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Updated Jun 07, 2024

In This Section

 
This section contains the following topics:
 
Topic
Topic Name
1
2
3
4
5
6

 

1.  Board Identification of Special Handling

Introduction

  

This topic contains information about how the Board identifies paper claims folders for special handling after its decision, including

Change Date

   March 2, 2020

6.C.1.a  Board Notice for the Front of the Paper Claims Folder

 
The Board of Veterans’ Appeals (Board) affixes the following label to the outside of a paper claims folder that meets the criteria for review by the Court of Appeals for Veterans Claims (CAVC). 
 
Note:  ROs should not stock this label.
 
Example:

ATTENTION

THE BOARD OF VETERANS APPEALS HAS MADE A DECISION ON THIS

APPEAL WHICH IS SUBJECT TO REVIEW BY

THE UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS

 

SPECIAL PROCEDURE TO PROTECT THE INTEGRITY OF THE

FOLDER

MUST BE FOLLOWED
 

6.C.1.b Board Notices for the Left and Right Flaps of the Folder

 
The Board also places the following labels on the left and right flaps in each volume of the paper claims folder when its decision meets the criteria for review by CAVC.
 
Note:  ROs should not stock this label.
 
Example:

Example of Label for the Flaps of a Claims Folder

6.C.1.c  Board Notice for the Center of the Folder

 
The Board places the following label over the records in the center in each volume of the paper claims folder when a decision meets the criteria for review by CAVC.
 
Note:  ROs should not stock this label.
 
Example:

Example of a Label for the Center Flap of a Claims Folder

6.C.1.d  Example of Local Certification of Record Integrity

 

The Board provides the following statement for completion by the VSCM, PMCM, or designee before returning the paper claims folder to the main file bank, or before its transfer.

 

“I certify that this VA records folder was maintained in a secured area at the VA Regional Office ___________ and that, to the best of my knowledge and belief, nothing was added to or deleted from the record identified as subject to review by the United States Court of Appeals for Veterans Claims.”

 

______________

Date

 

_____________________________

Signature and Title of Certifying Official

2. Handling Claims Folders After Board Decisions

 

Introduction

 
This topic contains information on the special handling of claims folders after a Board decision, including

Change Date

  
 August 23, 2021

6.C.2.a.  General Policy on the Handling of Claims Folders After a Board Decision

 
Special procedures exist for the handling of paper claims folders containing a decision by the Board of Veterans’ Appeals (Board) that meets the criteria for review by the Court of Appeals for Veterans Claims (CAVC).
 
Note:  Whenever possible, send paper claims folders to the scanning vendor for conversion into an electronic claims folder (eFolder).
 
References:  For more information on

6.C.2.b. Effect of the Veterans Judicial Review Act

 
The Veterans Judicial Review Act, Public Law 100-687, enacted into law on November 18, 1988,
  • created CAVC (originally the Court of Veterans Appeals (COVA)), and
  • granted CAVC exclusive jurisdiction to review Board decisions. 
Board decisions resulting from a notice of disagreement filed on or after November 18, 1988, are subject to review by CAVC.

6.C.2.c.  Special-Handling Period After Board Decisions

 
In accordance with 38 U.S.C. 7266, appeals of Board decisions must be filed directly with CAVC within 120 days of an adverse decision.
 
Prior to the expiration of this appeal period, the Department of Veterans Affairs (VA) requires special handling of the paper claims folder to 
  • preserve the record that served as the basis for the Board decision, and
  • ensure that the paper claims folder is available for immediate transfer to the  CAVC Litigation Group of the Office of the General Counsel (OGC) if the claimant files an appeal to CAVC.
To avoid sanctions against VA and its employees, the regional office (RO) must follow prescribed procedures when processing paper claim folders during this period.
 
Exception: The special handling only applies to paper claims folders that are excluded from scanning.
 
Important:  Although the statute allows only 120 days to file an appeal, VA maintains special handling of the paper claims folder for a period of 150 days to allow additional time for mail processing.
 
References:  For more information on

6.C.2.d. Converting Paper Claims Folders with Board Decisions to eFolders

  
When applicable, ROs and decision review operations centers (DROCs) should route the paper claims folders received after Board decisions to the scanning vendor for conversion into electronic claims folders (eFolders). 
 
Exception:  Do not ship claims folders to the scanning vendors if claims are pending that cannot be processed in the Veterans Benefits Management System (VBMS).
 
