## Section B. Job Functions and Responsibilities

#### Overview

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

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

  5           Responsibilities of the Field Examiner (FE)     1-B-2

  6           Field Examiner Responsibilities for Field       1-B-5
              Examination Interviews                          

  7           Responsibilities of the Legal Instruments       1-B-7
              Examiner (LIE)                                  

  8           Responsibilities Regarding the Release of       1-B-11
              Information                                     

  9           Coordination with Veterans Health               1-B-15
              Administration (VHA)                            
  ----------- ----------------------------------------------- -----------

#### 5. Responsibilities of the Field Examiner (FE)

+------------+---------------------------------------------------------+
| ##### Int  | > This topic contains information on the                |
| roduction  | > responsibilities of the Field Examiner (FE). It       |
|            | > includes information on                               |
|            |                                                         |
|            | -   fulfilling the FE's duty to                         |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   represent the Department of Veterans Affairs (VA)   |
|            |     and the Secretary, and                              |
|            |                                                         |
|            | -   protect the rights of VA beneficiaries and the      |
|            |     Federal Government                                  |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   selecting the methods of payment                    |
|            |                                                         |
|            | -   determining and qualifying the best-suited          |
|            |     fiduciary                                           |
|            |                                                         |
|            | -   appointing and instructing a fiduciary              |
|            |                                                         |
|            | -   developing facts and taking necessary action        |
|            |                                                         |
|            | -   determining the frequency and timing of             |
|            |     examinations                                        |
|            |                                                         |
|            | -   ensuring proper use of funds and welfare of         |
|            |     beneficiary                                         |
|            |                                                         |
|            | -   investigating allegations of misuse                 |
|            |                                                         |
|            | -   conducting onsite reviews                           |
|            |                                                         |
|            | -   investigating non-fiduciary matters and making      |
|            |     judgments regarding evidence, and                   |
|            |                                                         |
|            | -   administering oaths.                                |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > July 13, 2005                                         |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > In carrying out assigned responsibilities, the Field  |
| a. Duty to | > Examiner (FE) represents the Department of Veterans   |
|  Represent | > Affairs (VA) and the Secretary.                       |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > Authority is given for on-site decision making and    |
|  b. Duty t | > unilateral initiation of action to protect the rights |
| o Protect  | > of                                                    |
|            |                                                         |
|            | -   VA beneficiaries, and                               |
|            |                                                         |
|            | -   the Federal Government.                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The FE is responsible for                             |
| c. Determi |                                                         |
| ning Capac | -   developing facts to determine the extent to which   |
| ity to Han |     the beneficiary has the capacity to handle benefits |
| dle Benefi |     payable, in adult beneficiary cases, and            |
| t Payments |                                                         |
|            | -   establishing a method of payment appropriate to the |
|            |     beneficiary's situation, in minor *and* adult       |
|            |     beneficiary cases.                                  |
+------------+---------------------------------------------------------+

Continued on next page

5\. Responsibilities of the Field Examiner (FE), Continued

+------------+---------------------------------------------------------+
| ##### d.   | > The FE is responsible for making a determination as   |
| Determinin | > to                                                    |
| g and Qual |                                                         |
| ifying the | -   the type of payment method best suited to the       |
|  Fiduciary |     beneficiary's situation, and                        |
|            |                                                         |
|            | -   a prospective fiduciary's qualifications, when a    |
|            |     fiduciary is appointed.                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### e    | > The FE is responsible for                             |
| . Appointi |                                                         |
| ng and Ins | -   appointing or securing the appointment of a         |
| tructing a |     fiduciary, which may include recognizing an         |
|  Fiduciary |     existing fiduciary                                  |
|            |                                                         |
|            | -   instructing the fiduciary in his/her duties         |
|            |                                                         |
|            | -   authorizing use of VA benefit payments, and         |
|            |                                                         |
|            | -   negotiating a commission with a Federal fiduciary,  |
|            |     when appropriate.                                   |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The FE is responsible for developing facts and taking |
| # f. Devel | > necessary action on matters of                        |
| oping Fact |                                                         |
| s and Taki | -   verifying the custody of a minor beneficiary        |
| ng Necessa |                                                         |
| ry Action  | -   fund usage                                          |
|            |                                                         |
|            | -   the beneficiary's welfare                           |
|            |                                                         |
|            | -   the needs of dependents, and                        |
|            |                                                         |
|            | -   other benefits to which the beneficiary or his/her  |
|            |     dependents may be entitled.                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The FE is responsible for making a decision on the    |
|  g. Freque | > frequency and timing of field examinations with minor |
| ncy and Ti | > and adult beneficiaries.                              |
| ming of Ex |                                                         |
| aminations |                                                         |
+------------+---------------------------------------------------------+

