M21-1 Manual  /  Part II, Subpart ii, Chapter 2, Section C

Locked Files Folder Maintenance

M21-1, Part II, Subpart ii, Chapter 2, Section C

Overview

In This Section

 This section contains the following topics:
TopicTopic Name
1 Locked Files Folder Maintenance
2 Filing Material in Paper Claims Folders
3 Removing Materials from Paper Claims Folders
4Folder Renovations

1. Maintenance for Paper Claims Folders

Introduction

 This topic contains information on the maintenance of locked files, including
  • general information on maintaining a restricted record paper claims folder
  • handling misfiled paper documents that belong to
    • paper claims folders, and
    • eFolders.

Change Date

 June 24, 2021

II.ii.2.C.1.a. General Information on Maintaining a Restricted Record Paper Claims Folder

 Regional offices no longer maintain or store paper claims folders. The only paper claims folders still maintained are restricted record claims folders stored in locked files as discussed in M21-1, Part II, Subpart ii, 2.B. For the purposes of this section, use of the term paper claims folder refers to the locked files at the restricted access claims centers (RACCs). The RACCs are responsible for maintaining Veterans’ paper claims folders and providing protection of their contents by
  • avoiding overcrowded claims folders in the file cabinets
  • replacing folders and envelopes that become damaged, and
  • taking appropriate action to address any misfiled
    • documents, and
    • folders.

II.ii.2.C.1.b. Handling Misfiled Paper Documents That Belong to Paper Claims Folders

 Follow the instructions shown in the table below to determine how to handle misfiled documents belonging to paper claims folders.
If the misfiled document belongs with a paper claims folder and …Then ...
no action is required place a routing slip on the document and route it to the correct paper claims folder for proper filing.
action is required
  • establish end product (EP) control, if necessary
  • place a routing slip on the document
  • route the document to the correct paper claims folder for proper filing
  • add a note indicating the type of document being routed to the paper claims folder, and
  • take appropriate action to address the misfiled document.
References: For more information on
Exception: Follow the guidance in M21-1, Part XIV, 4.B.1 when the misfiled documents contain Federal tax information.

II.ii.2.C.1.c. Handling Misfiled Paper Documents That Belong to eFolders

 Use the table shown below when determining how to handle misfiled paper documents that belong to an electronic claims folder (eFolder) in VBMS.
If the misfiled paper document belongs with an eFolder and … Then ...
no action is required route the paper document to the intake processing center (IPC) to send the document for scanning. Reference: For more information on sending documents for scanning, see M21-1, Part II, Subpart i, 1.A.
an action is required
  • establish EP control, if necessary
  • route the paper document to IPC to send the document for scanning, and
  • once the document is uploaded into VBMS, take appropriate action on the record to address the document.
Important: If the misfiled document is time sensitive, take whatever actions it necessitates before routing it to the IPC for scanning. Reference: For more information on handling incoming mail, see M21-1, Part II, Subpart i, 2.C.
Reference: For information on handling a misfiled, electronic document, see M21-1, Part II, Subpart ii, 2.A.

2. Filing Material in Paper Claims Folders

Introduction

 This topic contains information about filing material in paper claims folders, including
  • general policy on filing materials in paper claims folders
  • filing material in paper claims folders
  • filing of folder flashes, and
  • limitation of filing excessive material in a paper claims folder.

Change Date

 June 24, 2021

II.ii.2.C.2.a. General Policy on Filing Materials in Paper Claims Folders

 File only essential material with evidentiary, legal, or administrative value in a paper claims folder. References: For more information on types of material that should be
  • added to the paper claims folder, see M21-1, Part II, Subpart ii, 2.C.2.c, and
  • removed from the paper claims folder, see M21-1, Part II, Subpart ii, 2.C.3.a.

II.ii.2.C.2.b. Filing Material in Paper Claims Folders

 Use the table below to file material in paper claims folders. Note: If a folder is pulled for any purpose,
  • convert old side-filing folders to top-filing folders, and
  • ensure that material in the paper claims folder is filed appropriately.
Type of MaterialFolder LocationFiling Order
  • award prints
  • overpayment material
  • all documents relating to
    • payments
    • allowances, and
    • denials, and
  • Share prints of name changes
Left flap Top down, with the newest material placed on top
  • birth certificates
  • marriage certificates
  • divorce decrees
  • legal documents, and
  • any permanent type of adjudicative material, including Compensation and Pension applications in support of the claim
Center Chronological order, with the material organized by date received
education material Right flap Top down, with the newest material placed on top
Left flap Reverse file in the order shown at left Rationale: This filing order keeps the material on top of all subsequent documents filed.
Right flap Reverse file in the order shown at left (e.g. VA Form 21-22 on top and DD Form 214 underneath). Rationale: This filing order keeps these forms above the training material at all times. Note: If necessary, add a standard two-prong fastener to the right flap to accommodate reverse filing.

