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Updated Feb 24, 2023

In This Section

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

1.  Restricted Records Storage and Control

Introduction

  
This topic contains information on restricted records storage and control, including

Change Date

   February 9, 2022

II.ii.2.B.1.a.  Restricted Record and Sensitive Access Designations

  
A Veteran’s record and claims may be assigned a sensitive access level that restricts access to the record in order to maintain privacy, safety, and to protect against fraud.  Claims designated at sensitive level 7 or above, must be worked by one of the restricted access claims centers (RACCs) listed in M21-1, Part II, Subpart ii, 2.B.1.b.  If the claims folder exists in a paper format, it must also be stored in locked files at the RACC.
 
Notes:
  • The National Work Queue (NWQ) and the Veterans Benefits Management System (VBMS) will only allow users with appropriate sensitive access authorizations to receive claims or view folders with restricted access designations.
  • NWQ will route claims to authorized personnel based on the appropriate restricted access claim attributes.
  • When a Veterans service organization (VSO) has a question regarding a claim that a RACC is processing, the VSO may contact the RACC by e-mail, using the e-mail addresses shown in M21-1, Part II, Subpart ii, 2.B.1.b.
References:  For more information on

II.ii.2.B.1.b.  RACC Locations, Jurisdiction, and Addresses

  
The table below displays the
  • name and the Veterans Appeals Control and Locator System (VACOLS) station number of each RACC
  • claims folders over which each RACC has jurisdiction, and
  • the mailing and e-mail address of each RACC.
Name
Jurisdiction
Address
St. Paul RACC (RO76)
  • Employees and designated relatives of all regional offices except Milwaukee and St. Paul
  • all Veterans Benefits Administration (VBA) facilities except Continental District Office and Detroit Human Resources Center
  • all Veterans Service Officers (VSOs) except those assigned to St. Paul, and
  • all other sensitive 8 and sensitive 9 records not specifically assigned to Milwaukee or San Diego.
Mailing:
St. Paul VA Regional Office
Bishop Henry Whipple Federal Building
Restricted Access Claims Center (RO 076)
PO Box 11940
St. Paul, MN 55111
 
E-mail:  VAVBASPL/RO/RACC
St. Paul Pension Management Center (PMC) RACC (RO83)
All PMC-related restricted record claims except for those filed by St. Paul employees or their designated relatives.
Mailing:
St. Paul VA Regional Office
Bishop Henry Whipple Federal Building
PMC Restricted Access Claims Center (RO 083)
PO Box 11940
St. Paul, MN 55111
Milwaukee RACC (RO75)
  • St. Paul employees and designated relatives of St. Paul employees, and
  • VSOs assigned to St. Paul.
Mailing:
Milwaukee VA Regional Office
Restricted Access Claims Center (RO 075)
5400 W National Avenue
Milwaukee, WI 53214
 
Milwaukee PMC RACC (RO82)
All PMC-related restricted record claims filed by St. Paul employees or their designated relatives.
Mailing:
Milwaukee VA Regional Office
PMC Restricted Access Claims Center (RO 082)
5400 W National Avenue
Milwaukee, WI 53214
San Diego RACC
  • Milwaukee employees and designated relatives of Milwaukee employees
  • Continental District Office and Detroit Human Resources Center employees and designated relatives, and
  • VSOs assigned to Milwaukee.
Mailing:
San Diego Regional Office
8810 Rio San Diego Drive
San Diego, CA 92108
 
 

II.ii.2.B.1.c.  Handling Paper Claims Folders Containing Restricted Information

  
Additional measures must be taken upon identification of a paper claims folder containing information that is of such a confidential nature that
  • restricting access to the record is warranted, and
  • filing the record in a paper claims folder would not adequately safeguard it from being accessed by those without a business need to view it.
Example:  A confidential report from the Federal Bureau of Investigation.
 
Follow the steps in the table below to properly safeguard the restricted information.
 
Step
Action
1
Place the record containing restricted information in an opaque and windowless envelope.
2
Label the front of the envelope with the claim number and a brief description of the envelope’s contents.
3
Important:
  • VA Form 3797 must remain on top of all other material in the paper claims folder at all times.
  • If the paper claims folder is temporarily unavailable when VA Form 3797 is completed, retain the form in the same storage location vacated by the paper claims folder.
4
Secure the restricted paper claims folder in locked files.
 
Reference:  For more information about locked files, see M21-1, Part II, Subpart ii, 2.B.2.