Continued on next page

5\. Responsibilities of the Field Examiner (FE), Continued

+------------+---------------------------------------------------------+
| ####       | > The FE is responsible for taking independent          |
| # h. Ensur | > corrective action immediately, when appropriate, to   |
| ing Proper | > ensure the                                            |
|  Use of Fu |                                                         |
| nds and We | -   proper use of VA/beneficiary funds, and             |
| lfare of B |                                                         |
| eneficiary | -   welfare of the beneficiary.                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: This may include                                        |
|                                                                       |
| -   a change of fiduciaries                                           |
|                                                                       |
| -   referrals to other divisions or agencies, and                     |
|                                                                       |
| -   other actions within the scope of the FE's duties to address      |
|     problems identified.                                              |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The FE is responsible for investigating allegations   |
| # i. Inves | > of misuse made against a fiduciary. These allegations |
| tigating A | > may be made by the beneficiary, any other interested  |
| llegations | > party, or through VA discovery. Evidence must be      |
|  of Misuse | > thoroughly developed and documented to facilitate an  |
|            | > official determination as to whether misuse has       |
|            | > occurred.                                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The FE is responsible for periodic onsite reviews of  |
| # j. Condu | > certain fiduciaries serving multiple VA               |
| cting Onsi | > beneficiaries. The purpose of the review is to ensure |
| te Reviews | > these fiduciaries are performing their duties         |
|            | > satisfactorily and to protect beneficiaries from      |
|            | > misuse of their benefits by the fiduciaries.          |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The FE is responsible for                             |
|  k. Invest |                                                         |
| igating No | -   investigating other matters arising under laws      |
| n-Fiduciar |     administered by or affecting VA, and                |
| y Matters  |                                                         |
| and Making | -   making a judgment as to the evidence needed by the  |
|  Judgments |     requesting authority to make its decision, and      |
|  Regarding |     obtaining and providing that evidence.              |
|  Evidence  |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### l.   | > When necessary in the performance of duty, the FE is  |
|  Administe | > responsible for                                       |
| ring Oaths |                                                         |
|            | -   administering oaths, and                            |
|            |                                                         |
|            | -   taking sworn statements.                            |
+------------+---------------------------------------------------------+

#### 6. Field Examiner Responsibilities for Field Examination Interviews

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information regarding the         |
| troduction | > responsibilities of the FE with respect to field      |
|            | > examination interviews. It includes information on    |
|            |                                                         |
|            | -   the place of interviews                             |
|            |                                                         |
|            | -   the interviewer's duty to accommodate the           |
|            |     interviewee                                         |
|            |                                                         |
|            | -   when to schedule an interview appointment           |
|            |                                                         |
|            | -   determining the necessity of an interview, and      |
|            |                                                         |
|            | -   the requirement for confidentiality regarding the   |
|            |     interview.                                          |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > February 2, 2005                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > Interviews with beneficiaries and other interested    |
|  Place of  | > parties must be conducted at                          |
| Interviews |                                                         |
|            | -   the home                                            |
|            |                                                         |
|            | -   the place of business, or                           |
|            |                                                         |
|            | -   another place that will suit the convenience of the |
|            |     person interviewed.                                 |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Interviews must be conducted in a manner that will    |
| # b. Duty  | > *not* cause the interviewee                           |
| to Accommo |                                                         |
| date the I | -   loss of earnings                                    |
| nterviewee |                                                         |
|            | -   expense, or                                         |
|            |                                                         |
|            | -   embarrassment.                                      |
+------------+---------------------------------------------------------+

