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CONTENTS
CHAPTER 14. TRANSFER OF VETERANS RECORDS
PARAGRAPHPAGE
14.01 General...... 14-1
14.02 Permanent Transfer of Claims and XC-Folders...... 14-1
14.03 Permanent Transfer-VA Employee-Veteran's Records...... 14-2
14.04 Permanent Transfer-"Restricted Access" or "Classified" Records...... 14-2
14.05 Transfer of Records for Adjustment of File Number and Consolidation...... 14-2
14.06 Transfer of Principal Guardianship Folders...... 14-3
14.07 Records to Accompany Claims Folder-Permanent Transfer...... 14-3
14.08 Records Exempt From Permanent Transfer...... 14-3
14.09 Folder Review and Records Assembly Prior to Permanent Transfer...... 14-3
14.10 Permanent Transfer-Partial Records on Temporary Transfer to Another Office...... 14-4
14.11 Temporary Transfer of Veterans Records...... 14-5
14.12 Temporary Transfer to Veterans Administration Offices...... 14-5
14.13 Records Temporarily Transferred to Central Office...... 14-5
14.14 Temporary Transfer of Veterans Compensation, Pension, or Education Records to Central
Office for Quality Review...... 14-6
14.15 Temporary Transfer of XC-Folders Involved in Litigation...... 14-7
14.16 Temporary Transfer to the Board of Veterans Appeals...... 14-8
14.17 Temporary Transfer for National Research Council...... 14-8
14.18 Temporary Transfer of XC-Folders...... 14-8
14.19 Temporary Transfer-Review of Inactive Claims Folders on Philippine Residents...... 14-8
14.20 Temporary Transfer-Veteran Hospitalized...... 14-9
14.21 Association of Miscellaneous Material With Records on Temporary Transfer...... 14-9
14.22 Request for Return of Records...... 14-9
14.23 Request for Transfer and Extract of Claims From the Records Processing Center...... 14-9
14.24 Request for Transfer Action Through BIRLS...... 14-10
14.25 Updating Locator Information in BIRLS...... 14-10
14.26 Use of VA Form 07-7216a...... 14-10
14.27 Processing Requests for Permanent Transfer by the Transferring Station...... 14-11
14.28 Preparation of VA Form 07-7216a by the Requesting Station for Permanent Transfer
DEA and R&E Folders and Other Allied Records...... 14-11
14.29 Preparation of VA Form 07-7216a by the Transferring Station for Permanent
Transfer...14-12
14.30 Recall of XC-and DEA Folders from Federal Archives and Records Centers14-1
14.31 BIRLS Reply Messages14-16
14.32 Final Distribution of VA Form 07-7216a-Permanent Transfer...... 14-17
14.33 Preparation of VA Form 07-7216a by the Requesting Station on Temporary Transfer....14-17
14.34 Preparation of VA Form 07-7216a by the Transferring Station on Temporary
Transfer...14-18
14.35 Final Distribution of VA Form 07-7216a-Temporary Transfer...... 14-19
14.36 Preparation of VA Form 07-7213 to Correct the Hines DPC Master Record...... 14-19
14.37 Processing of Records Transferred-In Permanently...... 14-19
14.38 Transfer of Claims or Miscellaneous Correspondence Received From Service Organization
Representatives14-20
14.39 Transfer of Veteran's Miscellaneous Records14-20
14.40 Dispatch of Records14-20
14.41 Promptness of Transfer and Follow-up14-20
14.42 Dual Claimant or Payee Cases14-21
14.42 Request for Records in Dual Claimant Cases14-21
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CHAPTER 14. TRANSFER OF VETERANS RECORDS
14.01GENERAL
An active claims folder may be permanently transferred upon receipt of a permanent change of address to the jurisdiction of another regional office if specifically requested by the veteran, preferred beneficiary, or authorized representative. An inactive claims folder (no running award or pending adjudicative action) will not be permanently transferred unless the purpose is to reopen a claim or for review by the authorized representative to determine the propriety of reopening a claim. If the requirements for transfer are not met, the person requesting the transfer will be informed by FL 23-653 that the case is inactive and if subsequent need arises it will be transferred.
