## M21-1MR, Part III, Subpart ii, Chapter 3, Table of Contents

## Chapter 3. Folder Establishment

## Table of Contents

> **Section A: File Numbers**
>
> Overview 3-A-1
>
> 1\. Assignment of File Numbers 3-A-2
>
> 2\. File Number Establishment in the Beneficiary Identification and\
> Records Locator Subsystem (BIRLS) 3-A-6
>
> **Section B: Folders and Charge Cards**
>
> Overview 3-B-1
>
> 3\. Folder Creation 3-B-2
>
> 4\. Preparing Folders and Establishing Charge Cards 3-B-3
>
> 5\. Color Coding for Folders 3-B-5
>
> 6\. Standard Notations on Folders 3-B-7
>
> **Section C: Filing and Removal of Material**
>
> Overview 3-C-1
>
> 7\. Handling Original Records 3-C-2
>
> 8\. Filing Material in Folders 3-C-4
>
> 9\. Removing Material From Folders 3-C-8

### Section A. File Numbers

#### Overview

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

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

  1            Assignment of File Numbers                     3-A-2

  2            File Number Establishment in the Beneficiary   3-A-6
               Identification and Records Locator Subsystem   
               (BIRLS)                                        
  ------------ ---------------------------------------------- ------------

#### 1. Assignment of File Numbers

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about the assignment  |
| troduction | > of file numbers. It includes information on           |
|            |                                                         |
|            | -   the overall records management responsibility for   |
|            |     folder creation, maintenance, and disposition       |
|            |                                                         |
|            | -   identifying records with a file number              |
|            |                                                         |
|            | -   when to assign a file number                        |
|            |                                                         |
|            | -   assignment during claims establishment (CEST)       |
|            |     processing                                          |
|            |                                                         |
|            | -   guidelines for forwarding applications, and         |
|            |                                                         |
|            | -   assignment of file numbers for death claims.        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 19, 2005                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The Administrative/Support Services Division has      |
| a. Respons | > overall records management responsibility for folder  |
| ibility fo | > creation, maintenance, and disposition.               |
| r Records  | >                                                       |
| Management | > ***Reference***: For more information on files and    |
|            | > folder control, see                                   |
|            |                                                         |
|            | -   [M21-1MR, Part III, Subpart ii,                     |
|            |     4.A](http://vbaw.vba.va.gov/bl/21/m21               |
|            | -1mr/pt03/sp02/ch04/pt03_sp02_ch04_secA.xml#III.ii.4.A) |
|            |                                                         |
|            | -   [M23-1, Part I, Chapter                             |
|            |     2](htt                                              |
|            | p://www.warms.vba.va.gov/admin23/m23_1/part1/ch02.doc), |
|            |     and                                                 |
|            |                                                         |
|            | -   [M23-1, Part I, Chapter                             |
|            |     13](htt                                             |
|            | p://www.warms.vba.va.gov/admin23/m23_1/part1/ch13.doc). |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b    | > Identify the records of all claimants and             |
| . Identify | > beneficiaries by a file number.                       |
| ing Record | >                                                       |
| s With a F | > Use the table below to assign a file number.          |
| ile Number |                                                         |
+------------+---------------------------------------------------------+

+---------------------------------+------------------------------------+
| For ...                         | Use ...                            |
+---------------------------------+------------------------------------+
| most cases                      | the veteran's Social Security      |
|                                 | number (SSN).                      |
+---------------------------------+------------------------------------+
| original applications from      | an eight-digit file number         |
|                                 | assigned through the Beneficiary   |
| -   Philippine nationals, and   | Identification and Records Locator |
|                                 | Subsystem (BIRLS).                 |
| -   other former service        |                                    |
|     members that have never     |                                    |
|     been assigned a SSN         |                                    |
+---------------------------------+------------------------------------+

Continued on next page

1\. Assignment of File Numbers, Continued

+------------+---------------------------------------------------------+
| ##### c    | > If a file number does not currently exist, assign one |
| . When to  | > upon the receipt of applications or records from a    |
| Assign a F | > living veteran outlined in the table below.           |
| ile Number |                                                         |
+------------+---------------------------------------------------------+

