records. (2) Mail pertaining to veterans, their beneficiaries and dependents on matters not administered by VA. (3) Any other material without identifying file number which is NOT OF VALUE to an existing application or possible future application for VA benefits or as policy or precedent-establishing material and which cannot be returned to the originator because of no return address or a faulty address. (4) Material designated by any other directive to be filed in the temporary military file. b. Maintain the temporary military file in alphabetical order on a quarterly basis. At the end of each quarter, close the file and dispose of it under RCS VB-1, part I, item No. 03-055.000. 3.24 AUTHORIZATION PENDING FILES In the past, several pending files were maintained at the regional office. There was a Data Terminal File maintained by the Data Terminal Activity which contained material on claimants or correspondents which could not be identified with a particular claim for benefits, for which a file number could not be established or for which a folder could not be immediately established. There was a Correspondence Activity File which contained material with a VA file number pertaining to claimants for whom there was no-record mail on file in the regional office, all material awaiting developmental action by another VA office, and copies of documents in suspense for followup action such as VA Form 21-3101, Request For Information, VA Form 20-8738, BIRLS Record Adjustment Worksheet, and VA Form 21-7672, Notice of Death Worksheet. There was also a Transfer Activity File containing all actions pending on the transfer of claimants' records. As a result of consolidation of functions, most regional offices now maintain only one pending file that encompasses all of these areas. a. The pending file consists of two segments - alphabetic and numeric. (1) The alphabetic segment includes material originated by Adjudication to which a reply is expected which will require further action and all actions pending on the transfer in or out of claims folders. Either annotate the material in the alphabetic file with the date of the request and the data requested or attach a copy of the outgoing correspondence to the material. (2) The numeric segment consists of a second copy of the correspondence from the alphabetic segment, filed according to the suspense date. b. If the volume is so slight that it requires only a few minutes to review the entire pending file, boldly annotate the alphabetic copy to show the suspense date. This eliminates the need for maintaining the numeric segment of the file. c. Review the pending file DAILY during the first workhour of the day. Take followup action on all current-date suspense items. d. Annotate the advancement of suspense dates, either by reason of dispatch of followup correspondence or administrative determination, in the numeric segment of the file. If there is no numeric segment (see subpar. b above), annotate the alphabetic copy to show the updated suspense date. e. Clear both segments of the pending file upon receipt of the requested correspondence or folder. SUBCHAPTER IX. FOLDERS ELIGIBLE FOR COURT OF VETERANS APPEALS REVIEW 3.25 FOLDERS ELIGIBLE FOR COURT OF VETERANS APPEALS REVIEW Special handling procedures are required for claims folders containing decisions by the Board of Veteran's Appeals (BVA) which meet the criteria for review by the United States Court of Veterans Appeals (the Court). a. General. The Veterans Judicial Review Act, Public Law 100-687, enacted into law on November 18, 1988, created the Court and granted it exclusive jurisdiction to review BVA decisions. Only those BVA decisions resulting from Notices of Disagreement (NOD) filed on or after November 18, 1988, are subject to review by the Court. Appeals must be filed directly with the court within 120 days of an adverse BVA decision or by November 14, 1989, whichever date is later. Until the appeal period has expired, a claims folder will require special handling to preserve the record on which the BVA decision was based and to ensure that the claims folder will be available for immediate transfer to General Counsel (GC) if an appeal is filed. b. BVA Responsibilities. BVA is responsible for determining which of its decisions meet the criteria for review by the Court. BVA personnel will attach an easily recognizable label to the outside of each claims folder containing such a decision and will identify the record to be preserved by placing file inserts over the material contained in the file. See exhibits A, B, C and D. These forms will be maintained by BVA for their exclusive use and will not be stocked in the regional offices. BVA will annotate the center file insert with the date (150 days from the date of the BVA decision) on which special handling will no longer be required and return the claims folders to the regional office of jurisdiction. c. Adjudication Officer Responsibilities. During the period when special handling is required, the Adjudication Officer (AO) is responsible for controlling these claims folders and protecting the integrity of the records subject to review by the Court. When one of these folders is transferred, the AO must certify that while the folder was maintained under his or her control no material was added to or deleted from the record which was the basis for the BVA decision. The AO must also ensure that each of these claims folders will be available for immediate transfer to GC upon request if an appeal is filed with the Court. AO's are also responsible for designing and implementing local procedures to keep these claims folders in a secure area separate from regular files storage; ensuring that any claims folder removed from the secured area is returned by the close of business each day; guaranteeing that the claims folder will be available for immediate transfer; and returning the claims folder to regular storage on the date indicated by BVA on the file insert. NOTE: A charge card indicating that the claims folder is being maintained in the BVA secured area will be placed in the proper sequence in regular files storage. (See par. 4.18 concerning permanent and temporary transfers of these claims folders.) d. Temporary Files. Since NO material may be added to or deleted from the record contained in the claims folder, a temporary file will be established for each claims folder if there is file mail or any other accumulated material which would normally be stored in the claims folder. A temporary file created while the claims folder was at BVA will be retained for this purpose. The temporary file will be annotated "BVA Decision (date) " and may be stored in either the secured area with the claims folder or in the regular files, at the discretion of the AO. It will not be subject to the same stringent restrictions as the claims folder and should have its own charge card. NOTE: Whenever possible the temporary file should be used without the claims folder to process issues which may arise. The temporary file will remain in the regional office if an appeal is filed with the Court. It may be beneficial in many instances to include in the temporary file copies of important documents such as the last rating of record. e. Folder Reviews. Any review of the claims folder will require documentation of the date and time of the folder review, identification of the record reviewed, purpose of the review, identification of the reviewer and certification that nothing has been added to or deleted from the material identified by BVA as subject to review by the Court. Space for the required certifications has been provided on the file inserts which BVA places over the center flap of the claims folder. Anyone reviewing the claims folder must take care not to change the order in which the material is filed. (1) VA Personnel. Claims folder reviews by VA personnel should be limited to the fewest number of employees possible. On each occasion the AO or his or her designee must certify that no material was added to or deleted from the record which is subject to review by the Court. (2) Non-VA Personnel. Any claims folder review by non-VA personnel, including claimants, service officers, attorneys or anyone else, must be conducted in the presence of a VA employee. The VA employee will be required to certify over his or her signature that during the review no material was added to or deleted from the record which is subject to review by the Court. VA personnel present during a claims folder review need not be from the adjudication division, and stations are encouraged to involve employees from other divisions such as VSD in these assignments. Employees are present to protect the integrity of the record subject to review by the Court and should not comment on or offer explanations of material contained in the claims folder. f. Expiration of Appeal Period. When the local control matures 150 days after the date of the BVA decision, the claims folder may be removed from the BVA secured area and transferred to normal storage. The outside label, the file inserts and BVA tabs inside the claims folder must be removed at that time and the material in the temporary file transferred to the permanent claims folder. The temporary file may be destroyed according to current procedures. g. BVA Decision Appealed. Once the Court has docketed an appeal, General Counsel will telefax a request for transfer of the claims folder to the regional office of jurisdiction. The regional office should cancel its pending local control and forward the claims folder to GC immediately. The claims folder will be unavailable to the regional office for an extended period, so the temporary file should be reviewed to ensure it contains copies of any material which might be needed for claims processing during the intervening period. When the claims folder is forwarded to GC, the temporary file will be maintained in normal storage. Exhibit A. Label for Front of Claims Folder ATTENTION THE BOARD OF VETERANS' APPEALS HAS MADE A DECISION ON THIS APPEAL WHICH IS SUBJECT TO REVIEW BY THE UNITED STATES COURT OF VETERANS APPEALS SPECIAL PROCEDURES TO PROTECT THE INTEGRITY OF THE FOLDER MUST BE FOLLOWED (To be placed on the outside of the claims folder) Exhibit B. Label for Right and Left Flaps of Folder CAUTION THE EVIDENCE CONTAINED IN THIS FOLDER IS SUBJECT TO REVIEW BY THE UNITED STATES COURT OF VETERANS APPEALS THE FOLDER MUST BE PRESERVED EXACTLY AS IT WAS AT THE TIME OF THE PROMULGATION OF THE BOARD OF VETERANS' APPEALS DECISION NOTHING MAY BE ADDED TO OR DELETED FROM THIS FOLDER ALL EVIDENCE OF RECORD MUST BE MAINTAINED IN THE EXACT ORDER OF FILING AS CONSIDERED BY THE MEMBERS OF THE BOARD OF VETERANS' APPEALS (To be placed on the right and left flaps of the claims folder) Exhibit C. Label for Center of Folder CAUTION THE EVIDENCE CONTAINED IN THIS FOLDER IS SUBJECT TO REVIEW BY THE UNITED STATES COURT OF VETERANS APPEALS NOTHING MAY BE ADDED TO OR DELETED FROM THIS FOLDER. ALL EVIDENCE OF RECORD MUST BE MAINTAINED IN THE EXACT ORDER OF FILING AS CONSIDERED BY THE MEMBERS OF THE BOARD OF VETERANS' APPEALS SPECIAL HANDLING REQUIRED UNTIL: (date) Any individual who seeks access to the contents of this record must be authorized to do so and must provide the information requested below. Date Time Record Reviewed: - - - Purpose of Review: - - - Reviewer/Organization: - - - I certify that during this review of the VA records folder nothing was added to or deleted from the record identified as subject to review by the U.S. Court of Veterans Appeals. Signature Date Name and Position (in block letters) - - - (To be placed over the records in the center of the claims folder) Exhibit D. Certification of Record Integrity CERTIFICATION OF RECORD INTEGRITY I certify that this VA records folder was maintained in a secured area at the VA Regional Office and that to the best of my knowledge and belief nothing was added to or deleted from the record identified as subject to review by the United States Court of Veterans Appeals. Date Signature and Title of Certifying Official CERTIFICATION OF RECORD INTEGRITY I certify that this VA records folder was maintained in a secured area at the VA Regional Office and that to the best of my knowledge and belief nothing was added to or deleted from the record identified as subject to review by the United States Court of Veterans Appeals. Date Signature and Title of Certifying Official CERTIFICATION OF RECORD INTEGRITY I certify that this VA records folder was maintained in a secured area at the VA Regional Office and that to the best of my knowledge and belief nothing was added to or deleted from the record identified as subject to review by the United States Court of Veterans Appeals. Date Signature and Title of Certifying Official CHAPTER 4. JURISDICTION AND TRANSFER CONTENTS PARAGRAPH PAGE SUBCHAPTER I. JURISDICTION 4.01 Jurisdiction over C Folders........................... 4-I-1 4.02 Jurisdiction over XC-folders.......................... 4-I-3 4.03 Claims for Education Benefits......................... 4-I-5 SUBCHAPTER II. TRANSFER 4.04 Permanent Transfer of Claims and XC-folders........... 4-II-1 4.05 Permanent Transfer of Principal Guardianship Folders.. 4-II-1 4.06 Classified Records.................................... 4-II-2 4.07 Permanent Transfer of VA Employee-Veteran Records..... 4-II-2 4.08 Permanent Transfer of XC-folders for Insurance Purposes............. 4-II-4 4.09 Records to Accompany Claims Folder - Permanent Transfer............. 4-II-4 4.10 Procedures for Permanent Transfer-out of C and XC-folders........... 4-II-4 4.11 Procedures for Permanent Transfer-in of C and XC-folders............ 4-II-6 4.12 Permanent Transfer of Dual Benefit Cases.............. 4-II-8 4.13 Temporary Transfer of C and XC-folders................ 4-II-8 4.14 Association of Miscellaneous Material with Records on Temporary Transfer......................... 4-II-9 4.15 Temporary Transfers to Central Office................. 4-II-10 4.16 Processing and Disposition of Folders in Litigated Cases............ 4-II-11 4.17 Temporary Transfers to WRO - XC-folders............... 4-II-12 4.18 Transfer of Folders Subject to Review by The United States Court of Veterans Appeals (the Court)................. 4-II-13 SUBCHAPTER I. JURISDICTION 4.01 JURISDICTION OVER C FOLDERS a. General. The claims folder of a living veteran is under the jurisdiction of the regional office assigned the geographical area where the veteran maintains a permanent address. This remains true even though the file is in storage at the Records Processing Center (RPC) or a Federal Records Center (FRC). Exceptions are as follows: (1) Washington DC Regional Office (WRO). Files under the exclusive jurisdiction of the Washington regional office. (See subpar. c below.) (2) Employee-Veterans. (3) Mexican Cases. Mexico is included in the area under the jurisdiction of the Houston regional office. (4) Polish and Czechoslovakian Veterans. If Polish or Czechoslovakian veterans apply for health care under 38 U.S.C 109 and claim service connection, the Wilmington regional office has sole responsibility for rating action. A claims folder and number will not be assigned to these claims. (a) If only a VA Form 10-7131 is received at the local regional office, return it to the requesting medical facility. Instruct the medical facility to follow the procedures in M-1, part I, paragraph 4.03. The local medical facility is responsible for fully developing the claim before sending the request directly to MAS (136) in Wilmington VAM∧ROC. Wilmington will not do development in these cases, and the Adjudication Division will not look at a claim until MAS (136) has created a special Polish-Czech folder and development is complete. (b) If a claim is received for compensation or pension from a Polish or Czech veteran who had no service with the U.S. Armed Forces, the regional office receiving the claim will disallow the claim for no qualifying service. These cases will not be transferred to the Wilmington regional office. (5) Section 156, Public Law 97-377, Restored Entitlement Program for Survivors (REPS). Jurisdiction for these claims is split between the various regional offices and a special processing unit at the St. Louis regional office. The office having jurisdiction of the XC-file is responsible for determining basic eligibility and forwarding the claim (not the XC-file) to the St. Louis regional office. b. Philippine Cases. Claims involving veterans of the Commonwealth Army of the Philippines while such forces were in the Armed Forces of the United States (July 26, 1941 through June 30, 1946), Special Philippine Scouts (Enlisted between October 6, 1945 and June 30, 1947) and Alleged or Recognized Guerrilla Service before July 1, 1946 (Peso Rate Cases) are under the exclusive and permanent jurisdiction (unless otherwise indicated) of the Manila regional office. c. Washington DC Regional Office (WRO). C files within the following classes are under the exclusive and permanent jurisdiction of WRO: (1) Service Before July 16, 1903. If the veteran rendered any service beforethis date. (2) VA Employee - Veteran. Any veteran employed in an office located in a foreign country. (3) Forfeiture Cases. If forfeiture is invoked and benefits are not terminated, forward the file to WRO for termination under 38 CFR 3.669. The Manila regional office will terminate cases under its jurisdiction. Once terminated, the file will be returned to Central Office where it will remain until expiration of the appeal period or an appellate decision is rendered. At the end of this period, return the file to the regional office having jurisdiction of the geographical area where the veteran maintains a permanent address. That station will maintain the folder in locked files. (4) Foreign Residence. Veterans residing in a foreign country, except Mexico, or outside the territories assigned to the regional offices in Puerto Rico, Hawaii and the Philippines. This does not apply to transients. Jurisdiction is determined by the veteran's residence and entitlement, not the residence of a dependent. If a claimant changes his/her address to an APO or FPO address and the folder is currently located at WRO, jurisdiction will remain at WRO. Do not transfer cases to WRO merely because a claimant has moved to an APO or FPO address. (5) General Law Cases. Entitlement to compensation under the former general law, the Act of 1862, as amended (38 U.S.C 1152). (6) Protection provided by former Public Law 788, 74th Congress, relative to the general law rate (38 U.S.C 1152). (7) Entitlement to naval pension under 10 U.S.C 6159 and 6160. (8) Entitlement under a Special Act. (9) Residents of U.S. Soldiers' and Airmen's Home, Washington, DC. (10) Claims involving residence in enemy territory. (38 U.S.C 5308, 5309) (11) Entitlement to chapter 31 educational benefits based on service in allieforces. (12) Classified Records. Claims involving service department information classified as "Confidential." (a) Once an award or disallowance is processed and the appeal period expires, permanently transfer the claims folder to the regional office having jurisdiction over the veteran's place of residence. (b) Classified material is retained in WRO in locked files. VA Form 70-3797, Cross Reference to Confidential Report, indicating existence and location of this material will be flash filed on the left side of the claims folder. This form will remain above all other material at all times. (13) Entitlement to emergency officers' retirement pay under Public Law 506, 70th Congress, as amended. (14) Entitlement to Reserve Officers' retirement pay under Public Law 262, 77th Congress. d. Incompetent Veterans. If a fiduciary has been appointed by a court for an incompetent veteran, jurisdiction is in the regional office for the area in which the appointing court is located. 4.02 JURISDICTION OVER XC-FOLDERS a. Regional Office Jurisdiction. Observe jurisdictional areas assigned to regional offices. For this purpose, jurisdiction of the Houston regional office includes the area comprising the country of Mexico. Except when WRO or the Manila regional office has permanent or initial jurisdiction, jurisdiction of cases in which initial reports of death are received is established as follows: (1) Existing Claims Folder. The regional office having jurisdiction over the veteran's claims folder at the time of death, including employee cases. (2) No Claims Folder - Death After Service. The regional office in the area where the preferred beneficiary resides when a claim for death benefits is pending in that office. The order of preference is surviving spouse, youngest child, mother and father. (3) No Claims Folder - Death in Service (a) If death occurs in service and no claims folder exists, the regional office in the area where the preferred beneficiary resides has jurisdiction. The order of preference in these cases is surviving spouse, youngest child, mother and father. (b) When there is no record of a potential claimant and death occurs in service, the regional office in the area where the veteran resided at the time of last entry on active duty has jurisdiction. b. Jurisdiction Based on Order of Preference. Jurisdiction is established in the regional office in the area in which the primary payee or claimant resides, in the following order of preference: (1) Dependent or Beneficiary of Two or More Veterans. The regional office having jurisdiction over the address of the dual claimant has jurisdiction of both XC-folders unless WRO or the Manila regional office has permanent jurisdiction of one or both of the folders. (2) Payee of Death Pension, Compensation or Dependency and Indemnity Compensation (DIC). If there is more than one payee of death pension, compensation or DIC, the order of preference is surviving spouse, youngest child, mother, father. See subparagraph c(2) below. (3) Payee of Insurance. When there is no claim for death pension, compensation or DIC or a claim was disallowed, the regional office having jurisdiction over the address of the insurance payee retains the file. If there is more than one payee, the order of preference is surviving spouse, youngest child, mother, father, oldest sister, oldest brother, remarried surviving spouse. (4) Inactive Cases. Cases in which no claim for death pension, compensation or DIC has been filed or disallowed cases in which no appellate action is pending are retained by the office of initial jurisdiction. If the inactive case is retired to an FRC or the RPC, jurisdiction will remain with the office that retired the folder. Transfer of jurisdiction is effected upon request by another regional office which has received a claim for death benefits from a person residing within its jurisdiction. c. Cases Under Permanent Jurisdiction of WRO. WRO has permanent jurisdiction over the types of death cases specified below. If any such case is in a regional office, permanently transfer the XC-folder with any related records to WRO. (1) Service Prior to July 16, 1903. If the veteran rendered any service prior to July 16, 1903. (2) Residence in Foreign Countries. If the primary beneficiary or a claimant resides in a foreign country or any payee receives income in foreign currency which affects entitlement to VA benefits, WRO has jurisdiction. However, this subparagraph does not apply if the primary beneficiary resides in a foreign country or territory under the exclusive jurisdiction of the Houston, Honolulu, Manila or San Juan regional offices; or if exclusive jurisdiction is vested in the Manila regional office under subparagraph 4.02e. Residence is established upon receipt of a valid request for change of address from the claimant or payee. Before transferring a folder to WRO for the above reasons, a supervisor will ensure that the transfer is proper. (3) APO or FPO Addresses. Cases in WRO in which the claimants or payees have APO or FPO addresses. (Do not transfer cases in regional offices to WRO merely for the reason that claimants or payees have moved to such addresses.) (4) Special Act. If there is entitlement under a special act. (5) Dependent or Beneficiary of Two or More Veterans. If a person is receiving or claiming death pension, compensation, DIC or insurance on account of the death of two or more veterans and one or more of the XC-folders is under the permanent jurisdiction of WRO. (6) Special Allowance, 38 U.S.C 1312(a). If there is entitlement to a special allowance under 38 U.S.C 1312(a). (7) Reports Classified "Confidential-Security Information." If an XC-folder contains material classified as "Confidential-Security Information." d. Cases Under Initial Jurisdiction of WRO. WRO has initial jurisdiction of cases specified below. Except as provided in subparagraph (1)(c) below, permanently transfer these cases to WRO promptly upon report of death or the occurrence of the contingency establishing this jurisdiction. (1) Adjusted Compensation. Cases involving initial settlement of adjusted compensation are retained in WRO until a claim for death benefits is received. (a) If all action on claims for adjusted compensation is complete at the time of receipt of a claim for death benefits, transfer the file to the regional office of jurisdiction as determined in subparagraph a above. (b) If adjudicative action has not been completed on a claim for adjusted compensation at the time of receipt of a claim for death benefits, transfer may be accomplished upon final adjudication of all pending claims. (c) If a case is located in a regional office and further adjudication of adjusted compensation is necessary, temporarily transfer the XC-folder to WRO for that purpose. (2) Death in Service (a) Cases of death in service or while in training or on officially authorized travel and WRO has custody of a claims folder established before death. (b) Cases in which a claims folder was not in existence at the time of the veteran's death and the available address for the surviving spouse is indicated as a temporary address only. (3) Forfeiture Cases. Except for those under the jurisdiction of the Manila regional office. e. Permanent Jurisdiction of Manila Regional Office (1) Claims based on service with the Commonwealth Army of the Philippines while such forces were in the Armed Forces of the United States (July 26, 1941 through June 30, 1946), Special Philippine Scouts (Enlisted between October 6, 1945 and June 30, 1947) and Alleged or Recognized Guerrilla Service prior to July 1, 1946 (Peso Rate Cases) are under the exclusive and permanent jurisdiction (unless otherwise indicated) of the Manila regional office. (2) Cases where the primary beneficiary resides in the Philippines. (3) Forfeiture cases under Manila's jurisdiction. See M23-1, part I, chapter 14. 