II.ii.2.B.1.d. Redacting Copies of Documents Containing PII for Multiple Individuals Prior to Providing Copies to the Claimant or a Third Party

  
For the purposes of this block, the term documents applies to both the paper and electronic claims folders (eFolders).  The Department of Veterans Affairs (VA) may not provide information that includes“personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy” in response to a request for records under the Privacy Act or Freedom of Information Act.
 
Pursuant to 5 U.S.C. 552 (b)(6), documents containing personally identifiable information (PII) for multiple individuals must be reviewed for relevancy to a particular claimant’s record and copies must be appropriately redacted before providing to the claimant or a third party.
Examples of documents requiring redaction include
  • copies of orders in which multiple Veterans’ PII is provided
  • write-outs or spreadsheets covering multiple beneficiaries, and
  • any information in which there is reason to believe the requestor seeks the information to commit a crime or cause harm.
At a minimum, redacted documents must
  • include only PII relevant to a particular Veteran’s records, and
  • ensure all other PII is totally unreadable.
 
Important: 
  • Any document related to a benefit sought under the umbrella of an individual Veteran’s eligibility, but including another individual’s PII, such as dependency documents containing PII of a spouse or child, personnel pages, etc., requires redaction.
  • Employees should notify their supervisor when there is reason to believe the information requested by a third party will be used to commit a crime or cause harm.  Do not release the document(s) and/or information until receiving approval from management.

II.ii.2.B.1.e. Redacting Documents Containing Criminal Investigation Reports

  
Documents in the paper claims folder containing criminal investigation reports must be replaced with a redacted copy.  Claims processors authorized to perform redactions must leave a note explaining all actions taken related to the redaction.
 
Reference:  For more information on redacting documents in the eFolder that contain criminal investigation reports, see M21-1, Part II, Subpart ii, 2.A.

2.  Paper Claims Folders Requiring Restricted Access

Introduction

  
This topic contains information on locked files, including

Change Date

   March 31, 2021

II.ii.2.B.2.a.  Locked File

  
The term locked files represents a locked room or locked cabinet(s) where RACCs must secure paper claims folders to which access is restricted.
 
Notes:
  • This definition, and the requirement to lock this category of records in a room or cabinet, also applies to paper claims folders the RACC maintains at offsite facilities.
  • Locked files must be located in, or in close proximity to, the office of the Veterans Service Center Manager (VSCM) or Pension Management Center Manager (PMCM).

Reference:  For more information on

  • paper claims folder storage guidelines, see the attachment Historical_M21-1III_ii_4_SecA_9-27-19, and
  • conversion to a deceased Veteran’s claims folder or establishing an inactive folder, see the attachment Historical_M21-1III_ii_4_SecF_7-11-15.

II.ii.2.B.2.b.  Responsibility for Managing Locked Files

  
The VSCM/PMCM or designee is the sole custodian of all material stored in locked files and is responsible for the proper handling of it.  Specific responsibilities include
  • filing, safeguarding, and releasing (upon proper request) paper claims folders stored in locked files, and
  • maintaining a log showing the
    • date of removal of a paper claims folder from locked files
    • claims folder number associated with the paper claims folder
    • name of the employee with temporary custody of the paper claims folder, and
    • date of return of the paper claims folder to locked files.
Important:
  • Paper claims folders removed from locked files must be returned by the end of each business day.
  • If a document is added to or removed from a paper claims folder in locked files, the log referenced in this block must be updated to show the folder was charged out and back in, even if the folder never left the locked files area.

II.ii.2.B.2.c.  Releasing Paper Claims Folders Stored in Locked Files

  
A paper claims folder stored in locked files may be released only to
  • RACC or PMC employees with a business need to access the record
  • the chief (or properly designated alternate) of the division requiring use of the record, or
  • the beneficiary’s or claimant’s recognized service organization or other power of attorney.
Important:
  • Control the movement of paper claims folders in and out of locked files by updating the log referenced in M21-1, Part II, Subpart ii, 2.B.2.b.
  • The individual or entity to which the paper claims folder is released is responsible for
    • safeguarding the paper claims folder while in its custody, and
    • returning the paper claims folder to locked files by the end of each day.

