**M23-1, Part I** March 7, 1994

Change 87

**CONTENTS**

**CHAPTER 13. FILES MANAGEMENT**

PARAGRAPH PAGE

13.01 General 13- 1

13.02 Service Files 13- 1

13.03 Veterans Records 13- 1

13.04 Protection of Records Against Defacement 13- 6

13.05 Restricted Access to Certain Records by VA Employees 13- 7

13.06 Housing of Records 13- 7

13.07 Employee-Veteran Records 13- 8

13.08 Misfiled Records 13-10

13.09 Locked Files 13-11

13.10 Information From Confidential Report Retained in Central Office
13-12

13.11 Cross-Reference of R&E Folders to Claims Folders 13-13

13.12 Handling of VA Records Pertaining to Treatment of Human

Immunodeficiency Virus (HIV), Acquired Immune Deficiency Syndrome

(AIDS), Alcohol Abuse, Drug Abuse or Sickle Cell Anemia 13-13

13.13 Control and Sequencing of Records 13-14

13.14 Active Mail 13-15

13.15 File Mail 13-16

13.16 Delivery of Folders on Requisition 13-17

13.17 Delivery of Folders to Service Organizations 13-17

13.18 Delivery of Folder or Subsidiary Records-Veteran Waiting 13-18

13.19 Recharge of Folders 13-18

13.20 Lost Folders 13-18

13.21 Requests for Circularization of Missing Claims and XC-Folders -

Regional Offices 13-19

13.22 File Number Adjustment and Cancellation 13-20

13.23 Duplicate Records Consolidation (DUPC) 13-21

13.24 Records Adjustment Actions - Duplicate Claims 13-22

13.25 Damaged or Destroyed Veterans Records 13-23

13.26 Transfer of Damaged Records 13-23

13.27 Filing Material in Segregated Folders 13-24

13.28 Establishment of an XC-Folder 13-25

13.29 Establishment of Inactive XC-Folders 13-25

13.30 Securing Adjusted Compensation Files 13-25

13.31 Renovation of Folders 13-26

13.32 Noncurrent Standard Notations on Claims and XC-Folder Jackets
13-26

13.33 Military File 13-27

13.34 Temporary Military File 13-27

13.35 Authorization Pending Files 13-28

13.36 Folders Eligible for Court of Veterans Appeals Review 13-29

Appendix:

A Timeliness Control-Unattached Active Mail for Loan Guaranty and

Principal Guardianship Files 13A-1

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Change 87

**CHAPTER 13. FILES MANAGEMENT**

**13.01 GENERAL**

The procedures outlined in this chapter govern the establishment,
maintenance, servicing, and movement of all record series subject to
control by, or within the jurisdiction of, the Veterans Benefits
Administration. The categories covered are generally classified as
service files and veterans records.

**13.02 SERVICE FILES**

Service files are those established for identifying or servicing
veterans records. Included in this category are:

a\. The military file (filed alphabetically by calendar year).

b\. The temporary military file (filed alphabetically by quarter).

c\. Pending or suspense files (filed alphabetically-calendar
year-suspense date).

d\. Payee index file (filed alphabetically).

e\. Loan guaranty index (filed alphabetically).

**13.03 VETERANS RECORDS**

\"Veterans Records\" is a collective term referring to folders
established to house documents relating to various types of benefits
administered by VA. Included in this category are:

a\. **Claims Folders.** When no red-rope folder has been established,
one will be prepared under the circumstances described in subparagraphs
(1) through (4) below. Subsequent claims for the same benefit and/or any
other benefit described below, as well as all documents pertaining to
these benefits, will be housed in the same folder.

\(1\) **C-Folders (Living Veterans).** A red-rope folder identified by a
file number will be established upon receipt of a veteran\'s original
claim for disability compensation or pension, (disability allowance, or
officers\' retirement pay) medical benefits, memorandum ratings, and
overpayments when there is no indication that a claims folder has been
previously established. Subsequently, accumulated papers upon which an
award or disallowance is made will be filed in this folder.

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Change 87

\(2\) **Chapter 30 Folder (Education).** A grey folder identified by a
file number will be established for a claimant when a VA Form 22-1990,
Application for Education Benefits, is received and there is no
indication that a claims folder has been previously established. This
folder will contain all material pertaining to the claim for education
benefits under chapter 30. These folders will not be interfiled with
other educational folders, but will be filed in a separate file bank.

\(3\) **Chapter 31 Folder (Education).** When VA Form 28-1900, Disabled
Veterans Application for Vocational Rehabilitation, is received, and
there is no indication that a claims folder has been previously
established, a red-rope folder identified by a file number will be
established. When a claims folder has been previously established, that
folder will be used to house VA Form 28-1900. All material will be filed
in the claims folder until eligibility and entitlement have been
determined by the Adjudication Division. The claims folder will then be
referred to the VR&C (Vocational Rehabilitation and Counseling) Division
with a completed VA Form 28-1944, Eligibility, Entitlement and
Scheduling Information.

\(4\) **Chapter 32 Folder (Education).** A red-rope folder identified by
a file number will be established for a claimant when a VA Form 22-1990,
or 28-8832, Application for Counseling, is received and there is no
indication that a claims folder has been previously established. This
folder will contain all material pertaining to the claim for educational
benefits under chapter 32. When a claims folder has been previously
established, that folder will be used to house any additional VA Form
22-1990 or 28-8832 and related education records.

\(5\) **XC-Folders (Deceased Veterans).** A red-rope folder to which a
file number has been assigned regardless of whether claim for death
benefits has been filed. It contains an authentic notice of death of the
veteran, and claims and/or applications for benefits payable by VA as a
result of service by the veteran. If a claims folder existed at the time
of the veteran\'s death, it is converted to an XC-folder. If no claims
folder existed, a new XC-folder will be established using a lightweight
two-part manila folder.

\(6\) **Inactive XC-Folders (Deceased Veterans).** A red-rope folder
identified by a file number and stamped \"Inactive XC-Folder.\" It
contains records created or received in the regional office before the
veteran\'s death, which have been separated from the active XC-folder
after all pending death claims have been adjudicated.

b\. **R&E (Rehabilitation and Education) and CER
(Counseling/Evaluation/**

**Rehabilitation) Folders (Vocational Rehabilitation and Education).**

\(1\) R&E folders are no longer created. The CER folder, or previously
the R&E folder, contains all documents or correspondence pertaining to a
veteran receiving vocational rehabilitation under title 38 U.S.C.
chapter 31, except documents which are specifically directed to be filed
in the claims folder. A 3/4-inch strip of orange-colored tape, such as
that used for color-coding of folders, will be centered at the top of VA
Form 3025, File Charge Card, for the R&E folders already in existence.