4.03 CLAIMS FOR EDUCATION BENEFITS The provisions of this paragraph cover the initial handling of applications for education benefits under 38 U.S.C chs. 30, 31, 32, 35, chapter 106 of title 10, Veterans' Job Training Act and Sections 901 and 903 of Public Law 96-342. For additional information on jurisdiction of education folders, see M22-2, part I, chapter 2. a. Counseling/Evaluation/Rehabilitation (CER) Folders. Applications under 38 U.S.C chapter 31 are processed by the office having jurisdiction over the area in which the veteran resides. This processing will include the development of the application and determination of eligibility and entitlement, preparation of the CER and related folders and the determination of need for and completion of counseling. Once a veteran enters training, the folder is maintained by the office having jurisdiction over the area in which the veteran is training. See M28-2, part I, paragraph 1.01. b. DEA Folders. Applications under 38 U.S.C chapter 35 are processed by the office having jurisdiction of the veteran's C or XC-folder for a determination of basic eligibility. NOTE: Jurisdiction of applications under 38 U.S.C 3565 (peso payment cases) is in the Manila regional office. See M22-2, part I, paragraph 2.06. c. Chapter 30 Folders. Chapter 30 claims are under the jurisdiction of the Atlanta, Buffalo, Muskogee and St. Louis regional offices. Claims for chapter 30 death benefits are handled by the St. Louis regional office only. d. Claims under Chapters 32 and 106 and Section 903. Applications for education benefits under chapters 32 and 106 and Section 903 are processed by the office having jurisdiction over the area in which the veteran attends school. Maintain the C folder in that office as long as there is an active education claim. e. Section 901 Folders. Section 901 folders are under the jurisdiction of the Waco regional office only. f. Claims under the Veterans Job Training Act, Public Law 98-77. The Job training folder and the claims folder must be in the same office. The folders are maintained by the office having jurisdiction over the area in which the veteran is training. SUBCHAPTER II. TRANSFER 4.04 PERMANENT TRANSFER OF CLAIMS AND XC-FOLDERS Permanently transfer claims and XC-folders under the following conditions: a. The veteran, preferred beneficiary, or authorized representative specifically requests transfer to the regional office of jurisdiction based on a permanent change of address. b. A request for a physical examination is pending in the office serving the veteran's home address. c. An application by the veteran for a VA benefit or a claim for an increase in benefits is pending in the regional office serving the veteran's home address. d. If a loan default indebtedness is established, no current benefits are being paid, no claim is being processed, and there is no other outstanding indebtedness in the case, the station that originated the debt will immediately request the claims folder. If benefits are currently being paid, a claim is being processed or there is an active outstanding indebtedness in the case, the complete loan indebtedness records will be transferred to the station having claims folder jurisdiction. e. To comply with procedures governing jurisdiction of employee-veteran records, see paragraph 4.07 and part III, paragraph 2.07. f. Exclusive jurisdiction is in WRO. g. Exclusive jurisdiction is in the Houston regional office because the veteran resides in Mexico. h. Exclusive jurisdiction is in the Manila regional office because the veteran's claim is based on service with the Commonwealth Army of the Philippines, Special Philippine Scouts or Alleged or Recognized Guerrillas. i. If a fiduciary has been appointed by a court for an incompetent veteran or preferred beneficiary, jurisdiction is in the regional office for the area in which the appointing court is located. (See paragraph 4.10e below.) j. The claims folder is required by another office for litigation involving insurance benefits. k. Jurisdiction is reassigned by Central Office. l. When correspondence is received at a regional office not having custody of the claims folder, forward the document to the office having possession of the folder. The latter office will determine if a transfer is in order. 4.05 PERMANENT TRANSFER OF PRINCIPAL GUARDIANSHIP FOLDERS a. The Veterans Services Officer (VSO) or designee initiates the transfer of these folders. No folder will be transferred without the approval of the VSO or designee at the regional office where the folder is located. b. Forward a copy of VA Form 70-7216a, Request for and/or Notice of Transfer of Veterans Records, to the regional office having jurisdiction of the corresponding claims folder. c. The authorization activity at the receiving station will enter the number of the regional office having jurisdiction of the guardianship file by the use of the CORR command. This three-digit field is shown on the M11 Screen under the heading GDN. 4.06 CLASSIFIED RECORDS a. Claims folders containing confidential material may be transferred after an award or disallowance is processed and the appeal period has expired. The confidential material will remain at WRO in the locked files. b. File material classified "For Official Use Only" is kept in the claims folder. If the claims folder is transferred, this material will be transferred with it. 4.07 PERMANENT TRANSFER OF VA EMPLOYEE-VETERAN RECORDS a. Upon receipt of VA Form 70-4535, Notice of Employment, Transfer or Separation of Veteran, pull the claims folder and route the form and folder to a clerk. If the form is completed to show "Notice of Employment" or "Transfer" the clerk will review the folder to determine the office of jurisdiction. (See subpar. e below.) Before transfer, a claims examiner will review the folder to determine if transfer is in order. b. The claims folder will be transferred to the jurisdictional regional office under the following conditions: (1) If no rating or award action is pending, the claims folder is transferred at the expiration of 90 days after the date of employment. (2) If rating or award action is indicated but has not been initiated, the claims folder is transferred immediately. (3) If development of a claim is in progress, the claims folder is transferred upon receipt of the evidence requested. This includes reports of any authorized physical examination. (4) If an employee-veteran is receiving education benefits and rating or award action for compensation or pension is indicated but not initiated, the clerk will immediately temporarily transfer the folder to the office having compensation and pension jurisdiction. Upon completion of the required action, the claims folder will be returned to the office having jurisdiction of the school or training establishment. c. If VA Form 70-4535 indicates "Separation" other than for entrance into military service, the veteran's records will be retained in the office of jurisdiction at time of separation until transfer is in order for any reason shown in paragraph 4.04. d. VA employee-veteran records are maintained in the locked files if jurisdiction of the records is assigned to the employing office. e. The office of jurisdiction for active employee-veteran records for compensation or pension purposes is shown below. STATION EMPLOYING VETERAN OFFICE OF JURISDICTION Central Office Baltimore Alabama: Montgomery Columbia Alaska: Anchorage Seattle Arizona: Phoenix Albuquerque Arkansas: Little Rock Wichita California: Los Angeles San Francisco San Diego Los Angeles San Francisco Reno Colorado: Denver Salt Lake City Connecticut: Hartford White River Junction Delaware: Wilmington Philadelphia District of Columbia Wilmington Florida: St. Petersburg Atlanta Georgia: Atlanta Montgomery Hawaii: Honolulu San Francisco Idaho: Boise Fort Harrison Illinois: Chicago (including Milwaukee West Side VA Medical Center) Indiana: Indianapolis Louisville Iowa: Des Moines Chicago Kansas: Wichita Muskogee Kentucky: Louisville Nashville Louisiana: New Orleans Jackson Maine: Togus Boston Maryland: Baltimore Wilmington Massachusetts: Boston Manchester Michigan: Detroit Pittsburgh Minnesota: St. Paul Sioux Falls Mississippi: Jackson New Orleans Missouri: St. Louis Lincoln Montana: Fort Harrison Seattle Nebraska: Lincoln St. Louis Nevada: Reno Los Angeles New Hampshire: Manchester Togus New Jersey: Newark New York New Mexico: Albuquerque Waco New York: Buffalo New York New York Newark North Carolina: Winston-Salem Roanoke North Dakota: Fargo St. Paul Ohio: Cleveland Detroit Oklahoma: Muskogee Little Rock Oregon: Portland Boise Pennsylvania: Philadelphia Washington, D.C. Pittsburgh Cleveland Philippines: Manila Washington, D.C. Puerto Rico: San Juan New York Rhode Island: Providence Hartford South Carolina: Columbia St. Petersburg South Dakota: Sioux Falls Fargo Tennessee: Nashville Cleveland Texas: Houston Waco Waco Houston Utah: Salt Lake City Denver Vermont: White River Junction Providence Virginia: Roanoke Huntington Washington: Seattle Portland West Virginia: Huntington Winston-Salem Wisconsin: Milwaukee Des Moines Wyoming: Cheyenne Salt Lake City 4.08 PERMANENT TRANSFER OF XC-FOLDERS FOR INSURANCE PURPOSES If an insurance center requests a determination which has not been made, permanently transfer the XC-folder to the Adjudication Division of the requesting Regional Office and Insurance Center (RO∧IC). Annotate VA Form 70-7216a with "M21-1, part IV, paragraph 23.11b(5)" as the reason for transfer. Any concurrent adjudicative issues are now under the jurisdiction of the RO∧IC Adjudication Division. 4.09 RECORDS TO ACCOMPANY CLAIMS FOLDER - PERMANENT TRANSFER The following records are transferred with the claims or XC-folder, as appropriate: a. All records in calendar suspense file. b. R∧E folder and charge card. Annotate VA Form 70-7216a in item 13 to show the transfer of this folder. c. Fiscal records, if indicated. d. JOB training folder. 4.10 PROCEDURES FOR PERMANENT TRANSFER-OUT OF C AND XC-FOLDERS a. Requests for the permanent transfer-out of claims folders may be received via telephone contacts with other regional offices, requests by personnel at the transferring station, and from BIRLS through the BPRT command. Messages are printed daily from the BPR Screen. These messages indicate which station is requesting the folder. If a folder transfer request is not cleared from the system within 15 days, it will appear in the FOLDER REQUESTS PAST DUE 15 DAYS on the BPR Screen. The transfer request remains in the system until it is indicated on the LOC Screen that THE FOLDER IS UNAVAILABLE FOR TRANSFER or until the requesting station receives the folder and the clerk updates the LOC Screen to show that THE FOLDER IS LOCATED AT THIS STATION. After 30 days, the request moves from the FOLDER REQUESTS PAST DUE 15 DAYS to the FOLDER REQUESTS PAST DUE 30 DAYS. b. Route all requests for permanent transfer-out of claims folders to a clerk. The clerk will forward the request to the files activity for folder pull. c. Once the folder is pulled, the clerk prepares VA Form 70-7216a, if the folder transfer request is not obtained via the BPRT command. If the folder transfer request is obtained via the BPRT command, staple a copy to the front of the folder and highlight the claim number and destination of the folder. Review the folder for unanswered correspondence or pending issues. If there is no unanswered correspondence or pending issue, transfer the file immediately. If there is unanswered correspondence or a pending issue, the clerk will forward the file to a claims examiner for review. If at all possible, the claims examiner will answer any unanswered correspondence or process any pending claim. If the claim cannot be processed because development is needed, the claims examiner will: (1) Annotate VA Form 70-7216a or the BPRT print, "Adjudication action pending (2) Cancel the pending issue, (3) Reverse file the pending mail in the middle section of the claims folder and (4) Return the file to the clerk. d. If there is a VA Form 21-2507, Request for Physical Examination, pending, the clerk will notify the appropriate outpatient activity by telephone to cancel the request. e. If the claims folder reveals that a VSO at another station has jurisdiction of a fiduciary in the case, the clerk will annotate on the VA Form 70-7216a or the BPRT print the location of the VSO having jurisdiction. Notify the VSO at that station of the transfer of records by sending a copy of the VA Form 70-7216a or the BPRT print. (See par. 4.04i above.) f. If there is an R∧E file (Chapter 31) to be transferred out with the claims folder, the clerk will review the file for the existence of a running award. Since award action may be necessary, notify the VR∧C Division by telephone of the transfer. g. The clerk will staple the BPRT print or the top copy of the completed VA Form 70-7216a to the front of the claims folder. Send one copy to the files activity for posting of the charge card and place another copy in the middle section of the claims folder. If there are other files being transferred with the claims folder, place a copy in these files. h. When the VA Form 70-7216a or the BPRT print is received in the file room, the file clerk will annotate the charge card with "PTO" (permanent transfer out), the name and number of the station receiving the folder and the month the card will be eligible for disposal. The eligible month for disposal is the fourth month following the date of permanent transfer. i. If a folder is unavailable for transfer, notify the requesting station. The clerk will use the BUPD or BFLD command to notify the station. Use the three THE FOLDER IS UNAVAILABLE FOR TRANSFER: fields. Enter "X" for the folder type and the reason that the folder is unavailable for transfer. The CHARGED OUT TO, FORWARD THE CLAIM TO and NO RECORD fields are mutually exclusive. (1) If the folder is charged out, put it on search. If the file cannot be located within 5 workdays of the date the transfer request is printed, show the actual charge out in the CHARGED OUT TO field on the LOC Screen. The folder remains on search until it is located and the transfer request can be honored. (2) If BIRLS shows that the folder is located at a station but there is no record of it in the file bank, the files activity will conduct a thorough search for a misfile. If the folder is not at the station of record in BIRLS and there is no indication that it has been retired to RPC, the station of record in BIRLS will code the NO RECORD field on the LOC Screen. When the requesting station receives the NO RECORD response, it will initiate circularization. (see pars 3.13 and 3.14) (3) The FORWARD THE CLAIM TO field is used if the file cannot be transferred because it is needed at the station for processing of an education claim or other appropriate reason. The clerk will enter the name of the station in the FORWARD THE CLAIM TO field. When the requesting station receives a FORWARD THE CLAIM TO response, it must determine whether the file is needed or the mail can be forwarded to the station of record. If the file is needed at the requesting station, that station will contact the station of record by telephone and jointly determine proper jurisdiction of the file. j. If another station attempts to initiate a transfer request during a pending transfer request for a folder, the following message is displayed: "THE FOLDER TRANSFER IS IN PROGRESS. YOUR REQUEST IS DENIED." The requesting station can then either attach a copy of the current LOC Screen to the pending mail and forward it to the "IN TRANSIT TO" station or wait until the file is received at the "IN TRANSIT TO" station and initiate another transfer request. The type of mail the requesting station is holding will determine which course of action is appropriate. k. The clerk can make an unsolicited transfer by indicating on the LOC Screen that a folder is being sent to a particular station. The clerk will access the LOC Screen via the BUPD or BFLD command and enter the necessary data in the field "X TRANSFER THE XXXXX FOLDER TO XXX ROUTING SYMBOL XXXXXXXX." The system requires no entry after ROUTING SYMBOL but the appropriate routing symbol at the receiving station will be entered if it is known. The "IN TRANSIT TO STA/DATE" field will be updated by the system. The sending station must be the current station of record in BIRLS in order to initiate the folder transfer. 4.11 PROCEDURES FOR PERMANENT TRANSFER-IN OF C AND XC-FOLDERS a. Requests for the permanent transfer-in of claims folders are made to other regional offices, the RPC or FRC's. Folders received from the RPC or FRC's should be as the result of a specific request from the regional office. Folders received from other regional offices may have been requested or may be the result of an unsolicited request. b. Request folders from other regional offices by using the BFLD, BUPD, CEST or FNOD command. In some instances, the same commands can be used to request folders from the RPC. However, it may be necessary to use E-Mail to request XC-folders from the RPC. See subparagraph 5.19b. Use BFLD in most situations to monitor folder management. Request folder transfer using the TRANSFER THE FOLDER TO fields on the LOC Screen. Enter "X," the folder type, your station number, routing symbol, (e.g., X-CLAIM-323-211) and "UPD" in NEXT SCREEN. ("UPD" is not needed if the LOC Screen was accessed via the BFLD command.) This immediately initiates a FOLDER REQUEST message to the BPR Screen at the CURRENT LOCATION station. The requesting station's number and the date of request will appear in the IN TRANSIT TO fields. When the CURRENT LOCATION station prints its messages from the BPR Screen, it will get a message requesting transfer of the folder to the requesting station. This station will continue to appear on the LOC Screen as the IN TRANSIT TO station until the request is cleared from the system. The request is cleared if the CURRENT LOCATION station indicates on the LOC Screen that THE FOLDER IS UNAVAILABLE FOR TRANSFER or the LOC Screen is updated to show that THE FOLDER IS LOCATED AT THIS STATION. As long as the requesting station's number appears in the IN TRANSIT TO field, that station cannot send another request for transfer via BIRLS. Any necessary followups while the LOC Screen shows that the folder is IN TRANSIT TO, must be made using the telephone or E-Mail. Exercise care in making transfer requests as erroneous requests must be canceled by a telephone call to the other station. At the time the transfer request is initiated, the requesting station may choose to prepare a VA Form 3025 showing the date the file was requested and the type of material pending. Send the VA Form 3025 to files. However, the requesting station has the option of deferring preparation of the VA Form 3025 until the folder is received. c. Transfer requests for an XC-folder from an FRC are sent to the regional office nearest that particular FRC. The designated station batches and delivers the messages to the FRC. FRC will send the folder directly to the requesting regional office. Do not make a second request for a folder until 10 working days after the date the original request was sent. Target cannot be used to make a second request; therefore, use VA Form 70-7216a, Request for and/or Notice of Transfer of Veterans Records. The regional offices and the corresponding FRC's are shown below: VA Regional Office FRC Boston, MA (301) Waltham, MA (010) Newark, NJ (309) Bayonne, NJ (020) Philadelphia, PA (310) Philadelphia, PA (021) Washington, DC (372) Suitland, MD (030) Atlanta, GA (316) East Point, GA (040) Chicago, IL (328) Chicago, IL (050) Cleveland, OH (325) Dayton, OH (051) Wichita, KS (452) Kansas City, MO (060) St. Louis, MO (331) NPRC, St. Louis, MO Civilian (061) Military (062) Waco, TX (349) Fort Worth, TX (070) Denver, CO (339) Denver, CO (080) San Francisco, CA (343) San Bruno, CA (090) Los Angeles, CA (344) Laguna Niguel, CA (091) Seattle, WA (340) Seattle, WA (100) d. When the folder arrives at the receiving station, the clerk MUST update the two THE FOLDER IS LOCATED AT THIS STATION fields with "X" and the folder type. This location update is essential. If it is not accomplished, BIRLS will show the folder as IN TRANSIT indefinitely. The station sending the folder cannot update current location. After update, the receiving station becomes the CURRENT LOCATION, the sending station becomes PRIOR LOCATION and IN TRANSIT TO STA DATE is blank. e. Claims folders requested from other offices have a BPRT print or a VA Form 70-7216a stapled to the front of the claims folder. The clerk will date stamp the BPRT print or the VA Form 70-7216a and file it down in the middle section of the claims folder. If the reason for transfer is BIRLS or "transfer request," there should be pending mail. (1) If a charge card was prepared and sent to files at the time the folder was requested, attach the mail to the folder, update the LOC Screen and recharge the folder to the appropriate individual by completing a VA Form 20-3770a advising the file activity that the folder has been received and to where it has been routed. (2) If a charge card is prepared on receipt of the folder, attach the mail to the folder, update the LOC Screen, annotate the charge card to show the individual or element to whom or to which the folder is sent. Send the updated charge card to files. f. Review all unsolicited transfers to ensure they are proper. If the transfer was improper, return the claims folder to the transferring station with the reason for transfer shown as "improper transfer, jurisdiction refused." NOTE: Folders requested in error from the RPC cannot be returned. Any folderreceived from an FRC must be retained by the regional office. Therefore, clerks must be very careful when requesting folders from the RPC or an FRC. 4.12 PERMANENT TRANSFER OF DUAL BENEFIT CASES If a beneficiary is receiving benefits involving two claims folders, these folders must remain together. Do not transfer one without the other. 4.13 TEMPORARY TRANSFER OF C AND XC-FOLDERS a. A temporary transfer is one in which an office lends records to another office for a specific purpose and for a limited length of time. The transferring office retains jurisdiction and the folder is promptly returned after the purpose for the transfer has been completed. Since jurisdiction is retained by the trans- ferring office, requests for temporary transfers are NOT processed through BIRLS. b. Prepare VA Form 70-7216a to temporarily transfer a folder. Staple the original to the front of the folder. The clerk will keep one copy for control and followup purposes and a copy will be sent to files for posting of the charge card. It is very important that the clerk keep a copy of the VA Form 70-7216a as this is the only control the transferring station has over the location of the folder. Once the folder is returned, the clerk will dispose of the control copy. c. Before transferring the folder, check for a pending issue. Have an adjudicator review the pending issue to see if it can be worked. If not, do NOT cancel the pending issue on a temporary transfer but DISP the issue to show the temporary transfer. d. The clerk will conduct followups on folders that have been temporarily transferred out. Suspense dates for followups are set by local management. Generally, controls should be set for 6 months for folders going to Central Office or BVA. Most other temporary transfers generally require a 30-day suspense date. NOTE: When claims files are sent for review by the Medical Followup Agency of the National Research Council (NRC), establish a 90-day suspense date. This will be for files from the station's own file banks as well as for those recalled from an FRC for forwarding to NRC. If the file is not returned in 90 days, call the Medical Followup Agency at (202) 334-2825 and request return of the file. From this point on, maintain a 30-day local suspense and continue following up on the file until it is returned. e. Once a folder is returned from a temporary transfer, the clerk will file down the original copy of the VA Form 70-7216a in the middle section of the folder and dispose of the control copy. If the folder is not immediately being returned to files, the clerk will prepare a VA Form 20-3770a, Notification of Recharge of Numbered Folder, to inform the files activity of the new location of the folder. If there is a pending issue, DISP the folder to the new location. 4.14 ASSOCIATION OF MISC MATERIAL WITH RECORDS ON TEMPORARY TRANSFER a. If material is received in a regional office which must be associated with a claims folder on temporary transfer, the clerk will forward the material to the office in possession of the claims folder. Use VA Form 70-3029, Transfer of Veteran's Miscellaneous Records, to transmit the material. This form identifies the claims folder by name, number, date of and reason for temporary transfer and the mail routing symbol shown on the suspense copy of VA Form 70-7216a. b. If a claim or additional evidence is received, it must be referred to an adjudicator to determine the appropriate action. (1) If it is a claim that can be processed without the claims file, establish a temporary file. Once the claims folder is returned, this material must be placed in the folder. (2) If it is additional evidence received after a claims folder is transferred to the BVA, forward it along with the envelope in which it was received to the BVA if it has a direct bearing on an issue before the BVA. Review the copy of the VA Form 1-8 that has been retained to determine if the evidence has a direct bearing on the issue. Acknowledge receipt of the material before forwarding it to the BVA. The acknowledgement letter informs the correspondent that the material has been forwarded to the BVA. Stamp or annotate the material "Acknowledged, (Date) " before it is forwarded. While there is a time limit for submission of such evidence, the BVA will determine if it was timely received. See 38 CFR 20.1304. (3) If the evidence does not relate to the issue before the BVA but action is required, information needed from the claims file may be obtained by calling the office of the Director, BVA Administrative Service, at (202) 233-3336/3169 or by requesting temporary return of the claims folder. (4) A claim received after the claims folder has been forwarded to the General Counsel, pursuant to a notice of appeal filed with the court, must be referred to an adjudicator for processing in accordance with part IV, paragraph 2.09b. c. Change of Address Received After Transfer of Case to the BVA. If a change of address is received after the case has been forwarded to the BVA, fax the new address to Director, BVA Administrative Service (014), at (202) 233-6364. Ensure that the claim number and name of the veteran are on the document being faxed. Document that BVA was notified of the change of address by annotating the document, if it is otherwise to be retained, or by preparing a VA Form 119, Report of Contact. d. Change of Representative Received After Transfer of Case to the BVA. An appellant has 90 days from the mailing of notice that an appeal has been certified to the BVA, or until the date the appellate decision is promulgated by the Board, whichever comes first, during which he or she may submit a request for a change in representation. After that time, the Board may permit a change in representation for good cause. The request for a change in representation is to be sent directly to the BVA, not to the regional office. See 38 CFR 20.1304. (1) If, after transfer of the appeal to the BVA, notice is received of the appointment by the appellant of a new representative, update the Benefits Delivery Network and BIRLS records to reflect the new power of attorney code. (2) Forward to the BVA the document appointing the new representative along with the envelope in which it was mailed. (Keep a photocopy in the temporary folder.) The Board will determine if the request to change representative may be accepted. e. Request for Hearing Received After Transfer of Case to the BVA. An appellant has 90 days from the mailing of notice that an appeal has been certified to the BVA, or until the date the appellate decision is promulgated by the Board, whichever comes first, during which he or she may submit a request for a hearing on appeal. That request is to be sent directly to the BVA and not to the regional office. See 38 CFR 20.1304. If a request for a hearing is received at the regional office, forward it to the BVA along with the envelope in which it was mailed. The Board will determine if a hearing will be scheduled. 4.15 TEMPORARY TRANSFERS TO CENTRAL OFFICE a. A transmittal letter to the appropriate organizational unit is required under the following conditions: (1) The case is being submitted for an advisory opinion, administrative review or forfeiture; (2) It is desired, under the circumstances in a particular case, to invite attention to certain facts, or (3) Central Office has requested the transfer together with a report or explanation of the action taken. The transmittal letter sets forth the reasons for the transfer. Staple the letter to the front of the folder. b. If a folder is sent to the Board of Veterans Appeals, any organizational element of Central Office at its request, or Central Office pursuant to 38 CFR 3.321(b), a transmittal letter is not needed. Use the "Remarks" section of VA Form 70-7216a to set forth the reason or authority for the referral. c. Litigated cases are discussed in paragraph 4.16. d. See part IV, chapter 7 concerning difference of opinion cases. e. If a claims folder is in Central Office for administrative or other consideration, other than on appeal, and evidence or information is received which requires immediate action, refer the correspondence to the Director, Compensation and Pension Service (211C) for appropriate disposition. If the case requires development or rating, award or authorization action, Central Office will promptly refer it to the office of jurisdiction for necessary action and return. The regional office will take immediate action and return the folder to Central Office for completion of the action which necessitated the transfer. f. The BVA may refer cases on appeal to the Central Office Veterans Assistance Service for replies to inquiries not involving the appellate issue or requiring adjudicative action. If immediate adjudicative action is required, the clerk will request the return of the claims folder. Send the request to the Board of Veterans Appeals (014). NOTE: If a computer error message necessitates reference to the claims folder for corrective action, the request will so specify, furnishing the numerical error code and message and identifying the transaction involved. This may permit furnishing the necessary documents for corrective action, avoiding the return of the claims folder to the regional office. 