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UPDATE: VA RESPONDS TO SERVICE ORGS'
RECOMMENDATIONS ON DOCUMENT HANDLING --
VA developing policy that affords veterans the
benefit
of the doubt as to whether they had a document
or evidence lost or improperly handled.
All stories regarding the VA's shredder and
document handling scandal can be found on this page... click here...
http://www.vawatchdog.org/VAshredderscandal.htm
See below:
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by Larry Scott
On Wednesday, November 5, 2008, officials of the
Veterans' Benefits Administration (VBA) of the Department of Veterans'
Affairs (VA) met with leaders of a number of veterans' service
organizations (VSOs).
 The
VSOs had made recommendations to VBA about document handling, shredding
and the general mess currently at VBA's Regional Offices (VAROs).
All articles about VA shredding and document handling
are here...
Put on your reading glasses, because we have a
number of documents.
1. List of recommendations and the VA
response.
2. The draft of the VBA's new policy on
document handling. Original of #1 and #2
is
here...
3. A letter from VA Secretary Peak to
Senators regarding the shredder scandal. Original of #3
is here...
Below is the list of recommendations and VA's
response.
Recommendations from Meeting with
Veterans Service Organizations
Recommendation 1: VA should develop an
informal process to accept late-flowing documents subject to a review
board.
VA Response: The Compensation and
Pension Service is developing a policy for handling assertions from
claimants and veterans' representatives that a claim or evidence was
submitted to the VA and not properly considered. The policy will provide
for a relaxed evidentiary burden for a limited period of time.
Recommendation 2: VA should conduct a stand-down to search for loose
documents.
VA Response: Procedures have been
developed regarding the disposition and disposal of all documents in
VBA's custody. These procedures will include a search for loose
documents.
Recommendation 3: VA should research how other organizations have
encountered similar incidents.
VA Response: VA is developing a policy
that is consistent with the law and regulations, yet affords veterans
the benefit of the doubt as to whether they had a document or evidence
lost or improperly handled.
Recommendation 4: VA should expand the search for shred mail to the
Office of General Counsel (OGC) and the Board of Veterans Appeals (BVA).
VA Response: VBA has informed OGC and
BVA of this recommendation.
Recommendation 5: VA should consider notifying claimants of the evidence
in VA's possession prior to rendering a decision on their claim.
VA Response: VA does not concur with
this recommendation as the Rating Decision clearly lists the evidence
considered in the decision. Further, claimants have one year from the
date of the VCAA notice to submit new evidence and they have one year
from the date of the decision notification letter to file a Notice of
Disagreement. Both of these protections afford claimants an opportunity
to ensure that all of the evidence in support of their claim was
considered.
Recommendation 6: Add a paragraph in the award notification letter
informing claimants that they should review the evidence considered in
their Rating Decision.
VA Response: Concur.
Recommendation 7: VA should inform claimants in the VCAA Notice letter
that they should keep a copy of claims and evidence submitted to VA in
support of their claim.
VA Response: Concur in principle,
however VA is considering whether this poses an undue hardship on
claimants.
Recommendation 8: Issue press release
informing claimants that they should review the evidence used to render
a decision on their claim.
VA Response: VA will issue a press
release informing veterans about this incident and what they should do.
Recommendation 9: VA should develop a
rights and responsibilities pamphlet.
VA Response: VA is exploring this
recommendation.
Recommendation 10: VA should review Public Contact logs when attempting
to corroborate a claimant's assertion that they previously submitted a
claim or evidence that was not considered.
VA Response: Concur.
Below is the draft of VBA's new policy on
document handling.
DEPARTMENT OF VETERANS AFFAIRS
Veterans Benefits Administration
Washington, D.C. 20420
November XX, 2008 DRAFT DRAFT
VBA Letter 20-09-XX
Director (00)
All Regional Offices and Centers
SUBJ: VBA Policy on Management of Veterans' Paper Records 1. Purpose
This letter establishes additional policies for the maintenance, review,
and appropriate destruction of veterans' paper records located in all
VBA facilities and worksites, including VBA Headquarters facilities, all
regional offices and centers, outbased sites, and briefing locations, as
well as for approved work-at-home or telecommuting sites. These policies
are for immediate implementation.
The moratorium on shredding remains in place at each facility/work site
until the regional office director certifies to his/her area director
that the policies outlined in this letter have been fully implemented.
Directors will ensure all VBA employees, contractors, co-located
employees of other federal and state agencies (e.g., DOL employees),
volunteers, and veterans service organization (VSO) staff located within
their facilities and under their areas of organizational responsibility
receive a copy of this policy letter and fully implement it.
2. New Positions/Responsibilities
Two new positions are established to ensure the appropriate management
and safeguarding of veterans' records as follows:
a. Records Management Officers (RMOs) will be responsible for overseeing
all programs established for the management of veterans' records.