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Change 87

\(2\) R&E folders on veterans whose training is terminated by death
should be removed from the file bank. These folders will be maintained
as a separate file series, filed in file number order by calendar year
according to the year of the veteran\'s death. Each calendar year
segment of folders will be destroyed under Records Control Schedule
(RCS) VB-1, part I, item No. 03-139.220. These folders will not be
pulled or transferred with the XC-folder unless specifically requested.

c\. **DEA (Dependents Educational Assistance) Folders**

\(1\) **Folders for Dependent Children and Orphans.** DEA folders are
blue folders. Each is assigned the file number of the veteran having a
permanent and total service-connected disability; or whose death was
service-connected. A letter suffix \"A\", \"B\", \"C\", etc., is added
for each eligible person on whose behalf VA Form 22-5490, Application
for Survivors\' And Dependents\' Educational Assistance (Under
Provisions of Chapter 35, Title 38, U.S.C.), is filed for the first
time. The DEA folder will contain all documents and correspondence
relating to the educational assistance or special restorative training
of the eligible person under 38 U.S.C. chapter 35. Even though the child
may have, as a veteran in his or her own right, a file number and claims
folder (with or without an R&E folder), all records of educational
assistance under 38 U.S.C. chapter 35 will be maintained in the DEA
folder. Light blue tape will be used to designate VA Form 3025 for
childrens\' or orphans\' folders.

\(2\) **Folders for Spouses and Surviving Spouses.** A blue folder is
created. It is assigned the file number of the deceased veteran or the
living veteran having a permanent, total service-connected disability on
whose service eligibility is based. A folder is created for the eligible
spouse or surviving spouse, on whose behalf VA Form 22-5490 has been
filed and eligibility and entitlement have been determined. The letter
suffix \"W\" will be added to the file number. If a second spouse
becomes eligible for DEA benefits due to the death or divorce of the
first eligible spouse, the numeral \"1\" will be added after the suffix
\"W\" on the DEA folder for the first spouse and \"2\" after the suffix
\"W\" on the folder for the second spouse. The DEA folder will contain
all documents and correspondence relating to the educational assistance
or special restorative training of the person for whom the folder has
been established.

\(3\) A 3/4-inch strip of colored tape, such as that used to color code
claims, DEA and R&E folders, will be centered at the top of VA Form
3025. Red tape will be used to designate VA Form 3025 for spouses or
surviving spouses.

\(4\) Folders of those cases terminated by death of eligible persons
will be removed from the file bank. These folders will be maintained as
a separate file series, filed in file number order by calendar year
according to the year of death. Each calendar year segment of folders
will be destroyed in accordance with RCS VB-1, part I, item 03-139.300.
These folders will not be pulled or transferred with the claims folder
unless specifically requested.

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Change 87

d\. **Temporary Folder.** A manila folder, identified by file number,
used to house claim documents and supporting material of record value
when the original claims folder cannot be located within a regional
office or is not received from another regional office or location
within 5 workdays. The outside of the folder will be annotated in bold
letters \"Temporary Folder.\" When the original or rebuilt folder is
received, it will be routed to the correspondence clerk along with the
temporary folder. The clerk will remove all material in the temporary
folder and interfile it in the original or rebuilt folder in accordance
with paragraph 13.27. The original or rebuilt folder will then be
forwarded to the authorization activity for review.

e\. **Loan Guaranty Folders.** A suitable brown kraft folder identified
by a loan number established at the time a request for appraisal or an
application for direct, guaranteed, or insured loan is received. The
folder tab will bear the case number, and the folders are filed in
ascending numerical sequence or by terminal digit.

Note: Under existing law, Loan Guaranty benefits provided for veterans
are extended to unremarried surviving spouses meeting specific
eligibility requirements.

f\. **Principal Guardianship Folders**

\(1\) A red-rope folder marked with a piece of yellow plastic tape
measuring 2 inches in width and 3 inches in length, or a green
three-flap lettersize folder with two built-in fasteners (stock item no.
7530-00-947-2918). These folders are identified by the name and file
number of the veteran (or file number of the deceased veteran on whose
service eligibility is based) when a fiduciary had been appointed by a
State court within the area of the regional office.

\(2\) A kraft folder (stock item no. 7530-00-680-2420) identified by the
name and file number of the veteran (or file number of the deceased
veteran on whose service eligibility is based):

\(a\) When a recognized legal custodian is residing within the area of
the regional office; or

\(b\) When an institutional award has been or is being made to the chief
officer of a State or contract hospital within such area; or

\(c\) When payments are authorized to an incompetent veteran\'s spouse
residing in the area.

\(3\) Upon notice from the Veterans Services Officer, principal
guardianship folders for supervised direct-payment cases will be affixed
with a single strip of orange, self-adhesive plastic tape, 3/4-inch
width, 6 inches in length, in the upper left corner of the front flap of
the folders (red-rope, green, kraft, and manila). All mail, active or
file, received for principal guardianship folders which carry an
identifying orange band of tape, will be associated with the related
folder and set aside for review by Veterans Services Division (VSD)
personnel. In no instance will material be drop filed in a supervised
direct-payment case prior to review.

**13-4**

March 7, 1994 **M23-1, Part I**

Change 87

g\. **Insurance Folder.** A numbered folder in which the application
made by an individual veteran for insurance, and essential
correspondence and/or related papers pertaining to that application or
insurance policy, are filed.

h\. **Disability Insurance Benefits (DIB) Folder.** A numbered folder in
which an individual veteran\'s claim for disability insurance benefits,
and essential correspondence, forms, etc., pertaining to the claim are
filed. New DIB folders are no longer being created. Instead, records
pertaining to a claim are filed directly in the insurance folder.
Previously created DIB folders containing these items are attached to
and filed with the corresponding insurance folder.

i\. **Counseling Folders**

\(1\) Counseling folders for chapters 30, 31, 32, 36, and 106 will be
established and maintained by the VR&C Division.