4.16 PROCESSING AND DISPOSITION OF FOLDERS IN LITIGATED CASES a. If a claim for benefits payable by or to VA is involved, appropriately label the folder to disclose the fact that litigation is involved as a caution that no adjudicative action is to be taken on benefits in litigation without prior concurrence of the General Counsel. Temporarily transfer claims folders referred to Central Office as "Litigated Cases" to the Office of the General Counsel (02A1B) with a notation on VA Form 70-7216a,"Litigated Case." Transfers of litigated cases to other offices will be temporary subject to permanent assignment of jurisdiction. b. If a suit is pending and the case is to be reconsidered administratively by VA, either at the request of the Department of Justice or because of a pending claim other than that involved in the litigation, forward the folder and the Department of Justice files through the Office of the General Counsel to the appropriate Adjudication Division for any action indicated. If Department of Justice files contain confidential information (including reports and other material from the Federal Bureau of Investigation which should be returned by the Department of Justice), observe the following procedures: (1) Upon receipt of the folder, carefully examine the Department of Justice files under the direction of the Adjudication Officer. Review the evidence of record having a bearing upon the issue under adjudication jurisdiction. (a) Make photostats of documents and papers (except FBI reports and material and immigration material) that are deemed to be pertinent to the issue to be adjudicated. A claims examiner will certify these documents as true copies and place them in the claims folder. (b) Return the original Department of Justice files to the Office of the General Counsel. (2) Do not make or retain copies of reports or other FBI material. Exercise care to ensure that the material, while in the temporary custody of VA, is neither disclosed nor inspected by any person other than the officials charged with the responsibility for adjudicating the claim. (a) In preparing an award or disallowance of benefits or an administrative decision, make a notation to show that reports from another agency were considered in arriving at the conclusion. Do not include any comment that will identify, either by name or other allusion, the witnesses who have furnished confidential information to the representatives of the FBI. (b) Immediately upon completing the action, return the reports or other material of the FBI with the general files of the Department of Justice to the Office of the General Counsel for transmittal to the Department of Justice. c. After a court determination in a case in which a lawsuit was filed, the claims folder will be received from the Department of Justice through the Office of the General Counsel. The General Counsel shall advise the regional office of the determination and its effect upon the benefits involved. In any case in which Adjudication deems it appropriate, a request may be made of the Office of the General Counsel for copies of documents involved in the court proceedings. d. Replies to inquiries not involved in litigation or requiring adjudicative action are prepared by the Central Office Veterans Assistance Service. 4.17 TEMPORARY TRANSFERS TO WRO - XC-FOLDERS If jurisdiction is established in a regional office, all adjudicative actions except those over which WRO has jurisdiction are done by that regional office. A letter of explanation will accompany a folder transferred to WRO only if the reason for the transfer cannot be stated adequately on VA Form 70-7216a. Any pending claim will be referred to specifically in the transmittal letter or transfer form. XC-folders will be temporarily transferred to WRO for the following purposes: a. The adjudication of claims for reimbursement for burial, funeral, and transportation expenses, or for accrued amounts, if the veteran's (or dependent's) burial or last illness and burial expenses were paid or are payable in foreign currency, or if rates of foreign exchange are involved in payment. EXCEPTION: If the burial was in Mexico, the folder should be temporarily transferred to the Houston regional office. b. The filing of a claim by VA with another Federal agency if an allowance for burial, funeral and transportation expenses has been paid erroneously by VA. c. The disposition of a claim against VA by another Federal agency when an allowance for burial, funeral, and transportation expenses has been paid erroneously by such other agency. d. The adjustment of an award of adjusted compensation. (1) If a claim for or an inquiry pertaining to adjusted compensation is received, transfer the XC-folder to WRO upon completion of any action currently required on other pending issues. Such transfers are permanent if there is no running award or pending claim for other death benefits; otherwise, the case will be temporarily transferred. (2) If a complete reply was made to a previous inquiry, it is not necessary to transfer the folder for the purpose of a reply to an inquiry for the same information. 4.18 TRANSFER OF FOLDERS SUBJECT TO REVIEW BY THE UNITED STATES COURT OF VETERANS APPEALS (THE COURT) During the 150-day period following a BVA decision, any transfer of a claims folder subject to review by the Court (See par. 3.25 for instructions on maintaining these folders in the regional office.) will be accomplished via overnight/express mail. When the transfer is between regional offices, the sending station will advise the receiving station of the pending transfer via E-mail or telephone prior to mailing the claims folder. The receiving station will alert the sending station after 2 workdays if the claims folder has not been received so that followup action can be initiated. The Adjudication Officer or acting Adjudication Officer of the sending station (or the Chief of the reviewing staff at CO) must certify over his or her signature that while the claims folder was maintained at that station no material was added to or deleted from the record subject to review by the Court of Veterans Appeals. The certification, which may not be delegated to any lower authority, will be entered in the space provided on the file insert which BVA has placed on the center flap of the claims folder. When forwarded, claims folders will be addressed to Adjudication Officer (21) at the receiving station and annotated "DO NOT OPEN IN MAIL ROOM." The Adjudication Officer at each station shall ensure that the Administrative Division is aware of the priority of these claims folders and make special arrangements for having them hand delivered from the mailroom to the Adjudication Officer. a. When a claims folder is permanently transferred to another station during this period, it must be accompanied by the temporary file. (See par. 3.25d.) The receiving station will store the claims folder in its BVA secured area and establish a local control to return the claims folder to regular storage on the date indicated by BVA. b. These claims folders may be temporarily transferred to another regional office, VA Central Office (C∧P, Education or Vocational Rehabilitation Service), BVA or General Counsel during the period in which special handling is required. They may NOT be temporarily transferred ANYWHERE else, including VA medical centers. Before transferring any of these claims folders to Central Office, the regional office must coordinate the transfer with the Judicial Review and Budget Staff (212B), the Education Program Administrative Staff or the appropriate staff of the Vocational Rehabilitation Service. Temporary transfer should be limited to the temporary file whenever possible, but the claims folder may be sent if necessary. The receiving station must store the claims folder in its BVA secured area but will not establish a control for the claims folder to be returned to normal storage. Before the claims folder is returned to the originating station, the Adjudication Officer or acting Adjudication Officer must certify that while the claims folder was maintained at that station no material was added to or deleted from the record subject to review by the Court of Veterans Appeals. NOTE: Do not refer these folders to VACO for quality review. If a controlled folder is included on a request list for quality review, contact the appropriate Service to have the list amended. Folders may be sent to the BVA based on a telephone request from the office of the Chairman or the office of the Director of the Administrative Support Staff. c. Once the Court has docketed an appeal, General Counsel will telefax, to the regional office of jurisdiction, a request for transfer of the claims folder. The regional office should cancel its pending local control and forward the claims folder to GC immediately. The claims folder will be unavailable to the regional office for an extended period, so the temporary file should be reviewed to ensure it contains copies of any material which might be needed for claims processing during the intervening period. When the claims folder is forwarded to GC, the temporary file will be maintained in normal storage. d. If the Court issues a decision requiring VA to take specific action, GC will transfer the claims folder and a copy of the decision to the BVA for appropriate action. When the Court declines jurisdiction or issues a decision that does not require action by VA, GC will remove the outside label, file inserts and BVA tabs from the claims folder and return it to the office of jurisdiction using routine transfer procedures. Regional office personnel will transfer any record material in the temporary file to the claims folder, destroy the temporary file under current directives and store the claims folder in regular file storage. CHAPTER 5. FNOD PROCESSING CONTENTS SUBCHAPTER I. ELEMENTS OF FNOD PARAGRAPH PAGE 5.01 Purpose of FNOD Processing................................ 5-I-1 5.02 What Constitutes an Acceptable First Notice of Death...... 5-I-1 5.03 Returned Check as First NOD............................... 5-I-2 5.04 Insurance Claim as First NOD.............................. 5-I-2 5.05 Due Process Requirements in FNOD Processing............... 5-I-3 SUBCHAPTER II. FNOD COMPUTER PROCESSING CONCEPTS 5.06 FNOD Processing in Connection with CEST................... 5-II-1 5.07 READY Screen Entries - CEST............................... 5-II-1 5.08 READY Screen Entries - FNOD............................... 5-II-2 5.09 FNOD Database Search...................................... 5-II-2 5.10 Review of VID Screen - BIRLS Record Already Exists........ 5-II-2 5.11 File Number Assignment - No BIRLS Record Exists........... 5-II-2 SUBCHAPTER III. FNOD CLAIMS/LIGHTWEIGHT FOLDER PROCEDURES 5.12 Claims File Located at Regional Office When FNOD Processed.5-III-1 5.13 No Claims Folder Exists or Claims Folder in the RPC When FNOD Processed - Determining Whether to Establish NOD Folder.................................................... 5-III-1 5.14 How to Establish Lightweight Folder in BIRLS During FNOD Processing................................................ 5-III-2 5.15 Procedure Where No Lightweight Folder Established During FNOD Processing - Claims Folder in the RPC................ 5-III-2 5.16 Procedure Where No Lightweight Folder Established During FNOD Processing - No Claims Folder Exists................. 5-III-3 5.17 Disposition of "Notice of Death Data" Print............... 5-III-4 SUBCHAPTER IV. INTERACTION WITH RPC 5.18 RPC Actions When Claims File is in the RPC................ 5-IV-1 5.19 Regional Office Recall of Folders From the RPC............ 5-IV-3 SUBCHAPTER V. SERVICE VERIFICATION AND ANCILLARY ISSUES 5.20 Verification of Service................................... 5-V-1 5.21 Check Intercept Procedures................................ 5-V-2 5.22 Adjustment of Apportionee Awards.......................... 5-V-2 5.23 Disposition of Issues Pending at Veteran's Death.......... 5-V-3 SUBCHAPTER VI. PRESIDENTIAL MEMORIAL CERTIFICATES 5.24 Presidential Memorial Certificates - Eligibility.......... 5-VI-1 5.25 Presidential Memorial Certificates - Processing........... 5-VI-2 SUBCHAPTER VII. MISCELLANEOUS FNOD ISSUES 5.26 Correction of Erroneous Report of Death - Veteran Not Deceased................................................. 5-VII-1 5.27 Correction of Erroneous Report of Death - Wrong Date of Death................................................. 5-VII-1 5.28 Use of VA Form 21-8092, Notice of Death Information...... 5-VII-2 5.29 Furnishing Applications for Death Benefits............... 5-VII-2 5.30 Requests for Burial in National Cemetery................. 5-VII-3 5.31 Headstone or Marker Claims............................... 5-VII-3 5.32 Identification of Unknown Remains by Public Authorities.. 5-VII-3 5.33 FBI Identification of Unknown Remains.................... 5-VII-4 5.34 Identification of Known Remains by VA.................... 5-VII-4 5.35 Notice to Loan Guaranty.................................. 5-VII-4 SUBCHAPTER I. ELEMENTS OF FNOD 5.01 PURPOSE OF FNOD PROCESSING a. FNOD stands for First Notice Of Death. FNOD processing establishes or updates the veteran's BIRLS record when the veteran dies. FNOD processing can be accomplished under either the FNOD or CEST command. See paragraph 5.06. Process an FNOD only on a veteran's record. b. Processing an FNOD in BIRLS causes BIRLS to send an electronic message (transaction 28) to the Compensation, Pension ∧ Education (CP∧E) master record at the Hines DPC. (1) If the veteran has a running C∧P award when the FNOD is processed, the award is stopped and an indicator is set in the master record which permits processing of burial and death claims and prohibits processing of any other live issues. (2) A date of death must always be entered during FNOD processing. If the fact of death is established but the date of death is not known, process a SUSP transaction to suspend a running C∧P award. Initiate development for the date of death. (3) If an FNOD is processed with a date of death more than 12 months before the processing month, a C∧P award is terminated DLP. VA Form 20-6560, Notice of Benefit Payment Transaction, with message code 623, STOP PAYMENT PROCESSED - DLP ESTABLISHED, is issued. Follow the procedure in paragraph 5.27 if VA Form 20-6560 with message code 623 is received. (4) FNOD processing suspends a running award of CH 30 or CH 31 benefits. It does not suspend a CH 32 or CH 106 award. If the veteran has a running education award, refer the file to an adjudicator for further adjustment upon completion of FNOD processing. (Also see M22-2, part IV, par. 6.09.) c. If an insurance file number or an insurance policy number is displayed on the VID and INS Screens, a Notice of Death transaction is sent to the insurance office of jurisdiction in Philadelphia or St. Paul. d. If the veteran's claim folder is in the RPC when the FNOD is processed, a message is sent to the RPC advising them to move the file to the RPC NOD unit. (See par. 5.18a.) 5.02 WHAT CONSTITUTES AN ACCEPTABLE FIRST NOTICE OF DEATH a. Since processing an FNOD transaction in BIRLS causes the system to stop paying benefits to a veteran, it is essential that an FNOD be processed only upon receipt of an acceptable NOD (Notice of Death). b. An acceptable NOD is one which furnishes sufficient information concerning the veteran to permit definite identification of the veteran's record and which identifies the source of the report of death. However, the source of the report of death need not be identified if the NOD is a returned check which indicates that the veteran is deceased. c. An acceptable NOD need not originate with the veteran's next of kin. It can originate with a funeral home or other third party. The only requirements are that the NOD identify the veteran and identify the source of the report of death (unless a check is returned). d. An acceptable NOD need not be in writing. If a telephone call clearly identifies the veteran and the caller and furnishes the date of death, a report of contact based on the telephone call can be an acceptable NOD. 5.03 RETURNED CHECK AS FIRST NOD a. When a veteran's VA benefit check is returned to the Department of the Treasury a tape is transmitted to the Hines DPC. The tape shows the reason the check was returned. If a check is returned under reason code 3 (death of person entitled), the veteran's award and any apportionee awards are suspended. b. Hines DPC sends VA Form 20-6560, Notice of Benefit Payment Transaction, to the regional office of jurisdiction when it processes a returned check. The VA Form 20-6560 indicating that a check was returned under reason code 3 may be used as an NOD. 5.04 INSURANCE CLAIM AS FIRST NOD a. If VA Form 29-4125, Claim for One Sum Payment, VA Form 29-4125A, Claim for One Sum Payment, or VA Form 29-4125K, Claim for Monthly Payments (USGLI) is received as a first NOD, process an FNOD but do not create a lightweight folder. (See par. 5.13.) Forward the insurance claim and any supporting documents to the VA Regional Office and Insurance Center (VARO∧IC) in either Philadelphia or St. Paul. b. If an insurance claim and another claim for death benefits is received, process the FNOD and establish a lightweight folder. Forward the insurance claim to the appropriate insurance center. If only one death certificate is received, make a photocopy, certify the photocopy as an exact copy of the original document, and forward it to the insurance center with the insurance claim. c. Refer to the INSURANCE JURIS field on the INS Screen to determine which insurance center should receive the insurance claim. If there is no entry in the INSURANCE JURIS field, send the insurance claim to the insurance center having jurisdiction over the place of the veteran's death. Insurance center jurisdiction is shown in the current Consolidated Address and Territorial Bulletin. d. Refer the insurance claim to the insurance center via OF 41, Routing and Transmittal Slip. 5.05 DUE PROCESS REQUIREMENTS IN FNOD PROCESSING a. VA beneficiaries are entitled to due process of law before benefits are suspended or terminated. A fundamental principle of due process is that a beneficiary should be notified of actions which may result in reduction or interruption of benefit payments and should be given an opportunity to contest the proposed actions before the final decision is made. b. There are some exceptions to the normal requirement for predetermination (advance) notice. NOD processing is one of the exceptions. Although processing of an FNOD may cause an award of benefits to be stopped based on third party information, predetermination due process is not required. c. Although predetermination notice is not required in connection with FNOD processing, contemporaneous notice may be required if processing the FNOD results in reduction or interruption of benefit payments. d. Unless the requirement of contemporaneous notice is excused under one of the conditions listed in subparagraph g below, furnish contemporaneous notice of FNOD processing whenever the veteran has a running compensation or pension award at the time the FNOD is processed. Run a MINQ (Master Record Inquiry) against the M11 Screen to determine if there is a running C∧P award. e. If contemporaneous notice of FNOD processing is required, address it to the "Estate Of ." It must furnish the following information: (1) That VA has received notice of the veteran's death. (2) The date of death. (3) The source of the NOD. (4) That benefit payments have been stopped and the effective date of termination (usually the first day of the month of the veteran's death). f. Any apportionee awards which are running at the time the FNOD is processed against the veteran's BIRLS record are automatically suspended or terminated. (See par. 5.22.) Furnish contemporaneous notice of FNOD processing to apportionees with running awards in all cases except where the apportionee furnished notice of the veteran's death to VA. No notice is required if the apportionee notified VA of the veteran's death or if the apportionee award was in suspense when the FNOD was processed. g. When the report of the veteran's death is accompanied by the submission of any of the following, no contemporaneous notice is required: (1) A certified or uncertified copy of a death certificate (including a telegraphic notice of death from a foreign service post official); (2) A written notice of death from a medical facility (VA or otherwise); (3) A claim for VA death benefits; (4) VA Form 90-2008, Application for United States Flag for Burial Purposes; (5) VA Form 40-4956, Record of Interment; or (6) A VA insurance claim. SUBCHAPTER II. FNOD COMPUTER PROCESSING CONCEPTS 5.06 FNOD PROCESSING IN CONNECTION WITH CEST a. FNOD's are processed in one of two ways: either by the FNOD command or by using the CEST command to establish a death-related end product such as 160, 140 or 190. Regardless of whether FNOD or CEST is used, the same basic entries are required to process an NOD. The main difference is that CEST establishes a pending issue file (PIF) while FNOD does not. See chapter 1 for more information about CEST processing. b. If the NOD is one of the following, use the CEST command: (1) VA Form 21-530, Application for Burial Benefits, (2) VA Form 21-534, Application for Dependency and Indemnity Compensation or Death Pension by Surviving Spouse or Child, (3) VA Form 21-535, Application for Dependency and Indemnity Compensation by Parent(s), (4) VA Form 21-601, Application for Reimbursement From Accrued Amounts Due a Deceased Beneficiary, (5) VA Form 21-8834, Application for Reimbursement of Headstone or Marker Expenses, (6) VA Form 21-551, Application for Accrued Benefits By Veteran's Surviving Spouse, Child, or Dependent Parent, (7) VA Form 21-609, Application for Amounts Due Estates of Persons Entitled to Benefits, (8) VA Form 21-614, Application for Accrued Amount of Veteran's Benefits Payable to Widow, Widower, Child, or Dependent Parent. c. Use the FNOD command to process all reports of death of veterans which are not received in connection with one of the types of claims listed in subparagraph b above. 5.07 READY SCREEN ENTRIES - CEST a. If it is determined that the NOD should be processed via the CEST command, use the normal READY Screen entries for CEST. (See par. 1.05.) b. If the veteran's file number is not known, enter as much additional identifying data as possible to avoid creation of duplicate BIRLS records. It is particularly important to enter the veteran's Social Security number or service number whenever a CEST is processed without a file number. (See par. 5.11 concerning file number assignment when a BIRLS record does not already exist.) 5.08 READY SCREEN ENTRIES - FNOD a. Required READY Screen entries for the FNOD transaction are "FNOD," password, file number (if available) and the veteran's name. b. If the veteran's file number is not available, enter as much of the following identifying data as possible: Social Security number, service number, date of birth, dates of service, insurance file number. 5.09 FNOD DATABASE SEARCH a. The system will attempt to match the input data against an existing BIRLS record. If the system cannot locate an existing record in the BIRLS database, it may be necessary to assign a new file number. (See par. 5.11.) If multiple possibilities are found, the NUM (Record Selection) or NME (Name Only Selection) Screen is displayed. Determine if any record located belongs to the veteran for whom the FNOD is being processed. b. Review a record by entering "X" beside the record. Return to the selection screen by entering "SEL" in the NEXT SCREEN field. 5.10 REVIEW OF VID SCREEN - BIRLS RECORD ALREADY EXISTS a. If the system locates an existing BIRLS record for the veteran, a VID Screen is displayed. Verify that the data on the VID Screen are accurate. Enter the date of death and make any necessary changes or additions on the VID Screen. (1) Enter one of the following in CAUSE OF DEATH: "UNKNOWN," "NATURAL," "COMBAT" or "OTHER." (2) Enter a "Y" in the DEATH IN SERVICE field if the evidence shows that the veteran died in service. b. If the file is located at another regional office, the LOC Screen may be used to request transfer in of the file. (See par. 4.11.) However, in most instances the mail will be transferred to the regional office where the file is located upon completion of FNOD processing. See par. 5.12c. c. If the file is at the RPC (376), see paragraph 5.13. d. If the file is located at the station where the FNOD is being processed or at another regional office and transfer in of the file is not being requested, enter "UPD" in the NEXT SCREEN field. 5.11 FILE NUMBER ASSIGNMENT - NO BIRLS RECORD EXISTS a. If the BIRLS database search does not locate an existing BIRLS record, assign a new file number during NOD processing. However, carefully follow the instructions in subparagraph b below to avoid creating a duplicate BIRLS record for a veteran who already has a file number. b. Terminate CEST or FNOD processing by typing "END" in the NEXT SCREEN field unless ALL of the following information has been entered on the READY Screen: (1) Veteran's first name, middle name or initial, and last name. (2) Veteran's service number if the veteran served before August 1969 in the Army or Air Force, before January 1971 in the Navy or Marine Corps, or before October 1974 in the Coast Guard. (3) Veteran's Social Security account number if the veteran served after July 1969 in the Army or Air Force, after December 1970 in the Navy or Marine Corps, or after September 1974 in the Coast Guard. (4) Veteran's date of birth. c. Enter all available identifying information in addition to the minimum required entries shown in subparagraph b above. It is particularly important to enter both the veteran's service number and Social Security number if they are available. d. If the minimum information required by subparagraph b above has been entered but the BIRLS database search fails to locate an existing record, establish a new BIRLS record by following the procedures in paragraphs 5.13 through 5.15. e. If the BIRLS database search fails to locate an existing record and the minimum information required by subparagraph b above is not available, terminate CEST or FNOD processing by typing "END" in the NEXT SCREEN field and write to the claimant or next of kin for additional identifying information. If the NOD mail is a claim, advise the claimant to respond within 30 days as no further action can be taken on the claim in the absence of a response. f. If the next of kin or claimant responds to the request for additional identifying information but is unable to provide a required service number or Social Security number, develop by sending VA Form 21-3101, Request for Information, to the appropriate service department. Target cannot be used to send the 3101 request since a file number will not have been assigned. g. If there is not enough information to identify an existing record or establish a new BIRLS record, maintain the NOD mail in the authorization pending file (see par. 3.24) until development is complete. Do not put the NOD mail under control in Target even if it is an application for benefits such as a VA Form 21-530 or VA Form 21-534. If development fails to identify the record, remove the mail from the authorization pending file and return it to the claimant. If there is no valid address on the mail, place it in the military file. (See par. 3.22.) SUBCHAPTER III. FNOD CLAIMS/LIGHTWEIGHT FOLDER PROCEDURES 5.12 CLAIMS FILE LOCATED AT REGIONAL OFFICE WHEN FNOD PROCESSED a. If NOD material is received and a claims folder exists at the station processing the FNOD, enter date of death and cause of death and "UPD" in the NEXT SCREEN field on the VID Screen. b. The next time the folder is handled, mark an "X" before the C or SS number. It is not necessary to pull the folder just to mark it with an "XC" or "XSS." c. If NOD material is received and a claims folder exists at another regional office, terminate CEST processing by entering "END" in the NEXT SCREEN field and resume processing under the FNOD command. Enter date of death, cause of death and "UPD" in the NEXT SCREEN field on the VID Screen. Forward the NOD material to the regional office having jurisdiction of the claims folder. 