### Section G. Transfer of Folders Subject to Review by the United States Court of Appeals for Veterans Claims (CAVC)

#### Overview

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

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

  29           Transferring Folders During the Special        5-G-2
               Handling Period                                

  30           Docketed Appeals                               5-G-6
  ------------ ---------------------------------------------- ------------

#### 29. Transferring Folders During the Special Handling Period

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about the transfer of |
| troduction | > folders during the special handling period for        |
|            | > folders subject to review by the United States Court  |
|            | > of Appeals for Veterans Claims (CAVC). It includes    |
|            |                                                         |
|            | -   mail policy information, and                        |
|            |                                                         |
|            | -   information on                                      |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   permanent transfers                                 |
|            |                                                         |
|            | -   temporary transfers, and                            |
|            |                                                         |
|            | -   the transfer process.                               |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #####      | > The 150-day period following a Board of Veterans      |
| a. What is | > Appeals (BVA) decision is considered a "special       |
|  the Speci | > handling" period for the transfer of any claims       |
| al Handlin | > folders that are subject to review by the United      |
| g Period?  | > States Court of Appeals for Veterans Claims (CAVC).   |
|            | >                                                       |
|            | > Take special care and follow prescribed procedures    |
|            | > when handling such folders during this time period.   |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > During the 150-day period following a BVA decision,   |
| #### b. Ma | > carry out any transfer of a claims folder that is     |
| il Policy  | > subject to review by CAVC via                         |
| During Spe |                                                         |
| cial Handl | -   overnight mail, or                                  |
| ing Period |                                                         |
|            | -   express mail.                                       |
|            |                                                         |
|            | > ***Reference***: For instructions on maintaining      |
|            | > folders in the regional office (RO), see M21-1MR,     |
|            | > Part III, Subpart ii, 4.I.28.                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > During the 150-day period following a BVA decision,   |
| # c. Perma | > make sure a temporary file accompanies a claims       |
| nent Trans | > folder that is being permanently transferred to       |
| fers Durin | > another RO.                                           |
| g the Spec | >                                                       |
| ial Handli | > ***Result***: The receiving RO will                   |
| ng Period  |                                                         |
|            | -   store the claims folder in its BVA secured area,    |
|            |     and                                                 |
|            |                                                         |
|            | -   establish a local control to return the claims      |
|            |     folder to regular storage on the date indicated by  |
|            |     BVA.                                                |
|            |                                                         |
|            | > ***Reference***: For more information, see M21-1MR,   |
|            | > Part III, Subpart ii, 4.I.28.                         |
+------------+---------------------------------------------------------+

Continued on next page

29\. Transferring Folders During the Special Handling Period, Continued

+------------+---------------------------------------------------------+
| ##         | > During the special handling period, claims folders    |
| ### d. Tem | > may *only* be temporarily transferred to              |
| porary Tra |                                                         |
| nsfer Duri | -   another RO                                          |
| ng the Spe |                                                         |
| cial Handl | -   BVA                                                 |
| ing Period |                                                         |
|            | -   General Counsel (GC), or                            |
|            |                                                         |
|            | -   VA central offices of                               |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   Compensation and Pension (C&P)                      |
|            |                                                         |
|            | -   Education, or                                       |
|            |                                                         |
|            | -   Vocational Rehabilitation and Counseling Service    |
|            |     (VR&C).                                             |
|            |                                                         |
|            | > ***Note***: Whenever possible, the RO should limit    |
|            | > temporary transfer to the temporary file. If          |
|            | > necessary, the RO may send the claims folder.         |
|            | >                                                       |
|            | > ***Important***: Do *not* temporarily transfer        |
|            | > folders anywhere else, including VA medical centers.  |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Before temporarily transferring a claims folder to    |
| # e. Tempo | > CO, the RO coordinates the transfer with the          |
| rary Trans |                                                         |
| fers to CO | -   Policy staff (211)                                  |
|            |                                                         |
|            | -   Education Service Program Administration staff, or  |
|            |                                                         |
|            | -   Director of the VR&E Service.                       |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### f. T | > When files are temporarily transferred between ROs,   |
| emporary T | > the receiving RO                                      |
| ransfers B |                                                         |
| etween ROs | -   stores the claims folder in its BVA secured area,   |
|            |     and                                                 |
|            |                                                         |
|            | -   does not establish a control for return of the      |
|            |     claims folder to the main file bank.                |
|            |                                                         |
|            | > Before returning the claims folder to the originating |
|            | > RO, the VSCM or acting VSCM certifies that while      |
|            | > his/her RO maintained the folder, no material was     |
|            | > added to, or deleted from, the record that is subject |
|            | > to review by CAVC.                                    |
+------------+---------------------------------------------------------+