\(2\) Batched chapter 32 or 34 counseling folders received from VR&C 1
year after final counseling will be maintained as a separate file
series, filed in file number order by calendar year according to the
year the veteran was discharged or released from active duty. Inservice
personnel counseling folders will be interfiled with this file series
according to the year in which final counseling action took place. Prior
to storing, the related claims folder will be stamped with the notation
\"Counsel. Fldr. Loc. (name of station) (year).\" The year to be used in
this notation will be the same as that shown by the VR&C Division on the
counseling folder itself, regardless of whether it is the date of
discharge or the date of final counseling. Each calendar year segment of
folders will be destroyed under RCS VB-1, part I, item No. 07-620.020.
These folders will not be pulled or transferred with the claims folder
unless specifically requested. If the counseling folder becomes active
or is permanently transferred to another station, the stamped notation
on the claims folder must reflect the transfer date.

j\. **Job Training Folders and SMOCTA (The Service Members Occupational
Conversion and Training Act of 1992) Folders (Vocational Rehabilitation
and Education).** SMOCTA established a new veterans job training program
that became effective October 23, 1992. Employers must apply to VA for
approval of a training program. When a program is approved by the
regional office of jurisdiction, that office will furnish the employer
an approval letter. Job training folders and SMOCTA folders for the
employer and the employee are yellow folders. Jobs training folder
location at the field station is determined by the station. SMOCTA
folders are kept separate from claims folders.

k\. **IVM (Income Verification Match) Folders (Adjudication).** IVM
Folders containing copies of Internal Revenue Service (IRS) and Social
Security Administration (SSA) information on income are stored in orange
folders in locked files and are considered sensitive requiring
restrictive handling. The IVM folders contain documentation including
printouts generated by Hines Data Processing Center, which contain all
compensation or pension information, and the databases at IRS and SSA.
These printouts shows any discrepancies concerning income reported.

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Change 87

l\. **SMRs (Service Medical Records).** On October 16, 1992, the SMRs
Center, a VA facility at St. Louis, Missouri, began receiving Army SMRs.
SMRs at this facility are kept in terminal digit order until they are
transferred to the field station for claims processing, recalled by the
military service, or retired. Field stations should return SMRs to the
SMRs Center if they receive them and no claim is being established.

m\. **EDU (Education) Folders.** EDU folders contain education documents
previously housed in the claims folder and inserted in a buff folder
since certain education benefit claims processing was transferred from
the Los Angeles and Oakland Regional Offices to the San Diego Regional
Office. The buff EDU folders are kept in terminal digit order in a
separate file bank.

n\. **Canadian Folders.** Folders for veterans who live in Canada are
housed at, and the claims are adjudicated by, the regional office in
White River Junction, Vermont. These folders were previously housed at
Washington Regional Office. Folders for Philippine nationals who live in
Canada will continue to be housed at the Manila Regional Office.

**13.04 PROTECTION OF RECORDS AGAINST DEFACEMENT**

Preservation of records content is a prime consideration of personnel
handling veterans records.

a\. Records will not be stamped or marked in any manner other than those
prescribed in VA procedures, nor will numbers or marks of any kind be
placed on records or documents in a manner that will obliterate or
deface any part of the contents. Extreme care will be exercised in using
stamp impressions, staplers, and hole punchers; and in making comments,
notations, or underscoring. Under no circumstances will any VA record,
or documents in temporary custody of the VA which are to be returned to
the sender, be crumpled or marred.

b\. Unless specifically directed otherwise, paper clips, rather than
staples, will be used to attach records and documents to other material.
When staples are authorized, they will be carefully removed after their
purpose has been served.

c\. Records will not be filed beyond the normal capacity of equipment or
in any manner whereby records might fall behind, beside, or under the
storage unit. Records will also not be placed in a location where there
is a reasonable possibility of being discarded or lost, such as
temporarily storing records inside or on the edge of desks or filing
equipment.

d\. Claims folders which are too large and bulky to provide adequate
preservation of contents will be separated into smaller, more manageable
volumes. A red-rope folder and a VA Form 3025 will be prepared for each
volume and will be marked \"VOLUME 1 of (total number of volumes),\"
\"VOLUME 2 of (total number of volumes),\" etc. When a requisition is
received for a claims folder which has been divided into volumes, all
volumes will be pulled and forwarded to the requesting element.

**13-6**

March 7, 1994 **M23-1, Part I**

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e\. Important records that have been mutilated will be replaced by
duplicate records certified as exact copies. The replacement will
contain a reference that the original record is retained in the folder.
The original record will be placed in an envelope in order to prevent
further destruction. The envelope, with contents conspicuously listed on
the outside, will be securely fastened inside the folder.

**13.05 RESTRICTED ACCESS TO CERTAIN RECORDS BY VA EMPLOYEES**

All records, reports, papers, and documents pertaining to any claim
filed with VA, whether pending or adjudicated, are to be considered as
privileged. No disclosures of information will be made except in the
circumstances and under the conditions set forth in VA regulations and
instructions.

a\. In no instance will a veteran retain custody of his or her claims or
R&E folder. A VA employee will not assist a veteran in obtaining access
to his or her claims or R&E folder or release information therefrom to
him or her or any other person except in the circumstances set forth in
current VA regulations and instructions.

b\. When an employee-veteran needs assistance in presenting his or her
claim for benefits, such assistance will be furnished by the Veterans
Services Division or by an accredited representative of the service
organization holding power of attorney. He or she may also obtain from a
Veteran Benefits Counselor such information from his or her records
pertaining to his or her service in the Armed Forces as is permissible
under governing laws and regulations.

**13.06 HOUSING OF RECORDS**

Each individual record series of veterans records will be located as
closely adjacent to the primary operational element having need of these
files, as physical facilities will allow. 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.

a\. Arrange claims, XC, R&E, Job Training and DEA folders numerically by
file number using the last two terminal numbers. All stations except the
Records Processing Center (RPC), St. Louis, Missouri, should use the
last two numbers of the file number to establish the terminal-digit
category in which the folder should be filed. This file number can be
either a claim number or the veteran\'s social security number (SSN).
The filing sequence then becomes a strict numeric system, reading
numbers from left to right. Relocated claims folders at the RPC are
arranged numerically according to the last four digits of the file
number which is called \"double terminal-digit\" file number order.

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Change 87

b\. Interfile folders bearing SSNs 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 SSNs will be filed at the
end of each terminal digit, but folders bearing SSNs 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.