+-----------------+----------------------------------------------------+
| Type of         | Description                                        |
| Material        |                                                    |
+-----------------+----------------------------------------------------+
| Application     | -   for compensation or pension when the veteran's |
|                 |     entire                                         |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   military service was after July 15, 1903, or   |
|                 |                                                    |
|                 | -   Coast Guard service was after January 27,      |
|                 |     1915, or                                       |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   for education and vocational rehabilitation    |
|                 |     under                                          |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   [38 U.S.C. Chapter                             |
|                 |     30](http://assembler.law.cornell.edu/usc       |
|                 | ode/html/uscode38/usc_sup_01_38_10_III_20_30.html) |
|                 |                                                    |
|                 | -   [38 U.S.C. Chapter                             |
|                 |     31](http://assembler.law.cornell.edu/usc       |
|                 | ode/html/uscode38/usc_sup_01_38_10_III_20_31.html) |
|                 |                                                    |
|                 | -   [38 U.S.C. Chapter                             |
|                 |     32](http://assembler.law.cornell.edu/usco      |
|                 | de/html/uscode38/usc_sup_01_38_10_III_20_32.html), |
|                 |     and                                            |
|                 |                                                    |
|                 | -   [38 U.S.C. Chapter                             |
|                 |                                                    |
|                 |  1606](http://assembler.law.cornell.edu/uscode/htm |
|                 | l/uscode10/usc_sup_01_10_10_E_20_IV_30_1606.html). |
+-----------------+----------------------------------------------------+
| Certificate     | of service issued to individuals on the Army,      |
|                 | Navy, or Air Force Medal of Honor Roll under [38   |
|                 | U.S.C. Chapter 15, Subchapter                      |
|                 | IV](http://assembler.law.cornell.edu/uscode/ht     |
|                 | ml/uscode38/usc_sup_01_38_10_II_20_15_30_IV.html). |
+-----------------+----------------------------------------------------+
| Inquiry         | from penal institutions for determination of       |
|                 | potential eligibility for burial allowance under   |
|                 | [38 U.S.C. Chapter                                 |
|                 | 23](http://assembler.law.cornell.edu/usc           |
|                 | ode/html/uscode38/usc_sup_01_38_10_II_20_23.html). |
+-----------------+----------------------------------------------------+
| Requests        | -   from designated official in connection with    |
|                 |     applications under [38 U.S.C. Chapter          |
|                 |     41](http://assembler.law.cornell.edu/usc       |
|                 | ode/html/uscode38/usc_sup_01_38_10_III_20_41.html) |
|                 |                                                    |
|                 | -   for rating decision received from              |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   a military hospital                            |
|                 |                                                    |
|                 | -   Loan Guaranty for determination of individual  |
|                 |     eligibility for loan guaranty benefits under   |
|                 |     [38 U.S.C.                                     |
|                 |     3702](http://assembler.law.cornell.edu/uscod   |
|                 | e/html/uscode38/usc_sec_38_00003702----000-.html), |
|                 |     or                                             |
|                 |                                                    |
|                 | -   Department of Veterans Affairs (VA) Regional   |
|                 |     Office and Insurance Center (VARO&IC) for      |
|                 |     determination of competency, and               |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   for an eligibility determination received from |
|                 |     Loan Guaranty for a case falling under section |
|                 |     203(b)(2) of the National Housing Act          |
|                 |                                                    |
|                 | ```{=html}                                         |
|                 | <!-- -->                                           |
|                 | ```                                                |
|                 | -   as amended by *Public Law (PL) 89-117*, and    |
|                 |                                                    |
|                 | -   on *OF 41, Routing and Transmittal Slip*,      |
|                 |     attached to a Statement of the Case.           |
+-----------------+----------------------------------------------------+

Continued on next page

1\. Assignment of File Numbers, Continued

  -----------------------------------------------------------------------
  **c. When to Assign a File Number** (continued)

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

+-----------------+----------------------------------------------------+
| Type of         | Description                                        |
| Material        |                                                    |
+-----------------+----------------------------------------------------+
| VA Form         | -   *VA Form 29-4373, Request for Disability       |
|                 |     Compensation Rating for Insurance Purposes     |
|                 |     (Government Life Insurance)*                   |
|                 |                                                    |
|                 | -   *VA Form 4-1426, Request for Assignment of     |
|                 |     File Number on Overpayment Cases*              |
|                 |                                                    |
|                 | -   *VA Form 10-7131, Exchange of Beneficiary      |
|                 |     Information and Request for Administrative and |
|                 |     Adjudicative Action*, indicating the need for  |
|                 |     adjudicative action or a decision on an other  |
|                 |     than honorable discharge, or                   |
|                 |                                                    |
|                 | -   *VA Form 21-4502, Application for Automobile   |
|                 |     or Other Conveyance and Adaptive Equipment.*   |
+-----------------+----------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > To request assignment of a file number during claims  |
| ### d. Ass | > establishment (CEST) processing, enter an "*X*" in    |
| ignment du | > front of either CLAIM or SSN in the ASSIGN FILE       |
| ring CEST  | > NUMBER AS field of the VID screen.                    |
| Processing | >                                                       |
|            | > ***References***: For detailed instructions on CEST   |
|            | > processing, see                                       |
|            |                                                         |
|            | -   [M23-1, Part I, Chapter                             |
|            |     2](htt                                              |
|            | p://www.warms.vba.va.gov/admin23/m23_1/part1/ch02.doc), |
|            |     and                                                 |
|            |                                                         |
|            | -   the *SHARE User's Guide* at                         |
|            |     <                                                   |
|            | http://vbaw.vba.va.gov/bl/21/systems/docs/SHARE85.pdf>. |
+------------+---------------------------------------------------------+

Continued on next page

1\. Assignment of File Numbers, Continued

+------------+---------------------------------------------------------+
| ####       | > VA requires that certain types of applications be     |
| # e. Forwa | > forwarded to another regional office (RO).            |
| rding an A | >                                                       |
| pplication | > Use the table below to determine where to forward     |
|            | > certain types of applications.                        |
+------------+---------------------------------------------------------+

