Select Page

M21-1, Part III, Subpart ii, Chapter 5, Section E – Permanent Transfer-Out or Transfer-In of Paper Claims Folders

Overview


In This Section

This section contains the following topics:

1.  Requests for Permanent Transfer-Out of Paper Claims Folders


Introduction

This section contains information on requests for the permanent transfer-out of paper claims folders, including


Change Date

February 19, 2019

III.ii.5.E.1.a.  Requesting Permanent Transfer-Out of Paper Claims Folders Using COVERS

Requests for the permanent transfer-out of paper claims folders may be made through the Control of Veterans Records System (COVERS).
Reference:  For further information on the use of COVERS, see the COVERS User Guide.

III.ii.5.E.1.b.  Procedure for Handling Permanent Transfer-Out Requests for Paper Claims Folders

Follow the steps in the table below to handle a request for the permanent transfer-out of a paper claims folder.
Step
Action
1
Pull the folder.
2
Review the folder for
  • unanswered correspondence, or
  • pending issues.
3
Determine whether unanswered correspondence or a pending issue exists, then follow the instructions in the table below.
If …
Then …
unanswered correspondence or a pending issue exists
follow the procedure in M21-1, Part III, Subpart ii, 5.E.1.c.
no unanswered correspondence or pending issue exists
  • staple a copy of the COVERS transfer slip to the front of the folder
  • highlight the claim number and destination of the folder
  • update the charge card, and
  • transfer the folder.
Note:  If other folders are being transferred with the claims folder, place a copy of the COVERS transfer slip in these folders.

III.ii.5.E.1.c.  Paper Claims Folders Containing Unanswered Correspondence or Pending Issues

Follow the steps in the table below to handle a request for the permanent transfer-out of a paper claims folder with
  • unanswered correspondence, or
  • a pending issue.
Step
Action
1
Determine if it is possible to respond to any unanswered correspondence or resolve a pending claim, then follow the instructions in the table below.
If action …
Then …
can be taken to resolve the pending claim or correspondence
complete the necessary actions.
to resolve the pending claim is not possible due to pending development or other unavoidable delay
  • allow the end product control for the pending issue to continue, and
  • reverse file any pending mail in the middle section of the claims folder.
to resolve a pending legacy appeal is not possible because additional work is required
  • update the Veterans Appeals Control and Locator System (VACOLS) to reflect the new location of the legacy appeals record, and
  • create a VACOLS diary controlling the next action to be completed.
Note:  As of October 19, 2015, a COVERS transfer updates only the new location of the claims folder.  Previously, the jurisdiction of the pending issue in the Veterans Service Network and the Veterans Benefits Management System (VBMS) were likewise automatically updated to reflect the new location.
2
Determine if a request for a Department of Veterans Affairs (VA) examination is pending.
If …
Then …
the exam has been conducted
leave the examination request pending.
the exam has not been conducted
  • notify the appropriate examining facility of the transfer request
  • cancel the examination request, and
  • reverse file a copy of the cancelled examination request in the center of the claims folder to alert the receiving regional office (RO) of the examination needed.
no exam is pending
proceed to the next step.
Note:  To check the status of the request,
3
Is the reason for transfer a change in the address of a Veteran who has been rated incompetent for VA purposes?
  • If yes,
    • notify the fiduciary hub having jurisdiction of the claim, and
    • proceed to the next step.
  •  If no, proceed to the next step.
Note:  Fiduciary hubs can be notified via the e-mail addresses found inM21-1, Part III, Subpart v, 9.A.1.d.
4
Determine if a Counseling/Evaluation/Rehabilitation (CER) folder (38 U.S.C. Chapter 31) is to be transferred out with the claims folder, then follow the instructions in the table below.
If a CER folder …
Then …
is to be transferred out with the claims folder
  • review the file for the existence of a running award
  • notify the Vocational Rehabilitation and Employment division with jurisdiction over the claimant that a transfer is taking place, since award action may be necessary
  • obtain the CER folder, creating a COVERS transfer slip that
    • highlights the claim number and destination, and
    • is stapled to front of the CER folder
  • update the charge card, and
  • transfer the CER folder with the claims folder.
is not to be transferred out with the claims folder
  • staple a copy of the COVERS transfer slip to the front of the claims folder
  • highlight the claim number and destination of the folder
  • update the charge card, and
  • transfer the claims folder.
References:  For more information on

III.ii.5.E.1.d.  Handling Charge Cards Following Transfer-Out of Paper Claims Folders

When a permanent transfer-out of a claims folder is processed, the charge card should be annotated with

  • PTO (permanent transfer-out)
  • the name and number of the RO receiving the folder, and
  • the eligible month for disposal of the charge card.

Note:  The eligible month for disposal is the fourth month following the date of the permanent transfer.


