### Section E. Permanent Transfer-Out or Transfer-In of Claims Folders 

#### Overview

+------------+---------------------------------------------------------+
| #          | > This section contains the following topics:           |
| #### In th |                                                         |
| is Section |                                                         |
+------------+---------------------------------------------------------+

  ------------ ---------------------------------------------- ------------
  Topic        Topic Name                                     See Page

  18           Requests for Permanent Transfer-Out            5-E-2

  19           General Policies for Permanent Transfer-In     5-E-6

  20           Transfer Requests for Veterans' Claims Folders 5-E-7
               From a Federal Records Center                  

  21           Receipt of Requested Folders                   5-E-9

  22           Unsolicited Transfers and Dual Benefit Cases   5-E-11
  ------------ ---------------------------------------------- ------------

#### 18. Requests for Permanent Transfer-Out

+------------+---------------------------------------------------------+
| ##### In   | > This section contains information on requests for the |
| troduction | > permanent transfer-out of claims folders. It includes |
|            | > information on                                        |
|            |                                                         |
|            | -   methods for requesting a permanent transfer-out     |
|            |                                                         |
|            | -   handling Control of Veterans Records System         |
|            |     (COVERS) transfer requests                          |
|            |                                                         |
|            | -   the procedure for handling permanent transfer-out   |
|            |     requests                                            |
|            |                                                         |
|            | -   folders containing unanswered correspondence or     |
|            |     pending issues, and                                 |
|            |                                                         |
|            | -   the role of the file clerk.                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > November 15, 2004                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > Requests for the permanent transfer-out of claims     |
| a. Methods | > folders may be made                                   |
|  for Reque |                                                         |
| sting a Pe | -   via telephone contacts with other regional offices  |
| rmanent Tr |     (RO)                                                |
| ansfer-Out |                                                         |
|            | -   by personnel at the transferring RO, and            |
|            |                                                         |
|            | -   via the Control of Veterans Records System          |
|            |     (COVERS).                                           |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > Transfer requests are processed through COVERS. For   |
| ### b. Han | > further information on this process, see the          |
| dling COVE |                                                         |
| RS Transfe | -   *COVERS User Guide,* Chapter 5 at                   |
| r Requests |                                                         |
|            | http://152.124.238.193/bl/21/publicat/Users/Index.htm - |
|            |     bmc, or                                             |
|            |                                                         |
|            | -   RO COVERS instructions.                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Follow the steps in the table below to handle a       |
| # c. Proce | > request for the permanent transfer-out of a claims    |
| dure for H | > folder.                                               |
| andling Pe |                                                         |
| rmanent Tr |                                                         |
| ansfer-Out |                                                         |
|  Requests  |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Forward the request to the Files activity.                   |
+-------+--------------------------------------------------------------+
| 2     | > Wait for the Files activity to pull the folder.            |
+-------+--------------------------------------------------------------+
| 3     | -   Staple a copy of the COVERS transfer slip to the front   |
|       |     of the folder, and                                       |
|       |                                                              |
|       | -   highlight the claim number and destination of the        |
|       |     folder.                                                  |
+-------+--------------------------------------------------------------+

Continued on next page

18\. Requests for Permanent Transfer-Out, Continued

  -----------------------------------------------------------------------
  c\. Procedure for Handling Permanent Transfer-Out Requests (continued)

  -----------------------------------------------------------------------

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 4     | Review the folder for                                        |
|       |                                                              |
|       | -   unanswered correspondence, or                            |
|       |                                                              |
|       | -   pending issues.                                          |
+-------+--------------------------------------------------------------+
| 5     | Is there unanswered correspondence or a pending issue?       |
|       |                                                              |
|       | -   If *yes*                                                 |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   review the file, and                                     |
|       |                                                              |
|       | -   follow the procedure outlined in M21-1MR, Part III,      |
|       |     Subpart ii, 5.E.18.d.                                    |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If *no*, transfer the file immediately.                  |
+-------+--------------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > Follow the steps in the table below to handle a       |
| #### d. Fo | > claims folder with                                    |
| lders Cont |                                                         |
| aining Una | -   unanswered correspondence, or                       |
| nswered Co |                                                         |
| rresponden | -   a pending issue.                                    |
| ce or Pend |                                                         |
| ing Issues |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | If possible                                                  |
|       |                                                              |
|       | -   answer any unanswered correspondence, or                 |
|       |                                                              |
|       | -   process any pending claim.                               |
+-------+--------------------------------------------------------------+
| 2     | If it is not possible to process the claim because           |
|       | development is needed                                        |
|       |                                                              |
|       | -   annotate "Adjudication action pending" on *VA Form       |
|       |     70-7216a*                                                |
|       |                                                              |
|       | -   cancel the pending issue, and                            |
|       |                                                              |
|       | -   reverse file the pending mail in the middle section of   |
|       |     the claims folder.                                       |
+-------+--------------------------------------------------------------+
| 3     | If it is not possible to complete a pending appeal because   |
|       | additional action is needed                                  |
|       |                                                              |
|       | -   annotate "Appeal pending" on *VA Form 70-7216a*          |
|       |                                                              |
|       | -   update VACOLS to reflect the new location of the appeals |
|       |     record                                                   |
+-------+--------------------------------------------------------------+