+-------------------------------------------------+--------------------+
| If the application is ...                       | Then forward the   |
|                                                 | application to ... |
+-------------------------------------------------+--------------------+
| -   from a veteran having military service      | the Washington     |
|     prior to July 16, 1903, or                  | Regional Office    |
|                                                 | (WRO).             |
| -   for a Chapter 31 claim filed by a person    |                    |
|     claiming service in Allied Forces during    |                    |
|     World War II                                |                    |
+-------------------------------------------------+--------------------+
| from a claimant residing outside the            | the Pittsburgh RO. |
| continental limits of the United States, other  |                    |
| than within the territories and countries       |                    |
| assigned to the regional offices in             |                    |
|                                                 |                    |
| -   Alaska                                      |                    |
|                                                 |                    |
| -   Hawaii                                      |                    |
|                                                 |                    |
| -   Puerto Rico                                 |                    |
|                                                 |                    |
| -   the Philippines                             |                    |
|                                                 |                    |
| -   Houston, and                                |                    |
|                                                 |                    |
| -   White River Junction.                       |                    |
+-------------------------------------------------+--------------------+
| > for enrollment in a United States school      | the Regional       |
|                                                 | Processing Office  |
|                                                 | (RPO) that has     |
|                                                 | jurisdiction over  |
|                                                 | the school.        |
+-------------------------------------------------+--------------------+
| > from a claimant residing in                   | the Houston RO.    |
|                                                 |                    |
| -   Mexico                                      |                    |
|                                                 |                    |
| -   Central America                             |                    |
|                                                 |                    |
| -   South America, or                           |                    |
|                                                 |                    |
| -   the Caribbean                               |                    |
+-------------------------------------------------+--------------------+
| from a claimant residing in Canada              | the White River    |
|                                                 | Junction RO.       |
+-------------------------------------------------+--------------------+

+------------+---------------------------------------------------------+
| #          | > For information on the assignment of a file number    |
| #### f. De | > for a death claim, see [M21-1MR, Part III, Subpart    |
| ath Claims | > ii,                                                   |
|            | > 8.B.11](http://vbaw.vba.va.gov/bl/21/m21-1mr          |
|            | /pt03/sp02/ch08/pt03_sp02_ch08_secB.xml#III.ii.8.B.11). |
+------------+---------------------------------------------------------+

#### 2. File Number Establishment in the Beneficiary Identification and Records Locator Subsystem (BIRLS)

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about file number     |
| troduction | > establishment in the BIRLS system. It includes        |
|            | > information on                                        |
|            |                                                         |
|            | -   when to establish a file number                     |
|            |                                                         |
|            | -   establishing                                        |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   claims folders, and                                 |
|            |                                                         |
|            | -   Notice of Death (NOD) folders, and                  |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   the tracking of Restored Entitlement Program for    |
|            |     Survivors (REPS) folders.                           |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 19, 2005                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a. W | > When a claimant or beneficiary does not have a social |
| hen to Est | > security number, an eight-digit file number must be   |
| ablish a F | > assigned using BIRLS. Establish a file number in      |
| ile Number | > BIRLS                                                 |
|            |                                                         |
|            | -   during CEST processing, or                          |
|            |                                                         |
|            | -   by using the First Notice of Death (FNOD) or BIRLS  |
|            |     ADD (BADD) command.                                 |
|            |                                                         |
|            | > ***Note***: Limit the use of the BADD command only to |
|            | > instances when the CEST or FNOD command is *not*      |
|            | > appropriate.                                          |
+------------+---------------------------------------------------------+

Continued on next page

2\. File Number Establishment in the Beneficiary Identification and
Records Locator Subsystem (BIRLS), Continued

+------------+---------------------------------------------------------+
| ####       | > Use of the SHARE application is the preferred method  |
| # b. Estab | > to establish a claims folder because it establishes a |
| lishing Cl |                                                         |
| aims and N | -   corporate record, and                               |
| OD Folders |                                                         |
|            | -   record in the Modern Award Processing-Development   |
|            |     (MAP-D) system.                                     |
|            |                                                         |
|            | > ***References***: For more information on             |
|            |                                                         |
|            | -   SHARE, see the *SHARE User's Guide* at              |
|            |     <                                                   |
|            | http://vbaw.vba.va.gov/bl/21/systems/docs/SHARE85.pdf>, |
|            |     and                                                 |
|            |                                                         |
|            | -   MAP-D, see the *MAP-D User's Guide* at              |
|            |     <http://10.71.128.                                  |
|            | 28/VetsNet/Claims_Docs/webhelp/Claim_Development1.htm>. |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > If the SHARE application is not used, follow the      |
| ### c. Pro | > steps in the table below to establish a claims folder |
| cedure Whe | > or a NOD folder in BIRLS.                             |
| n SHARE Is |                                                         |
|  Not Used  |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | On the LOC screen, enter an "*X*" in front of the ESTABLISH  |
|       | A_FOLDER field.                                              |
+-------+--------------------------------------------------------------+
| 2     | > In the blank field in front of FOLDER, enter either        |
|       |                                                              |
|       | -   "*CLAIM*" for a claims folder, or                        |
|       |                                                              |
|       | -   "*NOD*" for a NOD folder.                                |
|       |                                                              |
|       | > ***Note***: For NOD folders, if a "*NO FOLDER EST RSN*"    |
|       | > message appears, do *not* delete it.                       |
+-------+--------------------------------------------------------------+
| 3     | -   In the NEXT SCREEN field, enter "*UPD*," and             |
|       |                                                              |
|       | -   press the ENTER key.                                     |
|       |                                                              |
|       | > ***Result***: The Benefits Delivery Network (BDN) system   |
|       | > generates an "ESTABLISHMENT DATA" print on a tear sheet.   |
+-------+--------------------------------------------------------------+
| 4     | Save the generated print for filing in the folder.           |
+-------+--------------------------------------------------------------+