5.13 NO CLAIMS FOLDER EXISTS OR CLAIMS FOLDER IN THE RPC WHEN FNOD PROCESSED - DETERMINING WHETHER TO ESTABLISH NOD FOLDER a. If no claims folder exists or the claims folder is in the RPC when the FNOD is processed, establishment of a lightweight (NOD) folder may or may not be required. Whether or not a lightweight folder must be created will depend on the type of NOD mail received and if the veteran had a running award at the time of death. NOTE: Always process a MINQ before processing the FNOD to determine whether the veteran had a running award. b. If the NOD mail is any of the following and a folder was not previously established, create a lightweight folder: (1) VA Form 21-530, Application for Burial Benefits; (2) VA Form 21-534, Application for Dependency and Indemnity Compensation or Death Pension by Surviving Spouse or Child; (3) VA Form 21-535, Application for Dependency and Indemnity Compensation by Parent(s); (4) VA Form 21-601, Application for Reimbursement From Accrued Amounts Due a Deceased Beneficiary; (5) VA Form 21-8834, Application for Reimbursement of Headstone or Marker Expenses; (6) VA Form 119, Report of Contact; (7) VA Form 10-7132, Notice of Change in Status. c. Establish a lightweight folder if the NOD mail is accompanied by correspondence requiring a reply or any documents of evidentiary value such as a death certificate, discharge document, medical records, etc. d. Establish a lightweight folder if the veteran had a running or suspended award at the time of death. Do a MINQ before processing the FNOD to determine if there was a running award. NOTE: Once a lightweight folder has been established, retain jurisdiction over it unless the claimant requests transfer or exclusive jurisdiction is vested in another regional office. See paragraph 4.04. e. It is NOT necessary to establish a lightweight folder if: (1) The NOD mail is not one of the forms shown in subparagraph b above and (2) The NOD mail is not accompanied by correspondence requiring a reply or documents of evidentiary value and (3) There was no running award at the time of death. f. Examples of NOD mail for which a lightweight folder need not always be created include VA Form 90-2008, Application for United States Flag for Burial Purposes; VA Form 40-4956, Record of Interment; VA Form 29-4125, Claim for One Sum Payment; VA Form 29-4125A, Claim for One Sum Payment; VA Form 29-4125k, Claim for Monthly Payments (USGLI). NOTE: The RPC receives Reports of Casualty (DD 1300) from the Department of Defense. The RPC will send the DD 1300 to the regional office of jurisdiction (if the veteran has a BIRLS record). Otherwise, it will send the DD 1300 to the regional office of jurisdiction for the next of kin. The regional office should process the FNOD when the DD 1300 is received (unless an FNOD has already been processed). A lightweight folder should be established since the DD 1300 is a document of evidentiary value. See subparagraph c above. 5.14 HOW TO ESTABLISH LIGHTWEIGHT FOLDER IN BIRLS DURING FNOD PROCESSING a. Establish a lightweight folder by going to the LOC Screen. Enter "X" to the left of "ESTABLISH A" and enter "NOD" to the left of "FOLDER." Enter "UPD" in the NEXT SCREEN field. An "Establishment Data" print will be generated. File this print on the right side of the lightweight folder. b. See chapter 2 for more information about establishment of lightweight folders. 5.15 PROCEDURE WHERE NO LIGHTWEIGHT FOLDER ESTABLISHED DURING FNOD PROCESSING - CLAIMS FOLDER IN THE RPC a. If an FNOD is being processed, the claims folder is in the RPC, and no lightweight folder is to be established (see par. 5.13), do not make an entry in the "NO CLAIM FOLDER EST RSN" field on the LOC Screen. b. If the NOD mail is an insurance claim, forward the insurance claim to the appropriate insurance center after processing the FNOD. (See par. 5.04.) c. If the NOD mail is VA Form 90-2008, Application for United States Flag for Burial Purposes, enter "Y" in the BURIAL FLAG ISSUED field on the ICP Screen and follow the procedures in subparagraph d below. d. If the NOD mail is something other than an insurance claim and a lightweight folder is not being created, destroy the NOD mail under RCS VB-1, part I, item No. 13-052.200 after processing the FNOD. However, see paragraph 5.29 about furnishing applications for death benefits. If an application should be furnished under the criteria in paragraph 5.29, do so. Then destroy the NOD mail and any drop file copies of Target development letters. Do not send drop file copies of development letters to the RPC. 5.16 PROCEDURE WHERE NO LIGHTWEIGHT FOLDER ESTABLISHED DURING FNOD PROCESSING - NO CLAIMS FOLDER EXISTS a. If an FNOD is being processed, no claims folder exists, and no lightweight folder is to be established (see par. 5.13), an entry must be made in the NO CLAIM FOLDER EST RSN field on the LOC Screen. b. If the NOD mail is VA Form 40-4956, Record of Interment, and no folder will be established, enter "DMA" in the NO CLAIM FOLDER EST RSN field. c. If the NOD mail is an insurance claim (VA Form 29-4125, VA Form 29-4125A, or VA Form 29-4125K), enter "INS" in the NO CLAIM FOLDER EST RSN field. d. If the NOD mail is VA Form 90-2008, Application for United States Flag for Burial Purposes, enter "ROI" in the NO CLAIM FOLDER EST RSN field on the LOC Screen and enter "Y" in the BURIAL FLAG ISSUED field on the ICP Screen. e. Enter "ROI" in the NO CLAIM FOLDER EST RSN field if a folder is not being established and the mail is anything other than VA Form 40-4956, VA Form 90-2008 or an insurance claim. f. If the NOD mail is an insurance claim, forward the insurance claim to the appropriate insurance center after processing the FNOD. (See par. 5.04.) g. If the NOD mail is something other than an insurance claim and no lightweight folder is being established, destroy the NOD mail under RCS VB-1, part I, item No. 13-052.200 after having processed the FNOD. However, see paragraph 5.29 about furnishing applications for death benefits. If it is possible to send an application, do so. Then destroy the NOD mail and any drop file copies of Target development letters. If a form or locally generated letter is used to transmit the application, do not prepare a file copy. 5.17 DISPOSITION OF "NOTICE OF DEATH DATA" PRINT a. When FNOD processing results in establishment of a new BIRLS record or establishment of an NOD file in BIRLS, the system generates a "Notice of Death Data" VID Screen print. b. If a folder exists, file the "Notice of Death Data" print on the right side of the folder. c. If the NOD mail will be destroyed under paragraphs 5.15d or 5.16g, destroy the "Notice of Death Data" print also. SUBCHAPTER IV. INTERACTION WITH RPC 5.18 RPC ACTIONS WHEN CLAIMS FILE IS IN THE RPC a. Processing an FNOD for a folder which is in the RPC will send the following message to the RPC: "NOD ACTION FOR (STATION OF JURISDICTION). DELIVER TO NOD UNIT." Upon receipt of this message, RPC personnel pull the claims folder and review it for evidence of verified service and evidence that death may be service connected. NOTE: If an insurance center processes the FNOD and the claims folder is in the RPC, the insurance center will assign positive jurisdiction to the regional office nearest the veteran's place of residence. This is done so the NOD message which prints out at the RPC will show a regional office location in the event the RPC's review of the folder indicates it should be forwarded to a regional office. See subparagraph c below. The assignment of positive jurisdiction by an insurance center does not necessarily require creation of an NOD folder at the regional office. In fact, this action will be known only to the RPC when it receives the NOD message. b. If the file contains evidence of verified service which has not already been entered into BIRLS, the RPC updates the BIRLS record within 3 workdays to reflect the verified service. c. The RPC automatically forwards the claims folder to the regional office of jurisdiction if the file contains any of the following: (1) A rating decision granting service connection for a cardiovascular condition. (2) A rating decision granting service connection for a genitourinary condition. (3) A rating decision granting service connection for a chronic disease. (4) A rating decision with a combined evaluation of 10 percent or more for service-connected disabilities for which benefits were not awarded due to receipt of military retired pay. d. If evidence does not indicate that the folder should be forwarded to the regional office, the folder will either be destroyed or retired to the St. Louis FRC. The determination as to whether a folder is destroyed or retired to the FRC depends on whether it is classified as a group 1 or group 2 folder. e. The RPC's classification of group 1 folders (to be destroyed) includes the following: (1) Education Only. Folders documenting only education benefits or disallowances. (2) Dental Only. Folders containing information relevant to a dental claim only. (3) VA Form 10-7131, Exchange of Beneficiary Information and Request for Administrative and Adjudication Action. Folders created solely in connection with a VA Form 10-7131 request from a medical center. (4) Loan Guaranty Overpayment. Folders created based on a loan guaranty overpayment. (5) No Award. Folders created when a veteran applied for education, compensation or pension benefits and for some reason the award was never completed. (6) Empty Folders. f. The RPC's classification of Group 2 folders (to be retired) includes the following: (1) Running Awards. Cases with running compensation awards which were relocated to make more space available at regional offices. (2) Disallowed C∧P. Folders created when a veteran's claim for compensation or pension was disallowed. (3) Terminated C∧P. Folders for which compensation or pension awards were terminated. (4) Documents of Evidentiary Value. Folders containing documents of evidentiary value such as birth certificates, marriage certificates and medical records when no NOD folder exists at a regional office. g. Before destroying a group 1 folder, the RPC removes documents of evidentiary value. Certain documents relating to military service will be forwarded to the National Personnel Records Center (NPRC). If there are other documents in the folder (e.g., marriage certificates, divorce decrees, postservice medical records) and an NOD folder exists at a regional office, the documents will be sent to the regional office to be filed in the NOD folder. When all documents of evidentiary value have been removed from the folder, BIRLS will be updated, and the folder and any remaining documentation will be destroyed by shredding. h. After processing by the RPC NOD unit, folders classified as group 2 will be filed in a separate file bank (the NOD File Bank) in terminal digit order until it is time for the folders to be retired to the FRC. Once a folder has been moved into the NOD File Bank, a regional office desiring recall of the folder should use E-mail rather than the Benefits Delivery Network. See par. 5.19b. Benefits Delivery Network requests for transfer of a folder from RPC are not routed to the NOD File Bank at RPC. i. The BIRLS record will be updated as follows: (1) Group 1 Folders: A "Y" will be entered in the FOLDER DESTROYED field on the LOC Screen. (2) Group 2 Folders: Location "376" will continue to appear in BIRLS as the claims folder location until the folder is retired to FRC. 5.19 REGIONAL OFFICE RECALL OF FOLDERS FROM THE RPC a. Before processing an FNOD on a case which is in the RPC, review the NOD materials and run a MINQ to determine if the veteran had a running C∧P award. Recall the claims folder from the RPC in the following situations: (1) A claimant raises the issue of service connection for cause of death or evidence accompanying a claim raises the issue of service connection for cause of death. (2) The Target M13 Screen shows that the veteran was service connected for a disability that might be related to the cause of death. If there is any question that the cause of death might be related to one of the service-connected disabilities on the M13 Screen, consult the rating board or a supervisor. (3) The veteran had a running award at the time of death and the veteran's dependency code is other than 00. b. The Benefits Delivery Network can be used to request transfer of the claims folder from the RPC as long as the request is sent no later than the day the FNOD is processed. If the FNOD was processed before the day recall of the claims folder was requested, accomplish recall by sending an E-mail message to "MAIL VBA RPC/231 NOD." Send a separate E-mail message for each folder requested. Furnish the file number, the veteran's name, the station to which the file should be sent, and the routing symbol to which the file should be sent. Prepare a charge card (VA Form 3025) for the folders requested from the RPC. Annotate the charge card, "Recalled Red-Rope Folder from RPC" and show the date the request was initiated. c. If a claims folder is recalled from the RPC and previous NOD action has resulted in creation of a lightweight folder, ensure that the two folders are associated and that the material is combined in the claims folder. The system will automatically consolidate the claims and NOD folders in BIRLS when an update is processed reflecting receipt of the claims folder from the RPC. SUBCHAPTER V. SERVICE VERIFICATION AND ANCILLARY ISSUES 5.20 VERIFICATION OF SERVICE a. The BIRLS VID screen can be used as proof of service if all of the following apply: (1) Character of service is "HON" or "UHC." (2) Branch of service code is NOT "ARNG" or "ANG." (3) Separation reason is "SAT." (4) There is a "Y" in the VADS field on the VID screen. (5) The veteran's RAD is 6/1/68 or later. b. If there is no "Y" in the VADS field and/or the veteran's RAD is not 6/1/68 or later, the VID screen can still be used as proof of service if all of the following apply: (1) Character of service is "HON" or "UHC." (2) Branch of service code is NOT "ARNG" or "ANG." (3) Separation reason is "SAT." (4) There is a "Y" in the VER field on the VID screen. c. If service is not verified in BIRLS and proof of service accompanies the NOD, enter service information during CEST or FNOD processing. See 38 CFR 3.203 concerning acceptable proof of service. d. If acceptable proof of service is not received, the VID cannot be used as proof of service (See subpars. a and b above), and the claims folder is located in the RPC, process the CEST or FNOD. (1) When the CEST or FNOD is processed, the RPC will receive a BIRLS message instructing them to move the claims folder to the RPC NOD Unit. (2) Before filing the folder in the NOD Unit, RPC personnel will review the folder for verification of service. (3) If service is verified, the RPC will process a BUPD to update service on the VID Screen. The RPC will also enter "Y" in the VER field on the VID Screen. The RPC will process the BUPD within 3 workdays of the date the CEST or FNOD was processed by the regional office. (See par. 5.18b.) (4) If the claims file was in the RPC and acceptable proof of service does not appear on the VID Screen within 3 workdays of processing the CEST or FNOD, assume that there was no verification of service in the claims folder. e. If service cannot be verified by evidence accompanying the claim or VID Screen entries, request proof of service via the Target 201/202 Screens or VA Form 21-3101, Request for Information. 5.21 CHECK INTERCEPT PROCEDURES a. Generally a check intercept is generated automatically when an FNOD is processed against a running compensation or pension award. b. Preparation of a check intercept teletype is still required if one of the following legends appears during FNOD processing: (1) "CHECK INTERCEPT NOT ISSUED - SEE M21-1, PART V, 12.06c"; (2) "PAY CHANGE PENDING - CHECK INTERCEPT FOR PRIOR ADDRESS REQUIRED." c. If one of the messages listed in the preceding subparagraph is received, initiate check intercept mailgram procedures as follows: (1) Obtain a MINQ of the M11 Screen. (2) If the M11 Screen has an entry in the DIRECT DEPOSIT field, prepare VA Form 20-8854a, Mailgram-Intercept and Recall of Direct Deposit Payment, in an original and one copy. Enter the payee's name, file number, payment amount and reason for recall on the mailgram document. Deliver both copies to the Finance Division. Finance will complete all other required entries and will control the VA Form 8854a. Annotate the file "VA Form 20-8854a to Finance (Date)." (3) If the M11 Screen has no entry in the DIRECT DEPOSIT field, prepare VA Form 20-8854, Mailgram-Intercept and Recall of Benefit Check. Address the mailgram to the postmaster at the city and state where the payee's last check would have been mailed and deliver it to the Data Terminal Unit for immediate transmission. 5.22 ADJUSTMENT OF APPORTIONEE AWARDS a. Apportionee awards are suspended if the veteran's check is returned for reason code 3 (death of person entitled) or if an FNOD is processed without a date of death. b. Apportionee awards are terminated effective the first of the month of the veteran's death if a date of death is entered during FNOD processing. If an overpayment is created, VA Form 20-6560 is generated showing the status of the account. (See par. 5.05f.) c. If the apportionee award was in suspense at the time the FNOD was processed, the award is terminated DLP. VA Form 20-6560 with message code 622, DETERMINE DISPOSITION PROCEEDS DUE AT DEATH, is produced showing the amount due. 5.23 DISPOSITION OF ISSUES PENDING AT VETERAN'S DEATH a. End product credit is due for any pending issues which were established in Target but not resolved before notice of the veteran's death was received. b. Processing an FNOD clears any live (CPL) pending issues which have not already been authorized. End product credit is taken. c. Pending issues on apportionee records are also cleared when an FNOD is processed against the veteran's record. d. Rating decisions signed after the date of the veteran's death but before the fact of death was known are void. However, do not destroy these ratings. e. See part IV, chapter 8 concerning appeals pending at the veteran's death. SUBCHAPTER VI. PRESIDENTIAL MEMORIAL CERTIFICATES 5.24 PRESIDENTIAL MEMORIAL CERTIFICATES - ELIGIBILITY a. Presidential Memorial Certificates (PMC's) are sent to the next of kin or other eligible recipient to honor the memory of deceased veterans who were discharged under honorable conditions. The actual certificates are prepared in VACO (403C) based on information furnished by field stations. (See par. 5.25a.) b. Eligibility for a PMC exists if the veteran received an "honorable" or "general" discharge. (1) Service must be verified in BIRLS (paragraph 5.20) or there must be other evidence of qualifying service which meets the requirements of 38 CFR 3.203 before a PMC can be issued. However, do not develop a veteran's service solely to determine PMC eligibility. See paragraph 5.25f. (2) If there were two separate periods of service with the first discharge under honorable conditions and the latter under dishonorable conditions, do not issue a PMC unless there is a specific request from the next of kin. (3) Wartime service is not a requirement for issuance of a Presidential Memorial Certificate. c. A death certificate need not be of record before a PMC can be issued. A PMC may be issued if a notice of death is received which meets the requirements of paragraph 5.02. d. A Presidential Memorial Certificate may be authorized to any of the following: (1) The next of kin. (2) A relative or friend upon request. (3) Authorized service organization representatives who are acting on behalf of a relative or friend of the deceased veteran. e. The "next of kin" for purposes of authorizing a memorial certificate is defined in order as: surviving spouse, oldest child, mother, father, oldest sister, oldest brother. f. More than one certificate may be issued if specifically requested by the veteran's survivors. (1) If multiple PMC's are requested and they are to be sent to different addressees, request the additional certificates by making multiple PMCS inputs (par. 5.25). (2) If multiple PMC's are requested and they are to be sent to the SAME ADDRESSEE, you may forward the request to VACO (403C). VACO will then issue the PMC's. Alternatively, you may request the additional certificates by using the PMCS screen. g. Memorial certificates are not authorized for: (1) Presumptive death cases; (2) Cases of missing veterans; (3) Cases in which private organizations wish to honor deceased members by display of the memorial certificate; and (4) Cases in which there is any question concerning the type of discharge the veteran received from the Armed Forces. h. If an applicant requests a memorial certificate but the veteran was not honorably discharged, advise the applicant that there is no eligibility for the memorial certificate. Do not furnish notice of procedural and appellate rights. Do not make a character of discharge determination solely to determine eligibility for the PMC. 5.25 PRESIDENTIAL MEMORIAL CERTIFICATES - PROCESSING a. The actual certificate is printed in VACO by the PMC Staff (403C). The individual certificates are produced from tapes which are generated by regional office input. Therefore, field station personnel must be sure to input the veteran's name as well as addressee information correctly. b. There are three ways to request issuance of a PMC. (1) During CEST processing. (2) During FNOD processing. (3) By using the PMCS command. NOTE: The PMC Screen is automatically displayed during CEST and FNOD processing. c. Annotate the NOD mail whenever a PMC is issued (e.g., "PMC sent 10/28/90"). Annotate the NOD mail whenever a first NOD is processed and a PMC is not issued (e.g., "PMC not issued"). d. Issue only one PMC unless multiple certificates are specifically requested (par. 5.24f). In order to avoid sending more than one certificate, routinely complete the PMC Screen only if a date of death is entered during CEST or FNOD processing. (1) If the FNOD is being processed without the folder, a date of death is already in the BIRLS record, and a claims or NOD folder exists at a regional office, assume that the PMC has already been sent. Exit the PMC Screen by typing "END" in the NEXT SCREEN field. (2) If a date of death is already in the BIRLS record, no folder exists at a regional office, and service is not verified in BIRLS, assume that a PMC has not already been issued. If no more than 12 months have elapsed since the date of the veteran's death and proof of service is now of record, issue the PMC. (3) If the FNOD is being processed with the file, review the file to determine if a PMC was issued previously. If there is no indication that a PMC was already issued and proof of service is of record, issue the PMC. e. The PMC Screen has two parts. (1) The top part displays the veteran's name from the BIRLS record if one exists or from entries on the READY Screen. Carefully check the spelling of the veteran's name. It defeats the purpose of issuing the PMC if the veteran's name is misspelled on the PMC. If the veteran's name is displayed incorrectly, it can be corrected for purposes of the PMC by typing the veteran's correct name in the fields provided in the upper right section of the PMCS screen. Upon completion of PMC processing, correct the veteran's name in BIRLS, if necessary. NOTE: Use a comma between the veteran's name and "Jr." or "Sr." Do not use a comma between the veteran's name and "II," "III," "IV," etc. (2) The bottom part of the PMC Screen is for entry of the title, name, address and relationship of the person who is to receive the PMC. It is essential that this information be entered accurately or the PMC may not get to the intended recipient. NOTE: If the PMC is being sent to a foreign address, write out the complete address (including the name of the country). In the 5-position zip code field, enter "FZ" plus the 3-position country code from MP6, Pt. IV, Supp 4.1, Exhibit D. f. In some instances it will not be possible to issue a PMC because the veteran's service is not verified. In this event, apply the following procedures: (1) If a claims or NOD folder is located at the station processing the NOD mail or if no folder exists and none is being created (par. 5.13), exit the PMC Screen by typing "END" in the NEXT SCREEN field. (2) If no folder is at the station processing the NOD mail (par. 5.13) but there is a claims folder in the RPC, hold the NOD mail for 5 workdays since the RPC may update service data in BIRLS (par. 5.18b). (a) If, after 5 workdays, service is still not updated in BIRLS, do not send the PMC. (b) If, after 5 workdays, service is verified in BIRLS, use the PMCS command to issue the PMC. g. If a request for a PMC is received and the request is not in connection with a claim or NOD, process it as follows: (1) If the XC-file is located on station, verify that the veteran had honorable service. Use the PMCS command to get the PMC Screen and issue the certificate. (2) If a file number has been assigned and the XC-file is located at another regional office, forward the request to the station having possession of that file. (3) If no XC-file exists, there is a date of death in BIRLS, and service is verified, use the PMCS command to issue the PMC. (4) If there is no date of death in BIRLS and the request satisfies the requirements of paragraph 5.02, treat the request for a PMC as an NOD. SUBCHAPTER VII. MISCELLANEOUS FNOD ISSUES 5.26 CORRECTION OF ERRONEOUS REPORT OF DEATH - VETERAN NOT DECEASED a. If it is determined that an FNOD was erroneously entered and that the veteran is not deceased, process a BUPD to delete the date of death, cause of death, and any other erroneous information from the BIRLS record. b. When the BIRLS record has been updated, refer the file to an adjudicator for award action to resume any payments which were erroneously interrupted. c. If there is a DES indicator on the LOC screen (meaning that the claims folder was destroyed), assume that a group 1 claims folder (par. 5.18e) was located at the RPC at the time of the veteran's death. If a group 1 claims folder was located at the RPC at the time of death, do the following: (1) Rebuild a red-rope folder. (2) Destroy the lightweight folder if one was created. (3) Send an E-mail message to the BIRLS Adjustment Unit requesting that the DES indicator be removed from the LOC Screen and that the folder location be updated. Also request that the NOD folder be removed from the LOC Screen if an NOD folder was created. Use the following mailbox: MAIL VBA RPC/BIRLS ADJ. Include the file number and the veteran's name. d. If the BIRLS LOC screen shows that there is a CLAIMS file in RPC, assume that a group 2 claims folder (par. 5.18f) was located at the RPC at the time of the veteran's death. If a group 2 claims folder was located at the RPC at the time of death, do the following: (1) Send an E-mail message to the BIRLS Adjustment Unit. Indicate that the record was erroneously XC'd and request that the file be returned to the live file bank. Use the following mailbox: MAIL VBA RPC/BIRLS ADJ. Include the file number and the veteran's name. (2) Destroy the lightweight folder. 5.27 CORRECTION OF ERRONEOUS REPORT OF DEATH - WRONG DATE OF DEATH a. If an FNOD was processed with the wrong date of death but the date erroneously entered was within the same month as the actual date of death, process a BUPD to correct the date of death in BIRLS. If the veteran had a running C∧P award, it will have been properly adjusted as long as the correct month of death was entered during FNOD processing. If the veteran had a running education award, refer the file to an adjudicator (par. 5.01b(4)). b. If an FNOD is processed with a date of death which is earlier than the actual month of death and the veteran had a running award, an erroneous overpayment may be established in the system. If this happens, refer the case to an adjudicator for preparation of an OF 41 to Finance Division requesting that a fiscal transaction be processed to eliminate the erroneous accounts receivable. Explain that the overpayment was created because an erroneous date of death was entered into the system. Process a BUPD to correct the date of death in BIRLS. c. If an FNOD is processed with a date of death which is later than the actual month of death and the veteran's uncashed benefit checks are returned, a proceeds segment will be established in the master record. If all returned checks represent payment for the month of death or later, ask Finance Division to return the amount in proceeds to appropriations. This can be done by OF 41 or by annotation on VA Form 20-6560. Process a BUPD to correct the date of death in BIRLS. d. If an FNOD is processed with a date of death which is later than the actual month of death but the veteran's benefit checks are not returned, an adjudicator must determine how much of an overpayment would have been created had the correct date of death been entered. When the amount has been determined, send an OF 41 to Finance requesting that a fiscal transaction be processed to establish the accounts receivable. Explain that the overpayment was not established by the system because an erroneous date of death was entered. Process a BUPD to correct the date of death in BIRLS. 