2.  General Policies for Permanent Transfer-In of Paper Claims Folders


Introduction

This section contains general policy information on the permanent transfer-in of paper claims folders, including


Change Date

June 22, 2016

III.ii.5.E.2.a.  Requesting Permanent Transfer-In of Paper Claims Folders

Requests for the permanent transfer-in of paper claims folders can be made to
  • other ROs
  • the Records Management Center (RMC), or
  • Federal records centers (FRCs).
Important:  Paper claims folders must not be transferred between ROs unless there is an authorized exception from scanning requirements.  For more information regarding the guidance for sending paper claims folders to scanning facilities, to include exceptions, see M21-1, Part III, Subpart ii, 5.D.1.b.
Note:  RMC will use the VBMS corporate flash as an indicator to ship the claims folder for scanning and ensure the claims folder is uploaded into the VBMS electronic claims folder (eFolder).

III.ii.5.E.2.b.  Cancellation of Erroneous Permanent Transfer-In Requests for Paper Claims Folders

Use care when requesting paper folders.
Cancellation of erroneous requests to other ROs must occur by telephone, e-mail, or through COVERS.  Folders requested in error from RMC or an FRC
  • cannot be returned, and
  • must be retained by the RO.

III.ii.5.E.2.c.  Using COVERS and Tracked Items for the Permanent Transfer of Paper Claims Folders

For permanent transfers of claims and notice of death folders, see the COVERS User Guide.
Important:  In addition to the actions taken in COVERS, the request must be documented by creation of a Physical Claims File Requested tracked item.

3.  Transfer Requests for Paper Claims Folders From an FRC


Introduction

This section contains information on transfer requests for Veterans’ paper claims folders from an FRC, including


Change Date

January 12, 2017

III.ii.5.E.3.a.  FRC Locations

The table below contains the locations of the FRCs and their corresponding codes.
The FRC station code is shown in the Beneficiary Identification Records Locator Subsystem (BIRLS) FOLDER LOCATION screen in Share.
Important:  Users should use the table below to determine the current location to send the request to.
FRC Station
Code
Location
Transfer Date in BIRLS
Correct Current Location
010
Boston
not applicable (N/A)
010 Boston
011
Pittsfield
N/A
011 Pittsfield
020
Bayonne
ALL
059 Lee’s Summit
021
Philadelphia
1954 – 1985
059 Lee’s Summit
030
Washington National Records Center
1952
  • These records are no longer owned by VA.
  • To request a copy of a record at this location, contact
William Seibert
(314) 801-0909
william.siebert@nara.gov.
030
Washington National Records Center
February – July 1955
030
Washington National Records Center
1962 – 1978
060 Lenexa
040
Atlanta
1973 & Prior
060 Lenexa
040
Atlanta
1974 – 1994 (from ROs
317, 318, 322)
011 Pittsfield
040
Atlanta
1974 – 1994 (from ROs
316, 319,
320, 323, 327)
060 Lenexa
(exceptions noted
in next two rows)
040
Atlanta
1986 from RO 316
011 Pittsfield
040
Atlanta
1993 from RO 323
011 Pittsfield
050
Chicago
Prior to 1973
011 Pittsfield
051
Dayton
N/A
051 Dayton
052
Kingsridge
N/A
052 Kingsridge
059
Lee’s Summit
N/A
059 Lee’s Summit
060
Lenexa (previously Kansas City)
Prior to 1973
011 Pittsfield
061
St. Louis National Personnel Records Center (NPRC)
1956 – 1959 (from
ROs 335, 339)
011 Pittsfield
061
St. Louis NPRC
1959 – 1966 (from
RO 376)
011 Pittsfield
061
St. Louis NPRC
1960 – 1969 (from ROs
335, 339,
340, 341, 345, 442)
011 Pittsfield
061
St. Louis NPRC
1967 – 1973 (from
RO 331)
011 Pittsfield
061
St. Louis NPRC
1970 – 1974 (from ROs
339, 340, 341, 345,
436, 437, 438, 442)
011 Pittsfield
070
Ft. Worth
Prior to 1977
011 Pittsfield
070
Ft. Worth
1977 – 1993
059 Lee’s Summit
080
Denver
ALL
059 Lee’s Summit
090
San Francisco/San Bruno
N/A
090 San Francisco/
San Bruno
091
Laguna Niguel (previously Perris)
Prior to 1967
011 Pittsfield
091
Laguna Niguel
1968 – 1992
059 Lee’s Summit
100
Seattle
N/A
100 Seattle
Note:  FRCs 020, 070, and 080 are no longer active repositories.
Reference:  For more information about FRCs, see Federal Records Center Locations.