Continued on next page

2\. File Number Establishment in the Beneficiary Identification and
Records Locator Subsystem (BIRLS), Continued

+------------+---------------------------------------------------------+
| ###        | > VA does not track REPS folders in BIRLS.              |
| ## d. Trac |                                                         |
| king of RE |                                                         |
| PS Folders |                                                         |
+------------+---------------------------------------------------------+

### Section B. Folders and Charge Cards

#### Overview

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

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

  3            Folder Creation                                3-B-2

  4            Preparing Folders and Establishing Charge      3-B-3
               Cards                                          

  5            Color Coding for Folders                       3-B-5

  6            Standard Notations on Folders                  3-B-7
  ------------ ---------------------------------------------- ------------

#### 3. Folder Creation

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about types of        |
| troduction | > folders.                                              |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #####      | > The Department of Veterans Affairs (VA) requires the  |
|  a. Types  | > use of a specific folder type based on the            |
| of Folders | > applicant's claim.                                    |
|            | >                                                       |
|            | > Use the table below to select the appropriate folder  |
|            | > type.                                                 |
+------------+---------------------------------------------------------+

+-------------+-----------------+-----------+-------------------------+
| Folder Type | Description     | Stock     | Type of Claim/Form      |
|             |                 | Number    | Filed By Applicant      |
+-------------+-----------------+-----------+-------------------------+
| Claims      | Red-rope, three | NS        | VA receives an initial  |
|             | flap folder     | N-7530-00 | claim for benefits from |
|             | with fasteners  | -707-8406 | a veteran.              |
|             | attached on the |           |                         |
|             | inside          |           |                         |
+-------------+-----------------+-----------+-------------------------+
| Notice of   | Lightweight,    | NS        | -   A First Notice of   |
| Death (NOD) | two-flap manila | N-7530-00 |     Death (FNOD)        |
|             | folder with     | -757-4108 |     results in a new    |
|             | fasteners       |           |     file number         |
|             | attached on the |           |     assignment, or      |
|             | inside          |           |                         |
|             |                 |           | -   an FNOD is          |
|             |                 |           |     processed and a     |
|             |                 |           |     claim number exists |
|             |                 |           |     but                 |
|             |                 |           |                         |
|             |                 |           | ```{=html}              |
|             |                 |           | <!-- -->                |
|             |                 |           | ```                     |
|             |                 |           | -   there is no claims  |
|             |                 |           |     folder, or          |
|             |                 |           |                         |
|             |                 |           | -   the claims folder   |
|             |                 |           |     is located at a     |
|             |                 |           |     Records Processing  |
|             |                 |           |     Center (RPC).       |
|             |                 |           |                         |
|             |                 |           | ***Reference***: For    |
|             |                 |           | more information, see   |
|             |                 |           | [M21-1MR, Part III,     |
|             |                 |           | Subpart ii,             |
|             |                 |           | 8.C.12]                 |
|             |                 |           | (http://vbaw.vba.va.gov |
|             |                 |           | /bl/21/m21-1mr/pt03/sp0 |
|             |                 |           | 2/ch08/pt03_sp02_ch08_s |
|             |                 |           | ecC.xml#III.ii.8.C.12). |
+-------------+-----------------+-----------+-------------------------+

#### 4. Preparing Folders and Establishing Charge Cards

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about preparing       |
| troduction | > folders and establishing charge cards.                |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 19, 2005                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > For most cases, the Control of Veterans Records       |
| a. Prepara | > System (COVERS) can generate pre-printed,             |
| tion of Fo | > self-adhesive folder and charge card labels           |
| lder and C | > containing                                            |
| harge Card |                                                         |
|            | -   the veteran's name                                  |
|            |                                                         |
|            | -   the veteran's claim number, and                     |
|            |                                                         |
|            | -   an identifying barcode.                             |
|            |                                                         |
|            | > In cases in which the COVERS application cannot be    |
|            | > used, follow the steps in the table below to          |
|            |                                                         |
|            | -   annotate the folder, and                            |
|            |                                                         |
|            | -   complete and file the charge card.                  |
|            |                                                         |
|            | > ***Reference***: For more information on COVERS, see  |
|            | > the *COVERS User's Guide* at                          |
|            | > <                                                     |
|            | http://152.124.238.193/bl/21/publicat/Users/Index.htm>. |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | -   Use letters at least 3/8-inch high on the upper left     |
|       |     corner of the cut edge of the left flap of the folder,   |
|       |     and                                                      |
|       |                                                              |
|       | -   print the last, first, and middle names (or middle       |
|       |     initial, if only the initial is known) of the veteran.   |
+-------+--------------------------------------------------------------+
| 2     | -   Use digits at least ½-inch high on the upper right       |
|       |     corner of the cut edge of the left flap of the folder,   |
|       |     and                                                      |
|       |                                                              |
|       | -   print the file number, including one of the following    |
|       |     prefixes, as appropriate:                                |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   C                                                        |
|       |                                                              |
|       | -   *SS*                                                     |
|       |                                                              |
|       | -   *XC*, or                                                 |
|       |                                                              |
|       | -   *XSS*.                                                   |
+-------+--------------------------------------------------------------+
| 3     | -   Establish a *VA Form 3025, File Charge Card* for the     |
|       |     folder, and                                              |
|       |                                                              |
|       | -   print, in the upper left corner of *VA Form 3025*, the   |
|       |     last, first, and middle names (or middle initial) of the |
|       |     veteran.                                                 |
+-------+--------------------------------------------------------------+