\(1\) Interfile those R&E folders not maintained in VR&C Division with
the claims and XC-folder file series immediately behind the
correspondingly numbered claims folder.

\(2\) Interfile DEA and job training folders with the claims, XC and R&E
folder file series. File DEA and job training folders behind the
correspondingly numbered claims folder or R&E folder, as appropriate.

EXCEPTION: VA regional office, Manila, will maintain DEA folders as a
separate file series.

c\. Chapter 31 counseling folders are established and maintained by the
VR&C Division.

d\. Loan guaranty folders constitute a separate file series arranged by
ascending loan number order or by terminal digit order.

e\. Principal guardianship folders constitute a separate file series
arranged numerically by terminal digits.

**13.07 EMPLOYEE-VETERAN RECORDS**

a\. Jurisdiction over active claims folders for VA employee-veterans is
assigned as follows:

\(1\) When an employee or veterans service organization representative-

veteran is engaged in education or training under chapters 30, 32 or 35,
jurisdiction will be assigned without regard to place of employment or
existence of claim requiring adjudicative action. If jurisdiction is in
the employing office, the veteran\'s records will be maintained in
\"locked files.\"

\(2\) Jurisdiction for other employees or service organization
representatives veteran\'s claims file is assigned as indicated below:

**Station Employing Veteran Office of Jurisdiction**

Central Office Baltimore

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Change 87

**Regional Offices and Medical Centers With**

**Regional Office Activities Office of Jurisdiction**

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

Connecticut: Hartford White River Junction

Delaware: Wilmington Philadelphia

District of Columbia: Washington Wilmington

Florida: St. Petersburg Atlanta

Georgia: Atlanta Montgomery

Hawaii: Honolulu San Francisco

Idaho: Boise Fort Harrison

Illinois: Chicago (including West Side VA Milwaukee

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

Pittsburgh Cleveland

Philippines: Manila Washington

Puerto Rico: San Juan New York

Rhode Island: Providence Hartford

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Change 87 March 7, 1994

**Regional Office and Medical Centers With**

**Regional Office Activities-Continued Office of Jurisdiction**

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

b\. Claims folders for all other VA employee-veterans will be maintained
in the office which would have jurisdiction had the veteran not been an
employee.

c\. VA employee-veteran records must be controlled in order to protect
the Government\'s interests and prohibit unauthorized access. Each
employee will utilize channels established for all veterans to gain
access to or information from his/her own records.

d\. In all cases, records of veterans who are employees of the immediate
regional office activity will be maintained in the locked files.

**13.08 MISFILED RECORDS**

a\. A folder not in the proper sequence in any file series is considered
\"misfiled.\" Look for misfiled folders during sequence checks,
reconciliations, retirements, relocations, and other special projects,
as well as during normal file servicing.

b\. If the charge card does not indicate a folder had been circularized
or rebuilt, or if there is no charge card in file, do a BINQ transaction
on Target to ascertain the folder location. 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 the RPC when consolidation has been
accomplished. When the RPC receives notification of folder
consolidation, it will remove the rebuilt folder indicator in BIRLS.

**13-10**

March 7, 1994 **M23-1, Part I**

Change 87

c\. 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
has been requested, notify the RPC that the folder has been found. If
the charge card indicates a rebuilt folder is located at the station,
consolidate the two folders and notify the RPC.

**13.09 LOCKED FILES**

a\. Maintain \"locked files\" including R&E, DEA and Insurance folders
to house claimants\' records of a restricted nature. File a File Charge
Card, in proper sequence in the claims folder file series to show that a
record has been placed in locked files. The Adjudication Officer is the
sole custodian of those records other than insurance. The Chief,
Policyholders Services Division in Philadelphia, and the Chief,
Insurance Division in St. Paul, are responsible for insurance folders.
These officials are 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 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 will be
kept in locked files:

\(1\) Reports from the Federal Bureau of Investigation (FBI).

\(2\) 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 paragraph 13.07
for offices of jurisdiction for employee-veteran records.

\(3\) All records pertaining to veterans serving in field stations as
representatives 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.

\(5\) IVM Folders (See Paragraph 13.03 k).

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Change 87

\(6\) Any other records which the Director determines should have
special storage due to the nature of their content or public interest in
the veteran concerned.

b\. Maintain all restricted material not normally housed in a claims or
R&E folder in kraft envelopes in locked files. Properly identify the
contents in writing on the front of the envelope. Prepare VA Form 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 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. **Conduct a semiannual audit of both sensitive
file holdings and locked file holdings.** Immediately resolve any
discrepancies. Additionally, establish procedures for ascertaining
whether 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 at the
station. Use similar notification procedures if an employee is
reassigned to another station or terminates employment.

e\. Files maintained by the Veterans Services Division and award account
cards are exempt from the requirements of subparagraph a above.

f\. Outpatient treatment folders pertaining to veterans in the
categories shown above will be maintained under the control and
supervision of the designated responsible official, in accordance with
Veterans Health Administration (VHA) directives.

**13.10 INFORMATION FROM CONFIDENTIAL REPORTS RETAINED IN CENTRAL
OFFICE**

a\. Field stations requiring information from confidential reports
retained permanently by Central Office will direct requests to the
Records Management Section (723) using VA Form 3232, General Information
Request.

**13-12**

March 7, 1994 **M23-1, Part I**

Change 87

b\. Proper identification of the veteran and the file series should be
included as shown on VA Form 3797. In Central Office, the Records
Management Section will forward the confidential report to the
appropriate operating official, through Office of Investigations (51),
for reply. Only one copy (yellow) of the reply will be prepared, to be
returned with the confidential report to the Records Management Section
for filing in the \"locked files.\" The reply, in original only, will be
forwarded to the Director of the requesting station.

**13.11 CROSS-REFERENCE OF R&E FOLDERS TO CLAIMS FOLDERS**

Upon establishment of an R&E folder, the following rubber stamp
impression will be placed in the lower left quarter of the front of the
claims folder: \"R&E FOLDER DATED [        ]{.underline} \" (letters at
least three-eighths of an inch high). The notation \"R&E FOLDER DATED
[         ]{.underline}\" will be marked through upon destruction of an
R&E folder by VA in accordance with RCS VB-1, part I, item No.
03-139.200. Claims folders will not be annotated to show destruction of
retired R&E folders at Federal Records Centers (FRC). If a new R&E
folder is subsequently created, the claims folder will be stamped
contiguous to the previous stamp to show date of new folder.

