LEGAL INSTRUMENTS EXAMINER, Table of Contents
Preface
Overview
|a. What is the purpose |The purpose of this document is to provide a desk reference to assist the Legal Instruments Examiner (LIE) in the |
|of this Program Guide? |performance of his or her job. Tasks are divided into 3 categories: |
| | |
| |Accounting Responsibilities |
| |securing Accountings and |
| |accounting Analysis |
| |Estate Administration Duties |
| |reviewing Entitlements |
| |determining VA Estate Value |
| |Administrative Duties |
|The responsibilities of the LIE in the overall make-up of the Fiduciary and Field Examination (F&FE) Activity are |
|outlined in the Fiduciary Program manual. This guide will expand on and provide guidance for managing those |
|responsibilities. It should be used as a guide for new trainees as well as a resource for experienced personnel. |
|b. In this Program Guide|You will find the following topics addressed in this Program Guide: |
|Topic |See Page |
|Chapter 1: Introduction |1-1 |
|Chapter 2: Securing Accountings |2-1 |
|Chapter 3: Analyzing the Accounting |3-1 |
|Chapter 3 Appendix A: Accounting Analysis Checklist |3-A-1 |
|Chapter 4: Reviewing Entitlements |4-1 |
|Chapter 5: Determining VA Estate Value |5-1 |
|Chapter 6: Estate Administration Duties |6-1 |
|Chapter 7: Administrative Responsibilities |7-1 |
Table of Contents
Chapter 1: Introduction 1-1
1. Overview 1-1
2. Program Responsibilities 1-3
3. Role of the Legal Instruments Examiner (LIE) 1-4
4. [Reserved] 1-5
Chapter 2: Securing Accountings 2-1
5. Overview 2-1
6. When is an accounting required? 2-3
7. How do you enforce accounting requirements? 2-6
8. When is an accounting due? 2-9
9. How do you secure a fiduciary’s accounting? 2-10
10. Why might a fiduciary not file a timely accounting? 2-15
11. Can you assist the fiduciary with preparation of the accounting? 2-17
12. Why is it essential to conduct a timely analysis of a fiduciary’s accounting? 2-19
13. [Reserved] 2-21
Chapter 3: Analyzing the Accounting 3-1
14. Overview 3-1
15. Preliminary Review of Accounting 3-3
16. Prepare for Analysis 3-6
17. Review Basic Elements 3-7
18. Analyze Expenditures 3-16
19. Analyze Commissions and Fees 3-30
20. Review Protection - General 3-33
21. Surety Bonds 3-36
22. Restricted or Blocked Accounts 3-40
23. Withdrawal Agreements 3-42
24. U. S. Savings Bonds 3-47
25. Review Investments 3-48
26. Federal Deposit Insurance Corporation (FDIC) 3-57
27. Review Fiduciary Arrangement 3-60
28. Overall Estate Administration 3-62
29. Review Amended Accountings 3-64
30. Notify the Fiduciary of Accounting Review Results 3-65
31. [Reserved] .3-70
Appendix A: Accounting Analysis Checklist 3-A-1
Continued on next page
Table of Contents, Continued
Chapter 4: Reviewing Entitlements 4-1
32. Overview 4-1
33. Disability and Death Benefits 4-3
34. Dependent Allowances 4-8
35. Ancillary Benefits 4-9
36. Education Benefits 4-15
37. Insurance 4-17
38. [Reserved] 4-25
Chapter 5: Determining VA Estate Value 5-1
39. Overview 5-1
40. Preliminary Concepts 5-2
41. Presumption as to Use 5-3
42. Formula for Determining the Value of a Beneficiary’s VA Derived Estate 5-4
43. The Estate Breakdown Tool 5-8
44. Documenting VA Estate Value 5-21
45. [Reserved] 5-23
Chapter 6: Estate Administration Duties 6-1
46. Overview 6-1
47. Release of Information 6-4
48. Review of Award Actions 6-7
49. Correspondence 6-11
50. Court Documents 6-14
51. Address Changes 6-18
52. Interviews 6-20
53. Field Examinations 6-25
54. Direct Deposit Requests 6-28
55. Diary Action 6-30
56. Death of Beneficiary Reviews 6-31
57. [Reserved] 6-35
Chapter 7: Administrative Responsibilities 7-1
58. Overview 7-1
59. FBS for Overall Program Administration 7-2
60. Establishment/Update of VetBene Records in FBS 7-3
61. Establishment/Update of Work Process Records in FBS 7-6
62. FBS Reports for Workload Control 7-8
63. Creating Principal Guardianship Folders (PGFs) 7-11
Continued on next page
Table of Contents, Continued
Chapter 7: Administrative Responsibilities, continued
64. PGF Maintenance 7-12
65. Transferring and Receiving PGFs 7-14
66. Date-stamping and Screening Mail 1-16
67. Records Disposal 7-18
68. VA Form 27-4707, Estate Summary 7-21
69. VA Form 21-3045, Estate Action Record 7-22
70. [Reserved] 7-23
Filing Record – Changes to LIE Program Guide
|Introduction |The following chart is intended to provide you with a record of receipt and filing of changes to the LIE Program |
| |Guide. Make appropriate entries as changes are received and filed. |
|Change number … |Dated … |Was filed by … |On (date) … |
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