III.ii.5.E.3.b.  Procedure to Recall Folders From VA RC&V

An RO’s appointed key user may electronically recall folders retired to VA Records Center and Vault (RC&V) using the following procedure:
Step
Action
1
Log in to the VA RC&V Records Retrieval System (RRS).
2
Enter the following information on the electronic VA Form 0245,VA Records Center & Vault Reference Request:
  • Veteran’s last name and first name
  • last four digits of the claim number
  • accession number (listed on BIRLS FOLDER LOCATION screen), and
  • box number (listed on BIRLS FOLDER LOCATION screen).
3
Create a Physical Claims File Requested tracked item.
4
Upload a copy of the request into the corresponding eFolder.
Note:  First-time key users must register and create a new account. The key user will receive an email from VA RC&V when the account is activated.
References:  For more information on

III.ii.5.E.3.c.  Requesting Transfer of Paper Claims Folders From an FRC

Requests for transfer of a paper claims folder from an FRC are submitted through the National Archives and Records Administration’s Archives and Records Centers Information System (ARCIS).
  • Use Share to obtain the FRC accession data from the BIRLS FOLDER LOCATION tab, and
  • log into ARCIS and initiate a request for the claims folder
  • create a Physical Claims File Requested tracked item, and
  • upload a copy of the request into the corresponding eFolder.
Note:  The FRC usually returns the folder to the requesting RO within 10 business days.
Reference:  For information on how to use ARCIS, to include log-in and passwords, see the ARCIS website.

III.ii.5.E.3.d.  Following up on Requests From an FRC

If the folder is not received within 10 business days of the original request, process a follow-up request to the FRC via ARCIS, by sending an e-mail, or by calling the FRC, and document the follow-up request in the claims folder.
Important:  Remember to update the Physical Claims File Requested tracked item in VBMS to reflect the follow-up.
Reference:  For contact information, see Federal Records Center Locations.

III.ii.5.E.3.e.  Drop File Mail for VA RC&V or an FRC

For drop file mail received for a claims folder in the jurisdiction of either the VA RC&V or an FRC, use the Centralized Mail (CM) portal to upload the document(s) to the claimant’s eFolder.
Note:  All material will be combined into the eFolder upon recall of the file from RC&V or FRC.
Reference:  For more information on the CM portal, see M21-1, Part III, Subpart ii, 1.E.1.

4.  Receipt of Requested Paper Claims Folders


Introduction

This section contains information on the receipt of requested folders, including


Change Date

June 22, 2016

III.ii.5.E.4.a.  Receipt of Paper Claims Folders From RMC or an FRC

The receipt of folders from RMC or an FRC should result from a specific request from the RO.
Folders received from other ROs, however, may
  • have been requested, or
  • be the result of an unsolicited request.

III.ii.5.E.4.b.  Identifying Paper Claims Folders Requested From Other ROs

Claims folders requested from other ROs have a COVERS transfer slip stapled to the front of the folder.

III.ii.5.E.4.c.  Receiving Paper Claims Folders

To process receipt of paper claims folders
  • follow the steps in the COVERS User Guide, and
  • close the Physical Claims File Requested tracked item.

III.ii.5.E.4.d.  Charge Cards and Pending Mail for Paper Claims Folders

If the reason for transfer is transfer request, pending mail should exist.
Use the table below to handle pending mail.
If a charge card …
Then …
was prepared at the time the paper claims folder was requested
  • attach the mail to the folder, and
  • update COVERS.
is prepared on receipt of the paper claims folder
  • attach the mail to the folder
  • update COVERS, and
  • annotate the charge card to show the individual or element where the folder is sent.

5.  Unsolicited Transfers of Paper Claims Folders and Dual Benefit Cases


Introduction

This topic contains information on unsolicited transfers and dual benefit cases, including


Change Date

September 2, 2010

III.ii.5.E.5.a.  Review of Unsolicited Transfers of Paper Claims Folders

Review all unsolicited transfers of paper claims folders to ensure the reason for transfer is valid.

III.ii.5.E.5.b.  Handling Improper Transfers of Paper Claims Folders

If a transfer is improper because the reason for transfer was not valid, then
  • return the claims folder to the transferring RO, and
  • show the reason for transfer as Improper transfer, jurisdiction refused, and
  • include a brief explanation of the reason the transfer was improper.

III.ii.5.E.5.c.  Handling Dual Benefit Paper Claims Folders

If a beneficiary receives benefits involving two claims folders, then
  • keep the folders together, and
  • do not transfer one folder without the other.
1-12-17_Key-Changes_M21-1III_ii_5_SecE.docx May 11, 2019 68 KB
Historical_M21-1III_ii_5_SecE_11-10-15.doc May 11, 2019 180 KB
Historical_M21-1III_ii_5_SecE_6-23-15.doc May 11, 2019 172 KB
5-25-18_Key-Changes_M21-1III_ii_5_SecE.docx May 11, 2019 65 KB
06-22-16_Key-Changes_M21-1III_ii_5_SecE.docx May 11, 2019 66 KB
Change-June-23-2015-Transmittal-Sheet-M21-1III_ii_5_SecE_TS.docx May 11, 2019 41 KB
2-19-19_Key-Changes_M21-1III_ii_5_SecE.docx May 11, 2019 54 KB
Transmittal-Sheet-pt3_sp2_TS.doc May 11, 2019 100 KB
Transmittal-Sheet-09_02_10.doc May 11, 2019 112 KB
Did this article answer your question?

Leave a Reply





Pin It on Pinterest

Share This