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:

Topic	Topic Name
1	Requests for Permanent Transfer-Out of Paper Claims Folders
2	General Policies for Permanent Transfer-In of Paper Claims Folders
3	Transfer Requests for Paper Claims Folders From a Federal Records Center (FRC)
4	Receipt of Requested Paper Claims Folders
5	Unsolicited Transfers of Paper Claims Folders and Dual Benefit Cases

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

requesting permanent transfer-out of paper claims folders using the Control of Veterans Records System (COVERS)
procedure for handling permanent transfer-out requests for paper claims folders
paper claims folders containing unanswered correspondence or pending issues, and
handling charge cards following permanent transfer-out of paper claims folders.

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

Pull the folder.

Review the folder for

unanswered correspondence, or
pending issues.

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

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.

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,

review the system through which the examination request was submitted, or
follow the procedures in M21-1, Part III, Subpart iv, 3.C.1.b.

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.

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

fiduciary hubs and their respective jurisdiction, see M21-1, Part III, Subpart v, 9.A.1.d, and
VA clinic points of contact (POCs), see the C&P Clinic POC List.

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

VA RC&V, see the VA RC&V website, and
VA RC&V RRS and saving copies of electronically-submitted VA Form 0245, see the VA RC&V Electronic RRS User Guide.

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.

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Last Updated: 10 months ago in Chapter 5 Jurisdiction and Transfer, Part III General Claims Process, Subpart ii Initial Screening and Determining Veteran Status

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

Overview

In This Section

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

Introduction

Change Date

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

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

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

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

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

Introduction

Change Date

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

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

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

3. Transfer Requests for Paper Claims Folders From an FRC

Introduction

Change Date

III.ii.5.E.3.a. FRC Locations

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

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

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

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

4. Receipt of Requested Paper Claims Folders

Introduction

Change Date

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

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

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

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

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

Introduction

Change Date

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

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

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

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