5.28 USE OF VA FORM 21-8092, NOTICE OF DEATH INFORMATION Sufficient copies of VA Form 21-8092 will be produced and distributed as follows: a. One copy to the VSD Guardianship Section if Target shows anything other than "C-DIRECT" in the COMP-PMT field on the M11 Screen. b. One copy to the examining medical facility if review of the veteran's folder shows a pending VA Form 21-2507, Request for Physical Examination, and the veteran died in other than the medical activity scheduled to conduct the examination. 5.29 FURNISHING APPLICATIONS FOR DEATH BENEFITS a. Review the NOD mail, the claims folder (if it is on station), and run MINQ's against the Target M11 and M13 Screens to determine whether an application for death benefits should be furnished to the survivors of the deceased veteran. b. CEST end product 400 (if no other EP is appropriate) and use the Target 209 Screen to send VA Form 21-534, Application for Dependency and Indemnity Compensation or Death Pension by Surviving Spouse or Child, if the name and address of a surviving spouse or child is of record and (1) The veteran died in service or (2) There is any indication that the veteran's death might have been service-connected or (3) The veteran ever received compensation or pension. c. CEST end product 400 (if no other EP is appropriate) and use the Target 209 Screen to send VA Form 21-535, Application for Dependency and Indemnity Compensation by Parent(s) (Including Accrued Benefits), if the name and address of a parent is of record and (1) The veteran died in service or (2) There is any indication that the veteran's death was service connected. d. A form or locally generated letter may be used to dispatch VA Forms 21-534 and 21-535 in lieu of the Target 209 Screen. e. Do not send out VA Form 21-530, Application for Burial Benefits, in the absence of a request for the form or an inquiry about burial benefits. If a request for a burial application or an inquiry about burial benefits is received, transmit the VA Form 21-530 via the Target 209 Screen. Alternatively, a form or locally generated letter may be used. f. An end product 400 will automatically cancel if a date of claim is entered and a letter is sent. If an end product 400 is established for letter generation purposes but the letter is not sent, it will be necessary to cancel the pending issue via the PCAN command. 5.30 REQUESTS FOR BURIAL IN NATIONAL CEMETERY a. Forward requests for interment in a national cemetery to the Director of the national cemetery where interment is desired. b. Addresses of national cemeteries can be found in the Consolidated Address and Territorial Bulletin and in the IS-1 Fact Sheet, Federal Benefits for Veterans and Dependents. 5.31 HEADSTONE OR MARKER CLAIMS a. VA Form 40-1330, Application for Standard Government Headstone or Marker, will be forwarded to VACO (403A) for processing. b. VA Form 21-8834, Application for Reimbursement of Headstone or Marker Expenses, will be processed according to instructions in part III, chapter 13, subchapter VI. 5.32 IDENTIFICATION OF UNKNOWN REMAINS BY PUBLIC AUTHORITIES Identification of unknown remains will be processed by the appropriate public authorities through reference to local records and the files of the FBI. VA will not accept requests for identification of unknown remains from public authorities, funeral directors or other responsible (interested) persons. a. If a request for identification of unknown remains is made in person, Veterans Services Division will advise the interested party to submit the request to the FBI. b. If a request for identification of unknown remains is received through the mail, the request will be returned, by the most expeditious means, to the interested party who will be advised that the request must be submitted to the FBI. 5.33 FBI IDENTIFICATION OF UNKNOWN REMAINS The FBI will automatically notify VA Records Processing Center (232) when remains are identified with fingerprints in its military files as a result of submission by sources outside VA. 5.34 IDENTIFICATION OF KNOWN REMAINS BY VA a. VA will accept requests for identification of a known deceased person alleged to be a veteran if: (1) The name of the deceased is established and submitted with fingerprints or (2) Fingerprints have already been submitted to the FBI and additional data such as name and service number are obtained and submitted with the FBI report on FD-258, Federal Bureau of Investigation, U.S. Department of Justice Fingerprint Application Chart. b. Do not use SF 87, Fingerprint Chart, for submission to the FBI for identification of deceased persons. c. If a request for identification of known remains is made either in person or through the mail, forward the fingerprints and all additional data to VA Records Processing Center (232), P.O. Box 5020, St. Louis, Missouri 63115. The requesting office will be notified as soon as possible whether or not the fingerprints have been identified. Take no further action until notification has been received unless positive identification as a veteran is made through other means. 5.35 NOTICE TO LOAN GUARANTY a. Review each DD Form 1300, Report of Casualty, to determine if the veteran died in service not due to willful misconduct and, if so, whether the veteran was survived by a spouse or next of kin. If so, forward a copy of the DD Form 1300 to the Loan Guaranty division at the regional office having jurisdiction over the area in which the spouse or next of kin resides. If the address is not shown on the DD Form 1300, obtain the address from the evidence of record, if possible, and enter it on the copy furnished to Loan Guaranty. b. If the veteran's death is service connected and there is a surviving spouse or next of kin, complete an OF 41, Routing and Transmittal Slip, with the claim number, veteran's name, spouse's or next of kin's name and address, and a statement that the veteran's death was due to a service-connected disability. Forward the OF 41 to the Loan Guaranty division having jurisdiction over the area where the spouse resides. x CHAPTER 6. BENEFICIARY IDENTIFICATION AND RECORDS LOCATOR SUBSYSTEM (BIRLS) CONTENTS SUBCHAPTER I. BIRLS COMMANDS Paragraph Page 6.01 General..............................................6-I-1 6.02 Overview of BIRLS Commands...........................6-I-1 a. BADD...................................................6-I-1 b. BFLD...................................................6-I-1 c. BINQ...................................................6-I-1 d. BPRT...................................................6-I-1 e. BUPD...................................................6-I-1 f. CEST...................................................6-I-1 g. DUPC...................................................6-I-2 h. FNOD...................................................6-I-2 i. MCRI...................................................6-I-2 j. MCRO...................................................6-I-2 k. RDEL...................................................6-I-2 6.03 Specific Use of BIRLS Commands.......................6-I-2 a. The BADD Command.......................................6-I-2 b. The BFLD Command.......................................6-I-3 c. The BINQ Command.......................................6-I-3 d. The BPRT Command.......................................6-I-3 (1) Folder Requests.......................................6-I-3 (2) Folder Requests Pending Printing......................6-I-3 (3) Folder Requests Past Due 15 Days......................6-I-4 (4) Folder Requests Past Due 30 Days......................6-I-4 (5) Folder Requests from FRC..............................6-I-4 (6) Folder Requests Responses.............................6-I-4 (7) Flash Messages........................................6-I-4 (8) Notice of Death Messages..............................6-I-4 (9) Consolidation Messages................................6-I-4 (10) Microfilm Requests....................................6-I-4 (11) Microfilm Responses...................................6-I-4 e. The BUPD Command.......................................6-I-4 f. The CEST Command.......................................6-I-5 g. The DUPC Command.......................................6-I-5 h. The FNOD Command.......................................6-I-5 i. The MCRI Command.......................................6-I-5 j. The MCRO Command.......................................6-I-6 k. The RDEL Command.......................................6-I-6 SUBCHAPTER II. BIRLS SCREENS 6.04 Overview of Birls Screens........................... 6-II-1 6.05 Specific Use of BIRLS Screens........................6-II-1 a. The MNU Screen.........................................6-II-1 b. The NME Screen.........................................6-II-1 c. The NUM Screen.........................................6-II-1 d. The VID Screen.........................................6-II-1 (1) File No...............................................6-II-2 (2) Name..................................................6-II-2 (3) Assign File No as Claim or SSN........................6-II-2 (4) Claims Folder Location................................6-II-2 (5) SSN...................................................6-II-2 (6) Verified SSN Indicator................................6-II-2 (7) Date of Death.........................................6-II-2 (8) Ins File ∧ Policy No..............................6-II-2 (9) Cause of Death........................................6-II-2 (10) Death in Service......................................6-II-2 (11) Date of Birth.........................................6-II-2 (12) Positive Indication...................................6-II-2 (13) Sex...................................................6-II-2 (14) Power of Attorney.....................................6-II-2 (15) Service No(s).........................................6-II-2 (16) EOD...................................................6-II-3 (17) RAD...................................................6-II-3 (18) Branch of Svc.........................................6-II-3 (19) Character of Svc......................................6-II-3 (20) Sep Rsn Code..........................................6-II-3 (21) Pay Grade.............................................6-II-4 (22) Non Pay Dates.........................................6-II-4 (23) Contested Data........................................6-II-4 (24) Delete Record.........................................6-II-4 (25) VADS..................................................6-II-4 (26) Verified..............................................6-II-4 e. Using the VID Screen as Acceptable Evidence of Service.6-II-4 f. The INS Screen.........................................6-II-5 (1) Ins Number............................................6-II-5 (2) Insurance Juris.......................................6-II-5 (3) Policy Number.........................................6-II-5 (4) Insurance Lapsed/Purged Date..........................6-II-5 g. The NAM Screen.........................................6-II-5 h. The MSC Screen.........................................6-II-5 (1) Guardianship Case.....................................6-II-5 (2) Veteran Has Beneficiaries.............................6-II-5 (3) Veteran is a Beneficiary..............................6-II-5 (4) VA Employee...........................................6-II-5 (5) Flash Codes...........................................6-II-6 (6) Disclosure Account Numbers............................6-II-6 (7) Number of Disclosures.................................6-II-6 (8) Employee Number.......................................6-II-6 (9) Update Station........................................6-II-6 (10) Activate Canceled File No.............................6-II-6 (11) Purple Heart..........................................6-II-6 (12) Medal of Honor........................................6-II-6 (13) Reenlisted............................................6-II-6 (14) Active Duty for Training..............................6-II-6 (15) Transferred to Reserves...............................6-II-6 (16) Incompetent...........................................6-II-6 (17) Vietnam Service.......................................6-II-6 (18) POW Days..............................................6-II-7 (19) Disability............................................6-II-7 (20) Disab Sev Pay.........................................6-II-7 (21) Lumpsum Readj Pay.....................................6-II-7 (22) Separation Pay........................................6-II-7 (23) Total Active Svc......................................6-II-7 (24) CH 30/106.............................................6-II-7 i. The LOC Screen.........................................6-II-7 (1) Folder Location Data..................................6-II-7 (2) Benefit Indicators....................................6-II-8 (3) Folder Data...........................................6-II-8 j. The ICP Screen.........................................6-II-9 (1) ICP Conversion Problems...............................6-II-9 (2) BICP Processing.......................................6-II-9 k. The BEN Screen.........................................6-II-9 l. The BID Screen.........................................6-II-10 (1) Data Format Fields....................................6-II-10 (2) Folder Control Fields.................................6-II-10 m. The BPR Screen.........................................6-II-11 n. The MRI Screen.........................................6-II-11 (1) File Number...........................................6-II-11 (2) Date of Birth.........................................6-II-11 (3) Entered on Duty.......................................6-II-11 o. The MRO Screen.........................................6-II-11 p. The CON Screen.........................................6-II-11 SUBCHAPTER III. BIRLS PROCESSING 6.06 BIRLS Database Search Routines.......................6-III-1 a. Primary Inquiry........................................6-III-1 (1) Number Search.........................................6-III-1 (2) Name Search...........................................6-III-1 (3) Extended Search.......................................6-III-1 b. Secondary Inquiry......................................6-III-1 c. Stub Name Inquiry......................................6-III-1 d. BIRLS Inquiry Response.................................6-III-1 e. Payee Number Input.....................................6-III-2 6.07 File Number Assignment...............................6-III-2 6.08 Flash Code Indicators................................6-III-2 EXHIBITS A.1 MNU - BIRLS MENU Screen...................................6-A-1 A.2 NME - NAME ONLY SELECTION Screen..........................6-A-2 A.3 NUM - RECORD SELECTION Screen.............................6-A-3 A.4 VID - VETERAN IDENTIFICATION DATA Screen..................6-A-4 A.5 INS - INSURANCE Screen....................................6-A-5 A.6 NAM - NAME Screen.........................................6-A-6 A.7 MSC - MISCELLANEOUS DATA Screen...........................6-A-7 A.8 LOC - FOLDER MANAGEMENT Screen............................6-A-8 A.9 ICP - INACTIVE COMP AND PEN DATA Screen...................6-A-9 A.10 BEN - BENEFICIARY SELECTION Screen.......................6-A-10 A.11 BID - BENEFICIARY IDENTIFICATION DATA Screen.............6-A-11 A.12 BPR - MESSAGE MANAGEMENT Screen..........................6-A-12 A.13 MRI - MICROFILM INQUIRY Screen...........................6-A-13 A.14 MRO - MICROFILM RESPONSE Screen..........................6-A-14 A.15 CON - RECORD CONSOLIDATION Screen........................6-A-15 A.16 RDS - RECORD DELETE Screen...............................6-A-16 B.1 NO FOLDER ESTABLISHED REASONS.............................6-B-1 B.2 BRANCH OF SERVICE CODES...................................6-B-1 B.3 FOLDER TYPE CODES.........................................6-B-2 B.4 NEXT SCREEN FIELD ENTRIES.................................6-B-2 B.5 POWER OF ATTORNEY CODES...................................6-B-3 SUBCHAPTER I. BIRLS COMMANDS 6.01 GENERAL a. BIRLS is the acronym for Beneficiary Identification ∧ Records Locator Subsystem. The main computer for this subsystem is located at the Austin Data Processing Center (DPC). Field stations access BIRLS through the Target system. b. A BIRLS record exists for each veteran or other beneficiary for whom one of the following types of files has been established: CLAIMS, NOD, CH 35, R∧E and CH 30. c. This subsystem's primary purpose is to track folder location and provide information about beneficiaries. It is also used to request folder transfer and to respond to requests for transfer. d. Although benefits are not paid directly through BIRLS, the subsystem is linked with the CP∧E (Compensation, Pension and Education) benefits payment system at the Hines DPC and the Insurance system in Philadelphia. The Hines benefit payment system draws information from BIRLS at various points in the process of establishing a pending issue file and generating a benefit award. BIRLS is periodically updated as a result of this interface. 6.02 OVERVIEW OF BIRLS COMMANDS Use one of the commands listed below to access BIRLS. The commands are further explained in subsequent paragraphs. a. BADD (BIRLS ADD). Allows entry of a new veteran's record into BIRLS when a CEST or FNOD is not appropriate. b. BFLD (BIRLS FOLDER). Allows a folder transfer request or update of folder location on the LOC Screen. Do not use for DEA folders. c. BINQ (BIRLS INQUIRY). Allows an inquiry to a veteran or beneficiary BIRLS record. d. BPRT (BIRLS PRINT). Generates a request for pending prints from the BIRLS Print (BPR) Screen. e. BUPD (BIRLS UPDATE). Allows the addition, correction, or deletion of data from an existing veteran or beneficiary BIRLS record. f. CEST (CLAIMS ESTABLISHMENT). Used to establish end product controls, request transfer of CLAIMS, NOD, CH30, and DEA folders, create folders and enter BIRLS data during CEST processing. See chapter 1. g. DUPC (DUPLICATE RECORDS CONSOLIDATION). Permits consolidation of two BIRLS records for a single veteran. Data entries are permitted. Command also identifies beneficiary records which may require adjustment. Generates a message to station of chapter 35 jurisdiction. h. FNOD (FIRST NOTICE OF DEATH). Processes a first notice of death for a veteran's record when CEST processing is not appropriate. Allows data entry and NOD folder establishment. i. MCRI (MICROFILM INQUIRY). Generates a microfilm inquiry to VA Records Processing Center (RPC), St. Louis, MO. j. MCRO (MICROFILM RESPONSE). Permits the RPC to respond to MCRI's (microfilm inquiries) from requesting stations. This command is restricted to RPC 376. k. RDEL (RECORD DELETE). Allows VACO and the RPC to delete BIRLS records. VARO's are not permitted access to this command. 6.03 SPECIFIC USE OF THE BIRLS COMMANDS a. The BADD Command. Use this command to add a veteran's record to the BIRLS system. Ready Screen entries are BADD, password, veteran's name and one or more identifying numbers except for the file number. If Target locates a record, the VID Screen is displayed and BADD processing is terminated. If no record is located, Target displays instructions either to terminate or continue processing. To terminate, type "END" in NEXT SCREEN field or, to continue, depress the ENTER key without the NEXT SCREEN entry. Enter verified data on the VID Screen and, if appropriate, the NO FOLDER EST RSN (Exhibit B.1) on the LOC Screen. The VID and LOC Screens must be completed; however, all screens are available for entry. Enter "UPD" in NEXT SCREEN field to complete the BADD transaction. Create a folder with this command ONLY WHEN CEST or FNOD is not appropriate. (1) If a near matching VID Screen record or multiple records on the selection (NME or NUM) screen are displayed which do not belong to the veteran being processed, skip this screen by entering "ADD" in the NEXT SCREEN field. To review any record from the selection screen, enter "X" in front of the file number. Type "SEL" in NEXT SCREEN field on the VID Screen being reviewed to return to the selection screen for review of another record. (2) BIRLS will permit the operator to assign the Social Security number as the file number or request assignment of an eight-digit claim number. The Social Security number should be assigned as the file number unless the veteran does not have a Social Security number or there is a specific reason for requesting assignment of an eight-digit claim number. (3) BADD will not permit regional offices to assign a specific eight-digit file number. If it is necessary to assign a specific eight-digit file number, contact the RPC BIRLS Adjustment Unit. (See par. 6.07.) b. The BFLD Command. Use this command to request transfer or update the location of a particular folder to your station. Use the BUPD command to request transfer of a DEA folder. Ready Screen entries are BFLD, password, file number, and full name. Enter data on the LOC Screen as required in paragraph 4.11b. If you wish to terminate this command before completion, type "END" in NEXT SCREEN field. c. The BINQ Command. Use this command to review a BIRLS record. Ready Screen entries are BINQ, password, and any combination of available data to permit a search of the BIRLS system. Depending on the Ready Screen data input, Target's reply may be "Can't Identify," "No Record," a single record or multiple records via a selection screen. (1) All data fields are protected from entry during the BINQ command. Any BIRLS Screen may be reviewed in any order by entering the screen name in the NEXT SCREEN field. Terminate processing by typing "END" in the NEXT SCREEN field. (2) If no NEXT SCREEN entry is made, the system will continue through a sequence of screens until Target completes the transaction. See paragraph 6.04 for the sequence of screens. The BIRLS database search routines are explained in paragraph 6.06. (3) If you wish to process a series of BINQ transactions, access the first BINQ record normally. Subsequent BINQs can by processed by entering "MIS" in the NEXT SCREEN field. The system will display a new Ready Screen. You do not need to enter the command and your password again. Merely erase the displayed file number and enter the new number. d. The BPRT Command. Use this command to print messages or review the count for any terminal digit range on the Message Management (BPR) Screen. Ready Screen entries are "BPRT" and password. To print messages from the BPR Screen, enter "X" before the message type (only one at a time), "X" before PRINT THE MESSAGES, station number after STA NO and the terminal digit range in the first field after TERMINAL DIGIT RANGE and THRU. (1) FOLDER REQUESTS. FOLDER REQUESTS messages are requests for transfer from other stations. Print messages daily from the FOLDER REQUESTS category to receive a listing of files requested by other stations. The listing will furnish identifying information for the files requested as well as the station number and routing symbol of the requesting activity. Messages not printed daily will continue to be stored until they are printed or 5 days have elapsed. Unprinted messages are deleted after 5 days. Printed messages are moved from the FOLDER REQUESTS category to the FOLDER REQUESTS PENDING PRINTING category during overnight processing. (2) FOLDER REQUESTS PENDING PRINTING. The printout generated by requesting this category is identical in format to the "FOLDER REQUESTS" printout. An individual transfer request will continue to appear on the FOLDER REQUESTS PENDING PRINTING listing until one of the following events occurs: (a) An unavailable response (e.g., "No Record," "Charged Out") is entered into the system, (b) The receiving station updates BIRLS to show that the folder has been received or (c) 15 days have elapsed since the message was sent to the FOLDER REQUESTS PENDING PRINTING category. (3) FOLDER REQUESTS PAST DUE 15 DAYS. After 15 days the message moves from FOLDER REQUESTS PENDING PRINTING to the FOLDER REQUESTS PAST DUE 15 DAYS category. (4) FOLDER REQUESTS PAST DUE 30 DAYS. After another 15 days, the message moves from FOLDER REQUESTS PAST DUE 15 DAYS to FOLDER REQUESTS PAST DUE 30 DAYS. (5) FOLDER REQUESTS FROM FRC. Certain regional offices are paired with certain FRC's and are responsible for printing FRC requests. See paragraph 4.11c. A separate tearsheet is generated for each recall request from a FRC. The tearsheet contains identifying information for the record requested as well as the station number and routing symbol of the requesting activity. Requests for recall from an FRC are delivered to the appropriate FRC by the regional office which printed the recall request. This procedure is necessary because FRC's do not have Benefits Delivery Network terminals. (6) FOLDER REQUESTS RESPONSES. Requesting the FOLDER REQUESTS RESPONSES category will produce a listing showing responses to requests for transfer-ins from other stations when the other station was unable to transfer the folder. The listing contains identifying information for the record requested and the reason why the folder could not be transferred. Possible responses are NO RECORD, CHARGED OUT TO and FORWARD THE CLAIM TO . See paragraph 4.10i. (7) FLASH MESSAGES. See paragraph 6.08 below. (8) NOTICE OF DEATH MESSAGES. A Notice of Death message is generated at the RPC when a date of death is added during FNOD processing and the claims file location at the RPC. Notice of Death messages are no longer printed at regional offices. (9) CONSOLIDATION MESSAGES. If a veteran's file is consolidated via the DUPC command and a DEA file exists, a message is sent to the station with jurisdiction of the DEA file to advise it of the consolidation. The retained and canceled numbers are displayed. (10) MICROFILM REQUESTS. See subparagraph i below. (11) MICROFILM RESPONSES. See subparagraph j below. e. The BUPD Command. Use this command to add, correct or delete data in a BIRLS record and to request or transfer a folder. Ready Screen entries are BUPD, password, the veteran's name and one or more identifying numbers. For a beneficiary, enter the beneficiary's name and payee number in addition to the veteran's file number (or other identifying numbers if the file number is unavailable). (1) Update only one BIRLS record at a time. Enter UPD in NEXT SCREEN field to complete the transaction. If a record for update is selected from a selection screen (NME or NUM) and an entry to the record is made, it is not possible to return to the selection screen. If no entry is made on the selected record, type "SEL" in the NEXT SCREEN field to return to the selection screen to review another record. (2) Delete data from any field by pressing the erase (EOF) key. If no data is reentered, the field will be displayed as blanks. f. The CEST Command. Use this command to create pending issue files in Target. See paragraph 1.05 for more information on CEST procedures. g. The DUPC Command. Use this command to consolidate two BIRLS records for a single veteran. See paragraph 3.15 for more information about DUPC processing. h. The FNOD Command. Use this command to process a first notice of death when CEST processing is not appropriate. See chapter 5 for more information about FNOD processing. i. The MCRI Command. Use this command to send a microfilm search request to RPC (376). The purpose of this command is to attempt to identify a veteran who cannot otherwise be identified in the BIRLS system with the available information. (1) Send an MCRI request only if there is reason to believe the veteran had a record established in BIRLS at some time in the past. For example, a surviving spouse indicates that the veteran had filed a claim during his lifetime. (2) Ready Screen entries are "MCRI" and password. When the system accepts the command and password, it will display the MRI Screen. Enter the routing symbol to which RPC should direct its response. Then enter a name and one or more identifying numbers (claim, insurance or service) OR a name and a service date. The file number must not be a Social Security number and must be less than 27-593-410. The veteran's date of birth must be earlier than 1954 and the service entry date earlier than February 1, 1972. (3) After the operator completes and enters the MRI Screen, the system will display one of the following: a VID Screen, "no record," or "cannot identify." The MCRI program initially attempts to locate an existing BIRLS record by performing a BINQ. (See subpar. c above.) If the BINQ locates a matching or near matching record, the record is displayed and the MCRI command is terminated. If no record is found, the microfilm search request is sent to RPC (376). An employee of RPC then searches microfilm records for information about the veteran. (4) Only a "no record" response will result in transmission of a microfilm search request to the RPC. A "cannot identify" response will not initiate a microfilm search. (5) Retrieve the results of the microfilm inquiry by using the BPRT command. (See subpar. d above.) j. The MCRO Command. RPC (376) uses this command to respond to regional office MCRI requests. Ready Screen entries are MCRO and password. RPC enters the results of the microfilm search on the MRO Screen. When the MRO Screen is completed, a MICROFILM RESPONSE message is sent to be printed using the BPR Screen at the requesting station. The RO must enter any new data into the veteran's BIRLS record via the BUPD command. In the event no BIRLS record was previously established for the veteran but a microfilm record was located by RPC, the RO must add the new BIRLS record via the BADD command. (See subpar. a above.) k. The RDEL Command. (See exhibit A.16.) Central Office (101) and RPC (376) use this command to delete records from the system. "Canceled" records are assigned a different file number but "deleted" records are removed from the BIRLS system altogether. To delete a file number from the system, send an E-Mail message to "MAIL VBA RPC/BIRLS ADJ." Furnish the file number to be deleted, the name of the veteran and the payee number. Also furnish the name and phone number of a person the BIRLS Adjustment Unit can contact if there is a question. SUBCHAPTER II. BIRLS SCREENS 6.04 OVERVIEW OF BIRLS SCREENS a. BIRLS is programmed to proceed through a series of screens unless the transaction is terminated, completed or exited. The screens for a veteran are displayed in the following order: NME or NUM if multiple records are found, VID, INS, NAM, MSC, LOC, ICP. Beneficiary processing will only display BID and NAM (and possibly NME or NUM) Screens. Unless the transaction process is shortened with a NEXT SCREEN field instruction entry (exhibit B.4), the Benefits Delivery Network will continue through the standard sequence of screens until the PROCESSING COMPLETE Screen appears. b. Data entry fields have certain format restrictions. Acceptable format entries for specific BIRLS Screens are shown in paragraph 6.05. Single-entry fields are updated with a Y, N or ERASE EOF (to delete an entry). The Benefits Delivery Network displays Y entries as X, and input dates as MM-DD-CCYY (month, day, century and year). c. Unless specifically limited, all fields may be updated by regional office input. BIRLS may also be updated through system interfaces with the Hines C∧P system, VADS, Fee Basis, PAID, the CH 32 Bank System and the Insurance system. Note that the interface will not result in update of BIRLS unless a specific linkage has been established. For example, not all changes to the Hines C∧P master record will automatically update BIRLS. 