Continued on next page

4\. Preparing Folders and Establishing Charge Cards, Continued

  -----------------------------------------------------------------------
  **a. Preparation of Folder and Charge Card** (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 4     | > Print, in the upper right corner of *VA Form 3025*, the    |
|       |                                                              |
|       | -   file number, and                                         |
|       |                                                              |
|       | -   prefix.                                                  |
+-------+--------------------------------------------------------------+
| 5     | -   Determine the color code for the charge card, as         |
|       |     outlined in [M21-1MR, Part III, Subpart ii,              |
|       |     3.B.5](http://vbaw.vba.va.gov/bl/21/m                    |
|       | 21-1mr/pt03/sp02/ch03/pt03_sp02_ch03_secB.xml#III.ii.3.B.5), |
|       |     and                                                      |
|       |                                                              |
|       | -   color code the charge card by centering a ¾-inch strip   |
|       |     of colored tape at the top of the *VA Form 3025*.        |
+-------+--------------------------------------------------------------+

#### 5. Color Coding for Folders

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about color coding.   |
| troduction | > It includes information about                         |
|            |                                                         |
|            | -   folders that require color coding                   |
|            |                                                         |
|            | -   color codes for terminal digits, and                |
|            |                                                         |
|            | -   claims folders.                                     |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| ##         | > Color code the following folders based on the last    |
| ### a. Fol | > two digits of the claim number:                       |
| ders That  |                                                         |
| Require Co | -   Claims, and                                         |
| lor Coding |                                                         |
|            | -   Notice of Death (NOD).                              |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b. C | > The table below contains the color code for each      |
| olor Codes | > terminal digit.                                       |
|  for Termi |                                                         |
| nal Digits |                                                         |
+------------+---------------------------------------------------------+

  ----------------------------------- -----------------------------------
  Terminal Digit                      Color Code

  00-09                               Red

  10-19                               Light blue

  20-29                               Orange

  30-39                               Light green

  40-49                               Brown

  50-59                               Medium blue

  60-69                               Yellow

  70-79                               Black

  80-89                               White

  90-99                               Medium green
  ----------------------------------- -----------------------------------

Continued on next page

5\. Color Coding for Folders, Continued

+------------+---------------------------------------------------------+
| #####      | > To color code a claims folder, place a single 3-inch  |
| c. Color C | > long strip of ¾-inch self-adhesive tape               |
| oding Clai |                                                         |
| ms Folders | -   over the center fold (1 ½-inch overlap on each      |
|            |     side), and                                          |
|            |                                                         |
|            | -   one inch from the edge of the upper right corner.   |
+------------+---------------------------------------------------------+

#### 6. Standard Notations on Folders

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about standard        |
| troduction | > notations on folders. It includes information on      |
|            |                                                         |
|            | -   the importance of notations, and                    |
|            |                                                         |
|            | -   current standard notations.                         |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| ##         | > VA uses stamped notations on claims folders to denote |
| ### a. Imp | > the existence or disposition of a record which is     |
| ortance of | > related to the basic claims folder.                   |
|  Notations |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The table below describes the usage for each type of  |
|  b. Curren | > current standard notation.                            |
| t Standard |                                                         |
|  Notations |                                                         |
+------------+---------------------------------------------------------+

+--------------------------+-------------------------------------------+
| Standard Notation        | Usage                                     |
+--------------------------+-------------------------------------------+
| (Name) RO OUTPATIENT     | Stamp the notation on the inside right    |
| TREATMENT RECORDS        | cover of the deceased veteran's claims    |
| REVIEWED FOR DEATH       | folder to indicate review by the Veterans |
| COMPENSATION OR PENSION  | Service Center (VSC) of the associated    |
| CLAIM                    | outpatient treatment folder for existence |
|                          | and removal of adjudicatory material not  |
| DATE \_\_\_\_ INITIALS   | appearing elsewhere.                      |
| \_\_\_                   |                                           |
+--------------------------+-------------------------------------------+

Continued on next page

6\. Standard Notations on Folders, Continued

  -----------------------------------------------------------------------
  **b. Current Standard Notations** (continued)