Once the scanning vendor converts a paper claims folder into an eFolder, 
  • the claims folder requires no further special handling if it contains a Board decision that meets the criteria for review by CAVC
  • the scanning vendor will use BVA decision as the document type when scanning in the pink file insert the Board uses to identify claims folders that require special handling, and
  • the CAVC Litigation Group of the Office of General Counsel will have access to the eFolder if the appellant files an appeal with CAVC.
 Notes: 
  • The scanning vendor will not prioritize claims folders without pending end products.
  • Once the CAVC Litigation Group has requested a paper claims folder, do not send it to the scanning vendor, as this action may hinder timely access of the claims folder by the CAVC Litigation Group.
  • The DROC is responsible for sending the claims folder to the scanning vendor after an RO notifies the DROC it needs the folder to decide a priority claim.
References:  For more information on

6.C.2.e.  Board Responsibility to Identify Cases Requiring Special Handling

  
The Board determines which of its decisions meet the criteria for review by CAVC.
 
The table below describes the process of identifying claims folders that meet the criteria for review by CAVC.
 

Stage
Description
1
To preserve the integrity of records contained in the claims folder, the Board places pink file inserts over them.
 
Note:  ROs do not stock the file inserts, because the Board maintains the inserts for its exclusive use.
 
Reference:  For more information about the pink file inserts, see M21-5, Chapter 6, Section C.1.
2
The Board annotates the center file insert with the date on which the claims folder no longer requires special handling.
 
Note:  The date is 150 days from the date of the Board decision.
 
Reference:  For more information on the special-handling period after Board decisions, see M21-5, Chapter 6, Section C.2.c.
3
The Board returns the paper claims folder to the RO of jurisdiction.
 

6.C.2.f.  Removal of Board Evidence Tabs

 
Do not remove any Board evidence tabs before the end of the 150-day control period.
 
Note:  In the event of an appeal, the CAVC Litigation Group relies on the Board evidence tabs to identify the records to copy for the Record on Appeal (ROA).

6.C.2.g.  Veterans Service Center Manager (VSCM) and Pension Management Center Manager (PMCM) Responsibilities

 
Veterans Service Center Managers (VSCMs) and Pension Management Center Managers (PMCMs) are responsible for designing and implementing local procedures to keep claims folders that are subject to CAVC review in a secure area that is separate from the main file bank.
 
During the special-handling period referenced in M21-5, Chapter 6, Section C.2.c, VSCMs and PMCMs must 
  • maintain control of the claims folder
  • protect the integrity of the records contained in the claims folder
  • ensure the claims folder is available for transfer to the CAVC Litigation Group upon request if an appeal is filed with CAVC
  • ensure that if the claims folder is removed from the secured area, it is returned by the end of the same business day
After the special-handling period ends, VSCMs and PMCMs are responsible for 
  • certifying that, while controlling the claims folder, no material was added to or deleted from the record that was the basis for the Board decision, and
  • returning the claims folder to the main file bank.
Reference:  For more information on transferring folders during the special-handling period, see M21-5, Chapter 6, Section C.5.

6.C.2.h.  Using Charge Cards During Special Handling

 
While a claims folder that is subject to CAVC review is secured in a location outside the main file bank, place a charge card in the location in the main file bank where the claims folder is normally stored.
 
 

 
3.  Using Temporary Files During the Special-Handling Period

 

 

Introduction

 
This topic contains information on the use of temporary files during the special-handling period, including

Change Date

  
 March 2, 2020

6.C.3.a.  General Policy for Maintaining a Temporary File

 
During the 150-day special-handling period referenced in M21-5, Chapter 6, Section C.2.c, do not add or delete material contained in the permanent paper claims folder.
 
During the special-handling period, ROs must maintain the temporary file they created when they transferred a permanent paper claims folder to the Board for appellate review.
 
Reference:  For more information on using a temporary file, see M21-5, Chapter 6, Section C.3.b.

6.C.3.b.  Definition of a   Temporary File

 
A temporary file
  • is a paper folder that contains
    • copies of documents from the permanent paper claims folder, and
    • original documents received
      • while the permanent paper claims folder was transferred out of the RO, and
      • during the special-handling period referenced in M21-5, Chapter 6, Section C.2.c
  • is not subject to the same stringent restrictions as the permanent claims folder, and
  • should have a charge card. 
Reference:  For more information on material a temporary file should contain, see M21-5, Chapter 7, Section F.4.c.

6.C.3.c.  Disposition of the Temporary File

 
A claimant’s temporary file remains at the RO if the claimant files an appeal with CAVC.

6.C.3.d.  Using a Temporary File During Special Handling

 
Whenever possible, use the temporary file without the claims folder to process issues that arise during the special-handling period.
 
Reference:  For more information on limiting access to the paper claims folder during the special-handling period, see M21-5, Chapter 6, Section C.4.b.

