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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