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

+--------------------------+-------------------------------------------+
| Standard Notation        | Usage                                     |
+--------------------------+-------------------------------------------+
| DUAL BENE.               | If a beneficiary receives benefits from   |
|                          | two or more deceased veterans             |
|                          |                                           |
|                          | -   stamp the notation on the claims      |
|                          |     folder or deceased veteran's claims   |
|                          |     folder, followed by the file          |
|                          |     number(s) of the cross-referenced     |
|                          |     case(s), and                          |
|                          |                                           |
|                          | -   pull the companion folder when the    |
|                          |     claims folder or deceased veteran's   |
|                          |     claims folder is requested.           |
|                          |                                           |
|                          | > ***Note***: There is no prohibition     |
|                          | > against adjusting dual beneficiary      |
|                          | > awards without reviewing the deceased   |
|                          | > veteran's claims folders if the         |
|                          | > Benefits Delivery Network (BDN) data    |
|                          | > are sufficient to properly work the     |
|                          | > awards.                                 |
+--------------------------+-------------------------------------------+
| EMPLOYEE                 | > Affix *VA Form 23-8949, VA Employee     |
|                          | > Folder Label* to the front of all       |
|                          | > veteran-employee folders that the       |
|                          | > regional office (RO) maintains in       |
|                          | > locked files.                           |
+--------------------------+-------------------------------------------+
| INACTIVE DECEASED        | Stamp the notation on the newly created   |
| VETERAN'S CLAIMS FOLDER  | deceased veteran's claims folder when the |
| EXISTS                   | inactive folder is created.               |
|                          |                                           |
|                          | ***Note***: The notation indicates that   |
|                          | records created or received in the RO     |
|                          | before the veteran's death are in the     |
|                          | inactive deceased veteran's claims        |
|                          | folder.                                   |
|                          |                                           |
|                          | ***Reference***: For more information,    |
|                          | see [M21-1MR, Part III, Subpart ii,       |
|                          | 4.F.22](http://vb                         |
|                          | aw.vba.va.gov/bl/21/m21-1mr/pt03/sp02/ch0 |
|                          | 4/pt03_sp02_ch04_secF.xml#III.ii.4.F.22). |
+--------------------------+-------------------------------------------+

Continued on next page

6\. Standard Notations on Folders, Continued

  -----------------------------------------------------------------------
  **b. Current Standard Notations** (continued)

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

+--------------------------+-------------------------------------------+
| Standard Notation        | Usage                                     |
+--------------------------+-------------------------------------------+
| POW (Prisoner of War)    | Affix *VA Form 10-5558, POW Label*        |
|                          |                                           |
|                          | -   to the front cover of the claims      |
|                          |     folder, and                           |
|                          |                                           |
|                          | -   approximately one-inch below and      |
|                          |     parallel to the veteran's name.       |
|                          |                                           |
|                          | > ***Note***: Complete this action for    |
|                          | > each veteran identified by an indicator |
|                          | > in the Beneficiary Identification and   |
|                          | > Records Locator Subsystem (BIRLS) as a  |
|                          | > POW.                                    |
+--------------------------+-------------------------------------------+
| REBUILT FOLDER           | Place the notation on the jacket of a     |
|                          | folder that was established because the   |
|                          | original record could not be located.     |
+--------------------------+-------------------------------------------+

### Section C. Filing and Removal of Material

#### Overview

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

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

  7            Handling Original Records                      3-C-2

  8            Filing Material in Folders                     3-C-4

  9            Removing Material From Folders                 3-C-8
  ------------ ---------------------------------------------- ------------

#### 7. Handling Original Records

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about handling        |
| troduction | > original records, including                           |
|            |                                                         |
|            | -   the definition of an original record                |
|            |                                                         |
|            | -   guidelines for preparing original records for       |
|            |     return, and                                         |
|            |                                                         |
|            | -   the prohibited reproduction of documents.           |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #####      | > Do not strictly construe the term ***original         |
| a. Definit | > record***.                                            |
| ion: Origi | >                                                       |
| nal Record | > Treat as an original record any non-original document |
|            | > that, because of age, issuance by a foreign           |
|            | > government, or other factor                           |
|            |                                                         |
|            | -   has a high sentimental value                        |
|            |                                                         |
|            | -   is irreplaceable, or                                |
|            |                                                         |
|            | -   is replaceable only at considerable expense or      |
|            |     effort.                                             |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > Before returning an original record to a claimant,    |
| b. Prepari | > make and file a true, certified copy. The certified   |
| ng Origina | > copy must contain the                                 |
| l Records  |                                                         |
| for Return | -   date the copy was made                              |
|            |                                                         |
|            | -   name of the Department of Veterans Affairs (VA)     |
|            |     office that received the original, and              |
|            |                                                         |
|            | -   signature and title of the person authorized to     |
|            |     certify authenticity.                               |
+------------+---------------------------------------------------------+

Continued on next page

7\. Handling Original Records, Continued

+------------+---------------------------------------------------------+
| #####      | > The law *prohibits* reproduction of the following     |
|  c. Prohib | > documents:                                            |
| ited Repro |                                                         |
| duction of | -   U.S. Certificates of Citizenship or Naturalization  |
|  Documents |                                                         |
|            | -   U.S. Passports, and                                 |
|            |                                                         |
|            | -   U.S. Immigration papers.                            |
|            |                                                         |
|            | > Follow the steps in the table below to handle these   |
|            | > documents after they have served their purpose.       |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Prepare a memorandum that identifies the                     |
|       |                                                              |
|       | -   record                                                   |
|       |                                                              |
|       | -   date of receipt of the original record, and              |
|       |                                                              |
|       | -   pertinent contents.                                      |
+-------+--------------------------------------------------------------+
| 2     | -   Sign the memorandum, or                                  |
|       |                                                              |
|       | -   ask an authorizer to sign the memorandum.                |
+-------+--------------------------------------------------------------+
| 3     | > File the memorandum.                                       |
+-------+--------------------------------------------------------------+
| 4     | > Return the document to the claimant.                       |
+-------+--------------------------------------------------------------+