Continued on next page

18\. Requests for Permanent Transfer-Out, Continued

  -----------------------------------------------------------------------
  d\. Folders Containing Unanswered Correspondence or Pending Issues
  (continued)

  -----------------------------------------------------------------------

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 4     | Is there a request for a physical examination at a VA        |
|       | medical facility pending?                                    |
|       |                                                              |
|       | -   If *yes*, notify the appropriate outpatient activity by  |
|       |     telephone to cancel the request.                         |
|       |                                                              |
|       | -   If *no*, go to Step 5.                                   |
+-------+--------------------------------------------------------------+
| 5     | Does a review of the claims folder reveal that another       |
|       | Veterans Service Center Manager (VSCM) has jurisdiction of a |
|       | fiduciary in the case?                                       |
|       |                                                              |
|       | -   If *yes*                                                 |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   annotate the COVERS transfer slip with the location of   |
|       |     the VSCM having jurisdiction,                            |
|       |                                                              |
|       | -   notify that VSCM of the transfer of records by sending a |
|       |     copy of the COVERS transfer slip, and                    |
|       |                                                              |
|       | -   go to Step 6.                                            |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If *no*, go to Step 6.                                   |
+-------+--------------------------------------------------------------+
| 6     | Is there a CER file (Chapter 31) to be transferred out with  |
|       | the claims folder?                                           |
|       |                                                              |
|       | -   If *yes*                                                 |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   review the file for the existence of a running award     |
|       |                                                              |
|       | -   notify the Vocational Rehabilitation and Employment      |
|       |     (VR&E) Division by telephone of the transfer, since      |
|       |     award action may be necessary, and                       |
|       |                                                              |
|       | -   go to Step 7.                                            |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If *no*, go to Step 7.                                   |
+-------+--------------------------------------------------------------+
| 7     | > Staple the COVERS transfer slip to the front of the claims |
|       | > folder.                                                    |
+-------+--------------------------------------------------------------+
| 8     | -   Send one copy to the Files activity for posting of the   |
|       |     charge card, and                                         |
|       |                                                              |
|       | -   place another copy in the middle section of the claims   |
|       |     folder.                                                  |
|       |                                                              |
|       | > ***Note***: If other files are being transferred with the  |
|       | > claims folder, place a copy in these files.                |
+-------+--------------------------------------------------------------+

Continued on next page

18\. Requests for Permanent Transfer-Out, Continued

+------------+---------------------------------------------------------+
| #          | > When the file clerk receives the COVERS transfer slip |
| #### e. Ro | > in the file room, he/she annotates the charge card    |
| le of the  | > with                                                  |
| File Clerk |                                                         |
|            | -   "*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.                                             |
+------------+---------------------------------------------------------+

