## Section B. Misuse Allegations 

#### Overview

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

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

  6           Types of Misuse Allegations                     5-B-2

  7           Control of Misuse Allegations                   5-B-3

  8           Review and Disposition of Allegations           5-B-4

  9           Exhibit 1: Memorandum Not To Investigate        5-B-6
              Allegation of Misuse                            
  ----------- ----------------------------------------------- -----------

#### 6. Types of Misuse Allegations 

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on types of misuse    |
| troduction | > allegations.                                          |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #          | > An allegation or other indication of misuse may come  |
| #### a. Wh | > from many sources, to include:                        |
| o Can Alle |                                                         |
| ge Misuse? | -   beneficiaries or their authorized representatives   |
|  {#a.-who- |                                                         |
| can-allege | -   third parties                                       |
| -misuse .u |                                                         |
| nnumbered} | -   VA discovery                                        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > A supervised direct pay individual, as well as his or |
| #### b. Ca | > her friend, relative, interested third party, or a    |
| n an SDP B | > successor fiduciary, may claim misuse in these cases  |
| eneficiary | > as VA is de facto acting as fiduciary.                |
|  Allege Mi |                                                         |
| suse? {#b. |                                                         |
| -can-an-sd |                                                         |
| p-benefici |                                                         |
| ary-allege |                                                         |
| -misuse .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > Potential misuse may be identified by VA during the   |
| ### c. VA  | > course of routine supervision and estate              |
| Discovery  | > administration. Any situation that indicates the      |
| of Potenti | > possibility of misuse must be fully documented and    |
| al Misuse  | > referred to the Fiduciary supervisor for review.      |
| {#c.-va-di |                                                         |
| scovery-of |                                                         |
| -potential |                                                         |
| -misuse .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > Allegations of misuse will generally come in the form |
| ## d. Acce | > of                                                    |
| ptable For |                                                         |
| mat  {#d.- | -   written communication or                            |
| acceptable |                                                         |
| -format .u | -   verbally, by telephone or personal interview.       |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > If the complaint is received verbally, the complainant should be    |
| > requested to put his or her statement in writing. If they are       |
| > unwilling to do so, the allegation must be documented on *VA Form   |
| > 119, Report of Contact*                                             |
|                                                                       |
| -   fully detailing the allegation and                                |
|                                                                       |
| -   identifying the name of and contact information for the alleger.  |
|                                                                       |
| > If the complainant refuses to identify him or herself, include this |
| > fact.                                                               |
+-----------------------------------------------------------------------+

#### 7. Control of Misuse Allegations

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on appropriate        |
| troduction | > control of misuse allegations.                        |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| ###        | > Each allegation of misuse must be addressed within 14 |
| ## a. Time | > days of receipt in the Fiduciary Activity. Written    |
| liness of  | > allegations must be date stamped immediately upon     |
| Processing | > receipt to ensure timely processing.                  |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > A work process record must be established in FBS and  |
| b. Control | > assigned as soon as is practical after receipt of an  |
|            | > indication of misuse.                                 |
|            | >                                                       |
|            | > Refer to the following table for information on       |
|            | > establishing work process records:                    |
+------------+---------------------------------------------------------+

  ------------------------------- ---------------------------------------
  If the allegation (or           The FBS "received" date for processing
  indication) of misuse is ...    purposes will be the date...

  received in writing             stamped as "received" on the document.

  received by telephone or        of the telephone call or personal
  personal interview              interview.

  discovered by VA during routine of discovery.
  estate administration           
  ------------------------------- ---------------------------------------

#### 8. Review and Disposition of Allegation  {#review-and-disposition-of-allegation .unnumbered}

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on review and         |
| troduction | > disposition of allegations of misuse.                 |
|  {#introdu |                                                         |
| ction-2 .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| ##### a.   | > Each allegation of misuse must be reviewed for merit. |
|  Review of | > Compare the allegations with documentation contained  |
|  Allegatio | > in the PGF. Each allegation must be investigated      |
| n {#a.-rev | > unless there is clear evidence that the allegation    |
| iew-of-all | > has no basis in fact.                                 |
| egation .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > This review must be completed, and appropriate action taken, within |
| > 14 days of                                                          |
|                                                                       |
| -   receipt of allegation of misuse, or                               |
|                                                                       |
| -   identification of potential misuse by VA.                         |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > Unless documented circumstances make investigation    |
| # b. Assig | > unnecessary, establish a work process record for      |
| nment to I | > misuse investigation and assign for investigation.    |
| nvestigate |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c. P | > Following are examples of possible reasons not to     |
| ossible Re | > investigate an allegation of misuse:                  |
| asons *Not |                                                         |
| * to Inves | -   an allegation that clearly indicates the            |
| tigate {#c |     complainant misunderstands the payee's duties and   |
| .-possible |     authority, such as                                  |
| -reasons-n |                                                         |
| ot-to-inve | ```{=html}                                              |
| stigate .u | <!-- -->                                                |
| nnumbered} | ```                                                     |
|            | -   an allegation that the payee is misusing a          |
|            |     beneficiaries funds by charging a commission for    |
|            |     serving as payee when VA has properly authorized a  |
|            |     commission, or                                      |
|            |                                                         |
|            | -   allegations that the fiduciary refuses to pay a     |
|            |     beneficiary's bills when VA has specifically        |
|            |     disallowed those items                              |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   multiple allegations concerning an issue that has   |
|            |     previously been reviewed or investigated.           |
+------------+---------------------------------------------------------+

Continued on next page

8\. Review and Disposition of Allegation, Continued

+------------+---------------------------------------------------------+
| ##         | > Any decision *not* to investigate an allegation of    |
| ### d. Dec | > misuse must be documented by a memorandum approved by |
| ision Not  | > the VSCM or designee, not lower than the supervisor   |
| to Investi | > of the Fiduciary Activity. The memorandum must        |
| gate {#d.- | > include the reasons for this decision and be filed in |
| decision-n | > the principal guardianship folder (PGF).              |
| ot-to-inve |                                                         |
| stigate .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note:*** If the same issue has previously been reviewed or       |
| > investigated, annotate the new *VA Form* *119* or complaint letter. |
| > A memorandum not to investigate is not required.                    |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference:*** For suggested memorandum format, see [M21-1MR,     |
| > Part XI, 5.B.9](../pt11_ch05_secB.xml#XI.5.B.9).                    |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > Formal determinations made during the process of      |
| ### e. Nec | > resolving a misuse allegation require involvement of  |
| essity to  | > the VSCM and the station director. It is, therefore,  |
| Inform VSC | > essential that these individuals be kept informed of  |
| M and Dire | > pending misuse investigations.                        |
| ctor of Pe |                                                         |
| nding Inve |                                                         |
| stigations |                                                         |
+------------+---------------------------------------------------------+

#### 9. Exhibit 1: Memorandum Not To Investigate Allegation of Misuse {#exhibit-1-memorandum-not-to-investigate-allegation-of-misuse .unnumbered}

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

+------------+---------------------------------------------------------+
| #####      | > A sample memorandum decision not to investigate an    |
| a. Misuse  | > allegation of misuse is below.                        |
| Memorandum |                                                         |
+------------+---------------------------------------------------------+

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  ![](media/image1.jpeg){width="6.286111111111111in"
  height="4.302777777777778in"}

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+-----------------------------------------------------------------------+
| > ***Note***: The memorandum must be filed in the PGF.                |
+-----------------------------------------------------------------------+

####  {#section .unnumbered}