#### 8. Filing Material in Folders

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about filing material |
| troduction | > in folders. It includes                               |
|            |                                                         |
|            | -   general policy information, and                     |
|            |                                                         |
|            | -   information on                                      |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   material containing a change of address             |
|            |                                                         |
|            | -   veterans folders                                    |
|            |                                                         |
|            | -   *VA Form 10-3384*, *Exchange of Beneficiary         |
|            |     Information and Request for Eligibility Data        |
|            |     CHAMPVA*, and                                       |
|            |                                                         |
|            | -   flashes.                                            |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #          | > File *only* essential material in a claims folder.    |
| #### a. Ge | >                                                       |
| neral Poli | > Do *not* make material of non-record value a part of  |
| cy on Fili | > official records.                                     |
| ng Materia |                                                         |
| ls in Clai |                                                         |
| ms Folders |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b.   | > Follow the steps in the table below upon receipt of   |
|  Material  | > material that contains a change of address.           |
| Containing |                                                         |
|  A Change  |                                                         |
| of Address |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Enter the change of address in the master record.            |
+-------+--------------------------------------------------------------+
| 2     | File on the left-hand side of the claims folder and do *not* |
|       | dispose of any                                               |
|       |                                                              |
|       | -   source documents that contain data of record value in    |
|       |     addition to the address, or                              |
|       |                                                              |
|       | -   address changes that                                     |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   are for a nursing home, penal institution, or fiduciary  |
|       |     payee, or                                                |
|       |                                                              |
|       | -   cannot be entered and retrieved from a Hines master      |
|       |     record.                                                  |
|       |                                                              |
|       | > ***Exception***: Dispose of any remaining material in      |
|       | > accordance with *RCS VB-1, Part I, Item No. 13-051.000*.   |
+-------+--------------------------------------------------------------+

Continued on next page

8\. Filing Material in Folders, Continued

+------------+---------------------------------------------------------+
| ####       | > The fasteners of some older claims folders were       |
| # c. Filin | > located on the side rather than the top, as they      |
| g Material | > currently are. If a folder is pulled for any purpose  |
|  in Vetera |                                                         |
| ns Folders | -   ensure the appropriate filing of documents, and     |
|            |                                                         |
|            | -   convert side filing folders to top filing folders.  |
|            |                                                         |
|            | > Use the table below to file material in newly created |
|            | > folders and existing non-segregated folders.          |
|            | >                                                       |
|            | > ***Reference***: For information on segregated        |
|            | > folders, see [M21-1MR, Part III, Subpart ii,          |
|            | > 4.F.21](http://vbaw.vba.va.gov/bl/21/m21-1mr          |
|            | /pt03/sp02/ch04/pt03_sp02_ch04_secF.xml#III.ii.4.F.21). |
+------------+---------------------------------------------------------+

+------------------------------------+------------+-------------------+
| Type of Material                   | Folder     | Filing Order      |
|                                    | Location   |                   |
+------------------------------------+------------+-------------------+
| -   Award prints                   | Left flap  | Top               |
|                                    |            |                   |
| -   overpayment material           |            |                   |
|                                    |            |                   |
| -   all documents relating to      |            |                   |
|                                    |            |                   |
| ```{=html}                         |            |                   |
| <!-- -->                           |            |                   |
| ```                                |            |                   |
| -   payments                       |            |                   |
|                                    |            |                   |
| -   allowances, and                |            |                   |
|                                    |            |                   |
| -   denials, and                   |            |                   |
|                                    |            |                   |
| ```{=html}                         |            |                   |
| <!-- -->                           |            |                   |
| ```                                |            |                   |
| -   Benefits Delivery Network      |            |                   |
|     (BDN) prints of name changes   |            |                   |
+------------------------------------+------------+-------------------+
| -   Birth certificates             | Center     | Chronological     |
|                                    |            |                   |
| -   marriage certificates          |            |                   |
|                                    |            |                   |
| -   divorce decrees                |            |                   |
|                                    |            |                   |
| -   legal documents, and           |            |                   |
|                                    |            |                   |
| -   any permanent type of          |            |                   |
|     adjudicative material,         |            |                   |
|     including Compensation and     |            |                   |
|     Pension (C&P) applications in  |            |                   |
|     support of the claim           |            |                   |
+------------------------------------+------------+-------------------+
| > Educational material             | Right flap | Top               |
+------------------------------------+------------+-------------------+

Continued on next page

8\. Filing Material in Folders, Continued

  -----------------------------------------------------------------------
  **c. Filing Material in Veterans Folders** (continued)

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

+------------------------------------+------------+-------------------+
| Type of Material                   | Folder     | Filing Order      |
|                                    | Location   |                   |
+------------------------------------+------------+-------------------+
| -   *VA Form 26-1833, Advice       | Left flap  | Reverse           |
|     Regarding Indebtedness of      |            |                   |
|     Obligors on Guaranteed or      |            | ***Rationale***:  |
|     Insured Loans*                 |            | This filing order |
|                                    |            | keeps the         |
| -   *VA Form 26-6822*, *Advice of  |            | material on top   |
|     Termination and Indebtedness   |            | of all subsequent |
|     on Portfolio Loans,* and       |            | documents filed.  |
|                                    |            |                   |
| -   *VA Form 20-6560, Notice of    |            |                   |
|     Benefit Payment Transaction,*  |            |                   |
|     with message code 628, STATUS  |            |                   |
|     OF RECOUPMENT BALANCE AT       |            |                   |
|     TERMINATION                    |            |                   |
+------------------------------------+------------+-------------------+
| -   *VA Form 21-22, Appointment of | Right flap | Reverse           |
|     Veterans Service Organization  |            |                   |
|     as Claimant's Representative*  |            | ***Rationale***:  |
|                                    |            | This filing order |
| -   *VA Form 21-22a, Appointment   |            | keeps these forms |
|     of Attorney or Agent as        |            | above the         |
|     Claimant's Representative,*    |            | training material |
|     and                            |            | at all times.     |
|                                    |            |                   |
| -   *DD Form 214,* the military    |            | ***Note***: If    |
|     separation document or its     |            | necessary, add an |
|     equivalent                     |            | ACCO fastener to  |
|                                    |            | the right flap of |
|                                    |            | an existing       |
|                                    |            | folder to         |
|                                    |            | accommodate       |
|                                    |            | reverse filing.   |
+------------------------------------+------------+-------------------+