#### 19. General Policies for Permanent Transfer-In

+------------+---------------------------------------------------------+
| ##### In   | > This section contains general policy information on   |
| troduction | > the permanent transfer-in of claims folders. It       |
|            | > includes                                              |
|            |                                                         |
|            | -   policy information regarding requests, and          |
|            |                                                         |
|            | -   information about                                   |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   making requests, and                                |
|            |                                                         |
|            | -   the Control of Veterans Records System (COVERS).    |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > November 15, 2004                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Requests for the permanent transfer-in of claims      |
| # a. Makin | > folders can be made to                                |
| g Requests |                                                         |
|            | -   other regional offices (ROs)                        |
|            |                                                         |
|            | -   the Records Management Center (RMC), or             |
|            |                                                         |
|            | -   Federal Records Centers (FRCs).                     |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > *Use care* when requesting folders.                   |
| ## b. Requ | >                                                       |
| est Policy | > Cancellation of erroneous requests to other ROs must  |
|            | > occur by telephone. Folders requested in error from   |
|            | > the RMC or an FRC                                     |
|            |                                                         |
|            | -   *cannot* be returned, and                           |
|            |                                                         |
|            | -   must be retained by the RO.                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > For permanent transfers of claims and Notice of Death |
| c. Using C | > (NOD) folders, see                                    |
| OVERS for  |                                                         |
| the Transf | -   the *COVERS User Guide*, Chapter 5, at              |
| er of Clai |                                                         |
| ms Folders | http://152.124.238.193/bl/21/publicat/Users/Index.htm - |
|            |     bmc, or                                             |
|            |                                                         |
|            | -   RO COVERS instructions.                             |
+------------+---------------------------------------------------------+

#### 20. Transfer Requests for Veterans' Claims Folders From a Federal Records Center

+------------+---------------------------------------------------------+
| ##### In   | > This section contains information on transfer         |
| troduction | > requests for veterans' claims folders from a FRC. It  |
|            | > includes information on                               |
|            |                                                         |
|            | -   FRC locations                                       |
|            |                                                         |
|            | -   the request process, and                            |
|            |                                                         |
|            | -   second requests.                                    |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > November 15, 2004                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > The table below contains the locations of the FRCs    |
| ### a. FRC | > and their corresponding regional offices (RO).        |
|  Locations |                                                         |
+------------+---------------------------------------------------------+

+----------------------------------+-----------------------------------+
| FRC                              | VA Regional Office                |
+----------------------------------+-----------------------------------+
| Chicago, IL (050)                | Chicago, IL (328)                 |
+----------------------------------+-----------------------------------+
| Dayton, OH (051)                 | Cleveland, OH (325)               |
+----------------------------------+-----------------------------------+
| Denver, CO (080)                 | Denver, CO (339)                  |
+----------------------------------+-----------------------------------+
| East Point, GA (040)             | Atlanta, GA (316)                 |
+----------------------------------+-----------------------------------+
| Fort Worth, TX (070)             | Waco, TX (349)                    |
+----------------------------------+-----------------------------------+
| Kansas City, MO (060)            | Wichita, KS (452)                 |
+----------------------------------+-----------------------------------+
| Laguna Niguel, CA (091)          | Los Angeles, CA (344)             |
+----------------------------------+-----------------------------------+
| NPRC, St. Louis, MO:             | St. Louis, MO (331)               |
|                                  |                                   |
| -   Civilian (061), or           |                                   |
|                                  |                                   |
| -   Military (062)               |                                   |
+----------------------------------+-----------------------------------+
| Philadelphia, PA (021)           | Philadelphia, PA (310)            |
+----------------------------------+-----------------------------------+
| Bayonne, NJ (020)                | Newark, NJ (309)                  |
+----------------------------------+-----------------------------------+
| San Bruno, CA (090)              | San Francisco, CA (343)           |
+----------------------------------+-----------------------------------+
| Seattle, WA (100)                | Seattle, WA (340)                 |
+----------------------------------+-----------------------------------+
| Suitland, MA (030)               | Washington, D.C. (372)            |
+----------------------------------+-----------------------------------+
| Waltham, MA (010)                | Boston, MA (301)                  |
|                                  |                                   |
| Pittsfield, MA (011)             |                                   |
+----------------------------------+-----------------------------------+

Continued on next page

20\. Transfer Requests for Veterans' Claims Folders From a Federal
Records Center, Continued

+------------+---------------------------------------------------------+
| ####       | > The table below describes the process for requesting  |
| # b. Reque | > a veteran's claims folder located at an FRC.          |
| st Process |                                                         |
+------------+---------------------------------------------------------+

  -------- --------------------------------------------------------------
  Stage    Description

  1        Using COVERS, send the transfer request to the RO that is
           nearest the FRC where the folder is located.