**13.12 HANDLING OF VA RECORDS PERTAINING TO TREATMENT OF HUMAN
IMMUNODEFICIENCY VIRUS (HIV), ACQUIRED IMMUNE DEFICIENCY SYNDROME
(AIDS), ALCOHOL ABUSE, DRUG ABUSE OR SICKLE CELL ANEMIA**

a\. Title 38 U.S.C. 4132 provides for the confidentiality of VA records
pertaining to HIV, 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 relating
to an identifiable patient. A program includes treatment,
rehabilitation, education, training, evaluation and research
information.

b\. 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. 4132.

c\. For purposes of processing benefits claims, copies of such records
prepared by VHA will merely be loaned to the Adjudication Division.

d\. No additional copies of these records will be made by regional
office personnel and, after adjudicative 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.

**13-13**

**M23-1, Part I** March 7, 1994

Change 87

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
therefore 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. 4132 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\. Records specified in subparagraphs e and g above will not be
disclosed without the individual\'s consent.

**13.13 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 of charged-out records. 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, the date folder was charged out of
the file bank, and the initials of the person who made the charge.

\(2\) 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.

\(3\) Process VA Form 3025 in accordance with M23-1, part I, chapter 14,
to establish control of folders being transferred in or out.

b\. Proper and frequent sequence checking improves control of veterans
records. A file sequence check consists of checking each folder in a
file drawer to ensure that every record is in numerical sequence within
each terminal digit and that R&E (those not filed in VR&C), 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.

**13-14**

March 7, 1994 **M23-1, Part I**

Change 87

\(3\) Maintain documentation of the sequence checks performed.

**13.14 ACTIVE MAIL**

a\. Process all mail as it is received for attachment to the related
veterans records and deliver to appropriate operational elements. Using
paperclips, attach special or priority correspondence to the front of
the folder and deliver it immediately.

b\. When processing mail across the files, if the related claims or loan
guaranty folder is charged out, annotate 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 or 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 banks 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 locating the
folder on an \"expedite\" search request, remove the folder and notify
either the clerk or supervisor in the section of such search, 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 have been annotated with the latest chargeout data from the VA
Form 3025. Process routine search mail as follows:

\(a\) Place the mail in a manila folder, sorted into 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 material from the
manila folder and return the folder to the section in which it was
found. The section in possession of the folder is responsible for
forwarding it to the next operating element.

**13-15**

**M23-1, Part I** March 7, 1994

Change 87

\(e\) Circle the number on the list 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 file bank 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 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.

**13.15 FILE MAIL**

a\. Material referred to files activity from other elements will be
accepted as file mail only when properly marked \"FILE\" or \"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.

b\. Paid tax notices and paid insurance vouchers of the Loan Guaranty
Division will be accepted as file mail without further \"FILE\"
annotations by personnel of the regional office. Correspondence received
from other field stations stamped \"Transmitted to DPC - Verify With
C-folder\" or \"Verify With C-folder\" will be accepted by the office
having jurisdiction of the claims folder as file mail without further
\"FILE\" annotations.

c\. 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.

d\. When correspondence requiring a reply is filed, the file copy of the
reply will bear the name or initials of the author 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 the file.

**13-16**

March 7, 1994 **M23-1, Part I**

Change 87

e\. Route all copies of computer-generated award or disallowance letters
received from Hines Data Processing Center to be filed in the claims
folders, without being date stamped or marked \"For File.\"

f\. 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.

g\. 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 with the
correspondence 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.

h\. File mail for folders located at the RPC will be handled in
accordance with M23-1, part I, chapter 1.

i\. File mail for folders located at the FRC will be forwarded by
Optional Form 41 (OF 41), Routing and Transmittal Slip, 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. The statement, \"RECORD VALUE - FOR FILE
PURPOSES.\" will also be included on the OF 41. If desired, stations may
overprint OF 41.

**13.16 DELIVERY OF FOLDERS ON REQUISITION**

Deliver folders to operating elements upon receipt of active mail,
termination of suspense period or upon receipt of a properly executed
requisition. Requisitions by listings are acceptable upon mutual
agreement between the Adjudication Officer and the chief of the division
submitting the request.

**13.17 DELIVERY OF FOLDERS TO SERVICE ORGANIZATIONS**

Honor requisitions for delivery of veterans records to a veterans\'
service organization only if the folder contains a current power of
attorney for that service orgranization. If a claims folder is not
charged to the Board of Veterans Appeals (BVA) and the national service
organization desires to review the folder, the service organization
cannot hold the folder for longer than 90 days. If the folders are not
returned in a timely manner, the national service organization will not
be permitted to review the folder in their office in the future.

**13-17**

**M23-1, Part I** March 7, 1994

Change 87

**13.18 DELIVERY OF FOLDER OR SUBSIDIARY RECORDS - VETERAN WAITING**

a\. Deliver folders within 15 minutes when requested by employees of the
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 the file, advise the requester where
it is located, and ask if a search is desired. Make a special search if
requested, and deliver the folder as soon as possible.

**13.19 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 services and by the normal traffic
pattern of a folder within the section.

**13.20 LOST FOLDERS**

a\. If a claims, XC, R&E, DEA, or Loan Guaranty 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. For the Loan Guaranty Folders, the search will include a review
of the microfiche index to ensure that the Loan Guaranty number is
correct. In no instance will a field station ask a search to be done at
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. However, if the claims folder is not required to process the
pending material, do not request circularization unless that material is
of permanent record value.

**13-18**

March 7, 1994 **M23-1, Part I**

Change 87

c\. If an R&E or DEA folder cannot be located after complete
circularization, the station concerned will be so notified and will
rebuild the R&E or DEA folder from available claims, fiscal and
vocational rehabilitation 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 the RPC that the original folder was found.

**13.21 REQUESTS FOR CIRCULARIZATION OF MISSING CLAIMS AND XC-FOLDERS -
REGIONAL OFFICES**

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 the 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.

\(1\) If a claims or XC-folder cannot be located after thoroughly
searching the entire office, attach the circularization glossary (or
document) 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 VA RPC will create a listing of missing folders and transmit
the list to the mailbox previously provided by each field station.