6.05 SPECIFIC USE OF BIRLS SCREENS a. The MNU Screen. The BIRLS Menu Screen lists all the BIRLS Screens and allows selection of a particular BIRLS Screen for review or data input. (See exhibit A.1.) b. The NME Screen. The Name Only Selection Screen is displayed if a veteran's or beneficiary's name is entered on the READY Screen and the system finds more than one record but fewer than 16 records under that name. If the BIRLS search returns 16 or more names, a "cannot identify" response is given. Enter "X" beside the file number of the record to be reviewed. If no data entry input is made on the selected screen, it is possible to return to the selection screen by entering SEL in the NEXT SCREEN field. Terminate processing by either completing the transaction or entering "END" in the NEXT SCREEN field on any BIRLS Screen. (See exhibit A.2.) c. The NUM Screen. This is the Record Selection Screen. It is displayed if a service number or Social Security number is entered on the READY Screen and the system finds more than one record (but fewer than 15 records) under that number. Enter "X" beside the file number of the record to be reviewed. The processing is the same as for the NME Screen in subparagraph b above. (See exhibit A.3.) d. The VID Screen. The Veteran Identification Data Screen displays veteran data and permits the updating of existing or missing data. The first three lines display data from the Ready Screen entries. (See exhibit A.4.) The following are the data format fields: (1) FILE NO. Protected except during BUPD processing. (2) NAME. Displays the last name, first name, middle initial, and a suffix. Name entries exceeding 20 letters in length are cut short. NAM Screen entries update this field. (3) ASSIGN FILE NO. AS CLAIM OR SSN. If a file number was not previously assigned, BIRLS will permit the operator to assign the veteran's Social Security number as the file number or request assignment of an eight-digit claim number. The Social Security number should be assigned as the file number unless the veteran does not have a Social Security number or there is a specific reason for requesting assignment of an eight-digit claim number. See paragraph 6.07. (4) CLAIMS FOLDER LOCATION. Shows current claims folder location if a claims folder exists or the reason why no claims folder exists if there is none. See exhibit B.1. Review the LOC Screen to determine the location of an NOD folder. (5) SSN. Must be 9 digits and cannot begin with an 8 or 9. Enter all leading zeros. (6) VERIFIED SSN INDICATOR. A one-position field to the left of the SSN field. Acceptable entries are Y, N or Blank. This field is updated by interface with the Hines C∧P system which in turn interfaces with Social Security Administration records. It can also be updated by Central Office (101) or RPC (376). (7) DATE OF DEATH. Enter MM-DD-CCYY if applicable. (8) INS FILE ∧ POLICY NO. Displays data from the INS Screen. (9) CAUSE OF DEATH. Possible entries are Unknown, Natural, Combat, or Other. (10) DEATH IN SERVICE. Y, N, or Blank. (11) DATE OF BIRTH. Enter MM-DD-CCYY. (12) POSITIVE INDICATION. May be used by insurance centers to assign jurisdiction of NOD folders. Enter "X" and RO number. (13) SEX. M(male), F(female), or Blank. (14) POWER OF ATTORNEY. Enter the 3-digit numerical code. See exhibit B.5 for acceptable entries. Unless a service organization's POA code is in the system, its access to BIRLS is limited to the NAM Screen, LOC Screen and an abbreviated VID Screen. Once a POA code is entered, personnel of the beneficiary's service organization have access to all BIRLS inquiry screens. (15) SERVICE NO(S). Three entries up to 9 digits. If 9 digits are entered, service number must equal SSN. Service numbers are not unique. NOTE: Service numbers do not necessarily correspond to the periods of service displayed below. (16) EOD. Enter MM-DD-CCYY for 3 most recent periods of service. (17) RAD. Enter MM-DD-CCYY for 3 most recent periods of service. (18) BRANCH OF SVC. Enter branch of service code for each period of service listed. See exhibit B.2 for valid entries. NOTE: Branch of service codes ARNG (Army National Guard) and ANG (Air National Guard) are entered by the VADS Unit in Austin when the DD 214 shows that the individual is discharged from a period of National Guard service. ARNG and ANG are valid entries in BIRLS but not for C∧P award processing or CDEV processing. If a period of National Guard services represents qualifying "active military, naval, and air service" as defined in 38 CFR 3.6(a), process a BUPD to change the branch of service code to ARMY (for ARNG cases) or AIR FORCE for (ANG) cases. If the period of National Guard service represents nonqualifying service, delete it from BIRLS, unless it is the only period of service in which case it should be left in place with the ANG/ARNG branch of service code. See part IV, par. 10.03 for more information on what constitutes qualifying National Guard service. (19) CHARACTER OF SVC. Possible entries are: (a) HON. Honorable. (b) UHC. Under Honorable Conditions (General Discharge). (c) OTH. Under Other Than Honorable Conditions. May also appear on DD 214 as "Unsuitable" or "Bad Conduct" discharge. (d) DIS. Dishonorable. (e) HVA. Honorable for VA Purposes. Entered after a favorable administrative decision is made under part IV, paragraph 11.30. Not shown on DD 214. (f) DVA. Dishonorable for VA Purposes. Entered after an unfavorable administrative decision is made under part IV, paragraph 11.30. Not shown on DD 214. (20) SEP RSN CODE. Information in this field originally comes from the VADS interface. However, it can be updated by RO input. Possible entries are: (a) DEV. Development may be required. (b) SAT. Satisfactory. (c) ADM. Administrative Decision (Used when Character of Service is HVA or DVA). (d) UNK. Unknown. (21) PAY GRADE. E1-E9 (X-X), WO1-WO4 (XX-X) or O1-O10 (X-XX). (22) NON PAY DATES. Enter the total number of days. (23) CONTESTED DATA. Y, N or Blank. Central Office makes a positive entry if records that contain contested information are amended after a Privacy Act release. This field is not currently used. (24) DELETE RECORD. Restricted to Central Office (101) or RPC (376) input. (25) VADS. Y, N or Blank. A positive entry indicates that service data in the BIRLS system originally came from the VADS interface. NOTE: When an individual is separated from service, copy 3 of his or her DD 214 is sent to the VA's VADS Unit in Austin. "VADS" stands for Veterans Assistance Discharge System. The VADS unit takes certain information from the DD 214 and enters it into BIRLS. In many instances, this VADS input is the basis for creation of an original BIRLS record. Such records contain a "VAD" no folder established reason. Copy 3 of the DD 214 is destroyed after the VADS Unit enters data into the system. (26) VERIFIED. Y, N, U or Blank. If the veteran's file contains acceptable proof of service (e.g., an original DD 214, a 3101 response from the service department), VARO personnel shall verify and, if necessary, update the following fields: SSN, SERVICE NO, EOD, RAD, BRANCH OF SVC, CHARACTER OF SERVICE, and SEP RSN CODE. Include the three most recent periods of service. After verification and update, an employee with CADJ authority enters Y in the VERIFIED FIELD to set the field. Once the VERIFIED indicator is set, only an operator with CADJ authority can update the service data fields listed above. e. Using the VID Screen as acceptable evidence of service (1) The BIRLS VID screen can be used as proof of service if all of the following apply: (a) Character of service is "HON" or "UHC." (b) Branch of service code is NOT "ARNG" or "ANG." (c) Separation reason is "SAT." (d) There is a "Y" in the VADS field on the VID screen. (e) The veteran's RAD is 6/1/68 or later. (2) If there is no "Y" in the VADS field and/or the veteran's RAD is not 6/1/68 or later, the VID screen can still be used as proof of service if all of the following apply: (a) Character of service is "HON" or "UHC." (b) Branch of service code is NOT "ARNG" or "ANG." (c) Separation reason is "SAT." (d) There is a "Y" in the VER field on the VID screen. f. The INS Screen. The Insurance Screen displays data for regional office review. The first two lines display data from the Ready Screen entries. Insurance and policy numbers show any insurance currently in effect. Only Central Office (101), Philadelphia IC (310), St. Paul IC (335), or RPC (376) can update this screen by entering "X" after ADD, MODIFY, DELETE or CHANGE and the number after NO:. (See exhibit A.5.) Data fields are as follows: (1) INS NUMBER. Displays code T, K, AN, N, V, H, RH, RS, or J and the number. (2) INSURANCE JURIS. Displays either 310 (Philadelphia Insurance Center) or 335 (St. Paul Insurance Center). (3) POLICY NUMBER. Displays code T, K, AN, N, V, H, RH, ARH, RS, RSW, W, J, JR, or JS and the number. (4) INSURANCE LAPSED/PURGED DATE. Displays lapsed/purged date, if applicable. g. The NAM Screen. The Name Screen displays the current name and up to three alternates for a veteran or beneficiary in three 20-digit fields and one 3-digit suffix field. The first two lines display data from the Ready Screen entries. Update a name by entering "X" after ADD, DELETE, CHANGE or CORRECT and "X" before the NAME (CURRENT or ALTERNATE) to be changed. Enter the new name in the NAME fields at the bottom center of the screen. The current name cannot be deleted. (See exhibit A.6.) h. The MSC Screen. The Miscellaneous Data Screen displays various data pertaining to a veteran or allows the input of data to update a BIRLS record. (See exhibit A.7.) The first two lines display data from the Ready Screen entries. Update all single-digit fields with a Y, N, or Blank. The ERASE EOF key will delete an existing entry. The following are the data fields: (1) GUARDIANSHIP CASE. May be updated by any regional office with jurisdiction of the PGF file, Central Office (101), or RPC (376). (2) VETERAN HAS BENEFICIARIES. A "Y" is generated in this field when a beneficiary (CH 35) record is added to BIRLS. Field is protected except for Central Office (101) or RPC (376) input. (3) VETERAN IS A BENEFICIARY. Indicates that the veteran is a beneficiary (e.g., the veteran also receives CH 35 benefits). (4) VA EMPLOYEE. Indicates that the veteran is a VA employee. Updated by Central Office (101) or RPC (376). Also updated by interfaces with the following systems: PAID, C∧P, CH 32 Banking, Fee Basis. (5) FLASH CODES. See paragraph 6.08. (a) TYPE. IA (101, 310, 335, 376 only), FB, SS, MV (101, 376 only), RR (101, 328, 376 only), or 01 (any station). (b) LOC. Enter station number. (c) ROUTE. Enter the mail routing symbol (up to 5 digits) to which the reply will be sent. (6) DISCLOSURE ACCOUNT NUMBERS. Restricted to Central Office (101), RPC (376) and batch processing. (7) NUMBER OF DISCLOSURES. Restricted to Central Office (101), RPC (376) and batch processing. The field is updated by one each time the record is released during special project extracts. (8) EMPLOYEE NUMBER. Protected field which shows the employee number of the employee who processed the last BIRLS transaction. (9) UPDATE STATION. Protected field which shows the station where the last BIRLS transaction was processed. If the last transaction involved BIRLS batch processing at the Austin DPC, station number 200 will appear in this field. (10) ACTIVATE CANCELED FILE NO. Displays stored canceled file number. Can be used if a veteran whose file number was originally a 9-digit Social Security number filed for CH 31 and was assigned an 8-digit claim number, but now files for CH 32 and needs the 9-digit Social Security number restored as a file number. Updated by Central Office (101) or RPC (376) only. (11) PURPLE HEART. Updated by VADS interface or RO input if the veteran received the Order of the Purple Heart medal. (12) MEDAL OF HONOR. Updated by VADS interface or RO input if the veteran received the Medal of Honor. (13) REENLISTED. Updated by VADS interface or RO input if the veteran served more than one term on active duty. (14) ACTIVE DUTY FOR TRAINING. Updated by VADS interface or RO input if the veteran had active duty for training. (15) TRANSFERRED TO RESERVES. Updated by VADS interface or RO input if the veteran was transferred to the Reserves. (16) INCOMPETENT. Updated by any station with jurisdiction of the claims file, Central Office (101) or RPC (376). (17) VIETNAM SERVICE. Updated by VADS interface or RO input if the veteran had Vietnam era service. (18) POW DAYS. Enter total number of days as a prisoner of war. (19) DISABILITY. Updated if veteran was released or discharged from service because of a disability. (20) DISAB SEV PAY. Enter total dollars and cents (99999.99). Disability severance pay data comes from the VADS interface but can be updated by RO input. (21) LUMPSUM READJ PAY. Enter total dollar and cents (99999.99). This information comes from the VADS interface but can be updated by RO input. See part IV, paragraph 20.34b. (22) SEPARATION PAY. Enter total dollars and cents (99999.99). This information comes from the VADS interface but can be updated by RO input. (23) TOTAL ACTIVE SVC. Enter total time of service as YY-MM-DD. This information comes from the VADS interface but can be updated by RO input. This is NOT a date. (24) CH30/106. Enter a "Y" for CH 30 or a "Y" for CH 106. i. The LOC Screen. The Folder Management Screen (exhibit A.8) controls up to eight folder types, provides FRC information, displays the status of records and is used for folder transfer procedures. (The BID Screen tracks DEA folders.) The first two lines display data from the Ready Screen entries. This screen has multiple uses which are covered in other chapters. See chapter 2 for folder establishment procedures and chapter 4 for folder transfer procedures. Data format entries: (1) Folder Location Data. (a) FLDR TYPE. Displays the type of folder (claims, NOD, R∧E, CER, CHR, PGF, LGY, CH30, SMR, INS, EDU). Currently, only claims, NOD, R∧E, CH30, CER and SMR folders are tracked. (See exhibit B.3.) (b) CURRENT LOCATION. Displays the station number and name of regional office which has jurisdiction. (c) DESTROYED INDICATOR. All folder types may be destroyed by entering a "Y" in this field. However, only stations 101 and 376 may destroy a claims or NOD folder. Other stations have the capability of destroying all other folder types if they have jurisdiction of the folder. (d) DATE OF TRANSFER. Displays the date of transfer to the CURRENT LOCATION station. If there is no entry in the PRIOR LOCATION field, the date the folder was established is displayed. (e) PRIOR LOCATION. Displays the station number of the former station of jurisdiction (if applicable). (f) IN TRANSIT TO STA DATE. Displays the station number and transfer request date during a pending transfer. The file will remain "IN TRANSIT TO" until the receiving station makes a positive entry in the THE XXXX FOLDER IS LOCATED AT THIS STATION field. When the folder is received and BIRLS is updated, the IN TRANSIT TO station becomes the CURRENT LOCATION station. NOTE: Stations 101 (Central Office) and 376 (RPC) are capable of entering data into all of the above-mentioned fields. (2) Benefit Indicators. These fields are automatically updated via computer interface. The one-position field will be updated with a "Y" for active, or BLANK for not active. (a) JOBS Veterans Job Training Act (VJTA) System. (b) CH31 Vocational Rehabilitation (c) CH32/903 Educational Benefits/Banking System, (BK=Banking/BT=Benefit), Section 903 (d) CH34 Educational Benefits/CH 34 (e) 901 Section 901 (Armed Forces Educational Assistance Program) (f) C∧P Compensation and Pension (g) SMR Service Medical Record (3) Folder Data. (a) REBUILT. Displays X when a claims folder is rebuilt. Updated by Central Office (101) or RPC (376). (b) NO CLAIM FOLDER EST RSN. Displays the reason why a claims folder is not created. (See exhibit B.1.) Enter the code if a BIRLS record is added but a folder is not created. See paragraph 5.16 concerning entry of a NO CLAIM FOLDER EST RSN during FNOD processing. Delete this field with the ERASE EOF key if the respective folder type is created and a reason is shown. (c) ESTABLISH A [] FOLDER. Used to create a folder. See paragraph 2.03. (d) FARC ACCESSION NO. An entry is displayed in this field only for Group 2 XC-folders retired by the RPC to FRC (061), St. Louis, Missouri (See par. 5.18f). Data are displayed in format XXX-XX-XXXX. The first three digits are always "015," the NARA number for VA. The middle two digits are the fiscal year of the retirement. The last four digits are the NARA accession number. This field may only be updated by Central Office (101), RPC (376) or during mass folder retirements. (e) TRANSFER THE [] FOLDER TO [] ROUTING SYMBOL [] THE [] FOLDER IS LOCATED AT THIS STATION THE [] FOLDER IS UNAVAILABLE FOR TRANSFER: CHARGED OUT TO [] FORWARD THE CLAIM TO [] NO RECORD. These fields are used in connection with folder transfer procedures. See chapter 4. (f) Transaction Type 23 (TT23). This is used to reactivate inactive Hines education master records or to update the station location in either the C∧P or Education master record. TT 23 will make the Hines folder location equal BIRLS folder location. Folder location in the C∧P Hines master record is also updated with a CORR transaction to the M11 Screen. j. The ICP Screen. Use the Inactive Comp and Pen Data Screen (exhibit A.9) to review data for veterans who do not have active C∧P master records. In July of 1987 the inactive C∧P file was loaded into BIRLS as the basic source of ICP Screen data. ICP Screen data is updated whenever a terminated C∧P master record is purged from the active file or when a claim is disallowed and there is no active master record. (1) ICP Conversion Problems. In 1989 it was determined that much ICP Screen information was wrong. Consequently, both automatic and manual updates of ICP Screen data were suspended and users were advised not to rely on ICP Screen disability data. The ICP screen has been redesigned and a new BICP command introduced. A DIAGS VERIFIED field was added on the ICP screen with possible entries of "Y" or "N." This field was set to "N" for all records. Thereafter, the DIAGS VERIFIED field could be set to "Y" either through automatic updating (when a terminated C∧P master record is purged from the active file or when a claim is disallowed and there is no active master record) or by positive operator entry via the BICP command. ICP screen disability data can be considered reliable ONLY when the DIAGS VERIFIED field is set to "Y." (2) BICP Processing. The BICP command can be used by personnel with CADJ authority to update specific fields on the ICP screen which cannot be updated via the BUPD command. Under the BICP command the following fields may be entered, modified or deleted: DIAGS, PCT, AN, SC, DIAGS VERIFIED, ADDNL DIAGS, and COMBINED DEGREE. Review the claims file to verify the accuracy of diagnostic code and percent date. Make any necessary corrections and enter "Y" in the DIAGS VERIFIED field. If you cannot verify all data as shown, exit the screen by entering "END" in the NEXT SCREEN field. NOTE: The BICP command can be used to change existing diagnostic code information but it cannot be used to add diagnostic codes to an ICP segment which does not already contain diagnostic code information. To accomplish this, contact Compensation and Pension Service Computer Systems Staff (213C). k. The BEN Screen. The Beneficiary Selection Screen (exhibit A.10) is displayed as the result of a beneficiary name BIRLS search. Review any displayed record by entering "X" before the record. If no data entry input is made on the selected record, return to the selection screen by entering "SEL" in the NEXT SCREEN field. Terminate processing by either completing the transaction or entering "END" in the NEXT SCREEN field. l. The BID Screen. The Beneficiary Identification Data Screen (exhibit A.11) displays beneficiary data and allows the updating of existing or missing data. The first two lines display data from the Ready Screen entries. (1) Data format fields. (a) NAME. Displays a 36 character field for last, first, middle names and suffix. First and middle names are truncated if the full name exceeds 36 characters. Updated by any station. (b) SSN. Must be 9 digits which cannot begin with 8 or 9. Enter all leading zeros. (c) DATE OF BIRTH. Enter date as MM-DD-CCYY. (d) SEX. M (male), F (female) or blank. (e) PAYEE NUMBER. Enter payee number (10, 41-49) for DEA claimant. (f) BENEFICIARY IS A VETERAN. Enter "Y" if beneficiary is a veteran. (g) DELETE RECORD. Restricted to Central Office (101) or RPC (376) to delete the beneficiary record. (h) FOLDER LOCATION DATA. All these fields are updated by FOLDER CONTROL FIELDS entries and are system generated. (i) FLDR TYPE. Displays DEA. (j) CURRENT LOCATION. Displays the station number and name of the regional office which has current jurisdiction. (k) DATE OF TRANSFER. Displays the date of transfer to CURRENT LOCATION station. (l) PRIOR LOCATION. Displays the former station of jurisdiction number. (m) IN TRANSIT TO STA DATE. Displays the station number and transfer request date during a pending transfer request. The file will remain "IN TRANSIT TO" until the receiving station makes a positive entry in THE FOLDER IS LOCATED AT THIS STATION field. When the folder is received and BIRLS is updated, the IN TRANSIT TO station becomes the CURRENT LOCATION station. (n) DATE ELIGIBLE FOR RETIREMENT. When a beneficiary record is initially established a date which is 2 years from the establishment date will appear in this field. This date will be deleted when an original award is processed. (2) Folder Control Fields (a) To create a DEA folder, use ESTABLISH A DEA FOLDER. See paragraph 2.03c. (b) Use the following fields for folder transfer procedures: See paragraph 4.11. TRANSFER THE FOLDER TO [] ROUTING SYMBOL [] THE FOLDER IS LOCATED AT THIS STA THE FOLDER IS UNAVAILABLE FOR TRANSFER: CHARGED OUT TO [] FORWARD THE CLAIM TO [] NO RECORD m. The BPR Screen. Use the Message Management Screen to print messages or review the count for any terminal digit range. All 5-digit message count fields are protected from entry and display the number of pending messages. The remaining fields are data entry fields to request prints or for review of the pending count for each message field. (See exhibit A.12 and par. 6.03d.) n. The MRI Screen. Use the Microfilm Inquiry Screen to initiate a microfilm search to RPC (376). (See par. 6.03i and exhibit A.13.) All fields are data entry fields which are self explanatory. The only restricted data fields are: (1) FILE NUMBER. Must not be an SSN and must be less than 27-593-410. (2) DATE OF BIRTH. Must be earlier than 1954. (3) ENTERED ON DUTY. Must be earlier than 02-01-1972. o. The MRO Screen. RPC (376) uses the Microfilm Response Screen for reply to regional office microfilm search requests. All fields are data entry fields which are self explanatory. (See exhibit A.14.) p. The CON Screen. The Record Consolidation Screen is completed during DUPC processing. (See par. 3.15 and exhibit A.15.) Enter the file numbers and names of the two records being consolidated exactly as shown in the existing BIRLS records. SUBCHAPTER III. BIRLS PROCESSING 6.06 BIRLS DATABASE SEARCH ROUTINES a. Primary Inquiry. The primary inquiry locates either veteran or beneficiary records by searching the database using the basic identifying data entered. Basic identifying data is a number, a name or various combinations. Up to four identifying numbers can be entered (file number, SSN, insurance number, service number or any combination of name and service dates, dates of birth or death, branch of service, claims folder location or payee number). The three types of searches for a primary inquiry are number search, name search and extended search. (1) Number Search. If the entry has an identifying number, a number search is performed. Up to four identifying numbers may be included in the transaction. The order of priority for number searches is: file number, SSN, insurance number and service number. A number search is conducted even if a name is included with input data. (2) Name Search. A name search is conducted if a name with no identifying numbers is entered. Enter any available additional identifying data. If the transaction has additional identifying data, the order of importance is enlistment date, discharge date, date of death, date of birth, branch of service, claims folder location and payee number. See paragraph 6.05b. (3) Extended Search. An extended search is conducted on transactions which fail to find a BIRLS record during the number search processing. This search is similar to a name search, except that a percentage match is performed on the input identifying numbers within a name group to try to identify the requested record. Near match records are displayed. b. Secondary Inquiry. A secondary inquiry results when the operator selects an individual BIRLS record from a selection screen after multiple BIRLS records are displayed. c. Stub Name Inquiry. If a CP∧E interface transaction to BIRLS rejects, an NOE (Notice of Exception) message is generated for the regional office. This transaction allows the operator to try to identify the BIRLS record that the message pertains to by accepting a file number and stub name input. The results of the search will reflect a single BIRLS record, a BIRLS record with discrepant data, multiple abbreviated records, or a "No Record" response. Use this search only when attempting to identify a BIRLS record from an NOE message. d. BIRLS Inquiry Response. The data input determines the type of search conducted. The types of record matches determine the response from BIRLS. The various types of responses are explained below. (1) A single BIRLS record (either veteran or beneficiary) is returned when only one matching BIRLS record is identified, regardless of the type of search conducted. (2) A multiple BIRLS record (selection screen) response is displayed if multiple records are found. If a number search identifies multiple records, the Record Selection (NUM) Screen is displayed. If a name or extended search identifies multiple records, the Name Only Selection (NME) Screen is displayed. (3) A "No Record" message is displayed if the search fails to identify a record. (4) A "Cannot Identify" message is displayed if a name search or extended search is conducted and more than 15 possible matches are found. (5) A single BIRLS record with discrepant data is displayed if the search finds a BIRLS record using the input number, but the name does not match. The full BIRLS record is shown. (6) A multiple abbreviated response results if any search finds two BIRLS records based on the input numbers. Both abbreviated records are displayed on the Ready Screen. (7) A message, "System Error-Computer Malfunction," is displayed if a system error occurs. Contact Central Office Administrative Services Systems Staff if access to a BIRLS record is prevented by display of the "System Error-Computer Malfunction" message. e. Payee Number Input. Responses are controlled by the payee number input. If the payee number is not entered, a multiple records response could include both veteran and beneficiary records. If the payee number input is 00, all responses are veterans' records. If the payee number input is 10 or 40 through 49, all responses are for beneficiary records only. 6.07 FILE NUMBER ASSIGNMENT a. The file number is initially assigned as either an eight-digit claim number or a nine-digit SSN. Assign the veteran's SSN as the file number unless the veteran does not have an SSN or there are specific reasons for assigning an eight-digit claim number as the file number. b. Only Central Office (101) and RPC (376) can assign a specific eight-digit file number, change one eight-digit file number to another eight-digit file number, change one nine-digit file number to another nine-digit file number, change an eight-digit file number to a nine-digit file number or change a nine-digit file number to an eight-digit file number (except during CH 31 CEST processing). If these types of changes are required,contact the RPC BIRLS Adjustment Unit. The E-mail mailbox for the BIRLS Adjustment unit is "MAIL VBA RPC/BIRLS ADJ." In some cases the BIRLS Adjustment Unit will be unable to effect a change because there is a problem with the BIRLS record. If the BIRLS Adjustment Unit reports that it is unableto accomplish the desired change, contact the Central Office Administrative Service Systems Division. 