Continued on next page

6\. Field Examiner Responsibilities for Field Examination Interviews,
Continued

+------------+---------------------------------------------------------+
| ####       | > Appointments for interviews *may* be scheduled        |
| # c. Sched |                                                         |
| uling an I | -   when the person to be interviewed has not been seen |
| nterview A |     for some time (for example, if the interviewee has  |
| ppointment |     missed appointments or disappeared)                 |
|            |                                                         |
|            | -   for reasons of economy or to save time              |
|            |                                                         |
|            | -   for non-program field examinations                  |
|            |                                                         |
|            | -   for the convenience of the fiduciary, or            |
|            |                                                         |
|            | -   for the safety of the FE.                           |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: A FE must use reasoned judgment to determine the value  |
| > of a scheduled visit as opposed to an unannounced visit.            |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > When determining whether to make an appointment for a |
| #### d. De | > field examination and selecting a location for the    |
| termining  | > meeting, the FE must consider the facts known about   |
| the Necess | > the case.                                             |
| ity of Sch |                                                         |
| eduling an | > ***Example***: The FE should take into consideration  |
|  Interview | > whether or not the beneficiary                        |
|            |                                                         |
|            | -   is likely to be violent                             |
|            |                                                         |
|            | -   may accuse the FE of improper conduct, or           |
|            |                                                         |
|            | -   may be influenced by others if a scheduled          |
|            |     appointment is made.                                |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > The FE must *not* express to claimants or witnesses a |
| ## e. Refr | > personal opinion on the issues or outcome of any      |
| aining Fro | > matter that he/she is not personally authorized to    |
| m Expressi | > resolve.                                              |
| ng Persona |                                                         |
| l Opinions |                                                         |
|  During an |                                                         |
|  Interview |                                                         |
+------------+---------------------------------------------------------+

#### 7. Responsibilities of the Legal Instruments Examiner (LIE)

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on the                |
| troduction | > responsibilities of the Legal Instruments Examiner    |
|            | > (LIE). It includes information on responsibilities    |
|            | > that are shared with other fiduciary staff, as well   |
|            | > as those that are specific to the LIE job function.   |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > July 13, 2005                                         |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > The Legal Instruments Examiner (LIE) shares           |
| ## a. Shar | > responsibility with supervisors, FEs, and other       |
| ed Respons | > fiduciary staff for making administrative and         |
| ibilities  | > quasi-legal determinations involving the overall      |
|            | > supervision of beneficiary estates and the protection |
|            | > of rights to benefits.                                |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: There is considerable crossover of interests and mutual |
| > support between LIEs and FEs.                                       |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The LIE is responsible for                            |
| # b. Revie |                                                         |
| wing Monet | -   reviewing the monetary needs of the beneficiary,    |
| ary Needs  |     and                                                 |
|            |                                                         |
|            | -   adjusting allowances accordingly when court action  |
|            |     is *not* required.                                  |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: Consultation with other fiduciary staff may be          |
| > required. All adjustments to allowances must be confirmed in        |
| > writing to the fiduciary and documented in the PGF.                 |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c.   | > The LIE must take prompt action on indications of     |
| Acting on  | > fiduciary misuse received by mail, telephone, or as a |
| Indication | > result of a personal interview.                       |
| s of Misus |                                                         |
| e of Funds |                                                         |
+------------+---------------------------------------------------------+

Continued on next page

7\. Responsibilities of the Legal Instruments Examiner (LIE), Continued

+------------+---------------------------------------------------------+
| #          | > The LIE is responsible for authorizing the            |
| #### d. Au |                                                         |
| thorizing  | -   liquidation of bonds, and                           |
| Liquidatio |                                                         |
| n of Bonds | -   release of funds from restricted accounts, after    |
|            |     consultation with other fiduciary staff when in     |
|            |     order.                                              |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > The LIE is responsible for acting to protect          |
| ## e. Prot | > insurance and other rights to VA benefits, and        |
| ecting and | > advising fiduciaries of other Federal and State       |
|  Advising  | > benefits to which the beneficiary may be entitled.    |
| on Issues  | > This includes                                         |
| Surroundin |                                                         |
| g Benefits | -   reviewing records to ensure that all beneficiaries  |
|            |     and dependents are accounted for in award actions   |
|            |     (such as dependent parents and children living with |
|            |     other relatives)                                    |
|            |                                                         |
|            | -   identifying situations where there is a possibility |
|            |     for additional benefits (for example, Aid and       |
|            |     Attendance (A&A) or housebound benefits, or         |
|            |     benefits for a child over age 18 who remains in     |
|            |     school)                                             |
|            |                                                         |
|            | -   ensuring that possible entitlement to medical       |
|            |     benefits is discussed with the fiduciary and        |
|            |     dependents                                          |
|            |                                                         |
|            | -   making certain that the spouse and children are     |
|            |     aware of possible entitlement to Dependents'        |
|            |     Educational Assistance (DEA)                        |
|            |                                                         |
|            | -   ensuring that a request for waiver of insurance     |
|            |     premium is submitted for National Service Life      |
|            |     Insurance (NSLI) policies or application for        |
|            |     reinstatement and waiver of lapsed policies, when   |
|            |     indicated                                           |
|            |                                                         |
|            | -   following up on diaries when there is a need for    |
|            |     the beneficiary and/or the fiduciary to supply      |
|            |     information necessary for continuation of benefits, |
|            |     such as income information, and                     |
|            |                                                         |
|            | -   ensuring that beneficiaries are aware of possible   |
|            |     entitlement to State and local benefit programs,    |
|            |     education benefits, and other community services.   |
+------------+---------------------------------------------------------+

