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Updated Jun 07, 2024

In This Section

  
This section contains the following topics:
 
Topic
Topic Name
1
2
3 Return of Paper Claims Folders After Litigation

1. Regional Office (RO) Involvement With Docketed CAVC Appeals

 

Introduction

 

This topic contains information about RO involvement with docketed CAVC appeals, including

Change Date

   June 10, 2024

6.D.1.a.  Actions Triggered by the Docketing of an Appeal at CAVC

 
The Office of General Counsel’s (OGC) CAVC Litigation Group is responsible for litigating appeals that are before the CAVC on behalf of the Secretary of Veterans Affairs.  Within 60 days of the date CAVC places an appeal on its docket, the CAVC Litigation Group is responsible for making copies of the appellant’s claims folder and providing them to both the appellant and CAVC.  VA’s failure to meet this deadline can result in sanctions against VA and its employees.
 
The table below illustrates the current process utilized to ensure the CAVC Litigation Group can timely retrieve original claims folders from ROs.
 
Step
Action
1
CAVC places an appeal on its docket.
2
CAVC Litigation Group e-mails a request for the original claims folder to the OAR Operations Division mailbox (VAVBAWAS/OAR/OPS).
3
OAR coordinates transfer with the RO that has the paper claims file.
4
Within five business days, the RO must complete the actions described in M21-5, Chapter 6, Section D.1.b.
 
Notes: 
  • If the RO does not complete the actions within five days, OAR will follow-up with the RO for immediate action.
  • The CAVC Litigation Group has access to electronic claims folders in Virtual VA/the Legacy Content Manager and the Veterans Benefits Management System.  Therefore, OAR should never receive a request from the CAVC Litigation Group for an appellant’s claims folder if the claims folder is entirely paperless.

6.D.1.b.     Responding to a Request From the CAVC Litigation Group for a Paper Claims Folder

 
ROs must complete the actions described in the table below within five business days of receiving a request from OAR to transfer a paper claims folder to the CAVC Litigation Group.
 
Step
Action
1
Locate the paper claims folder.
 
If the paper claims folder cannot be located, follow the instructions in M21-5, Chapter 6, Section D.1.c.
2
Does the appellant have a claim pending at the RO? 
  • If yes, proceed to Step 3.
  • If no, proceed to Step 5.
3
Make a photocopy of documents within the paper claims folder that are necessary to continue processing the claim.
4
Create a temporary file, if one does not already exist, according to the instructions in the COVERS User Guide, for storing the photocopies referenced in Step 3.
 
Reference:  For more information on a temporary file, see M21-5, Chapter 6, Section C.3.
5
Take folder-maintenance measures, if necessary.
 
Reference:  For more information on folder maintenance, see M21-1, Part II, Subpart ii, 2.A.
6
Prepare a manifest and place it in the claims folder in the shipping box.
7
Ship the paper claims folder to
 
VA Office of General Counsel
CAVC Litigation Group (027S)
810 Vermont Avenue, NW
Washington, DC 20420
 
Note:  Unless otherwise directed, the RO must ship the paper claims folders to the CAVC Litigation Group using an overnight or express mail delivery system with tracking.
8
When transferring paper claims folders 
  • update COVERS to reflect the temporary transfer of the  paper claims folder to the CAVC Litigation Group, and
  • e-mail the tracking number(s) associated with the shipment referenced in Step 7 to OAR Operations at VAVBAWAS/OAR/OPS.
 
Notes:
  • OGC must receive the paper claims folders before the CAVC deadlines because it needs time to scan them. 
  • If the RO does not transfer the paper claims folder to the CAVC Litigation Group within five days, the DROC DC will follow-up to the RO for immediate actions.

6.D.1.c.
RO Actions When it Cannot Locate a Paper Claims Folder

  
ROs must make every attempt to locate a paper claims folder that the CAVC Litigation Group requests through the DROC.  This includes conducting a thorough search for the paper claims folder, as set forth in M21-1, Part II, Subpart ii, 1.B, if necessary.
 
If the RO still cannot locate the paper claims folder, the VSCM or PMCM must prepare a formal declaration to CAVC that details the efforts the RO undertook to locate it.
  • The declaration must open with the following statement
    I, [VSCM or PMCM name], am the [Veterans Service or Pension Management] Center Manager of the [RO name] in [city, state].  I am submitting this declaration to inform the United States Court of Appeals for Veterans Claims of the efforts made to locate the claims folder for [name of the appellant].
  • Additional declarations from other supervisory and non-supervisory employees may be necessary to provide detailed information regarding the attempts to locate the claims folder.
  • The declaration must also include the following information:
    • the date the DROC requested the paper claims folder from the RO and the means whereby it made the request (typically by e-mail)
    • confirmation that the RO followed the procedures for locating the paper claims folder, as set forth in M21-1, Part II, Subpart ii, 1.B
    • the name of the employee primarily responsible for locating the paper claims folder
    • the name of the employee who first attempted to locate the paper claims folder and the date of the first attempt, and
    • the names of other employees who conducted searches, the dates of the searches, and the means they used to conduct their searches.
  • If searches for the paper claims folder are still underway, the declaration must describe how the searches are being conducted, their frequency, and the date of the most recent search.
  • If the RO is reconstructing the paper claims folder, the declaration must
    • describe the related actions the RO has taken to date, and
    • specify whether the RO has asked the appellant and his/her representative to provide any relevant records in their possession.
  • The declaration must close with the following certification
    I, [VSCM or PMCM name], hereby certify on this date, [current date], that the statements herein are true and correct to the best of my knowledge and belief.

2.  CAVC Decisions

 

Introduction

  

This topic contains information on final CAVC decisions on pending appeals, including

Change Date

   March 2, 2020

6.D.2.a. 
Possible Scenarios After the CAVC Decision

  
There are two possible scenarios that occur when CAVC issues a final decision on a pending appeal.
 