Continued on next page

29\. Transferring Folders During the Special Handling Period, Continued

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| ###        | > Do *not* refer controlled folders to VA Central       |
| ## g. Qual | > Office (VACO) for quality review. If a quality review |
| ity Review | > request list includes a controlled folder, contact    |
|            | > the appropriate service to have the list amended.     |
|            | >                                                       |
|            | > ***Note***: Folders may be sent to BVA based on a     |
|            | > telephone request from the office of the              |
|            |                                                         |
|            | -   Chairman, or                                        |
|            |                                                         |
|            | -   Director of the Administrative Support Staff.       |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### h    | > The table below describes the process for             |
| . Transfer | > transferring a claims folder between ROs during the   |
|  Process B | > special handling period.                              |
| etween ROs |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Stage | Description                                                  |
+-------+--------------------------------------------------------------+
| 1     | Prior to mailing the claims folder, the sending RO advises   |
|       | the receiving RO of the pending transfer via email or        |
|       | telephone.                                                   |
+-------+--------------------------------------------------------------+
| 2     | The Veterans Service Center Manager (VSCM) or acting VSCM at |
|       | the sending RO (or the Chief or the reviewing staff at CO)   |
|       | certifies over his/her signature that, while the claims      |
|       | folder was maintained at that RO, no material was added to   |
|       | or deleted from the record that is subject to review by      |
|       | CAVC.                                                        |
|       |                                                              |
|       | ***Note***: The VSCM                                         |
|       |                                                              |
|       | -   may *not* delegate certification to a lower authority,   |
|       |     and                                                      |
|       |                                                              |
|       | -   must enter the certification in the space provided on    |
|       |     the file insert that BVA has placed on the center flap   |
|       |     of the folder.                                           |
+-------+--------------------------------------------------------------+
| 3     | The sending RO                                               |
|       |                                                              |
|       | -   addresses the folder to the VSCM (21) at the receiving   |
|       |     RO, and                                                  |
|       |                                                              |
|       | -   annotates the folder with "*Do Not Open In Mail Room*."  |
+-------+--------------------------------------------------------------+

Continued on next page

29\. Transferring Folders During the Special Handling Period, Continued

  -----------------------------------------------------------------------
  h\. Transfer Process Between ROs (continued)

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

+-------+--------------------------------------------------------------+
| Stage | Description                                                  |
+-------+--------------------------------------------------------------+
| 4     | The VSCM at each RO                                          |
|       |                                                              |
|       | -   alerts the administrative activity of the priority of    |
|       |     these claims folders, and                                |
|       |                                                              |
|       | -   makes special arrangements for hand delivery from the    |
|       |     mailroom to the VSCM.                                    |
+-------+--------------------------------------------------------------+
| 5     | The sending RO transfers the folder.                         |
+-------+--------------------------------------------------------------+
| 6     | If the receiving RO has not received the claims folder after |
|       | two workdays, the receiving RO alerts the sending RO.        |
|       |                                                              |
|       | ***Result***: The sending RO receives the alert and          |
|       | initiates follow-up action.                                  |
+-------+--------------------------------------------------------------+

#### 30. Docketed Appeals

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about the transfer of |
| troduction | > claims with docketed appeals. It includes information |
|            | > on                                                    |
|            |                                                         |
|            | -   the transfer process, and                           |
|            |                                                         |
|            | -   decisions requiring specific action.                |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #####      | > The table below describes the process that occurs     |
|  a. Transf | > after CAVC dockets an appeal.                         |
| er Process |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Stage | Description                                                  |
+-------+--------------------------------------------------------------+
| 1     | GC faxes a request to the RO of jurisdiction for transfer of |
|       | the claims folder.                                           |
+-------+--------------------------------------------------------------+
| 2     | The RO                                                       |
|       |                                                              |
|       | -   cancels its pending local special handling control, and  |
|       |                                                              |
|       | -   forwards the claims folder to GC immediately.            |
+-------+--------------------------------------------------------------+
| 3     | The RO reviews the temporary file to ensure it contains      |
|       | copies of any material that the office might need for claims |
|       | processing during the intervening period.                    |
|       |                                                              |
|       | ***Rationale***: The claims folder is unavailable to the RO  |
|       | for an extended period.                                      |
+-------+--------------------------------------------------------------+
| 4     | The RO stores the temporary file in the main file bank.      |
+-------+--------------------------------------------------------------+

Continued on next page

30\. Docketed Appeals, Continued

+------------+---------------------------------------------------------+
| ####       | > The table below describes what happens to claims      |
| # b. Decis | > folders after CAVC issues a decision.                 |
| ions Requi |                                                         |
| ring Speci |                                                         |
| fic Action |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Stage | Description                                                  |
+-------+--------------------------------------------------------------+
| 1     | Does CAVC issue a decision that requires VA to take specific |
|       | action?                                                      |
|       |                                                              |
|       | -   If *yes*, go to Stage 2.                                 |
|       |                                                              |
|       | -   If *no*, go to Stage 3.                                  |
+-------+--------------------------------------------------------------+
| 2     | If CAVC issues a decision that *requires* VA to take         |
|       | specific action                                              |
|       |                                                              |
|       | -   the GC transfers the claims folder and a copy of the     |
|       |     decision to BVA for appropriate action, and              |
|       |                                                              |
|       | -   the process continues with Stage 4.                      |
+-------+--------------------------------------------------------------+
| 3     | If CAVC declines jurisdiction or issues a decision that      |
|       | *does not* *require* VA to take specific action, GC          |
|       |                                                              |
|       | -   removes from the claims folder the                       |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   outside label                                            |
|       |                                                              |
|       | -   file inserts, and                                        |
|       |                                                              |
|       | -   BVA tabs, and                                            |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   returns the folder to the office of jurisdiction using   |
|       |     routine transfer procedures.                             |
+-------+--------------------------------------------------------------+
| 4     | The RO                                                       |
|       |                                                              |
|       | -   transfers any record material in the temporary file to   |
|       |     the claims folder                                        |
|       |                                                              |
|       | -   destroys the temporary file under current directives,    |
|       |     and                                                      |
|       |                                                              |
|       | -   stores the claims folder in the main file bank.          |
+-------+--------------------------------------------------------------+