+-------------+--------------------------------------------------------+
| ##### f. H  | > The LIE is responsible for initiating and responding |
| andling Cor | > to correspondence pertaining to individual estate    |
| respondence | > supervision.                                         |
+-------------+--------------------------------------------------------+

Continued on next page

7\. Responsibilities of the Legal Instruments Examiner (LIE), Continued

+------------+---------------------------------------------------------+
| #####      | > The LIE is responsible for initiating action to have  |
|  g. Initia | > payments adjusted, suspended, resumed, or recovered,  |
| ting Actio | > when appropriate.                                     |
| n Regardin |                                                         |
| g Payments | > ***Example 1***: Requesting a possible successor      |
|            | > fiduciary when the current fiduciary does not account |
|            | > properly or there is evidence of unauthorized         |
|            | > expenditures or misappropriation of the beneficiary's |
|            | > funds.                                                |
|            |                                                         |
|            | > ***Example 2***: Notifying the Veterans Service       |
|            | > Center (VSC) of                                       |
|            |                                                         |
|            | -   a change in income                                  |
|            |                                                         |
|            | -   a change in dependents                              |
|            |                                                         |
|            | -   death                                               |
|            |                                                         |
|            | -   hospitalization or incarceration of the veteran, or |
|            |                                                         |
|            | -   other evidence of fraud, waste, or abuse.           |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: When suspension of payments may result in hardship to   |
| > the beneficiary, every available alternative, including recognition |
| > of a custodian-in-fact, must be pursued before initiating suspense  |
| > action.                                                             |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### h    | > The LIE is responsible for requesting the transfer of |
| . Requesti | > institutional award funds to VA for disposition when  |
| ng Transfe | > the veteran dies.                                     |
| r of Funds |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The LIE is responsible for monitoring personal funds  |
| # i. Monit | > of patient (PFOP) accounts held at Hines Benefits     |
| oring Pers | > Delivery Center (BDC).                                |
| onal Funds |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### j.   | > The LIE is responsible for requesting field           |
|  Requestin | > examinations for estate administration problems and   |
| g Field Ex | > benefit issues.                                       |
| aminations |                                                         |
+------------+---------------------------------------------------------+

Continued on next page

7\. Responsibilities of the Legal Instruments Examiner (LIE), Continued

+------------+---------------------------------------------------------+
| ##         | > The LIE is responsible for taking follow-up or        |
| ### k. Tak | > corrective action required in any case.               |
| ing Follow |                                                         |
| -Up Action |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > The LIE is responsible for developing missing veteran |
| #### l. De | > cases.                                                |
| veloping M |                                                         |
| issing Vet |                                                         |
| eran Cases |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### m.   | > The LIE is responsible for communicating and/or       |
|  Addressin | > coordinating with the VSC, Insurance, or Finance      |
| g Issues o | > activities to arrange prompt release of funds when    |
| f Financia | > financial hardship exists.                            |
| l Hardship |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The LIE is responsible for identifying legal problems |
|  n. Identi | > for action by the Regional Counsel.                   |
| fying Lega |                                                         |
| l Problems |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > The LIE is responsible for                            |
| ## o. Hand |                                                         |
| ling Issue | -   identifying those cases in which the Federal        |
| s Surround |     escheat statutes may apply upon the death of a      |
| ing the De |     beneficiary, and                                    |
| ath of a B |                                                         |
| eneficiary | -   initiating action to recover funds from those       |
|            |     estates to which the Government is entitled.        |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference***: For information on escheat statutes and recovering |
| > funds to which the Government is entitled, see [M21-1MR, Part XI,   |
| > 4.D.15](../pt11_ch04_secD.xml#XI.4.D.15).                           |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### p.   | > When assigned, the LIE is responsible for executing   |
|  Executing | > the change of fiduciary (CFID) command to update and  |
|  Change of | > correct master records.                               |
|  Fiduciary |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### q    | > The LIE is responsible for insuring that all          |
| . Ensuring | > information on individual cases in the Fiduciary      |
|  Accurate  | > Beneficiary System (FBS) is both accurate and         |
| Informatio | > current.                                              |
| n on Cases |                                                         |
+------------+---------------------------------------------------------+