II.ii.2.C.2.c. Filing of Folder Flashes

 Use the table below to file flashes in reverse filing order to allow the flash to be folded back and remain on top of all subsequent material.
FlashLocation
VA Form 22-6564, Claims Folder Flash – Vocational Rehabilitation Trainee Left flap of the paper claims folder
VA Form 20-6879, Overpayment Flash Left flap of the paper claims or deceased Veteran’s claims folder

II.ii.2.C.2.d. Limitation of Filing Excessive Material in a Paper Claims Folder

 Do not continue to file material in a single paper claims folder if the folder becomes bulky and unmanageable. Generally, a paper claims folder volume should be limited to two or three inches in thickness. Reference: For information on creating additional volumes of claims folders, see the attachment Historical_M21-1III_ii_3_SecB_8-22-18.

3. Removing Material From Paper Claims Folders

Introduction

 This topic contains information about removing material from paper claims folders, including
  • types of material requiring removal from paper claims folders, and
  • removal of material from paper claims folders.

Change Date

 July 11, 2015

II.ii.2.C.3.a. Types of Material Requiring Removal From Paper Claims Folders

 Remove the following types of material from the paper claims folder if it has served its initial purpose and has no legal, administrative, or historical value:
  • 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
  • computer prints not specifically required by directives.
Note: Exercise caution in removing transmittal or cover letters submitted by a power of attorney. These documents may state claims, assert or waive rights, or include legal argument. Differences between a representative’s transmittal or cover letter and statements from a claimant or legacy appellant may raise important questions requiring clarification.

II.ii.2.C.3.b. Removal of Material From Paper Claims Folders

 Follow the steps in the table below to remove material from the paper claims folder.
StepAction
1 Remove material contained in paper claims folders that is redundant or of no record value.
2

Dispose of the removed material under RCS VB-1, Part I.

Note: There is no longer a requirement to return documents to the claimant.


4. Folder Renovations

Introduction

This topic contains information on how to properly renovate and protect folder content, including
  • general folder renovation policy, and
  • renovation of
    • segregated folders, and
    • non-segregated folders.

Change Date

 June 24, 2021

II.ii.2.C.4.a. General Folder Renovation Policy

 Renovate a paper claims folder as needed to protect the contents. Perform any required renovation before transferring a paper claims folder out of the RACC.

II.ii.2.C.4.b. Renovation of Segregated Folders

 Follow the steps in the table below to renovate a segregated paper claims folder.
StepAction
1 Remove from compartment A
  • change of address notices, and
  • superseded stop or suspend pay notices and worksheets.
2 Remove from compartment D all material dated one year or older.
3 Check the material in all compartments for correct filing sequence.
Reference: For more information on the type of documents filed in each compartment of a segregated paper claims folder, see the attachment Historical M21-1III_ii_4_SecF_7-11-15.

II.ii.2.c.4.c. Renovation of Non-Segregated Folders

 Follow the steps in the table below to renovate a non-segregated paper claims folder.
StepAction
1 Ensure all documents relating to payments, allowances, and denials are filed on the left flap of the folder.
2 File documents in chronological order, with the oldest document at the bottom and the newest document on the top.
3 Ensure replies to incoming correspondence are filed immediately above the incoming correspondence.
4 Remove duplicate copies of documents unless they contain notations of record value.
5 Remove the following documents if they have served their purpose and have no record value:
  • worksheets
  • control or suspense copies of Department of Veterans Affairs (VA) forms
  • form letters
  • diary slips
  • routing slips, and
  • letters of transmittal.
6 Dispose of the removed material accordingly.
7 Duplicate the old folder’s markings on the new paper claims folder. Exception: Do not duplicate
  • the markings on obsolete folders, or
  • outdated folder notations as discussed in the attachment Historical_M21-1III_ii_4_SecG_3-2-20.

Source: VA M21-1 Adjudication Procedures Manual, M21-1, Part II, Subpart ii, Chapter 2, Section C (U.S. government work, reproduced for reference). Browse all sections →