The table below describes the two possible scenarios.
 
Possible Scenario
Description
1
CAVC’s decision completes the appellate process.
 
Reference:  For more information on the completion of the appellate process, see M21-5, Chapter 6, Section D.2.b.
2
CAVC issues a remand on the appellate issue(s).
 
Reference:  For more information on the process when CAVC issues a remand, see M21-5, Chapter 6, Section D.2.c.
 

6.D.2.b.
Steps After CAVC’s Decision

  
Follow the steps in the table below when CAVC’s decision completes the appellate process.
 
Step
Action
1
The VSCM or PMCM receives a copy of the final decision.
2
The VSCM or PMCM designates an employee to review the order or decision to determine if action is necessary.
 
Example:  The RO determines whether to provide an application for benefits when the CAVC order
  • dismisses the appeal because of the death of the appellant, and
  • indicates that a specific individual’s communication to CAVC about the death was an informal claim for accrued or death benefits if received prior to March 24, 2015. 
Note:  Claims for benefits received on or after March 24, 2015, must be submitted on the prescribed VA form.
3
The designated employee initiates any necessary RO action.
 

6.D.2.c. 
Steps After Receipt of a CAVC Remand

  
Follow the steps in the table shown below when CAVC issues a remand on the appellate issue(s).
 
Step
Action
1
The Board receives notification of the remand on the appellate issue(s).
2
The Board
  • requests the paper claims folder from the RO, and
  • indicates that the request involves a CAVC remand.
3
The RO sends the paper claims folder to the following address:
 
Board of Veterans’ Appeals
Litigation Support
Room 5W404
425 I (Eye) St. NW
Washington, D.C. 20001
4 Depending on the nature of the CAVC remand, the Board may return the case to the RO for action that it will specify.
 

 

3.  Return of Paper Claims Folders After Litigation

 
  

Introduction

 
This topic contains information on the return of paper claims folders from the CAVC Litigation Group, including

Change Date

  
September 22, 2020

6.D.3.a.  Controlling Paper Claims Folders the CAVC Litigation Group Returns

  
The CAVC Litigation Group returns the paper claims folder to the RO when CAVC completes the record on appeal (ROA).
 
Note: The ROA is an extract of the claims folder containing all documents that both parties agree are pertinent to the appeal.
 
The table below describes the policy for controlling paper claims folders the CAVC Litigation Group returns.
 

Date
Policy
Prior to June 1, 1997
The CAVC Litigation Group retained control of the paper claims folder until CAVC made a final determination concerning an appellate issue.
Effective June 1, 1997
The CAVC Litigation Group returns the paper claims folder to the RO when CAVC completes the ROA process.
 
Note:  The ROA is an extract of the claims folder to which both parties agree.
 

6.D.3.b.  Role of the CAVC Litigation Group

 
After CAVC completes the ROA process, the CAVC Litigation Group 
  • attaches to the front of the paper claims folder a letter indicating the folder is associated with an unresolved appeal at CAVC
  • marks the paper claims folder DO NOT OPEN IN MAILROOM, and
  • returns the paper claims folder to the attention of the VSCM or PMCM at the ROJ.

6.D.3.c.  Receipt of Claims Folders From the CAVC Litigation Group

  
ROs must follow the steps in the table below after receiving a paper claims folder from the CAVC Litigation Group following completion of the ROA process.
 

Step
Action

1
Merge the temporary file with the permanent claims folder.
2
If present, remove the following from the claims folder: 
  • outside label
  • file inserts that do not bear the signature of a Veterans Benefits Administration or Veterans Health Administration employee, and
  • Board evidence tabs.
Note:  Maintaining the integrity of the paper claims folders is not necessary because the ROA is filed at CAVC.  
 
Reference:  For more information on handling claims folders after a CAVC decision, see M21-5, Chapter 6, Section C.6.a.
3
In the center section of the claims folder, permanently maintain all file inserts 
  • added during the 120-day period referenced in M21-5, Chapter 6, Section C.2.c, and
  • containing signatures of
    • employees that reviewed the folder, and
    • certifying officials.
 

6.D.3.d.  Requests for the Return of a Paper Claims Folder

  
Follow the steps in the table below upon the receipt of a request from the CAVC Litigation Group for the return of the claims folder.
 
Step Action
1 Locate and pull the paper claims folder.
2 Send it to the CAVC Litigation Group using contracted shipping service.
3

If you cannot send the paper claims folder within five days of the request

  • Send an email to the CAVC Litigation Group at RMS.VBAVACO@va.gov, and
  • notify the CAVC Litigation Group of the
    • reason for the delay, and
    • expected date of shipment

Notes:

  • Do not delay sending the paper claims folders because of a pending claim for other benefits. In that situation, photocopy the documents required to process the pending claim and place them in a temporary folder.
  • Do not send the paper claims folder to the scanning vendor once a request has been received for the folder from the CAVC Litigation Group, as this action may delay the receipt of the folder by the CAVC Litigation Group.
 

6.D.3.e.  First Dispositive Pleadings

 
The CAVC Litigation Group will return paper claims folders to ROs when CAVC has taken final action before a first dispositive pleading has been filed.  Such cases involve, but are not limited to, findings that the
  • CAVC lacks jurisdiction over the appellate issue(s), or
  • appellant did not comply with CAVC rules.

6.D.3.f.  Requests for a Claims Folder Prior to Completion of the ROA Process

 
If an RO requires the return of paper claims folders prior to completion of the ROA process, the RO must send a request to the CAVC Litigation Group.
 
Note:  The CAVC Litigation Group will determine if the paper claims folders can be temporarily returned to the RO.