#### 8. Responsibilities Regarding the Release of Information

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on the                |
| troduction | > responsibilities regarding the release of information |
|            | > from VA records. It includes information on           |
|            |                                                         |
|            | -   the release of information under the Freedom of     |
|            |     Information Act (FOIA), and                         |
|            |                                                         |
|            | -   the regulations of the Privacy Act of 1974 as they  |
|            |     relate to the                                       |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   consent and routine uses of information             |
|            |                                                         |
|            | -   access to VA records                                |
|            |                                                         |
|            | -   exceptions to the regulations regarding access to   |
|            |     VA records, and                                     |
|            |                                                         |
|            | -   requests for Social Security numbers (SSNs).        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > February 2, 2005                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > The release of information from VA records, including |
| # a. Gener | > principal guardianship folders (PGFs), is governed by |
| al Informa |                                                         |
| tion on th | -   the Privacy Act of 1974, and                        |
| e Regulati |                                                         |
| ons Govern | -   the Freedom of Information Act (FOIA).              |
| ing the Re |                                                         |
| lease of I |                                                         |
| nformation |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***References***: For more information on the                       |
|                                                                       |
| -   Privacy Act, see                                                  |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   [5 U.S.C.                                                         |
|     552a](http://straylight.l                                         |
| aw.cornell.edu/uscode/html/uscode05/usc_sec_05_00000552----000-.html) |
|                                                                       |
| -   [38 U.S.C.                                                        |
|     5701](http://straylight.l                                         |
| aw.cornell.edu/uscode/html/uscode38/usc_sec_38_00005701----000-.html) |
|                                                                       |
| -   [38 U.S.C.                                                        |
|     5702](http://straylight.l                                         |
| aw.cornell.edu/uscode/html/uscode38/usc_sec_38_00005702----000-.html) |
|                                                                       |
| -   [38 CFR 1.500 -                                                   |
|                                                                       |
| 1.527](http://www.warms.vba.va.gov/regs/38CFR/BOOKA/PART1/S1_500.DOC) |
|                                                                       |
| -   [38 CFR 1.550 -                                                   |
|                                                                       |
| 1.559](http://www.warms.vba.va.gov/regs/38CFR/BOOKA/PART1/S1_550.DOC) |
|                                                                       |
| -   [38 CFR 1.575 -                                                   |
|     1.584](http://w                                                   |
| ww.warms.vba.va.gov/regs/38CFR/BOOKA/PART1/S1_575.DOC)[,]{.underline} |
|     and                                                               |
|                                                                       |
| -   [MP-1, Part II, Chapter                                           |
|     21](http://www.warms.vba.va.gov/admin20/mp_1/part2/ch21.doc) and  |
|     appendices A, B, and C, and                                       |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   FOIA, see [5 U.S.C.                                               |
|     552](http://straylight.law.cornell.edu/                           |
| uscode/html/uscode05/usc_sec_05_00000552----000-.html)[.]{.underline} |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > FOIA provides for making information available to the |
| ### b. Rel | > public unless it is specifically excluded by law.     |
| ease of In |                                                         |
| formation  |                                                         |
| under FOIA |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference***: For information regarding specific exemptions from |
| > public access to VA records, see [38 CFR                            |
| > 1.554](http://w                                                     |
| ww.warms.vba.va.gov/regs/38CFR/BOOKA/PART1/S1_554.DOC)[.]{.underline} |
+-----------------------------------------------------------------------+