Enclosure 1 is the standardized RMO position description. Further
description of RMO duties and responsibilities is provided in enclosure
2. Directors will immediately designate a full-time Acting Records
Management Officer pending hiring a permanent RMO. Requests to establish
more than one RMO must be approved by your area director. Also, small
offices must receive approval from their area director if they propose
to establish the RMO position as less than full-time. The Associate
Deputy Under Secretary for Management will determine the appropriate
number of RMOs for the Headquarters organization.
b. Division Records Management Officers (DRMOs) will be designated by
directors through delegations of authority. DRMO duties will be
collateral. It is recommended that one DRMO be designated for every 15
employees in the division. The director will determine the appropriate
number of DRMOs at a regional office or other VBA facility to fully
carry out the DRMO responsibilities. Further description of DRMO duties
and responsibilities is provided in enclosure 3. All Headquarters
Service and Staff Office Directors will designate the appropriate number
of DRMOs for their organization.
3. Document Destruction Policy for All
VBA Benefit Programs
a. Individual Employee Shredding
Envelopes
Each employee will be given a red
Optional Form 65 (OF65) envelope that will be used as a "shredding
envelope." The envelope will be labeled with the employee's name.
Regional offices are to purchase sufficient quantities of red OF65
envelopes for all employees under their jurisdiction. Envelopes shall be
either the 10X13 or 12X16 size.
b. Documents Requiring Two Signatures
Documents identified for destruction that could potentially affect
benefit entitlement require the employee's signature, as well as the
signature of the employee's supervisor, before they can be destroyed.
These documents would under most circumstances be duplicates of
documents already of record in the claims file.
Documents requiring two signatures before destruction include all
application forms, as well as supporting evidence submitted by the
claimant or the claimant's representative, all evidence received from
third parties in support of a claim, and other VA claims records (e.g.,
Capri records, copies of medical examinations, etc.). Additionally, all
computer-generated writeouts that could potentially result in an
adjustment to a veteran's or other beneficiary's award must have two
signatures before destruction.
The following steps will be taken when
employees identify claims-related documents for destruction meeting the
above criteria:
1. Documents will be bundled by beneficiary name.
2. Employee will initial, date, and annotate the reason for destruction,
(e.g., "duplicate record").
3. Employee will hand carry the document, along with the claims folder
(if needed to determine the appropriateness of the destruction) to
his/her supervisor for review and approval.
4. Supervisor will review and, if destruction is approved, initial and
date the document. If destruction is determined inappropriate, the
supervisor will provide additional records management training to the
employee.
5. The employee will place the document(s) in the red OF65 envelope.
Each day (or other frequency as determined appropriate by the
director) the OF65 envelope will be hand carried to the Division
Records Management Officer (DRMO).
6. The DRMO will review the envelop for appropriateness of destruction
and forward appropriate materials in the envelop to the RMO.
7. The RMO will place the materials in the shredding bin, as
appropriate.
c. Internally Generated Papers Not Requiring Signature
Screen or award prints and other system-generated prints and work papers
that are not appropriate for inclusion in the claims record must be
placed in the OF65 shred envelope. It is not required that these be
initialed or dated, but they are subject to review by the DRMO and the
RMO and must be shredded.
d. All Other Paper in Employees' Work Environment
In order to effectively control and manage the document destruction
process, all paper in VBA employees' work environment, even if it does
not contain any PII and it is not related to any specific claim, will be
placed in the OF65 for shredding. There will be no separate recycling
bins for paper. Papers will not be placed in trash receptacles. All
paper must be shredded and then recycled as appropriate.
4. Procedures for Outbased Locations and Work-at-Home
Employees
Outbased locations are authorized to have shredders that
comply with VA standards. Staff members at these locations are required
to follow the same document-destruction procedures outlined in paragraph
3 above. Local supervisors must be the designated DRMO and the
officer-in-charge the RMO.
Outbased locations staffed by only non-supervisory
employees and work-at-home employees are not authorized to destroy any
paper documents. Claims-related documents must be initialed and dated by
the employee and annotated with reason for destruction. All paper
must be brought to the regional office or sent to the regional office
via Federal Express on a regular schedule for review and disposition by
the Records Management Officer.
5. Guidance on Method of Shredding
Paper recycle bins are no longer authorized at VBA facilities. All paper
will first be shredded, and then recycled as appropriate.
The use of shredding service contracts is preferred
unless a contract is not available or it is operationally inefficient to
use a contract due to special local conditions. If a shredding service
contract is used to dispose of VA documents, the facility Records
Management Officer must witness the destruction. Material should not be
transported away from the VA office before destruction. The destruction
of restricted records must be completed by pulping, macerating,
shredding, or otherwise definitively destroying the information
contained in the records.
Access to shredders, shredder bins, or other methods of
document destruction will be strictly controlled and limited to senior
management, RMOs, and DRMOs at all VBA locations. Shredders and shredder
bins are to be kept secure with locks or in locked rooms.
6. How to Handle Destruction of Sensitive Materials
Sensitive records maintained by supervisors, human
resources, union representatives, and veterans service organizations
should be delivered directly to the RMO in a sealed envelop, with the
source and type of documents clearly identified on the outside, and
signed by the appropriate official.