6.08 FLASH CODE INDICATORS a. Flash code indicators may be entered into the BIRLS system to trigger a message to a specific office when any activity occurs against a veteran's BIRLS record. Hines master record activity which does not interface with BIRLS will not trigger a message. Enter flash codes on the MSC Screen (par. 6.05h) via any BIRLS input command which allows access to the MSC Screen. Retrieve flash code messages during BPRT processing. b. A regional office will enter flash codes only with the Station Director's approval as expressed in a memorandum for file. Entry of flash codes is authorized for the following: (1) Specific requests from the FBI, U.S. Secret Service, or Central Office elements. (2) Cases in which veterans are reported missing. (3) Any case in which the Director determines that special attention is warranted. c. The flash codes are: 01 - Any station which enters the flash. FB - Federal Bureau of Investigation, FBI. SS - U.S. Secret Service (missing person). MV - Office of Investigation, Central Office. RR - Railroad Retirement. IA - Insurance award. d. Remove a flash code after all the information required by the flash is furnished or the flash is no longer necessary. EXHIBIT A - BIRLS MENU SCREEN MNU BIRLS MENU SCREEN SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX VETERAN SELECTIONS X VETERAN IDENTIFICATION DATA, OR (VID) X VETERAN MISCELLANEOUS DATA (MSC)BIRLS ADD SCREEN, OR X FOLDER MANAGEMENT DATA (LOC) RECORD ESTABLISHMENT, OR X INACTIVE COMPENSATION AND NOTICE OF DEATH PENSION DATA (ICP) X INSURANCE (INS) BENEFICIARY SELECTIONS X BENE IDENTIFICATION DATA (BID) VET AND BENE SELECTIONS X BIRLS NAME SCREEN (NAM) X RECORD SELECTION SCREEN, OR (SEL)X RESTORE TO ORIGINAL RECORD (RES) NAME ONLY SELECTION, OR X UPDATE PROCESSING (UPD) BENE SELECTION SCREEN X END PROCESSING (END) INFORMATIONAL BIRLS MENU (MNU) MICROFILM SEARCH (MRI) RECORD CONSOLIDATION (CON) MICROFILM SEARCH RESPONSE (MRO) RECORD DELETE (RDS) PRESIDENTIAL MEMORIAL CERT (PMC) MESSAGE MANAGEMENT (BPR) BIRLS ADD FROM SELECTION (ADD) Exhibit A.1 Exhibit A (CONT) NAME ONLY SELECTION SCREEN NME NAME ONLY SELECTION SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXNAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX FILE NUMBER SOC SEC NUM SVC NO PN DOB DOD EOD RAD BRANCH LOC X XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXXX XXXXXXXXXXX X XXXXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXXXX XXXXX XXXX XXX NEXT SCREEN XXX Exhibit A.2 Exhibit A (CONT) RECORD SELECTION SCREEN NUM RECORD SELECTION SCREEN SEQ NO XXXXXXXXXXXXXXXX XX-XX-XXXXFILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXSOC SEC NO XXXXXXXXXXX INSURANCE NO XXXXXXXXXXX SERVICE NO XXXXXXXXXSTUB NAME XXXXXXXXX BRANCH OF SERVICE XXXX LOCATION XXXDOB XXXXXXXXXX DOD XXXXXXXXXX EOD XXXXXXXXXX RAD XXXXXXXXXX RECORDS FOUND NAME FILE NO PN LOC EOD RAD DOB DOD X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXX XX XXX XX-XX XX-XX XX-XX XX-XX NEXT SCREEN XXX Exhibit A.3 EXHIBIT A (CONT) VID SCREEN VID XXXXXXXXXXXXXXXXXXXXXXXXXXX SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NO XXXXXXXXXXX PN XX BR XXXX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXSSN XXXXXXXXXXX INS NO XXXXXXXXXXXX SVC NO XXXXXXXXX STUB NAME XXXXXXXXX FILE NO XXXXXXXXXXX PAYEE NO XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXASSIGN FILE NO AS X CLAIM OR X SSN CLAIM FOLDER LOCATION XXX XXXXXXXX SOCIAL SECURITY NO X XXXXXXXXXXX DATE OF DEATH XXXXXXXXXX INSURANCE FILE NO XXXXXXXXXXXX CAUSE OF DEATH XXXXXXX INSURANCE POLICY NO XXXXXXXXXXXX DEATH IN SVC X DATE OF BIRTH XXXXXXXXXX POSITIVE INDICATION X XXX SEX X POWER OF ATTORNEY XXX SERVICE NO(S) XXXXXXXXX XXXXXXXXX XXXXXXXXX EOD XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX RAD XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX BRANCH OF SVC XXXX XXXX XXXX CHARACTER OF SVC XXX XXX XXX SEP REASON CODE XXX XXX XXX PAY GRADE XXXX XXXX XXXX NON-PAY DAYS XXX XXX XXX CONTESTED DATA X DELETE RECORD X VADS X VERIFIED X NEXT SCREEN XXX EXHIBIT A.4 EXHIBIT A (CONT) INSURANCE SCREEN INS INSURANCE SCREEN SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX INSURANCE NUMBER XXX XXXXXXXX INSURANCE JURIS XXX XXXXXXXX POLICY NUMBERS: X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX X XXXXXXXXXXXX ADD X MODIFY X DELETE X NO: XXX XXXXXXXX INSURANCE LAPSED/PURGED DATE XXXXXX NEXT SCREEN XXX Exhibit A.5 EXHIBIT A (CONT) NAME SCREEN NAM NAME SCREEN SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX PAYEE XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX ADD X CHANGE (RETAINS OLD AND NEW NAME) X DELETE X CORRECT (CHANGES OLD NAME) X CURRENT NAME: FIRST MIDDLE LAST SUFFIX X XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXX ALTERNATE NAME: X XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXX X XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXX X XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXX XXX FIRST XXXXXXXXXXXXXXXXXXXX MIDDLE XXXXXXXXXXXXXXXXXXXX LAST XXXXXXXXXXXXXXXXXXXX SUFFIX XXX NEXT SCREEN XXX Exhibit A.6 EXHIBIT A (CONT) MSC SCREEN MSC MISCELLANEOUS DATA SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXGUARDIANSHIP CASE X PURPLE HEART X VETERAN HAS BENEFICIARIES X MEDAL OF HONOR XVETERAN IS A BENEFICIARY X REENLISTED X VA EMPLOYEE X ACTIVE DUTY FOR TRAINING X FLASH CODES TRANSFERRED TO RESERVES X TYPE LOC ROUTE TYPE LOC ROUTE INCOMPETENT X XX XXX XXXXX XX XXX XXXXX VIETNAM SERVICE X XX XXX XXXXX XX XXX XXXXX PRISONER OF WAR DAYS XXXX DISABILITY X DISCLOSURE ACCOUNT NUMBERS DISABILITY SEVERANCE PAY XXXXXXXX XXXX XXXX XXXX XXXX XXXX XXXX LUMPSUM READJUSTMENT PAY XXXXXXXXXXXX XXXX XXXX XXXX XXXX XXXX SEPARATION PAY XXXXXXXX NUMBER OF DISCLOSURES XX TOTAL ACTIVE SERVICE XXXXXXXXEMPLOYEE NUMBER XXXX UPDATE STATION XXX CH30 X DATE LAST UPDATED XXXXXXXXXX 106 X ACTIVATE CANCELLED FILE NO XXXXXXXXXXX NEXT SCREEN XXX Exhibit A.7 EXHIBIT A (CONT) LOC SCREEN LOC FOLDER MANAGEMENT SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX FOLDER LOCATION DATA FLDR CURRENT DES DATE OF PRIOR IN TRANSIT TO TYPE LOCATION TRANSFER LOCATION STA DATE XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX XXXXX XXX XXXXXXXX X XXXXXXXX XXX XXX XXXXXXXX CH31 X CH32/903 X CH34 X 901 X C∧P X JOBS X SMR X BK X BT X XXXXX FOLDER DATA: REBUILT X NO CLAIM FOLDER EST RSN XXX X ESTABLISH A XXXXX FOLDER FARC ACCESSION NO XXXXXXXXXXX X TRANSFER THE XXXXX FOLDER TO XXX ROUTING SYMBOL XXXXXXXX TT23 X X THE XXXXX FOLDER IS LOCATED AT THIS STATION X THE XXXXX FOLDER IS UNAVAILABLE FOR TRANSFER: CHARGED OUT TO XXXXXXXX FORWARD THE CLAIM TO XXXXXXXX NO RECORD X NEXT SCREEN XXX Exhibit A.8 EXHIBIT A (CONT) ICP SCREEN ICP INACTIVE COMP AND PEN DATA XX-XX-XX FILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXBURIAL FLAG ISSUED X CLOTHING ALLOWANCE X APPLICATION FOR PLOT X AUTOMOBILE ALLOWANCE X BURIAL AWARD SVC CON X NON-SVC-CON X ADAPTIVE EQUIPMENT X BURIAL AWARD TRANSP X HEADSTONE X SPECIAL ADAPTIVE HOUSING X BURIAL AWARD PLOT X PAYMENT X SPECIAL LAW CODE OO ENTITLEMENT CODE XX COMBINED DEGREE OOO REASON FOR TERMINATION OR DISALLOWANCE OO TERMINATION DATE OOOOOOOOOO DIAGS PCT AN SC LEGEND OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX OOOO OOO X X XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX DIAGS VERIFIED X NUM OF SVC CON DIAGS X ADDNL DIAGS O NEXT SCREEN XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX Exhibit A.9 EXHIBIT A (CONT) BENEFICIARY SELECTION SCREEN BEN BENEFICIARY SELECTION SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX VETERAN NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX BENEFICIARY NAME PN SOC SEC NUM DOB LOCX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX NEXT SCREEN XXX Exhibit A.10 EXHIBIT A (CONT) BID SCREEN BID BENEFICIARY IDENTIFICATION DATA SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXXFILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX SOCIAL SECURITY NUMBER XXXXXXXXXXX PAYEE NUMBER XX DATE OF BIRTH XXXXXXXXXX BENEFICIARY IS A VETERAN X SEX X DELETE RECORD X FOLDER LOCATION DATA FLDR CURRENT DATE OF PRIOR IN TRANSIT TO DATE ELIGIBLE TYPE LOCATION TRANSFER LOCATION STA DATE FOR RETIREMENT XXXXX XXX XXXXXXXX XXXXXXXX XXX XXX XXXXXXXX XXXXXXXX FOLDER CONTROL FIELDS X ESTABLISH A DEA FOLDER DEA FOLDER IS DESTROYED X REBUILT X X TRANSFER THE FOLDER TO XXX ROUTING SYMBOL XXXXXXXX X THE FOLDER IS LOCATED AT THIS STATION X THE FOLDER IS UNAVAILABLE FOR TRANSFER: CHARGED OUT TO XXXXXXXX FORWARD THE CLAIM TO XXXXXXXX NO RECORD X NEXT SCREEN XXX Exhibit A.11 EXHIBIT A (CONT) BPR SCREEN BPR MESSAGE MANAGEMENT XXXXXXXXXX FOLDER TRANSFER MESSAGES X FOLDER REQUESTS PENDING PRINTING XXXXX X FOLDER REQUESTS FROM FARC XXXXX X FOLDER REQUESTS RESPONSES XXXXX X FOLDER REQUESTS XXXXX X FOLDER REQUESTS PAST DUE 15 DAYS XXXXX X FOLDER REQUESTS PAST DUE 30 DAYS XXXXX BIRLS MESSAGES X FLASH MESSAGES XXXXX X NOTICE OF DEATH MESSAGES XXXXX X CONSOLIDATION MESSAGES XXXXX MICROFILM MESSAGES X MICROFILM REQUESTS XXXXX X MICROFILM RESPONSES XXXXX X PRINT THE MESSAGES STA NO XXX TERMINAL DIGIT RANGE XX XX THRU XX XX XXXXX X NEXT SCREEN XXX Exhibit A.12 EXHIBIT A (CONT) MRI SCREEN MRI MICROFILM INQUIRY XXXXXXXXXX ROUTING SYMBOL XXXXXXXXXX NAME: FIRST XXXXXXXXXXXXXXXXXXXX MIDDLE XXXXXXXXXXXXXXXXXXXX LAST XXXXXXXXXXXXXXXXXXXX SUFFIX XXX FILE NUMBER XXXXXXXXXXX PN XX SOCIAL SECURITY NUMBER XXXXXXXXXXX INSURANCE NUMBER XXX XXXXXXXX DATE OF BIRTH XXXXXXXXXX DATE OF DEATH XXXXXXXXXX SERVICE NUMBER XXXXXXXXX ENTERED ON DUTY XXXXXXXXXX RELEASED FROM DUTY XXXXXXXXXX BRANCH OF SERVICE XXXX NEXT SCREEN XXX Exhibit A.13 EXHIBIT A (CONT) MRO SCREEN MRO MICROFILM RESPONSE XXXXXXXXXX MICROFILM DIARY NUMBER XXXXXXXXX ROUTING SYMBOL XXXXXXXXXX NAME: NO RECORD X FIRST XXXXXXXXXXXXXXXXXXXX MIDDLE XXXXXXXXXXXXXXXXXXXX LAST XXXXXXXXXXXXXXXXXXXX SUFFIX XXX FILE NUMBER XXXXXXXXXXX PN XX SOCIAL SECURITY NUMBER XXXXXXXXXXX INSURANCE NUMBER XXX XXXXXXXX DATE OF BIRTH XXXXXXXXXX DATE OF DEATH XXXXXXXXXX SERVICE NUMBER(S) XXXXXXXXX XXXXXXXXX XXXXXXXXX ENTERED ON ACTIVE DUTY XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX RELEASED FROM ACTIVE DUTY XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX BRANCH OF SERVICE XXXX XXXX XXXX CHARACTER OF SERVICE XXX XXX XXX SEPARATION REASON CODE XXX XXX XXX PAY GRADE XXXX XXXX XXXX MISCELLANEOUS:XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX NEXT SCREEN XXX Exhibit A.14 EXHIBIT A (CONT) CON SCREEN CON RECORD CONSOLIDATION XXXXXXXXXX RECORD TO BE RETAINED FILE NUMBER XXXXXXXXXXX NAME FIRST XXXXXXXXXXXXXXXXXXXX MIDDLE XXXXXXXXXXXXXXXXXXXX LAST XXXXXXXXXXXXXXXXXXXX SUFFIX XXX RECORD TO BE CANCELED FILE NUMBER XXXXXXXXXXX NAME FIRST XXXXXXXXXXXXXXXXXXXX MIDDLE XXXXXXXXXXXXXXXXXXXX LAST XXXXXXXXXXXXXXXXXXXX SUFFIX XXX NEXT SCREEN XXX Exhibit A.15 EXHIBIT A (CONT) RECORD DELETE SCREEN RDS DELETE RESPONSE SEQ NO XXXXXXXXXXXXXXXX XXXXXXXXXX FILE NUMBER XXXXXXXXXXX PN XX NAME XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXSOC SEC NO X XXXXXXXXXXX ADDITIONAL NAME RECORDS PN INS NO CAN. FILE NO SVC NO XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXXXXXXXX NEXT SCREEN XXX Exhibit A.16 EXHIBIT B - NO FOLDER ESTABLISHED REASONS DMA - Department of Memorial Affairs LGY - Loan Guaranty VAD - Veterans Assistance Discharge System INS - Insurance ROI - Regional Office Input C32 - Chapter 32 System SYS - System generated Listed in order of priority. A higher priority reason may not be changed to a lower priority reason. Exhibit B.1 BRANCH OF SERVICE CODES Branch of Service Valid Entries Army Army, A Navy Navy, N, B Marine Corps M, C Coast Guard CG, D US Public Health Svc. PHS, E Air Force AF, F Regular Philippine Scouts RPS, Women's Army Corps WAC, Coast ∧ Geodetic Survey National Oceanic ∧ Atmospheric Admin. NOAA, I Army Air Corps AAC, Special Philippine Scouts SPS, Commonwealth Army CA, Guerrilla ∧ Combination Service GCS, Regular Scout Service Combined with Special Philippine Scout or Commonwealth Army Service RSS, Merchant Marine MM Army National Guard ARNG Air National Guard ANG Exhibit B.2 EXHIBIT B (CONT) FOLDER TYPE CODES Folder type entries: CLAIM - Claim folder (C∧P, CH34, CH32, Section 106) NOD - Notice of death folder DEA - DEA folder (appears on the BID Screen) R∧E - Chapter 31 rehabilitation folder CER - Counseling education rehabilitation folder CHR - Consolidated health record PGF - Parent guardianship folder LGY - Loan guaranty folder CH30 - Chapter 30 folder SMR - Service Medical Record Exhibit B.3 NEXT SCREEN ENTRIES Next Screen field entries: END - terminates the transaction. SEL - returns to the selection screen. ADD - adds a record to the BIRLS system. RES - restores original data to the screens after entries are made but before UPD completed. Do not use with the DUPC command. UPD - updates the data entered into the system. XXX - any BIRLS Screen name will take you to that particular screen. Exhibit B.4 EXHIBIT B (CONT) POWER OF ATTORNEY CODES National Organizations (Numerical Listing) CodeName 000 No Power of Attorney assigned 003 Polish Legion of American Veterans, USA 007 Retired Enlisted Association 012 Gold Star Wives 024 National Amputation Foundation 029 Vietnam Era Veterans Association 043 Swords to Plowshares 061 American Defenders of Bataan and Corregidor 062 Noncommissioned Officers Association of United States of America 065 American Ex-Prisoners of War 066 Private Attorney - Exclusive Contact Requested 068 American GI Forum, National Veterans' Outreach Program 070 Vietnam Veterans of America 071 Paralyzed Veterans of America 074 The American Legion 075 The American Red Cross 076 American Veterans Committee 077 AMVETS 078 Army Mutual Aid Association 079 Army and Navy Union, U.S.A. 080 Blinded Veterans Association 081 Catholic War Veterans of the U.S.A. 083 Disabled American Veterans 085 Fleet Reserve Association 086 Jewish War Veterans of the United States 087 Legion of Valor of the United States of America 088 Marine Corps League 089 Military Order of the Purple Heart 093 Navy Mutual Aid Association 094 Regular Veterans Association 096 United Spanish War Veterans 097 Veterans of Foreign Wars of the United States 098 Veterans of WWI of the U.S.A., INC. 099 Agent or Private Attorney - Exclusive Contact not Requested 077 AMVETS 061 American Defenders of Bataan and Corregidor 065 American Ex-Prisoners of War, Inc. 068 American GI Forum, National Veterans' Outreach Program 074 American Legion 075 American Red Cross 076 American Veterans Committee 078 Army Mutual Aid Association 079 Army and Navy Union, U.S.A. 080 Blinded Veterans Association 081 Catholic War Veterans of the U.S.A. 083 Disabled American Veterans 064 Military Justice Clinic 085 Fleet Reserve Association 012 Gold Star Wives 086 Jewish War Veterans of the U.S.A. 087 Legion of Valor of the United States of America, Inc. 088 Marine Corps League 089 Military Order of the Purple Heart 024 National Amputation Foundation 093 Navy Mutual Aid Association 000 No Power of Attorney assigned 062 Noncommissioned Officers Association of the United States of America 071 Paralyzed Veterans of America, Inc. 003 Polish Legion of American Veterans, USA 094 Regular Veterans Association 007 Retired Enlisted Association 043 Swords to Plowshares 096 United Spanish War Veterans 097 Veterans of Foreign Wars of the United States 098 Veterans of World War I of the U.S.A., Inc. 029 Vietnam Era Veterans Association 070 Vietnam Veterans of America 066 Private Attorney - Exclusive Contact Requested 099 Agent or Private Attorney - Exclusive Contact not Requested Exhibit B.5 (Cont) EXHIBIT B (CONT) POWER OF ATTORNEY CODES (CONT) State Organizations (Alphabetic Listing)) Code StateName 022Alabama Department of Veterans Affairs 067 American Somoa Veterans Affairs Office 045Arizona Veterans Service Commission 050 Arkansas Department of Veterans Affairs 044 California Department of Veterans Affairs 039 Colorado Department of Social Services 008 Connecticut Soldiers, Sailors, and Marines Fund 072 District of Department of Veterans Affairs Columbia 017Florida Division of Veterans Affairs 016Georgia Department of Veterans Service 056Guam Veterans Affairs Office 059Hawaii Department of Social Services 047Idaho Veterans Affairs 028 Illinois Department of Veterans Affairs 052Kansas Veterans Commission 027 Kentucky Center for Veterans Affairs 021 Louisiana Department of Veterans Affairs 002Maine Department of Veterans Services 013 Maryland Veterans Service Commission 001 Massachusetts Office of Commissioners of Veterans' Services 035 Minnesota Department of Veterans Affairs 023 Mississippi Veterans Affairs Commission 031 Missouri Division of Veterans Affairs 036Montana Veterans Affairs Division 034 Nebraska Department of Veterans Affairs 054Nevada Commissioner of Veterans Affairs 073 New Hampshire State Veterans Council 009 New Jersey Division of Veterans Services 040 New Mexico Veterans Service Commission 006 New York Division of Veterans Affairs 018 North Carolina Division of Veterans Affairs 037 North Dakota Department of Veterans Affairs 053 Northern Marianas Islands Department of Veterans Affairs 025Ohio Department of Veterans Affairs 051 Oklahoma Department of Veterans Affairs 048Oregon Department of Veterans Affairs 010 Pennsylvania Department of Military Affairs 055 Puerto Rico Department of Labor, Veterans Office 004 Rhode Island Veterans Affairs 019 South Carolina Department of Veterans Affairs Exhibit B.5 (Cont) EXHIBIT B (CONT) POWER OF ATTORNEY CODES (CONT) State Organizations (Alphabetic Listing)(Cont) Code StateName 038 South Dakota Department of Veterans Affairs 020 Tennessee Division of Veterans Affairs 049Texas Veterans Affairs Commission 041Utah Office of Veterans Services 005Vermont Veterans Affairs Section, Military 032 Virgin Islands Department of Veterans Affairs 014 Virginia Division of War Veterans' Claims 046 Washington Department of Veterans Services 015 West Virginia Division of Veterans Affairs 030 Wisconsin Department of Veterans Affairs 066 Private Attorney - Exclusive Contact Requested 099 Agent or Private Attorney - Exclusive Contact not Requested Exhibit B.5 (Cont) EXHIBIT B (CONT) POWER OF ATTORNEY CODES (CONT) State Organizations (Numeric Listing) Code State Name 001 Massachusetts Office of Commissioners of Veterans Services 002 Maine Department of Veterans Services 004 Rhode Island Veterans Affairs 005 Vermont Veterans Affairs Section, Military 006 New York Division of Veterans Affairs 008 Connecticut Soldiers, Sailors and Marines Fund 009 New Jersey Division of Veterans Services 010 Pennsylvania Department of Military Affairs 013 Maryland Veterans Commission 014 Virginia Division of War Veterans' Claims 015 West Virginia Division of Veterans Affairs 016 Georgia Department of Veterans Service 017 Florida Division of Veterans Affairs 018 North Carolina Division of Veterans Affairs 019 South Carolina Department of Veterans Affairs 020 Tennessee Division of Veterans Affairs 021 Louisiana Department of Veterans Affairs 022 Alabama Department of Veterans Affairs 023 Mississippi Veterans Affairs Commission 025 Ohio Department of Veterans Affairs 027 Kentucky Center for Veterans Affairs 028 Illinois Department of Veterans Affairs 030 Wisconsin Department of Veterans Affairs 031 Missouri Division of Veterans Affairs 032 Virgin Islands Department of veterans Affairs 034 Nebraska Department of Veterans Affairs 035 Minnesota Department of Veterans Affairs 036 Montana Veterans Affairs Division 037 North Dakota Department of Veterans Affairs 038 South Dakota Department of Veterans Affairs 039 Colorado Department of Social Services 040 New Mexico Veterans Service Commission 041 Utah Office of Veterans Services 044 California Department of Veterans Affairs 045 Arizona Veterans Service Commission 046 Washington Department of Veterans Services 047 Idaho Veterans Affairs 048 Oregon Department of Veterans Affairs 049 Texas Veterans Affairs Commission 050 Arkansas Department of Veterans Affairs 051 Oklahoma Department of Veterans Affairs Exhibit B.5 (Cont) EXHIBIT B (CONT) POWER OF ATTORNEY CODES (CONT) State Organizations (Numeric Listing) (Cont) Code State Name 052 Kansas Veterans Commission 053 Northern Mariana Islands Department of Veterans Affairs 054 Nevada Commissioner of Veterans Affairs 055 Puerto Rico Department of Labor, Veterans Office 059 Hawaii Department of Social Services 056 Guam Veterans Affairs Office 066 Private Attorney - Exclusive Contact Requested 067 American Samoa Veterans Affairs Office 072 District of Department of Veterans Affairs Columbia 073 New Hampshire State Veterans Council 099 Agent or Private Attorney - Exclusive Contact not Requested CHAPTER 7. THE APPEAL TRACKING SYSTEM (ATS) SUBCHAPTER I. OVERVIEW 7.01 GENERAL a. Veterans Benefits Administration (VBA) regional offices (ROs) and centers are required to maintain records and prepare reports on claimants' appeals. Procedures outlined in this chapter govern the control and processing of appeals through the VBA Appeal Tracking System (ATS) from receipt of the notice of disagreement through final disposition. b. The ATS uses the NOTICE OF DISAGREEMENT TRACKING (NDT) Screen (Addendum A) which is accessed through VBA workstations or Target terminals. The NDT Screen allows on-line tracking of appeals and is established as part of end products (EPs) 170, 270, or 768 which are used solely for appeal control purposes. Effective tracking of appeals requires updating of the NDT Screen whenever action is taken on pending appeals. c. The WIPP (Work in Progress) W10 and W70 (Addenda C and D) Screens show all pending appeals under status codes 05, 10, 20, 41, 42, 51 and 85, while the W80 Screen (Addenda E and F) will record all EPs 170 disposed under status codes 30, 40, 43, 50, 53 and 70. d. The NDT Screen can be reviewed using the PINQ (Pending Issue Inquiry) and SINQ (Status Inquiry) commands. e. Update of the ATS is required at every step of appeal processing. 7.02 THE ATS COORDINATOR a. Each field station will have an ATS coordinator designated in writing by station management. The ATS coordinator will be responsible for ensuring that ATS data are current and for obtaining and distributing the W70 and W80 detail listings to adjudication units and other affected operating elements. b. W70 and W80 Screen monthly listings will be maintained by Adjudication Division management. Review and annotate them each month to ensure accuracy, timeliness and overall appeal responsiveness. The coordinator must ensure that appeal cases are being controlled and reviewed as necessary. Responsibilities for reviewing the listings and identifying problem cases should be specified in the station WIPP User Plan. (See M21-4, chap. 4.) 