14.02 PERMANENT TRANSFER OF CLAIMS AND XC-FOLDERS
Claims and XC-folders will be transferred under the following conditions:
a.The folder is active (running award or pending adjudicative action) and the veteran, preferred beneficiary, or authorized representative specifically requests transfer to the regional office of jurisdiction based upon a permanent change of address, provided the transfer is approved by the Authorization activity.
b. Request for a physical examination is pending in the office serving the veteran's home address.
c. An application for live benefits is pending in the office serving the veteran's home address.
d.The station Director, Adjudication Officer, clinic Director, or Chief, Outpatient Services, of either the sending or receiving office determines that the best interest of the veteran or claimant will be served by transfer of the claims folder to the office having jurisdiction over the veteran's or preferred beneficiary's permanent home
address.
e.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 claims folder will be immediately requested by the station that originated the debt. If current benefits are 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. Jurisdiction for claims folders involving other types of indebtedness will be determined in accordance with current procedures without regard to the indebtedness.
f.An application for death benefits from a claimant residing in a foreign country or a change of address of the preferred beneficiary to a foreign country is received and associated with an XC-folder, or a veteran with an active claims folder takes residence in a foreign country, or a veteran enrolls in a foreign school. For those cases where the residence is Mexico, the folder will be permanently transferred to the jurisdiction of the Houston, Texas regional office. Cases involving any other foreign country will be permanently transferred to the jurisdiction of the Washington regional office, Washington, D.C. (NOTE: Not applicable to material received from claimants residing outside the continental limits of the United States within the territory assigned to regional offices in Alaska, Hawaii, Puerto Rico, and the Philippines.)
g. Material other than VA Form 21-534, Application for Dependency and Indemnity Compensation or Death Pension by Widow or Child, or VA Form 21-535, Application for Dependency and Indemnity Compensation by Parents, received indicating an address within the jurisdiction of a station not having custody of the XC-folder will be forwarded to the office in possession of the folder for determination of transfer action. Only the office having custody of the XC-folder may determine the appropriateness of transfer.
h.The claims or XC-folder falls within the exclusive jurisdiction of the Washington regional office as outlined in M21 -1, chapter 2.
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i. Records are involved in claims based on the service of two or more deceased veterans.
j. Records are involved in the consolidation of duplicate file numbers.
k. Compliance with procedures governing jurisdiction of employee-veteran's records.
1.Compliance with provisions governing jurisdiction of claims folders involving educational benefits as outlined in M22-2, part 1, chapter 1.
14.03PERMANENT TRANSFER-VA EMPLOYEE-VETERANS RECORDS
a. Upon receipt, VA Forms 07-4535, Notice of Employment, Transfer or Separation of Veteran, will be routed to the Correspondence activity via folder files. When the form is completed to show "Notice of Employment" or "Transfer," the correspondence clerk will review the folder to determine the office of jurisdiction (see paragraph 13.06.1). If appropriate, the folder will be transferred to the new office of jurisdiction after approval of the transfer by the Authorization activity.
b.If transfer of "other" records to an office other than a new office of adjudicative jurisdiction is in order, the forms used to transfer such records will be noted to show the case is that of an employee and that VA Form 07-4535 has been forwarded to the office having possession of the claims folder.
c.If VA Form 07-4535 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 reason shown in paragraph 14.02.
d.When an employee-veteran is separated to enter military service, the claims folder will be retained in the office having custody at time -of entrance into such service. Upon receipt of a claim or other document showing date of release from active duty, provided that the veteran does not reenter VA employment within 90 days of release from active duty, the claims folder will be transferred to the proper office of jurisdiction when transfer is in order.
e.VA Forms 07-4535, not identified by a file number or those which are "No Record" in folder files, should be indexed through BIRLS (Beneficiary Identification and Records Locator Subsystem) to determine the file number and folder location. The VA Form 07-453S will be forwarded to the office having possession of the folder for filing or further action.
f.On transfer of VA employee-veteran records to the employing office, such records will be forwarded in a sealed envelope addressed to the Adjudication Officer of the receiving office. The envelope will carry the legend "EMPLOYEE-VETERAN FOLDER-DO NOT OPEN IN MAIL ROOM" in the lower left corner.
14.04PERMANENT TRANSFER-"RESTRICTED ACCESS" OR "CLASSIFIED" RECORDS
a.On transfer of veterans' records containing a cross-reference to records requiring restricted access, such records will be secured from the "Locked Files" and will be forwarded in a sealed envelope addressed to the Director of the receiving office. The envelope will carry the name and file number of the veteran and in the lower left corner, the legend "FOR OFFICIAL USE ONLY-TO BE OPENED ONLY BY THE ADDRESSEE." Such records will be mailed with but not in the claims folder.
b.Transmission of classified records or material (top secret, secret, confidential) will be governed by the provisions of MP-1, part 11, chapter 5.