6.C.3.e.  Annotating a Temporary File After a Board Decision

 
After the Board returns the paper claims folder with a decision, the RO must annotate the cover of the temporary file with “BVA Decision [date].”

6.C.3.f.  Storing a Temporary File

 
At the discretion of the VSCM or PMCM, store the temporary file during the special-handling period in
  • a secured area with the claims folder, or
  • the main file bank.

 

 

4.  Reviewing Paper Claims Folders During the Special-Handling Period

 

 

Introduction

 
This topic contains information about reviewing the paper claims folder during special handling, including

Change Date

  
 March 2, 2020

6.C.4.a. Restrictions on Review of Paper Claims Folders Subject to Special Handling

 
When reviewing a claims folder subject to CAVC review, do not change the order of the filed material.
 
The reviewer is required to document the 
  • purpose of the review
  • date and time of the review
  • record reviewed
  • reviewer’s name, and
  • certification that nothing has been added to, or deleted from, the material identified by the Board as subject to review by CAVC.
Note:  The required certification appears on the file insert that the Board places over the center flap of the paper claims folder.

6.C.4.b.  Limiting Employee Access to Paper Claims Folders

 
During the special-handling period, ROs must limit access to paper claims folders that are subject to CAVC review to the fewest number of employees.
 
After each review, the VSCM, PMCM, or his/her designee must certify that no material was added to, or deleted from, the record.

6.C.4.c.  Non-VA Personnel Who May Access Paper Claims Folders During Special Handling

 
Non-VA personnel who may review a paper claims folder during the special-handling period include
  • claimants
  • service officers
  • attorneys, and
  • any other non-VA employee authorized by the appellant.

 

6.C.4.d. How Non-VA Personnel May Access Paper Claims Folders During Special Handling

 
To protect the integrity of records contained in the paper claims folder, a VA employee must be present when non-VA personnel, such as a claimant, service officer, or attorney, review a claims folder subject to special handling.
 
The VA employee does not need to be from the VSC or PMC, but he/she must 
  • certify over his/her signature that no material was added to, or deleted from, the record that is subject to review by CAVC, and
  • not comment on, or offer explanations of, material contained in the claims folder.
 

 

5.  Transferring Folders During the Special-Handling Period

 

 

Introduction

 

This topic contains information about transferring paper claims folders which are subject to review by CAVC, including

Change Date

   June 10, 2024

6.C.5.a.  Special-Handling Period Following Board Decisions

 
The 150-day period following a Board of Veterans’ Appeals (Board) decision involves special handling of paper claims folders, which are subject to review by the United States Court of Appeals for Veterans Claims (CAVC). The purpose of this handling is to protect the integrity of the record, as the CAVC will decide any appeal based upon the record before the Board at the time of the Board’s decision. Therefore, no one must add or remove any documents from the claims folder.
 
Reference:  For more information on the special handling of claims folders, see M21-5, Chapter 6, Section C.2.c.

6.C.5.b.   
Shipping Policy During Special Handling

 

During the 150-day period following a Board decision, ship paper claims folders that are subject to review by CAVC via

  • overnight mail, or
  • express mail. 

Reference:  For more information on the special handling of claims folders after Board decisions, see M21-5, Chapter 6, Section C.2.c.

6.C.5.c.
Permanent Transfers During Special Handling

  
If a paper claims folder requires a permanent transfer to another RO during the 150-day special-handling period following a Board decision, make sure the temporary file accompanies the paper claims folder.
 
The receiving RO must
  • store the paper claims folders in its Board secured area, and
  • establish a local control date to return the paper claims folder to regular storage on the date indicated by the Board. 

Reference:  For instructions on maintaining special handling claims folders at the RO, see M21-5, Chapter 6, Section C.2.g.

6.C.5.d.
Temporary Transfers During Special Handling

  

During the special-handling period, do not temporarily transfer paper claims folders to any entity other than the following:

  • another RO
  • the Board
  • the Office of General Counsel (OGC)
  • Veterans Benefits Administration’s (VBA’s)
    • Office of Administrative Review
    • Compensation Service
    • Pension and Fiduciary Service
    • Education Service, or
    • Veteran Readiness and Employment (VR&E) Service, or
  • VA medical centers (VAMCs) in association with examination requests.

Important:  Do not temporarily transfer paper claims folders to a VAMC unless the RO can ensure the VAMC:

  • is familiar with the special handling requirements
  • can maintain security of the paper claims folders and not tamper with material filed in the paper claims folder, and
  • agrees to expeditiously return the paper claims folder to the RO if the CAVC Litigation Group requests it. 