3.  Records Pertaining to HIV or AIDS, Alcohol Abuse, Drug Abuse, or Sickle Cell Anemia

Introduction

  
This topic contains information about handling records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia, including

Change Date

   March 31, 2021

II.ii.2.B.3.a. Confidentiality Requirement Under 38 U.S.C. 7332

  
The statutory guidelines of 38 U.S.C. 7332 require the confidentiality of VA records pertaining to human immunodeficiency virus (HIV) or acquired immune deficiency syndrome (AIDS), alcohol abuse, drug abuse, or sickle cell anemia.
 
This statute also requires the confidentiality of information received, obtained, or maintained by an employee or contractor of VA for the purpose of performing HIV, AIDS, alcoholism, drug abuse, or sickle cell anemia program functions regarding an identifiable patient.
 
For the purpose of this block, a program function includes
  • treatment
  • rehabilitation
  • education
  • training
  • evaluation, and
  • research.

II.ii.2.B.3.b.  VHA Responsibilities for Identifying and Maintaining Certain Original VA Records

  
The Veterans Health Administration (VHA) is responsible for identifying and permanently maintaining any original VA records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia.
 
VHA specifically identifies these records as falling under the purview of 38 U.S.C. 7332.

II.ii.2.B.3.c. Copies of Records on Loan From VHA

  
For the purpose of processing benefit claims, VHA loans copies of records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia to the RO.
 
RO personnel must

II.ii.2.B.3.d.  Records a Claimant or Beneficiary Submits to an RO

  
It is acceptable for an RO to keep VA records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia in a claimant’s or beneficiary’s claims folder if the claimant or beneficiary submits them to the RO.  However, the RO must advise the claimant/beneficiary that because the RO may request and obtain copies of the same records from the VA medical facility having custody of them, the records do not need to remain in the claims folder unless the claimant/beneficiary so desires.
 
Important:  Do not disclose the records without the claimant’s/beneficiary’s consent.  Send him/her VA Form 10-5345, Request for and Authorization to Release Medical Records or Health Information, if consent is necessary.

II.ii.2.B.3.e.  Other Records That May Be Kept in the Claims Folder

  
It is acceptable to keep the following records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia in a claims folder:
  • reports of VA examinations conducted for the purpose of evaluating HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia (The provisions of 38 U.S.C. 7332 do not apply to these reports.), and
  • records pertaining to HIV or AIDS, alcohol abuse, drug abuse, or sickle cell anemia that originated from non-VA programs.
Important:  Do not disclose these records without the claimant’s or beneficiary’s consent.

4.  Instructions for Handling Service Records

Introduction

  
This topic contains instructions for handling service records, including

Change Date

   April 21, 2016

II.ii.2.B.4.a. Protecting Service Records

  
Service records are critical in determining a claimant’s entitlement to VA benefits.  When handling original, paper versions of these records, VA employees must make all reasonable efforts to protect their integrity, appearance, and readability.  Employees may not
  • make marks on, date stamp, or punch holes in original service records
  • remove service treatment records (STRs) from an STR jacket (unless necessary for photocopying), or
  • rearrange the order in which STRs are filed down in an STR jacket.
Exceptions:
  • DD Forms 214, may be
    • stamped or annotated to reflect verification of service, and/or
    • reverse-filed on the inside of the right-hand flap of the claims folder for ease of identification.
  • Protective envelopes may be punched or date-stamped as long as the contents are not affected.
RACCs must follow the instructions in the table below if
  • the thickness of a Veteran’s service records exceeds one inch, or
  • the thickness of a Veteran’s claims folder exceeds two and one-half inches when the service records are placed in it.
Step
Action
1
Establish another volume of the Veteran’s claims folder.
2
File the service records in the new volume.
3
Annotate the outside of the right flap of the first volume of the claims folder with indelible marker, identifying the location of the STRs in the other volume(s) of the claims folder.
 
Important:  When moving a claims folder with multiple volumes from place to place, ensure all volumes of the claims folder remain together.

II.ii.2.B.4.b.  Storage of Original STRs

  
When a claims folder is established, do not return the Veteran’s STRs to a service department or the National Personnel Records Center (NPRC), unless a specific request is received.
 
Note: If the original, paper version of a Veteran’s STRs are in a RACC’s possession, that RACC must
  • store the STRs in the same STR jacket in which they arrived from the Veteran’s service department, and
  • file the STRs in the center section of the Veteran’s claims folder.
Exception:  If the STR jacket in which STRs arrived has been destroyed, RACCs may store the STRs in VA Form 21-4582, Service Department Records Envelope.
 