14.05TRANSFER OF RECORDS FOR ADJUSTMENT OF FILE NUMBER AND
CONSOLIDATION
When records are permanently transferred for consolidation and cancellation of a duplicate file number, the file number of the folder being transferred will always be shown in item 5 on VA Form 07-7216a, Request for
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and/or Notice of Transfer of Veterans Records. The duplicate number involved will be shown in item 14 as part of the reason given for transfer; i.e., "Consolidation Under C 123 456."
14.06 TRANSFER OF PRINCIPAL GUARDIANSHIP FOLDERS
a.The Correspondence activity will be responsible for the transfer of principal guardianship folders between regional offices. The folders will be transferred by means of VA Form 60-7216a to the station indicated by the Veterans Services Officer.
b.A copy of VA Form 60-7216a showing the regional office to which the principal guardianship folder has been transferred, will be forwarded to the regional office having jurisdiction of the corresponding claims or XC-folder.
c.Using the VA Form 60-7216a as posting media, the location of the principal guardianship folder will be conspicuously posted to the award sheet and the VA Form 60-7216a disposed of in accordance with Records Control Schedule VB-1, part 1. Any location which has been posted previously will be lined through so that only the current location of the principal guardianship folder is reflected on the award sheet.
14.07RECORDS TO ACCOMPANY CLAIMS FOLDER-PERMANENT TRANSFER
The following records will be transferred with the claims or XC-folder, as appropriate:
a.All records in calendar suspense file, such as VA Form 21-693, Diary Slip; or VA Form 21-2507, Request for Physical Examination.
b.R&E folder and R&E (ch. 31) charge card of the veteran. The VA Form 60-7216a will be annotated in item 13 to show the transfer of this folder as well as the claims folder.
c.Fiscal records, when indicated.
14.08 RECORDS EXEMPT FROM PERMANENT TRANSFER
a.X-ray films will be transferred only upon specific request.
b.Medical records and mental hygiene folders will be transferred only upon specific request. The transfer must have the authorization of the chief of the Medical Administration Service or designee.
c.In death cases, an inactive R&E or DEA folder will be permanently transferred only upon specific request.
14.09FOLDER REVIEW AND RECORDS ASSEMBLY PRIOR TO PERMANENT TRANSFER
The claims folder will be reviewed and the following action taken, as appropriate. If the Authorization activity does not initiate the request for transfer and there is pending action, such as unanswered correspondence, an award or disallowance in the file, a formal or informal claim for benefits, or an issue otherwise pending adjudicative action, the claims folder will be referred to that activity prior to transfer. When there is adjudicative action to be taken by the receiving station upon receipt of the claims folder, the Authorization activity will mark a "yes" in block 15, Adjudication Action Pending, on the VA Form 60-7216a.
a.If the claims folder contains a VA Form 21-8060, Control Code Sheet, the correspondence clerk will prepare a new set of VA Forms 21-8060 and copy items 3, 4, 5, 6, and 7. Attach the newly prepared VA Forms 21-8060 to the outside of the claims folder and forward the folder to the Authorization activity for review. If transfer action is in order, Authorization personnel will remove the VA Form 21-8060 filed in the folder; enter a "9" in item 14; and forward the form for batching and transmittal to the servicing DPC (data processing center).
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b.Notify the appropriate Outpatient activity by VA Form 23-8304, Records Transfer Notice, to cancel action on VA Form 21-2507 as indicated on related suspense copy of VA Form 21-2507 removed from calendar suspense file.
c.When the claims folder reveals that a Veterans Services Officer at another station has jurisdiction of a guardian, custodian, spouse-payee, institutional award, custodian-in-fact or other type of fiduciary in the case, the Authorization activity will note that fact and the location of the Veterans Services Officer having jurisdiction, on the VA Form 60-7216a. The correspondence clerk will prepare a VA Form 23-8304 and forward it to the Veterans Services Officer at that station to notify him or her of the transfer of records.
d.When there is a VA Form 22-6564, Claims Folder Flash, [ I in the claims folder showing evidence of a running award subsistence allowance, a VA Form 23-8304 will be prepared and forwarded with the claims and R&E folders to the Authorization activity. The Authorization activity will annotate the VA Form 23-8304 under "Remarks" with the statement "Leave Involved" when leave status is pertinent to payment of training allowances. When VA Form 23-8304 is returned from the Authorization activity and the remarks section is annotated showing the statement "Leave Involved," it will be necessary to prepare a duplicate copy of VA Form 23-8304. Both forms will then be referred to the Finance activity for required action.