\(3\) Once it has been received at the field station, print the listing
and distribute it to all affected operating elements. Follow normal
search procedures. Field stations will access the glossary document
listed in paragraph 13.21a(3) above for response to the circularization
list for those folders found. Reply by E-mail within 5 workdays to MAIL
VBA RPC/CIR. This mailbox is reserved for circularization requests and
responses only. Do not use it for any other E-mail. The printout of the
listing may be destroyed after E-mail transmittal to the VA RPC under
RCS VB-1, part I, item No. 13-052.200.

**13-19**

**M23-1, Part I** March 7, 1994

Change 87

\(4\) 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. E-mail both requests and responses to the VA
RPC mailbox.

**13.22 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 with different
file numbers.

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, the 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 file number. If both are identified by claim file
numbers, retain the lower claim file 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.

**13-20**

March 7, 1994 **M23-1, Part I**

Change 87

\(7\) If both records pertain solely to education and both records have
active awards or both have terminated awards, retain the record with a
claims file number versus an SSN. If both records have claim file
numbers assigned, retain the lower claim file 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 from the RPC, perform a MINQ transaction to determine
whether 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 the authorization activity 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.

\(10\) After determining which folder to retain, process a DUPC
transaction.

**13.23 DUPLICATE RECORDS CONSOLIDATION (DUPC)**

a\. Enter \"DUPC\" and the operator\'s password on the Ready screen in
BIRLS. 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 does 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. Review and select the record to
be maintained. If a No Record is found for either file number, the
transaction will terminate.

b\. 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 the following stations can update the INS screen: 101, 376, 310 and
335. Enter \"UPD\" in NEXT SCREEN to complete the transaction.

c\. During consolidation, data contained in identical fields of both
records are combined in the retained records. 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.

**13-21**

**M23-1, Part I** March 7, 1994

Change 87

d\. Each data field has a limited capacity. If more data exists in the
two records than can be retained in the consolidated BIRLS records,
dates are lost (not retained in the system). For example, if there are
more than three service periods, only three periods are retained.

e\. 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.

f\. Beneficiary records of the canceled and retained veteran BIRLS
records are considered duplicated 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.
Consolidate duplicate DEA folders.

g\. 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 records will be lost. Therefore, it is necessary to reestablish
any accounts receivable from the canceled number under the retained
number and to adjust manually 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.

**13.24 RECORDS ADJUSTMENT ACTIONS - DUPLICATE CLAIMS**

a\. After taking the adjustment action in BIRLS, ensure that associated
records adjustment actions are taken.

b\. Review the folder identified by the canceled file number. Line out
the file number on each piece of paper and mark each piece \"Canceled
Duplicate.\" Write the retained file number above the lined out number.

c\. 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.

d\. 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. 13-052.200.

**13-22**

March 7, 1994 **M23-1, Part I**

Change 87

e\. If any action is required, refer the material showing the canceled
file number and the retained file number to the appropriate operating
activity with an OF 41, showing the actions taken in the process of
adjustment.

f\. 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.

g\. 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.

h\. Notify the veteran\'s representative and any VA medical facility
with which there has been recent correspondence, that the file number
has been changed. This can be done by sending an OF 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 dictated letter for notification.

**13.25 DAMAGED OR DESTROYED VETERANS RECORDS**

a\. If records are seriously damaged or destroyed by fire or other
disaster, either in the regional office or while in transit, obtain
complete information and forward it by the fastest available means to
VBA Administrative Support Staff (20A52).

b\. If facilities are available, the regional offices will renovate the
damaged folders. If photocopies are required and reproduction facilities
are not available, forward the folders to the VBA Administrative Support
Staff (20A52).

c\. If a folder containing records salvaged from a damaged folder or
records collected on a case assumed to have been completely destroyed is
received in the regional office of jurisdiction, extract or photocopy
all existing available records, active or inactive, and place them in
the folder. Request the veteran or beneficiary to forward any
correspondence he or she may have received from VA so that it may be
photocopied and placed in the folder.

**13.26 TRANSFER OF DAMAGED RECORDS**

Do not handle damaged records any more than absolutely necessary. If
damaged records must be transferred to Central Office, compactly wrap
each folder individually. Stamp the package \"HANDLE WITH CARE\" and
address it to the Under Secretary for Benefits (20). Place the legend
\"DO NOT OPEN IN MAILROOM - DAMAGED RECORDS\" above the address.

**13-23**

**M23-1, Part I** March 7, 1994

Change 87

**13.27 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 compartments. File documents in each
compartment as follows:

\(1\) **Compartment A.** Authorization forms, controls and other
specified material of the type 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 of 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 pertaining to 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 filed in one of the other compartments.

**13-24**

March 7, 1994 **M23-1, Part I**

Change 87

**13.28 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 M23-1,
part I, chapter 2) Before combining XC-folder material, remove all
duplicate and unnecessary material from the claims folder. File the
Notice of Death printout above the record of the last action taken on
the claims folder. In segregated folders, file this printout and related
material in compartment B. In new XC-folders, file the print and related
material on the right flap.

**13.29 ESTABLISHMENT OF INACTIVE XC-FOLDERS**

Establish inactive XC-folders on an optional basis if it is determined
that a critical shortage of local file 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 M23-1, part I,
chapter 15.

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 as 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 documents received and/or 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 inches 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\". Date
stamp when 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\".

**13.30 SECURING ADJUSTED COMPENSATION FILES**

The unsettled adjusted compensation file (A-file) will not be combined
with an XC-folder in Washington Regional Office but will be secured and
forwarded with the XC-folder to the authorization activity. After the
authorization activity completes the settlement, dispose of the A-file
under MP-4, part X, item No. 6-5.

**13-25**

**M23-1, Part I** March 7, 1994

Change 87

**13.31 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 excessive use.

b\. Renovate folders as needed to protect the contents. Before transfer,
perform any required renovation for folders being transferred.

c\. Renovation of segregated folders includes the screening of
compartment A to remove noncurrent change of address notices, superseded
stop or suspend pay notices and worksheets, and from compartment D, to
remove 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. 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.

**13.32 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. 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
or status of powers of attorney cannot presently be determined without a
review of the folder content.

**13-26**

March 7, 1994 **M23-1, Part I**

Change 87

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 RTFR TO VA REC (SERV) CENT (date trft).\"** Mark
through this stamp when noted during routine operations. Folders
transferred to VA Records Service Center have been destroyed.

d\. **\"R&E DLDR LOC (name of station).\"** This notation was placed
immediately contiguous to the \"R&E FLDR\" stamp when R&E or OE (Orphans
Education) folders were at another station by reason of VR&C workload
considerations.

e\. **Others.** \"DECEASED CASE;\", \"PAY RECORDS LOCATED
[       ]{.underline};\", \"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 [      ]{.underline}.\" are obsolete
and should be marked through the stamp when noted during routine
operations.