7.03 DEFINITIONS a. Notice of Disagreement (NOD). A notice of disagreement is any written communication from a claimant or representative, timely filed, which expresses disagreement with an appealable decision. b. Statement of the Case (SOC). An SOC is a concise summary of all pertinent evidence used by VA in arriving at a decision. It details the issues involved and the reason for the decision, citing the laws and regulations which support it. The purpose is to provide the claimant with sufficient information to understand the basis for the determination. c. Supplemental Statement of the Case (SSOC). If, after release of the SOC, additional evidence is received prior to forwarding the records to the Board of Veterans Appeals (BVA), the claim will be reconsidered. If this new evidence does not result in grant of all benefits sought, an SSOC is prepared and sent to the claimant. An SSOC may also be sent after evidence is reviewed pursuant to a BVA remand. d. Substantive Appeal. A substantive appeal is the claimant's response to the SOC. It reflects continued disagreement with the decision and a desire for review by BVA. It may be submitted by either the claimant or his/her representative. e. Certification of the Appeal. When all required claimant and regional office action on an appeal is completed, it is certified as ready for BVA review by completing VA Form 1-8, Certification of Appeal. The form identifies the issues being appealed and serves as a checklist to ensure that due process has been accorded the claimant. f. Remand. A remand is an appeal returned from BVA to the regional office for correction or further development of the issues. Remanded appeals must be closely controlled by the Adjudication Division to ensure completion as quickly as possible. SUBCHAPTER II. ESTABLISHMENT AND UPDATE OF THE ATS 7.04 INITIAL PROCESSING OF THE NOTICE OF DISAGREEMENT a. The correspondence accepted as the notice of disagreement will be stamped in the lower right corner on the top page as follows: NOTICE OF DISAGREEMENT RECORDED (Date) The person recording the NOD should place his/her initials next to the date. b. The NOD need not be associated with the claimant's records prior to establishing the appeal control EP 170 or referring it to the proper operating element. (1) The Adjudication Division and the Vocational Rehabilitation and Counseling (VR∧C) Division will establish the appeal control EP 170, 270 or 768 for their respective NODs. (2) All appeals other than education or vocational rehabilitation shall be tracked under EP 170 (or incremented) control. Operating elements other than the Adjudication Division or VR∧C Division will refer the NOD to the Adjudication Division for establishment of the appeal control EP 170 and maintenance of the appeal record. (3) Education appeals will be tracked under EP 270; VR∧C appeals will be tracked under EP 768. (4) The Adjudication Division is entitled to the automatically generated end product credits for those appeals tracked by Adjudication for other operating elements. However, if other operating elements have CEST (Claims Establishment), CADJ (Claims Adjudication), CDEV (Claims Development), or CDAT (Claims Data Entry) authority, they should establish the appeal control EP instead of the Adjudication Division. If the Adjudication Division is responsible for updating the NDT Screen, however, Adjudication would still be entitled to the automatically generated end products. (5) The Adjudication Officer should coordinate with medical facilities within the regional office jurisdiction procedures for referral of each facility's NODs. The Adjudication Division will establish and update the ATS. Enter the operating element as "10". (See paragraph 7.07f.) Refer the document with a copy of the NDT Screen to the medical facility. Often, the Adjudication Division will receive the NOD from the medical facility with the SOC completed and ready for transmission to BVA without previously having seen it. The RO should set up the NDT Screen and enter the appropriate data prior to mailing to BVA. Some medical appellants may not have a VA claim number. For those appeals, a claim number will be assigned (use the Social Security number if the appellant has one) and a claims (red rope) folder created. (See M21-1, part II, chap. 2.) Copies of the medical appeal documents will be placed in the center section of the folder. NOTE: Medical facilities are responsible for the referral of the appeals to Adjudication. The Adjudication Division is responsible for establishing the NDT screen and updating the ATS. 7.05 END PRODUCTS AND APPEALS ESTABLISHMENT a. Use CEST, CADJ, CDEV, or CDAT commands to establish the appeal record under EP 170, 270 (education issues), or 768 (VR∧C issues). Upon completing the 101 (PENDING ISSUE CONTROL ESTABLISHMENT) Screen, the system will automatically default to the NDT Screen. DO NOT ESTABLISH an EP 170, 270 or 768 without an NDT Screen. b. The system allows for the following incremented end products to be used: 171, 175, 271 and 275. DO NOT USE EPs 172, 173, 174, 272, 273, 274 as appeal controls. EPs 070, 172 and 272 will be automatically generated in some instances. (See paragraphs 7.07g(1)(b), 7.07g(2)(b), 7.07g(3)(a) and (c).) Annotation in the claims folder that the automatically generated end products were cleared is not required. c. A one-day control-and-processing time will be assigned for all automatically generated EPs 070 and 172, regardless of the date of claim. ROs must assess their timeliness using the W70 and W80 screens. C∧P Service (214A) in Central Office will monitor the timeliness of the various appeal stages using the monthly COIN APPL reports. d. The appropriate education EPs will be automatically generated based on the operating element entered if the appeal segment has been established under EP 270. Operating Automatically Element Generated EP 22A 210 22B 250 22C 230 22D 210 22E 280 22G 850 EP 272 will be automatically generated upon entering code 10 if the appeal segment has been established under EP 270. e. In those instances where an EP is automatically generated (C/P or Education), additional end product credit will not be manually cleared (PCLR). (e.g. SOC or SSOC accompanied by formal or confirmed and continued rating for an appeal issue; VAF 1-8 accompanied by rating on appeal) f. EP 120 (or increment), if applicable, will be used for award actions resulting from an RO's total grant of benefits sought on appeal or appeals allowed by BVA: DO NOT USE APPEAL CONTROL 170 (OR INCREMENTED CONTROLS) OR EP 070 FOR AWARD ACTIONS. (See paragraph 7.07g(3)(f).) g. An end product code on an NDT Screen cannot be changed to a different end product series. (For example, changing from 170 to 130 is not permitted.) If the operator accesses the 101 Screen to change the end product to a different series, the error message "APPEAL ISSUE - PCHG NOT ALLOWED" will be displayed at the bottom of the 101 Screen. The other fields on the 101 Screen may be PCHGd subject to 101 Screen audits. h. If the pending issue was incorrectly established, delete it by using the PCAN command. (The NDT Screen will also be deleted.) i. Appeal control 170 should not to be PCLRd under any circumstance. (At a later date, only the average control time and number of pending appeals from W10 and W70 screens will be on the COIN DOOR reports.) NOTE: All disposed EPs 170 will remain on the W10 and W70 Screens until the batch run on the last working day of the calendar month. The NDT Screen can be updated any time during this period. The end of the month batch run will move all disposed EPs 170 from the W10 and W70 screens to the W80 Screen. 7.06 UPDATING THE ATS a. Once an ATS record has been established, it must be updated to reflect the changing status of the appeal. b. To access the NDT Screen to update the appeal status, use the CADJ, CDEV or CDAT command. The screen must be accessed under the 170, 270 or 768 end product under which it was established. Enter NDT on the READY Screen or in the NEXT SCREEN field upon completion of any other screen. SUBCHAPTER III. NDT PROCESSING 7.07 NDT SCREEN ENTRIES The file number, payee number, end product code and stub name are carried over from the READY Screen. The required NDT Screen entries are: nature of disagreement, operating element and, if applicable, a loan number or medical facility code. At least one status code or one update to the APPEAL HISTORY field must be entered. If no status code or update to the APPEAL HISTORY field is entered, "END" must be entered in the NEXT SCREEN field to exit the screen. a. INSURANCE NUMBER. This field is not for use. b. LOAN NUMBER. Enter the loan file number if a Loan Guaranty decision is appealed. Do not use prefixes but if the number is less than 12 digits, precede with zeroes. Entry is required if Operating Element 26 is entered. c. OPERATING ELEMENT. From the list below, enter the appropriate operating element symbol: Operating Element Description 10 Medical 21 Compensation and Pension, no Special Issue 21R C∧P, Radiation 21P C∧P, PTSD 21A C∧P, Agent Orange 21H C∧P, AIDS 21W C∧P, POW 21S C∧P, Asbestos 21Q REPS 22A Chapter 34 22B Chapter 35 22C Chapter 32, 901/903 22D Chapter 30 22E 106 22G Chapter 36 - (Liaison and Compliance Issues) 24 Finance (Includes COWC) 26 Loan Guaranty 27 Veterans Assistance 28 Chapter 31 40 Memorial Affairs d. REESTAB (1) Use this field to establish or reestablish an appeal record upon receipt of a transferred folder. This field may also be used to reestablish a record that had been erroneously deleted. It should also be used to reestablish an appeal record that had been automatically cancelled or cancelled by use of the PCAN command. (See also subparagraph h below.) (2) Complete the fields "OPERATING ELEMENT", "NATURE OF DISAGREEMENT", and others as necessary. In the "REESTAB" field, enter an "X" or "Y". The cursor appears at the first date field (MM-DD-YY). Enter the date the NOD was received. This entry is required if the REESTAB field is used. Then move the cursor to the right, to the APPEAL HISTORY segment. Enter status code "05". If the REESTAB field is used, this must be the first APPEAL HISTORY segment entry. Thereafter, any code may be entered, but dates must be sequential. NOTE: Do not press "Enter" after the code 05 is input unless that is the only code you intend to enter. When you press "Enter", the MENU Screen will appear. If "Enter" was erroneously pressed, enter "NDT" in the NEXT SCREEN field to again receive the NDT Screen. "NOD RECEIVED" will be displayed on the NDT Screen Appeal History segment. Further code entries may then be made on the left side of the screen, in the disposition code fields. (3) If an entry is made in the REESTAB field, no entries are allowed in any disposition code field, DATE OF DISPOSITION field and ALTERNATE EPC field. Up to 16 entries in the APPEAL HISTORY segment may be entered. e. NATURE OF DISAGREEMENT. Enter a short description (up to 20 characters) of the nature of the appeal. Appendix B contains suggested entries but is not all inclusive. f. MEDICAL FACILITY. Enter the proper 3-digit medical facility station number on all medical appeals. Entry is required if Operating Element 10 is entered. g. CODE. There are thirteen status codes used on the NDT Screen to show actions taken during the appeal process. The codes are divided into three categories: mandatory, interim (or temporary) and disposition actions. Each time a Disposition Code is entered, the Appeal History will be updated with the current date or the date entered in DATE OF DISPOSITION field. If there are already 16 entries displayed in the APPEAL HISTORY, the oldest is dropped from the display but the data will remain in the system. (1) Mandatory Actions. The appeal record with these status codes will be reflected as EP 170 in the W10 Screen and in columns in the W70 Screen. (a) 05 - Notice of Disagreement Received. This is the first action for a new or reestablished appeal record. In the DATE OF DISPOSITION field, enter the date of receipt of the NOD. (b) 10 - Statement of Case Mailed. Enter this status code when the SOC is mailed to the claimant. In the DATE OF DISPOSITION field, enter the date the SOC was released if prior to the current date. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the SOC was released. This code cannot be recorded unless the APPEAL HISTORY already contains a status code 05 (Notice of Disagreement Received). EP 172 will automatically generate; additional end product credit is not to be manually cleared. (c) 20 - Substantive Appeal Received. Enter this status code when the substantive appeal (VA Form 9 or its equivalent, in writing or testimony at a hearing) is received. In the DATE OF DISPOSITION field, enter the date of receipt of the substantive appeal. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the substantive appeal was received. NOTE: Status code 20 must be entered before a code 30 or 43 is entered; otherwise, the error message "CODE 20 REQUIRED" will be displayed. (2) Interim or Temporary Actions. The appeal record with these status codes will be reflected as EP 170 in the W10 Screen and in columns in the W70 Screen. (a) 41 - Certified for BVA Review. Do not use this status code. (b) 42 - Supp Statement of Case Mailed. Enter this status code if an SSOC is sent; in the DATE OF DISPOSITION field, enter the date the SSOC was sent if prior to the current date. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the SSOC was sent. EP 070 will automatically generate; additional end product credit is not to be manually cleared. NOTE: For VR∧C appeals (updated by the adjudication division) only, to avoid incorrect measurement of processing time for the first SSOC issued after input of code 51, enter EP code 770 in the Alternate EPC field and PCLR a one-time EP 690 using as the date of claim the date the remanded appeal was returned to the regional office. (See subparagraph i below.) (c) 51 - Remand by BVA. If a remand from BVA is received, enter status code 51 on the NDT Screen to reactivate the appeal record. In the DATE OF DISPOSITION field, enter the date the appeal was returned to the regional office from BVA. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the appeal was returned to the regional office. (d) 85 - Power of Attorney. If the folder is referred to a holder of a power of attorney to complete a VA Form 1-646, Statement of Representative in Appealed Case, enter this status code. The ATS will show the current date as the date the folder was transferred to the holder of the power of attorney unless a prior date is entered in the DATE OF DISPOSITION field. Use of this status code is optional. If this code is entered, then another code must be entered to move the appeal from this status. DO NOT USE CODE 50. (3) Disposition Actions. These status codes are shown in columns on the W80 Screen. When any one of these codes is entered, the ATS will automatically inactivate the appeal record. These codes are counted on the W80 Screen. For control purposes, the appeal is shown to have been disposed of at the RO level. Appeal controls 170, excluding EPs 173 and 174, will not be counted on the W10 or W70 Screens if they are in a disposition action status. EP 170 will be reactivated whenever the NDT screen is subsequently updated using the CADJ, CDEV, or CDAT command. NOTE: All disposed EPs 170 will remain on the W10 and W70 Screens until the batch run on the last working day of the calendar month. The NDT Screen can be updated any time during this period. The end of the month batch run will move all disposed EPs 170 from the W10 and W70 Screens to the W80 Screen. (a) 30 - Transferred to BVA. Enter this code to show that the claimant's records were transferred to the BVA. If no code 20 had previously been entered, error message "CODE 20 REQUIRED" will display. In the DATE OF DISPOSITION field, enter the date the records were transferred to the BVA. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the records were transferred to the BVA. EP 070 will automatically generate; additional end product credit is not to be manually cleared. A screen print will automatically generate on the demand printer. That print should be reverse filed on the left flap of the claims folder. When a code 30 is entered, the 209 Screen will be returned to ensure that the claimant is notified that the appeal has been referred to BVA; the current version of FL 1-26 must be used. NOTE: The inactivated appeal end product control must be PCANd when the case is returned from BVA as granted or denied. (b) 40 - Withdrawal of Appeal. Use this status code to show that the appeal was withdrawn. In the DATE OF DISPOSITION field, enter the date the appeal was withdrawn. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date of withdrawal of the appeal. The inactivated appeal control EP 170 will be automatically cancelled at the end of the month following the month in which code 40 was entered. No end product credit is contemplated. (Automatic generation of end product credit has been discontinued.) (c) 43 - Certified for Local Travel Board. Enter this status code if the claimant requests a BVA travel board hearing and the VA Form 1-8 has been completed. If no code 20 had previously been entered, error message "CODE 20 REQUIRED" will display. In the DATE OF DISPOSITION field, enter the date the VA Form 1-8 was completed. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date the appeal was certified for the local travel board. EP 070 will automatically generate; additional end product credit is not to be manually cleared. A screen print will automatically generate on the demand printer. That print should be reverse filed on the left flap of the claims folder. NOTE: After entry of code 43, do not enter code 30 when the only action is transfer of the claims folder to BVA. Entry of code 30 will generate another EP 070 which is not contemplated. (d) 50 - Other Disposition/Transfer. Enter this status code to show disposition of the appeal for a reason not covered by any of the other disposition codes, e.g., permanent transfer out. In the DATE OF DISPOSITION field, enter the date of transfer or other disposition. If no entry is made in the DATE OF DISPOSITION field, the ATS will show the current date as the date of transfer or other disposition. A screen print will automatically generate on the demand printer. That print should be reverse filed on the left flap of the claims folder. If the ATS must later be reactivated, use the information on that print to update the appeal history. The inactivated appeal end product control under code 50 will be automatically PCANd at the end of the twelfth month following the month in which the code 50 was entered. No end product credit is generated, nor should any be taken, when this status code is used. (e) 53 - Failure to Respond. (1) Code 53 will automatically generate at the end of the second month following the month the SOC was issued unless there was an intervening NDT entry. Field stations do not have to review or manually update cases in code 10 status, nor do they have to cancel the end product control. The end product control will automatically be cancelled one year after the end of the month in which the code 53 generated. (2) If a case is discovered in which the code 53 did not automatically generate, it may be manually entered. Do not make any entry in the DATE OF DISPOSITION field. It will default to the current date. A screen print will automatically generate on the demand printer. No end product credit is generated, nor should any be taken, when this status code is used. Field stations do not need to review the code 10 cases for updating purposes or cancel the EP 170. If no subsequent status code is entered, the system will automatically cancel the inactivated appeal record one year after the end of the month in which the code 53 was input. (f) 70 - Appeal Granted by Regional Office. Use this status code if the regional office grants all benefits sought on appeal. Code 70 will only be used for an RO grant. Use EP 120 for award actions. The date of claim will be the current date. NOTE: Appeals allowed by BVA are not to be tracked in the ATS. If an appeal is granted by BVA and rating/award action is necessary, cancel the pending EP 170 and establish an EP 120, using the date of the BVA decision or the date it is received in the RO, whichever is later, as the date of claim. h. APPEAL HISTORY. The Appeal History is generated based on the status codes entered. The following, as applicable, are displayed in the APPEAL HISTORY segment: STATUS CODE DISPLAY 05 NOD RECEIVED 10 SOC MAILED 20 SUB APPL RECD 42 SUPP SOC MAILED 41 CERTIF FOR BVA 43 CERT LOC BOARD 51 REMAND BY BVA 30 TRF TO BVA 40 APPL WITHDRAWN 50 OTHER ACTN/DISP 53 FAILURE TO RESP 70 GRANTED BY RO 85 POWER OF ATTY i. ALTERNATE EPC. When entry of a disposition code will generate an incorrect end product, use this field to enter the correct EP. This field will be used primarily by VR∧C because the ATS will generate end product credit under codes 10, 30, 42, or 43 appropriate for Adjudication Division appeals. Processing time will be computed from the date of the last disposition code entry. (1) The VR∧C Division shall use EP 770 to indicate an appellate action has taken place. This end product should be entered to preclude the automatic generation of EP 172 for status code 10 or 40, or EP 070 for 30, 42 and 43, when appeals are processed by the VR∧C Division. (2) Although EP 770 will display on the WIPP, no work measurement weight will be given because the VR∧C Division uses a different methodology to calculate productivity. (3) Adjudication personnel should PCLR a one-time EP 690 (to obtain proper work rate credit) in addition to entering EP 770 in the Alternate EPC field whenever they update a VR∧C appeal. j. NEXT SCREEN. (1) If an entry has been made on the NDT Screen, there is no need to make an entry in the NEXT SCREEN field to exit the NDT Screen. Merely press "Enter" to exit. This will display a MENU Screen for 200, 300 or 400 Screens, depending on the command used to establish the NDT Screen. However, if you want to go to another screen or return to the NDT Screen for further processing, enter the screen number in the NEXT SCREEN field. (2) If no entry is made on the NDT Screen, enter "END" in the NEXT SCREEN field and press "Enter" to exit. This will display a MENU Screen for 200, 300 or 400 Screens depending on the command used to establish the NDT Screen. (3) If you wish to delete the entire appeal record but retain the pending issue (only if EP is one other than appeal controls 170, 270, or 768 and increments), enter "DEL" in the NEXT SCREEN field. When "DEL" is entered, the message "APPEAL HISTORY WILL BE DELETED - HIT PRINT KEY TO GENERATE PRINT - ENTER TO CONTINUE DELETE - ENTER END TO EXIT" will be displayed. To cancel the DEL command and to continue tracking the appeal, change the NEXT SCREEN entry to "END" and press "Enter". The appropriate menu will be displayed and processing can continue. k. If there is need to input more than one disposition code at the same time, access the NDT Screen and enter the oldest disposition. Enter "NDT" in the NEXT SCREEN field. Press "Enter". On the NDT Screen, enter the next disposition code. SUBCHAPTER IV. MISCELLANEOUS 7.08 SUSPENSE DATES a. The PIF suspense date changes every time one of the status codes shown below is entered. Entries of other codes will not change the PIF suspense dates. The suspense dates generated are calculated from the disposition date generated or entered when entering the status code. STATUS CODE AUTOMATIC 05 - Notice of Disagreement Received 60 days 10 - Statement of Case Mailed 60 days 20 - Substantive Appeal Received 60 days 42 - Supp Statement of the Case 60 days 43 - Certified for Local Travel Board 180 days 51 - Remand by BVA 60 days 85 - Power of Attorney 15 days b. These automatically generated suspense dates may be overridden by using the PCHG command or on the S99 (Disposition) Screen. 7.09 NOTICE OF DEATH a. When a notice of death is processed, either as an FNOD (First Notice of Death) or as a CESTed EP 160, and an NDT Screen exists, code 50 will be automatically generated effective the current date. A print will be automatically generated which should be reverse filed on the left flap of the folder. If a death benefits claim is received within a year, the ATS will be automatically reactivated as soon as a subsequent code is entered. The appropriate code, generally 10 or 42, should be entered before the system automatically cancels the appeal control 170. (See paragraph 7.07g(3)(d)). b. If the notice of death is processed as a CESTed 140 or 190, and an EP 170 Screen exists on the SO2 (PAYEE SELECTION) screen, print the S02 screen and attach to the claim as flash to process the accrued claim and appeal. The message "REVIEW APPEAL-POSSIBLE ACCRUED CLAIM" will appear on the 101 Screen. 7.10 ACTION ON PERMANENTLY TRANSFERRED APPEAL RECORDS a. The transferring station must input code 50 on the NDT Screen and reverse file the generated print on the left flap in the folder. Annotate "Appeal Pending" in the remarks section of VA Form 70-7216a, Request for and/or Notice of Transfer of Veterans Records. b. When the folder arrives at the receiving station, the receiving station must reestablish the PIF and reenter the Appeal History data shown on the printout. (See paragraph 7.07d.) CHAPTER 7. THE APPEAL TRACKING SYSTEM (ATS) CONTENTS PARAGRAPH PAGE SUBCHAPTER I. OVERVIEW 7.01 General.............................................. 7-I-1 7.02 The ATS Coordinator.................................. 7-I-1 7.03 Definitions.......................................... 7-I-1 SUBCHAPTER II. ESTABLISHMENT AND UPDATE OF THE ATS 7.04 Initial Processing of the Notice of Disagreement..... 7-II-1 7.05 End Products and Appeals Establishment............... 7-II-2 7.06 Updating the ATS..................................... 7-II-3 SUBCHAPTER III. NDT PROCESSING 7.07 NDT Screen Entries................................... 7-III-1 SUBCHAPTER IV. MISCELLANEOUS 7.08 Suspense Dates....................................... 7-IV-1 7.09 Notice of Death...................................... 7-IV-1 7.10 Action on Permanently Transferred Appeal Records..... 7-IV-1 ADDENDA A Notice of Disagreement Tracking Screen.................. 7-A-1 B Suggested Entries for Nature of Disagreement Field...... 7-A-2 C W70 Screen Layout....................................... 7-A-3 D W70 Screen Detail Print................................. 7-A-4 E W80 Screen Layout....................................... 7-A-5 F W80 Screen Detail Print................................. 7-A-6 ADDENDUM A - NOTICE OF DISAGREEMENT TRACKING NDT NOTICE OF DISAGREEMENT TRACKING XX-XX-XX FILE NUMBER XXXXXXXXXXX XX EPC XXX BENEFIT XXXX STATION XXX NAME X X XXXXXINSURANCE NUMBER LOAN NO OPERATING ELEMENT XX REESTAB X NATURE OF DISAGREEMENT XXXXXXXXXXXXXXXXXXXX MEDICAL FACILITY XXX CODE APPEAL ACTION/DISPOSITION APPEAL HISTORY X 05 NOTICE OF DISAGREEMENT RECEIVED MM-DD-YY XXXXXXXXXXXXXXXX X 10 STATEMENT OF CASE MAILED MM-DD-YY XXXXXXXXXXXXXXXX X 20 SUBSTANTIVE APPEAL RECEIVED MM-DD-YY XXXXXXXXXXXXXXXX X 42 SUPP STATEMENT OF CASE MAILED MM-DD-YY XXXXXXXXXXXXXXXX X 41 CERTIFIED FOR BVA REVIEW MM-DD-YY XXXXXXXXXXXXXXXX X 43 CERTIFIED FOR LOCAL TRAVEL BOARD MM-DD-YY XXXXXXXXXXXXXXXX X 51 REMAND BY BVA MM-DD-YY XXXXXXXXXXXXXXXX X 30 TRANSFERRED TO BVA MM-DD-YY XXXXXXXXXXXXXXXX X 40 WITHDRAWAL OF APPEAL MM-DD-YY XXXXXXXXXXXXXXXX X 50 OTHER ACTION/DISPOSITION MM-DD-YY XXXXXXXXXXXXXXXX X 53 FAILURE TO RESPOND MM-DD-YY XXXXXXXXXXXXXXXX X 70 APPEAL GRANTED BY REGIONAL OFFICE MM-DD-YY XXXXXXXXXXXXXXXX X 85 POWER OF ATTORNEY MM-DD-YY XXXXXXXXXXXXXXXX MM-DD-YY XXXXXXXXXXXXXXXX DATE OF DISPOSITION XX-XX-XX ALTERNATE EPC XXX NEXT SCREEN XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXADDENDUM B - SUGGESTED ENTRIES FOR NATURE OF DISAGREEMENT FIELD Suggested Issue Entry Character of discharge CHAR OF DIS (benefit can be specified, e.g., COMP, PEN, CH30, etc.) Service connection for (condition) SC Service connection for nervous condition SC NP Service connection for PTSD SC PTSD Service connection for back condition SC BACK Evaluation of service connected nervous condition INC NP Evaluation of service connected PSTD INC PTSD Entitlement to disability pension PENSION Restoration of disability pension benefits, previously denied to excessive income EXC INC Entitlement to special monthly compensation SMC Entitlement to special monthly pension SMP Entitlement to aid and attendance A/A Entitlement to housebound benefits HB Entitlement to a higher SMC rate under 38 U.S.C. 314(r) SMC R Entitlement to death indemnity compensation DIC Entitlement to death pension benefits DEATH PEN Contested claim - (name) 's entitlement to death benefits as veteran's widow(er) CC- (name) (name) 's entitlement to death benefits as veteran's deemed valid widow DEEMED VALID Entitlement to educational assistance allowance under Chapter 35 for spouse CH35 SPOUSE Entitlement to educational assistance allowance under Chapter 35 for child (name) CH35 CHILD (name) Entitlement to educational assistance allowance under Chapter 32 CH 32 Entitlement to educational assistance allowance under Chapter 30 CH 30 Entitlement to educational assistance allowance under Chapter 106 CH 106 Entitlement to subsistence allowance under Chapter 31 CH 31 ADDENDUM C - W70 SCREEN LAYOUT W70 PENDING APPEAL CASES BY OPERATING ELEMENT XX-XX-XX STATION XX OPER (A) (B) (C) (E) (F) (H) (I) ELEM 05 10 20 41 42 51 85 XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX TOTALS XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX OPERATING ELEMENT ALL TERMINAL DIGIT RANGE COLUMN DETAIL XXX XXX XXX XXX XXX X XX THRU XX X X NEXT SCREEN XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX This screen displays up to 11 operating elements on a screen. If the operator enters an X in ALL, this screen will be displayed with the message "MORE THAN 11 OPERATING ELEMENTS SELECTED - HIT ENTER TO CONTINUE" on line 23. Entry will display another W70 Screen with the remaining status codes. The TOTALS line will be printed on the last screen displayed and will represent the sum of the counts in each column. The totals on page 1 represent column totals only for this page; on page 2, it is the total for pages 1 and 2; and on page 3, it is the total of all 3 pages. ADDENDUM D - W70 SCREEN DETAIL PRINT XX-XX-XX PENDING APPEALS FOR STATUS CODE XXXXXXXXXXXXXXXXXXXXX PAGE XXX ----------NUMBER OF DAYS SINCE----------- FILE PAYEE OPER CASE SOC SUBAPL SUP SOC REMAND NUMBER NUMBER EPC BENE ELEM ESTB MAILD RCVD MAILD BY BVA XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX XXXXXXXXXXX XX XXX XXXX XXX XXX XXX XXX XXX XXX ADDENDUM E - W80 SCREEN LAYOUT W80 COMPLETED APPEAL CASES BY OPERATING ELEMENT MM-DD-YY STATION XXX OPER (A) (B) (C) (D) (E) (F) ELEM 30 40 43 50 53 70 XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX TOTALS XXXX XXXX XXXX XXXX XXXX XXXX OPERATING ELEMENT ALL TERMINAL DIGIT RANGE COLUMN DETAIL XX XX XX XX XX XX THRU XX X X NEXT SCREEN XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX This screen displays up to 11 operating elements on a screen. If the operator enters an X in ALL, this screen will be displayed with the message "MORE THAN 11 TRANS CODE SELECTED - HIT ENTER TO CONTINUE" on line 23. Entry will display another W80 Screen with the remaining status codes. The TOTALS line will be printed on the last screen displayed and will represent the sum of the counts in each column. To see the counts for the remaining operating elements, enter W81 or W82 in the NEXT SCREEN field. Those screens will be in the same format, except the screen number identifier will be W81 or W82 and the column headings will be as shown in Addendum E. ADDENDUM F - W80 SCREEN DETAIL PRINT W80 DETAIL OF COMPLETED APPEAL CASES - STATUS CODE XX XXXXXXXXFILE PAYEE OPER NOD COMPLETION DAYS TO NUMBER NUMBER EPC BENE ELEM DATE DATE COMPLETE XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXX XX XXX XXXX XXX XXXXXXXX XXXXXXXX XXX