Continued on next page

8\. Responsibilities Regarding the Release of Information, Continued

+------------+---------------------------------------------------------+
| ##### c. C | > The Privacy Act prevents disclosure of information    |
| onsent and | > from a claimant's or beneficiary's VA records to any  |
|  Routine U | > third party unless                                    |
| ses of Inf |                                                         |
| ormation U | -   the claimant or beneficiary consents to the         |
| nder the P |     disclosure, or                                      |
| rivacy Act |                                                         |
|            | -   the disclosure has been published as a routine use  |
|            |     in the Federal Register.                            |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference***: For information regarding routine uses for         |
| > VA-supervised fiduciary and beneficiary records, see [MP-1, Part    |
| > II, Chapter                                                         |
| > 21](ht                                                              |
| tp://www.warms.vba.va.gov/admin20/mp_1/part2/ch21.doc)[,]{.underline} |
| > appendix of records 37VA21.                                         |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### d.   | > The stipulations regarding access to VA records under |
|  Access to | > the Privacy Act are listed below.                     |
|  Records u |                                                         |
| nder the P | -   Any material contained in a claimant's or           |
| rivacy Act |     beneficiary's VA record, when that record is part   |
|            |     of any VA system of records, may be released to     |
|            |     that individual unless to do so would be injurious  |
|            |     to his/her physical or mental health.               |
|            |                                                         |
|            | -   Sensitive medical information may be disclosed only |
|            |     through special procedures as specified by VA       |
|            |     regulations.                                        |
|            |                                                         |
|            | -   A person rated incompetent for VA purposes          |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   may have access to his/her own records              |
|            |                                                         |
|            | -   may consent to having a Federal fiduciary have      |
|            |     access to his/her records, and                      |
|            |                                                         |
|            | -   should be encouraged to request the records through |
|            |     the VA-appointed fiduciary, although, if the        |
|            |     individual insists upon access to his/her own       |
|            |     records, those records cannot be withheld.          |
+------------+---------------------------------------------------------+

Continued on next page

8\. Responsibilities Regarding the Release of Information, Continued

+------------+---------------------------------------------------------+
| ###        | > Only the individual by whose name the records are     |
| ## e. Exce | > retrievable may have access to those records *except* |
| ptions to  | > under the following circumstances:                    |
| VA Records |                                                         |
|  Access Un | -   a person holding a properly executed and timely     |
| der the Pr |     power of attorney (POA) from a competent individual |
| ivacy Act  |     may exercise the Privacy Act rights of the          |
|            |     individual within the grant of authority contained  |
|            |     in the POA                                          |
|            |                                                         |
|            | -   the parent of a minor may have access to the        |
|            |     minor's records, and                                |
|            |                                                         |
|            | -   a court-appointed guardian of an individual         |
|            |     declared to be incompetent due to physical or       |
|            |     mental incapacity or age may have access to that    |
|            |     individual's records.                               |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: A VA Federal fiduciary who is *not* a court-appointed   |
| > guardian may *not* have access to a beneficiary's records unless    |
| > authorized by the beneficiary.                                      |
+-----------------------------------------------------------------------+

Continued on next page

8\. Responsibilities Regarding the Release of Information, Continued

+------------+---------------------------------------------------------+
| ##### f.   | > An individual requested to disclose his/her SSN must  |
|  Requests  | > be informed as to                                     |
| for SSNs U |                                                         |
| nder the P | -   whether that disclosure is mandatory or voluntary   |
| rivacy Act |                                                         |
|            | -   what statutory or other authority the number is     |
|            |     solicited under, and                                |
|            |                                                         |
|            | -   what use(s) will be made of it.                     |
|            |                                                         |
|            |     > The table below outlines the requirements for     |
|            |     > requesting a SSN from a fiduciary or a claimant.  |
+------------+---------------------------------------------------------+