**13.33 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
records 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.

**13.34 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.

**13-27**

**M23-1, Part I** March 7, 1994

Change 87

\(2\) Mail pertaining to veterans, their beneficiaries and dependents on
matters not administered by VA.

\(3\) Any other material without an 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.

**13.35 AUTHORIZATION PENDING FILES**

In the past, several pending files were maintained at the regional
office. One of these 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. A Correspondence Activity
File 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, and VA Form 20-8738, BIRLS Records Adjustment
Worksheet. A Transfer Activity File contained 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 the
Adjudication Division 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.

**13-28**

March 7, 1994 **M23-1, Part I**

Change 87

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.

**13.36 FOLDERS ELIGIBLE FOR COURT OF VETERANS APPEALS REVIEW**

Special handling procedures are required for claims folders and
insurance folders containing decisions by the Board of Veterans Appeals
(BVA) which meet the criteria for review by the United States Court of
Veterans Appeals (CoVA).

a\. **General.** The Veterans Judicial Review Act, Public Law 100-687,
enacted into law on November 18, 1988, created CoVA 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 CoVA. 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 or insurance 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 BVA
or 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 CoVA. BVA personnel
will attach an easily recognizable label to the outside of each claims
folder or insurance folder containing such a decision and will identify
the record to be preserved by placing file inserts over the material
contained in the file. 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 CoVA. 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
form the records which were the basis for the BVA decision. The AO must
also ensure that each of these claims folders will be available for
immediate transfer to BVA or GC upon request if an appeal is filed with
CoVA. AOs are also responsible for designing and implementing local
procedures to keep these claims folders in a secure area separate from
regular files storage; ensure that any claims folder removed from the
secured area is returned by the close of business each day; guarantee
that the claims folder will be available for immediate transfer; and
return the claims folder to regular storage on the date indicated by BVA
on the file insert.

**13-29**

**M23-1, Part I** March 7, 1994

Change 87

NOTE: A charge card indicating that the claims folder is maintained in
the BVA secured area will be placed in the proper sequence in regular
files storage. (See par. 4.19 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 is at BVA will
be retained for this purpose. The temporary file will be annotated \"BVA
Decision [   (date)  ]{.underline}\" and may be stored in either the
secured area with the claims folder or in the regular files, at the
discretion of the Adjudication Officer. 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 for processing. The temporary file will remain in the
regional office if an appeal is filed with CoVA. 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 CoVA. 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 smallest number of employees possible. On each occasion
the Adjudication Officer or his or her designee must certify that no
material was added to or deleted from the record which is subject to
review by CoVA.

\(2\) **Non-VA Personal.** 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 CoVA. 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 CoVA 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 and the file inserts must be removed at that time, and the
material in the temporary file transferred to the permanent claims
folder.

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March 7, 1994 **M23-1, Part I**

Change 87

g\. **BVA Decision Appealed.** When notified that an appeal has been
filed with CoVA, the regional office should cancel its pending local
control but retain the claims folder in the BVA secured area until it is
specifically requested by BVA or GC. 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 CoVA or GC,
the temporary file will be maintained in normal storage.

**13-31**

March 7, 1994 M23-1, Part I

Appendix A

Change 87

**APPENDIX A. TIMELINESS CONTROL \-- UNATTACHED ACTIVE MAIL**

**FOR CLAIMS, LOAN GUARANTY AND PRINCIPAL GUARDIANSHIP FILES**

**1. General**

The purpose of this appendix is to provide procedures to assist
supervisors in measuring the timeliness in the area of files management.
The purpose and scope outlined in M23-1, part I, paragraph 17.18,
provides an overview of timeliness and quality control needed to
identify suspected deficiencies and ensure that all work meets the
standards of acceptable timeliness.

**2. Sampling Workdays**

Sampling workdays are preselected days on which random samples of
unattached active mail are reviewed for timeliness. One of the five
plans shown in exhibit I should be used to select sampling workdays.
Once a plan is chosen, it must not be changed before the beginning of
the next fiscal year; however, stations may alternate between weekly and
biweekly reviews within each plan on a monthly basis.

**Exhibit I**

**[                                                                                   ]{.underline}**

**Plan Quality Sampling Workdays of the Month**

**[                                                     ]{.underline}**

**Weekly Review Biweekly Review**

**[                                                                                    ]{.underline}**

**Plan 1\... 1st, 7th, 13th, and 19th, or Last 1st and 13th or 7th and
19th or Last**

**Plan 2\... 2d, 8th, 14th, and 20th, or Last 2d and 14th or 8th and
20th or Last**

**Plan 3\... 3d, 9th, 15th, and 21st or Last 3d and 15th or 9th and 21st
or Last**

**Plan 4\... 4th, 10th, 16th and Last 4th and 16th or 10th and Last**

**Plan 5\... 5th, 11th, 17th, and Last 5th and 17th or 11th and Last**

**[                                                                                    ]{.underline}**

**3. Sample Size**

a\. The amount of unattached active mail required to be reviewed each
sampling workday is shown in exhibit II.

**[Exhibit II]{.underline}**

**Sample Size \-- Unattached Active Mail**

**Station Group Weekly Review Biweekly Review Monthly Total**

**[                                                                                    ]{.underline}**

**Group I 25 50 100**

**Group II 20 40 80**

**Group III 15 30 60**

**Group IV 10 or 100% 20 or 100% 40 or 100%**

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M23-1, Part I March 7, 1994

Appendix A

Change 87

b\. Below is a list of the stations included in each station group shown
in exhibit II.

\(1\) Group I \-- Chicago, Cleveland, Los Angeles, New York, San
Francisco, and St. Petersburg.

\(2\) Group II \-- Atlanta, Boston, Buffalo, Detroit, Houston,
Indianapolis, Louisville, Milwaukee, Montgomery, Muskogee, Nashville,
Newark, New Orleans, Philadelphia, Pittsburgh, Roanoke, Seattle, St.
Louis, St. Paul, Waco, and Washington.

\(3\) Group III \-- Albuquerque, Baltimore, Columbia, Denver, Des
Moines, Hartford, Huntington, Jackson, Lincoln, Little Rock, Manila,
Phoenix, Portland, Providence, Salt Lake City, San Juan, Wichita, and
Winston-Salem.

