What this means
m21-1:II.ii.2.C explains locked files folder maintenance. In plain terms, the official guidance says 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. It also addresses file only essential material with evidentiary, legal, or administrative value in a paper claims folder.
How this may help with a claim
Use m21-1:II.ii.2.C as an internal VA audit trail for locked files folder maintenance, not as a promise of a particular result. Compare the actions recorded in your claim file or decision notice with this source-specific detail: 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. File only essential material with evidentiary, legal, or administrative value in a paper claims folder. If the record does not show the expected action, identify the missing step precisely when asking VA or an accredited representative to review the file.
What to review in your file
- Check the file against this official condition: general information on maintaining a restricted record paper claims folder
- Confirm that the record or notice addresses this source point: II.ii.2.C.1.a. General Information on Maintaining a Restricted Record Paper Claims Folder
- Document how this stated step or exception applies: 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.
Important limits
m21-1:II.ii.2.C is primarily internal workflow guidance about locked files folder maintenance. It can help identify what VA was expected to document, but it does not by itself create a claimant deadline, a freestanding entitlement, or a guaranteed remedy. The source also states: 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. Follow the steps in the table below to remove material from the paper claims folder.
Search terms when useful
Phrases that may help when searching your claim file or this library.
- Locked Files Folder Maintenance
- m21-1:II.ii.2.C
- Locked Files Folder
- Maintenance
- Maintenance Paper Claims Folders
- maintaining restricted record paper
- handling misfiled paper documents
- paper claims folders
Original VA guidance
The official VA text of this section
Overview
In This Section
This section contains the following topics:
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| Topic | Topic Name |
|---|---|
| 1 | Locked Files Folder Maintenance |
| 2 | Filing Material in Paper Claims Folders |
| 3 | Removing Materials from Paper Claims Folders |
| 4 | Folder 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.
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| 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 handling incoming mail, see M21-1, Part II, Subpart i, 2.C, and adding notes, see the Veterans Benefits Management System (VBMS) Core User Guide. |
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.
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| 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.
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| Type of Material | Folder Location | Filing 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 |
| VA Form 26-1833, Advice Regarding Indebtedness of Obligors on Guaranteed or Insured Loans VA Form 26-6822, Advice of Termination and Indebtedness on Portfolio Loans, and VA Form 20-6560, Notice of Benefit Payment Transaction, with message code 628, STATUS OF RECOUPMENT BALANCE AT TERMINATION | Left flap | Reverse file in the order shown at left Rationale: This filing order keeps the material on top of all subsequent documents filed. |
| VA Form 21-22, Appointment of Veterans Service Organization as Claimant’s Representative VA Form 21-22a, Appointment of Individual as Claimant’s Representative, and DD Form 214, Certificate of Release or Discharge From Active Duty, the military separation document, or its equivalent | 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.
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| Flash | Location |
|---|---|
| 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.
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| Step | Action |
|---|---|
| 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.
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| Step | Action |
|---|---|
| 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.
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| Step | Action |
|---|---|
| 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. |