+----------------+-----------------------------------------------------+
| If the SSN is  | Then \...                                           |
| being          |                                                     |
| requested from |                                                     |
| a \...         |                                                     |
+----------------+-----------------------------------------------------+
| fiduciary      | the fiduciary must be informed that                 |
|                |                                                     |
|                | -   disclosure of his/her SSN is voluntary,         |
|                |     although failure to furnish the number may      |
|                |                                                     |
|                | ```{=html}                                          |
|                | <!-- -->                                            |
|                | ```                                                 |
|                | -   delay or terminate appointment as fiduciary,    |
|                |     and                                             |
|                |                                                     |
|                | -   delay action required by [5 U.S.C.              |
|                |     552a](h                                         |
|                | ttp://straylight.law.cornell.edu/uscode/html/uscode |
|                | 05/usc_sec_05_00000552----000-.html)[,]{.underline} |
|                |     and                                             |
|                |                                                     |
|                | ```{=html}                                          |
|                | <!-- -->                                            |
|                | ```                                                 |
|                | -   the SSN                                         |
|                |                                                     |
|                | ```{=html}                                          |
|                | <!-- -->                                            |
|                | ```                                                 |
|                | -   is used for identification of records and       |
|                |     administration of veterans benefits, and        |
|                |                                                     |
|                | -   may also be used to identify the fiduciary in   |
|                |     investigations involving other agencies, such   |
|                |     as the Internal Revenue Service (IRS) and the   |
|                |     Social Security Administration (SSA).           |
+----------------+-----------------------------------------------------+
| claimant       | the claimant must be informed that                  |
|                |                                                     |
|                | -   when income is *not* a factor                   |
|                |                                                     |
|                | ```{=html}                                          |
|                | <!-- -->                                            |
|                | ```                                                 |
|                | -   disclosure of the SSN is voluntary, although    |
|                |     failure to furnish the number may delay         |
|                |     processing and action required by [5 U.S.C.     |
|                |     552a](h                                         |
|                | ttp://straylight.law.cornell.edu/uscode/html/uscode |
|                | 05/usc_sec_05_00000552----000-.html)[,]{.underline} |
|                |     and                                             |
|                |                                                     |
|                | -   the SSN may be used for identification of       |
|                |     records and administration of veterans          |
|                |     benefits, and                                   |
|                |                                                     |
|                | ```{=html}                                          |
|                | <!-- -->                                            |
|                | ```                                                 |
|                | -   when income *is* a factor, disclosure of the    |
|                |     SSN is mandatory.                               |
|                |                                                     |
|                |     ***Reference***: For more information, see [38  |
|                |     CFR                                             |
|                |     1.575(b)](http://www.warms.vba.va.go            |
|                | v/regs/38CFR/BOOKA/PART1/S1_575.DOC)[.]{.underline} |
+----------------+-----------------------------------------------------+

#### 9. Coordination with Veterans Health Administration (VHA)

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about the             |
| troduction | > coordination of services provided by the Fiduciary    |
|            | > and Field Examination (F&FE) unit and the Veterans    |
|            | > Health Administration (VHA).                          |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > February 2, 2005                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > Social workers or other case managers at VA medical   |
| a. Respons | > center (VAMC) facilities and Fiduciary and Field      |
| ibilities  | > Examination (F&FE) activities in regional offices     |
| of the VHA | > (ROs) are frequently involved in cases of mutual      |
|  and F&FE  | > concern.                                              |
|            |                                                         |
|            | > With respect to the primary responsibility of each    |
|            | > agency/activity                                       |
|            |                                                         |
|            | -   Veterans Health Administration (VHA) has primary    |
|            |     responsibility for the coordination of all services |
|            |     to veterans enrolled in the contract nursing home   |
|            |     and Residential Care Home (RCH) programs, and       |
|            |                                                         |
|            | -   F&FE has primary responsibility for protecting the  |
|            |     VA-derived income of incompetent veterans.          |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b.   | > There must be an understanding by personnel in each   |
| Collaborat | > program of the other's goals and priorities to        |
| ing in Cas |                                                         |
| es of Mutu | -   provide the best possible service to beneficiaries  |
| al Concern |     and their dependents, and                           |
|            |                                                         |
|            | -   prevent duplication of effort.                      |
|            |                                                         |
|            |     > There must also be the recognition of the need    |
|            |     > for joint cooperation and consultation in areas   |
|            |     > of mutual concern. It is especially important     |
|            |     > that there be discussion between F&FE and VHA     |
|            |     > staffs concerning any planned revision in         |
|            |                                                         |
|            | -   rates charged for the care of specific veterans,    |
|            |     and                                                 |
|            |                                                         |
|            | -   the amount of funds allocated for the incompetent   |
|            |     veteran's personal use.                             |
|            |                                                         |
|            |     > It is equally important to impress on VHA         |
|            |     > personnel that the appointment of fiduciaries for |
|            |     > payment of VA benefits is a Veterans Benefit      |
|            |     > Administration (VBA) responsibility and that they |
|            |     > should not solicit court appointment of           |
|            |     > fiduciaries "of the estate."                      |
+------------+---------------------------------------------------------+