\(4\) Group IV \-- Boise, Cheyenne, Fargo, Ft. Harrison, Honolulu,
Anchorage, Manchester, Reno, San Diego, Sioux Falls, Togus, White River
Junction, and Wilmington.

c\. When the Administrative activity services only the LG (Loan
Guaranty) [or]{.underline} the PG (Principal Guardianship) files, LG or
PG mail will constitute 100 percent of the sample size. When
Administrative activity services the LG [and]{.underline} the PG files,
75 percent of the required review will be on LG and 25 percent on PG
mail. The Administrative activity will consolidate and maintain data
from all reviews for Central Office review and validation.

NOTE: For those stations where only the C and XC folders are under the
jurisdiction of the Administrative activity, a 100 percent sample size
will be accomplished. In instances where the Administrative activity
services the C, XC, LG and PG files, 85 percent of the required review
will be on C and XC mail, 10 percent on LG mail, and 5 percent on PG
mail.

d\. Stations experiencing difficulty in obtaining the minimum sample
size should report the problem to the Administrative Support Staff
(20A5/20A52) through their Area Director for consideration in reducing
the size of the required sample. Completed copies of VA Form 23-8409,
Quality Worksheet, for the prior 3-month period for which there is a
problem as well as a count of the average daily workload processed will
be submitted.

**4. Random Sampling Procedure**

a\. Random sampling is an essential element to ensure that
representative samples of unattached active mail are reviewed. It
requires a procedure for selecting samples of unattached active mail, so
that every piece has an equal and independent chance of being selected.
Sound sampling procedures and accurate recording of results are
essential in timeliness assurance.

b\. Active mail is defined as mail, documents, etc., received from
veterans, beneficiaries, other VBA installations, outpatient clinics, VA
medical centers, veterans service organizations, and other outside
sources which may have a bearing on a veteran\'s or claimant\'s
benefits.

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March 7, 1994 M23-1, Part I

Appendix A

Change 87

c\. The preferred procedure for selecting a random sample of unattached
active mail for each sampling workday is as follows:

\(1\) Determine the ratio between the current average amount of
unattached active mail processed each workday and the sample size
required each sampling workday. The current average amount of unattached
active mail processed each workday should be determined at least
semiannually.

Example: If the amount of unattached active mail to be reviewed each
sampling workday is 20, and the current average amount of unattached
active mail processed per workday is 240, the ratio for review is 20/240
or 8 percent of the unattached active mail processed daily.

\(2\) Determine the listing control digits(s), as explained below, for
selecting the ratio or percentage of unattached active mail processed
daily which is required for review.

\(3\) Five workdays in advance of the sampling workday, list on VA Form
23-8409, Quality Worksheet, each piece of unattached active mail with a
file number identified by the listing control digit(s). The designated
reviewer will make the selection and list from new unattached active
mail which has at least one pass over folder files and before it is
merged with existing mail in the process of being searched and attached
to outcharged folders. Selections should be limited to the first pieces
of unattached mail which provide the required sample size.

NOTE: Material chosen should NOT include any VA Form 21-693, Diary Slip,
nor VA Form 3770, Requisition for Numbered Folder.

**5. Listing Control Digits**

Procedures outlined in M23-1, part I, paragraph 17.18g, for listing
control digits must be followed in order to obtain the appropriate
required sample size.

**6. Measurement of Timeliness**

a\. On the sampling workday once the search has been completed, the mail
attached, and flashes cleared, the mail listed on VA Form 23-8409 (5
workdays before) must be compared with the searchers\' listing or charge
cards to determine if the mail has been attached. Use error code 00 to
identify active mail not attached within 5 workdays from the date of
listing.

b\. The AQL (Acceptable Quality Level) for timeliness is 5.00 errors per
100 pieces of unattached active mail.

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M23-1, Part I March 7, 1994

Appendix A

Change 87

**7. Preparation of VA Form 23-8409, Quality Worksheet**

Use VA Form 23-8409 to list the randomly selected sample of unattached
mail (5 workdays in advance of the sampling workday), and to record the
timeliness review findings. Instructions for completing this form are as
follows:

a\. Heading

\(1\) Sampling Workday Plan \-- Enter number of plan and frequency of
review; e.g., Plan 2 - Weekly Review.

\(2\) Listing Control Digit(s) \-- Enter listing control digit(s); e.g.,
6, 37 and 38 for a 12 percent sample.

\(3\) Date \-- Enter month, day, and year review is made.

\(4\) Type of Work Unit and Quality Indicator(s) \-- Enter \"Unattached
Active Mail.\"

\(5\) Last File No. Assigned \-- Enter last file number assigned by
BIRLS on the 6th workday immediately preceding the sampling workday;
e.g., 28 739 626.

\(6\) Initials \-- Enter initials of person making the review.

b\. Work Unit Identification

\(1\) Column (A), Work Unit File Number \-- Enter file number of each
piece of unattached active mail selected.

\(2\) Column (B), Category Code \-- Leave blank.

c\. Timeliness

\(1\) Column (C), Date Received \-- Enter date of receipt for each piece
of unattached active mail listed.

\(2\) Column (D), Date Released \-- Leave blank.

\(3\) Column (E), Lapsed Time (Workdays) \-- Enter \"Attached\" for any
mail that does not appear on the search list, or the related charge card
shows \"flash killed.\" Enter \"Unattached\" for mail that DOES appear
on the search, or where there is NO evidence of attachment on the charge
card.

\(4\) Column (F), Error Code \-- Enter check mark under error code 00 if
active mail not attached within 5 workdays for date of listing; i.e., if
\"unattached\" enter in column (E).

d\. Accuracy

Column (G), Error Code \-- Leave blank.

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March 7, 1994 M23-1, Part I

Appendix A

Change 87

**8. Validation**

a\. The validation procedures outlined in M23-1, part I, paragraph
17.18o, are applicable for ensuring the timeliness of processing
unattached active mail.

b\. Postaudits covering each review should be conducted regularly to
validate the reliability of each review. Audit findings will be recorded
on the reverse side of the VA Form 23-8409. These worksheets will be
retained for review by Central Office survey specialists.

c\. The Administrative Support Staff may periodically conduct postaudits
of reported timeliness findings. Any discrepancies found will be brought
to the attention of division and station management.

13A-5