Reference:  For more information on handling requests for the return of original STRs, see M21-1, Part II, Subpart ii, 2.B.5.a.

II.ii.2.B.4.c. Handling Photocopies of Service Records

  
Follow the instructions in the table below upon receipt of photocopies of service records.
 
If the photocopies were submitted by …
Then …
a claimant or the appointed power of attorney (POA)
follow the instructions in M21-1, Part X, Subpart ii, 2.A.2.a.
an entity or someone other than a claimant or the appointed POA
Important:  RACCs have no authority to dispose of original service records.
 
Reference:  For more information on RACC storage of original service records, see M21-1, Part II, Subpart ii, 2.B.4.a and b.

II.ii.2.B.4.d. Storage of Paper Copies of Service Records

  
In order to prevent loss of or damage to paper copies of service records, RACCs must
  • store them in VA Form 21-4582, and
  • file them down in the center section of the appropriate claims folder.

II.ii.2.B.4.e.  Proper Handling of VA Form 21-4582

  
In order to ensure the contents of VA Form 21-4582 remain protected, VA employees
  • are responsible for repairing or replacing the envelope if it gets damaged or becomes too worn to use, and
  • should never slit the sides or bottoms of the envelope to remove records.

II.ii.2.B.4.f. Handling Fire-Damaged Service Records

  
On July 12, 1973, a fire at NPRC destroyed a significant number of service records.  When a RACC sends a request to NPRC for records that were damaged but not destroyed by the fire, the VA Records Management Center (RMC) Liaison Office (VALO), which shares office space with NPRC, responds to the request by providing photocopies of the damaged STRs.  The original records normally remain at NPRC.
 
If the VALO inadvertently sends original, fire-damaged STRs to a RACC, the RACC must
  • carefully make photocopies of the STRs for the claims folder, and
  • return the original, fire-damaged STRs to the VALO.
Notes:
  • Until recently, original, fire-damaged records were routinely sent to and retained by RACCs.  Upon receipt of these records, RACCs
    • made photocopies of the original records
    • placed the original records in a VA Form 21-4582 that was prominently marked BURNED ORIGINAL RECORDS.  DO NOT REMOVE.
    • placed the photocopies in a separate VA Form 21-4582 that was prominently marked COPIES OF DAMAGED RECORDS, and
    • filed both forms in the corresponding claims folder.
  • Upon discovery of a VA Form 21-4582 containing original, fire-damaged records, leave the records in the claims folder.  Do not attempt to return them to the VALO or NPRC.
Reference:  For more information on service records that might have been damaged by the fire at NPRC, see M21-1, Part III, Subpart iii, 2.E.1.

II.ii.2.B.4.g. Handling Service Records on Microfiche

  
If there is a paper claims folder, service records on microfiche should be stored in the envelope in which VA received them and then placed in VA Form 21-4582 to prevent loss or damage.
 
Do not staple through the microfiche, since doing so could destroy images of relevant records.
 
Notes:
  • If the frequent and/or immediate review of records on microfiche is necessary because, for example, a claim is pending, it might be advantageous to
    • make a hard copy of the records
    • place the hard copy in an envelope marked Copies of Microfiche, and
    • file down the envelope in the center section of the claims folder.
  • If the folder is electronic, microfiche must be sent to the scanning vendor.
Reference:  For more information on sending electronic media to the scanning vendor, see M21-1, Part II, Subpart i, 1.B.2.d.

II.ii.2.B.4.h. Handling STRs That Contain a DNA Specimen

  
In June 1992, DoD Health Affairs began collecting deoxyribonucleic acid (DNA) specimens to aid in the identification of the remains of deceased service members.  This collection provides for two sets of DNA specimens.  Each specimen is sealed in a small shipping pouch that is labeled with its contents.  Then,
  • one pouch is sent to the DoD Specimen Repository in Dover, Delaware, and
  • the other pouch is placed in the corresponding service member’s STRs.
VA has no need for DNA specimens and has removed most of them from the STRs in its possession.  Nevertheless, the discovery of these specimens may occur during the routine review of STRs.  When found, these specimens should be destroyed.
 
Follow the procedures described in the table below upon discovering a DNA specimen in a Veteran’s STRs.
 
Step
Action
1
Extract the shipping pouch containing the DNA specimen from the STRs and destroy it by either shredding or incineration. (Disposing of the pouch in any other way, to include giving it to the Veteran, is prohibited.)
 