Continued on next page

9\. Coordination with Veterans Health Administration (VHA), Continued

+------------+---------------------------------------------------------+
| ##### c.   | > Each fiduciary activity supervisor should meet with   |
| Frequency  | > the appropriate personnel from each VAMC in his/her   |
| of Meeting | > jurisdiction at least once a year to discuss services |
| s With VHA | > to incompetent veterans. These meetings may be        |
|  Personnel | > conducted by meeting with the appropriate individuals |
|            | > separately or as a group.                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### d    | > These meetings should be an opportunity for further   |
| . Meeting  | > clarification of joint responsibilities in the        |
| Objectives | > delivery of services to incompetent veterans. The     |
|            | > guidelines regarding meeting objectives include       |
|            |                                                         |
|            | -   establishing guidelines or joint planning           |
|            |     initiatives that will protect the interests of      |
|            |     incompetent veterans and sustain or improve their   |
|            |     quality of life, and                                |
|            |                                                         |
|            | -   establishing guidelines for sharing reports and     |
|            |     other information of mutual concern regarding       |
|            |     veterans.                                           |
|            |                                                         |
|            |     > While some VHA staffs may be able to provide      |
|            |     > well-developed reports suitable for substitution  |
|            |     > for Fiduciary-Beneficiary (F-B) field examination |
|            |     > reports, others may be able only to provide       |
|            |     > copies of their internal reports. Some social     |
|            |     > work activities may want copies of field          |
|            |     > examination reports and others will not.          |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: The fiduciary activity supervisor and VHA personnel     |
| > must establish the desired level of interaction between their       |
| > respective staffs.                                                  |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### e. F | > The fiduciary activity supervisor should solicit a    |
| acilities  | > list of all facilities at which VHA supervises cases. |
| with VHA S | > Preparation of field examinations (or alternate forms |
| upervision | > of supervision) for veterans in these programs may    |
|            | > include one or more of the following:                 |
|            |                                                         |
|            | -   a review of the last VHA supervisory report         |
|            |                                                         |
|            | -   a discussion with the appropriate social worker, or |
|            |     other case worker, prior to conducting the field    |
|            |     examination, or                                     |
|            |                                                         |
|            | -   calling or sending a letter.                        |
|            |                                                         |
|            | > This should help to prevent unnecessary duplication   |
|            | > of contacts and also afford VHA and F&FE staffs the   |
|            | > opportunity to share relevant information.            |
+------------+---------------------------------------------------------+

Continued on next page

9\. Coordination with Veterans Health Administration (VHA), Continued

+------------+---------------------------------------------------------+
| #####      | > When a veteran's case is due for a scheduled contact, |
|  f. VHA Re | > the PGF should be reviewed. Any recent VHA reports in |
| ports in L | > the file should be reviewed for information that      |
| ieu of F-B | > would make it possible to rediary the case. Any       |
|            | > necessary data not included in a VHA report must be   |
|            | > obtained by field examination, correspondence, or     |
|            | > some means other than referring the case back to VHA. |
|            | >                                                       |
|            | > The table below describes what takes place when the   |
|            | > PGF indicates that the veteran is in a facility       |
|            | > supervised by VHA.                                    |
+------------+---------------------------------------------------------+

  ---------------------------------- ------------------------------------
  If the PGF shows that the veteran  Then ...
  is in a facility supervised by VHA 
  and ...                            

  there is no VHA report of record   the VHA office of jurisdiction may
                                     be contacted, in a manner locally
                                     agreed upon, to solicit a copy of
                                     the most recent VHA report.

  a current report containing all    the case may be rediaried for up to
  required documentation is obtained one year.

  the VHA report is *not* obtained   the field examination (personal or
                                     alternate) should be conducted as
                                     scheduled.
  ---------------------------------- ------------------------------------

+------------+---------------------------------------------------------+
| ##### g.   | > When acceptable VHA reports are available, the        |
|  Extension | > supervisory diary date may be extended at one-year    |
|  of the Su | > intervals. However, the overall length of time        |
| pervisory  | > between the last personal contact field examination   |
| Diary Date | > and the next must not exceed three years, except as   |
|            | > mentioned in [M21-1MR, Part XI,                       |
|            | > 2.E.33](../pt11_ch02_secE.xml#XI.2.E.33) and          |
|            | > [M21-1MR, Part XI,                                    |
|            | > 2.E.34](../pt11_ch02_secE.xml#XI.2.E.34).             |
+------------+---------------------------------------------------------+