7. Maintenance of
Government Records in the Workplace
All official claims folders and claims-related documents must be stored
in open areas on desks, in clearly marked claims file banks, or unlocked
file drawers specifically provided to employees for storage of cases
under their jurisdiction. Enclosures 4 and 5 provide more detailed
guidance and also provide guidance for employees working at home,
employees engaged in outreach activities where claims or evidence is
received and employees engaged in off-site activities.
Supervisors are responsible to ensure adherence to all aspects of this
policy, to include inspection of employee work stations.
8. VA National Rules of Behavior
VA Handbook 6500, Appendix G, Department of Veterans Affairs (VA)
National .Rules of Behavior, dated September 18, 2007, must be signed
annually. The Rules of Behavior (ROB) establish responsibilities and
expected behavior of all employees regarding the appropriate use and
protection of information that is used to support VA's missions and
functions. These guidelines also state clearly the consequences of
behavior that is not consistent with these rules of behavior.
All employees must sign the VA National Rules of Behavior (see enclosure
6) . The employee must initial and date each page of the ROB, complete
the information requested on the last page, sign and date it, and return
to their supervisor by November 7, 2008.
9. Questions
Questions may be directed to the Associate Deputy Under Secretary for
Management or to your area director.
P. W. Dunne
Under Secretary for Benefits
And, below is VA Secretary Peake's letter to
Senators about the shredder / document problems at VBA.
THE SECRETARY OF VETERANS AFFAIRS
WASHINGTON
October 31, 2008
United States Senate Washington, DC 20510
Dear Senator
I am writing to advise you of the actions the Department of Veterans
Affairs (VA) is taking to address the Office of Inspector General's (OIG's)
findings that veterans' claims documents had been improperly identified
by VA regional offices for shredding. This problem was uncovered by the
OIG during an audit to determine if the Veterans Benefits Administration
(VBA) regional offices have effective controls for the accurate and
timely processing of claims-related mail. VA regional offices receive
approximately 25 million claims-related documents through the mail every
year.
The OIG audited four regional offices (Detroit, St. Louis, St.
Petersburg, and Waco) and discovered documents had been inappropriately
placed in the shred bins, affecting between two and five veterans at
each office. VBA immediately ceased all shredding activities while a
nationwide review was conducted of all documents in shred bins.
Approximately 500 documents that could potentially affect a claimant's
entitlement to benefits were found improperly placed in shred bins at
various regional offices. These regional offices are taking appropriate
action on all of the documents found.
I am deeply concerned that improper actions by VA employees could have
caused any veterans to receive less than their full entitlement to the
benefits they earned through their service to our Nation. I have
directed that immediate action be taken to address this most serious
issue. Document shredding will not be resumed until we ensure measures
are in place to prevent future incidents of employees inappropriately
discarding veterans' paperwork.
Our action plan includes establishment of a special Records Control Team
that is currently meeting to strengthen our policies and procedures for
the protection of veterans' records and the proper handling and disposal
of documents. Our new procedures will require employees to date and
initial all claims-related documents they have determined are
appropriate for shredding. Employees will forward all claims documents
identified for shredding to their supervisor for approval. This
two-person review and approval process will be required prior to the
destruction of any claims document.
Employees will maintain all documents to be shredded in a special
receptacle, which will be open to spot checks by their supervisor. We
also are creating a Records Control Officer at every regional office to
strengthen oversight of all records management and disposal activities.
Reviews of documents identified for shredding will be integrated into
the site visits performed by Headquarters program offices and area
offices. Regional offices will also be subject to unannounced site
visits.
Special training is being conducted this week on the proper handling and
disposal of documents. The training emphasizes every employee's
responsibility for protecting the documents and records entrusted to our
care by those we serve. Directors are required to certify to their Area
Director that all employees completed the training by November 3, 2008.
Additionally, a separate training module on ethics will be developed and
administered in November.
A workgroup convened this week to determine how to handle, in the
fairest manner possible, the claims from veterans and their families who
may have been affected by inappropriate destruction of documents. This
workgroup will confer with the veterans service organizations, with whom
we have already been in dialog, and our oversight committees in Congress
before finalizing our policy.
The OIG is continuing its investigation of those cases where
inappropriate shredding may be traceable to a specific employee or
employees. I assure you that legal and disciplinary action will be
pursued to hold accountable any employee who has acted improperly.
VBA briefed the majority and minority staff members of both the Senate
and House Veterans' Affairs Committees on this situation. A briefing has
been also provided to the six largest veterans service organizations. We
will continue to frequently update you and the other members of our
oversight committees, as well as our other stakeholders, on our ongoing
actions to ensure we are fulfilling our obligations to protect and serve
our Nation's veterans.
The shredding of documents that affect the benefits of veterans cannot
be excused. As I have testified, we must move rapidly to the paperless
processing of claims. There is no excuse for failing to leverage
industry standards and technology in support of our veterans.
Sincerely yours,
James B. Peake,
Your thoughts on where this is going (or might
go) are greatly appreciated. Use the comment section below.
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posted by Larry Scott
Founder and Editor
VA Watchdog dot Org
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