  2        The RO nearest the FRC batches and delivers the messages to
           the FRC.

  3        The FRC sends the folder directly to the requesting RO.
  -------- --------------------------------------------------------------

+------------+---------------------------------------------------------+
| ####       | > If the folder is not received within ten days of the  |
| # c. Secon | > original request, process a second request using      |
| d Requests | > COVERS.                                               |
|            | >                                                       |
|            | > ***Reference***: For information on using COVERS to   |
|            | > process a second request, see the *COVERS User Guide* |
|            | > at                                                    |
|            | >                                                       |
|            | http://152.124.238.193/bl/21/publicat/Users/Index.htm - |
|            | > bmc.                                                  |
+------------+---------------------------------------------------------+

#### 21. Receipt of Requested Folders

+------------+---------------------------------------------------------+
| ##### In   | > This section contains information on the receipt of   |
| troduction | > requested folders. It includes information on         |
|            |                                                         |
|            | -   receipt of folders                                  |
|            |                                                         |
|            | -   identifying requested folders                       |
|            |                                                         |
|            | -   guidelines for processing requested folders, and    |
|            |                                                         |
|            | -   charge cards and pending mail.                      |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > November 15, 2004                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a    | > The receipt of folders from the RMC or FRCs should    |
| . Receipt  | > result from a specific request from the RO.           |
| of Folders | >                                                       |
|            | > Folders received from other ROs, however, may         |
|            |                                                         |
|            | -   have been requested, or                             |
|            |                                                         |
|            | -   be the result of an unsolicited request.            |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Claims folders requested from other ROs have a COVERS |
| # b. Ident | > transfer slip stapled to the front of the folder.     |
| ification  |                                                         |
| of Request |                                                         |
| ed Folders |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c    | > To process requested folders upon receipt, follow the |
| . Processi | > steps in Chapter 3 of the *COVERS User Guide* at      |
| ng Request | >                                                       |
| ed Folders | http://152.124.238.193/bl/21/publicat/Users/Index.htm - |
|            | > bmc.                                                  |
+------------+---------------------------------------------------------+

Continued on next page

21\. Receipt of Requested Folders, Continued

+------------+---------------------------------------------------------+
| ##### d.   | > If the reason for transfer is "*transfer request*,"   |
|  Charge Ca | > pending mail should exist.                            |
| rds and Pe | >                                                       |
| nding Mail | > Use the table below to handle pending mail.           |
+------------+---------------------------------------------------------+

+----------------------+-----------------------------------------------+
| If a charge card ... | Then ...                                      |
+----------------------+-----------------------------------------------+
| was prepared, and    | -   attach the mail to the folder             |
| sent to the Files    |                                               |
| activity at the time | -   update the LOC screen, and                |
| the folder was       |                                               |
| requested            | -   recharge the folder to the appropriate    |
|                      |     individual by completing a *VA Form       |
|                      |     20-3770a, Notification of Recharge of     |
|                      |     Numbered Folder*, advising the Files      |
|                      |     activity                                  |
|                      |                                               |
|                      | ```{=html}                                    |
|                      | <!-- -->                                      |
|                      | ```                                           |
|                      | -   that the folder was received, and         |
|                      |                                               |
|                      | -   where the folder was routed.              |
+----------------------+-----------------------------------------------+
| is prepared on       | -   attach the mail to the folder             |
| receipt of the       |                                               |
| folder               | -   update COVERS                             |
|                      |                                               |
|                      | -   annotate the charge card to show the      |
|                      |     individual or element where the folder is |
|                      |     sent, and                                 |
|                      |                                               |
|                      | -   send the updated charge card to the Files |
|                      |     activity.                                 |
+----------------------+-----------------------------------------------+

#### 22. Unsolicited Transfers and Dual Benefit Cases

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on unsolicited        |
| troduction | > transfers and dual benefit cases. It includes         |
|            | > information on                                        |
|            |                                                         |
|            | -   the review of unsolicited transfers                 |
|            |                                                         |
|            | -   improper transfers, and                             |
|            |                                                         |
|            | -   dual benefit cases.                                 |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### Ch   | > November 15, 2004                                     |
| ange Date  |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a. R | > Review all unsolicited transfers to ensure they are   |
| eview of U | > proper.                                               |
| nsolicited |                                                         |
|  Transfers |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b    | > If a transfer is improper                             |
| . Improper |                                                         |
|  Transfers | -   return the claims folder to the transferring RO,    |
|            |     and                                                 |
|            |                                                         |
|            | -   show the reason for transfer as "improper transfer, |
|            |     jurisdiction refused."                              |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c    | > If a beneficiary receives benefits involving two      |
| . Dual Ben | > claims folders                                        |
| efit Cases |                                                         |
|            | -   keep the folders together, and                      |
|            |                                                         |
|            | -   do *not* transfer one folder without the other.     |
+------------+---------------------------------------------------------+