Note:  Although the specimen is not biohazardous, do not open the shipping pouch.
2
Place documentation in the STRs that
  • indicates a DNA specimen was found and destroyed, and
  • identifies the
    • type of destruction (shredding or incineration), and
    • date of destruction.
Reference:  For a sample of the documentation referenced in this step, see M21-1, Part II, Subpart ii, 2.B.4.j.
 
Note:  VA is not obligated to notify a Veteran when it destroys the DNA specimen.

II.ii.2.B.4.i.  Responding to a Veteran’s Inquiry About the DNA Specimen

  
If a Veteran makes an inquiry about the DNA specimen, VA is only obligated to inform the Veteran whether a specimen was found in the STRs and, if so, whether the specimen was destroyed.
 
The table below references sample letters for responding to a Veteran’s inquiry about the DNA specimen.
 
If …
Then refer to the sample letter shown in …
a DNA specimen is/was of record
no DNA specimen is/was of record
 
Important:  Never dispose of a DNA specimen by giving it to the Veteran.

II.ii.2.B.4.j.  Sample Documentation of the Destruction of a DNA Specimen

  
The exhibit below represents a sample of the type of documentation that must be placed in a Veteran’s STRs when VA destroys the DNA specimen.
 
Note:  The use of a specific form to document this action is not required.
 
A DNA specimen was found in the STRs.
 
The sample was destroyed by: [circle one]
 
incineration
 
shredding
 
on____________ [date] by ____________________ [signature and job title].
 

II.ii.2.B.4.k.  Sample Letter for Responding to an Inquiry When STRs Did Contain a DNA Specimen

  
Prepare a letter, following the format of the letter below, and send it to the Veteran when
  • asked about the DNA specimen in the STRs, and
  • a DNA specimen was of record but has been destroyed.
[File Number]
[Veteran’s Name]
 
Dear [Veteran’s Name]:
 
We have received your inquiry regarding your DNA Reference Specimen in your service treatment records, which are currently in VA custody.
 
The same was destroyed by [burning/shredding] on [date], in accordance with VBA Circular 21-98-1, dated May 18, 1998, and M21-1, Part II, Subpart ii, 2.B.4.h.
 
If you have any further questions about DNA specimens, you should contact:
 
Armed Forces Medical Examiner System
ATTN: AFRSSIR
115 Purple Heart Drive
Dover Air Force Base, DE 19902
(302) 346-8800
 
Sincerely,
 
Regional Office Director
 

II.ii.2.B.4.l.  Sample Letter For Responding to an Inquiry When STRs Never Contained a DNA Specimen

  
Prepare a letter, following the format of the letter below, and send it to the Veteran when
  • asked about the DNA specimen in the STRs, and
  • the STRs never contained a DNA specimen.
[File Number]
[Veteran’s Name]
 
Dear [Veteran’s Name]:
 
We have received your inquiry regarding your DNA Reference Specimen in your service treatment records, which are currently in VA custody.
 
Our records do not show a DNA specimen was included in the service treatment records in our custody.
 
If you have any further questions about DNA specimens, you should contact:
 
Armed Forces Medical Examiner System
ATTN: AFRSSIR
115 Purple Heart Drive
Dover Air Force Base, DE 19902
(302) 346-8800
 
Sincerely,
 
Regional Office Director
 

5.  Handling Requests for the Return of STRs in the VA’s Possession

Change Date

   June 13, 2018

II.ii.2.B.5.a.  Handling Requests for the Return of STRs in VA’s Possession

  
Upon receipt of a request from a service department for the return of a Veteran’s original STRs, take the following actions if the RACC is still in possession of the paper claims folder and STRs:
  • photocopy the STRs
  • certify the photocopy as true and correct
  • place the photocopies in VA Form 21-4582 and file them in the center section of the Veteran’s claims folder
  • place a copy of the request in the center section of the Veteran’s claims folder
  • return the original STRs to the service department that requested them, and
  • annotate the copy of the request to show
    • where the original STRs were sent, and
    • the date on which they were sent.
Note:  Photocopies of STRs, in lieu of original STRs, are acceptable for the Air Force (SAF/MIBR) at Randolph Air Force Base if VA is holding the claims folder because it is eligible for Court of Appeals for Veterans Claims review.
 
Reference:  For more information on who is responsible for responding to the service department request for records see M21-1, Part III, Subpart ii, 2.F.