Notes: 

  • When a temporary transfer is necessary, send the temporary file instead of the paper claims folder, if possible.
  • Paper claims folders may be temporarily transferred to the Board based on a telephone request from the Office of the
    • Chairman, or
    • Director of the Administrative Support Staff.

6.C.5.e.
Coordination of Temporary Transfers to Central Office (CO)

  
Contact OAR’s Operations Division (oarops.vbawas@va.gov) to coordinate a temporary transfer of paper claims folders for VA Central Office (CO) review.
 

6.C.5.f.
Temporary Transfers Between Regional Offices (ROs)

  
When temporarily transferring paper claims folders between ROs, the receiving RO must store the paper claims folders in its Board secured area and should only store the paper claims folder in the main file bank when the special-handling period has expired.
 
If the claims folders are returned to the station of origination during the special-handling period, the Veterans Service Center Manager (VSCM), Pension Management Center Manager (PMCM) or designee must certify, using the Board label in the center of the paper claims folders, that no material subject to CAVC review was
  • added to, or
  • deleted from the record. 

Reference:  For more information on Board label inserts for paper claims folders, see M21-5, Chapter 6, Section C.1.

6.C.5.g.
Transfer of Paper Special-Handling Cases Between ROs

  
Follow the steps in the table below when transferring paper claims folders between ROs during the special-handling period.
 
Step
Action
1
Prior to mailing the paper claims folder, the sending RO must advise the receiving RO of the pending transfer via e-mail or telephone.
2
The VSCM, PMCM or designee at the sending RO (or, for the purposes of this table where appropriate, the Chief of the reviewing staff at CO) certifies over their signature that, while the paper claims folder was maintained at that facility, no material was added to or deleted from the record that is subject to review by CAVC.
 
Note:  The VSCM or PMCM
  • may not delegate certification to a lower authority, and
  • must enter the certification in the space provided on the file insert that the Board placed on the center flap of the folder.
3
The sending RO must
  • address the paper claims folder to the VSCM or PMCM at the receiving RO, and
  • annotate on the folder Do Not Open In Mail Room.
4
The VSCM or PMCM at each RO
  • alerts the administrative activity of the priority of these paper claims folders, and
  • makes special arrangements for the paper claims folder to be delivered from the mailroom to the VSCM or PMCM.
5
The sending RO transfers the paper claims folder.
6
If the receiving RO has not received the claims folder within five business days, the receiving RO must alert the sending RO.
 
Important:  The sending RO must initiate follow-up action to determine the current location of the claims folder.
 

6.C.5.h.
Quality Reviews During Special Handling

  
Do not refer paper claims folders subject to special handling to CO for quality review.  If a quality review random selection list includes special-handling folders, contact the Quality Assurance staff to amend the list.
 

6.  After Special Handling Expires

 
 
 

Introduction

 
This topic contains information about handling paper claims folders when special handling is no longer required, including

Change Date

  
 March 2, 2020

6.C.6.a.  Handling Claims Folders After CAVC Issues a Decision

  
Follow the steps in the table below when handling claims folders after CAVC issues a decision.
 

Step
Action
1
The CAVC Litigation Group transfers the claims folder and a copy of the decision to the Board for appropriate action.
2
Did CAVC issue a decision that requires the RO to take specific action?
  • If yes, take appropriate action to process the CAVC decision.
  • If no, proceed to Step 3. 
Reference:  For more information on handling CAVC decisions, see M21-5, Chapter 6, Section D.2.
3
If CAVC declines jurisdiction or issues a decision that does not require VA to take specific action, the CAVC Litigation Group will remove from the claims folders the
  • outside labels
  • file inserts, and
  • Board evidence tabs.
4
The CAVC Litigation Group returns the claims folder to the RO using routine transfer procedures.  The RO must
  • transfer documents not already of record from the temporary file to the paper claims folder
  • destroy under current directives the temporary file and any duplicate documents it contains, and
    • store the paper claims folder in the main file bank, or
    • send the paper claims folders to the scanning vendor to convert into an eFolder, when applicable.
 
 

6.C.6.b.  Actions to Take After Expiration of the Special-Handling Period

  
Follow the steps in the table below if the
Step
Action
1
Remove the paper claims folder from the secured area.
2
Remove from the folder the 
  • outside label
  • file inserts, and
  • Board evidence tabs.
3
Transfer the documents from the temporary file to the permanent claims folder.
4
  • Route the paper claims folder to the main file bank, or 
  • Send the paper claims folder to the scanning vendor to convert into an eFolder, when applicable.
5
Destroy the temporary file according to current procedures.