e.When the folder contains evidence of VA Form 4-1410, Referral of Indebtedness for Collection; 4-1426, Request for Assignment of File Number on Overpayment Case; 26-1833, Advice Regarding Veteran's Indebtedness of Obligors on Guaranteed or Insured Loans; 26-6822, Advice of Termination and Indebtedness on Portfolio Loans; or 20-6879 , Overpayment Flash, two copies of VA Form 23-8304 and a preaddressed envelope will be forwarded to the Finance activity for obtaining fiscal records.
f.If a training subfolder exists in 38 U.S.C. ch. 31 cases, sufficient copies of VA Form 23-8304 will be furnished to the Veterans Services Division to effect transfer of the training subfolder from the VA office or guidance center to the Veterans Services Division of the office to which the veteran's records are transferred.
g.At the time the request for permanent transfer-out is attached to the folder, the file clerk will annotate the VA Form 3025, File Charge Card, to show station that is to receive the claims folder; enter R&E-PT when a chapter 31 R&E folder accompanies the claims folder; and the date the folder(s) is forwarded to the Correspondence activity. The file charge card will be posted at the top to show the month it will become eligible for disposal. The eligible month for disposal will be the 4th month following the date of permanent transfer-out. The file charge card will be refiled in proper sequence in the folder files and will be the only record maintained of a permanent transfer-out. [(EXCEPTION: When the RPC receives a request from BIRLS for permanent transfer-out, the VA Form 3025 will not be removed from the claims folder. Since BIRLS location is automatically updated at the time of a BIRLS request for transfer when the folder is located at the RPC, posting of VA Forms 3025 is no longer required at the RPC only.)]
NOTE: It is realized that the method of posting described above requires very strict control If station management determines that the degree of control required for advance posting of the charge card cannot be maintained (due to station size, physical facilities, etc.), it may prove advantageous to annotate a charge within the unit when the request for transfer is attached to the folder. In this case, the correspondence clerk must notify the Files activity when each folder is transferred.
h.FL 23-7, Notification of Transfer of Records, will be dispatched to the veteran. In death cases, the FL 23-7 will be addressed to the preferred beneficiary and the guardian if the deceased was an incompetent veteran.
i.VA Form 23-8304-VA [Medical Center]: When transfer of a claims folder is based on the death of a veteran and records indicate the veteran was discharged from a VA [Medical Center] within a 6-month period prior to his or her death, a VA Form 23-8304 will be addressed to the VA [Medical Center]. The VA Form 23-8304 will be annotated to show the date of death.
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14.10PERMANENT TRANSFER-PARTIAL RECORDS ON TEMPORARY TRANSFER TO
ANOTHER OFFICE
a.If records have been temporarily transferred to Central Office and the office of jurisdiction completes permanent transfer of allied records to another regional office, a new VA Form 60-7216a will be prepared to show the transfer. The newly prepared form with an explanatory VA Form 3230, Reference Slip, will be forwarded to the Central Office element shown on the file suspense copy of VA Form 60-7216a, as notice to transfer the claims folder to the new regional office of jurisdiction. Copy 2 of the VA Form 60-7216a will be forwarded to the Telecommunications activity in the transferring station to update folder location in BIRLS. Al] other records will be forwarded to the new office of jurisdiction with a copy of the VA Form 60-7216a and VA Form 3230 explaining that the claims folder is on temporary transfer to Central Office.
b. Upon receipt of a copy of VA Form 60-7216a from Central Office indicating that jurisdiction has changed subsequent to the temporary transfer of a claims folder to Central Office, action will be taken to transfer all- related records to the new office of jurisdiction, including updating of the claims folder location in BIRLS.
c.Upon receipt of request for permanent transfer of records that are on temporary transfer to a center, VA Medical Center or another regional office, the office having permanent custody of the records will allow the office having temporary custody time to complete action. Records will then be returned to the transferring office for normal transfer-out action. 'Me requesting station will be advised by ARS (Advanced Record System) or FTS (Federal Telecommunications System) that transfer action cannot be completed until the folder is returned and the approximate date records can be forwarded.
14.11TEMPORARY TRANSFER OF VETERANS RECORDS
a.A temporary transfer is one in which on 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 will be promptly returned after the purpose of the transfer has been completed. Temporary transfer will be effected upon a request from a regional office, VA office, VA center, VA medical center, or Central Office. This includes requests originated by operating divisions within the transferring office or a staff element in Central Office.