+------------+---------------------------------------------------------+
| #          | > File *VA Form 10-3884, Exchange of Beneficiary        |
| #### d. Fi | > Information and Request for Eligibility Data CHAMPVA* |
| ling VA Fo |                                                         |
| rm 10-3884 | -   in the center portion of the folder, and            |
|            |                                                         |
|            | -   in reverse filing order.                            |
+------------+---------------------------------------------------------+

Continued on next page

8\. Filing Material in Folders, Continued

+------------+---------------------------------------------------------+
| ###        | > Use the table below to file flashes in *reverse*      |
| ## e. Fili | > filing order to allow the flash to be folded back and |
| ng Flashes | > remain on top of all subsequent material.             |
|            | >                                                       |
|            | > ***Exception***: Do *not* reverse file *VA Form       |
|            | > 27-8886, Insurance Flash*, if                         |
|            |                                                         |
|            | -   VA has                                              |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   adjudicated the original death pension claim, and   |
|            |                                                         |
|            | -   included the insurance payment in income            |
|            |     considerations, or                                  |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   there is no claim for more than 45 days after the   |
|            |     date of the death (provided VA paid the insurance   |
|            |     within the 45 days).                                |
+------------+---------------------------------------------------------+

+--------------------------------------+-------------------------------+
| Flash                                | Location                      |
+--------------------------------------+-------------------------------+
| -   *VA Form 22-6564, Claims Folder  | Left flap of the claims       |
|     Flash -- Vocational              | folder                        |
|     Rehabilitation Trainee*          |                               |
+--------------------------------------+-------------------------------+
| -   *VA Form 20-6879, Overpayment    | Left flap of the claims or    |
|     Flash*, and                      | deceased veterans claims      |
|                                      | folder                        |
| -   *VA Form 27-8886*                |                               |
+--------------------------------------+-------------------------------+

#### 9. Removing Material From Folders

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information about removing        |
| troduction | > material from folders. It includes information about  |
|            | > the                                                   |
|            |                                                         |
|            | -   types of material requiring removal, and            |
|            |                                                         |
|            | -   removal procedure.                                  |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| ####       | > Remove the following types of material from the       |
| # a. Types | > claims folder if it has served its initial purpose    |
|  of Materi | > and has no legal, administrative, or historical       |
| al Requiri | > value:                                                |
| ng Removal |                                                         |
|            | -   diary forms                                         |
|            |                                                         |
|            | -   reference and routing slips                         |
|            |                                                         |
|            | -   control records                                     |
|            |                                                         |
|            | -   incoming transmittal or cover letters with no       |
|            |     evidentiary value                                   |
|            |                                                         |
|            | -   envelopes and returned VA original letters with no  |
|            |     evidentiary value                                   |
|            |                                                         |
|            | -   requests for civil service preference certificates  |
|            |                                                         |
|            | -   VA form and form letter requests for evidence       |
|            |     (returned originals or file copies)                 |
|            |                                                         |
|            | -   rating activity worksheets                          |
|            |                                                         |
|            | -   flashes, and                                        |
|            |                                                         |
|            | -   BDN prints not specifically required by directives. |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > Follow the steps in the table below to remove         |
| b. Removal | > material from the folder.                             |
|  Procedure |                                                         |
+------------+---------------------------------------------------------+

  -------- --------------------------------------------------------------
  Step     Action

  1        Remove material contained in claims folders that is redundant
           or of non-record value.
  -------- --------------------------------------------------------------

Continued on next page

9\. Removing Material From Folders, Continued

  -----------------------------------------------------------------------
  **b. Removal Procedure** (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 2     | > To remove material submitted by the claimant               |
|       |                                                              |
|       | -   date stamp the material, and                             |
|       |                                                              |
|       | -   return it with a cover letter.                           |
|       |                                                              |
|       | ***Reference***: For information on handling duplicate       |
|       | evidence submitted by the claimant, see [M21-1MR, Part III,  |
|       | Subpart ii,                                                  |
|       | 2.E.21.b](http://vbaw.vba.va.gov/bl/21/m21-                  |
|       | 1mr/pt03/sp02/ch02/pt03_sp02_ch02_secE.xml#III.ii.2.E.21.b). |
+-------+--------------------------------------------------------------+
| 3     | Dispose of the remaining removed material under *RCS VB-1,   |
|       | Part I, Item number 13-052.200*.                             |
+-------+--------------------------------------------------------------+